The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Preface

The 7th Indonesia Japan Joint Scientific Symposium (IJJSS 2016), the 24th CEReS International Symposium,the 4th Symposium on Microsatellite for Remote Sensing (SOMIRES), and the Symposium on Innovative
Microwave Remote Sensing were held on the Nishi‐Chiba campus of Chiba University, Japan, during 20‐
24 November 2016. These symposia focused on providing a forum to share and discuss recent issues
and developments in various fields of science and technology.
IJJSS has been held since 2004 and now it has become one of the successful regional symposia co‐organized by two countries – Indonesia and Japan. In IJJSS 2016, a total of 160 papers that have gone
through review process are presented. In each of the 29 sessions, enthusiastic and stimulating
discussions have led to the exchange of innovative ideas and advancement of the state of knowledge
among students and researchers from universities in Japan, Indonesia, and other countries.
Generous supports for the conference were provided by Kabupaten Siak, Bank Riaukepri, Katoro, APPJ,
Dental Support, Chiba Soy Sauce Union, and Kominato Railway. On behalf of the IJJSS local organizing
team, I would like to express my sincere gratitude to their supports, which greatly contributed to theparticipation of young scientists.
Finally, I would like to thank all the proceedings team members who have dedicated their effort andtime to bring the manuscripts into the form of a book. This book will serve as a long‐lasting credit to theachievements of IJJSS 2016.

Professor Hiroaki Kuze, Dr. Sc.,
General Chairman of IJJSS 2016

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Committees
Advisory Committee:
Prof. Takeshi Tokuhisa, President of Chiba University, Japan
Prof. Muhammad Anis, Rector of Universitas Indonesia, Indonesia
General Chairman
Prof. Hiroaki Kuze
Executive Committee
Prof. Andi Eka Sakya, Head of Badan Meteorologi, Klimatologi, dan Geofisika, Indonesia
Prof. Herry Suhardiyanto, Rector of Institut Pertanian Bogor, Indonesia
Prof. Kadarsah Suryadi, Rector of Institut Teknologi Bandung, Indonesia
Prof Yos Johan Utama, Rector of Universitas Diponegoro, Indonesia
Prof. Dwikorita Karnawati, Rector of Universitas Gadjah Mada, Indonesia
Prof. Dwia Aries Tina Pulubuhu, Rector of Universitas Hasanuddin, Indonesia
Prof. Muhammad Anis, Rector of Universitas Indonesia, Indonesia
Prof. Tri Hanggono Achmad, Rector of Universitas Padjadjaran, Indonesia
Prof. Ketut Suastika, Rector of Universitas Udayana, Indonesia
Prof. H. Detri Karya, Rector of Universitas Islam Riau, Indonesia
Prof. Ravik Karsidi, Rector of Universitas Sebelas Maret, Indonesia
Sister Universities (*)
Badan Meteorologi, Klimatologi, dan Geofisika, Indonesia
Institut Pertanian Bogor, Indonesia
Institut Teknologi Bandung, Indonesia
Universitas Diponegoro, Indonesia
Universitas Gadjah Mada, Indonesia
Universitas Hasanuddin, Indonesia
Universitas Indonesia, Indonesia
Universitas Padjajaran, Indonesia
Universitas Udayana, Indonesia* Base on alphabet queue
Organizing Committee
Prof. Hiroaki Kuze, Chiba University, Japan
Prof. Kenichi Sakakibara, Chiba University, Japan
Prof. Josaphat Tetuko Sri Sumantyo, Chiba University, Japan
Prof. Shogo Shimazu, Chiba University, Japan
Prof. Niikura Ryoko, Chiba University, Japan
Prof. M. Takagaki, Chiba University, Japan
Prof. Hiroshi Nakagawa, Chiba University, Japan
Prof. Hitoshi Asanuma, Chiba University, Japan
Prof. Ryutaro Tateishi, Chiba University, Japan
Prof. Koichi Ito, Chiba University, Japan
Prof. Kenzo Nonami, Chiba University, Japan
Prof. Katsumi Hattori, Chiba University, Japan
Prof. Gunawan Wibisono, Universitas Indonesia, Indonesia
Prof. Eko Tjipto Rahardjo, Universitas Indonesia, Indonesia
Prof. Danang Sri Hadmoko, Universitas Gadjah Mada, Indonesia
Prof. Arif Marfai, Universitas Gadjah Mada, Indonesia
Prof. Muhammad Asvial, Universitas Indonesia, Indonesia

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Prof. Ketut Wikantika, Institut Teknologi Bandung, Indonesia
Prof. I Made Mahendra, Universitas Udayana, Indonesia
Prof. Darsono, Universitas Sebelas Maret, Indonesia
Prof. Edison Munaf, Universitas Andalas, Indonesia
Prof. Nelson Pomalingo, Universitas Muhammadiyah Gorontalo, Indonesia
Prof. Ohneda Osamu, University of Tsukuba, Japan
Prof. Isamu Nagano, Komatsu College, Japan
Assoc. Prof. Dodi Sudiana, Universitas Indonesia, Indonesia
Assoc. Prof. Chiharu Hongo, Chiba University, Japan
Assoc. Prof. Handarto, Universitas Padjadjaran, Indonesia
Assoc. Prof. Emma Hisbaron, Universitas Gadjah Mada, Indonesia
Assoc. Prof. Muhammad Isman Jusuf, Universitas Muhammadiyah Gorontalo, Indonesia
Technical Program Committee
Prof. Agus Hartoko, Universitas Diponegoro, Indonesia
Prof. Rika Haryana, Universitas Gadjah Mada, Indonesia
Prof. Andriyan Bayu Suksmono, Institut Teknologi Bandung, Indonesia
Prof. Wolfgang Martin Boerner, University of Illinois, United States
Prof. Keiichiro Kondo, Chiba University, Japan
Prof. Nobuo Takeuchi, Chiba University, Japan
Prof. Motoi Machida, Chiba University, Japan
Prof. Hideki Nakagome, Chiba University, Japan
Prof. Wuled Lenggoro, Tokyo Agricultural University, Japan
Prof. Bondan T. Sofyan, Universitas Indonesia, Indonesia
Prof. Sugeng, Universitas Islam Riau, Indonesia
Prof. Mukhtar Ahmad, Universitas Islam Riau, Indonesia
Prof. I Wayan Sandi Adnyana, Universitas Udayana, Indonesia
Prof. Purnomo Priambodo, Universitas Indonesia, Indonesia
Assoc. Prof. Kazuhiko Ohnuma, Chiba University, Japan
Assoc. Prof. Rie Ono, Chiba University, Japan
Assoc. Prof. Basari, Universitas Indonesia, Japan
Assoc. Prof. Hitoshi Irie, Chiba University, Japan
Assoc. Prof. Agfianto Putra, Universitas Gadjah Mada, Indonesia
Assoc. Prof. Yoshimasa Amano, Chiba University, Japan
Assoc. Prof. Kazuteru Namba, Chiba University, Japan
Assoc. Prof. Idris Mandang, Universitas Mulawarman, Indonesia
Assoc. Prof. Tri Kuntoro Priyambodo, Universitas Gadjah Mada, Indonesia
Assoc. Prof. Gede Karang, Universitas Udayana, Indonesia
Assoc. Prof. Masuda Kenji, Shizuoka University, Japan
Assoc. Prof. Katoh Kentaroh, Tsuruoka College, Japan
Assoc. Prof. Teti Zubaidah, Universitas Mataram, Indonesia
Assoc. Prof. Rahmatulloh, Universitas Indonesia, Indonesia
Assoc. Prof. Dr. Nurman, S.Si, M.Si, Universitas Islam Riau, Indonesia
Dr. Yohandri, Universitas Negeri Padang, Indonesia
Dr. Elyas Palantei, Universitas Hasanuddin, Indonesia
Dr. Ilham Alimuddin, Universitas Hasanuddin, Indonesia
Dr. Luhur Bayuaji, Universiti Malaysia Pahang, Malaysia
Dr. Muhammad Fauzan, Universitas Brawijaya, Indonesia
Dr. Yuhendra, Institut Teknologi Padang, Indonesia
Dr. Indra Riyanto, Universitas Budiluhur, Indonesia
Dr. Wahyudi Parnadi, Institut Teknologi Bandung, Indonesia
Dr. Robertus Heru, Lembaga Antariksa dan Penerbangan Nasional, Indonesia

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Dr. Evizal Abdul Kadir, Universitas Islam Riau, Indonesia
Dr. Muhamad Komarudin, Universitas Lampung, Indonesia
Local Steering Committee
Secretariat and Registration:
Treasurer:
Chihaya Miyamoto

Publication:
Husnul Kausarian
Asif Awaluddin
Dr. Ratih Fitria
Putri Agus Hendra
Pakhrur Razi
Reviewers:
Prof. Kenichi Sakakibara
Prof. Rie Ono
Prof. Shogo Shimazu
Prof. Hitoshi Asanuma
Prof Josaphat Tetuko Sri Sumantyo
Prof. Ryutaro Tateishi
Prof. Katsumi Hattori
Prof. Eko Tjipto Rahardjo
Prof. Danang Sri Hadmoko
Prof. Arif Marfai
Prof. Muhammad Asvial
Prof. Ketut Wikantika
Prof. I Made Mahendra
Prof. Agus Hartoko
Prof Hartono
Prof. Andriyan Bayu Suksmono
Prof. Motoi MachidaProf. Kazuhiko Ohnuma
Prof. Kazuteru Namba
Prof. Idris Mandang
Prof. Gede Karang
Dr. Dodi Sudiana
Dr. Yohandri
Dr. Elyas Palantei
Dr. Ilham Alimuddin
Dr. Wahyudi Parnadi
Dr Mya Dwi Rostika
Dr Emmy Latifah
Website Coordinator:
Babag Purbantoro
Good Fried Panggabean
Farohaji Kurniawan
Documentation:
Heein Yang

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Cahya Edi Santosa
Jamrud Aminuddin
Registration
Yuta Izumi
Tomoro Watanabe

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Contents and Schedule
The 7th Indonesia–Japan Joint Scientific Symposium
The 24th CEReS International Symposium
The 4th Symposium on Microsatellites for Remote Sensing
The Symposium on Innovative Microwave Remote Sensing
November 21‐24, 2016
Keyaki Convention Hall, Chiba University
Monday, November 21
09:30‐12:00

11:45‐12:00
12:00‐13:30
13:30‐17:00

13:30‐15:00

Opening Ceremony(Moderator : Dr Takenobu Aoki and Meidesta Pitria)
Opening Remark :General Chairman Prof Hiroaki Kuze
Opening Speech :Rector of Chiba University – Prof Takeshi Tokuhisa
Opening Speech :Vice President of University of Indonesia – Prof Bambang Wibawarta
Inauguration Ceremony of New Sister University :Universitas Islam Riau (UIR) – Chiba University
Inauguration Ceremony of International Collaboration :Regency of Siak – Center for Environmental Remote Sensing
Keynote Speech (1) – Prof Yoshifumi Yasuoka
Keynote Speech (2) – Prof Eko Tjipto Rahardjo
Keynote Speech (3) – Drs. H. Syamsuar, M.Si
Symposium Memorial Photograph
Lunch
Laboratory / Research center visiting
Prof Hiroaki Kuze – Lidar Facility
Prof Josaphat Tetuko Sri Sumantyo – Microwave Remote Sensing Facility
Prof Hitoshi Irie – Atmospheric Research Facility
Prof Atsushi Higuchi – Himawari‐8 Facility (Dr Koichi Toyoshima)
Prof Naoko Saito – GOSAT Facility
Prof Katsumi Hattori – Geohazard Research
Prof Shogo Shimazu – Chemistry Research Facility
Prof Hiroshi Asanuma – Mechanical Engineering
Prof Motoi Machida – Chemistry Research Facility (22 November 2016 08:00
to 15:30)
Alumni Meeting – 3F Reception Hall (Prof Ryoko Niikura)
Opening speech– Rector of Chiba University : Prof Takeshi TokuhisaiThe 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Monday, November 21
15:00‐17:00

17:00‐19:00

Business Forum ‐ Keyaki Kaikan Hall (Prof. Kenichi Sakakibara)– Bank Riau Kepri– Kabupaten Siak
– Kantodensi– APPJ– Dental Support (Prof. Takeshi UCHIDA, R.Ph., Ph.D)“The Challenge of Medical and Care Supporting System
Japanese Hyper Aging Society” – BF001
Welcome party – 3F Reception Hall
Opening speech :– Rector of Chiba University : Prof Takeshi Tokuhisa– General Chairman : Prof Hiroaki Kuze
– Kanpai (Opening toast) : Prof Ryutaro Tateishi
Japanese traditional dance :– Fuuryuu Funazoroi – Fujima KanhiroyukiIndonesian traditional dance :– Gunung Sari – Siina Takanobu
Introduction of delegations

Tuesday, November 22
09:30‐16:00
16:00‐17:00
17:00‐19:00

Parallel Oral Presentation Session
Poster session
Banquet – 3F Reception Hall
Opening speech : Prof Motoi Machida– Kanpai (Opening toast) : Prof Kenichi Sakakibara
Free talk for future exchange and collaboration– Prof Katsumi Hattori– Prof Kenichi Sakakibara– Prof Hiroshi Asanuma

Wednesday, November 23
09:30‐15:00
15:30

Parallel Oral Presentation Session
Closing and Awards Ceremony– Best Paper Awards– Best Presenter Awards– Best Poster Awards– Best Student Awards

ii

inThe 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Keynote Speech
Monday, November 21
10:15‐11:45

10:15‐11:45
Mon, Nov 21
10:15‐10:45
KS001

7th Indonesia Japan Joint Scientific Symposium

Chair : Takenobu Aoki
1F Main hallProf Yoshifumi Yasuoka
Chiba University
Social Implementation of Remote Sensing; how canremote sensing contribute to tackling climate change

10:45‐11:15
KS002

Prof Eko Tjipto Rahardjo
Universitas Indonesia (UI)

Environmental impact of electromagnetic fields andwaves

11:15‐11:45
KS003

Drs. H. Syamsuar, M.Si
Mayor/Regent of Regency of Siak, Riau Province, Indonesia

The success steps of Regency of Siak in tacklingenvironmental issues; resolving the problem of forest
fires in Siak District, Riau Province; Achievement of the
National Environment Award 2015 and 2016

iii

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Oral Session

Tuesday, November 22
09:30‐16:00
09:30‐11:50
Tue, Nov 22
09:30 ‐ 09:50
P113
09:50 ‐ 10:10
P156
10:10 ‐ 10:30
P118
10:30 ‐ 10:50
P001
10:50 ‐ 11:10
P159
11:10 ‐ 11:30
P092
11:30 ‐ 11:50
P154

09:30‐12:00
Tue, Nov 22
09:30 ‐ 10:00
P146
10:00 ‐ 10:30
P150
10:30 ‐ 11:00
P148

11:00 ‐ 11:30
P127

7th Indonesia Japan Joint Scientific
Chair : Elyas Palantei
Symposium #1
3F Reception Hall
Elyas Palantei (p: 1‐ 9)Construction and Field Testing of Broadband Transceiver Modules Applied for ITS
Environmental Surveillance
Purnomo Sidi Priambodo (p: 10‐ 15)
FSO Propagation Noise Suppression by Applying Single‐Mode Fiber Optic at The
Receiving Lens Focal Point
Ahmad Fauzi Makarim (p: 16‐24)
Design and Analysis of Mesh Network for Ship‐to‐Ship Maritime Communication
using IEEE 802.11 on Maritime Environment of Tanjung Perak – Indonesia
Abdul Syukur (p: 25‐ 36)
Parallel Processing for Improve Performance of e‐Learning Server Using Message
Passing Interface
Wahidin Wahab (p: 37‐ 42)
Designing an Automated control of a Portable Hydrophonic Plantation Facility
based onImaduddin A Majid
Path Planning and Formation Control using Arrival Time Field for Mobile Robots
Basari (p: 43‐ 48)
On the Performance of Wireless ECG Monitoring System: Case of Off‐Body
Communications

The 4th Symposium on Microsatellites
Chair : Katsumi Hattori
for Remote Sensing
3F Meeting Room 4
Katsumi Hattori
Seismo‐electromagnetics study for short‐term earthquake forecast: recent
progress and the state of the art
Dimitar Ouzounov
Geospace Approach in Revealing Transient Signatures in Atmosphere andIonosphere Prior to Large Earthquakes
Nicola Genzano
On the possible impact of the Significant Sequence of TIR Anomalies (SSTAs)
parameter on the time‐Dependent Assessment of the Seismic Hazard (t‐DASH) forJapan
Teti Zubaidah (p:1‐9)
Observation of geomagnetic fields changes related to 9th March 2016 solar
eclipse on Lombok Island‐Indonesia

iv

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 201609:30‐11:50
Tue, Nov 22
09:30 ‐ 09:50
P004
09:50 ‐ 10:10
P074
10:10 ‐ 10:30
P075
10:30 ‐ 10:50
P089
10:50 ‐ 11:10
P086
11:10 ‐ 11:30
P029
11:30 ‐ 11:50
P013

09:30‐11:50
Tue, Nov 22
09:30 ‐ 09:50
P157
09:50 ‐ 10:10
P142
10:10 ‐ 10:30
P153
10:30 ‐ 10:50
P054
10:50 ‐ 11:10
P046
11:10 ‐ 11:30
P018
11:30 ‐ 11:50
P022

7th Indonesia Japan Joint Scientific
Chair : Agus Hartoko
Symposium #2
2F Meeting Room 2
Agus Hartoko (p: 49‐ 58)
New Paradigm of Marine Paleo‐oceanographic Study With Spatial Based
Reconstruction at Sangiran and Muria Strait – Central Java Indonesia
Tengku Dahril (p: 59‐ 63)
Applied technology for oxygen production in closed area for smoke damage
Tengku Dahril (p: 64‐ 70)
The utilization of liquid water from palm oil industry as culture medium for
microalgae (Chlorella sp) in order to eliminate waters poluition in Riau
Idris Mandang (p: 71‐ 78)
Ecosystem Dynamics in the Mahakam Estuary, East Kalimantan Indonesia
I Wayan Gede Astawa Karang (p: 79‐88)
Aquarius Sea Surface Salinity in the Indonesian Seas
Muh. Yusuf (p: 89‐ 95)
Coastal Dynamic, Nitrate (NO3‐) Phosphate (PO4‐) and Phytoplankton
Abundance at Morodemak North Java Sea Indonesia
Jemi (p: 96‐102)
Water Resources Management Using River Flow Manipulation in Sukabumi Karst
Landform

7th Indonesia Japan Joint Scientific
Chair : Ardi Pramono
Symposium #3
2F Meeting Room 3
Ardi Pramono (p: 103‐ 107)
The Use Of Continuous Intravenous Multimodal Analgesia Fentanyl‐Ketorolac In
Patients With Cesarean Section
Tri Pitara Mahanggoro (p: 108‐113)
Improving Emotional Intelligence to Develop Healthy Behaviour in Leather Gloves
Factory Worker
Ratna Indriawati (p: 114‐118)
Long‐term Impact of Prenatal hypoxia‐ischemia in short‐term memory duringadolescence
Dziban Naufal (p: 119‐125)
Effects of Low Frequency Sound to Human Psychological and Physiological
Phenomenon : A literature review
Pramitha Esha ND (p: 126‐131)
Identification of Patient Satisfactory Profile for Outpatient Pharmaceutical Service
at Private and Government Hospital within Semarang District
Rudy Agung Nugroho (p: 132‐139)
Insect‐Based Protein: Future Promising Protein Source for Fish Cultured
Norman Billi (p: 140‐144)
A Literature Study : Potential of Mango Seed as an Alternative Feed of Tegal Duckfor Increasing Body Weightv

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 201609:30‐12:00
Tue, Nov 22
09:30 ‐ 10:00
P049
10:00 ‐ 10:30
P032
10:30 ‐ 11:00
P164
11:00 ‐ 11:30
P120
11:30 ‐ 12:00
P053

09:30‐12:00
Tue, Nov 22
09:30 ‐ 10:00
P108
10:00 ‐ 10:30
P109
10:30 ‐ 11:00
P161
11:00 ‐ 11:30
P039
11:30 ‐ 12:00
P122

13:00‐14:20
Tue, Nov 22
13:00 ‐ 13:20
P067
13:20 ‐ 13:40
P061
13:40 ‐ 14:00
P071
14:00 ‐ 14:20
P081

Social Studies #1

Chair : F. Kaneko & E. Latifah
2F Multimedia meeting room

Fumihiro Kaneko (p:1‐7)
Introducing A Threshold To Condorecet Improvement
Emmy Latifah
The Legal Protection Over Traditional Medicinal Plants in Indonesia
Abdul Qodir (p:8‐24)
The Idea of Multicultural Interconnective with Socio‐Religious Values at Trans
Dalam Community in Pulang Pisau Regency
Achmad Busro (p:25‐32)
LEGAL DEVELOPMENTS OF FIDUCIARY IN INDONESIA: A Special Reference toIntangible Moving Security Objects
Yosuke Yoshioka (p:33‐37)
The Effect of Communication Skills on Job Opportunities for Japanese University
Students

Social Studies #2

Chair : Indah Susilowati
2F Graduate Lounge

Rachma Indriyani (p:38‐45)
Where Does Equitable Sharing Of Shared Fish Stocks In Indian Ocean Stand For ?
Slamet RIYADI
Study Of User Experience In A Sequential Interaction Of A Tangible ProductSatsuki Ikeda (p: 46‐52)
Our use of descriptive names and singular thoughts
Yayoi Umemura (p:279-286)
Miscommunication in Japanese between Japanese and Local Employees in a
Japanese‐affiliated Company in China
Hadi Sasana
Cluster Area Development with the Basis on Organic Agriculture To Support The
Competitiveness on Acceleration to Enter the Asean Economic Community Market(Case Study in Semarang‐ Indonesia)

7th Indonesia Japan Joint Scientific
Chair : M Isman Jusuf
Symposium #4
3F Reception Hall
M Isman Jusuf
Prediction of Intrcerebral Haemorrhagic Stroke In Indonesian Population
Pinasti Utami (p: 145‐153)
Identification of Drug Related Problems in Congestive Heart Failure Patients inPanembahan Senopati Public Hospital During January to May 2015
Nurul Maziyyah (p: 154‐162)
Actual and Potential Drug Related Problems in Diabetic Patients throughMedication Reconciliation Process
Ingenida Hadning (p: 163‐169)
Analysis Influence of Early Pharmaceutical Exposure in Primary Health Care on
Student’s Knowledge Levels in School of Pharmacy Universitas Muhammadiyah
Yogayakartavi

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

14:35‐15:55
Tue, Nov 22
14:35 ‐14:55
P139

14:55 ‐ 15:15
P140
15:15 ‐ 15:35
P143
15:35 ‐ 15:55
P141

13:00‐14:20
Tue, Nov 22
13:00 ‐ 13:20
P160
13:20 ‐ 13:40
P135
13:40 ‐ 14:00
P011
14:00 ‐ 14:20
P014
14:20 ‐14:40
P097

14:55‐15:55
Tue, Nov 22
14:55 ‐ 15:15
P082
15:15 ‐ 15:35
P138
15:35 ‐ 15:55
P144

7th Indonesia Japan Joint Scientific
Chair : Lilis Suryani
Symposium #5
3F Reception Hall
Lilis Suryani (p: 170‐174)
The Effect of Supplementation Probiotic Lactobacillus casei strain Shirota againstcolonization of Streptococcus Nasal Swab Isolates from Patients with Allergic
Rhinitis
Sri Nabawiyati Nurul Makiyah (p: 175‐184)
Steroidal Saponin in Ethanol Extract Tuber of Purple Yam (Dioscorea alata L.) asallergenic Agent
Tri Wulandari Kesetyaningsih (p: 185‐193)
Dengue Prone Areas in Gamping, Yogyakarta, Indonesia Based on Environmental
Condition by Using Spatial Analysis
Yuningtyaswari (p: 194‐199)
The Effect of Air Freshener Exposure at an Early Age on Alveloar Histology ofWhite Rat (Rattus norvegicus)

7th Indonesia Japan Joint Scientific
Chair : Wahidin Wahab
Symposium #6
3F Meeting Room 4
Wahidin Wahab (p: 200‐207)
Analysis and Design of a Fuzzy Logic Controlled Buck Boost Converter For a Wind
Turbine Power Generation
Nji Raden Poespawati (p: 208‐213)
Fabrication of CNT microarray for biosensor applications
Indra Riyanto (p: 214‐219)
Portable Photovoltaic Powerplant with Solar Tracker for Disaster Affected Area
Emergency Power Supply
Mohammad Nasucha (p: 220‐229)
Application of 6A05G Power Diodes in a Simple Yet Effective Voltage Adapter
Module for Electric Cars
Wisnu
Obstacle avoidance multirotor using ultrasonic sensor and A‐star Algorithm

7th Indonesia Japan Joint Scientific
Chair : Puguh Novi Arsito
Symposium #7
3F Meeting Room 4
Puguh Novi Arsito (p: 230‐240)
Piperin of Piper retrofractum Antagonizes H1 Receptor: In vitro and In silico Studyon Isolated‐Guinea Pig Illeum Smooth Muscle
Alfaina Wahyuni (p: 241‐247)
The Effect Of Extract Yellow Pumpkins Seed (Cucurbita moschata) on Histology ofEndometrial Glands in Ovariectomized Rats
Imaniar Ranti (p: 248‐254)
Haloperidol Combination Therapy More Cost‐ Effective Than Risperidone
Combination Therapy in The Acute Phase Therapy of Schizophrenia based on
Positive and Negative Syndrome Scale – Component (PANSS‐EC)

vii

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

13:00‐14:20
Tue, Nov 22
13:00 ‐ 13:20
P080
13:20 ‐ 13:40
P052
13:40 ‐ 14:00
P035
14:00 ‐ 14:20
P080

14:35‐15:35
Tue, Nov 22
14:35 ‐14:55
P047

14:55 ‐ 15:15
P145
15:15 ‐ 15:35
P088

13:00‐14:20
Tue, Nov 22
13:00 ‐ 13:20
P070
13:20 ‐ 13:40
P094
13:40 ‐ 14:00
P012
14:00 ‐ 14:20
P008

7th Indonesia Japan Joint Scientific
Chair : Sabtanti Harimurti
Symposium #8
2F Meeting Room 2
Sabtanti Harimurti (p: 255‐262)
Optimization of the Acid Catalyst Concentration for Synthesis of Anti‐Cancer
Agent Gamavuton‐0 by Using Mathematical and Statistical Software
MT Ghozali (p: 263‐269)
Effervescent Tablet Formulation of Purple Mangosteen (Garcinia mangostana L)
and Apple (Pyrus malus L) Peel Extract
Wira Eka Putra
Single Dose Dexamethasone Promotes Expression Number of Hematopoietic StemCells and Blood Progenitor Cells on BALB/c Mouse
Hari Widada (p: 270‐279)
Antioxidant and Photoprotective Potential of Ethyl Acetate Fraction from
Ethanolic Extract of Red Dragon Fruit Peel (Hylocerius polyrhizus)

7th Indonesia Japan Joint Scientific
Chair : Yoni Astuti
Symposium #9
2F Meeting Room 2
Yoni Astuti (p: 280‐285)
Effectiveness of Wound Cleansing Using Guava Leaves 20% Infusion withShowering Technique 15 Psi Pressure toward the number of bacteria on
Diabetic Foot Ulcer at Kitamura Clinic, Pontianak
Ika Setyawati (p: 286‐290)
Relation Between Uric Acid Level and Risk Factor in Patient with Hypertension
Sri Tasminatun (p: 291‐296)
The Effect of Ethanolic Extract of seeds of pumpkin (Cucurbita moschata) on Bone
Calcium Levels in Ovariectomized Rat

7th Indonesia Japan Joint Scientific
Chair : Ismail Alif Siregar
Symposium #10
2F Meeting Room 3
Ismail Alif Siregar (p: 297‐306)
Redesign of Small Vehicles into a safer Public Transit Transport Supporting Major
Transport Lines
Nisrina Muthi Meidiani (p: 307‐313)
Enliven Urban Life Through Third Places With Home‐like Experience
Ipank Sidiq P (p: 314‐318)
Location‐based Service for Jakarta’s Bajaj Auto Rickshaw Ordering System
Fadilla Indrayuni Prastyasari
The Application of Failure Modes and Effects Analysis to The Fuel Oil System on A
Tugboatviii

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

14:35‐15:35
Tue, Nov 22
14:35 ‐14:55
P011
14:55 ‐ 15:15
P005
15:15 ‐ 15:35
P017
15:35 ‐ 15:55
P105

13:00‐16:00
Tue, Nov 22
13:00 ‐ 13:30
P125
13:30 ‐ 14:00
P068

14:00 ‐ 14:30
P098
14:30 ‐ 15:00
P121
15:00 ‐ 15:30
P095
15:30 ‐ 16:00
P098

7th Indonesia Japan Joint Scientific
Chair : M. Hamzah Solim
Symposium #11
2F Meeting Room 3
M. Hamzah Solim (p: 319‐328)
Enhance Production of Adventitious Root Biomass of Talinum paniculatum
Gaertn. in Baloon Type Bubble Bioreactor Used by Batch and Continuous System
Arif Efendi
The Effect of Solvent In Green Synthesis Silver Nanoparticles Using Extract Of
Gambir (Uncaria gambir Roxb) Leaf
Muhammad Evan N (p: 329‐334)
Leaf Callus Induction of Kelor (Moringa oleifera) with Addition of Various
Concentration Napthalene Acetic Acid (NAA) and Kinetin in Media MS in vitro
Arif Munandar/Randi Proska Sandra (p: 335‐343)
The Utilization of CaO Nanoparticle From Limestone as A Countermeasure Effort
of SO2 Gas Emissions In PT. Semen Padang Using Corprecipitation Method

Social Studies #3

Chair : Shingo Odani
2F Multimedia meeting room

Shingo Odani (p:53‐60)
Ecological Anthropological Analysis of Nyale Foraging and the Sasak Calendar
System in Lombok
Nazalia Kurnia Dewi (p:61‐66)
A Preliminary Study on the Experience of Indonesian Certified
Kaigofukushishi/Candidate Who Work at Japanese Nursing Home in Japan: A
Result from Participant Observatory
Ali Sadikin (p:67‐85)
The Response Of Public In Palangka Raya To Bank Muamalat
Indonesia (BMI) Palangka Raya BranchDeli Nirmala
Maintaining Javanese Sociocultural Expressions for Preserving the Identity
Representation of the Coastal Society in the North of Java (Pantura), Indonesia
Uha Julaeha (p:86‐93)
Fairy Tale Roles In Family Communication As Effort Encouraging Early Childhood
Development: Literature Study
Ahmad Dakhoir (p:94‐107)
Economic Thought Of Ibn Taimiyah On Market Mechanism In Perspective Of
Moslem Scholars

ixThe 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

13:00‐16:00
Tue, Nov 22
13:00 ‐ 13:30
P158
13:30 ‐ 14:00
P009
14:00 ‐ 14:30
P165
14:30 ‐ 15:00
P087
15:00 ‐ 15:30
P034
15:30 ‐ 16:00
P025

Social Studies #4

Chair : YOSHIDA Masami
2F Graduate Lounge

YOSHIDA Masami (p:108‐117)
Deployment of Digital Textbooks in Japan
Fatmawati Djafri (p:118‐127)
An Inquiry into the Meaning‐Making Process of Japanese Learning in Higher
Educational Institution in Indonesia
M. Zainal Arifin (p:287‐304)
Comparative Study On The Learning Styles (Visual, Auditory, And Kinesthetic)
Towards Vocabulary Mastery
Toshio Irie (p:305‐310)
Hidden Aspects of the Private Language Argument: What Will Wittgenstein‘s
Philosophy Bring Us Henceforth?
Hakim and Arin Fithriana (p:128‐136)
The Support Of Public Works & Community Housing Development Ministry On
Poverty Eradication Through Special Fisherman Home
Otsuka Moe (p:137‐142)
The Translation of Japanese Manga in German and Englishx

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Oral Session

Wednesday, November 23
09:30‐15:00
09:30‐12:00
Wed, Nov 23
09:30 ‐ 10:00
P132
10:00 ‐ 10:30
P055
10:30 ‐ 11:00
P126
11:00 ‐ 11:30
P107
11:30 ‐ 12:00
P057

09:30‐11:50
Wed, Nov 23
09:30 ‐ 09:50
P093
09:50 ‐ 10:10
P163
10:10 ‐ 10:30
P069
10:30 ‐ 10:50
P041
10:50 ‐ 11:10
P110
11:10 ‐ 11:30
P119
11:30 ‐ 11:50
P042

Novel Disaster Mitigation Engineering
Chair : Hiroshi Asanuma
Toward Future
3F Reception Hall
Hiroshi Asanuma (p:1‐9)
Smart disaster mitigation based on novel structures/materials
Nanang T. Puspito (p:10‐16)
Seismological Evidence for Crustal Deformation beneath the Sunda‐Banda Arc
Transition Zone
Djati Mardiatno (p:17‐25)
Identification of Area Prone to Multi Hazards using Remotely Sensed Data ‐ Case
in Lowland Area of Kulon Progo, Yogyakarta, Indonesia
Toha Saleh (p:26‐36)
Analysis of Stream and Residential Area Protection Case Study: Tembagapura,
Papua
Dyah Rahmawati Hizbaron (p:37‐45)
Vulnerability of Volcanic Ternate Island Towards Ecosystem Based Disaster Risk
Management

The 24th CEReS International
Chair : Nobuo TAKEUCHI
Symposiom
3F Meeting Room 4
Nobuo TAKEUCHI (p:1‐10)
Investigation of a High Resolution Lidar Using Optical Frequency Comb
Nofel Lagrosas (p:11‐14)
Modeling of scattering enhancement factor, f(RH), in Chiba using visibility andground measurements
D. Ichikawa
Geostationary HIMAWARI‐8 and Polar Orbiting S‐NPP VIIRS Satellites for regional
environmental monitoring of Indonesia
Jamrud Aminuddin (p:15‐18)
Observation of Aerosol Optical Properties by Means of Himawari‐8 Satellite fromSpace and Lidar System from Surface
Babag Purbantoro (p:19‐22)
Cloud Retrieval and Cloud Type Detection from Himawari‐8 Satellite Data Basedon the Split Window Algorithm
Ginaldi Ari N / Asif Awaludin (p:33‐39)
Hail Detection By A Low Cost Local Weather Radar Operated For Disaster Early
Warning System
Andung Bayu Sekaranom (p:23‐32)
Extreme precipitation over Indonesian maritime continent: Uncertainties insatellite estimation and its relationship with low storm top height extremexi

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 201609:30‐11:50
Wed, Nov 23
09:30 ‐ 10:00
P062
10:00 ‐ 10:30
P168
10:30 ‐ 11:00
P167
11:00 ‐ 11:30
P130
11:30 ‐ 12:00
P149

09:30‐11:50
Wed, Nov 23
09:30 ‐ 09:50
P096
09:50 ‐ 10:10
P037
10:10 ‐ 10:30
P016
10:30 ‐ 10:50
P059
10:50 ‐ 11:10
P076
11:10 ‐ 11:30
P066

The Symposium on Innovative
Chair : Josaphat Tetuko SS
Microwave Remote Sensing
2F Meeting Room 2
Josaphat Tetuko SS (p:1‐7)
Development of Synthetic Aperture Radar onboard Aircraft and Microsatellite for
Global Land Deformation Observation
CHUA Ming Yam (p:8‐17)
Phase Coded Stepped Frequency Linear Frequency Modulated Waveform
Synthesis Technique for Ultra‐Wideband Synthetic Aperture Radar
Achmad Munir
DDS Module‐based Frequency‐Modulated Continous‐Wave (FMCW) Signal
Generation
Agus Hendra Wahyudi (p:18‐26)
NETWORK BASED DATA ACQUISITION AND CONTROL SYSTEM FOR CIRCULAR
POLARISATION SAR (CP‐SAR) SENSOR ON UAV
Masaru Bunya (p:27‐33)
CP‐SAR Image Processing System with Kintex‐7 FPGA Board

7th Indonesia Japan Joint Scientific
Chair : Imam Damar DJATI
Symposium #12
2F Meeting Room 3
Imam Damar DJATI (p: 344‐352)
Young Teak Application For Making Products Case Study: Young Teak from the
Teak Plantation in West Java Area, Indonesia
Hari Nugraha (p: 353‐361)
Hybrid Bamboo – Ceramic Process for Tableware design
M Dzulfiqar Rizwanda Putra (p:362‐367)“Bagasse Bamboo Concrete” Waste Utilization of Cane and Bamboo Fiber For
Composing Material Natural Fibrous Concrete
Ilham Kurniawan
The Influence of the addition Sugar Cane Bagasse Ash in compressive strength of
Geopolymer Concrete
Anne Zulfia (p:368‐377)
Effect of Titanium Addition on Characteristic of Al6061/ Al2O3 Reinforced
Composites Produced by Stir Casting Process
Adi Novriansyah/Novrianti
Enhancing cement strength through nanocomposite additive: utilizing palm‐
shell‐waste in oil‐well cementing job

xiiThe 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 201609:30‐12:00
Wed, Nov 23
09:30 ‐ 10:00
P058
10:00 ‐ 10:30
P112
10:30 ‐ 11:00
P047
11:00 ‐ 11:30
P123
11:30 ‐ 12:00
P015

09:30‐12:00
Wed, Nov 23
09:30 ‐ 10:00
P010

10:00 ‐ 10:30
P030

10:30 ‐ 11:00
P124

11:00 ‐ 11:30
P064

11:30 ‐ 12:00
P036

Social Studies #5

Chair : Chiyo Yonemura
2F Multimedia meeting room

Chiyo Yonemura (p:143‐149)
The Development of Organic Farming and Family Change in Postwar Japan
Akiko Fuchu (p:150‐154)
How parents' thinking and behavior work for their unmarried daughters
Pradhikna Yunik Nurhayati (p:155‐164)
Japanese soy sauce industry: a legacy of the centuries
Tri Widayati
The Ways Forward to Ecosystem‐based Farming Management in Dieng
Mountain, Central Java‐Indonesia: A Proposed Model
M Agung Ady Mangilep (p:270‐278)
The Importance of Paddy Rice Production for the Agricultural Communities in theHighland of South Sulawesi

Social Studies #6

Chair : Shuhei Shiozawa
2F Graduate Lounge

Fitriwati (p:165‐170)
Introducing of Research and Development and Manufacturing
Polyhydroxyalkanoates From Palm Oil Industry to Local Community in South
Sulawesi
Ramadhan Febriansyah (p:171‐177)
INTEGRATION OF SLC (SOCIETY LIVESTOCK CENTER) WITH PENTAHELIX SYSTEM
AS AN INDONESIAN STRATEGY IN LIVESTOCK DEVELOPMENT AND FARMERSEMPOWERMENT TOWARD AEC (ASEAN ECONOMIC COMMUNITY)
Agus Indarjo
An Introducing the Tripatriate Model of University‐Government‐Communities inManaging Karimunjawa and Its National Park: Safe for Future Sustainable
Development
Junko NANAHOSHI (p:178‐185)
A Consideration of Expectations in Nursing Education Regarding Relationships
with Pa ents ― Main Focus on Textbook Analysis of High School Nursing
Departments ―Shuhei Shiozawa (p:186‐194)
A Game Theory Approach to the Bargaining Process between Japan and the U.S.
in the Pre‐War Periodxiii

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

13:00‐14:00
Wed, Nov 23
13:00 ‐ 13:20
P155
13:20 ‐ 13:40
P116
13:40 ‐ 14:00
P060
14:00 ‐ 14:20
P056
14:20 ‐ 14:40
P043

13:00‐15:00
Wed, Nov 23
13:00 ‐ 13:20
P090
13:20 ‐ 13:40
P115
13:40 ‐ 14:00
P113
14:00 ‐ 14:20
P026
14:20 ‐ 14:40
P050
14:40 ‐15:00
P078

7th Indonesia Japan Joint Scientific
Chair : Eko T Rahardjo
Symposium #13
3F Reception Hall
Eko T Rahardjo (p:511-514)
Radiation Performance of X‐Band Array Antenna Implemented Using Unequal
Power Divider Feeding System
Fitri Yuli Zulkifli (p:378‐383)
Differential‐Fed Circular Patch Antenna with High Impedance Surface Substrate
Evizal Abdul Kadir (p:384‐391)
MIMO Antenna System for Microsatellite Communications
M Fauzan Edy Purnomo (p:392‐403)
Development L‐Band Antena With Low Power For Circularly Polarized‐Synthetic
Aperture Radar (Cp‐Sar) Application On Unmanned Aerial Vehicle (UAV)Cahya Edi Santosa
Circularly Polarized Microstrip Antenna with Eye‐slot for X‐band Synthetic
Aperture Radar Application

7th Indonesia Japan Joint Scientific
Chair : Kenji Kuriyama
Symposium #14
3F Meeting Room 4
Kenji Kuriyama (p:404‐407)
Ground‐based Spectral Measurements of Chlorophyll Fluorescence from
Vegetation Canopies
Muhammad Kamal
The effect of field spectrometer measurement distance to the identification of
Rhizophora stylosa mangrove from remote sensing imagery
Pramaditya Wicaksono
Preliminary assessment of Sentinel‐2A Multispectral Image and UAV for mapping
and validation of benthic habitats composition
Derick Christopher AM (p:408‐416)
The Use of Hyperspectral Data to Analyze Climate Change According to Carbon
Stocks and Southeast Sulawesi Biodiversity
Yuta izumi (p:417‐422)
Polarimetric analysis of long term paddy rice observation using ground‐based SAR(GB‐SAR) system
Akhmad Arifin Hadi (p:423‐432)
Exploring Attractive Landscape Elements and Sceneries in Bukit Kucing Forest
Tanjungpinang by using Visitors‐Employed Photography MethodxivThe 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

13:00‐15:00
Wed, Nov 23
13:00 ‐ 13:20
P128
13:20 ‐ 13:40
P129
13:40 ‐ 14:00
P038
14:00 ‐ 14:20
P114
14:20 ‐ 14:40
P166
14:40 ‐15:00
P079

13:00‐15:00
Wed, Nov 23
13:00 ‐ 13:20
P003
13:20 ‐ 13:40
P051
13:40 ‐ 14:00
P077
14:00 ‐ 14:20
P091
14:20 ‐ 14:40
P072
14:40 ‐15:00
P006

7th Indonesia Japan Joint Scientific
Chair : Dodi Sudiana
Symposium #15
2F Meeting Room 2
Dodi Sudiana (p:433‐441)
Deformation Analysis of Merapi Volcano Using DInSAR on ALOS/PALSAR Image
Dodi Sudiana (p:442‐451)
Analyzing Land Use and Land Cover using Combined Landsat 8 and ALOS‐
2/PALSAR‐2’s Data‐Case Study: Bandung Regency
Husnul Kausarian (p:452‐458)
Geological Mapping for the Land Deformation Using Small UAV, DinSAR Analysis
and Field Observation at The Siak Bridge I and II, Pekanbaru City, Indonesia
Arliandy P. Arbad (p:459‐466)
Time Series InSAR For Interpretating 5 Years Cycle of Mt. Bromo Eruptions inIndonesia by Using PALSAR and PALSAR‐2 to Contribute Civil Engineering Work
Pakhrur Razi
Velocity and Time Series Land Deformation Monitoring in Slope Area using PSISAR: Case Study in Kelok 9 Bridge West Sumatra
Richa Bhattarai (p467‐472)
Risk Assessment of Land Subsidence in Kathmandu Valley, Nepal

7th Indonesia Japan Joint Scientific
Chair : Puji Astuti
Symposium #16
2F Meeting Room 3
Agil Gemilang Ramadhan (p473‐482)
Structure Delineation Mapping using Remote Sensing Techniques in Geothermal
Prospect Area Kepahiang, Bengkulu
Puji Astuti (p483‐491)
Optimalization of the Planning Area in Using Infrastructure Development Impactof the Petroleum and Palm Oil Industry in Minas District, Riau Province
Dewandra Bagus EP (p:515-524)
Geophysical Modelling Using Gravity Data Of Meteorite Impact Crater At Bukit
Bunuh, Lenggong, Perak, Malaysia
Ira Herawati, Novia Rita (p492‐501)
Determining Equation of Oil ate Prediction by Statistically Analysis Function in
New Productive Zone
Yuniarti Yuskara (p502‐510)
Sedimen Deposit of Floodplain Formation Resulting From Lateral Accretion
Surfaces On Tropical Area: Study Case At Kampar River, Indonesia
Catur Cahyaningsih
Meteorite Impact Crater Mahsuri Ring Profile, Langkawi, Kedah Province,
Malaysia, Using Geoelectric Resistivity Imaging

xv

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

13:00‐15:00
Wed, Nov 23
13:00 ‐ 13:30
P020

13:30 ‐ 14:00
P033
14:00 ‐ 14:30
P084
14:30 ‐ 15:00
P063

13:00‐15:00
Wed, Nov 23
13:00 ‐ 13:30
P073
13:30 ‐ 14:00
P065
14:00 ‐ 14:30
P048
14:30 ‐ 15:00
P044

Social Studies #7

Chair : Noriko Ashiya
2F Multimedia meeting room

Noriko Ashiya (p:195‐204)
A possible answer to Japan’s deflationary problem as revealed by the use of amodified Phillips curve, and an explanation of some seemingly contradictory
results
Tri Endangsih/Jeanie Annissa (p:205‐212)
Army Support Program Through Smart Home In Poverty Reduction Framework
Based on SDGs
Nunuk Endah Srimulyani (p:213‐223)
Mom`s War and the Misconception about “Ryosai kenbo”and “Kyoiku‐Mama”:
Case of Educated Middle‐Class Women in Indonesia
Zhu Xun (p:224‐233)
A Comparative Study of Economic Revitalization Policy in Coal Mining Areas
Between China and Japan‐ From the Spatial Perspective

Social Studies #8

Chair : Kousuke Kaita
2F Graduate Lounge

Xing Yun (p:234‐243)
Analysis on the Research Trends of CALL in China ‐Based on the Papers from CNKI
from 2010 to 2016
Kousuke Kaita (p:244‐253)
Causative and adhortative expressions in Medieval English
XIANG YANING (p:254‐262)
A Basic Study of Academic English Vocabulary Lists
Masakazu Ito (p:263‐269)
Promoting Cities through Shopping Street Unions in Japan

xvi

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

POSTER SESSION
Tuesday, November 22
16:00‐17:00
No

Presenter

P152

Tiger Jann‐Yenq Liu

P104

Miftahus Sa’adah

P103

Siti Nur Hidayah

P102

Roma Ulinnuha

P133

Kaihei Nakamura (p:1‐7)

P137

Idiani Darmawati (p:8‐15)

P117

Min‐Wook Heo (p:16‐19)

P045

Kageaki Inoue (p:20‐27)

P162

Akira Kato

P151

Masuto Ebina

P136

Takaaki Kobari

P134

Mustafa Yagmur

P028

Hiroki Ueno (p:28‐36)

P040

Susana (p:37‐41)

Title
A Statistical Study Applying Receiver Operating
Characteristic Curve on Seismo‐ionosphericPrecursors of the Total Electron Content Associatedwith Large Earthquakes in Japan
Knowledge sharing practices: a case study of thecenter of language development at the state Islamic
university Sunan Kalijaga Yogyakarta
Entrepreneurship Education and its Challenges inNon‐business Faculties of Islamic Higher Education
Values Remittance and Hybrid Agencies on IndonesianMuslim Diaspora in Japan: A Structural‐Functionalism
Perspective
Study of 6module X‐band array antenna for Airborne
CP‐SAR application
The Effects Of Adecuate Brisk Walking Exercise
Toward Amount Of Pyramid Cells In The Cerebral
Cortex Of Congenital Hypotyroid Pups
IMPLEMENTATION ON REDUCTION LUT MEMORYSIZE IN CHIRP SIGNAL GENERATION FOR SATELLITE
ON‐BOARD SAR
The archaeological investigation of the central Jawa
applying the advanced remote sensing technology
Forest Disaster Monitoring using Google Earth Engine,
UAV‐SfM, and Terrestrial Laser Scanner
Relationships between topography and tree
inclination:
an approach using multiple time series of 3D point
cloud datab‐value change prior to the large earthquakes: Casestudy for earthquakes around Japan and the 2004
Sumatra earthquake
3D Tomographic Analysis of Ionospheric Anomalies
Preceding Large Earthquakes
Neutron Radiation To Soft Error Hardened Latches
The Effectiveness Of Addition Nelson Traction On
Microwave Diathermy (MWD) Intervention And
Transcutaneous Electrical Stimulation (TENS) For
Upper Thoracal Joint Blockade Pain Reduction

xviiConstruction and Field Testing of Broadband Transceiver
Modules Applied for ITS Environmental Surveillance
Elyas Palantei*a, Wardib, Merna Baharuddinc, Dewianid, Nurfitrie, Lidya K Yf, MM.
Khairulg, Eva Juliaha,b,c,,d, e, f,g, h Telecommunication, Radio, and Microwave Engineering Laboratory

Department of Electrical Engineering, Faculty of Engineering, Universitas Hasanuddin
Jl. Perintis Kemerdekaan Km. 10, Tamalanrea, Makassar 90245, South Sulawesi, Indonesia

Abstract
The high complexity of the road traffic management and the vehicles mobility
management is the main concerned cases to study amongst the governmental regulator
and the academicians living at the big cities all over the world including Makassar city.
The R&D activity presented in the manuscript outlined several interesting solutions toaddress the crucial road traffic problems that may also increasing in the near future
encountered in the capital city of South Sulawesi Province. The modern technique, smart
and effective, to control and to monitor the road traffic situations as well as thecontinuous observation concerned the actual events such as the potential traffic
jamming, the road accident, the crime acts and so on, are the main important things andvery urgent to be applied in the city. Furthermore, to improve the safety and the comfortof ITS users the availability of the up‐dated info regarding the environmental conditions
and the CO emission level are also very important to be monitored. The designed
surveillance system to be deployed later in Makassar city intelligent transportation
system consists of sensor array module and its corresponding broadband transmitter,
the transmission medium (i.e. the wireless link 95 MHz and the optical cable), thebroadband receiver and PC‐Desktop server. Several models of a broadband transceivermodule intended to be installed along the road network infrastructure to continuously
monitor the road situations and to regularly transmit the collected data to the main
server was experimentally tested and assessed.

Keywords
Traffic management, Vehicle mobility management, ITS‐Intelligent Transportation
System, Sensor array and Environmental Surveillance

1. Introduction
A large variety of innovative models have existed globally regarding thetransportation system operation and management to optimally utilise the available
information and communication technology (ICT) well known as the intelligent
transportation system (ITS). Based on some R & D activities that have been studied
during the last decade, for instance in [1‐4], the adoption of the transportation
management system has increased significantly in order to maintain the better quality ofthe transportation network. For example, researchers from the University of Cambridge* Corresponding author Tel.: +62‐81‐343638241, Fax: +62‐411‐586015

E‐mail address: elyas_palantei@unhas.ac.id1

(UK) has developed intelligent transportation system project that covers many aspects,
including monitoring activities and data collection; as well as the transmission andanalysis of vehicles traffic data on the highway. In the study, there are a number ofthings investigated including efforts to improve the "intelligent‐ePilot services",
identifying assets and collecting data of the highway environments; leading edge
technology applications to build better road traffic environments and the design ofmultimodal biometric identification system for travel documents.
There are a number of important and crucial issues influencing the transportation
system in the entire territory of Indonesia. These are dominantly characterized by avariety of conditions including an increase use of vehicles on the highway which may
have a significant impact on congestion to be getting worse; an increase of crime acts
(such as robberies, muggings, and rapes on the vehicle), the rate of road accidents isincreasing, and the potential impact of environmental pollution existed due to thecontinued prevalence of the use of fuelled vehicles (such as diesel and gasoline) and it is
the highest probability existed still in the society. Besides, the inappropriate model ofurban areas governance applied may have the significant effect on the poor quality of thetransportation management system. It is therefore very urgent to optimally utilise of ICT
technology to improve the real operation and management of the transportation system.
In practical, there are basically two types of data/information flow should be managed in
ITS network. These include flow of data/information that goes toward the centre of
highway traffic management and flow of data/information out of the highway traffic
management centre. There are many resources needed to build an intelligent
transportation management system such as to implement and to maintain the public
services system in emergency conditions existed (i.e. accidents or crime acts occur) it istherefore required the reliable communication infrastructures (i.e. mobile telephone
media or fixed telephone connection) along the road must be installed and are connectedto the monitoring unit station; and many more others that can be researched anddeveloped later on. Use of other ICT devices such as cameras to monitor the speed ofvehicles or real events along the way is also very important in supporting the creation of
the more reliable and powerful of highway traffic management system. Besides, various
types of electronic sensors such as speed sensors, electronic sensors for monitoring
ambient air quality, and various types of other electronic detectors can also be integrated
into the intelligent highway traffic monitoring system prototype.
Basically, the model of data/information flow that comes from highway traffic
management centre should be easily accessible, inexpensive and is reliable (anytime,
anywhere, and anyone). The importance of broadband communication infrastructuresdevelopment for purposes of the distribution of all types of ITS information/data and to
perform various functions whatsoever along the highway to users has stimulated many
researchers to work on the very challenging area. Varieties innovative ITS R&D projects
are required to be consistently studied and implemented in accordance with theenvironmental characteristics of highway in urban areas. The undergoing studies should
also be adjusted with the behaviour of people who use highway (user behaviour). The
prototype of the designed broadband transceiver units that are placed in locations thathave been determined will then be connected via the existing optical fiber network
connection available in the Metropolitan Makassar go to a main collection centre,
processor and distributor of web‐based server. In the study, the environmental datatransmission has also utilised the broad bandwidth of wireless link connection,
sequentially, to guarantee the more reliable surveillance system. Through the optimal
utilization of the communications network capability that has a wide frequency
operation band would allow all types of flow data/information can be exchanged anddistributed to the entire highway customer with the high level of satisfaction, comfort,
speed of data update and quick access. This condition will ensure the better highway
transportation network management and security. By utilizing the rapid ICT technology
development, the modes of communication that can be researched and developed for the2

sharing and distribution of ITS data/information that is varied in terms of both the typeand capacity can be performed in various applications platforms such as radio/TV
broadcasting, internet media, mobile communication media, and many others.

2. Broadband Environmental Surveillance Network
The designed environmental surveillance system to real‐timely monitoring various
numbers of road traffic and its environment situation is illustrated in Figure 1. The
constructed surveillance system consists of several electronic instrumentations including
environmental sensors array module; switching stuff; transmitter unit; hybrid datatransmission media (i.e. optical fiber and wireless links); receiver unit; the display
monitoring, and recording unit.

Optical Fiber

(a)

(b)

(c)

Figure 1: A typical Broadband Environmental Surveillance Network exploiting the powerful combination of
hybrid transmission media, i.e. optical fiber cable and wireless communication link.

Various numbers of ITS data such as actual traffic intensity along the highway, thequality of exhaust emissions from vehicles (e.g. level of CO emissions), the speed of thevehicle, the potential for congestion on the highway captured through real‐ time CCTV
network, and many more can be collected and transmitted quickly over existing opticalfiber link network and received them with low of bit error rate at the central monitoringand processing station. A new strategy is offered here in the form of the application of
artificial intelligence to the design of the traffic data processing systems as well as therecorded data of all the events can be monitored and the data stored on the monitoring
unit center‐based web server that can be accessed on‐line and up‐to‐date. Results of themonitoring of large varieties of traffic highway parameter obtained through sensors and
CCTV transducer (such as density/traffic volume of vehicles on the highway; the vehicle
speed; and air pollution) are firstly processed on the motherboard to be latertransmitted over hybrid telecommunications transmission networks, i.e. optical fiber3

link and wireless link. The constructed broadband transceiver system is relatively
inexpensive, superior performance (powerful) and reliable. The parameters of themonitoring results will be received on a transceiver unit in the data processing centre
and displayed on the display monitor as a component of the system output. This process
is clearly illustrated on Figure 1 (a.). Figure 1 (b) describes the fabricated prototype ofthe environmental sensor array module which is built‐up from various electronic sensors
such as Sensor DHT11, Sensor MQ7, and camera VC0706. The current visual display of all
the received environmental parameters was designed using visual basic software and it
is configured in such away to allow the graphical visualizations of the environmental
parameter to be obtained. To guarantee the accurate sensing and data collection of the
CO sensor (sensor MQ7), the carbon monoxide meter of the Extech type was used for thedata comparison during the system performance testing.

Measured

Simulateda)Frequency (MHz)(aFrequency (MHz)b)

Figure 2: The antenna system reflection coefficients deployed at one end transceiver of Broadband
Environmental Surveillance.

3. Performance Testing and Evaluation
In order to evaluate the electrical properties of the constructed environmental
surveillance system, several experimental investigations and testing were performed.
These include the testing of designed antenna system, electronic instrumentation
circuits, the data transmission quality through the hybrid transmission media (i.e. opticalfiber cable and wireless link) and many others. Figure 2 shows antenna system
performance, both for the simulated model and the fabricated one. The antenna is amonopole wire antenna intended to apply in the frequency operation band lied fromabout 90 MHz up to 350 MHz. It is clearly seen that the constructed antenna allow thewide bandwidth for the data transmission from the sensor array module and transmitterto the central monitoring unit. The available impedance bandwidth of approximately
larger than 350 MHz is possible to be achieved in the practical situation, even though thenumerical computation shown a relatively big different performance in terms of the
impedance bandwidth provided (approximately 40 MHz).
The experimental testing to evaluate the data transmission quality through thehybrid transmission media (i.e. optical fiber cable and wireless link) and to study theelectrical properties of the constructed environmental surveillance system have been
performed for several times. However, in this conference manuscript the results of theexperiment to assess the quality of ITS environmental data transmission over thewireless link will be dominantly discussed and only little part presenting the whole4

testing transmission over the optical fiber cable. Table 1tabulates several testing results
to characterize the performance of ITS data/information transmission via 96.4 MHz
frequency band communication link. The experiment was set‐up in such a way to studyof how the actual sensed data collected through the environmental sensors array module
could be transmitted from various distances (or different locations) along the highway
network.
Table I Transmitting data using FM Creator 96.4 MHz transmitter on the situation no
vehicles in the nearby location
Distance
(km)

1
2
3

4
5

Time

Transmitted Data

Received Data

K

K

(%RH)
02:00
02:02
02:04
02:35
02:37
02:39
02:45
02:47
02:49
02:56
02:58
03:00
03:08
03:10
03:12

64
64
64
64
64
64
64
64
64
63
63
63
63
63
63

T (oC)
28
28
28
27
28
28
28
28
28
28
29
29
28
28
28

CO

(PPM) (%RH)
26
26
26
26
26
26
26
26
26
26
26
26
26
26
26

64
64
64
64
64
64
64
64
64
63
63
63
63
63
63

T(oC)
28
28
28
27
27
28
28
28
28
28
28
28
28
28
28

CO
(PPM)
26
26
26
26
26
26
26
26
26
26
26
26
26
26
26

Receiver
Vout (V)
1.940
1.940
1.940
1.90
1.90
1.90
1.87
1.87
1.87
1.910
1.910
1.910
1.928
1.928
1.928

Air Quality
Category
Good
Good
Good
Good
Good
Good
Good
Good
Good
Good
Good
Good
Good
Good
Good

It is obviously known based on the above table that the whole constructedenvironmental surveillance system has performed in the very accurate manner during
the mobile testing measured from several locations. The communication range
between the local sensor array transceiver module and the centre monitoring andprocessing unit located at Universitas Hasanuddin campus, Tamalanrea Makassar is no
more than 5 Km. Outside the area the communication quality was very poor and in the
crucial condition it was disconnected. The measured ITS data described in Table I
could be further processed for the purpose of analytical assessment regarding the datatransmission characteristic in several parts of the entire ITS network and the results areplotted in Figures 3, 4, 5, 6 and 7.

5

Distance 1 Km
Transmitted data Received data

Figure 3. Graphical properties of Transmitter 96.4 MHz positioned in the distance 1 km where no vehicles
presented around the area of testing (a) Time 02:00, (b) Time 02:02, (c) Time 02:04

Distance 2 Km
Transmitted data Received data

Figure 4. Graphical properties of Transmitter 96.4 MHz positioned in the distance 2 km where no vehicles
presented around the area of testing (a) Time 02:35, (b) Time 02:37, (c) Time 02:39

Distance 3 Km
Transmitted data Received data

Figure 5. Graphical properties of Transmitter 96.4 MHz positioned in the distance 3 km where no vehicles
presented around the area of testing, (a) Time 02:45, (b) Time 02:47, (c) Time 02:49

6

Distance 4 Km
Transmitted data Received data

Figure 6. Graphical properties of Transmitter 96.4 MHz positioned in the distance 4 km where no vehicles
presented around the area of testing (a)Time 02:56, (b) Time 02:58, (c) Time 03:00

Distance 5 Km
Transmitted data Received data

Figure 7 Graphical properties of Transmitter 96.4 MHz positioned in the distance 5 km where no vehicles
presented around the area of testing, (a) Time 03:08, (b) Time 03:10, (c) Time 03:12

The whole experimental testing results described above confirm the very
good operation of the designed ITS surveillance system. There were nodifferences between the transmitted data and the received data for the distancemeasurement between the remote sensors array module and the main central
processing and monitoring set‐up 1 Km, 3 Km, and 5 Km, for the duration of 2
minutes of transmission. Meanwhile in the distance of 2 Km and 4 Km,
respectively, there were slightly differences results during the experiments
especially on transmitting the temperature value 280 C and the receiving value
270 C and on transmitting the temperature value 290 C and the receiving value 280
C. The differences are highly possible caused by the existing air noise, circuit
noise or perhaps due to the obstacle along the road.

7

4. Conclusion
The current designed broadband environmental surveillance system was configured toallow for the transmission of various environmental parameters representing the actual
conditions of a particular intelligent transportation system developed in Makassar city. A
constructed environmental sensors array incorporated with a transmitter module wasused to collect a number of parameters including the visual situation of ITS (in form of
picture streaming or short video file), humidity, temperature and CO level. The broad
bandwidth could be provided during the transmission of those ITS data from the remotelocation are possibly performed using the hybrid transmission technique, i.e. wirelesstransmission and optical fiber transmission modes. The transmission tasks were
executed sequentially and continuously using the two modes of transmission media inorder the reliable transmission of various data from the remote station to the central
station. Many more advanced investigations must be performed later including thetesting through the optical fiber network and the development of mobile computing
application to allow users for the easy real‐time access to the ITS surveillance network
via a mobile phone or any other smart phones.

Acknowledgements
The authors would like to deliver our sincere thanks to any people who has thegreat life spirit to support and to help to implement any pieces of R&D planning program
related to the development of environmental surveillance modules applicable for ITS(Intelligent Transportation System) management. The authors would also like to extend
our sincere thanks to the directorate general of higher education (DIKTI), ministry of
research, technology and higher education (KEMENRISTEKDIKTI) for the valuable
financial support in terms of R&D grants (from 2015 to 2016) to allow more advanced
innovations and a number of new findings are obtained.

References
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networks supporting class‐based traffic,” IEEE/OSA Journal of Optical Communications andNetworking, vol. 2, no. 11, pp. 915–927, 2011.
Dimitrakopoulos G., and Demstichas P.,”Intelligent Transportation Systems, “IEEE Magazine on
Vehicular Technology, Vol.5, Issue 1, Maret 2010, pp.77‐84.
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Systems,” The Structure and Operation of IEEE Intelligent Transportation Systems Society, ” IEEE
Transaction Journal on Intelligent Transportation System, Vol.6, Issue 3, 2005, pp.261‐264.
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assignment for multifiber WDM networks,” IEEE Journal of Selected Areas in Communications, vol.
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Downloading based on Wavelength Availability in λ‐grid Networks,” Journal of Communications,
Vol 5, No 9 (2010), 692‐702, Oct 2010.

8S.C.K. Lye, Z.W. Siew, S. Eng Tan, C.H. Wong, and K.T.K. Wong, ”A Wireless Network with Adaptive
Modulation and Network Coding in Intelligent Transportation System,” The sixth UKSim/AMSS
European Symposium on Computer Modeling and Simulation (EMS), 2012, pp.412‐417.
Xinping Yan, Hui Zhang dan Chaozhong Wu, ”Research and Development of Intelligent
Transportation System,” The 11th International Symposium on Distributed Computing andApplications to Bussiness, Engineering and Science (DCABES) 2012, pp.321‐327.
Y. Zhao, “Mobile Phone Location Determination and Its Impact on Intelligent Transportation
Systems, “ IEEE Transactions on Intelligent Transportation Systems,” Vol.1, No.1, March 2000,
pp.55‐63
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for Wavelength‐Routed Optical WDM Networks," Optical Networks Magazine Vol.1 No.1 (2008)
pp. 47‐60.

9FSO Propagation Noise Suppression by Applying Single‐ModeFiber Optic at The Receiving Lens Focal Point
Purnomo Sidi Priambodo 1) and Ucuk Darusalam 2)
1) Department of Electrical Engineering, Universitas Indonesia, Depok, 16424, Indonesia2) Department of Informatics Engineering, Faculty of ICT, Universitas Nasional, Jakarta, 12520, Indonesia

p.s.priambodo@ieee.org

Abstract
Free‐space optical communications (FSOC) is promising technology for the future point‐
to‐point terrestrial communication due to its capability to handle a larger bandwidth than
microwave, compact, low powerusage and easy to be deployed. Even, FSOC is projected
for deep‐space communication interplanetary. Even though FSOC has major advantages,
however, the atmospheric absorption and turbulenceon the optical propagation cause
turbulence‐induced noise and fading effects at the receiver, which finally degrading the signal tonoise ratio (SNR) and increases bit error rate (BER). In order to suppress the noise and fading
effects, several techniques have been proposed. The firstand familiar technique is by utilizing
several decision and detection electronic circuit at the demodulationblock and combined byapplying several space diversity receiving lenses. This technique has been developed and available
commercially in the market. Another recent technique to suppress turbulence atmospheric noise
and fading is by applying optical filter after the receiving lens in front of the receiving detector,
instead of using electronic circuit. The optical filter used in this technique is in the form of a pinholethat has a function as a Fourier spatial low‐pass filter. The advantage of applying optical filter isable to be implemented in serial combination with the electronic filter technique. In this paper, we
propose to develop a new technique to suppress turbulence‐induced noise by applying a single‐
mode fiber optic (SMFO) instead of a pinhole at the receiver lens focal point to connect with thephotodetector. The SMFO functions as Fourier optics low‐pass filter such as the pinhole in theprevious technique. We show that the filter can improve BER performance significantly from 10‐4
down to 10‐8, even in strong noisy medium propagation.

Keywords

free‐space optical communications, optical turbulence, noise propagation, noise fading, opticalfilters, spatial Fourier transforms, single‐mode fiber optic, signal‐to‐noise ratio, bit‐error‐rate,
noise suppression

1. Introduction
FSOC had been discussed to be the future of telecommunication since the invention ofsemiconductor laser in 1962. FSOC was thought to replace the microwave technology due to its
superior on bandwidth capability compared to microwave. At the time, FSOC was very promising
to be applied in the future for deep‐space of NASA program and for terrestrial communications.
However, the invention of fiber optics (FO) in 1966 and all technologies related to FO technologies
later on caused the FSOC development died before deployed in the real applications. FO technology
is superior compared to FSOC in many aspects includes larger bandwidth, immune to propagationnoise, very longer distance of propagation and flexibility of data transmission. Even though, FO issuperior in many aspects over FSOC, however, FSOC does still have some advantages over FO in
these aspects: deep‐space or interplanetary data transmission and the flexibility deployment ofrelatively short distance point to point communicationto replace microwave systems. It is
undoubtable that FSOC is the most possible effective technology for the future interplanetary large
bandwidth communication. The flexibility and easiness deployment of FSOC such as for building10

to building communication in the city and campus and its low power and compactness are several
advantages of FSOC over FOs and microwaves.
Beside of thus advantageous points, however, FSOC technology has major drawbacks, which
are the existence of static attenuation due to absorption and light scattering by the atmosphericpropagation medium and temporal or dynamic fluctuation due to atmospheric turbulence. The
static attenuation is relatively simple to be overcome by calculating link budget, the designer isable to estimate the transmitter power required for a certain distance to have a sufficient SNR at
the receiver site. However, the temporal or dynamic intensity fluctuation due to atmosphericturbulence is more difficult to handle. The effect of this dynamic fluctuation signal at the receivercan be more damaging than thermal noise of the detector. Dynamic fluctuation can be in the formof phase and amplitude noise. Amplitude noise is easier to be solved electronically compared tophase noise. The atmospheric turbulence is caused by temporal and spatial temperature gradientin atmosphere. It produces various distributions of pockets of non‐homogeneity optical medium
as refraction zones. The turbulence creates various distributions of pockets of non‐homogeneity
optical medium. These medium pockets act as multiple lens effects. Micro‐turbulences happen
when the size of turbulences is only about a several wavelengths of the light, which cause opticalscattering, attenuation and high frequency intensity fluctuation noise at the receiver, comparable
to detector thermal noise. In this micro‐turbulence case, the optical axis path is considered remains
constant. When macro turbulence happens, it leads to deflect the optical axis from transmitter (TX)
to receiver (RX) that causing beam wandering effect. The beam wandering causes slow intensity
fluctuation at RX, which is called as turbulence‐induced fading. The overall effects limit
propagation distance and bandwidth performance of FSOC.
Turbulence‐induced noise and fading at RX has been studied extensively by many researchers.
Some techniques have been proposed to model Turbulence‐induced noise and fading. At least
there are 2 important statistical parameters related to turbulence‐induced noise and fading, i.e. (1)d0, the correlation length of random intensity fluctuation and (2) 0, the correlation time of random
intensity fluctuation. Several detection techniques have been proposed based on those twostatistical properties of turbulence‐induced noise and fading. The two are temporal or spatial‐
domain technique approaches. In spatial‐domain technique, at RX side, it is proposed the spatial‐
aperture averaging method, which is in the form of spatial diversity method that is applying both
multi TXs and multi RXs. This is called multi‐input multi‐output (MIMO) and combined with Q‐ary
pulse‐position modulation (QPPM) [13]. Several research groups have achieved in developing
FSOC for middle distance up to 1‐km with 10‐Gbps bit rate. In temporal domain techniqueapproach, RX should be designed such that RX observation interval T0 > 0, where turbulence‐induced noise can be much reduced by temporal‐averaging method at the RX. In the same way, forspatial domain technique approach, RX aperture diameter D0 > d0, such that turbulence‐induced
fading can be much reduced by spatial‐aperture averaging method at RX.
In this paper, we propose a different way to overcome the turbulence‐induced noise on
FSOC. Instead of suppressing the turbulence‐induced noise by using temporal and spatial‐domain
statistical technique approaches as explained above, we propose to use Fourier optics filter
concept. Atmospheric turbulence along the propagation medium produces a high frequency
temporal and spatial fluctuated wavefront right in front of the RX lens. The high frequency
temporal and spatial fluctuated wavefront based on Fourier optics analysis concept, consists offundamental and higher‐order spatial harmonic planar wavefronts. Higher‐order spatial harmonicplanar wavefronts means making larger angle to the optical axis such as shown in Fig.1. The
temporal noise mostly rides on the higher‐order ones. In our previous research, we use pinhole asa low pass Fourier optics filter, which is common to be used in interferometric process to suppress
the higher‐order spatial harmonics (consisting noisy signal parts) of the receiving turbulence‐induced noise. However, in this paper we proposed to use a single‐mode fiber optics (SMFO)
instead of pinhole to filter the turbulence‐induced noise. After a SMFO filter, the detector receives
a clean signal, which is the fundamental order of optical carrier modulated by the information
signal. In this paper, suppression is limited on high frequency fluctuation noise and not the fading,due to the limitation of our computation and simulation experiment.

11

2. Noise Suppression Analysis
The received wavefronts as noisy information carrier is received by the receiving lens aperture,and focused onto the detector. The ideal condition is that the receiver lens diameter D0 >> d0.
However, mostly the condition is D0< d0. The limitation of receiving aperture diameter causes RX
lens focusing system cannot perfectly average the received noisy wavefront in order to clean thenoise. At the focal point, the light beam looks like a waist. It will have many of focusing waist as theresults of the higher order spatial wavefronts caused by turbulence‐induced noise and fading as
shown in Fig.1. For a detector that has an area larger than the beam waist area and located rightbehind the focal point, then the overall received signal that consists of temporal noises and theoriginal signal will be detected by detector. This decreases SNR and increases BER.
The received noisy wavefront is constructed by superposition of fundamental clean signal andnoisy harmonic planar wavefronts, which propagate off the optical axis, as shown on Fig.1:
U  x, y    F  x , y  exp   j 2  x x   y y   d x d y

(1)Pr   | U  x, y  | dx dy(2)2

where νx and νy are the spatial frequencies in x and y directions in x‐y plane, respectively and F(νx,νy) is the amplitude of the mixing spatial frequencies and U(x,y) is the total electromagnetic fieldat point (x,y). The total received power at receiving lens is Pr and the fundamental or clean signal
power is P0. The SNR without filtering is expressed as,
P0
SNR 
(3)
Pr  P0
The receiving lens works as a spatial Fourier transformer. It transforms the temporal‐spatial
noisy input wavefronts to be spatially harmonic focal points on the focal‐point plane. On the focal
point plane of the receiving lens exists various focal points of each harmonic planar wavefronts
surrounding the center of the fundamental focal point, such as shown in Fig.1. In this filtering
process, a SM fiber optic works to block the higher‐order spatial harmonic focal points. Only
fundamental order wavefront can pass the SM fiber optic to reach the receiving detector. In thiscase, SM fiber works as a Fourier optics low‐pass spatial filter. It blocks higher‐order spatial
harmonics, which are overridden by temporal noise at focal points.

Fig.1. Single‐mode fiber optic blocks higher‐order spatial harmonic focal‐points.
SM fiber suppresses the noise and improves the receiving SNR. Only fundamental spatial orderthat brings clean information signal is expected to be detected by the receiving detector. The SNR
by using SM fiber filter will be drastically increased, even though the total receiving power
decreases. SM fiber is located behind the focal point, as shown on Fig.2. The SM fiber diameterhas to be equal or slightly larger than the beam waist, in order that the whole clean signal can bedetected, while the higher‐order spatial harmonics are blocked. The relationship between
receiving lens and beam waist radius at focal‐point is formulated in the following Eq.(4).
D0 

4
f
D

(4)

where D is the receiving wavefront diameter right in front of the receiving lens. D0 is the beam
waist diameter at focal point, f is the focal length and λ is the wavelength. In this experiment, thereceiving beam diameter is 5‐cm and focal distance is 15‐cm, then the beam waist diameter at focal
point is 3.82λ. The SM fiber core diameter sizes are from 5 to 8 µm. This size is a bit larger thanbeam waist diameter. If SMFO is located in the exact focal point, the only consideration is that the12beam waist width should be design such that a bit smaller than SMFO core diameter, to make surethat all the clean fundamental order signal captured by the SMFO. If SMFO is located before andafter focal point than the numerical aperture of SMFO should be considered. It is very
recommended that the SMFO tip should be located in the area around the focal point or extended
at least about Rayleigh range or a half of depth of focus as shown in the following Fig.2. The
Rayleigh range (z0) is expressed as,

z0 

 D02
4

(5)

Fig.2. Receiving lens and single‐mode fiber optics alignment.
To estimate the SNR gain due to SM fiber filtering effect and to simplify derivation, it needs toassume that the noise power is distributed equally from low to high spatial frequency noise. SNR
gain is defined as an SNR comparison between SM fiber core and avalanche photodiode (APD)
detector diameters. Assuming that the fundamental clean signal waist radius is R0= 0.5 D0 at focal
plane of receiving lens and R1 is SM fiber and R2 is APD radii, by recalling Eq.(3), then the SNR gain
can be formulated as:
SNRGain 

R22  R02
R12  R02

(6)

To estimate BEP, it needs to assume that the turbulence channelis a log‐normal distribution
model as a representation of weak‐turbulence inside the propagation simulator box. The spatial
spectral distribution as a result of Fourier optical transformation by the receiving lens should
represent the probability density distribution of the receiving signal. The modulation is on‐off
keying (OOK). By assuming that the noise due to turbulence is a Gaussian distribution and larger
than the receiver noise figure, then the bit‐error probability (BEP) can be derived as following.
Pr  P0N 0   N2 (7)
 R 2  R02



No or σN2 is noise intensity due to turbulence or signal covariance at the focal plane of thereceiving lens. Pr is total received power and P0 is the fundamental clean signal. R and R0 are radiiof beam waist of total signal and fundamental signal, respectively at the focal plane of thereceiving lens.
The following is BEP derivation, since the signal ‘1’ and ‘0’ are equally likely to be transmitted,
then the overall average probability of error is
3  Eb 
Pe  12 P  e | '1'  12 P  e | '0 '  Q (8)
2  2 N0 
The probability of error Pe or sometimes is called as bit error probability (BEP) is the expectation
value of bit error rate (BER). The value of Eb/No is simply corresponded with SNR. Then Eq.(8) canbe written as
3
BEP  Q  12 SNR 
(9)

2 
The BEP improvement (BEPGain) of the small radius pinhole R1in comparison to the large radius
pinhole R2 is written as:
3
BEPGain  Q  12 SNRGain 
(10)

2 

13

3. Experiment
The experiment in laboratory set‐up shown on Fig.3 is to prove noise suppression by SMFO. This
set‐up is designed for wavelength of 1550‐nm, which is the best wavelength for terrestrial FSOC
propagation. It is intended to prove the improvement of BER performance for FSOC using SMFO
filter. The propagation simulator box as shown, consists of 2 types of propagation channels, one isaffected by air turbulence due to air flow through obstacles and water vapor (as shown as upperpart). The second one is not affected by turbulence unless beam divergence less than 50 (the lowerpart). The overall dimension of the box is 4m x 1m x 0.5m. The in‐flow air has temperature of 140
C, while the hot water vapor has temperature of nearly 1000 C, sufficient to create multiple lens
scattering and absorption effects. For this experiment, we assume it is sufficiently to model a weak‐turbulence condition that fit to a log‐normal distribution.

Fig.3. Experiment set‐up for filtering turbulence‐induced noise by SMFO. The set‐up uses Erbium‐
doped fiber amplifier (EDFA) 26.0 dB gain with maximum output 23.5 dBm and JDSU is a brand of
1 Gbps full‐duplex TX‐RX and BER‐meter.

4. Discussion and Analysis
Due to limited number of fiber optic type available, we did experiment once with 9‐µm single‐
mode fiber optic core. First, we do measurement on turbulence propagation inside the propagation
simulation box, the receiving signal is focused directly on the APD detector with 1 Gbps data rate,
the measuring result is BER 10‐4. However, once we apply single‐mode fiber optic as Fourier optic
low‐pass filter, the resulting BER measurement is drastically reduced to 10‐8. It proves our
proposed hypothesis that SMFO filter will block more higher‐order spatial harmonics, which areoverridden by temporal noise. It agrees with the theoretical derivation as well.
The weakness of SM fiber optics implementation for optical noise filtering is in the condition
when beam wander occurs as the result of atmospheric turbulence. SMFO filtering system is not
immune from beam‐wander effect, the system will temporally be misalligned and produce fading
effect. In order to take the benefits of SM fiber optics advantages in suppressing high‐order spatial
noises and to avoid the weakness from beam‐wander effect, our research group, since two years
ago has developed detection system by replacing pinhole and SMFO with charge‐coupled device(CCD) array detector and controlled by low‐pass Fourier optics filter signal processing algorithm.

5. Conclusion
A new idea of propagation noise suppression in FSOC, by using a single‐mode fiber optic as a
Fourier optics low‐pass filter has been presented. By simulation, it has been proven to improve
BER performance in medium turbulence‐induced fading propagation from 10‐7 down to 10‐11 (upto 10+4 BER improvement), even more. Furthermore, this proposed filtering method can also be
implemented for applications with longer wavelength such as in RF technologies to suppress the
propagation noise due to turbulence atmosphere.

14

ACKNOWLEDGEMENT
This work is funded by research grant BOPTN Universitas Indonesia 2014 and PUPT Universitas
Indonesia 2015. The authors declare that there is no conflict of interests regarding to the
publication of this manuscript and this manuscript is original work.

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15

Design and Analysis of Mesh Network for Ship‐to‐Ship Maritime
Communication using IEEE 802.11 on Maritime Environment of
Tanjung Perak – Indonesia
Ahmad Fauzi Makarima, Okkie Puspitorinib, Hani’ah Mahmudahc
abc Departement of Electrical Engineering
Electronic Engginering Polytecnic Institute of Surabaya (EEPIS)
Surabaya, Indonesia

Abstract
Maritime communication systems with terrestrial connectivity make the limitations of
the transmitter from the harbor to ships that are out of reach. Relative to the maritime
mesh network is one effort that could be used in addressing the issue. In designing themaritime mesh networks, there are several steps that need to be done is to analyze thesignal propagation characteristics above sea level in advance to determine the exponent
n factor to determine the signal‐transmission losses in the region. Based on theparameters of wave height in the territorial waters of Tanjung Perak Harbor at Surabaya
obtained value n exponnet valuable 2.5494‐ 3.3365 and transmitter coverage area of
4,65 Km. The value of coverage referenced in the design of maritime mesh network.
Where the predetermined scenario then the nodes will be interconnected if the node isat the coverage area. But for nodes that are not connected to the other node because it is
not included in the coverage, then used the Djikstra algorithm glittering of meshnetwork connectivity with the nearby track consideration.

Keywords
Maritime communications, Ship‐to‐ship, n exponent, Mesh Maritime, Djikstra Algorithm

1. Introduction
As a maritime country where most of the territories consist of seas, Indonesia
is related with the use of the seas as media of sea transportation and the usage
and the management of sea potential. Therefore, Indonesian government realizes
that the management of Indonesian seas is important, and one is issued at
Rakornas Kominfo at Novermber 20th 2014 by Dirjen SDPPI that is about the
infrastructure of maritime radio communication which is not adequate enough.
[1]. Wireless technologies are widely used for terrestrial land systems providing
speeds close to 1 Gbit/s in 4G cellular networks with users enabled with accessin the order of tens or even several hundred Mbit/s. However, in the maritime
environment, transmission speed is still in the order of several tens or several
hundreds kbit/s [2].
Due to the location of the ship at sea, this time using a cellular system or awireless point‐to‐point, where the vessel will be profitable only in certain areas,such as a busy port, because base stations typically provide sufficient coveragewith a single hop transmission. At this time it is difficult to provide
communications to ship outside of cellular coverage. Mesh network technology
can be used to overcome the nodes that are outside cellular coverage.
16

In connection with this, then not only the ports that need to be designedwith sufficient system, but on each vessel must be equipped with adequate
infrastructure and systems that each ship can get in touch with a good and fastthough outside the coverage area of the port.
At the end of this project will be devoted to building network system among
vessels that have large bandwidth that can support the implementation ofcommunication technology quickly and efficiently. A network is a mesh network
designed using the IEEE 802.11 technology. With built infrstuktur is expected tofacilitate mobile Internet users on the ship to communicate in the waters
territorial.
2. Ease of use
2.1.

Channel Model Of Maritime Path Loss
Radio wave propagation which consider sea surface factor is an important
thing for receiver. At radio wave propagation on sea surface can be found aconsideration about sea level factor. The height of sea wave is different based on
its geographic condition.
The path loss in the maritime environment increases with the sea state, and it
increases rapidly in sea state 5 and above. According to Timmins et al. [5], thepath loss in the maritime communication channel during shadowing is asfollows:
,
10
0.498
0,793
2
(1)
where f is the frequency in GHz, the observable sea height is h in meters, d
is the physical distance between the transmitter and receiver in meters andPL(do) is the path loss simulated at 1 m and the random variable, Xf, with zeromean and standard deviation, f , which is also represented as a function of wave
height:
0.157
0.405
(2)
2.2.
Maritime Broadband Wireless Mesh Network
Based on the report of ITU‐R M 2202 maritime mesh network design is looks
like the figure 1.

Figure 1 Maritime Mesh Network design ITUR‐M 2202

In the report, described the results of experiments and measurements ofmaritime communication system with scenario of shore‐to‐ship which is done inSingapore and scenarios ship‐to‐ship conducted in Norway. Report of the resultsof ITU‐R M 2202 it was concluded that An ideal broadband access for maritime
communication based on mesh networks might need spectrum bandwidth in the17order of tens of MHz. Operational frequency bands for broadband maritime meshnetworks may be designed to operate in frequency bands such as VHF, UHF or
SHF. However, it may be difficult to find sufficiently wide and dedicatedspectrum at frequencies lower than 1 GHz, which is more ideal for maritime
application. However, a maritime mesh system might not require a single
dedicated harmonized band to ensure operation, if the mesh system is frequency
agile. This could be achieved through multi‐band operation, software definedradio or cognitive radio technologies. Geo‐location information provided by GPS
could also be used with the mesh radio for selection of suitable radio frequencies
within a region or an area. Although this document describes the tests carriedout at 2.3 GHz and 5.8 GHz, identification of suitable bands for the maritime
mesh system requires further study [2]3. Metodelogy
Characteristic of signal propagation over the sea was different than terrestrial.
On the sea area one of the signals reflected on the water, where the water was
moving and has a changeable height. It can be affect the rate of propagation. In
this research it using several steps in the methodology. First: Analyzed of the
propagation area, Second: finding the theorical and special formula of signal
propagation on sea surfaces.
Where the analysis of the propagation characteristics of the sea has aparameter losses which depend n exponent parameter on each region. By using
the formula n exponent factors ocean waves are in the testing area, namely
Tanjung Perak Harbor at until Karang Jamuang island . So the path loss value isdetermined based on the region. From the path loss value is then used as one ofparameter in determining the coverage area of the transmitter. Where thecoverage area of this transmitter is used a reference in designing the maritime
mesh network.
3.1.
Analysis of characteristics propagation over the sea
1) Determine of Path Loss Exponnet
On the path loss of sea waves one input parameter is the height of the wave,
where the wave height is entered based on data from BMKG Surabaya on theworking area of Tanjung Perak Surabaya into Karang Jamuang Island. In the
study [5] explained that the wave height factor has affected of maritime
communication system, from the research are translated into the value of pathloss as in figure 2.

Figure 2 Analysis Of Equation

From the analysis of the equation in figure 2 the value of path loss exponent
n is equal to:18

0.498

0.793

2

(3)

Based on the data obtained from BMKG then the value of the wave height (h)averaged per month and put into the general equation of the path loss exponent
to get the value of path loss overall in table 1.
Table 1. n exponent each month
Month
Averageofh (meter)
September 2014
0.8733October 2014
0.41
November 2014
0.21333
December 2014
0.5516
January 2015
1.206
Februari 2015
0.886
March 2015
0.506
April 2015
0.333
May 2015
0.661
June 2015
0.697
July 2015
0.9
August 2015
0.923
September 2015
0.8097,(dBm)
91.941789.6959
88.7426
90.282393.5543
92.0032
90.161389.322790.9126
91.0871
92.071192.1826
91.6334

Path loss
exponent (3.07272.70532.54942.8176
3.33653.08282.78142.64432.90442.93293.09393.1121
3.0223The value of path loss exponent is 2.5494‐ 3.3365 monthly basis or on
average produces path loss exponent value equal to 2.4668. The table of resultsshows that the path loss is the smallest value of 2.5494 which occurred in
November with the average wave height is 0.21333 meters. and the highest valueof path loss is 3.3365 which occurred in January with a wave height reaches
1,206 meters. So it can be analyzed that affect wave height of signal propagation
system, where the higher the waves on the maritime environment, the value ofthe resulting path loss even greater.
2) Determine of coverage area
Coverage is the range of transmission system where the determiner of thecoverage value based on the meeting point of transmission level and thesensitivity of the device. Calculation of received power level is determined byusing the device specifications wifi outdor which has the specs as follows:
Table 2. Specifications od device (system parameters)
Frequency:
5.8 GHz
Trasmitter power:
23 dBmAntenna gain of Tx:
13 dBi
Antenna gain of Rx:
13 dBi
Sensitifity power of Rx:‐94 dBm

The value of path loss and received power level was tested by using a distancefunction to find the value in the point of intersection between the received power
level at a distance function with constant sensitivity value is ‐94 dBm. Then thesevalues are used as a benchmark in determining the coverage area of atransmitter. In the study litelature method which uses high parameter wave has
produced a value n of 3.3365. the value is then incorporated into the generalformula path loss exponent so that the function of distance path loss value
generated is shown in Figure 3 :
a

b

19

Grafik Path Loss pada fungsi Jarak

Grafik Level daya Terima pada fungsi Jarak

160

-40

150

-50

140

-60
Daya Terima (dBm)

Path Loss (dB)path loss

130

120

-70

-80

110

-90

100

-100

90

0

1000

2000

3000
4000
jarak (meter)

5000

6000

7000

Level Daya Terima
Sensitifitas Perangkat-110

X: 4650
Y: -94

0

1000

2000

3000
4000
jarak (meter)

5000

6000

7000

Figure 3. (a) Path Loss chart on n=3.3365; (b) Coverage chart on n=3.3365

Figure 3 (b) is a graph of received power level when the value of n is 3.3365
based on wave height factor. That then the picture has seemed to point to thevalue of 4650 which is the distance at which the value of received power levelintersected with values of sensitivity, so the value of 4650 meter or 4.65 Km isthe value of the coverage area of the transmitter.
3.2.

Maritime mesh network design
Having in mind the characteristics of the propagation of the maritime
environment, so that the coverage be obtained from either the transmit power of
each transmitter transmitter is in port or transmitter on board. The design of thesystem of maritime mesh network created the diagram block. Its includes several
stages there are:Analysis of Tanjung
Perak Harbor on
Surabaya

Determination of
Shipping Channel

Dijkstra algorithm testing to find theshortest path

Ship scenarios
distributed

Mesh network
designFigure 4 Block Diagram Of Mesh Networks Maritime Design

1) Analysis of Tanjung Perak Harbor on Surabaya
To analyze maritime area in Tanjung Perak to Karang Jamuang Island, twoparameters used which are average wind rate and average wind height at thearea which is obtained from BMKG Surabaya. The average wind height in thatarea is about 0.2‐1.3 m, while the average wind rate is about 2‐7 Knots. With theresult of both the data, can be determined that the maritime of Tanjung Perakharbour to Karang Jamuang included in sea state 1 and state 2.
2) Ship scenarios distributed
Made of ship scenario distributed from Surabaya Tanjung Perak Surabaya
into Karang Jamuang Island. Ship node scenario is based on ship route from
Tanjung Perak Surabaya to Karang Jamuang Island roomates is legalized byDistrict Navigation Office Class 1 Surabaya, West Java‐ Indonesia.

20

Figure 5 Scenarios For Testing Network Node

4. Analysis system
4.1.

Maritime mesh network design
The mesh network is a network topology that form a link between devices
where each device is connected directly to others devices in the network. In amesh network design first thing to know is the value of the coverage of thetransmitter. It is used to determine which nodes are located within the coverage
which is then connected to the transmitter node.
By using the value of the coverage that is predetermined based on the realconditions in the testing area, the next step is to determine the value of the
distance to each node that has been scripted by the permission of the district
office first class navigation Surabaya. By using equation (4) between node
distance value can be determined in formula 4.
cos

cos

2
where :
d
r
φ1
φ2
1
2

(4)

= the distance between the two point coordinates= the radius of the earth (6371 km)= coordinate of latitude 1= coordinate of latitude 2= coordinate of longitude 1= coordinate of blongitude 2

Each node in scenarios calculated using equation (4) so as to produce a list oftables containing the value distance between nodes.
Table 3. Distance between the nodes
X1

X7

X18

X19

Y4

Y7

Y9

X1

0

2.962

7.198

7.908

3.116

5.198

6.631

X7

2.962

0

4.552

5.406

1.379

2.800

4.221

X1

X7

X18

X19

Y4

Y7

Y9

X18

7.198

4.552

0

0.992

4.104

2.045

0.962

X19

7.908

5.406

0.992

0

4.791

2.713

1.285

Y4

3.116

1.379

4.104

4.791

0

2.083

3.515

Y7

5.198

2.800

2.045

2.713

2.083

0

1.454

Y9

6.631

4.221

0.962

1.285

3.515

1.454
0
*Value on kilometer

In table 3 is a value of the distance between nodes to all nodes based
scenarios. By using one of the parameters of coverage is the coverage
21

measurement equal to 4.78 Km, the values in Table 3 are given marks in red are
the nodes arriving at the transmitter coverage.
Then to design the mesh network nodes red marked all its value is replacedwith a value of 0, while the node that is not marked with red all grades replacedwith a value of 1. Where the purpose of giving a value of 0 is not connected node,
while the node value of 1 is mutual connected.
Table 4. Mesh network connectivity table
Node

X1

X7

X18

X19

Y4

Y7

Y9

X1

1

1

0

0

1

0

0

X7

1

1

1

0

1

1

1

X18

0

1

1

1

1

1

1

X19

0

0

1

1

0

1

1

Y4

1

1

1

0

1

1

1

Y7

0

1

1

1

1

1

1

Y9

0

1

1

1

1

1

1

Where the nodes are interconnected by Table 4 is a table of the mesh network
connectivity. Node node X1 is only connected to X7 and Y4, but the X7 nodeconnected to all nodes except the node Y4. This happens because the node X7 arealmost in the center of the entire node.

Figure 6 Mesh Network

4.2.
Testing of djikstra algorithm
The mesh network is a network topology that form a link between devices
where each device is connected directly to others devices in the network. In amesh network design first thing to know is the value of the coverage of thetransmitter. It is used to determine which nodes are located within the coverage
which is then connected to the transmitter node
Link state routing protocol uses the shortest path problem (shortest path) to
determine the best path from sender to destination. The problem is one of
optimization problems and graphs used in the search of the shortest path is aweighted graph. To solve these problems the algorithm can be used dijkstra.
Tables with red color indicates that the node outside of coverage, so it can beconverted into infinity symbol (∞) and become the new table
Table 5. Distance value between node
Node

X1

X7

X18

X19

Y4

Y7

Y9

22

X1

0

2.9627∞∞3.1168∞∞X7

2.962704.5524∞

1.37972.80024.2219X18∞

4.552400.9925

4.10492.0451

0.9626X19∞∞

0.99250∞2.71371.2858Y4

3.11681.37974.1049∞02.08363.5159Y7∞

2.80022.04512.71372.083601.4549Y9∞4.22190.96261.28583.51591.45490*Value on kilometer

Then by using dijkstra algorithm, can be used with the following steps :Table 6. Djikstra algorithm test table
Output

Input
Node
Destination

Route

‐

‐

X1

X1

X7

X1,X7

0

0

0

0

0

0

0

0

0

0

∞

∞

5.7629(X1,
X7,Y7)

7.1846(X1,X7,Y9)

3.1168(X1,Y4)

5.7629(X1,
X7,Y7)

7.1846(X1,X7,Y9)

3.1168(X1,Y4)

5.7629(X1,
X7,Y7)

7.1846(X1,X7,Y9)

3.1168(X1,Y4)

4.4965(X1,
Y4,Y7)

6.6327(X1,Y4,Y9)

3.1168(X1,Y4)

4.4965(X1,
Y4,Y7)

6.6327(X1,Y4,Y9)

3.1168(X1,Y4)

4.4965(X1,
Y4,Y7)

6.6327(X1,Y4
,Y9)

∞

0

1

∞

3.1168(X1,Y4)

7.5194(X
1,X7,X18)

0

1

∞

∞

2.967
(X1,X7)

X
1

0

∞

∞

Y
9

0

∞

∞

Y
7

0

∞

3.1168(X
1,Y4)

∞

2.967
(X1,X7)

Y
4

0

∞

∞

X
1
9

0

Y9

X19

X
1
8

0

Y7

X18

X
7

1

Y4

X7

X
1

Y7

X1,X7,
Y7

1

1

0

0

0

1

0

∞

2.967
(X1,X7)7.5194(X
1,X7,X18)

X18

X1,X7,
X18

1

1

1

0

0

1

0

∞

2.967
(X1,X7)7.5151(X1,X7,X18)

Y4

X1,Y4

1

1

1

0

1

1

0

∞

2.967
(X1,X7)7.2217(X
1,Y4,X18)

Y9

X1,Y4,
Y9

1

1

1

0

1

1

1

∞

2.967
(X1,X7)7.2217(X
1,Y4,X18)

8.4766(X
1,X7,Y7,X19)
8.4766(X
1,X7,Y7,X19)
8.4766(X
1,X7,Y7,X19)
8.4766(X
1,X7,Y7,
X19)

X19

X1,Y4,
X19

∞

2.967
(X1,X7)7.2217(X
1,Y4,X18)

8.4766(X
1,X7,Y7,
X19)

1

1

1

0

1

1

1

From table Djikstra algorithm testing for connectivity to the mesh network,
can be tested when the node X1 that want to communicate with nodes Y7 thenearest path based algorithm Djikstra is through node X1 Y4 Y7 with thetotal distance is 4.4965 Km. and if the node X1 want to communicate with nodes
on meal x19 based algorithm Djikstra nearest route that must be passed ispassed X1 X7 Y7 x19 node with a total distance is 8.4766 Km. So the nodes
X1, X7, X18, x19, Y4, Y7 and Y9 can communicate more efficiently with shorter
distance.
5. Conclusions
In designing the mesh network maritime There are several steps that need to
be done is to analyze the characteristics of signal propagation above sea level
beforehand, it aims to determine the losses in the transmission of signals above
sea level, losses, it makes one parameter n exponet is worth 2.5494 ‐ 3.3365
where the value is only valid on the territorial waters of a Tanjung Peraksurabaya into Karang Jamuang Island area, because it uses high parameter waves
in the region. Then the n exponent is one of the parameters used in calculating
23

the value of path loss based on factors territory. And then the path loss value
obtained is used to calculate the value of received power level at each distance.
So we get the value of the coverage area of 4.65 Km. The value of coveragereferenced in the design of maritime mesh network. Where the scenarios thathave been choosing then the nodes will be interconnected if the node in the
coverage area. But for nodes that are not connected to the other node because it
is not included in the coverage, then used the algorithm determines Djikstra
glittering mesh network connectivity with the nearby track consideration.
example in the scenario node node X1 want to deal with Y9, the route chosen by
the algorithm Djikstra is passed node X1 Y Y9 with the total distance is 6,631
Kilometer.
Acknowledgements
This work was supported in The authors would like to thank their
Telecommunication members in Electronic Engginering Polytecnic Institute of Surabaya(EEPIS) for producing some of the results presented in the article.

References

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ITU‐R M.2202. 2010. Maritime Broadband Wireless Mesh Networks. https://www.itu.int. Accesedon 15th July 2015.
ITU, “Attenuation by atmospheric gases,” ITU Recommendation P.676‐10, ITU, Geneva,
Switzerland, 2013.
J. D. Parsons, The Mobile Radio Propagation Channel, Wiley, New York, NY, USA, 2nd edition, 2000.
Timmins, I.J.; O’Young, S. Marine communication channel codeling using the Finite‐Difference time
domain method. IEEE Trans. Veh. Technol. 2009, 58, 2626–2637.
Lee. Y,H and Meng. Y,H. 2015. Key Considerations in the Modeling of Tropical Maritime Microwave
Attenuations (Journal Internasional). Singapore: Nanyang Technological Univesity.
Lee. Y.H. dkk. 2014. Near Sea‐Surface Mobile Radiowave Propagation at 5 GHz: Measurements an
Modeling. Singapore: Nanyang Technological University.
Bai. Y, dkk. 2012. Over‐the‐Sea Radio Propagation and Integrated Wireless Networking for Ocean
Fishery Vessels, pp 180‐190. China: Hainan University.
Capkun, S. dkk. 2001. GPS‐free Positioning in Mobile ad Hoc Networks. Swiss: Institute for Computer
Communication and Applications.

24

Parallel Processing to Improve Performance of e‐Learning
Server Used Message Passing Interface (MPI)
Case Study at SMA Negeri 1 Pekanbaru
Abdul Syukura* and Evizal Abdul Kadirba,bTeknik Informatika, Fakultas Teknik, Universitas Islam Riau
Jl. Kaharuddin Nasution, Marpoyan, Pekanbaru, Riau, Indonesia 28284

Abstract
Along with the development progress of science, the number of computer resource
demand is also increasing. Some fields that require high‐end computing is numericalsimulation, the problems of science, mathematics and engineering. Thus thecomputational problem is not a problem with the presence of this cluster that offers
services to perform computational processes that exceed the speed of the server
computer that stand alone. Cluster is a collection of stand‐alone computers that areconnected to one another in a computer network used to perform specific computing
process in parallel. Cluster basically using the network, but that is characteristic in
particular is how this configuration is used to solve the problem. The problem here is
how to increase or to balance server workloads e‐learning (web server) and themechanism Message Passing Interface (MPI).

Keywords
Cluster; Server e-Learning; Stand Alone; Parallel Processing; MPI

1. Introduction
Currently the development of computer technology has been growing rapidly, oneof which is a networking technology, and one of the development of network technology
is Parallel Processing Computing. Parallel processing is the process of computing workby using a programming language that run in parallel at the same time. In general,
parallel computing is necessary to improve the computing speed when compared to theuse of computing on a single computer.
Cluster (parallel processing) constructed a dedicated cluster specifically for high‐performance computing or High Performance Computing (HPC) and server performancebalancing e‐learning or Load Balancing Cluster (LBC). To build a cluster (parallel
processing) that requires at least two computers connected to a private network. The
operating system is selected to create a cluster (parallel processing) is the Linux
operating system. Linux is chosen because it is considered as an operating system that is
easily configured to meet the infrastructure of a cluster (parallel processing) and open
source. Linux cluster must have a mechanism parallel processing to run applications
that can be run in parallel. Parallel processing mechanisms used are Message Passing
Interface (MPI). Message Passing Interface (MPI) is a programming interface that is used
to distribute computing to the vertices of the other in a cluster (parallel processing).
SMA Negeri 1 Pekanbaru is one of 132 high schools in Indonesia Patronage
Ministry Directorate of high school to become a school Implementing Model SKM‐PBKL‐* Corresponding author. Tel.: +0‐000‐000‐0000 ; fax: +0‐000‐000‐0000 .

E‐mail address: abdulsyukur@eng.uir.ac.id

25

PSB where the school‐based learning should apply Information and Communication
Technology (ICT) in particular e‐learning. With the research on parallel processing andcluster computers, is expected to provide solutions to the problems of computing to
improve server performance e‐learning SMA Negeri 1 Pekanbaru.

2. Support Theoretical
2.1. Taxonomy Flynn for Computer Architecture
Taxonomy is the most popular computer architecture defined by Michael J. Flynn
in 1966, Flynn classification scheme based on the flow of information to the processor.
Two streams of information flowing on the processor are instruction and data. The
instruction stream is defined as a sequence of instructions processed by the processing
unit. The data stream is defined as traffic data exchange between memory andprocessing unit. According to the classification Flynn, the flow of instructions and data
flow can be either singular or plural. Computer architecture according to Flynn can beclassified as follows:a) SISD: Single Instruction Single Datab) MISD: Multiple Instruction Single Datac) SIMD: Single Instruction Multiple Datad) MIMD: Multiple Instruction Multiple Data
2.2. Computer Cluster
Cluster is a set of computers connected and work together as an integrated
computer resources to accomplish a goal. A computer cluster consists of at least
Message Passing Interface (MPI) and a regulator workload (Job Scheduler). Message
Passing Interface (MPI) task for sending data between computers in a parallel system(usually referred to as nodes or host). Job scheduler such as the name would imply duty
to receive tasks from the user and to schedule the job on multiple nodes in a parallelsystem as needed.

Figure 1. Computer cluster layer.

A system need to build a cluster of four components, namely the two componentsof hardware and two software components. The first hardware component is a node orcomputing engines, and the second is a network of interconnected, whereas the first
software component is software that can be used by users to develop parallel26

applications and the second is the software used to monitor and manage applications
running in the cluster.
2.3. System Cluster
Clustering in computer science is a combination of computer resources connectedto each other and work together at the same time to perform a task or provide a service.
Personal Computer (PC) cluster is a computer system that consists of multiple PC(Personal Computer) which is connectable to a network to perform a task or perform
computational work together.
The fundamental mode of the cluster itself is divided into four types, namely:a) High Performance Computing (HPC) is a type of cluster with high performanceachieved with the distribution of tasks or the loads into a set of server computers.
High Performance Computing (HPC) is a set of servers that work together at the sametime to do something specific task, usually in the form of calculation tasks suchweighty, such as simulating the earth, render animated films, and others.
b) Load Balancing Cluster (LBC) is a concept for load balancing or workload to multiple
server computers, for example divide the workload web server and database server.
c) High Availability Cluster (HAC) is a type of computer cluster if a server fails serves aparticular service, and then the task of the server is automatically thrown to the otherserver.
d) Grid Computing (GC) grid computing technology is a way of merging the resources
owned many computers connected in a network so as to form a unified computer
system with large computational resources.

3. Research Methodology
In the methodology of this study it can be concluded that the problems faced is theuse of server resources that are not optimal. The methodology can be used to increase aserver is to create a Cluster Load Balancing (LBC). With the Load Balancing Cluster(LBC) is expected to address the issue of resource dependency and can improve
performance or balance the workload on the server e‐learning SMA Negeri 1 Pekanbaru.
a) Preliminary Study
The initial phase will be done to complete this study is a preliminary study, which is
studying and researching the issues to be analyzed. The scope of the issues examinedor analyzed should be determined beforehand, because without specifying anddefining the boundaries of the problem to be studied, then there is never a solution tothese problems.
b) Literature
In pursuit of research that has been set, it is necessary to learn some of the literaturethat will be used in this study. Then studied literature were selected for the literature
can be determined which will be used in research. Through the study of literature, we
can learn the theories with the use of technology parallel processing that can beapplied to improve the performance of server e‐learning. Its source may include
books, national and international journals, and those associated with parallel
processing technology and utilization.

c) Data Collection
To obtain the desired data, the method used in this research is the study of literatureor bibliography. Data collected through the study of literature and collect referencesthat had to do with the completion of this study as support research to be conducted.
27d) Analysis and System Design
The results in the study of literature, and then performed the analysis phase todetermine the need to build a parallel processing both in terms of topology and also
the necessary infrastructure. The initial phase will be done is to establish and provide
for anything just to make a parallel processing
As for the hardware (hardware) required is three units of computer servers using
the Linux operating system Rocks 6.0 (Mamba) and application Message Passing
Interface (MPI) as a mechanism that can perform parallel processing to improve
performance or balancing the workload of the server computer and use apps ganglia formonitoring processes and computational burden both on each machine computationand computational load in a cluster or all nodes.
a) Implementation
The implementation phase is the last stage of research. This stage prefers the
durability and usability of parallel processing in particular to improve performanceor balancing the workload of the server computer. At this stage there is a possibility
for further development.
b) Results
The results obtained can form an implementation of parallel processing for high‐performance computing or High Performance Computing (HPC) and server
performance balancing or Load Balancing Cluster (LBC) to be applied to the world of
education, government agencies, and companies.

4. Design and Analysis
This section discusses the analysis and design cluster systems that will be used asa parallel processing infrastructure. Clusters are made using three computers with acomputer is used as a head node (Front end) and the two others are used as a computer
node. Each node uses the Linux operating system Rocks 6.0 (Mamba).
a) Analysis System
For phase analysis of the problems facing our prior audit the network topologythat applied previously, it is to know and help us in designing the network topology
using computer cluster (parallel processing) that can later be applied to improve or tobalance server performance in e‐learning. The results of observations conducted in thefield as shows in figure 2, the network topology in SMA Negeri 1 Pekanbaru. Based on
the scenario of figure 2 can be explained that every computer user either teacher or
student environment of SMA Negeri 1 Pekanbaru who wants to access the e‐learning
intranet either using Personal Computer (PC) of the labor computer is connected to theswitch via a cable or using a laptop connected in Wireless Fidelity (Wi‐Fi) using theAccess Point (AP) which is attached evenly school environment. Based on figure 2,
shows that the computer servers of e‐learning in SMA Negeri 1 Pekanbaru that exist
today still use the stand‐alone server. If at the same time the teacher / student actively
accessing e‐learning which numbered about 900 people then it will slow down theperformance of the e‐learning server because the workload is too heavy.

28

Figure 2. Network topology at SMA Negeri 1 Pekanbaru before used Parallel Processing.

b) Analysis of Cluster System Requirements
Cluster built in this study is a dedicated cluster for parallel computing. Clusters arebuilt is to homogenize heterogeneous operating systems and using different hardware
devices on each computer. In building a dedicated cluster for parallel computing neededsome requirements indicated by the following points:
i. Cluster must have the ability to distribute the computing process of the machine headnode (frontend) to machines in other computing.
ii. Cluster must have a regulatory system data files on each node so as to facilitate
centralized system administration.
iii. Cluster must have a global file system that can be accessed by all the nodes for the
purpose of accessing the files.
iv. Head node (Frontend) must be able to communicate with the machines node without
having to make the authentication process.
Cluster must have a system to monitor the processes and computational burdenboth on each machine computation and computational load in one cluster or all nodes.
c) Head Node (Frontend)
Head node (Frontend) is a computer in a cluster that is used to delegate tasks ortasks that will be done by the computer nodes. This computer is also used as a place forusers to access the cluster so that users can provide computing tasks into clusters. Headnode (Frontend) should be accessible through the network, so that the head node(frontend) requires two Ethernet cards, an Ethernet card connected to the public
network and the other is connected to a private network or computer node. Besides
being a place of access and delegating tasks to the computer node, the head node(frontend) should also run the services include: Network File System (NFS), Network
Information System (NIS), Dynamic Host Configuration Protocol (DHCP), Hypertext
Transfer Protocol (HTTP), Secure Shell Host (SSH). The services required by the headnode (frontend) to integrate the nodes in the cluster. Machines used as a head node(frontend) should have a higher specification than the machines that are used as acomputer node. That is because the machine head node computers greater than themachine computer node for the machine head node (frontend) must be running theservices which are not run by the computer nodes.

29d) Computer NodeComputer node is a computer worker who received the task of head node(frontend) and process the task. This computer cannot be accessed over the network
because it is connected to a private network. The computer that functioned as acomputer node can only be accessed by a head node (frontend) to perform thecomputing process. Configuration files related to user administration systems such as
password, group, and etcetera shadow is located centrally in the head node (frontend).
The mechanism of centralized configuration is done using the Network Information
System (NIS). NIS enables computers computer node will have a uniform system users
with the computer system created on the head node (frontend). Use of the Network
Information System (NIS) will certainly ease the system administrator to perform
addition or removal of users in a cluster system.
e) Network Topology Design
Cluster network that will be created using standard design outline of rocks clusterthat will ultimately result in the expected performance at first. In this study, the clusterthat was built in the laboratory SMA Negeri 1 Pekanbaru using two units of the server
computer, the computer unit is used as a head node (frontend) and one unit is used as acomputer node computer‐0‐0. To improve performance or to balance server
performance e‐learning, the total amount of Central Processing Unit (CPU) in the cluster
there are three units of Personal Computer (PC). It is intended that the resulting
performance is able to provide better results again. The following physical network
topology and logical topology created in this study.

Figure 3. Physical network topology of computer Cluster

Explanation Network Topology Cluster System:a) In the figure 3 topology, there is one head node computer unit (frontend) or masterand one computer unit computer node or a slave.
b) Computer head node (frontend) serves as the main server in serving computer nodeto perform parallel processing to improve performance or to balance server e‐learning.
c) On the head node computer (frontend) providing services to the IP address
automatically computer nodes. Service will function after the IP address to configure
Dynamic Host Configuration Protocol (DHCP) Server.
30d) Network topology design used Load Balance Cluster (LBC) method.
In the method of Load Balance Cluster (LBC) concept for load balancing or workload
to multiple server computers, for example divide the workload web server anddatabase server. The workload of a network spread across the nodes of this is toimprove performance in network computing.

Figure 4. Computer network topology in Cluster (Parallel Processing) at SMA Negeri 1 Pekanbaru.

Based on the figure 4, server computer e‐learning are connected in parallel itselfof two units of the server computer, wherein the computer units serve as the head node(frontend) and one computer unit used as a computer node, the computer‐0‐0.
Addressing the entire IP address connected in the network will obtain IP address
automatically using the IP address of class A with a range 10.10.0.1 ‐ 10.10.0.254.
Every computer user either teacher or student in environment that will access thee‐learning intranet either using Personal Computer (PC) of the labor computer isconnected to the switch via a cable or using a laptop connected wirelessly (Wi‐Fi) using
the Access Point (AP ) attached evenly school environment. By using the Load Balance
Cluster (LBC) is applied based on network topology above would be expected in the
future if the teacher or student active simultaneously will access the e‐learning will notslow down the performance of the server e‐learning for both server computers thatshare the workload in servicing computer client.

5. Implementation
In order to develop this cluster, several stages to be done both in terms ofconfiguration and installation of software and support package that will be useful forparallel processing. Here are the stages are performed in this study.
a) To determine the hardware requirements (hardware) and software requirements(software).
b) Installation of linux rocks 6.0 (mamba) on the head node computer (frontend).
c) Administration head node (frontend).
d) Installation of computer nodes.
e) Testing the cluster system (parallel processing).
f) Testing with the computer nodes.
g) Testing the client computer that will access e‐learning.
h) Testing using a single client computer that access e‐learning.
i) The test uses two client computers that accesses e‐learning.
31j) The test uses three client computers that accesses e‐learning.
k) Allocation of memory.
l) Conclusion testing.
A. Hardware Requirement

Here are the specifications of the computer head node (frontend) and computer
nodes used in this study.
1) Spesifikasi Komputer Head node (Frontend)
Berikut adalah spesifikasi komputer head node (frontend).
a)
b)
c)
d)
e)
f)
g)
h)
i)

CPU Speed: 2.40 GHz
CPU Model: Intel(R) Core(TM) i5 2430M CPU
HDD Device : SATA, 500 GB
USB Controler : NEC Corporation uPD720200 USB 3.0
IDE Device: DVD‐RW MultiRAM: 4 GB
Audio Device : Intel Corporation 6 Series/C200
Ethernet Controller : Realtek Semiconductor Co., Ltd. RTL8101E
Motherboard : Dell

2) Specification of Computer node (0‐0)
Berikut adalah spesifikasi komputer Computer node (0‐0).
a) CPU Speed: 2.20 GHzb) CPU Model: Intel(R) Pentium(R) Dual Core CPU T4400c) HDD Device : SATA, 320 GBd) USB Controler : Intel Corporation 82801I USB 2.0e) IDE Device: DVD‐RW Multif) RAM: 2 GBg) Audio Device : Intel Corporation 82801Ih) Ethernet Controllerb: Realtek Semiconductor Co., Ltd. RTL8101Ei) Motherboard : HP
B. Software Requirement

Here is the need of software (software) used in this study.
a) Operation System Linux Rocks 6.0 (Mamba)b) Message Passing Interface (MPI)c) Gangliad) Apache web servere) MySQL server
C. Cluster Testing System (Parallel Processing)

By default if everything configured the cluster we got it right on the head node
computer (frontend) then we can use the application to monitor system ganglia cluster.
The following graphic display is done in the study where the following image display is
still using a computer stand alone server or has not happened the processes cluster(parallel processing).

32

Figure 5. Monitoring System Server Stand Alone at Ganglia

Based on the description of Figure 5 shows a graphic display of a computer processor
head node (frontend) that stand alone, meaning that not happened a parallel processing
between the computer head node (frontend) to computer nodes. Total processor
contained on the caption above, namely four (Quad Core). Host up to one unit thatmeaning that only the nodes that are running.
D. Cluster System (Parallel Processing)

The following graphic display is done in the study where the following image display
has been a parallel processing between the computer head node (frontend) to thecomputer nodes (computer‐0‐0).

Figure 6. Cluster Monitoring System at Ganglia Used 2 Node33

Based on information from the graph Figure 6 looks the two nodes shown on
application monitoring (ganglia) that cluster.server.sch.id and computer‐0‐0.local,
meaning between the computer head node (frontend) and computer nodes (computer‐0‐0) are connected in parallel (cluster). The information that can be seen from the above
picture by default will be visible all the resources that exist in the system, based on whattab shows the metric system in monitoring, can select a category. For more detail see
Cluster status we can choose the Top Cluster shows information process from each nodein the cluster system. Total processor contained on the caption above those six pieces,where the head node computer (frontend) is using a Quad Core processor and computer
nodes (computer‐0‐0) using processor Dual Core. Host up two that meaning there are
two nodes that are running.
E. Testing Used Computer Note

Once everything is installed properly it will display the image below, enter login"com0" with password "com0" on computer‐0‐0. Computer nodes will automatically log
them centrally on the head node computer (frontend). Figure 7 shows of computer‐0‐0
and computer‐0‐1 were performed in this study.

Figure 7. Login display of Computer‐0‐0

After all installed properly to ensure computer head node (frontend) and thecomputer nodes are integrated correctly, then we will select the tab "Physical View" inthe monitoring system in the ganglia so that the display appears as below.

Figure 8. Display of Physical View at Ganglia

34

Based on information shows in figure 8 the head node computer (frontend) andthe computer nodes are integrated properly. In other information that can be seen fromthe description of the image above the number of processors, processor speed, total
memory, total hard drive.
F. Testing with Client Computer Accessing e‐Learning

The next stage is to test from a client computer to access e‐learning. In thisexperiment will be accessible using a web browser Mozilla Firefox, from the server sideusing Apache as the web server and MySQL as the database server of its.

Figure 9. One of user login in e‐Learning

Based on information from the figure 9 shows the user Abdul Syukur was login at
page e‐learning on the computer head node (frontend).
G. Testing Used Two Unit of Client Computer Client to Access e‐Learning

Figure 10. Cluster monitoring system used 2 Unit of client computer to access e‐Learning

35Based on information from the computer graphic image shows a cluster in figure
10 (parallel processing) where the condition of the computer graphics head node(frontend), which provides e‐learning web server being accessed using two units of theclient computer. At the time of the client computer to access e‐learning server looks
graph between cluster.server.sch.id and computer‐0‐0.local traffic will be increase andbalance, reflecting the diversity of traffic that is displayed using three units of the clientcomputer than using two computers client and the client computer unit is accessing e‐learning.
H. Memory Allocation

In this case the memory usage will certainly be indispensable in doing parallel
processing. Every memory usage will assist in the process of balancing cluster toimprove server performance or e‐learning. Table 1 is shows the result of the conclusionof use of available memory.
Table 1. Memory used

6. Conclusion
The conclusions in this test are:
1. The entire cluster has been able to run as expected.
2. The client computer successfully accesses the e‐learning web server that nocomputer head node (frontend).

3. From the results of testing the use of a single node processor (Cluster Load

Percentages) is 100% and the use of two nodes using a processor (Cluster Load
Percentages) is 50%. To use cluster.server.sch.id processor 0‐25 (50%) and for theuse of the processor computer‐0‐0.local 25‐50 (50%).

References
Fatullah Fani, Mutiara MQN A. Benny, Yulianto Chandra, (2004) “Analisa Kinerja Cluster Linux
Dengan Pustaka MPICH Terhadap Perkalian Matriks”, KOMMIT 2004, Jakarta.
Harsono Nonot, Sukaridhoto Sritrusta, Subhan Ahmad, Sudarsono Amang, (2006) “Model
Distributed Data Processing Berbasis Open Source Untuk Pengolahan Data Kependudukan
Dalam Rangka Implementasi e‐Gov Indonesia”, Prosiding Konferensi Nasional, Bandung.
Hidayat Syarif, (2006) “Pemrosesan Paralel Menggunakan Komputer Heterogen”, SNATI 2006,
Yogyakarta.
Kurniawan Agus, Arsyad Sagi, (2010) “Desain dan Implementasi Komputasi Paralel Pada Excel”,
SNATI 2010, Yogyakarta.
Lauwali Tomiputra, Kartawidjaja A. Maria, (2008) “Komputasi Paralel Menggunakan Parallel
Virtual Machine Untuk Peningkatan Kinerja Komputasi”, Jurnal Elektro, Jakarta.
Liswandini Intan, Irawan Budhi, Irzama, “Studi Komparatif Antara Parallel Virtual Machine (PVM)
dan Message Passing Interface (MPI) Dengan Memanfaatkan Local Area Network (LAN)”,
Jurnal, Bandung.
Prianto Bayu, (2008) “Cluster Komputer Sebagai Pengganti Super Komputer Tunggal Untuk
Pemodelan Kimia Komputasi” Jurnal Berita Dirgantara.
Siregar Simon, Ismail, Hendri Rio, (2010) “Pengukuran Kecepatan Proses Pada High Performance
Computing (HPC) Cluster Server”, Jurnal, Bandung.
Suwarningsih Wiwin, Nuryani, Arisal Andria, Wirahman Taufik, Masthurah Nurhayati, (2009)“Membangun Cluster Dengan Menggunakan IGOS Dwi Warna”, SNATI 2009, Yogyakarta.
Widyatmoko Amri, Halimurahman, (2006) “Manajemen Linux Cluster Menggunakan Rocks 4.1
dan Integrasi Model Atmosfer WRF”, Prosiding Semiloka Teknologi Simulasi dan Komputasi
Serta Aplikasi, Bandung.

36

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Designing an Automated Control ofa Portable Hydrophonic Plantation Facility based on
Fuzzy Logic Algorithm.
Wahidin Wahaba and Andhika Kumara Djafrib*ab

Department of Electrical Engineering, Universitas Indonesia
Kampus UI Pondok Cina Depok, Indonesia 16424

Abstract
The paper discusses the design of an apparatus for hydrophonic plants to groweffectively in a limited growth area, using a plastic square tank with a size of 60 cm by
80 cm, which is filled using a pump with water and the growth media, so that it can beeasily move from one place to another, and moreover can be stacked on top of another.
The required acidity and nutrient, as well as the intensity of sunlight, are controlledusing a microcomputer, based on the pre‐set values to the standard requirements for
specific vegetables. These values are set preliminary in to the microcomputer and use as
references for the control algorithms. To release the system from the non‐linearity
conditions, the fuzzy logic control algorithm is applied to each of the control loop suchthat the growth environtment required for the vegetables can be achieved. A stirrer isused to speed‐up the mixing time to reach homogeneous condition.
The Takagi–Sugeno type Fuzzy Logic Controller was used, with only three membershipfunctions at the input and the inference results are then weighted averaged at theoutput. The results shows that the apparatus works well under closed loop control,
although there is still a small problem due to slow response and the insentitivity natureof the pH sensor that should be clean very often for better results.
(Abstract should be approximately 200‐250 words in length)

Keywords

portable growth media, fuzzy logic Control, plant nutrition, pH sensor, acidity

1. Introduction
The current trend on hydroponics technology in farming is heading towards apromising growth with applications mainly in the green vegetable industry[1]. Several
Hydroponic methods can be applied according to resource availabilities and needs, andnowadays it is not only done by farmers, but also by hobbyist in regular households[2][3]. Although the technology is fairly easy to be implemented, it is occasionally founddifficult to get good results due to the improper handling to maintain the constantnutrition value, growth media acidity, as well as lighting, which are important aspects inthe farming [4]. For this reason, a technology to support the maintenance of hydroponic
plants automatically, is developed so that farmers can achieve the highest quality with*

Wahidin Wahab Tel.+62‐811‐977‐779, fax: +6221‐727‐0078.
E‐mail address: wahidin.wahab@ui.ac.id37

minimum effort. The system aims to broaden the scope of farmers so hydroponics canbe done by anyone, anywhere and anytime. In this paper, an automation system that can
simplify hydroponic farming in monitoring, maintaining, and optimizing the growth ofhydroponic plants is designed. The system is based on microcontrollers, sensors, andactuators that adjusts pH value, nutrition concentration, and lighting with user friendly
operation and affordable price. Each unit is also made portable, can be arrange easily
into stainless steel racks which ae staggered in a large room.

2. The System Design
In this research, we use the Flood & Drain method, which is a hydroponic growing system
where plants get the water, nutrition, and oxygen through a reservoir that is pumped in to themedia in the grow tray. In a certain time, the water together with the nutrition will be drained
back to the reservoir through an overflow channel. And after a certain predetermined time
passed the the solution liquid is pumped back in to the grow tray, such that the roots of thevegetables will not be dried up, which may cause it to die of drought. The cycles of flood anddrain is repeated during the grow period until the vegetables are harvested. The flood and drain
period can be adjusted using a timer eliminating the risk of plant dehydration or overwatered.
Fig. 1 shows the detailed diagram of the Flood & Drain grow tank. [5][6].

Figure 1. The Ebb & Flow system for portable hydrophonic.

The height of the roof is in the range of 30 to 50 cm, depending on the type ofvegetables to be grown, and the roof is designed to be detachedable, to ease the farmer
when harvesting.
The system involves the control of pH, nutrition, and lighting to support the plant
growth effectively. All facilities are provided and controlled by using an Arduino‐Unosingle‐board microcontroller, which is reasonably cheap and has the capability tosupport all necessary functions in the system. The system controls water flow using awater pump that runs under the control of a timer, air concentration in the water
reservoir using an aerator, a stirring motor to mix the pH regulating solution andnutrition in the reservoir. The system is equipped with an LCD display and Keypad forusers to input a required set point for the pH level, while other aspects are controlled
automatically in a certain amount of time using the microcontroller internal timer.
Keypad, LCD Display, and pH sensors are connected directly with the microcontroller
while the micro gear pumps are powered by an external 12V DC source and the aerator
is powered by an external 220V AC power source.
2.1.

The User Interface

The user interfaces consist of a numeric keypad and an LCD Alphanumeric
Display, which are connected to the microcontrolle via I2C serial interface lines with38

analog pin A4 and A5 connected, as shown in figure 2 below. The keypad is used to set
the necessary data for setpoints, while the LCD is used to display the necessary
information to the user.

Figure 2. the user interface electronics

2.2.

The controller
The acidity of the liquid and its nutrition content, are infact the most important tobe managed carefully but both are also the most difficult to be controlled. This is due tothe non‐linear characteristics of the titration process of controlling the pH values of theliquid solution, and the non‐linear characteristics of the nutrition sensor. And it is due tothe same reason, the Fuzzy Logic controllers are used in both cases.
The data of pH of the growth liquid is acquired by using a pH sensor, and thenutrition content is read using a conductivity sensor as the nearest indicator to be used
for th nutrition content. The closed loop Fuzzy logic control block diagram for pH
control is shown in figure 3 below. The pH value is read using a pH probe, and sent to
the micro controller, and then compared to the setpoint, the error and change of error
are calculated as :CurrentError= pH set – actual pH,(1)
ChangeOfError = CurrentError – pastError(2)

Figure 3 the Fuzzy logic Controller set‐up

These two information is then fed in to the Fuzzy logic controller, to be fuzzified,using the membership function defined in the FLC for the Error and the Change of Error
as shown in figure 4 below, each contained only three triangular shaped membershipfunctions. Using the Takagi‐Sugeno Type Inferences, the rule base is defined in the formof IF‐ THEN rule as follows:
IF Error IS A AND ChangeOfError IS B THEN Out=ax + b
The A is one of the three conditions for error, ie., Acidic, Normal or Alkalic. While B is
one of the the other three conditions for the changeOfError, ie., Low, Average, or High.
The function out=a x +b, are straight line approximation of the titration curve, which canbe divided into 7(seven) segments of straight lines, but be aware that the value of theoutput is zero, indicate the pH has reached the value of 7, ie. reach the normal condition,
39

while a positive value indicates alkalic condition, and while a negative value indicate theacidic condition.

(a)(b)
Figure 4. Triangular shape membership function,(a).for Error, and (b) for ChangeofError

At the defuzzification stage, the output of the inference engine, will be averaged,
using the same weight of =1.0 which means both acidic and alkalic conditions areequally important for the system. When the defuzzification output indicate “alkalic
condition, and the pump which releases the Phosphoric Acid (H3PO4) 10% solution
should be set to “ON”, and when it indicates the acidic condition, and the pump which
releases Sodium Hydroxide (NaOH) 10% solution should be set to “ON”. And theabsolute values of the defuzzification will determine the length of the “Pump ON”
condition. The sensor reads the pH in 20ms interval and the LCD display is updated in
800ms interval [8]. One of the recording of the response of the pH value when changed
from 10.5 down to 5.75 is shown in figure 5, it is seen that the settling time is around
175 secods and the time constant is 30seconds. Which is still very resonably fast for thistype of system.

Figure 5. the control of pH to reach 5.75

2.3.

The control of Nutrition.
The closed loop Fuzzy logic control block diagram for nutrition control is the same
shown in figure 3 above. The nutrition value is read using a conductivity probe, and sent
to the micro controller, and then compared to the setpoint, the error and change of error
are calculated as :CurrentError= pH set – actual pH,(3)
ChangeOfError = CurrentError – pastError

(4)

40

(a)
(b)
(c)
Figure 7. The membership functions, (a) at input Error, (b) at Change of Error, (c) at output

The membership function at the input stage is shown in figure 6., using triangularshape membership function, and the output is using three singleton memberhip
functions. Using the Takagi‐Sugeno Type Inferences, the rule base is defined in the formof IF‐ THEN rule as follows:
IF Error IS A AND ChangeOfError IS B THEN C
The A is one of the three conditions of error, ie., Negative, Zero and Positive. While
B is one of the the other three conditions of the changeOfError, ie., Negative, Zero andPositive, and the output is the duration of pumping in Short, Normal, or Long.
At the defuzzification stage the outputs are averaged by using the same weightequal to 1.0, and the value is used as the time duration to activate the nutrition solution
pumping.
2.4.

The control of Lighting.

In order to let the hydrophonic grow tanks be placed indoors, the it is necessary toprovide appropriate lighting to replace the sun‐light. According to Resh(1987) andDjaffri(2016) the best color spectrum during the vegetation grows, in general is asfollows,
 During Vegetative Period: the blue color spectrum for10 days.
 During The generative Period : the red color spectrum for10 days.
 During the Period of flowering : the purple color spectrum for10 days.

Figure 8. the driver electronics for the RGB Stripes to the microcontroller.

In the hydrophonic system, the lighting uses the combination of red‐green‐blue(RGB) LED Stripes, and then it is programmed in the microcontroller to turn on aswitch for each colour‐stripe in every 30(thirty) days period, so that RGB LED Strip canchange the color spectrum every 10 days with stages of change red ‐> blue ‐> purple.
The purple colour is the results of having the red and the blue colours together and thegreen color is not used, can be ignored. The driver electronic for th RGB Led stripes to41

the microprocessor is shown in figure 8. above. The sequence of switching on and off isgiven in the table1.
SwitchRed Light
Blue Light
Green Light
Results:

0‐10

10‐20

20‐30

30‐40

40‐50

50‐60

OFF

ON

ON

OFF

ON

ON

ON

OFF

ON

ON

OFF

ON

OFF

OFF

OFF

OFF

OFF

OFF

BLUE

RED

PURPLEBLUE

RED

PURPLE...

2.5.

The Flood and Drain Sequence.
The Flood and Drain of the water so;ution in to the grow tank is arranged by only
the on/off period of the pump using a timer generated inside the microcontroller. The
power source of the pump is a 12V DC connected through a relay, driven by a seriedtransistor to be controlled by the low powered signal from the microcontroller. The
period and the length of pumping is predeterminde by the operator , by keying the time
period in to the system using the keypad provided.

3. Conclusions
In this paper, Automation System for Hydroponic Plantation Based on Flood andDrain Method has been designed and built. The system shows promising automatedcontrol of the aspects necessary in hydroponics farming using the method by having
most those aspect of pH, nutrition, lighting, and water flow under good controlled,providing the simplification hydroponics farming process. We had tried to apply the
Fuzzy logic control to manage two of those important parameter for vegatable growing
wil a success.There is still yet many room for improvements in the system such as using
Neural Network or others algorithms in closed loop control of other aspects beside thepH, which may be developed in the future.

References

PRNewswire. (2014) [Online].: http://www.prnewswire.com/news‐releases/ growth‐in‐the‐hydroponics‐food‐industry‐set‐to‐outpace‐global‐markets‐by‐80‐241264701.html
Karsono, Sudibyo, et al. (2002). Hidroponik Skala Rumah Tangga. Jakarta : Agro Media Pustaka
Sutioso, Ir. Yos. (2004). Hidroponik Ala Yos. Jakarta : Penebar Swadaya(2016) SA Horticulture [Online]. Available: http://sahorticulture.co.za/six‐hydroponic‐systems/
Resh, Howard M. (1987). From Hydroponic Food Production. Woodbridge Press
Kleitz, William. (1996). Digital Electronics A Practical Approach. Fourth Edition. New Jersey :Prentice‐Hall International, Inc.
Bentley, John P. (1995). Principles of Measurement System. Third Edition. Singapore : Longman
Scientific & TechnicalMettler T., (09/2009), Basic of Titration, Mettler‐Toledo AG, Analytical, CH‐8606 Schwerzenbach,
Switzerland.
METTLER T., (2007), “A Guide to pH Measurement – the theory and practice of laboratory pH
applications”, Mettler‐Toledo AG, Analytical, CH‐8606 Schwerzenbach, Switzerland.
Djaffri, Andhika Kumara (2016), thesis, Departement of Electrical Engineering, Universitas
Indonesia, Kampus UI Depok, 16424, Indonesia, (in Indonesian).

42

On the Performance of Wireless ECG Monitoring System: Case of
Off‐Body Communications
Basari a*, M. Anugrah Agung a, Fitri Yuli Zulkifli a, Eko Tjipto Rahardjo a
aDepartment of Electrical Engineering, Faculty of Engineering, Universitas Indonesia,

Kampus UI Depok, Depok City, West Java, Indonesia 16424

Abstract
World Health Organization (WHO) reported that heart disease, stroke, lower respiratory
infections and chronic obstructive lung disease have remained the top major killers in
the world during the past decade. In Indonesia, it covers 37% or about 1.8 millions
mortality cases. Hence, human vital sign monitoring such as electrocardiograph (ECG)
monitoring system is very essential for mitigating and preventing people fail to behandled a proper assistance from healthcare physicians. In this paper, we propose a realtime ECG monitoring system, which the ECG data is able to be checked wirelessly at
specified device directlly without any server for data pooling (centralized database).
ECG QRS wave and arrhythmia detection are important features for ECG monitoring
system. Up to now, there are several studies ECG wave detection, however, they aremainly focus on internet of things ‐ based telemedicine system for data transfer. In thiscase, real time monitoring system could be disrupted by a pooling time and packet loss
due to its IP‐based connection. Hence, in this study, we propose a wireless ECG
monitoring system with direct point to point communication at 2.4 GHz by using 3‐leadacquistion system on single channel wireless ECG device. The system is developed basedon AD8232 chip for acquisition, NRF24101 wireless link platform for data transfer andArduino microcontroller for ECG data processing. In order to evaluate the performanceof wireless ECG system, we use wearable textile antennas (as Tx and Rx antenna), on
which are attached the human body and experimentally tested in indoor environment,
representing an off‐body communication. The results show that the developed system isable to transfer and display real time ECG signals up to approximately 15m of
obstruction environment, which the measurement is conducted in a sitting position ofvolunteers. We have also validated the obtained ECG data, comparing to the data takenfrom the healthcare clinic equipment. Moreover, according to QRS wave analysis, our
ECG signals have reasonable RR, PR, QRS and ST wave interval comparing to thestandard ECG signals.

Keywords
Electrocardiograph; off‐body communications; real time monitoring system; textile
antenna; wireless communications

1. Introduction
World Health Organization (WHO) has reported that heart disease, stroke, lower
respiratory infections and chronic obstructive lung disease have remained the top major
killers in the world during the past decade. The hearth desease contributed about 48.6%
or 7.4 millions of death in the world, where in Indonesia, it covers 37% or about 1.8* Corresponding author. Tel.: +62‐21‐7270078; fax: +62‐21‐7270077.

E‐mail address: basyarie@eng.ui.ac.id

43

millions mortality cases. For the sake of this case, human vital sign monitoring such as
electrocardiograph (ECG) monitoring system is very essential for mitigating andpreventing people fail to be handled a proper assistance from healthcare physicians.
However, existing ECG devices in Indonesia mostly are situated only in big hospitals. The
patient with heart attack will have to come to hospital to check the condition. Due to thelack of fast transportation system in Indonesia, it leads to inefficient time and money.
Therefore, it is very important to develop wireless ECG devices. By this device, patient isable to check the heart condition anytime and anywhere easier with affordable spending
money. The special condition such as heart attack people also can be accommodated bythis wireless ECG system.
Some current researches on ECG have been developed such as in Android‐basedby Jing et al., 2009, which is able to detect R peak to calculate the beat per minute (bpm).
This is supposed to be capable of detecting sinus bradycardia, ventricular flutter, andleft bundle branch block. A mobile ECG is proposed by Kailanto et al., 2008, which
combine the Android‐application with a server to enable storage and web transmission
the ECG data. This mobile system has feature of QRS and arrhythmia detection. Kapua etal., 2010, developed ECG system for telemedicine applications by building a web based
system to monitor the patient. There are also some on‐going researches for trying a realtime ECG signal processing (Bsoul et al., 2011 and Faezipour et al., 2010). In fact,
however, the input of ECG data is taken from database directories from some available
standard websites, such as MIT and BIH database. Our research focuses on design of awireless ECG system by using 2.4 GHz of wearable antennas both in transmitting andreceiving ECG data wirelessly. This point to point system uses three‐lead ECG
acquisition technique on a single channel ECG Analog Front End (AFE) AD8232 platform.
In this paper, we discuss some experimental results on wireless ECG system in thecase of off‐body communication link. The measurement is conducted in indoor roomwith several distance ranges. First, a proposed wireless ECG system is introduced before
we show some experimental scenarios to be conducted for off‐body link. Then, theperformance results are analyzed by comparing to the standard results that have been
conducted in clinic healthcare. Last, we conclude some important points related to theexperiment results.

2. Proposed Wireless ECG System
Our research is aimed to design a wireless ECG monitoring system with direct
point to point communication at 2.4 GHz by using 3‐lead acquisition system on single
channel wireless ECG device (Agung & Basari, 2016). The proposed system is developed
based on AD8232 chip for acquisition, NRF24101 wireless link platform for datatransfer and Arduino microcontroller for ECG data processing. In order to evaluate theperformance of wireless ECG system, we use wearable textile antennas (as Tx and Rx
antenna), on which are attached the human body and experimentally tested in indoor
environment, representing an off‐body communication.
The transmitter consists of a microcontroller, AD8232 front end and on‐bodyattached antenna. The antenna size is 5 cm  2 cm that fabricated on textile substrate,
which is operated at 2.45 GHz. AD8232 chip is used to acquire the ECG signal, filteringhigh frequency and low frequency component from signal and provide 100 V/V of gain.
Microcontroller will convert analog raw data from AD8232 chip to digital data. ECG datais wirelessly sent from transmitter to receiver at 2.4 GHz by point to point link.
In order to send digital ECG signals, the ECG data is converted in binary form andinserted into a payload. The payload is consisted of the receiver address and ECG data
itself. The receiver address is added to ensure the data is transmitted to the correct
44destination. When the ECG signal is transmitted, the transmitter will wait about 15
milliseconds to complete the communication link. If communication link is ready, thetransmitter will send the ECG signal to the receiver. In contrary, if the communication
link is still not ready in allocated time, the transmitter will retry to establish the link up
to 15 times. Finally, following 15 times when the transmitter is failed to establish theconnection, the ECG signal transmission is aborted.
The receiver consists of microcontroller and textile antenna. The receiver will
receive the transmitted digital ECG data from the transmitter and display the ECG
signals on a monitor. Microcontroller converts the digital ECG signals to serial analog
data, and is then transferred to a computer via Arduino power cable. A free software isused for displaying the received ECG signals in real time.

3. Off‐Body Communication Experimental Test
In this research, we apply two investigations that are relating to thecommunication delay of the wireless system. We have actually conducted two kinds ofmeasurement, those are on‐body communication and off‐body communication tests, inwhich each measurement has three different scenarios. When measurement isconducted, the subjects (volunteers) need to keep holding his position up to five minutes
while recording the ECG data. Sometimes, when the subject moves around while therecording, noise appears on ECG signals. Subjects are two healthy males with 20(skinny) and 22 (fatty) years old. The measurement is conducted in sitting condition of
the subjects and the textile antenna is placed at the left arm of the subjects. By varying
location distance and obstacle environment, the ECG signals are recorded in real time. In
order to validate the system performance, the recorded ECG from the proposed system
will be numerically compared with the clinical test at clinical healthcare on the same
subjects. The following section will discuss each measurement scenario.
3.1.

Scenario 1

In scenario 1, the transmitting (Tx) and receiving (Rx) antennas are situated at theleft arm of the subjects, subject 1 as Tx and subject 2 as Rx. Subject 1 and subject 2 aresituated in the same room at the 4th floor of the 4‐storey concrete building, described inFig. 1. The room is equipped by several desks, chairs, small cable poles, and acrylic
bulkhead.
The transmitted ECG signal is wirelessly received by subject 2 (Rx antenna) at
about 2m of distance, which is shown in Fig. 2. The result show that the ECG signals canbe well received at the receiver eventhough there is a bit amplitude fluctuation of QRS‐
wave peak.

(a)(b)
Figure 1. (a) Tx antenna is attached on subject 1; (b) Rx antenna is attached on subject 2.

45

2.5
2
1.5
1
0.5
0
0.01
0.21
0.49
0.77
1.05
1.35
1.65
1.95
2.25
2.55
2.85
3.15
3.45
3.75
4.05
4.35
4.65

Amplitude (mV)

Received ECG Signal

Elapsed time (s)Figure 2. Received ECG signals that are displayed at the receiver for subject 2 (scenario 1).

3.2.

Scenario 2

In scenario 2, the transmitting (Tx) and receiving (Rx) antennas are situated at thesame as the scenario 1, however, subject 1 and subject 2 are separated in the different
room at the 4th floor of the 4‐storey concrete building. The rooms are separated by someacrylic bulkheads at 10‐15m of the distance. This scenario is aimed to determine
whether the proposed system can send the ECG signal across the obstacle.
The transmitted ECG signal is wirelessly received by subject 2 (receiver) as shownin Fig. 3. The result show that the ECG signals can be well received at the receiver.

Received ECG Signal

Amplitude (mV)

2
1.5
1
0.5

0
0.11
0.3
0.49
0.67
0.86
1.05
1.25
1.45
1.65
1.85
2.05
2.25
2.45
2.65
2.85
3.05
3.25

0

Elapsed time (s)Figure 3. Received ECG signals that are displayed at the receiver for subject 2 (scenario 2).

3.3.

Scenario 3

In scenario 3, the transmitting (Tx) and receiving (Rx) antennas are situated at thesame as the scenario 2, but the room of subject 2 is equipped by some microwave
mesurement tools, from which some radiation disturbance may exist. This scenario isaimed to verify the signal distortion may occur to ECG data reading due toelectromagnetic interference. As a result, the received ECG signals are still well received,
as depicted in Fig. 4.

46

Received ECG Signal
Amplitude (mV)

2
1.5
1
0.5
0
0.18
0.44
0.69
0.96
1.22
1.5
1.77
2.05
2.32
2.6
2.87
3.15
3.42
3.7
3.96
4.25

0

Elapsed time (s)Figure 4. Received ECG signals that are displayed at the receiver for subject 2 (scenario 3).
Table 1. Comparison Results between Lab Measurement and Clinical Test
RR

PR

P

QRS

ST

Scenario 1

(s)
0.86

(s)
0.22

(s)
0.13

(s)
0.10

(s)
0.32

Scenario 2

0.88

0.22

0.12

0.11

0.31

Scenario 3

0.87

0.22

0.13

0.10

0.3

Clinical Test

1.2

0.24

0.12

0.12

0.32

When we analyze the ECG signal, it will be grouped into some interval wave, those are
RR, PR, P, QRS, and ST wave time interval, which describe the electrical activity in human hearts.
From Table 1, the interval has different value among scenarios. However, if we are using thestandard time interval, for RR time interval between 0.66 – 1.2 seconds, P time interval is 0.13
seconds, PR time interval 0.12 – 0.24 seconds, QRS time interval 0.12 seconds and ST timeinterval 0.32 seconds are still within the standard time interval. Hence, the proposed monitoring
system supposed to be used for medical diagnostic without giving the false information to thedoctor. The delay exists due to the scattering and reflection phenomena when the transmitter
send ECG signals. The amplitude fluctuation over time is caused by EM interference in 2.45 GHzband environment.

4. Conclusion
This paper has discussed the evaluation of the proposed patient ECG monitoring
system to the off‐body communication link. Various off‐body link scenarios has been
conducted and verified with clinical test results. The experimental results show that thedeveloped system is able to transfer and display real time ECG signals up to approximately 15mof obstruction environment, which the measurement is conducted in a sitting position ofvolunteers. We have also validated the obtained ECG data, comparing to the data taken from thehealthcare clinic equipment. Moreover, according to QRS wave analysis, our ECG signals havereasonable RR, PR, QRS and ST wave time interval comparing to the standard ECG signals.

Acknowledgements
This work is partly supported by Hibah Riset RCBE‐FTUI 2016. The authors would
like to thank to volunteers for evaluating our developed monitoring system.

References

47

Agung, M.A, Basari (2016). 3‐Lead Acquisition using Single Channel ECG Device Developed on
AD8232 Analog Front End for Wireless ECG Application. Proc. of the 1st Intl. Symp
Biomedical Engineering, Depok, Indonesia.
Bsoul, M., Minn, H., Tamil, L. (2011). Apnea MedAssist: Real‐time Sleep Apnea Monitor Using
Single‐Lead ECG. IEEE Trans. Information Technol. in Biomedicine, vol. 15, no. 3, pp. 416‐
427.
Capua, C.D., Meduri, A., Morello, R. (2010). A Smart ECG Measurement System Based on Web‐
Service‐Oriented Architecture for Telemedicine Applications. IEEE Trans. Instrumentationand Meas., vol. 59, no. 10, Oct., pp. 2530‐2538.
Faezipour, M., Saeed, A., Bulusu, S.C., Nourani, M., Minn, H., Tami, L. (2010). A Patient‐Adaptive
Profiling Scheme for ECG Beat Classification. IEEE Trans. Information Technol. in
Biomedicine, vol.14 , no. 5, pp.1153‐1165.
Jing, Z., Oresko, J., Huang, S., Cheng, A.C. (2009). Heart to Go: A Personalized Medicine Technology
for Cardiovascular Disease Prevention and Detection. IEEE Life Sciences System andApplication Workshop (LiSSA).
Kailanto, H., Hyvarinen, E., Hyttinen, J. (2008). Mobile ECG Device Measurement and Analysis
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Computing Technol. for Healthcare.

48

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

New Paradigm of Marine Paleo‐oceanographic Study With
Spatial Based Reconstruction at Sangiran and Muria Strait –Central Java Indonesia
Agus Hartokoa, Siti Aisyahb ,Josaphat T S Sumantyoc, Delianis Pringgeniesd
aDepartement of Fisheries. Fac of Fisheries‐Agriculture‐Biology. University of Bangka BelitungbdFaculty of Fisheries and Marine Science, Diponegoro University, Semarang Indonesia
cCenter for Environmental Remote Sensing (CERES), Chiba University. Chiba. Japan

Abstract
The formation of Indonesian islands at the Oligosen 50 – 30 million years, where
Indo‐Asian peninsular with Sumatera, Java, Borneo, Kalimantan islands plate collided to
the Australian and Pacific plate to form Papua Mollucas and Sulawesi islands. The
formation Java with the up‐lift of the mountainous southern Java by subduction of theAustralian plate. Spatial reconstruction concept based on postulate that Muria
mountain was before separated with Java island about 50 million years. Satellite dataand geological maps were used to analise the phase of sedimentation process at the eraof Pliosen 2‐million years and identify the sequence of ancient coastline movement tothe unification become the existing Java condition. Collected mollusc fossils samples
were analysed using Accelerator Mass Spectrometer (AMS) radiocarbon.
Field validations grouped into 3‐phases. Phase‐1 the Pliosen era about 2 million
years the south Java mountain zone uplift lead to the formation of Sangiran‐dome andbrackish water swamp palaento‐ecology zone. Variety of brackish water and marine
Mollusc fossils of Turritella sp, Strobus.sp, Murex.sp, Ostrea.sp, Orthaulax.sp, Natica
vitellus, Telescopium telescopium, Anadara sp, Dosinia sp found at “Bukuran village”(“bukur” in Javanese means as gastropods). This mollusc dome characterised with darkhigh organic clay sediment. Result of AMS 14C dating revealed that Sangiran sample
are 35390 ± 258 and 30216 ± 183 14C Age BP (Before Present). The phase‐2 expedition
discover the ‘ancient fringing‐reef’ and mollusc fossils at Grobokan and the ‘trapped
ancient seawater’ locally known as ‘Bleduk‐Kuwu’ with mud‐blow, salt and mollusc
fossils of Antigono chemnitzii, Cullelus dilatatus, Plotia scabra and Tibia modesta. In
geological term the zone known as ‘north Kendeng lime‐stone mountain or the front‐arch formation’ as the ancient coastline of “Muria strait” that separate Muria mountain
and Java and recognised as marine‐palaentological zone. Sample of this zone was23127 ± 107 and 7571 ± 39 14C Age BP. Phase‐3, Patiayam dome (Ancient Muria Strait)
at Kudus revealed vertical eco‐geological layers of high organic freshwater, marine
Mollusc and coraline marine sediment with fringing‐reef fossil. Variety of marine
mollusc of Tridacna.sp, Cassis tuberosa, Tonna allium, Haliotis asinine, Terebridae,
Pseudodon vondenbuschianus, Elongaria orientalis, Ampullina bandongensis, Anadarapilula and Filopaludina javanica with 23871 ± 112 and 12227 ± 56 14C Age BP.
Keywords : Spatial analysis; marine; paleo‐oceanography
Corresponding author : agushartoko@gmail.com

49

IINTRODUCTION
The formation of Indonesian islands was began at the era of Oligosen 50 – 30
million years, where Indo‐Asian with formation of Sumatera‐Java andBorneo/Kalimantan islands plate collided with the Australian and Pacific plate to form
Papua Mollucas and Sulawesi islands (Hall, 2001). Geological up‐lift process by
subduction of Australian plate into the Indo‐asian plate Sumatra‐Java‐Kalimantan at theera of Pliosen 2‐million years ago to the original coastal line up to the unification
become the existing Java condition (Bemmelen, 1970; Louys, and Erik. 2010). The
anthropological study by De Graaf and Pigeaud (1985), France historian Lombard(1996) assumed that Muria mountain was before a separated island from Java.
Espescially in the periode before the 17th century that was separated by a strait.
Lombard (1996), Kistanto et.al. (2009) describes that old cities of Demak, Jepara,
Kudus, Pati, Juwana and Rembang were important key harbours along the north coastal
zones of Muria strait that separated of Java and Muria.
Sangiran had been widely known with the discovery site of Homo erectus or the manfrom Java (Bettis, et.al. 2004; Bettis, et.al. 2009). The study with fundamental concept of
discovering Muria mountain as before separated from the main Java island by “Muria
strait” and Sangiran dome was before also a marine environment. The study focuses inspatial reconstruction, field validation expeditions and discovering of marine fossils andpaleo‐oceanographic along the ancient coastal line at the south Muria mountain(Patiayam dome), north carbonate arch of Grobogan, Bleduk Kuwu mud basin up to
Sangiran dome of early Pleistocene (ca. 1.60 – 1.02 Ma) as marine environments.
Through the discovery, it is hoped as a new marine palaentological paradigm can beused to develop the past marine ecosystem or a new site for paleo‐oceanographic
studies.
METHODS
Satellite Data. SRTM ‐ Digital Elevation Model (DEM) data were used for the analysisof the sedimentation phases of the “Muria strait” and the position of the ancient original
coastline of north Java, Muria strait and and deepsea of Sangiran, Central Java Indonesia.
The spatial analysis involving a spectral signature analyisis and classification based on
the wetness of soil. The spatial models was then used to reconstruct the sedimentation
phases of the Muria Strait and the position of the Sangiran sea. The spatial model of the
Muria strait and Sangiran coastline was then overlied with the recent riverine system.
Then field sampling site and coordinates were specified based on the position of theancient coastline coordinates (Hartoko, et.al. 2012). Stratigraphic analysis based on
Quarternary Environmental Geologic Map of Kudus, Ngawi (Sangiran) and Rembang(Source : Badan Geologi. Pusat Survei Geologi, 2013)
Field Sampling. Based on the spatial Muria strait model, with position of the ancient
coastal line, then used as guide for the field marine fossil collection coordinates. The
field GPS guided expedition was focused on the collection of marine fossils. Such as
marine molusc fossils (Gastrophods and Bivalvia), coral, diatom and foraminifer fossils.
Sampling sites were located at Patiayam‐Kudus (the south ancient coastal line of Muria
mountain), Bendung Klambu and Bleduk Kuwu at Grobogan and Sangiran dome. The
study focus on mollusc fossils were sampled from Ancient Muria Strait (Patiayam
Archaeological Site), Grobogan and Sangiran (Figure 1 and 2). Field sampling using
purposive technique based on coordinate and discussion with site museum staff.
Mollusc fossils found then identified to determine genera of mollusc fossils.
Identification based to morphometric analysis (Dharma. 2009).

50

Radiocarbon Dating Method
The interrelationships and evolutionary history of molluscs have seen great
advances in the last decade Vinther, (2015). Radiocarbon Dating is the method fordating analysis using 14C. In order to evaluate the validity of a 14C age of any material,
the original sources of the carbon must be known. Carbon of gastropod shell carbonate
originates from as many as four different sources – atmospheric CO2, food, water, andcarbonate rocks Alkass, et.al. (2013). Analysis of the age of mollusc fossils withradiocarbon dating method could estimate the ages any organic thing. 14C is an unstableradioactive isotope. The analysis using Accelerator Mass Spectrometer (AMS) system.
AMS detect atoms of specific elements according to their atomic weights. However, do
not have the sensitivity to distinguish atomic isobars (atoms of different elements thathave the same atomic weight, such as in the case of carbon 14 and nitrogen 14 – themost common isotope of nitrogen). Essentially two parts in the process of radiocarbon
dating through AMS. The first part involves accelerating the ions to extraordinarily highkinetic energies and the subsequent step involves mass analysis. Two accelerator
systems commonly used for radiocarbon dating through AMS. First is the cyclotron andthe second is a tandem electrostatic accelerator (Beta Analytic. 2016; Calibration
Online. 2016). The radio‐carbon analysis was supported by Micro Analysis Laboratory,
Tandem accelerator (MALT), The University Museum, The University of Tokyo, Japan.
The protocol of the radiocarbon dating procedure from marine mollusc fossils by
Matsuzaki (2015).
Preparation of samples use less than 10 mg, treated twice with 1.2 M HCl for 6 hr
at 80°C to remove any possible carbonate contaminants. Samples were then treatedwith 0.005 M – 1.2 M sodium hydroxide at 80o C. Then washed with ultra pure water andtreated again with 1.2 M HCl for 2 hour at 80° C. Removing exess HCl completely fromsamples, centrifuge and decant were repeated after adding some distilled water.
Samples were then dried in an electric oven at 90 °C for small sample add a few
hundred‐milligrams of CuO powder (Filamentous Copper Oxide II) as a carrier to thesample in the centrifuge tube, to collect carbonaceous materials completely. Totalamount of pretreated charred samples was used to produce CO2. Samples were put in
Vycor tubes of about 9 mm in diameter, with about 1 g of granular CuO. The tubes werethen connected to a vacuum line and sealed to a tube length of 300 mm. The Vycor
tubes were heated to 850°C for 2 hour to completely convert carbon to CO2. The CO2
produced was purified cryogenically in a vacuum line and reduce to graphite on about 2
mg Fe powder in the presence of hydrogen. The graphite materials were pressed into
aluminum target holders for AMS 14C dating. The Hox‐II standard was used as a 14C‐
concentration reference (Matsuzaki. 2015; Pigati, et.al. 2006; Nakamura, et.al. 2001).
The 14C ages were calibrated to a OxCal (Zaim, Y. 2006).

RESULT AND DISCUSSION
The result of the digital elevation spatial model for the reconstruction andanalysis of the Muria strait was then overlaid with the recent coastal and riverine
system as presented in Figure 1 and Figure 2. The oldest coastaline was the bluish line
zone, followed by the light green zone and finally the orange colour zone identified as
the sedimentation phases occur at the ancient Muria strait. The coastline coordinates
were use for the field validation of marine fossils, where an ancient fringing reef was
found at the south coast of Muria and at the north coast of Grobokan (Figure 1).

51

Figure 1. The old map by De Graaf (left) and the satellite data spatial reconstruction
model and the sedimentation phases of the Muria strait and the ancient coastal lines(right)Figure 2. Spatial ancient seas reconstuction of (A)Muria, (B)Grobokan Kendeng ‐Bendungklambu, (C) Bleduk‐Kuwu, (D)Sangiran and (E)Ngawi overlaid with Bengawan
Solo and Java riverine system
Stratigraphic study. The Pliosen era about 2 million years the south Java
mountainaeus zone was uplifted the north section of Java and lead to the formation of
Sangiran‐dome and back‐swamp palaento‐ecological zone. Vertical stratigraphy wasstrarted from the lowest layer with Kalibeng formation which is marine environment(1.8 milion year) contains with the blue‐clay and followed with foraminiferal limestone.
Folowed with Pucangan formation (1.8 – 0.9 million) contains of laharic breccia, black
clay, molusca sandy claystone and ditomic clay. Then Grendsbank formation (0.9 – 0.25
million) contains with polimix conglomerates, crossbedding sandstone, tufaceous
52

sandstone, laharic breccia, tufaceous sandstone and mud volcano deposits (Badan
Geology. 2013; Sartono et.al. 1981; Pandita and Yahdi Zaim. 2014).
The important findings at Sangiran dome as the ancient marine environment were thepresence of “salt‐water capilar” (locally called as Banyuasin site) and marine “Diatomedome” at Pablengan village, coral reef fossils and its associated organisms at
Sambungmacan and Ngawi such as tube‐worm Polychaeta, Mollusc‐dome at “Bukuran”
village (“bukur” in Javanese language means as gastropods). The field validation had
found variety of a massive marine Mollusc fossils such as Murex.sp, Turritella sp,
Strombus.sp, Ostrea.sp, Orthaulax.sp, Polinices.sp (Naticidae) which was also confirmedwith the collection of Sangiran Museum, such as Telescopium telescopium, Coniscala.sp(Superfamily: Epitonacea). The mollusc dome of Bukuran considered as freshwater wascharacterised with a dark high organic clay sediment (Figure 2). Bettis et.all. (2004;2009) define the overlaying sediments as “black‐clay” includes siltstones and mudstones
that accumulated in shallow‐marine, brakishwater and marsh environments. While atPuren formation on a recent small riverine system abundance of marine genera ofmollusc such as Barbatia (Arcacea), Anadara.sp, Dosinia.sp, Thais.sp, Vermetus javanus,
Volutispina sp, Astarte.sp, Malea.sp, Zaria.sp, Vermicularia.sp, Inoceramus.sp, Levitusia.sp(Superfamily : Productacea) and Nerinea.sp (Nerineaceae) and many other sampels of
Gastropod and Bivalvia that are still unidentified had been found. Rare freshwater
species Brotia testudina (Scalaroidea), Corbicula. sp (Myacea), and surprisingly a 2mlength giant tube‐worm (unidentified) and Gyroceratites.sp (Mimocerataceae) andNautilus. sp found at Sambungmacan village, Balanus.sp and several genus of Echinoids(Echinus.sp; Nucleolites. sp) at Tanon district, which all confirm that Sangiran dome as
the truth of ancient marine environment were identified using Murray (1986), De
Bruyne (2003), Dane (2002), MacDonald (1986). Nautilus javanus of upper Miocene isthe only cephalopod fossil that has been described from Java. Most important of
Sangiran dome was that the lower and middle pleistocene layers bears the most rich ofboth vertebrate and invertebrate fauna could be assembled (Bemelen, 1970). Good
exposure of strata underlying the sub‐zone at Sangiran dome (Figure 2, Hartoko. 2012)
which has been cut by Tjemoro river was began with bluish gray marine clays andargillaceous sands with marine fossil Turritella bantamensis of the upper pliocene. The
marine facies terminates with a horizon of Balanus limestone, followed by a freshwatermollusc Turritella ‐ Corbicula beds of Ngawi. Lower breccias of Sangiran and west
Ngawi sub‐zone as freshwater lake with intercalation of black clays which contain of
diatomaceous beds and yellow marine clay horizon with only half meter thickness
proves an invasion of the sea of short duration (Altena, 1938; Bemmelen, 1970;
Seisser, et.al. 1984; Hallock et.al. 2003).
Stratigraphic analysis of the Sangiran dome based on Quarternary
Environmental Geologic Map of the Solo‐Madiun area explain that Sangiran area werestarted with Kalibeng formation (Pliocene) with alternation of limestone, marl andmarly limestone, silt, tuffeous silt and sandstone. Puren formation with bluish gray silt,
limestone, sandy tuff layers moluscs. Karangrejo formation with black clay, tuffaceous
silt sand, bone, foram and molluscan fossils. Ngrejeng formation with breccia,
alternation of limestone and siltfine sand, conglomerate and silt‐fine sand,conglomeratetic sandstone. Gondang formation with sand, tuffaceous silt, thinalternation of sandstone and siltstone. Followed with early pleistocene of Pucangan
formation, Sangiran formation, Ketanggung formation. Middle pleistocene with Kabuh
formation, Bapang formation, Ngarum formation. Lower Notopuro formation, Pohjajar
formation, Sidolayu formation, Mlandong member formation, Sugih member formation,
Dungus member formation. Upper Notopuro formation, upper Notopuro, upper
Sidolayu, Mandang formation. Nglakar formation and Basaltic still. Late Pleistocene,with Setri formation and finished with Holcene with alluvium and tambak formation,
alluvium and Sambirejo formation and alluvium and Maron formation. Stratigraphic
analysis based on Quarternary Environmental Geologic Map of the Solo‐Madiun, Kudus,
53

Ngawi and Rembang area (Badan Geologi. 2013), supported with spatial reconstruction
database (Figure 2). Followed by field validation sampels had confirmed that Sangiran
and Patiayam‐Kudus were the same as pliocene with the oldest formation of blue‐mud
and Sambungmacan as the deep sea zone. While in between of the above formation was
found as the late miocene at Bleduk Kuwu and Bendung Klambu with limestone andidentified as shallow seas.
Morphometric Identification of Mollusc Fossils
The specimens of mollusc fossils were collected from Archeological site ofPatiayam (Ancient Muria Strait), Grobogan and Sangiran (Figure 3, 4 and 5).

Figure 3. Samples of Patiayam – Muria: A) Pseudodon vondenbuschianus length: 49.80
mm height: 29.80 mm; B) Elongaria orientalis length: 37.95 mm height: 16.35 mm; C)
Terebridae length: 43.70 mm height: 30.75 mm; D) Ampullina bandongensis length:22.05 mm height: 15.25 mm; E) Filopaludina javanica length: 27.85 mm height: 18.55mm; F) Anadara (cunearca) pilula length: 28.55mm height: 27.70 mm.

Figure 4. Samples of Grobogan: A) Plotia scabra length: 14.05 mm height: 5.05 mm; B)
Cullelus dilatatus length: 49.60 mm height: 25.05 mm; C) Antigono chemnitzii length:
68.05 mm height: 63.30 mm; D) Tibia modesta length: 19.75 mm height : 6.10 mm.

54Figure 5. Samples of Sangiran: A) unindentified length: 57.60 mm height: 36.05 mm; B)
Telescopium telescopium length: 111.05 mm height: 57.05 mm; C) Anadara sp. length:55.25 mm height: 38.05 mm; D) Dosinia insularum length: 42.05 mm height: 47.05 mm;E) unindentified length: 32.05 mm height: 23.05 mm.
The Age of Marine Mollusc Fossils with Radiocarbon Dating
Result of marine mollusc fossils ages using Accelerator Mass Spectrometry (AMS)
radiocarbon through 4 steps : sampel preparation, chemical pretreatment, combustion(oxidation) and sample processing with AMS. The result of marine mollusc fossils 14C
ages has to calibrate using OxCal Calibration (Table 1).
Table 1. Result of 14C ages and Radiocarbon Ages Calibration
14C AgeNo
No. Sampel
Lokasi(BP/Before Present)
1
MOL‐CD1
Grobogan
23127 ± 107

Calibrated Age(BC/ Before Christ)
25692 ‐ 25252

2

MOL‐CD2

Sangiran

35390 ± 258

38710 ‐ 37383

3

MOL‐CD3

Patiayam – Muria

23871 ± 112

26248 ‐ 25735

4

MOL‐CD4

Grobogan

7571 ± 39

6479 ‐ 6379

5

MOL‐CD5

Patiayam – Muria

12227 ± 56

12426 ‐ 11994

6

MOL‐CD6

Sangiran

30216 ± 183

32672 ‐ 31947*Bold: the oldest area. Underline: the youngest area

The AMS result of 14C analysis of marine mollusc fossils collected from theArcheological Site of Sangiran, Grobogan and Patiayam (Ancient Muria Strait) on theindividual was found with range ages of 6479 – 38710 BC (Table 1), after specific data
and using radiocarbon calibrated age using OxCal Calibration (Zaim. 2006; Stuiver, et.al.
1986; Nakamura, et.al. 2001). The oldest 14C age of 35390 ± 258 BP was obtained formollusc sample collected from the Archeological Site of Sangiran, then followed by
Patiayam (Ancient Muria Strait) and the youngest was Grobogan zone. Marine mollusc
fossils found in Sangiran consists of Telescopium telescopium with length of 111.05 mm
and height 57.05 mm (Figure 5). This size was found to be much larger than the recent
Telescopium in general. Anadara sp. sample found with morphology intact condition
with a length of 55.25 mm and Dosinia sp. with a length of 42.05 mm. Sangiran during
the Pleistocene become one part of the Java Island have experienced several
55

deformation due to fluctuations in sea level surface (Rosyidah, 2013). Lithology change
step from the ocean turns into a swamp and then go through with land by the activity ofan ancient volcano with different formation lithology (Wulandari. 2012). Based on
stratighraphic analysis, Sangiran area were started with Kalibeng formation (Pliocene),
Pucangan formation (early Pleistocene), Kabuh formation (middle Pleistocene) andNotopuro formation (Wulandari. 2012; Hartoko, et.al. 2014). Marine mollusc fossil
found near to Kalibeng formation in Puren River and Karangrejo. Field validation
sampling had confirmed that the result of radiocarbon dating sample (absolute ages)
and geology age were in accordance support the same result. Sangiran was found as theoldest formation as the deep sea zone.
Lithology of Ancient Muria (Patiayam) divided into six formations, that is Jambe
formation (Pliocene), Kancilan formation (early Pleistocene), Slumprit formation(middle Pleistocene), Kedungmojo formation, Sukobubuk formation (the end of
Pleistocene) and “endapan teras” (Holosen). Two formation periods of the environment
precipitation in Patiayam, such as Jambe formation in a shallow seas and four formation
at the younger area. Kancilan formation was the beginning of the changes to theenvironment (Mulyaningsih. 2008; Zaim. 2006). The AMS 14C age samples from
Archeological site of Patiayam (Ancient Muria Strait) gave the results: 23871 ± 112 BP
and 12227 ± 56 BP with variety of marine mollusc fossils: Terebridae, Pseudodonvondenbuschianus, Elongaria orientalis, Ampullina bandongensis, Anadara pilula andFilopaludina javanica (Figure 3). This formation was found as the late miocene in
Grobogan with limestone and identified as shallow seas. The area was found as the
youngest area with AMS 14C results are 23127 ± 107 BP and 7571 ± 39 BP. The zone
was known in geological term as ‘the north Kendeng limestone/carbonate mountain or
the front‐arch formation consisting with the denundation of Globigerina – limestone
Hartoko, et.al. 2014. The field validation on the coordinate position of Grobogan had
discover sampels of limestone sediment and mollusc fossils such as Antigono chemnitzii,
Cullelus dilatatus, Plotia scabra and Tibia modesta.
Conclusion. The study revealed that the archeological site of Sangiran and Patiayam
were the same as Pliocene with the oldest formation and appropriate with radiocarbon
carbon dating results as the deep sea zone (Sangiran) as well as ancient Muria Strait(Patiayam). While formation found at Grobogan with fringing‐reef found as the
youngest result of radiocarbon dating.

Acknowledgements
The authors would like very much to thanks to Master Program – Coastal Resources
Management. Fac of Fiheries and Marine Science. Diponegoro University, Semarang ‐Indonesia for the local funding. A special thanks to Prof. Hiroyuki Matsuzaki for thegenerous support of the Micro Analysis Laboratory, Tandem accelerator (MALT), The
University Museum, The University of Tokyo, Japan for the carbon dating of marine
fossils analysis. A sincere thanks to all Sangiran museum staff and local villagers at
Sangiran (Mr Bambang and Mr Tanto), Bendung Klambu, Bleduk Kuwu and Patiayam(Mr. Takim, Ms. Siti) ‐ Muria. Thanks to University of Bangka Belitung – Indonesia forthe accomodation and transport fund to join the IJJSS‐2016 at Chiba University‐Japan.

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Indonesia. 14 pp.

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Applied technology to produce free oxygen in closed room to preventhaze
Tengku Dahril* Aras Mulyadi1 and Efawani
Feculty of Fisheries and Marine Scoience University of Riau. Kampus Bina Widya Km 12.5, Simpang
Baru, Pekanbaru 28284 Riau, Indonesia
Abstract
Since 1991, haze has been a particularly acute problem in Southeast Asia, especially inIndonesia, Malaysia and Singapore. Many people especially childreen and old man have been
illness by upper respiratory tract infection (URI). The main sources of the haze has been forest fires
in Sumatra and Kalimantan. In order to solute this problems, the study was conducted using
microalgae (Chlorella sp) that cultured in Dahril bottle to produce free oxygen and to prevent
haze in closed room.
Dahril bottle made by glass bottle that facilitated by five main componens namely, two
daylight fluorescent lamps that put on the top and on the bottom of glass bottle, air pump to
supply carbodioxide, distilled water as culture media, nutrient and Chlorella sp as a seed of
microalgae.
First step to operate Dahril bottle is to wash the bottle with clean water and rinse with
hot water to kill bachteria and fungi. Then, Dahril bottle was filled with distilled water andenriched with macro and micro nutrients. First sources of nutrient made by pure chemicalmaterialsm and the second came from wastewater of palm oil mill effluent that was filteredwith Dahril filters made by a drum that were, gravel, sand, coal and palm fibre in side as naturalfilters. The concentrations of two solution (Chemical and palm oil wastewater) used in thisstudy was 10 %. The media culture than inoculate with Chlorella with initial density of 5 x 10⁴
cells/ml. Chlorella has been grow well for two weeks or more.
In order to know the effect of Dahril bottle with Chlorella inside to prevent haze and to
produce free oxygen in the closed room, two glass boxes were prepared. Both boxes were filledwith artificiall haze. One of the box was put a Dahril bottle with Chlorella growing well inside,
and another none. Oxygen concentration in both boxes were measured by oxygenmeter before
and after one hour Dahril bottle put inside. The result of this study indicated that Dahril bottle
can eliminated haze and produce free oxygen 0.8‐1.6 % higher that box without Dahril bottle
inside.
Chlorella grow well in Dahril bottle. The cell can split two to four times a day. Water
colour would be changed from white clear to leave green colour because of Chlorofill‐a or green
pigment. Photosyntesis continuously conducted with chemical reaction as follow, 6 CO₂ + 6 H₂O→ C₆H₁₂O₆ + 6 O₂↗.
Dahril bottle with Chlorella inside will be useful not only for oxygen produce but also for(1) room decorator, (2) carbon dioxide absorb (3) supplement food for animal and humanbeing, (4) natural food for zooplankton and fish larvae (5) as media in teaching and learning by
the teacher and student in the school, (6) as media for the preachers to explain the kauniahverses (7) to enhanceing room humidity and (8) to decrease waste water pollutant.
Keywords: Chlorella sp, free oxygen, Dahril bottle, haze.

59

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Introduction
Haze is traditional an atmosphere phenomenon where dust, smoke, smog and other dry
particles obscure the clarify of the sky. Since 1991, haze has been a particularly acute problem
in Southeast Asia, especially in Indonesia, Malaysia and Singapore. The main sources of the haze
has been forest fires in Sumatra and Kalimantan.
In 2015, due to forest fires in Sumatra and Kalimantan Island, Indonesia the capital cityof Malaysia, Kuala Lumpur and surrounding areas became shrouded in a pall of noxious fumes,
smelling of ash and coal for more then one month. The main sources of haze where the farmers
plantation of their ownerland and miners have set hundreds of the fires in the forest to clear
land during dry weather. Wind blow most of the fumes across the narrow strait of Malacca to
Malaysia and Singapore, althohugh parts of Indonesia especially Pelalawan District of Riau arealso affected.
In order to solute this problems, the study has been conducted using microalgae(Chlorella sp) where cultured in Dahril bottle to produced free oxygen (O₂) and to eliminate
haze impact in closed room (Dahril, 2015, 2016) Microalgae is a pioner organisms that living in
the ocean for along period of ancient times. They play an important role to transform carbon
dioxide and water to the ingredients for anmal and human being and free oxygen in the waterand in the air (sky). The microalgae can grow quickly under good and extreme conditions (salt,
alkaline, hot, colt, etc). Microalgae is a small, renewable bio‐energy for human andenvironmental sustainable today and tomorow.
Materials and Methods
Dahril bottle is a container of bottle that is used as a place to culture microalgae in an
enclosed area in this study. Dahril bottle is made of glass jars equipped or modified wih fivemain components namely fluorescent lamp as a light source, air pump or water pump as a mean
to supply carbon dioxide, distilled water as a culture medium, macro and micro nutrients, andseed of microalgae (Chlorella sp) as a seed to be developed.
Two daylight fluoredcent bulbs are placed on the top lid and in the bottom of thepedestal/base of the bottle. The light serve as a replecement of sun light for supply of energy for
microalgae to photosintesized by utilizing carbon dioxide (CO₂) and water (H₂O) which
produce carbohydrate (C₆H₁₂O₆) and oxygen free (O₂). In addition they are also able to takeadvantage of macro and micro nutrients dissolved in water as in‐organic material which couldchanged into organic matter in the form of protein, fat, vitamins and minerals that are needed in
the lives of animals and humans as food sources.
The initial step in the use of Dahril bottle is by cleaning the bottle well and then rinsed
with hot water (boiling), in order to kill bateria and fungi. Then the Dahril bottle was filled with
4 liters of distilled water with the capacity size of the bottle. 6‐liters. Two kinds of nutrient
sources were prepared to grow of microalgae. One of the nurients made by pure chemical that
we call it (Dahril Solution 1, and another one made by wastewater form Palm Oil Industry that
we call it Dahril Solution 2). The material of Dahril Solution 1 made by Chemical manufactored
namely, 1) KNO₃ 1000 mg/l, 2) MgSO₄, 250 mg/l, 3) K₂HPO₄ 250 mg/l, NaCl 100 mg/l, CaCl₂.2
H₂O 10 mg/l, then Fe‐solution, 1 ml/l and trace metal solution 1 ml/l. Fe solution made by
FeSO₄. 7H₂O 2000 mg/l and Na₂EDTA as much as 189 mg/l per1 litre aquades. Trace metal
solutions made by 1) H₃BO₃ 2860 gr/l, 2) MnSO₄.7 H₂O 2500 mg/l, ZnSO₄.7H₂O 225 mg/l,
CuSO₄.5H₂O 71 mg/l dan Na₂MoO₄ 21 mg/l per 1 litre aquades. All of this cemicals substances
can be purchased from the local stores. The second source of the nutrient came from waste
60

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

water of palm oil mill effluent that was filtered with Dahril filters made by a drum that were,gravel, sand, coal and palm fibre in side as natural filters. The concentrations of two solution(Chemical and palm oil wastewater) used in this study was 10 %.
Into the water medium then was inoculated the seed of microalgae in initial desity of 5
x 10⁴ cells/ml. After that, Dahril bottle was ready to use in his studies. By connecting thisbottle with an electrict current, both lamps glowed once the air pump was functioning properly.
Thus, the process of photosynthesis can take place continuously that will generate free oxygen,
while absorbing carbondioxide from the surrounding air
In order to know the effect of Dahril bottle with Microalgae growing inside, to produce
free oksigen and to eliminate haze, two boxes were used. The boxes were made by glass withsize 50 x 50 x 60 cm. In side of the two boxes were filled with artificial smoke by fire thecoconut fiber. One of the box was put Dahril bottle with Chlorella growing inside, and one none.
Concentration of free oxygen and temperature were measured in this two boxes, before, after
artificial smoke was fiiled and after one hour Dahril bottle was operated by oxygenmeter merk
Lutron DO‐5510.
Results and Discussion
Chlorella Gowth in Dahril Bottle
It was founded that Chlorella sp has been growing well in Dahril bottle with two kindsof nurient sources namely puce chemical ( Dahril Solution 1) and wastewater from palm oil
industry (Dahril Solution 2) . The best growth was founded in Dahril Solution 1 with celldensity of 6.8 cells/ml in day 12 compared with Dahril Solution 2 (Palm Oil Waste water) withcells density of 1,4 x !0⁶ in day 13 as shown in fig1.

Figh 1. Growth of Chlorella sp in Dahril Solution 1 (Pure Chemical) and in Dahril Solution
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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

2 (Palm Oil Wastewater) .

The effect of Dahril bottle with Dahril Solution 1 with Chlorella growing well inside to
produced free Oxygen and to eliminate haze was shown in Table 1. Based on the table 1, it could
be known that Chlorella could be supply oxygen in the closed room and eliminated haze.
Table 1. Concentration of free oxygen with and without Dahril bottle inside‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
Treatment Parameter Before smoke After smoke After Dahril bottle entered‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
P0
Temperature (˚C)
32.54
34.72
33.24
Oxygen concen (%)
20.4
16.76
18.54
P1
Temperature (˚C)
32.56
34.66
33.16
Oxygen concen (%)
20.4
16.74
19.38
P1‐P0 Temperature (˚C)
0.02
‐0.06
‐0.08
Oxygen concen (%)
0,0
‐0.02
0.84
‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
Oxygen is necessary to sustain most terrestial life especially for human and animal.
Oxygen is used in celluler respiration and many major classes of organic molecules in livingorganisms contain oxygen, such as proteins, nucleic acids, carbohydrates, and fats, as do themajor constituent inorganic compounds of animal shells, teeth, and bones. Most of the mass ofliving organisms is oxygen as a componen of water and carbon dioxide. Oxygen is too chemicallyreactive to remain a free element in air without being continuously replenished by thephotosynthetic action of living organisms. Another form (allotrope) of oxygen, ozone (O₃),
strongly absorbs ultraviolet UVB radiation and the high‐attitude ozone layer helps protect thebiosphere from ultraviolet radiation. But ozone is a pollutant near the surace where it is a by‐
poduct of smog. At low earth orbit altitudes, sufficient atomic oxygen is present to cause
corrosion of space craft.(Wikipedia.org)
Common use of oxygen includes residential heating, internal combustion engines,
production of steel, plastics and textiles, brazing, welding and cutting of steels and other metals,
rocket propellant, oxygen therapy, and life support system in aircraft, submarine, spaceflightand diving.
Photosynthesis splits water to liberate O₂ and fixed CO₂ into sugar in what is called aCalvin cycle. In nature, free oxygen is produced by the light‐driven splitting of water duringoxygenic photosynthesis. According to some estimates, green algae and cyanobacteria in marine
environments provide about 70 % of the free oxygen produced on Earth, and the rest is
produced by terristrial plants. Other estimates of the oceanic contribution to atmosphere
oxygen are higher, while some estimates are lower, suggesting oceans produced ~ 45 % ofEarth’s atmospheric oxygen each year.
A simplified overall formula for photosynthesis is6 CO₂ + 6 H₂O + photos → C₆H₁₂O₆ + 6 O₂
or simply
carbon dioxide + water + sunlight → glucose + dioxygen
During a dry season in August to October almost every year, haze has been a main problem
in Southeast Asia, especially in Riau and Sumatra. At the time, the oxygen concentration in theatmosphere around Pekanbaru city, the capital of Riau Province, decrease from 20.8 % in normally
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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

to 15 or 10 %. Upper respiratory tract infection (URI) has been the most common acute illness of thepeople in this condition. Many people especially childreen under five years old and old man andwoman have been illness by upper respiratory tract infection (URI) . Some of them died. The main
source of the haze come from forest fires in Sumatra and Borne. In 2015, due to forest fires in
Sumatra, Kalimantan Indonesia the capital city of Malaysia, Kuala Lumpur and surrounding areas also
became shrouded in a pall of noxious fumes, smelling of ash and coal for mores then one month. By
this condition, we suggested that Dahril bottle with chlorella growing inside could be to solute thisproblems.
Conclusion
Based on this study, it could be conclused that Dahril bottle with microalgae, Chlorella sp
growing inside could be used to increase the oxygen concentration in closed room. Chlorella sp
would be growing well with pure chemical (Dahril Solution 1) as well as wastewater from palm
oil industries (Dahril Solution 2) as nutrition for their growth. Therefore, it do hope that Dahril
bottle with Dahril Solution 1 and 2 as nutrient sources could be adopted as culture medium ofChlorella sp to produce free oxygen and to eliminate haze impact in the closed room.
Acknowledgment
This study was supported by Research and Development Board, Government of
Pelalawan District, Riau, Indonesia. We wish to thanks of Regent of Pelalawan Regency, forkindly supported this works. We also would like thank some of our students with their
dedication to support this study.
References
Anne M, 2016. Upper Respiratory Tract Infection. Emedicine medscape. Or (collected form
internet)
Dahril, T, 2015. Cultured of microalgae (Chlorella sp) in Dahril Bottle. Proceding of the Seminarand Exhebition on New Development of Ocean Energy in Asia Pacific, Jakarta 23ᵗ ͪ‐26ᵗ ͪ,
2015. 8 p.
Dahril, T. 2016. The growth and production of mikroalgae (Chlorella sp) using wastewater frompalm oil industry as culture medium in Riau Province. Proceding of National seminar on
Fihsries and Marine Science, in Pekanbaru, Riau Indonesia, 26 September 2016. 9 p.
Wikipedia.or 2016. Haze. Last edited by Yurivict. (Collected form internet
Wikipedia.or. 2016. Oxygen. Last edited by BGManofid. (collected form internet

63

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Chiba, 20‐24November 2016

64

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

The utilizations of wastewater from palm oil industry as culture
medium for microalga (Chlorella sp) growth and production inorder to eliminate water polution in Riau Province
Tengku Dahril*, Aras Mulyadi*, Efawani* and Subhan Riza**
Faculty of Fisheries and Marine Science, University of Riau, Pekanbaru*
Research and Development board, Riau Province Government**‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
Abstract
Palm oil industries has been developing quickly in Riau Province. Right now, atleast, 245 palm oil industries present in through around of district in Riau Province. they
discharges not only liquid waste in vast amount but also solid and gas. The liquid waste
is rich in micro and macro nutrient that can be used as culture medium of microalgae(Chlorella sp).
The study of utilization of waste water from oil palm industry as culture medium
for microalgae (Chlorella sp) in order to eliminate water polution in Riau Province wasconducted from July to August 2016. Preliminary study was conducted withconcentration of 0.0 %, 25 %, 50 %, 75 % and 100 % of waste water that collected frompalm oil industri in Tandun, Kampar, Riau. Freshwater Chlorella with initial density of 5
x 10⁴ cells/ml were inoculated to each culture medium. The algae was cultured insimple incubator, illuminated by two daylight fluorent lamp with light intensity of 2000
lux at temperature 23 to 28 ⁰C. The density of Chlorella was enumurated every threeday, for 12 days cultured periods.
Result of this prelimenary study indicated that palm oil waste water canpromote the growh of Chlorella sp. The high density of Chlorella sp was found at theconcentration of 25 % palm oil waste water, with cell density reached of 3.3 x 10⁶
cells/ml. Based on the result of the prelimenary study the second study was continuoedwith lower concentration of waste water, namely, 0.0 %, 10 %, 20 % and 30 %. The
growth and production of Chlorella sp were measured at the end of this study.
The result of the second study indicated, the high density of Chlorella sp was
found at concentation of 20, % of waste water with cell desity of Chlorella sp reached
6.5 x 10⁶ cells/ml and biomass reached about 0.36 g/l. The concentration of nitrate inculture medium decreased from 13.8 mg/l at the beginning of this study to 2.4 mg/l atthe end and phosphate decreased from 2.26 mg/l at the beginning of this study to 0.17mg/l at the end of 22 days study periods.
Based on this study, it can be concluded that waste water from Palm oil industry
can promote the grwth and production of Chlorella sp, and effectively used to decrease
the concentration of water poluutants especially nitrate and phosphate in waste waterfrom palm oil industru in Riau Province.

Keywords
Palm oil wastewater industry, Chlorella sp, water polutions

64

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Introduction
Riau is a largests number of palm oil plantation in Indonesia with areas of
2.399.173 in 2014. The production of Crude Palm Oil (CPO) reached 7,047,221 ton in2014 produced by 245 of Palm oil Industries. The Palm Oil Industry generates large
quantity of wastes whose disposal is a chalenging task. They also gives rise to highly
polluting waste‐water, known as Palm Oil Mill Effluent (POME), which is often
discharded in disposal ponds, resulting in the leaching of contaminants that polute thegroundwater and soil, and in the release of methane gas into the atmosphere. POME
could be used for biogas production through anaerobic digestion.
In a conventional Palm Oil Mill, 500‐700 kg of Pome is generated for every ton ofprocesses fress fruits bunches (FFB). Most of the Biomass residues from Palm Oil Mills
are either burnt in the open or disposed off in waste ponds. The Palm Oil Industry,
therefore contributes significantly to global climate change by emitting carbon dioxideand methane
Wastewater production from all palm oil industries in Riau are estimated to be
29.250.000 ton/year (Riaupos, Sunday, 30 August 2015). This wastewater containbiological oxygen demand (BOD) estimated to 8,200‐35,00 mg/l, Chemical Oxygen
Demand, 15,103 – 65,100 mg/l, Total Solid Suspended (TSS) estimated to be 1,220‐
50,700 mg/l, oil and lipid estimated to 150 ‐14,700 mg/l (Dirjen PPHP, 2006).
Therefore, it is very important to conduct a reseaarch to eliminate the effect ofwastewater Oil Palm Industry in Riau province.
Chlorella is a potential food source because it is high protein and other essential
nutrients when dried, it s about 45 % protein, 20 % fat, 20 % carbohydrate, 5 % fibre,
and 10 % minerals. It is also abundant in calories and vitamins. Chlorella is alsosuggested as an inexpensive protein supplement to human and animal diet. Undercertain growing condition, Chlorella yields oils that are high in polysaturated fats
Chlorella is a pioner organisms living in the ocean for along periods of time. Theyare (sun) light driven cell factories that transform carbondioxide (CO₂) into: ingredientsfor feed and food, free Oxygen (O₂), and biomass for feed stock adn bio‐fuels. They cangrow fast under extreme condition (salt, freshwater, alkaline, hot etc, yield up to 10
times that of traditional crop and do not compete with traditional crops for food, andcan be used marginal land. They can absorb many in‐organic materials from wastewatersuch as nitrogen, phosphore, kalium, magnesium, ferum, and others so they can be able
to clean the dirty water (purify). In this study we use wastewater from palm oil
industries to grow and produce Chlorella sp in order to elimanated water polution frompalm oil industry in Riau Province.
Materials and Methods
This study was conducted in two steps. Step one we call a prelimenary study
with high concentration of palm oil wastewater, and the second steps with low
concentration of wastewater. Wastewater from Palm Oil Industry belong to PTPN V
Tandun, Kampar. Riau was collected and filtered with Dahril Filter. Dahril filter is a tool
specially designed to filter the palm oilmill effluent (wastewater). Dahril filter was madeby a plastic drum with gravel, sand, coal and palm fibres inside. The Dahril filter was
filled with wastewater through filter substrate than the wastewater was boilled as long65

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016as 20 minute to kill backteria and fungi. The wastewater than was filtered again throughmembrane filter (1 μ pore size). This filtered wastewater was put in 400‐ml plastic
bottle, that call it Dahril Solution, that can be used in this experiment. This
wastewater was diluted by adding distilled water with the high concentration of 0,0 %,25 %, 50 %, 75 %, and 100 % as prelimenary study in 400 ml‐ culture medium.
Chlorella sp, obtained from freshwater Aquaculture Research Centre, Depok,
West Jawa, was inoculated with initial density of 5 x 10⁴ cellls/ml in 600 ml flasks foreach treatmens. All growth studies were conducted in triplecate. Algae were cultured ina simple incubator with continuous aeration, illuminated by two daylight fluorescentlamps with a light intensity of 4000 lux and temperature between 23 to 28⁰C. The algae
density was enumerated daily for 12 d using a thomacytometer under a binocular
microscope.
Based on the result of the prelimenary study in treatment 1, the study wascontinued with low concentration of wastewater namely 10 %, 20 % and 30 %, and 0 %as control. The study was conducted in 6 l‐plastic bottle with culture medium 4 l eachtreatments and continuosly aerated in outdoor room. The light come from sunlight
directly with room temperature about 28 to 33ᵒ C.. Chlorella was inoculated with initial
density of 5 x 10⁴ cells/ml. The number of algae cells was enumerated daily for 22 dusing thomacytometer under binocular microscope. After 22 days of culture periods, allbiomass algae were harvested and dry weight of algae were measured using analitic
balanced. Concentration of nitrate and phosphate before and after algae culture werealso measured.
Resuls and Discussion
It was founded that wastewater from palm oil industry in Riau Province
supported the growth of Chlorella sp. The best growht of Chlorella was founded in the
low concentration of wastewater (25 %) conpared with high concentration (50 %, 75 %and 100 %)., with total density of 3,3 x 10⁶ cells/ml at day 12 (fig 1)

66

The 7th Indonesia Japan
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Chiba, 20‐24November 2016.
Fig 1. Growth of Chlorella sp with high concentration of palm oil wastewater
Based on the result of this preleminary study, the experiment was continued
with the concentration of 0.0 %, 10 %, 20 %, and 30 %. The result of the second
experiment, it was founded that concentration of 20 % of wastewater was better
compare with concentration of 10 % and 30 %. High concentration of Chlorella sp was
found in 22 days with total density of 6.6 x 10⁶ cells/ml as shown in fig 2.

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The 7th Indonesia Japan
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Chiba, 20‐24November 2016

Fig 2. Growth of Chlorella sp with low concentration of palm oil waste water.
At the end of this study, the total cell density and biomass of Chlorella werealso found higher in the concentration of 20 % with total number of 0,36 gr/l as shownin tabel 1.
Table 1. Total cell density and biomass at the end the study‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
Treatmens

Cell density (Cells/ml) Biomass (gr/l)‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐P0 (0 %)

550.667

0.05

P1 (10 %)1.422.000

0.17

P2 (20 %)6.145.333

0.36

P3 (30 %)1.524.000

0.18

Many studies have been reported that nitrogen and phosphore are the two main
nutrients that can influence phytoplankton growth (Finenko and Akinnina 1974:
Febregas et al 1986). Dahril, Ahmad and Iizuka, (1995 and 1998) reported that humanmanure and animal manures with contain high concentration of nitrogen and phosphore
can support the growth and production of freshwater green algae (Chlorella sp) in bathculture medium. In this study, it was also found that green algae, Chlorella sp can
growth properly in palm oil wastewater. They could also be able to decreased nitrate
and phosphate in wastewater contain,. Therefore, Chlorella sp can be used efectively todecrease nitrogen and phosphore in wastewater of palm oil industry in Riau province.
The concentration of nitrate and phosphate before and after chlorella growth in many
concentration of wastewater from plam oil industry can be shown in tabel 2 follows,.
68The 7th Indonesia Japan
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Chiba, 20‐24November 2016

Table 2. Mean concentration of nitrate and phosphate before and after Chlorella
cultured in each treatments.
‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
Treatments

Nitrat (mg/l)
Before After

Decreased

Phosphate (mg/l)
Before After

Decreased‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐P0 (0 %)

4.1

0.4

3.7

0.40

0.09

0.31

P1 (10 %)

7.7

3.3

4.0

0.83

0.11

0.72

P2 (20 %)

13.8

2.4

11.4

1.16

0.17

0.99

P3 (30 %)

18.4

11.8

6.6

1.38

0.64

0.74

‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
Conclusion
Based on this study we could conclusion that waste water from Palm Oil Industri
could be able to increase the growth and production of Microalgae, Chlorella sp.. Highgrowth and biomass production of microalgae was founded in the concentration of 20 %of waste water with cell density of 6.6 x 10⁶ cell/ml and biomass, 0.36 gr/l. Utilization of
Chlorella sp in wastewater from palm oil industry could be able to decrease theconcentration of nitrate from 13.8 to 2.4, and phosphate from 1.16 to 0.17 mg/l.
Therefore, Chlorella sp beside could be able to used as food supplement for animalhusbandry, they could also eliminate water pollution by palm oil industries wastewaterin Riau Province
Acknowledgment
Thes study was supported by Ministry of Research, Technology and higheducation, Republic of Indonesia, Jakarta. We wish to thaks Head of Research andSociety Dedication league, and Dean of Faculty of Fisheries and Marine Science,
University of Riau for kindly supported this works. We also would like thank some ofour students with their dedication to support this study.
References
Dahril, T, M. Ahmad and S. Iizuka. 1995. Effect of Human Excreta on the Growth of aFreshwater Green Alga (Chlorella p) and a Rotifer (Brachionus calyciflorus). Asian
Fisheries Science 8 (1): 41‐46
Dahril, T. M. Ahmad and S Iizuka. 1998. Effect of Various Animal Manures on the Growthof a Freshwater Green Algae (Chlorella spp) and Rotifer (Brachionus calyciflorus).
Asian Fisheries Dcience 11 : 193‐201.

69

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Chiba, 20‐24November 2016

Dirjen PPHP, 2006. Pedoman pengelolaan limbah industri kelapa sawit. Direktorat
Pengolahan dan Pemasaran Hasil Pertanian, Deptan, Jakarta. (In Indonesia)
Fabregas, J. Cherrero, B Cabezas and J Abaide. 1986. Biomass production andbiochemical composition in mass cultures of the marene microalga Isochrysis
galbana Porke at varying nutrient concentration. Aquaculture 53 : 101‐113
Finenko, ZZ and D.K.E. Akina 1974. Effect of in organicphosphorus on the growth rate ofdiatom. Marine Biology 20:193‐201

70

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Ecosystem Dynamics in the Mahakam Estuary East Kalimantan
Idris Mandanga *, Bohari Yusufb, Suhendar I Sachoemarc
aDepartment of Phyiscs, Faculty of Mathematics and Natural Science,

Mulawarman University, Samarinda 75123, Indonesia

bDepartment of Chemistry, Faculty of Mathematics and Natural Science,

Mulawarman University, Samarinda 75123, Indonesia

cAgency for Assessment and Applications of Technology (BPPT), Ministry of Research andTechnology and Higher Education, Indonesia

Abstract
The coupled physical‐biological numerical models are useful tools for understanding therelevant processes and the influence of biota and human activity on the ecologicalconditions in the estuary. The models, which are at the third level, should be validated,
describing the most relevant parts of the natural system in a credible way in order to be
applicable for making projections. The model has application to the hydrodynamics andecosystem condition of the Mahakam Estuary, East Kalimantan, Indonesia. The work
describe in the project with only a part of the component of the system, in relation to theabiotic component: hydrodynamics, suspended sediment and light, nutrient and bottom
sediment. Understanding and quantitative describing of marine ecosystem requires anintegration of physics, chemistry and biology. The coupling between physics, which
regulates for example nutrient availability and the physical position of many organism isparticularly important and thus cannot be described by biology alone. Therefore theappropriate basis for theoretical investigations of marine system are coupled models,
which integrate physical, chemical and biological interactions. The numerical modellingin the well‐mixed in the main channel show that tidal flows dominated the overall
transport patterns and flushing through the system of the channel. Both flushing time ofplan nutrient and exchange rates with the ocean play a role in governing phytoplankton
blooms.

Keywords
Ecosystem dynamics; Hydrodynamics model; Ecosystem model; Suspended Sediment Transport;
Mahakam estuary.

1. Introduction
The Mahakam Estuary, located on the east coast of Kalimantan, Indonesia, is anactive delta system which has been formed in humid tropical environment under* Corresponding author. Tel.: +62‐541‐749140; fax: +62‐541‐749140.

E‐mail address: idris@fmipa.unmul.ac.id

71condition of relatively large tidal amplitude, low wave‐energy, and large fluvial input(Fig.1). Tidal processes control the sediment distribution patterns in the delta mouth
and are responsible for the flaring estuarine‐type inlets and numerous tidal flats. The
modern Mahakam delta has two active fluvial distributary system directed northeastand southeast. The intervening areas consist of tide dominated areas, with many highsinuosity channels which are mostly not connected to the fluvial system (Fig. 1). This
intredistributary zone occupies approximately 30% of the delta plain (Allen et al., 1977).

Figure 1. The Location of study and Bathymetric map of the Mahakam Estuary

In the Mahakam estuary, the near bottom layer salinity clearly exhibits different ofsalinity distribution. Due to the balance between upstream baroclinic forcing in the lower
layers, the salinity front in near bottom layer does not propagate far offshore, but just in the
tip of the main river channel. The front oscillates back and forth along the Mahakam rivermain channel in accordance with the tidal period. In the surface layer at offshore area, there issmall circulation area having salinity higher than its surrounding area. This area represent theconvergence and divergence zone between freshwater fluxes and tidally oscillated saline
water where vertical mixing is intensively occurring in this area in coherence with tidal
oscillation (Mandang, et al, . 2009).

2. Material and Methods
2.1.

Observation Data

Bathymetry data of the model domain were obtained from DISHIDROS(Indonesian Navy Hydrographic Department) of Indonesian Navy (Fig. 1(b)). The model
domain in this study covers the area of Mahakam delta (0o10’00’’S – 1o03’00’’S and
116o59’00’’E – 117o49’14’’E), offshore area of approximately 30 km from Muara Bayur
toward the Makassar Strait and toward upstream from Muara Pegah up to Sebulu which
passes through the Samarinda city (Fig. 1). The observed elevation data at Sungai
Mariam (Fig. 1) with the model results for the corresponding 20 days period on July2010 (Fig. 2)72

Figure 2. Elevation Data in the Sungai Mariam Mahakam Estuary

The averaged monthly river discharge data of the Mahakam river (1993 – 1998)
obtained from the Research and Development Irrigation Ministry Public Work, Republicof Indonesia are shown in Fig. 3

Figure 3. The average monthly river discharge data of the Mahakam river

2.2.

Hydrodynamics Model

Estuary and Coastal Ocean Model with Sediment Transport (ECOMSED) is a three‐dimensional hydrodynamic and sediment transport model. The hydrodynamic module
solves the conservation of mass and momentum equations with a 2.5‐level turbulent
closure scheme on a curvilinear orthogonal grid in horizontal plane and ‐coordinate in
the vertical direction. Water circulation, salinity, and temperature are obtained from thehydrodynamic module. The sediment transport module computes the sediment settling
and resuspension processes for both cohesive and noncohesive sediments under the
impact of waves and currents.
The governing equations of the hydrodynamic component in ECOMSED are thecontinuity equation, Reynold’s equations, heat and salinity transport equations. The
basic equations for the three-dimensional mode are:
The continuity equations:
U V W
 0,


z
y
x

(1)

73

where (U,V,W) are the eastward (z), northward (y), and upward (z) components ofthe current. A dynamic boundary condition evaluated at the sea surface z =  will
indicate the relation between sea surface elevation  and vertical velocity at the sea
surface W as,

 
(2)
U 
V  W  ,

y
x
t
The vertical velocity at the sea surface W can be obtained by integrating (1) fromthe bottom z = ‐H to the sea surface z = .
The momentum equations using the Boussinesq approximations and theassumption of vertical hydrostatic equilibrium in Cartesian coordinates are given
below.
U
U
U
U
U
W
V
 fV
t
y
x
z

 U V  U   
1 P  U   
 AM   ,
  AV 2 AMx  y 
 0 x z z  x  y x  

V
V
V
V
W
V
U
 fU
y
x
t
z
 U V    
1 P  V 
V   
 AM 
 2 AM ,  
  AV 0 y z  y 
z  x  y x   y 

(3)

(4)

0

P   0 g    0  B dz ,B   0 ,
g
0

(5)

z

(6)

and, the equations of temperature and salinity,

T
T
T
T

T   T   
T 
A
,
U
V
W
 K

A

t
x
y
z z  V z  x  H x  y  H y 

(7)

S 
S   
S
S
S

S   
S
,
U
V
W
  KV   AH
 AH

y 
x  y 
t
x
y
z
z 
z  x (8)where T denotes the temperature, S the salinity, f the Coriolis parameter (= 2 sin
;  = 7.27 x 10‐5s‐1 and  is the latitude), ρ the density, ρ0 the reference density (=1024.78 kg m‐3), g the acceleration of gravity (= 9.8 m s‐2), P the pressure, B thebuoyancy, AV and KV the vertical eddy viscosity and vertical diffusion coefficient, AM thehorizontal eddy viscosity, AH the horizontal diffusion coefficient.
The horizontal eddy viscosity and diffusivity coefficient is given on the basis of
Smagorinsky formula where they increase proportionally to the grid spacing and thevelocity shear.





1/ 2

2
2
2


AM  AH  x y  U
  V  U  / 2   V   ,x  yy  y  (9)where α is a constant (= 0.22) and x and y are horizontal mesh size (x = y =200 m ).
The vertical eddy diffusivity coefficients of momentum, temperature, salinity, andsuspended sediment concentration are obtained through the 2.5 level turbulence
closure scheme developed by Mellor and Yamada (1982).
74

The development of three‐dimensional (3‐D) hydrodynamic models started in thelate70's. Three‐dimensional hydrodynamic models are numerical code solving generally
the Boussinesq equations. The availability of equations based on physical laws of classic
mechanics, know from 18th century, is one of the main differences betweenhydrodynamic and biogeochemistry models, because equations for biogeochemical
phenomena are generally not universally accepted and in most cases empirical or semi‐
empirical.
2.3.

Ecosystem Model

The biological model cycles concentrations of organic carbon and nitrogenthrough microplankton and detrital compartments with associated changes in dissolved
concentrations of nitrate, ammonium and oxygen. The concentrations are updated intime by solving a transport equation for each state variable where by the biologicalinteractions are included as source and sink terms and which takes account of verticalsinking and the physical transport by advection and diﬀusion. As an exception,
chlorophyll is derived algebraically from microplankton carbon and nitrogenconcentrations. The sediment model determines the time evolution and transport ofinorganic particulate material. Exchanges between the water column and the seabed aremodelled through a “ﬂuﬀ” layer in the microplankton and detritus compartments and in
the sediment model.
The nutrient NN and NP (NN; Dissolved Inorganic Nitrogen and NP; Phosphate),
phytoplankton P, zooplankton Z and detritus D are included in this numerical ecosystemmodel (Yanagi, 1999; Anukul et al., 2008) . The concentration of dissolved oxygen O2 iscalculate at the same time. The state variables obey the following equations which
include advection, diffusion and biochemical processes :PP   
P 
P
P
P
P
U
V
W
Sp
 K

K

t
x
y
z
 z x  H x   z  V  z 
 A1P  A2 P  A3 Z ,

(10)


P   
P 
Z
Z
Z
Z
U
V
W
 KH

 KV

t
x
y
z  x x  z z  A3 Z  A4 Z  A5 Z  A6 Z ,

(11)

N N

U

N N

V

N N

t
x
y
 A1Z  A6 Z  A7 Z ,

W

N N
z




P   
P 
K

K

 x  H x  z  V  z 

N P
N P   
N P 
N P
N P


K

  K H
W
U
V


z
x 
x  z 
z 
x
t

(12)

(13)

 A1P  A6 P  A7 D ,D   
D 
D
D
D
D
U
W
 SD
 KH

K

t
x
z
z
x   z  V z x 
 A2 P  A4 P  A5 D  A7 D ,

(14)

75

O 2 O 2   
O 2
O 2
O 2


K

  K H
W
U
V


z 
x 
 x  z 
z
x
t

(15)

 B1P  B2 P  B3 P  B4 P.

The origin of the Cartesian coordinate system is set at the sea surface of theestuary head with the x ‐ axis directed toward the estuary mouth and the z‐axis upward.
U and W denote the velocity in the x and z directions, respectively. Sp denotes thesinking speed of phytoplankton and SD that of detritus. KH and KV denote the horizontal
and vertical diffusivities, which depend on the tidal current Amplitude and theRichardson number.
The computational domain, grid spacing and time steps were the same as those of
ECOMSED the same as those of temperature and salinity with fixed values at all grid
locations along the boundary plane throughout model operation. The loads of majorrivers were taken into consideration, while non‐point source nutrients along coastlines
were ignored due to a lack of reliable data. Initial values of ecosystem parameters,
derived from the overall average of measured data, were set to be identical in all
experiments –1.55 mg m–3 , 9.70 µM‐N l –1 and 0.23 µM‐P l–1 for chl‐a, DIN and DIP,
respectively. Zooplankton and detritus were assigned as 8.2 % of chl‐a and equal to chl‐aconcentrations, respectively, similar to the lateral boundary setting.
The model operation was tested and a steady state of all simulated parameters
was attained after days 5 of computation. Calculated results were collected andaveraged from days 15 to 20 in the same way as those of circulation model. Simulatedchl‐a distributions in the same months of observational cruises are presented anddiscussed.

3. Results and Discussion
Simulations of the spatial and temporal variations in chlorophyll‐u, nitrate,
phosphate and suspended particulate matter distributions in winter, spring and summer
show how the development of the spring bloom and subsequent maintenance ofprimary production is controlled by the physicochemical environment of the plumezone. Results are also shown for two stations, one characterized by the high nutrient andsuspended matter concentrations of the plume and the other by the relatively low
nutrient and sediment concentrations of the offshore waters. The modelled net primary
production at the plume site was 105 g C m‐* a‐’ and 127 g C m‐* a‐’ offshore. Primary
production was controlled by light limitation between October and March and by theavailability of nutrients during the rest of the year. The phytoplankton nutrient demandis met by in‐situ recycling processes during the summer. The likely effect of increasing
and decreasing anthropogenic riverine inputs of nitrate and phosphate upon ecosystem
function was also investigated. Modelling experiments indicate that increasing thenitrogen to silicate ratio in freshwater inputs increased the production of non‐siliceous
phytoplankton in the plume.
The results of this model have been used to calculate the annual and quarterly
mass balances describing the usage of inorganic nitrogen, phosphate and silicate within
the plume zone. The modelled Mahakam Estuary retains 3.9% of the freshwater
dissolved inorganic nitrogen, 2.2% of the freshwater phosphate and 1.3% of the
freshwater silicate input over the simulated seasonal cycle. The remainder istransported into the Makassar Strait in either dissolved or particulate form. The
reliability of these results is discussed.
760.070
0.065

0.009

Nitrate

0.060

0.007

0.050
0.045

0.006

mmol/l0.040

mmol/lPhosphate

0.008

0.055

0.035
0.030
0.025

0.005
0.004
0.003

0.020

Simulation results

0.002

0.015
0.010

Simulation results
Observation data

0.005

Observation data
0.001
0.000

0.000

Month

Month

Figure 4. Verification model between simulation and observation data for nitrate and phosphate
(a)

(b)

(c)

Figure 5. Distribution pattern (a) DIP, (b) DIN, and (c) Chl‐a in the Mahakam Estuary.

Acknowledgement
The author would like to thank The Ministry of Research, Technology, and Higher Education
Republic of Indonesia and for financial support.

References
Buranaprathprat. B, Yanagi. T, Niemann. K, Matsumura. K, and Sojisporn. P. (2008). Surface
chlorophyll‐a dynamics in the upper Gulf of Thailand revealed by a coupledhydrodynamic‐ecosystem model. Journal of Oceanography,Vol.64, pp. 639 ‐ 656.
Allen, G.P., and Chambers, J.L.C. (1998). Sedimentation in the Modern and Miocene Mahakamdelta, Jakarta, Indonesia Petroleum Association, Field Trip Guidebook.

Andreas. M, and Gunther. R (2003). Reviewe of three‐dimensional ecological modelling
related to the North Sea shelf system: Part 1 : models and their results. Progress in
Oceanography, Vol. 57, pp 175 ‐ 217.
Blumberg, A.F., and G. L. Mellor. (1987) A description of a three‐dimensional coastal ocean
model”, In: Coastal and Estuarine Sciences 4, Three‐Dimensional Coastal Ocean
Models”, Amer Geophys. Union, Washington D.C., 1 – 20.

77

Mandang, I., and Yanagi, T. (2009). Cohesive Sediment Transport in the 3D hydrodynamic‐
baroclinic circulation model in the Mahakam Estuary, East Kalimantan, Indoensia,
Coastal Marine Science, Vol. 33, No. 1, pp 9 – 21.
Yanagi, T. (199). Coastal Oceanography, Terra Scientific Publishing Company, Tokyo

78

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Aquarius Sea Surface Salinity in the Indonesian Seas
I Wayan Gede Astawa Karanga,b*, Bayu Priyonoc, Made Narayana Adibusanaa,
Takahiro Osawab
aFaculty of Marine Science and Fisheries, University of Udayana, Denpasar, Bali, Indonesia
bCenter for Remote Sensing and Ocean Sciences (CReSOS), University of Udayana,

Denpasar, Bali, Indonesia
cMarine Research and Observation, Jl. BaruPerancak, Negara‐Jembrana, bali

Abstract
National Aeronautics and Space Administration (NASA) recently launched Aquarius
satelliteto measure the Sea Surface Salinity (SSS) fields from space at global and regional
scales. These five years ofSSS data were analyzed in the Indonesian Seas. The analysis isfocused on whatpatterns of the spatial and temporal distributions of SSS in theIndonesian Seas? How does SSS change with seasons in the Indonesian Seas, particularlyin the Indonesian Throughflow (ITF) channel?
As a resultAquarius observations of SSS showed Indonesian Sea varied annual
and seasonally. SSS propagating feature was characterized with the seasonal cycle suchas Southeast monsoon and Northwest monsoon and estimated SSS concentrations
during January to May give fresher (lower) thanduring June to November due to rainfall
effects.
The seasonal variability of SSS in the ITF channel was also estimated in the Java
Sea, Makassar Strait, Celebes and Banda Seas. These results showed that SSS patterns inthese seas might be influenced by El‐Nino‐ Southern Oscillation (ENSO) phenomena and
La‐Nina duringNorthwest Monsoon period which indicated by remarkable freshening in
the South China Sea then expand to the Java Sea, Makasar Strait and Banda Sea.

Keywords
Aquarius; Sea Surface Salinity (SSS); Indonesian Seas; ITF; Seasonal Variability;
ENSO‐Monsoon

1. Introduction
The global scale observations of oceanic and climate variables will be answered how is
the ocean‐atmosphere interaction process occurred and its relationship with the climatechange. The space observations of oceanic variables are starting in the sixties with sea
surface temperatures (SST) followed by ocean color in the eighties and the surface windfield in the nineties (Menezes at al, 2014). The availability of satellite oceanography data
has given great benefit in the last six decades not only for physical processes but also interm of biology and ecosystem of the ocean. However, one important variable that is still
not well understood, due to the lack of routine global observations, is salinity [e.g.,
Roemmich and Gilson, 2009; Locarnini et al., 2010; Antonov et al., 2010., Menezes at al,2014]. Compared to SST and ocean colour measurements, salinity observations are* Corresponding author. Tel.: +62361‐702802

E‐mail address:gedekarang@unud.ac.id

79sparse both temporally and spatially especially in the tropical oceans. .Together withtemperature, salinity variations have a major inﬂuence on the density of seawater and,
therefore, the oceanic circulation.
In the recent past, the technological advances have signiﬁcantly improved thebasis of salinity measurements, and gives oceanographers more possibility toinvestigate contemporary salinity variations for spatial and temporal purposes. The
advancement in observing ocean salinity is the launch of two satellite missions designed
to retrieve sea surface salinity (SSS) from spaceborne measurements (Kohler at al.,2015). The ﬁrst mission is the European Space Agency’s (ESA) SMOS (”Soil Moisture andOcean Salinity”, Font et al. (2004)), which started retrieving SSS in November 2009,
followed by the American National Aeronautical Space Agency’s (NASA) ”Aquarius/SAC‐
D” (Satelite de Aplicaciones Cientiﬁcas) mission (Lagerloef et al., 2008) two years later.
The latter ended on June 7, 2015 due to an unrecoverable hardware failure. SMOS SSS
data are now available on a routine basis, covering the global ocean every 3 days.
Aquarius covered the global ocean every 7 days and SSS data are available until June
2015. Signiﬁcant beneﬁts can be expected from these novel satellite SSS ﬁelds forquantitative studies of ocean salinity variations.
Recently several study of oceanic and atmospheric process related to the SSS
using Aquarius satellite data archive have been done. Lee at al (2012) investigatedsuchthe tropical instability waves in the equatorial Paciﬁc and Atlantic oceans using
Aquarius data set. Gierach et al (2013) used Aquarius to study the extreme Mississippi
river ﬂooding event in the Gulf of Mexico in May–July 2011. The used of Aquarius data
were extend for the salinity changes study in the Amazon/Orinoco [Grodsky et al., 2014]
and South Indian Ocean: Revealing annual‐period planetary waves (Menezes et al.,2014). Most of these studies focus on the Atlantic and Indian Oceans and to the best of
our knowledge none has been dedicated to the Indonesian Seas.
The Indonesian Seas plays a central role in the climate system. They carried out
the Paciﬁc waters in to Indian Ocean trough the Indonesian Throughﬂow (ITF) (Sprintall
at al., 2003). The surface layer of the Indonesian Seas is well known controlled by winds
with a strong annual signal driven by seasonally reversing monsoon. The aims ofpresent study is to compare SSS annual mean and to observe SSS variability in theIndonesian Seas.

2. Research methods
The study area extends from 91,5° E – 142,5° E and 15,5°S – 15,5° N (Figure 1). In
this study, monthly as well as 7‐day smoothed fields at 10 x 10 from January 2012 to
December 2014 were used. The Level‐3 product used and their metadata were obtained
from Physical Oceanography Distributed Active Archive Center, ftp://podaac‐
ftp.jpl.nasa.gov/allData/aquarius/L3/mapped/CAPv4/). Aquarius ﬂies in a sun‐synchronous polar orbit and crosses the equator at 6am (descending) and 6pm(ascending) local time. Aquarius directly retrieves brightness temperatures inapproximately 390 km wide swaths with a global coverage of ice‐free ocean every 7days from an altitude of 657km and an inclination of 98◦. The Aquarius instrument
consists of three L‐band horn antennas sharing a common parabolic reﬂector. Each hornantenna connects to a separate Dicke radiometer, and the scatterometer is time‐sharedsequentially between the three horns, which means that the scatterometer signal isrotated among the three horns and through vertical and horizontal polarization
channels.In the present study we calculate the annual and monthly mean SSS for theIndonesian Seas and find the differences. Compute seasonal anomalies of the SSS byremoving the annual mean. Calculate the seasonal SSS anomaly for a few different
locations in the Indonesian Seas as a part of ITF area (South China Sea, Java Sea, Banda
Sea, Makassar Strait, Selebes Sea, Western Pacific and South‐east Indian Ocean) as
80

shown in the Figure 1. Spatial analysis is carry out by using System for AutomatedGeoscientific Analyses (SAGA) and Quantum Geographic Information System (QGIS).

Figure 1. Study area; location of gridded Aquarius data set used in this study.

3. Results and discussion
3.1 Monthly average SSS distribution in the Indonesian Seas.
Figure 2 and 3 shows the monthly mean of four years SSS in the Indonesian Seas. Basedon monthly mean SSS data, the maximum SSS occurred in Southeast monsoon (July to
September) and the minimum SSS occurred in Northwest monsoon(January to
April).The occurrence of spatial variability of SSS in the Indonesian Seas are indicated by
low SSS in the eastern part of inland seas (Karimata Strait and Java Sea) compare to thewestern part area. This result indicate that the fresh water flow South China Sea lead tolower SSS in the Karimata Strait and Java Sea. SSS of September and October has ahighest range in spatially with reaching 14 ppt and 13 ppt, respectively.

81

Figure 2. Monthly average of SSS derived from Aquarius; January to June82

Figure 3. Monthly average of SSS derived from Aquarius; July to December

3.2. Annual Difference
The annual variation of SSS data in the region is shown inSSS difference from year 2012
to 2014 (Figure 4). The results showed Aquarius SSS in 2013 is lower than 2012 and2014. The 2013 SSS shows the fresh water in the most part of Indonesian water(Karimata Strait, Makasar Strait, Java, Flores and Banda Seas), except Celebes Sea. The
Java Sea SSS in 2013 is 0.3 ‐ 1 lower than 2012. The Banda Sea SSS difference of 2013‐2012 is 0.3 ‐ 0.6. The saline water in Celebes Sea is recognized in 2013 compare to otherarea in the inland seas.

83

Figure 4. Annual differenceof SSS (2013‐2012; 2014‐2012; 2014‐2013)84

3.3. Seasonal SSS anomaly
The Aquarius SSS anomaly pattern for the northwest monsoonDecember‐January‐
February (DJF) andsecond transition March‐April‐May (MAM) seasons, averaged from2012 to 2014 is shown in Figure 4aand Figure4.b.besides the SSS for Aquarius for thedifferent season; southeast monsoon June‐July‐August (JJA) and firsttransition
September‐October‐November (SON). DJF anomaly shows a very clear remarkablefreshening in Java and Celebes Seas. A clear westward propagation of low salinity water
form Java Sea into Banda Sea can be seen in the MAM SSS ﬁeld.The freshen forms a low
salinity also can be seen in Arafura Self.
The spatial distribution for the transition period (MAM) reveals some significant
change in SSS distribution. The pattern shows great range, from a low of ‐1 in the Java,
Flores and Banda Seas to0.8 in the South China Sea, in contrast to only a 0 – 1 for theSON.

Figure 5. Seasonal anomaly of SSS

3.4 Time‐latitude diagram of Aqurius SSS inthe ITF region
The transfer of water mass between the Pacific and the Indian Oceans is an importantphenomena for regional ocean‐atmospheric circulation in the Indonesian Seas withpotential impacts on the monsoon phenomena and ENSO (Webster et al., 1998). Figure 6
display the SSS variability of Celebes Sea, Makasar Strait, Banda and Java Seas. During
south east monsoon the Celebes Sea SSS is above 34. The lowest SSS observed during
northwest monsoon and mostly on February to April. In the Makasar Strait during south
east monsoon the SSS varies between 30.5 and 34, fresher than Celebes Sea. During
north west monsoon In the Banda Sea SSS during south east monsoon the SSS is
between 34 and 34.5.
85Figure 6. Aquarius SSS of ITF channels (Celebes Sea, Makasar Strait, Banda Sea and Java Sea)

3.5 Time‐latitude diagram of Aquarius SSS in the outland‐sea
SSS variation of ITF inflow (South China Sea; West Pacific) and outflow (South Java Sea)
area are shown in Figure 7. The West Pacific SSS shows very clear monsoonal features.
The South China Sea SSS do not show very clear monsoonal variation in contrast of SSS
in West Pacific and South Java Sea show. Compare to West Pacific and South Java Sea,
the South China Sea has the lowest SSS. It is seem to be freshening in the South China
Sea occurred for all season. In the West Pacific during north west monsoon (December
to May) the SSS varies between 34 and 35. In the South Java Sea, during transition
period (September to November) the SSS varies between 34 and 34.3.

86Figure 7. Aquarius SSS of outland‐seas (West Pacific, South China Sea, South Java Sea)

3. Conclusion
The seasonal and spatial variability of SSS in the Indonesian Seas were determined.
Aquarius displays an annual and seasonalcycle for the Indonesian Seas. Aquarius SSS
feature was characterized with the seasonal cycle such as Southeast monsoon andNorthwest monsoon and estimated SSS concentrations during January to May give
fresher (lower) thanduring June to November due to rainfall effects.
The seasonal variability of SSS in the ITF channels was also estimated in the Java
Sea, Makassar Strait, Banda and Celebes Seas. As a major transport of ITF, these areashows very clear seasonal pattern which also influence by monsoon. These results
showed that SSS patterns in these seas might be influenced by El‐Nino‐ Southern
Oscillation (ENSO) phenomena and La‐Nina duringNorthwestMonsoon period whichindicated by remarkable freshening in the South China Sea then expand to the Java Sea,
Makasar Strait and Banda Sea.

87

Acknowledgments
I would like to thank the institution that provided the data used in this study: The
Aquarius satellite SSS data were supplied through the NASA/CONAE Aquarius/SACD
Project and can be downloaded from http://podaac.jpl.nasa.gov. I would like to thankthe CReSOS, University of Udayana that support this study.

References
Antonov, J. I., D. Seidov, T. P. Boyer, R. A. Locarnini, A. V. Mishonov, H. E. Garcia, O. K. Baranova, M.
M. Zweng, and D. R. Johnson (2010), World Ocean Atlas 2009, Volume 2: Salinity, in NOAA
Atlas NESDIS 69, edited by S. Levitus, 184 pp., U.S. Gov. Print. Off., Washington, D. C.
Font, J., G. S. E. Lagerloef, D. L. Vine, A. Camps, and O. Zanife (2004), The determination of surface
salinity with the European SMOS space mission, IEEE T. Geosci. Remote, 42, 2196–2205.
Gierach, M. M., J. Vazquez‐Cuervo, T. Lee, and V. M. Tsontos (2013), Aquarius and SMOS detect
effects of an extreme Mississippi river ﬂooding event in the Gulf of Mexico, Geophys. Res.
Lett., 40, 5188–5193, doi:10.1002/grl.50995.
Grodsky, S. A., G. Reverdin, J. A. Carton, and V. J. Coles (2014), Year‐to‐year salinity changes in the
Amazon plume: Contrasting 2011 and 2012 Aquarius/SACD and SMOS satellite datas,
Remote Sens. Environ., 140, 14–22, doi:10.1016/j.rse.2013.08.033.
Kohler, J., M. S. Martins, N. Sierra, and D. Stammer (2015), Quality assessment of spaceborne sea
surface salinity observations over the northern North Atlantic, Journal of GeophysicalResearch, 120 (1), 94‐112.
Lagerloef, G., et al. (2008), The Aquarius/SAC‐D Mission: Designed to meet the salinity remote‐sensing challenge, Oceanography, 21(1), 68–81.
Lee, T., G. Lagerloef, H.‐Y. Gierach, M. M. and Kao, S. Yueh, and K. Dohan (2012), Aquarius reveals
salinity structure of tropical instability waves, Geophys. Res. Lett., 39, L12610,
doi:10.1029/2012GL052232.
Locarnini, R. A., A. V. Mishonov, J. I. Antonov, T. P. Boyer, H. E. Garcia, O. K. Baranova, M. M. Zweng,and D. R. Johnson (2010), World Ocean Atlas 2009, Volume 1: Temperature, in NOAA Atlas
NESDIS 68, edited by S. Levitus, 184 pp., U.S. Gov. Print. Off., Washington, D. C.
Menezes, V. V., M. L. Vianna, and H. E. Phillips (2014), Aquarius sea surface salinity in the South
Indian Ocean: Revealing annual‐period planetary waves, J. Geophys. Res. Oceans, 119,
3883–3908, doi:10.1002/ 2014JC009935.
Roemmich, D., and J. Gilson (2009), The 2004–2008 mean and annual cycle of temperature,salinity, and steric height in the global ocean from the Argo program, Prog. Oceanogr.,82(2), 81–100, doi:10.1016/j.pocean.2009.03.004.
Sprintall, J., J. T. Potemra, S. L. Hautala, N. A. Bray, and W. W. Pandoe (2003), Temperature andsalinity variability in the exit passages of the Indonesian Throughﬂow, Deep Sea Res., PartII, 50, 2183–2204, doi:10.1016/s0967‐0645(03)00052‐3.
Webster, P., V. Magana, T. Palmer, J. Shukla, R. Tomas, M. Yanai, and T. Yasunari (1998),
Monsoons: processes, predictability, and the prospects for prediction, Journal ofGeophysical Research 103, 14,451–14,510.

88

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Coastal Dynamic, Nitrate (NO3‐) Phosphate (PO4‐) andPhytoplankton Abundance at Morodemak North Java Sea
Indonesia
aMuh. Yusuf
aMarine Science Department, Faculty of Fisheries and Marine Sciences,

Diponegoro University, Prof. Sudarto, SH Street, Tembalang, Semarang. 50275. Central
Java & University of Bangka Belitung ‐ Indonesia.

Abstract
Coastal dynamic of North Java sea was the influence of the west and east monsoon as
well as interseasonal effect during April‐June and October‐December. Espescialy tocoastal current patern and to nitrate and phosphate variation and ultimately tophytoplankton. Study area focused at 110°52'03.72''E ‐ 110°54'68'' E and 06°80.4'75''S‐ 06°82'72.22''S. Aim of study was to built current spatial model, measure insitu nitrate
and phosphate variation and phytoplankton abundance. Coastal current spatialmodelling was done using SMS‐v8.1 and sampling site based to purposive sampling
represetative to the estuary and coastal system. Spatial modelling using Arc.GIS 10
software. The study revealed that nitrate concentration ranged at 0.60‐2.0 mg/l,
phosphate 0.04‐0.24 mg/l and current speed 0.0003‐0.0033 m/sec to southeast
direction. About 22 genera of phytoplankton were found, with moderate dominancy of
Baccilariophyceae, Dinophyceae and most dominance of Rhizosolenia. Most abundanceof phytoplankton was at the mouth of the river or the estuary with 28,090,000 cell/m3.
Lowest abundance at offshore coastal site with 17,060,000 cell/m3. The highest
diversity index (H’) was 1.606 at the estuary and the lowest was 0.8730 at coastal
offshore.

Keywords

Coastal current, nitrate, phosphate, phytoplankton, North‐java sea

1. Introduction
Coastal water regarded as specific ecosystem with many natural and man madeinfluences from upland areas as well from oceans (Dahuri et.al, 2004). Nutrient ofphosphate and nitrogen considered as the limiting factor for sewater productivity(Sastrawijaya, 2009). The two nutrients has important role for the life of marineorganisms such as phytoplankton (Fachrul et.al. 2005). Nitrogen compound which canbe used are nitrite and nitrate, while phosphorus in the form of ortho phosphat (Jones‐
Lee and Lee, 2005).
Semarang, Morodemak and Demak coastal water the main study area was in fact
as fishing gound, auction place and fishermen villages with many kinds of polution to the89adjacent water and effect to water quality. More specifically are house hold organic
sewage and detergent, which will affect the concentration of nitrate and phosphate in
the seawater. Coastal current will have the influence to the distribution of nitrate,
phosphate and phytoplankton. Aim of study was to measure insitu nitrate, phosphatevariation and phytoplankton abundance, coastal current and built spatial model.

2. Method

Primary data of nitrate, phosphate phytoplankton abundance as well as dissolved
oxygon (DO), pH, salinity, sea surface temperature (SST) and water transparency.
Supporting data are digital map of Semarang and Demak coastal water in a scale of 1 :250,000. Sampling coordinates were based on Purposive Sampling Method as referedto the aim of the research (Sudjana, 1996) using GPS (Global Positioning System). Totalof 12 station were sampled, where station‐1 represent for river mouth estuary. Station
2, 3, 4, and 5 represent for the coastal water and station 6, 7, 8 and 9 represent as thefishing ground and station 10, 11, and 12 more offshore water. Precisely in thecoordinate of 110°52'03.72''E ‐ 110°54'68''E and 06°80.4'75''S ‐ 06°82'72.22''S.
Seawater samples were taken with volume of 500 ml and immediately store in a coolbox. Seawater quality parameters such as dissolved oxygen, temperature, pH, salinity
and transparency were measured insitu. Phytoplankton were sampled using 0.25
micron mesh plankton net and preserve in 4 % formaline. Coastal current measured
using current meter.
Nitrate measurement in the laboratory using Specthrophotometer after filtered with
1 m mesh, while absorbance reading using 220nm and 275nm wavelength of standard
metode SNI 06‐688.31‐2005. Phosphate measurement using standard SNI 06‐2480‐
1991. Field data and coordinate were the processed into spatial model using Arc.GIS‐
10 software (Education license). Spatial model of coastal current was processed using
SMS 8.1 software, as multilayer concept of seawater parameters had been developed by
Hartoko and Helmi (2004), then analised discriptively (Suryabrata, 1983).

3. Result and Discussion
Nitrate concentration at Morodemak‐Demak coastal water ranged of 0.60‐2.0
mg/l. Highest concentration found at station‐3 and lowest at station‐11 as presented inTabel 1 and Figure 1. This was assumed that river water bringss high concentration of
nitrate. Phosphate range from 0.08 – 0.24 mg/l with highest concentration at station‐1
or at mouth of the river (Figure 2). Coasatal current speed range from 0.0003 – 0.0033
m/s with dominant of southeast direction. Which is considered as the tidal current
pattern. In comparison to concentration at the north Papua deepsea water nitrateconcentration range of 0.2‐0.6 mg/l and phosphate concentration range of 0.02 – 0.2
mg/l (Hartoko and Subiyanto, 2009). Other implication of the current, temperature –depth interactions. Both water current and depth contribute significantly to the verticaltemperature profile of North Molucas and Halmahera, with the average current velocity
was about 2.5 cm/sec respectively (Robertson and Field, 2005) which is much higher
than coastal current of Demak. Related to the productivity processes at coastal water
the important parameter is water transparency or turbidity. Where water transparency
range of 0.21 – 1.2 m should be relative to the coastal depth.

90Tabel 1. Nitrate, phosphate, current speed and direction, DO, salinity, SST, pH and transparency
St

NO3‐
mg/l

PO4
mg/l

1

1.20

0.24*

0.0003

Directio
n
(°)
225

2

1.50

0.13

0.0006

150

3

2.00*

0.14

0.0008

135

4

1.10

0.08

0.0011

150

5

1.00

0.12

0.0013

140

6

0.80

0.24*

0.0014

152

7

0.90

0.08

0.0015

150

8

1.10

0.10

0.0022

170

9

0.90

0.15

0.0025

130

10

0.90

0.04

0.0027

140

11

0.60

0.11

0.0030

254

12

0.70

0.13

0.0033*150

Current
(m/s)

DO
mg/l

Salinity
(‰)

SST
(°C)

pH

Transparency
(m)

0.61

18

29.2

7.50

0.21

2.51

31

31.5

8.40

0.41

2.72

32

30.0

8.85

0.21

2.00

33

29.2

8.95

0.42

6.80

33

30.2

8.95*

0.80

3.22

28

31.3

8.85

1.04

3.91

33

29.3

8.65

1.02

5.00

33

31.7

8.73

0.95

6.52

33

32.2

8.72

1.20*

6.42

32

30.4

8.76

1.10

6.00

33*

29.5

8.64

1.10

7.72*

32

32.5*

8.82

1.05

Note : * as the hishest value

Figure 1. Spatial distribution of nitrate at Morodemak‐Demak
Odum (1993) mention that countinus high nutrient concentration of river water flows
into coastal water will support the primary productivity. Low concentration of nitrate at
station 11 and 12 which the most far station from the mouth of the river. Organic
nitrate as mainly come from marine organic metabolism and decomposition. Whileparticulate ones come from sediment degradation (Koesoebiono, 1980).
91Figure 2. Spatial distribution of phosphate at Morodemak‐DemakHigh phosphate concentration at station 6 and 12, this kind of spatial distribution
pattern was due to the pattern of existing coastal current. As well as moderatively highDO concentration arroind station 6. Salmin (2005) dissolved oxygen as parameter
indicator for seawater quality since dissolved oxygen take important role in the processof organic materials oxidation into inorganic particles. Dissolved oxygen also define thebiological reaction of aerobic organism in the seawater. In a aerobic condition dissolved
oxygen will take role for oxydation of organic and inorganic materials into particulate
nutrient and will increase primary productivity. Sastrawijaya (2009) explain that inseawater ecosystem consist of three type of phosphorus substances that is organic
phosphorus such as orthophosphate, organic material inside in the protoplasm anddissolved organic phosphate from decomposition process.
About 22 genera of phytoplankton was found, with moderaate domination by
Baccilariophyceae, Dinophyceae and most dominant of Rhizosolenia. Highest abundanceof phytoplankton at the mouth of the river with 28,090,000 cell/m3 and lowest at
offshore water with 17,060,000 cell/m3 (Table 2). Highest diversity index (H’) was
found at this area as well with (H’) : 1.606 and lowest of 0.8730 at offshore position.
Spatial phytoplankton distribution as presented in Figure 3. In comparison to a deep
oceanic water of Papua, Hartoko and Subiyanto (2009) found mainly two groups ofphytoplankton had been found in the north Papua deep sea water, that are edible
phytoplankton and non‐edible phytoplankton groups. The edible phytoplankton withchlorophyll content was found in the upwelling region in the Halmahera and Papua
corridor. Non‐edible phytoplankton group were characterized with a non‐chlorophyll
content, having a spiny‐silica cell walls (Radiolarians) and some of them were belongs to
the toxic Dinoflagelates. Non‐edible phytoplankton was mainly spread over the oceanic
waters up to 200 mile to the north (Pacific) water.

92

Coastal current. Coastal current spatial model was done using SMS software, where
dominant current direction towards south‐east to the coastline. Comparison of fieldcurrent data to the result of current spatial model the value of MRE (Mean Relative
Error) or meaning that error of field and simulation model is 10.74 %. Meaning thatthe value of accuracy of the simulated coastal current spatial model is 89.27 %, andscientifically acceptable. This was in accordance with Short (1987) that the value of
accepted MRE is about 15%. This specific spatial current model considered as unique
for this geographical position of Morodemak as combination effect of an open bay withestuary or mouth of the river.
The spatial current model of the area that estuary or mouth of the river has a uniquespatial coastal current pattern as also stated by Wibisono (2011). Result of the spatial
current model is considered as the interaction of surface wind, tidal current,
bathymetry and coastal land elevation (Figure 4).
Table 2. Phytoplankton abundance at Morodemak‐Demak coastal seawater (x000,000 cell/m3)
NO

GeneraBACCILARIO‐PHYCEAE

ST1

ST2

ST3

ST4

ST5

ST‐6

ST‐7

ST‐8

1

Amphora

‐

4

‐

4

6

‐

3

2

Bacteriastrum

‐

4

‐

6

6

3

3

Biddulphia

‐

6

4

4

6

4

Chaetoceros

144

28

42

29

62

5

Coscinodiscus

14

16

10

14

28

6

Dactyliosolen

82

49

46

29

69

42

64

43

31

7

Eucampia

42

22

8

16

14

‐

6

13

11

8

Hemiaulus

4

22

8

4

46

‐

21

27

19

15

ST‐9

ST‐10

ST‐11

ST‐12

TOTAL

‐

‐

9

‐

5

31

3

8

11

8

7

4

60

‐

25

41

64

8

6

9

5

13

86

168

83

49

117

67

894

24

43

23

12

9

7

11

211

93

42

96

686

8

13

7

160

8

29

203

9

Leptocylindrus

‐

‐

‐

7

14

‐

‐

‐

‐

‐

‐

‐

21

10

Lauderia

10

‐

‐

‐

4

8

10

‐

‐

5

9

10

56

11

Melosira

‐

‐

‐

‐

103

424

62

40

32

41

123

52

877

12

Nitzschia

16

48

18

69

104

127

27

39

65

103

53

91

760

13

Navicula

‐

18

14

14

23

4

8

21

32

12

28

33

207

14

Pleurosigma

22

80

44

127

268

129

189

187

94

66

142

167

1515

15

Pelagothrix‐

16

Rhizosolenia

2138

17

Thalasionema

18

Thallassiotrix

22

19

Triceratium
Thalassiosira

20

‐

‐

‐

4

‐

3

‐

‐

8

2322

1482

2092

1552

1512

1142

1191

1072

1153

‐

‐

15

1981

2003

19640*

25

69

213

‐

‐

49

164

132

58

74

44

40

82

80

100

63

41

36

72

15

797

74

24

680

‐

‐

‐

‐

4

8

‐

‐

6

‐

‐

9

27

81

‐

‐

‐

48

87

‐

‐

25

‐

41

‐

282

DINOPHYCEAE
21

Peridinium

66

83

25

47

6

17

4

23

44

18

37

19

389

22

Ceratium

4

8

8

6

4

3

‐

4

12

6

5

10

70

2809

1822

2721

2453

2509

1823

2022

1728

1706

2764

2665

27667

Total perstation2645

93

Figure 3. Spatial distribution of phytoplankton at Morodemak‐Demak

Figure 4. Spatial distribution of phytoplankton at Morodemak‐DemakThe study revealed that nutrient distribution in this shallow coastal water was mainly
affected by coastal current that is tidal current (Figure 4). Meaning that their spatial
distribution pattern was mainly governed by low tide and high tide current. That is
towards and offward the coastal water, and ultimately producing a unique spatial
94

distribution of phytoplankton at this area. Jalil (2013) stated that the resulted coastal
current from field data and spatial model using SMS software would be more affectedby tidal current pattern.

Acknowledgements
The author would like to thanks to Riandi for helping the current spatial model, toall staff of Marine Science Department Undip for seawater quality and phytoplankton
analysis. Special thanks to University of Bangka Belitung for supporting find to attend
the IJJSS 2016 at Chiba University – Japan. A sincere thanks to Prof. A. Hartoko for the
English language help of the manuscript.
REFERENCE
Dahuri, R., J. Rais, S.P. Ginting, and M.J. Sitepu. 2004. Pengelolaan Sumber Daya Wilayah
Pesisir dan Lautan Secara Terpadu (Integrated Coastal Resources
Management). PT. Pradnya Paramita, Jakarta, 328 pp.
Fachrul, F.M., H. Haeruman, and L.C. Sitepu. 2005. Komunitas fitoplankton sebagai bio‐indikator kualitas perairan Teluk Jakarta. (Phytoplankton Community as
Bioindicator of Jakarta Bay). Seminar Nasional MIPA 2005. FMIPA‐Universitas
Indonesia, 24‐26 November 2005, Jakarta.
Hartoko,A and M.Helmi (2004). Development of Multilayer Ecosystem Parameters
Model . Journal of Coastal Development. ISSN : 1410‐5217Vol.7,No.3,June 2004.
pp 129‐136.
Hartoko,A and Subiyanto (2009). Spatial Distribution of Phytoplankton, Zooplanktonand Larvae at North Papua Deepsea Water. A paper submited to the
Oceanography, USA.
Jalil, A. R. 2013. Distribusi Kecepatan Arus Pasang Surut Pada Muson Peralihan Barat‐
Timur Terkait Hasil Tangkapan Ikan Pelagis Kecil di Perairan Spermonde.
(Variations of Coastal Tidal Current and its Effect to Pelagic Fish Catch at
Spermonde). Depik, 2 (1):26‐32
Jones‐Lee, A., & G.F. Lee. 2005. Eutrophication (Excessive Fertilization).Water
Encyclopedia: Surface and Agricultural Water. Wiley, Hoboken, NJ. p 107‐114.
Koesoebiono. 1980. Dasar Ekologi Umum, bagian IV. Ekologi Perairan. Sekolah Pasca
Sarjana. (Basic Ecology. IV. Aquatic Ecology). Jurusan Pengelolaan Sumber
Daya Alam dan Lingkungan. Institut Pertanian Bogor.
Odum, E.P. 1993. Translated (Srigandono. Ed). Fundamental of Ecology. Gajah Mada
Press. Yogyakarta.
Salmin. 2005. Oksigen Terlarut dan Kebutuhan Oksigen Biologi Sebagai Salah satu
Indikator untuk Menentukan Kualitas Perairan. (Dissolved oxygon as Indicator
for Water Quality). Oseana.30: 21‐26.
Sastrawijaya, T. 2009. Pencemaran Lingkungan (Environmental Pollution). PT. Rineka
Cipta. Jakarta
Short, F.T.,1987. Effects of sediment nutrients on seagrasses: literature review andmesocosm experiment. Aquat. Bot., 27: 41‐57.
Sudjana. 1996. Metode Statistik (Statistic Methodology). Jakarta : Erlangga
Suryabrata, S, (1983), Metodologi Penelitian (Research Methodology). PT Rajagrafindo
Persada, Jakarta.
Wibisono, M.S. 2011. Pengantar Ilmu Kelautan (Introduction of Marine Science) Edisi 2.
UI‐Press. Jakarta

95

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

WATER RESOURCES MANAGEMENT USING RIVER FLOWMANIPULATION IN SUKABIMI KARST LANDFORM
Jemi Saputra Ahnafa, Syahid Muthahhari Aunillah Durahmanb, Zufialdi
Zakariac
a,b,c Geological Engineering Faculty of Padjadjaran University, Jl. Raya Bandung‐

Sumedang Km 21, Sumedang, 45363, Indonesia

Abstract
Sukabumi regency classified as relatively high rainfall region, but surprisingly when dry
season comes, the water that has been obtained from high rainfall just disappear. In thedry season Sukabumi runs into drought and often hit by floods during rainy season.
However, drought and floods minimized by the presence of trees that stretched across theregion, but over the years the trees continuously degraded and reduced in number due to
use of industrial, residential, and plantation. Therefore, needed for another alternative tomaintain the stability of water resources. This research aim to preserve water resourcesfrom rainy season to use in dry season, with this mind, the problems of water shortages
and floods can be solved at once. Because of Sukabumi has large karst landform, it is easierto preserve water using river flow manipulation on this region. The methods that used inthis research including studio method and quantitative morphometry analysis. From theanalysis of its characteristics, Sukabumi karst landform has significant undergroundcaves and water activities. Moreover, river morphometry shows value of bifurcation ratio(Rb) and drainage density (Dd) are 3.409 and 0.419 km/ sq. km, respectively. This Rbvalue interprets that the rivers have moderate decrease or increase of flooding water level
and are not distorted by geological structures. And Dd value indicates the flow of therivers are relatively infrequent, high water infiltration, low run‐off, and good porosity
rocks. In conclusion, those parameters are support to do river manipulation.
Keywords: Water; karst landform; river manipulation; bifurcation ratio; drainage density.
_________________________________________________________________________________________________________________________________

aCorresponding author. Tel.: +6287828909836

E‐mail address: jemi14001@mail.unpad.ac.id/ jemi100996@gmail.com

1. Introduction
1.1. Research Background
The research area located between latitudes 7o 0’ 0” N ‐7o 2’ 40.74” N and longitudes
106o 46' 49” E ‐ 106o 49’ 31.8” E, covering an area 25 sq. km with the objects study include
karst landform characteristics and river morphometry. Administratively, research area
located in Sukabumi, a regency in the southern foothills of Mount Gede in West Java,
Indonesia, the location is about 80 km south of the national capital, Jakarta. Sukabumi
classified as relatively high rainfall region, but the surprising thing is when the dry season
96

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

comes, the water that has been obtained from high rainfall just disappear. When the dry
season Sukabumi run into drought and when the rainy season often hit by floods. The
drought and flood problem has become regular circumstance every year in Sukabumi,
moreover, especially drought, its impact affected the economic society because every year
always occurred failed harvest for hundreds hectares. However, drought and floods that
hit Sukabumi can be minimized by the presence of trees that stretched across the regions,but over the years the trees continuously degraded and reduced in number due to the useof industrial, residential, and plantation. Therefore, needed for another alternative tomaintaining the stability of water resources. This research aim to preserve water
resources from the rainy season, to use during the dry season using karst landform, withthis mind, the problems of water shortages and floods can be solved at once. To achievethat purpose, at first need to (1) determine the characteristics of the karst landform in the
research area and (2) determine river morphometry, including the value of bifurcation
ratio (Rb) and drainage density (D). The determination of karst landform characteristics
and river morphometry properties are the primary baseline to manipulate the flow of theriver, from these aspects can be determined whether the Sukabumi area, especially in the
research area allows for manipulation or not.
1.2. Sukabumi Water Condition
Sukabumi has high rainfall average of 3,750 mm / year (Wardani, 2008). Based on
IWACO‐WASECO data (Puradimaja et al., 2002), Sukabumi has 127 spring points, whichthat amount are the largest compared with other regions in West Java. With thoseconditions, the Sukabumi water demands should be met properly, but the fact that
occurred when the dry season are the opposite. According to Sukabumi Head Departmentof Agriculture and Foodstuffs Institute in 2015, Sukabumi suffered great drought, thedrought farmland reached 7,357 hectares, with the details 2,013 hectares are mild
drought, 2,784 hectares are moderate drought, and 1,642 hectares are severe drought,
the drought caused at least 917 hectares of farmlands are failed to be harvested.
Moreover, the baffling thing is when the rainy season comes, few regions of Sukabumi
often hit by floods. From these circumstances, concluded that the Sukabumi water
resources management is quite less. The cause of this oddity still missing the obvious
point, but from the standpoint of geology, because Sukabumi located close to the beach,the water obtained from the rain will be more rapidly transported to the sea, so that thewater cycle will run faster, and water cannot be utilized effectively. But the outcome
would be different if the rain water infiltrated beforehand, thus the water transport to thesea will be longer and the infiltrated water can be used for agricultural or even daily
human needs if it enable.
1.3. Karst Landform
As in Jennings (1971), karst is terrain in which soluble rocks are altered above andbelow ground by the dissolving action of water and that bears distinctive characteristics
of relief and drainage. According to Hugget (2007) karst landform refers to limestoneterrain characteristically lacking surface drainage, possessing a patchy and thin soil cover,containing many enclosed depressions, and supporting a network of subterranean
features, including caves and grottoes, moreover, he explained that karst springs are thenatural outlets for water discharging from conduit networks, they typically are developed
at a local or regional ground‐water discharge boundary‐that is, at a location of minimum
97

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

hydraulic head in the aquifer. Taylor & Greene state that a karst aquifer can beconceptualized as an open hydrologic system having a variety of surface and subsurface
input, throughput, and output flows, and boundaries defined by the catchment limits andgeometry of conduits.
One of the uniqueness of karst landform is the ability to preserve water resources.
In this case, when water flows on karst surface, it will suddenly disappear into the groundto form underground streams and then appear at the other places as springs, moreover
when water occupies underground caves it will be preserved in great numbers due to theavailability of space. Karst landform has a major role in the hydrological cycle, the water
largely will be infiltrated into the cracks (epikarst) on the surface, which meansubsequently stored in cavities of dissolution for three to four months after the end ofrainy season (Ashari, 2012). For this reason, the karst landform is very beneficial to dowater resources management if it utilized properly.

Figure 1. A forested karst landform system (P. Griffiths), karst landform characterized
by the presence of underground streams due to dilution, surface water can be
infiltrated into the cavities.

Indonesia karst landforms scattered ubiquitous with total wide approximately 15.4
million hectares (Sukandarrumidi & Maulana, 2014), there are at least 24 large‐scale karst
landforms already recorded, and still very much other karst landforms of various scales
that have not been recorded that lied around throughout the Indonesia regions.
Furthermore, according to Wahana Lingkungan Hidup Indonesia (WALHI) executive note,in West Java (a province of Indonesia), karst landforms spread over several hills andmountains in 11 regencies, few famous of them are Citatah‐Rajamandala (West Bandung),
Jagabaya‐Cibodas (Bogor), and Sukabumi karst landform (Sukabumi). Hence, with somany karst landforms in Indonesia it would be a very pity if are not used to maintain thewater resources management.

98

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

2. Method

There are two methods used in this research, they are studio method andquantitative morphometry analysis. The studio method includes creating geological map
unit and river order map using MapInfo Professional, Photoshop, and Corel Draw. In
creating geological map of the research area, used geological map Jampang and
Balekambangan sheet as a base reference, and, river order map carried on the delineationof the watershed of the base map. While, for the analysis of river morphometry including
calculate the value of bifurcation ratio and drainage density used Ms. Excel. To support thecalculation, the data of river profiles such as river order, stream number, and wide ofwatershed should already be known.

3. Result and Discussion
3.1. River Flow Manipulation
From the problems that have been described earlier and the ability of karst landformthat can store water resources, the solution offered from this paper is to manipulate theriver in karst landform, the manipulation carried out by flowing more water to karst
landforms using open‐close gate (a kind of dam) in the main river. Literally, when rain falls
on the high elevation, the water flows evenly to the lower surface by following the rivers,
the heavier rain occurs the faster and more volume of water transported, when the river
no longer able to accommodate the water, it will spill into the ground, as a result of fairsoil porosity and permeability, even worse when it covered by cement or bricks, then will
occur a flood. When the flood occurs, necessary to manipulate the water flow of the river,this manipulation conducted by analyzing the porosity (ability to hold fluid) andpermeability (ability to ease fluid) around the landforms. Thus, the flow of water no longer
flowed evenly divided along rivers, the landform which has good porosity andpermeability will obtain water in large amount and vice versa for the landform which has
bad porosity and permeability, in other words, the karst landform will obtain more watersupply. The idea that explained above is not simple as it seems, need to be analyzed indetail on the characteristics of karst landform and its morphometric river, whether thoseparameters capable to conduct river manipulation or not.
3.2. Characteristics of Sukabumi Karst Landform
Karst area in Sukabumi covers total area 1.25 million hectares from the elevation
535 to 850 meters above sea level, the karst region is located in a mountainous area
consisting of a mixture between natural forests and plants such as Pine, Mahogany,
Agathis, and Calliandra (Wardani, 2008). Geologically, at the research area consist of few
types of rock units, they are Tmcb (member of Bojonglopang formation), Qpv (volcanic
breccia), Qpyt (young terrace deposits), Tmem (Cimandiri formation), Tmjc (Cikarang
member), and Qha (alluvium and coastal deposits), in this paper, will be focused to discuss
Tmcb unit because posses karst landform. In the geological map, the research are is a partof Jampang and Balekambangan sheet, but the detailed explanation of Bojonglopang
formation contained in the Bogor sheet. In the Bogor sheet (geological map), Kusnamaand Herman in 1998 explained that Bojonglopang formation consists of solid limestone
reefs and sandy limestone layered with a thickness of 250‐300 m, suspected aged early
Miocene. Bojonglopang formation is karst landform, which is formed by dissolution occurs
in limestone.

99The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Figure 2. The left figure shows geological map unit of research area, covering 25 sq. km with 1: 12500 scaled.
While, the right figure shows river order map of part of Cimandiri River in the research area.

Karst systems are divided into three part, they are input (exocarst), throughput(epikarst and endokarst), and output (springs). Exokarst karst system located on thesurface, while endokarst lies beneath the surface with generally equipped with
underground caves and water activity, Sukabumi karst landform grouped to endokarst
system because has few underground caves e.g. Cipucung, Landak, and Caringin Cave,with their presence, the water can be stored largely. These are the profiles of the caves:
Table 1. The underground cave profiles of Sukabumi Karst Landform based on work of Wardani (2008)
Name
Length (m)Depth (m)Wide (m)High (m)Cipucung

187.2

724.1

5.8

4.1

Landak

291.9

745.2

3.9

3.2

Caringin

155.4

754.2

2.4

3.9

3.3. River Morphometry
Morphometry is the mathematical analysis of the earth surface configuration,
dimension, shape, and landforms (Martins & Gadigba, 2015). The analysis of rivermorphometry that used to support this manipulation are the bifurcation ratio (Rb) anddrainage density (D). The term bifurcation ratio (Rb) is used to express the ratio of thenumber of streams of any given order to the number of streams in next higher order. Rb
value can be divided into three types, less than 3, 3, 3‐5, in which each of these values
interpret different characteristics of the streams. While, drainage density is the ratio of
total channel segment lengths cumulated for all orders within a basin to the basin area,
which is expressed in terms of mi/sq. mi or km/sq. km, the drainage density indicates thecloseness of spacing of channels, thus providing a quantitative measure of the average
length of stream channel for the whole basin (Rao et al., 2010). The interpretation valueof drainage density explained by Strahler (1964), which is high drainage density is the100The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

resultant of weak or impermeable subsurface material, sparse vegetation andmountainous relief, and low drainage density leads to coarse drainage texture while highdrainage density leads to fine drainage texture. To calculate the value of Rb and D, needed
these formulas:
Rb= No/No+1 ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐(1)Rb :bifurcation ratio
No : Stream number in each order
D= ∑L/A ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐(2)D: drainage density
L : stream length
A: wide of watershed
The main river in the research area named Cimandiri River, its pattern is dendritic(twigs like). This pattern is formed in a drainage basin composed of fairly homogeneousrock without control by the underlying geologic structure. The longer the time offormation of a drainage basin is, the more easily the dendritic pattern is formed (Howard,1967). To determine value of Rb and D of the rivers, required few data of river profiles
such as river order, stream number, total stream length, and wide of the watershed.
Table 2. River profile of research are (part of Cimandiri River)
Order
Stream Number
Total Stream
A (m2)
Length (m)1st311017.63
16230000.00
2nd

11

5241.393rd23578.264th

17102.51

With the data derived from the research, and using the existing formulas, obtained valueof Rb 3.409 and the value of D 0.419 km / sq. km. which is according to Strahlerinterpretation, the bifurcation ratio that ranged between 3.0 and 5.0 for river basins,interpreted that the geological structures do not distort the drainage pattern. In addition,that Rb value can also be interpreted that the river has increase or decrease of flooding
water level is not too fast or slow (intermediate). While the value D 0.419 km / sq. km isclassified to low D which means that the morphology of the river has a rough texture,
which indicates that the flow of the river is relatively rare, high water infiltration, low run‐off, and good rock porosity.
___________________________(1) The formula to calculate bifurcation ratio, while (2) used to calculate the drainage density of watershed

4. Conclusion

The problem of water shortage in the research area can be minimized by conduct
water resources management using river manipulation in karst landform. The
manipulation implements by divide the percentage of water flow from the rainy season inaccordance with landform ability in absorbing and storing water, where the distribution

101

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

carry out by open‐close gate in the main river. Karst landform will derives more watersupply in order to store water in it, which then be used in the dry season.
The prominent characteristic of Sukabumi karst landform is the presence ofunderground caves, named Cipucung, Landak, and Caringin Cave, the caves are very usefulas a water storage media, besides that, Sukabumi karst landform classified as endokars
system which has many underground water activities. The data processing of rivermorphometry, shows the value of bifurcation ratio (Rb) and drainage density (D) are
3,409 and 0.419 km / sq. km, respectively. The Rb value interpret that the rivers in the
research area have moderate decrease or increase of flooding water level and are notdistorted by geological structures. While the D value indicate the flow of the rivers are
relatively infrequent, high water infiltration, low run‐off, and good rocks porosity. Afterall, from the parameters of landform characteristic, bifurcation ratio and drainage densityof the river, those all are support to do river manipulation.

Acknowledgement

I would like to thank to all colleague of Padjadjaran Intellectual Research on the
supports for this long, and special thanks to M. Syarif ‘Ali Akbarsyah who has given manyadvices on research and its writing.

References

Ashari. (2012). Konservasi Bukit Karst sebagai Tindak Mitigasi Kekeringan di Daerah Tangkapan
Hujan Sub‐sistem Geohidrologi Bribin‐Baron‐Seropan Karst Gunung Sewu, Geomedia vol.
10. Indonesia.
Howard, A. D. (1971). Drainage Anlysis in Geological Interpretation: a Summation, vol. 51, Bulletinof American Association of Petroleum Geology, United State America.
Hugget, R. J. (2007). Fundamental of Geomorphology, 2nd ed., J. Gerard, Ed, New York, United State
America.
Jennings, J. N. (1971). Karst an Introduction to Systematic Geomorphology, MIT Press, Cambridge
Mass., United State America.
Martins, A. K. And Gadiga, B. L. (2015). Hydrological and Morphometric Analysis of Upper Yedzaram
Catchment of Mubi in Adamawa State, Nigeria, Using Geographic Information System ( GIS ),vol. 5, no. 2, pp. 63–69.
Puradimaja, D. J., Soekarno, I., Abidin, S., and Irawan, D. E. (2002) Sistem Pengembangan dan
Pengushahaan Air Bersih di Jawa Barat: Potensi dan Pola Bisni Air Bersih dan Air Minum, inproceeding presented at ITB, Bandung, Indonesia.
Rao, N., Latha, S., Kumar A., Krishna, H. (2010). Morphometric Analysis of Gostani River Basin inAndhra Pradesh State, vol. 1, no. 2, pp. 179–187, India
Strahler, A. N. (1957). Quantitative Analysis of Watershed Geomorphology, vol. 38., American
Geophysical Union, Unites State America.
Sukandarrumidi, and Maulana, F. W. (2014). Ada Apa dengan Bentang Alam Karst?, in proceeding
SNAST ISSN:1979‐911X, Yogyakarta: Indonesia.
Taylor B. C. J., and Greene, E. A. (___) Hydrogeologic Characterization and Methods Used in theInvestigation of Karst Hydrology, USGS, United State America.
Wardani, P. I. (2008) Mofometri Ornamen Gua (Speleopthem) di Kawasan Kars Buniayu, Sukabumi,
Jawa Barat, Universitas Indonesia, Depok, Indonesia.

102

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

The use of continuous intravenous multimodal analgesia
fentanyl‐ketorolac in patients with caesarean section
Ardi Pramono*
Departement of Anesthesia, Faculty of Medicine and Health Sciences
Universitas Muhammadiyah Yogyakarta, Indonesia

Abstract
Pain after caesarean section should be addressed so that patients feel comfortable andcan be mobilized immediately. There are two classes of analgesics that can be used toreduce pain, namely class of opioids and nonsteroidal antiinflamation drug (NSAID). One
class of opioids frequently used is fentanyl, whereas the NSAID class using ketorolac.
Fentanyl is an opioid analgesic which are lipophilic, so it has several advantages comparedto morphine. Ketorolac began to be widely used as an analgesic because of the nature ofstrong analgesic. This study was compare the use of multimodal analgesia techniques
using a continuous intravenous fentanyl‐ketorolac and ketorolac bolus intermittent.
Subjects consisted of 40 post cesarean section were divided into 2 groups. Group
multimodal were 20 people with a multimodal analgesic continuous use, and 20 people
with intermittent single drug ketorolac as ketorolac group. Giving analgesics began
shortly after the surgery is completed. Both groups were then seen when started to feelpain using a visual analog scale (VAS), and the addition of analgesics if necessary. Results
showed 18 patients (90%) with multimodal analgesia had no pain since the completionof the operation up to 24 hours postoperatively (VAS 0‐3), 2 patients (10%) needadditional bolus intravenous ketorolac at 10 hours postoperatively (VAS 5). A total of 20
patients (100%) with ketorolac group requires 2 times ketorolac injection during 24
hours postoperatively. This study showed that multimodal analgesia technique using
fentanyl‐ketorolac is superior in reducing post cesarean section pain compared withsingle drug ketorolac.

Keywords
Multimodal analgesia, fentanyl, ketorolac, caesarean section

1. Introducing
Pain is an unpleasant feeling that arises as a result of tissue damage or potentiallycausing tissue damage. If acute pain is not treated properly, it can lead to chronic pain,
prolong hospitalization, thus increasing hospital costs, and ultimately reduce thesatisfaction and comfort of patients (Garimella, and Cellini, 2013). The World HealthOrganization states that pain is a human right that should be eliminated or reduced.
Caesarean section surgery is a major operation that causes moderate to severe pain in
more than half of patients who should be treated carefully (Hadi and Hanid, 2011).
Postoperative pain caesarean section can cause patient discomfort, patient mobilization* Corresponding author. Tel.: +628156800919

E‐mail address: ardipramono@umy.ac.id103process becomes longer, thereby increasing the risk of thromboembolism, and can also
affect the condition of the mother to immediately take care of the baby.
Pain is complex and multifactorial phenomenon and need multimodal therapy(Joshi, 2005). Relieving drugs commonly used are opioid (Gadsden , et al, 2005), or
NSAIDs such as ketorolac, which is proven to reduce pain and dose of opioid if use singly(Lowder et al, 2003). The use either faction opioid analgesics or NSAIDs, can noteffectively relieve pain without causing side effects such as nausea, vomiting, sedation, or
bleeding (Jin and Chung, 2001). Fentanyl is a synthetic opioid class that works by binding
to receptors of the central nervous system and peripheral tissues, as well as have theeffect of modulation nociceptor. Compared with morphine, fentanyl has a faster onset ofaction, is more potent and has a half‐life faster, but has the side effect of respiratory
depression, so its use is very limited and needs to be more carefully (Garimella, andCellini, 2013). Ketorolac is a NSAIDs analgesic that can be injected intravenously, works
by blocking the production of prostaglandins by inhibiting the enzyme cyclooxygenase(COX‐1) and can reduce opioid use between 25‐45%. Side effect of ketorolac use is risk of
bleeding (Oliveira et al, 2012).
Some studies suggest the use of a combination of opioid and NSAID analgesic drugs
with good results, but have not found the optimal combination. Peng dan Sandler (1999)
menunjukkan dosis fentanyl 1‐2 ug/kgBB/jam, sedangkan di rumah sakit Anne Arundel(2011) memakai dosis 10 ug/jam. In the case of post‐operative pain, the addition of drugs
known as NSAIDs in intravenous morphine, was found to have good results (Curatolo andSveticic, 2002). Adding morphine to ketorolac has reduced the side effect and dose
dependent of opioid (Cepeda et al, 2005). This study wanted to find out whether the useof a combination of ketorolac and fentanyl in continuous doses can reduce pain better
than single use of ketorolac.

2. Material and Method
This prospective study was approved by the institutional ethics in teaching
hospitals Faculty of Medicine and Health Sciences, Universitas Muhammadiyah
Yogyakarta. The subject of this research is patients who underwent caesarean section atteaching hospital Asri Medical Center (AMC) and PKU Gamping Yogyakarta, and has
agreed to participate in the study. A total of 40 patients with a body weight between 40‐
70 kg, 20‐45 years old who underwent caesarean section with ASA 1 and 2 status withspinal anaesthesia since June‐August 2016, were included in this study. Exclusion criteria
included drug addiction, allergies to opioids and ketorolac, a history of bleeding, and theuse of anticoagulant drugs two weeks before surgery.
Subject were divided into two groups, namely the fentanyl and ketorolac group. In
fentanyl group, the subjects were given a multimodal analgesic fentanyl‐ketorolac, while
ketorolac group were given ketorolac intravenous during 20 hour after caesarean section
as they feel pain (VAS score>5). Before surgery, all subjects received instruction of theoperation and the treatment that will be given to treat postoperative caesarean section
pain. All subjects received a spinal regional anaesthesia with a needle no. 25, and the
drugs used are spinal bupivacaine 12.5 mg.
After the operation is completed, all subjects were given a single dose of ketorolac
30 mg bolus intravenous, followed by administration of a combination of fentanyl
analgesia‐ketorolac continuously 20 hours on the subject fentanyl group. On the subjectof ketorolac group, bolus administered every subject began to feel the pain and the VAS
over 5. All group were given ketorolac 30 mg bolus intravenous immediately after theoperation ended. Dose of fentanyl group is 200 ug of fentanyl plus ketorolac 60 mg,
dissolved in aqua up to a volume of 100 ml, than fill in syrinx pump (syrinxject), andsupplied continuously at a rate of 5 cc / hour, while ketorolac group doses is 30 mg
intravenous. Continuous fentanyl doses given 10 ug / h, and continuous dose of ketorolac1040.6 mg / hr. All groups of subjects then recorded how many people who require additional
analgesic ketorolac. Collected data is then counted as percentage number of subjects who
require ketorolac within 20 hours after surgery.

3. Result and Discussion
Forty subjects who participated in this study, were divided into 20 groups offentanyl, and 20 others are ketorolac group. Age and weight of the data presented in Table
1. In the group of fentanyl, a total of two subjects require additional ketorolac at the 10thhour after surgery because of the pain by VAS score of 5, while all subjects in the group of
intravenous ketorolac require an additional two times for 20 hours with VAS score >5.
(Table 2).
Table 1. Average of age and body weightGroup

Age (years)

Body Weight (Kg)

Fentanyl

26,558

Ketorolac

26

57

Table 2. Amount of subject who need additional ketorolac after 20 hourGroup
Amount (%)
Fentanyl

2 (10%)

Ketorolac

20 (100%)

NSAIDs such as ketorolac, works by blocking the synthesis of prostaglandins by
inhibiting the action of the enzyme cyclooxygenase (COX) type I and type II. Decrease inprostaglandin synthesis thereby reducing the production of chemical mediators
accompanying acute inflammatory response. Several studies have mentioned that NSAIDs
also decrease response to pain centers in the spinal nervous system (White, 2005). Opioid
analgesics, such as fentanyl, acts as an agonist in the peripheral and central opioid
receptors. Although the analgesic property is efficient, it has side effects such as
respiratory depression (Ramsay, 2000) but respiratory depression is extremely rare in
the use of continuous intravenous (Peng and Sandler, 1999).
The results showed that administration of a combination analgesic fentanyl andketorolac continuously can reduce pain in the majority of subject compared with subject
who received a single dose of ketorolac only. There were no side effects of nausea andvomiting in both groups. Additional ketorolac in the ketorolac group and fentanyl group
showed patients feel pain (VAS score> 5). Ding et al. (1993) suggest that in patients withpostoperative gynecological, ketorolac administration singly with a dose of 30 mg
intravenously, could not reduce early postoperative pain compared to administration of
a combination of ketorolac and fentanyl. Etches et al (1995) demonstrated that ketorolac
supplied continuously, can reduce postoperative pain and reduce the dose of morphinegiven in patients with post‐operative hip and knee arthroplasty. In the post‐ESWL
patients, the use of ketorolac 60 mg iv equally effective for reducing pain and fewer side
effects when compared with the 100 ug fentanyl, but with minimal side effects (Yang etal, 2002).
4. Conclusion
In this study, administration of a combination of fentanyl‐ketorolac continuously can
reduce pain better than ketorolac bolus intravenous alone, with minimal side effect.
Further research will be needed the most optimal dose and minimal side effects byadministering a combination of fentanyl‐ketorolac continuously in patients post
caesarean section.
105

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Arundel, A. (2011). Medical Center Critical Care Medication Manual Department Of Nursing And
Pharmacy. https://apps.aahs.org/CriticalCare/Fentanyl%20drip.pdf
Cepeda, M.S., Carr, D.B., Miranda, N.. Diaz, A.,C., Silva, C., Morales, O. (2005).Comparison ofMorphine, Ketorolac, and Their Combination for Postoperative Pain: Results from a Large,
Randomized, Double‐blind Trial. PAIN AND REGIONAL ANESTHESIA | December 2005.
http://anesthesiology.pubs.asahq.org/article.aspx?articleid=2240110#articleTabCuratolo, M., Sveticic, G. (2002). Drug combinations in pain treatment: a review of the publishedevidence and a method for finding the optimal combination. Best Practice & Research
Clinical Anaesthesiology. Volume 16, Issue 4, December 2002, Pages 507‐519.
http://www.sciencedirect.com/science/article/pii/S1521689602902545
Ding, Yifeng MD; Fredman, Brian MBBCh; White, Paul F. PhD, MD, FANZCA. (1993). Use of Ketorolac
and Fentanyl During Outpatient Gynecologic Surgery. Anesthesia & Analgesia: August 1993–
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77
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analgesia/Abstract/1993/08000/Use_of_Ketorolac_and_Fentanyl_During_Outpatient.1.asp
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Etches, R.C., Warriner, C.B., Badner, N., Buckley, D.N, Beattie, W.S., Chan, V.W.S. Parsons, D, Girard,
M. (1995). Continuous Intravenous Administration of Ketorolac Reduces Pain and Morphine
Consumption After Total Hip or Knee Arthroplasty. Anesthesia & Analgesia:December 1995‐
Volume
81
‐
Issue
6
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pp
1175‐1180
http://journals.lww.com/anesthesiaanalgesia/Fulltext/1995/12000/Continuous_Intrave
nous_Administration_of_Ketorolac.10.aspx
Fengling. (2002). Frances Chung Multimodal analgesia for postoperative pain control. Journal of
Clinical Anesthesia. Volume 13, Issue 7, November 2001, Pages 524–539.
http://www.sciencedirect.com/science/article/pii/S0952818001003208
Gadsden, J., Hart, S., Santos, A.C., (2005). Post‐Caesarean Delivery Analgesia. Anesthesia &Analgesia: November 2005 ‐ Volume 101 ‐ Issue 5S ‐ pp S62‐S69.
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Garimella, V, Cellini, C. (2013). Postoperative Pain Control. Clin Colon Rectal Surg. 2013 Sep; 26(3):
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Hadi, N, Hanid A.A (2011). Lavender essence for Post Cesarean Pain. Pakistan Journal of Biological
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Jerry, L.L., Shackelford, D.P., Holbert, D., Beste, T.M. (2003). A randomized, controlled trial tocompare ketorolac tromethamine versus placebo after cesarean section to reduce pain andnarcotic usage. American Journal of Obstetric and Gynecology. December 2003. Volume 189,
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107

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Improving Emotional Intelligence to Develop Healthy Behaviourin Leather Gloves Factory Worker
Tri Pitara Mahanggoro*
Department of Physiology, Faculty of Medicine, Muhammadiyah University of Yogyakarta

Abstract
Lifestyle determines body condition becomes healthy or sick. Healthy lifestyledepends on healthy behavior. Healthy behavior development affected by some factors,
such as personal experience, environment, culture, influence of trusted people, mass
media, institution, religion, residency, and personal emotion. This study aim to develop
healthy behavior of worker at leather gloves factory in Yogyakarta by improving
emotional intelligence (EI). This study was performed on two study group (control andtreatment) consisted of 10 workers, respectively. Emotional intelligence score andhealthy behavior of two study groups were tested by monitoring the answer ofquestionnaires which given before and after treatment. The groups were given lecture
and workshop about emotional intelligence with 4 steps. Each step were consisted of 3
sessions. One Sample Kolmogorov‐Smirnov Test and Pair Sample Test results shown that
there were significant increase of emotional intelligence (p=0.02) and healthy behavior(p=0.010) after lecture and workshop session. The result of regression analysis showsthat there was significant influence of emotional intelligence to healthy behavior ofleather gloves factory workers in Yogyakarta. Improving Emotional intelligence could
develop healthy behavior of leather gloves factory workers in Yogyakarta.

Keywords

emotional intelligence; healthy behavior; EI program; factory; worker

1.

Introduction
Healthy lifestyle is determined by individual healthy behavior. Healthy behavior

is a self‐controller in maintaining the quality of health (Azwar, 2013). Health‐related
quality of life also has a role in determining the nutritional needs, physical activities,
relaxation, and other activities that can develop healthy lifestyle (Notoatmodjo, 2011). On
the contrary, unhealthy behavior will affect on the lack of attention to nutritional needs.
The quality of attention on achievement of healthy lifestyle needs is determined bypersonal self‐management. One of success factor on self‐management is emotional
intelligence (Ruiz,et.al., 2012).Emotional intelligence (EI) defined as the ability to*
Corresponding author. Tel.: +62‐8122701722; fax: +62‐274‐566851
E‐mail address: mastripitara@yahoo.com

108perceive accurately, appraise, and express emotion; the ability to access and/or generate
feelings when they facilitate thought; the ability to understand emotion and emotional
knowledge; and the ability to regulate emotions to promote emotional and intellectual
growth” (Mayer & Salovey, 1997)
Previous study suggested that emotional intelligence is useful for decreasing theexpression level of emotion and self‐dependency to others (Linley et al., 2011). The ability
in decreasing of emotional expression level is supported by emotional intelligence level
against self‐emotion (Setyowati et al., 2010). It has been shown that emotional
intelligence has a role in self‐recognition, awareness, empathy, and good communication
skill with others. Leila et al., (2012) have suggested that improving emotional intelligence(EI) also can decrease personality disorder and depression level. EI also takes a role ascontroller of happiness, will, self‐motivation, prevents frustration, empathy, also set thedirection of thought and action (Goleman, 2007). EI program on type 2 diabetes mellitus
patients was shown positive result on their quality of life (Yalcin et al., 2008). Other study
on high school students has shown there is a positive correlation between EI programwith motivation to do more physical activities and social interaction, and it also has
improved their mental health (Li et al., 2009). Social interaction in a good working
environment contributed on the success of a healthy life. The success of a healthy life
requires the ability to be patient which is supported with emotional intelligence(Dusseldorp et al., 2010). Healthy lifestyle in the workplace has benefit on reducing riskof accidents (Swaputri, 2010). The purpose of the study was to investigate the effect of an
EI program on the health behavior of workers in leather gloves factory.

2.

Material and Methods

2.1.

Design Sample
Pretest‐posttest control group design model was used as the study pattern. A totalof 20 leather gloves factory worker volunteered to participate in the program.
Respondents were picked using purposive sampling method with inclusion and exclusion
criteria. Leather gloves factory worker who have worked for 1 year without mental
disorder or under a doctor care were included in the study (a total of 20 workers). Of
these 10 were randomized for the study group and 10 for the control group.
Data were obtained by answering the questionnaires as an instrument in emotional
intelligence measurement. Questionnaires were answered before and after lecture andworkshop session. There were 25 questions in the questionnaire which have been tested
using product moment and reliability test using Alpha Cronbach. The result of EI
questionnaire was 0.444 shown counted r was higher than r table with n=20 and α=5%109

which indicated that questions were validated. Reliability test result using Alpha
Cronbach was 0.981 which >0.60 shown that emotional intelligence variables werereliable.
2.2.

Study Procedure
Study was conducted on September‐December 2014 at the meeting room of leather

gloves factory in Yogyakarta. Emotional intelligence was measured from all respondents(control and treatment group) by answering the questionnaire before treatments. Lecture
and workshop sessions were conducted periodically in 4 steps. Each period consist of 3
sessions with 100 minutes duration. Emotional intelligence after treatment wasmeasured. Data then were analyzed using One Sample Kolmogorov‐Smirnov Test and Pair
Sample Test.

3.

Results and Discussion
Table 1 shows that there are no changes of emotional intelligence and healthy

behavior on control group for 4 months of the study. This condition indicated that there
would be no change of emotional intelligence and healthy behavior without treatment
intervention that related to there isno information dynamic on work environment which
can stimulate the improvement of worker emotional intelligence (EI). It was correspondwith Azwar (2013) that argued healthy behavior (HB) change could be stimulated inpersuasive way by putting the new ideas, new thoughts, or opinions into personal
thought. Without these stimulations, there will be no change on their life behavior.
Table 1. Outlines the EI and HB Score of Control and Treatment Group.
No.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.

Pre Test
Code
IE Score
KRY(control)60
DSR(control)72
KST(control)70
STK(control)50
DST(control)56
STK(control)40
DSN(control)
55
TGR(control)50
MTS(control) 49
BJY (control)
60
SR
76
MYN
60
TW
65
TNJ
65
SNU
82
ADM
52
BJY
67
TMN
65
SMD
65

BH Score
72
75
76
60
60
65
55
60
70
60
79
69
80
62
76
70
48
74
63

IE Score
60
72
70
50
56
45
55
50
49
60
77
74
86
67
91
70
68
86
69

Post Test
BH Score Description
72
Relative Constant76
Relative Constant76
Relative Constant60
Relative Constant60
Relative Constant65
Relative Constant
55
Relative Constant60
Relative Constant70
Relative Constant60
Relative Constant
80
Increase
73
Increase
85
Increase70
Increase
92
Increase
82
Increase70
Increase
79
Increase
67
Increase
110

20.

SMR

66

59

79

83

Increase

The results of paired samples test (Table 2) show that emotional intelligence
scores (pre‐test and post‐test) was p=0.002 which means in the 95% of confidence
interval there were significantly different EI score. Analysis of differences on pretest andposttest healthy behavior (Table 2) was shown p=0.010 which means in the 95% ofconfidence interval there were significantly different mean scores of healthy behavior.
Table 2. One Sample Kolmogorov‐Smirnov Test and Pair Sample Test Scores of
Emotional Intelligence and Healthy Behavior after treatments
Mean

Pair 1. EI Score_Before ‐9.80000
EI_Score_After
Pair 2. HB_Score_Before ‐8.90000
HB_Score_After

Paired Differences
std
std Error
95% Confidencetdf
Deviation
MeanInterval of the
Difference
Lower
Upper
7.43565 2.35136 ‐15.11914 ‐4.48086 ‐4.168 98633912.73028‐15.07633‐2.72367 ‐3.260 9

Sig. (2 tile)

.002
.010

The results of the regression analysis are displayed in Table 3. It show that there
is significant effect of emotional intelligence on healthy behavior (p=0.005). The results
showed that improving emotional intelligence has significant effect on the improved
health behavior on leather gloves factory workers.
Table 3. ANOVA (b) Regression Test of Emotional Intelligence Effect on Healthy
Behavior
Model
Sum ofSquaresdf
Mean SquareF
Sig.
1. Regression
449,9711
449,971
14.255.005(a)Residual
252.5298
31.566
Total
702.500
9

Description : a. Predictors: (Constant), b. Healthy behavior score after treatment (dependent
variable)

There are improvements of emotional intelligence and healthy behavior ofworkers on treatment group which given lecture and workshop. Pair simple test data(table 2) shown the significant effect of treatment on emotional intelligence (p=0.002)
and healthy behavior (0.010). The results of ANOVA regression analysis (table 3)
explained that there were significant improvement of emotional intelligence (p=0.005)
with healthy behavior. The emotional intelligence improvement gave the positive effecton leather gloves factory workers in Yogyakarta (Weng et al., 2009). Emotional
intelligence could induce self‐recognition on someone which cause they become moresensitive on environment and choose wisely between following their desire or healthy life
needs. The ability to manage their self‐desire controlled by their emotional intelligence111

(Reeves, 2005). Goleman (2007) stated that self‐awareness can be achieved whensomeone has high emotional intelligence which can prevent them to do anything that will
give negative effects. Self‐awareness will give the direction to safety. Self‐awareness
which developed on leather gloves factory workers has stimulated them to behave in
healthy way.

4.

Conclusion
The study demonstrated that there was a significant effect of Emotional

Intelligence development training workshop on the workers of leather gloves factory in
Yogyakarta.

5.

Refferences

Azwar, S.(2013). Sikap Manusia Teori dan Pengukurannya, Edisi ke 2, Pustaka
Pelajar, Yogyakarta.
Dusseldorp, L.R.L.C. Van, Meijel, Berno, K. G. Van and Derksen, Jan, J. L. (2010).
Characteristics of the Nursing Work Force Emotional Intelligence of Mental
Health Nurses. Journal of Clinical Nursing, vol. 20, No. 4, pp 555–562 555. doi:
10.1111/j.1365‐2702.2009.03120.x
Goleman, D. (2007). Kecerdasan Emosional, Gramedia Pustaka Utama, Jakarta.
Mayer J.D., Salovey P. (1997). What is Emotional Intelligence ? In: Salovey P, Sluyter DJ,
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113

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

LONG‐TERM IMPACT OF PRENATAL HYPOXIA‐ISCHEMIA IN
SPATIAL MEMORY DURING ADOLESCENCE
Ratna Indriawatia
Soedjono Aswinb
Ginus Partadiredjac
Rina Susilowatid
aDepartment of Physiology, Faculty of Medicine and Health Sciences Faculty, Universitas

Muhammadiyah Yogyakarta 55183, Indonesia.
bDepartment of Anatomy, Faculty of Medical, Gadjah Mada University, Yogyakarta
55281, Indonesia
cDepartment of Physiology, Faculty of Medicine, Gadjah Mada University, Yogyakarta
55281, Indonesia
dDepartment of Histology and Cell Biology, Faculty of Medicine, Gadjah Mada University,
Yogyakarta 55281, Indonesia

Abstract
Prenatal Hypoxia can cause brain lesions. The effects of hypoxia on neurogenesis
during development have been a matter of controversy. Chronic prenatal hypoxia isstrong prognosis factor for the outcome of various disease. Prenatal hypoxia contributed
to the emergence of several neurological disorders due to abnormalities of brain
development such as cognitive and behavioral deficits. Long‐tern effects of exposure ofhypoxia during early intrauterine development very important to investigate. This
study aims to assess spatial memory on Y Maze during adolescence due to prenatal
hypoxia‐ischemia. This is experiment study.The design of the study is a posttest control
group design. Samples were grouped randomly with simple random allocation into 6
groups (3 treatment groups and 3 control groups). Pregnant Sprague‐Dawley rats
underwent unilateral ligation of the uterine arter, which supplies one uterine horn on
E7, E12 and E17. Rats with birth weight over 5.50 g were not used in the present study.
Control groups (C7, C12 and C17) were not inducedprenatal hypoxia‐ischemia. We used
30 male rats divided into 3 treatment groups and 3 control groups. Y Maze was
employed to scale the spatial memory. The results showed that the spatial memory
signiticant decreases as the length of prenatal hypoxia‐ischemia in adolescence(p=0.000, CI 95%). Conclusions of this study is prenatal hypoxia‐ischemia reduce spatial
memory of adolescen Rattus norvegicus. The lowest spatial memory is in the groupwhich prenatal hypoxia‐ischemia occur at 12 days of pregnancy.

Keywords
hypoxic, prenatal, memory, Y Maze

114

Introduction

Chronic prenatal hypoxia is considered to cause perinatal brain injury. It can
result in neurological disorders such as cerebral palsy or learning disabilities. These
neurological problems are related to chronic placental insufficiency (CPI), whichleads to chronic hypoxemia and hypoglycemia. Prenatal Hypoxia can cause brain
lesions. The effects of hypoxia on neurogenesis during development have been amatter of controversy. Chronic prenatal hypoxia is strong prognosis factor for theoutcome of various disease (Gilany & Vafakhah, 2010; Chung et al., 2015).
Prenatal hypoxia contributed to the emergence of several neurologicaldisorders due to abnormalities of brain development such as cognitive andbehavioral deficits (Rees & Harding, 2004; Barrett, 2007; So et al., 2013). Cell deathbegan to occur approximately 3 hours after the induction of hypoxic ischemic
rodentia. The increase in the number of apoptotic cells occurred three days after the
induction of hypoxic ischemic prenatal and reached a peak 7 days later.
Approximately 14‐20 days after induction of hypoxic ischemic prenatal, lesions in
the brain tissue (Golan & Huleihel, 2006).
Hypoxia associated with the onset of cognitive disorders, motor andbehavioral (Larroque et al., 2008; Fazzi et al., 2009; Deloby et al., 2009). One of thedevelopments that affected the brain is hypoxic cognitive abilities. One cognitive
ability is a memory.
Long‐tern effects of exposure of hypoxia during early intrauterine
development very important to investigate. This study aims to assess spatial
memory during adolescence due to hypoxic ischemic prenatal.

Material and Methods

This is experiment study. The design of the study is a posttest control group
design. Samples were grouped randomly with simple random allocation into 6
groups (3 treatment groups and 3 control groups).
Pregnant Sprague‐Dawley rats were obtained from laboratory research andtesting integrated Gadjah Mada University of Yogyakarta, underwent unilateral
ligation of the uterine artery, which supplies one uterine horn on E7, E12 and E17,
under deep anesthesia (ketamine hydrochloride 10 mg/kg intra musculare). We usedgradient of growth restriction to differentiate pups after delivery as follws. Pups
whose birth weght was below 5.50 g were classified in the treatment groups (P7,P12 and P17). Then rats with birth weight over 5.50 g were not used in the present
study. Control groups (C7, C12 and C17) were not induced hypoxic ischemic
prenatal.
We used 30 male rats divided into 3 treatment groups (P7, P12 and P17)
and 3 control groups (C7, C12 and C17). After weaning on aged 30 days, rats werehoused in standard cages (26x45x20 cm3). The cages were kept in a temperatureand moisture controlled room with 12 hours light‐dark cycles (7:00 AM to 7:00 PM)
with food and water ad libitum. The same rats were used for cognitive test (y mazetest), which started on aged 40 days. Before y maze test, the research subjects
acclimatization. The subject entered the cage in the test room at least 1 day prior to
the
test.
Test
procedure:
Animal testing in arm B is placed on the central side and the left moving for 4
minutes (Y maze is great) while monitored by cameras. Scoring is based on thenumber of achievements of each arm (four feet into the sleeve). The animal returnedto the test cage and counted the number of faeces. The equipment is cleaned before
being used for testing again. The total amount (total entries) arm achieved. The total

115

numberof
test=(totalentries‐2)
Percent alternation = (number of alternation / total test) x100 (Tamura et al., 2006).

Results

Rattus norvegicus males were tested with Y Maze test at the age of 40 days.
Percent alternation achieved. The result of Y Maze test showed figure 1.

Figure 1. Pattern of Y Maze test from treatment groups (P7, P12 and P17) andcontrol groups (C7, C12 and C17).
Y Maze test showed alternation percent higher in the control group (C7, C12 andC17) compared to the treatment group (P7, P12 and P17). P12 group showed the valueof the lowest Y Maze test. The next data is analyzed with ANOVA test. ANOVA analysis
test results show a decline in the value of the Y Maze test were statistically significant
between treatment groups with the control group (p=0.000; CI=95%). Further, data is
tested by Post Hoc Test (LSD). Post hoc Test results can be seen in Table 1.
Table 1. Multiple comparison with Post Hoc test (LSD) from Y Maze test treatmentgroups (P7, P12 and P17) and control groups (C7, C12 and C17).
Group
(I)
P7

Group
(J)
C7
P12
C12
P17
C17

Mean
difference
(I‐J)

Std
error

Sig.

‐17.050‐2.896‐18.442‐9.282‐19.660

2.712
2.712
2.712
2.712
2.712

0.000
0.282
0.000
0.002
0.000

95% confidence
interval
Lower
Upper
Bound
bound
‐11.542‐22.647
2.611‐8.683‐12.844‐24.039‐3.684‐14.879‐14.062‐25.257

Table 1 shows that there is no impairment of spatial memory were statisticallysignificant between groups P7 with C7, C12 and C15 (p=0.000; p=0.000; p=0.000).
Likewise between P7 to P15 group (p=0.002). While the group P7 to P12 there are no
statistically significant improvement (p=0.282).

116

Discussion
This study shows that there is spatial memory loss in the treatment groupcompared to the control group. The decline in spatial memory most lace is in the P12group. Age 11‐15 day rat fetus is a sensitive period of neural development (Sigit, 1992).
Prenatal hypoxia‐ischemia (HI) refers to a reduced level of oxygen (hypoxia) and adecreased blood flow (ischemia) during fetal development, which can cause various
complications during pregnancy associated with neurological deficits and long‐term
neurodevelopmental disabilities in later life. One of these complications is cerebral palsy
that occurs in 2 per 1,000 babies (Graham et al., 2008). Of these, 15% ‐ 20% will die
during the postnatal period, and another 25% will develop permanent severe
neuropsychological conditions.
Fetal growth and development are a complex and dynamic process that depends
on sophisticated interactions among the mother, placenta and fetus to ensure optimal
growth and survival conditions (Warner and Ozanne, 2010). Numerous epidemiological,
clinical and experimental studies have shown clearly that a compromised intrauterine
environment may have subtle or drastic impact on tissue/organ ontogeny, structure andfunction, and alter the vulnerability or resiliency to some challenges and diseases inlater life (Cottrell and Seckl, 2009; Dudley et al., 2011).
Fetal hypoxia affects normal brain development and induces abnormal behavioral
presentations. The cerebral cortex, hippocampus and sub‐ventricular zone are the mostvulnerable regions to the hypoxic insult (Northington et al., 2001). A rat model study has
indicated that prenatal hypoxia produces a mild neurological deficit in a variety of
behavioral tests. The duration in an accelerating rotarod test was shorter for theoffspring with prenatal hypoxic exposure compared to the control offspring, and they
traveled a shorter distance and spent most of their time stationary compared with thecontrol group (Ireland et al., 2010). Some structural proteins of the white matter were
measured in adult offspring with prenatal hypoxic exposure during gestational days 7 to
21. These structural proteins were associated with normal development of myelin andaxon, and their expression levels decreased due to maternal hypoxia while theexpression of protein related to astroglia increased, predisposing the individual to whitematter changes later in life (Wang et al., 2010).

Conclusion

Prenatal hypoxia‐ischemia reduce spatial memory of adolescen Rattus norvegicus. The
lowest spatial memory is in the group which prenatal hypoxia‐ischemia occur at 12 daysof pregnancy.

References
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(2007). Destruction and reconstruction: hypoxia and the developing brain. BirthDefects Res C Embryo Today. 81(3):163‐76.
Chung, Y., So, K., Kim, E., Kim, S. & Jeon, Y. (2015). Immunoreactivity of neurogenic factor
in the guinea pig brain after prenatal hypoxia. J. Ann. Anat. 200:66‐72
Cottrell EC, Seckl JR. (2009). Prenatal stress, glucocorticoids and the programming ofadult disease. Front Behav Neurosci. 3:19.
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mouse (Acomys cahirinus). Neonatology. 97:45–51.
Larroque, B. Delobel, M., Arnaud, C. & Marchand, L. (2008). Outcome at 5 and 8 years ofchildren born very preterm. Arch. Pediatr. 15(5):589‐591.
Northington, F.J., Ferriero, D.M., Graham, E.M, Traystman, R.J. & Martin, L.J. (2001). Early
Neurodegeneration after Hypoxia‐Ischemia in Neonatal Rat Is Necrosis while
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118

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

EFFECTS OF LOW FREQUENCY SOUND VIBRATION TO HUMANPSYCHOLOGICAL AND PHYSIOLOGICAL PHENOMENON : A
LITERATURE REVIEW
Dziban Naufala*, Ahmad Rofiq Sofyana
aDepartement of Physics, Universitas Padjadjaran, Jalan Raya Badung‐Sumedang KM 21,

Jatinangor 45363, West Java, Indonesia

Abstract
Low frequency sound (LFS) is used in Vibroacoustic Therapy (VAT) which categorized as
one of Complementary and Alternative Medicine (CAM) fashion. VAT is a therapy fashionthat uses audible sound (40 Hz ‐ 120 Hz) to produce vibrations through the transducer
which is applied directly to the body. The aim of this paper is to describe the effects of LFS
to human psychological and physiological behaviour. The papers were peer‐reviewed
based on published papers that can be accessed freely online and the essences werecombined to synthesize a new conclusion accompanied by the writer’s ideas. It is showedthat VAT can reduces the anxiety level, indicated by the decrease of average patients bloodpressure up to 10.97 bpm. The significance reduction on patients Fibromyalgia Impact
Questionnaire (88.8 to 16.8) indicated the capability of VAT to overcome Fibromyalgia’s
symptoms. The difference of neurite outgrowth frequency in NGF‐treated PC12m3 cells
between intervention of 40 Hz and 200 Hz vibrational sound condition is significance andpotentially lead to the cure Alzheimer disease. LFS in VAT also decrease pain in patientswith Juvenile Idiopathic Arthritis due to the reduction of Simplified Disease Activity Index
up to 34. Results showed great effects of LFS on the health improvement and human
psychology through VAT as a physics agent therapy. However, research about effects of
VAT to human health and psychology is still needed due to the lack of information about
physics phenomenon in the body with VAT treatment.

Keywords
Low frequency sound; Vibroacoustic Therapy; anxiety; Fibromyalgia; Alzheimer; Arthritis

1. Introduction
Complementary and alternative medicine (CAM) become popular because of its
inexpensive cost and lack of side effects if it compared with conventional medicine.
According to National Health Interview Survey (NHIS) in 2012, 17.7 % of Americans had
used natural products, exclude vitamin and mineral, as a medicine. There are many of
CAM types that peoples have usually taken such as herbal medicine, acupuncture, yoga,etc. Vibroacoustic therapy (VAT) is a non‐invasive CAM types that transmit low frequency
sound directly to the patient’s body. VAT is believed have a positive effects to patient’s* Corresponding author. Tel.: +6281320712235

E‐mail address: dziban14001@mail.unpad.ac.id119psychology and health such as reduce pain, anxiety, decreasing blood pressure, and otherpsychological and physiological phenomenon. However, there is still lack of researchwhich prove the evidence of VAT’s capability to overcome diseases or its symptoms.
This literature review’s objective is to describe an effects of low frequency soundvibration that is usually used as a physics agent therapy in VAT to human’s psychologicaland physiological behaviour, especially on anxiety, fibromyalgia, Alzheimer, and juvenile
idiopathic arthritis (JIA) case. A studies that are cited in this scientific written have avarious fashions for executing VAT to the patients so the effects of VAT which describe inthis paper are depend on how VAT was done to the patients. This article tells readers
about the effects of vibrational sound that traced via questionnaire and psychological andphysiological measurement instrument. In special case, the effects that occurred inindividual cell are watched on cell at in vitro condition. This paper can aid further
research in VAT with a deeper understanding about how low frequency sound acts to thehuman body.
2. Material and Methods
This paper is based on a literature study of some paper which contained primary datathat has been published worldwide in several journals. Those papers are free to beaccessed through the internet. Writers used these papers to analyze a connection between
low frequency sound to the human body and relate a facts that explained by them eachother to find some similarities, contradictories, and other relations that reveal other facts
or only some writer’s reviews. Authors also complemented the analysis with their own
arguments and suggestions for further researches. At the end of the analysis, writers makea conclusion based on the examined data and facts that complemented in those papers
and reviews from the writers. For gathering a suitable journals or papers that correlatedwith the effects of low frequency sound to the human body topic, the writers used a searchengine and input the desired phrases that referred to the topic, such as “effects of low
frequency sound to the human physiology research”, “vibroacoustic therapy research”,
and other phrases that correlated with the topic. This research fashion resulted tens tohundreds of journals or papers that suitable with the topic
3. Results
3.1Sound and VAT

Sound is a form of energy that need a medium for transmit through a space or reachsome point from the origin point. The molecules of medium are oscillating during thesound transmit through it due to the energy that transferred from one molecule to theother molecule. The oscillated molecules make other molecules to oscillate and thosemolecules produce a sound as consequence of vibration.
Human can sense the sound through the ear and its vibration through the skin as aperiodic displacement. Human can only sense the sound in the certain range of frequency(20‐20000 Hz) that called audible sound. The sound that can’t be sensed by human ear are
categorized to be two categories : frequency that fall below 20 Hz are categorized as
infrasonic sound, and if fall above 20000 Hz are categorize as ultrasonic sound (Hooper,
2001). Although those kind of sound can’t be sensed by human sensory system, they canstill affect human body due to their physical characteristic and behaviour, such as they
are vibrate in certain frequency, they can be reflected, etc. Sound vibration, the reason
why sound is occurred, can affect human body by making certain parts of the body vibratewith the same frequency, called resonance.
Vibroacoustic Therapy (VAT) is a new fashion of therapy that uses sound vibrationfrom audible sound as a physical agent that intervene human body with non‐invasive120

method. This therapy is pioneered by Olav Skille since 1982 that use 30‐120 Hz rhythmic
sinusoidal sound accompanied by music as therapy purpose (Punkanen et al., 2012).
Skille attached six loud speaker as transducer of sound vibration at chair, two speaker
were positioned to facing pair of leg, another two speaker at the seat area, and the lasts
were at neck and back(Hooper, 2001). Skille believed that VAT is effective to reduce pain
and another stress‐related symptoms. Nowadays, VAT is a part of musical therapy, thathas been used worldwide (Punkanen et al., 2012). VAT become alternative therapy
because it were not used drugs to treating patient. VAT purely only use physical agent,vibration and music.
3.2

VAT effect on anxiety

Anxiety is a normal condition that every people has ever felt. Feeling anxious isnormal unless it occurred in a long time and distract daily activity. That kind of anxiety
can be categorized as anxiety disorders that differentiate to three more types of disorders:
generalized anxiety, panic disorder, and social anxiety disorder. Anxiety can trigger fightor flight response that make body’s sympathetic nervous system to release certain kindof hormones such as cortisol. Cortisol can affect human body that can be watchedempirically such as fast heartbeat, shortness of breathing, rapid breath, etc. That indicatethat anxiety can be watched via physiological phenomenon. The opposite, feeling of relax,means the contraindication of physiological behaviour that occurred due to anxiety.
Tanner has been conducted a research to seek how people with stress condition react
after some period of VAT did to them. She make her respondents feeling stress for fiveminutes with some tests and then let them treated by VAT for five minutes and make themdid the same tests once more. The physiological measurements has been conducted foreach respondent during tests before and after VAT treatment was did. Those
measurements are pulse rate and oxygen saturation level. A questionnaire forrespondents was accompanied in that research for seek their personal assumptions about
their feeling.
A results from that research are the decrement of pulse rate of 71.43% with averagevalue 10.97 bpm, the increment of saturation of oxygen (SpO2) in 35.71% respondents
after VAT occurred, and the increment of performance during did the second tests. The
questionnaire result showed that 78.57% respondents felt less of anxiety.
Tanner stated that her research has many limitation such as the respondents that
already know about music therapy and want to support her research , so that potentiallyHawthorne effect was occurred. The respondents also did the same tests after VAT
treatment that can be categorized as a limitation too (Tanner, 2012).
3.3

VAT effect on Fibromyalgia

Fibromyalgia is a chronic syndrome involving generalized joint and muscle pain andfatigue. The etiology of this syndrome is still unknown but physical trauma, emotional
trauma, and even human immunodeficiency virus (HIV) infection has been believed as afactors that lead to fibromyalgia. Patients who suffer fibromyalgia are more sensitive tofeel a pain due to the mechanical and thermal pain thresholds that lower than healthypeople (McCance et al., 2010).
Although there is lack of evidence on any medical treatment capability to curefibromyalgia, low frequency sound stimulation showed its effectiveness in overcoming
fibromyalgia symptoms. It is indicated through some instruments that traced patient's
condition that linked with fibromyalgia or its symptoms. The instruments are:Fibromyalgia Impact Questionnaire (FIQ), Jenkins Sleep Scale (JSS), Pain Disability Index(PDI), and Range of Motion (ROM). According to pain impact score on FIQ, there is a vastdifference between before low frequency sound stimulation treatment with after
treatment (81 %). It showed a significant decrement that mean patients suffer less pain121

impact after treatment than before treatment. The significant decrement also showed by
JSS (90 %)score after treatment that means sleep disturbance that led by fibromyalgia is
overcome through low frequency sound stimulation. The reduction of PDI till 49 % scorelead to the conclusion that patients feel less pain after treatment was occured. The
effectiveness of low frequency sound stimulation is shown too through the increment of
the ROM score after treatment (Naghdi et al., 2015).
3.4

VAT effect on Alzheimer

Alzheimer’s disease (AD) is a cause of dementia syndrome that leads peoples toseveral of brain disabilities such as remember, learn, and even do the simplest tasks
thanks to massive neurodegeneration of brain that continue to disconnects neurons
communication and disrupts their metabolism and repair so neurons are dying and die.
There are some risks factors that have been identified which lead to AD such as obesity,
hypertension, down syndrome, and etc. Some researchers believe that genetic risk factors
take a role in the pathophysiology of this disease. However, etiology of Alzheimer’s
disease is still unknown and there is need further study to reveal it. AD is currently cannot
be cured, although medication such as donepezil, galantamine, and AChE inhibitors arereferred for AD patients to slow down AD activity and reduce some symptoms for a lengthof time. Those medications are have a side effect for patients, such as dizziness, diarrhea,
and headache. Therefore, a new therapy has to be discovered for overcoming AD’s
symptoms or even cure this disease. A study of behavior of drug‐hypersensitive PC12
mutant cell (PC12m3 cell) while treated by vibrational sound shown a promising idea fora cure of AD. This cell could display neurite outgrowth and even differentiate to be a nerve
cell due to the activity of nerve growth factor (NGF) and p38 mitogen‐activated protein
kinase (p38 MAPK). Beside of those chemical agents treatment, with the presence of NGF,
PC12m3 cell was treated with vibrational sound at 40 Hz and shown a greater of neurites
enhancement than without vibrational sound treatment. A 200 Hz vibrational sound was
also used too but shown less neurite enhancement than at frequency 40 Hz. The 40 Hz
frequency also shown it’s capability to trigger p38 MAPK to be activated for neurite
outgrowth in PC12m3 and 200 Hz frequency was not showing any neurite enhancement.
Although that study shown good effects of vibrational sound on a single cell, the facts thatcomplemented inside it are support the suggestion of capability of vibroacoustic therapy
for healing AD. Low frequency vibrational sound that used in VAT could trigger the factorsof neurite outgrowth in cell to be activated so there is possibility that VAT could
regenerate the brain and replace died and dying neurons in brain with new neurons bysend low frequency sound to the brain through a vibrotactiles (Koike et al., 2004).
3.5

VAT effect on Juvenile Idiopathic Arthritis

Juvenile Idiopathic Arthritis (JIA) is a term for arthritis diseases in children with age
16 or younger. The etiology of JIA, as it’s name that complemented idiopathic term thatmeans unknown origin, is not clearly known, but is believed that genetic andenvironmental factors are involved. Beside both of them, another factors that havepossibility to influence the origin of JIA are immunologic and hormonal abnormalities,stress, trauma, and infectious triggers (Espinosa & Gottlieb, 2012). According toInternational League of Associations for Rheumatology, JIA is classified into sevencategories : (1) Systemic Onset, (2) Oligoarthritis, (3) Polyarthritis, Rheumatoid Factor
Negative, (4) Polyarthritis, Rheumatoid Factor Positive, (5) Psoriatic Arthritis, (6)Enthesis‐related arthritis, (7) Undifferentiated Arthritis. Nowadays, treatments for JIA
patients are depending on drugs such as Nonsteroidal Antiinflammatory Drugs (NSAIDS)
and Intraarticular Corticosteroids (Haines, 2007). But there is non‐pharmacologicaltherapy that shown effectiveness to treat JIA, vibroacoustic therapy. A study has shownthat a group of patients that intervened with physical stimulus from vibrational sound122

beside conventional drugs, after 12 weeks of treatment, experienced more reduction ofswollen joints and improvement of movement range than another group that only treatedwith conventional drugs. Comparing with group without VAT, The SDAI (Simplified
Disease Activity Index) of group with VAT were decreased significantly after treatment.
Beside these physiological improvements, VAT shown its contribution to decreasing lesssleep and depression level (Ailioaie et al., 2011).

4. Discussion
Most of researches show that VAT affect human body positively, although some effects incertain condition are insignificant. The positive results to human health indicate that thephysical phenomena of vibration in body, in a certain range of frequency, in this case at range
audible sound, influence physiological behavior within the human body. But almost all ofresearches are showing an empiric evidences of benefit of VAT with neglecting the relation
between mechanical activity of certain body parts with their physiological occurrence whenthe vibration occurring. Therefore, there is need a study that review how body work
straightaway when vibration was occurred. There will be a review of microscopic scale ofphysiology, involving cells and their molecules, that providing the main reason of why that
empiric physiology data are obtained.
Beside there is need to know how vibration intervene certain body parts straightaway
when the vibration start, in certain diseases, there is need to know the pathophysiology andetiology of those diseases for therapy purposes. As an example, fibromyalgia is the diseases
with unknown etiology. Naghdi et al, in their research, showed the advantage of low
frequency sound stimulation to overcoming fibromyalgia’s symptoms. The advantage
represents the big potential of vibroacoustic therapy that used LFSS as a physical agent
therapy for being alternative medicine for fibromyalgia case. Indeed, VAT is potential to
be a cure of fibromyalgia if executed gradually to patient. However, there needs further
research about fibromyalgia etiology before concluding what the best treatment forovercoming this syndrome.
Another research that conducted by Koike et al. confirmed the advantage of low
frequency sound vibration on triggering brain mutant cell to regenerating neurite forovercoming Alzheimer diseases. However, that study is refer the effects of low frequency
sound in a solitary cell and artificial environment so there is need a study of that effect intissue or organ scale and with brain environment. That research fashion could leads tomore discoveries of correlation of the brain and low frequency sound, especially in brain
with AD, and to more possibilities of alternative medicine that used sound as physics
agent therapy.
Ailioaie et al. also confirmed the benefit of VAT for medical purpose. They conducted
research that showed the ability of VAT to reduce a symptoms of JIA patients. Thesephenomena conclude that VAT is a very potential therapy to treat and heal rheumatoid
diseases in the human body without the intervention of drugs and other chemical agents.
VAT can revolutionize the way of arthritis therapy and become a new fashion ofalternative therapy for patients that suffer joint diseases.
The effect of vibrational sound to human psychology can be known by watching
his/her physiology. For example, anxiety influence body to produce cortisol hormone thatable to increase blood sugar level. Moreover, anxiety is causing heartbeat more fast, rapid
breath, and etc. Therefore, beside questionnaire that filled by participants of research,
psychology phenomenon that occurred due to vibrational sound can be learn throughphysiological analysis. Research by Tanner confirmed the decrement of anxiety level onparticipants after VAT was conducted to them.
The effect of vibrational sound to the body may be blurred if research are involving
music in the therapy. Music can interfere brain and make people who hear it enjoy. That
will affect body physiology and make the effect of vibrational sound to the body blur.
123

There is need further researches to reveal the exact exposure of low frequency soundvibration to the body, especially on the physical aspect, cellular and microscopic scale
within the body. Brain also interesting to study because psychological and physiologicalphenomenon are initiated from the brain. An instrument such as EEG and MRI could be
involved for gather a physical data of brain while vibration is occurring.

5. Conclusion
Low frequency sound vibration is beneficial in medical therapies according to its
advantage to upgrading the physiological condition of the body that followed by anincreasing of psychological condition. There is still further research to know how exactly
human body responds upon a vibrational stimulus.

Acknowledgements
We would thank to our colleagues in Kelompok Belajar dan Penelitian (KBP) Biofisika
Kedokteran (Medical Biophysics Research Group) and Padjadjaran Intellectual Research(PIR) for supporting us with discussion and etc.

References
ADEAR Center. (2012). The Primer of Alzheimer’s Disease and the Brain.
https://www.nia.nih.gov/alzheimers/publication/2011‐2012‐alzheimers‐
disease‐progress‐report/primer‐alzheimers‐disease‐and. September, 2016.
Ailioaie L. M., et al. (2011). Effects of Physical and Vibroacoustic Therapy in Chronic in
Chronic Pain in Juvenile Arthritis. Revista Romana De Reumatologie, Vol. XX, Nr. 3,
pp. 198‐202.
Alzheimer Disease. emedine.medscape.com/article/1134817‐overview#a4. September,
2016.
Anxiety
Disorders.
https://www.nimh.nih.gov/health/topics/anxiety‐disorders/index.shtml. November, 2016.
Espinosa, M., Gottlieb B.S. (2012). Juvenile Idiopathic Arthritis. Pediatrics in Review, Vol.
3, No. 7, pp. 303‐313.
Haines K. A. (2007). Juvenile Idiopathic Arthritis : Therapies in the 21st Century. Bulletinof the NYU Hospital for Joint Diseases, Vol. 65, No. 3, pp. 205‐211.
Hooper, J. (2001). An introduction to Vibroacoustic Therapy and An Examination of Its
Place in Music Therapy Practice. British Journal of Music Therapy, Vol. 15, No. 2, pp.
69‐77.
How Worrying Affects the Body. http://www.webmd.com/balance/guide/how‐worrying‐affects‐your‐body?page=2. November, 2016.
Koike Y., et al. (2004). Low‐Frequency Vibratory Sound Induces Neurite Outgrowth in
PC12M3 Cell in Which Nerve Growth Factor‐Induced Neurite Outgrowth is
Impaired. Tissue Culture Research Community, Vol. 23, pp. 81‐90.
McCance, K.L. et al. (2010). Pathophysiology : The Biologic Basis for Disease Adults andChildren, Mosby Elsevier, Philadelphia, USA.
Naghdi, L., et al. (2015). The Effect of Low‐Frequency Sound Stimulation on Patients with
Fibromyalgia: A Clinical Study. Pain Research and Management, Vol. 20, No. 1, pp.
21‐27.

124

Punkanen, M., Ala‐Ruona, E. (2012). Contemporary Vibroacoustic Therapy: Perspectives
on Clinical Practice, Research, and Training. Music and Medicine, Vol. 4, No. 3, pp.
128‐135.
Tanner, R. (2012). The Effects of Vibroacoustic Music (VAM) in Reducing Performance
Level Anxiety in College Students. http://www.feeltoneusa.com/user‐feedback‐/ewExternalFiles/Sound%20Chair%20Utah%20Research%20Study.pdf.
September, 2016.
Treating
Alzheimer’s
Disease.
nhs.uk/Conditions/Alzheimer‐
disease/Pages/Treatment.aspx. September, 2016.

125

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Identification of Patient Satisfactory Profile for Outpatient
Pharmaceutical Service at Private and Government Hospital
within Semarang District
Pramitha Esha Nirmala Dewia, Novita Dwi Dahliyantib

aSchool of Pharmacy, Faculty of Medicine and Health Science, Universitas Muhammadiyah

Yogyakarta, Jalan Lingkar Selatan, Yogyakarta 55183, Indonesia
bAkademi Farmasi Nusaputera, Jalan Medoho III, Semarang 50166,Indonesia

Abstract
In this era of hospital rivalry in Indonesia, patient satisfaction is becoming more
important than ever. A hospital has to be able to maintain its quality by meeting
patient’s expectation for their satisfaction. Indonesian assumption of a condition where
private hospitals give better pharmaceutical care than government hospital became abasis of this study to prove scientifically from patient perspective and expectation
towards pharmaceutical care in each hospital. Dr Kariadi General Hospital was chosen to
represent a government hospital while St Elizabeth as a private hospital representative.
Those hospitals was the top referral hospitals in Semarang district, and can be assumed
reflecting the population circumstances. This study was a descriptive, cross‐sectional
study and data acquisition was done through questionnaire based on ServQual modeland in‐depth interview on 60 out‐patient subjects in each hospital. Using Mann Whitney
test to find out the difference of satisfactory score between hospitals, he results showedsignificant differences in empathy dimension (p = 0.014) and reliability dimension (p =0.000). From the empathy dimension, it shows that patients feel pharmaceutical care in
St Elizabeth hospital gives better concern, where from reliability dimension the patientsfeel Dr. Kariadi Hospital is more able to give a reliable and accurate service compared to
St Elizabeth hospital.

Keywords

Satisfaction, Pharmaceutical Care, Hospital, Semarang

1. Introduction

Patient satisfaction has often been used repeatedly as an indicator for quality
measurement in health services. It is mainly because patient satisfaction might influencepatient retention, clinical outcomes, and medical malpractice claims (Prakash, 2010).
Meanwhile, hospital pharmaceutical practice has been in a constant gradual change.
Patient satisfaction depends on the service quality. The term service refers to any kindof attempt done by the service provider to fulfil the costumer’s needs by giving thespecific service. A good service for a patient is determined by the reality that the given
service can fulfil the patient’s need by using patient’s perception of the received service(whether they are satisfied or disappointed, and also the service length of time). A
satisfaction is started from the first time patients arrived, until the time they aredischarged. A service is formed by 5 service quality principles; tangibles, empathy,
assurance, reliability, and responsiveness. The established health service system inIndonesia has a potential to make a difference in consumer’s expectation and thereceived pharmaceutical service between private and government‐driven hospitals.
126

Based on the patient expectation and perception pattern, the management might take astrategic plan to apply an effective and efficient pharmaceutical service standard.
Currently there are numerous hospital pharmaceutical installation in Indonesia
incapable of giving a standard pharmaceutical service and, subsequently, unable toachieve the expected patient satisfaction toward pharmaceutical installation service.
The management, including hospital management, should attempt their highest effort toachieve the highest consumer’s satisfaction. Sometimes maximum effort does not give
optimal result because the management does not anticipate the existence of any gaps
between their and patient’s perception toward the received service. Pharmaceuticalservice in hospital pharmaceutical installation often face similar obstacles due to theirlack of understanding of what kind of service needed by the patient and what opinion
the patient have towards the given service done by hospital pharmaceutical installation.
These obstacles should be overcome by doing survey regarding the difference in
consumer’s expectation and patient’s perception towards the received pharmaceuticalservice done by hospital pharmaceutical installation. Currently there had been nopatient satisfaction analysis in outpatient setting done in Dr Kariadi central hospital’sand Elizabeth hospital’s pharmaceutical installation; thus whether development done bythese hospitals might improve patient satisfaction or not hasn’t come into light.
Moreover, these hospitals has often been subjected to become sample hospitals because
they are big, often become referred hospitals, have more complicated patients, and, thus,
might represent population circumstances.

2. Material
This study used a closed questionnaire formed by SerQual model method developed by
Parasuraman et al. The questionnaire involved 5 quality dimensions; tangibles,
reliability, responsiveness, assurance, and empathy. The questionnaire used Likert scale
to acquire quantitative data.
Table I. Response and score based on Likert scale
Response
Favourable score
Unfavourable score
Highly dissagree
1
4Dissagree
2
3
Agree
3
2
Highly agree
41

3. Methods
3.1. Design Study
This study used non‐experimental design study. The discrepancy between the
expected quality in each hospital and patient’s expectation towards pharmaceuticalcare in government‐driven hosptial (represented by Dr Kariadi Hospital) and private
hospital (represented by Elizabeth hospital) was analysed in statistical analysis
where the source data had been acquired in one shot observation.
3.2. Population and Sample
The population of this study was all patients taking their prescribed medicine in
hospital pharmaceutical installation in Dr Kariadi Central Hospital and Elizabeth
Hospital, both were in out‐patient setting, between September and October 2011.
The subject of this study were patients receiving purposive sampling‐based
pharmaceutical care and fulfill inclusion criteria as mentioned below:
a. Have been receiving pharmaceutical care service at least twice in Dr Kariadi
hospital’s pharmaceutical installation or in Elizabeth hospital’s
pharmaceutical installationb. Took the prescribed medicine in pharmaceutical installation, whether in Dr
Kariadi Hospital or in Elizabeth Hospital, during the study time and working
127

time as non‐insurance covered patients.
c. At least 17 years of age and at least have a senior high school degree when thequestionnaire were given.
d. Willing to fulfil the questionnaire and were able to communicate well.
Using Lemeshow calculation, 49 respondents were needed for this study.
However, at the end of this study 60 respondents were involved for each hospital.
3.3. Location and Time of Study
This study was held in Dr Kariadi Hospital and Elizabeth Hospital; both were in
Semarang city, between September and October 2011.

4. Results

Descriptive analysis done in this study were aimed to show respondent
characteristics based on sex, age, education level, occupation, and residence area. The
result is as below:
Table II. Description of Respondent Characteristics in this Study based on Sex, Age, Education Level, Occupation,
and Residence Area
Dr Kariadi Hospital
Description

Sum

Elizabeth Hospital
Percentage

Description

Sex:
Male
Female
Total

21
39

35 %
65 %

60

100 %

Male
FemaleTotal

Age (Years):
17‐20
21‐25
26‐30
31‐35
36‐40
41‐45
46‐50
>50
Total
Education Level:
High school
DiplomaBachelor
MasterTotal
Occupation :Student
Entrepreneur
Private worker
Civil government worker
TeacherHousewife
Retirement
Total
Residence Area
Semarang
Outside Semarang
Total

Sum

Percentage

16
44

27 %
73 %

60

100 %

5
13
11
10
3
6
5
7
60

8%
22 %
18 %
17 %
5%
10 %
8%
12 %
100 %

29
5
23
3
60

48,33 %
8,33 %
38,33 %
5%
100 %

15
10
14
3
6
10
2
60

25 %
17 %
23 %
5%
10 %
17 %
3%
100 %

48
12
60

80 %
20 %

Sex:

Age (Years):
5
12
3
8
5
9
7
11
60

8%
20 %
5%
13 %
8%
15 %
12 %
18%
100 %

17‐20
21‐25
26‐30
31‐35
36‐40
41‐45
46‐50
>50

25
9
25
1
60

41,67 %
15,00%
41,67 %
1,67 %100 %SMA
DiplomaBachelor
Master

12
8
12
5
1
7
5
60

20 %
13 %
20 %
8%
18 %
12 %
8%
100 %

36
24
60

60 %
40 %

Total
Occupation :Student
Entrepreneur
Private worker
Civil government worker
TeacherHousewife
Retirement
Total
Residence Area
Semarang
Outside Semarang

100 %

Total

Total
Education Level:

100 %Based on Table II it can be seen that the most distinctive difference was that more
respondents from outside Semarang went to Elizabeth Hospital compared to Dr Kariadi
Hospital.
Zarei, A., et al (2012) mentioned on his research that SERVQUAL is a valid, reliable,
and flexible tool for monitoring and measuring services quality of private hospitals and128enabling the hospital manager to identify particular areas which need improvement byanalysing patient’s perspective. ServQual analysis in this study showed that both
hospitals had negatif gaps in all dimensions, which have a meaning that respondents
expectation were higher compared to their perception. However, from more detailed
information it was found that, according to respondents, information accuracy given by
Dr Kariadi Hospital Pharmacy were higher compared to the expected service. They feltthat information given from Dr Kariadi Hospital were reliable. Meanwhile, ServQual
analysis for Elizabeth Hospital samples showed that respondents felt they have reached
the expectation in terms of pharmacist concern regarding patient’s condition during
taking medicine, drug administration, and pharmacist willingness in answering patient’s
questions. Positif gaps in Elizabeth Hospital samples were found in the punctuality ofpharmaceutical installation open time, accuracy in handing over the medicine, andmedicine stock in pharmaceutical installation.
Patient expectations towards pharmaceutical service were influenced by manyfactors such as information they have from their surroundings, their previous
experiences regarding having pharmaceutical services, and their impression towards
organizations responsible for the services. Zarei, A., et al (2012) found that quality
improvement efforts should be focused on creating good relationship between patientsand hospital practitioners, also considering hospital practitioners to be responsive,
credible, and empathetic to the patients.
Table III showed the discrepancy in patient expectation of Dr Kariadi Hospital asa government‐driven hospital representative and Elizabeth Hospital as private hospital
representative.
Table III. Difference in Patient Expectation Score in Dr Kariadi Hospital and Elizabeth Hospital
Mann
No
HospitalMedianTotal Score
Conclusion
Whitney Test
1
Dr Kariadi Hospital35102
Non‐significantly
0,063
differ2
Elizabeth Hospital
3
5006

In general, patient expectation in Dr Kariadi Hospital is higher than in Elizabeth Hospital,
even though the difference was not statistically significant. This difference was due to patient’s
dimensional pattern of priorities.

Table IV showed the results of significance test on score difference regarding
every dimension between those hospital as follow:
Table IV. Significance Test Result in Score Difference regarding every Dimension in Dr Kariadi Hospital andElizabeth Hospital
Dr Kariadi
Elizabeth Hospital
Mann
No
Dimension
Conculsion
Hospital Score
Score
Whitney Test
1
Tangibles
963
956
0,922
Non‐significant
2
Empathy
884
924
0,014
Significant
3
Assurance
1240
1226
0,557
Non‐significant
4
Reliability
1039
964
0,000
Significant
5
Responsiveness
975
936
0,058
Non‐significant
Total
5101
5006
0,064
Non‐significant

Despite the difference in every dimension score, only empathy and reliability
dimension that differy significantly between Dr Kariadi Hospital and Elizabeth Hospital.
In empathy dimension, patient expectation in Elizabeth Hospital were higher than those
who went to Dr Kariadi Hospital, while in reliability patient expectation were by muchhigher in Dr Kariadi Hospital than in Elizabeth Hospital.
Empathy dimension in service refers to the willingness to give attention, give
concern to the consumers, being sensitif towards consumer’s expectation, and always
make an attempt to fulfill the consumer’s need. Patient’s expectation in Elizabeth129hospital as a private hospital were higher compared to those who seek for help in Dr
Kariadi Hospital. Meanwhile, reliability dimension refers to the ability to do service
accountably and accurately as advertised or promised. Those who went to Dr Kariadi
Hospital had higher expectacy in this dimension compared to those who went toElizabeth Hospital as private hosital.
Glober and Rivers (2008), mentioned that generally consumers seek the best carewith the lowest cost. In the setting of health service this condition is seldom found.
Mission, target, and financial support in an institution allows them to hire the best
doctors, nurses, supporting staffs, and to get the most sophiscicated tools andtechnology to attract patients. Meanwhile, patients have to choose between these
options, and, unfortunately, it often sacrifice on option to get the other option.
According to Undang‐Undang No 44 in Year 2009 regarding hospital, the service
cost in government‐driven hospital is decided by Health Minister or local government,
while in private hospital the hospital director make the decision (Anonym, 2009). It canbe said that private hospital might make decision regarding service cost deliberatly. In
accordance with Glover and Rivers, many patient in private hospital ready to sacrifice
higher cost in order to get a more comfortable service, thus, in turn, they will havehigher expectation in empathy dimension which is the willingness to give attention, give
concern to the consumers, being sensitif towards consumer’s expectation, and always
make an attempt to fulfill the consumer’s need.
Rama et al. (2011) defined patient satisfaction as patients’ emotions, feelings andtheir perception of delivered healthcare services, while other authors defined patientsatisfaction as a degree of congruency between patient expectations of ideal care andtheir perceptions of real care received. Lin et al. (2004) showed that ServQual might beused for satisfactory study in the setting of outpatient clinic. They have found out thatassurance and empathy dimensions were the highest priorities according to the patients(cit Lin et al. 2009). Lin et al. (2009) also found out that the highest gap belongs toreliability, assurance, and empathy dimensions. Their study also showed that patients
expected the doctors to give more time in doctor‐patient discussion. Moreover, a study
held in Bangladesh by Syed in 2007 found out that tangibles dimension were one of themost important factor in health service (cit Lin et al., 2009). This statement might
explain that the assumpted important factors might differ in one place and another.
Conclusion
1. Patient expectation in Dr Kariadi Hospital is higher than in Elizabeth Hospital due topatient’s dimensional pattern of priorities, even though the difference was not statisticallysignificant.

2. Empathy and reliability dimension are different significantly between Dr Kariadi
Hospital and Elizabeth Hospital.
3. On empathy dimension, patient expectation in Elizabeth Hospital were higher thanthose who went to Dr Kariadi Hospital, while on reliability patient expectation
were by much higher in Dr Kariadi Hospital than in Elizabeth Hospital.

References
Anonim, 2009, Undang‐undang Republik Indonesia Nomor 44 tahun 2009 tentang Rumah Sakit,
Departemen Kesehatan Republik Indonesia, Jakarta
Glover, S. H., dan Rivers, P. A., 2008, Health Care Competition, Strategic Mision, and Patient
Satisfaction : Research Model and Propositions, http://www.ncbi.nlm.nih.gov, 16 Agustus
2011

130

Lin, C.P., Tsai, Y.H., Chiu, C.K. (2009). Modeling Customer Loyalty from an Integrative Perspectiveof Self‐Determination Theory and Expectation– Confirmation Theory, J Bus Psychol, 24,
315–326.
Lin, D.J., Sheu, I.C., Pai J.Y., Bair, A., Hung, C.Y., Yeh, Y.H., dan Chou, MJ. (2004) Measuring patient's
expectation and the perception of quality in LASIK services, http://www.ncbi.nlm.nih.gov, 16
Agustus 2011.
Prakash, B. (2010). Patient Satisfaction. Journal of Cutaneous and Aesthetic Surgery, 3(3), 151–
155. http://doi.org/10.4103/0974‐2077.74491
Rama M, Kanagaluru S. K. (2011) A Study On The Satisfaction Of Patients With Reference To
Hospital Services, International Journal of Business Economics & Management Research,
Vol.1, No.3 [online] available at: http://zenithresearch.org.in
Zarei, A., Arab, M., Froushani, A. R., Rashidian, A., & Tabatabaei, S. M. G. (2012). Service quality ofprivate hospitals: The Iranian Patients' perspective. BMC Health Services Research, 12(1), 1.

131

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Insect‐Based Protein: Future Promising Protein Source
for Fish Cultured
Rudy Agung Nugrohoa
aAnimal Physiology, Development, and Molecular Laboratory, Department of Biology,

Faculty of Mathematics and Natural Sciences Mulawarman University.
Jl. Barong Tongkok No 4 Gn Kelua Samarinda, East Kalimantan, Indonesia

Abstract
As one of the vital component feed used in fisheries, fishmeal (FM) is generally added to
the fish diet to enhance fish growth, digestive performance and absorption of nutrients.
This addition contributes significantly to the variable production cost in the aquacultureindustry. Moreover, expanded production of carnivorous species requiring high protein,high‐energy feeds will further tax global fish meal. Thus, research based on the low‐costbudget for feed operating cost should be strategized to assist aquaculturists inenhancing fish productivity. In addition, suitable alternative feed ingredients will haveto be utilized to provide the essential nutrients and energy needed to fuel the growth of
aquaculture production. To this effect, the use of insect‐based protein sources to replace
FM that often scarce, expensive, limited availability, and leads to high fish production
costs is alternative ways and has been gaining momentum. Currently, Insects have been
proposed as one of the potential future protein sources of protein because of the
production of insects is highly sustainable in comparison to the production of cattle,
pork, and poultry Farming insects is characterized by higher food conversion
efficiencies, lower environmental impact, and higher potential to be grown on waste
streams. Though some interesting options such as seaweed, Pea protein based products
soylent (Liquid food) and Chirps (Cricket Chips) has attracted several researchers onlast year, the experiments regarding the use of insect‐based protein are gaining amomentum in order to explore and develop the insects as an alternative source ofprotein for fish culture.

Keywords
Insect; fish meal; fish cultured

1. Introduction
As fish demand continues to grow, the strategies to increase fish productivity needto develop. The research based on eco‐friendly and sustainable commercial aims should
also be strategized to assist aquaculturists in increasing fish productivity. To this effect,
the use of fish meal in the fish diet in production systems to improve productivity has
been gaining momentum. Fish meal plays an important role ingredient for fish feed
(Caruso, 2015). Fish meal is a prime protein source and known as a high‐quality, very
digestible feed ingredient (Miles and Chapman, 2006; Tantikitti et al., 2016). Fish meal
has large unit energy per unit weight which contains protein, lipids (oils), minerals, andvitamins. However, there is a limit amount of carbohydrate in fishmeal.
132

Fish meal is a generic term for a nutrient‐rich feed ingredient used primarily indiets for domestic animals, sometimes used as a high‐quality organic fertilizer. Fish mealcan be made from almost any type of seafood but is generally manufactured from wild‐caught, small marine fish that contain a high percentage of bones and oil, and usuallydeemed not suitable for direct human consumption. These fishes are considered‘industrial’ since most of them are caught for the sole purpose of fishmeal and fish oil
production. A small percentage of fishmeal is rendered from the by‐catch of otherfisheries, and by‐products or trimmings created during processing (e.g., fish filleting andcannery operations) of various seafood products destined for direct humanconsumption.
The fish meal is one of the few major animal industries existing today that still
relies greatly on a “hunting‐and‐gathering” technique. Most fish rendered into a meal iscaptured at sea. Millions of tons of fishmeal are produced worldwide. Contrary to recent
that beneficial to increase weight gain, specific growth rate, feed conversion ratio,
protein utilization efficiency, and carcass enhancement, more than tons of fish are used
to produce fish meal.
According to United States Department of Agriculture, 2016), Thailand has thehighest production of fish meal in Asian region, reaching up to 430.000 metric tons
while Japan around 190.000 metric tons and Indonesia about 16.000 metric tons (Figure1). In 2016, it is estimated that the production annual growth rate of fish meal is up to
3.70% in Vietnam, followed by Japan 2.70%.

Philippines

12

Indonesia

16

Country

Malaysia

65

Vietnam

140

Japan

190

China

400

Thailand

430
0

100

200

300

400

500

Production (1000 MT)
Figure 1. Fish meal production by country (Source: United States Department of Agriculture, 2016)

On the other hand, there is a reducing of fish production in related to the fish meal.
The use of fish from nature to produce fish meal is a competition with human needs.
Further, the decrease in the availability, sustainability, and the increase in the prices ofthe fish meal have stimulated the search for sustainable alternatives for aquaculture
feeds. It is also stated that feeding fish to fish is useless and wasteful that because morethan 6 kg of wild fish is taken up to produce 1 kg of farmed fish (Schipp, 2008). To thisregard, the use of protein‐based plant is an alternative way to satisfy the increasing
demands of the aquaculture feed industry, to partially or totally replace of fish meal infish diet.
Some attempts have been made to explore the possibilities on the use of plant‐
based protein to replace total or partial replacement of fish meal. Previous research133stated that many protein‐based plants have a good nutritional value including protein
content that beneficial to fish growth and physiology (Table 1).
Table 1. The use of plant‐based protein and its effects on the growth and physiology of fishNo
1

Plant‐based Protein
seaweed Gracilaria arcuata

2

pea protein concentrate

3
4

Soybean meal
Lupin

5

Soybean meal, peas, corn
gluten, and wheat
Canola meal

6

7

Cotton Seed Meal without
lysine supplementation

8

Rice polish9

Wheat gluten

Effects
Better weight gain, specific growthrate, and feed utilization on African
catfish, Clarias gariepinus
Amino acid profiles of the diets,
body composition, and growth
performance of juveniles of tench(Tinca tinca L.)
Increase marine fish growthBetter apparent digestibility andcoefficient of protein (ADC‐P) on
the Juvenile barramundi (Lates
calcarifer Bloch 1970)
Skeletal muscle growth, flesh
texture of Senegalese sole
Growth, feed utilisation, plasmabiochemistry, histology of digestiveorgans and hepatic gene expressionof barramundi(Asian sea bass; Lates calcarifer)
Growth performance, bodycomposition and digestive enzyme
activities.
Growth performance of Nile tilapia(Oreochromis niloticus)
Growth in the range of 40‐130 g
was superior to the fishmeal
control with the diet containing
wheat gluten gilthead seabream,
Sparus aurata L

References
Al‐Asgah et al. (2016)
González‐Rodríguez et al.
(2016)Mo et al. (2016)
Ilham et al. (2016)

Valente et al. (2016)
Ngo et al. (2016)

Yu et al. (2014)
Khan et al. (2013)
Kissil and Lupatsch (2004)

The most famous and intensively used plant‐based protein comes from legumes
such as soybean, pea and lupin (Caruso, 2015; Glencross et al., 2004). Beside legumes,
seaweed (Al‐Asgah et al., 2016), and Pea protein based products soylent (González‐Rodríguez et al., 2016) have been also attracted some researcher in order to find fishmeal replacement. All plant‐based protein has been tested for Gold‐lined seabream(Rhabdosargus sarba), brown spotted grouper (Epinephelus bleekeri) and pompano(Trachinotus blochii), African catfish, Clarias gariepinus, rainbow trout (Oncorhynchus
mykiss) (Glencross et al., 2004; Mo et al., 2016). However, there are some important
issues that need to be addressed such as the occurrence of anti‐nutritional factors or
known as ANFs (Francis et al., 2001), lack of several amino acid (Rolland, 2014), andenvironmental issue (Chung, 2016).
Previous research stated that ANFs is alkaloids compound that impact on thepalatability, may cause a histological change in intestinal of fish and further can reduce
the growth rate of fish (Glencross et al., 2006). Beside alkaloids, lectins, phytate, saponinand proteinase inhibitors have been also identified as anti‐nutritional factor that
affected on the growth of fish (Hemre et al., 2009). Others research also proved that
dietary high level of plant‐based protein (>40% of total protein for partial replacement)
reduced feed efficiency and growth performances of fish that might be caused by anti‐
nutritional. Moreover, the amino acids composition of plant‐based proteins is less better
than animal‐based proteins, especially for methionine which contains essential sulphur.
Though fish meal and crops such as soya and other plant‐based protein are famous asingredients replacement in animal feed, they are considered as a source of protein thatis not ecologically or economically sustainable.

134Due to the reason mentioned above, fishmeal is still quite commonly used inanimal feed diets. Nevertheless, overfishing, the low availability and the increase in theprices of fish meal which is reflected by increasing market prices over the last decades
have stimulated the search for environmentally friendly and eco‐sustainable
alternatives for animal feeds. Alternative protein sources of comparable value are
therefore urgently needed. Thus the potential of insect‐based protein in animal feed
diets has attracted much attention

2. Why insect?
It is predicted by Food and Agricultural Organization (FAO) the world need toenhance food production by 70% by 2050 that would be given to whole population in
the world which cover 9 billion people. Almost 80% of the world’s agricultural land is
occupied for grazing and feeding farm animals. Meanwhile, global meat consumption,
especially in relation to fish production is expected to rise by 50% above 2006 levels tomeet expected demand by 2050 (Laaninen, 2016).
In order to balance that situation above, a comparable value of alternative protein
sources is urgently needed to produce protein source production. Currently, thepotential of insect‐based protein has attracted much attention not only farmer but also
researcher. It seems there are few reasons that can consider in related to the use of
insect.
The insects such as crickets, caterpillars and silkworms could be the good sourceof food in the future. Insects, an edible food that contains protein, vitamins andimportant amino acids are efficient to be reared. Insects only need six times less feed
than cattle and can be cultivated by using organic waste. As consequences, insects
produce fewer greenhouse gasses emission (100‐1000x) (Frangoul, 2016).The others
reasons that could be used as consideration are insects has high feed conversion rate
(FCR), low use of water and energy, and nutritious as source of essential protein as wellas amino acids for animal feed (Table 2). However, to ensure the less cost production of
insect‐based protein, the insect must be able to reproduce in short time (Józefiak et al.,
2016)
Table 2. Examples of nutrient contents of some insects

Nutrients

House Cricket(Achetadomesticus)

Meal worm(Tenebrio
molitor)Silk worm(Bombyxmori)

Mormon cricket(Anabrus
simplex)Black flysoldier(Hermetia
illucens)
Crude protein*
55‐67
47‐60
52‐71
60.3^
42++
Fats*)
10‐22
31‐43
6‐37
12.9^
35++
1.4
1.5
46**
1.4
2.1
Methionine+
0.8
0.8
14**
0.1
0.1
Cysteine+
5.4
5.4
75**
5.9
6.6
Lysine+Source: *Crude protein and ether extracts of fats (% of dry matter) in house cricket, silkworm andmealworm. +Amino acid content (g/16 g N) in insects produced as animal feed (Makkar et al., 2014).
**Amino acid composition of pupae of the silkworm (mg/g crude protein) (Zhou and Han, 2006). ++protein
and fats content (Stamer et al., 2014). ^Proximate analysis (percent, dry weight) of adult Mormon crickets(DeFoliart et al., 1982).

3. Insect‐based protein in aquaculture
Traditionally, the application of insect in aquaculture fields has been seen in a
recent decade. In Uganda, a research regarding on the use of ingredient such as
vegetables, grass, cereals, cereal brands, oil seed cakes, industrial and kitchen wastes
fishmeal and insects by fish farmer was reported by Rutaisire (2007) (Figure 2).
Unfortunately, the availability of most of these ingredients is seasonal. In addition,
135

termites for feeding fish that used by fish farmer up to 5% has been collected directly orpurchased from collectors at a cost of US$0.27/kg – only at certain month, March to
April and from August to September. The availability of insect is also depending on thenumber and size of termite hills on the farm, moonlight intensity and termite species.
Meanwhile in Southeast Asia region, fluorescent light commonly used as an insect
attractant that place above fish ponds. The insect that attracted by light falls into thepond and can be eaten by fish. Wingless grasshoppers and crickets, another example ofinsect which cannot float, are also made as fish bait (Van Huis et al., 2013).

Figure 2. Several of feed types that is used by fish farmer

In current year, fish meal is very popular in aquaculture. Almost 63% of the fishmeal is used in aquaculture field (Boyd, 2015). However, due to the low availability andthe increase in the prices of fish meal have stimulated the search for environmentallyfriendly and eco‐sustainable alternatives for aquaculture feeds (Caruso, 2015). To thisconcern, the research to find out new ingredients to replace fish meal has gained amomentum and growth importance specifically in aquaculture field. Recently, theaquaculture field has shown a significant improve and in future the amount of global
productions is a key point to provide a pivotal point in supply of seafood to satisfy thegrowing consumers demand.
Previous research stated that, feeding trials on several fish using ratio 25:50 % offish meal was replaced with acridid (a genus of grasshoppers) meal produced results
similar to the control diet, containing 100 percent fish meal. In addition, growthparameters measured for the selected fish found significantly higher fish fed acridid
meal than for fish fed commercial diets. This finding indicates that acridids can be
successfully implemented as fish meal replacement (Haldar, 2012). Another successful
implementation research of insect as fish meal replacement can be seen in Table 3
below.
Table 3. Insect‐based meal and its effect on the growth and physiological of fishNo
1

Insect‐based Protein
Bombyx mori

2

Tenebrio molitor

Effects
Growth, Survival, bodycomposition, hematologicalparameters of rainbow trout
Oncorhynchus mykiss
Growth performance,whole

References(Shakoori et al., 2015; Shakoori etal., 2016)
Gasco et al. (2016)

136

3

Musca domestica

4

Grasshoppers

5

Cricket (Gryllus bimaculatus)

6Black Soldier Fly
Hermetia illucens(Linnaeus, 1758) Prepupae

body composition and in vivo
apparent digestibility on
European sea bass
(Dicentrarchus labrax L.)
juveniles
Growth and nutrient utilization
indices on African catfish(Clarias gariepinus)
Growth of Clarias gariepinus
fingerlings
Growth performance,
antioxidant enzyme activities,
and haematological responseof African catfish (Clarias
gariepinus)
Growth of Clarias gariepinus(Burchell, 1822)(Aniebo et al., 2009)(Grace, 2015)(Taufek et al., 2016)(Adeniyi and Folorunsho, 2015)

Though insect based protein has many advantages in animal feed specificallyaquaculture fields, there are other reasons that need to be considered as the
disadvantage of insect meal. More knowledge needed. Some opponent stated that the
production costs for insect‐based meal are still relatively high; the effects of insect
nutrients on the health of animal still need to be further investigated. The legislation will
also need to be paid to covering the safe use of substrates such as vegetable anddomestic waste and manure that usually is economically made as insect’s substrate(Fitches, 2014).

4. Conclusion
The fish meal will stay as a pivotal point in future diets of fish. However, theconcerns about the sustainability of these ingredients and the increasing price on the
global market are boosting the fish farmer to use a more efficient of fish meal and findalternative feed sources such as insect‐based meal. Next research needs to be conductedin order to determine the further effects on the use of insect‐based meal on thephysiology, immunology, and molecular basis of the animal.

Acknowledgement
The author grateful to Department of Biology, Faculty of Mathematics and natural
Sciences, Mulawarman University for any kinds of support to present this paper.

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139

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

A Literature Study : Potential of Mango Seed as an Alternative
Feed of Tegal Duck for Increasing Body Weight
Norman Billi1,Abdurohman Roja R2
1Padjadjaran University, Jalan Raya Jatinangor‐Sumedang KM 22, Sumedang 45363,

Indonesia

2Padjadjaran University, Jalan Raya Jatinangor‐Sumedang KM 22, Sumedang 45363,

Indonesia

Abstract
Mango seed is an agricultural waste from mango (Mangifera indicia) which has 15% of
the weight of the fruit. Mango seed can be used as an alternative feed for Tegal duckbecause one mango seed contained NFE (Nitrogen Free Extract) amount of 80.6%. Mango
seed is treated to become a mango seed flour and given to Tegal duck. Tegal duck is oneof the many local breeds which have maintained by local communities, especially in thearea of Tegal, Central Java. The research process was done by searching and comparing
secondary data from a journal, textbook, and scientific article reliable relevance. Dataobtained based on the result other people research. According to review that has been
conducted, mango seed contained a different nutrient and one of them is NFE 80.6%. It isa non‐structural carbohydrate and contained glucose, sucrose, fructose, and starch. If NFE
calculates will produce metabolizes energy generate to 3220‐4220 kcal/kg/dry matter.
Metabolizes energy on Tegal duck needs at the age of 8 weeks, to reach a body weight of
1.2 kg is 3100 kcal / kg, so that there is a difference between the energy generated fromthe content NFE in the mango seed with energy needs in a Tegal duck age of 8 weeks canbe stored in the phase of fat consequently the body weight of Tegal duck will increase.

Keywords
body weight, manggo seed,NFE , tegal duck.
*Corresponding author : +6282214449312

E‐mail address : Norman14022@mail.unpad.ac.id

1. Introduction
Indonesia is an agriculture country almost people who live at Indonesia work at an
agriculture sector . So many products resulted from an agriculture sector. Agriculture
sector gives a contribution 26.05 % toward national income at 2009. On of productresulted from an agriculture sector which high produced that is mango (Mangifera indicia
L).

140

Production of mango at Indonesia at 2014 that is 2.431.330 ton or about 12.28% form
total national fruit product. Center production of mango at Indonesia is Java island withtotal production 1.813.281 ton or about 74.58 % form total national fruit production. The
high production of mango will come negative impact that is an increasing waste which
has resulted from mango that is mango seed. Until now mango seed still not utilized tobenefit thing. So mango seed will become pollution that contaminates the environmentand required some innovation for changing mango seed become benefit thing to society.
Based on that problem, mango seed is a waste from mango which has the potential forbecome as an alternative feed of Tegal duck. Tegal duck is local poultry from west java
which has experience one of that is the high production of the egg. Utilization mango seed
as an alternative feed of Tegal duck can give a positive impact toward accretion bodyweight of Tegal duck.
Based on that explanation, this paper reviewing about “ A Literature Study : Potential
Mango Seed as an Alternative Feed of Tegal Duck for Increasing Body Weight”.

2. Material and Method
As a scientific written of a literature study, this study is based on the secondary data
analysis complemented by primary data collection. The literature that used have any
collaboration analysis and synthesis from several journal that has been published globallyin the world and several textbook that published by publisher that known by agriculture
student. Several of literature reference was used by writer to synthesize and became aconsideration within arrange the problems about mango seed. Beside textbook, writeralso used several book review of study and research, editorial several journals, and meta‐
analysis journal. The journal in this study is a journal with free full text.

JournalTextbooks
Scientifict Articel

Collected
Analyzed
Summarized

Secondary Data

Picture 1.Proces of Literatur Review

3. Process of Making Mango Seed Flour
Mango seed is treated become mango seed flour for given as feed to Tegal duck andenter to feed ratio of Tegal Duck. The process of making seed flour based on the processof making jackfruit seed. According to Achmad Fadilah (2008) process of making thatflour that is :

Seed washed with use fresh water.
Seed boiled together with charcoal to remove odors with a temperature of 1100C
with a time of 30 minutes.
Seed are separated form residue of pulp.
Seed are cut so easily in the drying process.

The Process of drying up until becoming flour, doing with some of way among thatwith letting food material under sunlight, which known a naturally drying or by using
artificial heat in form hot air from that oven. Drying in the sun can indeed be effective
because the temperature is achieved around (35‐4500C). The climate in the tropicalregion is a source of energy very considerable potential. It can also be dried in a drying141

oven Cabinet Dryer machine with a temperature of 6000C for 2 hours. The drying process
aims for reducing the water contain in that seed (Ishak and Sarinah,1995).
The next step is to grind the seed pieces that have been dried up into fine granules,
using a dry blender or grinding tools such as grinding machines rice. Fine granules arethen sieved to 60 mesh sieve holes with three times sieved so as to produce the desired
flour.

4. Percentage of Mango Seed Flour in Feed Ratio of Tegal Duck

The principle of creation feed ratio for the Tegal duck, that makes feed ration withnutrient contain appropriate with nutrient requirements of Tegal duck for getting thedesired results. Therefore a knowledge of the nutrient content of constituents ofrationality and knowledge of the nutrient requirements of Tegal duck very importantfor creating feed ratio of Tegal duck.
Tabel 1. Nutrient Requirements of Duck in Diferent Age
Nutrient
Starter
Grower(0‐2 week)(2‐7 week)
Crude Protein (%)
Energi (kcal
EM/kg)
Metionin (%)
Lisin (%)
Ca (%)
P (%)
Source : NRC (1994)

Germ

22

16

15

2900
0.40
0.90
0.65
0.40

3000
0.30
0.65
0.60
0.30

2900
0.27
0.60
2.75
‐

Feed for duck can give with two way that is in form wet or dry. Average requirements
feeds for Tegal duck per head per day percentage at table 2.
Tabel 2. Average Requirements of Duck per Head per Day
Age (Week)
Amount (gr)Age (Week)

Amount (gr)

1

15

12

76

2

30

13

76

3

40

14

70

4

60

15

70

5

65

16

80

6

70

17

80

7

70

18

95

8

72

19

90

9

74

20

90

10

74

21

100

11

75

22

110

Source : Supriadi (2011)142Formulation feed of Tegal duck in grower phase (5‐22 weeks) that is with assuming
if the amount of giving feed 65‐110 gram/head/ day according to with age levels as abenchmark is the amount of protein 14‐16% and metabolizable energy (EM) 2800 Kcal
/ kg (Supriadi 2011). According to Supriadi (2011), Feed Formulation for Tegal duck as
the Feedstuff major energy source that is using corn with a range of 20‐45%.
Mango seed flour can use as‐is a substitute for corn because the mango seed flour
contained NFE 80,6 % and if calculated will generate metabolize energy almost samewith corn that is 3220‐4220 kcal/kg/dry matter. So the percentage obtained of mango
seed in feed ratio of Tegal duck growers phase (5‐22 weeks) as follow :Mango seed flour 20 %, bran 20 %, 15 % soy, coconut cake 5 %, fish meal 10 %and bone meal 5%.
Mango seed flour or bran 50 %, peanuts, coconut cake or soy 15 %, snail 25 %,mineral 5 % and reduce is mixture Vit B12, premix, and cassava leaf.
Mango seed 45 %, bran 15%, coconut cake 5 %, soy 15%, lamtoro leaf meal 5%,
fish meal 10%, dry grass 2%,flour shells 2%, bone meal 1% and a little salt.
Mango seed flour 20%, concentrate 10%, bran 60% and water hyacinth 10%.

5. Mechanism of NFE Content in Mango Seed Flour for Increasing Tegal
Duck Body Weight

The giving mango seed which, processed into mango seed flour toward Tegal toward
Tegal Duck could be expected to increase a body weight of that Tegal duck. Therefore Thiscase because a high NFE content in mango seed if calculated will generate energy morethan the energy requirement of Tegal duck at age 8 weeks for reach body weight of 1.2 kg.
NFE if calculated will generate energy 3200‐4220 kcal/kg/ dry matter (Angorodi, 1979),
the energy requirement of Tegal duck in 8 weeks for reach 1,2 kg is 3100 kcal/kg so thedifference between the energy generated from NFE content in mango seed 32with Tegal
duck at age of 8 weeks will be stored ass fat. This case appropriate with Wahyu (2005)
that is feed with high energy will generated meat is full of fat, while the low energy levelof feed will produce low‐fat meat. This excess energy can be converted into body fat,resulting in a final condition that is ready to be harvested.
The mechanism of change remainder of NFE energy into fat which NFE component
consisting of easily digestible carbohydrates are glucose, fructose, sucrose and starchwhen taken into the body to be digested and converted into energy through a process of
metabolism. The excess energy which generated for NFE content in feed ration given to
Tegal duck at age 8 weeks will be changed become fat through lipogenesis process. Insulin
is one of a hormone that is closely related to carbohydrate metabolism .Insulin producedby the beta cells found in the pancreas. This hormone will put out if there increasing ofblood sugar levels. When livestock eats carbohydrate to much, blood sugar in livestock
body will experience a surge that will be produced more insulin to normalize.
Insulin work with the move a blood sugar into a cell for changed become energy andglycogen (glycogen is deposited of energy). If the cell is already full of glycogen, the excess
blood sugar is converted into fat through a process called lipogenesis. The excess sugar
will change to be Acetyl‐CoA compound in advance. The next stage Acetyl‐CoA will change
become malonyl‐CoA through a series of processes. Malonyl‐CoA that has been formed
will be converted back to the free fatty acids will be stored in the form of triglycerides inadipose tissue.

143

6.

Conclusion

Mango seed given to Tegal duck processed first into flour mango seed to be easily
given to the Tegal ducks.
Mango seed flour is an alternative feed sources of energy, in the feed ration of
Tegal ducks have a percentage ranged between 20% ‐ 50%.
The content NFE (Nitogen Free Extract ) contained in mango seeds can produce
energy that exceeds Tegal duck energy necessity in age of 8 weeks. Excess energy
is then converted into fat through a process of lipogenesis. The fat is then stored
in the adipose tissue.

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Pemanfaatan Biji Nangka Sebagai Bahan Baku Varonyil (Variasi Roti Unyil) Yang
Sehat.Departemen Agribisnis.Bogor.
[2] Anggorodi. R. 1979. Ilmu Makanan Ternak Dasar Umum. Gramedia. Jakarta.
[3] Ishak, Elly dan Sarinah ,Amrullah. 1995. Ilmu dan Teknologi Pangan. Badan Kerjasama
Perguruan Tinggi Negeri Bagian Timur. Ujung Pandang.
[4] NRC, 1994. Nutrient Requirements for Poultry. National Research Council, Washington
D. C. USA.
[5] Supriadi, Ir, 2011. Panduan Lengkap Itik. Penebar Swadaya. Jakarta.
[6] Wahyu.2005.Nutrisi Ternak dan Unggas Konseptual.Gadjah Mada University Press.
Yogyakarta.

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Identification of Drug Related Problems in Congestive Heart
Failure Patients in Panembahan Senopati Public Hospital During
January to May 2015
Pinasti Utami*, Neng Rini Asih Yulianti
Universitas Muhammadiyah Yogyakarta, Jl. Lingkar Selatan, Tamantirto, Bantul,
Yogyakarta 55183, Indonesia

Abstract
Congestive Heart Failure (CHF) is a progressive clinical syndrome caused byinability of the heart to pump sufficient blood to meet the body’s metabolic needs. The
treatment of CHF varies widely from patient to patient in order to cause the incidence ofdrug related problems (DRPs). Therefore, the necessary of DRPs identification toachieve patient’s therapy outcome. The main aim of this research study was todetermine the description of cardiovascular pharmacotherapy in patients withcongestive heart failure as well as to determine the incidence of Drug Related Problems
and to analyze the Drug Related Problems (DRPs).
This research was conducted by a non‐experimental descriptive study withretrospective data collection of 20 medical record with CHF during January to May 2015,
then the DRPs were analyzed using literature analysis, such as hospital standards of
medical services, Pharmacotherapy Handbook 9th edition 2015, New York Heart
Association (NYHA), Drug Interaction Facts (DIF), and Persatuan Kardiologis Indonesia(PERKI).
Based on this research study, there were 20 patients who had 42 DRPs. The DRPs
consist of one adverse drug reaction (2.38%), 26 drug choice problems (61.90%), one
drug use problems (2.38%), 14 drug interactions (33.33%), and no dosing problems
were found.
Keywords: Congestive Heart Failure (CHF); Drug Related Problems (DRP); Panembahan
Senopati Public Hospital; Inpatients; Cardiovascular pharmacotherapy.

1. Introduction
Heart failure is in the fourth rank out of the top 10 leading causes of death in
Yogyakarta Special Province (Yogyakarta Health Office, 2013). Koshman et al (2008)
explains that there were 1,977 patients in 11 RCT studies, including statisticallysignificant 3 studies showing that the duration of heart failure inpatient would be
prolonged if there is no pharmaceutical care.
Pharmaceutical care was conducted a pharmacist who has a role and function to
identify Drug Related Problems (DRPs), overcomes actual DRPs which happen, andprevents potential DRPs (Adusumilli and Adepu, 2014).
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Based on a research conducted by Hadiatussalamah (2013) related to DRPs in
143 patients with congestive heart failure, the result shows that the prevalence of DRPs
incidence was 32.87% (47 patients). DRPs research which was also done by Endah(2014) in congestive heart failure patients with 26 cases (37.14%), there were 32
episodes of DRPs incidences. From these two studies, it it can be seen that thepercentage incidence of DRPs in patients with congestive heart failure is quite high, andalmost every hospital estimated that the number is quite high. One of them is estimatedto occur at Panembahan Senopati Bantul Hospital that is taken as the study site byresearchers.

2. Material and Method
2.1 Research Equipments
The equipments used in the study are data collecting sheets, Pharmacotherapy
Handbook 9th edition year 2015, books, journals, and other literatures related tocongestive heart failure, drug related problems, medical service standards at
Panembahan Senopati Bantul Hospital.
2.2 Population and Sample
The population of the study was hospitalized patients diagnosed with CHF in
Panembahan Senopati Bantul Hospital from January to May 2015. The samples are all
patient in the population who had met the inclusion criteria.
2.3 Data analysis
The data will be obtained and analyzed using descriptive non‐experimental
methods. The data include: An overview of patient’s characteristics based on sex, age, comorbidities andinpatient duration.
 The data that had been collected, grouped, and numbered as well as thepresented results presented.
 The calculations for the percentage of each of the DRPs identification done bycounting the number of patients in each of the DRPs then divided by the total
number of existing DRPs multiplied by 100% (Equation below).
∑
∑

100%

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3. Results And Discussion
3.1 Characteristics of the Patients Based on Sex
The characteristic of the patients based on gender is presented in Figure 1.
There were incidents on women as with 45% (9 patients) and on men with 55% (11patients) of total patients 100% (20 patients). It means that in this study the prevalenceof CHF in women is lower than in men.

45%

55%

Men
Women

Figure 1. Characteristics based on sex

Based cohort study in the USA, 2‐5 of 1000 people annually suffer from CHF, and
CHF incidence in men is higher than in women (Bui et al., 2011).
3.2 Characteristics of the Patients Based on Age
Based on age, among 20 patients becoming the respondents could be categorized
in a varied age range (Figure 2), and the data were taken based on data from Data Centerand Information of Health Ministry (2014).

Percentage (%)

40%
30%
20%
10%
0%
15‐24 25‐34 35‐44 45‐54 55‐64 65‐74≥75

Age (Year)
Figure 2. Characteristics based on age

The percentage obtained by Figure 2 shows that patients suffering from CHF
were found in patients with the age range 45‐54 years, age 55‐64 and age 65‐74 years.
Based on the Framingham Heart Study, the incidence of heart failure is higher in theelderly (Bui et al., 2011). Most of the patients with CHF were in the age group of 65 years
or more, while in the age group <65 increase from 23% to 29% (Hall et al, 2012)

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3.3 Characteristics of the Patients Based on Morbidities
According to the table 1 it can be seen that the highest percentage on the group ≥ 3
comorbidities (50%), meaning that the risk of complications in patients with CHF ishuge. The morbidities that become the most widely experienced by patients in thisstudy were Ischemic Heart Disease (IHD) or Coronary Artery Disease (CAD). New
England Journal of Medicine reported that in the last 20 years there were > 43 000
patients, and 65% among them suffered from CAD that becomes the main cause of heart
failure based on 24 multicenter studies on heart failure therapy (Gheorghiade et al.,2006).
Table 1. Characteristics of Morbidities
Number of Morbidities

Morbidities

Number of Patients

Percentage

1 Morbidities

Bronkopneumonia

15%Hypertension type II,
chest pain obstruction

2 Morbidities≥3 Morbidities

SIRS, hipokalemia

1

Atrial fibrilasis,
Acute bronkhitis

1

IHD, atrial fibrilasis
IHD, bronkospasme
IHD, acute bronkhitis
IHD, atrial fibrilasis
IHD, gout artritis

1
1
1
1
1

Cardiomegali, DM type II

1Hypertension type II,
hipoalbumin, DM type II

1

IHD, hipertension, DM
IHD, hepatitis A, hypertension, DM
IHD, vertigo, GERD

1
1
1

Cardiomiopati, ca mammae IV, shock septis,
DM type II

1

Cardiomegali, ca mammae IV, candidiasis oral
IHD, atrial fibrilasis, hyperurisemia, GERD
IHD, DM type II, obesity, renal failure ec
nefropati, hypertension type II, ulcer
IHD, shock cardiogenic, migrain, candidiasis
oral
IHD, dilipidemia, hyperurisemia
TOTAL

1

20

45%

50%

1
1
1
1
1
100%

3.4 Characteristics of the Patients Based Inpatient Duration
Patient characteristics based on Length of Stay (LOS) or inpatient duration in the
study were classified into 2; those are LOS < 6 days and LOS ≥ 6 days. The percentage of148

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patients with Length of Stay <6 days was higher (55%) than in patients with length ofstay ≥ 6 days (45%) (Table 2).
Table 2. Characteristics of the Patients Based on Length of Stay
Length of StayTotal
< 6 days
11≥ 6 days
9
TOTAL
20

Percentage
55%
45%
100%

Bueno et al (2010) explains that during 2006, there were approximately 493,554
patients who were hospitalized with a diagnosis of heart failure that had been analyzed.
The average length of stay (LOS) was for 6:33 days. The criteria that affect the length ofstay of patients in the study varied widely, and the most significant one was the
reduction or disappearance of dyspnea symptoms.
3.4 Identification of Drug Related Problems (DRPs)
DRP classifications used in this study followed the classification of PCNE (2006).
The results of the study are presented in Table 3. Based on Table 3, DRPs choice drug
problem was on the first place with the percentage 61.90% (26 incidents). Druginteraction was the second with a total percentage of 33.33% (14 incidents).
Table 3, DRPs choice drug problem
DRPs Classification

Explanation

Number
IncidenceofAdverse drug reaction(ADR) or unexpectedreaction

Unexpected side effect (allergic or non‐allergic)
Experienced toxic effect

1

2.38%

Drug choice problem

Unsuitable indicated drugs. Unsuitable drug
availability. Duplication on therapy groupor active medicine. Contraindication drugs(on pregnant or breastfeeding).
Non‐therapy indication.

26

61.90%

Dosing problem

Lack drug dosage or unsuitable dosage
regiment.
Too high drug dosage or too often drug.
Drug giving duration whether it has slow or
fast response‐‐

Percentage

Drug use problem

Drug provision mistake

1

2.38%

Drug interaction

Potential or actual interaction

14

33.33%

42

100%

TOTAL

3.4.1 Adverse Drug Reactions
Adverse drug reactions or unexpected reactions happened in 1 incident; it was
the use of captopril. Captopril is one of the drugs known as Angiotensin Converting
Enzyme Inhibitors (ACEI) working on the track of Renin Angiotensin Aldosterone (RAA)
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inhibiting the Angiotensin Converting Enzyme (ACE) and able to reduce cardiac
remodeling. ACE inhibition is not only affecting the RAA lines but also influencing theinactivation lines of bradykinin (Ceconi et al., 2007). Inhibited bradykinin inactivation
can lead to accumulation of bradykinin and stimulate chemoreceptors on the respiratory
tract, consequently arises a sense of tingling and itching that leads to cough response(Golias et al., 2007).
3.4.2 Drug Choice Problem
Drug choice problem or the problem in the selection of drugs was found in all
patients who became the subjects of the study. Each category of drug choice problem
was found in the same patient. The results of the incidence of drug choice problem ispresented in Table 4.

Table 4. Incidence Rate of DRPs on drug choice problem
Drug
Problem

ChoiceUnsuitableindicated drug

Explanation

Patient’s
NumberNumbers ofPatient

Alloprinol, Furosemid
Allopurinol, Ranitidin
Allopurinol, Candistatin
Furosemid, Ranitidin
Ranitidin, Cisplatin
Allopurinol
Furosemid
Ranitidin

3
8 , 1913
12, 20
18
9
5,6
16

11

14

1

Non
therapy
indication

Fever and Pain
DM and ca mammae stage IV
Cough with phlegm
Hyperurisemia and cardiogenic shock

1, 2, 3, 6, 11,
13, 18, 19, 20
4
7
8, 12
14

Duplication

Valsartan and Captopril

2

No digoksin provision

The findings of the drugs that did not follow the indication in this study (Table 4)
was on the use of allopurinol. However, the laboratory results did not show increasinglevels of uric acid (hyperuricemia). Provision of furosemide was not in accordance with
the indication because the patient did not experience edema. Patients in this study did
not show any indication that they had to get therapy with ranitidine (this drug is not
appropriate with the indication). Candistatin (Nystatin) is also a drug that is not inaccordance with the indications. Data from Alpha Diagnostic International (2011)
mentions that candistatin is an antifungal that will be effective against candidiasis. The
patient's diagnosis did not find candidiasis or other fungal infections. The next finding ofdrug choice problem was there was a patient complaining for the fever, but there was no
drug given. Pain is also one of the main complaints of patients and had not been treated.
In addition, other than dyspnea and edema, the symptoms experienced by patients with
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CHF also the complaint of pain requiring palliative therapy (Adler et al., 2009). The
findings indicated that there was no further therapy in patients with hyperuricemia.
Larina et al. (2011) explained that there were 60% of CHF patients who were
hospitalized experienced hyperuricemia as a result of cardiac decompensation. Therapy
in patients with hyperuricaemia as a first‐line of the drugs is the drug in the group ofxanthine oxidase inhibitors such as allopurinol (Khanna et al, 2012). The findings
showed duplication in the treatment group. Patients receiving valsartan and captopril
can have increasing risk of hyperkalemia and hypotension if the medicines are given
together (Tatro, 2010).
3.4.3 Drug Use Problems
Giving ceftriaxon was the contraindication for patients given treatment CaCO3
and calcium polystyrene sulfonate. There is possibility of toxicity to the organs causedby the precipitation of calcium as well as the possibility of embolic events in patients
receiving ceftriaxon, CaCO3dan calcium polystyrene sulfonate (Steadman, 2010).
3.4.4 Drug Interaction
Drug interactions become one of the issues that needed to be evaluated since theadverse effects can arise as the impact of it. The results of the incidence of druginteractions can be seen in Table 5.
Table 5. The Finding of drug interactions
Drug Interaction

Total ofPatient

Spironolakton+Valsartan

1

Spironolakton+KSR

1

Captopril+KSR

2

Gentamisin+Furosemid

4

Allopurinol+Captopril

8, 9, 10,15, 18, 19

Warfarin+Ceftriakson

9

Digoksin+Omeprazol

10

Aspirin+Clopidogrel

17

Warfarin+Allopurinol

10

Information
Significance: 1
Onset slow interaction
Severe rate: mayor
Significance: 1
Onset slow interaction
Severe rate: mayor
Significance: 4Onset slow interaction, Severe rate n: moderate
Significance: 1
Onset slow interaction
Severe rate: mayor
Significance: 4Onset slow interaction Severe rate: mayor
Significance: 2
Onset slow interaction, Severe rate: moderate
Significance: 4Onset slow interaction, Severe rate: moderate
Significance: 1
Onset slow interaction
Severe rate: mayor
Significance: 4Onset slow interaction, Severe rate: moderate

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The first finding of drug interactions is that patients received spironolactone
therapy, valsartan therapy and potassium chloride therapy (Table 5). It happens
because spironolactone can increase the levels of potassium serum with the mechanismof action as a non‐selective antagonist aldosterone. The risk of hyperkalemia also
increased by the use of valsartan. Other drug interaction was found in patients receiving
furosemide and gentamicin. Xia (2013) also explained that there were 17 miceexperienced impaired hearing after being given combination of gentamicin andfurosemide, and only 16 mice could survive. Drug interaction was also seen in somepatients receiving allopurinol and captopril. Tatro (2010) in the book of Drug
Interaction Facts explained that interaction between allopurinol and captopril should bemonitored toward hypersensitivity reactions in patients, but it is not certain about themechanism of interaction. The use of ceftriaxone and warfarin also became the part of
drug interactions. Baillargeon et al (2012) explained that the administration of
antibiotics, which one of them is the group of sefalosforin, can increase the risk of
bleeding in most patients who also receive warfarin therapy. Drug interaction was also
found on digoxin therapy and omeprazole. The use of digoxin altogether withomeprazole may increase the absorption of digoxin itself caused by the working
mechanism of omeprazole as a proton pump inhibitor (Lahner et al., 2009). The next
drug interaction was in the patients receiving aspirin and clopidogrel. McQuaid andLaine (2006) based on meta analysis explained that the risk of gastrointestinal bleeding
increases in the provision of low‐dose aspirin and clopidogrel simultaneously.

Conclusion
Based on data of the research and the discussion identification of DRPs inpatients diagnosed with Congestive Heart Failure (CHF) at inpatient ward ofPanembahan Senopati Bantul Hospital January to May 2015 period, it can be concluded
that the total incidence of DRPs were 20 patients with the main diagnosis of CHF
becoming inpatient at Panembahan Senopati Bantul Hospital during January to May
2015 period with 42 events consisting of adverse drug reaction (ADR) or unexpectedreactions with 1 occurrence (2:38%), drug choice problem with 26 events (61.90% ),dosing problems with no occurrence, drug use problems with 1 occurrence (2:38%) anddrug interaction with 14 incidences (33.33%).
Acknowledgment
The financial support to the author from Universitas Muhammadiyah Yogyakarta
is highly acknowledged.

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References
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Failure. American Heart Association. 120, 2597‐2606 [pdf]. Last Accessed 25 Mei 2016.
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Alpha Diagnostic International.(2011). Product Data Sheet: Nystatin, Woodlake Center, USA
Baillargeon, J., Holmes, H.M., Lin, Y., Raji, A.M., Sharma, G., et al.(2012). Concurrent Use of Warfararin and Antibiotics andthe Risk of Bleeding in Older Adults, The American Journal of Medicine, 02‐125, 183‐189 [pdf]. Last Accessed
26 Mei 2016. www.ncbi.nlm.nih.gov/pmc/article
Bueno, H., Ross, J., Wang, Y., et al.(2010). Trends in Length of Stay and Short‐term Outcomes Among Medicare Patient
Hospitalized for Heart Failure, 1993‐2006. JAMA, 21, 303 [pdf]. Last Accessed 07 Mei 2016.
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Bui, A., Tamara, B., Horwich., Fonarow, G.,(2011)Epidemiology and risk profile Heart Failure, 8, 30‐41, 10.1038. Last
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Ceconi, C., Francolini, G., Olivares, A., Comini, L., Bachetti, T., Ferrari, R.(2007) AngiotensinConverting Enzyme (ACE)
Inhibitors have Different Selectivity for Bradykinin Binding Sites of Human Somatic ACE Abstract, European
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Endah, N.S.(2014) Identifikasi Identification of Drug Related Problems in Congestive Heart Failure Patients in OKU Bantul
Muhammadiyah Hospital Thesis. . Universitas Muhammadiyah Yogyakarta, Yogyakarta.
Health Department Special Region of Yogyakarta.(2013).Profil Kesehatan Daerah Istimewa Yogyakarta.Yogyakarta.
Gheorghiade, M., Sopko, G., Luca, L.D., Velazquez, E.J., Parker, J.D., et al.(2006). Navigating the Crossroads of Coronary
Artery Disease and Heart Failure, Circulation AHA, 106.623199 [pdf]. Last Accessed 07 Mei 2016.
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Golias, Ch., Charalabopoulos, A., Stagikas, D., Charalabopoulos, K., Batistatou, A.(2007). The Kinin System‐Bradykinin:
Biological Effects and Clinical Implications. Multiple Role of the Kinin SystemBradykinin, Hippokratia, 03,
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Hadiatussalamah. (2013). Identifikasi Identification of Drug Related Problems in Congestive Heart Failure Patients in Dr.
Mohammad Hoesin Palembang Public Hospital. Thesis., Universitas Gadjah Mada, Yogyakarta
Hall, M.J., Levant, S., DeFranches, C.J.(2012). Hospitalization for Congestive Heart Failure : United States, 2000‐2010, NCHS
data brief, 108 [pdf]. Last Accessed 16 Mei 2015, http://www.cdc.gov/nchs/data/data briefs/db108.pdf
Koshman, S.L., Charrois, T.L., Simpson, S.H., McAlister, F.A., Tsuyuki, R.T.( 2008). Pharmacist Care of Patients with Heart
Failure : A Systematic Review of Randomized Trials, American Medical Association, 07‐168 [pdf]. Last
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Lahner, E., Annibale, B., Fave, D.G.(2009). Systematic Review: Impaired Drug Absorption Related to the Co‐Administrationof Antisecretory Therapy Abstract, Alimentary Pharmacology and Therapeutics, 12‐29, 1219‐1229. Last
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Larina, V.N., Bla, B., Brodskii, M.S., 2011, Hyperuricemia in Chronic Heart Failure Abstract, Kardiologia, 03‐51,
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Pharmaceutical Care Network Europe Foundation.(2006).PCNE Classification for Drug related problems V5.01.[pdf]. Last
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Clinical Interaction Between Ceftriaxone and Calcium, American Society for Microbiology, 04‐54, 101128[pdf]. Last Accessed 26 Mei 2016, www.ncbi.nlm.nih.gov/pmc/article s/PMC2849391/pdf/1111‐09.pdf
Tatro, D.S..(2010). Drug Interaction Facts TM . Wolters Kluwer Health. USA.
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75‐81, MC Graw Hill Education.

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Chiba, 20‐24 November 2016

Actual and Potential Drug Related Problems in Diabetic Patients
through Medication Reconciliation Process
Nurul Maziyyah*, Gresti Ilma Rosa, Rizky Rezanawanti Muchtar
School of Pharmacy, Universitas Muhammadiyah Yogyakarta, Special District of
Yogyakarta 55183, Indonesia

Abstract
Diabetes Mellitus (DM) is one of the chronic diseases related to many kinds of
drug related problems (DRPs). Being a part of the healthcare team, pharmacist should beof concern for DRPs, especially those which give harm to the patients and interfere withthe goal of therapy. Medication reconciliation is an effort that can be used by pharmacist
to identify, avoid, and give solution to DRPs. This research aims to identify potential andactual DRPs in diabetic patients through medication reconciliation process.
This research used a non‐experimental design where the researcher intends togive a description on DRPs identified through medication reconciliation process. Sample
in the study were type 2 DM patients who gave a visit to a Primary healthcare centre in
Bantul, Yogyakarta during August – December 2015. Medication reconciliation process
was conducted by gaining complete information of drugs/herbs/supplements that wereroutinely consumed by the patients and comparing it with newly prescribed drugs at thetime of visit. Actual and potential DRPs were identified based on the result ofcomparison and evaluation of patients’ drugs/herbs/supplements consumption.
A number of 35 type 2 DM patients were included in this research. Result showedthat 82.86 % of patients were identified with actual and/or potential DRPs. Actual DRPs
identified were inadherence (39.39%) and adverse drug reaction (9.09%), while
potential DRPs identified were adverse drug reaction (15.15%) and drug interactions(36.36%). Medication reconciliation resulted in more complete information useful toidentify DRPs.

Keywords
drug related problems; diabetes mellitus; medication reconciliation

1. Introduction
Diabetes Mellitus (DM) is one of the chronic diseases with a high prevalence inthe world including Indonesia. The number of DM patients worldwide in 2014 reached
422 million adults which showed a 2‐fold increase from 1980 (WHO, 2016). Indonesia
itself had a number of 8.4 million diabetes which is predicted to give almost a 3‐foldincrease in 2030 (Perkeni, 2011). As in 2013, the Basic Health Research done in* Corresponding author. Tel.: +62 877 3817 4828.

E‐mail address: maziyyahnurul@yahoo.com; maziyyahnurul@umy.ac.id154

Indonesia revealed a 2.1% increase in prevalency of DM compared to 1.1% increase in2007 (Kemenkes, 2013).
A high prevalence in DM is associated with a high incidence of Drug Related
Problems (DRPs) among diabetic patients. A study on Type 2 DM patients in a tertiary
hospital in Malaysia resulted in 406 DRPs where 91.8% had at least one DRP occurringwith potential drug‐drug interaction as the most frequent DRP, while another study in
Nigeria found that there was an average of 2.1 DRPs occurring in 399 diabetic patientswith non‐adherence as the main problem (Huri and Ling, 2013; Ogbonna et al, 2014). A
different pattern can be seen in Indonesian hospitals where the common DRPs in
diabetes patients were mostly over dosage and drug‐drug interaction (Wahyuni, 2013;
Sari, 2015; Marbun, 2016).
The common use of complementary and alternative medicines such as traditional
herbs can also be related to DRPs in diabetic patients. A national survey showed anincrease in herb usage among Indonesian people for the intention of self medication(Supardi, 2003). Drug interaction was the most commonly DRPs that is associated with
CAMs usage. A number of 882 drug – CAMs interaction had been identified wherearound 240 of them were interactions with major significancy (Tsai et al, 2012).
Identification of DRPs as one of the main activities of a pharmacist have gone
through various inovation in order to provide an effective way for pharmacist to
conduct this activity. Medication reconciliation is one of the attempt to identify andprevent DRPs by gathering important information of drug usage which eventually could
prevent medication errors (Barnsteiner, 2008). This study was conducted to identify
actual and potential DRPs that occur in diabetes patients having their routine visit to thePrimary Healthcare center.

2. Material and Methods
2.1.

Study design

This study was conducted through an observational or non‐experimental design.
Patients meeting the inclusion criteria entered the medication reconciliation process
where the researcher obtained thorough information regarding medication history andother complementary and alternative medicines (CAMs) through deep interview withthe patients. Medication reconciliation was then conducted by comparing medication
information from patients with the newly prescribed medication given by the doctorfrom their visit to identify any drug related problems.
2.2.

Study time and location

This study was conducted in a Primary Healthcare Center in Bantul Region,
Special District of Yogyakarta, Indonesia where DM patients in the surrounding area
usually do routine visit to the primary care doctor and obtain their medication monthly.
The study period was from August to December 2015.
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2.3.

Patient selection

Patients recruited for this study had to meet the inclusion criteria determined by
the researcher as follows: patients above 18 years old, agree to be a research subject (byfulfillment of inform consent), diagnosed with type 2 DM for a minimum of 5 years.
Patients were excluded if they didn’t know or could not describe the type of medication
or CAMs routinely consumed at home.
2.4.

Data analysis

Identification of drug related problems was done by comparing and analyzing
both medication list from the interview process and newly prescribed medication by thedoctor. Identified DRPs was then classified according to types of DRPs which consist of
actual and potential DRPs. Actual DRPs was determined as DRPs which occurred in the
study period while potential DRPs were problems that were identified throughliterature trace but had not yet happen to the patient in the study period. Each type of
DRPs was analyzed to gain result on major DRPs happening in type 2 DM patients.

3. Results and Discussion
3.1.

Patient characteristics

Patients recruited in this study were 35 type 2 DM patients who met the inclusion
criteria. Table 1 describes the characteristics of patients in this study.
Table 1. Patients Characteristic Distribution
Characteristic
Description
GenderMale
FemaleAge
40 – 50 years old
51 – 65 years old>65 years old
Co‐morbids
Hypertension
Dyslipidemia
Hypertension + Dyslipidemia
Hypertension + Hyperuricaemia

Percentage
31.43%
68.57%
14.29%
20%
65.71%
76.93%
7.69%
7.69%
7.69%

Based on the gender, patients in this study were mostly female (68.57%). This
picture in line with the result from the National Basic Health Research in Indonesia inthe year 2013 where there was an increase in the number of female DM patientscompared with male patients (Kemenkes, 2013). The difference in men and womenregarding the risk to obtain diabetes is usually caused by several factors such as
difference in body composition, insulin resistance and blood glucose level which could
be influenced by sex hormones (Geer and Shen, 2009).
Age is one of the factors contributing in the prevalence of DM. Aging has been
associated with the risk of insulin resistance which could be the result of organ
dysfunction, commonly seen in late adults (Barbieri et al, 2001). The result from Table 1
indicates that most of the patients subjected in this study were above 65 years old. For
156

the process of medication reconciliation, this result could become a disadvantage
because difficulty in interviewing these kind of patients, moreover language barriers
was also seen during the process (most elderly patients in Java are used to speaking in
Javanese).
Looking at the result related to the co‐morbids of the patients, patients were
mostly diagnosed with diabetes and hypertension (76.93%). This is a common finding inthe society. The relationship between diabetes and hypertension can be associated withthe overlapping on pathophysiology of both diseases which is usually related withobesity, inflammation, oxidative stress and insulin resistance (Cheung and Li, 2012).
3.2.

Drug usage pattern

Drug related problems can often be seen through the pattern of drug usage inpatients, regarding the number of drugs consumed by the patients. Drug interaction is
one of the most common DRP that can be recognized by knowing the amount of drugs
prescribed or consumed by patients which is not rarely found in diabetes patients(Smith et al, 1969; Grant et al, 2003). Drug usage pattern in our subjects can be seen in
Table 2.
Table 2. Drug Combination
Drug Combination
Single Drug2 – combination drugs
3 – combination drugs
4 – combination drugs
5 – combination drugs
Total

No. of Patients (%)‐
7 (20%)
15 (42.86%)
11 (31.43%)
2 (5.71%)
35 (100%)

This study showed that drug usage pattern in diabetes patients was dominatedwith 3 to 4 drug combination which could consist of anti diabetic or/and non‐antidiabetic drugs. This result is similar to several studies conducted in United States andSouthern India which revealed an average of 4.1 and 4.77 drugs combined in diabetic
and diabetic hypertension patients respectively (Grant et al, 2003; Hussain et al, 2014).
The use of many drug combinations must be a concern to avoid the risk of adverse drug
reaction.
The consumption of complementary and alternative medicines was also seen in
4 of the subjects. These CAMs consisted of the following as described in Figure 1.

157

Japaneseant
25%
Turmeric
andtamarind
50%

Insulinleaves25%

Figure 1. Use of CAMs

There were only few subjects in this study (4 out of 35 patients) who routinely
consume CAMs besides their prescribed drugs. Based on the interview with all 35
patients, most of them have already stopped their CAMs consumption when they werediagnosed with diabetes and also had been told by the doctor to stop their CAMs.
Insulin leaves is also known as Yakon leaves (Smallanthus sonchifolius) which isoriginated from Andes mountains. This herb is usually used as a traditional medicine in
Peru. Boiled insulin leaves have shown benefit for diabetes condition for its ability togive effective glycemic control although has not yet been clinically tested (Lachman et al,
2003; Serra‐Barcelona et al, 2014). Another 2 patients in this study consumed a
combination of turmeric and tamarind decoction which is widely consumed byIndonesian people for centuries. This mixture is commonly used for dysmennorhae andhas also been studied for its antioxidant effect as well as other beneficial effects (Melinand Soleha, 2016; Mulyani, 2014). The effect of curcumin (active compound in turmeric)on blood glucose level has been studied in a systematic review and resulted inconfirmation on its role in prevention and treatment for diabetes and associateddisorders based on animal model research. Unfortunately, there is still few clinical trials
related to this subject (Zhang et al, 2013).
The use of Japanese ant was seen in only 1 patients in this study by inserting theant in a capsule. Japanese ant or Tenebrio molitor is recently being popular in Indonesian
people for the treatment of diabetes. The effect of this insect on hyperglycemic condition
had been studied by Fauzi et al (2016) which revealed this insect’s potential as anantidiabetic agent.
3.3.

Drug related problems

Drug related problems resulted from the process of medication reconciliation indiabetes patients were classified into actual and potential DRPs. From a total of 35
subjects, we found 33 cases of DRPs (actual and potential) in 29 patients (82.86%)
which is detailed in Table 3.

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Table 3. Identified Drug‐Related Problems
Drug‐Related Problems
DRP Type
Inadherence
ActualAdverse drug reaction
Actual & Potential
Drug Interaction
Potential
Total

No. of cases (%)
13 (39.39%)
8 (24.24%)
12 (36.36%)
33 (100%)

This study revealed that most of diabetic patients in the Primary Healthcare
Center did not comply in consuming medication. By conducting medication
reconciliaton, we were able to gather information on how the patient consume their
medication in order to identify any sign of inadherence.
3.3.1.

Inadherence

Inadherence is one of the DRPs commonly seen in chronic disease patients
because of long life consumption of medication. Inadherence can be caused by lack of
information given by the healthcare provider on how to consume the medication orinternal factors from the patient such as burden in routine consumption, misbelief in
medication, etc. Most of the patients in the study was inadhere by not routinely
consuming the antidiabetic medication such as metformin and glybenclamide. The
importance of adherence in diabetes patients was studied by Yu et al (2010) whichconcluded that medication adherence may reduce the risk for microvasculare
complications in diabetic patients. Disease and medication beliefs were known assignificant predictors for inadherence (Mann et al, 2009) which was also seen in patientsfrom our study. These factors are modifiable and should be a concern for healthcare
providers in order to improve patients’ adherence.
3.3.2.

Adverse drug reaction

Based on thourough interview in the medication reconciliation process, thisstudy was able to identify several adverse drug reaction (ADR) that occured as actual
ADR and potential ADR. Figure 2 shows medication which contributed to these ADRs.

Metformin
33%
NSAIDs67%

Figure 2. Drugs contributing to adverse drug reaction

Identification of ADRs in diabetes patients in this study was dominated bypotential ADRs from the use of Non‐Steroid Antiinflammatory Drugs (NSAIDs). The
159

determination as potential ADR was due to routine use of NSAIDs in the patients.
Patients were prescribed with NSAIDs as analgetics to reduce pain caused by post
surgery or pain in foot or joint. The routine use of NSAIDs has been known to give risk
on gastrointestinal irritation which could lead to gastrointestinal bleeding (Becker,
2004). While actual ADR was seen in patients consuming metformin resulting in minorside effects such as nausea and diarrhea.
3.3.3.

Potential drug interaction

Medication reconciliation conducted to diabetes patients in this study resulted inseveral potential drug interaction which did not only include drug – drug interaction,
but also drug – CAM interaction. Table 4 describes the interaction identified from thestudy.
Table 4. Potential drug interaction
Interaction typeInteracting drugs
Minor
Hydrochlorothiazide + glimepiride
Furosemide + metformin
Nifedipine + metformin
Metformin + turmeric‐tamarind
Moderate
Diclofenac + glimepiride
Diclofenac + glibenclamide
Antacid + glibenclamide
Glibenclamide + simvastatin
Major
Amlodipine + simvastatin

No. of cases
1
1
1
2
3
1
1
1
1
12

Percentage
41,67%

50%

8,33%
100%

Potential drug interaction identified from the patients was mostly classified asminor and moderate interaction which usually don’t give fatal effect for the patients
although still need consideration based on each type of interaction. Drug interaction
with major significancy based on Tatro et al (2006) was the interaction between
amlodipine and simvastatin which was seen in 1 patient. The effect of this interaction
increased the risk of toxicity from simvastatin such as miopathy and rhabdomiolysis andmust be monitored closely (Nishio et al, 2005).
Potential interaction with CAMs was found in 2 patients consuming turmeric andtamarind mixture drink with routine use of metformin. The hypoglycemic effect of
curcumin in turmeric (as discussed above) should be a concern and patients should be
educated to have their blood glucose routinely monitored to avoid hypoglycemia as wellas understanding the symptoms and what to do in case of hypoglycemia.
Through medication reconciliation process, the study was able to identify several
actual and potential DRPs occuring in diabetes mellitus patients having their routine
visit to the Primary Healthcare Center such as inadherence, adverse drug reactions andalso durg interactions. The deep interview in the beginning has led to a morecomprehensive understanding on how patients consume their medication and also

160

CAMs usage other than prescribed drugs which contribute to a better way on identifying
DRPs compared to the usual visit in a Primary Healthcare Center.
Acknowledgement
This research was funded by the research grant from Universitas
Muhammadiyah Yogyakarta, Indonesia.

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Barnsteiner, JH. (2008). Medication Reconciliation. In Hughes, R.G.. Patient Safety and Quality: An
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Becker, J.C., Domschke, W., Pohle, T. (2004). Current Approaches to Prevent NSAID‐induced
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Cheung BMY and Li Chao. (2012). Diabetes and Hypertension: Is There a Common Metabolic
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Tenebrio molitor (Mealworm) Extract as an Anti‐Diabetic Agent. International Journal of
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162

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Analysis on The Influence of Early Pharmaceutical Exposure inPrimary Health Care on Student’s Knowledge Levels in School of
Pharmacy Universitas Muhammadiyah Yogayakarta
Ingenida Hadninga, Ayutya Bastian Firzaa

aSchool of Pharmacy Faculty of Medicine and Health Sciences Universitas Muhammadiyah

Yogyakarta, Tamantirto Kasihan Bantul, Yogyakarta 55183, Indonesia

Abstract
Early Pharmaceutical Exposure (EPhE) program is a practicum activity forundergraduate pharmacy students of School of Pharmacy Universitas Muhammadiyah
Yogyakarta (UMY) in the pharmaceutical fields. One of those pharmaceutical fields is
primary health care. UMY is the only school of pharmacy in Indonesia that applies thisprogram. It will be a consideration that can be applied in the other universities inIndonesia. The main objective of this research is to determine the influence of EphE
program on student’s knowledge levels after conducting the EPhE program.
This research study was conducted by an observational descriptive analytic
method with cross sectional approaches. The sampling technique used was a non‐probability sampling through purposive sampling. The samples in this study were
undergraduate pharmacy students of the School of Pharmacy UMY year 2015. The
samples of this study were 30 respondents. They were given questionnaires to evaluate
student’s knowledge level pre and post the program. The data obtained were tested
using the Wilcoxon test.
The result of this research showed that the student’s knowledge levels for pre
implementation of EPhE were Good (50%), Sufficient (46,67%), and Less (3,34%). In
post implementation of EPhE program, the student’s knowledge levels increased
showing Good (90%) and Sufficient (10%). The Wilcoxon test indicated that p value =0.000, which means that the result was significantly different in the scores of student’s
knowledge levels for both pre and post EPhE implementations. The research concludes
that the EPhE program influenced the student’s knowledge levels.

Keywords
Early Pharmaceutical Exposure; primary health care; knowledge levels

Introduction
Good pharmaceutical practice should be carried out by a competent pharmacist.
Competent pharmacists who are qualified in accordance with Indonesian Pharmacist
Competence Standard can be produced through appropriate curriculum and learning
processes. A Competency Based Curriculum (CBC) has been implemented inIndonesia. It is expected that School of Pharmacy graduates have met the competence
required to become a pharmacist through the Competency Based Curriculum. The
Competency Based Curriculum can be implemented in various learning163

processes. School of Pharmacy in the Muhammadiyah University Yogyakarta (UMY) uses
a Problem Based Learning (PBL) learning process. PBL applies student centeredlearning methods (Indonesian Pharmacist Association, 2011; Ministry of HealthRepublic of Indonesia, 2009; Nursalam, 2008).
PBL is a learning method that gives the ability to learners through problem
solving. PBL main objective is to provide skills and information to students regarding
problems that may be encountered when carrying out their profession later (Nursalam,2008). This PBL methods are implemented on expert lectures, tutorials, lab, skill
lab, plenary discussions, Interprofessional Education (IPE), and the Pharmaceutical
Early Exposure (EPhE) activities in the School of Pharmacy UMY. School of Pharmacy
UMY becomes the only School of Pharmacy in Indonesia to implement the EPhE learning
method (School of Pharmacy UMY, 2015).
EPhE is a form of clinical practice for the students in School of Pharmacy
undergraduate degree program in a real pharmaceutical occupation setting. EPhE isdelivered to prepare the students to be able to know the works of a pharmacist in thefield of pharmacy as early as possible. EPhE activities are expected to stimulate
curiosity and enhance students’ learning spirit in a variety of pharmaceutical sciences tobe applied in pharmaceutical profession (School of Pharmacy UMY, 2016). The
researchers sought to know the effect of EPhE implementation towards the knowledge
level of students in School of Pharmacy UMY. Researchers focused the study on theimplementation of EPhE on primary health care.

Research Method and Material
This research is a descriptive analytic observational research using crosssectional approach. It used a questionnaire to determine the effect of EPhE
implementation in primary health care on students’ knowledge level in the School of
Pharmacy UMY. This research was conducted in the School of Pharmacy UMY from April
to May 2016.
The sampling technique used in this research was a non‐probability
sample using purposive sampling. The samples in this research were students of the
School of Pharmacy UMY class of 2015 who had taken EPhE class in primary health careand they were amounted to 30 people. The samples represent each primary health careand its session implementation.
This research used a questionnaire as its instrument. The questionnaire wasdesigned by the researchers to refer to the EPhE manual in primary healthcare. Knowledge level questionnaire consists of 31 questions which then measured by
Guttman scale, a scale that is both firm and consistent by giving a straight answer to thequestion. The form of the questions from the questionnaire are in the form of yes or noquestion. Each correct answer was given a value of 1 and each wrong answer was givena value of 0 (Hidayat, 2007).
The study was initiated with reliability and validity tests to the research
instruments. The valid and reliable questionnaire were distributed to the respondents
who previously given the information on the purpose and objective of the study byresearchers in advance. After being given an explanation, respondents signed anagreement letter confirming to be the respondent. Respondents filled out aquestionnaire by giving a check on the appropriate answer.

164

The researcher conducted a univariate analysis to the data obtained in order todescribe the frequency distribution of the researched variables descriptively. Univariate
analysis aims to explain or describe the characteristics of each study variable (Sumantri,2011). The data is presented in the form of percentage. The evaluation of EPhE effects
on the level of students’ knowledge in primary health care were categorized in three
categories, namely:
 Good, when the subject was able to answer correctly 76% ‐100% of the wholequestion.
 Sufficient, when the subject was able to answer correctly 56% ‐75% of the wholequestion.
 Less, when the subject was able to answer correctly ≤ 55% of the wholequestion.
The data which had been through univariate analysis required to be evaluatedfurther using bivariate analysis. This analysis was used to determine the correlation
between the condition before the implementation of EPhE and after EPhE
implementation on student’s knowledge level in primary health care. A Wilcoxon test
was conducted during the data testing process to compare between the two groups ofinterrelated data. The statistical tests results interpretation was as follows, if the Pvalue> α (0.05), then there is no significant difference in scores on the level of students’knowledge before and after the implementation of EPE. Whereas when P value ≤ α(0.05), then there is a significant difference in scores towards the level of students’knowledge before and after taking EPhE class.

Research Results and Discussion
A.

Validity dan Reliability Tests
Validity test is a test that has a sense on the extent of provision and accuracy ofan instrument (questionnaire) in doing its measuring function (Azwar, 2009). An item
analysis is used to test each item’s validity, which is done by correlating the scores ofeach item with the total score as the sum of each score point. The correlation used in thisresearch was Pearson correlation. In giving the interpretation of the correlation
coefficient, an item that had a value of r count > r table was declared as valid and if thevalue of r arithmetic < r table, it was declared as invalid. The minimum requirement tobe considered as valid was when it showed the correlation coefficient of 0.361 with astandard error of 5%. Thus, if the correlation coefficient <0.361, it was declared as
invalid.
There were 31 questions on the questionnaire on the level of students'
knowledge tested on a number of 30 respondents in accordance with the inclusion
criteria. The selection of respondents was done by observing the groupings of students
in each primary health care and session and then each representative was selectedbased on the 1st serial no on the presence list. From the validity results obtained, 4problems were considered as invalid for the questionnaire on the students’ level ofknowledge, so the questions on the students’ level of knowledge were reduced in to 27
questions.
Reliability test is an index indicating the extent to which a measuring instrument
is reliable or unreliable. It shows the extent to which the measurement results remain
consistent when measurements were taken twice or more on the same symptoms
165

(Notoatmodjo, 2012). A group of question items are declared as reliable if the numbersof Cronbach alpha coefficient (α) ≥ 0.6 (Arikunto, 2010).
Reliability test was conducted to 30 respondents with the number of questions
in total of 31 questions on student knowledge’s level questionnaire. The results of
Cronbach alpha analysis amounted to the value of 0.909 for the questionnaire regarding
the level of students' knowledge, thus it was stated as highly reliable.
Based on the validity and reliability tests of the questionnaire, it could beconcluded that of the 31 questions, 27 questions were declared as valid and reliable forthe questionnaire on the student’s knowledge level (Table 1).
Table 1. Questionnaire on the Students’ Level of Knowledge
No.

Question

Yes

No

Administrative requirements regarding pharmacy services at primary health care1Primary health care obtain drugs from PBF.

2
3

Pharmacists make the planning demand for drugs in primary health care.
LPPO (Sheets on the Usage and Demand of Drugs) is a sheet that is used torequest for medicines to District Health Organization’s Pharmacy’s
storehouse.

4

Plan the demand for drugs in primary health care based on the type of disease
observed in the previous year.

5

Primary health care request a special medicine outside the regular schedule
when a vacancy of drug occurs because of outbreaks.

6

The report on the use of drugs in primary health care is conducted by
Pharmacists.

7

Primary health care submit a request to the Pharmacy’s warehouse every 2months.

8

Stocks for hospitalization is held at the end of the month to determine thesuitability of the stock on the stock card with the real condition.

9

A regular report was conducted every 1 month for narcotic drugs andpsychotropic.

10
At the end of the year, primary health care makes a planning on drug demand.
Drug management is based on regulation
11
Rack / cabinet arrangement for drugs is based on FIFO (First In First Out).
12

Primary helath care implements alphabetical system in the arrangement ofdrug storage.

13

Antibiotic drugs are stored in a tightly sealed chamber, dry and protectedfrom light.

14

Narcotic and psychotropic drugs are stored in closed and locked cabinets
made of wood.

15

Storage cabinets for narcotic and psychotropic use 2 double lock.

Prescription services
16

17
18

Prescription Service flow is as follows:
prescription received by pharmacists  the pharmacists checked the validity
or its completeness  drugs are taken and matched with prescription
 drugs are labeled  drugs submitted by pharmacists to the patients.
The prescriptions in primary health care include the name of the doctor anddoctor’s practice licence.
Pharmacists provide Information, Education, and Conselling in primary healthcare.

Archiving the prescriptions
19

Prescription’s storage uses special storage cabinets.

20
21

Prescription archiving is performed every 1 month.
All prescriptions are stored for 3 years before they are destroyed.

Good dispensing practices
22
Assistant pharmacists perform retrieval, medication compounding andlabelling in primary health care.
23

If drugs are found to be not in accordance with the prescription, pharmacists
discuss it with the doctor.

166

24

The tools used for compounding the drugs are pulveres types mortar andstamper.

25
26

Mortars and stamper are cleaned by means of moistened with alcohol after
use.
Oral type of drug is using white label.

27

Drugs provided from outside of the primary health care is using blue label.

B. The Research on the Influence of EPhE towards Students’ Knowledge Level
The respondents in this study are students of School of Pharmacy UMY class of2015 who had followed EPhE in primary health care. This research used a questionnairewith 27 items of questions to determine the level of student knowledge. The
questionnaire was given to 30 respondents, by looking at the grouping of students ineach primary health care and each session and then one representative was taken, basedon the serial number shown in the presence list 2.
Knowledge is the result of "Knowing" and it occurs after people perform sensing
on a specific object. Sensing occurs through human senses, namely: the sense of sight,
hearing, smell, taste and touch. Most human knowledge is gained through education,other people’s experience, the mass media and the environment (Notoatmodjo, 2003).
The level of students’ knowledge before and after implementing EPhE in primary healthcare can be seen in Table 2.
Table 2. The Level of Students’ Knowledge
Knowledge
Pre Test

Post Test

N

%

N

%

Good

15

50

27

90

Sufficient

14

46.67

3

10

Less

1

3.34

0

0

Total

30

100

30

100

p value

0,000

Table 2 shows that before implementing EPhE in primary health care, as manyas 15 respondents (50%) had a good knowledge, as many as 14 respondents (46.67%)
have sufficient knowledge, and 1 respondent (3.34%), have lack of knowledge. After
doing EPhE in primary health care, respondents still have enough knowledge as much as
three respondents (10%) and as many as 27 respondents (90%) have a goodknowledge. After calculation using the Wilcoxon test, the result showed p value = 0.000(<0.005), which means that there are significant differences in scores on the level ofstudents’ knowledge before and after the implementation EPhE in primary health care.
Student knowledge of Pharmacy in UMY before and after following EPhE inprimary health care was measured by 5 grid of questions, namely: completeness ofadministration in relation with pharmaceutical services at the health center, medicine
management based on regulation, prescription services, archiving recipes, and gooddispensing practice. Distribution of student’s knowledge level by 5 grid questions can beseen in Figure 1 and Figure 2.

167

Before Early Pharmaceutical Exposure
80
70
60
50
40
30
20
10
0

Good
Sufficient
Administrative
Drug
Prescription Archiving thecompleteness management
servicesprescriptions
regarding
based onpharmacy
regulation
services atprimary health
care

Good
dispensing
practice

Less

Figure 1. Diagram of Distribution on the Level of Students’ Knowledge before EPhE towards 5 Grids ofQuestions

After Early Pharmaceutical Exposure
100
90
80
70
60
50
40
30
20
10
0

Good
Sufficient
Administrative
Drug
Prescription Archiving thecompleteness management
servicesprescriptions
regarding
based onpharmacy
regulation
services atprimary
health careGooddispensing
practice

Less

Figure 2. Diagram of Distribution on the Level of Students’ Knowledge after EPhE towards 5 Grids ofQuestions

Conclusion
Based on the research that had been conducted, it can be concluded that EPhE inprimary health care has a positive influence on students’ level of knowledge in School of
Pharmacy UMY.

Acknowledgements

This research was supported by University of Muhammadiyah Yogyakarta. We thank to Prof.
Dr. Bambang Cipto, MA, Rector of Muhammadiyah University Yogyakarta for the funding
support. We also thank to Director of Jogja Hospital for facilitating our research.

168

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Ministry of Health Republic of Indonesia. (2009). Indonesian Government Regulation No. 51 Year2009 on Pharmaceutical Works (Peraturan Pemerintah Republik Indonesia Nomor 51
Tahun 2009 Tentang Pekerjaan Kefarmasian), Jakarta.
Notoatmodjo, S. (2003). Education and Health Behavior (Pendidikan dan Perilaku Kesehatan),
Rineka Cipta, Jakarta.
Notoatmodjo, S. (2012). Health Research Methods (Metode Penelitian Kesehatan), PT. Rineka
Cipta, Jakarta.
Nursalam. (2008). Concept and Application of Nursing Research Methodology: Guidelines Final
Year Project, Thesis and Research Instruments (Konsep dan Penerapan Metodologi
Penelitian Ilmu Keperawatan: Pedoman Skirpsi, Tesis, dan Instrumen Penelitian), Salemba
Medika, Jakarta.
School of Pharmacy UMY. (2015). Handbook of Academic Year 2015/2016 (Buku Panduan
Akademik Tahun Ajaran 2015/2016), School of Pharmacy UMY, Yogyakarta.
School of Pharmacy UMY. (2016). Workbook of Early Pharmaceutical Exposure Block 5 (Basic of
Pharmacy IV) (Buku Kerja Early Pharmaceutical Exposure Blok 5 (Farmasi Dasar IV)),
School of Pharmacy UMY, Yogyakarta.
Sumantri, Arif. (2011). Health Research Methodology (Metodologi Penelitian Kesehatan),
Kencana, Jakarta.

169

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

THE EFFECT OF SUPPLEMENTATION PROBIOTIC Lactobacillus
casei SHIROTA STRAIN AGAINST COLONIZATION OF
Streptococcus NASAL SWAB ISOLATES FROM PATIENTS WITH
ALLERGIC RHINITIS
Lilis Suryania*, Hengki Exsar Aritamab
aDepartment of Microbiology, School of Medicine, Universitas Muhammadiyah Yogyakarta,

55183 Yogyakarta, Indonesia

bSchool of Medicine, Universitas Muhammadiyah Yogyakarta, 55183, Yogyakarta,

Indonesia*lilis_fkumy@yahoo.co.id

Abstract

Allergic rhinitis was an inflammation of the mucosa nasal cavity caused by a type 1
hypersensitivity reaction. Streptococcus was normal flora in nasopharyngeal which iseasily spread by droplets from person to person. Streptococcus was Gram‐positivebacteria, its caused endocarditis nasopharyngeal infections, skin infections, urinary
tractus infections, and oral cavity infections. Probiotics has a positive effect on
prevention or treatment of certain disease conditions. Manipulation of intestinal florawith probiotics for the prevention and treatment of rhinitis allergy should be developed.
This study aims to determine the effect of supplementation probiotic Lactobacillus casei
Shirota strain against colonization Streptococcus nasal swab isolates from patients withallergic rhinitis.
This research was quasi‐experimental case‐control design with a control group pretest‐
postest design. The study was conducted at the Microbiology and Research Laboratory
School of Medicine Universitas Muhammadiyah Yogyakarta. Fourty two students ofmedicine school Universitas Muhammadiyah Yogyakarta, with the inclusion criteria
suspect allergic rhinitis based on history. Volunteers who have a history of allergic
rhinitis were taken nasal swab to check the number of Streptococcus bacteria. Voluntersconsume milk contained Lactobacillus casei Shirota strain daily for 28 days, then taken
to be examined Streptococcus nasal swab isolates bacteria numbers.
The results showed that the average number of Streptococcus nasal swab isolates
bacteria before supplementation is about 215 CFU and after supplementation is about
127 CFU. It can be concluded that supplementation of probiotic Lactobacillus casei

Shirota strain decreased the bacteria number of Streptococcus nasal swab isolates inpatients with allergic rhinitis.
.
Keywords: allergic rhinitis, Lactobacillus casei, nasal swab, Streptococcus

1. Introduction

Allergic rhinitis is an inflammatory reaction in the nasal cavity mucosa as aresult of type 1 hypersensitivity reactions triggered by many allergens. Allergic rhinitis
affects about 10‐20% population of the world. There many symptoms of the allergic
rhinitis like itching in the nose, sneezing, runny nose, and nasal congestion (Bousquet,2001). Allergic rhinitis is not a fatal disease but reduces the productivity of labor, the170

effectivity time of work, and school achievement (Baraniuk, 2000). These disease iscaused by an inflammatory reaction mediated by immunoglobulin E (IgE) in the nasal
mucosa. The prevalence of allergic rhinitis in Western countries is more than 20%,
Korea is 6‐10% (Asher, et al., 2006; Cho, et al., 1999), Thailand is 20% (Celikel, et al,2009). In Indonesia, prevalence of allergic rhinitis in not different with the othercountries. The prevalence allergic rhinitis in Bandung is 5.8% (Sumarwan, 1995),
Semarang is 18.6% (Suprihati, 2005). When one of the parents do not have allergic
rhinitis patients, the risk factors can be reduced by 50% (Badash, 2009). According to
Ng and Tan (1994) in Singapore, risk factors such as cockroaches, smoking, air pollution,and exposure to cooking fumes can trigger allergic rhinitis, whereas pets and passive
smokers is not a strong correlation as a trigger of allerghic rhinitis.
Streptococcus is one of the normal flora of the skin and nasal mucosa aretemporary. One time the existence of these bacteria could lead to problems, especially inpeople who have a history with allergic rhinitis. Normal flora becomes opportunistic
pathogens and transmits to the others (Jawetz, et al, 2004). Streptococcus is a positive
gram cocci bacterium, facultative anaerobic, amotil, chain composition. These bacteria
often cause disease nasopharyngeal infection, endocarditis, skin infections, urinary
tractus infections, and infections of the oral cavity. Streptococcus various pathogens
such as: Streptococcus pneumoniae, Streptococcus viridans, Streptococcus agalactiae,
Streptococcus mutans.
Recently, the prevention of allergic diseases requires an understanding of thematuration process of the immune defense mechanism. Current research indicates thatprobiotics had a strong influence on the regulation of primary immunophysiological inintestinal mucosal barrier (Rautava, 2005). Probiotics are live microorganisms, when
consumed has a positive effect on the prevention or treatment of a particular disease
condition. The potential of probiotics change the composition of the intestinal flora ofcertain high‐risk groups, such as premature babies, patients with diarrhea, the children
were treated with antibiotics, patients with viral gastroenteritis and some atopic
diseases are not only potential applications, but also the mechanism of these agents dueto the interaction of probiotics in the gut as an immune organ. The benefits of probiotics
dependent on the amount of agent, dose, dosing patterns, and characteristics of the hostand the microbe environment of the underlying lumen (Saavedra, 2001).

2. Material and Methods
This study is a quasi‐experimental case‐control design with a control grouppretest‐postest design. About 42 volunteers (25 men and 17 women) with allergic
rhinitic, students of medicine school Universitas Muhammadiyah Yogyakarta, were
included in this study. Volunteers who have a history of allergic rhinitis were taken
nasal swab to check the number of Streptococcus bacteria before and after
supplementation with probiotic. The respondens provided written informed consent.
The respondens consumed one bottle of a fermented milk drink 65 mL (PT Yakult
Indonesia Persada) daily from day 1 to 28. The probiotic fermented milk drink
contained Lactobacillus casei Shirota strain. Swabs from nasal cavities of each responden
were inoculated onto sheep blood agar, and then incubated at 370C, 24 hours. A series ofmethod had been done to identification of Streptococcus from the grows colony in the
blood agar media, such as Gram staining, hemolysis type and catalase test. Data analysis
by the paired t‐test.

3. Result
The results of this examination can be seen in Figure 1. From 42 nasal swab
samples were examined, almost 100% of the total number of Streptococcus decreased.
The average total number of Streptococcus nasal swab isolates before supplementation
is about 215 CFU. After supplementation of Lactobacillus casei Shirota strain daily for 28
days, the average total number become 127 CFU. This study showed that the171Lactobacillus casei Shirota strain daily for 28 days reduces the number of Streptococcus
nasal swab isolates in patients with allergic rhinitis. The statistical analysis paired t‐test
results obtained p <0.05.

250

215

200
127

150
100
50
0
beforeafter

Figure 1. The total number of Streptococcus nasal swab isolates before and after
supplementation of Lactobacillus casei Shirota strain daily for 28 days inpatients with allergic rhinitis

4. Discussion

This research shows that supplementation of Lactobacillus casei Shirota strain
daily reduces the Streptococcus colonisation in nasal cavity. The nasal cavity is a habitat
for many different normal flora. Ones of these bacteria, such as Stafhylococcus,
Streptococcus and Haemophyllus. These bacteria have pottentially pathogenic bacteria.
Patients with suspect allergic rhinitis have a higher risk of infection with these bacteria.
It is interested to elimination of the potentially pathogenic normal flora in the nose
cavity (Kluytmans, 1998). Probiotic bacteria are known to have beneficial effects inhumans, mainly by affecting the flora of the intestinal tractus. The supplementation of
Lactobacillus GG decreased the number of children patient with respiratory tract
infections about 17%. Lactobacillus GG inhibites the colonization of pathogens bacteria,
lowering of oxidative enzyme activity, reinforcement of the mucosal barrier, andstimulation of immunologic memory (Saxelin, 1997). Current research indicatesprobiotics had a strong influence on the regulation of primary immunophysiology inintestinal mucosal barrier (Rautava, 2005). Supplementation Lactobacillus bacteria may
inhibit the production of Th2 cytokines by mononuclear cells in allergic patients.
Probiotic treatment also prevent atopic disease. Naturally Lactobacillus is found in thehuman digestive tract and vagina. Lactobacillus produces amylase enzyme ingastrointestinal tract. This bacteria also produces niacin, pyridoxine, folic acid in thedigestive tract. Niacin is needed in DNA repair cell and steroid hormone production.
Vitamin B6 is important in the formation of blood cells and nerve conduction. L
acidophilus improves the immune system, inhibit diarrhea and prevent candidiasis
vaginal infection or oral cavity infection (Salazar, et al., 2007; Sazawal, et al., 2006)
There are many the benefit of supplementation Lactobacillus for humanhealth, among others: caused gastrointestinal environmental acidity, so inhibite thegrowth of harmful bacteria, activated the immune system especially the gastrointestinal
tract when the body's immune response is low and improved the body's tolerance to a172variety of oral allergens. Lactobacillus compete with pathogen bacteria to adhere thereceptor in the mucosa membrane cell of gastrointestinal tract. Lactobacillus produce avariety of digestive enzymes (phosphatase, lysozyme) and vitamins (B1, B2, B6, folicacid, and biotin) that will be absorbed in the small intestine and helps absorption
calcium. Lactobacillus also produce colicine that antibacteria activity for harmful
bacteria (Gibson and Collins, 1999; Vandenplas, 1999; Patricia, 1999).

5. Conclusion
This study suggested that supplementation of probiotic Lactobacillus casei Shirota strain
decreased the bacteria number of Streptococcus nasal swab isolates in patients withallergic rhinitis.
Acknowledgment
Researchers would like to thank to LP3M Universitas Muhammadiyah Yogyakarta andPT. Yakult Indonesia Persada that have funded this research through the entire
partnership program.

References

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174

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

STEROIDAL SAPONIN IN ETHANOL EXTRACT TUBER OF PURPLE
YAM (Dioscorea alata L.) AS ALLERGENIC AGENT ONSENSITIVITY PHASE BALB/c MICE MODEL ALLERGYSri Nabawiyati Nurul Makiyaha*, Sri Tasminatunb, Muhaimin Rifa’ic,
Widodoc, Muhammad Sasmito Djatic
aDepartment of Histology & Biology, Medical Science Study Programe Faculty of Medicine& Health Science, Universitas Muhammadiyah Yogyakarta; Jalan Lingkar Selatan
Tamantirto Kasihan Bantul DIY, Indonesia 55183
bPharmacy Study Programme, Faculty of Medicine & Health Science, Universitas
Muhammadiyah Yogyakarta; Jalan Lingkar Selatan Tamantirto Kasihan Bantul DIY,
Indonesia 55183
cBiology Department, Faculty of Mathematic and Sciences, Brawijaya University Jalan
Veteran Malang East Java Indonesia

Abstract
Purple yam (Dioscorea alata L.) is a source of biological tubers not been used optimally.
Diosgenin is steroids saponin compounds that most important because it has multiple biological
functions, such as allergenic activity. The objective of this research was to analyze the potential
allergenic ethanol extract tuber of D. alata L. (EEDA) on BALB/c mice on sensitivity phase withmeasure the profile of transcription factor FoxP3 Treg cells and cytokine profile of Treg and IgE
and IgG1 B cells. An experimental study using BALB/c mice divided into 7 groups: control group(I), the treatment group (II‐V) ethanol extract of tuber Dioscorea alata L. dose of 0.00; 0.17; 2.01;
10.04 g/kg bw, the treatment group antihistamines drug and Diosgenin (VI‐VII). For 17
consecutive days the group II‐VII were treated in accordance with the group and with Ovalbumin
induced allergy models. Mice were sacrificed on day 18. Spleen is removed, lymphocyte isolated
and analyze the transcription factor FoxP3 Treg cells, cytokine profile of T reg cells and IgE andIgG1 B cells on spleen using Flowcytometry FACS Calibur. The results showed EEDA able toinhibit the production of B220IgE and B220IgG1, trigger Treg cells (CD4CD25) and thetranscription factor FoxP3 (CD4CD25FoxP3) and profile of the cytokines produced by T reg cells.
The conclusion is ethanol extract tubers of Dioscorea alata L (EEDA) does not trigger Treg
(CD4CD25) and the transcription factor FoxP3 (CD4CD25FoxP3) and cytokine profiles producedby Treg cells namely CD4IL‐10, CD8IL‐10, CD4TGF‐β and CD8TGF ‐β in the sensitivity phase.
Keywords: Saponin steroid of ethanol extract of the tubers of Dioscorea alata L.; allergenic agent;
Treg cells; the transcription factor FoxP3; lymphocyte.

1. Introduction
Purple yam (Dioscorea alata L.) is a source of biological tubers that has not beenused optimally. D. alata L. contains Diosgenin (Cheng et al., 2007) i.e. main steroidal
saponin steroid aglicon as intermediate steroidal in pharmaceutical manufacture.
Steroidal saponin is the most importance bioactive compound because it have biological
function. The result of some research showed that steroidal saponin have allergenic
activity (Zhang et al., 2012).
175

The latest studies of T regulatory (Treg) cells reveals the importance of effector
function of this cell population in controlling allergic responses. It has been proven thatan allergic person reduce the number and function of Treg (Shreffler et al., 2009;
Palomares et al., 2010). Treg cells is able to inhibit the development of allergic Th2
response (Akdis et al., 2004) and plays an important role in allergen specificimmunotherapy (Akdis et al., 1998; Jutel et al., 2003). FoxP3 transcription factor plays
an important role in the maintaining self‐tolerance and immune homeostasis (Sakaguchi
et al., 2008). FoxP3 transcription factor important in the development of Treg cells and amarker of confirming the presence of Treg cells (Zheng & Rudensky, 2007; Sakaguchi,
2004).
Treg cells produce IL‐10 and TGF‐ cytokines which they inhibit the activationof lymphocytes and macrophages. Treg cells also directly interact and suppress otherlymphocytes or antigen presenting cells (Abbas & Lichtman, 2011). Treg cells throughits cytokines, IL‐10 and TGF‐β, capable monitoring the immune response, inhibits
hyperpolarization Th1 (autoimmune disease) or Th2 (allergic diseases) and further
regulate the balance of Th1/Th2 (Gourbeyre et al., 2011) as well as suppressing IgE
released by B cells (Huang et al., 2009). TGF‐ is an important factor in the regulation of
T cell mediated immune response and plays a role in the induction of immune tolerance(Gorelik and Flavell, 2002; Chen & Wahl, 2002).
Allergic reactions involving IgE specific antibodies (Ewan, 1998). IgE is a key
molecules that act as mediators of allergic responses (asthma, rhinitis, food allergies,
atopic dermatitis, etc.) (Gould & Sutton, 2008). According to Saldanha et al. (2004),
Ovalbumin as allergen sensitization in mice increases levels of IgE and IgG1 in bloodsera.
The objective of this research was to analyze the potential allergenic ethanol
extract tuber of Dioscorea alata L. (EEDA) on BALB/c mice on sensitivity phase withmeasure the profile of the transcription factor FoxP3 Treg cells and cytokine profile ofTreg and IgE and IgG1 B cells.

2. Materials and Methods
Experimental animals are mice (Mus musculus) BALB/c strain, 7‐8 weeks with ahealthy condition. This research has got the certificate of eligibility of ethics (Ethical
Clearance) of the Research Ethics Committee (Animal Care and Use Committee) UB No.
KEP‐144‐UB.
Experimental research on BALB/c mice with posttest only control group design.
Independent variable is ethanol extract of tubers Dioscorea alata L. dose 0.00 g/kg, 0.17
g/kg, 2.01 g/kg and 10.04 g/kg. Dependent variable is profile of transcription factor
FoxP3, cytokine profile of T reg cells (IL‐10, TGF‐β) and IgE and IgG1 B cells on spleen.
Dose ethanol extract of the tubers of Dioscorea alata L. converted from dose
human weighing 70 kg to 20 grams mice, multiplied by the conversion value 0.0026, so
we get first dose of 0.17 g/kg, 2 doses of 2.01 g/kg and 3 doses of 10.04 g / kg.
Mice Model Allergic Digestive Tract on Sensitivity Phase. BALB/c miceintraperitoneally sensitized with Ovalbumin. Mice immunized with intraperitoneal
injections on day 15 with 0.15 ml Ovalbumin in Al(OH)3 which is made of 2.5 mg
Ovalbumin dissolved in 7.75 ml of Alumunium Hydroxide (Fischer et al., 2005; Diding etal., 2008).
Twenty one male Balb C mice divided into seven groups: control (C), treatmentswith ethanol extract tubers of Dioscorea alata 0,00 g/kg, 0.17 g/kg, 2.01 g/kg, 10.04
g/kg (T I – T IV), treatment with antihistamine drug 0,4 mg/mice/day (T V) andtreatment with Diosgenin 200 mg/kg (T VI) (Huang et al., 2010). For 17 consecutive
days the T I‐ T IV groups were given ethanol extract of D. alata respectively with its dose,
T IV group given antihistamine drugs and T V group given Diosgenin. On day 15, NC dan
176

T I – T V groups of mice were induced Ovalbumin 0,0483 mg/mice (Fischer et al., 2005
with modification by Diding et al., 2008). On day 18, three mice each group weresacrificed with cervical dislocation, mice were dissected and spleen is taken to isolated
its lymphocytes and analyze the transcription factor FoxP3 Treg cells, cytokine profile ofT reg cells and IgE and IgG1 B cells on spleen using Flowcytometry FACS Calibur.
Statistical analysis of the data. Data are presented as means ± SD. Comparison
between groups was performed by the one‐way analysis of variance continued with
Tukey test. Considered a value of p <0.05 was statistically significant.

3. Results and Discussion
Body weight of mice on sensitization phase weighed every day for 17
consecutive days. Figure 1 showed the weight of mice on sensitization phase after
injected Ovalbumin intraperitoneally on day 15 experienced a weight loss of 5.44% on
the 16th day and 4.15% on day 17. There is significant effect of Ovalbumin injection onweight loss (p <0.05).
Weight parameter in this study need to be displayed because one of the marker
of success murine model of allergic is the occurrence of diarrhea in mice is characterized
by watery stools and weight loss. This study succeeded in making mice model of allergic
through a slight drop weight after giving Ovalbumin allergen which is appropriate with
Mollica et al. (2013) research. The diarrhea in mice is characterized by watery stool that
also occurs in mice model of allergic gastrointestinal tract is shown with stools morewatery and runny.
This research indicate that there is no difference in feed intake between groupsof mice, but mice treated Ovalbumin lose a little of their body weight. It is caused by theoccurrence of hypercatabolism which are caused by the production of inflammatory
cytokines (Dourado et al., 2010). This study did not evaluate further whether weight loss
in the treatment group Ova is caused by a decrease in feed consumption or water
retention as Moreira (2006) research in mice were sensitized with Ovalbumin. Jan et al.
(2007) research also showed that the body weight of mice which is treated Diosgenin
dose 200 and 400 mg/kg, there was no significant difference in body weight of mice
untreated control group.

Figure 1. Comparison of body weight of mice (g) on the sensitivity phase in the control group (C) and treatment groupwith EEDA 0.00; 0.17; 2.01 and EEDA 10.04 g/kg, Antihistamines Drugs and Diosgenin.

According to Saldanha et al. (2004), Ovalbumin as allergen sensitization in miceincreases levels of IgE and IgG1 in blood sera. IgE and IgG1 (Th2 response) versus IgG2a(Th1 response) is a good marker for the induction of allergic responses in mice (Adel‐
Patient et al., 2000). According Dourado et al. (2011), sensitization Ovalbumin in
BALB/c mice increases levels of IgE and IgG1.

177

This study showed that it has been an increase in B220IgE and B220IgG1
cytokine profiles in treatment group induced Ovalbumin on EEDA 0.00; 0.17; 2.01; 10.04
g/kg; Anti Histamin Drugs and Diosgenin groups compared with the control group in thesensitization phase. The highest B220IgE and B220IgG1 cytokine profile EEDA 10.on04
g/kg group and the lowest B220IgE and B220IgG1 cytokine profile is in the control
group as shown in Figure 2(a).
The results are consistent with Barwig et al. (2010), Aguilar‐Pimentel et al.
(2010) and Lee et al. (2013) that intraperitoneal injection of Ovalbumin with low doses
as an antigen together with Aluminum Hydroxide as adjuvant result in increased
formation of IgE antibodies with high levels. The results of this study demonstrate that
Ovalbumin as allergens managed to create mice model of allergic proven byadministering Ovalbumin can increase levels of IgE and IgG1 on BALB/c mice on
sensitivity phase because one of the clinical symptoms of allergy are increased levels of
IgE and IgG1 (Dourado et al., 2010, Makiyah et al., 2014).
Ovalbumin in this study can stimulate allergic reactions. IgE is a cytokine thatwas very crucial in the development of allergic reactions (Li‐Weber and Krammer, 2003;
Cookson, 2004; Diding et al., 2008). Haghighi et al. (2006) showed that administration oforal Ovalbumin in mice were able to induce the production of Th2 cytokines and IgE,
which it will result in an immune response to the allergic‐inflammatory.
2a2b

Figure 2Comparison of relative number of cells of mice expressing B220IgE and B220IgG1 and (b) CD4CD25 andCD4CD25FoxP3 on the sensitivity phase. Description: a bar chart followed by the same letters between group means
there is no significant difference (p> 0.05).

There are significant difference on B220IgE and B220IgG1 (p <0.05) cytokine
profile in sensitivity phase and Tukey's test showed there are significant difference
B220IgE cytokine profile between EEDA dose 10,04 g/kg with the Control group. EEDA
dose of 0.00; 0.17; 2.01 g/kg, Anti Histamine Drugs and Diosgenin while among theControl group, EEDA dose of 0.00; 0.17 g/kg, Anti Histamine Drug and Diosgenin
showed there are no significant difference. Between EEDA dose of 0.00; 0.17; 2.01 g/kg,
Anti Histamine Drug and Diosgenin groups showed no significant difference. Tukey test
results showed significantly different between groups B220IgG1 cytokine profile of
EEDA dose of 10.04 g/kg with the Control group. EEDA dose of 0.00; 0.17; 2.01 g/kg,
Anti Histamine Drug and Diosgenin while among the Control group, EEDA dose of 0.00;
0.17; 2.01 g/kg, Anti Histamine Drug and Diosgenin showed there are no significant
difference.
CD4+CD25+ cells is thought as conventional cells that express the CD25 surface
mole‐cules and regulatory T cells that will surely increase with the entry of foreign
substances are inserted into the body. CD25 surface molecules known also as the IL‐2αreceptor, which may be expressed by conventional cells other than CD4+ T cells (Lee et178

al., 2006). CD4CD25 Treg cells were identified by expression of double‐positive CD4 andCD25 markers specific membrane.
This study showed that on the sensitivity phase already increased CD4CD25
cytokine profile in the EEDA dose of 2,01; 10.07 g/kg and Anti Histamine Drug group, as
also been has an increase in transcription factor CD4CD25FoxP3 profile in the EEDA
doses of 2.01 and 10.04 g/kg group as shown in Figure 3. CD4CD25 cytokine profile andtranscription factors CD4CD25FoxP3 on the sensitivity phase showed no significantly
difference (p> 0.05).
Treg cells play an important role in immunological disorder underlying allergic
disease (Wu et al., 2007). Treatment of asthma allergic diseases latest also focused onincreasing the role of T reg cells to protect against severity of asthma (Nouri‐Aria &Durham, 2008). Some studies showed the occurrence of a significant reduction of Treg
cells CD4+CD25+Foxp3 in perifer blood and bronchoalveolar lavage fluid of patientswith asthma (Ryanna et al., 2009). Some therapies in allergic disease is known toincrease Treg cells (Nouri‐Aria & Durham, 2008). Treg cells has been widely utilized as
an experimental model for treating various diseases including allergic diseases (Kearley
et al., 2008). Some research has also shown the role of FoxP3 and CD4CD25 Treg cells inallergic disease (Stock et al., 2006).
Susanti et al. 2013 research on children with asthma given a combination of
adjuvant and Nigella sativa increase the percentage of CD4+CD25+Foxp3+ Treg. Lopes etal. (2006) research proved that intracellular Foxp3 protein delivery inhibits theactivation of T cells after stimulation of the T cell receptor (TCR) and the resulting
suppressor function of T cells CD4+CD25‐. Many recent studies have examined the role of
Foxp3 Treg cells and CD4+CD25+ in allergic asthma and atopic patients (Stock et al.,2006). Peripheral blood mononuclear cells from patients with allergic rhinitis andasthma had fewer lymphocytes expression of Foxp3+ and Foxp3 mRNA was significantly
decreased (Hartl et al. 2007, Lee et al., 2007). Treg cells from atopic patients have lesssuppressor activity compared with Treg cells from non‐atopic group (Ling et al., 2004),
suggesting that Treg Foxp3 and has an important role in regulating the immune
response in humans hypersensitive. Therefore, Foxp3 is a very important target for thedevelopment of immunosuppressive agents for both autoimmune diseases and allergies.
Despite the importance of Foxp3 in imunotoleransi has been studied extensively, theclinical use of gene transfer of Treg or Foxp3 for this disease is still limited because of
the difficulty of isolating the T reg cells human, transfection efficiencies are low, and thehigh risk gene viral‐mediated delivery (Choi et al., 2010 ).
Treg cells eject function of its imunoregulatory through various mechanisms,
among others, require CTLA‐4, turn off the antigen presenting cell or T lymphocytes
directly, using IL‐2 cytokine, production immunosuppression cytokine such as IL‐10,
TGF‐beta, IL‐35 and galectin‐1 (Vignali et al., 2008).
Treg cells secrete IL‐10 and TGF‐β in bulk (Shevach, 2009). IL‐10 is a
antiinflammatory cytokine produced Treg cells that control the peripheral immune
response (Hawrylowicz, 2005) and plays a role in protection against allergic disease on
individuals with mutations in FoxP3 (transcription factor Treg cells) in patients withfood allergy (Hawrylowicz, 2005). Immu‐notherapy to treat allergies have also beenshown to increase levels of IL‐10, which works by inhibiting the activity of Th2 cells(Akdis et al., 1998). Kearley et al. (2005) found a decrease in the production of Th2
cytokines in mice sensitized with Ovalbumin when granting Treg cells purified before
exposure to antigen; they found that the production of IL‐10 is not limited to Treg cells.
The result indicates that the sensitivity phase increased cytokine profile CD4IL‐
10 in the treatment group, namely Ovalbumin induced dose group EEDA 0.00; 0,17;
2,01; 10.07 g/kg, treatment with Anti Histamine Drugs and Diosgenin treatment, as wellas an increase in CD8IL‐10 cytokine profiles in the treatment group, namely Ovalbumin
induced dose group EEDA 0.00; 0,17; 2,01; 10.07 g/kg and treatment with Anti
Histamine Drug as shown in Figure 2(b).
179

CD4IL‐10 and CD8IL‐10 cytokine profile with one way Anova test showed nosignificant difference on CD4IL‐10 cytokine profile (p>0.05) and significantly difference
on CD8IL‐10 cytokine profile (p<0,05). Tukey test results showed no significant
difference CD8IL‐10 cytokine profiles between treatment groups EEDA dose of 2.01
g/kg with Control, EEDA dose of 0.00; 0.17; 10.04 g/kg, Anti Histamine Drug andDiosgenin treatment. There was no significant difference between Control groups, EEDA
dose 0.0 g/kg, Anti Histamine Drug and Diosgenin treatment. There was no significant
difference between the Control groups with the EEDA dose of 0.00; 10.07 g/kg and Anti
Histamine Drug treatment, there was no significant difference between EEDA 0.17 g/kg
and 10.04 g/kg groups.
This study indicate that on the sensitivity phase increased CD4IL‐10 cytokine
profile in the treatment group induced with Ovalbumin namely EEDA dose 0.00; 0,17;
2,01; 10.07 g/kg, Anti Histamine Drug treatment and Diosgenin treatment, as well as anincrease in CD8IL‐10 cytokine profiles in the treatment group induced Ovalbumin
namely EEDA dose 0.00; 0,17; 2,01; 10.07 g/kg and Anti Histamine Drug treatment asshown in Figure 3(a).
CD4IL‐10 and CD8IL‐10 cytokine profile in sensitivity phase showed no significant
difference in CD4IL‐10 cytokine profiles (p: 0.061) and significantly difference incytokine profiles CD8IL‐10 (p: 0.00). Tukey test showed significantly difference on
CD8IL‐10 cytokine profiles between EEDA dose of 2.01 g/kg treatment groups with
Control, EEDA dose 0.00; 0.17; 10.04 g/kg, Anti Histamine Drug treatment andDiosgenin treatment. There is no significant difference between Control, EEDA dose 0,00
g/kg, Anti Histamine Drug treatment and Diosgenin treatment and there is no significant
difference between the Control, EEDA dose 0,00; 10, 07 g/kg and Anti Histamine Drugtreatment, no significant difference between groups EEDA dose 0.17 g/kg and EEDA
dose10.04 g/kg.

3a

3b

Figure 3. (a) Comparison of the relative number of cells of mice expressing CD4IL‐10 and CD8IL‐10 and (b) CD4TGFβ
and CD8TGFβ on the sensitivity phase after given the ethanol extract tubers of Dioscorea alata L. (EEDA). Description: abar chart followed by the same letters between group means there is no significant difference (p> 0.05).

The results of this study showed that the CD8TGFβ and CD4TGFβ cytokine
profile in sensitivity phase increased in the treatment group namely EEDA dose of 0,17;
2,01; 10.07 g/kg, Anti Histamine Drug treatment and Diosgenin treatment.
There is significantly differences in CD4TGFβ cytokine profiles (p<0.05) and no
significant differences in CD8TGFβ cytokine profiles (p>0.05) in the sensitivity phase.
Tukey test showed there is significantly difference in CD4TGFβ cytokine profiles
between treatment groups EEDA dose of 0.17 g/kg with Control group, EEDA dose 0,00;
2.01; 10.04 g/kg, Anti Histamine Drug treatment and Diosgenin treatment. There is no
significant difference between Control groups, EEDA dose 0,00; 2.01; 10.04 g/kg, Anti
Histamine Drug and Diosgenin treatment as shown in Figure 3(b).
180Susceptibility to allergic diseases can not only be explained with a single throughthe impaired balance between Th1 and Th2 responses. Currently the immunoregulatoryrole of Treg cells has been known to suppress the adaptive immune response mediatedby Th1 and Th2 (Herrick & Bottomly, 2003; van Oosterhout & Bloksma, 2005).
To develop immunosuppressive agents for treating autoimmune diseases orallergies, the regulation of T cell activation and function of Treg cells is an important
target. Foxp3 has an important role not only as a key molecule in the development ofregulatory T cells, but also as an inhibitor of T cell activation and repressor oftranscription factors (Wan and Flavell, 2007; Campbell & Ziegler, 2007; Lopes et al.,2006).
This study showed that on the sensitivity phase, giving EEDA dose 2.01; 10.04
g/kg and Anti Histamin Drug increase CD4CD25 cytokine profile and giving EEDA 2.01;
10.04 g/kg increase transcription factors CD4CD25FoxP3, giving EEDA 0.17; 2.01; 10.04
g / kg; Anti Histamin Drug and Diosgenin increase cytokine profile CD4IL‐10, giving
EEDA 0.17; 2.01; 10.04 g/kg and Anti Histamin Drug increase cytokine profile CD8IL‐10,
giving EEDA 0.17; 2.01; 10.04 g/kg, Anti Histamin Drug and Diosgenin increase CD4TGF‐
β and CD8TGF ‐β cytokine profile.
The ethanol extract of Dioscorea alata L. with the active compounds contained it,
one of which is a saponin steroids are useful as allergenic agent able to activate
regulatory T cells so that the sensitization phase EEDA 2.01 and 10.04 g/kg increase
CD4CD25 cytokine profile and transcription factors CD4CD25FoxP3. BALB/c mice which
only induced Ovalbumin namely the EEDA 0,00 g/kg decreased the percentage oftranscription factors CD4CD25FoxP3 on the sensitization phase. BALB/c mice which
induced Ovalbumin and treated EEDA 0.17; 2.01; 10.04 g/kg, Anti Histamin Drug andDiosgenin are increase in the percentage of transcription factors CD4CD25FoxP3 on thesensitization phase.
Giving EEDA has no significantly effect on CD4CD25 cytokine profiles and thepercentage of CD4CD25FoxP3 transcription factors in the sensitization phase. Thisshows that the possibility of increasing the activity of T reg cells and transcription
factors CD4CD25FoxP3 triggered by other factors including through the profiles ofcytokine produced by T reg cells: CD4IL‐10, CD8IL‐10, CD4TGF‐β, CD8TGF‐β. The resultsof this study according to Huang et al. (2009, 2010) which showed an increase in thenumber of cells of IL‐10+FoxP3+ allergic of mice treated Diosgenin.

4. Conclusion
Ethanol extract tubers of Dioscorea alata L (EEDA) does not trigger Treg
(CD4CD25) and the transcription factor FoxP3 (CD4CD25FoxP3) and cytokine profiles
produced by Treg cells namely CD4IL‐10, CD8IL‐10, CD4TGF‐β and CD8TGF ‐β in thesensitivity phase.

Acknowledgements
A sincere appreciation to the Research Grant of Directorate General of Higher
Education Ministry of Research, Technology and Higher Education Republic of Indonesia
which have funded this research. Researchers also would like to express gratitude to Mr.
Bambang and Mrs. Dewi Satwika as the technician in this study.

181

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184

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

DENGUE PRONE AREAS IN GAMPING, YOGYAKARTA, INDONESIABASED ON ENVIRONMENTAL CONDITION BY USING SPATIALANALYSIS
Tri Wulandari Kesetyaningsiha*, Sri Andarinib, Sudartoc, Henny
Pramoedyod
aDepartment of Parasitology, Faculty of Medicine and Helath Science, Universitas

Muhammadiyah Yogyakarta; Jl Lingkar Selatan, Tamantirto, Kasihan, Bantul, Yogyakarta,
55183, Indonesia
bDepartment of Public Health, Faculty of Medicine, University of Brawijaya, Malang, 65145,
Indonesia
cDepartment of Soil Science, Faculty of Agriculture, University of Brawijaya, Malang,
65145, Indonesia
dDepartment of Applied Statistics, Faculty of Mathematics and Natural Science, Universityof Brawijaya, Malang, 65145, Indonesia

Abstract
Dengue fever is most rapidly spreading disease throughout the world. There isno vaccine and drugs so that eradication relies on vector control. Prediction‐prone areas
could support the effectiveness of the vector control. This research aims to predict
dengue‐prone areas based on the environmental factors. The dependent variable wasdengue hemorrhagic fever (DHF) cases, while the independent variables wereenvironmental factors such as climate, land cover and elevation. DHF cases wereobtained from District Health Office. Climatic data such as temperature, rainfall andhumidity were obtained from local Meteorology and Climatology Agency. Land cover
was obtained from high resolution imagery. Research unit was the buffer area with adiameter of 200 m patient residence. Quantitative analysis with scoring and weighting
methods were used to determine area prone classification. Scoring was based on the
distribution of frequency, while the weighting was determined by coefficient correlation(r2 value). There were 372 DHF cases in sub‐district of Gamping in year 2008‐2013. The
result showed that 68.64% of patient lived in vulnerable and very vulnerable area,
31.36% patient lived in less vulnerable areas. The total area of less vulnerable was734.396.973 ha, vulnerable area was 609.464.989 ha and the very vulnerable area was997.717.972 ha. It was concluded that environmental factors can be used to predict
prone area, the neighborhood where the patient lived as a research unit can provide
information on how many percent of patient living in an area prone classification.

Keywords

dengue, prone areas, spatial analysis, environment, neighborhood* Corresponding author. Tel.: +6281328021233; fax: 62274387658.

E‐mail address: tri_wulandari@umy.ac.id

185

1. Introduction
Dengue is the viral disease that spread very fast in the world. There were 30‐foldincidences in the last 50 years, with new countries of geographic distribution (WHO,2009). The disease was spread from tropical to the parts of sub‐tropical area such as
Europe and USA (Karyanti et al, 2014), even spread to rural from urban in the last
decade (WHO, 2009). There were 50 million dengue infection approximately and 2.5
billion peoples allegedly in the risk due to living in endemic area (WHO, 2004).
World Health Assembly55 (WHA55) resolution agreed that dengue is theinternational health problem because of the crossed country spreading of thedisease (WHO, 2006).
In Indonesia, DHF have reported since 1968 and tend to increase up to 2013
(Karyanti et al, 2014). Geographically, DHF was spread from only one district
infected to almost all of districts in 32 provinces of 33 provinces in Indonesia in yearof 2009. However, the case fatality rate decreased from 41,4% in 1968 to < 2% in
2000‐2009 (DG PP&PL Dept. of Health RI, 2010) even 0,73% in 2013 (Karyanti et al,2014).
Aedes aegypti is the main vector and Aedes albopictus is secondary vector (deMelo et al, 2012) in Asia, including Indonesia. The elimination program was focusedon vector control since the lack of antiviral drug and also vaccine (DG PPM&PL RI,
2004; Aryati, 2007). Vector control was highly recommended throughenvironmental management (Supartha, 2008) because of the risk to vector resistentand environmental contamination by chemist material using. The vector control
program has been implemented since 1992 (UU No. 23; 1992) in Indonesia but isconsidered not succesful to date. There were still less than the save number of freelarvae number (>95%) to be an outbreak (Ditjen PP&PL Depkes RI, 2010). The
unsuccessful vector control may due to the weak coordination among stake holders,also people may bore to do the preventive activity when it was not in transmission
season (Kusnanto, 2007). The area prone of DHF was needed to make the preventive
activity focused on the target area so that more efficient and effective.
Vector control should base on the environmental situation in the meaning of
natural habitat of vector. In Aedes – dengue system, the mosquito survival andextrinsic incubation period (EIP) of virus are the important determinant factor of
mosquito’s vector capacity (Luz et al, 2003; Maciel de Frietas, 2010). The survival of
Aedes related to climate (Mourya et al, 2004), the existence of building (Cheong et al,2014) and vegetation around buildings (Sarfraz et al, 2012).
This study aimed to determine prone area of DHF based on the environment byusing spatial analysis. The result expected to be a reference in vector control targetarea.

2. Materials and Methods
This is an ecological study with observational methods with cross sectional
design. The dependent variable was DHF cases in the periods of 2008‐2013. The
independent variables were land cover, elevation and climate such as rain fall,temperature and humidity. The samples was sufferer from DHF year 2008‐2013
notified in district health office. The patients with unclear address were not involvedin the study.
2.1.

Data collection
DHF patients data with their addresses obtained from District Health Office,confirmed with Primary Health Service data in Sub‐District. Climate data obtained
from the Agency of Meteorology, Climatology and Geophysics of Yogyakarta
186

Province. Elevation data obtained directly from digital administration map by using
GIS properties. Land cover data obtained from high resolution imagery (quickbird)
which overlaid with the buffered area of 200m in diameter around patient residence.
The percentage of building vs vegetated in buffered area was calculated.
2.2.

Data analysis
The correlation between DHF cases with climate, land cover and elevation
variables were tested by using Multiple Regression, Spearman and Pearson
Correlation respectively which have been reported in other paper. Distribution of
frequency was used in scoring and the result of correlation test was used toweighting. Spatial analysis conducted by using tiered quantitative methods withscoring and weighting to determine the prone area classification. The result of
scoring of all variables showed in Table 1.
Table 1. Result of scoring determination based on distribution of frequency
No
Variable
Criteria
Score
1Land cover (%)*
6
 50
< 50
4
2

Temperature ( C)*

 30
26‐30
< 26

2
6
5

3

Humidity (%)*

 80
70‐80
< 70

5
6
1

4

Elevation (m)*< 125
125‐300
 300

6
3
1

5

Rainfall (mm/day)*)

≥ 25
20‐24
15‐19
10‐14
5‐9
<5

6
5
4
3
2
1

*) source: data analysis

Weighting was done based on the result of analysis as follows (1) climate
contribution was 21,8% (multiple regression r2= 0,218), (2) land cover contribution
was 66,4% (r = 0,815; r2= 0,664), (3) elevation contribution was 6.7% (r = ‐0,260; r2= 0,067).

3. Results and Discussion
3.1.

Study area
Sub‐district of Gamping was one of 17 sub‐districts in Sleman, Yogyakarta,
Indonesia. Sleman was located in Java Island of Indonesia, lies between 110° 33′ 00″
and 110° 13′ 00″ East longitude, 7° 34′ 51″ and 7° 47′ 03″ South latitude, occupies
an area of 57,482 ha. Sleman consist of 17 sub‐districts and 86 villages. Based onelevation, Sleman was divided into four classes < 100 m, 100 – 499 m, 500 – 999 m
and > 1000 m asl. Gamping was in < 100 m asl class of elevation (District
Government of Sleman, 2015).

187

DHF incidence

There was decline in wetland by 0.46% and dryland by 6.6% and increase inyard by 0.7% during the period of 2010‐2013. A decline of wetland and dryland withan increase in yard possibly related to the increasing of immigrants. The number of
immigrants in 2013 were higher (14,464) than the number of people who movedout (11,121). The consequences of high number of immigrants were increasing needfor housing and other facilities thus increasing yards. An icreasing of buildings andyard will support the increasing of DHF incidence (Cheong et al, 2014).
Gamping sub‐district was part of Sleman that bordering with Yogyakarta
Municipality, so flourished as centers of education, industry, services and trade. In
addition, Gamping was also passed by path of country road which connect Sleman
with some port cities like Semarang, Jakarta and Surabaya as the economic path
(District Government of Sleman, 2006).
Gamping sub‐district has a wet tropical climate with the rainy season on
November – April and dry season on May – October. Data obtained from local agencyof climatology showed that the highest rainfall was occured in November‐December
and the lowest was in July‐August in almost every year. The highest temperature
was occured in around October (39,9°C) and the lowest was in July (24,0°C). The
highest humidity (88%) was in November‐December and the lowest was in July(72%) in periods of 2008‐2013.
140
120
100
80
60
40
20
0

GAMPINGGODEAN
DEPOK
PAKEM
2008

2009

2010

2011

2012

SLEMAN

2013

Year

800
700
600
500
400
300
200
100
0

30

DHF cases

25
20
15
10
5
0

Rainfall (mm)Figure 1. DHF cases in Gamping, compared to the other endemic area in Sleman, Yogyakarta year 2008‐2013

DHF cases
Rainfall

1 5 9 1 5 9 1 5 9 1 5 9 1 5 9 1 5 9
2008

2009

2010

2011

2012

2013

Figure 2. Correlation between DHF cases and cumulative of rainfall in Gamping, Sleman, Yogyakarta year 2008‐
2013

188

28.0

25

27.0

20

26.0

15

25.0

10

24.0

5

23.0

0

Temperature (°C)

DHF cases

30

DHF cases
Temperature

22.0
1 5 9 1 5 9 1 5 9 1 5 9 1 5 9 1 5 9
2008

2009

2010

2011

2012

2013

30

100
90
80
70
60
50
40
30
20
10
0

DHF cases

25
20
15
10
5
0

Humidity (%)

Figure 3. Correlation between DHF cases and temperature in Gamping, Sleman, Yogyakarta year 2008‐2013

DHF cases
Humidity

1 5 9 1 5 9 1 5 9 1 5 9 1 5 9 1 5 9
2008

2009

2010

2011

2012

2013

Figure 4. Correlation between DHF cases and humidity in Gamping, Sleman, Yogyakarta year 2008‐2013

Figure 1 showed that Gamping was an endemic area with highest incidence inperiods of 2008‐2013. Therefore it was necessary to make efficient of eradication
program especially in Gamping. Figures 2‐4 showed the correlation between climate
with DHF cases year 2008‐2013. It appeared that DHF cases were fluctuatedthroughout the year with the peak of cases occured in December‐February, except in2012. Figures 2‐4 also showed that DHF cases correlated with climate factors,
especially with the humidity. A decrease of DHF cases appeared consistent with adecrease in humidity, but inconsistent with temperature (Fig. 3,4). It seemed thatthe most incidence of DHF decreased after declining rainfall (Fig.2).
Rainfall increases the number of breeding places of Aedes (Supartha, 2008), but
actually reduce the number of breeding places if the rainfall is very high (Suroso,
2000 cit. Wirayoga, 2013). Rainfall will also increases humidity (Umoh et al, 2013),
but not necessarily have an impact on temperature. The observation indicate thatlowest temperatures was in dry season, and the highest at the beginning of the rainyseason does not in the peak of wet season (Fig.3).
3.2.

Hotspot area of DHF
Mapping of hotspot area has been done by using Kernel Density Estimation(Figure 1A). Kernel density showed the points are concentrated so as to provide formore model of selected site (Donthu and Rust, 1989). In this study, the incidences of
DHF in periods of 2008‐2013 were concentrated in three hot spot areas. The threeareas were in south (Balecatur), center (Ambarketawang) and slightly north part
(Nogotirto) of Gamping sub‐district. Balecatur and Nogotirto were a rapidly growing
areas of settlements, while Ambarketawang was an agglomerated area of Yogyakarta
municipality which was growing along with the development of Yogyakarta
municipality. Yogyakarta was the center of education (Ramdhani et al, 2012) and189

tourism destination (Nurhadi et al, 2011) in Indonesia, so that significant physicalgrowth. According to Cheong et al (2014), the existence of building related withdengue in urban area, and also related with the existence of vegetation in sub‐urban
area.
3.3.

Spatial analysis
Spatial analysis has been done with the buffer area of the patient as unit of study.
The buffer area represented surrounding environment of patient with diameter of
200 m. The meaning of surrounding environment in this study was the ratio ofbuildings and vegetation in buffered area which was named as land cover. The othervariables were temperature, rainfall, humidity and elevation. As shown at Fig 1(B),the patients year 2008‐2013 spread out in almost all regions of Gamping and they
most lived in highly vulnerable and vulnerable area of dengue transmission.

(A)

(B)

Figure 1. Map of hotspot area (A) and DHF prone area with landcover, temperature, rainfall, humidity andelevation as weighting variables (B) based on DHF patient data year 2008‐2013

The result of spatial analysis by using tiered quantitative methods to determine
prone area showed that 42.61% patients were live in highly vulnerable area, 26.03%
were live in vulnerable area and only 31.36% were live in less vulnerable area
(Table 2). It implied that peoples who live in less vulnerable area might be infectedby dengue. It was need expected, what is the possibility of infected people in suchprone area of dengue.
Table 2. Result of spatial analysis in the form of vulnerable classification and wide area
No.
1.
2.
3.

Total Weight< 619
619 – 692,2> 692,2Classification
Less vulnerable
Vulnerable
Highly vulnerable

Wide (Ha)734.396.973
609.464.989
997.717.972%
31,36%
26,03%
42,61%The incidence of dengue is multi factorial (Murray et al, 2013). It was not only
related to the environment, but also related to the host and virus. Socio‐economic
factor (Yussanti, 2010; Hu et al, 2012), people mobility (Hu et al, 2011) and behavior(Pristi, 2011) are the host factors that are possibly related to dengue fever. The
circulating virus may also relate to dengue fever. There were four serotypes of190

dengue virus (Izabela et al, 2010). Human infected by a type of virus will be immune
to such type for life, but will become severe if getting infected again by a different
virus type (Sudjana, 2010). Thus, if circulating virus in an endemic area is varied, it
will aggravate the endemicity of the area. It was need to be proved further.

4. Conclusion
It was concluded that based on the climate, land cover and elevation, there were
68.64% of patients live in highly vulnerable and vulnerable environment. There
were 31.36% patients live in less vulnerable environment.

Acknowledgement
We thankful to Universitas Muhammadiyah Yogyakarta for fund the research.
We thank to District Health Office for providing patients data. We thank to Agency ofMeteorology, Climatology and Geophysics for providing climate data. We also thankto Puji Utami and Riski Agung for spatial data management and doing spatial
analysis.

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193

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

The Effect of Air Freshener Exposure at an Early Age on Alveloar
Histology of White Rat (Rattus norvegicus)
Yuningtyaswaria*, Erlina Widyastutib
aDepartement of Histology & Biology, Medical Science Study Programe, Faculty of Medicine& Health Science, Universitas Muhammadiyah Yogyakarta; Jalan Lingkar Selatan,
Tamantirto, Kasihan, Bantul DIY, Indonesia 55183
bStudent of Medical Science Study Programe, Faculty of Medicine & Health Science,
Universitas Muhammadiyah Yogyakarta; Jalan Lingkar Selatan, Tamantirto, Kasihan,Bantul DIY, Indonesia 55183

Abstract
Gel and spray air fresheners are chemical products to reduce unpleasant odors in indoor
spaces. Most people do not realize the danger behind the air freshener. Chemicals in air
freshener (formaldehyde and phthalates), may affect pulmonary function. Infants andchildren, who vulnerable to pathological effects of air freshener. The research aimed toassess the effect of gel and spray air freshener exposure on alveolar histology of Rattus
norvegicus at early age. The research design is pure experimental, with the approach of
the post‐test only control group design. Research subjects are 30 male white rat at earlyage (7th day) (Rattus norvegicus) Spraque Dawley, divided into 10 rats for each group gel(P1), spray (P2), and control (K). The exposure of gel and spray air freshener for 67 days
up to a maximum dose of 4.5 hours/day, followed by surgery and made preparations forhistopathological test. Data is analyzed by Kruskal‐Wallis method, followed by Mann
Whitney test. Results of the research for thickness of septum interalveolaris and diameterof alveolar, shows that there are significant differences from the control group (K), gel(P1), and spray (P2). The number of inflammatory cells (lymphocytes, PMN, plasma,
eosinophils, and histiocytes), in comparison gel group (P1), control (K), and spray (P2)
has a significant difference, except PMN cells, eosinophils, and histiocytes in thecomparison group gel (P1) and spray (P2). In histopathological test shows that gel air
freshener has a worse effect than the spray.

Keywords: histology of alveolar: air freshener; Rattus norvegicus* Corresponding author. Tel.: +628122796167; fax: +62274387658.

E‐mail address: yuningtyas@umy.ac.id194

1. Introduction
Air freshener at this time familer used to reduce unpleasant odors in an enclosed
space. Gel air freshener and spray air fresehener more often used in society. In general,people do not be aware of the danger behind the comfortable and fresh sensation emitted
by air freshener.
Air freshener contains various volatile organic compound include formaldehyde
and phthalates. Formaldehyde is a VOC that is very dangerous for pulmonary (SCHER,
2006) 1. Formaldehyde can cause inflammation and lead to oxidative stress in pulmonary
tissue (Lino, A.,et al, 2011). Di‐ (2‐ethylhexyl) phthalate (DEHP) is a compound derived
from phthalates that can cause inflammation in the pulmonary alveoli due to stressoksidatif (Abdel‐gawad, S.K. and Atia, T. 2013). Gel air freshener contained moreformaldehyde, whereas spray air freshener contained more chemical substances DEHP
(SCHER, 2011).
Air freshener can be an agent of indoor pollution due to harmful chemicals. Toxic
chemicals emitted by the air freshener mainly will go into the human body through therespiratory system. Particles of harmful substances in the air freshener easily inhaled
while breathing and can get stuck in the pulmonary alveoli. Alveolus is a small protrusion
like a pocket with a diameter of ± 200 μm, which is part terminal bronchi branch and partof the most populous in the pulmonary structure for the diffusion process. Interalveolaris
septum is a wall that is located between two alveoli (Junqueira, C.J., and Carneiro, J. ,2009).
Infants and children are among the groups most vulnerable to the effects ofpathological air freshener (Viktor, 2008). If infants and children are more often exposed
to air freshener, it can increase the risk of pulmonary alveolar damage due to organ
maturation process is not perfect yet. The early phases of pulmonary development ininfants is characterized by the active process of septum interalveolaris formation(Rahayu, N., 2008).
The research aimed to assess the effect of gel and spray air freshener exposure on alveolar
histology of Rattus norvegicus at an early age.

2. Material and Methods
Subject of this study was 30 male white rat (Rattus norvegicus) Spraque Dawley
strain, 7 days old at the beginning of treatment. These subject were divided into 10 rats
for each group gel (P1), spray (P2), and control (K). Group P1 was treated exposures gel
air freshener, brand X. Group P2 was treated exposures spray air freshener, brand X. thecontrol group (K) was not given any treatment. The giving treatment starts at a dose of
15 minutes, 2 times a day. Exposure dose was increased to 15 minutes per exposure per
week, to reach a final dose of 4.5 hours (at 67 days of treatment).
On day 68, subjects were sacrificed, followed by pulmonary decision, and madepreparations pulmonary histology. Pulmonary histology preparations made by themethod of paraffin blocks, with Hematoxylin eosin staining techniques. Preparations
pulmonary histology observed with a light microscope at a magnification of 10x10. The
histologic features were observed pulmonary alveolare septum thickness, diameter of thealveoli and number of inflammatory cells (lymphocytes, PMN, plasma, eosinophils, andhistiocytes). Data is analyzed by Kruskal‐Wallis method, followed by Mann Whitney test.
195

3. Result and Discussion
The observation of alveolar histology are presented in tables and pictures below :Table 1. The average thickness of the septum interalveolarisGroup

Average (m)± Standard Deviation

Control (K)Gel (P1)
Spray (P2)a, b, c1,4575±0,19688a
8,5650±3,28987b
2,9636±0,64212c= shows significant differences with statistical test Mann Whitney

Table 2. The average diameter of the alveoli
Group

Average (µ) ± Standard Deviation

Control (K)Gel (P1)
Spray (P2)a, b, c15,4151±1,63238a
10,1582±1,23627b
17,3015±1,13648c= showed statistically significant differences with the Mann Whitney test

Table 3. The number of types of inflammatory cells
No

Inflammatory

Average Number of cells ± SD

Control (K)Gel (P1)
1
Lymphocytes
4.72±2,301a116.63±40,919b2
PMN
7.32±3,085d
19.59±9,187e
14.82±7,421g
3
Plasma2.66±0,883f
11.72±5,712j
4
Eosinophils
6.03±1,732i
6.51±4,104l
5Histiocytes
2.10±1,339k
a‐i = show statistically significant differences with the Mann Whitney testaSpray (P2)35.70±10,944c
20.01±4,304e
5.19±2,114h
10.30±1,234j
3.33±0,693lbcFigure 1. (a) Alveolar histology of Control group (K) (HE, 10x10); (b) Alveolar histology of Gel group (P1) (HE,10x10); (c) Alveolar histology of Spray group (P2) (HE, 10x10)

196This study shows that the effects of exposure to the gel air freshener septum
thickness interalveolaris worse than freshener spray. Freshener gels, contain moreformaldehyde than the liquid preparation / spray (SCHER, 2006). Mechanisms
interalveolaris septal thickening gel group (P1) caused by formaldehyde inhalation
causes edema in the tissue around the pulmonary alveoli due to inflammation that
occurs through the stimulation of tachykinin NK1 receptors and oxidative stressmechanisms.
In the spray group (P2), interalveolaris septal thickening caused by di‐ (2‐ethylhexyl) phthalate (DEHP) phthalate derivatives which are compounds that are foundin room deodorizers liquid / spray1. Compounds that settles in pulmonary DEHP can act
as a partial agonist of the Peroxisome Proliferator‐Activated Receptor‐γ (PPARγ) andstimulate oxidative stress. Both of these mechanisms cause edema septum interalveolaris
therefore inflammatory process (Kocbach, A. 2013).
Septal thickening interalveolaris also affected by the process of atelectasis (lungdevelopment is not perfect due to alveolar collapse). In this study, atelectasis caused bylung extrinsic pressure increased due to scar tissue (fibrosis) of the septum
interalveolaris (Price, S and Wilson, L. M., 2006). As a result of the collapse of the alveoli,
the septum adjacent interalveolaris will blend and conjured images of a thickened
septum.
The results showed that the average diameter of alveolar spray group> control
group> group gel. Alveolar diameter size changes in the gel group, influenced by theeffects of formaldehyde in air freshener gels which causes edema and atelectasis. Bothprocesses spur interalveolaris septal thickening, so that will compress the size of thealveoli (Mohamed, A. M. T., et al , 2012). This makes the size of the diameter of the alveoli
become increasingly narrow.
This study has shown that alveolar diameter in the spray group (S2), has the widest
measure than other groups. This happens because of their exposure to DEHP compoundthat causes increased production of free radicals (Reactive Oxygen Substance (ROS))(You,H., et al., 2014). Free radicals can damage cell membranes and protein constituent
spur proteolytic degradation of elastin by elastase. Resulting in a drop forming septum
interalveolaris woven from fibers elastin and reticuline (Anindyajati, EA., 2007).
Acute inflammatory cells, appears to dominate the control group. Mild acuteinflammation that occurs in the control group, may be caused by inhalation of ammonia
substances in animal urine test and not caused by exposure freshener. The mechanism of
injury occurs when ammonia gas (NH3) reacts with tissue fluids to form a highly alkaline
solution, called ammonium hydroxide (Permata, G. S., 2011). Acute inflammatory cell
infiltration in the gel group (P1) and spray (P2) is not only caused by the substance ofammonia, but also because their mechanism of acute exacerbation of chronic
inflammation due to exposure freshener. Acute exacerbation of chronic inflammatory
process causing no significant differences between groups of acute inflammatory cells, gel
and spray. However, the number of acute inflammatory cells and spray gel group more
and has had a statistically significant difference with the control group.
Gel group (P1) and spray (P2) is dominated by chronic inflammatory cells thatshould be marked by infiltration of lymphocytes, macrophages, and plasma cells areprominent. However, in this study the cell histiocytes (macrophages) and spray gel group
has an average amount of at least compared with other inflammatory cells. The condition
occurs as a result of this study using formalin 10% (instead of formalin buffer) for organ197

fixation process. So that the cells histiocytes become less visible and increase their
possibility of cells that are not counted.

4. Conclusion

Exposure air freshener adversely affect alveolar histology in rats (Rattus
norvegicus) at early age, through observation alveolare septum thickness, alveolar
diameter, and the calculation of the number of inflammatory cells. This study also showsthat gel air freshener exposure has a worse effect than the spray air freshener.

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Joint Scientific Symposium(IJJSS 2016)
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Analysis and Design of a Fuzzy Logic Controlled
Buck Boost Converter For a Wind Turbine Power Generation
Wahidin Wahab1, Ardie Nirvansyah1 and Nurul Taufiqu Rochman2
1Department of Electrical Engineering, Universitas Indonesia

Kampus UI Pondok Cina Depok, Indonesia 16424
2Nano Center Indonesia, Pusat Inovasi LIPI, Cibinong, 16912, Bogor, Indonesia

Abstract
The problem of the wind Turbine power generator is that the available of wind isunpredictable, and its speed is generally variable in nature, such that the output voltage
will be variable at all time, so it is necessary to compensate the power generated when
the wind speed is low, by boosting the voltage output, and when the wind speed is high,it should be controlled to reach the required output voltage.
A Microcontroller Arduino UNO is used as the main controller to control the duty cycleof a PWM signal generated to regulate the output voltage of the system. Fuzzy logic
control of the Mamdani type algorithm is used in this case. The system has beendeveloped, analyzed, and validated by simulation study using Proteus Design Suite 8.4.
and the results show that the target voltage can be regulated very well.

Keywords

buck‐boost converter, fuzzy logic control, wind turbine, Proteus, Arduino.

1. Introduction
As the demand for electricity has been increasing lately, the development forsmall‐scale power plants has been encouraged to meet the community electricity needs.
As an alternative, a renewable energy source is used for a small to medium scale power
plant. One of the Renewable energy source in this case is the wind turbine power
generator. The problem of the wind Turbine power generator is that the available ofwind is unpredictable, and its speed is generally variable in nature, such that the output
voltage will be variable at all time, so it is necessary to compensate for the power
generated. When the wind speed is low, it can boost(step‐up) the voltage output, andwhen the wind speed is high, it should be able to buck(reduced) the voltage output, suchthat the required output voltage maintained reasonably constant at all time.
A battery array is often used to store the produced electric power but if thecharging voltage is varied too much, it may shortened the battery life‐time. By using
buck‐boost converter, the fluctuating voltage output from the wind turbine generator
can be regulated to the rated value of the battery voltage so that it can be used to charge
the battery, and it may not decrease the durability of the battery storage.

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This paper is focused on the efforts design and build a buck boost converter toregulate the voltage produced by the wind‐turbine in order to achieve a fixed desired
output voltage of 12 V at all times

2. The Buck Boost Converter
Buck‐boost converter is a type of converter that can convert the output voltage tobe larger than (Boost‐ing) or smaller than (Buck‐ing) the input voltage. In this papaer
we are considering an inverting buck coot converter, in which the polarity of the output
voltage will be opposite to the polarity of its input voltage. The set‐up of buck‐boost
converter is shown in Figure 1. The circuit consists of a switch S to be controlled,inductor L, diodes D, filter capacitor C, and a load resistor RL, which represents thewhole load such as batterays and electronic equipments.

Figure 1. The Buck‐Boost converter circuit.

The switch S is under controlled to “ON” or “OFF” state at the switchingfrequency(Fs) of 1/T, where T is the period, having a ratio of the “ON” condition known
as the duty cycle(DT) that is equal to ton/T, where ton is the time interval when the switch
is in the “ON” state.
The principle of operation of the buck‐boost converter can be described asfollows.. In the time interval 0 <t ≤ DT, switch S is “ON” and the diode is “OFF”, is shownin Figure 2. The voltage across the diode is ‐(Vi + Vo) and keeping the diode reverse
biased in the “OFF” state. The voltage across the inductor is Vi and add a linear
increment in the inductor current with the slope Vi/L. The voltage across the switch iszero and the diode current is zero. The voltage across the inductor is VL=Vi .

Figure 2. Condition when S is “ON” and D is reversed biased at time interval of 0<t<DT.

The current going through the switch and the inductor L is given by,(1)
Where iL(0) is the initial current at the inductor L at time t=0. So the peak current going
through the inductor becomes,(2)
The peak to peak current is,
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(3)
The voltage accross the diode is,(4)
The peak current at the inductor, is the same as the peak current at the switch, ie.,
(5)This time interval ended when time reaches t=DT, and the switch is made to “OFF”
state by an external driver. Inductor current iL is a continuous function of time. The
current iL(DT) is maintained when the switch is turned on, because the inductor acts as acurrent source. therefore the diode is turned into an “ON” state.
This condition happens during the time interval DT <t ≤ T, the switch is in “OFF”
state and the diode is in the “ON” state, as shown in the Figure 3. The voltage across theinductor is ‐Vo and causes the inductor current to decrease linearly with a slope ‐Vo/L.
The voltage on the switch is Vi+Vo. The current ID flows through the switch and the diodevoltage VD becomes zero.

Figure 3. Condition when S is “OFF” and D is forward biased at time interval of DT<t<T

The voltage across the inductor L is VL = ‐Vo, and The current flows through thediode and the inductor is,(6)
iL(DT) is the initial current at the inductor at time t=DT. The peak to peak current going
through the inductor L is,(7)
The peak voltage at the switch and the diode is,(8)
The peak current at the switch and the diode is,
And the maximum peak current will be,

(9)

(10)
The Maximum DC current Input occurs when the duty cycle is maximum,Dmax, while themaximum ripple current peak‐to‐peak occurs when the duty cycle is minimum,Dmin. At
the time t=T when the switch in “OFF” state is ended then the switch is made return to“ON” state again by an external driver.
From the above equation, Vi = Vo (1‐D)/D. so that[2]
(11)
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Therefore the minimum value of the inductance is given by,(12)
The output Section of the buck‐boost converter is shown in Figure 4, which is indicatedby a capacitance filter with a capacitor C and ESR (Equivalent Series Resistance of thecapasitor) symbolized by the RC. The DC component of the inductor current will bebalancing the DC load current (Io). The AC component of the inductor current flows
through the capacitor C and load resistance RL.

Figure 4. output section of the converter.

The capasitor peak to peak current is
The capasitor maximum peak to peak voltage is,

(13)
(14)

The the minimum Capasitance value of the capasitor C is,(15)

3. The Fuzzy Logic Controller
The output voltage of the buck‐boost converter is controlled by the varying theduty cycle of the PWM signal generated by a microprocessor, which is used to control
the length of time the switch S closed as shown in the Figure 5 below.

Figure 5. Closed Loop Control of the converter.

In respect to our past experience in designing the controller using a PID typecontrol, which had been succesfull as reported in Wahab2016, in this paper we would
like to extend our research to use a more sophisticated controller, such as the Fuzzy
Logic controller. This is also due to the fact of having a non‐linear switching
characteristics of the buck boost converter. The fuzzy logic controller is shown in the
Figure 6 below. And implemented using a microprocessor Arduino‐Uno.

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Figure 6. the Fuzzy Logic Controller set‐up for closed loop control.

The Fuzzy logic system itself consists of four important components, which are:fuzzification, Knowledge base, inference mechanism, and defuzzification. As shown infigure 7 below. At the fuzzification process, it takes the crips inputs of error and thechange of error, and convert them in to fuzzy quantity using the membership functions
defined at the input stage. The Output Voltage Vo value is read, and sent to the microcontroller, and then compared to the setpoint, the error and change of error are
calculated as :CurrentError= VoltageSet – ActualVoltage(16)
ChangeOfError = CurrentError – PastError(17)

Figure 7. the four component inside the Fuzzy Logic system.

These two information is then fed in to the Fuzzy logic controller, to be fuzzified,using the membership function defined in the FLC for the Error(e) and the Change ofError(Δe) as shown in figure 4 below, each group contained only five triangular shaped
membership functions, which named NB(=Negative Big), NS(=Negative Small),ZZ(=Zero), PS(=Positive Small) and PB(=Positive Big) with appropriate normalized
scales.

Error(e)change of error(Δe)

Figure 8. Membership Function at input stage for Error and Change of Error.

At the output stage, the FLC uses 9(nine) triangular membership functions asshown in figure 9 below in order to have more variations to the out put stage. The
memberships are NVB(Negative Very Big), NB(Negative Big), NM(Negative Medium),NS(Negative Small), ZZ(Zero), PS(Positive Small), PM(Positive Medium), PB(PositiveBig) and PVB(Positive Very Big).

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Figure 9. Membership Function at output stage.

In the knowledge base, it contains fuzzy rules in the form of IF‐THEN rules as forexample, one of the rule is as follows :IF Error IS NB AND ChangeOfError IS PS THEN output IS NS
There are 25(twenty five) such rules are entered in the fuzzy knowledge base, as
listed in the table 1 below, and it will be used by the Inference engine to deliver aconclusion of the rules, the inference engine applied in this work is the mamdani type
inferences or The Max‐Min inferences.
Table 1. A table of the Fuzzy rules in the knowledge baseAt the Defuzzification proses, the Fuzzy logic system will convert the fuzzy
quantity from the output of the inference engine, in to a crips quantity, such that it canbe use by the controller, the defuzzification method uses the Centre of Area (CoA) as
follows.
. .

(18)

The x is the fuzzy variable, and the integration is taken for the whole range of theinference result. The CoA is a crips quantity representing the value to be used as theincrement or decrement of dutycycle(ΔD), by appropriate de‐scaling in the algorithm.
The control output is u= (D(k‐1) + ΔD), that will change the duty cycle of the PWM signal
used to control the switching of the switch S.

4. The Circuit Design
The design of the buck‐boost converter is done by first determining the values ofeach type of component using the equations (12) to (15) given before, then the
apropriate component values are adjusted to the nominal values that available in themarket. The design is based on the specification listed in table 2. below. And the resultsof the design calculation is given in table 3 below. The switch S is replaced by a MOSFET
Transistor IRF7233 which is capable of high current flow. The MOSFET is driven by a
BJT transistor 2N2222 to quarantee the proper switching of the MOSFET since the PWM
signal output from the microcontroller is very small, so that this BJT transistor may

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provide the required current to drive the MOSFET to go in to saturation when switchingoccurs.
Tabel 2. The Design Specification Parameter
Description
The minimum input Voltage Vi(min)The maximum input Voltage Vi(max)The output voltage Vo
The Target Load Resistance
The minimum output current Io(min)The maximum output current Io(max)The Minimum output Power Po(min)The Maximum output Power P o(max)switching frequency (fs)
Ripple Voltage (ΔVO)
Minimum Duty cycle Dmin
Maximum Duty cycle Dmax

specification
5V
50 V
12 V
3.6 Ω
2A
5A
50 W
100 W
7812,50 Hz< 1% of Vo
0,20
0,80

Table‐3. Design Results for component values.
Description
The rated output current Io
The load resistance (RL)
The minimum value of Inductance (Lmin)
The peak‐to‐peak inductor current ΔiL(min)The maximum current input Ii(max)The Output Capasitance (Cout)

specification
3.0 Amp3.6 Ohm
220 μH
3,20 A
9 Amp
4000 μF

5. Experiment Results and Discussions

Figure 10. the time response results for inputs 5V to 50V.

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The experiments are done for several cases where the input voltage applied is set
to start from as low as 5 V, then increases to 10 V, 20 V and so on until reaching as highas 50 V. The value of the input voltage is set to constant value for each experiment as astep function in order to see the transient response time and the settling time of theoutput characteristics. The experiment results are showin in figure 10. And all the
output voltages are in the negative value due to the fact that this is an inverting‐type
Buck boost converter.
It is shown that for input voltage from 5V to 10 volts, the output voltage mayachieved 12.4Volts with a settling time of 0.7 seconds, and the ripple is 0.1V as required.
When the input voltage is 20V to 30V, the settling time reduced to 0.4‐0.5 seconds andthe output voltage reach 12.2V. the experiment with input voltage 40V and 50V, theoutput voltage is 12.2V to 12.3V for with the settling time is less than 04.secodns, butthere are high peaks voltage during the transient response. For all experiments the
ripple can be as small as 0.1 volt as expected and the transient time tends to be longer
when the input voltage is lower than the value of the desired output voltage.

6. Conclusions
This paper has presented the design of a buck‐boost converter to meet the
specifications using the available components in the market. The output voltage of theWind Turbine can be well regulated by the converter to achieve the voltage around
12.2V to 12.4V such that it can be used for charging the batterays as required. The ripple
voltage can achieved 0.1V as required, the settling time is around 0.4 to 0.7 seconds, thesettling time tends to be longer when the input voltage is lower than the value of thedesired output voltage.

Acknowledgements

The authors would like to acknowledge the support of the Nano Center Indonesia,
LIPI Innovation Center, Cibinong, 16912, Bogor, Indonesia, with very much appreciationand thanks.

References

A‐WING International (2012). High Efficieny Micro Wind Turbine: YWS‐500 Wind Luce.
http://www.awing‐i.com/english/500W_wind_turbine.html. Diakses 22 Juli 2016.
Battery University, (2016). BU‐403: Charging Lead Acid. http://batteryuniversity.com/learn/
article/charging_the_lead_acid_battery. accessed by 22 Juli 2016.
Dinniyah, Farah S.. Simulasi Perangkat Buck‐Boost Converter Untuk Panel Surya Dengan
Pengendali PID, thesis(in Indonesian), Universitas Indonesia, Dept.E.E., July 2016.
Ismail, N. F. N., Hashim, N., Baharom, R. (2011). A Comparative Study of Proportional Integral
Derivative Controller and Fuzzy Logic Controller on DC/DC Buck‐Boost Converter. IEEE
Symposium on Industrial Electronics and Applications, 978‐1‐4577‐1417‐7/11.
Nirvansyah A., (2016), Simulasi Perangkat Buck‐Boost Converter Untuk Turbin Angin Dengan
Pengendali Logika Fuzzy, thesis, (in Indonesian), Universitas Indonesia.
REN21, (2015), Renewable Energy Policy Network for the 21st Century.. Renewables 2015 Global
Status Report, REN21.
Sulthan, S. M., Devaraj, D. (2013). Design, Simulation and Analysis of Microcontroller based DC‐DC
Boost Converter using Proteus Design Suite. Proc. of Int. Conf. on Advances in Electrical &Electronics, AETAEE. [Prosiding], Desember 2013.
W. Hart, Daniel. (2011). Power Electronics. Valparaiso University, Indiana: The McGraw‐Hill
Companies, Inc.,
Wahab W., Dinniyah,F.S.,and Rochman N.T.,(2016) Design And Simulation Of A PID Controlled
Buck Boost Converter For Solar Power Application, International Tropical Renewable
Energy Conference (i‐TREC) 2016, Bogor, Indonesia, October 2016.

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Fabrication of CNT microarray for biosensor applications
Nji Raden Poespawatia*, Tomy Abuzairia,b, Mitsuru Okadac, Retno Wigajatri
Purnamaningsiha, Masaaki Nagatsub,c,d
aDepartment of Electrical Engineering, Universitas Indonesia, 16424, Depok, Indonesia
bGraduate School of Science and Technology, Shizuoka University, 432‐8561, Hamamatsu,

Japan

cGraduate School of Integrated Science and Technology, Shizuoka University, 432‐8561,

Hamamatsu, Japan

dResearch Institute of Electronics, Shizuoka University, 432‐8561, Hamamatsu, Japan

Abstract
Microarray technology has become one of the indispensable tools which can be used to
identification of bio‐molecules in cells, tissues, and disease, such as disease diagnosis,
prediction, prevention, and drug discovery. The major advantages of the microarraybiosensor are their ability of the simultaneous analysis of thousands parameters on asingle platform and minimal sample consumption. Furthermore, carbon nanotubes(CNTs) with their outstanding properties are potential material for many applications
including biosensors. To increase the fluorescence detection, the microarray will beestablished within the three‐dimensional (3D) structure. The advantage of the 3D
structure CNT for microarray platform is the enhancement of active surface area without
sacrificing the size of the device. For instance, the external surface area of one CNT spot isroughly ~3.14×10‐5 mm2. As arrays of 100 mm2 of CNT platform with 50 µm spacing, it
can contain as many as 1.82 ×108 spots that is high‐density microarrays. This high‐density
microarray is powerful tools for the screening of pharmaceuticals, investigation of
biomolecule interactions and patient diagnostics. In this paper, the CNT is fabricated in
microarray configuration to realize biochip sensor design. The CNT microarray was
fabricated by using electron beam lithography for patterning microarray on silicon
substrate, RF sputtering for deposit catalyst, and thermal plasma chemical vapor
deposition (CVD) for growing vertically aligned CNT.

Keywords
APPJ; plasma functionalization; CNT; 3D microarray; biosensor applications* Corresponding author. Tel.: +62-21-7270078; fax: +62 – 21- 7270077.

E-mail address: pupu@eng.ui.ac.id208

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1. Introduction
Carbon nanotubes (CNTs) are nanomaterial carbon allotropes with a high surface‐area‐to‐weight ratio (~300 m2g‐1) (J. N. Wohlstadter et al., 2003; L. Dong et al., 1996) andexcellent material properties such as electrical conductivities and mechanical strength(M. S. Dresselhaus & P. Avouris, 2001; P. M. Ajayan, 1999). CNTs are attracting muchattention due to their outstanding properties, with promising applications in numerous
areas such as field‐effect transistor (S. J. Tans, et al., 1998), fuel cell (Wang, et al., 2004),
lithium‐ion battery (C. de las Casas & W. Li, 2012), transparent conductive film (Wu, et al.,2004), including biosensors (F. Lu et al., 2009).
Biosensor based on CNTs compose of three associated elements: (1) bioreceptor;(2) interface (functionalized CNT); and (3) transducer. Bioreceptor is a sensitive
biological element (such as enzyme, DNA probe, or antibody) for recognizing the analyte(such as complementary DNA and antigen). To work as biosensor, the CNTs have tofunctionalize as interface layer because the CNTs structure is remarkably stable so that it
is insoluble in most solvents. As a result, functionalization of CNT is necessary to allow abetter processing of CNT toward the development of biosensors, and improve thesolubility and the selectivity of biomolecules recognition (T. Abuzairi et al., 2015, 2016).
The transducer converts the biological event to other measurable signals, such as
currents, absorbance, mass or acoustic variables.
In this work, the CNT is fabricated in microarray configuration to realize biochip
sensor design. The CNT microarray was fabricated by using electron beam lithography forpatterning microarray on silicon substrate, RF sputtering for deposit catalyst, and thermal
plasma chemical vapor deposition (CVD) for growing vertically aligned CNT (T. Matsuda,
et al., 2009; T. Matsuda, et al., 2008).

2. Experimental
Initially, a silicon substrate 10×10‐mm2 was cleaned by piranha solution (40 mL
sulfuric acid and 10 mL hydrogen peroxide) for 3 minutes, and rinsed by a mixture of 47.5
mL distilled ionized (DI) water and 2.5 mL hydrofluoric acid (HF) for 1 minute. The Si
substrate was then coated with hexamethyldisilazane (HMDS) as pre‐resist coating and
ZEP‐520A as positive electron‐beam photoresist by automatic spin coating Suss Delta 80
Gyrset. After that, the Si substrate was baked at 180oC for 2 minutes. The photoresist layer
was patterned by electron beam lithography ELS‐7700K with acceleration volatage 80 kV,
beam current 1.5×10‐9 A, and dose time 0.2 µs. To remove pattern photoresist, thesubstrate was developed by O‐Xylen at 23oC for 2 minutes and 2‐propanol for 40 seconds.
The pattern result was shown in Fig. 1(a).
The substrate was then deposited by chromium (Cr) thin film as a diffusion barrier
layer for 20 seconds and nickel (Ni) film as a catalyst for 60 seconds by a RF magnetron
sputtering SVC‐700RF in argon gas ambient as illustrated in Fig.1(b). A lift‐off process
was conducted to remove the positive photoresist film by remover ZDMAC and left behind
the array catalyst on the substrate after one day as depicted in Fig. 1(c). Finally, thegrowth of CNT array was carried out in the plasma thermal CVD at a substratetemperature of 700 °C for 5 min pre‐treatment with NH3 (150 sccm) followed by 15 min

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post‐treatment with a mixture of NH3:C2H2 (3:1) and an applied dc bias voltage of ‐550 V
to the substrate stage.

Figure 1. Fabrication of carbon nanotube microarray. (a) Electron beamlithography. (b) RF sputtering. (c) Lift‐off process.

3. Results and Discussion
The CNT were fabricated by using electron beam lithography for patterning
microarray, RF sputtering for deposit nickel catalyst, and thermal plasma chemical vapor
deposition for growing vertically aligned CNT on the silicon substrate (T. Matsuda et al.,2008). Fig. 2 depicts an FE‐SEM image of the CNT microarray with 50 µm spacing and 5µm dot size, and magnified image of bundle structure of vertically aligned CNT in cross‐section and top views. Each dot consisted of a bundle of multi‐walled CNT having a typicallength of ~2 µm and diameter of about 100 nm. The vertically aligned CNT were
fabricated in microarray form to realize the development of biosensor (Kricka, 2001),
which has a comparable size of the microarrays biosensor fabricated by other methods,
for example photolithography (Malainou, et al., 2012), physical masking (Lee et al., 2010),
laser printing method (Duocastella, et al., 2010), micromachine (Bhatnagar, 2007), or
microcantilivers processing (Belaubre et al., 2003).
Each CNT spot is comprised of a bundle of multiwall carbon nanotube having atypical length of about 2 µm and a diameter of about 100 nm. The primary advantage of210

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the 3D structure CNT for biosensor platform is the enhancement of active surface area
without sacrificing the size of the device. For instance, the external surface area of one
CNT spot is roughly ~3.14×10‐5 mm2, calculated from the diameter and length of the CNT(5 µm diameter and 2 µm length) (A. Peigney, et al., 2001). As arrays of 100 mm2 of CNT
platform with 50 µm spacing, it can contain as many as 1.82 ×108 spots that is high‐density
biochip microarrays. This high‐density microarray is powerful tools for the screening ofpharmaceuticals, investigation of biomolecule interactions and patient diagnostics (C.
Wingren & C. A. Borrebaeck, 2007; J. Clausmeyer, et al., 2014).

Figure 2. FE‐SEM images of the CNT biochip sensor platform and a magnified
image of one spot CNT is shown inset (T. Abuzairi et al., 2016).
Additionally, based on the calculation of the CNT surface area, the total surface
area of one platform is estimated as ~5715 mm2. Therefore, the 3D structure of CNT will
enhance surface area as ~57 times compared with the 2D structure platform of 100 mm2.
From this point of view, CNT materials are great potential for miniaturization the biochip
device, which may allow for the detection of currently undetectable disease markers (C.
Wingren & C. A. Borrebaeck, 2007; J. W. Silzel, et al., 1998).

4. Conclusion
The vertically aligned CNT is successfully fabricated by using electron beamlithography for patterning microarray, RF sputtering for deposit nickel catalyst, andthermal plasma chemical vapor deposition (CVD) on the silicon substrate. The 3D
structure of vertically aligned CNTs can enhance the active surface area without
sacrificing the size of the device. Therefore, CNT materials are great potential forminiaturization the microarray biosensor, which may allow for the detection of currently
undetectable disease markers.

Acknowledgements
This work has been supported by International Research Collaboration and Scientific
Publication Grant (DIPA – 042.06.1.401516/2016) from Directorate General of Higher
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Education (DGHE) Indonesia. The authors also acknowledge the support of Grant‐in‐Aid
for Scientific Research (A) (No. 25246029) and 209 Scientific Research (B) (No.
26289016) from the Japan Society for the Promotion of Science.

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S. J. Tans, A. R. M. Verschueren, & C. Dekker. (1998). Room‐temperature transistor based on a single
carbon nanotube. Room‐Temperature Transistor Based on a Single Carbon Nanotube,
393(6680), 49–52.
T. Abuzairi, M. Okada, R. W. Purnamaningsih, N. R. Poespawati, F. Iwata, & M. Nagatsu. (2016).
Maskless localized patterning of biomolecules on carbon nanotube microarray
functionalized by ultrafine atmospheric pressure plasma jet using biotin‐avidin system.
Applied Physics Letters, 109, 23701.
T. Abuzairi, M. Okada, Y. Mochizuki, N. R. Poespawati, R. W. Purnamaningsih, & M. Nagatsu. (2015).
Maskless functionalization of a carbon nanotube dot array biosensor using an ultrafine
atmospheric pressure plasma jet. Carbon, 89, 208–216.

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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

T. Matsuda, J. Sato, T. Ishikawa, A. Ogino, & M. Nagatsu. (2009). Field emission characteristics ofnano‐sized dot array carbon nano‐tube emitters fabricated by direct current plasma
chemical vapor deposition. Field Emission Characteristics of Nano‐Sized Dot Array Carbon
Nano‐Tube Emitters Fabricated by Direct Current Plasma Chemical Vapor Deposition, 18(2–3), 548–552.
T. Matsuda, M. Mesko, A. Ogino, & M. Nagatsu. (2008). Synthesis of vertically aligned carbon
nanotubes on submicron‐sized dot‐catalyst array using plasma CVD method. Diamond andRelated Materials, 17(4–5), 772–775.
Wang, C., Waje, M., Wang, X., Tang, J., & Haddon, R. (2004). Proton exchange membrane fuel cellswith carbon nanotube based electrodes. Proton Exchange Membrane Fuel Cells with Carbon
Nanotube Based Electrodes, 4(2), 345–348.
Wu, Z., Chen, Z., Du, X., Logan, J., & Sippel, J. (2004). Transparent, conductive carbon nanotube films.
Transparent, Conductive Carbon Nanotube Films, 305(5688), 1273–1276.

213

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Portable Photovoltaic Powerplant with Solar Tracker for
Disaster Affected Area Emergency Power Supply
Indra Riyantoa*, Ade Octavianoa, Suparmokoa, Kozo Obarab
aCenter for Environmental Studies Budi Luhur University, Jl. Cileduk Raya No. 99 Jakarta

Selatan 12260, Indonesia

bInstitute for Sustainable Development Kagoshima University, Korimoto‐cho, Kagoshima,Japan

Abstract
This paper will discuss about the design of a portable photo voltaic electric generator
capable of tracking sunlight in all directions. Such power generator is designed fordisaster affected area with power outage, such as during major floods like Jakarta in
2012, or strong earthquake such as Yogyakarta in 2006 and Japan in 2011 (Tohoku) and2016 (Kumamoto). Such occurence usually results in disruptions of public service,especially power grids. The system consists of a 10 Wp PV solar panels capable in twoaxes movement, which is 120° horizontal and 360° azimuth movement with
ATMega8535 micro controller as the main controller. Two‐axis movement is based on
two types of sensors, 360° directional movement is based on the HMC5883 compass
sensor. This compass sensor panel also be configured to always directs towards the sun
so that if the direction of the base plate was changed, it will automatically direct thepanel to the direction of the sun. While 120° vertical movement based on three pieces of
LDR (Light Dependent Resistor) as sun sensors. The purpose of this system is tomaximize the amount of light received by the panel so the panel power output is also
maximized so it can generate emergency electrical supply for lighting and other basic
needs.

Keywords
Disaster area; Solar Panel; Solar Tracker; Inverter; Emergency Power Generation

1. Introduction
The use of alternative energy as a power plant lately much discussed, the use ofalternative energy is generated by increasing the amount of electrical energy needs. Oneof the much talked about alternative energy is sunlight. Utilization of sunlight aselectrical energy is done by utilizing the so‐called solar cell or solar panel. The use ofsolar panels has been widely used as, for example, street lighting, but the installation ofsolar panels mostly is made static so that when the sun is not perpendicular to thesurface of the panel generated power panels are also less than maximum. This makes
the installation of solar panels began to be equipped with a mechanical light tracking,but the movement of the system is only 180° in one axis or as a half circle (Tudorache,2010) and (Balabel, 2013) with the convex part above, so the placement of this system
must always be under the path of the sun's rotation. While others also experimented* Corresponding author. Tel.: +62‐815‐900‐2864; fax: +62‐21‐737‐1164.

E‐mail address:indra.riyanto@budiluhur.ac.id

214with two axis movement, most if not all is still designed for fixed location such as inIndia (Deb, 2012) and (Dhanabal, 2013), Iran (Bazyari, 2014).
The design aims to complement the mechanical movement of the solar panels into
two axes: 120° in vertical axis and 360° azimuth. The movement of the system can be
simulated as a hemispherical shape. It is intended that the sunlight is always
perpendicular to the surface of the photovoltaic panel.

2. System Design
The proposed design is using microcontroller ATMega8535 as the main controller
system, two DC motor as the mechanical panel adjuster, compass sensors as position
sensors and LDR sensor panels as the vertical axis movement sensor.
After the system start‐up, the microcontroller is waiting for the input command toselect either automatic or manual mode. If the system is in automatic mode, then the
microcontroller will read through the position of the horizontal axis compass sensor tocheck if the system is already aligned to the direction of the sun or not. If the position is
not aligned, then the microcontroller commands the horizontal axis motor to rotate thepanels so it is facing to the east. When the east‐facing position is achieved, then the
microcontroller will read the ADC value from the three LDR light sensors to determine
the incident angle of sunlight. The photovoltaic (PV) panel will be facing east if the valueof the East LDR is larger than the Center and West LDRs, the PV panel will be tilted
towards the west if the ADC value of West LDR is greater than the value of the other two
LDRs. However, the position of the vertical axis of the panel will be facing up (90° angleof sunrise) if the value of the East and Center LDRs is greater than the West LDR or
when Center and West LDRs greater than East LDR. After panel angle has been achieved,
microcontroller will read battery voltage by Zener diode sensor. If the battery in fullcondition then the microcontroller will switch on the inverter so in this case the load
will also be controlled by reading the value of the load, when the load exceeds theinverter output, microcontroller will display "over‐load" alert on LCD and disconnect thesystem temporarily to prevent excessive usage.
2.1.
LDR Light Sensor Schematics
Solar tracking system design uses LDR as sensors. LDR will be assembled using a
voltage divider as shown in Figure 1.

Figure 1. Light sensor schematics

2.2.

Battery Charging
This circuit uses a relay as the main switch when the battery is fully charged;
when the battery is not full then the relay will be off or be in a position normally closed.
Sensor for the battery charge is a 12V Zener D1, so when the battery was full the Zener
diode will switch the base of the transistor Q2. Q2 is used as an electrical switch that willfunction to switch ground current from R2, which will light up the LED indicator and will
read a logic 0 on microcontroller’s C.7 pin. When C.7 pin in the microcontroller receives
215

logic 0 then the microcontroller will turn on the rightmost relay 1 to be opened up to D1,
which normally do not receive the voltage of over 12V.

Figure 2. Battery charging schematics

2.3.

InverterInverters used here is a 4047 IC, MOSFET transistors, 5A transformer, and relays.
IC 4047 is used as a square wave generator which will switch the MOSFET transistor
IRF540N to perform the push pull transformer, using the MOSFET type transistor
inverter is expected to be able to bear loads up to 150 watts. Relay on the inverter isused as switch when battery condition has not yet reached the minimum charge or fully
charged the inverter can not be switched on. Figure 3 shows the inverter’s schematics.

Figure 3. Inverter circuit schemamitcs

3. Testing And Analysis
3.1.

LDR Light SensorTesting
Testing the sunlight sensor circuit using LDR is done by measuring the voltage at
the output of the LM324 which will go into the microcontroller ADC PORT ATMega8535.
Table 1 shows the test results.
Table 1. Light Sensor Testing Results

Time

Vout LDR (volt)
East Center West

Vout LM324 (volt)
East Center West09.00‐
15.00

5.3

4.47

4.93

4.98

4.5

4.3

3.2.

Inverter Testing
DC to AC inverter testing is done by providing a direct current voltage of 12 volts.
In order for DC to AC inverter circuit of 150 watts to work, the voltage supplied 12 volts,
and the output section connected by a digital voltmeter and digital ammeters. IC CD4074
is used as a generator. The following Table 2 shows the result of testing 150 wattinverter using a load of three light bulbs of 23 watts each.
216

Table 2. Inverter Testing Result

Load 1

Load Stats
Load 2
Load 3

13,6 volt

ON

ON

ON

11.2 volt

ON

OFF

OFF

Battery status

3.3.

Solar Cell module Testing
Solar cell testing was conducted from 09:00 to 15:00 with direct measuring of theoutput voltage on the poles of the solar cell module. Figure 4 shows the measurement
scheme and Table 3 shows the measurement result.

Figure 4. Solar cell module Vout measurement
Table 3. Solar cell module Vout measurement result

Time

VOut
(Volts)Sun
Elevation(Degrees)

09.00

19.05

45°

09.30

19.20

52,5°

10.00

19.40

60°

10.30

18.89

57,5°

11.00

19.97

75°

11.30

20,3

82,5°

12.00

20,52

90°

12.30

20,5

97,5°

13.00

20.72

105°

13.30

18.85

112,5°

14.00

20.02

120°

14.30

18.22

127,5°

15.00

20.35

135°

Panel
Position

East

CenterWest

Photovoltaic Panel output shows that Vout is stable near maximum of 20 Volts,
except for some drops due to cloud cover. Comparison of the output between static andtracker‐equipped PV Panel is shown in Figure 5.

217

Figure 5. Static and Tracker‐equipped panel Vout comparison

4. Discussion
Testing of the completely assembled component focused on the mount with thegoals is: When the base plate’s direction is changed, the panel mount could align itself to theeast, The panel could trace the elevation of the sun, Inverter can support loads,
 Source select switch work properly during overload
From the testing, the base plate can align itself facing toward East direction by 5degrees per second. Static panel output measured at 16 Volts in the morning compared
to 19 Volts when equipped with tracker with both peaked at around 20 to 21 Volts
during mid‐noon, and then static panel starts to drop again after 13.00 while tracker
equipped panel can maintain a steady output voltage.
Calculation for the performance of the system yields the result:
Battery Capacity
Load (Pl)Load Voltage (Vl)
Load current (Il)= 12V, 5Ah= 46W= 220‐240V= 1.13A(2 × 23W)

Then the load bearing duration (T):Load duration (T)= 5 Ah/ 1.13 A= 4,4 hours (for two lamps @ 23W each)
Load testing of the inverter and battery with loads of up to 46 Watts, simulated bya pair of 23W lamps, the stored energy can support the load for over 4 hours.
Theoretically, this can last for 5 hours if fully discharged, but the inverter itself also
needs energy and will cease functioning when the voltage drops below 9 Volts. This isrequired to generate square wave for triggering the transistor to perform push‐pull andconvert DC output from the panel and battery to AC for the load.

5. Conclusion
After the test has been completed, conclusion can be drawn as follows: The solar tracker can track the position of sun in horizontal plane (azimuth) and invertical plane (elevation)
 Tracker can maintain the output of solar panel by align it perpendicular to thedirection of incident sunlight218 This tracker is especially designed to be lightweight for portable use on emergency
units and may be useful other mobile platforms

References
Balabel, A., et al. (2013). Design and Performance of Solar Tracking Photo‐Voltaic System;
Research and Education. International Journal Of Control, Automation And Systems. Vol.1
No.2. pp.49‐55
Bazyari, S., et al. (2014). A Study on the Effects of Solar Tracking Systems on the Performance of
Photovoltaic Power Plants. Journal of Power and Energy Engineering, Vol. 2 No. 2. pp.718‐
728
Deb, G., Roy, A.B. (2012). Use of Solar Tracking System for Extracting Solar Energy. International
Journal of Computer and Electrical Engineering, Vol.4, No.1. pp.42‐46
Dhanabal, R., et al. (2013). Comparison of Efficiencies of Solar Tracker systems with static panel
Single‐Axis Tracking System and Dual‐Axis Tracking System with Fixed Mount.
International Journal of Engineering and Technology. Vol. 5, No. 2. pp.1925‐1933
Tudorache, T. (2010). Design of a Solar Tracker System for PV Power Plants. Acta Polytechnica
Hungarica. Vol. 7, No. 1. pp.23‐39. Hungary.

219

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Application of 6A05G Power Diodes in a Simple Yet Effective
Voltage Adapter Module for Electric Cars
Mohammad Nasucha, Hendi Hermawan
Universitas Pembangunan Jaya, Jl. Cendrawasih , Sawah Baru, Ciputat, Tangerang Selatan
15413, Indonesia

Abstract

Some types of electric cars use 48V battery. The Rinus C1, the one we developed, uses six
eight‐volt‐battery units connected in series. As this battery’s voltage level is higher thanthe level needed by electrical / electronic devices in the car, a DC/DC converter or a
voltage adapter is therefore required. In our case 12V voltage supply is required by the
car lightings, electromagnetic door openers, a tablet PC and a multi‐purpose USB charger.
We have previously developed an efficient 48V/12V switched‐mode DC/DC converter
however an issue has been recognized: the complexity of on‐board cabling of our circuit(although not so complex) rose the risk of module malfunction due to unintended cabledisplacement by a technician during the eCar assembly and maintenance. Having studied
the case, we come to an idea that a simple voltage adapter may fit the need better. For
this aim a general‐purpose power‐diode is predicted to be a good choice for the voltage
dropping task considering its current capacity suitability to our client’s requirement andits wide availability in the market. The current‐voltage characteristics of a power diode(6A05G) is studied. Based on the data obtained, a simple voltage adapter module issuccessfully developed using a series of diodes as voltage droppers. The module is now
used in the car. In addition to that, the module simplicity implies easier, faster and cheaper
development.

Keywords
Voltage adapter, DC/DC converter, electric car, Mohammad Nasucha

1. Introduction
An electric car usually uses a battery bank with a voltage suitable for the motor andits controller but too high for the rest of the system. The eCar LED lighting, door openers,
GPS device and other gadget(s) usually need 12V voltage. Thus, a DC/DC converter or a
voltage adapter is required.
For the Rinus C1, the eCar we built, we previously developed a DC/DC converter
module and it worked well. However an issue occurred: the complexity of on‐board
cabling of our circuit (although not so complex) rose the chance of module malfunction
due to unintended cable displacement by a technician during the car assembly. Similar
situation happened also during eCar maintenance activities. In our case, it happened thatthe module technically malfunctioned twice for the last two years. Having studied thecase, we came to an idea that a simple voltage adapter should fit the need better. In
conjunction to its behavior in dropping voltage, a power diode is predicted to be suitable
for the task. The questions become: (i) Is it confirmed that the 6A05G power diodes are220able to fit the needs of voltage dropping? (ii) If the answer of question number 1 is yesthen can we make a practical and simple voltage adapter module using that diodes?

2. Previous Works versus The Proposed Alternative
It has been proven that the application of switching technique in voltage conversion
circuits results in high efficiency. Voltage converters applying this technique have been
widely used in many kind of machines or devices, both for industrial and personal uses.
Research and development works on the switching concepts and techniques for different
supply purposes have been continuing.
In the area of large power DC/DC conversion, the following research works werereported, among others. A research work was reported in (Bai, H. et al. 2012) where they
proposed power factor correction for an 11 kW and 10 kW ZVS DC/DC converter for ahigh‐efficiency battery charger in electric vehicles. A research work was also reported in(Andreiciks et al. 2013) where they designed a current source DC/DC converter forInterfacing a 5 kw Pem Fuel Cell.
In the area of small power DC/DC conversion, among others, the following writings
addressed the research works that have been carried out. (Hansen and Hill 2000)
reported switching regulator charges NiMH Batteries. (Chan‐Soo et al. 2011) reported alow‐power CMOS DC‐DC buck converter with on‐chip stacked spiral Inductor. (Fang et al.
2013) addressed the design of a step‐down DC‐DC converter ASIC applied to portableelectronic products. (Mikic et al. 2015) reported the design and characterization of a step‐
down switched‐mode power converter based on the regulator MC34063A. While(Nasucha 2016) addressed the development of a low‐power step‐down DC/DC converter
module for electric cars.
In the area of conception, among others, the following research works werereported. DSP microcontroller‐based fuzzy control of a DC/DC parallel resonant
converter using phase‐shift PWM technique was reported in (Iskender et al. 2006). Whilea mathematical modelling and analysis of transient and steady states of buck DC‐DC
converter in DCM was reported in (Babaei and Hamed 2013).
Due to its contribution to high efficiency the switching mode concept has been afavorable choice. Within our project of building an eCar (called Rinus C1), the switchingmode concept has been also applied in the first place. A small power switching‐mode
DC/DC step‐down converter module has been developed and used for the eCar for a while.
However during the installation and car maintenance this situation was observed: (i) our
circuit contained several onboard cables that connected the IC to the power transistors,(ii) during the installation the technician unintentionally broke some of those onboard
cables causing circuit malfunction, (iii) during a car maintenance an unintended cable
short circuit happened when a solid material was displaced across the converter module.
In other words, the module complexity –although it is not so complexed– raised thechance of accidental malfunction.
Having faced the issue, in our case, it is then required to find out an effective
solution. There are basically at least three way outs that can be chosen: (i) redesigning theswitching‐mode circuit so that it will be physically simpler and tidier, (ii) protecting thecircuit (module) with a proper case, or (iii) designing and developing the circuit using
other technique that allows simplicity.

221

The first or second solutions surely can be done as long as time permits. However
the third choice is literally more challenging in the way that it can be an alternative for
future practice. The fact that a diode drops voltage when it flows a forward current ishere presumed to be the focal solution. Although it will result in lower conversion
efficiency, the solution may still fit the need for a small power voltage converter because
the energy loss will be somehow relatively small.
The 6A05G silicon power diode is here predicted to be a good choice consideringthat its forward current capacity suits client’s requirement and that it is widely available
in the market. Its price in the market is also inexpensive. For example its price on
tokopedia.com in Indonesia today is more or less Rp1000 (8 cent in USD) per piece.

3. Method and Materials
Method applied and the material involved in this work are described in thefollowing sub sections.
3.1.

MethodThe work has two goals: (a) to be confirmed that the 6A05G diode is a suitable
voltage dropper for the simple voltage adapter module required, and (b) to have themodule developed and ready to use. Therefore the whole work will consist of: (i)recognizing the client’s requirement, (ii) learning and elaborating the 6A05G’s relevant
properties, (iii) obtaining actual diode’s property values (data) through measurements,(iv) if actual data supports the hypothesis, then proceed with module design anddevelopment, and (v) testing the module.
3.2.

Materials

The main component is the 6A05G power diode. If the actual measurements on this
diode resulted in a confirmation on the hypothesis, the following components would be
required to proceed with module development: resistors, fuses, switches, input terminals,
main output terminals and a USB output socket. Measurements for both the diode and themodule will be carried out using a digital ampere meter and voltmeter.

4. Determining Device Specifications
The client determined how the eCar would work and look, including what devices
to be operating in the car. The researcher / designer then translates it into the device
specifications for the Voltage Adapter Module in this regards.
4.1.

Load Current PlanningBecause the new module will be placed in the same eCar, with the same load situation,
the previous load current planning applies. This is here re‐shown by Table 1.
4.2.

Module Main Specifications

In our previous work the module was to be connected to the two poles of the batterybank (48V). However for this work a different approach is taken. Considering that thevoltage dropping by the diodes will cause energy loss, the input voltage needs to bebrought as low as possible; of course still it has to be higher than the intended output
voltage. It is an advantage that the battery bank has a number of terminals (as it consistsof six 8‐volt batteries) that it can actually serve several voltage values: 8, 16, 24, 32, 40
222

and 48 volt. Thus, it is decided to supply the module with 16 volt as it will cause least
energy loss while it is still higher than the intended output voltage (12V).
The output voltage of the module is to be 12V, as required by the loads: LED lamps
and door openers, GPS device, tablet PC, and mobile phone. The Voltage Adapter Module
here developed will provide the same voltage (12V) for those as mentioned gadgets
through a standard cigarette lighter socket. It means that the gadgets will require theirstandard 12V/5V converters.
In other words the Voltage Adapter Module is here to be designed based on thesame load current planning as the one used in the previous work. It means that themodule has to provide up to 5A continuous current at 12V. Table 2 shows thisspecifications.
4.3.

Fuse Specifications

The input current fuse is therefore specified at 5A. The total capacity of the output
fuse should ideally equal 5A. However as the output line is split into 4 lines (1.5 A for LED
lamps, 1.5A for door openers, 0.65A for cigarette lighter 1, 0.65A for cigarette lighter 2
and another 0.65A for cigarette lighter 3), there should be a practical approach for thesituation. Considering also common availability in the market it is decided to use 2A, 2A,
1A, 1A, 1A fuses for the as mentioned lines subsequently. This specifications is shown by
Table 3.
Table 1. The load current planning, the same as the one documented in Nasucha (2016), applies.
Load
Charger Rated Output Power Max. Current at 12V
All LED lamps
18W at 12V
18W / 12V = 1,5A
Door openers
18W at 12V
18W / 12V = 1,5A
Cigarette lighter 1 (GPS or mobile phone charger)
Cigarette lighter 2 (Tablet PC charger)
Cigarette lighter 3 (Mobile phone charger)

7W at 5.2V
7W at 5.2V
7W at 5.2V

(7w/0.9*) / 12V = 0.65A(7w/0.9*) / 12V = 0.65A(7w/0.9*) / 12V = 0.65A
Total current: 4.95A

Table 2. The Module Main Specifications
Input
OutputVin = 16V

Vout = 12V; Iout = 5A (max)Table 3. Fuse Specifications
Input Fuse
Output Fuses
Output Fuse 1: 2A
Output Fuse 2: 2A
Input Fuse: 5A
Output Fuse 3: 1A
Output Fuse 4: 1A
Output Fuse 5: 1A

5. The 6A05G’s Relevant Properties
Research works on applications of diodes were reported although not specificallyaddressed their nature of dropping voltage. Application of 1200V‐8A SiC JBS diodes in
the motor system was reported in (Liu et al. 2013). Whereas characteristics andapplications of silicon carbide power devices in power electronics was reported in(Kondrath and Kazimierczuk 2010).
As mentioned the 6A05G is predicted to be a good choice considering: (i) that its
forward current capacity is suitable for the module requirement, and (ii) that it is widely223available in the market. The current‐voltage characteristics of this type of diode is
explained in (Datasheet 2016) and here presented by Figure 1. The curve actuallypresents an exponential mathematical function that will show itself as a raising curve if
drawn on a linear‐scaled area. It is depicted by Figure 2.

Figure 1. Forward current‐voltage characteristics of 6A05G – 6A100G as depicted in (Datasheet 2016). It isshown that the diode starts flowing current when the anode‐cathode voltage is around 0.6 volt. The morevoltage applied the more current flows, in other words the more current to be flown by the diode the morevoltage drops between its anode and cathode. The curve here is drawn on an algorithmic‐scaled area.

Figure 2. Forward current‐voltage characteristics curveof a diode when drawn on a linear‐scaled area.

As the information about 6A05G current‐voltage characteristics is provided by thedatasheet only in graph, the only way to find out the relation between current and voltage
at a certain value is doing visual interpolation. This way is shown in Figure 3 whereas theresults of this estimation are shown in Table 4. However the real values of voltage forchosen values of current will be known from measurements.

224

Figure 3. Estimating value of forward voltages for particular forward current
values through interpolation.
Table 4. Estimated values of forward voltages for particular forward current
values through interpolation as depicted in Figure 2.
Forward Current (A)

1.00

2.00

3.00

4.00

5.00

6.00

Forward Voltage (v)

0.85

0.91

0.95

0.98

1.00

1.02

6. Results of The 6A05G Measurement and Discussion
The diode alone was tested. Voltage between anode and cathode was measured fora certain amount of current. For the same current value the measurement were done tentimes. The measurement were done for current = 1A, 2A, 3A, 4A, 5A and 6A. The results
are shown by Table 5.
Table 5 shows actual forward voltage against forward current at particular values:
1A, 2A, 3A, 4A, 5A and 6A. The diode was supplied with the defined amount of current for
3 minutes –to approach real operational situation where it is heated up– then the anode‐cathode voltage was read. The current source was then switched off for another 3 minutes
to let the diode cool down. It was then switched on again for the next 3 minutes for the
next voltage reading. The cabling was kept untouched during the whole measurement toensure connection consistency. The room temperature was set around 25’C.
From the results shown, it is found that the drop voltage at the diode rises with theflowing current. The relation between voltage and current is positive but not linear. The
portion of voltage increase is less than the portion of the current increase. This current‐
voltage characteristics is at the same tendency at the one expressed by Figure 2. However
the most important message for the project is that these actual diode’s drop voltage data
will be useful for predicting the total drop voltage that will happen in the module if acertain number of diodes are placed in series.

225

Table 5. This shows actual forward voltage against forward current of 6A05G at room temperature of 25’C ; current
and voltage were read after 3 minute conduction.: (a) Current = 1A, (b) Current = 2A, (c) Current = 3A, (d) Current =4A, _(e) Current = 5A, (f) Current = 6A. The diode was let off the current for 3 minutes before doing the next conduction.
For this purpose the power supply was switched on and off while the junctions of the cables were kept untouchedduring the whole measurement process to ensure connection consistency.
Test No. Continuous
ForwardCurrent (A)Continuous
ForwardVoltage (V)

Test
No.

Continuous
ForwardCurrent (A)Continuous
ForwardVoltage (V)

Test
No.

Continuous
ForwardCurrent (A)Continuous
ForwardVoltage (V)

1

1

0.90

1

2

0.96

1

3

1.01

2

1

0.91

2

2

0.97

2

3

1.02

3

1

0.91

3

2

0.97

3

3

1.02

4

1

0.91

4

2

0.97

4

3

1.02

5

1

0.91

5

2

0.97

5

3

1.02

6

1

0.91

6

2

0.97

6

3

1.02

7

1

0.91

7

2

0.97

7

3

1.02

8

1

0.91

8

2

0.97

8

3

1.02

9

1

0.91

9

2

0.98

9

3

1.03

10

1

0.92

10

2

0.98

10

3

1.03

Averaged

1.02

Averaged

0.91

Averaged(a)Test No. Continuous
ForwardCurrent (A)
1
2
3
4
5
6
7
8
9
10

4
4
4
4
4
4
4
4
4
4
Averaged

0.97(b)Continuous
ForwardVoltage (V)
1.04
1.05
1.05
1.05
1.05
1.05
1.05
1.05
1.05
1.06
1.05

Test
No.

_(c)

Continuous
ForwardCurrent (A)Continuous
ForwardVoltage (V)

5
5
5
5
5
5
5
5
5
5

1.06
1.07
1.07
1.07
1.07
1.07
1.07
1.07
1.07
1.08

Averaged

1.07

1
2
3
4
5
6
7
8
9
10

(d)

Test
No.

Continuous
ForwardCurrent (A)Continuous
ForwardVoltage (V)

6
6
6
6
6
6
6
6
6
6

1.08
1.08
1.09
1.09
1.09
1.09
1.09
1.09
1.09
1.09

Averaged

1.09

1
2
3
4
5
6
7
8
9
10

_(e)

(f)

Table 6. Voltage predictions for the voltage adapter module that will be developed using the actual data of theTable 5. Actual voltage exists at the second cell of the battery bank usually slightly higher than 16V thus it isapproached with 16.6V.
Load
Diode's Individual
Predicted Total Drop Voltage (V)Predicted Module Output Voltage
Current (A)Drop Voltage (V)for
If Input Voltage = 16.6V
4 Diodes5 Diodes6 Diodes4 Diodes5 Diodes6 Diodes

1

0.91

3.64

4.55

5.46

12.96

12.05

11.14

2

0.97

3.88

4.85

5.82

12.72

11.75

10.78

3

1.02

4.08

5.10

6.12

12.52

11.50

10.48

4

1.05

4.20

5.25

6.30

12.40

11.35

10.30

5

1.07

4.28

5.35

6.42

12.32

11.25

10.18

6

1.09

4.36

5.45

6.54

12.24

11.15

10.06

226

Based on those data, voltage predictions for different options are made and shownby Table 6. A number of diodes are to be placed on board in series. Considering that therequired output voltage is around 12V, the application of four diodes is then chosen inorder to provide the closest value.

7. Result of The Module Development and Discussion
Taking into account the positive findings as discussed in Chapter 6, the 6A05G
diodes have been applied for the 18Vdc to12Vdc voltage adapter module. Four diodes areplaced in series. Through a development cycle the module was then finished and ready totest. Figure 4 shows the stages of the development and the test.

_(a)

_(b)

_(c)
_(d)
Figure 4. Some photographs taken in the development cycle and the testing: (a) after completion of PCB layout design,(b) after the etching, (c) after the completion of assembling, and (d) when the module was being tested. There are six
diodes shown in the picture, two of them are actually being short‐circuited (unused). A small modification was also
made for the output terminals: USB terminal was provided for the phone charger along with protection resistors.

Upon the completion of the module development, measurements were carried out
in operation mode. The results of the measurement are shown in Table 7. It is found thatmodule’s output voltage varies with the load current, as predicted.
The voltage decreases when the load current increases. When the current ranges
at 1 to 6A the output voltage will range at 12.80 to 11.42V. These values are lower thanthe prediction (see Table. 6 for the 4 diode option), logically caused by existence of otherdrop voltages at the protection resistor and at the line on the PCB. Considering that thereal requirement –that the devices on the eCar have enough tolerance for the operating
voltage– this voltage adapter module would fit the need.

227

Table 7. The table shows module's output voltage at different loads: (a) I = 1A, (b) I = 2A,_(c) I = 3A, (d) I = 4A, _(e) I = 5A,
and (f) I = 6A at room temperature of 25'C. Four 6A05G diodes were placed in series and the whole onboard circuit
resistance was around 0.1 ohm. The values were read when the module was operating for 3 minutes. The current supply
to the module was cut for 3 minutes before doing the next operation. The junctions of the cables were kept untouchedduring the whole measurement process to ensure physical consistency.
Test No. Load Current(A)

Input Voltage Output Voltage(V)(V)

Test No. Load Current(A)

Input Voltage Output Voltage
(V)
(V)

1

1

18.36

12.79

1

2

18.36

12.39

2

1

18.36

12.79

2

2

18.36

12.40

3

1

18.36

12.80

3

2

18.36

12.40

4

1

18.36

12.80

4

2

18.36

12.40

5

1

18.36

12.80

5

2

18.36

12.40

6

1

18.36

12.80

6

2

18.36

12.40

7

1

18.36

12.80

7

2

18.36

12.40

8

1

18.36

12.80

8

2

18.36

12.40

9

1

18.36

12.80

9

2

18.36

12.40

10

1

18.36

12.81

10

2

18.36

12.40

Averaged output voltage =12.80

Averaged output voltage =(a)Test No. Load Current
(A)

12.40

(b)
Input Voltage Output Voltage(V)(V)

Test No. Load Current(A)

Input Voltage Output Voltage
(V)
(V)

1

3

18.35

12.01

1

4

18.35

11.81

2

3

18.35

12.01

2

4

18.35

11.82

3

3

18.35

12.02

3

4

18.35

11.82

4

3

18.35

12.02

4

4

18.35

11.82

5

3

18.35

12.02

5

4

18.35

11.82

6

3

18.35

12.02

6

4

18.35

11.82

7

3

18.35

12.02

7

4

18.35

11.82

8

3

18.35

12.02

8

4

18.35

11.82

9

3

18.35

12.02

9

4

18.35

11.82

10

3

18.35

12.02

10

4

18.35

11.82

Averaged output voltage =12.02

Averaged output voltage =_(c)Test No. Load Current
(A)

11.82

(d)
Input Voltage Output Voltage(V)(V)

Test No. Load Current(A)

Input Voltage Output Voltage
(V)
(V)

1

5

18.34

11.59

1

6

18.34

11.41

2

5

18.34

11.60

2

6

18.34

11.42

3

5

18.34

11.60

3

6

18.34

11.42

4

5

18.34

11.60

4

6

18.34

11.42

5

5

18.34

11.60

5

6

18.34

11.42

6

5

18.34

11.60

6

6

18.34

11.42

7

5

18.34

11.60

7

6

18.34

11.42

8

5

18.34

11.60

8

6

18.34

11.42

9

5

18.34

11.60

9

6

18.34

11.42

10

5

18.34

11.60

10

6

18.34

11.42

Averaged output voltage =
_(e)

11.60

Averaged output voltage =

11.42

(f)

The module has been installed onto the eCar successfully and the eCar is currently
in normal operations as usual. Several machine maintenance activities have been also
carried out and there has been no trouble with the module this far.
228

8. Conclusions
The drop voltage values of a 6A05G diode for different forward current values havebeen measured in this work. A simple voltage adapter module has been then developed
using four diodes that are placed in series. The output voltage of the module is not stable,
it decreases when the load current increases. However the module still fits the need. The
module offers less physical complexity and therefore is expected to reduce the chance of
unintended electrical incident during its installation and maintenance. The extra
advantage includes the fact that the module can be developed faster, easier and less costly.

References
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Computation and Mathematics in Electrical and Electronic Engineering, Vol. 32 No. 1, pp.
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Bai, H. et al. (2012). Design of an 11 kW Power Factor Correction and 10 kW ZVS DC/DC Converter
for a High‐efficiency Battery Charger in Electric Vehicles. IET Power Electronics, Vol. 5, No.
9, pp. 1714‐1722. Institution of Engineering Technology, UK.
Chan‐Soo, L. et al. (2011). A Low‐power CMOS DC‐DC Buck Converter with On‐chip Stacked SpiralInductor. Microelectronics International Vol. 28, No. 2, pp. 38‐43. Emerald, UK.
Datasheet (2016). 6A05G ‐ 6A100G 6.0 AMPS Glass Passivated Rectifiers. Taiwan Semiconductor,
Taiwan. Accessed on February 21st, 2016.
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Devices in Power Electronics. Intl Journal of Electronics and Telecommunications Vol. 56,
No. 3, pp. 231‐236. Warsaw University of Technology, Poland.
Liu, A. et al. (2013) Application of 1200V‐8A SiC JBS Diodes in The Motor System. Applied
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Mikic, M. et al. (2015). Design and Characterization of a Step‐down Switched‐mode Power
Converter Based on the Regulator MC34063A. IEEE Electromagnetic Compatibility
Magazine, Vol. 4, No. 4. IEEE Xplore, USA.
Nasucha, M. (2016). Development of a Low‐power Step‐down DC/DC Converter Module forElectric Cars. Project Notes (unpublished). Universitas Pembangunan Jaya, Indonesia.

229

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Piperine of Piper retrofractum Antagonizes H1 Receptor: In vitro
and In silico Study on Isolated‐Guinea Pig Illeum Smooth Muscle
Puguh Novi Arsitoa, Sabtanti Harimurtia, Ratih Dwi Amaliahaa School of Pharmacy, Faculty of Medicine and Health Science, Universitas Muhammadiyah

Yogyakarta, Jalan Lingkar Selatan, Yogyakarta 55183, Indonesia

Abstract
Piperine is a major Alkaloid that found in Piper retrofractum. Empirically, This
herbs used as an antispasmodic. In the previous study. Piperin was reported may inhibit
the release of histamine from mast cells by inhibiting the signal pathway mediated by
IgE. Based on the fact, piperin was expected to has the antagonizm effect on thehistamine receptor. The aim of this study was to investigate its activity on H1 receptor.
This research was conducted by investigated the effect of piperin on the guinea pig
ileum smooth muscle (in vitro model). Piperin was administered at the doses of 1 mM
and 5 mM. The result showed that piperin could inhibit the contraction of isolated
guinea pig ileum smooth muscle that induced by histamine. The pD2 values of H1
receptor shifted significantly at the dose of 5 mM (p < 0.05). According to thecontraction response data, piperin showed non‐competitive antagonists activity. Its canobserved from the shape of the contraction response curve that was not reach 100%
Emax. Reversibility assay showed that by replaced buffer tyrode every 5 minutes for 30
minutes , the bond of alkaloid to the receptor was able to dissociate. In the in silico study(Autodock), piperine was observed can be bind to H1 receptors (docking score :‐5.70).
Piperine bound at Lys179 which is one of the important proteins in the histaminergic
activity. The conclusion of this research is piperin has the activity as a non‐competitive
antagonist at the H1 receptor.

Keywords
Piperine, Piper retroractum, H1 receptor, Antagonism
1. Introduction
Indonesia is known to have a vast biodiversity herbal. Not only used as a spice incooking, the herb is also sometimes used people as a traditional medicine for various
diseases. The availability of various types of spices have the potential to study its
contents and used as a guide compounds (lead compound) or the discovery of new
drugs.One of the spices that has great potential of medicinal plants is pepper (Pipernigrum Linn.) family Piperaceae. This plant comes from India and is growing well insome Southeast Asian countries[1]. Pepper was traditionally used as an analgesic,
antipyretic, depressant of central nervous system, anti‐inflammatory, antioxidant,
anticonvulsant, anti‐bacterial, anti‐tumor, and has hepatoprotective activity[2].The
major constituent of Piper nigrum Linn. is piperine alkaloid (5‐9%), volatile oil (1‐2.5%),
resin (6.0%), piperidine and starch (about 30%)[1].

230

Some of pharmacologial studies of Piper nigrum Linn. Have been reported.
Alkaloid compound from Piper nigrum Linn. Was known has promising activity. The
total of 5‐9% of alkaloids contained in the pepper was a piperin[3]. Piperine from Pipernigrum Linn. Was reported has anti‐inflammatory effects in rats that induced bykaragenin[4]. From this in‐vivo study, indicate that piperine has anti‐inflammatory
effects, antinociception and antiatritis by inhibiting multiple inflamatory mediators[5].
On the other hand, the mixture of herbal extract (polyherbal) that containing Pipernigrum L. showed bronchodilation effects in mice that induced by ovalbumin[6]. From
the In‐vitro study showed that piperine inhibits degranulation of the mast cell culture(RBL‐2H3) through inhibition of phosphatidylinositol 4‐kinase(s)[7]. Its also found thedecreasement of intracellular Ca2+ levels that play a role in the inhibition of mast cell
degranulation[8].
The aim of this study is to determine piperine activity on the ileum smoothmuscle contraction. The effect was observed by the selectivity occupation of thehistamine receptors. The study was conducted by in vitro methods(organbath). This
research is expected to yield data that can be used as a reference for future research.
2. Material and Methods
2.1.

Materials

Piperine alkaloid, Male guinea pigs with a body weight ranging between 400 and
500 grams were obtained from the School of Pharmacy, UniversitasMuhammadiyah
Yogyakarta. All animal handling protocols were performed in accordance with theguidelines of laboratory animal care of the department. The chemicals used in the study
were Tyrode’s buffer solution, carbogen gas (containing 95% oxygen and 5% carbon
dioxide, obtained from PT. Aneka Gas and Industrial Semarang), histamine (obtained
from Sigma, USA), distilled water (obtained from pharmacology laboratory of
Universitasmuhammadiyahyogyakarta).
2.2.

In Vitro Study

The first step of the assay was to test the effect of 100 mL DMSO on ileal smoothmuscle contraction induced by histamine. The purpose of the assay was to ensure thatthe DMSO used as a piperin solvent would not affect the response of the ileal smoothmuscle contraction induced by histamine. Piperin activity as a H1 receptor antagonist
was evaluated by observing changes and shifts in the curve of ileal smooth muscle
contraction. The contraction was induced by cumulative concentrations of histamine,ranging from 2x10‐8 to 2x10‐3M.
An organ bath was filled with 20.0 mL of Tyrode’s buffer solution, then the organ
was placed in the organ bath until a steady state equilibrium was reached (30 min).
Subsequently, the single concentration of agonist was introduced to the organ bath andthe contraction response was recorded (iwx software). After the contraction reached aplateau, the organ was washed by Tyrode’s buffer for 60 min with replacement of thetyrode solution every 15 min. Subsequently, cumulative concentrations of the agonist
ranging from 2x10‐8 to 2x10‐3 M were added to the organ bath. After maximum
contraction, the organ was washed. After a washing period of 60 min,1 and 5 mM
piperine was added to the organ bath at 10 min prior to administration of cumulative
concentrations of agonist. After rewashing the organ, this procedure was repeated foreach concentration.
A reversibility assay was performed to observe the ability of the organ tissue toreturn to basalt condition after the piperinetreatment. The assay was performed toevaluate the reversibility of the interaction between the receptor and its agonist. The
231

assays were performed before and after the piperineactivity assay. The ileum waswashed briefly for 30 minutes with Tyrode’s buffer solution and with replacement every
five minutes. After reaching a stable condition of ileum, the organ was contracted bycumulative concentrations of histamine, after which the contraction response wasrecorded. The receptor agonist concentration curves before and after treatment withpiperine were compared.
2.3.

In Vitro Data Analysis

In the in vitro study, the research data concerned ileal smooth muscle contraction.
The data were transformed into a percentage of the maximum response achieved by theagonist. Subsequently, the response percentages were plotted against the logarithm of
the agonist concentrations.
The EC50 values (concentration of agonist that can produce a response of 50% of
the maximum response) of receptor agonist in presence and absence of piperine were
calculated based on the curve of the response percentages vs. the logarithm of theagonist concentrations. The EC50 was calculated based on Equation 1 and thentransformed into a pD2 value (Equation 2). The data were then represented as mean ofpD2 agonist ± standard error (pD2 ± SE). The pD2 values were statistically analyzed
using the ANOVA test.
Piperinewas designated as AChM3 receptor antagonist if there was a decrease of
the pD2 value of histamine due to piperine. The data distribution of the pD2 values ofhistamine was analyzed using a normality test (Kolmogorov‐Smirnov method).
Subsequently, the shift in pD2 value was analyzed with parametric statistical methods(ANOVA test followed by LSD test at 95% confidence level).
Determination of antagonist type was performed using a Schild‐plot analysis in
the form of a regression analysis. The Y axis is the ratio of the EC50 of agonist inpresence of antagonist to EC50 of agonist in absence of antagonist, and then minus one.
The X‐axis is the logarithm of the concentration of antagonist. The antagonist type isdetermined based on the value of the slope generated by the Schild‐plot equation. If theslope value is close to one, the receptor antagonist is competitive, whereas if the value ofthe slope is not close to one, it is non‐competitive. The pA2 value (antagonist affinity ofpiperineto the receptor) is the intercept value of the Schild‐plot [7].
log(equation. 1)

where:
X1 : log of concentration with response below 50%
X2 : log of concentration with response above 50%
Y1 : % response below 50%
Y2 : % response above 50%

pD2 = ‐log EC50

2.4.

(equation. 2)

In Silico Study

Docking process was done by using the Auto Grid 4.2 and 4.2 Autodock via Cygwin
Terminal. File from previous preparation that includes Target.pdbqt, Ligand.pdbqt,
parameter file (* .gpf), and docking parameter file (* .dpf) was stored in one folder on
CygwinTerminal. The results of docking was formated by * .dlg file format. This filecontains 10 conformation information and complex.pdb file that used for results
visualization. After that, Visualization of the results was done by using DS
Visualizeraplication. DS Visualizer app will show the bonding form of a compound with areceptor in 3D.

232

3. Results and Discussion
Piperine is a compounds that are known could inhibit degranulation of themast cell cultures through inhibition of phosphatidylinositol 4‐kinase[7]. In addition, thestudy of herbal mixtures that contains extract of Piper nigrum L, shows thebronchodilation effect in the rats that induced by ovalbumin6. There is the possibility ofpiperine also have spasmolytic mechanism to inhibit the activation of the H1 receptor.
Therefore, this study was conducted to prove the piperine antagonist activity at the H1
receptor.
The mechanism of ileum contraction by histamine H1 receptor is mediated by
G protein. Because of that, the receptor was categorized as G‐protein‐coupled Resetor(GPCR). The second messenger of the pathway was mediated by phospholipase C (PLC).
Furthermore after PLC was activated, it will catalyze the hydrolysis reaction of
fosfoinositol 4,5‐diphosphate (PIP2) to form inositol 1,4,5‐triphosphate (IP3) and diasil
glycerol (DAG). IP3 which has been formed binds to IP3 receptor on the surface of theendoplasmic reticulum and open Trancient potencial Receptor Channels (TRPC) andresulted in the release of Ca2 + from calcium‐store. After that the level of intracellular
Ca2+ will increase. Increased levels of intracellular Ca2+ can activate the calcium channels
in the membrane cell surface [16].
Activation of calcium channels lead to an influx of extracellular Ca2+ and overall
would increase the levels of Ca2+ instaseluler that induce smooth muscle
contraction[17]. The increasement levels of intracellular Ca2 + that derived from GPCR
activation or ion channels can cause contraction of the smooth muscle. Ca2+ ion can bind
toCa2+ calmodulin receptor (CaM). Calmodulin binding protein is a Ca which does nothave the enzyme activity. Calmodulin will work after forming complexes with Ca2+
calmodulin. Furthermore, the complex activates myosin light‐chain kinase (MLCK)
which phosphorylate myosin. Phosphorylated myosin will interacts with actin filaments
and produce contraction[18]. piperine can be said to have activity as an H1 receptor
antagonist if it can reduce the potential for histamine to induce smooth muscle
contractions. An in vitro study aims to determine the activity of the piperine as H1
receptor antagonist. In this study we used piperine with level 1 mM and 5 mM.
3.1.

Preliminary study the effect of DMSO on ileal smooth muscle contraction.

DMSO was used as piperine solvent in this study, so that DMSO need to betested first its effect on smooth muscle contraction. DMSO are expected to has no effecton the contraction of illeum smooth muscle. DMSO was used with the volume 100μL. It
was accordance to piperine administration to the organ bath.The test results shown aslight shift in the curve (Figure 1).

233

Fig. 1

Concentration‐response curves to histamine in the absence or presence of DMSO atvolume 1000 uL in guinea pig ileal smooth muscle (data represent n = 5‐10, mean
± SEM).

This effect was followed by a decrease in the value of PD2 of DMSO (Table 1). However,based on statistical tests by using paired t‐test, it was not significantly different (p>0.005). Therefore, DMSO does not have the effect of lowering the contraction
significantly so that it can be used as a piperine solvent.
Table 1. Effect of DMSO on ileal smooth muscle contraction
GroupsPD2

E max

Control

5.84 ± 0.12

100 % ± 0.00

DMSO

5.72 ± 0.13

100 % ± 0.00

Effect of DMSO on the response of ileal smooth muscle contraction induced by histamine.
The pD2 and Emax values of histamine in absence and presence of 100 mL DMSO (n = 5,
mean ± SEM).

3.2.

Comparative study using diphenhydramine

H1 receptor distributed on the surface of the smooth muscle of guinea pig ileum.
By histamine H1 receptor activation will result in contraction of smooth muscles both inhumans and guinea pig ileum. Diphenhydramine comparative stsudy conducted by using
the same method with treatment using piperine. Diphenhydramine is a first‐generation
H1 receptor antagonist with has sedative and anti‐allergic properties. Diphenhydraminecompetitively inhibit the H1 receptor. Usually diphenhydramine used for the symptoms
caused by endogenous histamine in the bronchi, blood vessels and gastrointestinal
smooth muscle. The purpose of this comparison study is to see if there is a same effectbetween diphenhydramine and piperin as antihistamines. It is also to ensurethe
methods that used is valid to prove an H1 receptor antagonist.Test results showed thatdiphenhydramine could shifts the contraction response curve to the right (Figure 2) andit cause the PD2impairment (Table 2).

234

Fig. 2Concentration‐response curves to histamine in the absence or presence of
diphenhydramine at concentrations of 1 & 5 mM in guinea pig ileal smooth muscle(data represent n = 5‐10, mean ± SEM).

Shape of the curve shows contraction responses (Emax) agonist back to 100%after being treated with histamine. The position of competitive antagonist which
occupied the same active receptors can be shifted with the addition of the agonist
concentration. So that the EC50 can be achieved with the addition of the higher agonist
concentration. Maximal response (Emax) can be returned 100%. It shows thatdiphenhydramine is a competitive antagonist to the H1 receptor.
Table 2. Effect of diphenhydramine on ileal smooth muscle contraction
E max
GroupsPD2
Histamine control

6.10 ± 0.16

Diphenhydramine 0.01 uM

5.67 ± 0.09

100 % ± 0.00
100 % ± 0.00

Diphenhydramine 0.05 uM

5.15 ± 0.23

100 % ± 0.00*

* Significant difference (P < 0.05) compared to control.
Effect of diphenhydramine on the response of ileal smooth muscle contraction induced byhistamine. The pD2 and Emax values of histamine in absence and presence of
diphenhydramine (n = 5, mean ± SEM).

In addition, the type of antagonist can also be determined by Schild‐plot analysis.
From this Schild‐plot analysis we obtained equation y = 0,7542x + 1.7281. Schild slope
value equation‐Plot is at 0.7542 (approaching 1.00) and intercept (PA2 value) of 1.7281.
PA2 value (parameter affinity) showed levels of antagonists which may cause the levels
agonist folded into 2 times to get the same effect as before given the antagonistic effect.
From thisassay it can be concluded that diphenhydramine acts as a competitive
antagonist to the H1 receptor.
3.3.

Antagonism effect of piperine to the H1receptor.

Antagonism effect of piperineto the H1 receptor was done by observe thechanges in the curve of contraction profiles. Piperine thought to have potential as an H1
receptor antagonist. This potential can be measured by comparing the value of PD2
histamine with and without piperine pretreatment. Pretreatment ofIleal smooth muscle
with piperinshould be able to make value of PD2 histamine lower. Histamine can induce
contractions after binding with H1 receptors on smooth muscle of ileum. increasement
concentration of exogenous histamine also resulted in the increasement of percetage
contraction response. Response of isolated ileum smooth muscle contraction willachieve 100% on administration of exogenous histamine at the level 3 x 10‐4 M. The
results showed that ileal smooth muscle pretreatment with piperine 1mM and 5mM for
5 minutes, able to reduce the response of isolated ileum smooth muscle contraction
235

induced by exogenous histamine in a concentration‐dependent pattern. Reduction ofcontraction response occurs primarily in low concentrations of histamine
administration. The profile curves (Figure 3) shows the shift of declining curve of
histamine concentration series. Curve Shifting shows a decrease in the ability ofhistamine to induce contraction due to the effect of pretreatment using 1mM and 5 mM
piperine.

Fig. 3

Concentration‐response curves to histamine in the absence or presence of piperine
at concentrations of 1 & 5 mM in guinea pig ileal smooth muscle (data represent n= 5‐10, mean ± SEM).

This effect is also characterized by impairment PD2 histamine (Table 3). The
PD2value of histamine with piperine pretreatment 1 mM and 5 mM respectively
amounted to 5.61, 5.24 and 4.94. This PD2 Impairment was statistically significant (p<0.05).PD2 histamine decline because of the influence of piperine pretreatment. piperine
prove have antagonistic effects on the smooth muscle of ileum H1 receptor. To know thetype of piperine antagonists, can be seen in the shape of contraction. Ileal smoothmuscle can not restore the contraction response (Emax) to 100%.
Table 3. Effect of iphenhydramine on ileal smooth muscle contraction
E max
GroupsPD2
Histamine control

5.61 ± 0.12

100 % ± 0.00

Piperine 1 mM

5.24 ± 0.16

76.93% ± 0.00

Piperine 5 mM

4.94 ± 0.52*

78.68 % ± 0.00

* Significant difference (P < 0.05) compared to control.
Effect of piperine on the response of ileal smooth muscle contraction induced by histamine.
The pD2 and Emax values of histamine in absence and presence of piperine (n = 5, mean ±SEM).

In the pretreatment of 1 uM piperine, Emax reached 76.93%. And in the treatment with5mM, Emax reached 78.68%. Non‐competitive antagonist is an antagonist that reduces theeffectiveness of an agonist through a different mechanism (have different binding site).
From this result we know that piperine categorized as non competitive antagonist on
the H1 receptor.
The next assay is reversibility study. Reversibility test aims to determine
whether the bond alkaloid pepper with H1 receptor can dissociate so that the effect of
the contraction of ileal receptor can be returned. The assays were carried through bywash ileum of guinea pigs by replacing the buffer Tyrode every 5 minutes for 30
minutes. Antagonist binding properties of pepper alkaloid said reversible if the value ofPD2 contraction after treatment is not much different from the before. The results can be236seen in the response curve (Figure 4). We can see the shape of the curve is relatively
similar.In addition the value of PD2 (Table 4) are not much different and statisticallythere was no significant difference between the control and test groups (p> 0.005).
Based on this, we can conclude piperine bonding can be removed in washing every 5
minutes for 30 minutes. In other words, piperine bonding to H1 receptor was reversible.

Fig. 4

Reversibility assay: Concentration‐response curves to histamine in guinea‐pig ileal
smooth muscle after treatment with piperine (data represent n = 5‐10, mean ± SEM).

Table 4. Reversibility assay of piperin in the H1 receptor
GroupsPD2

E max

Histamine control

5.61 ± 0.16

100 % ± 0.00

Piperine 1 mM

5.73 ± 0.09

92.35 % ± 0.00

Piperine 5 mM

4.54 ± 0.23

96.52 % ± 0.00

Reversibility Effect of piperine on the response of ileal smooth muscle contraction inducedby histamine. pD2 and Emax values of metacholine (n = 5, mean ± SEM).

3.4.

In silico study of piperin to H1 receptor.

Before starting the docking process, the first step that must to do is validation of
docking protocol. Valid docking method can be indicated by the value of RMSD (RootMean Square Distance. Valid RMSD valueis ussually below 2,0000. Native ligand thatused in this validation stage is doxepin (5EH). RMSD value that obtained was 1.723(2.0000) with a docking score is ‐5.6. From this result we can know that the docking
protocol docking is valid.
Piperin activity to the H1 receptor can be studied through in silico moleculardocking method. Applications that used for in silico study was AutoDockTools. The
protein usedas the target is 3RZE which is an H1 receptor protein in humans. Docking
process produces 10 conformations that contains information energy of eachconformation. Results of 10 conformations are seen on its binding energy to choose thebest conformation for binding energy value describes the strength of bonds between
ligand and protein. If there is more negative energy value of the bond, it indicate thestronger bonding to the receptor. Score of the bond and the interaction energy between
each ligand to the target protein can be seen in Table 5.

Table 5. Binding energy score and interaction of ligand to the amino acid residue of H1 receptor
GroupsBinding energy
Amino acid residue237

(kkal/mol)
Piperine‐5.70

Isoleucine 438
Histidine 450
Isoleucine 454
Lysine 179

Doxepine (5EH)‐5.02

Aspartic acid 107
Histidine 1031
Leucine 1032
Phenylalanine 1104

Diphenhydramine‐6.99

Tyrosine 458
Tryptophan 428
Tyrosine 431
Serine 111
Tyrosine 108
Phenylalanine 432

Piperine score is slightly higher than the original 5EH as ligands and lower thandiphenhydramine as an H1 receptor antagonist. But in vitro study piperine alkaloid
known act as non‐competitive antagonist.

Fig. 5 Docking visualization of piperine on H1 receptors.

H1 receptor has many amino acids, but only partially that important in
histaminergik activity, that is Trp428, Asp107, Asn198, Lys191, and Lys17919.
Furthermore Asp107 and Trp428 amino acid is an amino acid that plays an importantrole in bonding histamine as antagonist [20,21]. In this study, it can be seen
conformation 5HE (original ligand) with the highest bond energy value (‐5.02) binds to
the residue Asp107, while piperine conformation with the highest bond energy value (‐5.70) binding to Lys179. Diphenhydramine as a competitive antagonist with an energy
value of bonds the highest (‐6.99) binds the amino acid Trp428. From the in silico
results it can be concluded that diphenhydramine ligand binds to both amino acids
Asp107 and Trp428 was the important bonding, in accordance with the histamine
antagonist diphenhydramine function that works as a competitive antagonist to the H1
receptor. While piperine in vitro assays pepper alkaloid previously shown to be a non‐competitive antagonist that binds to the protein side Lys179 are also important in thehistaminergic system.

Conclucion

Piperine have antagonism activity on H1 receptor, by PD2 impairment. Fromschild plot analysis the type antagonism is non‐competitive antagonist. From the in238silico study, piperine can bind to the H1 receptor (docking Score: ‐5.70). Piperine canbind to Lys179 residue of H1 receptor, which is one important residue in histaminergic
activity.

Acknowledgements
We would like to thank LP3M UMY Research Grant 2014 and the Faculty of
medical and health science universitas muhammadiyah yogyakarta.

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240

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

THE EFFECT OF EXTRACT YELLOW PUMPKINS SEED (CUCURBITAMOSCHATA) ON HISTOLOGY OF ENDOMETRIAL GLANDS INOVARIECTOMIZED RATS
Alfaina Wahyunia, Abi Nublia,Sri Tasminatunb*
aDepartment of Obstetrics and Gynecology, Medical Science Study Program Faculty of

Medicine & Health Science, Universitas Muhammadiyah Yogyakarta; Jalan Lingkar Selatan
TamantirtoKasihanBantul DIY, Indonesia 55183
bPharmacy Study Program, Faculty of Medicine & Health Science, Universitas
Muhammadiyah Yogyakarta; JalanLingkar Selatan Tamantirto Kasihan Bantul DIY,
Indonesia 55183

Abstract
Menopausal symptoms turn out to be a health problem threatening the quality ofwomen’s life. These symptoms are triggered by the decrease of estrogen producedby ovaries. Treatment using phytoestrogens could be expected to reduce thesymptoms. Pumpkin seeds (Cucurbita moschata) contain secondary metabolites
isoflavones that have a structure similar to endogenous estrogen and it can occupy
estrogen receptor. The purpose of this study was to analyze the effects of C.
moschata seeds in ovariectomized rats on the histology of endometrial glands. An
experimental study in vivo with only post‐test with control group design was
conducted using 30 female Spraque‐Dawley rats, 8 weeks old, weight 148‐280 g.
The rats were divided into 6 groups: control group (Normal), only ovariectomized
group (OVX), ovariectomized rats given the extract of C.moschata 100, CM 200 and
CM 400 mg / kg body weight for 30 days (OVX‐CM100; OVX‐CM200; OVX‐CM400),
and ovariectomized rats given estradiol 2 µg/kg as a positive control (OVX‐E).
Rats were sacrificed on day 31. Uterine was removed and an analysis on thenumber of endometrial glands, diameter of lumen’s glands and the thickness ofthe endometrial glandular epithelium was carried out. Statistical analysis wasusing One Way ANOVA. The conclusion is Cucurbita moschata extract wassignificantly increase the number of glands and diameter of lumen’s endometrial
glands (p<0,05).
Keywords: menopause, Cucurbita moschata, histology of the endometrium,
endometrial glands.

241

1. Introduction
Menopause usually occurs around age 45 to 55 years at 60‐70% of women. The
average age in the western population is around the age of 50 years. Women in developing
countries usually reach menopause earlier compared to women in Western populations.
Menopause is a condition of the ovary failure to produce estrogen. 50‐80% of womenexperience symptoms of menopause, include hot flashes, night sweat, vaginal dryness,
insomnia, mood swings and depression. The increasing number of women, especially ofelder age, presents a new problem. Symptoms of menopause incite discomfort anddecrease the quality of the woman’s lives (Savitri et al., 2009)
Hormone Replacement Therapy (HRT) is commonly given to women sufferingfrom to overcome the symptoms of post‐menopause. Unfortunately, women exposed tolong‐term use of HRT are also exposed to its identified malicious side effect, the increasing
risk of ovarian and endometrial malignancies (Manson & Martin, 2001). It is advised formenopausal women to wisely resorting to an existing alternative treatment,
phytoestrogen therapy, as it is proven to be safer [Rimoldi et al., 2007]. Phytoestrogens
are substances of plant origin that are structurally and functionally similar to the
estrogens. Phytoestrogens are proposed to replace the function of estradiol as body's
natural estrogen. Phytoestrogens are also promoted as being an estrogen agonist, because
they can occupy estrogen receptors (Savitri et al, 2009). There are four main types ofgroups of phytoestrogen in plants such as flavonoids, coumestan, lignans, and stilbene.
Isoflavonoids are one class of phytoestrogens. Isoflavonoids are divided into threegroups: isoflavones, isoflavan, and coumestan (Whitten &Pattisaul, 2001 cit. Sitasiwi,2009).
Pumpkin (Cucurbita moschata), is a fruit with a completely nutritional content.
Types of pumpkins that grew in Indonesia are varieties of C. moschata and C. pepo
(Sushanty, 2013). In Indonesia, pumpkins have been used to produce many kind of
traditional food, but the pumpkin seeds are not widely used. According to Li et al. (2009),
phenolic glycoside compounds found in the seeds of C. moschata are phenylcarbinyl 5‐O‐
(4‐hydroxy) benzoyl‐beta‐D‐apiofuranosyl (1‐‐>2)‐beta‐D‐glucopyranoside. Glycosidesof phenolic compounds in the seeds of C. moschata are one of isoflavone derivates (Koike
et el.,2005). Phillips et al. (2005) mention that the pumpkin seeds contain phytoestrogen
265 mg in 100 grams of seeds. Pumpkin seeds also contain secoisolariciresinol which is alignin compound (Sicilia et al., 2003). Lignan is one of the main classes of phytoestrogens
agent (Cornwell et al., 2004). This background information above leads the researchers
to hypothesize that pumpkin seed extract (C. moschata) has the estrogenic effect on
reproductive organs, especially on endometrial glands.

2. Material and Methods
2.1

Plant and Chemical Materials

Seeds of pumpkin (C. moschata) used in the present study were collected from thecommercial market in Kulonprogo Yogyakarta and authenticated at the Laboratory of
Plant Taxonomy, the Faculty of Biology, GadjahMada University, Yogyakarta, Indonesia.
Concentrated nitric acid solution, perchlorate acid solution, distilled water and calcium
carbonate were obtained from LPPT GadjahMada University, Yogyakarta, Indonesia
2.2 The Preparation of Ethanolic Extract of Pumpkin Seeds (C. moschata)

242

The dried powders of seeds of pumpkin (C. moschata) were extracted bymaceration using 70% ethanol. The ethanolic extracts were evaporated to obtain theconcentrated extract.
2.3. Animals
Female Sprague–Dawley rats, aged 8 week, were purchased from Faculty of
Medicine, Gadjah Mada University, Yogyakarta, Indonesia. The animals were grouped andmaintained under standard laboratory conditions with dark and light cycle (12/12 h) andallowed free access to commercial pellet diet and water ad libitum.
2.4. Administration Procedure
Rats were acclimatized to laboratory condition for 1 week before thecommencement of the experiment. The ovariectomy was performed to all experimental
rats except to those belonging to the normal group. Animals were assigned to theexperimental groups, normal, OVX, OVX‐E, OVX‐ECM100 mg/kg BW, OVX‐ECM 200 mg/kg
BW, OVX‐ECM400 mg/kg BW, with five animals per group, per experiment. Twenty days
after the rats were ovariectomized, all of the rats were allowed to the controlled access to
a commercial standard pellet and to deionized water ad libitum for 20 days. The extractof C. moschata tuber was given orally once a day during 30 days and the doses were 100
mg/kg BW, 200 mg/kg BW, and 400 mg/kg BW to the experimental group of OVX‐ECM.
The group of OVX‐E was given estradiol with the dose of 2 µg/day, and the control groups
and OVX did not get any treatment. On the 31st day, the rats were sacrificed and theiruterine were taken to histological analysis.
2.5. Uterine Histological Analysis
The uterine horns were immediately removed and fixed in 4% para‐formaldehyde(PFD) at 4oC for 4 to 5 hours. The tissues were then processed through different grades of
ethanol, incubated overnight in chloroform, transferred into paraffin wax for 3 hours,
placed into the molds prefilled with melted wax, and cooled immediately at ‐60 o C toharden the wax. Tissues were then cut into 5 μm sections and mounted onto glass slides.
The slides were then stained with hematoxylin and eosin (H&E), visualized under a lightmicroscope under magnifications of 4, 20 and 40 times. The diameter, the epithelial heightand number of uterine glandular lumen were measured.

3.

Results and Discussion

Table 1.The average of number, diameter of lumen glands and epithelial height of endometrial glands.
Analyses of morphology of the endometrial glands in the uterine section following treatment with different doses of extractof C. moschata seeds (ECM): Normal , OVX (ovariectomized ), OVX‐E (ovariectomized + estradiol), OVX‐ECM :ovariectomized + exctract of C.Moschata seeds 100 (100 mg/kg/day), 200 (200 mg/kg/day), 400 (400 mg/kg/day). Values
represent mean ± SEM with n=5 per group. The average number of glands per cross section increased with increasing
doses of genistein treatment. * (p<0.05 as compared to control Normal), † (p<0.05 as compared to control positive OVX‐E).
The group of treatment
1.
2.
3.
4.
5.
6.

NormalOVX
OVX‐E
OVX‐ECM 100
OVX‐ECM 200
OVX‐ECM 400

Diameter of lumen’s glands(mean ± SEM)
43,27 ± 7,40
28,82 ± 8,05 *46,27 ± 11,98
41,66 ± 5,85
46,06 ± 1,84
46,27 ± 11,98

Epithelial height ofendometrial glands(mean ± SEM)
13,90± 1,58
11,45± 3,36
14,03± 0,67
14,42± 1,91
14,85± 1,49
14,77± 1,71

Number of endometrial
glands(mean ± SEM)
4,70± 2,21 †1,35± 1,36 *†13,04± 4,51*
6,2± 1,20 *†5,65± 1,73 *†9,75± 2,28 *243

In table 1, the lowest number of the endometrial glands is the negative control
group (OVX), while the highest number is the positive control group (OVX‐E). The number
the endometrial glands increased following treatment with extract C. moschata. A dose‐
dependent increase in the number of endometrial gland was observed with increasing
doses of orally extract C. moschata treatment. Treatment with 400 mg kg/day C. moschata
resulted in significant increase in the number of gland compared with normal control but
not significantly to the positive control group (OVX‐E).

Figure 1.The morphology of endometrial glands among the groups. a. OVX ( only ovariectomized); b. Normal(without ovariectomized and no treatment); c. OVX‐E (ovariectomized + estradiol); d. OVX‐ECM 100(ovariectomized + ECM 100); OVX‐ECM 200 (ovariectomized + ECM 200) and e. OVX‐ECM 400 (ovariectomized+ ECM 400). Sections were stained with H&E, magnification 40x.

Table 1 shows that the smallest gland lumen diameters belong to the negative
control (OVX), while the values of the sizes of diameter among the normal control group,
positive control, and treatment groups is significant differences. One Way ANOVA
statistical test showed that there are significant differences in the number of endometrial
glands among the six treatment groups (p <0.05). Post hoc Tukey HSD test performed
afterwards showed that the result from the negative control group (OVX) was
significantly different with other groups. Observation on endometrial glandular epithelial
shows thickness are low in the negative control group (OVX) and the highest in thepositive control group (OVX‐E). In the experimental group, ECM increased endometrial
glandular epithelial thickness, and this increase is in line with the increasing dosage, but
statistically there are no significant differences among all groups.

244This research was performed to know the estrogenic activity of the pumpkinseed extract orally. To induce conditions similar to those of menopause, rats were
ovariectomized and spared for 30 days. The observed parameters are the histology ofendometrial glands, including the number, diameter and thickness of the endometrial
glandular epithelium.
C. moschata seeds contain secoisolariciresinol, which belongs to the compoundof lignans (Sicilia et al., 2003), and phenolic glycosides that are included in isoflavones(Lie et al., 2009). Lignans and isoflavones are primary classes of a phytoestrogen agent(Cornwell et al., 2004). There are four main types of phytoestrogens, namely flavonoids,
coumestan, lignans and stilbene (Whitten &Pattisaul, 2001 cit. Sitasiwi, 2009). The
phytoestrogens are supposedly working as an estrogen agonist by engaging with estrogenin a competition to occupy the estrogen receptors (Savitri et al., 2009). When estrogenlevels are down, there will be an excess of estrogen receptors that does not bind to
estrogen. Isoflavones, although having low affinity, can still bind the receptor (Cahyati etal., 2013).
The estrogen receptors (ER) have multiple functional domains. There are two
types of ER, namely ERα and ERβ. The differences are in the C‐terminal ligand‐binding
domain and the N‐terminal transactivation domain. The estrogen receptor α (Erα) isabundant in cells in the reproductive organs such as the endometrium, breast cancer cellline, and ovarian stroma, whereas the estrogen receptor β (Erβ) is widely distributed incells besides reproductive organs including the kidney, mucosal intestinal, lungparenchyma, bone, brain, endothelial cells, and prostate gland. Thus, the bonding
estrogen‐ER is an important process to causing estrogenic effects (Kuiper et al., 1998;
Weirman,2007).
The estrogenic effects generated by the phytoestrogens are 102 to 103 times
lower than the estrogenic effects of 17β‐estradiol, which are the endogenous estrogen in
the body (Benassayag et al., 2002). This is due to the affinity of phytoestrogens to the
estrogen receptor which is lower than that of estrogen (Cederroth et al., 2007). The
phytoestrogens are able to bind to estrogen receptors (ERα and ERβ) and functioning as
the estrogen receptor antagonists or agonists (Benassayag et al., 2002).
The results of this study showed that administration of extract C.moschatasignificantly increases the number of glands and the diameter of the lumen of endometrial
glands, whereas the epithelium thickness of the endometrial glands shows no significant
increase. A dose‐dependent increase in the number of glands was observed withincreasing doses of extract of C. moschata given orally. In the negative control group that
only performed ovariectomy, all three parameters are the lowest. The ovariectomy
performed on the rats has successfully exhibit the symptoms of menopause on those rats.
The increasing number of endometrial glands is supposedly due to theproliferation and differentiation of endometrial glands through a mechanism describedby Cooke, et al (1998). This mechanism commences when phytoestrogens bind tohormone receptors on the target cell, and accordingly they can transform theconformation of the hormone receptors. This leads to conformational change in which thephytoestrogens‐receptor complexes become activated so they can bind with the DNA
chain. Interaction between the phytoestrogens‐receptor complexes with DNA causing
gene expression is increased.
The endometrial glands are simple tubular glands. These glands change
throughout the estrous cycle. The glands undergo repeated branching. On the observation
the number of the gland transverse incision in increasing numbers. Gland development245

occurs because of estrogen going to cause proliferation, morphogenesis, anddifferentiation. Estrogen plays a role in cell proliferation, especially in the transition ofcells from phase G to phase S and affects gene regulation of growth (Cooke et al., 1998).
The increasing diameter of the endometrial glands after C.moschata extract isgiven during this research indicates the occurrence of gland development. Also such an
occurrence is presumably related to with increasing secretion of fluid into the lumen of
the gland as described in previous studies. Salleh et al (2013) already examined the effectof genistein on the endometrial glands and they concluded the endometrial glands
increase in lumen diameter were in line with the increase ofthe amount of fluid in thelumen of the gland. Increasing fluid in the gland lumen is suspected to give a compression
effect on endometrial epithelial cells so that the gland epithelium endometrial thickness
remains unchanged.

4.

Conclusion

The conclusion of this study is C. moschata seed extract treatment registeredorally significantly increases the number of the endometrial glands and increases thediameter of the lumen of endometrial glands, but this treatment still provides no evidenceof thickening the endometrial glandular epithelium in ovariectomized rats. Further
research about the effects of C. moschata on other organs is still required to conclude thatthe extracts of C. moschata have estrogenic effects.

Acknowledgements
A sincere appreciation to the Research Grant of Directorate General of Higher
Education Ministry of Research, Technology and Higher Education Republic of Indonesia
which have funded this research.

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247

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

HALOPERIDOL COMBINATION THERAPY MORE COST‐
EFFECTIVE THAN RISPERIDONE COMBINATION THERAPY IN THE
ACUTE PHASE THERAPY OF SCHIZOPHRENIA BASED ON
POSITIVE AND NEGATIVE SYNDROME SCALE –COMPONENT (PANSS‐EC)
Imaniar Ranti1, Andi Fauziyar Octaviany2, Sekar Kinanti2
1Departement of Pharmacology, Faculty of Medicine and Health Science,

Universitas Muhammadiyah Yogyakarta, Yogyakarta, Indonesia

2Undergraduate programme of Medical Science, , Faculty of Medicine and Health Science,

Universitas Muhammadiyah Yogyakarta, Yogyakarta, Indonesia

Abstract
Schizophrenia symptoms consist of positive symptoms and negative symptoms.
Schizophrenia consists of three phases, that are acute phase, the stabilization phase andstable phase. Therapeutic target based on the phase and severity of illness. PANSS‐EC
test (Positive and Negative Syndrome Scale‐Excited Component) is an instrument thatcan be used to evaluate the therapeutic efficacy. Pharmacologic therapy is used in theform of antipsychotic drugs which divided into two groups, typical antipsychotics (ex:haloperidol) and atypical antipsychotics (ex. Risperidone). The aim of this study was toinvestigate the effectiveness and cost‐ effectiveness of between haloperidol andrisperidone on the acute phase of schizophrenia based on PANSS‐EC value.
The study was observational method, pretest‐posttest design, non‐randomised,prospective, and open‐label. The total sample is 40 schizophrenia patients in intensive
care hospitalization. The effectiveness therapy was done by PANSS‐EC. Cost‐
effectiveness analysis was done using cost‐effectiveness diagram.
From Mann‐Whitney test showed that there was no difference of effectivenesswhen using haloperidol combination or risperidone combination in the acute phase of
schizophrenia patients based on PANSS – EC, but the results of cost‐effectivenessanalysis showed haloperidol combination therapy better than risperidone combination
therapy on the acute phase of schizophrenia patients.

Keywords

Schizophrenia; Haloperidol combination therapy; Risperidone combination therapy;
PANSS‐EC; Cost‐effectiveness* Corresponding author. Tel.: +62‐815‐4217‐1122; fax: +62‐0274‐387646.

E‐mail address:imaniarranti@umy.ac.id248

1. Introduction
One of mental health disorders are still relatively high in Indonesia is
Schizophrenia. The insidence of schizophrenia in Indonesia estimated three to five per1000 population (Hawari, 2007), it means about 1 million Indonesian people withschizophrenia (Arif, 2006). Schizophrenia is a severe mental disorder characterized by adistinctive and fundamental distortions in thinking and perception that is accompaniedby the blunt affect or unnatural (Tandon et al., 2013). Schizophrenia symptoms are
positive symptoms, negative symptoms, disorganized, decreased cognitive function andmood disorders. Based on American Psychiatric Association (APA), schizophrenia
disease consists of three phases, there are acute phase, stabilization phase and stablephase (Reverger, 2012), so the goal of therapy will vary depending on the phase andseverity of illness (Melatiani et al, 2013).
Pharmacological treatment of schizophrenia were divided into two groups:
Typical antipsychotic (first generation) such as Haloperidol, Chlorpromazine,
amitripthyline, etc; and Atypical antipsychotic (second generation) such as risperidone,clozapine, olanzapine, and etc (Michal&Iva, 2015). The types of drugs most commonlyused to is the typical antipsychotic haloperidol (Reverger, 2012) and single therapy that
often used in Indonesia is risperidone from atypical antipsychotic (Jarut et al, 2013).
Research on the effectiveness of schizophrenia treatment is still being developed
because there are no therapies that are truly effective until today. Selection of
appropriate therapy in the acute phase of schizophrenia is very important, because it
can determine the prognosis of the course of schizophrenia. PANSS‐EC (Positive and
Negative Syndrome Scale‐Excited Component) is a simple and intuitif tool that canevaluate of positive symptoms and negative symptom in acute phase of schizophrenia.
Schizophrenia treatment costs will give negative impact for patients and theirfamilies. The overall cost of schizophrenia in the US (2002) is estimated to be $ 62.7
billion, with $ 22.7 billion excess direct health care costs ($ 7.0 billion outpatient, $ 5.0
billion drug, $ 2.8 billion hospitalization cost, $ 8.0 billion long‐term care ) (Wu et al,2005). Sinaga (2007) mentions that the economic burden to be borne by persons withschizophrenia and their families turned out to be quite large, because 50% of persons
with schizophrenia are unable to work, the cost of treatment and care must be take for along‐term, as well as the time consumed for family members caring for persons withschizophrenia were affecting the economic burden of the family.
The treatment of schizophrenia requires monitoring of the effectiveness, safety oftreatment, and cost‐effectiveness because it need long term therapy. The aim of thisstudy was to investigate the effectiveness and cost‐ effectiveness of between haloperidol
combination therapy and risperidone combination therapy in the acute phase of
schizophrenia based on PANSS‐EC score. We hope the results of this study willcontribute to the government's policy decisions in the selection of appropriate
procedures, effective, and efficient for schizophrenia treatment.

2. Material and Methods
The study was observational method, pretest‐posttest design, non‐randomised,prospective, and open‐label. The total sample is 40 schizophrenia patients in intensive
care hospitalization, Grhasia Psychiatric Hospital of Yogyakarta. This study inclusion
criteria was all patients diagnosed with schizophrenia with psychotic symptoms in theacute phas. The exclusion criteria was schizophrenic patients with congenital physicaldefects, impaired verbal function, and organic mental disorders.
249

The effectiveness therapy was done by PANSS‐EC (Positive and Negative
Syndrome Scale‐Excited Component). PANSS‐EC is an instrument used to assess the
improvement in the state of schizophrenic patients in the acute phase. PANSS‐EC
consists of five main items, excitement, tension, hostility, uncooperativeness, and poor
impulse control. The 5 items from the PANSS‐EC are rated from 1 (not present) to 7
(extremely severe); scores range from 5 to 35; mean scores ≥ 20 clinically correspond tosevere agitation (Lindenmayer et al, 2008). Schizophrenia patients the acute phase will
be moved into the stable phase if the PANSS‐EC score ≤ 15. PANSS‐EC assessment has
been done at the beginning (pre‐test) and end of treatment(post‐test).
Cost‐effectiveness analysis was done using cost‐effectiveness diagram. Cost‐
effectiveness diagram can determine whether or not to do AEB. Before doing AEB, some
calculation phase to be done, there are:
 Identify the level of drugs effectiveness from the literature Identify and count the cost of treatment. This study has calculated the direct costs by
schizophrenia patients.
 Establish the position of alternative medicine in Table Cost Effectiveness. It is only
cost of treatment, not cost ratio.
Pharmacotherapy has been given in this study was haloperidol and risperidol
combined with chlorpromazine and trihexyphenidyl. Analysis of the results used thestatistical test univariate analysis followed by bivariate analysis Mann‐Whitney for the
spread of abnormal data.

3. Result and Discussion
3.1 Subjects Characteristics
Our findings showed that the age of this research subjects were the age group 20‐
39 years (20%), 30‐39 years (42.5%), 40‐49 years (27.5%), and the least is the agegroup >50 year (10.0%). These results are consistent with the results of research
conducted by Fahlian Vishnu (2011) which states that the prevalence of schizophrenia
patients aged greater incidence in young adults compared with old age. This is because
the age of 30‐39 years are productive age who tend to get into trouble‐complex
problems, including problems with close friends, co‐workers, work too hard, economic,
and family problems.
The research subject has been divided into 2 groups, there are Haloperidol
combination therapy and Risperidone combination therapy. Measurement of pre‐test
PANSS‐EC scores show that there was no significant difference in the two treatmentgroups (p = 0.155) (Table 1). It means that both groups have equal treatment at the timeof initial therapy before treatment with the Haloperidol combination or Risperidone
combination.
Table 1. Analysis of Pre‐test PANSS‐EC Scores between Haloperidol Combination Therapy
with Risperidone Combination Therapy
Drugsn
Mean PANSS‐EC Score Sig. (2‐tailed)
Pre‐test
Risperidon group
20
18.18
0.155
Haloperidol group
20
22.83
Total
40

The results of this study have been shown that patients with acute phase occurredin the first 7 days, between 1 days until 3 days (Table 2). This is consistent with theAmerican Psychiatric Association (APA), which states schizophrenia disease course
consists of three phases: the acute phase, the stabilization phase and stable phase
250

(Reverger, 2012). In the acute phase, a therapeutic target is reduce or eliminate thepsychotic symptoms and improve the functioning of the patient's normal that usuallyoccurs during the first 7 days (Dipiro et al, 2009).
Table 2. The Duration Distribution of Acute Phase in The Research Subject
Duration Acute Phase
Percent
Cumulative(Day)
Frequency(%)
Percent (%)
1
23
57.5
57.5
2
9
22.5
80.0
3
7
17.5
97.5
8
1
2.5
100.0
Total
40
100.0

3.2. The Comparison of Effectiveness between Haloperidol Combination Therapy with
Risperidone Combination Therapy based on PANSS‐EC Score
Our results have shown that the PANSS‐EC scores in both treatment groups there wasno significant difference (p=0.711) (Table 3). The results of this study do not correspondwith the results of research conducted by Leucht et al (2009), where the results of ameta‐analysis that has been conducted shows that 53% of patients who received
risperidone doses above 6 mg per day meets the criteria of improvement compared to
40% of patients who received conventional antipsychotics (p<0.001). Treatment withrisperidone also results in a 25% better against positive symptoms and 60% better
against the negative symptoms compared with conventional antipsychotics. The resultsof the meta‐analysis showed that risperidone meet the criteria of positive symptom
improvement is better than the conventional antipsychotics (p <0.001).
Tabel 3. Analysis of Post‐test PANSS‐EC Scores between Haloperidol Combination Therapy
with Risperidone Combination Therapy
Drugs
Post‐test Risperidon group
Haloperidol group
Total

n
20
20
40

Mean PANSS‐EC Score
21.18
19.83

Sig. (2‐tailed)
0.711

The reason of our result may be because this study used the combination therapy,
not a single therapy. In addition, both types of antipsychotics are equally effective fortreating the positive symptoms in schizophrenic patients, although in the risperidone(an atypical antipsychotic) actually has a high effectiveness for treating positive
symptoms and negative symptoms (Harvey et al, 2016). Both types of antipsychotics arealso effective in blocking the dopamine receptor type 2 (D2) that is specific mesolimbic
dopamine pathway. Blocks the action of dopamine receptor type 2 has the effect oflowering the hyperactivity in the path that led to the emergence of psychotic positive
symptoms (Stahl, 2003).
Positive symptoms more prominent that the dopamine receptor type 2 which willplay a role in the acute phase, so that the positive symptoms is needed D2 receptor
blockade. The combination of Haloperidol and Chlorpromazine is suitable for both work
the same way that blocks the D2 receptor, whereas risperidone in addition to blocking
the D2 receptor also block the receptor 5‐HT2 (Stahl, 2003). It may make both types oftherapy are equally effective for the treatment of schizophrenia, because most patientsin this study come with positive symptoms dominan in the acute phase, and in this study
the researchers did not differentiate patients with schizophrenia acute phase based on
the initial symptoms appear.

251

3.3. The Comparison of Cost‐Effectiveness between Haloperidol Combination Therapy with
Risperidone Combination Therapy
The results of cost‐effectiveness comparison between haloperidol combination
therapy with risperidone combination therapy have been conducted showing
haloperidol combination therapy more cost‐effective than risperidone combination
therapy (table 4).
Table 4. Cost‐effectiveness Comparison between Haloperidol Combination Therapy with
Risperidone Combination Therapy
Risperidon
Haloperidol
Cost
Therapy
TherapyMean
Rp 31.191,40
Rp 11.186,95
Maximum
Rp 7.598,00
Rp 3.223,00
Minimum
Rp 139.560,00
Rp 18.995,00

Sig.
0.010

Based on statistical analysis Mann‐Whitney test according to table 4 showed pvalue=0,010, it means there is a significant difference between the cost of haloperidol
combination therapy with risperidone combination therapy. When compared with theeffectiveness of the therapy according to the score of the PANSS‐EC in this study, theeffectiveness of Haloperidol combination therapy was same with risperidone
combination therapy, so if the analysis is done using a table of alternative cost‐effectiveness (Table 5) obtained the results of the cost‐effectiveness of Haloperidol
combination therapy more lower cost than Risperidon combination therapy.
Table 1. Table Cost‐Effectiveness Analysis

Low effectivity

Same effectifity
High effectivity

Low Cost

Same Cost

High Cost

A

B

C

D
Haloperidol combination
to Risperidon
combination
G

E

F
Risperidon combination
to Haloperidol
combination
I

H

Based on Table 5, where the cost‐effectiveness of the Risperidone combination
therapy compare with Haloperidol combination therapy is in group F, so no need to use
RIEB calculation. The layout of the cost‐effectiveness of the combination therapy
Haloperidol against risperidone combination therapy is in group D, so that the cost‐effectiveness of Haloperidol combination therapy better than risperidone combination
therapy.

4. Conclusion
This study showed that there was no difference of effectiveness when using
haloperidol combination or risperidone combination in the acute phase of schizophrenia
patients based on PANSS – EC, but the results of cost‐effectiveness analysis showed
haloperidol combination therapy more cost‐effective than risperidone combination
therapy on the acute phase of schizophrenia patients.
In this study has not been able to analyze the other factors that also affect the
prognosis of the treatment of patients with schizophrenia as the onset of disease,chronicity, precipitating factors, heredity, social, economic, and type of schizophrenia, somore research is needed.

252

Acknowledgements
The authors are grateful to the Universitas Muhammadiyah Yogyakarta for the
research grants Lecturer and Student 2015 to provide grant for this work.
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254

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Optimization of the Acid Catalyst Concentration for Synthesis of
Anti‐Cancer Agent Gamavuton‐0 by Using Mathematical andStatistical Software
Sabtanti Harimurti*, Hari Widada, Ismanurrahman Hadi, Didy Putra Wijaya *School of Pharmacy, Faculty of Medicine and Health Sciences, Univesitas Muhammadiyah
Yogyakarta, Jalan Lingkar Selatan, Tamantirto, Kasihan, Bantul, Yogyakarta, 55183,
INDONESIA

Abstract
Cancer is a condition that occurs due to abnormal growth of cells in the body. One of thecompounds that potentially developed as anticancer agent is Gamavuton‐0 (GVT‐0).
GVT‐0 is a curcumin’s analog compound. This compound can be synthesized by areaction of one mole of acetone and two moles of vanillin as starting materials using acidor base catalyst. The main purpose of this research is to determine the best
concentration of the acid catalyst for the synthesis of GVT‐0. Synthesis was carried out inthe round bottle flask with heating. The dissolved of 4.14 gram of vanillin in ethanol was
mixed with one milliliter of acidified acetone. The concentration of acid catalyst (HCl)that was used is 2 ppm, 4 ppm, 6 ppm, and 8 ppm of acetone, respectively. The heating
was conducted for 1.5 hours and then let it cool in the refrigerator for overnight at 1‐10
⁰C. After that, the purification process can be conducted. In this purification, the hotwater maceration method was used. In the finding of the best concentration of acidcatalyst, the mathematical and statistical Stratigraphic Centurion 15 software was used.
The analysis that was used in this research is regression polynomial second order. The
result of the analysis showed that the maximum GVT‐0 produced was 2.66 gram at acidcatalyst concentration was 5 ppm of acetone.

Keywords
GVT‐0, HCL, catalyst, cancer, regression

1. Introduction
The number of cancer incidence increase in the recent years. National Cancer
Institute predicts as much as 1,685,210 new cases of cancer will be diagnosed in the
United States and 595,690 people will die because of the disease. Breast, lung cancer
and prostate cancer are the most common cancers incident predicted (NCI, 2016).
Cancer may be a hereditary diseases (Suryohudoyo, 2004) but incorrect lifestyle suchas smoking and consuming instant foods and drinks often increase the incident ofcancer significantly (Ministry of Health of Indonesia, 2015).
* Corresponding author. Tel.: +6285643842082; fax: +62‐274‐387646.

E‐mail address: sabtanti@umy.ac.id, sabtanti@gmail.com

255

Developing of anticancer drug is urgently conducted to help the patient to fightthe cancer. One of the new compound that possible to be developed as anticancer is
Gamavuton‐0 (GVT‐0) (Agrawal and Mishra, 2010). Nugroho et.al. (2009) reported that
GVT‐0 has a cytotoxic activity and anti‐proliferation activity on the leukemia basophilcell in rat. Also, GVT‐0 has been reported has a higher potency as anti‐free radical
compared to curcumin (Yuniarti, 2000). GVT‐0 is one of the analogues of curcumin with
better stability compare to curcumin without losing its anticancer effect. GVT‐0 alongwith other curcumin analogues for several years has been widely studied on thepharmacological effectiveness. The efficacy as an anti‐inflammatory agent has beenreported to be higher than the curcumin and phenylbutazone (Sardjiman, 2000).
Synthesis of GVT‐0 is done by modifying of the structure of the middle of (1,7‐diphenyl‐1,6‐heptadien‐3,5‐dion) in curcumin into (1,5‐diphenyl‐1,4‐pentadien‐3‐one)on GVT‐0. GVT‐0 has a shorter carbon chain bridge than curcumin, carbonyl group andwithout methylene group. Based on the disconnection analysis of the structure, GVT‐0
can be synthesized by reacting two molecules of vanillin and one molecule of acetone.
The reaction mechanism follows the reaction mechanism of Claisen‐Schmidt
condensation (Sardjiman, 2000).
The crucial problem during synthesis is commonly occur on the optimization
process to obtain the best value of many parameter affecting the reaction, such asconcentration of starting material, temperature, concentration of catalyst, duration ofheating, and etc. Recently, many researchers use statistical and mathematical software
to overcome the problem, since the conventional method commonly requires time for
conducting the experiment and high cost for experimental materials. By utilizing thesoftware, the number and the cost of the experiment will be reduced. In addition, thesoftware can be used to analyze the effect of varying value of parameter studied toward
the response by generating a mathematical model and statistical analysis (Harimurti etal, 2012).
Based on the advantages of utilizing of mathematical and statistical software forthe optimization process, therefore in this present work the software will be used for
determining the best acid catalyst concentration during synthesis of GVT‐0.

2. Materials and Methods
2.1.

Apparatus

The apparatus that was used for the synthesis of GVT‐0 were Beaker glass(Pyrex), test tubes (Pyrex), Erlenmeyer (Pyrex), round‐bottom flask (Pyrex), funnel,
porcelain bowls, condenser, magnetic stirrer CIMAREC®, heat mantle KDM‐1000®,
filter paper, 1 and 5 ml pipette volume, pipette filler, white tip, pH universal indicator,
micropipette Socorex Swiss, silica gel GF254 TLC plate, TLC chamber, and computers
equipped with Portable software Statgraphics Centurion.
2.2.

Materials

During experimental work, the materials that were used in the synthesis of GVT‐
0 were aniline technical grade (Brataco®), acetone for synthesis (Sigma Aldrick®),
concentrated hydrochloric acid 37% (Merck®), glacial acetic acid for analysis(Brataco®), Na sulfate anhydrous for analysis (BRATACO ®), Chloroform for analysis(Merck®), ethanol for analysis (Sigma Aldrick®) and distilled water (Brataco®)
256

2.3.

Synthesis of Gamavuton‐0 (GVT‐0)

Synthesis of GVT‐0 was carried out in a round bottle flask with condenser byvarying the acid catalyst concentration (2 ppm, 4 ppm, 6 ppm, and 8 ppm, respectively)
while keeping constant of heating period (1.5 hours), heating level (4.5 scale) and ratioof vanillin and acetone (2:1). Vanillin that was used as much as 4.141 grams and acetone
as much as 1 ml. Before reaction, Vanillin was dissolved in the ethanol 95% using amagnetic stirrer until dissolved. In the other hand, a designed value of concentrated HCl(acid catalyst) was added into acetone, separately. The HCL that was added was 20 µL,
40 µL, 60 µL and 80 µL for 10 ml of acetone, respectively. Thus the concentration of HCl
was 2 ppm, 4 ppm, 6 ppm and 8 ppm, respectively. Further, 1 ml acetone was taken fromthe mixture of acetone‐HCl and then added into dissolved vanillin in a round bottle flaskthat was prepared with condenser. Heating at scale of 4.5 was setup. Cooling was doneby turning on the water cooling through condenser. The duration of reaction was stoped
after 1.5 hours and the end of the reaction can be identified by forming a brownish
yellow solution. The obtained solution was cooled in the refigerator at 1‐10oC for 12hours.
2.4.

Purification of GVT‐0

The GVT‐0 purification was carried out using maceration method. The yellowish
crystal formed after cooling then dissolved using chloroform and then transferred into aseparating funnel for settling up. The chloroform phase was further transferred into
evaporating porcelain. Removing chloroform and trace water was done by adding Na‐
Sulfate anhydrate and then putting the evaporating porcelain on the boiling water bathuntil getting a greenish‐black residue. After that, the residue was added glacial acetic
acid and then added with distillated water until forming a greenish yellow crystalline
compound. The crystal was purified one more time to get purer crystal by hot watermaceration process at 70‐80 ⁰C. Last the brownish yellow crystal then filtered for drying
and weighing.
2.5.

Purity analysis

The purity analysis was performed using Thin Layer Chromatography (TLC). The
purified GVT‐O and vanillin were elucidated on the Silica gel GF 254 plate. Mobile phasethat was used is chloroform and ethyl acetate at ratio 5:1 (Fahrurozi, 2008). The
distance of elucidation was 8 cm. The detection of the spot was conducted using visible
light and UV light at λ 254 and 366 nm, respectively. The retardation factor (Rf) of the
spot was calculated using Equation (1) as follows:
(1)

2.6.

Optimization of acid catalyst concentration

Optimization of the acid catalyst concentration was performed by utilizing
mathematical and statistical software named Statgraphics Centurion software.
Regression polynomial second order of the data obtained was performed to determine
257

the correlation model between acid catalyst concentration and the GVT‐0 produced aswell as to determine the optimum catalyst concentration for the maximum of GVT‐O
produced. Quality of the fit data to the second order equation was expressed bydetermination of R2. The statistical significance (P‐value) was analyzed using analysis ofvariance (ANOVA). In this experiment, the P‐value was designed not more than 10%.
The P‐value was designed at this high since the synthesis through very complicatedprocess.

3. Results and Discussions
Vanillin and acetone as starting materials were selected based on the
disconnection analysis of GVT‐O structure. The GVT‐0 can be divided into one moleculeof acetone and two molecules of vanillin. Methyl group of Acetone will be connected tocarbonyl group of vanillin to form a C = C bond through Claisen‐Schmidt reaction
mechanism. Acid or base are commonly used as the catalyst of the reaction (Fessenden
and Fessenden, 1999; Tonnesen and Karlsen, 1985). Modified Samtisar method wasused during the synthesis of GVT‐O. Fahrurozi (2008) reported that the modification of
the method Samtisar had done by changing the reaction procedure, i.e. the crystal ofvanillin was firstly dissolved in the 95% of ethanol before reaction. The previous
procedure was conducted by direct mixing of vanillin crystal into the acidified acetone.
Synthesis of GVT‐0 was started by calculating the required starting materials(vanillin and acetone) for reaction. Theoretically, the GVT‐0 is developed from two
molecules of vanillin and one molecule of acetone (2:1). Based on the theoretical ratio ofstarting materials, the 4,141 grams of vanillin and 1 ml of acetone were used. In this
synthesis, hydrochloric acid (HCl) 37% (concentrated) was used as the catalyst. The
main purpose of acid catalyst in the reaction is for reducing the electronegativity ofcarbonyl group of acetone. Therefore, the possibility of the reaction is easier to be done.
Acid catalyst is more favorable since the reaction process is more stable compare to thebase catalyst (Fessenden and Fessenden, 1999). The yellow‐green crystal of GVT‐O
obtained from the synthesis can be seen in Figure 1. This result is in accordance with theprevious research that was conducted by Fahrurozi in 2008.

Figure 1. GVT‐0 Crystal

Identification of the purity of GVT‐O from the synthesis was analyzed using Thin
Layer Chromatography (TLC). The TLC result can be seen in Figure 2. In the Figure 2 canbe observe that the GVT‐0 produced still impure, where the vanillin as the starting
material still found. This may happen because of the purification process not completely
achieved. The vanillin contamination can be identified from the spot on the TLC silica,
which is containing two spots (GVT‐0 and vanillin). The Rf of GVT‐O was found to be 0.5.
This Rf was the same with the Rf for GVT‐O reported by Fahrurozi (2008).

258

Figure 2. TLC of GVT‐0 (yellow) and vanillin (purple) as the standard

The GVT‐O obtained from the synthesis at varying HCl concentration was
arranged in Table 1.
Table 1. Obtained GVT‐0 from the synthesis
SampleVary of HCl concentration (ppm)

GVT‐O (g)Average (g)

1
2

2
2

0.49
0.51

0.50

1
2

4
4

2.25
2.99

2.48

1
2

6
6

2.54
2.25

2.39

1
2

8
8

0.75
0.77

0.76

Table 2 is the ANOVA result of the obtained data from the experiment. ANOVA
was conducted to determine the variation of the data. The significant variation of thedata can be evaluated from the P‐value. The P‐value indicates the significance of therelationship between independent parameter and the response variable (Daneshvar,2007). Based on the ANOVA results, there is significant difference between the data thathas been obtained. The significant difference can be identified from the P‐value
generated from the analysis, i.e. 0.0633 (P‐value). This result is less than the acceptable
quality level (AQL) of ANOVA that was set up at P‐value of 0.1. That means there is asignificant relationship between the variations of acid catalyst concentration and GVT‐O
produced. In the other word, by changing the acid concentration significantly change the
GVT‐0 produced.
Table 1. Result of analysis of variance (ANOVA)
SourceSum of squares
df

Mean square

F‐RatioP‐valueModel

3.2803721.64018120.900.0633

Residual

0.0135668

1

00135

Total(Corr.)

3.293943

Regression analysis was chosen as a method for hypothesis testing based on its
ability to measure of the strength of the relationship between the response variable andthe predictor variables, determine the influence of one or several variables predictors of
response variables, and was useful for predicting the effect of a variable or multiple
response variables (Iriawan and Astuti, 2006).
259

Figure 3. Plot of catalyst concentration vs GVT‐O (R‐squared = 99.5881 percent; R‐squared (adjusted for df.) = 98.7644)

Correlation of the acid catalyst concentration (X) and the GVT‐0 produced (Y)can be plotted as shown in Figure 3. The R‐Squared value of the plot data was found to
be 99.5881, means that the GVT‐0 produced following the mathematical model
generated very well. The analysis using regression polynomial second order gave anequation as expressed as Equation 2. The use of the equation is for predicting the GVT‐O
produced once the concentration of catalyst is known at the experiment set up as
mentioned above. When the Equation 2 assumed to be Y = aX2+bX+c, the highest valueof Y will be reached when the value of X = –b/2a. Based on the Equation 2, calculation of
the optimum value of X was found to be 5.08 ppm.
Y = ‐0.2256X2 + 2.2908X ‐ 3.1525(2)Figure 3 shows that by increasing the catalyst concentration increase the GVT‐O
produced. At the optimum concentration of catalyst, the GVT‐O produced was thehighest one, this may due to at the optimum concentration the fastest reaction rate wasoccurred. Still increase the catalyst concentration at 6 ppm and 8 ppm, the rate of thereaction decreasing. The decrease of the rate of reaction can be detected by reducing the
GVT‐0 produced.
Equation 2 can be used to predict the theoretical amount of GVT‐0 produced
once the acid catalyst concentration is known. By using Equation 2, GVT‐0 predicted at
optimum acid catalyst concentration of 5.08 was found to be 2.66 grams. The calculation
process can be conducted as follows:
Y = ‐0.2256X2 + 2.2908X ‐ 3.1525
Y = ‐0.2256(5.08)2 + 2.2908(5.08) ‐ 3.1525
Y = 2,66 gram (predicted)
Validation of the equation can be conducted by carrying out an experiment using
a theoretical condition suggested. During the experiment using 5.08 ppm of acid catalyst
concentration, the GVT‐0 produced was 2.69 grams. The comparison between thepredicted to the experimental results can be seen in Figure 4.

260

The difference between predicted and experiment of GVT‐O produced can becalculated using Equation 3.

(3)
The difference of GVT‐0 produced is 1.22%. This indicates that the equations
obtained can be used to predict the number of GVT‐0 desired when the acid catalyst
concentration is known. This data will be very useful for further optimization process on
finding the other optimum condition of parameter during the synthesis. Surely, thisresult will be very useful in proposing of production in the industry with larger scale.

Conclusion
Based on the experimental results, by using mathematical and statistic software
the experiment was more efficient and the best acid catalyst concentration was found to
be 5 ppm at the setup of experimental condition.

Acknowledgements
The financial and facility support to the author from Universitas Muhammadiyah
Yogyakarta is highly acknowledged.

References
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Daneshvar, N., Behnajady, M. A., Asghar, Y. Z., (2007). Photooxidative Degradation of 4‐
nitrophenol (4‐NP) in UV/H2O2 Process: Influence of Operational Parameters and Reaction
Mechanism, J. Hazard. Mater., vol. B139, p. 275‐279
Fahrurozi, (2008). The influence of mole concentration of reactant on the gamavuton‐0 synthesis
using ethanol as the solvent and cytotoxic test toward He La cell, Final year project,(Pengaruh jumlah mol pereaksi pada sintesis senyawa gamavuton‐0 dengan pelarut etanol

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dan uji sitotoksik terhadap sel HeLa), Final year project (Skripsi), Universitas Gadjah Mada,
Yogyakarta.
Fessenden, R.J., and Fessenden, J.S., (1999). Organic Chemistry, Volume 2, Translated by
Pudjaatmaka A.H., Erlangga Publisher, Jakarta.
Harimurti, S., Rahmah, A. U., Omar, A. A., Murugesan, T., (2012). Application of Response Surface
Method in the Degradation of Wastewater Containing MDEA Using UV/H2O2 Advance
Oxidation Process, J. Appl. Sci., vol. 12 (11), pp 1093–1099
Iriawan, N. S. Dan Astuti, P. (2006). Mengolah Data Statistika dengan Mudah Menggunakan
Minitab 14. Yogyakarta

Ministry of Health of Indonesia (2015). Situasi Penyakit Kanker, Center of Data andInformation, Ministry of Healt of Indonesa, Jakarta.
National Cancer Institute, (2016). Cancer statistics, assessed on 23th October 2016,
https://www.cancer.gov/about‐cancer/understanding/statistics.
Nugroho, A., (1998). Synthesis of 2‐5‐Bis(4‘‐Hydroxy‐3‘‐Metoxybenzilidine) cyclopentanone on
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Siklopentanon dengan variasi suhu 28o C, 38o C, 48o C pada Fase Pengadukan), Final year
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Sardjiman, (2000). Synthesis of Some New Series of Curcumin Analogues, Anti‐oxidative, Anti‐
inflammatory, Antibacterial Activities and Quantitative‐Structure Activity Relationship.
Dissertation. Gadjah Mada University. Yogyakarta.
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Infomedika Publisher , Jakarta.
Tonnesen H.H, Karlsen J., (1985). Studies on Curcumin and Curcuminoids: Alkaline Degradation
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Yuniarti N. (2006). Aktivitas antiinflamasi invivo dan invitro1,5‐bis(4’‐hidroksi‐3’‐etoksifenil)‐
1,4‐pentadien‐3‐on Indometasin dan turunannya. Tesis. Yogyakarta: Universitas Gadjah
Mada.

262

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

EFFERVESCENT TABLET FORMULATION OF PURPLE
MANGOSTEEN (GARCINIA MANGOSTANA L) AND APPLE (PYRUS
MALUS L) PEEL EXTRACTSMT Ghozalia, Rischa Ayuningsihb
aUniversitas Muhammadiyah Yogyakarta, Yogyakarta 55282, Indonesia
bUniversitas Muhammadiyah Yogyakarta, Yogyakarta 55183, Indonesia

Abstract
Purple mangosteen and apple are the two most popular fruits in Indonesia, but very
few consume the peel, which is arguably the healthiest part of the whole fruit. Both purple
mangosteen and apple peels are rich in antioxidants, which contribute many of theirhealth benefits. People generally use the peels for many purposes, either medical or non‐medical, by brewing, boiling, and juicing. To make the peels easier to take, the formulationof effervescent tablet is needed. This research aimed to get the optimum effervescenttablet formula of purple mangosteen and apple peel extract, which fulfils the requirementof standard effervescent tablet and physical evaluation. The extraction method in thisresearch is maceration, which used ethanol 70% as the solvent. The process of thiseffervescent tablet used a wet granulation that optimizes various formulas to get the best
one. The analysis of physical effervescent tablet properties used theoretical approach. The
result of this study concluded that the best effervescent tablet formula of purple
mangosteen and apple peel extract contained citric acid, tartaric acid, sodium bicarbonate
with the ratio of 1:2:3. Meanwhile, the results of physical evaluation showed that thecontent uniformity of the effervescent tablets was 3.050 gram, the hardness test was
6.489 kg/cm2, the friability test was 0.05%, and the solubility test was 1.73 minutes.

Keywords
Purple mangosteen; apple; effervescent; tablet; formulation

1. Introduction
Purple mangosteen (Garcinia mangostana L.) is a functional plant, since most partsof it can be used for both medicinal and non‐medicinal purposes. The peel of it, which isusually discarded as a waste, has a number of essential health benefits. It is rich inantioxidants, including anthocyanins and xanthones (Moongkarndi et al., 2004).
Apple (Pyrus mallus L) is a fruit that is rich in various phytochemical substances;
one of them is flavonoids (Boyer et al., 2004). Other studies had confirmed that the peelof apple has a higher antioxidant property than its flesh. (Simamora, 2009).

263

People have traditionally used purple mangosteen peel by steeping and bringing toa boil, while apple peel is by juicing. The proper formulation in processing naturalingredients into a simple preparation easily accepted by society is expected to improve
the practicality and interest in using natural medicine.
One of the efforts to improve them is to formulate these natural ingredients into
effervescent tablets. Some of main advantages of effervescent tablets is that it is easy to
prepare and does contain the proper dose. Effervescent tablets also produce a good taste,since their carbonates help improve the taste of certain drugs (Lachman et al., 1994).
The main purposes of this study were to formulate the peel extracts of purple
mangosteen and apple into effervescent tablet and to test their physical properties.

2. Methods
2.1. Materials
Materials used in this study came in two types, namely active and additive. Active
ingredients were peel extracts of purple mangosteen and apple, while additives included
tartaric acid, citric acid, sodium bicarbonate, mannitol, aspartame, PVP, magnesium
stearate, and lactose.
2.2. Tools
Some tools used in this study included rotary evaporator (IKA®), some glass tools(Pyrex®), some containers for granulation, mortar and stamper, type GT/GTB granulate
flow tester (Erweka®), digital stopwatch, hardness tester (Stokes Monsanto®), friability
tester (TA‐ 10/TA‐20), moisture balance MB45 (Ohaus®), analytical scales AR2140(Ohaus®), oven (Memmert drying oven), sieves no. 14 and 20 type AT‐340 (Indotest
Multi Laboratama®), and single punch tablet press (Korsch®).

3. Procedures
3.1. Extraction
Powdered peels were extracted with a maceration method using 70% ethanol. It
was done by immersing the peels into 70% ethanol for 5 days and stirring every day forthe perfect results. After 5 days, the extracted peels were filtered and re‐macerated for 2days to optimize them. The macerated extracts were entirely evaporated using a rotary
evaporator to obtain thickened extracts, then weighed with an analytical scale.
3.2. Granule Preparation
Preparing effervescent granules of purple mangosteen and apple peel extracts wasdone by weighing thick extracts mixed with lactose and then preparing mass of wet
granules using PVP by sieving the ingredients with sieve no. 14 and then drying them witha temperature of about 40‐60°C for 24 hours. After dried, granules were re‐sieved with asieve no. 20. The mixture was put into an oven at 50°C for an hour, so it will be melted.
Dried granules obtained were sieved with sieve no. 20.
3.3. Formulation
Effervescent tablets of purple mangosteen and apple peel extracts were made in
one formula (Formula I), but after evaluation of granule, physical, and organoleptic
264

properties, they did not meet the standard requirement. So, they should be optimized. The
results of the formula I optimization were formula II and formula III.
Table I is a reference formula that had been researched by Hidayati (2007). The
formula contained extracts, lactose, citric acid, tartaric acid, potassium bicarbonate,magnesium stearate, aspartame, and PVP. In this study, there are some differences andchanges of the formula, namely adding additives, such as sodium bicarbonate andmannitol. Sodium bicarbonate is a frequently‐used alkali (base) source, while mannitol
provides a cooling sensation in the mouth (Rowe et al., 2006).
Table 1. Formulation of effervescent tablet
Ingredients
Purple mangosteen and apple peel extracts
LactoseAspartame
Citric acid
Granule extra
Sodium bicarbonate
Granule extra
Magnesium stearate
Mannitol
PVP

Functions
Active ingredientFillerSweetener
Acid source
Crusher
Base source
Crusher
LubricantSweetener
BinderFormula I (%)
4
29.43
1.67
15
0.3
30
0.6
0.9
1.67
0.02

3.4. Effervescent Tablet Preparation
Effervescent granules obtained were pressed with a single punch tablet machine.
Both tablets and all tablet tests were done with relative humidity of 45‐50%. The weightof each tablet that will be created was 3000 milligrams.

4. Result and Discussion
4.1. Extract preparation
The extraction method used in this study was maceration. The solvent used in thismaceration was 70% ethanol. The yield of the resulting purple mangosteen peel extract
was 11.11%, while apple was 20.45%. It showed that there were polar compounds in thepeel of purple mangosteen (Garcinia mangostana L) and apple (Pyrus mallus L). It meansthat these compounds are soluble in ethanol. The extraction used 70% ethanol because
desired thickened extracts had polar properties. The terms of ingredients used in thisstudy were water soluble, so polar thickened extracts will be easily dissolved.
4.2. Optimization and Scale Up
The effervescent tablet optimization used in this study was a formula design aspresented on the table 2. This optimization was done in the preparation and formula ofthe effervescent tablets. Unfortunately, the physical parameters of the formula I were lessgood, so the formula needs to be optimized.

265

Table 2. Optimized formula of effervescent tablets
Formula (%)
I
II
4
4
29.43
26.1
1.67
2.6
15
15
0.3
0.3
15
15
0.3
0.3
30
30
0.6
0.6
0.9
0.9
1.67
5.6
0.2
0.167
0
0.017

Ingredients
Purple mangosteen and apple peel extracts
LactoseAspartame
Citric acid
Granule extra
Tartaric acid
Granule extra
Sodium bicarbonate
Granule extra
Magnesium Stearate
Mannitol
PVP
Tween 80

III
4
16.76
2.6
11.57
0.3
23.1
0.3
34.67
0.6
0.9
5.6
0.015
0.017

NOTE:
Formula 1: Tablet preparation with wet granulation without phase separation.
Formula 2: Tablet preparation with wet granulation with phase separation.
Formula 3: Tablet preparation with wet granulation with phase separation.

Based on the Table 2 above, the formula I was a basic formula. The preparation ofthis formula was done using a wet granulation method without a phase separation. The
formula I produced tablets that did not meet the standard requirements of good
manufacturing effervescent tablets (Table 3).
Table 3. The result of effervescent tablet physical test
F
Weight Uniformity (mg)Friability(%)
A (5%)
B (10%)

Hardness(kg/cm3)

Dissolve Time(minutes)

F1
F2
F3
Scale Up

4.21
7.453
5.496
6.489

3.36
24.48
1.73
1.83

3.038 ± 0.152
3.045 ± 0.152
3.050 ± 0.153
3.073 ± 0.154

3.038 ± 0.304
3.045 ± 0.303
3.050 ± 0.305
3.073 ± 0.307

2.12
0.06
0.05
0.31

The formula II was obtained after optimizing formula I. This second formula used a
wet granulation method with a phase separation. Changes in this method were done to
avoid any undesired reaction of the effervescent. In formula II, surfactants tween 80 wereadded into the formula to overcome the solubility of the extracts. The formula II produced
a good tablet. However, one of the physical parameters of this formula, which did not meetthe requirement, was the dissolve time. Based on this evaluation, further optimizationneeds to be done to obtain a qualified formula.
Optimization of the formula III was done by changing the concentration of the acidand alkaline source. It contained more sodium bicarbonate compared to formula I and II.
The formulation changes aimed to improve dissolve time of the effervescent tablets. The
result showed that formula III met all the requirements, so a scale up could be done.
Based on Table 3, formula I tablets produced a weight uniformity that met all therequirements of the 4th Indonesian Pharmacopoeia, i.e. there are no two tablets thatdeviate more than 5% of average weight and no one tablet that deviate more than 10% of266

average weight. The results of weight uniformity of effervescent tablets had a good CV
value, which was less than 6%, so all the formulas had a good weight uniformity. The
weight uniformity test showed that formula I produced a good weight uniformity, since it
had the lowest CV value (1.119%) compared to other formulas. It might be due to the flowtime of formula I that was better than the others (Table 1).
In addition to a good weight uniformity, formula I produced the value of tablet
hardness (4.21 kg/cm2), friability (2.12%), and dissolve time (3.36 minutes). Hardness
test showed that formula I had the lowest value. The difference of such hardness was due
to an uneven distribution of liquid binder in all parts of the granules. Liquid binder
produced a liquid bridge, which naturally occurred when drying wet granules and would
turn into a solid bridge in the granules due to liquid binder that would remain behind, did
not evaporate, and would glue granule particles, so that the tablet becomes harder.
The compression will cause granules went into a plastic deformation, so it became
a compact mass, namely into tablet form. The effervescent tablet hardness affects theresistance of tablet against mechanical disturbances. Compact or hard tablets were noteasily destroyed during distribution and storage (Ansar, 2009).
Besides low hardness value, formula I had a high friability. Friability describes thestrength of tablet surface in resisting treatments causing abrasion of the tablet surface.
Friability is strongly influenced by tablet hardness.
The friability value of formula I was 2.12%. It was the highest value among otherformulas. The differences of friability value were probably caused by differences in theconcentration of PVP as a wetting‐granule agent. The concentrations used in Formula I asa granulating agent was 5%, while in other formulas was 10%. The concentrationdifferences might affect granule wetting process. In addition, it could be caused by low
hardness value and bonding among particles at the surface of the tablet. The greater thepercentage of fragility, the more mass will be lost. Loss of tablet mass will affect theamount of active ingredients.
Another characteristic of effervescent tablets, in addition to weight uniformity,
hardness, and friability, is dissolve time. It represents the time required by the tablet tobe completely soluble in a certain volume of water. The results of the formula I had adissolve time that did not meet the standard requirement (3.36 minutes). According
Mohrle (1980), a good dissolve time ranges from 1 ‐ 2 minutes.
After describing formula I, it was obtained a number of deficiencies that should becorrected, so optimization was needed to produce better formulas. Formula II was theresult of the formula I optimization. In formula II, there were some modifications in theconcentration and the additive ingredients. Unlike previous formula, the formula II used
wet granulation method with a phase separation. The changes were made to avoid early
undesired effervescent reaction (Lestari, 2007).
Evaluation of weight uniformity in the formula II produced uniform tablets with CVvalue less than 6% (1.29%), hardness (7.453 kg/cm2), friability (0.06%), and dissolve
time (24.48 minutes). The hardness value of the formula II was the highest. It could be
due to some solid bridges that were formed, thereby increasing the tablet hardness.
Meanwhile, dissolve time of the formula II was the longest. It was due to the storage
process of effervescent tablets in the room that has a fairly high relative humidity (45 to50%), thus causing the reaction of CO2 with water, resulting in reduced powercarbonation when dissolved in the water thus making dissolve time longer.

267

Physical evaluation of formula III effervescent tablets showed that they had goodweight uniformity, their CV value was the highest (1.887%). Fortunately, this value wasstill less than 6%, so it was still allowed. Formula III had a high CV value because its flowtime was fairly long (17 gram/second). Smaller flow time of the granules would support
the uniformity of mold‐filling (die) by the granules and affect the weight uniformity of thetablet. A perfect flow time will produce good form and weight uniformity tablets(Lachman, 1989).
The percentage of friability, hardness, and dissolve time of the formula III did meet
all the standard requirements. The dissolve time of the formula III was different from bothformula I and II. The formula III had a dissolve time, which was less than 2 minutes (1.73
minutes). It could be due to the differences of the crushing agent (sodium bicarbonate)concentration. High concentrations of sodium bicarbonate affect the solubility ofeffervescent tablets. It occurs because sodium bicarbonate serves as a crushing agent
when it reacts with water and will produce CO2 gas, thereby providing a refreshing effect(Ansar, 2009).
The formula III, in addition to having a good weight uniformity value, produced
effervescent tablets that did not taste bitter, had a good extract solubility, 3 cm foaming,and a good aroma. Aroma contained in the effervescent tablets was derived from thepurple mangosteen peel extract combined with apple peel extract and acidic materials
used as raw materials of effervescent tablets.
The optimization of effervescent tablets produced formula III, which had a good
granular and physical evaluation value and met the standard requirements. Formula III
was an optimum formula, so it was scaled up to 100 tablets. A 100 tablet scale up process
produced granular and physical evaluation values that entirely met the standard
requirements.

5. Conclusion
The effervescent tablet formulation of purple mangosteen (Garcinia mangostana L)
and apple (Pyrus mallus L) peel extracts that met all standard requirements was formula
III. The formula contained citric acids, tartaric acids, sodium bicarbonate in the ratio of 1:
2: 3 and filling (lactose), binding (PVP), lubricating (magnesium stearate) agent, andcombination of sweeteners, i.e. aspartame and mannitol. The results of the physicalevaluation of the formula III were as follows: the average weight (3.050 ± 0.153),
hardness (6,489 kg/cm2), friability (0.05%), and dissolve time (1.73 minutes). All
physical evaluation results of the formula III had met the standard tablet effervescentrequirements.

6. References
Ansar, B. Rahardjo, Z. Noor dan Rochmadi, 2009, Optimasi Teknik Pembuatan Tablet
Effervescent Sari Buah Dengan Response Surface Method (RSM). J.Teknol. dan
lndustri Pangan 20(1): 25‐31.
Boyer, Jeanelle., Rui Hai Liu., 2004, Apple Phytochemicals and Their Health Benefits,
Nutrition Journal, (3) 5.
Hidayati, Luthfiya., 2007, Formulasi Tablet Effervescent dari Ekstrak Daun Belimbing
Wuluh (Averrhoa bilimbi L.) sebagai Anti Hipertensi, Skripsi, Fakultas Teknologi
Pertanian, Institut Pertanian Bogor, Bogor.

268

Lachman, L., Wadke, D.A., Serajuddin, A.T.M., dan Jacobson, A ., 1989, Preformulastion
Testing, dalam Lieberman, H.A., dan Schwartz, J., B., (Eds), Pharmaceutical Dosage
Form : Tablets, Volume 1, 2 nd ed .,55 Marcel Dekker Inc, New York.
Lachman, 1994. Teori dan Praktek Farmasi Industri. Edisi III. Jilid 2. 1040, 1092‐ 1094,
UI Press, Jakarta.
Lestari B, Lisa N., 2007, Optimasi natrium sitrat dan asam fumarat sebagai sumber asamdalam pembuatan granul effervescent ekstrak temulawak (Curcuma xanthorrhiza
Roxb) secara granulasi basah, Majalah Farmasi Indonesia, 18(1), 21 – 28.
Mohrle, R., 1980, Effervescent Tablet Formulation, Lachman, L., Lieberman, H.A., (Eds),
Pharmaceutical Dosage Form: Tablet, Volume 1, 225‐257, 284‐316, Marcel Dekker,
Inc., New York.
Moongkarndi, P., Kosem, N., Kaslungka, S., Luanratana, O., Pongpan, N., Neungton, N.
Antiproliferation, Antioxidation and Induction of Apoptosis by Garcinia
mangostana (Mangosteen) on SKBR3 Human Breast Cancer Cell Line. J
Ethnopharmacol. 2004, 90, 161‐166.
Rowe, C., Sheskey, P.J., dan Quinn, M.E, 2006, Handbook of Pharmaceutical Excipients,
fiftth Edition, Chicago, Pharmaceutical Press.
Simamora, Adelina., 2009, Flavonoid dalam Apel dan Aktivitas Antioksidannya,
Universitas Kristen Krida Wacana, Jakarta.

269

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

ANTIOXIDANT AND PHOTOPROTECTIVE POTENTIAL OFETHYLACETATE FRACTION FROM ETHANOLIC EXTRACT OF RED
DRAGON FRUIT PEEL (HYLOCERIUS POLYRHIZUS)
Hari Widadaa*, Nurhasna Susmithab
aUniversitas Muhammadiyah Yogyakarta, Jl. Lingkar Selatan, Yogyakarta 55183,

Indonesia.

bUniversitas Muhammadiyah Yogyakarta, Jl. Lingkar Selatan, Yogyakarta 55183,

Indonesia.

Abstract
Free radicals can be caused by exposure of UV rays. High free radicals in the
body can be a trigger of many diseases. Photoprotectiveagent can protected the skinfrom exposure of UV rays. In addition, antioxidant compound can also reduced anegative impact of free radicals. Red dragon fruit (Hylocereuspolyrhizus) was one of
the fruits which contain a flavonoid compound. This compound can acted as
photoprotectiveand antioxidantagents. This study aims to know the content offlavonoid in the peel of red dragon fruit (Hylocereuspolyrhizus) and knowing theantioxidants and photoprotective activities. The peel of red dragon fruit(Hylocereuspolyrhizus) extracted within ethanol then macerate fractionatedwithethylacetate. The content of phenolic and flavonoid compounds of ethylacetate
fraction of the red dragon fruit peel (RDFP-AcOEt) tested with TLC method, FolinCiocalteu method, and AlCl3 chelation method. Furthermore, the free radical (DPPH)
scavenging test was to be done to found out the antioxidant activities from RDFPAcOEt and in vitro test with spectrophotometry method was conducted to found out
the SPF value of RDFP-AcOEt.The Total Phenolic Content ofRDFP-AcOEt was
1493.46 ± 14.97 mg GAE/100g and the Total Flavonoid Content ofRDFP-AcOEtwas
16.53 ± 0.36 % b/b EQ. Antioxidant activitiesofRDFP-AcOEt was weak (> 150
μg/mL). It was seen from the IC50 value of RDFP-AcOEt (491.94 μg/mL).
Meanwhile,the SPF value ofRDFP-AcOEtwas very low (0.0069 ± 0.0071). So,the
RDFP-AcOEtat a concentration of 5, 25, 50 and 100 mg/L does not havephotoprotective activities.
Keywords: Antioxidant, Photoprotective,Ethylacetate, Hylocereuspolyrhizus
1. Introduction
Sunlight is the largest source of energy for the earth and living creatures that live
thereon. Direct benefits for humans is increasing the supply of vitamin D throughexposure to UVB radiation (Ultraviolet B) (Mead, 2008). Besides the benefits, excessive
sun exposure can lead to damage to the human body through a mechanism involving
free radical compounds. High levels of free radicals in the body will produce oxidative270

stress that can cause various diseases such as skin cancer, arthritis, aging, autoimmune
disorders, cardiovascular and neurodegenerative diseases (Pham‐Huy et al, 2008).
World Health Organization (WHO) estimates that there will be an increase in theincidence about 300,000 cases of non‐melanoma and 4,500 cases of melanoma skincancer due to the depletion of the ozone layer (WHO, 2015).
Ultraviolet radiation can enter the skin through a chromophore or a particularmolecule that can capture electromagnetic waves at specific wavelengths (Lucas, 2015).
Sunscreen or a photoprotective agent can protect the skin from exposure to UV rays byabsorbing, reflecting, as well as the spread (scatter) sunlight (Mishra et al, 2011).
Chemical compounds contained in sunscreen are generally aromatic compounds
conjugated with a carbonyl group (Rai et al, 2007). Flavonoids naturally occurring
compounds that have the potential as a photoprotective agent because it has the ability
to absorb UV light and can be an antioxidant agent (Saewan et al, 2013). Antioxidant
compounds commonly used are vitamin E or α‐tocopherol, BHA, and BHT (Fessenden,1986). Antioxidant compounds also found in fruits. One type of fruit or food that can beused as an antioxidant and photoprotective agent is a red dragon fruit (Hylocereus
polyrhizus).
Red dragon fruit (Hylocereus polyrhizus) contains a variety of bioactive compounds
such as stearic acid, oleic acid, campesterol, stigmasterol, acetic acid, betanin, isobetanin,
phenolic and flavonoid (Foong et al, 2012). Several studies have been conducted todetermine the antioxidant power of red dragon fruit peel. Budilaksono et al. (2014) ake
non‐polar compounds from the extracts which are semi‐polar in the form of n‐hexane
fraction of chloroform extract that produce IC50 value of 206.591 mg / mL. Quercetin is
one of a class of flavonoids (flavonoids) that are semi‐polar which have higher
antioxidant activity than vitamin C with a ratio of 4.7: 1 (Sugrani et al, 2009). Therefore,
this study would like to take compounds that are semipolar from the polar extract in theform of ethyl acetate fraction of ethanolic extract. It is expected that flavonoids likequercetin can be retrieved and can be tested the antioxidant and photoprotective
potency to prevent excessive exposure to ultraviolet light.
2. Material and Methods
2.1. Chemicals and Reagents. Red dragon fruit (Hylocereus polyrhizus) was
purchased from Banyuwangi, East Java, Indonesia. Ethanol 96%, ), Citroboric
reagents (boric acid and citric acid), n‐butanol, Folin‐ciocalteu, Na2CO3, quercetinstandard, Acetic acid, AlCl3, NaNO2, NaOH, DPPH by pro‐analytical grade waspurchased from E‐Merck. The dry powder of red dragon fruit peel prepared using
a blender (Philips®), and evaporation the extract using a rotary evaporator (IKA®
RV10) and water bath (Memmert®). Absorbance measurements using UV‐Vis
Spectrophotometer Mini 1240 (Shimadzu®).
2.2. Sample Preparation and Extraction. The red dragon fruit peel (RDFP)(Hylocereus polyrhizus) separated by flesh because only the skin of the fruit is used
as a sample. Thereafter, the RDFP was cut into small pieces (± 5mm) and thendried with the help of sunlight in a state covered with black cloth. Subsequently
was continued drying using the oven at a temperature of 50oC. The RDFP that has
been dried mashed by means of a blender to obtain a dry powder of red dragon
fruit peel. The dry powder of RDFP (Hylocereus polyrhizus) then macerated withethanol 95% with a ratio of material: solvent (1:10) for 7 days (with 5 days
maceration and 2 days for second maceration) at room temperature in a light‐
tight container. The extract solution is then filtered and concentrated using arotary evaporator at 50oC continued with using a water bath at a temperature of
50o‐70oC to obtain an ethanolic extract of RDFP (Hylocereus polyrhizus) (RDFP‐
EtOH). RDFP‐EtOH was dissolved in a mixture of H2O‐MeOH (3: 7). Furthermore,
the liquid‐liquid fractionation with ethylacetate (AcOEt) in order to obtain ethyl271

acetate fraction from the ethanolic extract of red dragon fruit peel (RDFP‐AcOEt).
RDFP‐AcOEt fraction is then concentrated using an electrical stove temperature of
50oC. Condensed fraction is used to perform various tests next.
2.3. Total Flavonoids Content. Total flavonoid content determined by means ofchelation AlCl3. A total of 0.4 mL fractions RDFP‐AcOEt added with 0.6 mL of
distilled water and 0.06 ml of NaNO2 (5%). The solution was incubated for 6
minutes at room temperature and then added with 0.06 mL of AlCl3 (10%), after 5
minutes and then added 0.4 mL NaOH (1 mM). Furthermore, the absorbance wasmeasured at a wavelength of 510 nm using a UV‐Vis spectrophotometer withreplication is done 3 times (Saini et al., 2011). The quercetin concentrations of400, 800, 1200, 1600 and 2000 µg/mL were tested as above procedure. The linear
regression equation of quercetin was made of the relationship between theconcentration and the absorbance value of quercetin. The regression equation
used to calculate the levels of flavonoids in the sample.
2.4. Total Phenolic Content. Total phenolic content was tested using the Folin‐
Ciocalteu reagent, where about 400 mL RDFP‐AcOEt fractions added by 3.16 mL of
distilled water and 200 mL of Folin‐Ciocalteu reagent, mixed until homogeneous.
The solution is shaken out for 6 minutes. Furthermore, added 600 mL of 2%
Na2CO3 solution to form alkaline and homogenized by vortex (Talapessi et al,2013). The solution was allowed to stand at room temperature for 2 hours.
Absorbance was observed at a wavelength of 760 nm using a UV‐Vis
spectrophotometer with replication is done 3 times. Gallic acid concentrations of
10, 20, 30, 40, and 50 µg/mL were tested as above procedure. The Gallic acidlinear regression equation was made of the relationship between theconcentration and the absorbance value of gallic acid. The regression equation
used to calculate the total phenol content.
2.5. The Test of Antioxidant Potential with DPPH Method. The fraction of RDFP‐
AcOEt (levels 100, 200, 300, 400 and 500 mg/mL) each mixed with 1 mL of DPPH
(2,2‐diphenyl‐1‐picrylhydrazyl) 0.4 mM dissolved in a solution of ethanol to 5 ml.
The solution was allowed to stand to react at an ambient temperature in the darkfor 30 minutes. The Absorbance of each solution is read at a wavelength of 518 nm
using a UV‐Vis spectrophotometer (Sumarny et al, 2014). The replication carriedout two times with each of its absorbances was measured 2 times. The percent(%) of Inhibition is calculated using the following formula:% inhibition

Absorbance of control Absorbance of sample
x 100
Absorbance of control

The linear regression was made of the relationship between concentration and %inhibition. The regression used to calculate the IC50 value. Quercetin concentrationof 1, 2, 3, 4, and 5 µg/mL were tested as the procedure above to be used as thecomparator.
2.6. The determination of the Maximum Absorption Wavelength and the SPF
value. To define the maximum absorption wavelength (λ‐max), a viscous RDFP‐
AcOEt fraction dissolved in absolute ethanol in order to obtain series of levels 5,25, 50 and 100 mg/L. Furthermore, the scanning by UV‐Vis spectrophotometer atwavelengths between 260‐400 nm with the intervals of 2 nm, by using ethanol as
blank (Junior et al, 2013). The maximum wavelength obtained subsequently
adjusted for the value of EE x I, which has been determined by Sayre et al. (1979)(Table 1). SPF value is calculated using a formula that has been developed by
Mansur et al. (1986):
Table 1. Wavelength and EE (λ) x I (λ) value (Junior et al, 2013)

Wavelength (nm)290295

EE x I
0.01500.0817272

0.2874
0.32780.18640.08390.01801.0000

300
305
310
315
320
Total
SPFSpectrophotometric
Description:
EE (λ)I (λ)
Abs (λ)
CF

CF

290

320 EE: The erythemal effects spectrum: The intensity of the sun's spectrum: Absorbance: Correction Factor (= 10)

3. Results and Discussion.
3.1. Sample Preparation and Extraction. The red dragon fruit peel (Hylocereus
polyrhizus) in wet state obtained from 20 kg of whole red dragon fruit is as much as
7 kg. RDFP was cut into smaller sizes (± 5mm) to speed up the drying process.
Drying continued with an oven at 50°C. The temperature that used is thetemperature which does not damage the flavonoid compounds because of heating
carried out at a temperature of 80°C can damage the flavonoid compound Chet
(2009). Dried RDFP then extracted with 95% ethanol. The extraction using ethanol
95% will produce the highest antioxidant capacity with DPPH (656.52 mgTEAC/g)
and phenolic levels greater (1.28 mgGAE/g) than using ethanol 50% and water(Chaiwut et al, 2012). The ratio of the powder by the solvent used was 1:10, whichis the best ratio to obtain phenol, flavonoid content and best antioxidant activity(IC50) (Handayani et al, 2016). The viscous ethanolic extract of RDFP (Hylocereus
polyrhizus) (RDFP‐EtOH) obtained are about 19.273 grams. Subsequently, theviscous RDFP‐EtOH extracts are used for liquid‐liquid fractionation merely as much
as 5,046 grams. Liquid‐liquid fractionation performed to separate compounds thatare polar and semi‐polar in condensed RDFP‐EtOH extract. Polar compounds (suchbetacyanin and anthocyanins) will be drawn into a solvent mixture of H2O‐MeOH,
whereas compounds that are semipolar (flavonoids such as flavones and flavonols)
is attracted to the solvent ethyl acetate (AcOEt) (Indriasari, 2012; Budilaksono et al,2014). The condensed fraction of RDFP‐AcOEt is obtained as much as 2.886 gram.
Therefore, the calculation resulting from the value of the yield of viscous fractionsof RDFP‐AcOEt against the dry skin dragon fruit is equal to 2.34%.
3.2. Total Flavonoids Content. Measurements of the total flavonoid RDFP‐AcOEt
fraction performed using AlCl3 colorimetric methods (Zhinsen et al. 1999) that havebeen modified by Saini et al. (2011). The total flavonoid content of quercetin
expressed in grams equivalents per 100 grams subfraction (% w / w EQ) (Rohman
et a., 2007). The reason for using quercetin as standard was because of quercetin isa flavonol group flavonoid that can form complexes with AlCl3 (Desmiaty et al,2009). Absorbance values and concentrations of quercetin are used for creating alinear regression equation. Quercetin linear regression equation obtained is y =0.0009x ‐ 0.1414 with a R ² = 0.9904 (Figure 1).

273

Absorbance2
y = 0.0009x ‐ 0.1414
R² = 0.9904

1.5
1
0.5
0
0

500

1000

1500

2000

2500

Concentration μg/ml)

Figure 1. Standard curves of quercetin at total flavonoids test
If the absorbance value of the RDFP‐AcOEt fraction put in the y‐axis in thequercetin linear regression equation then the levels of flavonoids in the sample (x‐axis)
can be known. The result shows that the average levels of flavonoids in the sample
RDFP‐AcOEt fractions was 171.89 ± 3.76 ppm. So that the levels of total flavonoids fromRDFP‐AcOEt fractions obtained from the calculation was 16.53 ± 0.36% w/w EQ (Table2). It means that every 100 grams of KBNM‐AcOEt fractions equivalent to 16.53 grams offlavonoids quercetin. When compared with the research of Chet (2009), RDFP‐AcOEt
fractions showed higher levels of flavonoids than the water extracts of RDFP with anaverage grade of flavonoid about 1.87±0,33 mg catechin equivalents /25 g.
Table 2. Total Flavonoid Content in RDFP‐AcOEt Fraction
Replication
Absorbance
Flavonoid Level in
Sampel (ppm)
10.0154174.2220.0151173.8930.0094167.56
Average
171.89Deviation Standard
3.76

Total Flavonoid(%b/b EQ)
16.75
16.72
16.11
16.53
0.36

3.3. Total Phenolic Content. Total phenolic content of the RDFP‐AcOEt fraction
done using the Folin‐Ciocalteu method. Gallic Acid Equivalent (GAE) is a common
reference for measuring the amount of phenolic compounds present in a material.
Usage of gallic acid was based on the availability of the substance is more stable andpure than the other standards compounds. The relationship between theabsorbance values and the concentrations of gallic acid would produce a linear
regression equation. Gallic acid linear regression equation obtained was y = 0,0105x+ 0.0201 with the value of R² = 0.9968 (Figure 2). Total phenolic content of the
RDFP‐AcOEt fraction (x‐axis) is calculated by entering the absorbance value of thesample of RDFP‐AcOEt fractions into the y‐axis. The result shows an average of total
phenol content of the RDFP‐AcOEt fraction (C value) was 15.23 ± 0.15 mg GAE/mL.
The dilution is not done in this test and the stock solution used was 25.5 mg RDFP‐
AcOEt fractions were dissolved in 25 mL ethanol. Therefore, the average of total
phenolic content (TPC) of RDFP‐AcOEt fractions obtained from the calculation was
1493.46 ± 14.97 mg GAE/100g (Table 3). It means that every 100 grams of RDFP‐
AcOEt fractions equivalent to 1493.46 mg gallic acid. When compared with theresearch of Chet (2009), RDFP‐AcOEt fractions showed total phenol content higher
than RDFP water extracts with an average of total phenol content of 2.7533±0.89
mg GAE/25g.
2740.600y = 0.0105x + 0.0201
R² = 0.9968

Absorbance

0.500
0.400
0.300
0.200
0.100
0.000
0

10

20
30
40
Concentration (µg/ml)

50

60

Figure 2. Standard curve of Gallic acid
Table 3. Total Phenolic Content of RDFP‐AcOEt Fraction
Replication
AbsorbancePhenolic Level in
Solution (µg GAE/mL
sample)
1
2
3

0.174
0.171
0.172

Average
Deviation Standard

15.40
15.10
15.20
15.23
0.15

Total Phenolic
Content (mgGAE/100 g
sample)1509.801480.391490.191493.46
14.97

3.4. The Test of Antioxidant Potential with DPPH Method. Antioxidant potentialof phenolic and flavonoids compounds of RDFP‐AcOEt fractions can be determinedby performing a test of free radicals DPPH scavenging. Quercetin chosen forcomparison because of quercetin has a very strong antioxidant activity. If vitamin C
has antioxidant activity level is 1, then the quercetin has antioxidant activity level
about 4.7 (Sugrani et al, 2009). The value of % inhibition obtained by calculation
done by inputting absorbance values into the formula of % inhibition. The
concentration of quercetin and RDFP‐AcOEt fractions associated with the valueof % inhibition would generate a linear regression. Quercetin linear regression
obtained was y = 13,974x + 18.309 by R² = 0.9954, whereas the linear regression
equation RDFP‐AcOEt fractions was 0,0933x + y = 4.1018 by R² = 0.9904 (Figure 3).
The linear regression equation was used to determine IC50 values (x‐axis) byinputting a value of 50 in the y‐axis to the linear regression equation obtained. The
results showed that the IC50 value of quercetin was 2.268 µg/mL and the IC50 valueof RDFP‐AcOEt fractions was 491.942 µg/mL. It means that the RDFP‐AcOEt
fraction requires concentration of 491.942 µg/mL for DPPH radical capture as muchas 50%, while the concentration of quercetin requires only 2.2679 µg/mL tocapture as much as 50% DPPH radical. The large IC50 or smaller antioxidant powerthat allegedly caused flavonoid compounds that bind by side groups that can inhibit
the activity of antioxidants, so that flavonoids can not donate hydrogen andelectrons to the DPPH (Budilaksono et al, 2014). Additionally, the side groups also
can cause methylated flavonoid (‐H into ‐CH3 group), so that the source of protons
to capture DPPH reduced (Mikamo et al, 2000). The presence of other compounds
such as proteins and fats in KBNM‐AcOEt fractions allegedly also can interfere withthe reaction of free radicals DPPH scavenging (Budilaksono et al, 2014). Although
the IC50 value of the fraction into the weaker level, when seen from the level of275

antioxidant activity according to Ariyanto (2006) (> 150 µg/mL), IC50 value of 200‐
1000 µg/mL otherwise still potential as an antioxidant (Molyneux, 2004).

% inhibition

Table 4. The average value of % inhibition of quercetin and RDFP‐AcOEt fractions
against the DPPH radical
SampleConcentration (µg/mL)
Average of %inhibition
Quercetin131.132
2
46.275
361.829475.568586.357
RDFP‐AcOEt Fraction
100
13.701200
23.455300
29.748400
42.963500
50,60160
50
40
30

y = 0.0933x + 4.1018
R² = 0.9904

20
10
0
0

100

200
300
400
Concentration (μg/ml)

500

600

Figure 3. The linear regression equation of RDFP‐AcOEt Fraction
3.5. Measurement of Maximum Wavelength and SPF (Sun Protection Factor)
value. Measurement of in vitro SPF value is done by determining the wavelength of
maximum absorption (λ‐max) by spectrophotometric method. UV‐Vis
spectrophotometer scanning performed at wavelengths between 260‐400 nm todetermine the maximum wavelength of RDFP‐AcOEt fractions at each concentration
into the range of UVA, UVB or UVC. The maximum wavelength KBNM‐AcOEt
fractions at concentrations of 5, 25, and 50 ug / mL known to reside in the UVB
range area (290‐320 nm), while the maximum wavelength KBNM‐AcOEt fractions at
a concentration of 100 pg / mL in the UVC range region (200‐290 nm) (Table 5).
The concentration of RDFP‐AcOEt fractions which were in the UVB range can becalculated the SPF value using a formula that has been developed by Mansur et al.
(1986). While the concentration of RDFP‐AcOEt fractions which were in the UVC
range is not necessary SPF value calculation because the UVC rays are radiation
which is not up to the earth's surface being absorbed by the ozone layer (McKinlay,
1987). The average value of the SPF in the UVB area of RDFP‐AcOEt fraction was
0.0069 ± 0.0071. According to Wasitaadmatdja (1997), the minimum SPF value of asunscreen or photoprotective agent is at least 2. Therefore, it can be said that the
RDFP‐AcOEt fraction concentration of 5, 25, 50 and 100 mg/L does not havephotoprotective potential. The low value of SPF on RDFP‐AcOEt fraction (<2)
suspected to be caused by the concentration of RDFP‐AcOEt fractions used is too276

low. According to Widyastuti et al. (2015), the concentration of ethanolic extract ofsuper red dragon fruit peel (Hylocereus costaricensis (FAC Weber) Britton & Rose)demonstrated effectiveness either as a sunscreen at a concentration of 900 ppm
with SPF value of 22.438, while at a concentration of 100 ppm of ethanolic extract ofsuper red dragon fruit peel does not show its effectiveness as sunscreen since the
SPF value of less than 2 or equal 1.419.
Table 5. The scanning of Maximum Wavelength of RDFP‐AcOEt Fraction
The maximum
Absorbance
Ultraviolet
Concentration
WavelengthArea(µg/mL)
(nm)
5
314
0.001
B
25
294
0.018
B
50
292
0.034
B
100
262
0.211
C
Conclusion
Ethylacetate fraction of an ethanolic extract of red dragon fruit peel (RDFP‐AcOEt)
containing flavonoids at 16.53 ± 0.36% w/w EQ is measured by the AlCl3 chelation
method and total phenolic content of 1493.46 ± 14.97 mg GAE/100 g which measured
by the Folin‐Ciocalteu method. Antioxidant potential of RDFP‐AcOEt fractions is weak by
the IC50 value that is equal to 491.94 µg/mL measured by DPPH method. SPF value
KBNM‐AcOEt fraction was 0.0069±0.0071. This indicates KBNM‐AcOEt fraction
concentration of 5, 25, 50 and 100 mg/L were tested using in vitro methods(spectrophotometry) does not have significant photoprotective potential.
Acknowledgements
We thank Institute of Research, Publications and Community Service ofUniversitas Muhammadiyah Yogyakarta for financial support through the Tridharma
enhancement grant 2015‐2016.
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279

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Effectiveness of Wound Cleansing Using Guava Leaves 20%
Infusion with Showering Technique 15 Psi Pressure toward thenumber of bacteria on Diabetic Foot Ulcer at Kitamura Clinic,
PontianakJaka Pradikaa, Yoni Astutib*, Novita Kurnia Saria Student of Master of Nursing Postgraduate Programme , Universitas Muhammadiyah

Yogyakarta, jalan Lingkar Selatan,Tamantirto, Kasihan, Bantul, DIY, Indonesia. 55183
b Master of Nursing Postgraduate Programme , Universitas Muhammadiyah Yogyakarta,

jalan Lingkar Selatan,Tamantirto, Kasihan, Bantul, DIY, Indonesia. 55183

Abstract
Wound cleansing is required to reduce the prevalence of Diabetic Foot Ulcer (DFU). Guava
leaves infusion has a lot of subtances that able to reduce the bacteria. This study todetermine the effect of wound cleansing using guava leaves 20% infusion with showering
techniques 15 Psi toward the number of bacteria on wound of DFU. This study used quasi
experimental. Sixty six respondents were divided into the infusion of guava leaves 20%
group (1), NaCl 0.9% group (2) and ozone water group (3). Each group was performed
cleansing wounds using the showering technique with 15 Psi. The sampling techniqueused was consecutive sampling to count the number of bacteria on DFU. Bacteria
collecting used swab method on 4 areas. To count the number of bacteria used bacteria
counter machine. Data was analysed by one way anova. The average of responden age(years old) were 54.45±4.758 (1), 52.09±4.638 (2), and 54.23±4.937 (3). The average ofbacteria number were (4.52 ± 2.66).107 (I), (4.06 ± 2.78 ).107, and (11.7 ±2.38 ).107. There
were significant difference of reducing the number of bacteria using NaCl (p=0.004),20% guava leaf infusion (p=0.010) and ozone ( p = 0,018).The most effective was 20 % guava
leaf infusion. The guava leaves infusion showed the most significant results in lowering
number of bacteria on DFU .
Keywords: Diabetic foot ulcers, Wound cleansing, Showering Technique, Infusion ofguava leaves 20%, number of bacteria

1.Introduction
Diabetic Foot Ulcer (DFU) was an effect of complication on cronic diabetic mellitus
and as the main cause of morbidity, mortality and defect of the patient with diabetic.The
main cause of DFU was neurophaty (sensoric, motoric and deficit of otonom), andischemic or both ( neuro‐ischemic) ( arwani, at al, 2014; Benbow and Steven, 2010)
The insidenci and mortality of DFU is always increase, due to the serious healthproblems that need well management. The good wound management consists ofcleansing, debridement and dressing were some ways to reduce mortality cause of DFU.
Wound Cleansing is the first step to cure the wound that maintain the woundcleanliness, release the debris, to minimize of bacterial number and to facilitate wound280

recovery (Yusuf, et al, 2011). Wound Cleansing consist of the methods how to spreadsolution and the kind of solusion for cleansing. The esiest and the effective cleansing
technic is showering meanwhile for the solusion used to NaCl 0.9%.The solusion NaCl
0,9% was physiologic solution, it wasnot irritate and untoxic to tissue but NaCl 0.9%. did
not has antibacterial effect. NaCl 0.9%. were not the best solusion for DFU with infection(Atiyah, et al,2009).
Kitamura Pontianak is the clinic to cure the DFU, using showering technic to clean the
DFU but there was not measurable standart pressure and used NaCl 0.9% as cleaning
solution. This study conducted to addresses the showering technic with 15 psi as an
optimum pressure on DFU and to explore an alternative solution contain antibacterial tothe bacterial number on DFU. This study use guava leaves infusion 20 %. Guava leaves
contains anti microbial, anti inflammation, and analgesic ( Baronski and Ayello, 2003).
Research Methods
This research was an experimental research. There were 66 patients with DFU at
Kitamura clinic. This research consists of 3 groups, groups 1 treated with guava leaves
infusion 20 % (22 patient), group 2 treated with ozone (as positive groups. 22 patients)
and groups 3 treated with the NaCl 0.095 % (as negative groups, 22 patient). Woundcleansing is conducted one times per 2 days. The bacteria was swabbed 4 areas on thewound. And the bacteria number measured with bacteria counter machine.
The Data were analysed using one way annova.
Result and Discussion
1. The characteristic of subject
Group 1Group
Group
Characteristic of subject
(N)
2 (N)
3 (N)
Total
Sex
Male
11
9
10
30
Female1113
12
36
Smoking history
Yes
4
8
8
20
No
18
14
14
46
Group 1: Guava infusion treatment
Group 2; ozone treatment
Group 3: NaCl treatment
The characteristic of subject was listed in table 1. Female was bigger number thanmale. Women has estrogen much more than man and monthly has hormone cyclus . The
unstable hormon could induce high risk of wound. The incidence of DFU higher on themenopause women . Degeneration of estrogen induce neurophaty (Hardman andashcrft,2008). Eestrogen fasilitate respond of inflamation, maintain lipid and cholesterol,manage insulin and regulate apoptoiss stem cell that determine cell life and tissue growthduring wounded .
Most of subject were not smoking (70 %). Smoking was one of the risks that
inhibited recovery process but the exact mechanisme of smoking patophisiology was notdetermine yet. Thought the free radical from the tobacco or smoke was contribute to theworse wounded.

281

2. Age and Blood glucose
2.1.Age
The average of age and blood glucose on each groups was listed on table 2. The
average of age on groups 1 was (54.45±4.758) years, groups 2 was (52.09±4.638) years
and groups 3 (54.23±4.937) years. All subject were elderly. There were not significant
different between the groups (p> 0.05). People in age more than 45 y.o entrance to theDM risk (Anonim,2007). The Age is one of the factors influenced the health progressing.
During the degerative process cell and organ has decreasing functional. On this age, theapetite was decrease, result on low nutrision, rest time was decrease, and stress effect ofwound increase, and the capability to wound self curing was decrease.
Blood sirculation, oxygen distribution to the wound, blood clotting, inflammation
respond, and fagocytosis were demaged at the aging process due to high risk for infection
during the wound curing (Mogford,et al,2008 a; anonym,2009).
Table 2. The average of age and blood glucose on the groups
VariabelGroup 1

Group 2

Group 3

Mean±SD

Mean±SD

Mean±SDAge ( years)

54.45±4.758

52.09±4.638

54.23±4.937

Bloodglucose(gr/dl)

156.09±74.172

173.23± 73.439

188.14±72.509

P
value
P>0.05
P>0.05

Group 1: Guava infusion treatment
Group 2: ozone treatment
Group 3: NaCl treatment
2.2. Blood Glucose
The average of blood glucose at all the groups were around 140‐<200 mg/dl. The
increasing of blood glucose along time and unwell treated will increase the blood viscosityand cause the decreasing of oxygen and some important nutrients that needed by thewound tissue (LeMone and Burke,2008). The decreasing of blood flow and oxygen supply
to the neuron was a acause the neuropathy (Sukarni,2015).
The high blood glucose on the subject were influenced by some factor that we did
not control well, such as, diet, medicine, stress. The diet was depend on the family menu.
There werenot certain menu for the patient.The expense for wound managemen andcheck blood glusose were expensive for them induce some stresses.
3.The bacteria number
Table 3. The average of bacterial number on the groups
Variabel
Bacteria
number (percm2)

Group 1

Group 2

Group 3

Mean±SD

Mean±SD

Mean±SD(4.06 ± 2.78).107(11.7 ±2.38) .107

P value
P <0.05(4.52 ± 2.66).107

Group 1: Guava infusion treatment
Group 2; ozone treatment
Group 3: NaCl treatment
The average bacterial number on group 1 was (4.52 ± 2.66) .107, groups 2 was (4.06± 2.78).107 and groups 3 was (11.7±2.38).107, the p value < 0,05. There was significant
282

different between guava infusion treatment and NaCl treatment, also ozon treatment and
NaCl treatment. There was not significant between Guava treatment and Ozone treatmentp>0.05.
The average of bacterial number more than 105, this meant an infection on the woundof FDU (Benbow and Steven,2010). The infection was caused by the low immunity, micro
and macro angiopathy due to lack wound tissue perfusion. This result on prolong of
inflammation and disturb epitheliazation, contraction and collagen deposit. Besideischemic result in lower circulation induce the vascular damage result in decreasing toagainst the infection agent.
Ozone solution able to oxidize many kind of bacteria, fungus, spore, yeast, and otherorganic substance. The effect of ozone solution to bacteria, was disturbing the capsule ofbacteria by oxidising phospholipid and lipoprotein, then penetrate to inner membrane, tochange the structure of DNA result in closed DNA due to inhibit the proliferation ofbacteria, disturbing some bacteria metabolism.
Beside ozone improve oxygen distribution and release growth factor that needed toreduce ischemia and increase the wound recovery (Dewiyanti et al,2009). The increasingof bacterial number reflected the cleanliness level of the wound. Wound dressings
sometimes was wet and unclean . The high moist dressing was a good media for bacteria
to grow. Teatment using guava infusion 20 % were decreasing the bacterial number ,almost the same effect to the positive control group ( Ozone treatment). Ozone was astrong oxidant after flour, and could kill some bacterias by breaking bacteria protein
chain. Ozon was used to kill virus and bacteria in event air and watering media. Ozone isused as cleaning solution via ozonaizer machine but it was expensive (Usada andPurwadi,2007).

number of bacteria x 100000000

Picture 1. The average of bacterial number on the groups

The Bacteria Number on the groups
14
12
10
8
6
4
2
0
Group 1

Group 2

Group 3

Group 1: Guava
Group 2: Ozone
Group 3: NaCl

Picture 1 showed that Guava 20% infusion almost have the similar effect with ozone
solution to clean the wound. Guava infusion 20 % have the significant effect caused bynatural antimicrobial in it. The antimicrobial inhibited bacterial gram positive growth bybreaking cell membrane. Guava infusion contain some beneficial subtances such as
flavonoid, tanin, alcaloid, glucosida, saponin and steroid/terpen.
Based on in vitro research guava infusion able to inhibit the growth of some bacteria thatfound on the DFU wound such as Staphylococcus aureus, Streptococcus mutans,283

Pseudomonas aeruginosa, Salmonella enteritidis, Bacillus cereus, Proteus spp., Shigella spp.
and Escherichia coli.
Conclution
The guava leaves infusion 20% as an potential alternative cleaning solution for curing
the DFU wound.The guava leaves 20% has similar effect to reduce the bacterial number
with ozone solution.

References1.

Arwani., Siswanto, P., & Sugijana, R.(2014). Perbedaan tingkat perfusi perifer ulkus kaki
diabetik sebelum dan sesudah olahraga pernafasan dalam di ruang wijaya kusuma rsud dr. R.
Soeprapto cepu. In prosiding seminar nasional (vol. 2, no. 1

2.

Atiyeh, B.S., Dibo, S.A. and Hayek, S.N. (2009). Wound cleansing, topical antiseptics and woundhealing. International wound journal, 6(6), pp.420‐430.

3.

Baranoski, S., & Ayello, E., A. (2003). Wound Care Essentials : Practice Principles. United Statesof America : Lippincott Williams & Wilkins.

4.

Benbow, M. and Stevens, J.(2010). Exudate, infection and patient quality of life. British Journalof Nursing. 19(20), p.30.

5.

Departemen Kesehatan RI. (2007). Rises Kesehatan Dasar (Riskesdas) 2007. Jakarta: Laporan
Nasional.

6.

Dewiyanti, A., Ratnawati, H., dan Puradisastra, S. (2009). Perbandingan Pengaruh Ozon, Getah
Jarak Cina (Jatropha Multifida L.) dan Povidone Iodine 10% terhadap Waktu Penyembuhan
Luka pada Mencit Betina Galur Swiss Webster . Bandung: Universitas Kristen Maranatha.

7.

Handayani, T. N. (2010). Pengaruh Penegelolaan Depresi Dengan Latihan Pernafasan Yoga
(Pranayama) Terhadap Perkembangan Proses Penyembuhan Ulkus Kaki Diabetikum Di
Rumah Sakit Pemerintah Aceh. Tesis. Jakarta: Universitas Indonesia.

8.

Hardman, M.J. and Ashcroft, G.S. (2008). Estrogen, not intrinsic aging, is the major regulatorof delayed human wound healing in the elderly. Genome biology, 9(5), p.1.

9.

LeMone, P & Burke, R. (2008), Medical surgical nursing critical thinking in client care (4th.ed),
Upper Sadle River‐New Jersey, Pearson Prentice Hall.

10. Mogford, J.E., Sisco, M., Bonomo, S.R., Robinson, A.M. and Mustoe, T.A.(2008). Impact of aging
on gene expression in a rat model of ischemic cutaneous wound healing. Journal of SurgicalResearch, 118(2), pp.190‐196.
11. PERKENI (2009). Pedoman Penatalaksanaan Kaki Diabetik. Jakarta: Perkeni.
12. Sukarni. (2015). Efektivitas muscle stimulator terhadap penyembuhan luka di Klinik
Kitamura Pontianak. Tesis. Bandung: Universitas Padjajaran.
13. Usada, W. and Purwadi, A. ( 2007). Prinsip Dasar Teknologi Oksidasi Maju: Teknologi Hibrida
Ozon Dengan Titania. Ganendra IPTEK Nuklir, 10(2).

28414. Yusuf, S., Okuwa, M., Shigeta, Y., Dai, M., Iuchi, T., Rahman, S., & Sanada, H. (2011).
Microclimate and development of pressure ulcers and superficial skin changes. International
wound journal, 12(1), 40‐46.

285

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

RELATIONSHIP BETWEEN URIC ACID LEVELS AND RISK FACTORIN HYPERTENSIVE PATIENTIka Setyawatia, Syarif Maulanab
aDepartment of Biochemistry, Faculty of Medicine and Health Science,

Universitas Muhammadiyah Yogyakarta
bStudent of Medical and Health Science Faculty of Universitas Muhammadiyah

Yogyakarta
Abstract
Background: Hypertension is a major health problem in both the developed anddeveloping countries. The prevalence of hypertension in Indonesia according to thebasic health research in 2013 was 25,8% while the prevalence in Yogyakarta was 25,7%.
Hypertension is a risk factor of myocardial infarct and CVA (cerebrovascular accidents).
Cardiovascular disease is the leading cause of death worldwide.
Method: This research was an analytic observational study with cross sectional
approach. It has been conducted at PKU Muhammadiyah Hospital of Gamping fromMarch – 24 March 2016. Subjects were obtained using total sampling method. The
researcher used medical records to determine the uric acid level and blood pressure.
There were 41 samples that were analyzed in this study.
Result: This study shows (1) there is no significant impact between uric acid levels
towards systolic blood pressure (p=0.817) and uric acid levels towards diastolic bloodpressure (p= 0.274), (2) the systole and diastole blood pressure has a positive
correlation with the uric acid levels, the systole has a very weak correlation (r=0.037)
and so does the diastole (r=0.175).
Conclusion: There is no relationship between uric acid levels and risk factor in
hypertensive patient.

Keywords
Keywords: Uric acid levels; hyperuricemia; blood pressure; hypertension.
* Corresponding author. Tel.: +6281392201984; fax: +62274387646
E‐mail address: ikasetyawati.dr@umy.ac.id286

1. Introduction
Hypertension is a major health problem in both the developed and developing
countries. According to the survey that is conducted by World Health Organization(WHO) in 2010, approximately 40% of population aged over 25 years old are diagnosed
with hypertension.
According to the result of basic health research conducted by Research andDevelopment Ministry of Health Republic of Indonesia (Riskesdas) in 2013,
approximately 25,8% population aged over 18 years old are diagnosed withhypertension. According to the WHO in 2014, of 56 million deaths worldwide, about 38
million (68%) are due to four Non‐Communicable Diseases, which are: cardiovasculardisease, cancer, diabetes, and chronic pulmonary disease. Cardiovascular disease is theleading cause of death worldwide of 17,5 million (46%).
Hypertension is a disease that nowadays is more common to be found inIndonesia, especially in big cities. Hypertension has a direct risk factor to myocardial
infarct and CVA (cerebrovascular accidents) (Tambayong, 2000). The hypertension is
hard to be cured but it can be controlled to a normal range (Sidabuntar et al, 1991).
Hypertension is a condition where the systolic blood pressure ≥140 mmHg anddiastolic blood pressure ≥90 mmHg (Sidabuntar et al, 1991). The measurement scale isnominal. Results categories are hypertension and normotensive. Blood pressure
measurement is done by using spigmomanometer cuff wrapped around correspondent's
upper arm, the stethoscope is placed over the brachial artery just bellow the cuff's edge.
While listening with the sthetoscope,inflate the cuff until the heart sound is disappear
and then inflate again at about 30 mmHg more and then release air from the cuff at amoderate rate. The first knocking sound is the systolic pressure and when the knocking
sound disappears, that is the diastolic pressure (Muttaqin,2009).
The uric acid levels is level of uric acid in a serum. The normal rate of uric acidlevels for male is 7,0 and below whereas for female is 6,0 mg/dL and below. The
measurement scale is nominal. Results categories are hyperuricemia and normal(Chernecky, C & Berger, B., 2012).

2. Material and Methods
This research was an analytic observational study with cross sectional approach.
This research aimed to study the dynamics of relationship or correlation between risk
factor and its impact. The researcher used medical records to determine the uric acidlevel and blood pressure. There were 41 samples that are analyzed in this study.
Inclusion criteria in this study are in patients in RS PKU Muhammadiyah
Gamping from the period of January 2014 ‐ December 2015, both males and females
aged 30‐90 years that are suffering from hypertension and had been conducted the uricacid measurement. Whereas the exclusion criteria are pregnant women, diabetes
patients, and renal failure patients.
Data collection was obtained from medical records in RS PKU Muhammadiyah
Gamping. Data retrieved from medical records include patients identity, blood pressure
measurement, uric acid levels, and patients history.

3. Result and Discussion
1.1 Study Sample Characteristic
This study has been conducted in RS PKU Muhammadiyah Gamping from 8
March – 24 March 2016. Samples used in this study were obtained as a secondary datafrom medical records from the period of January 2014 – December 2015. Using total
sampling method, there were 41 subjects that are suffered from hypertension consist of287

20 males and 21 females. Out of 41 subjects, 11 subjects were having hyperuricemia and30 others were normal. Subject characteristic can be seen further as followed.
Table 1. Sample Distribution Based on Age in Hypertensive Patients
Number
Percentage
Age
7.32 %< 40 y.o314
34.14 %
40‐60 y.o≥ 60 y.o
Total

24
41

58.54 %
100 %Table 1 shows the prevalence of hypertensive patients increases with age. This sample
study shows that hypertensive patients mostly in the age group ≥ 60 years.
Table 1 shows the distribution of hypertensive patients according to age group.
Ages has main role in hypertension prevalence. The risk for hypertension increase withage (Rahajeng E, Tuminah S, 2009). This result is consistent with the result from basic
health research conducted by Research and Development Minsitry of health Republic ofIndonesia in 2013 that declared that prevalence of hypertension based on measurementby paramedics is increased with age.
Table 2 Sample Distribution Based on Sex and Uric Acid Levels
Normouricemia
Percentage
hyperuricemia
Sex1155.00%
9Male
19
90.48%
2
FemalePercentage
45.00%
9.52%

Table 2 shows that the percentage of patients with hyperuricemia is higher in male with
the number of 55,00% compared to the female which is only 9.52 %Table 2 shows percentage of hypertensive patients that also has hyperuricemia ishigher in male group compared to the female group. The same results also can be foundin a research done by Rahman in Ain Shams University Hospital in 2014. Uric acid levels
are higher in men because it tends to increase along with age.
Women have estrogen that helps the excretion of uric acid trough urine so thatthe uric acid levels in women begin to increase when they have menopause (Igrisa,V.J,
2015). The relationship between high uric acid levels with age is due to change of renal
function that unable to remove uric acid adequately.
1.2 The Effect of Uric Acid Levels Towards Hypertension
The result of uric acid levels and blood pressure measurement obtained fromcorrespondents were then processed using SPSS. Simple linear regression test was usedin this study to determine the relationship between uric acid levels and hypertension. To
perform the normality test this study used Shphiro‐Wilk statistic test because thesamples in this study are less than 50, which were only 41 samples obtained.
After normality test was conducted, simple linear regression test was used to
predict the impact of independent variable towards the dependent variable. The impact
can be seen by comparing significanr value with probability value (0.05) and also thenumber of coefficient regression (b). The independent variable in this study is uric acidlevels whereas the dependent value is hypertension (systole and diastole bloodpressure).

288

Table 3 The result of Simple Linear Regresion test. The relationship Between Uric Acid
Levels and Blood Pressure (SBP and DBP).
Variable

p

b

TDS

0.907

0.168

TDD

0.108

1.376

From table 3, it determines the significant value of uric acid levels towards systolicblood pressure ( p = 0.907) and uric acid levels towards diastolic blood pressure ( p =0.108). It shows that there is no strong relation between independent variable anddependent variable in this study. The result of coefficient regression indicate any
addition of 1mg/dL uric acid levels will increase systolic blood pressure up to 0.168 anddiastolic blood pressure up to 1.376.
Regression test in this study shows that there is no significant impact of uric acidlevels to hypertensive patients both in systolic blood pressure and diastolic bloodpressure. The result is proved by the table P value > 0.05, which is p= 0.817 in systolicblood pressure and p= 0.274 in diastolic blood pressure. More specifically it can be seenfrom coefficient regression value. The result of coefficient regression indicate any
addition of 1mg/dL uric acid levels will increase systolic blood pressure up to 0.168 anddiastolic blood pressure up to 1.376.
The results of this study are not consistent compared to the results obtained by
Mustazifah in 2010 which stated that patients wih hyperuricemia have 16 times more
likely to suffer hypertension compared to those who have normal level of uric acid andthere was a significant relationship between hyperuricemia and hypertension with pvalue p = 0,001.
More specific study that had been conduct by Korea Association of Health
Promotion suggest that there is no significant relationship between uric acid levels andblood pressure both in men and women aged ≥ 60 years (men p= 0.05; women p= 0.12).
The relationship between uric acid levels and blood pressure are known frommany studies. But the relationship between uric acid levels and blood pressure indifferent age groups can not be explained yet.
In another study identifying the relationship between uric acid levels and bloodpressure, it was found that the risk of hypertension is increased up to 13% with every 1
mg/dL of uric acid levels increasing, and this was more clearly to be found in younger
individu and in women group (Grayson et al., 2011). The increasing of uric acid levels issignificant in some conditions such as obesity, dyslipidemi, diabetes, smoker, andindividu with decreased renal function in the progression of hypertension.
1.3 Relationship Between Uric Acid Levels and Hypertension

To determine the relationship between uric acid levels and hypertension thisstudy used correlation test to identify the closeness relationship held between
variables. The closeness relation in this study means the relationship between uricacid levels and blood pressure both systole and diastole. The decision made based on
the spearman correlation test by comparing the significant value with a probability
value (0.05). Whereas to determine the closeness relationship held between variables
that are tested is views on the correlation coefficient value.
Table 4 The result of Spearman Correlation Test
Variable

P

R

SBP

0.817

0.037

DBP

0.274

0.175
289

According to the correlation test results table based on decision making it can beconclude that there is no significant relationship between both uric acid levels andsystolic blood pressure (p = 0.817) and diastolic blood pressure (p = 0.247). Based on
spearman correlation test, it is identified that correlation coefficient of uric acid levels
and systolic blood pressure (r = 0.37) and uric acid levels and diastolic blood pressure(r = 0.175), this value indicates that there is almost no relationship at all between bothuric acid levels and systolic blood pressure and diastolic blood pressure.
Table 4 shows that uric acid levels barely has a correlation with both systolic(p=0.817; r= 0.037) and diastolic (p= 0.274; r= 0.175) blood pressure. Similar finding
also can be seen in study done by Mustafiza (2010) that stated uric acid levels has
moderate correlation with systolic blood pressure (p<0.001, r=0.619) and weakcorrelation with diastolic blood pressure (p<0.001, r=0.460) it indicates that the higher
uric acid levels the higher systolic and diastolic blood pressure.
Another study stated that there is a positive correlation between uric acid withsystolic (p=0.001, r=0.269) and diastolic (p=0.046, r=0.153) blood pressure (Feigh et al.,2008). The increase in blood pressure just like in hypertension condition will reduce
blood flow to the kidney. low renal blood flow will stimulate the reabsorption of uricacid. In other hand, with increase of blood pressure the risk of mycrovascular disease
will also increase that can lead to tissue ischemia. After that the ischemia itself will cause
the release of lactate and increase the production of uric acid. Lactate inhibits secretionof uric acid by blocking organic anion transporter in distal tubules. The decrease of uricacid's secretion also caused by reduced amount of uric acid that is delivered to renal
secretory tubules. Increased production of uric acid occurs due to ischemia that caused
breakdown of ATP into adenosine and xanthine which are former product of uric acidformation. As a result, the level of uric acid increase.

4. Conclusion
This study conclude that there is no relationship between uric acid levels andrisk factor in hypertensive patient.

References
Badan Litbang Kesehatan Kemenkes RI. (2013). Riset kesehatan dasar 2013.
Chernecky, C & Berger, B. (2012). Laboratory Tests and Diagnostic Procedures. USA : Saunders.
Feigh, D. I., Johnson, R. J., & Kang, D.‐H. (2008). Uric acid and cardiovascular risk. N Engl J Med,
359 (17), 1811‐1821.
Igrisa, V. J. (2015). Pengaruh Kompres Air Hangat Terhadap Penurunan Nyeri Penderita Gout
Artritis pada lansia. Gorontalo : UNG.
Muttaqin, A. (2009). Pengantar asuhan keperawatan dengan gangguan sistem kardiovaskular.
Jakarta: Salemba Medika.
Rahajeng E, Tuminah S. (2009). Prevalensi Hipertensi dan Determinannya di Indonesia. Jakarta:
Pusat Penelitian Biomedis dan Farmasi Badan Penelitian Kesehatan Departemen
Kesehatan RI, Jakarta.
Sidabuntar, R., & P, W. (1991). Ilmu penyakit dalam. Jakarta: Balai Penerbit FK‐UI.
Tambayong, J. (2000). Patofisiologi untuk keperawatan. Jakarta: EGC.
World Health Organization (2010). Global Status Report on Noncommunicable disease.
Switzerland: WHO.

290

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

The Effect of Ethanolic Extract of seeds of pumpkin (Cucurbita
moschata) on Bone Calcium Levels in Ovariectomized Rat
Sri Tasminatuna, Nuryantia, Alfaina WahyunibaPharmacy Study Programme, Faculty Medicine & Health Science ,Universitas

Muhammadiyah Yogyakarta 55183, Indonesia
b Medicine Science Study Programme, Faculty Medicine & Health Science Universitas

Muhammadiyah Yogyakarta 55183, Indonesia

Abstract
This study outlines the effects of the ethanolic extracts of pumpkin (Cucurbita moschata)
seeds on the bone calcium levels in ovariectomized (ovx) osteoporisis rat models.
Thirty of 8‐weeks‐old female Sprague–Dawley rats were randomly assigned to six
groups: Normal, OVX, OVX‐Estradiol, OVX‐ECM 100 mg/kg BW, OVX‐ECM 200 mg/kg
BW, OVX‐ECM 400 mg/kg BW for 30 days. The administration of ECM and estradiol was
given orally using a stomach tube. It is on the 31st day since the bones of femur and tibia
rat were isolated. The isolated bones were analyzed using wet destruction and the bone
calcium levels were measured using the AAS. The bone calcium level were tested
statistically using one way ANOVA. The average of bone calcium levels for each group:for the normal group is 18.30 + 3.17%, OVX 16.44 + 3.93%, OVX‐Estradiol 16.59 +
2.63%, and for the group of OVX‐ECM dose 100, 200, 400 are 17.79 + 2.88%, 18.90 +2.14 %, and 18.28 + 3,76% respectively. The conclusion is that the treatment of seeds of
pumpkin (Cucurbita moschata) with the different dose of 100, 200, and 400 mg/kg BW
for 30 days increase the bone calcium level in the ovariectomized rats. According to thestatistical data, there was no significant differences among the treatment groups.

Keywords
Calcium ; Cucurbita moschata; Ethanolic Extract; seeds ; ovariectomized* Corresponding author.
Tel.: +628997771645; fax: 62274387658.
E‐mail address: sri.tasminatun@umy.ac.id

1. Introduction
Osteoporosis is a multifactorial progressive skeletal disorder characterized by
reduced bone mass and deterioration of bone microarchitecture, predisposing it toincreased fracture risk (Singh, et al., 2013). In the multinational European Vertebral
Osteoporosis Study, the prevalence of vertebral deformities was similar among men andwomen at ages 65‐69 years (12‐13%). Approximately 40 in 100 women will experience291

one or more fractures after the age of 50 years. At 50 years for women the lifetime risk
is 17.5% for hip fracture, 16% for vertebral fracture, and 16% for Colles' fracture (Lips,
1997).
Menopause is a condition of the ovariums failure to produce estrogen. Estrogen
hormone has a contribution to help the the calcium absorption in the intestine tomaintain the bone density. Estrogens have been shown to be essential for maintaining asufficiently high bone mineral density and ER alpha expression has been demonstrated
in bone cells. The decreasing of the calcium absorbtion will disrupt the balance of thecalcium in the blood because the low blood calcium may lead to the increasing of thecalcium reabsorption in the bone and causes low bone mass. The decreasing of thecalcium level in the bone due to estrogen deficiency called postmenopausal osteoporosis(Lane, 2001; Arts ,et al., 1997)
The injection of the hormone to substitute the estrogen (Estrogen Replecement
Therapy‐ERT) is commonly given to the menopause women to overcome the symptomsof post‐menopause and to prevent chronic disease such as osteoporosis (Depkes RI,2008). The mixture of the synthetic estrogen given as the therapy to substitute thehormone is expensive also it has the effects of adverse. Synthetic estrogen can interfere
the blood clotting process, disturb the action of enzyme in the liver, causing endometrial
uterine bleeding, nausea and vomitting The use of synthetic estrogen continuously cancause carcinoma ovarium. Besides, the use of estrogen and progesterone as the hormone
replacement therapy can also be the risk of the breast cancer (Gang, et al., 1999 ; Ross, etal, 2000) Therefore, further exploration of alternatives and/or adjunctive approaches
that can produce clinically relevant prevent bone loss like in osteoporosis would beinterest. Non‐hormonal theraphy or natural product therapy may more acceptable forthe treatment and prevent osteoporosis.
The existence of the side effects of the hormonal therapy. It is wiser to use
phytoestrogen therapy as the alternative for the menopause women because it is saver(Rimoldi, et al., 2007). Phytoestrogens are estrogen‐like compounds found in a wide
variety of plants. Studies performed in vitro and using animal models report that thesesubstances bind the estrogen receptor and exert hormonal and antihormonal effects(Kurzer, 2003). Accumulating evidence from reseach suggests that phytoestrogens may
potentially confer health benefits related to osteoporosis and osteoporotic fractures(Tham, et al., 1998)
One of the plants that contain phytoestrogen substance is the seeds of pumpkin(Cucurbita moschata). The C moschata has phenolic glycoside phenylcarbinyl 5‐O‐(4‐hydroxy)benzoyl‐beta‐D‐apiofuranosyl
beta‐D‐glucopyranoside,
1‐O‐benzyl[5‐O‐
benzoyl‐beta‐D‐apiofuranosyl]‐beta‐D‐glucopyranoside, and cucurbitosides (Li, et al.,2009 ; Koike, et al, 2005). However, the estrogenic effect of phytoestrogen especiallythe effect on bone calcium level the from C moschata have not been investigated. This
research aims to determine the effect of ethanolic effect of C moschata seeds on the bone
calcium level in the ovariectomized rats.

2. Research Method
2.1 Plant and Chemical Materials
Seeds of pumpkin (C moschata)used in the present study were collected from
Salatiga Indonesia and authenticated at the Laboratory of Plant Taxonomy, The FacultyofBiology, Gadjah Mada University, Yogyakarta, Indonesia. Concentrated nitric acid292

solution, Perchlorate acid solution, distilled water and Calcium Carbonate were obtained
from LPPT Gadjah Mada University, Yogyakarta, Indonesia
2.2 The Preparation of Ethanolic Extract of seeds of pumpkin (C moschata)
The dried powders of seeds of pumpkin (C moschata) were extracted by maseration
using ethanolic 70%. The ethanolic extracts were evaporated to obtain the concentrated
extract.
2.3 Animals
Female Sprague–Dawley rats, aged 6 week, were purchased from Faculty of
Medicine, Gadjah Mada University, Yogyakarta, Indonesia. The animals were grouped
and maintained under the standard laboratory conditions with dark and light cycle(12/12 h) and allowed free access to commercial pellet diet and water ad libitum.
2.4 Administration Procedure
Rats were acclimatized to laboratory condition for 1 week before thecommencement of the experiment. Ovariectomized rat were done to all experimental
animals except to the normal group. Animals were assigned to the experimental groups: normal, OVX, OVX‐Estradiol, OVX‐ECM 100 mg/kg BW, OVX‐ECM 200 mg/kg BW, OVX‐ECM 400 mg/kg BW, with five animals per group, per experiment. Twenty days after
ovariectomized rat, all of the rats were allowed to the controlled access to a commercial
standard pellet and to deionized water ad libitum for 20 days.
The extract of C moschata tuber was given orally once a day during 30 days and thedoses are 100 mg/kg BW, 200 mg/kg BW, and 400 mg/kg BW to the experiementalgroup of OVX‐ECM. The group of OVX‐Estradiol was given estradiol with the dose of 2
µg/day, and the control groups and OVX did not get any treatment. On the 31st day, therats were sacrificed and their thigh bones are taken to process measurement of bone
calcium level.
2.5 The Measurement of Bone Calcium Level Using the Atomic Absorption
Spectroscopy(AAS)
The isolated bones were weighted to find out the weight of the bones. The sample ofthe isolated bones that had been weighted was to be destructed by using 15 ml HNO3
and 3 ml HClO4, and heated until the bones dissolve in the solution and the solution
became clear. The destruction was continued until +3 ml left, then added 25 ml ofdistilled water to it. The solution of the sample was filtered and diluted using thedistilled water until 100 ml. The sample as the result of destruction process was ready to
be read at the absorbance part using the AAS at the wavelength of (λ) 422,7 nm. The
result of the reading then was compared with the standard curve, therefore came up thelevel of bone calcium in mg/dl or ppm.The standard curve is the result of the absorbancemeasurement from several series dilution from calcium standard dilution. The
concentrations of carbonic calcium (CaCO3) that was used as the standar solution are 0;0,05; 0,1; 0,2; 0,5; 0,8; 1; 2; 3; 4; and 5 mg/L. The result of standard solution absorbancemeasurement would create the similarity on the linear lines that were used to find out
the calcium level of the ovariectomized rat bones that were used as the sample.
2.6 Data Analisis
The bone calcium level data from the animal experiments were expressed as themean ± SD. The statistical significance of differences between the groups were assessed293with a one‐way ANOVA,
significant differences.

p values of less than 0.05 were considered to indicate

3. Result and Discussion
The average of bone calcium level was gained from the measurement of bone
calcium level in rats (Rattus norvegicus) Sprague‐Dawley strain ovariectomized model.
Those rats were given the teraphy of etanolic extract of seeds of pumpkin (Cmoschata)and measured of bone calcium level with AAS methods. The result is shown in
Table 1.
Table 1.The average of bone calcium level.
No
1.
2.
3.
4.
5.
6.

Group
NormalOVXOVX‐Estradiol
OVX‐ECM100mg/kg BW
OVX‐ECM200 mg/kg BW
OVX‐ECM400 mg/kg BW

Bone calcium level % + SD
18.30 + 3.17
16.44 + 3.93
16.59 + 2.63
17.79 + 2.88
18.90 ± 2.14
18.28 ± 3.76

Ovariectomy is a process to take away the ovarium in order to make the model
rats become menopause. The assumption is that after the ovariectomy, the rats will
experience the decreasing of estrogen hormone and it is similar to the hormone
deficiency in menopause women. The decreasing of the estrogen hormone after theovariectomy because the ovarium as the hormone producer is alredy been removed. The
decreasing of estrogen hormone in the animal model is proven by Hartiningsih et al.,(2010) who explains that the ovariectomy in rats can decrease drastically the estrogen
hormone level, so the condition is similar to menopause.
The bone calcium level is different between normal group and OVX group. The
normal rat treatment group is the groups that have normal ovarium and they still
produce estrogen endogen hormone. The average of bone calcium level at the normalgroup is 18.30%, and it is higher than OVX group, 16.44%. Although the difference is not
significant based on the statistic analysis. The decreasing of bone calcium in the OVX
group is to prove that that estrogen deficiency in the ovariectomy rats also decrease thebone calcium level (Nurrochmad et al., (2010) also state the same result .
Estrogen endogen deficiency in the menopause women can lead to theincreasing of osteoclastogenesis process and the loss of bone mass. In order to keep the
estrogen balance, menopause women need to get substitute for the estrogen hormone.
Estrogen intake can increase the apoptosis of osteoclasts as it hinders the formation ofcytokine that can stimulate the osteoclasts differentiation (IL‐1, IL‐6, dan TNF‐α).
Besides, the estrogen intake can also stimulates the osteoprotegerin (OPG) expression
and TGF‐β (Transforming Growth Factor‐β) from the osteoblast and stroma cells, so theprocess can hamper bone resorption (NOS,2010 ; Kennedy et al., 2008). It is in line withthe result of calcium level in OVX‐Estradiol, which get the Estradiol therapy. The averageof the calcium level is 16.59% and it is higher than the OVX group.
The administration of ECM 200, 400 and 800 mg/kg BB effectively prevented OVX‐
induced lowering calcium bone level. ECM is phytoestrogens from seed C.moschataagent containing isoflavones types of phenolic glycosides. Phytoestrogens have twohydroxyl (OH). OH group that is the basic structure of a substrate in order to have
estrogenic effects, so it is able to bind to estrogen receptors. The chemical structure ofphytoestrogens have similar chemical structure to estrogen in mammals. Isoflavones are294

phenolic ring on important structures in the majority of isoflavone components which
serve to bind to the receptor estrogen (Hartiningsih,et al., 2010).
The mechanism of bone resorption which is mediated by osteoclast will damage thebone mineral crystals ligament that have the form of calcium phosphatase with thecollagen matrix. The interaction of osteoclast with the bone surface during the processof resorption not only release some acids (for example citrit acid, lactat acid) from themitochondria and secretory vesicles, but also release the hydrogen ions throughcarbonic anhidrase dan vacuolar ATPase pompa proton channel. This condition creates
acidic environment at the resorptive pit that cause the damage on the bone matrix.
Osteoblast cells have a role to secret the bone matrix component like collagen andproteoglycan. Collagen has function to give strength to matrix and binding the bonemineral salt. Proteoglycan has function to deposite the bone mineral (Hartiningsih,et al.,2010)
Calcium and phosphate salts are deposited on the surface of the bone maker cells
as the non‐crystal compound which then are converted into hydroxyapatite[Ca10(PO4)6(OH)2] of the bone major crystal salt. The function of hydroxyapatite is tokeep the ion and give strength to the bone. Some hydroxyapatites stay in the form of
non‐crystal to fascilitate the fast absorption when needed (Prabowo, et al, 2014)
The averages of bone calcium level from the treatment rat group of OVX‐ECM 100;
200; 400 are 17.79%; 18.90%, 18.28% respectively. The averages are higher than OVX
and OVX‐Estradiol groups. The intakes of C moschata seeds extract for 30 days giveeffect to the increasing of the calcium level but it was not statistically significant. Thiseffect seems to be proestrogenic compound, which suppress bone resorption by directly
acting on estrogen receptor in bone sites.

4. Conclusions
The administration of ethanolic extract of seeds of pumpkin (Cucurbita moschata)doses 100; 200; and 400 mg/kg BW during 30 days increase the bone calcium level inthe ovariectomized rats. According to the statistical data, there was no significant
differences among the treatment groups.

Acknowledgements
A sincere appreciation to the Research Grant of Directorate General of Higher
Education Ministry of Research, Technology and Higher Education Republic ofIndonesia which have funded this research.

References
Arts J. Kuiper GG. Janssen JM, Guatafsson JA, Lowik CW, Pols HA, van Leeuwen JP. (1997).
Differential expression of estrogen receptors alpha and beta mRNA during differentiationof human osteoblast SV‐HFO cells. Endocrinology. 138(11) : 5067‐70.
Departemen Kesehatan Republik Indonesia.(2008). Osteoporosis Control Guidelines (Pedoman
Pengendalian Osteoporosis). Keputusan Menteri Kesehatan Republik Indonesia No.
1142/MENKES/SK/XII/2008 : 3‐4.

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Gang P, Kerlikowske K, Subak L, dan Grady D, (1999). Hormone Replacement Therapy and the
Tisk of Epithelial Ovarian Carcinoma: a Meta‐Analysis. Obs Gyn.92: 472–479.
Hartiningsih, Devita, A., Irkham, W. (2010). Effect of hysterectomy and Supplements
Consumption of 1,25‐Dihydroxy Vitamin D3 During 1.5 months against the retention of
calcium in Wistar rats (Pengaruh histerektomi dan Konsumsi Suplemen 1,25‐
Dihidroksivitamin D3 Selama 1,5 Bulan terhadap Retensi Kalsium pada Tikus Wistar) .
Lembaga Penelitian Universitas Gadjah Mada.
Kennedy, P., Jain, A., Srinivasan, R., and Chaudhry, S. (2008). Bone Homeostasis. Artikel McMaster
Pathophysiology Review . dari http://www.pathophys.org/osteoporosis/. Last Accesed 10
Juni 2015
Kurzer , Mindy S. (2003 ). Phytoestrogen Supplement Use by Women. J. Nutr. 133: 1983S–1986S,
Koike, K., Li, W., Liu, L., Hata, E., & Nikaido, T. (2005). New Phenolic Glycosides from The Seeds of
Cucurbita moschata. Chem. Pharm. PubMed Vol. 53 (2), 225‐228.
Li, F., Dou, D., Xu,L., Chi, X., Kang T., & Kuang H. (2009). New Phenolic Glycosides from The Seeds
of Cucurbita moschata. J. Asian. PubMed Vol 11 (7), 639‐642.
Lane, N E . (2001). The Osteoporosis Book : A Guide for Patients and Their Families. Oxford
University Press, March
Lips P. (1997) Epidemiology and predictors of fractures associated with osteoporosis. Am J Med.
18;103(2A):3S‐8S
National Osteoporosis Foundation. (2010). Clinician’s Guide to Prevention and Treatment of
Osteoporosis. Washington DC: National Osteoporosis Foundation
Nurrochmad A., Leviana F., Wulancarsari C. G., Lukitaningsih E., (2010). Phytoestrogens ofPachyrhizuserosus Prevent Bone Loss in an Ovariectomized Rat Model of Osteoporosis.
International Jurnal of Phytomedicine, 2:363‐372
Prabowo, A.Y., Estiasih, T., Purwatiningrum, I., (2014). Gembili (Dioscorea esculata L.) as FoodContain Bioactive Compound: A Review. J. Pangandan Agroindustri, 2(3):129‐135
Ross RK, Paganini‐Hill A, Wan PC, dan Pike MC., (2000). Effect of Hormone Replacement Therapy
on Breast Cancer Risk: Estrogen Versus Estrogen Plus Progestin. Natl Cancer Inst. 92: 328–
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296

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Redesign of Small Vehicles into a Safer Public Transit Transport
Supporting Major Transport Lines
Ismail Alif Siregar, Hari Nugraha, Jaya Dikusuma
Universitas Pembangunan Jaya, Jl Cendrawasih Sawah Baru, Ciputat Tangerang Selatan
Banten 15413, Indonesia

Abstract
Public transport is needed in cities as well as urban areas, For a developing country such
as Indonesia, the rapid growth of infrastructure especially in the urban areas makes
public transport as a vital part of the public needs. The transportation systems used inlarge cities such as Jakarta are city busses (Trans Jakarta), Electric trains (Commuterline trains) that could carry passengers in large numbers. This public transport carriespassengers to major destinations inside the city.
Other mode of transportation that functions as a transit system to carry passengers fromtheir homes to the major public transport lines, are small and under developed. These
small transportations are made of smaller vehicles with a capacity of no more than 10
people and are not made and designed to high standard, such as ergonomic and safety
standard of the larger transportation systems . Looking at these conditions, there is aneed to redesign the small transportation system of these small vehicles so that it fulfils
the basic ergonomic, comfort and safety standards. With the redesign it is hoped that
this will to make passengers to be more comfortable and safe in using these public
transport vehicles.

Keywords
Public Transport; City; Ergonomics; Design; Transportation Design

1. Introduction
According to a report done by Jeff Turner (2013), Jakarta, as the capitol city ofIndonesia, faces increasing challenges in its transportation system. Especially with thegrowth of sattelite cities, the amount of traffic influx to Jakarta is presenting a problem
to its transportation infrastructure. With a population of 9,6 million people, Jakarta
transportation system has to also support its surrounding sattelite city Bogor Depok
Tangerang and Bekasi which brings the total population to 26,6 million people. With thismuch people, transportation is needed for the daily commute of people from thesurrounding cities of Jakarta. Wismadi, A., J. Soemardjito and H. Sutomo (2013) statesthat if nothing is done there would be a significant change for the worse in the volume
and capacity ratio of the traffic.
297

Table 1 The road based transportation performance in DKI Jakarta Province. Source JAPTraPis
Report (2012)

Indicators2010 (Existing)2020 (Do nothing)

Cars
Motorcycles
Public Transport
Traffic Performance
Travel Speed

20%
53%
27%
23.6 km/hour

28%
50%
22%
15.2 km/hour

2020 (masterplan
do‐something)
24%
42%
34%
24.3 km/hour

To alleviate the problem, the goverment has deviced a masterplan to revitalize thetransportation system with Mass Public Transport systems. The major ones are theconstruction of the LRT (Light Rapid Transport), MRT (Mass Rapid Transport) and theSpecialized Bus corridors which are projected to be completed by 2018 (Globe Asia
Magazine, March 30 2016)

Figure 1 Jakarta Traffic.

2. Material and Methods
2.1 Research Object
Besides the main transportation systems, there is an overlooked segment which
are the secondary transportation systems which connects the smaller towns in thesattelite cities to the main transportation hubs. These are mainly provided by small
vehicles that has been converted to be a passenger carrying vehicle. These are called
AngKot (Angkutan Kota) and are the main transport systems of the smaller towns. They
are made from commercial vehicles thats has been modified by local coach builders.
According to an interview conducted with Mr Azas Tigor Nainggolan the head of
the Jakarta Transportation Board, there are no minimum standard and so the AngKot
are not regulated, which results in AngKot’s that are not safe for the public(Metropolitan, December 25th 2011)

298

a

b

Figure 2 (a) Suzuki Carry based AngKot with exterior body modifications (b) Toyota Kijang withexterior body modifications

Besides the unauthorized modifications done to the exterior of the vehicle, theinterior of the AngKot is also really unsuitable because of the small interior dimension.
One of the main concern is the safety of passengers. There is a risk of crimes happening
to female passengers because of the cramped seating positions. Because there is nospace between sitting passengers it is possible for molestation and groping to happen
because of the cramped interior (Megapolitan, June 22nd 2015). The interior space isfurther diminished by the installation of audio systems made by the drivers that does
not adhere to any safety or good ergonomic standards.
ab

Figure 3 (a) AngKot interior with Passengers. (b) AngKot interior modified with audio system.

Because Indonesia has no standards for small public transport, the researcher has
based his guidelines on available regulations for public transport vehicles provided by
the Ministry of Transportation (Peraturan Pemerintah Republik Indonesia No 55. 2012).
As stated by Green (1999) There is a misconception that being a human being makes ona human factors/ergonomics expert, so non‐experts often engage in professional
practice, including standards development. This paper is an attempt by the researcher
to provide an alternative design to the current practice that is made by the local coachbuilders.
The methode that will be used for this research will be qualitative as stated by Yin(2015), where the design of the previous vehicle will be compared to the proposed new
design and then assessed. The design process will be as follows. Study of existing design299

and problems, ergonomic considerations for the new design, application of ergonomic
principles for the new AngKot design. The result of this design research can be applied
to future AngKot design and production. The researcher will analyze the data available
and do the following:

Analyze the current available AngKot
Identify Key issues
Come up with design solution for the issues.

2.2. Design Issues of AngKotab

Figure 4 (a) Daihatsu Gran Max pickup. (b) Suzuki Carry pickup. Source: the‐blueprints.com

Because the AngKot is based on a commercial vehicle which has been converted
to a passenger vehicle with no basic or minimum design guide, the interior of the
AngKot does not adhere to any standards at all. The commercial vehicles used areusually cargo vehicles, whose rear is converted. From the year 2010, the chassis that is
widely used is the Daihatsu Gran Max Pickup and the Suzuki Carry
This type of vehicle is chosen because they are small, cheap, easy to maintain andrun, and also of the load carrying capacity. Also because of the body on chassis
construction, it is easy for coach builders to modify and build a body on top of thechassis.

Figure 5 Analysis of current standard of AngKot interiorWith the current AngKot, we can see that the interior does not adhere to any
ergonomic or safety standards. With the unauthorized modifications made, even lessroom is available for the passengers, In the figure above, we can see how the passenger
300

has to bow their head up to 25º to enter. And inside the passengers have to keep theirhead down at an angle of 15º during the duration of their travel. The interior space also
only leaves 5cm in space on the top of the passengers head with only 15 cm of space
between opposing passengers. The Passengers capacity is 8 but is often over loaded to
12‐14 passengers. This has resulted in situations where the passengers are sitting in an
uncomfortable position, and the chance of crime such as theft and mollestations tohappen increases
2.3 Redesign of AngKot Passenger Cabin
According to Márquez and Garcia (2004) there are basic factors that must be
considered when designing for passengers requirements, which are:• Access and exit stairs of the transport units.
• Easy of displacement within the unit.
• Access to the seats.
• Space available in the seat for the user.
• Form of the seats and rakes of seat, and the back rest.
• Distribution of the seats.
Kogi (2007) states that a prolonged sitting in a confined space as a passenger
increases the discomfort of passengers. The proposed design is aimed to improve theergonomic standard of the interior space to make the passengers more comfortable andto redesign the entrance of the vehicle so that passengers can easily get in or out of thevehicle. Another concern is the ease of movement of the passengers. In order to fulfill
these requirements, a larger space is needed so that the size and placements of the seats
can be arranged more ergonomically. To be seated comfortably, the passenger chairmust adhere to ergonomics standards for a chair, which according to Dreyfuss (1993)
are:a. Seat heightb. Seat Depthc. Seat Width
d. Backreast Height
e. Backrest Width
f. Backrest Lumbar
According to Nurmianto (2008) the anthropometric data of Indonesians differsfrom anthropometrical data of Dreyfuss. The new design proposed will be based on theanthropometrical data of Indonesians based on recent data compiled by the Indonesian
Ergonomics Society to fulfill these needs. To fulfill these criteria, the size of the interior
compartment must be widened to allow space between passengers, and to heighten theinterior compartment so that passengers no longer have to bend their neck. To allow
easy access to the entrance and exit of the vehicle, the door size needs to be adjusted too,so that the passengers can enter and exit more comfortably. The sizing for these
improvements will be set as a standard for the proposed AngKot regardless of the typeof vehicle chassis used.

301

a

b

Figure 6 (a) Illustration of Proposed Redesign of the AngKot interior layout. (b) Comparisonof interior space between current AngKot and redesign concept

Figures 6 (a) and (b) shows the comparison between the current AngKot interior
space and the proposed redesign. The proposed design has a larger space to acomodate
seats that are more ergonomic and allows for space to be available between facing
passengers. This space would allow the ease of movements when a passenger enters the
AngKot, also to allow them to move to find a seat easier and also make the movement toexit the vehicle easier. To do this we need to look at the anthropomorphical data of theIndonesian people when seated. Table 2 shows the current data that has been compiledby the Indonesian Ergonomic Society when it is applied to car seat.

Figure 7 Seat Anthropometrical requirements Source:
Indonesia Ergonomic Society
Table 2 Indonesian Anthropometrical Seat Requirements Source: Indonesia Ergonomic Association
Symbol
A
B
C
D
E
F
G

Part
Height of Car Seat
Eye Height while sitting
Shoulder Width
Upper Shoulder Width
Width of Head
Width of Seat base
Length of Popliteal to

5th
64.89 cm
54.87 cm
57.11 cm
45.97 cm
42.42 cm
52.52 cm
68.96 cm

50th
81.54 cm
71.34 cm
69.61 cm
62.12 cm
46.07 cm
63.15 cm
90.32 cm

95th
98.18 cm
87.81 cm
82.1 cm
78.28 cm
49.72 cm
73.78 cm111.67 cm

302

H
I
J

Knee
Lengthof
SeattoPopliteal
Length of seat to Knee
Height of Shoulder while
sitting31.5 cm

40.9 cm

50.3 cm

38.97 cm
41.36 cm

50.92 cm
58.53 cm

62.88 cm
75.71 cm

To standardise the design of the AngKot, the redesigned passenger compartment
is designed as a modular system so that it can be fitted onto different type of small
commercial vehicle chassis. With this modular design, the passenger compartment canbe standardised and hopefully be better regulated by the goverment. Even if the coachbuilder is diferent.

Figure 9 Illustration of Interior Design Concept

303

3. Result and Discussionab

Figure 10 (a) Interior Layout with passengers. (b) Interior dimensions

The main focus of this research is the passenger cabin. Using the anthrophomorphic
and ergonomic standards set by Nurmianto (2008) and the latest data from theIndonesian Ergonomic Society as seen in table 2. Using the 5th‐95th% percentile of the
population as base numbers. The researcher used 3d modelling software to input therequired anthropometric numbers for the proposed design to come up with themeasurements of the passenger seats and interior space requirements of the proposed
passenger cabin. The size of the cabin is only slightly larger than the base of the pick up
cargo space. Figure 10 shows the design layout proposal,which maximizes seating
position which can hold 7 passengers plus 1 standing for a total of 8 passengers. The
front passenger space next to the driver is converted into extra luggage space so thatpassengers luggage does not interfere with the sitting space.
With this redesign, In comparison with the current AngKot, the designs maindifference is the way the passengers are facing. The passengers is now facing forward
instead of each other. The leg area is now 40cm apart, which allows easy movements forthe passengers to get in and out of their seats. The design issues such as the high entry of
the current AngKot is solved by using low floor entrance. Using the anthropometric data
available, the dimensions of the seats and interiors are designed to be more suitable forIndonesian requirements. Passengers head space is now sufficent so that they do nothave to bend their body and neck anymore. There is also space for passengers luggage tobe palced on overhead compartments. With the space created to separate thepassengers, it is hoped that unwanted criminal activities such as theft and molestation
can be reduced. The large window openings also gives the effect of an airy interior andalso improves lighting conditions of the interior space. The design of the AngKot cabin inthis paper is hoped to be a base for the goverment of Indonesia as a starting point todevelop a standard for small commercial vehicles that has been converted into
passenger carriers (AngKot). With the suggestion made by the author, during thedevelopment of the AngKot, consultants who understand safety and ergonomics factor
can be involved by the local coach builders, and the resulting design can be standardisedby the goverment and implemented so that passengers can feel more comfortable andthe safety issues regarding crime can be further minimised.

304

Because the design of the passenger cabin is designed to be modular. The cabin canbe mounted on different type of small commercial vehicle chassis. With the modular
design, it will be more easy to supervised by the goverment if any changes has been
made illegally.

ab

Figure 11 (a) 3D render of cabin on Daihatsu Gran Max pickup chassis. (b) Modular cabin design
can be fitted on different chassis

Acknowledgements
This research is made as one of the three pillars of university program, which is the
Universitas Pembangunan Jaya Tri Dharma Universitas. It is hoped that this research
will gain new insight into the development of transportation design, in this case public
transport in Indonesia. Also it is hoped that this research can be used as a reference forfurther research in the future and also as an educational material. This research can beapplied by the goverment as an input for making a standard for public transport basedon small vehicles. Any input and critique would be appreciated by the research team sothat we may better our research in the future. We also would like to thank all the otherparties that has helped the research team during this research

Reference
Green P. (2014) Why safety and Human Factors/Ergonomics standards are so difficult toestablish www.hfes‐europe.org/wp‐content/uploads/2014/06/2‐tc.pdf Last Accesed 10th
November 2016
JICA (2012) Final Report. Volume 2. PROJECT FOR THE STUDY ON JABODETABEK PUBLIC
TRANSPORTATION POLICY IMPLIMATATION STRATEGY IN THE REPUBLIC OF INDONESIA(JAPTraPIS)
JICA (2013) Final Report. REPUBLIC OF INDONESIA JAKARTA INTEGRATED URBAN
TRANSPORT HUB DEVELOPMENT
Kogi. K (2007) Passenger Requirements and Ergonomics in Public Transport. The Official
Journal of the Chartered Institute of Ergonomics and Human Factors. P. 631‐639 | Published
online: 27 Mar 2007
KOMPAS (2015) Ini Kasus‐kasus Kejahatan Seksual yang Pernah Terjadi di Angkot Ibu Kota
http://megapolitan.kompas.com/read/2015/06/22/05035291/Ini.Kasus‐
kasus.Kejahatan.Seksual.yang.Pernah.Terjadi.di.Angkot.Ibu.Kota?page=all Last Accesed 5th
November 2016305

INILAH (2011) Standar Pelayanan Minimum Angkutan Umum Diperlukan
http://metropolitan.inilah.com/read/detail/1811616/standar‐pelayanan‐minimum‐
angkutan‐umum‐diperlukan Last Accesed 5th November 2016
Miguel, M.A (2004) Ergonomics of Urban Public Passangers Transportation. SCT Venezuela
Nurmantio. E (2008). “Ergonomi : Konsep Dasar dan Aplikasinya, Edisi Kedua”. Guna Widya,
Surabaya, Indonesia
Yin, Robert K. (2015) Qualitative Research from Start to Finish. 2nd edition. New York:
Guilford,
Wisaksono, R. (2013). Pengembangan Desain Angkutan Kota Sebagai Transportasi Umum
Terintegrasi di Kota Bandung. Jurnal Tingkat Sarjana Senirupa dan Desain No.1

306

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Enliven Urban Life Through Third Places With Homelike
Experience
Nisrina Muthi Meidiani*, Achmad Hery Fuad
Department of Architecture, Faculty of Engineering, Universitas Indonesia, 16424, Indonesia
Department of Architecture, Faculty of Engineering, Universitas Indonesia, 16424, Indonesia

Abstract
In an urban life, third place was considered to be the heart of a city, making a little partof a city as a source of comfort and alive. This paper aims to reveal the composing
aspects of homelike quality that attracts people to come and stay in a third place. The
case study was done in Hema Resto KemangPratama in Bekasi City throughdefamiliarization (Presscott‐Steed, 2013) and interviews. The result shows that thereasons of people coming are because of the interaction and the interiority inside a third
place that resemble a typical house. The case study shows that the interiority plays abigger role in composing the homelike quality in attracting people to come to a third
place through the borders from the study of space programming, accessibility,
placements and arrangements.

Keywords
Third place; homelike; places‐for‐things; borders; urban life.

1. Introduction
In the modern era, people tend to finish their work in the most efficient way. They focus
only on their everyday tasks—working, studying, waiting for the bus, running errands. These
activities are called necessary activities, activities that are mostly would happen throughout
everyone’s days (Gehl, 1987). However, doing only this activity might lead to an individual life,
dispersing the lively urban life that takes place in the city through the willingness of the citizen togather around and simply connect to each other.
Chavis and Wandersmen (1990) said, that the quality of an environment depends on how
well the citizens participate. They would watch over their neighborhood, preventing crimes andenhancing the social life. It is understood that the presence of people are playing a great
importance in enliven the urban life.
Although Gehl (1987) agreed that people always attract other people, he and Oldenburg(1999) believed that there was something beyond that in which people tend to come for. It is theplace. The inviting and easily accessible places encourage people to move from the private into
public (Gehl, 1987). According to Oldenburg (1999), that place is called a third place.

* Corresponding author. Tel.: +62‐812‐9908‐6680

E‐mail address:nisrina.muthi@ui.ac.id307

2. Material and Methods
A third place is a runaway place between the first place—home—and the second place—working places, such as school, office. It has the characters such of being on neutral ground, easily
accessed, has regulars, being a leveler and low profile (Oldenburg, 1999).
According to Oldenburg (1999), a third place was considered as the heart of a city. It
gathered people with or without reasons. They went there only to spend their time, making new
friends‐by‐set and doing some conversation. They do not have to be someone else to impress
other people, in third place it was a privilege to be themselves and still be accepted (Oldenburg,
1999). The feeling of freedom by being oneself without fearing to be judged was the reason why
people want to come out of their places, they do not have to serve anyone else nor to be taken
advantages of. This feeling was derived from the homelike quality that a third place possessed. It
gives the regulars feeling to be back and to linger in the place (Campbell, 2014; Hickman, 2013;
Matsuno, 2012; Oldenburg, 1999).
The theory of home was discussed for a long time in architectural field. Oldenburg (1999)
stated that based on Heidegger’s idea of home being the place where we dwell, a place with thequality of home is comfortable and has a congenial environment. A place that also has a similar
character as a home is called homelike (Merriam‐Webster, 2016) and is identified by the feeling of
at‐homeness as Seamon (1979) said.
At‐homenessis made out of a center inside oneself, a feeling that occurred after being in a
specific place regularly it then became part of one’s identity (Seamon, 1979). When someone has
found his center, he is more likely to keep hanging around the area and staying there to spend
times. He will remember the object around the place and marking them in their memories,
showing the tendency of places‐for‐things. The forming of center and places‐for‐things shows thatthe place is emitting the feeling of at‐homeness(Seamon, 1979). Thus indicating the homelike
quality of the place itself.
According to Seamon (1979), there were five characters to satisfy the feeling of at‐homeness.
Those arerootedness, appropriation, regeneration, at‐easiness, and warmth. It was shown thatthe aspects were much of the spatial one. However, based on a research conducted by Campbell(2014), physical choice also gave off the feeling of homelike.Both Campbell (2014) and Oldenburg(1999) agreed that avoiding formal appearances and making a place seemed like being takencare of would attract people to come. If the place looked worn but in good condition, it would
gave off the feeling of many people have come there and spend their times (Oldenburg,
1999).Gehl (1987) would agree on Oldenburg’s (1999) statement, as he said that be it inneighborhood or a building, people and human activities would attract other people.
The finding of composing aspects of the homelike quality is shown in Table 1, where thediscussion of the literature studies was done. The discussion was to find the aspects that could
identify the at‐homeness of a place as the form of homelike quality.
Table 1. Composing Aspects of Homelike(source: Author’s, In Proceeding of IMC 2016)
Theorist
Character ofComposingHome
Aspects
SeamonRootedness

Appropriation
Regeneration
At‐EasenessWarmthA repeatedexperience ofobjectsTime
Territory
Security
Marks
Another
individual
Memory of an
objectA taken care wellof place

CampbellWarmthLighting

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Centralized
Activity

Placements

Free to Interact
Oldenburg

Informality

Decorations

Taken care of

The discussion was necessary to know the basic aspects to be focused on the observation of athird place, so that it could be known what aspects are related to the study. Table 1 shows thatthe repeated experience has an important role in making the home quality. It indicates that thehomelike quality is actually happened because of interiority in a place itself. Using the lighting,decorations and placements as the critical point to make the memories experienced by theregulars is very important. They can intrigue the places‐for‐things inside the regulars. For
example, the brighter side would be attracting to one regular or the seats in the back area are
more comfortable for the large family because they rarely noticeable by other regulars. The study
on those placements and program seem to be trivial, but it could build up the territory and marks
so that people would feel comfortable around the area—thinking that it was their place.
The repeated experiences someone could get from the objects stated above are the one that
identify the center and places‐for‐things of people and making them feel the familiarity. However,a familiarity could decrease the level of critical attitude that people have on their surroundings(Presscott‐Steed, 2013), thus making them oblivious to the ones playing the important role incomposing the homelike quality that attracts them to come to a place.
The observation was done in Hema Resto in Bekasi City with defamiliarization as a method.
Defamiliarization was applied to enhance my sensitivity to the surroundings in order to findseveral important aspects to form the homelike quality in a third place. In everyday living people
are accustomed to let things just happen in their ways, they somehow take the reasons behindthem for granted. Since the homelike quality is formed through the familiarity over things, people
tend to get comfortable and think that everything is supposed to be so. Ergo a critical way of
deducting the composing aspects is needed.

cashier
toiletkitchenclothes store
prayer roomsmoking area
non‐smoking area
patio

Figure 1. Hema Resto Floor Plan

However, defamiliarization is a method based on a personal experience process, so it was
important to do some basic talks with a few regulars and waiters as to justify the view. We cansee from the Figure 1, that Hema Resto has a three separated area, the patio—outdoor area—islocated for the smoking area, it is more public to its surrounding, allowing people on the street to309

see what the regulars were doing. The indoor ones were also separated. The first room after theentrance is made for the non‐smoking area—the intimate one—while the further area is madefor the smoking area yet more private than the patio. The place was already established for morethan ten years and has become a gathering place since then.
The regulars often hold events in Hema Resto. The relationship between the regulars and thewaitress is not just for the business but they are also friends. This proves Oldenburg’s (1999)
statement, a friend‐by‐set and a leveler where people don’t have to worry about their social
status. This third place usually rent their non‐smoking private area for the events such as
birthday or school reunion. Even so, because there were borders between the areas, thedifferences do not affect the regulars in each place.

3. Results and Discussion
Seamon (1987) stated that before people could make a center, they needed to get to know theplace first. It then would establish the feeling of rootedness. When they know the place well, theywould not have to feel awkward in the place and could act as they desired. Oldenburg (1999) andCampbell (2014) also mentioned the freedom to interact within the informality in a third place.
Thus, freedom was an important part in making someone get the feel of homelike quality.
Table 2. Composing Aspects of Homelike in HemaResto
ComposingHema Resto
Aspects
A repeatedexperience ofobjects

Lighting;
Decorations;
Parking AreaTime

No redesign

Territory

Flexible seating
pattern

Security

Marks

Another
individual
Memory of an
objectA taken care wellof place

Homelike Aspects
in HemaResto
Placements;
Programming
Design; Flexible
borders

One accessible
door; Closed area;
Cashier as
overlooker

Fix borders

Flexible seating
pattern;
Decorations;
Space
Programming;
Casual shirt

Flexible borders;Placements

Lighting colors;
Decorations; Welltaken caredfurnitures;
Colors; Livingroom resembled;
Waiter‐Regulars
relationship; Nochanging
furnitures

Placements;
Programming;
Design; Borders

Lighting
Placements
Decorations

In the case study, the freedom that people possessed is shown through the flexible
boundaries as seen in the Table 2. The territory and marks possessed the overall composing
aspects such as placements, decorations and lightings.

310

a

b

Figure 2. (a) decorations as boundaries; (b) decorations as room dividerab

Figure 3. (a) seating pattern; (b) placementsof decorations

Figure 3(a) shows that the seating pattern itself creates a boundary between them. Those inorange shades are the ones permanently placed so it would be hard to be moved around.
However, those in blue shades could create their own seating pattern. As one of the interviewees
stated, that Hema Resto is likely to be a place for a gathering, so it is necessary to make thepattern flexible. By changing the pattern, the space could be more open and less dispersed. Inthat way, they also can centralize the activity as stated by Campbell in Table 1.
Figure 3(b) is backing up the fact that a placement can be the boundary. As seen on it, thedecorations are mostly placed as the marks of each area. The front door decorations separate theoutdoor and indoor area, and the decorations inside is separating the smoking and non‐smoking
area. The choosing of decorations tells the story of different space programming, where eachdecoration leads to another room with different character.

311

a

b

Figure 4. (a) accessibility; (b) divider

Figure 4(a) shows the only access the regulars could come inside Hema Resto and also how
openly accessible the outdoor area is, while figure 4(b) shows the physical border is made inside
the third place. While the indoor area is closed with walls, windows and doors, the outdoor one isin a form of patio so the border is blurred with the surroundings, making it connected to thestreets in front and behind the place.
Figure 4(a) and 4(b) also show the fact that the interiority has formed the boundary inside
the place itself. The lightings and decorations also show that the deeper the area is, the more
intimate the color gets. While the outdoor lightings are chosen to be bright, the indoor ones are
more of incandescent and warm. Showing clearly of how the rooms are divided. It is set todistinguish the public and less public area, where the regulars can choose which place to spend
their time.

ab

Figure 5. (a) outdoor lighting; (b) indoor lightingThis study confirms the earlier study (Meidiani, 2016a) that founds object placements canform a homelike quality. Those placements then create a boundary in between, showing people
which area is able to be interrupted and which is not.
Based on the study of what composed the homelike quality, it is clear that those borders thatare made out of the interiority are much of the borders of a house. People tend to make theirhouses have a layer of boundary from less private to more private ones. The layers are shown on
how they choose the programming, from the patio area where people can easily accessed, to thenon‐smoking area that resemble the welcoming to the house like a living room, and up to thesmoking area where the closed gatherings are usually held and only those who are invited could
come there.
This shows the tendency that people are able to spend their time more in the Hema Resto
because it has similar layers of borders like a house does. Their memory of places‐for‐things312shows in the choice of place and lead them to choose the third place itself. They know whereshould they go to get more private and less private place inside Hema Resto.
Like living in a house, they have the control over the borders in Hema Resto. They are able tomove around the chairs and make their own borders, not only physically but also spatiallythrough the seating pattern. But the initial border that separate the outdoor and indoor is still
there, making them feel secure like a house also does.
In conclusion, to make sure that the third place is homelike, as it is found in the case study, athird place should has the layers of borders that resemble a typical house. The flexible bordersthat can make them separate the public and private, yet can be rearranged to their needs. The
flexible border can be made out of the seating pattern, divider, access, or even lighting choices.
The forming of the flexible borders is important since it will remind them of the pattern in a
typical house, thus making people want to spend their time and make that specific third place as
their center. As stated before, a center would make someone to get the feeling of coming back.
Thus, it could be the reason for the people to gather around and enliven the urban life aroundtheir area.

Acknowledgment
The authors wish to thank the manager, the waiter, the waitress and the regulars of Hema
Resto for their input and cooperation on this research.

References
Campbell, N.M. (2014). Designing Retirement Community Third Places: Attributes Impacting
Howe Well Social Spaces are Liked and Used.Juournal of Interior Design, Vol. 39, No. 4,
pp.1‐14. Wiley/Blackwell.
Chavis, D. M., &Wandersman, A. (1990). Sense of Community in the Urban Environment: A
Catalyst for Participation and Community Development. American Journal of Community
Psychology, Vol. 18, pp.55‐56.
Gehl, J. (1987). Life Between Buildings, Van Nostrand Reinhold, New York, New York.
Hickman, P. (2013). “Third Places” and Social Interaction in Deprived Neighborhoods in GreatBritain. Journal of Housing and the Built Environmental, Vol. 28, pp.221‐236.
Meidiani, N.M. (2016a). Aspects in Composing the Quality of Homelike in Third Place (Case Study:
Hema Resto KemangPratama, Bekasi). In Proceedings of International Multidisciplinary
Conference (IMC 2016), Jakarta, Indonesia.
Merriam‐Webster. (2016). Homelike. http://www.merriam‐webster.com/dictionary/homelike.
Last Accessed 18 April 2016.
Matsuno, H. (2012). Multi‐Ethnic Third Place: Community Center in Wilshire Neighborhood of
Los Angeles. University of Washington, Architecture. Ann Arbor: ProQuest LLC.
Oldenburg, R. (1999). The Great Good Place, Da Capo Press, Cambridge.
Oldenburg, R. (2001). Celebrating the Third Place, Marlowe&Company, USA.
Seamon, D. (1979). A Geography of the Lifeworld: Movement, Rest and Encounter, Croom Helm,
London.

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Location‐based Service for Jakarta’s Bajaj Auto Rickshaw Ordering
SystemIpank Sidiq P.a, Suwasti Brotoa, Lestari Margatamab*aFaculty of Engineering, Budi Luhur University, Jl. Cileduk Raya Petukangan Utara, Jakarta

Selatan 12260 Indonesia

bFaculty of Information Technology, Budi Luhur University, Jakarta Selatan 12260

Indonesia

Abstract
This paper presented a Location Based Service booking system using GPS on smart
phones for auto rickshaw transportation in Jakarta. This system is used to determine thestate of the point latitude coordinates (latitude) and longitude (longitude) and distanceof the vehicle closest to the person who booked the services of the three‐wheeler. The
vehicle tracking system needed to facilitate the booking of vehicles in combination withthe system contained on the devices used on the vehicle buyer, so when passenger canview nearest location of available auto rickshaw. The system tracks the coordinates of
the auto rickshaw from GPS on the driver’s smart phone. In contrast to currently
existing system, the passengers have higher degree of confidence offered by the ability
to choose which available rickshaw to call, and a pre‐deal with the driver when heconfirms the order. In case of the selected rickshaw not responding the order, thepassenger can switch to other available rickshaws.

Keywords

Auto Rickshaw; Bajaj(vehicle type); Global Positioning System; Location Based Service;
online transport ordering service

1. Introduction
Bajaj auto rickshaw was introduced to Jakarta in the 1970s to replace becak(rickshaw), which, being propelled by human power, is deemed inhumane by thegovernment. Alongside passenger cars, buses/trucks, and motorcycles, Bajaj auto
rickshaw is classified as Kendaraan Jenis IV (Type‐4 Vehicle) in Jakarta. The vehicle itself
is derived from Italian Piaggio Vespa scooter and modified under license by Bajaj ofIndia is known for its sturdy and reliability; it can carry 2 passengers and cargo.
Although an official form of public transportation, Bajaj is practically neglected by
the regulation, with further restriction from operating on main streets of Jakarta.
Advances in technology helped digitize gadgets and equipments used by people,
including maps. Digital maps fulfill every need like navigation and point location has
seen widespread use on private and public vehicles (Deb, 2010). With, Global
Positioning System (GPS), this system can pinpoint the current position of the user
(Patil, 2015). The system discussed here is designed to facilitate easier order by auto
* Corresponding author. Tel.: +62‐815‐900‐2870; fax: +62‐21‐737‐1164.

E‐mail address:margatama@najwaputrilarasati.com

314

rickshaw passenger in locating the nearest available auto rickshaw by the use of GPS
service on the user’s smart phone, and the Bajaj driver can also locate the passenger
more easily (Pan, 2013).

2. System Design
The principle of the system centers on internet web service communications.
Passenger and Bajaj Registration IDs are stored in the server. Passenger looks on a list of
the nearest available Bajaj auto rickshaws, select one, and the system will send
notification message to the selected rickshaw. The order then enters a pre‐deal when
the driver confirmed the order to pick up the passenger, the ordering passenger thenreceived confirmation message. The process flow of the system is depicted in Figure 2.

Figure 1. System overview

Figure 2. Process flow diagram315

3. Testing and Analysis
3.1.

BaJak (Bajaj Jakarta) Application
The purpose of this application is to facilitate easier Bajaj ordering by both thepassenger and the Bajaj driver. To ensure the identity of both parties, driver andpassenger must be registered to the system.

Figure 3.Main screen

Figure 4. Register screen

Figure 5. Passenger’s list of nearby available drivers

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3.2.

Distance Calculation
Distance between passenger and drivers location in Figure 6 is calculated bydetermining the difference of the position with Pythagoras triangular equation on thedecimal longitude‐latitude values.

nLat 2  Lat 1 2  Long 2  Long 1 2

(1)

Since one degree of Longitude and Latitude equals to 111,32 km on the region near theequator, the distance between the two points can be calculated as:

d  n  111,32 km
3.3.

(2)

Server’s Database
The following figures depicted the user database and their transaction history.

Figure 6. Users database

Figure 7. Users transaction history

3.4.

PDCS (Passenger‐Driver Connecting System)
The ordering system utilizes short message notification between passenger anddriver to do the pickup. Only on duty drivers with available status are able to receive
messages, since off duty drivers did not appear on the list of available drivers. In case ofoff duty drivers forgot to change their status and receive call order, the system has alimit of 3 minutes for a driver to respond, if the driver did not respond by confirming theorder, the pre‐deal is cancelled and the driver’s status is changed to off duty. Meanwhile,317

notification is sent to the passenger to select another rickshaw and other drivers canalso take bid for the order. Considering the habit of most Indonesian mobile phone users
still use short messaging service (SMS).

(a)
(b)
(c)
Figure 9. System messaging (a)Passenger call on Driver’s phone, (b) Driver confirmation on
Passenger’s phone, and (c) Driver unable to comply

4. Conclusion
Following the test and evaluation of the system’s prototype, some conclusions canbe drawn as follows:
1. Distance calculation is currently based on straight line, it still in the process todetermine the actual travel distance and, complemented with traffic data, travel
time for the driver to reach the passenger,
2. The BaJak application is still in user’s manual refresh to update the latest
information on vacant drivers and available passengers,
3. Jitters in longitude/latitude reading on smart phone of up to 50 m radius due to theaccuracy of the built in GPS receiver

References
Deb, P., et al. (2010), Offline Navigation System for Mobile Devices, Int. J. of Software Engineering& Applications, Vol.1, No.2, pp.30‐43
Pan, G. (2013), Study On Taxi Synergic Operation Dispatch System Based On Information
Integration, Journal of Theoretical and Applied Information Technology, Vol. 47 No. 1,
pp.246‐250
Patil, S.P., et al. (2015), Vehicle Automation Management in Urban Area, Int. J. of Scientific
Research & Development, Vol.2, Issue 12, pp.552‐555

318

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

ENHANCE PRODUCTION OF ADVENTITIOUS ROOT BIOMASS OF
Talinum paniculatum Gaertn. IN BALOON TYPE BUBBLE
BIOREACTOR USED BATCH AND CONTINUOUS SYSTEM
M. Hamzah Solima, A. Novi Kristantib, Y.S. Wulan Manuharaa*
aDepartment of Biology, Faculty of Science and Technology, Airlangga University,

Surabaya, 60115, Indonesia

bDepartment of Chemistry, Faculty of Science and Technology, Airlangga University,

Surabaya, 60115, Indonesia

Abstract
Talinum paniculatum Gaertn is one of traditional medicine plants which was commonlyused in Indonesia. Growth of its plant is low in natural habitat, especially root organ.
Root organ contain bioactive compounds, one of them is saponin. This compound has
benefits such as aphrodisiac, anti‐inflamation and maintain blood circulation.
Accumulation of its compound was found in root organ, so enhance production ofadventitious root biomass in liquid culture system have potential to produce raw
material as source of pharmaceutical industry. This research was conducted to enhance
production of adventitious root biomass of T. paniculatum Gaertn in baloon type bubble
bioreactor used batch and continuous system. Adventitious root biomass were induced
from leaves as explant and were cultured in baloon type bubble bioreactor 1000 mL
with 350 mL MS medium supplemented with 2 mgL‐1 IBA and aeration rate was set 0.2
vvm. Results shown that continuous system + buffer is better than batch system, which
produced biomass four fold of initial inoculum. Continuous system provide biomass
production better than the others and supplemented of buffer (NaHCO3) influencebiomass productivity.

Keywords
Batch; Bioreactor; Continuous; NaHCO3; Talinum paniculatum

1. Introduction

T. paniculatum Gaertn. is herbaceous plant which classified into Portulacaceae
family. This plant has a bulging shape of the roots similar with root of Panax ginseng andused as traditional medicine plant in Indonesia namely Java ginseng. Root organ containbioactive compounds, one of them is saponin. This compound has benefits such asaphrodisiac, anti‐inflamation and maintain blood circulation. But, growth of Java ginseng
root very slowly in their natural habitat. Manuhara et al. (2015) reported that it has
known that saponins level of java ginseng roots of three months was lower than the java
ginseng roots growing in vitro for 28 days.
* Corresponding author. Tel.: +62817584872 ; fax: +62‐31‐5936502
E‐mail address: wulanmanuhara@gmail.com

319

Plant cell, tissue and organ culture were often an effective system under in vitro
conditions to study the biological significance of bioactive metabolites, as well as for
producing natural products (Cui et al., 2014). Several secondary metabolites ofpharmaceutical interest are accumulated in adventitious roots culture. That culture canbe developed by bioreactor. One of bioreactors for adventitious root culture was Baloon
Type Bubble Bioreactor (BTBB). Many research used the bioreactor to culture many
plants such as Eurycoma longifolia (Lulu et al., 2015) and Morinda citrifolia (Baque et al.,2013). The use of bioreactors for large‐scale cultivation of cells and adventitious roots
has become feasible for the production of biomass and metabolites (Lulu et al. 2015;
Paek et al., 2009; Cui et al., 2014). Sajc et al., (2000) explained that bioreactor designs
currently used to to specific operating parameters that can be varied to modulate
growth of cell and function in order to optimize product release and separation. Further,
the adventitious roots have a higher stability in the chemical and physical conditions toaccumulate large quantities of bioactive compounds on intercellular spaces, which canbe more easily isolated (Sivakumar, 2005). Optimization and scale‐up was required toincrease root biomass and secondary metabolites (Choi et al., 2000; Yu et al., 2001).
Optimization to increase adventitious root biomass and secondary metabolites had
successfull in BTBB (Manuhara et al., 2015). Paek et al., (2005) described that bioreactor
methodologies for adventitious root cultures also have to be developed.
Many factors can affect production of biomass and secondary metabolites ofadventitious root production during scale‐up such as aeration, agitation, pH andinoculum density, IBA and culture method. The aeration volume in the bioreactors wasan important factor which control the accumulation of biomass and metabolites
production (Baque et al., 2013). The plant cells have perceived sensitivity tohydrodynamic stress associated with aeration and agitation of the suspended cell.
Besides, Hahn et al. (2003) reported that the accumulation were strongly inhibited when
pH was maintained below 4 or above 7. Meanwhile, inoculums density also influenced
production in a number of plant cell culture system (Baque et al., 2013). Furthermore,
Indole‐3‐butyric acid (IBA) is widely used in agriculture because it induces rooting(Zolman et al., 2000). In the culture method, Sajc et al., (2000) described that batch
cultivations were characterized by constantly changing environmental conditions andcapable of producing metabolites associated with any kinetic pattern. Batch studies areused to determine the conditions for maximum productivity. These conditions wascontrolled addition of a limiting nutrient. Meanwhile, a continuous flow reactor with cell
recycle was a flexible cultivation system. Continuous flow with complete cell recycle isoften referred to as a perfusion culture. Therefore, the objective of the present study
was to develop a protocol for T. Paniculatum Gaertn. adventitious root culture forenhance production of biomass used batch and continuous system in bubble typeballoon bioreactor.

Material and Methods
Plant material and adventitious root culture
The study was carried out in the plant physiology laboratory at Departement of
Biology, Faculty of Science and Technology, Airlangga University between December
2015 ‐ July 2016. Adventitious roots were induced from leaves of T. paniculatum Gaertn.
on solid MS (Murashige and Skoog’s, 1962) medium supplemented with 7 gL‐1 agar, 30
gL‐1 sucrose and 2 mgL‐1 indole‐3‐butyric acid (IBA). Samples of leaf (length 2 cm)
were the second leaf from shoot tip. All of the explants were washed with detergent andthoroughly under tap water for 15 minutes. Then surface of the explants were sterilizedby 5 % (w/v) HgCl2 for 5 minutes under laminar airflow. After that, explants were
washed 3‐4 times with sterile distilled water. The cultures were planted in Petri dishcontaining 25 mL medium and pH was adjusted to 5.8 with 1.0 N HCl or 1.0 N NaOH
before adding 7 gL‐1 agar and autoclaving at 121 0C for 20 min. After five weeks, the320adventitious roots were transferred to liquid MS medium supplemented with 2 mgL‐1
IBA in the BTBB.
Baloon type bubble bioreactor (BTBB) Design
Bioreactor with a capacity of 1 L was filled with 350 mL of liquid MS medium
supplemented with 2 mgL‐1 IBA and 30 mgL‐1 sucrose and sterilized by autoclaving at
121°C for 15 min. The adventitious roots were cultured in bioreactor with various
treatment (batch, batch with buffer, continuous, continuous with buffer). NaHCO3 wasused as buffer in this study. Aeration volume was established at 0.2 vvm (volumes of gas
per volume of liquid per minute) and the initial inoculum density 2 g/350 mL.
Bioreactor was modified with net in middle to support growth of adventitious root.
Determination of fresh and dry biomass
The cultures were maintained for 35 days and sampling has done for every
seven days to determine the total sugar, electrical conductivity (EC) and hydrogen ion
concentration (pH) of the medium. All the cultures were maintained at 25 ± 20C, with a
16 hour light (40 µmol m−2 s−1)/ 8 hour dark photoperiod cycle provided by 40‐W whitefluorescent tubes. After five weeks, the adventitious was harvested and separated fromthe medium through a stainless steel sieve. The fresh biomass was recorded after
blotting away the surface water. The dry biomass was measured after drying root at
600C for 48 hour.
Determination of total sugar, conductivity and hydrogen ion concentration
Measurement has conducted to liquid MS medium supplemented 2 ppm IBA. The
electrical conductivity (EC) was measured using a conductivity meter (Ezdo, Cond5021),
total sugar was measured using a refragtometer (Atago) and the hydrogen ion
concentration (pH) of the culture medium was measured using a pH meter (Boeco, BT‐
600) at first week until fifth weeks.
Statistical analysis
Fresh and dry biomass data was analysed using SPSS software (v.17). Mean
separation within column by Independent sample T‐test at P ≤ 0.05.

Result and Discussion
Batch and Continuous System
Based on data, fresh biomass and dry biomass in continuous system with buffer
obtain 7.80 g and 0.36 g respectively (Table 1). This result is higher than continuous(5.15 g fresh biomass and 0.22 g dry biomass), batch (4.32 g fresh biomass and 0.27 gdry biomass) and batch with buffer (4.32 g fresh biomass and 0.19 dry biomass). As
shown in Table 1, the greatest response in terms of biomass production in continuouswith buffer of NaHCO3. In this results on the positive effects of IBA on adventitious root
growth agree with those reported by Cui et al. (2010) and Wu et al. (2006).
Using of auxin were required for the maintenance of plant cell and tissue culture
technique, which were associated with the promotion of growth, rooting, callus
proliferation, and morphological diversity. This study has shown that all treatment
provide response of adventitious root when 2 mgL‐1 auxin (IBA) was added in themedium. In similar, research of Kim et al. (2003) reported that IBA was more effective
than NAA in promoting dry mass accumulation of P. ginseng. The highest root dry mass
was accumulated using media supplemented with IBA rather than NAA in a Karwinskia
adventitious root culture. The roots cultured with 5.0 and 7.0 mg L‐1 IBA were long (>1.0
cm) and numerous (>10), whereas the roots cultured with 5.0 mg L‐1 NAA were thicker,
less numerous and very short (Lulu et al., 2015). Besides, buffer of NaHCO3 was added
into batch and continuous system shown the highest fresh and dry biomass (Table 1).
321

Sodium bicarbonate (NaHCO3) causes a high buffer capacity in the cell culture medium
and keeps the pH value in the physiological area during cultivation (Freshney, 1992).
The required CO2 concentration is related to the desired pH‐value. The carbon dioxideand bicarbonate buffering system was most commonly used to maintain of pH. The
bicarbonate was a weak buffer with a pKa of 6.1 making a pH range of 7.2‐7.6 moredifficult to prevent rapid pH changes. This buffer, however, was non‐toxic and has
nutritional value (Davis 1994). The inoculum density was found to have profoundinfluence on the growth of roots. Praveen and Murthy (2010) and Lee et al., (2011)
explained that inoculum density is an important parameter affecting the performance ofsuspended plant cells, tissues and organ cultures and accumulation of biomass
productivity. In similar, Baque et al., (2013) reported that inoculum density significantly
affected the accumulation of root biomass of M. citrifolia during 4 week of culture. In thisstudy, initial inoculum was established at 2 mgL‐1 (Table 1). That inoculum is suitable togenerate optimum adventitious root biomass T. paniculatum in bioreactor.
Table 1. Number of root at four treatments (continuous + buffer, continuous, batch +buffer, batch) for five weeks in bioreactor containing MS liquid medium with 2 mgL‐1
IBA
InitialFresh biomass (g)Dry biomass (g)Treatments
inoculums (g)(Mean ± SD)(Mean ± SD)
Continuous + Buffer
2.02
7.80 ± 0.30
0.36 ± 0.06
Continuous
2.04
5.15 ± 0.47
0.22 ± 0.03
Batch + Buffer
2.07
5.96 ± 1.07
0.27 ± 0.01
Batch
2.01
4.32 ± 0.02
0.19 ± 0.03
Data represents mean values (n=2) with two replicates. Mean separation within column by
Independent sample T‐test at P ≤ 0.05

Sajc et al., (2000) in their review that fundamental studies of bioreactors withplant cells involve three important scientific and practical issues related to bioreactor
design and operation such as assessment of cell growth and product formation, analysis
and modeling of the culture dynamics, and studies of flow, mixing and mass transfer
between the phases, in order to define criteria for bioreactor design and scale up.
Sivakumar (2005) added the bioreactor culture system was more advanced than the
traditional tissue culture because the bioreactor culture can be optimized by on‐line
manipulation of temperature, oxygen, pH, carbon dioxide and nutrients in the medium.
Nutrient uptake of roots can be enhanced by continuous medium circulation.
Furthermore, cell proliferation and regeneration rates can be increased. Therefore,
production cost and time can be reduced substantially, quality of product can be
standardized and controlled, products can be free of pesticide contamination andproduction can be conducted all year round without constraints of geographical. The
high‐tech bioreactor technology was useful for the large scale cultivation for bio‐
pharmaceuticals from plant roots. Paek et al. (2005) also reported bioreactor
methodologies for adventitious root cultures also have to be developed. Sivakumar(2006) also described bioreactor culture was the key step towards commercial
production of therapeutics by plant biotechnology. The cultivation of adventitious andhairy roots in the bioreactor that supports efficient nutrition of cells, possibly combinedwith the application of mechanical stimulation to direct cellular activity, differentiationand function.
In this present study, aeration volume was 2 vvm. That aeration has shown
positive response to provide oxygen for growth of adventitious root. All treatment ofbioreactors were not appear foaming. Sajc et al. (2000) reported that oxygen needs to besupplied throughout the cultivation. Since the volumetric productivity of high‐viscosityand high‐density cell suspensions was generally proportional to cell concentration,322

which in turn limited by oxygen supply, aeration was a major concern in bioreactor
design and scale up for plant cell culture. The rate of gas exchange has to be determined
to provide sufficient supply of oxygen while preventing excessive removal of CO2 andessential volatiles from the system. The high aeration may lead to severe foaming, which
has considerable influence on the cell growth and secondary metabolite production(Zhong et al., 1992). Foaming of plant cell suspensions has been correlated with aeration
rates and extracellular protein concentrations (Wongasmuth and Doran, 1994). The highoxygen levels near the surfaces of the roots may become toxic to peripheral cells andcause localized oxidative stress (Shiao et al., 2000).
Baque et al. (2013) reported that aeration volume in the bioreactors is an
important factor which control the accumulation of biomass and production of
metabolites, because it was mean for biomass circulation and provides essential gaseouscomposition of the medium. Study of Wu et al. (2007) for Echinacea purpurea, anaeration rate of 0.1 vvm was optimal for enhancing adventitious root growth comparedwith a high aeration rate. Similarly, cell growth of Gymnema sylvestre was also enhanced
by a 0.1 vvm aeration rate compared to a 0.3 vvm aeration rate (Lee et al. 2006). In
bioreactor culture, a gradual increase in aeration rate is often favorable to cell growth
because the high inflows of air agitate the cells, thereby elevating the oxygen
concentration in the culture, resulting in accelerated cell growth (Lee et al. 2011).
Study of Sajc et al., (2000) reported the magnitudes of hydrodynamic forces
associated with mixing should be low enough not to cause cell death, but sufficient tostimulate selected cell functions. In well mixed bioreactors, hydrodynamic effects arecaused by the time and space fluctuations in liquid velocity and pressure that areassociated with viscous dissipation of turbulent eddies. Besides, hyperhydricity is often
associated with liquid culture and was detected in some studies concerning continuous
immersion bioreactor systems (Chakrabarty et al., 2007; Shaik et al., 2010). Many
studies used the concept of a critical shear stress, above which cell viability is lost. For
laminar flow conditions, Vogelmann et al. (1978) suggested a critical shear stressbetween 80 and 200 N/m2. Sajc et al. (2000), reported that shear levels which are below
levels causing cell damage while still high enough for efficient mixing in the liquid phaseand dispersion of air are considered as important criteria of bioreactor design. Shearsensitivity was perceived to hydrodynamic stress associated with aeration and agitation.
The presence of thick cellulose based cell wall, and existence of large vacuoles. The
immediate consequence of the shear effect on plant cells is cell damage, which has been
quantitatively measured by using a number of system responses such as reduction incell viability (Scragg et al. 1988), release of intracellular compounds (Meijer et al. 1993),
changes in morphology and aggregate patterns (Kieran et al. 1995), and changes inmetabolism (Zhong et al. 1994).
In this study, however, the production of roots did not present symptoms ofhyperhydricity. It has observed and suitable with many studies in Hahn and Paek,(2005), Jo et al. (2008) and Mariateresa et al. (2014). For reduce hyperhydrycity ofadventitious root cells, in this study used net at middle in bioreactor. The net has benefit
to avoid hyperhydricity and support the plant mass has certainly contributed to prevent
this phenomenon ensuring a constant aeration of explants and leading to good growth ofroots (Paek et al., 2005). In figure 2 have resulted fresh biomass and dry biomass of the
all treatments (batch, batch with buffer, continuous and continuous with buffer).
Morphology of T. Paniculatum adventitious roots have shown the same texture andcolor. All treatments have thick root in texture and brown in color. The highest
accumulation of adventitious root biomass in fresh and dry has found on continuous
system with buffer (figure 2d and 2h).

323

Figure 1. Adventitious root culture of T. paniculatum Gaertn. in balloon type bubble
bioreactor : a) bioreactor with continuous and batch system; b) culture process. b‐bioreactor; fm‐filter membrane; tu‐tube; ao‐air out; st‐sample tube; me‐medium; tss‐
triangle stainless steel; ro‐rotatometer; aq‐aquades. (Bar = 2 cm)

Figure 2. Adventitious root of T. Paniculatum Gaertn. : a‐d) fresh biomass in batch,batch+buffer, continuous, continuous+buffer; e‐h) dry biomass in batch, batch+buffer,continuous, continuous+buffer. (Bar = 1.5 cm)
Various of treatments such as batch and continuous system have considered inthis present study. In batch system, periodically in two weeks that medium was added
sterile distillate water but it was not added new medium. Meanwhile, in continuous
system that medium was added new medium (MS) periodically. Similarly, Sajc et al.
(2000) explained that batch cultivations were characterized by constantly changing
environmental conditions, and are capable of producing metabolites associated with any
kinetic pattern. Batch studies were used to determine the conditions for maximum
productivity. In contrast, continuous flow reactor with cell recycle was a flexible
cultivation system. For a very low cell recycle this system approaches a chemostat, while
for a complete cell recycle the system approaches immobilized cell culture suitable for
production of non‐growth associated products. Continuous flow with complete cell
recycle was often referred to as a perfusion culture. Various models for culturing plant
cells have been employed in suspension culture in order to maximize product formation.
Steady state continuous flow operation, with a constant withdrawal of culture medium324and cells is commonly used for the production of growth associated products, typicallyprimary metabolites and biomass. The continuous culture technique has also been
adopted for the cultivation of several plant cells such as, Coptis japonica (Matsubara etal. 1989), Catharanthus roseus (Park et al. 1990), and Nicotiana tabacum (Hashimoto etal. 1982).
Total sugar, conductivity and hydrogen ion concentration in the medium
Determination of hydrogen ion concentration (pH), total sugar and electricalconductivity (EC) of the médium was conducted every seven days. Basically, total sugar,
pH and EC had decreased, but increased by using buffer of NaHCO3 every two weeks(figure 3). The total sugar value in batch system are different with continous system
which was provided new medium in 14 days and 28 days. Meanwhile, pH in batch andcontinuous without buffer decreased until 35 days, except on batch and continuous withbuffer periodically in two weeks increased in 14 days and 28 days. For electricalconductivity in the all treatments decreased and increased when was added buffer each
two weeks.
3.6

6

3.4

5.8
5.6
5.4

3

pH

5.2

2.8

5

4.8

2.6

4.6

2.4

4.4

2.2

4.2

2

4
0

7

14 (-)

14 (+)

21

28 (-)

28 (+)

035

7

14 (-)

14 (+)

Days

Electrical conductivity (mS/cm)

Total sugar (%)

3.2

21

28 (-)

Days
Continuous + Buffer
Batch + Buffer
Continuous + Non Buffer
Batch + Non Buffer

420
410
400
390
380
370
360
350
340
330
320
310
300
290
280
270
260
250
0

7

14 (-)

14 (+)

21

28 (-)

28 (+)

35

Days

Figure 3. Adventitious root culture condition for 35 days. Culture condition change in(A) hydrogen ion (pH); (B) Total sugar; (C) Electrical conductivity (EC). (‐) before added
buffer and (+) after added buffer.
Several studies described that liquid medium was examined by electricalconductivity, pH and total sugar. The high conductivity of medium showed that theadventitious root unavailable to absorb inorganic compounds. In study of Mariateresa et
325

28 (+)

35

al. (2014) reported that sucrose availability in liquid medium (bioreactor). Adelberg etal. (2010) also reported that findings of sucrose availability in liquid medium higher
than in gelled medium. It has known that sucrose as energy source and important
carbon for plant cells growth. Gertlowski and Petersen (1993) explained that it can also
affect metabolism of the cells and production of metabolites. Lee et al. (2006) reported
that sucrose is hydrolyzed into two monosaccharides, glucose and fructose, by invertasewhich bounds extracellular or cell wall during the initial culture period. Meanwhile,electrical conductivity (EC) values of the residual media progressively increased withincreasing salt strength of the culture medium, whereas pH values progressively
decreased. The EC values of the residual media reflect the uptake of ions by roots andrepresent an indirect method of biomass estimation (Baque et al., 2013; Cui et al., 2010).
In plant tissue culture, pH is an important factor affecting biomass and secondary
metabolite accumulation. For instance, in root suspension cultures of ginseng, root dry
biomass and ginsenoside accumulation were strongly inhibited when pH wasmaintained below 4.0 or above 7.0 (Hahn et al., 2003). Wu et al., 2006 also reported thatthe growth of Echinacea roots decreased when pH was maintained below 5 or above 6.
Lulu et al. (2015) explained that in their study after 7 weeks of culture, the pH of themedium declined as the NH4+ level increased. The EC measurements have been used as
an indirect method for biomass estimation during the continuous online monitoring of
nutrient uptake in plant cell culture bioprocess engineering because of their accuracy
and efficiency.

Conclusions

In this study, we have successfully established adventitious root cultures of T.
paniculatum 1 L capacity bioreactors containing 350 mL medium and worked out
various treatments (continuous + buffer, continuous, batch + buffer, batch). Treatmentof continuous system with buffer of NaHCO3 has shown fresh biomass (7.80 g) and dry
biomass (0.36 g) higher than the others. That treatment has produced biomass four foldof initial inoculum. The continuous system provide biomass production better than theothers and supplemented of buffer (NaHCO3) influence biomass productivity.

Acknowledgements
Thanks to Indonesia Endowment Fund for Education (LPDP), Ministry of
Finance, Republic of Indonesia and Plant Physiology Laboratory at Departement of
Biology, Faculty of Science and Technology, Airlangga University.

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328

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Leaf Callus Induction of Moringa oleifera with Addition Various
Concentration Napthalene Acetic Acid (NAA) and N6‐
furfuryladenine (Kinetin) in MS Medium in vitro
Muhammad Evan Na, Erlyta Vivi Pb*
a,bInstitut Teknologi Sepuluh Nopember, Kampus ITS Sukolilo, Surabaya 60111, Indonesia
bSecond affiliation, Address, City and Postcode, Country

Abstract
Moringa oleifera is the plants which have high nutritional content of minerals
and vitamins. In Indonesia, the cultivation of M. oleifera still utilizing vegetative
propagation. Therefore, the resulting seedlings are limited and have a low quality ofseeds. To solve the problems, rapid M. oleifera propagation and sustainable high qualityof seeds through in‐vitro culture are needed. This study aimed to determine the effect ofsomatic embryogenesis induction of M. oleifera leaves due to the adding variation ofplant growth regulators concentration of Napthalene Acetic Acid (NAA) and Kinetin in
MS medium in‐vitro. This study was conducted using a completely randomized design
with four treatments, are M1 (MS 0), M2 (MS + NAA 0.5 mg/L + Kinetin 1 mg/L), M3 (MS+ NAA 1 mg/L + Kinetin 1 mg/L), and M4 (MS + NAA 1 mg/L + Kinetin 0.5 mg/L) andthere were three replication of each treatments. Parameters observed that were the rateof induction time, color and texture of callus. Data were analyzed using analysis of
descriptive. The results showed that the addition of plant growth regulators NAA and
Kinetin at various concentration affected callus growth of M. oleifera leaves on MS
medium in‐vitro. The medium concentration of M2 (MS + NAA 0.5 mg/L + Kinetin 1mg/L) was the optimal concentration on callus induction (on fourteenth day), the callus
has white color and compact texture.

Keywords

callus induction; kinetin; Moringa oleifera; Napthalene Acetic Acid (NAA)

1. Introduction
Moringa oleifera is one of the most popular plants belonging to the family ofMoringaceae (Saini et al., 2012). M. oleifera has unique characteristics which attract such
toughness tree, easily propagated, and resistant to drought with very low growth’s
requirements regard with nutrients, water, and its management which these plants play
an important role also in the utilization field of medicine and nutrition (Magana, 2012).
M. oleifera is one of the promising commodity in the food sector for its rich nutrients andminerals as well as the ability of trees to produce leaves with maximum condition even
* Corresponding author. Tel.: +62‐857‐581‐37306

E‐mail address: muhammadevan12@gmail.com329

at the end of the dry season when other food sources are rarely to be found (Fuglie,1999). Every part of the M. oleifera tree has a strong activity as pharmaceuticals. Such as
their leaves, roots, seeds, bark, fruit, pods, and flowers act as a stimulant of the heart andblood circulation, antitumor pyretic, anti‐epileptic and anti‐inflammatory (Kumar et al.,2010), antiulcer, antipasmodic, diuretics, anti‐hypersensitive, cholesterol lowering,antioxidant, antidiabetic, hepato‐protective, antibateri and anti‐fungal, and some othertreatments of different diseases (Anwar et al., 2007). In Africa, M. oleifera is used as afood enhancer prenatal nutrition in pregnant women (Amin et al., 2007), as well as aprogram of food sovereignty in Africa and India. M. oleifera as a way to combat
malnutrition because it contains high vitamins, proteins and minerals. In addition, M.
oleifera seeds can be used to purify water (Diatta, 2001) The study further stated thatthe purification of water not only reduces solid contaminants, but rather the overall
harmful bacteria contained in the water.
In Indonesia, the cultivation of M. oleifera has not been done and only based onvegetative propagation (grafting or cuttings) and generative (seeds) so the limitations ofseeds as planting materials often occur. Planting with an area of approximately 500,000
hectares to fulfill the demand requires 5 billion seedlings (Jahn, 1986). Limitations of theseedlings should be has an appropriate, economical, and efficient propagation solution.
The most appropriate method to apply is utilize tissue culture techniques bytaking part of the M. oleifera plant which is not limited to the seed then carried
regeneration initiation of embryogenesis, starts induction of somatic embryos forreproduction purposes. Tissue culture itself is the cultivation of a plant tissue (explants)
into complete plants with properties like its parent which explants will be wrapped witha special wrapper that makes explant is not easily damaged and can grow well (Marfori,2010). The combination of Kinetin and NAA as plant growth regulator (PGR) plays animportant role in in‐vitro culture to stimulate growth of certain cells or tissues that havenot differentiated. So we need further study to determine the right combination PGR for
maximum growth of explants especially M. oleifera leaf explants.
This study aimed to describe the effect of somatic embryogenesis induction ofMoringa leaves due to the addition of various concentrations of growth regulators
Napthalene Acetic Acid (NAA) and N6‐furfuryladenine (Kinetin) on MS medium in‐vitro.

2. Materials and Methods
2.1.

Sterilization of Explants

The study was conducted in April 2016 at the Laboratory of Plant Bioscience andEngineering, Department of Biology, Faculty of Mathematics and Natural Science,
Institut Teknologi Sepuluh Nopember.
Explants used are Moringa leaf. Sterilization of explants performed in several
stages. The first stage is the tools that have been sterilized prepared in LAF. The explants
were washed with running water for 10 minutes, soaked in a solution of detergent for
10 minutes, soaked in a solution of clorox for 3 minutes, soaked in a solution of
antifungal for 10 minutes, soaked in alcohol 70% for 3 minutes, and then transferred
into a glass beaker sterile inside LAF room and soaked in sterile distilled water for 3
minutes.

330

2.2.

Condition of Culture

The explants were cultured in Murashige and Skoog (MS) (Arismarsetiowati,2012) medium with 3% sucrose, pH of the medium around 5.7 to 5.8 and then incubatedin a dark room with temperature 22‐25oC. The explants were cultured for 30 days toform a callus. NAA and Kinetin treatment combinations are as follows:
Table 1. Various medium concentration
mediumConcentration

2.3.

M1

MS 0

M2

MS + NAA 0.5 mg/L + Kinetin 1 mg/L

M3

MS + NAA 1 mg/L + Kinetin 1 mg/L

M4

MS + NAA 1 mg/L + Kinetin 0.5 mg/L

Data Analysis

Observation conducted during 30 days to form a callus. Observation data includes
the rate of callus induction, texture and color of callus analyzed descriptively.

3. Results and Discussions
Study on somatic embryogenesis Moringa oleifera by the addition of various
concentrations of NAA and Kinetin on MS medium in‐vitro showed an induction of
callus. According to (Murashige and Skoog, 1962), the callus is initiated trough in‐vitro
method by putting the plant tissue slices called explant on the medium in a sterile
condition.
The parameters of experiment include the rate of callus induction, color andtexture of callus. The rate calculation of callus induction is done from the first of
inoculation until the callus of Moringa is emerge within the period of observation for 30
days. The color and texture of the callus was observed through physical changes that
occur in the growth of Moringa leaf explants.

mediumAverage rate (days)

Color

Texture

M1

0

‐

‐

M2

14

White

Compact

M3

0

‐

‐

M4

0

‐

‐

The result of callus induction showed that callus emerge only in the medium's
treatment of M2 with an average rate of callus induction on the 14th day. While themedium's treatment of M1, M3 and M4 do not indicate the presence of callus.

331

Figure 1. The result of callus induction on the lateral part of Moringa leaf explants in M2 medium (black circle)

The texture of callus on M2 medium is compact and has a white color. Likewisewith other medium explant white although not induced callus.
Based on referrence (George and Paul, 2008), a variation of PGR with a ratio of
NAA : Kinetin (0.5:1) shows the best variation of PGR to encourage the growth of callus
induction from Moringa leaf explants. Growth of callus formed at the edge of the explant(part of the injury) is in direct contact with the medium called the Callogenesis (Fatima
and Perveen, 2016). This is because the process making of medium nutrient by explant.
The absorption of nutrients will be better if direct contact between the medium with theabaxial leaves. The emergence of callus on the injured due to the stimulation of tissue inthe explants to cover the wound. Cell division that leads to the induction of callus
occurred on their response to cuts and supply natural or artificial hormones from theoutside in explants (Robbiani et al., 2010).
NAA role in stimulating the growth of callus, root, division cell, elongation cell, theorgans and stimulate the apical dominance in meristem tissue with a certain
combination with other PGR (George and Sherrington, 1993). Kinetin acts as a synthetic
compound of cytokines hormones that play a role in the increase of induction anddevelopment of plants (Dwimahyani, 2005). The high activity of cytokines than theauxin with lower concentrations can induce the embryogenic callus induction(Yamamoto et al., 2012).
In the treatment of M1 medium does not appear any callus. According to(Purnamaningsih, 2006), the factors influencing the growth of explants are the type andthe concentration of used growth regulators. If there is no additional PGR, so there is no
stimulation to trigger the induction of callus.
In the treatment of M3 and M4 medium did not show the induction of callus due tovariations in the concentration of PGR between NAA and Kinetin that do not fit ininducing callus (Yamamoto et al., 2012). Explants have the ability to produce
endogenous auxin. The addition of high auxin in the culture medium causes
disproportionate interaction with endogenous auxin and therefore can not induce thecallus (Lidyawati et al., 2012). Auxin hormones induces the secretion of H+ ions out of332

the cell through the cell wall. Acidification of the cell wall causing K+ ions are taken to
reduce the potential water and cells, as a result of water into the cells and the cells toswell. Auxin also influences the metabolism of RNA and protein metabolism throughtranscription (Rahmaniar, 2007).
The formed callus has a compact texture and white color. The compact texture
illustrates the power of regeneration to form shoots and root. According to (Amin et al.,2007), callus be able to has compact texture if the cell or another part of cells do noteasily separated and the texture is hard (Gunawan, 1988). The texture of compact callus
is the effect of cytokinin and auxin affects the water potential inside the cell. Auxin willloosen the fibers of the cell wall, making the cell walls more flexible and nutrientscontained in the medium will diffused. This will continue until the water potential andosmotic potential balanced and cells become turgid. Turgid cells with the addition ofcytokines will influence the division and elongation cell so that the induction of the cellwall more quickly and be compact callus.
The white color of callus caused by the absence of light on the placement of aculture bottle in dark room. It aims to accelerate the growth of explants. According to(Evans et al., 2003), the lack of light during the development of plant will cause
etiolation symptoms, which the stem will grow faster but weak and the leaves are small,thin and pale (not green). Etiolation symptoms are caused by a lack of light or the plants
are in a dark room.
The white color of callus has not contain chloroplasts, but it contains starch
granules which is a polysaccharide deposits in plants. Lighting factors also play a role in
the induction of callus. The color change that occurs in callus due to the pigment and isaffected by nutritional and environmental factors such as light (Gunawan, 1988).

4. Conclusion
The most effective concentration of plant growth regulator for callus induction ofMoringa oleifera leaf explants was MS medium supplemented with NAA 0.5 ppm +Kinetin 1 ppm) with the average rate of callus induction on day 14.

Acknowledgements
This study was funded by Laboratory of Plant Bioscience and Engineering,
Department of Biology, Faculty of Mathematics and Natural Science, Institut Teknologi
Sepuluh Nopember.

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334

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

THE UTILIZATION OF CaO NANOPARTICLES FROM LIMESTONE
AS A COUNTERMEASURE EFFORT OF SO2 GAS EMISSIONSIN PT. SEMEN PADANG USING CORPRECIPITATION METHOD
Arif Munandara, Randi Proska Sandrab, Yesi Marta Saputric, Melati Putri
Pramitad, Ananda Putrae
aMining Engineering, Faculty of Engineering State University of Padang, Jl. Belibis Blok E

13 Air Tawar Barat, Padang 25131, Indonesia
bEducation of Informatics Engineering, Faculty of Engineering State University of Padang,

Jl. Belibis Blok E 13 Air Tawar Barat, Padang 25131, Indonesia
cChemistry, Faculty of Mathematics & Science State University of Padang, Jl. Belibis Blok A

12 Air Tawar Barat, Padang 25131, Indonesia
dEducation of Chemistry, Faculty of Mathematics & Science State University of Padang, Jl.

Gajah No 2 Air Tawar Barat, Padang 25131, Indonesia
eChemistry, Faculty of Mathematics & Science State University of Padang, Jl Mustang No.8

RT06 RW03 Tunggul Hitam, Padang 25176, Indonesia

Abstract
Air pollution is caused by poor air quality. The increased of human activities
today, especially in industry affected the air quality. For instance, cement industry that
produces dust particulates and exhaust gas emissions from incineration in cement
production. These exhaust gas emissions consist of sulfur dioxide (SO2), carbon monoxide(CO), carbon dioxide (CO2), nitrogen dioxide (NO2) and ozone (O3). Some efforts have been
done to prevent dust waste and exhaust gas emission especially hazardous SO2 from
cement processing factory by using dust vacuum machine such as electrostatic
precipitator (ESP). However, this effort has not been able to optimize the prevention ofdust waste and gas emission pollution yet. The generated sulfur dioxide (SO2) gas willreacted with water vapour and form sulfuric acid which fell with the rainwater, causing
corrosive acid rain. Alternative solution for these problems could be done by using CaO
nanoparticles from limestones. Sulfuric dioxide (SO2) gas emissions be reacted with CaO
nanoparticles directly (based on equilibrium thermogravimetric). This study used aqualitative descriptive and quantitative approach with several stages of research; CaO
nanoparticles synthesis and particle characterization by using X‐ray diffraction (XRD) andFourier Transform Infrared (FTIR). The synthesis process of CaO nanoparticles done byusing coprecipitation method and characterization with X‐ray Fluorosence (XRF). CaO
nanoparticles produced in this process be reacted with PT. Semen Padang’s SO2 exhaustgas emission and form CaSO3 with various CaO to SO2 absorption time; 15 minutes, 30
minutes, 60 minutes and 120 minutes. The result is the optimum absorption of SO2 occurs
at the 30th minutes with sulfur level (%); 0.563% in the form of elements, 1.159% in thegeology, and 1.159% as oxides.
Keywords: SO2 gas emissions; CaO nanoparticles; Coprecipitation; PT. Semen Padangarifmunanadar225@gmail.com, brandiproska@gmail.com, cyesimarta.s@gmail.com, dmelati2303@gmail.com,
anandap@fimpa.unp.ac.id

a
e

335

1. Introduction
Air is one of the most important elements of life, compared to drinks and food, air
is more needed to survive. The air quality that inhaled by living creatures influence thesustainability of life. The decrease of air quality is caused by air pollution as a result of theincreased urban activities such as transportation, trades, energy generator, households,
and industries.
The cement industry is one of the potential cause of air pollution as an effect of
the cement processing that generate exhaust gas emission. Some potential gas that can be
pollutants in environment are sulfur (SO2) and nitrogen (NO2). The generated sulfur
dioxide (SO2) gas will reacted with water vapour and form sulfuric acid which fell withthe rainwater, causing corrosive acid rain. Acid rain will increase acidity of the soil andsuperficial water which is harmful for fish and plants. In 2012, PT. Semen Indonesia(Persero) Tbk. produced cement as much as 9,279,800 tons with load of SO2 emissions
generated in the amount of 287,823 kg (Anonymous, 2013).
Air pollution in Padang city caused by several industries. Based on the data from
Regional Environmental Impact Management Department (BAPEDALDA) Padang, eleven
big factories engaged in the processing of raw materials causing air pollution in Padangcity. The two types of factory which have potential for causing pollution are rubber factorythat emit odour and cement factory that have a major impact. Pollution caused by cement
factory is not only bad smell but also dust, dirt, and gas emission such as carbon monoxide(CO), nitrogen dioxide (NO2), sulfur dioxide (SO2), lead (Pb) and ozone (O3) (Suryani &Upe, 2010).
PT. Semen Padang is a cement industry in Padang city that produces dust
particulates and exhaust gas emissions from incineration in cement production. It uses
dust vacuum machine such as electrostatic precipitator (ESP) to prevent dust waste andexhaust gas emission. However, this effort has not been able to optimize the preventionof dust waste and gas emission pollution yet. The Head of BAPEDALDA Padang City statedthat the air monitoring equipment in PT. Semen Padang could not measure the quantityof air pollution accurately, while the filter device is still not qualified yet.
Based on the matters above, it is significant to study about countermeasure of SO2
gas emission in PT. Semen Padang through utilization of CaO nanoparticles as an effort to
reduce gas emission which pollute air. The purpose of this research is to analyse the roleof CaO nanoparticles in cement processing system to reduce SO2 gas emission in PT.
Semen Padang.
2. Material and methods
2.1 Types of researchThis research use descriptive qualitative and quantitative approaches based on
the study of literature and research results. These approaches are expected to provide athorough overview about the potential of the object study. In this case, the authors
provide an alternative solution to overcome SO2 gas emission in PT. Semen Padang byconducting experiments in the laboratory.
2.2 Tools and material
The tools used in this research are glassware, mortar pestle, stirrer (Selecta
Multimatic‐5N), furnace (Neycraft), oven (France Etuves XU 225), analytical balance(KERN ABS), FTIR (Perkin Elmer), XRD (X 'Pert Pro), XRF (PANalytical), iron pipe, plastic
glass, rubber bands and straps.
The material used in this study are limestone, 1 mL glacial acetic acid CH COOH,
0.15 M H2C2O4 oxalic acid, distilled water, acetone and ethanol C2H5OH.
336

2.3 Technic design
2.3.1

Synthesis of CaO nanoparticles

CaO nanoparticles are synthesized from limestone and then acetic acid is added
to produce Ca CH COO . Then, it is dissolved in distilled water to produce 100 mL of 0.1
M calcium acetate Ca CH COO . The precipitate of CaC O calcium oxalate obtained byadding 50 mL of 0.15 M oxalic acid slowly while stirring it at 160 rpm for 12 hours at room
temperature. The solid product is obtained with a centrifuge, followed by washing it
consecutively with distilled water and acetone and dried it in an oven at 120oC for 12hours. The dry solids are calcined in a furnace at 800oC temperature for 6 hours.
2.3.2
Characterization of CaO nanoparticles

Analysis of functional cluster

Analysis of functional cluster uses a spectrophotometer Fourier Transform Infra‐
Red (FTIR), which is done by mixing the sample into KBr pellets with 1% sample
composition of the total mixture. Then, it is characterized in wave numbers between 4000
cm‐1 to 400 cm‐1.


Analysis of crystallinity

Characterization using X‐Ray diffraction (XRD) conducted to identify the
crystalline phase and to analyze whether the samples that have been synthesized form
CaO nanoscale materials or not. CaO samples are changed into powder for the purposesof XRD characterization. A total of ± 0.2 g sample is placed into a mould (sample holder)
and then irradiated with Cu Kα radiation source ( = 1.54056) with 2Ɵ angle range at 5‐
90o, and scan speed 0.020o.


The reaction of SO2 and CaO nanoparticles

After CaO nanoparticles are synthesized, the particles are reacted with SO2 gasemission from cement processing. Before the exhaust gas enters the chimney to bereleased into the air, it is reacted first by making some sort of reservoir space exhaust.
The chamber is contained with CaO nanoparticles, so that when the SO2 gas enter the
space, it will react spontaneously and generate CaSO3 salt. CaSO3 is placed into the sample
container.
2.1 Testing technic / data acquisition
After CaO nanoparticles are synthesized, the particles are reacted with SO2 gasemission from cement processing with various SO2 absorption time by CaO nanoparticles.
Before the gas emission reach the air, they are flowed into a plastic glass through an ironpipe. The plastic glass contains CaO nanoparticles, so that when the SO2 gas enter thechamber, the SO2 gas emission react spontaneously with CaO nanoparticles to produce
solid CaSO3. From these reactions, the level of sulfur (S) (%) to absorption time aredetermined by using X‐Ray Fluorescence (XRF).
2.5 Data analysis techniques
Data analysis in the qualitative and quantitative writing based on the results ofresearch and literature review. The data collected in a certain period of this research.
There are two main models for data analysis in qualitative writing; flow model analysis
337

and interactive model analysis. In this study, the author use an interactive model that
includes four components: data collection, data reduction, data presentation (display)and data verification / conclusion drawing. Data analysis and synthesis can be shown inthis illustration below

Figure 1. Flow Chart of interactive models of analysis

2.6 Flow stages research activities
Synthesis of CaO
nanoparticles

Analysis of CaO nanoparticles
functional groups using FTIR

Analysis of the crystallinity of the
CaO nanoparticles using XRD
Analysis of sulfur content(%) contained in a sampleof the reaction with time
variations

The reaction of CaO
nanoparticles with SO2 gas

Figure 2. Flow stages research activities

3. Results and discussion
3.1 Synthesis of CaO nanoparticles
CaO nanoparticles that synthesized from limestone are aimed to be reacted with
SO2 gas emissions from the burning of coal at PT. Semen Padang, thereby reducing thelevels and impact of SO2 gas emissions in the air. The synthesis is done by a particularmethod named coprecipitation which is one method of synthesis for inorganic
compounds based on the deposition of more than one substance together when passing
through the point of saturation (Rosyidah, N., et al). The CaO nanoparticles aresynthesized by adding glacial CH3COOH acetic acid into limestone that has been grinded
to form a precursor, namely Ca(CH3COO)2 and the similar settling agent that was used by
Kanade, et al (2006). The settling agent is in form of a solution of oxalic acid H2C2O4 withconcentration of 0.15 M. This study uses distilled water as the solvent. Ca CH COO is
dissolved in distilled water until the volume of solution become 100 mL and obtained
solution becomes 0,1 M Ca CH COO . The turbid solution of 0,1 M Ca CH COO isformed as a result.
The next process is adding 0.15 M oxalic acid solution dropwise while stirring byusing a magnetic stirrer at 160 rpm for 12 hours (Rahmawati, S., 2011). Then, it is covered338

with aluminium foil to prevent evaporation in the solution. The result is the increased ofturbid solution and white coloured which indicated that the solution has been saturated
and it forms a solution of calcium oxalate, CaC2O4. The coprecipitation reaction is shownas follows, Kanade, et al (2006):
Ca CH COO l

H C O l → CaC O s

2CH COOH l(1)

The obtained result then centrifuged to separate solid CaC O from solution. The
precipitate obtained is washed using distilled water and followed by acetone to remove
unreacted oxalic acid residual (Kanade, et al. 2006) and eliminate the organic compounds
in CaC O . The obtained result is a white precipitate.
The white precipitate of CaC O is dried in an oven at 120o C for 12 hours(Rahmawati, S., 2011). Once dried, it is calcined at 800° C for 6 hours to remove oxalateions and remaining organic compounds and to obtain smaller particle size (Rahmawati,S., 2011). The CaO nanoparticles that are formed can be seen in Fig. 3.

Figure 3. The solid white of CaO nanoparticles

During calcinations process, the limestone CaCO O decomposes into CaO andcarbon dioxide gas CO2 by ∆H298 = 177,8 kJ. Calcination process produce the whitecoloured CaO nanoparticles. The decomposition reaction of solid calcium oxalate into
calcium oxide solids are written in the following equation:

CaC O H O → CaC OCOCaC O → CaCO
CaCO → CaO CO

H O

(2)

3.2 Characterization of CaO nanoparticles
3.2.1

Analysis of functional cluster

The Analysis of the functional cluster is performed using FTIR spectrophotometerat a wavelength of 4000‐400 cm‐1. The result of FTIR spectra then analyzed qualitatively
to determine the functional cluster. The analyzed samples are synthesized CaO
nanoparticles of the limestone. The FTIR spectrum of CaO nanoparticles can be seen in
Fig. 4.
In Figure 4, it can be seen that a sharp peak at wave number 3639.71 show
stretching vibration of the OH group Ca(OH)2. Broad peak centered at 2992.12 cm‐1
related to the ‐OH stretching vibration of H2O, showed the presence of water absorbed on
the surface of CaO. Peak at wavenumber 1786.79 cm‐1 can be interpreted as carbonyl (C =O) caused by the carbonyl stretching mode.
1
2

The coprecipitation reaction
The decomposition reaction of solid calcium oxalate into calcium oxide solids

339

The wave number (cm‐1)
Figure 4. FTIR spectrum of the CaO nanoparticles

Peak at wave number 1424.68 cm‐1–1199.18 cm‐1 can be interpreted as thestretching vibration of symmetry and asymmetry from O‐C‐O bonding of monodentate
carbonate on the surface of CaO. Band at wave number 877.01 cm‐1 is the bucklingcarbonate cluster vibration. This is consistent with the explanation of Yulianti, CH (2011).
3.2.2

Analysis of crystallinity

Intensity (a,u)

The analysis of crystallinity aims to determine the degree of crystallinity of the
CaO nanoparticles. The analysis is performed using an instrument X‐Ray Diffraction(XRD). According to Albuquerque et al. (2009), in the CaO nanoparticles, the synthesis
result is still having a diffraction pattern associated with the phase of CaCO .
Diffractogram of the CaO nanoparticles test results can be seen in Fig. 5.
In Fig. 5, the peak at 2ϴ area which is 18.05o is the culmination of Ca(OH)2. The
peak of CaO appears in the region 2ϴ is 54.30o with the intensity of 9.88%. But in
diffractogram, the analysis results using XRD shown a sharp peak in 2ϴ at 29.36o, it
indicates that CaCO3 peak with a higher intensity. A sharp peak indicates that the analyzed
samples are crystalline compounds, because the crystalline compounds characterized bysharp peaks in the FTIR spectrum.

Figure 5. The diffractograms of CaO nanoparticles

The magnitude of the intensity of CaCO3 in XRD analysis difragtogram caused by
CO2 impurity compounds that reacted with CaO when the samples are characterized using340

XRD. This allows the formation of CaCO3 through the absorption of CO2 from theatmosphere that react slowly with CaO. The chemical reaction that occurs is as follows:

CaO

CO → CaCO(3)

3.3 The reaction of CaO nanoparticles with SO2 gas emission
The sample that used is the SO2 gas emission which derived from PT. Semen Padang
where is located in Indarung IVC. The analysis is done by varying the time, such as 15
minutes, 30 minutes, 60 minutes and 120 minutes. The reaction of CaO nanoparticles with
SO2 gas emission is done spontaneously. Through iron pipe, the gas emission isaccommodated in a plastic glass which contained CaO nanoparticles. With the existenceof gas emissions in these reservoir, CaO nanoparticles reacted immediately by absorbing
and reacting with the gas emissions (absorbent). The reaction is as follows:

CaO

SO → CaSO(4)

The results of CaO nanoparticles reaction toward the gas emission in the PT. Semen
Padang can be seen in Fig. 6.

Figure 6. The results of CaO nanoparticles reaction against the gas emissions
in PT. Semen Padang

In Fig. 6 can be seen the difference of the color from the white solid CaO becomesbluish by the variation of time. It is because there is a reaction with chimney gas emissions
Indarung IV C in PT. Semen Padang.
The gas emission get into the reservoir consist of SO2, NO, CO and dust particulate.
In this sampling, the levels of compounds in gas emission from incineration was analyzed.
Analysis is done by direct reading methods (insitu) using a gas analyzer.
The tool can be directly used to determine the concentration of air contaminants. It
uses a sensor system based on the chemical and physical properties of contaminants(Arief, M). The result of the measurement can be known directly from its print‐out. Gas
analyzer is connected to the chimney and set to zero, then the sensor is inserted into ahole in the chimney where sample is analyzed. Automatically, the tool works and theresults are shown on the monitor.
The results of gas emission analysis from the chimney of Indarung IV C PT. Semen
Padang showed that the levels of SO2, NO, and CO are respectively 9 mg/m3, 48 mg/m3
and 171 mg/m3. Furthermore, the gas emission reacts with CaO nanoparticles and form asolid CaSO3. The relation of absorption time to the level of sulfur (SO2 gas emission) inabsorption by CaO can be seen in Fig. 7.
3
4

The Chemical Reaction of CaCO3
The Reaction of CaSO3

341

Sulfur level (%)

1.4
1.2
1
0.8

S (element)

0.6

SO3 (geology)

0.4

SO3 (oxides)

0.2
0
0

15

30

60

120

absorbtion time (minute)
Figure 7. The relation of absorption time to the level of sulfur (S)in absorption by CaO

Calcium level (%)

In Fig. 7 shows that the sulfur level, S (%), at the 30th minutes in the elemental form
(0.563%), the geology (1.159%) and as an oxide (1.159%) are higher than the level ofsulfur in the 15th, 60th, and 120th minutes. At the 30th minutes, it shows that the SO2 gasemission reacts to CaO more than in the 15th, 60th, and 120th minutes. This is evidenced by
the reduced levels of calcium in the absorption by CaO, can be seen in Fig. 8.
97
96.5
96
95.5
95
94.5
94
93.5
93
92.5

Ca (element)
CaO (geology)
CaO (oxides)
0

15

30

45

60

75

90

105 120

absorbtion time (minute)
Figure 8. The relation of absorption time toward the levels of calcium (Ca) in absorption by CaO

Fig. 8 shows that the levels of calcium (Ca) lower at the 30th minutes. This is because
at the 30th minutes the absorption of CaO to SO2 gas emission is higher than at the 15th,
60th, and 120th minutes. Thus, from the results of research, the optimum absorption of CaO
nanoparticles to the emission of SO2 gas is for 30 minutes.

4. Conclusion
The result of CaO nanoparticles synthesis from limestone by coprecipitation
method obtained in the white solid. The characterization of CaO nanoparticles produced
include the analysis of functional cluster and crystallinity showed that the analysis offunctional cluster are the peaks of the OH cluster of Ca(OH)2, ‐OH cluster of H2O, carbonyl(C = O) and OCO cluster, and the crystallinity are Ca(OH)2 peak in the region of 2ϴ angle
is 18.050, CaO peak at 2ϴ is 54.300, CaCO3 sharp peaks at 2ϴ is 29.360. The sharp peakindicates that the sample is a crystalline compound. The reaction of the CaO nanoparticles
with SO2 gas emission is the formation of solids CaSO3. The optimum absorption time in
the SO2 absorption process by CaO nanoparticles is 30 minutes where the sulfur S (%)
level of the reaction results is 0.563% in elemental form, 1.159% in geology and 1.159%
in oxides.

342

Acknowledgement
The researchers would like to address our first gratitudes to Rector, Vice Rector
III and Lecturer of State University of Padang for the chances to strengthen our academic
intellectuals, big thanks to Mr. Amrullah Rangkuti, Mr. Musytaqim Nasra and employees
in Safety, Health and Environment Department of PT. Semen Padang for their beneficial
thoughts and conveniences to allow us doing the research. We also thank you very muchfor drg. Rifani, Jeki Aridianto, S.Pd and Monica for always showed his open mind to giveevaluative suggestions for this research.

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emisi/#.VDwq8RCSzq Last Accessed 10 October 2016
Arief, M. (2015). Metode Sampling. Jakarta: Universitas Esa Unggul.
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153). New York: W. H. Freeman and Company.
Kanade, K.G., et al. 2006. Effect of Solvents on the Synthesis of Nano‐Size Zinc Oxide and Its
Properties. Journal of Elsevier. Vol. 41: 590‐600.
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Batu Kapur Kelurahan Tellu Limpoe Kecamatan Suppa. Jurnal Sains dan
Pendidikan
Fisika. Jilid 11, Nomor 2, Agustus 2015, page 169 – 172. Makassar: FMIPA Universitas Negeri
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p.1‐7. Surabaya: Institut Teknologi Sepuluh Nopember.
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Penurunan Kapasitas Fungsi Paru. Semarang: Universitas Diponegoro.
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Yulianti, CH. (2011) Sintesis dan Karakterisasi Katalis Nanopartikel CaO. Jurnal Teknika.
Vol.3. No.2. Jawa Timur: Universitas Islam Lamongan.

343

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Young Teak Application for Making ProductsCase Study: Young Teak from the Teak Plantation inWest Java Area, Indonesia
Imam Damar Djatia and Mitsunori Kubob*
aProgram Studi Desain Produk, Fakultas Seni Rupa dan Desain, Institut Teknologi

Bandung, Jl. Ganesha 10, Bandung 40132, Indonesia
bDepartment of Design Science, Graduate School of Engineering, Chiba University,

1‐33 Yayoi‐cho, Inage‐ku, Chiba‐shi, Chiba, 263‐8522 Japan.

Abstract
The demand of wood is increasing, but the supply is limited, on the contrary, there areamount of potential young teaks (Tectona grandis L.f.) from the thinning of teakplantations that could contribute to meet this demand. This research intends to develop
the suitable application of potential young teak from the thinning of the teak plantationin West Java area, Indonesia, for making products by taking the advantage of its
prominent mechanical properties and characteristics. This research has assessed themechanical properties, including bonding practice, and the characteristics of young teakfrom each of age classes in the rotation age of 40 years. Mechanical properties of young
teak are the determination of its MOR and MOE, The result shows that there is no
significant difference of strength between teak and young teak among the age classes,
and young teak is having better bonding performance than mature teak. Characteristics
of young teak vary in the grain of border and its color. Various contrast border‐patterns
between sapwood and its heartwood parts have been identified, and by using the certain
configuration and joint systems create the unique appearances for application into
various products. Approaches and methods in this research are also practicable to be
applied for another wood species in which comprise sapwood and heartwood part intheir wood trunk.

Keywords
Young teak; border‐patterns; configuration; unique appearances; application

1. Teak and Young Teak
Teak (Tectona grandis L.f.) has been recognized as one of the famous andimportant species of tree from the tropical areas. Wood from teaks is well known for its
pleasant color, fine grain, and durability. The heartwood of teak varies from yellow
brown to rich brown and frequently shows streaks of dark color. The wood has coarse
texture, straight‐grained, distinct oily feel, and unpleasant odor of leather when freshlycut (Pandey, 2010). Teak can be seasoned well but it is rather slowly and therefore
requires more than ordinary care in determining both the initial and final moisture
contents (Glass, 2010). Teak can be finished and glued satisfactorily, although some pre‐* Corresponding author. Tel.: +62 8122023903. E‐mail address: imamdj@fsrd.itb.ac.id344

finishing and special surface treatments may have to be considered to ensure goodbonding of finishes and glues (Wiemann, 2010), and therefore teak is categorized as thewood with difficulty in bonding, as the effect of its high density, moisture, and extractive
content inside the wood cells (Frihart, 2010).
Currently, teak is used in the construction of boats, furniture, decorative objects,
veneer, and many other products. Teak has become the most tropical hardwood indemand for a specific market of special and luxury applications because of its strength,
durability, and distinctive aesthetic qualities (Wiemann, 2010). Now in the market andproduction of wooden teak products, there are not only mature teaks that usually could
be bought and to be used, but also available young teaks for this occasion, as an effect ofwood increased in demand but on the other hand it become limited in supply.
Application of teak (mature teak) as one of the prominent material for making thespecial and luxury products are have been being used from hundreds years ago until
now, but on the other hand, the use of young teak for making products is just to beconsidered about several years ago, due to the market demand of wood material isincreasing, while the mature teak is becoming higher in market price and the supply ofteak from the natural forest has decreased during the time. The other aspect also has
occurred that the area of teak plantation is increased and therefore the supply of teak is
dominated from the teak plantation in which the young teak is included due to thethinning process of its teak plantations (FAO‐UN, 2012).
The period from planting until harvesting is called the rotation age. Teakplantations in Java Island, Indonesia, which is managed by Perum Perhutani, use therotation age of 40 years and the rotation age of 80 years. During the rotation age, anumber of young teak trees, which mostly comprise sapwoods, will be felled due to thethinning to stimulate the best growth of remaining teak trees in the teak plantations. As
a particular case, in one of the teak plantations, for 1 hectare of teak plantation with thesite quality index of bonita III/IV (average quality class) and rotation age of 40 years,
from 1,769 5‐year‐old teak trees will be felled regularly during the rotation age until
277 39‐year‐old teak trees remain at harvesting. There are six site classes (bonita I ‐bonita VI) for recognizing areas of teak plantation in Java, and each site class has
different thinning for felling a number of its teak trees (PT. Perhutani, 2001).
At the present, only in Java Island, there are at least 1.21 million hectares of teakplantations. This is the second largest area of teak plantation in a country in the world(Kollert, 2012). The average production of logs and timbers from these teak plantations
area are 0.4 million m3 annually (Perum Perhutani, 2014). Consider to the significant
amount of young teaks from the thinning is available, it is necessary to utilize thesepotential material become suitable products by taking the advantage of its mechanicalproperties and prominent characteristics to enhance its utilization and value. This isimportant for Indonesia especially, who has the wide teak plantation area that is
possible to be increased for getting the advantages from this potential material
optimally, both at present and in the future.
Although the young teaks and teaks from the thinning are have been utilizing formaking products, but the assessment to its mechanical properties and characteristics is
relatively limited. The data and information about teak usually refers to its mature teak.
Description about properties and its characteristic of teak especially refer to theheartwood part of the mature teak. It will be different to the young teak.

345

2. Material and Methods
Teak materials for making of specimens of tests in this research are obtained fromthe West Java area, Indonesia, which is categorized as:
 The young teak logs from the thinning of teak plantation, which is still comprise
mostly sapwood part; and Small beams or planks of sawing and re‐sawing of teak logs, timbers, or lumbers,
which is still contain proportions of both sapwood and its heartwood part. These arerecognized as removed waste material, not standard size and narrow relatively.
The mechanical properties of young teak from the thinning of West Java area’s
teak plantation has been recognized in the previous research that is determined uses
static bending test (three points). In this research, another six additional tests have been
conducted to complete the mechanical properties of young teak in particular, those are : Compression Strength Parallel to grain; Tension Strength Parallel to grain; Compression Strength Perpendicular to grain; Tension Strength Perpendicular to grain; Cleavage Strength Parallel to grain; and Shearing Strength Parallel to grain.
For the tests occasion, teak material has been categorized in range as Age Class I‐II
(10‐20 year‐old) and Age Class III‐IV (30‐40 year‐old). Standard methods for testing are
adapted and modified from the ASTM, Designation: D 143 (Small Clear Specimens ofTimber) (ASTM, 2010), and then it is combined to SNI 03‐3960‐1995, Test Method forModulus of Bending Elasticity of Wood in Laboratory (SNI, 2013). The laboratory fortesting is conducted at Structure Engineering Laboratory ‐ Bandung Institute ofTechnology, Indonesia. The device/machine for testing is Universal Testing Machine(UTM) Ibertest, series Eurotest ‐ 200, Made in Spain; Year of production is 2012. The
speed of testing (displacement control) of UTM is set to the type of control by position,and the speed is set according to the standard for each test categories respectively, but
the load control for all of the test are set at 98.0665 N/s (load increasing). Time of tests
has been arranged in March and September 2013.
For getting the appropriate result, before the test is started, all of the specimensmust be confirmed of its moisture, it is not exceed more than 20% (standard of
maximum), and also the humidity and temperature of the place where the test is
conducted. The tests have been conducted in relative humidity 60% (±5%) andtemperature 250C‐270C, and the moisture content of the specimen is 15%‐19% at radial
and 16%‐19% at tangential. Number of specimen is 2‐3 pieces for each age classes andeach type of specimen respectively that is conducted for six additional various tests.
The basic data has been added also by the Measuring of Weight Density, as one ofdetermination factor for confirmation of strength class, and in this case, the weight
density as a sample to compare among the specimen from the various age class andwood species. This research also has been conducted of tests for getting the bonding
properties of young teak in particular. Falcata (Paraserianthes falcataria) and Kapur(Dryobalanops beccari), are used for comparison in bonding test. These wood are
represented as bond easily and bond with difficulty, according to ease of bonding
categories (Frihart, 2010). Type of adhesive that is used in these tests is poly vinyl
acetate (PVAc), as an ordinary glue for bonding of wood in general occasion.

346

This research also has conducted to determine the characteristic of color lightnessof teak surface from the previous research. The data is determined uses lux meter atdaylight shade in the midday condition (± 20,000 lux), and the distance between lux‐
meter to the specimens is 100 cm. The main purpose of this determination is conducted
for getting the ratio comparison among various teak surfaces after coloring by colorant(food grade type) and water based polishing respectively.

3. Research Finding
3.1

Strength Class of Young TeakAccording to the strength classification of the wood in Indonesia, as it is describedin Table 1, the strength class of wood is divided into five classes and refers according to
the weight density and MOR of its wood, and teak from Java Island has been recognized
as the wood with the standard strength class II (Martawijaya, 1981). Based on theprevious research that is compared to the standard strength class of wood, and therefore
the young teaks from various age classes can be classified for having the strength in thesame range with mature teak, according to its density and the result of Modulus of
Rupture (MOR), as it is described in Table 2. The exception is just for sapwood of age
class I, which the MOR is lower than the minimum of standard (Djati, 2015).
Table 1. The standard of strength class of wood in Indonesia (Martawijaya, 1981)
Strength Class

Weight Density

MOR (MPa)I> 0.90> 107.87

II0.60 ‐ 0.90

71.098 ‐ 107.87

III

0.40 ‐ 0.60

49.03 ‐ 71.098

IV

0.30 ‐ 0.40

35.30 ‐ 49.03

V< 0.30< 35.30

Table 2. Test data sheet of static bending (Djati, 2015)
Speed of Testing
0.1 inch/min (2.54 mm/min)
Size of Specimen
20 x 20 x 300 mm3 (width x depth x length)
Age ClassPart in(year‐old)TrunkWeight Density
Max. Load
MOR (MPa)
MOE (GPa)(gr/cm3)
(kN)
0.613
1.004
52.7096.989
SWI(1‐10)
HW
0.635
1.529
80.263
7.051
0652
1.741
91.41310.029SWII(11‐20)
HW
0.617
1.650
86.657
8.893
0.622
1.744
91.570
9.332
SWIII(21‐30)
HW
0.720
1.745
91.6159.438
SWSize of sapwood part is smaller than the minimum standard size of specimen for testingIV(31‐40)
HW
0.781
1.555
81.623
8.840
Teak (standard)
0.67‐0.75‐
101.106
12.523

3.2

Mechanical and Bonding Properties

The assessment also has been conducted to the number of tests for getting themechanical and bonding properties of young teak. Bonding practice has been conducted
and it has been compared the strength of bonding among teak, young teak and anotherwood material for comparison occasion. According to some research, teak has beenrecognized as the wood with bonding difficulty (Frihart, 2010). This recognition may
refer to the bonding property for mature teak, and therefore it is possible that the young
teak is having the different property. The determination to examine of bonding347

characteristic is necessary to be conducted for comparing the ease bonding categories,
and therefore the tests are conducted for each type of specimen, with and withoutadhesive applying. The test results for each type of testing that is especially applied to
the young teak specimens and another wood material are described in several Test Data
Sheets respectively. The tests results as are described in Table 3 ‐ Table 8, whereas
bonding tests are adapted to the four basic tests as are described in Table 4, 6, 7, and 8.
Table 3. Test data sheet of compression strength parallel to grain
Speed of Testing
0.024 inch/min (0.6 mm/min)
Size of Specimen
20 x 20 x 80 mm3 (width x depth x length)
Age Class (year‐old)Part in
Weight Density (gr/cm3)
Max. Load (kN)
Trunk
I‐II
SW
0.63
33.539(10‐20)HW
0.63
17.726
III‐IVSW‐‐(30‐40)HW
0.69
45.284
Teak (standard)
0.67‐

Table 4. Test data sheet of tension strength parallel to grain
Speed of Testing
0.05 inch/min (1 mm/min)
Size of Specimen
20 x 20 x 300 mm3 (width x depth x length)
Age Class (year‐old)Part in TrunkWeight Density (gr/cm3)
Max. Load (kN)
I‐II
SW
0.63
9.696
(10‐20)
HW
0.64
8.213
III‐IVSW‐‐(30‐40)
HW
0.69
9.631
Adhesive applied
I‐II
SW
0.62
1.583
(10‐20)
HW
0.69
1.654
III‐IVSW‐‐(30‐40)
HW
0.69
0.966
Falcata
0.33
1.268

Table 5. Test data sheet of compression strength perpendicular to grain
Speed of Testing
0.012 inch/min (0.305 mm/min)
Size of Specimen
20 x 20 x 60 mm3 (width x depth x length)
Age Class (year‐old)Part in
Weight Density (gr/cm3)
Max. Load (kN)
Trunk
I‐II
SW
0.63
5.516
(10‐20)HW
0.64
7.9525
III‐IVSW‐‐(30‐40)
HW
0.69
9.668

Table 6. Test data sheet of tension strength perpendicular to grain
Speed of Testing
0.10 inch/min (2.5 mm/min)
Size of Specimen
35 x 20 x 40 mm3 (width x depth x length)
Age Class (year‐old)Part in TrunkWeight Density (gr/cm3)
Max. Load (kN)
I‐II
SW
0.63
2.328
(10‐20)
HW
0.63
2.812
III‐IVSW‐‐(30‐40)
HW
0.69
1.872
Falcata
0.33
0.901
Kapur
0.59
2.297
Adhesive applied
I‐II
SW
0.63
1.732
(10‐20)
HW
0.64
1.773
III‐IVSW‐‐(30‐40)
HW
0.69
1.781
Falcata
0.33
0.640
Kapur
0.59
0.994

Max. Load to Area (MPa)33.53917.726‐45.28453.937Max. Load to Area (MPa)96.96382.135‐96.311
3.957
4.135
‐
2.390
3.173

Max. Load to Area (MPa)13.78819.878‐24.173Max. Load to Area (MPa)
5.820
7.031
‐
4.680
2.254
5.744
4.331
4.433
‐
4.453
1.601
2.486

348

Table 7. Test data sheet of cleavage strength parallel to grain
Speed of Testing
0.10 inch/min (2.5 mm/min)
Size of Specimen
35 x 20 x 30 mm3 (width x depth x length)
Age Class (year‐old)Part in TrunkWeight Density (gr/cm3)
Max. Load (kN)
I‐II
SW
0.62
0.730
(10‐20)
HW
0.69
0.874
III‐IVSW‐‐(30‐40)
HW
0.69
0.902
Adhesive applied
I‐II
SW
0.62
0.600
(10‐20)
HW
0.69
0.400
IIII‐VSW‐‐(30‐40)
HW
0.69
0.354

Max. Load to Area (MPa)
1.824
2.184
‐
2.256
1.500
1.000
‐
0.885

Table 8. Test data sheet of shearing strength parallel to grain
Speed of Testing
Size of Specimen
Age Class (year‐old)
I‐II(10‐20)
III‐IV(30‐40)Adhesive applied
I‐II(10‐20)
III‐IV(30‐40)3.3Part in Trunk
SW
HW
SW
HW

0.24 inch/min (0.6 mm/min)
20 x 20 x 30 mm3 (width x depth x length)
Weight Density (gr/cm3)
Max. Load (kN)
0.62
5.611
0.69
6.820
‐
‐
0.69
5.418

SW
HW
SW
HW

0.62
0.69
‐
0.69

Max. Load to Area (MPa)14.02817.049‐13.545

3.828
5.265
‐
1.319

9.568
13.162‐
3.297

Border Patterns and Color Characteristic

Based on the previous research, the border patterns and the contrast of color
between sapwood and its heartwood parts in mature teaks are usually obvious, and thisis contrary to the young teaks in which the borders vary due to the incomplete processfrom sapwoods become heartwood parts. The young teaks have been recognized forhaving various border patterns on its transverse, tangential, and radial surfaces. Various
types of border patterns, as shown in Fig. 1, are categorized in the transverse surface as(a) serrated edge, in contrast to the (b) curved edge; and (c) obvious edge, in contrast tothe (d) obscure edge. At both the radial surface and the tangential surface, the various
borders are categorized as (e) linear edge, in contrast to the (f) meandering edge; and (g)obvious edge, in contrast to the (h) obscure edge (Djati, 2015).

h
f

b
a
c
d

e
g

Figure 1. Various types of border patterns on transverse, tangential, and radial surfaces of young teak.

349

The difference of color intensity near to the borders edges on the heartwoodparts also vary; darker and brighter color alternate between early‐woods and late‐woods
at the growth rings, as an uneven process of formation and conversion of sapwood
becomes heartwood. The chemical and extractive content in the borders of teak are also
having the different content (Lukmandaru, 2009).
Color and lightness characteristic of young teaks those are compared to sapwood
and its heartwood parts that the lighter color of sapwood surfaces have specific effect,
i.e. to the finishing system as a consequence of the difference in color intensity ofsapwood and its heartwood parts. Difference intensity of basic color has shown from thevarious part of teak after polishing that use colorant and water base polish. In the samecolor using, the result has shown that the darker color surface appears from the piecesof heartwood parts and the lighter color surface appears from the pieces of sapwood
parts. Caused by the lighter color of sapwood surface, the coloring on sapwood surface
will appear more attractive and vivid than on its heartwood as shown in Fig. 2. The
sapwood surfaces are having higher lightness than its heartwood surfaces. This can be
determined that after the use of colorant, the sapwood part surfaces indicate the higher
ratio in which is compared to the mature teak in the same each color of colorantrespectively as is described in Table 9 and Table 10.

A
a

B
b

c
C

dD

e
E

F
f

g
G

H
h

Ii

Figure 2. Difference color intensity on the surface of mature heartwood (a, d, and g), young heartwood (b, e. andh), and young softwood (c, f, and 1) of teak after coloring.

Table 9. Lightness of Teak Surfaces
Teak Surface
without colorant(klx)
HW (mature)
5.7
HW (young)
8.1
SW (young)
10.4

use colorantGreen (klx)Blue (klx)
4.2
5.4
5.4
6.2
7.2
7.0

Yellow (klx)
5.3
6.4
8.9

Table 10. Ratio of lightness of young teak surfaces to mature teak surface
Teak Surface
withoutcolorantuse colorant(klx)
Red (klx)
Green (klx)Blue (klx)
HW (mature)111
1
HW (young)
1.42
1.12
1.28
1.14
SW (young)
1.82
1.29
1.71
1.29

Yellow (klx)
1
1.20
1.67

Red (klx)
4.1
4.6
5.3

4. Conclusion
The result of determination has shown that there is no significant difference in thestrength between heartwood and its sapwood of young teak, and the young teak has thesame strength class with the mature teak and therefore basically it is possible to utilize
this young teak for the ordinary application as well as the mature teak. Nevertheless,due to the trunk size of young teak that is narrower than the mature teak, therefore theapplication of young teak should consider the suitable products according to its limited
350

size. In addition, it is possible to enlarge the size of young teak, i.e. its thickness or its
width, by using of certain wood joint system. The result has shown also that bonding ispossible relatively to be applied for young teak especially, and this bonding
characteristic is usable for wood jointing in particular for making products in whichbonding is applied.
Mechanical properties and characteristics of young teaks and its various borderpatterns of sapwood and its heartwood part are prominent aspects that can be useful inpractical application for making various products. Data about the strength anddurability of young teak must be recognized for its application. Although young teak,which comprised mostly sapwood is considered to have the low durability, but someextra treatments are possible to be applied to enhance this low durability.
The attractive color of sapwood parts that usually recognized as a weakness ispossible to be the advantage, i.e. if these parts will be use for making suitable product,e.g. products for kids, such as toys, educational equipment, et cetera. The utilization ofyoung teak without any necessary modifications to its characteristics and properties isalso possible as long as the utilization take into consideration to the suitability of young
teak for the particular products.
Utilization of young teak for substitution material and for fulfil the demand ofwood in wooden products industry is possible to enhance the value of this young teakand also for getting the advantage for social empowerment and economical point ofview. This research approach and methods which has been applied to the young teak ispossible practicable also to apply for another wood species in which comprise sapwood
and heartwood part in their wood trunk.

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352

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Hybrid Bamboo – Ceramic Process for Tableware design
Hari Nugraha, Taufiq Panji Wisesa, Ismail Alif Siregar, E‐mail:hari.nugraha@upj.ac.id
Universitas Pembangunan Jaya, Jl Cendrawasih Sawah Baru, Ciputat Tangerang Selatan
Banten 15413, Indonesia

Abstract
The use of materials that comes from nature such as bamboo and ceramics has
been processed into fungsional products from centuries ago into its current form has
been used by man kind to fulfill our needs. The combining of bamboo and clay has also
been done generally. Usually the use of bamboo on ceramics products is for extra parts.
For example, ceramics container, the bamboo is used as the handle of the container.
Usually the process for both materials are separate and is joined at the final stage of the
manufacturing or assembly.
From the research that has been done, the process of mixing of both material canbe achieved by using a mixed hybrid material process, where the combination ofbamboo and clay that is integrated into one product can be achieved by applying heat
resistant chemical materials to the bamboo and baking it with the clay in the oven. The
temperature of the oven would be set at a low setting (6000C‐7000C). The use of thisMixed Hybrid Process in baking the ceramics and bamboo at the same time is hoped toachieve a functional product with inovative and aesthetic appeal, and can open the way
to new ways of mixing bamboo and clay ceramics.

Keywords

Bamboo; Ceramic; Hybrid; Mix material; Product Design

1. Introduction
Materials that comes from nature are used by people, one of them is the bamboo
plant. It is abundantly found in Indonesia from the Sumatra islands up to the east in areaof Papua. Traditionally bamboo is used for basic materials for various uses. Besides its
relatively cheap price, bamboo also has a high economic value. It is a sustainable
material because it grows and can be harvested in a relatively short time compared toother wooden materials. Bamboo characteristically has a high tensile strength tosupport weight and a high elasticity (Widaja 2001). In its use, bamboo is easy to be cut
and split. One of the advanced use of bamboo is to make a bio‐composite material which
can be used as a building material (Suhaily 2013).
In other Asian countries, bamboo has been processed into panel boards andparticle boards (Nikogomo 2017), meanwhile in Indonesia bamboo is still processed in a353

traditional manner by the artisans in Tangerang Selatan, an area in the province ofBanten. 80% of the use of bamboo in Indonesia is used for building construction
material (Warta Ekspor, December 2011 edition), beside that, bamboo is also used tomake homeware and tableware products. The bamboo used for this is the locally known
Apus Bamboo variety/ Gigantochloa Apus (Mayasari 2012). The tableware made frombamboo is commonly combined with other materials. The combination of thesematerials is to achieve an aesthetic look, or as a main component or support component
from a fungsional product. The commonly used materials for these combination is woodand rattan. Rattans are mainly turned into a weave and binding component to join thebamboo components.
Other development in the processing of bamboo materials in the traditional ormodern way is to make tableware product. The joining of this process results in a joined
clay‐bamboo (hybrid material processing) The clay that is used for this process is fromthe earthenware type. This type of clay is abundantly available in Indonesia and is easy
and cheap to procure (Jone 2015). This type of processing technic is used during
making, assembly or final finishing of the product.
Another technic from the research and experiments of the development of hybridmaterial processing for tableware products made from bamboo and clay is in the
beginning stage of assembly where the bamboo and clay is joined together to form theproduct before it is put into the kiln. The bamboo material will need to be heat treated
before it is joined with the clay so that it is not charred and burned when it is being
fired in the kiln. Because of the limitation of the heat resistant material, the process offiring the clay and and bamboo will be limited to a low temperature of 6000C‐7000C.
With the application of this technic bamboo clay hybrid process, it is hoped that a
new inovation and more diversified function of joining system of different components
of a earthenware product. Besides that with this technic new designs can be achieved,
where the different material can be combined into a more aesthetically pleasing
product. With this simple hybrid process, it is hoped that it can be used by small homeindustries in Indonesia, especially in the South Tangerang region of Banten province. For
the future, this hybrid process can be used to develop other products with different usesand functions.
abFigure 1(a) Ceramic tableware product; (b) Ceramic and bamboo for tableware product.

354

2. Material and Methods
2.1.

Research Object

The hybrid process that will be aplied to the tableware product wil use bamboo
and clay. The variety of bamboo used will be Dendrocalamus Asper, locally known as
Betung bamboo. This type of bamboo grows in humid areas and can reach a height of 20
meters. This type of bamboo is widely available in all of Indonesia. This bamboo ischosen because it has a thick body with a minimum thickness of +/‐ 0.5 mm and thediameter can reach up to +/‐ 25 cm, with a bending property of 161±11 MPa(Ardhyananta 2012), With this thickness, the bamboo can be processed into strips thatcan be turned into laminated bamboo trips. The thickness of the laminated bamboo thatwill be used for the supporting component is +/‐ 0.5 cm up to +/‐ 1 cm. The type of clay
used will be secondary clay (Earthenware) which could be fired in the kiln with a lowtemperature.
ab

Figure 2 (a) Bamboo strip material; (b) Bamboo laminated material.

ab

Figure 3. (a) Clay material (Earthenware); (b) Ceramic product.

The process of joining the bamboo and clay will need a heat resistant coating tohelp keep the bamboo from getting burned while the product is fired in the kiln. The
type of coating used will be ones that are commercially available, which is sodium
polyacrylate and ceramic fibre blanket uses for fire retardant (Raghuram 2016).
ab

Figure 4(a)Ceramic fibre blanket material; (b) Sodium polyacrylate.

355

2.1

Methods

The process of making the hybrid process is started with deterining the type ofheat resistant coating that will be applied to the bamboo and how many layers ofapplication will be needed so that it is heat proof so that the bamboo can survive during
the firing process inside the kiln. The heat resistant material must be able to protect thebamboo up to 700°C and it has to be able to keep its heat resistant property up to 3‐4hours. (the length of time needed for the clay to be fired inside the kiln for low
temperature firing). The kiln used will be using fire from a LPG (Liquefied PetroleumGas) source. The heat coating that will be used in the experiment is by coating andcovering the whole bamboo part thoroughly so that it would prevent any physicalchanges during the firing of the combined bamboo and clay in the kiln.
The next phase of the experiment will be to make alternative models of the
product. This phase is to examine the effectiveness of the hybrid combination process. It
is also used to determine the percentage of difference of shrinkage between when theclay is fired and before it has been fired. So that the size of the gap between bamboo andclay material can be accounted for and the shrinkage tollerance size can be documented.
3. Result and Discussion
3.1.

Result of heat resistant material coating experiment on bamboo

The experiment uses a ceramic fibre blanket as the insulation material to protect
the bamboo so that it does not burn and turn into charcoal. The ceramic fibre blanket
used has a thickness of 6‐12mm. The ceramic blanket is made from aluminua‐silica‐
zircon and is used generally for industrial uses where it is used to insulate equipmentsfrom high temperature. The experiment uses the heat insulation blanket to cover thebamboo components entirely.
To add the heat resistancy to high temperature during firing in the kiln, thebamboo material is first coated in with sodium polyacrylate material, the thickness of
this material used is ± 0,5cm‐1cm,then it is covered with the ceramic fibre blanket, To
keep any hot air from passing the insulation material, the whole surface must becompletely covered.
abFigure 5(a) Ceramic fibre blanket and sodium polyacrylate; (b) Bamboo material
ready to kiln process

356

a

b

Figure 6(a) Burning process inside the kiln; (b) Temperature
indicator (±700C )The experiment process uses bamboo with two thickness (4mm and 8mm) blades
which has been covered with the sodium polyacrylate and ceramic fibre insulationmaterials which are then fired up in the kiln with a temperature of 700°C for 4 hours.
The experiment shows that during the firing there are no changes to the bamboo
material with the thickness of 8mm, it is not burned at all. The 4mm bamboo blade
however shows some burning at the edges because the covering insulation material was
not covering the bamboo material sufficiently which causes hot air to come into contact
with the bamboo and burns it.
To find out how thick the sodium polyacrylate and ceramic fibre needs to be toprotect the bamboo material, a couple of experiment is done with various thickness of
insulating materials. The different thickness of the insulating materials is then fired in
the kiln for 4 hours with a temperature of 700°C. The results can be seen in table 1.
No

Table 1. Results of experiment on various thickness of insulation materials
Thickness of insulation materials (sodium
condition of bamboopolyacrylate and ceramic fibre blanket coating)material

1±3 mm

burnt and turned into
charcoal2±6 mmburnt and turned into
charcoal3±12 mmUnburned

4±18 mmUnburned

From the experiments shown in Table 1, the effective thickness of the insulationmaterial to protect the bamboo so that it is not burnt within the kiln temperature of
700°C is ±12 mm ‐ ±18 mm. This thickness will be used as standard for the following
experiments, which is the firing of the bamboo and clay material at the same time.

Figure 7. The result of kiln process, ±12 mm sodium polyacrylate and ceramic fibre blanket coating layer,bamboo thickness 4 mm.

357

Figure 8. The result of kiln process, ±12 mm sodium polyacrylate and ceramic fibre blanket coating layer,bamboo thickness 8 mm.

The kiln that is going to be used for the firing only has 1 heat source which is at
the back, this causes the temperature to be hotter at the bake of the kiln than the front,
this heat can cause the protecting insulation material to not work optimally. From theexperiments done to minimize the burning of the edges and surfaces of the bamboo
material during the firing process inside the kiln, the placing of the bamboo materialmust be further away from the source of heat of the kiln.
3.2.

Result of the tableware product experiment

The type of tableware product that will be made from the clay that is combinedwith bamboo is containers to store eating utensils such as forks, knives and water. For
other components parts using bamboo, it will be made from bamboo using the coldpress lamination system with inline lamination pattern (Sulastiningsih 2014) the
thickness of the laminated material is 10 mm, to form the component so that is moreergonomic and easy to handle and hold, and joined with the clay material (Oka 2008),
the laminated bamboo will be shaped and bended into a 90° angle.
baFigure 9. (a) Bamboo laminated bending mold; (b) Cold press bending processabFigure 10. (a) Bamboo laminated bending; (b) Handle component from bamboo laminated

The connection and joint that will be used to join the two materail, uses theshaping of the clay as the binding connection of the handle of the tableware product. The
process of applying the heat resistant material have to be twice as much for the bamboo
material that is in direct contact with the clay materials surface. This is because when
fired in the kiln, the clay material can retain heat up to 1400°C (Purnomo 2014). By
using the clay properties that have a shrinkage property when it is dried and when it isfired. The humidity of the clay is reduced when it is air dried (air shrinkage) and when it
is fired (kiln shrinkage) is used to make a bond between the clay component and thebamboo component, si that it is binded permanently. Clay has a shrinkage percentage of358

5‐15%. To keep the clay component from cracking during shrinkage, there has to be atolerance between the bamboo and clay component.

Figure 11. Clay that has been shaped into tableware product, ready to be joined with the bamboo component

Figure 12. Joining of bamboo component (handle) and clay component

Figure 13. Detail joining component handle and clay component

Before the firing in the kiln can be done, the bamboo component must be covered
completely with the heat insulating materials, it is covered with 5mm of sodium
polyacrylate and then covered with the ceramic fiber material. For the part that touches
directly with the clay material, it will need extra insulating material on the out side
because the gap tollerance between the clay and bamboo is small (4mm) This could
cause the insulating material to not work optimally. The next process is to fire the joinedcomponents in the firing kiln for 4 hours with a temperature of 700°C. This firing
process ill turn the clay into ceramic.

Figure 14, Bamboo component that has been covered with insulating materials

359

Figure 15. Bamboo and clay component position inside the kiln and ready to burning process

With the hybrid firing process in the kiln, the clay material component canphysically turn into ceramic after being fired for 4 hours with a tempereature of 700°C.
The part that functions as the joint has a shrinkage of 5% from the size before it has
been fired. For the bamboo material component, there is deformation from being burnt
at the edge and sides of the handle component where it physically touches with the now
ceramic part. From the analysis it is shown that the damage happens because the part is
not sufficienly covered by the heat insulation materials, because the heat can go
between the edges of the joining part of the clay component. This happens because thegap tollerance is small (4mm) and the effective insulation materials that can be applied
is only ±3mm in thickness. End result of experiment can be seen in figure 16.
ab

Figure 16. (a) Final result after burning process finished; (b) The joint between bamboo and ceramic material
become burnt after burning process finished3.3.

Conclusion

There need to be further experiments and research regarding this hybrid clay
bamboo material process so that the end product can be more optimal in the process
and so that it could be used to develop more innovative ceramic bamboo productdevelopments. The research and further experiments needed are:
 The use of other materials than sodium polyacrylate and ceramic fibre blanket that
could withstand the firing temperature of 700°C‐1000°C with the thickness of theinsulation to be less than 10mm.
 Development of locking joint design of the clay and bamboo material so that thedesign can lock both material component more effectively.
 Further experiments for the finishing process of the materials after the firing process
in the kiln.
 Further developments are needed to develop more designs with other use andfunctions from this hybrid process.

360

References
Book: Widjaja, E. (2001). Identikit Jenis‐Jenis Bambu di Kepulauan Sunda Kecil, Puslitbang
Biologi‐LIPI, Jakarta, Indonesia.
Book: Suhaily, S. (2013). Bamboo Based Biocomposites Material, Design and Applications,
INTECH, ISBN 978‐953‐51‐1140‐5.
Book: Kigomo, B. (2007). Guidelines for Growing Bamboo, KEFRI Guideline Series No. 4 ‐ April
2007, Kenya Forestry Research Institute, Kenya.
Journal Article: Oka, G. (2008). Analisa Arah Laminasi Vertikal Dan Horisontal Terhadap
Perilaku Lentur Balok Bambu Laminasi, Jurnal SMARTek Vol 6 No 2, Mei 2008, Jakarta.
Journal Article: Kementerian Perdagangan RI, (2011). Menggali Peluang Ekspor Untuk Produk
Bambu. DJPEN/MJL/002/12/2011 Edisi Desember, Jakarta.
Journal Article: Mayasari, A. (2012). The Diversity of Bambu Types And Its Utilization in Alas
Purwo National Park, Info BPK Manado Volume 2 No 2, Desember 2012, Manado.
Journal Article: Sulastiningsih, I. (2014). Effect of Layer Orientation Composition on theProperties of Bamboo Composites Lumber, Jurnal Penelitian Hasil Hutan Vol. 32 No. 3,
September 2014, Jakarta.
Journal Article: Purnomo, A. (2014). Analisis Bahan Keramik Prifilit Sebagai Pengganti Logam
Pada Ketel Rice Cooker, Jurnal PELITA, Volume IX No 1, April 2014, Yogyakarta.
Journal Article: Raghuram, B. (2016). Synthesis of Non‐Toxic and Biodegradable Flame
Retardant Using Diapers, International Journal of Engineering Science and Computing,March 2016.
Conference paper: Ardhyananta, H. (2012). Karakterisasi dan Sifat Mekanik Bambu Ori dan
Bambu Petung. Seminar Nasional Pascasarjana XII ITS 12 Juli 2012, Surabaya.
Websites:
StudioKeramik
PPTK
Seni
dan
Budaya,(2012),
Yogyakarta.
http://www.studiokeramik.org/2012_01_01_archive.html, Last Accessed 26 January 2012.

361

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

“BAGASSE BAMBOO CONCRETE” WASTE UTILIZATION OF CANE
AND BAMBOO FIBER FOR COMPOSING MATERIAL NATURALFIBROUS CONCRETE
Muhammad Dzulfiqar Rizwanda Putraa,Alfangga Desmontha AsmarayudabaInstitut Teknologi Sepuluh Nopember,Griya Bhayangkara Kav.Timur

No.10,Sidoarjo(61258),Indonesia

bInstitut Teknologi Sepuluh Nopember,Pantai Mentari H‐4,Surabaya(60123),Indonesia

Abstract
Concrete has brittle properties, fiber is new manifestation of the binder capablecombination with portland cement in bonding matrix to increase tensile strength. ACI:C‐
544 mentioning the use of natural fibers has proven to be alternative fibrous concretematerial. In April 2015,Prof.V.M.Patel research the application of bagasse fiber as acomposite material rigid pavement. Optimum bagasse (through tensile and compressive
trial) is 1:90 with volume fraction 1% from cementitious materials. In 2010, Rusyanto andteam research tensile and compressive assesment bamboo fiber with aspect ratio 1:100
and the optimum volume fraction occur in fiber is 1,5%. With these references, we utilize
combination cane and bamboo fiber as concrete constituent material to improvemechanical properties of concrete. Method of test object using SNI 03‐6468‐200 or
ACI:211.4R‐93. Trial was conducted on mechanical properties of concrete about tensileand compressive. To know which variable are the optimum, we make 4 variable mix. This
research evaluated from high fsp and fc'25 MPa, it can be concluded that the four
variations or the independent variables of concrete with combination of cane and bamboo
fiber eligible fc'25 MPa and high fsp. It’s proved with compressive strength approachingnormal variable 29.99 MPa and tensile strength highest 3.28 MPa.

Keywords
fiber, bagasse fiber, bamboo fiber, compressive strength, tensile strength

1.1.

Preliminary
Concrete has advantages such as relatively high compressive strength, easily
shaped as desired, low maintenance cost and can be combined with other materials. On
the other hand, concrete has a brittle nature, so in practice the ability to withstand tensilestress is relatively small. Historically, reinforced concrete has been given constantreinforcement to withstand tensile stresses in the critical region of a con‐crete road. In
addition, the steel reinforce‐ment is adopted to cope with potentially large tensile stress362

and sheer stress in the critical region of a concrete road. Although the addition of steel
reinforcement signifi‐cantly increases the strength of the concrete, the development of
micro cracks should be controlled to produce concrete with homo‐geneous tensile
properties. [7] The introduc‐tion of fiber as a solution to develop con‐crete properties ofconcrete by improving the bending strength and tension. Fiber is a new manifestation of
the binder capable combination with Portland cement in a ce‐ment matrix bonding(Sivaraja et al. 2010).
[2] According to ACI Committee 544 (1988), some studies indicate that fiber canincrease the shear capacity (tensile strength) of blocks of concrete or mortar. Many fibers
have been used to strengthen a variety of building materials, until now a little scien‐tificeffort has been devoted to the use of natural fibers for reinforcement. The use of some of
the best natural fibers and is known as: sisal, coconut, bagasse, banana, oil, etc.
[2] As quoted in the ACI:C‐544 that has been called the use of natural fibers has
proven to be an alternative material fibrous concrete, and mentioned that bamboo has ahigh quality compared to other natural fibers because it has several advantages such as:
tensile strength is relatively high, fast growth and easily cultivated especially in tropicalregions such as in Indonesia. The quality varies inversely with bagasse fiber, which has arelatively lower quality of bam‐boo but has a bonding strength that is almost like bamboo
fiber, furthermore sugar cane is also easy to grow in Indonesia and the result residue canbe easily found in the excess of the production of sugar and sale of sugar cane juice.
1.2.

Basic theory
 Natural fiber‐reinforced concrete[3] Fiber is a new form of binding material that can be combined with portland
cement in the bond of cement matrix, to increase the tensile strength by delaying the crack
growth, and increase the resilience by using tension transmission at the crack so that the
deformations produced are much larger and could exceed its tension peak than without
fiber reinforcement. Figure 1a. shows the increase of strength and toughness of the fiberof reinforced concrete in bending conditions, while figure 1b. describes an increase of
toughness in compression, in which the compressive strength does not get too affected.[4] Fiber reinforcement can improve the impact strength of the fatigue strength, and also
reduces shrinkage. (Neville, 2010).

Figure 1. The stress ‐ deformation behavior istypical of fibrous concrete and concrete without
fiber: (a) In the circumstances of bending on the
beam ( b ) in compression on a cylindrical test
object[2] Concrete reinforced with natural fibers generally called natural fibrous concrete. Many natural reinforcement materials can be obtained at a low cost and small energy,
and we can use the manpower and local technical knowledge. The use of some of the best
natural fibers that has been well known such as: sisal, coconut, bagasse, banana, palm oil,etc., which have been largely limited to the production of: fabrics, ropes, mats, etc. (ACI
544.16‐96)Natural fibers and its availability in Indonesia from bagasse and bamboo

363

Sugarcane Bagasse
Sugar cane as raw material for sugar industry is one of plantation commodities thathave a strategic role in the economy field in Indonesia. The development of sugarcane
production in Indonesia over the past three years has been quite volatile. In 2011, theproduction of sugarcane (sugar equivalent) reached 2.24 million tons and rose about
15.53 percent in 2012 to 2.60 million tons. In 2013 sugarcane production decreased by
1.46 percent to 2.55 million tons. The development of sugar cane production Indonesia in2011 through 2013 can be seen in Table 1.
TABLE 1 THE DEVELOPMENT OF INDONESIANSUGARCANE PRODUCTION (TON)

Source: The Central Statistics Indonesia,

The biggest sugarcane production in Indonesia is from East Java province which is
1.24 million tons, or 48.73% of sugarcane production in Indonesia. Meanwhile theprovince of Lampung is the second biggest with a production of 744.64 thousand tons or
29.15 %, followed by Central Java with 237.94 thousand tons or 9.31 % and West Java
99.26 thousand tons or 3.89% (Firm Bureau of Statistics Indonesia, 2013). To find out
how to get the process of bagasse can be seen in Figure 2 below:

BagasseFigure 2. Sugarcane milling process to
production of sugar

From the figure 2, it can be concluded that the bagasse is the remnant / residue
from the mill of sugarcane molasses sugar cane is processed to manufacture.
From the exposure of the facts about the availability of bagasse in Indonesia, thepotential to make natural fibers fibrous concrete is likely to occur. With the utilization ofbagasse fiber for composite materials of concrete, waste bagasse can be reduced, so thatcreates a clean environment and environmentally friendly concrete technology.
Fiber Bamboo
Agriculture Census of 2003 (ST03) showed that bamboo is more commonly planted
in Java, which reached 29.14 million families, or approximately 76.83 % of the total
population of bamboo in Indonesia, while the remaining is approximately 8.79 millionfamilies (23.17 %) are not planted in Java. Bamboo in Java is concentrated in threeprovinces, which are in West Java (28.09 %), Central Java (21.59 %) and East Java (19.38%), while in the other Islands, in South Sulawesi (3.69 %)Bamboo plant agricultural households (household effort BMU) in Indonesia in 2003
reveled that 521.52 thousand population clumps cultivated as much as 22.84 million.
From 521.52 thousand farming household bamboo, about 74.62 percent (389.17
thousand) households are in Java, while the remaining approximately 132.35 thousands364

are in other islands. For more details about the population of bamboo in Indonesia can beseen in Table 2 and the following figure 4:
TABLE 2 AVAILABILITY BAMBOO IN INDONESIA
No.

Province

1.
2.
3.
4

Bali
NTB
NTT
DIY

The area of land bamboo(hectare)
251
169
313
225

Source: Analisis dan Data, 2011 (Excutive
Summary Kajian Sosekling Penerapan
Bahan Bangunan untuk Perumahan
Tradisional)

From the exposure of the facts about the availability of bamboo in Indonesia, thepotential to make natural fibers fibrous concrete is likely to occur. With the utilization ofbamboo for natural fiber composite material of concrete, creating a green alternativetechnology. For the physical form of a piece of bamboo that can be used as natural fibers
we can see in the figure below:

Figure 5. The outer skin of bamboo as anatural fiber material (Source: Doc. Personal,
2015)

RESULT AND DISCUSSION
From the explanation of the results of our study in this paper, the following are theresults of our research:
1.

Specifications and threatment natural fiber bagasse and bamboo we used are as follows
A. Cane Fiber

The kind of specifications

Wear

Standard

The fiber

The dregs of the cane fiber

ACI 544 1R‐96

Origin fiber

Sidoarjo and Gresik‐

Ratio aspect

90

Prof V M Patel 2015

Diameter

1,5 mmProf V M Patel 2015

Length

60 mm

Prof V M Patel 2015

Volume fraction

1% form binder

Prof V M Patel 2015

B. Fiber Bamboo
The kind of specifications

Wear

Standard

The fiber

The dregs of the cane fiber

ACI 544 1R‐96

365

Origin fiber

Sidoarjo‐

Ratio aspect

100

Sunaryo 2010

Diameter

0,2 mmSunaryo 2010

Length20 mm

Sunaryo 2010

Volume fraction

1,5% form binder

Sunaryo 2010

2. BBC concrete applications based on the standard of PU 2007 andrecommendation of Mustafa K. Sonasath 2013.
a. According to PU 2007, BBC concrete with fc'25 MPa classified as medium
quality, with its use as: Bridge floor plating, reinforced concrete girders,
diaphragms, precast concrete curbs, culverts and buildings of reinforced
concrete under bridges.
b. According to Mustafa K. Sonasath 2013, BBC concrete constituent material isrecommended for a wide variety of structural elements such as: Aircraft
Runways, Dam Walls, rail sleepers, and quay walls. In which structuralelements are getting an enormous burden with both pulling and pressing aswell as the load working continuously and also shock. To anticipate both
macro and micro crack fibrous concrete is used.
3. Here is a summary of the analysis results of compressive strength and tensile,from these results it can be seen that the BBC concrete or a combination of caneand bamboo fiber is the optimum variable compared to other variables

Strains (MPa)

Kuat tekan
40.00
35.00
30.00
25.00
20.00
15.00
10.00
5.00
0.00

Kuat Tarik Belah
34.49

24.77

2.01

1

29.99

22.73
3.09

3.18

3.28

2

3

4

Variable Mixed
Note: Variation Mixed: 1 (Normal) , 2 (Sugarcane Fibre) , 3(Bamboo Fiber) , 4 (Combination Fiber Cane and Bamboo)

4. [1] Calculation of the composition of the concrete mix of the bamboo bagasse
concrete (BBC) refers to the standard ACI: 211.4R ‐ 93 or SNI 03‐6468‐2000.
With 2 parts: part 1.Calculations of concrete mix design only, then part 2 fiber
volume fraction put into the mix design, so that the natural fiber content for the
manufacture of fibrous concrete.
5. The method of implementation and testing in concrete manufacture BBC is thesame with normal concrete production, but there are several additional
processes which are needed in manufacturing and testing, such as:a. Natural fibers are added into the freshly mixed concreteb. Testing is also done to hard concrete tensile strength dimpled or split
testing366

CONCLUSION

From the explanation of the results of our study in this paper, there are someconclusions we can take from our research results:
1. The addition of bamboo fiber and sugar cane fibers can increase thecompressive strength and tensile strength.
2. The addition of bamboo fiber and sugar cane fibers can increase thecompressive strength and tensile strength.
3. For tensile strength, the addition of sugar cane fibers combined with bamboo
fiber increase of 61,28 % of the tensile strength of normal concrete without
adding any fibers
ACKNOWLEDGMENT

We would like to thank Laboratory of Material Civil Engineering Department ofInstitut Teknologi Sepuluh Nopember for providing facilities for this research. We also
want to thank Allah SWT in which because of His help, we can finish this research easily.
And also thanks to our parents who have provided support in the implementation of thisstudy. Last but not least, thanks to Mr. Ridho Bayu Aji, ST.,MT.,Ph.D; our supervisor who
has been providing advice and guidance in the research process.
REFERENCES[1] Dr.M.Sivaraja M.E., P. P., 2010. Application of Coir Fibres as Concrete Composites for Disaster
Prone Structures, Bangalore: Central Institute of Coir Technology[2] Institue, A. C., 2002. State‐Of‐The‐Art Report On Fiber Rein‐forced Concrete, S.L.: ACI.
[3] Neville, A., 2010. Concrete Technology. 2nd Ed. Tottenham UK: Pearson.
[4] Patel, P. V. M., 2015. Application of Sugarcane Bagasse Fibres as Concrete Composites for Rigid
Pavement. Engineering, 4(4), Pp. 4‐5.
[5] Rusyanto, 2010. Kajian Kuat Tarik Beton Serat Bambu, S.L.: Rusyanto.
[6] Sivaraja, M., 2009. Study On Durability of Natural Fibre Concrete Composites Using MechanicalStrength And Microstructural Properties. 33(6), PP. 719‐729.
[7] (SNI), B.S.N., 2000. Perencanaan Campuran Beton Berkekuatan Tinggi Dengan Abu
Terbang.Jakarta: BSN.
[8] Nugraha, Paul. Teknologi Beton. Andi, 2007
[9] Subakti, A., Teknologi Beton Praktek I, Surabaya:ITSPress, 2012.
[10] ASTM 2000, Annual Book of ASTM Standart: Concrete and Agregates, ASTM, Amerika.
[11] Bayu Aji, 2012, Teknologi Beton dan Bekisting, Surabaya

367

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Topic : Metallurgy and Materials Engineering

Effect of Titanium Addition on Characteristic of Al6061/ Al2O3
Reinf orced Composites Produced by Stir Casting Process
Anne Zulfia*, Basauli Tobing, and Donanta Daneswara
Department of Metallurgy and Materials, Faculty of Engineering, Universitas Indonesia,
Kampus Baru UI Depok 16424, Indonesia

Abstract
Al6061/Al2O3 reinforced composites have been successfully produced by stir
casting process. The master alloy Al6061 as a matrix composites was prepared bymelting at 800 °C and mixed with various of Al‐5TiB from 0.02 wt‐% to 0.15 wt‐%,
0.025 wt‐% Al‐5Sr as modifier and 10 wt‐% Mg as wetting agent respectively. The
addition of Al‐5Ti‐1B on Al6061 is to strengthen the matrix phase and Al‐15Sr is tobring the effect of matrix modification. The role of Al‐5Ti‐1B is to be grain
refinement agent which mainly provides more nucleating sites and restricts thegrowth of grains and the role of Al‐15Sr is to be a modifier of the morphology of thesecond‐phase particles. The molten aluminium then flushed with argon to remove all
the gas bubble from liquid aluminium, then stirred for 3 minutes to produce a perfectvortex flow, afterwards Al2O3 was poured and stirred again for 3 minutes. The
composites produced then characterised both mechanical properties andmicrostructural analysis. The optimum mechanical properties of composite is
obtained at 0.02 wt‐% Ti addition with tensile strength of 204 MPa and elongationof 11.75 % at 0.09 wt‐% Ti, while hardness is 50 HRB. These preferable properties
are also supported by perceiving its microstructure. The role of Al‐5Ti‐1B is to be
grain refinement agent which mainly provides more nucleating sites and restricts
the growth of grains. It is obvious that the smaller‐fragmented area of aluminium
and finer morphology of the second phases contributed to increase mechanicalproperties

Keywords : Al6061; Al2O3 particles; Al‐5TiB; composites; stir casting
1. Introduction
Technology of materials is significantly being an important demand for thehuman being to provide their needs and ease their activities for nowadays. The
development of technology nowadays needs material’s properties that can not be foundin metal, polymer, and ceramic themselves. This properties cover high specific strength,
high temperature creep resistance, and better fatigue strength, therefore composite is_________________________________________* Corresponding author. Tel.: +62‐021‐7863510; fax: +62‐7872350.
E‐mail address:anne@metal.ui.ac.id

made (Akio et al, 1999 and Mussert et al, 2002). This material will be used for
application that need high performance such as automotive, military and aerospaceindustries. For instance, the demand for more lightweight materials, fuel efficientand enhanced performance automobile stimulates the research and development ofmany materials have to be fullfilled by the automotive industries (Bussines Market,
MMC,2013).
One of the recent research is carried out to improve mechanical properties
with high performance and lighter weight. The present study has been subjected toextensive research of using Al alloy to be developed as aluminum matrix composite
which is combined with ceramic partcles reinfored. The most common Al alloy used
for automotive application, is Al alloy 6 series wrought product which consists of
Mg and Si as its prime constituents [Dobrzanski and Woarezyk, 2005]. Al‐Mg‐Si isgenerally used in structural, aircraft, nuclear application and etc (Calister, 1994)
because it has medium strength among other Al alloys, which is about 185 to 215
MPa (Anne, 2013). This number of strength is considered to be sufficient for thestrength required before being continuously treated. For it has major constituentsof Mg and Si, so it categorizes as the heat‐treatable alloy and subsequently be
increased in strength (Mitchell, 2012). The selection of Al‐Mg‐Si alloy is also due tothe strengthening process that might be involved. For instances, it could be
subjected to solid solution strengthening, grain refinement strengthening and aging
process to enhance its mechanical properties according to its application (Anne andMaman, 2011). While aluminium composites is considered to improve suchmehanical properties by adding ceramic particles. In general, ceramic material
which is selected for being the reinforcement is Al2O3 particles. The particles‐typeof reinforce is chosen by its isotropic characteristics which tends to be more
durable if being fabricated and economically in process rather than fibers andwhiskers‐type of reinforce (Zulfia and Hand, 2002). The addition of reinforce
particles to the matrix is likely to give more strengthening effect in purpose. This
will be obtained as if the reinforcement is fully wet by the matrix. Moreover, theparticles‐type of reinforcement is hard to be completely wet therefore need adopant to promote wetting between Al and ceramic. Stirr casting process is selected
to aid the randoly distribution of ceramic particles in molten aluminium
According to the previous research, the highest strength of composite wasobtained at the composition of 10 wt% of Al 2O3p with the value of 190 MPa without
any additional constituents for modification (Anne, 2013). The present study is toobtain higher mechanical properties by modification of Al‐5Ti‐1B master alloy andaddition of the modifier, Al‐15Sr and the wetting agent of Mg. The amount of 0.1
wt% Ti addition in Al 6061 results in about 185 to 215 MPa (Samuel et al, 2014). At
the same point, the optimal Ti addition to the composite 6061/Al2O3p which is
below 0.05 wt% gives 198.5 ± 10.2 MPa of the yield strength and 264.3 ± 5.1 MPa
UTS, respectively (Zhiqiang et al, 2005). Therefore, this present study is in purpose todefine the optimum amount of Ti addition from 0.02 to 0.15 wt% to give remarkablemechanical properties.

2. Experimental Procedure
2.1. Making of Al6061/ Al2O3 composites
The composites in this study were prepared from the rod of Al 6061 alloy,
Al‐5TiB and Al‐15Sr as master alloy matrix, 10 wt% Mg ingot (99.99%) as a wetting
agent, and 10 Vf% of Al2O3 particles with size of 65µm as reinforcement. The raw
materials, Al 6061 alloy ingots were melted in electric furnace at 800oC, thenAl5TiB
and Al15Sr were added into molten aluminium then stirred at 415 rpm for 3 minutes
and flushed with Argon for 1 minute. The Al5TiB used was various from 0.02 to 0.15

wt%, while Al‐15Sr was constant at 0.03wt%. At the same time, the Al2O3p waspreheated in the furnace at 1000 oC for approximately one hour to decrease allmoisture on the surface of particles The chemical composition of the Al 6061 ingots
were analyzed by Optical Emission Spectroscopy is listed in Table 1.
Table 1. The composition of Al 6061
Alloy

Al

Mg

Si

Cu

Mn

Sr

Ti

B

Fe

Cr

wt%

96

2.69

0.819

0.217

0.0168<0.0001

0.0073<0.00050.161

0.0577After the Al ingots being fully melt, the process of degassing was carried out
for 2 to 3 minutesby argon . The molten alloy was held and stirred for 3 minutes tohomogenize the composition. Next was the preheated Al2O3p mixed to the molten
alloy and continuously being stirred to aid the randomly distribution of Al2O3p inthe molten matrix. The stirring process was also followed by the degassing process
to ensure all the gas remove from the aluminium molten. After all of the processes
finished then the molten composite was being casted to the SKD61 ‐metal mold andit was cooled in the air.
2.2. Characterization of AlA356/ Al2O3 composite
The mechanical properties of composites were measured including tensile
strength, hardness, density, porosity, and wear resistance. Tensile testing was carriedout using GOTECH AI‐7000 LA 10 in accordance with ASTM E8M‐09. The tensile testing
was carried out using three specimen each variable. Hardness testing was carried out
using Rocky machine with Rockwell B method in accordance with ASTM E18‐11.For
each sample, five hardness readings on randomly selected regions were taken in order
to eliminate the segregation effects and get a representative value of the matrix material
hardness. The porosity of composite was measured using Archimedean method. The
microstructure of composites was analysed following the metallography procedure, thesamples representative was prepared by grinding using emery paper started from 80#,
#150, #240, #400, #600, #800, #1000, #1200 to #1500, then polished using alumina
powder to remove strach from grinding process, then etched with 0.5% HF for 1 minute.
All samples preparataion were observed using OLYMPUS BX41M‐LED optical
microscope and further analysys using Scanning Electron Microscope (SEM).

3. Results and Discussion
3.1. Chemical composition of Al6061/Al2O3 cast composites
Table 2 shows the chemical composition of Al6061/ Al2O3 composite analysed by
Optical Emission Spectroscopy (OES). The composition design was different from OES
result. The Mg content should be 10wt% or less but the OES measured was 12wt%,
while Ti closed to material balance which was design before casting but for Sr the OES
measured was strayed away from designed alloy. It is assumed that deviation can becaused by the over reading of the instrument to measure the Mg and Sr content inside of
the material.

Table 2. Chemical composition of Al6061/Al2O3 cast composites (wt‐%).

Composites

Mg

Si

Ti

B

Sr

Cr

Fe

Mn

Al

1

>12

0.57

0.02

<0.0005

0.03

0.25

1.04

0.05

Bal

2

>12

0.56

0.03

0.01

0.03

0.33

1.50

0.06

Bal

3

>12

2.49

0.09

>0.025

0.065

0.271

1.62

0.766

Bal

4

>12

2.14

0.122

>0.025

0.047

0.198

1.42

0.769

Bal

5

>12

2.00

0.15

>0.025

0.048

0.328

1.62

0.60

Bal

3.2. Effect of Ti on mechanical properties of Al6061/ Al2O3 composite
The mechanical properties of Al6061/Al2O3 such as tensile strength,
elongation and hardness are shown in Figure 1. They are seen that composites with
0.09 wt‐% Ti addtion has the highest both tensile strength and elongation (Fig.
1a,b), eventhough the addition of 0.02 wt‐% Ti has the highest strength with thevalue of 204 MPa. The hardness of composites is 50 HRB which is optimum
obtained at 0.12 wt‐% Ti addition. There are many factors can cause the highest of
mechanical properties, some of them might be the distribution of the Al2O3p, theporosity formed in the composites, the wettability of the matrix, and the formationof intermetallic compounds. The addition of Ti in the as cast composite is to be
known for the effect of grain refinement. It brings the effect of refinement byheterogeneously nucleating the TiAl3 and TiB2 and restricting the growth of thegrains (Kashyap and Chandrasekar, 2001). Heterogeneous nucleation involves
peritectic reaction. The result of peritectic reaction, TiAl3 and TiB2, will become
nucleates and continuously become sites for nucleus of Al. This condition
subsequently will give more nucleating process rather than growing process of the
Al. Thus, the process of refinement consists of two mechanisms, first is serve
nucleating sites for Al nuclei and restrict the growth of Al. Boron is also counted as
the refinement agent because it reacts along with Ti to form TiB2 which are
insoluble in Al. Even so, the superior effect of refinement is still generated by theformation of TiAl3 intermetallic compound because it is believed that the latticedisregistry of TiAl3 is smaller than TiB2 (Sigworth and Johnsson, 1993).
The refinement will result to the finer grain of matrix Al generates theremarkable mechanical properties. Besides, the addition of Al‐15Sr will also result
good modification to the formation of the second phases. In this study, the Ti
addition up to 0.02wt% and constant number of 0.03wt% Sr gives the highest UTS
among other samples. It is firstly concluded that the refinement process takes placein the as cast composites.

a)

b)

Figure 1. Mechanical propeties as‐cast Al6061/Al 2O 3p composites. a) Tensile Strength, and b) Elongation ,The hardness and porosity are shown in Figure 2. The highest number of hardness
is obtained in composite with 0.12 wt‐% Ti with the value of 50 HRB, and the lowest
porosity is obtained at 0.09 wt‐% Ti. The effect of Ti on grain refinement of Al has good
impact to increase hardness. The other factor matters to the properties except therefinement process is the casting process. It will result casting defects, such as formationof shrinkage and porosity which deteriorates the mechanical properties. It seems that theaddition of 0.09 wt‐% Ti has high tensile strength, elongation and hardness due to thelowest of porosity. But here the highest UTS which is obtained at 0.02 wt‐% Ti showshigher number of porosity than that of 0.09 wt‐% Ti. This contradicts with the theory thatthe small number of porosity will give higher strength. Perhaps stress concentration thatbrings negative effect to the composite.
a)b)

Figure 2. Mechanical propeties as‐cast Al6061/Al 2O 3p composites.. a) Hardness, and b) Porosity

3.3. Effect of Ti on microstructureo of Al6061/ Al2O3 composite
The microstructure of the as‐cast Al‐Mg‐Si/Al2O3p composites was examined using
optical microscope in Figure 3. The most obvious difference between the as‐castunmodified and modified one is the structure of the matrix for each. The dominant
structures of the modified ones are the likely‐fragmented dendrites of Al and thefragmented‐to‐globular like of Al (Fig.3b). From these kind of morphology, it could bestated that the addition of Ti and Sr plays an important role which will definitely affecttheir properties. The inter‐dendritic area has also been an important thing to be noticed
that it is related to the formation of other constituents at the condition of as – cast(Bartlomiej and Boguslawa, 2015). For the composites 1 and 3, the difference are shown at
the area of inter‐dendritic which becomes smaller.
The fragmented area of dendritic is shielded by constituents as the second phases
at its inter‐dendritic area. These second phases formed at the inter‐dendritic are
predicted as the quaternary of Al, Al3Fe, Al3Mg2, Mg2Si (Liu et al, 1999). This quaternary
eutectic blooms out as the network‐like according to its solidification path, which isclearly shown by the arrow see Fig.4. The solidification path of this quaternary eutectics iscommonly shown by the quaternary diagram of Al‐Fe‐Mg‐Si because of the high presenceof Fe in the rod (Belov and Eskin, 2005). The prediction to be the quaternary phases is dueto the morphology shown according to the atlas of microstructure. The transition ofsmaller inter‐dendritic area from Fig. 3a to 3b verifies that there is combination by thepresence of Ti and Sr (George Van Der Voort, 2004).

a

a)

b)

Al2O3

Al2O3

Interdendritic
Interdendritic

Figure. 3. Microstructure of as‐cast Al6061/Al2 O3p composites with composition 1(a) and 3 (b)When the microstructure is seen at lower magnification, both composites clearly
exhibit other constituents which are represented in Fig. 4. The needle like indicates thephase of Al3Fe. This morphology of Al3Fe is commonly alike to the morphology of Al‐Fe‐Si withshorter appearance. Then, the second particles and snow flakes are predicted to be Al3Mg2 and
Mg2Si, respectively. All of these predicted constituents were according to its possible
solidification sequence by the quaternary diagram and the morphology of phases is also
confirmed by George Van Der Voort (see Table. 3). The presence of Ti and Sr also exhibit animportant role that the morphology of each phases in composites 3 becomes smaller than thatof in composite 1.

a)

b)

Mg2Si

Mg2Si
Al3Mg

50
50
Al3Fe

20µm

Figure 4. Microstructure of the as‐cast Al6061/Al 2 O 3 compoite with composition 1 (a) and 3 (b)Table 3 : Phases identification performed acording to ASM (George Van Der Voort, 2004).
Phase
Al‐Fe‐SiΒ Al‐Fe‐Si
Mg2Si
Al3Fe
Al3Mg2Al‐Si

Morphology
chinese script, blocky
needle, plateletchinese script, irregular, polyhedral
plateletpolyhedral, irregular ,rounded
platelet, irregular, polyhedral blocky

The transition of the Al matrix is obtained at the composition of 0.03 wt% Ti and0.025 wt% Sr which is in the composite 2 (Fig.5). It is clearly shown that the almost
fragmented‐dendritic like of Al turns out into fragmented‐to‐globular like of Al (Fig. 5a).
The case is similar to the study presented by Martorano and Capocchi et.al, 2005. The
result of their study is the transformation of columnar dendritic of Cu‐8Sn alloy to be
globular by the addition of Cu‐50Zr alloy. This is categorized to become an evidence of therole of Ti addition takes place. Al‐5TiB which is added to the molten metal will act asinoculant, such as Ti3Al or TiB2. The Ti3Al dissolved and TiB2 undissolved which go into
solution will become nuclean for nucleus of dendritic Al and will subsequently restrict thegrowth of dendritic Al (Bartlomiej and Boguslawa, 2015).
Being compared to the composite 1 and 3, the most globular‐like grains of Al in
Fig. 5 could be examined at low magnification. It more likely indicates that refinementtakes place at the Ti addition up to 0.03 wt% and the network‐like which tends to beinter‐dendritic area considering as chinese script Mg2Si (Fig. 5b). It is considered to theeffect of modification by Sr is also ocured in this study as well as previous study by Tong Min etal, 2014.

Mg2Si

20 µm
Figure 5. Microstructure of as‐cast Al6061/Al 2 O 3 composites with composition 2.

The microstructure of composite 4, with Ti addition up to 0.122 wt% shows bigger
globular of Al than that of composite 2 (Fig. 6a). As compared to the composite 2, thiscomposition did not undergo appropriate refining process but it did if compared to thecomposite 1 and 3. The more addition of Ti which is up to 0.15 wt% represented by thecomposite 5 (Fig. 6b) gives deteriorated appearance in the microstructure. It is clearlyshown that the globular of Al shielded by the network‐like of Mg2Si becomes bigger and themicrostructure also shows the formation of some deteriorated phase, like it is predicted as
Al3Fe which is caused the mechanical properties become low for this composite.

a

b

b

a

50 µm
20µm

20µm

Figure 6. Microstructure of as‐cast Al6061/Al 2 O 3p composite with composition 4 (a) and 5 (b)It could be concluded that the addition of Ti up to 0.1 wt% will not give any significant
effect of grain refinement of Al matrix. It is proved by the result of its tensile strength of thesamples which decreases as the number of Ti increase. It is clearly showed that the addition ofrefining agent has its optimum level and too much addition has it be insignificant.
At some point, modification by Ti and Sr in this study is not the only thing signifying the higher
strength of the composites achieve. From the level of porosity among all, composite 2 gives thehigher one (Fig. 2). By gaining this result, composite 2 should had been the lowest strength
rather than others, but in this study is seen odd results since tensile strength and hardness has
high value eventhough still lower than composite 3. Yet it is a composite, the role of its
reinforcement also plays important to raise its mechanical properties. From the micrographsof each composite, it could be seen that composite 2 has better distribution of Al2O3p (Fig. 5).
All of these, such as the distribution of Al2O3p, the refinement effect, the porositycontent
and phases formation will affect to the mechnical properties of composite.
3.4. XRD Analysis of Al6061/ Al2O3 composite
The phases present in composites is represented in composition 2 are Al, AlSi,
Mg2Si, AlMg, AlFe, MgAl 2O4 as shown in XRD analysis in Fig. 7. Refer to micrsotructure ofcomposite above the phases present has been confirmed by George Van der Voort [15]and XRD analysis.

2
Figure 7. X‐Ray Diffraction Pattern of Al606/Al2O3 Composite for composition 2

4 .Conclusion
Based on the results obtained in this work, there are some major conclusions that
could be highlighted as follows :1. The optimum mechanical properties is obtained in compsites with Ti addition of 0.09 wt‐% both tensile strength and elongation as well as the lowest porosity content but thehighest hardness found at composition of 0.12 wt‐% Ti, further addition of Ti up to 0.15
wt% the mechanical properties decrease.
2. Ti addition gives transformation of each matrix Al morphology and so does Sr addition
gives modification to the Mg2Si and Al3Fe phases in the form of chinese script.
3. The phases present in composites is Al, MgAl2O4, Mg2Si, Al3Fe and AlSi analysed by XRD.

Ackowledgment
The authors would like to thanks to Higher Education, Ministry of Research and Technology andHigher Education Republic of Indonesia for financial support to do this research under PUPT
funding with contract No : 1143/UN2.R12/HKP.05.00/2016

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

DIFFERENTIAL‐FED CIRCULAR PATCH ANTENNA WITH HIGHIMPEDANCE SURFACE SUBSTRATE
Fitri Yuli Zulkiflia, Muhammad Haekalb, Basaric, Eko Tjipto Rahardjod
a,b,c,d Antenna, Propagation, and Microwave Research Group (AMRG)Electrical Engineering Department, Faculty of Engineering, University of Indonesia, Depok

Abstract
Wireless technology is developing nowadays and one of the most importantelements in wireless technology is the antenna. For the user, antenna usually hascompact size and considers having high gain. By using High Impedance Surface structure
as the substrate, it can enhance gain performance without increase dimension ofantenna. In this research, planar rectangular HIS structure has been implemented as
substrate of microstrip antenna with dual feeding line. The resonant frequency is 2,445
GHz with 85 MHz bandwidth.
HIS unit cell is designed and simulated to obtain the resonant frequency as shownin its reflection phase diagram. The unit cell consists of 1x2 planar array configuration is
implemented in circular patch microstrip antenna using electromagnetic coupled
feeding method. The antenna consists of two substrate layers. The first layer consists ofcircular patch and the second substrate consists of two feed lines with HIS unit cell.
Based on simulation results, in port 1 shows bandwidth of 150 MHz and 7,85 dB
gain. For port 2, the bandwidth is 160 MHz with 7,98 dB gain. To validate the simulation
result, measurement has been conducted. Measurement results show 160 MHz
bandwidth and 7,92 dB gain in port 1, meanwhile, in port 2, shows 170 MHz bandwidthand 7,12 dB gain.

Keywords
Microstrip antenna; EBG; HIS; gain; differential‐feed

1. Introduction
In wireless telecommunication, antenna is used for transmitting and receiving
signal. Microstrip antenna is widely used due to its compact size and easy to be
implemented in many devices. Surface wave is one problem in microstrip antenna thatcan reduce the efficiency and gain significantly. This problem can be mitigated by using
high impedance surface (HIS) within specific frequency band which is often named asband gap of surfaces wave. Its main functions are the ability to suppress surfaces wave
and provide in‐phase reflection. Some research has implemented the function of
surfaces wave band gap by using various type of unit cell. At 2.4 GHz, the mushroom
type increases gain by 1.11 dB, slotted type increases gain by 1.39 dB, and spiral type328

increases gain 1.37 dB. In other research, planar rectangular type unit cell which
eliminate usage of vias can enhance gain of 2.1 dB at resonant frequency of 10 GHz.
Another development in telecommunication is differential circuit silicon MMIC.
Unfortunately most of conventional antennas are single‐ended and need balun tointerconnect between them, this makes the circuit bulky. Differential‐fed antennas canbe used to eliminate usage of the balun. In addition, research shows that by integrating
differential feed antenna to rectifier as rectenna, it can reach maximum efficiency of
73,9% which is more than 1.5 times higher than rectenna which used only one driven
port.
In this paper, a planar unit cell as HIS substrate is implemented to a conventional
circular patch microstrip antenna at ISM 2.4 GHz with differential‐fed for radiation
properties enhancement. Both radiation properties of the conventional and antenna
with HIS are compared.

2. Antenna Design
Before designing the antenna with HIS unit cell, a conventional antenna has been
designed as shown in Fig.1. The antenna consists of 2 layer substrates and 2 differential
feeding lines which uses electromagnetic coupled technique. Fig. 1 shows configurationof conventional antenna. The first substrate layer consists of two feeding lines which isthe differential‐fed and the second layer consist of the circular patch as depicted. Thisantenna is design to work at ISM 2.4 GHz frequency. Substrate used is Taconic TLY‐5
with εr= 2.2 and thickness 1.52 mm. The antenna design was conducted using CST
Microwave Studio.

Second layer

First layer

Figure 1. Configuration of conventional antenna.

Next, the High impedance surface unit cell has been designed to enhance antenna
gain performance. The proposed HIS unit cell is a planar rectangular patch as shown in329

Fig. 2. Reflection phase has been simulated and investigated. At 2.445 GHz, the reflection
phase as shown in Fig. 3. is 12 degree. It means at 2.445 GHz, the unit cell has highimpedance characteristic because this is in the ±π/2 band which is high impedance
surface bandwidth and also works as forbidden band gap for surface waves propagation.

Figure 2. Unit cell structure dimension.

Figure 3. Reflection phase simulation result of the unit cell.

This unit cell is implemented on the bottom substrate layer subtract of theconventional antenna which is designed with two unit cells as shown in Fig. 4. The
second substrate layer remains the same with radius of circular patch is 22.66 mm.

330

F igure 4. Bottom layer substrate configuration with 2 unit cell.

3. Result and Discussion
The antenna with HIS was fabricated and measured and shown in Fig. 5. The
comparison between simulation and measurement results are presented in Table 1.
2

1

(a)

(b)

Figure 5. Fabricated antenna top view of (a) first layer (b) second layer.

Parameter

Table 1. Result comparison
Simulation Antenna without HIS
Simulation Antenna with HIS

S11 (dB)‐26.6‐21.674‐21.97

S22 (dB)‐22.55‐21.9‐18.19S11 BW (GHz)2.39 – 2.5

2.38 – 2.53

2.39 – 2.57

S22 BW (GHz)2.39 – 2.49

2.38 – 2.54

2.40‐2.57

Gain port 1

6.01 dB

7.85 dB

7,92 dB

Gain port 2

6.06 dB

7,98 dB

7,12 dB

Input Imp. (Ω)

124.08 – 74.6 i

104.89 – 97.46 i

31,83 ‐ 66,53i

Rad. Eff port 1

82.23%

96.55%

n/a

Rad.Eff port 2

80.07%

95.95%

n/a

Measurement Antenna with HIS

From Table 1, simulation result of antenna with HIS can be compared tosimulation result conventional antenna. Simulation result of antenna with HIS obtainedat port 1 shows the impedance bandwidth (S11BW) is increased to 40 MHz and gainincreases 1.83 dB compared to conventional antenna. Meanwhile at port 2 the S22 BW
increased 60 MHz with gain of 1.97 dB higher than conventional antenna result.
Therefore, from the simulation result, the antenna with HIS substrate has larger
331bandwidth, improved gain, and also increased radiation efficiency 14.32% for port 1 and
15,88% for port 2. The HIS antenna also improves the input impedance to its reference
impedance. The reference impedance for differential‐fed antenna is twice of the single
ended antenna impedance which is 100 Ω.

(a)

(c)

(b)

(d)

Fig. 6. Radiation Pattern for (a) port 1 phi=0, (b) port 1 phi=90, (c) port 2 phi =0, (d) port 2 phi=90

Antenna with HIS substrate has been fabricated and measured to validate thesimulation result of the antenna with HIS substrate. Antenna measurement has been
conducted in anechoic chamber, Telecommunication Laboratory, Department ofElectrical Engineering, Universitas Indonesia. Table 1 shows similarity between
measurement result and simulation result. Another result showed in Fig 6 which shows
radiation pattern comparison between measurement and simulation result. Both resultand ports show directional radiation pattern.
The slight differences between measurement and simulation result is due toimperfect fabrication process which affects the input impedance.

332

4. Conclusion
This paper presents a high impedance surface substrate implemented on adifferential‐fed circular patch microstrip antenna. Antenna with HIS substrate has been
fabricated and measured to validate the simulation result. Measurement result shows
larger bandwidth and increased gain compared to simulation result of conventional
antenna. Gain antenna shows 1.91 dB enhancements for port 1 and 1.06 dB for port 2.
Directional radiation pattern has been proved by measurement result. HIS also increases
the radiation efficiency of 14.32% for port 1 and 15.88% for port 2.

Acknowledgements
This work was partly supported by “Penelitian Unggulan Perguruan Tinggi” from
the Ministry of Research Technology and Higher Education Republic of Indonesia.

References
A. Kumar, J. Mohan, and H. Gupta, “Surface wave suppression of micrpstrip antenna using
different EBG designs,” International Conference Signal Processing and Communication,
2015, Noida, pp. 355‐359.
D. Sievenpiper, Z. Lijun, R.F.J. Broas, N. G. Alexapoulus, and E. Yablonovitch, “High‐impedance
electromagnetic surfaces with a forbidden frequency band”, IEEE Transactions on
Microwave Theory and Techniques, vol. 47, pp.20159‐2074, 1999.
F. Faishal, A. Ahmad, U. Ali, S. Ullah,”Performance Analysis of a 2,4 GHz Plannar Antenna using
Different Type of Wearable Artificial Ground Planes”, 2015 12th Int. Conf. on High‐Capacity
Optical Networks and Enabling/Emerging Technologies, Islamabad, Dec 21‐23, pp.1‐5
G Z. Tong, A. Stelzer, and W. Menzel, “Improved Expressions for Calculating the Impedance ofDifferential Feed Rectangular Microstrip Patch Antennas,” IEEE Microwave and WirelessComponets Letters, 2012, pp. 441‐443
H. Sun, “An Enhanced Rectenna Using Differentially‐Fed Rectifier for Wireless Power
Transmission”, IEEE Antennas and Wireless Propagation Letters,2016, Vol.15, pp. 32‐35.A
P. Kovacs, T. Urbanec,”EBG Structures: Practical Tips and Advice for Antenna Engineers”
Z. Tong, A. Stelzer, C. Wagner, R. Feger, and E. Kolmhofer,”A novel differential microstrip patch
antenna and array at 79 GHz,” Available on:
ap‐s.ei.tuat.ac.jp/isapx/2008/pdf/1645129.pdf

333

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

MIMO Antenna System for Microsatellite Communications
Evizal Abdul Kadira*, Detri Karyab, Josaphat Tetuko Sri Sumantyoc,
Husnul Kausariand
a*dFaculty of Engineering, Islamic University of Riau, Pekanbaru 82824, Indonesia
bFaculty of Economic, Islamic University of Riau, Pekanbaru 82824, Indonesia
cCentre of Remote Sensing,Chiba University,Chiba 263‐8522, Japan

Abstract
A MIMO antenna system is proposed to improve data throughput limitations in multiple
input multiple output for microsatellite and wireless communication systems in thisinvestigation. The 4×4 MIMO antenna is designed to operate in the 2.4 and 2.6 GHz forMicrosatellite Communication and Long Term Evolution (LTE) applications. The
system’s radiation pattern re‐configurability is realized by using the microcontroller‐
driven PIN diode switching concept. Simulations and measurements exhibited good
agreements for both of configuration on the 2×2 MIMO and 4×4 MIMO. The antenna is
operational between 2.387 to 2.628 GHz, while the simulated and measured reflection
coefficients are at least ‐24.3 dB. All configurations produced a narrow beam forward
radiation pattern and suitable for microsatellite communication as well as LTE
communication.

Keywords

Antennas, Multiple‐Input‐Multiple‐Output (MIMO), Microsatellite Communication, Long
Term Evolution (LTE)

1. Introduction
Implementing reconfigurable antenna system onto wireless communication front
end has significantly contributed to the improvement of wireless communication
systems (WCS). Frequency, polarization, radiation pattern or their combination can bediversified to enable better WCS service delivery. Signal strength and data throughput of
WCS can further be enhanced by implementing a reconfigurable system using multiple‐
input multiple‐output (MIMO) antenna for WCS front end in such a way that antennas
radiation characteristics are dynamically changed in accordance with the user’s
behavior such as mobility, data usage and method used to access the WCS. Hence, theintroduction of the MIMO antenna system based reconfigurable front end will
significantly improve the data capacity and directivity of WCSs. Researches on MIMO
antenna based on frequency configurability for mobile devices are investigated in(Haitao, 2013), (Kulkarni, 2013), (Jin, 2012), (Karimian, 2012). Previous research isdone on frequency re‐configurability to control or steer radiation patterns for MIMO
antenna designed, furthermore in these proposed frequency configurable antenna
designed is mostly to switch the antenna beam. MIMO antennas which are* Corresponding author. Tel.: +0‐000‐000‐0000 ; fax: +0‐000‐000‐0000 .

E‐mail address: evizal@eng.uir.ac.id384

reconfigurable in terms of polarization and radiation are proposed in (Pei‐Yuan, 2012),(Zhengyi, 2009), (Sarrazin, 2009), (Yan, 2013) is based on antenna design such as usedslot, array antenna design or butler matric to control radiation pattern and polarization.
In these designs, it is only the receiver side that controls the radiation pattern of theantenna beam. The use of dielectric resonators as MIMO antennas for LTE band ispresented in (Cui, 2011). However, the design covers single frequency band at 700 MHz.
A compact, ultra wideband MIMO antenna for mobile device proposed in (Jae‐Min,
2005). The design is achieved using a printed folded monopole antenna coupled with aparasitic inverted‐L element. However, similar to the previous only for receiver side fordevices, although cover wideband frequency but not in 2.6 GHz spectrum.

2. Reconfigurable MIMO Antenna Design
In this proposed design, individual antennas are cascaded to form the MIMO
antenna system. The antenna is implemented using a low‐cost FR‐4 board with arelative permittivity of εr = 4.7, height, h = 1.6 mm and loss tangent, tan δ = 0.019. The
single element and 2x2 MIMO antenna is designed based on the procedure described in(Balanis, 2005), (Evizal, 2014) resulting in optimized structure illustrated in Figure 1.
The 2x2 array yielded a narrowband, directional antenna with high gain, and hence,slots are introduced onto the antenna to widen its 10 dB impedance bandwidth.

Figure 1. Design of the single MIMO antenna (all dimensions in mm)

The antenna elements are arranged and fed using a corporate feeding scheme. PIN
diodes are used to connect the desired antenna feed to the main transmission line asshows in Figure 2, every set element of MIMO antenna has transmission line to connect
or disconnect to others element in order to making array element. The locations of theradiating elements (labelled as element 1, 2, 3 and 4) and diodes on the top layer isshown in Figure 2(a), while the bottom layer antenna layer comprising transmission
lines is shown in Figure 2(b). A total of 6 PIN diodes are used to connect/disconnect
these lines by activating/deactivating the DC power towards each PIN diode using a
microcontroller unit.

385

(b)

(a)

Figure 2. Design of the 4x4 MIMO antenna (a) top view (b) bottom view.

This antenna can be switched using the PIN diode configurations listed in Table 1
to operate between three configurations:
i.

ii.

iii.

Single (aggregate) mode: all elements of the antenna are set to operate as a single
4x4 array with high gain. The two 2x2 arrays are connected using a single feed
centered on top of the substrate. For this configuration, all six PIN diodes areactivated.
Two 2x2 MIMO: Antennas 1 and 2 are connected to a transmission line to form
array A. Similarly, antennas 3 and 4 are connected to the transmission line to form
array B. The combination of arrays A and B produces the 2×2 MIMO antennaconfiguration. PIN diodes D‐1 and D‐2 are activated to feed power into Port A,
while diodes D‐3 and D‐4 are activated to feed power into Port B.
A 4x4 MIMO: In order to configure antenna become 4x4 MIMO with low gain
because every set of MIMO antenna are working independently then antenna
ports 1, 2, 3 and 4 are activated simultaneously. This configuration occurs when
all the PIN diode is deactivating.
Table 1. PIN diode settings for the three antenna configurations.

CONFIGURATIONDIODEMIMO 4x4

D-1
Off

D-2
Off

D-3
Off

D-4
Off

D-5
Off

D-6
Off

MIMO 2x2

On

On

On

On

Off

Off

Single Antenna

On

On

On

On

On

On

3. Antenna Performance Evaluation
The MIMO antenna system is fabricated and integrated with a microcontroller unit
to enable its reconfigurable feature. Its prototype is shown in Figure 3. The antenna
performance is first evaluated using a vector network analyzer and radiation patternmeasurement system in an anechoic chamber. Experimental evaluation of the overallsystem is then performed in the Wireless Communication Centre (WCC) UTM, tovalidate its accuracy and limitation.

386

3.1 Evaluation of the MIMO Antenna
To properly evaluate the antenna reflection coefficient, radiation pattern andantenna gain, each ports are evaluated individually while the rest are terminated. Since
there are four single antennas, the reflection coefficient for each port is labelled S11, S22,
S33 and S44. The isolations between the antenna ports are denoted as Smn. Meanwhile, theports for the 2x2 MIMO are indicated as ports A and B. Their reflection coefficients aredesignated as SAA and SAB, while the isolations between ports are labelled as SAB and
SBA. Port A is measured when only diodes D‐1 and D‐2 are activated, while port B when
D‐3 and D‐4 are activated.

Figure 3. The prototype of the MIMO antenna system top and bottom views.

3.2 Testing
The proposed MIMO system is then implemented as an access point for Wireless
Local Area Network (WLAN). User types (whether it is a laptop, smart phone, etc)
accessing the internet is determined before their data throughput and radio unit isassessed. The use of the WLAN architecture in this section simplifies the assessment
procedure due to its availability compared to when LTE devices are used. Figure 4
shows the WLAN access point using the developed MIMO antenna system, consisting of
3 set of Mikrotik R52 radio units and Mikrotik Router Board 133. A microcontroller
model Microchip PIC16F877 is used to control the activation of PIN diodes for the MIMO
system. The seven MIMO antenna ports are connected to the radio unit via coaxial cables
and standard SMA connector.
MIMO
Radio Unit

Router Board

Microcontrolle
Figure 4.Configuration of MIMO antenna system in the WLAN access point.

387

4. Results and Discussion
The single MIMO antenna evaluated indicated a satisfactory agreement between
simulation and measurement. Its measured reflection coefficient indicated operationfrom 2.387 to 2.628 GHz for WLAN and LTE bands see Figure 5. Simulations produced aminimum S11 of ‐27.8 dB at 2.45 GHz whereas the optimal measured S11 of ‐24.3 dB at
a slightly higher frequency of 2.5 GHz.

Figure 5. Simulated and measured reflection coefficient of the single MIMO antenna.

Isolation between the antenna ports for this antenna is also assessed andsummarized in Figure 6, indicating the maximum isolation of at least 15 dB.

Figure 6. Isolation between different ports of the MIMO antenna.

The radiation pattern of the first configuration, the 4×4 MIMO antenna aresimulated and measured at 2.5 GHz, as shown in Figure 7 indicating a good agreement. A
directional forward beam is generated for the E‐ and H‐planes with minimal side lobes.

388

(a)

(b)

Figure 7. Radiation pattern of a single antenna (a) E‐field (b) H‐field.

Next, the 2x2 MIMO antennas are evaluated by activating PIN diodes 1, 2, 3 and 4.
MIMO antennas 1 and 2 connected to Port A, and 3 and 4 connected to Port B are also
evaluated separately in terms of reflection coefficient and inter‐port isolation, see Figure
8. Isolation between ports A and B are at least 10 dB.

Figure 8. Inter‐port isolation of the 2x2MIMO antenna.

Similar to the previous structure, the radiation pattern of 2x2 MIMO are
performed separately at 2.5 GHz and summarized in Figure 9. Note that the same
forward radiation is exhibited with a narrower beamwidth compared to the previous
single antenna due to the additional array elements. Simulated and measured results
agreed with slight minor lobe disagreements.

389

(a)

(b)

Figure 9. Radiation pattern of dual MIMO antenna (a) E‐field (b) H‐field.

The third antenna operation as a single, high gain 4x4 array is evaluated by
activating all PIN diodes to enable each element’s connection to the transmission line..
Its radiation pattern is measured at 2.5 GHz, similar to previous evaluations, and shownin Figure 10. Notice that the beam direction is narrower compared to the previous single
and dual MIMO antenna.

(a)

(b)

Figure 10. Radiation pattern of single MIMO antenna (a) E‐field (b) H‐field

5. Conclusion
A reconfigurable MIMO antenna system for WLAN and LTE standards has been
proposed, consisting of rectangular slotted microstrip antenna elements. They form anarray antenna which can either be configured as a 2x2 or 4x4 MIMO antenna system, or
can also be used as a conventional high gain directional array. Pattern configurability isachieved via the switching of six PIN diodes located on the microstrip transmission line.
Measurements confirmed that the antenna is operational from 2.387 to 2.628 GHz,
agreeing well with simulationswith optimal reflection coefficients of ‐27.8 dB at 2.4 GHz
and ‐24.3 dB at 2.6 GHz, respectively. The proposed system is then integrated within a
WLAN access point and further evaluated in a practical environment. Both 2x2 and 4×4390

MIMO antenna configurations produced narrow beam forward radiation patterns inboth E‐ and H‐planes, and met the ECC requirement of below 0.5 and diversity gain of
between 9 and 10 dBi.
References
Haitao, L. (2013), "Compact MIMO Antenna With Frequency Reconfigurability and Adaptive
Radiation Patterns," Antennas and Wireless Propagation Letters, IEEE, vol. 12, pp. 269‐272.
Kulkarni, A.N. and Sharma, S.K. (2013), "Frequency Reconfigurable Microstrip Loop Antenna
Covering LTE Bands With MIMO Implementation and Wideband Microstrip Slot Antenna
all for Portable Wireless DTV Media Player," Antennas and Propagation, IEEE Transactions
on, vol. 61, pp. 964‐968.
Jin, Z.J. (2012), "Frequency reconfigurable multiple‐input multiple‐output antenna with highisolation," Microwaves, Antennas & Propagation, IET, vol. 6, pp. 1095‐1101.
Karimian, H.R. (2012), "Tri‐band four elements MIMO antenna system for WLAN and WiMAX
application," Journal of Electromagnetic Waves and Applications, vol. 26, pp. 2348‐2357.
Pei‐Yuan, Q. (2012), "A Pattern Reconfigurable U‐Slot Antenna and Its Applications in MIMO
Systems, " Antennas and Propagation, IEEE Transactions on, vol. 60, pp. 516‐528.
Zhengyi, L. (2009), "Compact Reconfigurable Antenna Array for Adaptive MIMO Systems,"
Antennas and Wireless Propagation Letters, IEEE, vol. 8, pp. 1317‐1320.
Sarrazin, J. (2009)., "Pattern Reconfigurable Cubic Antenna," Antennas and Propagation, IEEE
Transactions on, vol. 57, pp. 310‐317.
Yan, J.B. and Bernhard, J.T. (2013), "Implementation of a Frequency‐Agile MIMO DielectricResonator Antenna, " Antennas and Propagation, IEEE Transactions on, vol. 61, pp. 3434‐
3441.
Sharawi, S. and Aloi, D.N. (2013) "Isolation improvement in a dual‐band dual‐element MIMO
antenna system using capacitively loaded loops," Progress In Electromagnetics Research,
vol. Vol. 134, pp. 247‐266.
Wi, W. Jung, and Lee, B. (2013), "Wultiband handset antenna analysis including lte band MIMO
service," Progress In Electromagnetics Research, vol. Vol.138, pp. 661‐673.
Cui, L.S., Jiang, W., Gong, S.X., Guan, Y. and Yu, S.T. (2011), "A Novel Compact Dual‐Band MIMO
Antenna with High Port Isolation," Journal of Electromagnetic Waves and Applications, vol.
25, pp. 1645‐1655.
Jae‐Min, L. (2011), "A Compact Ultrawideband MIMO Antenna With WLAN Band‐Rejected
Operation for Mobile Devices," Antennas and Wireless Propagation Letters, IEEE, vol. 11,
pp. 990‐993.
Balanis, C.A. (2005), "Antenna Theory", Analysis and Design: John Wiley & Sons.
Evizal, Supriyanto, E., Rahman, T.A., Rahim, S.K.A., and Rosa, L.R. (2014), "Multiple Bands Antenna
with Slots for Wireless Communication System," Advances in Robotics, Mechatronics andCircuits, pp. 173‐177.

391

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

DEVELOPMENT L‐BAND ANTENA WITH LOW POWER FOR
CIRCULARLY POLARIZED‐SYNTHETIC APERTURE RADAR (CP‐SAR) APPLICATION ON UNMANNED AERIAL VEHICLE (UAV)
Muhammad Fauzan Edy Purnomoa,b, Rahmadwatic, Hadi Suyonod, Rudy Yuwonoe,
Joshapat Tetuko Sri Sumantyof
a,c,,d,eElectrical Engineering Department, Faculty of Engineering, Brawijaya University,

Malang 65145, Indonesia

bElectrical Engineering and Computer Science, Kanazawa University, Kakuma‐machi,

Kanazawa, Ishikawa 920‐1192, Japan

fCenter for Environmental Remote Sensing (CEReS), Josaphat Microwave Remote Sensing

Laboratory (JMRSL), Chiba University, Chiba 263‐8522, Japan

Abstract
The development of radar technology, Synthetic Aperture Radar (SAR) andUnmanned Aerial Vehicle (UAV) relatively fast and demanding needs of communication
facilities and infrastructure that has a variety of platforms and imaging of high quality,
which can generate data processed with high resolution and a better image for all typesof terrain explored. In this paper, it obtain the array construction antenna for Circularly
Polarized‐Synthetic Aperture Radar (CP‐SAR) embedded an UAV with compact, small,and simple configuration i.e. the developing a single and 16‐element array antenna withsimple equilateral triangular‐shaped, tip‐truncated patch for CP‐SAR operated in the L‐band.
An equilateral triangular truncated microstrip antenna is proposed for circularly‐
polarized synthetic aperture radar (CP‐SAR) systems operated in L‐Band (1.27 GHz).
Electromagnetically coupled, dual‐feeding method is applied to generate the circularly
polarized wave radiating from the patch. The performance characteristics of theseantennas are circular polarization, both circular to the left or to the right, making themeasier to capture images of objects on earth for processing information content that canbe utilized. The feeding design concept is implemented by simple feed with likely length
square‐shape that can generates two modes using perturbation segment (as) andstimulate the same current distribution at each patch and also excite both a left‐handcircular polarization (LHCP) and a right‐hand circular polarization (RHCP). The
simulated antenna based on the IE3D software using moment method gives a good
circular polarization at the center frequency of 1.27 GHz with an impedance bandwidthof 0.5% and 3‐dB axial ratio bandwidth of 100%, satisfying the specification for our
circularly polarized synthetic aperture radar intended for using on‐board an UAV.

Keywords
Single and 16‐element; Equilateral triangular‐shaped; Tip‐truncated; Simple feed;
Circularly polarized392

1. Introduction
Synthetic aperture radar (SAR) in the microwave band is active sensors which can
produce high‐resolution images in the microwave band. The use of microwave
frequencies allows penetration through the clouds, and even through the forest canopy
for bands of lower frequencies. Conventional SAR systems have been based on a linear
polarized (LP) antenna system. A circularly polarized SAR (CP‐SAR) which will belaunched on‐board micro‐satellites currently developed in Microwave Remote Sensing
Laboratory (MRSL) from the Center for Environmental Remote Sensing (CeRES), Chiba
University (Sri SU et al, 2009). As part of this project, the development of CP‐SAR air isalso conducted to gain enough knowledge about CP‐SAR sensor system. L‐band CP‐SAR
system will be designed for operation on‐board the unmanned aerial vehicle (UAV).
However, there are limitations due to the phenomenon of propagation such as variation
within geometrically between the radar system and the Earth, the phase shift when the
microwave attack smooth, reflective surfaces, etc. this phenomenon causes themodulation unwanted signal backscatter, redistribution random back signal‐energy andin the end, the image formed will face blurring and defocusing spatial variants andunambiguous identification low backscatter different features in a scene (Yohandri et al,2011). Especially for the propagation space, electromagnetic waves propagate throughthe ionosphere interact with electrons and magnetic fields.
The full characterization of SAR signals backscattered from random objects canonly be made possible through the use of circular polarization. Therefore, comparedwith the linear SAR sensor, a large amount of information about the scene and the target
is imaged will be provided with a CP‐SAR sensor (Baharuddin et al, 2009). The results ofsynthesis of circularly‐polarized data are far better compared to those constructed fromthe conventional linearly‐polarized data. In addition, more sensitive measurements may
be obtained by using circular polarization when the surface roughness was studied
using polarimetric SAR data (Mattia, 1997). This work focuses on the design CPSAR L‐
band antenna both single element and 16‐element array with a new shape i.e.
equilateral triangular truncated antenna using proximity fed.
The purpose of the present paper is to describe the development of the LHCP and
RHCP single and 16‐element array microstrip antenna installed on UAV. In general, amicrostrip antenna can attain a narrow frequency bandwidth at the expense of a low
gain. As compared with conventional microwave antennas, a microstrip antenna has
additional advantages such as a compact size, light weight, conformability to surfaces ofsubstrates, low cost, and easier integration with other circuits and versatility (Garg et al,2001). For CP‐SAR applications, an array configuration must be adopted to satisfy therequirement of the system. Here, we propose an L‐band CP‐SAR antenna consisting of
single and 16‐element of simple equilateral triangular truncated microstrip antenna
with 1 and 16 feeding.

2. Configuration of Array Antenna
The antenna structure of single element (Basari et al, 2006) and sixteenth‐element
array antenna which carried out the design and modeling are depicted in Figure 1. andFigure 2., respectively. Design and modeling software refers to the antenna IE3D to get
the antenna receiving and transmitting placed in the fuselage UAV with working
frequency of 1.27 GHz. More complete data for the technical specifications of CP‐SAR
antenna on a UAV can be seen in Table. 1. The shape of the antenna to be made is thetruncated form of an equilateral triangle, made of type NPC (Nippon Pillar Packing)‐
H220A (Edy PUR and Sri SU, 2011), with a relative permittivity of 2.17, loss tangent of393

0.0005, and the substrate thickness of 1.6 mm x 2 (patch radiating and feeding) = 3.2mm.

(top view)asLegends

Antenna: CP-SAR 1 elemen
Paremeters

Symbols

Dimensions

patch lengthap

99,37 mmlength_tip

as19,64 mmground heightg1

104,05 mm

ground lengthg2

129,38 mm

patch heighth86,06 mmsubstrate 1 heighth1

1,6 mmsubstrate 2 heighth2

1,6 mmfeed length fromedge of microstrip

le21,00 mm7,68 mmsubstrate
y

ap
g1

69.05

h
x

O
w

le

∆w
microstrip-line

patch

feeding shiftlf

feed length fromconnector
microstrip-line
lengthconnecting length
between ls & lst

ls

8,99 mmlst

11,01 mmr

1,175 mmheight_tip

s17,01 mmthickness coppert0,035 mmstripline widthw

3,64 mm∆w
angle between ls &lstrelative permittivity∆w

1,36 mmθ

30,06°

ε2,17loss tangentδ0,0005

ls
lst

r
lf

θ

g2
t

z
(side view)
substrate 1
O El
substrate 2
Aluminium plate

groundh1h2

xFigure 1. the construction of single element antenna
g2 = 1210,04 mm(top view)
substrate

g1 = 225,10 mm

1

t2

3

2

patch
t1 = 40,00 mm

9(side view)ground6

7

8

microstrip-lined=10,00 mmt2 =
55,00 mm

5

4

11

10

12

13

14

15

16
h1 = 1,6 mm

substrate 1
substrate 2

Aluminium plateh2 = 1,6 mm

Figure 2. the construction of 16‐elements array antenna

While, the truncated function is to make circular polarization both LHCP and
RHCP depend on the loci of feeding antenna. Similar with the truncated function, formore stability of it, the proximity technic of fed operated for making smooth circularpolarized, to wide bandwidth, increase the gain and also to adjust coupling with theelement beside it (Edy PUR et al, 2015). In matter of coupling, the distance between apexof array elements both of beside of it and upper or below of it are set 55 mm and 40 mm,
respectively. It is meant to reduce isolation with each closer patch and thus to get
sufficient gain for obtaining the minimum requirement 3 dBic for single element. Usually,for decreasing coupling to patch element closer each other, need the distance between
the patch element (in this case 1/3 h, where h is a height of patch antenna) to the othercloser patch element (t1= 47.01 mm and t2 = 55 mm) is based on the formula 0.5 λ < d394

<λ, where λ is wavelength of used (Tanaka et al, 2006). Moreover, the size of ground g1= 233.11 mm and g2 = 1209.96 mm

No
1.
2.
3.
4.
5.
6.
7.
8.
9.

Table 1. Technical specification of CP‐SAR antenna on‐board UAV
Antenna Parameters
Specification for UAV
Resonance Frequency (Center) (GHz)
1,27
Pulse Band Wide (MHz)233,31
Axial Ratio (dB)3
Antenna Efficiency (dBic)>80 %Gain Antenna (degree)
14,32
Azimuth Beamwidth (degree) 6,770
Elevation Beamwidth (degree)
3,570 – 31,020
Antenna Size (m)1,5 x 0,4
Polarization (Tx/Rx)
RHCP + LHCP

3. Results
3.1 Single Antenna
In Figure 3. to Figure 5., the images show the simulation results of antenna gain of
LHCP, RHCP and the total gain of a single antenna with a truncated equilateral triangle
proximity fed. Gain total shows the stability of the gain because of an accumulation of
LHCP and RHCP gain with a value of 4 dBi which is relatively better than the LHCP and
RHCP gain at target frequency of 1.27 GHz. A single antenna with a reduction in length‐
patch (truncated) makes the total vector current distribution is reduced in the truncatedarea which caused wide‐band antenna becomes narrow (Edy PUR et al, 2016).

Gain [dBi]

LH Circular Field Gain
10
5
0
‐5 0
‐10
‐15
‐20
‐25
‐30
‐35
‐40
‐45
‐50
‐55
‐60
‐65

0.3

0.6

0.9

1.2

1.5

1.8

2.1

2.4

2.7

3

3.3

Freq[GHz]

Figure 3. LHCP gain

395

Gain [dBi]

RH Circular Field Gain
5
0
‐5 0
‐10
‐15
‐20
‐25
‐30
‐35
‐40
‐45
‐50
‐55
‐60
‐65

0.3

0.6

0.9

1.2

1.5

1.8

2.1

2.4

2.7

2.1

2.4

2.7

3

3.3

Freq[GHz]
Figure 4. RHCP gain

Gain [dBi]

Total Field Gain
10
5
0
‐5 0
‐10
‐15
‐20
‐25
‐30
‐35
‐40
‐45
‐50
‐55
‐60

0.3

0.6

0.9

1.2

1.5

1.8

3

3.3

Freq[GHz]
Figure 5. total gain

Figure 6. shows the value of axial ratio (Ar) for simulation at the target frequencyof 1.27 GHz at 0.0001 dB. In addition, Ar‐3dB bandwidth of the antenna closer to the
maximum of 100%.
Figure 7. shows the relationship between the S‐parameters and frequencies for
simulation of antenna Tx/Rx. In this figure, it can be seen that the S‐parameters of an
equilateral triangle truncated antenna at the target frequency of 1.27 GHz approximately‐12.3 dB.
In the Figure 8. describes the characteristics of the input impedance of the Tx/Rx.
This figure shows that the real part of the simulation has the result of close to 50 Ω.
While the reactance of the equilateral triangle truncated antenna also close to 0 Ω.
Furthermore, the impedance bandwidth (below ‐10 dB) of the antenna is about 2 MHz.

396

Axial Ratio
1

[dB]

0.8
0.6
0.4
0.2
0
0

0.5

1

1.5

2

2.5

3

3.5

2.7

3

Freq[GHz]

Figure 6. axial ratio

Value

S‐Parameters
4.00E+01
3.00E+01
2.00E+01
1.00E+01
0.00E+00‐1.00E+01 0‐2.00E+01‐3.00E+01‐4.00E+01‐5.00E+01‐6.00E+01‐7.00E+01‐8.00E+01‐9.00E+01‐1.00E+02

0.3

0.6

0.9

1.2

1.5

1.8

2.1

2.4

3.3

Freq [GHz]dB[S(1,1)] in dB

Ang[S(1,1)] in degree

Figure 7.s‐parameter

397

Impedance (Ohm)Real Imaginer Z
300
250
200
150
100
50
0
‐50
‐100 0
‐150
‐200
‐250
‐300
‐350
‐400
‐450
‐500
‐550
‐600
‐650
‐700
‐750

0.3

0.6

0.9

1.2

1.5

1.8

2.1

2.4

2.7

3

3.3

Freq[GHz]
Re[Z(1,1)]Im[Z(1,1)]

Figure 8.input impedance

Figure 9. and Figure 10. show the efficiency of the antenna and the radiation
efficiency in which the radiation efficiency (60%) greater than the antenna efficiency(55%) on a target frequency of 1.27 GHz. This is due to the radiation efficiency
parameter depends only on the values of loss while on the efficiency of antennaradiation other than radiation loss is also a loss of materials, dielectric loss and others.

Value

Antenna Efficiency [%]
65
60
55
50
45
40
35
30
25
20
15
10
5
0
‐5 0

0.3

0.6

0.9

1.2

1.5

1.8

2.1

2.4

2.7

3

3.3

Freq[GHz]

Fig.ure 9. antenna efficiency

398

ValueRadiation Efficiency [%]
70
65
60
55
50
45
40
35
30
25
20
15
10
5
0
0

0.3

0.6

0.9

1.2

1.5

1.8

2.1

2.4

2.7

3

3.3

Freq[GHz]

Fig.ure 10. radiation efficiency

3.2 Array Antenna
In Figure 11 until Figure 13, the images show the simulation results gain
antenna among LHCP, RHCP and the total gain of the 16‐element array equilateraltriangular truncated antenna which used the proximity fed. Gain total shows thestability in value due to an accumulation of LHCP and RHCP gain accumulation with avalue of 12.5 dBi. While the LHCP gain is relative the same with RHCP gain at the target
frequency 1.27 GHz about 9.4 dBi. The 16‐element rray antenna are made by combining
several single patch to increase the gain as long as the coupling that occur in each single
element is to set a minimum distance between the closed element about ¼ wavelength.

Value

Maximum LH Circular Field Gain (dBi)
12
11
10
9
8
7
6
5
4
3
2
1
0
0.9

1

1.1

1.2

1.3

1.4

1.5

1.6

1.7

1.8

1.9

2

2.1

Freq{GHz}
Fig.ure 11. LHCP gain

399

ValueMaximum RH Circular Field Gain [dBi]
12
11
10
9
8
7
6
5
4
3
2
1
0
0.9

1

1.1

1.2

1.3

1.4

1.5

1.6

1.7

1.8

1.9

2

2.1

1.9

2

2.1

Freq[GHz]
Fig.ure 12. RHCP gain

Value

Maximum Total Field Gain [dBi]
14
13
12
11
10
9
8
7
6
5
4
3
2
1
0
0.9

1

1.1

1.2

1.3

1.4

1.5

1.6

1.7

1.8

Freq[GHz]
Fig.ure 13. total gain

Figure 14. shows the value of axial ratio (Ar) 16‐element array antenna that is
relatively the same the result of a single antenna for simulation at the target frequencyof 1.27 GHz amounted to 0.0001 dB. In addition, Ar‐3dB bandwidth of the antenna
approach maximum of 100%.

400

ValueMinimum Axial Ratio (dB)
1
0.95
0.9
0.85
0.8
0.75
0.7
0.65
0.6
0.55
0.5
0.45
0.4
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
0

0.25

0.5

0.75

1

1.25

1.5

1.75

2

2.25

Freq[GHz]
Fig.ure 14. axial ratio

Figure 15 until Figure 18, the figures show the relationship among the S‐
parameters and frequencies for element S‐11 (represented by the elements patch
number 5), S‐12, S‐19, S‐910 from the simulated antenna Tx / Rx. On figure, it is seenthat the S‐12 and S‐910 has a relatively similar results for patch elements are locatedadjacent positions (left‐right), but very different from the S‐19 because of the position of
the patch antenna is top‐down. It can be seen that the effect of coupling loss of eachpatch antenna occurs that the S‐19 is relatively better than the S‐12 and S‐910, eachvalue in the target frequency range of 1.27 GHz about ‐21.7 dB and ‐19.5 dB,
respectively. While the value of the S‐11 is decreased comparing with the single element
antenna (‐12.3 dB) of approximately ‐6.7 dB at the target frequency 1.27 GHz. Thismatter due to the 16‐elements array antenna fed using 16 feeding and all of eachelement are not still matched yet. Hence, it is very important in order to obtain loss
minimum possible value and to distribute the flow maximum power and optimum gain,
the optimized array antenna design is necessity.

Value

S‐Paremeter ( dB[S(5,5)] )0‐0.5 0.9
‐1
‐1.5
‐2
‐2.5
‐3
‐3.5
‐4
‐4.5
‐5
‐5.5
‐6
‐6.5
‐7
‐7.5

1

1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.92

2.1

Freq[GHz]
Fig.ure 15. S‐11

401

ValueS‐Paremeter ( dB[S(1,2)] )‐10‐12.5 0.9
‐15
‐17.5
‐20
‐22.5
‐25
‐27.5
‐30
‐32.5
‐35
‐37.5

1

1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9

2

2.1

2

2.1

2

2.1

Freq[GHz]
Fig.ure 16. S‐12

Value

S‐Paremeter ( dB[S(1,9)] )‐10‐12.5 0.9
‐15
‐17.5
‐20
‐22.5
‐25
‐27.5
‐30
‐32.5
‐35
‐37.5
‐40

1

1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9

Freq[GHz]
Fig.ure 17. S‐19

Value

S‐Paremeter ( dB[S(9,10)] )‐10‐12.5 0.9
‐15
‐17.5
‐20
‐22.5
‐25
‐27.5
‐30
‐32.5
‐35
‐37.5
‐40
‐42.5
‐45

1

1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9

Freq[GHz]
Fig.ure 18. S‐910

402

4. Conclusion

The research process has already discussed to the stage of the single antenna
design and array antenna 16‐elements of the equilateral triangle truncated withproximity fed, where its performances still need to be optimized especially value thegain and efficiency of the antenna. For the value of S‐parameter of single antenna is goodenough because it was below ‐10 dB, however for the array antenna still need to be
optimized because it was still in the upper of ‐10 dB. While the value of input impedance
for the riel and the imaginer, especially for a single antenna ranges approaching 50 Ω
and 0 Ω. The value of the gain of the antenna is increased when compiled 16‐elements
rather than single element i.e. from the 4 dBi to become 12.5 dBi, while the axial‐ratio
both single and 16‐element array antenna are relatively the same at the target frequency
1.27 GHz approximate 0.0001 dB.

Acknowledgements
The authors would like to thank the Microelectronic Research Laboratory (MeRL),
Kanazawa University, Japan for the support and the Center for Environmental Remote
Sensing (CEReS), Josaphat Microwave Remote Sensing Laboratory (JMRSL), Chiba
University, Japan for joint cooperation in this research and also to thank the Ministry of
Research, Technology and Higher Education, Indonesia for supporting research throughthe research grand on the name of BOPTN 2016.

References

Baharuddin, M., Wissan, V., Sri SUmantyo, J.T. and Kuze, H. (2009). Equilateral Triangular
Microstrip Antenna for Circularly‐Polarized Synthetic Aperture Radar. Progress inElectromagnetics Research C, Vol. 8, 107–120.
Basari, Sri SUmantyo, J.T., Takahashi, M., Ito, K. (2006). Circularly Polarized Triangular Microstrip
Array Antenna Using Single‐Fed Proximity‐Coupled for Mobile Satellite Communications
Applications. Proceeding IJJSS 2006.
Edy PURnomo, M.F. and Sri SUmantyo, J.T. (2011). Design circularly polarized of equilateraltriangular hole antenna for SAR (Synthetic Aperture Radar). IEICE Technical Report, ISSN
0913‐5685, Vol. 111 No. 239, October 17‐19, 2011.
Edy PURnomo, M.F., Pramono, S.H., Pamungkas, M.A. and Taufik. (2015). Study of the effect of air‐gap on array microstrip antenna performances for mobile satellite communications. ARPN
Journal of Engineering and Applied Sciences ISSN 1819‐6608, Vol.10.No.20.
Edy PURnomo, M.F., Suyono, H., Mudjirahardjo, P. and Hasanah R.N. (2016). Analysis
performance of singly‐fed circularly polarized microstrip antenna for wirelesscommunication. Jurnal TEKNOLOGI e‐ISSN 2180‐3722, Vol. 78. No. 5‐9.
Garg, R., P. Bhartia, I. Bahl, and A. Ittipiboon. (2001). Microstrip Antenna Design Handbook. Artech
House, London.
Mattia, F., Toan T.L., Souyris, J., Carolis, G.D., Floury, N., Posa, F. and Pasquariello, G. (1997). The
effect of surface roughness on multifrequency polarimetric SAR data. IEEE Trans.
Geoscience and Remote Sensing, Vol. 35, No. 4, 954–966.
Sri SUmantyo, J. T., Wakabayashi, H., Iwasaki, A., Takahashi, F., Ohmae, H., Watanabe, H., Tateishi,R., Nishio, F., Baharuddin, M. and Akbar RIZki, P. (2009). Development of circularly
polarized synthetic aperture radar on‐board microsatellite. PIERS Proceedings, 382–385,
Beijing, China, March 23–27, 2009.
Tanaka, T., Houzen, T., Takahashi, M., and Ito, K. (2006). Circularly Polarized Printed Antenna
Combining Slots and Patch. IEICE Transaction Communications, VOL.E89—B.
Yohandri, Wissan, V., Firmansyah, I., Akbar RIZki, P., Sri SUmantyo, J.T. and Kuze, H. (2011).
Development of circularly polarized array antenna for synthetic aperture radar sensor
installed on UAV. Progress In Electromagnetics Research C, Vol. 19, 119‐133.

403

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Ground‐based Spectral Measurements of Chlorophyll
Fluorescence from Vegetation Canopies
Kenji Kuriyamaa, Koki Hommab, Tatsuhiko Shiraiwac,
Naohiro Managod, and Hiroaki KuzedaFaculty of Engineering, Shizuoka University, 3‐5‐1 Johoku, Hamamatsu, 4328011 JAPANbGraduate School of Agricultural Science, Tohoku University, Aoba‐ku, Sendai, 9818555

JAPAN

cGraduate School of Agriculture, Kyoto University, Sakyo‐ku, Kyoto, 6068502 JAPANdCenter for Environmental Remote Sensing, Inage‐ku, Chiba, 2638522 JAPAN

Abstract
Detection of vegetation fluorescence is important for understanding physiology ofvegetation leaves in relation to photosynthetic activities. We have developed a stand‐offsystem that enables the observation of vegetation fluorescence under both laboratory andfield conditions. The intrinsic difficulty in monitoring weak fluorescence signal is theseparation between the fluorescence signal around 740 nm and the large reflection ofvegetation leaves in the near infrared (NIR) spectral region. In the laboratory
measurement, it has been proven that a LED‐based light source coupled with cold‐ or hot‐mirrors can provide illumination with only visible or NIR part of the spectrum. The “pure”
visible illumination, which is mostly free from the NIR radiation, can lead to theobservation of fluorescence signals without hindrance from large NIR reflection. The NIR
illumination, on the other hand, enables the evaluation of pure reflectance in NIR freefrom the fluorescence contribution. The combination of such pieces of spectral
information makes it possible to implement the detailed analysis of solar radiationinduced fluorescence signals. For field applications, a stand‐off measurement system
based on an astronomical telescope has been developed to carry out the spectral
measurement using a CCD spectrometer, together with the two‐dimensional
measurement of the fluorescence intensity distribution by means of a cooled CCD camera.
A narrow‐band optical filter centered at 760 nm, the wavelength of the oxygen A‐band, isemployed with the CCD camera to exploit the “solar blind” wavelength for the florescencemeasurement under daylight conditions. We describe the application of the system to asoya‐bean field in Kyoto University.

Keywords
Vegetation fluorescence; Ground‐based remote sensing; Canopy measurement;

1. Introduction
Chlorophyll fluorescence emitted from vegetation under insolation yields valuable
information on photosynthetic activities. It has been reported1,2) that high-resolution FITR
spectrometers onboard satellites are capable of detecting fluorescence signals from surface* Corresponding author. Tel.:+81‐53‐478‐1281; fax:. +81‐53‐478‐1281

E‐mail address: tskmasu@ipc.shizuoka.ac.jp

vegetation. For ground-based observations, instrumentations such as the use of UAVs3) and acrane tower above fields4) have been proposed and tested.
404

The present paper reports the results of our recent activity toward the realization of a systemthat enables remote sensing of vegetation fluorescence on the canopy level. The system iscomposed of an astronomical telescope, a compact CCD spectrometer, a cooled CCD camera,
and narrow-band filters5,6). In order to carry out quantitative analysis, it is indispensable tovalidate the signal against both fluorescence and reflectance signals in the near infrared (NIR)
region taken inside the laboratory, since the separation of these two contributions is essential.
When an LED light source is employed in such a laboratory experiment, it is shown that theuse of a cold mirror (good rejection of NIR and transmission of visible light) or a hot mirror(good rejection of visible light) can lead to ideal illumination conditions for separate
observations of weak fluorescence signals and large signals arising from infrared reflectance.
As an example of our recent field studies, here we describe the results of solar radiation induced
fluorescence (SIF) conducted at a soybean field in Kyoto University with stand-off distancesof 15-30 m.

2. Laboratory observation of fluorescence spectra
The light from an LED light source (35 W) was illuminated on a soybean (Glycine max)
canopy prepared in a dark laboratory. Figure 1 shows the LED spectrum, which exhibits peaks
around 450 and 550 nm, with relatively weak intensity at wavelengths longer than 700 nm(broken line). For further reducing the NIR intensity, the combination of a cyan filter and a hot
mirror (transmitted light) was used to cut wavelengths longer than 620 nm (thin curve in Fig.
1). The resulting LED-induced fluorescence signal of the vegetation canopy exhibits a major
peak at around 690 nm with a smaller peak at 690 nm (solid curve).

Fig. 1 Spectra of original and modified (cyan filter + hot mirror) LED light source
shown with LED-induced fluorescence signal.

3. Stand-off measurement of SIF
The field measurement of soybean SIF was carried out at the experimental field of Kyoto
University during September 1 -3, 2016. The cultivated Soybean types are Toyoyutaka andsome other varieties. The observation under daylight conditions were carried out with an opticalsystem developed in our group5,6). The main feature of the system is the capability of sharingnearly the same field-of-view (FOV) of a telescope with a compact spectrometer and a cooled
CCD camera in a subsequent manner (Fig. 2) The diameter of the telescope is 200 mm, with an
FOV coverage of 0.47 deg (full angle). The spectrometer is a cooled CCD spectrometer (Ocean
Optics, QE65Pro) covering the wavelength range of 500-870 nm with a sampling interval of
0.1 nm. Typical value of the signal-to-noise ratio is as high as 1000:1. The spatial distributionof fluorescence intensity is detected with a cooled CCD camera (Bitran, BU51LIR) equippedwith an optical filter centered at 760.68 nm with narrow-band transmission of 1 nm (FWHM)(Andover, hereafter F760).

405

Fig. 2 Instruments used for the fieldobservation of SIF

Fig. 3 Locations of the canopy andreference (whiteboard) observation.

For obtaining reference spectrum/image, the spectrum of solar radiation reflected from ahome-made whiteboard (WB) of ~0.45×0.6 m2 was measured with the telescope system, forboth the spectrometer and camera image measurement modes. Figure 3 shows the scheme of
the reference measurement. In the case of the spectral measurement, the portion of the WB
indicated by a dotted circle was employed and the resulting spectrum was compared with thevegetation signal taken by observing the position of the soybean leaves encircled with the whiteline. In the case of the image measurement, the rectangular area of ~0.30×0.23 m2 (marked with
red line) was observed, the left part of which is covered by the WB.
Figure 4a shows the resulting spectrum from both soybean leaves (thin line) and the WB
reference (solid line). In the spectral region of 825 - 850 nm, the effects of SIF and water vapor
absorption are insignificant. Thus, the reflectance of target leaves relative to the reference WB
is estimated from this region, as indicated with a dotted curve. Here the slight decline of WB
reflectance toward the shorter wavelength was taken into account. Then, the difference between
the soybean curve (thin line) and the scaled reference curve (dotted line) indicates the SIF signal,
as illustrated in Fig. 4b. For the following discussion on the SIF intensity, we use the spectral
intensity at 775 nm, which is mostly free from the effects of atmospheric absorption (i.e., O2
and water vapor) and chlorophyll absorption.

Fig. 4 Proposed Method of spectral fitting. In (a), the WB
spectrum (solid line) is scaled to fit the vegetation spectrum(thin curve) using the wavelength range of 825 - 850 nm.
Then, the resulting curve is subtracted from the canopy
signal to obtain the SIF profile, as shown in the inset.

Fig. 5 (a) Soyabean field imagery and(b) fluorescence intensity calculated
by subtracting the reference spectra
after the scaling.

406

Figure 5 shows the spatial distribution of SIF. In this image, the right side shows thereflectance of the WB, while the left side the reflectance from the soybean canopy. The camera
image was recorded by applying the narrow bandpass F760 filter. We assume the linearity
between the pixel digital numbers (DNs) and radiation intensity, and the same scaling factor
obtained in the case of Fig. 4a is applied to this case as well. Thus, the difference between the
canopy DNs and scaled reference DNs gives the SIF intensity distribution as indicated in Fig.
5b.
The temporal change of the SIF intensity from both the spectral and camera measurements
was compared with that of photosynthetically active radiation (PAR) recorded using a PAR
meter (BMS 3415FXSE) (Figure not shown). Good agreements were seen among these three
independent datasets, suggesting the direct relation between the PAR and fluorescenceintensities during the observation time.
Figure 6a shows the reflectance image taken with the CCD camera attached with aninterference filter having the central wavelength 550 nm and width 10 nm. The stand-off
distance was 20 m, and the acquisition time duration was 30 ms. In this visible image, it is seenthat generally strong reflection of solar radiation is observed for leaves that meet the specularreflection condition. Figure 6b, on the other hand, shows the SIF image taken by applying theF760 filter with the acquisition time of 50 ms. The color scale is assigned for the data expressedin units of count ms-1 pixel-1.
In the experimental field of Kyoto University, different varieties of soybean are planted
column by column. Figure 7b, the red squares indicate the position of columns. As seen from
Fig. 7, good agreement was seen for the SIF intensities determined from the spectral
measurement and image analysis.

(a)

(b)

Fig. 6 (a) Reflection image observed at 550 nm and(b) fluorescence image observed at 760 nm.

Fig. 7 Difference in fluorescence intensity
observed for different varieties of soybean(14:10-14:30 on September 2, 2016)

In conclusion, we have described the SIF measurement from vegetation canopy under bothlaboratory and field conditions. The use of LED light source coupled with appropriate filter
setup made it possible to separate the weak fluorescence intensity from much larger nearinfrared reflectance of vegetation. In the field measurement, the scaling of the whiteboard
reference worked well for deriving the fluorescence signals even under daylight conditions.
Acknowledgement: This work was financially supported by the Grant-in-aid from MEXT and
CEReS Joint Research.
References
1) L. Guanter et al.: Geophys. Res. Lett., 34, L08401, doi:10.1029/2007GL029289 (2007).
2) C. Frankenberg et al.: Geophys. Res. Lett., 38, L03801, doi:10.1029/2010GL 045896 (2011).
3) P.J. Zarco-Tejada et al.: Remote Sensing of Environment 117, pp. 322-337 (2012).
4) F. Daumard et al.: IEEE Trans. Geosci. Remote Sens., 48, pp. 3358-3368 (2010).
5) K. Masuda (Kuriyama) et al.:WEP.N92, IGARSS Quebec (2014).
6) K. Kuriyama et al.: RSSJ 59th Autumn Meeting B-4 (2015)

407

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

THE USE OF HYPERSPECTRAL DATA TO ANALYZE CLIMATECHANGE ACCORDING TO CARBON STOCKS AND SOUTHEAST
SULAWESI BIODIVERSITY
Sawaludin, Derick Christopher Ambo Masse, Muhammad Apdal, Hasmina
Tari Mokui, Surya Kurniawan and Waode Nurhaidar, La Ode Restele*
Universitas Halu Oleo, Jl. H.E.A Mokodompit, Kendari 93232, Indonesia

AbstractIndonesian region is lately experiencing extreme weather resulting in deviant climatechange. It is occurred due to the massive amount of carbon dioxide produced on thisplanet. As the consequence, the ozone layer protecting the earth from solar radiation
becomes vulnerable and damaged. The existence of the green plants classified as forest
biodiversity is expected to reduce the large amount of carbon dioxide gas bytransforming it into oxygen through photosynthesis. Forest biodiversity in Southeast
Sulawesi is categorized into tropical forest, savannah and mangrove forest. Each type offorest has different amount of carbon stock. Nowadays, , information in relation tocarbon stocks and forest biodiversity are needed for the analysis of climate change. The
main objective of this research is to analyze climate change according to carbon stocks
and forest biodiversity in Southeast Sulawesi by applying hyper spectral data. In order
to distinguish the forest types and to comprehend its carbon potentials, unsupervisedclassification method is applied and correlated with the biomass carbon. Furthermore, it
is analyzed using NDVI formula to determine the extent and density of vegetation andcarbon potential existing in an area. Further analysis is conducted by utilizing weather
parameter of air pressure observation data, air temperature data, and weather satellite
data to discover monthly average weather conditions semi‐objectively. The results
obtained, will enable this research to analyze climate change in order to provide early
prevention efforts.
Keywords: Biodiversity, Carbon, Climate, Weather, Hyperspectral.

1.

Introduction

Indonesia is developing country located in Asian continent and situated right at theequatorial line. Having such geographical condition, Indonesian certainly has a very large
area of forest. One location in Indonesia with large forest area is in Southeast Sulawesi and it
can be categorized into tropical, mangrove and savanna forest.
Tropical forest is inhabited by more than 50% of total species of plants in theworld (Whitmore. 1990, Foody. 2003, Thomas et al 2004). However, detailed spatial*Derick Christopher Ambo Masse. Tel.: +62‐853‐9414‐7195.

E‐mail address:derickchristopher.ams@gmail.com

408

information about composition and distribution of tree and its fauna diversity is still
limited to some areas (Clark et al. 2005). Similarly, both mangrove and savanna forests
occupy large distribution area and have their own roles as well. For example, mangrove
plays important role on coast productivity (Analudin. 2016).
For remote sensing scientist, satellite data can be used to assess biodiversity(Lucas et al.) and to contribute on dead and living carbon assessment (Asner andHeibretch, 2002).
Based on those facts, the main objective of this research is to analyze climatechange based on biomass reserve and plant diversity in South east Sulawesi. In
particular, this research is aimed: (1) to estimate biomass carbon existence (2) to findout what climate change will happen by analyzing biomass existence in Southeast
Sulawesi forests.

2.

Material and Methods

2.1.

Location

Location of this research is the whole region of Southeast Sulawesi (Figure 1) withastronomic position is between 02°45’‐06°15’ South Latitude and 120°45’‐124°45’ East
Longitude (Biro Humas. 2013).

Figure 1. Southeast Sulawesi Map.

409

2.2.

Image Processing

First stage of image processing of Landsat 8 is geometric and radiometriccorrection. Image correction is a conditioning operation so that the image to be used canreally provide accurate information geometrically and radiometrically (Danoedoro.
1996).
After being corrected, the image will be analyzed using Normalized Difference
Vegetation Index (NDVI) formula to get vegetation density point (Jensen. 1996). Next
stage is a classification process to classify and separate each areas based on their own
ecosystem vegetation types.
2.3.

NDVI Analysis

Vegetation index can be used to measure biophysics parameter such as biomass,
chlorophyll, LAI (Leaf Area Index), etc. (Jensen. 1996). To separate vegetation and nonvegetation on satellite imaging, normalized difference vegetation index method is used
(Gougeon and Leckie. 2003, Danoedoro. 1996), with equation as follows:(1)
Next, correlation analysis will be conducted to seek for relationship between
vegetation density and area use. At this step, the new analysed image will be produced
and then classified into tropical, mangrove or savannah forest. In order to interpret therelationship between two variables, the relationship power correlation criteria (Table 1) isapplied (Rahmi. 2009).
Table 1. Relationship power correlation criteria
Score
Correlation relationship

2.4.

0

No correlation

0.1 – 0.25

Very weak correlation

0.26 – 0.5

Medium correlation

0.51 – 0.75

Strong correlation

0.76 – 0.99

Very strong correlation

1

Perfect correlation

Biomass and Carbon Stock Estimation

Forest carbon total reserve measurement is based on biomass total content
measurement and organic stuff at carbon pool (IPCC. 2003). Carbon biomass estimationon land surface is calculated by building up allometric equation (ministry of forestry.
2013). Applied allometric equation is:(2)
To calculate tree volume, geometric equation is used by considering tree heightand diameter data as follows:(3)
Carbon stock estimation based on biomass needs biomass conversion factor value
which is called as carbon fraction (forestry ministry. 2013), formulated as:(4)
Carbon fraction value applied in Equation (4) is 0.47 (IPCC. 2003).
410

2.5.

Climate Change Analysis

Climate change is analyzed by using temperature parameters data of air andrainfall to know the average annual weather conditions on a semi‐objective scale.
3.
3.1.

Results and Discussion
Image Correction
Image correction is the first step on preparing the data before doing analysis inorder to find out the index value of vegetation density. The whole process of image
correction as follows: (1) applying geometric correction of image to reflate the image
within its real position; (2) applying radiometric correction to reflate pixel value thatwas damaged due to errors while recording the image. The result of radiometriccorrection can be seen at Figure 2.

Figure 2. (a) Image pieces of Landsat Southeast Sulawesi 2016; (b) Image pieces of Landsat Southeast Sulawesi 2006

3.2. Vegetation Density Index Value and Forest Type Classification
Vegetation density index value is obtained by taking 200 samples, selected
randomly in Southeast Sulawesi region through satellite imaging. In addition, its
physical condition is also checked in detail by exporting existing points ofinvestigated image into Google Earth Software. Then, analyzed vegetation
physical condition is adjusted to density classification index that is alreadydetermined (Table 2).
Tabel2. Vegetation density index value classification
Density rate
Interval

Value

High density

0,8 – 1

91 – 100

Medium density

0,5 – 0,79

61 – 90

Low density

0,2 – 0,49

31 – 60

Not vegetated‐1 – 0,19

0 – 30

Point selection is conducted within two different images having 10 year
time interval, i.e. Landsat 7 in 2006 and Landsat 8 in 2016. Selecting similar
points is intended to see the trend of field cover change. The comparison resultshows a very significant result. In 2006, vegetation density rate is 0.68005 whilein 2016, it is 0.476378.
Based on the result, it can be seen that the field cover change in 10 years is0.203674. It happened because there was added space for housing, mining, palm
oil plantation and many more purposes in Southeast Sulawesi.
411

After finding the field cover change or vegetation trend in Southeast
Sulawesi, correlation analysis is applied. In the correlation analysis, the density
index value is compared to field cover change value. Correlation relationship isindicated in correlation coefficient (r) and determination coefficient (R2).
Determination coefficient shows linear relationship between NDVI result andfield use value based on already determined scoring.

Figure 3. Index Value Of Vegetation Density in 2016.

Figure 4. Index Value Of Vegetation Density in 2016.

In 2016, determination coefficient value is 0.9782, while in 2006, its
determination coefficient value is 0.9972. It is obvious from the number ofdetermination coefficient that investigated variables has a strong relationships,
as can be seen on Figure 2 and Figure 3. This confirms the theory that the moredetermination coefficient, the stronger relationships between investigatedvariables (Hafish. 2013) and without considering the algebra sign, determination
coefficient moves between ‐1 to 1.

412

Based on correlation analysis, it is known that determination coefficient hasa very high value. Later, that value is used to predict extents for each ecosystem,
i.e. tropical, mangrove and savanna forest.
3.3. Biomass and Carbon StockStanding Biomass calculation is conducted at each ecosystem (Tropical,
Mangrove and Savanna). Both for tropical and mangrove forests, measurement
is conducted as much as 3 times covering different areas. Except in savanna
forest, measurement is only one time.
abcFigure 5. (a) Savanna Ecosystem; (b) Mangrove Ecosystem; (c) Tropical Ecosystem.

Standing Biomass in Plot 1, created at area of 60 m x 60 m of tropical forest
ecosystem is 6 .516.08tonHa‐1. This result is based on the allometric formula which had
been developed previously. In plot 2, founded standing Biomass based on similar
formula and equal plot dimension is 7.214.45 tonHa‐1. While in the Plot 3 (applying
similar formula and size of plot), the result of standing biomass is 6.241.79 tonHa‐1.
In calculating the standing Biomass of mangrove ecosystem, each plot was createdat area of 30 m x 30 m. Based on the allometric formula, obtained the total biomass ofplot 1 is 3.328.83tonHa‐1. While standing biomass for plot 2, is 4.963.75tonHa‐1 andstanding biomass for plot 3 is 3.158.48 tonHa‐1.
Biomass of savanna forest ecosystem is calculated by doing measurement in thefield, i.e. making plot with area of 30 m x 30 m. Furthermore, recreate a new small plot
(1 m x 1 m) within the aforementioned plot. In savanna ecosystem, standing biomass
calculation in conducted by cutting down all individuals within the small plot 1m x 1 m
and then measure the wet weight accordingly. About 300 g of the total individuals is
separated and treated as wet weight sample. Furthermore, the selected wet weightsample is heated in the oven with temperature 850C to find out the dry weight. In orderto calculate Biomass in Savanna ecosystem, the total dry and wet weights are multiplied
and then it is divided with wet weight sample. The final result obtained from biomass
calculation of savanna ecosystem within the selected plot is 112 ton Ha‐1.
Once standing biomass is known, total biomass in Southeast Sulawesi can becalculated based on the total area of each forest ecosystem type that has been set.
Calculation of total biomass is conducted by multiplying the total of standing biomass
with total area of each forest ecosystem type. The total biomass in Southeast Sulawesi
for each forest type are as follows: (1) tropical forest ecosystem is34.966.097.079.72tonHa‐1; (2) mangrove forest ecosystem is 4.611.721.676.15tonHa‐1;
and (3) savanna forest ecosystem of biomass is 7.653.520 tonHa‐1.

413

Furthermore, based on total biomass in Southeast Sulwesi, the carbon stock can becalculated by using carbon stock formula value 0.47 as the carbon fraction value set by theIntergovernmental Panel on Climate Change (IPCC). The result shows that Carbon Stock fortropical forest in Southeast Sulawesi 16.434.065.627.47tonCHa‐1. In addition, Carbon
Stock for Mangrove Forest is 2.167.509.187.79 ton CHa‐1. While, for the savannah forest
ecosystem, the carbon stock is 3.597.154.40 ton CHa‐1. Table 3 shows the total results
for biomass and Carbon Stock Calculation.
Table 3. Biomass and Carbon Stock of Southeast Sulawesi
Type of Ecosystem
Biomass Plot Area
(Ton/Ha)
Tropical Forest
Mangrove Forest
Savanna Forest

6.516.08
7.214.45
6.241.79
3.328.83
4.963.75
3.158.48
112

Total Biomass (Ton/Ha)

Total Carbon Stock(TonC/Ha)

34.966.097.079.72

16.434.065.627.47

4.611.721.676.15

2.167.509.187.79

7.653.520

3.597.154.40

Based on Table 3, it can be concluded that the largest number of carbon stock inSoutheast Sulawesi is at tropical forest ecosystem and respectively followed by mangrove forest
ecosystem and savannah forest ecosystem.

3.4. Impacts of Biomass Carbon Stock Change to Climate Change
Climate change can be detected through temperature and rainfall which occur
everyday. The following is data used in this research (Table 4) taken from Kendari
Meteorology and Maritime Climatology Station and then converted into annual
average climate condition. Figure 6 shows the graph of monthly average climate data.
There are 3 stations in Southeast Sulawesi but the weather data is only taken from
Kendari Station to represent other parts of Southeast Sulawesi region, as there is no
significant weather differences among parts of the aforementioned region.
Table 4. Weather Annual Average in Kendari Municipality
Year
Annual Average ofAnnualTemperature
Temperature Max

Annual Rainfall

2008

27.04

31.21

7.48

2009

26.58

31.02

5.85

2010

26.68

31.07

6.79

2011

26.90

31.40

4.80

2012

27.21

31.04

4.74

2013

27.34

31.52

4.67

2014

27.12

31.68

2.99

2015

26.89

31.60

5.48

According to data from Kendari Station, during the last 8 years, there is a rising
trend in the average annual temperature. This is due to deforestation activities
happening across Southeast Sulawesi Region. Deforestation is the main cause of climatechange because it reduces the number of forest plants functioning to absorb carbon
dioxide. As the result, the ozone layer at the atmosphere becomes damaged.
According to Biomass Carbon Calculation that has been done, Southeast Sulawesi
forests can only absorb and temporarily save less that 18 billion tonnes of carbon. Thereis a significant difference as compared to forest condition in Southeast Sulawesi from 10414years ago. The satellite imaging applied for this research also confirms that there issignificant change of land cover condition within the last 10 years.
As can be seen from Table 4, the maximum temperature in Kendari Municipality
has increased by 0.10C per year. Meanwhile, the rainfall experiences a downturn every
year. This research brings up consequences to the upcoming years that Southeast
Sulawesi Region will experience more dryness, particularly in Kendari Municipality.

Figure 6. Monthly Average Weather Condition of Kendari Municipality.

Besides dryness, seasonal change also becomes uncertain. As can be seen in 2014,
the Southeast Sulawesi region experienced prolonged EL Nino condition causing someparts in the region suffered due to dryness. In addition, in 2013, the prolonged La Nina
caused floods in some parts of Southeast Sulawesi region, including Kendari
Municipality.
According to the climate change projection from IPCC, the global temperature willrise by 20C in 2050. This prediction might happen faster due to fast deforestation
practices causing less forest area. Therefore, it is predicted that hydro meteorologicalhazards in Indonesia will increase.
In conclusion, the choice in the future toward change climate issues is how to do
mitigation or risk reduction as well as to adapt with the change on earth. There areseveral promising programs can be done, such as Carbon Bank, reforestation, or finding
new invention to reduce the rate change of land cover. However, the most important
thing is commitment of all people to prevent global warming.

415

REFERENCES
Analuddin, K, et al. (2016). Blue carbon stock and green tea potential in mangroves ofcoral triangle eco‐region, Southeast Sulawesi, Indonesia. Int. J. of Environmental
Science, Vol. 1, No. 2367‐8941. Kendari, Indonesia.
Asner, G.P. and Heidebrecht, K.B. (2002). Spectral unmixing of vegetation, soil and dry
Carbon cover in arid regions; comparing multispectral and hyperspectral
observations, Int. J. of Remote Sensing, Vol. 23.
Biro Humas dan PDE. (2013). Geografis Sulawesi Tenggara. Indonesia.
http://www.sulawesitenggaraprov.go.id. Last Accessed 12 October 2016.
Clark, D.A., Roberts, D.A., and Clark, D.A. (2005). Hyperspectral discrimination of tropicalrain forest tree species at leaf to crown scales, Remote Sensing of Environment, Vol.
96.
Danoedoro, P. (1996). Pengolahan Citra Digital. Fakultas Geografi, UGM, Indonesia.
Foody, G. (2003). Remote sensing of tropical forest environments: Towards themonitoring of environmental resources for sustainable development, Int. J. of
RemoteSensing, Vol. 24, No. 20, 4035. Southampton, United Kingdom.
Gougeon, F.A. and Leckie, D.G. (2003). Forest information extraction from high spatial
resolution images using an individual tree crown approach. Information Report
Bc‐X‐396, Natural Resources Canada, Canadian Forest Service, Victoria, BC.
Hafish, A.S, et al. (2013). Penggunaan Algoritma NDVI dan EVI Pada Citra Multispektral
untuk Analisa Pertumbuhan Padi, Studi Kasus Kabupaten Indramayu, Jawa Barat.
Jurnal Teknik Pomits. ITS, Indonesia.
Jensen, J.R. (1996). Introductory Digital Image Processing: A Remote Sensing
Perspective, 3rd edition. Prentice Hall, Inc. London.
Kementrian Kehutanan. (2013). Pedoman Penggunaan Model Alometrik Untuk
Pendugaan Biomassa dan Stok Karbon Hutan di Indonesia, Pusat Penelitian dan
Pengembangan Konservasi dan Rehabilitasi, Badan Penelitian dan Pengembangan‐
Kementrian Kehutanan, Indonesia.
Lucas, R.M., Bunting, P., Paterson, M., et al., Classification of Australian forest
Communities using aerial photography, CASI and HyMap data, Remote Sensing ofEnvironment, in press.
Rahmi, J. (2009). Hubungan Kerapatan Tajuk dan Penggunaan Lahan Berdasarkan
Analisis Citra Satelit dan Sistem Informasi Geografis di Taman Nasional Gunung
Leuser. Universitas Sumatera Utara, Medan, Indonesia.
Thomas, C.D, et al. (2004). Extinction risk from climate change. No. 427(6970). Nature.
USA
Whitmore, T.C. (1990).An introduction of tropical rain forests. Clarendon, Oxford,
England.

416

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Polarimetric analysis of long term paddy rice observation using
ground‐based SAR (GB‐SAR) system
Yuta izumia*, Tomorou Watanabea, Mohd Zafri Baharuddinb, Sevket Demircic, andJosaphat Tetuko Sri Sumantyoa
aCenter for Environmental Remote Sensing (CERES), Chiba University, 1‐33, Yayoi, Inage,

Chiba 263‐8522, Chiba JapanbDepartment of Electronics and Communication Engineering, College of Engineering

Universiti Tenaga Nasional, Jalan IKRAM‐UNITEN 43000 Kajang, Selangor, Malaysia

cDepartment of Electrical‐Electronics Engineering, Mersin University, Ciflikkoy 33343,

Mersin, Turkey.

Abstract
The synthetic aperture radar (SAR) has been utilized for generating image of the earth
surface by synthesizing the antenna along the azimuth flight pass as signal processing.
This technique recently provides us abundant information by using the polarimetric dataof linear polarized (LP) antennas. In recently, Josaphat Microwave Remote Sensing
Laboratory (JMRSL) developed ground‐based SAR (GB‐SAR) for precise monitoring ofseveral targets and SAR experiment inside an anechoic chamber. In this paper, we
introduce the paddy rice observation by using the developed GB‐SAR system and that ofpolarimetric analysis. To observe the paddy rice using SAR is very promising since SAR
observation doesn’t face the problem of whether condition. We conducted the paddy riceobservation experiment inside an JMRSL anechoic chamber. More accurate results can becorrected than SAR onboard satellite by testing inside the anechoic chamber and using
the GB‐SAR with wideband frequency. The GB‐SAR is comprised of vector network
analyzer (VNA), quad ridged horn antennas, and position controller. The SAR image wasreconstructed by back projection algorithm with inverse SAR (ISAR) experimental
method for high resolution image. We have observed the paddy rice from beginning of theJune until end of September to analysis according to the growth stages. As a polarimetricanalysis, we applied model based decomposition technique in linear polarization (LP)basis proposed by Yamaguchi to each SAR images. The result from series ofmeasurements show strong dependency on the off‐nadir angle and unignorable high helix
scattering effect.

Keywords
SAR; GB‐SAR; Polarimetry; Paddy rice.

1. Introduction
The synthetic aperture radar (SAR) is imaging radar which can obtain interest
target by collecting scattering signals along the azimuth line. Since this technique uses

* Corresponding author. Tel.: +81‐80‐1671‐9266.

E‐mail address: yutaizumi0927@gmail.com

417

Fig. 1. Photograph of paddy rice according to the growth stages.
Table 1. List of paddy rice height according to the observation date.

Test date

Jun.7

Jun.22

Jul.6

Jul.21

Aug.3

Aug.22(ear emergence)

Aug.30

Sep.14Height
[cm]

19

27

34

42

49

52

52

45

microwave as transmitting signal, it can generate the images without consideration of
weather condition and observation time.
The polarimetric information obtained by polarimetric synthetic aperture radar(polSAR) becomes important factor for observation of paddy field. Until now, several
papers have investigated the relationship between microwave scattering and growthstage of paddy rice using polSAR data of SAR onboard satellite and aircraft and ground‐based SAR (GB‐SAR) (Hayashi and Sato, 2009), (Li et al., 2012). The paddy riceobservation by using especially GB‐SAR can select variety of frequencies and use wide
frequency range, compared to SAR onboard satellite and aircraft (Hayashi and Sato,2009). However, few papers have studied long term paddy rice observation of GB‐SAR
until now.
In this paper, we conduct polarimetric analysis of long term paddy rice observation(beginning of June until end of September) according to the seasonal growth stage byusing developed GB‐SAR system inside of an anechoic chamber. As the polarimetricanalysis, we applied four component decomposition technique which decomposes thescattering power to several scattering mechanisms such as surface, double‐bounce,
volume, and helix scattering proposed by Yamaguchi et al. (Yamaguchi et al., 2005)

2. Four component polarimetric SAR image decomposition
Depends on the target geometry, scattering mechanism which is characterized by
the scattering matrix of polarimetric SAR data is determined. Scattering matrix in linear
polarization basis has four complex coefficients: HH, HV, VH, and VV of linear polarization
where each coefficient of amplitude and phase is determined by scattering mechanism ofinterest target. The polarimetric SAR data has advantage of characterizing scattering
mechanism of specific target by adopting decomposition technique. Four component
polarimetric SAR image decomposition is one of the promising decomposition techniques
which is proposed by Yamaguchi et al. This technique decomposes into four scattering
mechanism categories of surface, double‐bounce, volume, and helix scattering by using
the coherency or covariance matrix. Here for example using well known covariancematrix of each scattering mechanism, the measured covariance matrix 〈 〉 (〈∙〉 denotes
the ensemble average) in HV‐basis (linear polarization basis) can be decomposed as

C 

HV

 f s C 

HV
surface f d C 

HVdouble f v C 

HVvolume fc C 

HV
helix

(1)

where fs, fd, fv, and fc are defined as constant number of surface, double‐bounce, volume,and helix scattering respectively. The four component decomposition process can be418

Anechoic chamber (4 x 6.6m)

Anechoic chamber (4 x 6.6m)

Dual polarized
quad-ridged hornantenna

Dual polarized
quad-ridged hornantenna

Tx

Tx
Rx

Paddy rice

Off-nadir angle: 72°

Rotational
Positioner

1.825m1.745mRotational
Positioner

360°

PC

Off-nadir angle: 50°

1.25m

3.5m

Positioner controller

Rx

Paddy rice

Vector network analyzer (VNA)

Positioner controller

(a)

360°

PC

Vector network analyzer (VNA)

(b)

(c)

Fig. 2. Constructed GB‐SAR system network inside the anechoic chamber. (a) Geometry with 72°off‐
nadir angle (b) Geometry with 50°off‐nadir angle (c) Photograph from actual experiment with 50°off‐
nadir angle.

done after deriving four constant number of each power of scattering mechanism. Morespecific decomposition process can be referred from (Yamaguchi et al., 2005).

3. Experiment

To analyze the paddy rice using polarimetric decomposition technique, 8 times of
paddy rice observation data were collected from June 7th until September 14th of 2016.
These observations were conducted by using paddy rice as a target and developed GB‐
SAR system. To analyze the incidence angle dependency, the measurements werecarried out with two specific off‐nadir angles: 72° and 50°. Note that the primarymeasurement of June 7th miss the 50° off-nadir angle measurement data because of corrupt
data.
3.1.
Paddy rice
We had cultivated the paddy rice from early tillering stage until harvesting in
outside of our laboratory, as shown in Fig. 1. By cultivating our‐self, every parameter
related to paddy rice such as water and soil amount can be controlled easily. In addition,
we can bring it into the anechoic chamber, and thus observation becomes possible with
controlled environment. 6 paddy rice which are planted inside of the polystyrene box with
13.5cm height of soil and 14.5cm of water are used to suppress the undesiredbackscattering from the box. The paddy rice height according to the observation date arelisted in Table 1. Ear emergence started from Aug. 22.
3.2.
Polarimetric GB‐SAR system
The developed GB‐SAR system is constructed by a vector network analyzer (VNA),
a positioner controller, a rotational positioner, a PC, and quad‐ridged horn antennas, as419

Fig. 3. Generated SAR images with 50° off‐nadir angle obtained in Sep.14. (a) HH (b) HV (c) VV

Fig. 4. Decomposed SAR images with 50° off‐nadir angle obtained in Sep.14. (a) Surface scattering (b)Double bounce scattering (c) Volume scattering (d) Helix scattering

Fig. 5. The normalized average power. (a) off‐nadir 72°. (b) off‐nadir 50°.

Fig. 6. Relative scattering components of Ps, Pd, Pv, and Pc. (a) off‐nadir 72°. (b) off‐nadir 50°.

shown in Fig. 2. This setup achieves a stepped frequency continuous radar (SFCW)
configuration and wide‐band observation since the antennas can be used in frequency
range from 700 MHz until 10 GHz. The inverse SAR (ISAR) method, where target rotatesin static place while SAR collecting the receiving data, was adopted to this observation.
Because the target is in the antenna footprint all time during the measurement, thismethod is considered as spotlight mode and can obtain high resolution images compared
to stripmap GB‐SAR measurement.

420

4. Experimental results and discussion
The generated SAR images with 50° off‐nadir angle which is obtained in Sep.14
are shown in Fig. 3 as representative of many images. These images are normalized to 0
dB as choosing a maximum value among three images. HH, HV, and VV polarization
images are placed in Fig. 3 respectively. Fig. 3 shows the clear dots which represent theplanted place of paddy rice. In addition, this figure shows highest scattering from VV‐
polarization because paddy rice stands as vertical shape.
Fig. 4 shows the images which is decomposed to each power component of Ps(surface scattering), Pd (double‐bounce scattering), Pv (volume scattering), and Pc(helix scattering) from SAR images of Fig. 3. Furthermore, we calculated average power
values from each decomposed power image and performed normalization to the
maximum power in whole values, shown in Fig. 5, and scattering component rate isshown in Fig. 6. From these figures, the obvious difference between two off‐nadir angles
are observed. The measurements with 72° off‐nadir angle indicate that the surface anddouble‐bounce scattering are dominant among the 4 scattering components while themeasurements with 50° show the highest volume scatterings and unignorable high helix
scattering (Figure 6). This result indicates that the helix scattering is also one of theimportant factor for paddy rice monitoring, although many literatures have discussed
paddy rice monitoring without considering of Pc scattering until now.
Although the seasonal results show strong dependency on the off‐nadir angle,
characterizing the paddy rice according to the observation time is not enough.
Therefore, further analysis such as H/alpha decomposition is planted to conduct.

5. Conclusion
Seasonal paddy rice observations have been conducted by using pol‐GB‐SAR with
two specific off‐nadir angles. The 6 paddy rice which are planted inside of thepolystyrene box are used in the measurement. To perform the polarimetric analysis,four components polarimetric SAR decomposition technique is processed in each SAR
images. The seasonal results show high dependency on the off‐nadir angle in the paddy
rice observation and unignorable helix scattering effect for observing paddy fields.
However, the decomposition analysis is not enough to characterize the paddy riceaccording to the observation date. Therefore, more analysis will be performed as a next
step of this study.

Acknowledgements
This work was supported in part by the European Space Agency Earth Observation
Category 1 under Grant 6613, by the 4th Japan Aerospace Exploration Agency (JAXA)ALOS Research Announcement under Grant 1024, by the 6th JAXA ALOS Research
Announcement under Grant 3170, by the Japanese Government National Budget (Special
Budget for Project) FY 2015 under Grant 2101, Taiwan National Space Organization
under Grant NSPO‐S‐105096; Indonesian Bhimasena, and by the Chiba University
Strategic Priority Research Promotion Program FY 2016..

References
Hayashi, N., and Sato, M. (2009). Measurement and analysis of paddy field by polarimetric GB‐SAR.
In 2009 IEEE International Geoscience and Remote Sensing Symposium (Vol. 4, pp. IV‐358).
Cape Town, IEEE.

421

Yamaguchi, Y., Moriyama, T., Ishido, M., and Yamada, H. (2005). Four‐component scattering model
for polarimetric SAR image decomposition, IEEE Transactions on Geoscience and Remote
Sensing, Vol. 43, No.8, pp. 1699‐1706. IEEE, USA.
Li, K., Brisco, B., Yun, S., and Touzi, R. (2012). Polarimetric decomposition with RADARSAT‐2 forrice mapping and monitoring, Canadian Journal of Remote Sensing, Vol. 38, No. 2, pp. 169‐179. Canadian Science Publishing, Canada

422

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Exploring Attractive Landscape Elements and Sceneries of Bukit
Kucing Forest Tanjungpinang by using Visitors-Employed
Photography Method
Akhmad Arifin Hadia*, Yusuke Mizuuchib, Katsunori Furuyac
aBogor Agricultural University, Jl. Meranti Faperta IPB Dramaga Bogor 16680, Indonesia
bThe University of Tokyo, 489‐0031 Aichi‐ken Seto‐shi, Goizukacho 11‐44, Japan
cChiba University, 271‐8510 Chiba‐ken Matsudo‐shi 648, Japan

Abstract
The Bukit Kucing Forest (BKF) is a protected areas preserved in the middle of Tanjungpinang
City, Indonesia. As an open protected area, the BKF is being managed for public recreation
instead of wildlife protection and forest conservation. The visitor-employed photography (VEP)
method was implemented in this research by involving 61 university students who study inuniversities in Tanjungpinang city. The participants were asked to walk following
predetermined tracks and capture landscape objects or sceneries that impressed them during
walking. Each participants used their own camera or smartphone with camera and each of themwere attached a GPS logger to record their path and the time it took. All photos captured byparticipants were copied to researchers desktop in order to be object of the research. Eachphotos obtained from respondents were matched between captured time and walking time toobtained geo-tagged photos. There were 1,259 geo-tagged photographs obtained from
respondents. By using density analysis in ArcGIS, it identified the concentration of photos
captured places. The finding shows there are 7 clusters of landscape character captured byparticipants where each clusters has different trend locations of photos points’ density. It showsa valuable input for planning and management of BKF related with attractive landscape viewsand elements with its trend locations. However, the most preferred landscape is still a questionin this research. The next research of participant’s travelling time is needed in order toinvestigate the most preferred landscape and its observation places in relation with observation
time.

Keywords
VEP; Landscape; Scenery: Preference; Forest; Tanjungpinang

1. Introduction
The perception of beauty of a landscape among professional planners, managers
and users is sometimes different (DeLucio & Mugica, 1994; Hofmann, Westermann,
Kowarik, & Van der Meer, 2012). What landscape planners and managers think about
interesting places and objects sometimes different with user preferences. Therefore the* Corresponding author. Tel.: +81‐70‐1445‐9411.

E‐mail address: arifin_hadi@ipb.ac.id423

study about user preference toward landscape they perceive is important as input for leplanning and management. There are various way to do research in assessing landscapepreferences, however the preference assessments result attached to the site is a challenge.
In this research, we tried to combine study about visitors’ preference, visitors’ photos andvisitors’ tracking to obtain the landscape character that visitors perceived and its
locations or trend of locations. This research result is very important to plan the future
eco‐tourism activities in Bukit Kucing Forest in order to avoid inefficiency and error ofdevelopment regarding to visitors perceptions and behavior.
The visitors’ photos are become object investigated in this research. It became
evidence of what people see on a site (Markwell, 1997) or witnessing an event on a site
(Koliska & Roberts, 2015). It is assumed that what visitors captured on the site, arelandscape or objects that visitors’ attention into, whether it is good or bad impression.
The research with visitors’ photos as research objects is possible to be implemented since
the use of smartphones with camera are common in Indonesian people daily life. This
benefit of growth of technology become answer of the constraint of visitors‐employed
photography research at the past, that the research is constrained by the cost of providing
camera to respondents (Brian Garrod, 2008; MacKay & Couldwell, 2004).
The geo‐tagging and GPS technology are important for complementing digital
photography into more valuable, These technologies that is used optimally by (Mizuuchi,Son, Kang, & Furuya, 2015; Sugimoto, 2011) to investigate people preference of alandscape they visited. This method is implemented in this research for obtaining photos
from visitors. What make differences with those two research is the analysis of visitors’
photos that in this research, a multivariate hierarchical cluster analysis is implemented inorder to obtain the character of landscape that visitors perceived during walking on the
Bukit Kucing Forest.
The Bukit kucing forest is selected as research site based on its location in the
middle of Tanjungpinang city. The number of forest exist in the middle of cities inIndonesia is less because of rapid development. The Bukit Kucing forest is one of theprotected areas exist in the middle of Tanjungpinang city that have important role toconserve become a habitat of various birds, insects and vegetation in the city. However
the city government of Tanjungpinang have a plan to create educational and ecotourism
in Bukit Kucing Forest in the future. Before the plan is executed on the site, the potential
visitors’ preference research is implemented as input for the ecotourism program. The
objectives of the research are investigate potential visitors’ preference of landscape of
Bukit Kucing Forest, identifying the character of landscape that visitors attract into.

2. Material and Method
The method is combining the participants tracking, photos geo‐tagging and photobased preference. The participants tracking is implemented in order to analyze
participants' behavior related to the existing features and landscape characters on thesite. This result will be analyzed in the next peer review paper. In this paper, we tried toanalyze the participants preference based on the photos they captured and analyzed
photos locations by using photos' geo‐tagging tools. The landscape character performedby each photos were clustered in order to identify the landscape character thatparticipants perceived during site visit.
The participants' preferred landscape were recorded in the photos they captured,
implementing the visitors‐employed photography method that was introduced for the
first time by Cherem on 1970’s (Heyman, 2012; Oku & Fukamachi, 2006) . The photos that
captured were used as evidence of the view of landscape that participants perceived on
the site. The participants’ camera or smartphones with camera are used to capture thepreferred photos. Once participants walking on the site, the GPS logger were attached toparticipants' bags or trousers in order to record actual geo‐positions of each participants.
The time data of the photos captured were matched with GPS logger data in GeoSetter424software from Friedemann Schmidt. The geo‐tagged photos then analyzed in ArcGIS inorder to analyze the density of photos captured points on the site. In the other hand, thephotos contents of each photos were tabulated and analyzed in JMP software from SAS inorder to obtain the hierarchical cluster of the photos' contents that each cluster shows thecharacter of landscape view that captured by participants.
The research was conducted in Bukit Kucing Forest, Tanjungpinang city, Riau Island
Province, Indonesia. This forest is stated as protected areas managed by City Governmentof Tanjungpinang city since 1987. The total area of the forest is 54.4 hectare located in the
middle of Tanjungpinang city. It is a semi‐open forest surrounded by settlements, nofences and people can access for free from any entrances. Despite on ease of entering theforest, all people activities in the forest should be reported to forest guard. Visitors who
are not surrounded citizens usually enter the forest from forest guards post entrance.
The participants are 68 university students who study in universities in
Tanjungpinang city consist of 56 Students are from University of Maritime of Raja Haji Ali(Umrah University), 10 Students are from Sekolah Tinggi Ilmu Sosial dan Ilmu Politik(STISIPOL) Raja Haji Tanjungpinang and 2 Students are from Sekolah Tinggi Ilmu
Ekonomi Pembangunan (STIEP) Tanjungpinang. This group of respondents selected
because university students are assumed have appropriate knowledge to possessthemselves as objectives evaluators of Bukit Kucing forest. They are mature enough todecide preferred landscape features and have independent opinion about preferredlandscape.
The procedure to participants before they taking a walk following predeterminedtrack is, "please captured the preferred landscape sceneries or landscape objects that you
see on the site". The number of photos is not limited in order to get the natural response
from each participant to the landscape or objects they see. It is also because the attractive
places and features of the site were not predetermined yet by the Bukit Kucing Forest
manager. The outcome of this research was expected by the manager in order to make theeco‐tourism plan for Bukit Kucing Forest.
After participants got explanation about the research and what should theycaptured on the site, the participants started to walk following predetermined track
guided by the forest guard. The track is a loop track with counter –clockwise direction, It
is an effort to avoid participants lost because in the forest there is still no sign board andsome of the track were not paved yet. After finish walking, the participants back to thestaring points near the forest guard base camp in order to fulfill questionnaires, copy thephotos file to researcher's laptop, give back the GPS logger and receive the survey fee forRp. 50.000,‐.

3. Result
There were 1259 photos obtained from 61 participants. There were 7 participantsthat the photos cannot be geotagged due to the unavailability of metadata of time and datein their photos. Therefore the photos captured by 7 participants cannot be used in the
ArcGIS analysis method in order to obtain its distribution and density. From the 1259
photos, it can be investigated that participants take pictures in almost every segment of
track (Figure 1). The photos mostly captured in several stops before the peak area anddecreased after the peak area. The track length is 2,700 m consist of 1,880 m paved trackand 820 m non‐paved track
The elements appear in each photo were then counted and tabulated its
appearances. The data from analyzing each photos were analyzed in the multivariate
hierarchical cluster analysis was implemented to the photos content. From the cluster
analysis, it was stated 7 cluster of landscape elements that shows the character oflandscape performed by each photos in each cluster.

425

Figure 1. Point location of Landscape Elements Captured by participants

The cluster 1 consist of 470 photos (Table 1). The cluster 1 photos contents mostly
consist of plants such as bushes (Mean: 0.785), trees (Mean: 0.583), grasses and weeds(Mean: 0.506) and ferns (Mean: 0.238) that were captured near the paved track. The small
young trees (Mean: 0.157) and Melaleuca trees (Mean: 0.113) with dark color of barksometimes appear in the photos of this cluster. The photos’ captured points of this clusters
mostly captured spread in the beginning of walking without specific concentration. It
hotspot of photos' points density can be seen from the white spot along the tracks in
Figure 3. It shows that the landscape with this character is often common in the half way
of walking track.
The C1 is near with Cluster 2 (C2) which is consist of 208 photos (Table 1). Similar
with C1, in the C2, the Trees (Mean: 0.918), bushes (Mean: 0.846), grasses and weeds(Mean: 0.716), drought trees (Mean: 0.74) and small young trees (Mean: 0.591) are often
appear in the photos. However, the elements appearance that distinguish the photos of
C1 and C2 is the increase number of appearance of sky (Mean: 0.918) that shows thephotos mostly captured in open area, not look like in C1 that the sky usually hidden bytrees canopies. The C2 photos mostly captured in grassland area which is performed bywhite spot in C2 points density (Figure 3). From this area, the other hilly areas in thisforest mostly captured by participants. Due to the high density of C2 photos in thegrassland area, the wide open of scenery that can be seen from this area is an interestinglandscape character that worth to be optimized for recreation activities in this site.
The Cluster 3 (C3) and Cluster 4 (C4) are near relationship in the dendogram(Figure 2). The C3 is characterized by high mean number of flowers (Mean: 0.309) andsky (Mean: 0.256) appear in the photos. In this cluster, participants more capture detail426

object of plants, i.e. flowers. The sky that often appear shows that the flower captured in
the photos mostly captured in open area or located on the trees branch upon human levelso the camera direction is up‐angel. Similar with C3, the photos in C4 are also consist ofdetailed object with close angel. However, the object captured in C4 are spiders animal(Mean: 0.750). However, the number of photos in C4 is less than other cluster because not
all participants found animals and not all of them pay attention to animals while walking.

Figure 2. Hierarchical Cluster of landscape elements based on participants photos

427

Figure 3. The Photos' location, Appearance of Landscape elements and example photos of Cluster 1 – 7

The cluster 5 (C5) and Cluster 6 (C6) are near relationship in the dendogram (Figure2). They consist of photos of water‐related features. The C5 consist of landscape withwater (Mean: 0.823) such as at ditch‐drainage corridor and “Batu menangis” rock sites(0.242). These landscape characters are perceived by participants while they dorecreation on the BKF site. Different with C5, the photos of C6 are consist of photos offeatures surround the water and ditch‐drainage corridor. It is not more to the waterbody
because the water as object less appear in C5 but the trees (Mean: 0.957), bushes (Mean:
0.932) and grasses and weeds (Mean: 0.573) are often captured in this cluster. The unique428

Table 1. The Landscape Elements Appear in Photos of Each Cluster

1

Cluster

Count
470

2

208

3

317

4

8

5

62

6

117

Elements
Bushes
Tree
Grasses and weeds
Dropped dry leaves
Sky
Ferns
Paved Track
Small young tree
Mellaleuca tree
Tree
Sky
BushesDrought trees
Grasses and weeds
Small young tree
Other hill on far
Non‐Paved Track
Eagle nest
BushesFlowerTree canopy
Sky
LeavesFruit seed
Tree
Grasses and weeds
Bark & trunk
Small young tree
Dropped dry leaves
Ferns
BushesSpiderGarbage
Dropped dry leaves
Tree
Grasses and weeds
Tree canopy
Ferns
Sky
Water
Drainage
Bushes
Tree
Grasses and weeds
Rocks
Tree
BushesGrasses and weeds
Gazebo

Mean
0.785
0.583
0.506
0.421
0.383
0.238
0.196
0.157
0.113
0.918
0.918
0.846
0.740
0.716
0.591
0.260
0.207
0.120
0.432
0.309
0.262
0.256
0.252
0.240
0.202
0.167
0.167
0.104
0.095
0.082
0.750
0.750
0.625
0.375
0.250
0.250
0.125
0.125
0.125
0.823
0.726
0.629
0.516
0.484
0.242
0.957
0.932
0.573
0.513

Frequency
330
245
213
177
161
100
82
66
47
191
191
176
154
149
123
54
43
25
160
115
97
95
94
89
75
62
62
39
35
30
6
6
5
3
2
2
1
1
1
51
45
39
32
30
15
112
109
67
60

429

7

77

BridgeDropped dry leaves
Paved Track
Pond
Pipe
Sky
Water
Tree
Sky
Sea
Other hill on far
CityBushes

0.410
0.325
0.282
0.256
0.214
0.205
0.137
1.000
0.961
0.961
0.883
0.766
0.130

48
38
33
30
25
24
16
77
74
74
68
59
10

elements appear in the C6 are gazebo (Mean: 0.513) and red‐bridge (Mean: 0.41) locatedon the ditch‐drainage corridor. They characterized the landscape that distinguish themwith track corridors in C1.
The cluster C1 to C6 are consist of photos which are consist of objects or featuresinside the BKF site. They are located in one clade of clusters. Different with C1 to C6, theCluster 7 (C7) consist of object outside of BKF site or it is called as borrowing view. The
photos of C7 mostly consist of Tanjungpinang city (Mean: 0.766) and seashore side (Mean:
0.961) that can be seen from the peak of the hill in BKF site. The existing structure in thispeak of hill is a gazebo that preferred by participants to stay as rest point and taking
pictures. Therefore, according to the points density map, the photos of C7 mostly captured
in this gazebo area.

4. Discussion
The procedure to capture preferred landscape is a key of this research. However,
the average number of preferred landscape photos by each participant is high with 21
photos per person. This number is high if it compare with other VEP studies, such as by(B. Garrod, 2008) with 8 photos per person, (Mizuuchi et al., 2015) with 16.46 photos perperson and (MacKay & Couldwell, 2004) with 13 photos per person although it is still
lower than (Sugimoto, 2011) who conduct the research with less number of participants.
It shows that each participants has desire to capture landscape they preferred and it isstatistically a good number of photos to be analyzed in cluster analysis and point’s density
analysis in this VEP research.
There are various existing features such as sceneries, elements and wildlife in BKF
that need to be explored as ecotourism attraction. However, in this research, we tried to
identify the attractive sceneries and elements that can be perceived by participants frompredetermined tracks. The result above maybe different if participants allowed to decide
the tracks that walk. The predetermine track was chosen considering there is no sufficient
direction and tracks that guarantee the participants’ safety during on‐site observation.
In this research, the visual characters of attractive landscape and elements of BKF
were identified by participants. The attractive landscape and elements were performedby 7 photo clusters based on participants’ self‐captured photos. In this research,
participants judged preferred landscape views or objects by their self‐representation
about the site. Compare with other method of landscape preference studies by using
researcher’s prepared photos as research subject, this method give more opportunity forparticipants to explore more about view or objects they preferred. It is an effort to avoid
misunderstanding between visitors, i.e. participants with landscape manager or planner
about attractive landscape view or elements that can be explored more as tourism objects.

430

The photos of landscape view consist of composition of trees, bushes, grasses,
weeds, dropped‐dry leaves and ferns in C1 are the most number photos captured byparticipants. However, the high number of photos in this cluster did not mean that thisview is preferred most by participants because of the distribution of the photos’ points
are located in almost all segments of track and less dense or concentration. It is also
happened to the clusters which are consist of less number of photos but concentrated in
one specific places, i.e. C5 which consist of water elements photos, C6 which consist ofgazebo‐bridge photos and C7 which consist of city scenery photos that maybe shows thetruly participants’ preferred views or objects but the number is lower than C1. This is the
weakness of this research that participants did not asked about what is the photo thatthey preferred most due to the limited of research time and file transfer time on the site.
However, this effort can be solved by analyzing the participants’ time spent in each partof the site or track segments based on GPS logger data by assuming the more longer
participants stay in a place, the more preferred landscape or object in that place. This
analysis will be implemented in the next research.

5. Conclusion
The photos captured by participants are evidence of how participants perceive
landscape view or elements in on‐site observations. As a forest that has a plan to open for
ecotourism activities, the photos points’ density and photos contents are valuable input
for landscape manager. It is related to the space and features that should be optimized inzoning phase. However, this research result should be continued with other types ofparticipants in order to be more valuable for landscape management (Sugimoto, 2011).
Although the high cost of providing camera to participants in VEP research at thepast (Brian Garrod, 2007; MacKay & Couldwell, 2004) had been resolved in this researchby the use of participants camera, this research still has a constraint in budget to provide
GPS logger for participants’ tracking. In the future, the use of GPS logger has opportunity
to be replaced by the growth of GPS technology in smartphone. However, until the
research conducted, the geo‐tagged location as metadata of photos which are captured byusing smartphone with GPS function still have weakness in accuracy. Therefore the GPS
logger is still needed in this research as supplement tool of providing actual participants’geo‐location. Researcher also tried to use the tracking application in smartphones such as
My Tracks application. However, this effort is constrained due to the privacy ofparticipants’ smartphones to install a program to their smartphones.
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432

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Deformation Analysis of Merapi Volcano Using DInSAR Method
on ALOS/PALSAR Image
Dodi Sudianaa, Retno Wigajatri Purnamaningsiha, Sarah Az Zahraa, Bambang
Setiadib, Josaphat Tetuko Sri Sumantyob
aDepartment of Electrical Engineering, Faculty of Engineering, Universitas Indonesia,

Kampus UI Depok 16424, Indonesia

bJosaphat Microwave Remote Sensing Laboratory, Center for Environmental Remote

Sensing, Chiba University, 1‐33 Yayoi‐cho, Inage‐ku, Chiba 263‐8522, Japan

AbstractIndonesia is a country that prone to natural disasters and based on its geologicalconditions, Indonesia is circled by the ring of fire. Natural disasters such as earthquake,flood and volcanoes (volcanic and tectonic) are often occur. Since there are 129 active
volcanoes in Indonesia, it is necessary to monitor the activity of the volcano, especiallyduring active volcanic period. But dangerous areas around the volcano causing majordifficulties in monitoring and direct observation. Therefore, volcano monitoring using
remote sensing technique is preferred. In this paper, we propose Differential
Interferometry Synthetic Aperture Radar (DInSAR) method to detect vertical grounddeformation of Mount Merapi before and after the eruption in 2010 using ALOS/PALSAR
data. Analysis results showed that the deformation obtained from 26 October 2008 to 1
February 2010 is up to 0.230 meters. The deformation result from this analysis is useful
to monitor volcanic activity and build mitigation plan in volcano disasters in the future.

Keywords
Remote sensing, Land deformation, Merapi volcano, DInSAR, ALOS/PALSAR

1. Introduction
Indonesia is a country that prone to natural disasters including volcanoes due togeological conditions that put Indonesia in the ring of fire. Located at the confluence of
three major plates forming the Earth's crust, Indonesia has 129 active volcanoes, oraround 13% of the world's volcanoes. Java Island is only 7% of Indonesia's land, but its
dense population (about 70% of the total population) with 35 volcanoes, causes very large
potential level of danger of volcanic eruptions (Pamungkas, A.M. et.al, 2014).
Mount Merapi (elevation 2,978 m) is a volcano located in Central Java (25kilometers north of Yogyakarta) is one of active volcanoes in Indonesia. It erupts every 5–
10 years and produces Plinian eruptions every century (Agustan, 2010)(Surono, et al.,2012). The area located in 7°32’30” S~110°26’30” E, where Magelang and Yogyakarta are
the nearest large town (less than 30 km from the summit) (Voight, B., et.al, 2000). Becauseof the proximity region of Mount Merapi to inhabitant, it is important to do theobservations and actions that can minimize the impact of volcanic eruptions (mitigation).
433

Merapi had three unrest periods during 3 years: 2007, 2008, and 2010. The first two werecharacterized by periodic lava dome growth, similar to Popocatépetl and Colima [Simkin
and Siebert, 2002]. In 2010, defined as the century eruption, Merapi produced pyroclastic
flows, ash plumes, and explosions between 26 October and 2 November 2010. Thiseruption resulted in the death of 400 people and the evacuation of ~400,000 (Chaussard,E., et al., 2013)(Pallister, J.S., et al., 2012).
One method of monitoring the volcanic activity is to monitor the land deformationin the volcano related to eruptions and other geological activities. These deformation
observations can be used as mitigation because it is one indicator that can be trusted as
the revival of volcanic activity. One effort in monitoring the volcanic activity is to monitor
the surface deformation around the volcano. The volcano deformation can be caused bychanges in pressure or movement of magma deep within the Earth (Pamungkas, A.M.,
et.al, 2014). In addition, analytical data derived from the deformation showed the rate ofmagma that go into the body of volcanic and magma’s volume vomited in case of eruption.
In this paper, we propose Mount Merapi volcanic deformation using ALOS/PALSAR
satellite data analyzed using Differential Interferometry Synthetic Aperture Radar(DInSAR) technique and we map the rate of deformation before and after the Merapi
volcano eruption in 2010. DInSAR technique has many advantages such as require less
SAR imagery scenes by diverse spatial acquisition point, good level of coherence on thewhole set of interferogram and measurement accuracy level up to centimeters.

2. DInSAR
Remote sensing is the science (and to some extent, art) of acquiring information
about the Earth's surface without actually being in contact with it. This is done by sensing
and recording reflected or emitted energy and processing, analyzing, and applying that
information (CCRS, 2016). Although not necessarily, remote sensing techniques inpractice often involve technologies such as aircrafts and satellites.
ALOS is a Japanese satellite that was fully equipped with technologies to observe
the Earth's surface, which was launched by the Japan Aerospace Exploration Agency(JAXA) on January 24, 2006 (JAXA1, 2016). ALOS is supplied with PALSAR, a microwave’s
sensor for ground observation in all weather, day or night day with various resolutions.
PALSAR operates with multiple polarization with a center frequency of 1270 MHz and awavelength of 23.6 cm. The ability to combine the polarization mode of the horizontal (H)to vertical (V) makes both received and transmitted signals can be produced in dual
polarization (HH, HV, VH, VV). Standard data generated by PALSAR sensor can beclassified based on the manufacturing processes and modes of observation. Generally, thedata is formatted in Level 1.0, Level 1.1 and Level 1.5 (JAXA2, 2016).
2.1.

Synthetic Aperture Radar (SAR)

Synthetic Aperture Radar is a radar system that produces images of remotesensing which can operate day or night (active system). Basically, radar technology isapplied to emit radio waves to an object and then the received reflection is recorded tocreate the data. Changes in the object could be analyzed when the radio waves arereflected and represented the Earth’s surface changes.
SAR interferometry or InSAR is developed to get topographic maps of an area or
topography for a given point on Earth's surface (Agustan, 2010). The product of thistechnique is the interferogram obtained from the cross product pixel by pixel from two
SAR images (two SLCs) and a Digital Elevation Model (DEM) data that representing the
topography of the Earth (Bürgmann, et al., 2000). The illustration of retrieving the
topography of the Earth’s surface using InSAR technique is shown in Fig. 1.

434

Figure 1. InSAR technique to retrieve the Earth’s topography

To get the interferogram, two images are required: master and slave data, where
master is generally the data being scanned beforehand and slave image is the following
data. The interferogram contains amplitude which is the cross product of the amplitudeof the two image, and the phase is a phase difference between the images. The formula ofinterferogram and phase are represented in Eq. (2) and Eq. (3), respectively.
∗

(1)
(2)
(3)

where:= Interferometric phase= Distance between satellite and object= SAR wavelength

λSince there are two different observation times, the orbit of the satellite on thetwo image is not exactly the same. The distance between the two positions of the satellite
known as the baseline (B), and can be decomposed into parallel and perpendicularbaseline, respectively. Based on geometry of InSAR illustration shown in Fig. 1, high point(G) of the surface of the Earth ( ) on the surface of a reference to the phase difference(∂ ) can be defined by Eq. (4) and Eq. (5).
∂

(4)

,

θ

B ,
where:

θ(5)= Look angle point (G)= Baseline angle of the satellite∂ can be replaced by 2π to get high ambiguity ( ) which can be interpreted as adifference in altitude that produce interferometric phase change of 2π after flattening theinterferogram. High ambiguity is associated with the difference orbit between image andchange of the same height will produce a single fringe ha as expressed in Eq. (6).
435

(6)

,

Fringe is a ring of color that has the same phase in the interferogram and depends
on baseline parameters. Fringe on the interferogram is not directly represent height oraltitude because the phase shown is still a relative one. Therefore, unwrapping process isnecessary to obtain the absolute phase. In addition, the interferogram also contains aphase difference caused by unevenness and sources of decorrelation that occur between
two observation times. Sources of decorrelation such as temperature, geometry center
Doppler, time and volume, resulted in interpolation and coregistration errors.
2.2.

Differential Interferometric Synthetic Aperture Radar (DInSAR)

Differential interferometry or DInSAR is used to compensate the effect of
topography on an interferogram using a Digital Elevation Model (DEM). The technique isused to eliminate the contribution of the topography phase of the area studied. The
product of interferometry is an image that is often referred to differential interferogram.
This interferogram contains information regarding the phase change caused bydeformation.
Interferometric phase contains topographic information from the topographic
profile ( ϕ), the difference in orbital trajectory ( ϕ), deformation ( ϕ),atmosphere (ϕ ) and noise phase (ϕ) and can be rewritten as Eq. (7).
∅

∅

∅

∅

∅

∅

∅

(7)

Therefore, deformation associated with a shift in the Earth's surface point based InSAR
technique can be estimated by eliminating other unwanted signals. For the detection ofground deformation, the Differential InSAR (DInSAR) is defined as the reduction phase of
the topography of the interferogram. Phase topography can be obtained by simulating theDEM derived from topographic maps, survey, or from other satellite data such as the
Shuttle Radar Topography Mission (SRTM). The DInSAR technique is also known as two‐pass differential interferometry because it needs only two SAR images. The technique isperformed by subtracting the original interferogram obtained from the two SAR images
with the interferogram retrieved from DEM simulation.
2.3.

Data and Image Processing

We used ALOS/PALSAR data in Mount Merapi and its surrounding districts in Yogyakarta
Province in raw format (level 1.1) with single and dual polarization, respectively. Shuttle
Radar Topography Mission (SRTM) DEM on Yogyakarta with grid resolution 90 m is usedas DEM data (CGIAR‐CSI, 2016). Table 1 showed the ALOS/PALSAR satellite data that areused in the research.
Table 1. ALOS/PALSAR satellite data used in the simulation
No.
Date
Level
Off Nadir Angle
Polarization
1
26/10/2008
1.1
34.3
HH
2
01/02/2011
1.1
34.3
HH+HV

Status Data
MasterSlave

The flow chart of ALOS/PALSAR data processing to generate a deformation map using
DInSAR technique is shown in Fig. 2.

436

Figure 2. Flowchart of ALOS/PALSAR Data Processing for DInSAR Process

3. Analysis Results
Interferogram obtained from pixel by pixel cross product of master and slave SLC isthen converted into DEM representing the topography of the Earth derived from the two
SAR images. The filtering process is carried out to reduce noise in the image. Coherence
values with below 0.2 are not considered for the next process as it will affect the qualityof measurement of the interferometric phase. Coherence is the key product of InSAR,
where areas with high coherence will give good estimates of altitude. The magnitude ofcoherence can be used to determine the quality of deformation information. This process
is also performed to extract the information about the object on the surface related tovaried backscattering coefficients. The results of these two processes are illustrated inFig. 3(a) and 3(b), respectively.

437

(a)
(b)
Figure 3.(a) Coherent interferogram; (b) Filtered interferogram

Interferogram which has been flattening give ambiguous terrain elevation cycleof 2π of interferometric phase, therefore, phase unwrapping is applied. This process
would eliminate ambiguous elevation values and adding multiple scaling of (2π) to theinterferometric fringe. This process is aimed to make periodic phase can be calculated
without being obstructed with cycle phase and the most important stage for lowering theDEM information since it determines the accuracy of the deformation information. The
method of phase unwrapping in this step used the minimum cost flow with a local
approach that unwrap a pixel based on the neighbor pixels and finally the result is shownin Fig. (4)Figure 4. Result of Phase Unwrapping

Figure 5 showed the peak area of Mount Merapi that has a significant elevationdifference with the surrounding area that has lower elevation.

Figure 5. Phase unwrapped image after filtering

438

The next process is refinement and reflattening which aimed to eliminate twophases: topography and noise phases. It is necessary to choose Ground Control Points(GCPs) first as references for phase unwrapping and filtered interferograms. The GCPs
must meet the following criteria:
1. GCP must lie on the residual orbital fringes
2. GCP should not be located on the topography or shift fringes
3. GCP should be located in areas with high coherence (bright area)
4. GCP should be distributed well in the area
Refinement and reflattening are very important steps for correcting the phase
information that has been unwrapped or shifted before converted to height values. These
two results are shown in Fig. 6(a) and Fig. 6(b), respectively.

(a)(b)
Figure 6. (a) Re‐flattened interferogram; (b) Re‐flattened unwrapped phase

The next process is converting the phase to the height/shift value and geocoding.
The values of the absolute phase is calibrated and combined with the unwrapped phaseof synthetic phase and converted into height profiles. The data is the geocoded andprojected into a map projection. This step is almost the same as previous geocoding
procedure, except that the Range‐Doppler equation is applied simultaneously to the twoantennas, making it possible to get not only the height of each pixel, but also the location(Easting, Northing) in the geodetic reference system as shown in Fig. 7.

Figure 7. Result of conversion to height value

Mapping the interferometry is performed to generate Digital Elevation Model(DEM) data by radar interferometry. The shifting information is obtained by combining
both SAR imageries. Information about the rate deformation of ground surface area on439

Mount Merapi by using the ALOS/PALSAR data on October 20, 2008 (before eruption)
and February 1, 2011 (after eruption) is shown in Fig. 8.

Figure 8. Result of DInSAR Mt. Merapi land deformation

As seen in Fig. 8, the rate of deformation is diverse and the area around the Mount
Merapi is subsided as shown in green area, or negative values of land deformation in the
figure. A negative value, or green to blue grades in the color scale means that the surface
moving away from the satellite position, while yellow to red areas mean the positive
deformation that the surface is moving toward the satellite position. We found that theland deformation reached about +0.320 meters that occur around the crater of the
volcano, as seen as orange color from the image. While in the foot of the mountain, there
is a negative deformation about ‐0.080 meters as marked in green area. This deformation
caused by inflation which is generally caused by the pressure of magma in volcanoes
pressed toward the surface of the Earth. This phenomenon happened not so long before
the eruption of the Merapi. On the other hand, deflation occurred after the eruption wheremagma has been pressed towards the surface so that there are no longer objects to press
on the volcano. Since the vacancy occurs on the volcano, the soil in the area is subsided ata certain level. The deformation result still contain noise in the form of black spots orholes in the image caused by the imperfect filtering results.

4. Conclusions
The simulation results showed that the land deformation on Mount Merapi and its
surroundings between 2008‐2011 is about 0.320 meters in the area around the crater.
But in the foot of the mountain there is a land subsidence up to ‐0.080 meters.
To increase the accuracy of the deformation level, DInSAR method should be improved
using more accurate filters and increasing the number of image data to get a model active
volcano deformation during the shorter period.

References
Agustan (2010). Ground deformation detection based on ALOS‐PALSAR data utilizing DInSAR technique in Indonesia,
Dissertation, Nagoya University, Japan.
Burgmann, R., et al. (2000). Synthetic Aperture Radar Interferometry to measure Earth’s surface topography and its
deformation. Annu. Rev. Earth Planet. Sci. 2000. 28:169–209
CCRS, Canada Centre for Remote Sensing (2016). Fundamentals of Remote Sensing. http://www.nrcan.gc.ca/earth‐sciences/geomatics/satellite‐imagery‐air‐photos/satellite‐imagery‐products/educational‐resources/9363. Last
accessed 15 June 2016.
CGIAR‐CSI (2016). SRTM data selection options. http://srtm.csi.cgiar.org/SELECTION/inputCoord.asp. Last accessed 15
June 2016.
Chaussard, E., et al. (2013). Characterization of open and closed volcanic systems in Indonesia and Mexico using InSAR timeseries. J. of Geophysical Research: Solid Earth, Vol. 118, pp. 3957‐3969, doi:10.1002/jgrb.50288, 2013.
JAXA1 (2016). About ALOS‐PALSAR. http://www.eorc.jaxa.jp/ALOS/en/about/palsar.htm. Last accessed 15 June 2016.

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NEB‐070062B.
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Pallister, J.S., et al. (2012). Merapi 2010 eruption—Chronology and extrusion rates monitored with satellite radar and usedin eruption forecasting, J. Volcanol. Geotherm. Res., 1–9, doi:10.1016/j.jvolgeores.2012.07.012.
Pamungkas, A.M. et.al (2014). Monitoring of Merapi Volcano Deformation Using Interferometry Synthetic Aperture Radar(InSAR) Technique. J. of Environment Vol. 1, pp. 1‐9.
Simkin, T., and L. Siebert (2002). Global Volcanism Program. Smithsonian Institution, Global Volcanism Program Digital
Information Series, GVP‐5. http://www.volcano.si.edu/education/questions/. Last accessed Oct. 10, 2015
Surono, J.P., et al. (2012). The 2010 explosive eruption of Java’s Merapi volcano—A ‘100‐year’ event, J. Volcanol. Geotherm.
Res., 241‐242(C), 121–135, doi:10.1016/j.jvolgeores.2012.06.018.
Voight, B., et.al (2000). Historical eruptions of Merapi volcano, central Java, Indonesia, 1768–1998. Journal of Volcanology
and Geothermal Research, 100, 69‐138.

441

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Analyzing Land Use and Land Cover using Combined Landsat 8
and ALOS‐2/PALSAR‐2 Data‐Case Study: Bandung Regency
Dodi Sudianaa, Retno Wigajatri Purnamaningsiha, Sulistiyaningsiha, Bambang
Setiadib, Josaphat Tetuko Sri Sumantyob
aDepartment of Electrical Engineering, Faculty of Engineering, Universitas Indonesia,

Kampus UI Depok 16424, Indonesia

bJosaphat Microwave Remote Sensing Laboratory, Center for Environmental Remote

Sensing, Chiba University, 1‐33 Yayoi‐cho, Inage‐ku, Chiba 263‐8522, Japan

Abstract
Bandung regency is one of the biggest regency in Indonesia with large number of
population and rapid utilization of land. Land cover monitoring is necessary to prevent
any land misuses and natural disasters. A way to monitor land cover is to classify the land
cover uses remote sensing technique. To achieve better accuracy level, we propose active
and passive satellite data fusion to monitor the land cover changes during 2‐year period.
We combined active (ALOS‐2/PALSAR‐2) and passive (Landsat 8) satellite imageries
using maximum likelihood to produce land cover changes with less atmosphericdisruption. Maximum likelihood is a supervised classification method using reference(training sample) data and probability of a pixel to be clustered in a specific class. The useof joint processing data resulted in better accuracy (60%) comparing to ALOS‐2/PALSAR‐
2 only (40%). Residential area, barren land, and paddy fields/plantations during 2‐year
period (2014 and 2016) are increasing by 16.35%, 54.47%, and 88.08%, respectively.
While forest is decreased by 27.62% in the same period.

Keywords

Remote Sensing, Land Use Land Cover, ALOS‐2/PALSAR‐2, Landsat 8, Maximum
Likelihood

1. Introduction
Bandung regency is one of the biggest regency in Java island. As the capital of WestJava Province, it has 1,762.39 km2 area with population of 3,5 Million. The large numberof population ensures that land uses in this regency change dynamically every year. Badan
Pusat Statistik (BPS) of West Java reported that paddy fields in Bandung regency is 34,803
Ha in 2014 and increased to 36,212 Ha in 2016 (BPS, 2015).
Natural resource utilizations in this regency, in fact is often excessive and violate
the government’s rules and can be harmful to the population themselves. For example,
some people burnt forest to open new paddy fields or plantations, or built new houses inan area prone to flood and landslide. As reported by Bapedas Citarum (2011) forest areasin this regency were damaged by 9,280.31 Ha in 2008 and 7,123.74 Ha in 2009 (Bapedas,
2015). Therefore, land use monitoring is necessary to observe the changing of442

environments by analyzing land use and land cover of the regency. It aimed to find out thepeople’s activity and land uses as well as early warning system for disasters such as
landslides.
There are several methods to monitor land use and land cover, but the mosteffective one is using remote sensing techniques. Remote sensing is the science (and tosome extent, art) of acquiring information about the Earth's surface without actually
being in contact with it. This is done by sensing and recording reflected or emitted energy
and processing, analyzing, and applying that information (CCRS, 2016). In this study, we
proposed maximum likelihood method to classify land use and land cover in Bandung
regency from remote sensing satellite imageries. In general, this method is applied tocluster pixels into specific classes based on training samples. Comparing to othermethods, the maximum likelihood has higher accuracy than other supervised or
unsupervised classification since it uses reference data from an image which its pixels are
already clustered in classes.
Satellite data of ALOS‐2/PALSAR‐2 combined with Landsat 8 image is used as input
data. The imageries from these satellites are obtained from sensors that operate indifferent wavelengths so the ability to detect and classify objects can be improved. These
two satellites are chosen to improve the quality of information. Landsat 8 as an optic
sensor is good to recognize an object and easy to interpret but lack of information due toatmospheric disruption and clouds. ALOS‐2/PALSAR2 as an active sensor, has the ability
penetrate atmosphere (clouds) but is hard to interpret since the data representation is
not recorded in visual mode. Joint processing of these satellites produces an image whichis easy to interpret with comprehensive information (Lehmann, E., et al., 2012).

2. Satellite Data and Classification Method
2.1.

ALOS‐2/PALSAR‐2 and Landsat 8

ALOS‐2 is a satellite made by Japan Aerospace Exploration Agency (JAXA) and waslaunched on May 24, 2014. It is an active satellite that the sensors transmitted its own
electromagnetic wave to detect objects in Earth surface and the backscattered signals arereceived by its receivers, so objects could be recorded day or night in any weather
conditions. PALSAR‐2 radiates microwave on L‐band with 1.2 GHz frequency and 0.23 m
wavelength that can be used to penetrate clouds, vegetation and to monitor gletsers.
PALSAR‐2 is used in cartography, regional observation, disaster monitoring, and resource
survey (Suzuki, Y., 2014). The electromagnetic wave radiated from L‐band also can bereflected by tree’s branches, solid objects, and soil surfaces. PALSAR‐2 has different
resolutions based on its observation mode (JAXA1, 2015). The highest spatial resolution
is 1 m using spotlight mode. In this study we used PALSAR‐2 ScanSAR mode with 60‐100
m resolution.
PALSAR‐2 has some polarimetry choices that the satellite radiates or receives theelectromagnetic wavelength, vertical (V) or horizontal (H). This polarimetry or
polarization will affect the quality of image. If the image uses more polarimetry (maximal:
quad polarimetry consists of HH+HV+VH+VV), then the image quality will be better(JAXA2, 2015). In this study, dual polarization (HH+HV) is used.
Landsat 8 is NASA’s satellite and was launched on February 11, 2013. Landsat 8 is
the newest version of Landsat Data Continuity Mission (LCDM). This satellite is a passive
satellite which only receives electromagnetic wavelength reflected by the Earth’s surface.
Landsat 8 has two instruments: Observational Land Imager (OLI) dan Thermal Infrared
Sensor (TIRS). These instruments operate in the same electromagnetic wavelength as theprevious version of Landsat. This satellite has multispectral resolution collected by all
bands except for Band 8 that records panchromatic resolution. Landsat 8 has better image
quality by adding image pixel bits. OLI has 9 band (band 1‐9), TIRS has 2 band (band 10‐443

11). Each band operates in different electromagnetic wavelength and has different
function as well (NASA, 2015). In this research, we selected Landsat 8 Band 5 to detectand distinguish forest and non‐forest, vegetation, soil, and water.
2.2.

Maximum Likelihood

We performed maximum likelihood, a supervised classification that the algorithm
needs human’s role to define desirable classes as well as the references (training sample)
to represent each class. Human or the operator can define the rules that should be fulfilled
to produce pixels from each class probability. It assumes that statistic value for each classin each channel distributed normally and the probability of each pixel is clustered in a
specific class (Hogg, R.V. and Craig, A.T., 2015). The classification in maximum likelihood
is based on training samples, i.e. pixel values that already recognized as a part of a class.
Training samples selection should be well performed so it can optimize the classification
process and resulting in high accuracy (Marini, Y., 2014).
Maximum likelihood is useful for low or mid resolution image and is suitable forthis research. The probability of a pixel clustered in a specific class can be expressed in
Eq. (1).
|With:
P(i|X)
P(X|i)
P(i)
P(X)

(1)

= Conditional probability from class i (Likelihood)= Conditional probability from vector X= Probability class i occurs in image= Probability from vector X

Bayesian probability function is counted from each input of each class made bysamples. Each pixel will determine the class with highest probability. Parameter value
which maximize the probability is called Maximum Likelihood Estimation (MLE). For
example X1, X2, X3i…., Xn are random samples from distribution N(θ, σ2) with ‐∞ < θ < ∞,
θ is MLE, then the MLE can be expressed by Eq. (2)‐Eq. (5)
;

,

,

,…,

;

,

,

,…,
;

,

∑
∑

∑

√

∑

√
,

,…,

0

(2)
(3)

2∑
0 →

(4)
∑

(5)
∑

is θ’s value which maximize likelihood value L (θ).
is calledSo,
maximum likelihood estimator for θ. The illustration for class selection in this method isshown in Fig. 1.

444

Figure 1. Illustration of Classification concept in maximum likelihood method

2.3.

Pre‐processing and Classification Plan

The pre‐ and processing of ALOS/PALSAR‐2 data is diagrammatically shown in Fig.
2. Pre‐processing is performed by the following steps:
1. Geometric correction consists of geocoding correction and image to image calibration
method by collection ground control points (GCP) that Landsat 8 image is used as
reference. The purpose of this process is to convert image’s coordinate to the real
coordinate in the Earth. Image resolution is resampled to 30 m resolution in the
geocoding process using Digital Elevation Model (DEM) image.
2. Layover/shadow masking. This process is aimed to decrease layover and shadow
effects in the image. Layover effect is a condition where the information received in
the satellite are mixed caused by differences in arrival time of lowland’s wavelength
reflection and highland (plateau)’s wavelength reflection. Shadow is an effect where
there is no backscatter or wavelength reflection received by the satellite since thecoverage of highlands to lowlands.
3. In the speckle filtering, Lee filter is applied that is aimed to reduce the speckles effect(noise) in the image.
4. Radar section calculation is a process to produce image in dB values.

Figure 2. Flow diagram of Classification Process

445

The specification of Landsat 8 and ALOS‐2/PALSAR‐2 imageries that are used inthis study is shown in Table 1.
Table 1. Specification of Landsat 8 and ALOS‐2/PALSAR‐2 image
No.
Monitoring dateSensorPolarization

Satellite type

Data Level

1.
2.
3.
4.

Active, Non‐Optical
Active, Non‐Optical
Passive‐Optical
Passive‐Optical

1.1
1.1
‐
‐

December 12, 2014
February 25, 2016
December 11, 2014
January 15, 2016

PALSAR‐2
PALSAR‐2
Landsat
Landsat

HH, HVHH, HV‐‐The pre‐processing of Landsat 8 image is performed by the following steps:
1. Radiometric correction is aimed to correct pixels’ value that are not fit with the real
wavelength of reflected values. We applied the FLAASH algorithm in this process.
2. Atmospheric correction is aimed to reduce or to get rid of atmospheric disruption suchas cloud.
3. Noise Reduction is aimed to reduce noise in the image using MNF algorithm.
The study area is Bandung regency that covers Bandung city, Cileunyi, and Ciparay
districts as shown in Fig. 3.

Figure 3. Study area (Google, 2015)

3. Implementation and Classification Results
3.1.

Radiometric Enhancement

Landsat 8 and ALOS‐2/PALSAR‐2 imageries are combined or stacked to produce an
RGB image. ALOS‐2/PALSAR‐2 HH polarization image, HV polarization image, andLandsat 8 band 5 (near‐infrared band) image are selected as Red, Green, Blue bands,
respectively. Band 5 of Landsat 8 is used to detect and to distinguish land cover such as
forest and non‐forest, soil, and water. Radiometric process is performed after image
stacking to increase the pixels’ intensity using piecewise linear algorithm as shown in Fig.
4.

446

(a)
(b)
Figure 4. Combined image of (a) ALOS‐2/PALSAR‐2 on December 12, 2014 and Landsat 8 December 11, 2014(b) ALOS‐2/PALSAR‐2 February 25, 2016 and Landsat 8 January 15, 2016

Since the large scene of both Landsat 8 and ALOS‐2/PALSAR‐2, to give more detail
information on the study area, the imageries are cropped to Bandung regency only as
shown in Fig. 5.

(a)(b)
Figure 5. Cropped image of (a) ALOS‐2/PALSAR‐2 on Dec. 12, 2014 and Landsat 8 Dec. 11, 2014 image; (b)ALOS‐2/PALSAR‐2 on Feb. 25, 2016 and Landsat on Jan. 15, 2016

We selected training samples known as Region Of Interests (ROIs) based on Google
Earth (Google, 2015). Training samples of ROI are then converted into .shp (vector) files
and re‐projected into UTM Zone 49S to match to the area. There are four classes of land
cover: forest, barren land (in this study barren land consists of unused land and paddy
fields that currently are not in planting or harvesting period), residential areas, and paddy
fields/plantations. Training samples are selected according to the dates of satellite data:
December 12, 2014 and February 25, 2016. We selected 100 ROIs as training samples foreach classification class and divided into two parts: 50 ROIs are used for classification
process and the other 50 are used for accuracy assessment.
3.2.

Maximum Likelihood Method Implementation

In the classification, we used threshold value, the minimal probability value for a pixel
to be clustered in a specific class. The threshold value used in this study is 0.05 for eachclass for all trials. As a result of this selection, some pixels will not be filtered into a specific447

class (unclassified). These unfiltered pixels mean the areas related to these pixels
represent land cover other than forest, barren land, residential areas, or paddy
fields/plantations. We implemented ten simulations using different ROIs for classification
process and accuracy assessment and the result is shown in Fig. 6.

Unclassified
Residential Area
ForestBarren Land
Paddy fields/Plantations
Figure 6. Classification result of joint processing of Landsat 8 December 11, 2014 andALOS‐2/PALSAR‐2 December 12, 2014 combined image (first simulation)

Based on 10 classification results, the area for each class is presented in more detail in
Table 2. As shown in the table, in 2014 most of the area classified as forest, followed byresidential area, paddy fields/plantations, and barren land.
Table 2. Classification results of combined Landsat 8 on Dec. 11, 2014 and ALOS‐2/PALSAR‐2 on Dec. 12, 2014
Simulation

Area (Ha)Residential Area

ForestBarren Land

Paddy Fields/Plantations

1

20,147.67

43,275.33

4,636.80

10,734.66

2

18,543.33

43,762.23

7,429.95

9,059.49

3

19,258.47

45,551.34

3,650.13

10,326.33

4

19,091.07

44,812.26

6,269.49

8,695.26

5

20,151.63

42,244.74

3,677.13

12,712.77

6

19,556.55

44,274.60

6,494.04

8,677.44

720,709.27

43,249.14

4,411.17

10,374.39

8

20,061.45

43,642.17

7,181.28

7,858.71

919,056.96

46,978.65

5,827.32

6,725.0710

20,323.89

39,441.78

4,748.94

14,256.99

Average

19,690.03

43,723.22

5,432.63

9,942.11

We implemented the classification method using the data in 2016. The Landsat 8
data was dated on January 15, 2016 and ALOS‐2/PALSAR‐2 was dated on February 25,
2016. The date of both data was different since the limited number of good quality ofLandsat data. The first simulation using 50 ROI as training samples and 50 ROIs as testingdata is shown in Fig. 7.
448Unclassified
Residential Area
ForestBarren Land
Paddy fields/Plantations
Figure 7. Classification result of joint processing of Landsat 8 January 15, 2016 andALOS‐2/PALSAR‐2 February 25, 2016 (first simulation)

The overall simulation results, represented as the area for each class is shown in moredetail in Table 3. As shown in the table, the composition of each class in 2016 almost thesame with the 2014 case. Most of the area classified as forest, followed by residentialarea, paddy fields/plantations, and barren land.
Table 3. Classified area from combined Landsat Jan. 15, 2016 and PALSAR‐2 Feb. 25, 2016
Simulation

3.3.

Area (Ha)Residential Area

ForestBarren Land

Paddy Fields/Plantations

1

23,670.90

31,406.04

9,609.75

16,820.28

222,727.52

32,188.77

7,271.64

19,657.26

322,817.07

31,965.75

9,537.84

17,321.13

4

23,613.48

31,652.10

7,390.71

19,201.86

5

21,481.74

34,180.65

7,810.56

18,206.10

624,905.16

29,056.86

7,109.28

20,718.99

723,673.60

32,332.05

7,849.26

17,928.90

822,143.06

32,602.32

8,685.54

18,275.04

923,736.96

31,058.40

8,734.14

17,602.20

10

20,330.01

30,012.84

9,920.52

21,262.68

Average

22,909.95

31,645.58

8,391.92

18,699.44

Analysis of Classification Result

We assessed the accuracy of classification results using confusion matrix method.
Confusion matrix is performed by comparing the classification result using 50 ROIs thatare randomly selected to other 50 ROIs from the training sample for each class. The
results of accuracy assessment of combined Landsat 8 and PALSAR‐2 in 2014 and 2016
are shown in Table 4.

449

Table 4. Accuracy rate of classified image in 2014 and 2016
Trial

2014

2016

1

64.13%

60.16%

2

65.18%

61.05%

370.93%

60.99%

4

61.93%

60.54%

570.04%

67.16%

6

73.97%

60.15%

7

65.8%

60.21%

8

64.14%

64.91%

965.71%

63.23%

10

64.12%

62.34%

Average66.60%

62.07%

The accuracy rate for classified Landsat 8 on December 11, 2014 and ALOS‐
2/PALSAR‐2 on December 12, 2014 combined image is 66.60% and is higher than theaccuracy of ALOS‐2/PALSAR‐2 image classification without Landsat 8 (41.42%). The
classified image showed that forest (represented by green pixels) dominates the study
area. Barren Land and residential areas are located in the center of Bandung regency.
Barren land as well as paddy fields/plantations dominate the residential areas.
The accuracy rate for classified Landsat 8 on January 15, 2016 and ALOS‐
2/PALSAR‐2 on February 25, 2016 combined image is 62.07% and is higher than theaccuracy of ALOS‐2/PALSAR‐2 image classified without Landsat 8 (41.00%). The
classified image shows that paddy fields and plantations (represented by light blue
pixels) dominates the study area. As in 2014, the residential area in 2016 is increasing as
shown by red pixels as well as barren land and paddy fields/plantations. The results arealso correlated to the fact, that the number of population in Bandung is also increasing.
Paddy fields and plantations areas are increasing because barren land that is
actually paddy fields and plantation areas that were not in planting or harvesting period
in December 2014 entered harvesting period in February 2016, so paddy or other crops
are dominant. As reported in Gala Daily (December 29, 2014), in the end of December
2014, Bandung regency is just entering planting period. Another news agency also
reported as Kompas Daily on December 19, 2015 and West Java Province Agriculture
authority stated that harvesting period will be in that February 2016 (Disdag, 2015). The
comparison of each class in 2014 and 2016 based on the classification results is shown in
Table 5.
Table 5. The comparison of area from each class based on classified results
Class

Area (Ha)
2014

2016

Difference

Residential area

19.690,03

22.909,95

3.219,92

Forest43.723,22

31.645,58‐12.077,64

Barren land

5.432,63

8.391,92

2.959,29

Paddy fields/plantations

9.942,11

18.699,44

8.757,33

As shown in the table, all classes are increased during 2‐year period, except theforest, that are decreasing by ‐12,077.64 Ha (‐38.17%). The increasing area of paddy
fields/plantations is also reported by West Java statistic data released by BPS (Badan
Pusat Statistik). It stated that the area of paddy fields in Bandung regency is increasing450

form 34,803 Ha in 2014 to 36,212 Ha in 2016. Referred to this study, paddy
fields/plantations area is increased by 8,757.33 Ha.
The probability error that occurred during the classification process is caused by
the pixels from a specific class is classified to different classes. In this case, PALSAR‐2 asa radar sensor, recorded backscattered signals from the different classes into the samevalues. For example, paddy fields/plantations and forest pixels are recorded as similarclass because both objects consist of vegetation. Another reasons that may occurred in
the process are:1. ALOS‐2/PALSAR‐2 and Landsat 8 images has a time difference so that the types ofland cover can change during these dates period.
2. The noise in Landsat 8 image caused by cloud or other atmospheric disruptions.
3. The selection of training samples using Google Earth is not quite precise to determine
the classes in classification process.

4. Conclusions
The accuracy rate of land use and land cover classification using joint data from Landsat
8 and ALOS‐2/PALSAR‐2 is 66.60% (in 2014) and 62.07% (in 2016). The classification
accuracy rate of joint data is increased by 60.78% and 51.40%, in 2014 and 2016,
respectively, compared to classification using ALOS‐2/PALSAR‐2 only. Residential areas
are increasing by 16.35% from 19,690.03 Ha in 2014 to 22,909.95 Ha in 2016. While
forest areas are decreasing by 27.62% from 43,723.22 Ha in 2014 to 31,465.58 Ha in2016. Barren land is increasing by 54.47% from 5,432.63 Ha in 2014 to 8,391.92 Ha in2016. Paddy fields/plantations area is increasing by 88.08% from 9,942.11 Ha in 2014 to
18,699.44 Ha in 2016.

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451

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Geological Mapping for the Land Deformation Using Small UAV,DinSAR Analysis and Field Observation at The Siak Bridge I and
II, Pekanbaru City, Indonesia
Husnul Kausariana,b,*, Josaphat Tetuko Sri Sumantyoa, Detri Karyab, Dewandra
Bagus Eka Putrab, Evizal Abdul KadirbaJosaphat Microwave Remote Sensing Laboratory, Center for Environmental Remote
Sensing, Graduate School of Advance Integration Science, Chiba University, 1‐33, Yayoi,
Inage,Chiba, 263‐8522, Japanb

Faculty of Engineering, Universitas Islam Riau, Jl. Kaharuddin Nasution No. 113
Pekanbaru Riau 28284, Indonesia

Abstract
Pekanbaru is the capital city of Riau province, located in the center of the Sumatra Island
Indonesia is experiencing rapid economic progress. The city is split by Siak river. Big
bridges that connect this city are Siak I Bridge and Siak II Bridge. The Quality of Siakbridges paid attention seriously in this previous time, especially for Siak I bridge
deflection, despite completely built from past time. Also for Siak II Bridge it needs more
attention incase of this bridge is the road for the heavy truck way. Geological mapping
using a small UAV conducted to determine the deformation points on the site of Siak I
bridge and Siak II Bridge areas, the study of Siak I Bridge and Siak II Bridge are also
supported by the DInSAR analysis using ALOS PALSAR data of Pekanbaru city andDeflection observation that occurs in Siak I bridge and Siak II Bridge was measured during
field observation. Results of small UAV 3D models analysis shows no negative land
deformation on the Siak I Bridge and Siak II Bridge areas. DInSAR analysis shows thenumber of positive deformation of Siak I Bridge is 81 cm and Siak II Bridge is 48 cm.
Deflection on Siak I Bridge was detected around 10‐15 cm.

Keywords

Keywords: Pekanbaru city; Siak Bridges; Small UAV; DInSAR; Deflection

1. Introduction
Pekanbaru city (Figure 1) is the capital city of Riau province, Indonesia located101°14' ‐ 101°34' E and 0°25' ‐ 0°45' N with sea level average from 5 ‐ 50 meters. The
northern part of this city is a plain area with average height 5 ‐ 11 meter. The total area ofPekanbaru city is 632.26 km². Pekanbaru city is the one of the main city in Indonesia withthe population of 1.2 million people based on Center for Indonesia Statistic Board,
Pekanbaru branch released on 2014. The economical in Pekanbaru growth above 10% in
a year, this number is above of Indonesia’s economy growth which has 4.79% (Center for452

Indonesia Statistic Board, 2014). This rapid growth needs infrastructure facilities tosupport people activities, meanwhile, Pekanbaru city is the strategic city located at thecenter of Sumatera Island. With this position, Pekanbaru city is the connector of the north‐south littoral at the Sumatera Island, also as the connector between east and west of thisisland.
This importance of Pekanbaru city requires supporting infrastructures inevitably.
One them is bridge facility. Pekanbaru city was split into two because it passed the greatriver named Siak River, the river is recognized as well as the deepest river in Indonesia.
Siak River divides Pekanbaru city located at the Senapelan sub‐district, Rumbai sub‐district, and Rumbai Pesisir sub‐district.
The establishment of the bridge as the community liaison activities in Pekanbaru,
provide enormous positive impact by making the groove Pekanbaru groundtransportation becomes easier, but the construction of this bridge also pose a risk to theirland‐use change and the condition of the bridge due to the pressure exerted by the bridge
and traffic activities that are in it. This study aims to determine the effect given or
experienced by land due to the construction of the bridge.
The bridge is located on the Siak River area of Pekanbaru city. Siak I bridge locatedat 0°32'27.68" N and 101°26'13.65" E, was built in 1973 and available to use in 1977 withthe length 355 meter. Siak II bridge located at 0°33'4.41" N and 101°24'1.89" E, was built
in 1990 with length 190 meters.

Figure 1. Map of Pekanbaru city, Riau Province, Indonesia.

2. Data and Method
Three methodologies were used for this research. Field mapping on Siak I, Siak II
bridges were used small UAV with specifications: built‐in camera with FOV (Field Of
View) 94° 20 mm (35 mm format equivalent) f/2.8 lens, 1/2.3” sensor and effective pixels:
12 M connected to the built‐in GPS. Pictures were taking among 2 weeks for the wholebridges, starting from 20 May 2016 until 3 June 2016. The pictures were rendered using
some software to produce a 3D model of mapping area.

453

Land‐site deformation measurement of the bridge stand was measured using
differential interferometry measurement with ALOS PALSAR level 1.1 data, the date from25 May 2007 and 20 April 2011.
To analyze the differential interferometry on the ALOS PALSAR Level 1.1 data, thesoftware used to process it, then choose the baseline (B) by looking the highest number
and it should be in the first process. This baseline influenced by topography. Influences of
topography (h) in interferograms given by:
. ˔
.

.

(1)

Ѳ

After selecting the data, coregistration process will generate (figure 2) accurate
determination of phase differences, coregistration produces the master and slave data
which ready for coregistration to combine of those data. Coregistration data is ready forinterferogram generation with a flattened condition and the result for calculating thecomplex correlation coefficient between two acquisitions or coherence for generating
topographic phase correction. By reducing interferogram phase and topographic phasecorrection will generate the differential interferogram.
(2)

Generating the topographic phase correction will be available to produce thephase filtering. We used 2 types of Goldstein filtering with 0.5 x 0.5 and 0.3 x 0.3 coherence
threshold. The data is ready to be unwrapped after finishing phase filtering process.
The compile between wrapped phase and unwrapped phase data will produce
vertical displacement map which given by calculation as below:
_

.
.

(3)

Ѳ

Where LOS‐to‐Vertical factor or incidence angle from satellite data.
Vertical displacement map will generate the vertical displacement map reference,as the reference to combining with pixel from the point we chosen by substitute equation
2 to the equation below:(4)_

Calculation of masking area with low coherence is to combine with the verticaldisplacement reference to get the result of interferometry. The calculation of masking
area is given by:
_

_

1

(5)

Masking of vertical displacement reference is resulting file for Geocoding andprojection map that used WGS84 with SRTM 3sec digital elevation model and nearest
neighbour resampling method in Range‐Doppler terrain correction.

454

Figure 2. Flowchart of inteferometric co‐registration.

3. Result and Discussion
3.1.

Area monitoring using small UAV

Mapping using a small UAV for Siak I bridge (Figure 3) and Siak II bridge (Figure4) were used to produce a 3D result of the study area, using an overlapping technique to
get the pictures of the study area, rendering software was used. The result from a 3Dmodel of small UAV shows the land area of the bridge sites for Siak I, Siak II and residential
area. The result showed no significant changes to the land especially for the land
subsidence and land deformation. This analysis also supported by ALOS PALSAR
differential interferometry analysis data in Pekanbaru city.

Figure 3. Location of Siak Bridges taken by Small UAV for Siak Bridge I.

3.2.

Differential Interferometry Synthetic Aperture Radar (DInSAR) analysis

Land deformation mapping on the site of Siak I, Siak II bridges shows the numberthat impacted in Pekanbaru city and around Siak bridges based on data analysis of ALOSPALSAR on 25 May 2007 and 20 April 2011. ALOS PALSAR Data Processing for these455scenes produces a differential interferogram (Figure 5) which was used further forprocessing to obtain the number of land deformation in this study area.

Figure 4. Location of Siak Bridges taken by Small UAV for Siak Bridge II.

Figure 5. Location of Siak Bridges taken by Small UAV for Siak Bridge II.

Based on DInSAR analysis, Pekanbaru city has the lowest deformation value of ‐540.36 mm in several southern and western area. For the highest deformation value is1,274.50 mm in the eastern part of Pekanbaru city (Figure 6). DInSAR analysis was used
4 types scale which are 0.01, 0.1, 0.5 and 0.6. DInSAR analysis also shows there was noland subsidence in Pekanbaru city in the range of 2007‐2011. This analysis also shows the
topography information of Pekanbaru city which are the east area has the higher
topography than south and west areas.
Differential interferometry analysis on the Siak I bridge and Siak II bridge (Figure7) show the deformation in these areas are positive. Siak I bridge has 81 cm deformation
value. For Siak II bridge has 48 cm deformation value and this site is the lowest value
compare to another site of Siak bridges. DInSAR analysis for Siak I bridge and Siak II
bridge did not detect any significant negative land deformation. This result gives mean,
for the site of all Siak bridges was not impacted the bridge to fail.
456

Figure 6. Differential Interferometry Image for Pekanbaru city.

Figure 7. Differential Interferometry Image for Pekanbaru city.

3.3.

Field observation for bridge deflection

Field observation show for the Siak Bridge I and II, there is no negative subsidence.
For the land as the site of Siak Bridges stand; it still stable without no subsidence occurs
detected.
4. Recommendation and Future Work
Periodical mapping using UAV needs to do in the future for at least 6 months to
get the change of land‐site by the time. The bridges need periodical maintenance,457

especially for the Siak Bridge I and II, because these bridges have reached more than 20
years age.
5. Conclusion
The result of the study conducted on Siak bridges in Pekanbaru city is expected toprovide input for Pekanbaru city government in preparing for the construction andpreservation of existing bridges. The result of the mapping using small UAV's shows noarea has decreased significantly in all regions around the site of Siak bridges land, UAVs
mapping result is also supported by the analysis of land deformation using DInSAR
analysis for ALOS PALSAR Data of Pekanbaru city that certifies the absence of negative
surround Siak I bridge and Siak II bridge, Another supporting analysis is direct
observation at Siak bridges. From the observation, big deflection did not find on the SiakI bridge and Siak II bridge. For further research, we will conduct another UAV mapping in
the future and analyze the change detection for these bridges compare with current data.
Acknowledgement
This work was supported by Research Board of Universitas Islam Riau and the
EORC JAXA for providing ALOS PALSAR data; Japanese Government National Budget. The
authors would like to thank Lembaga Penelitian Universitas Islam Riau for funding thisresearch, also government of Riau Province to provide research location, Josaphat
Microwave Remote Sensing Laboratory (JMRSL) at CEReS, Chiba University who provides
laboratory to measure the samples, and Venture Business Laboratory (VBL), Chiba
University.
Reference
Beiqi Shi, Chun Liu. 2015. UAV for Landslide Mapping and Deformation Analysis. International
Conference on Intelligent Earth Observing and Applications 2015, edited by Guoqing Zhou,
Chuanli Kang, Proc. of SPIE Vol. 9808, 98080P‐1. doi: 10.1117/12.2207411.
CenterforIndonesia
Statistic
Board,
2014.
https://pekanbarukota.bps.go.id/Subjek/view/id/12#subjekViewTab3|accordion‐daftar‐subjek1
Chia‐Sheng Hsieh, Mong‐Han Huang, Tian‐Yuan Shih, Jacques Angelier, Jyr‐Ching Hu, Hsin Tung.
2011. Using differential SAR interferometry to map land subsidence: a case study in the
Pingtung Plain of SW Taiwan. Nat Hazards. DOI 10.1007/s11069‐011‐9734‐7
Husnul Kausarian, 2015. Rock Mass, Geotechnical and Rock Type Identification Using SASW and
MASW Methods at Kajang Rock Quarry, Semenyih, Selangor Darul Ehsan. Journal of Ocean,
Mechanical and Aerospace ‐Science and Engineering‐. Vol. 26.
http://www.eorc.jaxa.jp/ALOS/en/about/palsar.htm
Roni Ardiansyah, 2011. https://ronymedia.wordpress.com/2011/12/08/perlukah‐diragukan‐
kekuatan‐jembatan‐siak‐iii/
Shi Hongyun, Yang Songlin, Liu Guang. 2011. The Application of InSAR in the Deformation
Monitoring for Road Engineering ‐ A Case Study: Dujiangyan, China. Fourth International
Conference on Intelligent Computation Technology and Automation.

458

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Time Series InSAR for Interpretating 5 years Cycle of Mt. Bromo
Eruptions in Indonesia by Using PALSAR and PALSAR‐2
to Assess Damages Assessment
Arliandy P. Arbad1* Wataru Takeuchi2 and Y. Aoki3
1Institute of Industrial Science, The University of Tokyo, 153‐8505, Japan
2Institute of Industrial Science, The University of Tokyo, 153‐8505, Japan
3Earthquake Research Institute, The University of Tokyo, 113‐0032, Japan

Abstract
Since 2010, Mount Bromo has erupted at least two times with high intensity has recorded.
Regarding to CVGHM reported, Mount Bromo activity increased on 1 November 2015 andstarted erupting with lava on Tuesday morning, 26 January 2016. Based on the eruption
evidences Mount Bromo is Strombolian Volcano, relatively mildly explosive at discrete
but fairly regular intervals of seconds to minutes. Recently, remote sensing has played as
an important role to observe volcano behaviour. We investigated ground deformation byinterferometric SAR method related to ground structure before and after eruption. We
expect the Time Series‐InSAR deformation field to infer volume changes, geometries andlocations of sources of deformation involved in the future eruption. Ground displacementin the radar line‐of‐sight (LOS) direction is obtained from the phase difference of synthetic
aperture radar (SAR) pairs of the same area acquired at different times (interferograms)
then be flattened by removing the topographic phase an inflating volcano (or any otherlandform) produces a pattern of concentric fringes in a radar interferogram from which
the effects of viewing geometry and topography have been removed. InSAR studied in
Mount Bromo has observed by e.g. Arliandy and Wataru (2016) the results are shown thedisplacement changes around Mount Bromo area up to 26 Cm, where is the higher shiftedin 2015 eruption. The results are allowed us to understand evidences of disaster in thefield and could implemented to urban plan engineering in particular civil engineering
work and mitigation assessment to reduce number of damages and fatalities.

Keywords
Volcano ; Eruptions ; InSAR ; Civil Engineering Assessment

1. Introduction
Centre of Volcanology and Geological Hazard Mitigation (CVGHM) Indonesia
recorded of tectonic activities of Mt. Bromo, their recorded tectonic activity dominated bycontinuing tremor vibration with maksimum amplitude which tend to fluctuate. Mount
Bromo status is now siaga (level 3 of 4). Potential to evoke freatik eruptions and magmatic
materials, distribution materials such as ash plumes and pyroclastis fall will occur around* Corresponding author. Tel.: 080‐8740‐7886

E‐mail address: arbad@iis.u‐tokyo.ac.jp459

the volcano. Mount Bromo is located in East Java Province, one of the most active
volcanoes in Indonesia which short eruptions cycle among 1 year to 5 years.
The objective of this study is to support disaster assessment due to volcanic
activities regarding to deformations caused eruptions in 2010 and 2015 by using timeseries InSAR (interferometric SAR) in 5year cycles of mount Bromo. The most commonly
rapid technique of assessment is used remote sensing method (Lu et al., 2007), remotesensing has been largely implemented to rapid assess damages assessment (e.g Voigt etal, 2011) after Haiti earthquake in 2010. Long time observations are needed to learn risk
and vulnerability assessments to understand and possibly mitigate the impact of suchcatastrophic events on human beings and their environment.

2. Methodology
Mount Bromo is located in East Java Province, one of the most active volcanoes inIndonesia which short eruptions cycle among 1 year to 5 years. Synthetic aperture radar(SAR) is a technique that allows highresolution radar images to be formed from dataacquired by sidelooking radar instruments carried by aircraft or spacecraft (Curlander
and McDonough., 1991). The amplitude of a SAR image can be interpreted in terms of thescattering properties of the Earth's surface.
2.1

Data Processing

For analyzing the deformation events in 2007 to late 2011 we used SAR data
derived from ALOS/PALSAR and another observations from 2015 to the early of 2016 weused SAR data derived from ALOS2/Palsar‐2 Images which L‐band frequency
characteristic onboard from Advanced Land Observing Satellite (ALOS2) with active
microwave sensor. Table below show detalis data are used for this study.
Table 1. Data informationDate20071225
20081111
20090814
20100517
20101117
20110217
20150325
20160504

Sensor

Processing
Type

Polarization

Orbit

ALOS/Palsar
ALOS/Palsar
ALOS/Palsar
ALOS/Palsar
ALOS/Palsar
ALOS/Palsar
ALOS2/Palsar2
ALOS2/Palsar2

L.1.0
L.1.0
L.1.0
L.1.0
L.1.0
L.1.0
L.1.1
L.1.1

HH
HH
HH
HH
HH
HH
HH
HH

Descending
Descending
Descending
Descending
Descending
Descending
Descending
Descending

PALSAR‐2 is L‐band frequency (active microwave remote sensing) whichcharacterize enable to penetrate cloud (cloud‐free) and day‐and‐night observation.
Images below are used for interferometric SAR Processing. The synthetic aperture radar
signal processing could be implemented simply as follow below.
2.2Flow Chart

In this research we proposed time series InSAR method in the conventional single‐
interferogram approach, derives from two radar images of the same area acquired at
different times to measure ground displacement. The technique uses the phase differenceof backscattered signals from the two acquisitions to measure differential motion in theLine Of Sight (LOS) direction include vertical and horizontal components.
460

Figure 1. Flowchart Study
We presented the time series interferometric SAR analysis using sigmasar
developed by JAXA (Japan Aerospace Exploration Agency), to get interferogram and lineof sight displacements, the interferometric phase was unwrapped with the SNAPHU
program. To show ground deformation with high spatial resolution and accuracy on thelarge ares observation we used D‐InSAR (Differential Synthetic Aperture Radar
Interferometry) explained by Massonet (2008); Gabriel A K et al, (1989) which phase canbe substracted from the SAR interferogram to remove topography. DInSAR used toanalysis the line of sight displacement for monitoring and detecting change volcano inlong‐term and short‐term (Papageorgiou, E et al., 2012) for each images and also allows
for studying fault mechanism (Currenti G et al., 2010). Interferometry is the process ofmultiplying one SAR image by the complex conjugate of a second SAR image resulting in
an interferogram, the phase of which is the phase difference between the images, various
techniques have been developed (Sousa et al., 2010).

3. Result and Discussion
We have discussed above, persistent scatterer and small baseline approaches are
optimised for different models of surface scattering. The former technique targets
resolution cells dominated by a single scatterer and the latter targets cells with many
scatterers. Here we are trying to see deformations on each single processing every year
within 2010 eruption and late 2016 eruption on mount Bromo.
3.1

Past Study

Regarding to the our past processing, the unwrapping resul and the interferograms
could give us some hints to interpretate land surface changes around the volcano. Slopedeformation surrounding the end of 2010 eruptions, with the blue line marking theoutline of the slope instability in graph (2a,c) representative from A to B where isdeformation occurred until 5 Cm inside the calderas. (2b,d) High subsidence of the centre
caldera is seen prior to the eruption in 2015; Look at (2b) during the eruptions in the endof 2015 until beginning of 2016, ~8 Cm of LOS slope displacement can be seen on thesouthwest sector of mount Bromo during the period in the end of 2015 until February
2016 atleast 6 quakes recorded as countinously tremors quake which maximum of
dominant amplitude around 1‐24 mm (PVMBG., 2016) some evidences have foundaround the mount Bromo such as another volcanic activity occurred in the southern part
regarding to mount Semeru, the unique of mount Bromo is located in the same calderas
with another active volcanoes. The activity of mount Bromo associated to the megathrust
and a continuous zone of back‐arc thrusting extending 2000 km from east Java to northof Timor which tend to be come a new seismic threat over the Java.
Since eruption 2010, mount Bromo still continuing tremors as reported by Centreof Volcanology and Geology Hazard Mitigation in Bandung, Indonesia. Which characterize461

Strombolian eruption, mount Bromo eruptive activity can be precised long‐term because
the conduit system of strombolian volcano is not strongly affected by the eruptive
activites, the eruptive system can insistently reset by itself.

d

mm

c

Figure 2. Line of sight displacements are used to highlight the deformation in interferograms of preeruptive in 2010 Eruption and and post-eruptive in 2015 Eruption, (taken from Arliandy et al., (2016)).
3.2

Present Study

The result below given the new sight of volcanic activities monitoring andimplementing of InSAR to observe volcano. In the order to support primary overview andquick orientation on the surface even before any recently acquired post‐event satellite
data became available. In this case we started observe mount Bromo in the late of(December) 2007 as shown in figure (3a) which obtained from two images within one
year, it clearly shows ~10 Cm subsidences occurred surrounding the mount Bromo
calderas. In figure (3b) taken from 11th November 2008 to 11th Feb 2009 shows the areasurrounding mount Bromo had not lot of changes, only some are inside the calderas arechanged in small frequency. Southern and northern of mount Bromo calderas or rather
southwest part of mount Semeru there are some areas had changed as subsidences andconsistently around ~5Cm as shown in figure (3c).
Move to figure (3d) some areas had changed around ~10 Cm within six months
observation acquired from 14th Aug 2009 to 1st Apr 2010, the situation relatively samewith the images is shown from figure (3a) where is the quite big eruption occurred in lateof 2010 (CVHGM, 2016). These trends line since 2007 followed consistenly in figure (3e)which the eruption happened in this observation within 1st April 2010 to 4th April 2011.
Interesting fact in this figure we can see clearly, some areas surrounding the mount
Bromo calderas had changed uplift even big eruption occurred. We could not presented
continuously since 2014 because availability the images from ALOS satellite which notobserved at that time. It was absence from our observations. In the late 2015 and recently,
mount Bromo still continuing eruption. Figure (3f) is shown lately observation obtained
from 25th Mar 2015 to 4th May 2016 by (ALOS2/PALSAR) subsidences was occurred insouthwest of mount Bromo calderas reach ~15 Cm and northern regions of mount Bromo
relative stable had not changes at the time observation.

462

a

b

c

d

e

f

Figure 3. Interferogram Images
The recently research by Koulali et al, (2016) used Global Positioning System (GPS)to measure of surface deformation for showing that the convergence between theAustralian Plate and Sunda Block in eastern Indonesia is partitioned between themegathrust and a continuous zone of back‐arc thrusting extending 2000 km from east
Java to north of Timor. Although deformation in this back‐arc region has been reported
previously, its extent and the mechanism of convergence partitioning have hitherto been
conjectural. GPS observations establish that partitioning occurs via a combination of
anticlockwise rotation of an arc segment called the Sumba Block, and left‐lateral
movement along a major NE‐SW strike‐slip fault west of Timor. We also identify awestward extension of the back‐arc thrust for 300 km onshore into East Java,
accommodating slip of ∼6 mm/yr. These results highlight a major new seismic threat for
East Java and draw attention to the pronounced seismic and tsunami threat to Bali,
Lombok, Nusa Tenggara, and other coasts along the Flores Sea.
3.3

Mount Bromo Cycles

Tectonic/quake activity dominated by continuing tremor vibration with maksimum
amplitude which tend to fluctuate. Based on the tectonic analysis, Mount Bromo status is
now siaga (level 3 of 4). Potential to evoke freatik eruptions and magmatic materials,
distribution materials such as ash plumes and pyroclastis fall will occur around thevolcano (PVMBG report., 2016). The eruption is still on going strong and it counts now as463

Bromo's biggest eruption recorded in history since official records began in 1804.
Following the recently news from Kompas national media in Indonesia, Seismic activity
on Sunday (25/09/2016) showed continuous volcanic tremor with a dominant amplitude
4 mm. Seismic activity, which is dominated by volcanic earthquake Shallow, tremor
vibrations, and deformation, which showed inflation. History recorded, Bromo has
erupted at least about 50 times since 1775. The eruptions were mostly Strombolian in
type (Abidin H. et al., 2004).
Those evidences are consistent with the existence in the the mount Bromo like a
mount Bambouto, Central Africa of a volcanic phase prior to the ignimbritic deposits
South of the massif (Nono A. et al, 2004); this is interpreted as an explosive strombolian
phase; the trachyte being penecontemporaneous with the calderaforming eruption
seemed from small changes inside the calderas prior to figure (3a) to (3f) characterised
both by strombolian and effusive activities, was observed until the end of 2015. During
the phase 5years eruption, mount Bromo shows the subsidences around the calderas,
those evidences are related to article was published by volcano discovery due tobeginning 2011 eruption noted that the eruption's has caused widespread damage due tonear continuous ash fall, damaging buildings, roads, and destroying farmland. The mostheavily affected areas northwest of Bromo have been declared disaster areas by theIndonesian government.
3.4

Future Study

We will try to arrange matrix of AHP assessment by using GIS tools regarding theresult given the new sight of volcanic activities monitoring and implementing of InSAR toobserve volcano. Based on our study, we plan to check ground truth (field survey) analysis
by surveying surrounding the volcano to understand of volcanic activities associated to
the fault and vegetation surrounding the mount Bromo. Risk management is an importantroles for every construction (e.g. Hjelmstad et al, 2010), a good concept of risk
management must know about how we can identify, analyze, treat and assess the riskspresent in each regions based on their own disaster characteristics.

4. Conclusion
We have presented here some of the recent developments (e.g Ferretti et al., 2000)
in time series InSAR Processing by using PALSAR and PALSAR‐2 data can be used to rapid
damages assessment due to subsidences and volumetric changes in the areas of
volcanoes. We used InSAR processing to know whole area affected due to volcanic
activities associated to the landslides. Rapid assessments by using SAR images moredetails explained (e.g Dell'Acqua et al., 2009; and Brunner et al., 2010) as damages
assessment.
In the 5years cycle of mount Bromo, InSAR time series is an excellent method toobserve the evidences of ground surface movement for interpretating characteristics
mount Bromo as a point of damages assessment, Indonesia is the most volcanically activein the world, with numerous eruptions each year and millions of people living on theflanks of the volcanoes (Loughlin et al., 2015).

Acknowledgements
Thankyou LPDP (Indonesia Endowment Fund For Education) Scholarship for
funding, Indonesia Ministry of Finance. JAXA (Japan Aerospace Exploration Agency) to464

provide data images. Remote Sensing of Environment and Disaster Laboratory, Industrial
Institute of Technology University of Tokyo and also Earthquake Research Institute The
University of Tokyo for sharing knowledge on volcano sense.
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Sousa, J.J., Ruiz, A.M., Hanssen, R.F., Bastos, L., Gil, A.J., Galindo‐Zaldívar, J. and de Galdeano,
C.S., 2010. PS‐InSAR processing methodologies in the detection of field surface
deformation—Study of the Granada basin (Central Betic Cordilleras, southern
Spain). Journal of Geodynamics, 49(3), pp.181‐189.
Voigt, S., Schneiderhan, T., Twele, A., Gähler, M., Stein, E. and Mehl, H., 2011. Rapid damage
assessment and situation mapping: learning from the 2010 Haiti
earthquake. Photogrammetric Engineering and Remote Sensing (PE&RS), 77(9),pp.923‐931.
"Bromo Volcano (Tengger Caldera, East Java, Indonesia): Eruption Nov 2010‐Feb
2011." Bromo Volcano (Tengger Caldera, East Java, Indonesia): Eruption Nov 2010‐Feb
2011. N.p., n.d. Web. 23 Oct. 2016.
https://www.volcanodiscovery.com/photos/bromo/eruption2011.html"Gunung Bromo Berstatus Siaga, Ini Titik Aman Untuk ..." N.p., n.d. Web. 23 Oct. 2016.
http://travel.kompas.com/read/2016/09/26/133419427/gunung.bromo.berstatus.sia
ga.ini.titik.aman.untuk.wisatawan
Report of mount Bromo Activities Retrieved from http://www.vsi.esdm.go.id/

466

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Risk Assessment of Land Subsidence in Kathmandu Valley, Nepal
Richa Bhattarai, Haireti Alifu, Akihiko Kondo, Ryutaro Tateishi
Center for Environmental Remote Sensing (CEReS), Chiba University, 1‐33 Yayoicho, Inage
Ward, Chiba, 263‐8522, Japan

Abstract
Land subsidence is an environmental geological phenomenon that causes slow loweringof ground surface elevation. With this slow deformation in land comes great risks tobuildings and infrastructures resulting in significant economic losses and in worst casescenarios loss of human life as well. Therefore, it is important to assess risk beforehandfor proper risk management.
The objective of this research is to assess risk in the areas affected by land subsidence in
Kathmandu Valley, Nepal using Geographic Information System (GIS) processing. A land
subsidence map of Kathmandu valley (from 2007 to 2010) has been generated using
Differential synthetic aperture radar interferometry (D‐InSAR) technique. Geophysicaldata, that includes the subsidence volume, land subsidence velocity and groundwater
exploitation intensity of the affected area will be utilized to estimate the future land
subsidence. Social data, that includes population density, gross domestic product/km2
and construction land proportion will be utilized to estimate the vulnerability. Finally,
the estimated land subsidence and estimated vulnerability will be combined together toobtain a land subsidence risk map. Different cases with and without governmental
prevention and reduction policy or action will also be employed to compare thedifferences.
This result is expected to be useful for the government and interested stakeholders forbetter understanding of the prevailing situation and the changes that can be brought
through interventions. The generated result will also be helpful for disaster prevention
policy‐making

Keywords
Land Subsidence; Risk Assessment; Kathmandu Valley; D‐InSAR; GIS

1. Introduction
Kathmandu Valley, the capital city of Nepal is the largest urban agglomerate interms of economic activities and population. The ever increasing dense population andeconomic growth induces the intensive exploitation of land and water resources. Thishaphazard exploitation along with the geologic setting of the valley makes it prone toland subsidence. Land subsidence is an environmental geological phenomenon thatcauses slow lowering of ground surface elevation (Hu, et al., 2009). The problem of land
subsidence was first included by the UNESCO program of the International Hydrological
Decade(IHD), 1965‐74. Since then this problem has been documented throughout the
globe. Some of the places suffering from land subsidence are Tokyo, Japan (Yamaguchi,467

1969), Mexico (Adrian et al., 1999), Houston‐ Galveston Region, TX, USA (Gabrysch andNeighbors 2000), Jakarta, Indonesia (Abidin et al., 2001), Ravenna, Italy (Teatini et al.,2005), Pingtung Plain, Taiwan (Hu et al., 2006) and China (Xu et al. 2008). Landsubsidence can induce geological disasters, damage infrastructure, and contribute toeconomic loss that could directly affect the sustainable development.
In case of Kathmandu valley, the first land subsidence map was generated for theperiod of 2007 to 2010 prior to this research. The results showed areas of subsidence indensely populated areas and areas with high economic activities. Land subsidence is justa geological phenomenon either triggered by natural or anthropogenic activities butwhen this phenomenon has the probability of resulting harmful consequences or the
expected loss (of lives, property, livelihoods, economic activities or environment) then it
is considered as risk. (Hu et al., 2009). Risk factors are compounded by the rapid
increase in the urban population and economic development (Wang et al., 2012).
Therefore, it is necessary to assess land subsidence risk for decision and policy makers
to prevent a huge potential disaster.
The several approaches for land subsidence risk assessment include statisticalmodels and expert system methods. These models include neuro‐fuzzy inference system(ANFIS) (Park et al. 2012), artificial neural network (ANN) (Kim et al., 2009; Choi et al.,2010), weight of evidence (WOE) (Oh and Lee, 2010), multi‐criteria decision model(Mancini et al., 2009), frequency ratio (FR) (Oh et al. 2011; Suh et al., 2013) and analytic
hierarchy process (AHP) (Putra et al., 2011; Jiang et al., 2012; Huang et al., 2012).
However, most of these models were adopted to study land subsidence resulted fromcoal mining.
In this study, three factors (hazard, vulnerability and capability of disasterprevention and reduction) were selected for quantitative evaluation. The main objectiveof this research is to assess land subsidence risk in Kathmandu valley, Nepal using the
Risk Index method, ArcGIS Spatial Analyst and the Analytic Hierarchy Process.

2. Methods and Materials
2.1.

Study Area

The Kathmandu valley, the capital and the largest urban agglomerate of Nepal islocated in the central part of the country between 27°32'13” and 27°49'10” N latitudes
and 85°11'31” and 85°31'38” E longitudes. It covers an area of 569.8 km² and has apopulation density of 19,250 per km² as per 2012 census. The area is relatively flat withslopes less than 1º with soil having predominantly loamy and boulder texture. It stands
at an elevation of approximately 1,400 m (4,600 ft). The city has two principle
landforms: alluvial and flood plains along river and slightly more elevated river terraces.
The valley is bowl shaped with draining towards the center of the basin.

468

Figure 1. Landsat Image of Kathmandu Valley (2013)

2.2.

Methodology

Three factors, hazard, vulnerability and the capability of disaster prevention andreduction will be considered for the quantitative evaluation of risk. The Risk Index
Method, ArcGIS Spatial Analyst and the Analytic Hierarchy Process will be employed toassess the risk of land subsidence.
Risk Index Method: This method will be employed for the quantitative estimationof risk by following the underneath relationship (Lirer and Vitelli, 1998)
DR = f (H, V, R)(1)where, DR is the disaster risk
H is the Hazard
V is the Vulnerability
R is the capability of disaster prevention and reduction.
Hazard is the probability that disaster will occur in a given area within a given
period of time. Similarly, vulnerability is a measure of susceptibility to physical harm or
damage due to a disaster.
ArcGIS Spatial Analyst: The tools like spline interpolation, reclassification andraster calculator tool in the ArcGIS will be used for the analysis. Spline interpolation
helps to create a raster surface on the basis of subsidence volume and velocity.

469

Reclassification as well as raster calculator tool deals with the different aspects ofevaluation indices.
Analytic Hierarchy Process: This process will be employed for the criteria
weighting. Analytic Hierarchy Process is a multi‐criteria mathematical evaluation
method used for decision making. Here, hierarchical structures are used to quantify
relative priorities for a given set of elements on a ratio scale set by the user.
A simple flowchart for the methodology is shown in Figure 2 below. Geophysicaldata, that includes the subsidence volume, land subsidence velocity and groundwater
exploitation intensity of the affected area will be utilized to estimate the future land
subsidence i.e. Hazard. Different from sudden disasters, land subsidence is a slow‐onset
geohazard and is accumulated over years. Therefore, the accumulative subsidence
volume is the key indicator in evaluating the land subsidence hazard (Wang 2006; Wei,
2006). Land subsidence velocity is included as the hazard evaluating indicator todemonstrate the trend of subsidence. The ground water exploitation intensity is also
used as an indicator because groundwater extraction is considered as the primary causeof subsidence in the area.
Social data, that includes population density, gross domestic product/km2 andconstruction land proportion will be utilized to estimate the vulnerability. The level ofsocioeconomic development is directly proportional to vulnerability; the moredeveloped the economy and the more dense the population the more the changes ofdamage and physical harm. The estimated land subsidence and estimated vulnerability
will be combined together to obtain a land subsidence risk map. Different cases with andwithout governmental prevention and reduction policy or action will also be employed
to compare the differences. Case 1 is with no governmental prevention and reduction
policy or action whereas Case 2 is with government action to reduce ground water
exploitation and finally Case 3 is with government action to prevent/reduce
construction land proportion. Finally, three different land subsidence risk map will beobtained by employing these three different cases.

Figure 2. Methodology Flowchart470

3. Expected Result
This is an ongoing research; therefore, the results are not obtained yet. But,
eventually, after applying the above mentioned method; a land subsidence hazard map,a land subsidence vulnerability map and finally three different risk maps is expected tobe obtained. The result map will be zoned in terms of very high, high, medium, low andvery low risk/hazard/vulnerability areas.
This result is expected to be useful for the government and interested
stakeholders for better understanding of the prevailing situation and the changes thatcan be brought through interventions. The generated result will also be helpful fordisaster prevention policy‐making

References
Abidin, HZ., Djaja, R., Darmawan, D., Hadi, S., Akbar, A., Rajiyowiryono, H., Sudibyo, Y., Meilano, I.,
Kasuma, MA., Kahar, J., Subarya, C. (2001). Land subsidence of Jakarta (Indonesia) and its
geodetic monitoring system. Nat Hazards 23(2–3):365–387
Adrian, OG., Rudolph, LD., Cherry AJ. (1999). Analysis of long‐term land subsidence near Mexico
City: field investigations and predictive modelling. Water Resource Res 35(11):3327–3341
Choi, J., Oh, H.J., Won, J.S., and Lee, S. (2010). Validation of an artificial neural network model forlandslide susceptibility mapping. Environ Earth Sci, 60:473–483. DOI: 10.1007/s12665‐
009‐0188‐0
Gabrysch, RK., Neighbors RJ. (2000). Land‐surface subsidence and its control in the Houston‐
Galveston region, TX, 1906–1995. In: Proceedings 6th international symposium. Land
Subsidence, Ravenna, Italy, September 2:81–92
Huang. B.J. Shu. L.C., and Yang, Y. S. (2012). Groundwater Overexploitation Causing Land
Subsidence: Hazard Risk Assessment Using Field Observation and Spatial Modelling. Water
Resour Manage, 26:4225‐4239.DOI 10.1007/s11269‐012‐0141‐yHu, B., Zhou, J., Wang, J., Chen, Z., Wang, D., Xu, S. (2009). Risk assessment of land subsidence at
Tianjin coastal area in China. Environ Earth Sci 59, pp. 269‐276.
Hu, J.C., Chu, H.T., Hou, C.S., Lai, T.H., Chen, R.F., Nien, P.F. (2006). The contribution to tectonic
subsidence by groundwater abstraction in the Pingtung area, southwestern Taiwan asdetermined by GPS measurements. Quatern Int 147:62‐69
Jiang, Y., Jia, S.M., and Wang, H.G. (2012). Risk assessment and management of land subsidence inBeijing Plain. ZHONGGUO DIZHIZAIHAI YU FANGZHI XUEBAO, 1:55‐60. (In Chinese)
Kim, K.D., Lee, S., and Oh, H.J. (2009). Prediction of ground subsidence in Samcheok City, Korea
using artificial neural networks and GIS. Environ Geol, 58:61–70. DOI:10.1007/s00254‐
008‐1492‐9
Lirer, L. and Vitelli, L. (1998). Volcanic risk assessment and mapping in the Vesuvian area using
GIS. Nat Hazards 17:1‐15
Mancini, F., Stecchi, F., and Gabbianelli, G. (2009). GIS‐based assessment of risk due to salt mining
activities at Tuzla (Bosnia and Herzegovina). Engineering Geology, 109:170‐182.
Oh, H.J., and Lee, S. (2010). Assessment of ground subsidence using GIS and the weights‐of‐evidence model. Engineering Geology, 115: 36‐48.
Oh, H.J., and Lee, S. (2011). Integration of ground subsidence hazard maps of abandoned coalmines in Samcheok, Korea. International Journal of Coal Geology, 86:58‐72.
Park, I., Choi J., Lee, M.J. and Lee, S. (2012). Application of an adaptive neuro‐fuzzy inference
system to ground subsidence hazard mapping. Computers & Geosciences, 48: 228‐238.

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Putra D.P.E, Setianto1 A., Keokhampui1 K., and Fukuoka, H. (2011). Land Subsidence Risk
Assessment Case Study: Rongkop, Gunung Kidul, Yogyakarta‐Indonesia. The 4th
AUN/SEED‐ Net Regional Conference on Geo‐Disaster Mitigation in ASEA, 25‐26, October,
2011, Conference
Suh, J., Choi, Y., Parkh, D., Yoon, S.H., and Go, W.R. (2013). Subsidence Hazard Assessment at theSamcheok Coalfield, South Korea: A Case Study Using GIS. Environmental & Engineering
Geoscience, XIX (1): 69–83.
Teatini, P., Ferronato, M., Gambolati, G., Bertoni, W., Gonella, M. (2005). A century of land
subsidence in Ravenna, Italy. Environ Geol 47:831–846
Wang, G.L. (2006). Preliminary studies on dangerous grading standard of land subsidence.
Shanghai Geol 4:39‐43
Wang, J., Gao, W., Xu, S., Yu, L. (2012). Evaluation of the combined risk of sea level rise, land
subsidence, and storm surges on the coastal areas of Shanghai, China. Climatic Change
115:537‐558
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Thesis, China Univ Geosci, pp 89‐90
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approaches due to groundwater withdrawal in China. Nat Hazards 45:123‐135
Yamaguchi, R. (1969). Water level change in the deep well of the University of Tokyo. Bull
Earthquake Res Inst No.47.

472

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Geological Structure Delineation of Kepahiang Geothermal
Prospect using Remote Sensing Techniques, Bengkulu,
Indonesia
Agil Gemilang R(a), Cipta Endyana(b), Aton Patonah(b) Boy Yoseph(b)(a)Students at Faculty of Geological Engineering Padjadjaran University(b)Lecture at Faculty of Geological Engineering Padjadjaran University

Abstract
Research area administratively located in Kepahiang Regency, Bengkulu Province,
Indonesia. Tectonic setting is situated between Musi and Ketaun segment of Sumatera
fault. Eastern Ketaun segment occurred dilatational step over to Musi segment. The
structural geology in this tectonic setting is of great interest as a research object.
Several methods was used in this study, which consist of remote sensing and fieldwork.
Structural analysis using satellite imagery ASTER‐GDEM was carried out in remotesensing. Structural analysis methods consist of digital lineament extraction, lineamentdensity, lineament delineation, and statistic lineament. Fieldwork consists of surface
geothermal manifestation mapping.
Digital extracted lineament shows structure orientation pattern. High density lineaments
indicate areas with a main structure. The structural play consist of four main orientation,
which are NW‐SE, NNW‐SSE, WNW‐ESE and NE‐SE. Structural trend NW‐SE is associatedwith hot spring in Kelobak, structural trend NNW‐SSE is associated with hot spring,fumarole and mud pool in Kaki Kaba and Air Sempiang, WNW‐trend ESE is associatedwith hot spring in Suban, and structural trend NE‐SW is associated with hot spring in
Sindang Jati. These structures play an important role as discharge zones indicated by highdensity lineament areas and geothermal manifestation occurrence. The structural trend
related to tensional regime of Musi and Ketaun segment of Sumatera Fault.

Keywords
Sumatera Fault, Remote Sensing, Extracted Lineament, Structural Geology

1.

Introduction

1.1

BackgroundKepahiang geothermal prospect is situated in Sumatera fault system. Tectonically,
it is situated between Musi and Ketaun segment of Sumatera fault. Eastern Ketaun
segment occurred dilatational step over to Musi segment. Kaba stratovolcano is locatedbetween Musi and Ketaun segment. (Sieh and Natawidjadja, 2000). Surface geothermal
manifestations indicate permeable zone and the existence of active subsurface
geothermal system. This potential of geothermal system could be developed and utilized
if we know whether it has potential. Generally in geothermal system we always search forpermeable zones and high temperature systems because these are the most profitable473

and able to generate more energy. This study utilizes remote sensing and manifestation
distribution to establish the role of permeable geologic structure.
1.2

Study Area

Study area is in Kepahiang Regency, Bengkulu Province, which is geographicallylocated between 224000‐246700 mT and 9597000‐9620600 mT.

Figure 1. study area

2. Geologic setting
2.1

Tectonic and Geologic Structures

Sumatra Island is the northwest oriented physiographic expression, lied on thewestern edge of Sundaland, a southern extension of the Eurasian Continental Plate. The
Sumatra island is interpreted to be constructed by collision and suturing of discrete
microcontinents in late Pre‐Tertiary times (Pulunggono et al., 1992). Sumatera lies along
the southwest margin of the Sunda Continental Plate at the western end of the Sunda Arc,beneath which oceanic crust is currently being obliquely subducted in a north‐northeast
direction (Hamilton, 1979)
Based on Darman and Sidi (2000) tectonically, Sumatera Island can be divided into
5 areas: outer‐arc ridges; fore‐arc basins; back‐arc basins; Barisan Mountain; and intra‐
arc basins. Kepahiang is situated in Barisan Mountain, range that occurred along theSumatera Fault.
Sumatera fault is divided into 19 segment with step overs. Most of the
discontinuities are right steps in the fault trace and thus represent dilatational step overs.
In figure 2, this research area is located in Musi and Ketaun segment. Southeastern end
Ketaun segment is at 6 to 8 km wide dilatational step over onto the Musi segment. An
inactive or less active continuation of the Ketaun segment may extend beneath thestratovolcano of Bukit Kaba (Sieh and Natawidjadja, 2000).

474

Figure 2. segmentation of Sumatera fault (modified Sieh and Natawidjadja, 2000)

2.2

Regional Geology

Stratigraphy of Kepahiang refers to Gafoer (1992) as follow:
a. Hulusimpang Formation (Oligocene‐Miocene): andesitic to basaltic lavas, volcanic
breccia and altered tuffs.
b. Seblat Formation (Oligocene‐Miocene): Sandstone containing silicified wood,claystone, conglomeratic sandstone, limestone, shales, marl and tuffaceous withsandstone intercalation.
c. Dioritic Intrusion (Miocene): dioritic intrusion
d. Bal Formation (Miocene): dacitic epiclastic volcanic breccia with epiclastic volcanic
sandstone intercalations.
e. Rhio‐Andesite volcanic rock Quarternary (Holocene): rhyolitic, dacitic, andesitic
lavas, hybrid tuff, welded tuff, volcanic breccia and pumices.
f. Andesitic‐Basalt volcanic rock Quarternary (Holocene): andesitic to basaltic lavas,
tuff and laharic breccia.
g. Breccia volcanic rock Quarternary (Holocene): andesitic to basaltic, volcanic
breccia, lavas and tuffs.
Summary of geological history in study area is described by Gafoer (1992).
Increased activity with related magmatism in more recent times has resulted in theformation of the Tertiary to Recent volcanic arc of the Barisan Mountain, along thewestern edge of Sumatera, that is transected along its length by the Sumatera Fault
System. Plio‐Pleistocene tectonics produced important regional NW‐SE structures
evident throughout Sumatera. Volcanic activity in the Barisan Range throughout the
Quartenary resulted in the formation of tuffs, lavas, and volcanic breccia of rhyolitic tobasaltic composition. Regional geology map shown in figure 3.

475

Figure 3. regional stratigraphy map of study area modified from (Gafoer, 1992)

3. Methodology
3.1

Remote Sensing

Structural analysis using satellite imagery ASTER‐GDEM was carried out in remotesensing. Structure analysis methods consist of digital lineament extraction, lineamentdensity, lineament delineation, and statistic lineament.
3.1.1 Digital lineament extraction
Digital lineament extraction was conducted using software programs with several
parameters such as pixel filter radius, gradation edge limit, curve length limit, differential
degree limit and error. The purpose of this analysis was to obtain pattern orientation anddistributions based on those parameter. These parameters values were modified fromThannoun (2013).
Table 1. Extracted Lineament Parameter Values
Parameter

Value

Filter Radius

5

Edge Gradient Threshold

75

Curve Length Threshold

30

Line Fitting Error Threshold

10

Angular Different Threshold
Linking Distance Threshold

20
10

Digital elevation model cannot be represented from one slope orientation. Slope fora particular location is computed as the maximum rate of change of elevation between
that location and its surroundings. Slope can be expressed either in degrees or as apercentage (Endyana, 2014). Aspect is the orientation of slope, measured from four relief
illumination direction, where 0 is north‐facing, 45 is northeast‐facing, 90 is east‐facing,476

and 135 is southeast‐facing. Hill shading is a technique used to visualize terrain as shaded
relief.
3.1.2 Lineament density
This analysis shows detail distribution and pattern of lineament in geothermal
prospect area. Lineament density analysis was conducted to calculate the frequency of thelineaments per unit area (Hung et al., 2005; Thonnoun, 2013), and then produce a map
showing concentrations of the lineaments over unit area. Base on Soengkono (1999), thelineament density is created by counting lines digitally per unit area (length/km2) andthen plotted in the respective grid centers, contoured and be presented as lineamentdensity. Lineament density method utilizes digital topography data and the shaded relief
tool, which is available in GIS software. This method is useful for lineament analysis, notonly the value of intensity but also pattern of fracture distribution and the main of
direction of tectonic or volcanic style (Endyana, 2016).
3.1.3 Lineament delineation
This method is utilized to delineate lineament based on extraction lineamentpattern, lineament density anomaly and linear lower slope. Base on Endyana (2014) thestep is to combine extracted digital from four illumination to produce delineation
lineament, the combinations of the four extracted digital are computed by using GIS
overlay technique. The linear feature which resulted from tectonic activity has a specificcharacteristic such as repetitive with arrange interval. Lineament delineation represent
structural lineament in study area.
3.1.4 Statistical lineament
The purpose of this analysis was to obtain the maxima from several sets of data andrecover the spatial distribution of delineation lineament. Structure lineament is used todetermine major trends of structure that exist in study area. Maxima of structurallineament were classified by sub drainage area.
3.2 Fieldwork
Fieldwork consists of surface geothermal manifestation mapping. Manifestations
here are hot spring, fumarole and mudpool. Fieldwork is done around Kepahiang
Regency, some manifestations are located in Rejang Lebong Regency. Parametersdescribed in surface manifestation mapping are manifestation type, coordinate, andelevation. Also lithological cross check and geomorphological survey.

4. Result and Discussion
4.1

Structure Geology

4.1.1 Extracted Lineament
The extracted lineaments show all possible linear features that can represent
lineament pattern. Lineament patterns are used as a parameter to lineament delineation.
In figure 4, four relief illumination directions showing different total lineament. 0oazimuth resulted 1702 extracted lineament, 45o azimuth resulted 1430 extracted
lineament, 90o azimuth resulted 1242 extracted lineament and 135o azimuth resulted
1714 extracted lineament. Extracted lineament the 135o azimuth have higher number
with compared with other.
477

Extracted lineaments from four illumination directions are overlaid to show
integrated extracted lineament. This extracted lineament utilized for lineament densityand delineation lineament analysis.

Figure 4. Extraction Digital Lineament

4.1.2 Lineament density
Lineaments density map of lineaments from four directions is produced and showsin figure 5. Lineament density map is created by counting lines digitally per unit area(length/km2) and then plotted in the respective grid centers and contoured. The highdensity of lineaments are located in the areas indicated as a main structure. High anomaly
lineament density shows by yellow and red contour, with density value 2400‐1600
m/km2.These lineament may be caused by tectonic activity. These delineation lineamentswith the parameter of lineament density are very important for knowing structuralgeology.

478

Figure 5. extraction digital lineament density

4.1.3 Structural Lineament
Delineation lineament resulted structural lineament based on extracted lineamentpattern, lineament density anomaly, and linear lower slope. Statistical lineaments areanalysis structural lineament trend. Structural lineament maxima were classified by sub
drainage area. Structural lineament rose diagram shows 3 dominant lineament trends,
these are NW‐SE, WNW‐ESE and NE‐SW. Structural lineament trend NW‐SE shows in
Kepahiang sub drainage area C dan D, WNW‐ESE shows in sub drainage area A, and NE‐
SW shows in sub drainage area B.

A

B

C

D
Figure 6. structural lineament trend

Type of structural lineament determination uses shear strain concept from Riedel(1926) dan Harding (1985), described in Allmendinger (1999). In figure 7, based on
Riedel (1926) structural lineament NW‐SE trend associated with Ketaun and Musisegmen fault of Sumatera, this structural lineament is main structure, NNW‐SSE trend479

associated with R‐shear (synthetic fault), NE‐SW trend associated with R’‐shear(antithetic fault), and WNW‐ESE trend associated with P‐Shear (secondary antithetic
fault).
Base on Harding, et al. (1985) structural lineament trend NW‐SE is associated withPDZ (Principal Displacement Zone) of Sumatera fault system, NNW‐SSE trend is associatedwith en echelon synthetic fault, and NE‐SW trend is associated with en echelon antithetic
fault.

Figure 7 structural lineament type

4.2 Manifestation
Surface geothermal manifestations indicate the existence of active subsurface
geothermal system. Geothermal manifestations are commonly associated with geologicalstructures. Several geothermal surface manifestations found, which consist of hot springs,
mud pool, fumarole, and solfatara.
Manifestation associated with four structural trend, there is NW‐SE trend
associated with hot spring in Kelobak, NNW‐SSE trend associated with hot spring, mudpool and fumarole in Kaki Kaba and Air Sempiang, WNW‐ESE trend associated with hot
spring in Suban, and structural trend NE‐SW associated with hot spring in Sindang Jati.
This structural play is believed to have an important role as discharge zones
indicated by geothermal manifestation occurrences. The structural trend is related totensional regime of Musi and Ketaun segment of Sumatera Fault.

480

Figure 8. geothermal manifestation

5. Conclusion
The extracted lineaments represent linear lineament patterns and distributions.
The high densities of lineaments are located in the areas indicated as a main structure.
Lineament delineation analysis is utilized to determine the structural geology in thesurface study area. Structural plays trending NW‐SE, NNW‐SSE, WNW‐ESE and NE‐SW
play an important role as discharge zone. Lineament distributions and patterns areimportant parameters for permeable zones indicated by geothermal occurrence. The
structural trend is believed to be related to the tensional regime of Musi and Ketaun
segment of Sumatera fault.

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482

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Optimalization of the Planning Area in Using Infrastructure
Development Impact of the Petroleum and Palm Oil Industryin Minas District, Riau Province
Puji Astuti, Ryanda Prima
Islamic University of Riau, Kaharuddin Nasution #113, Pekanbaru 28284, Indonesia

Abstract
The impact of the petroleum and palm oil industry is driving factor to developt Minas
Distric. Government and community give attention to exploit it in accordance to potential
existing of the region. The problem is low utilization arises multiplier effect,
infrastructure concentrated in the industrial area, economic agglomeration problem
between industrial and community area, disparities distribution of infrastructure between
villages in Minas District. The purpose of this research is develop concepts and strategies
for optimalization of infrastructure in the Minas District to exploit multiplier effect of thepetroleum and palm oil industry. This study uses facility and utility analysis, identificationof industry impact, and scoring analysis.
Minas District has function and role as Strategic Economic Zone based on utilization of oil
and gas resources. Physical carrying capacity of the area significantly in good condition,
support of adequate infrastructure. The potential existence of the industry have a positive
impact on the economic and physical development. While the negative impact ofindustrial produce pollution of water, soil and air. Spillovers from industrial activity isconcentrated in several areas in direct contact to the industry area. Analysis of scoring
against infrastructure priorities shows that drainage and water supply is the mainpriority in the area, roads at second priority and the third priority is electricity. Based on
analysis, development concept of Minas District is infrastructure optimalization of
petroleum and palm oil industry activities.

Keywords
Palm Oil; Petroleum; Infrastructure; Indutrial Area; Disparities

1. Introduction
Minas District has potential prospective industrial area in Siak. International
petroleum industry Chevron Pacific Indonesia is one of the major industries located in
Minas District, and the spread of palm oil plantations nationwide along with its
processing plant is also located in this region. In addition, Minas District has a very
strategic location, is the gateway Pekanbaru‐Medan so that the development of tradeand services sector is also growing rapidly. The effects of these industrial activities
influence for Minas District itself and the surrounding community, especially the growthof economic activities. The effect given by industry is expected to provide the major
impetus for the growth of Minas District in social, economic, and physical.
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The industrial activities require the construction of infrastructure to distributethe results of the activities of the petroleum industry and palm oil, as well as for
employees who live in the industrial area. However, there are problems related toinfrastructure in the industrial area if it is associated with the District of Minas andsurrounding areas:
1. Not optimal utilization of the positive impact of industrial activity
Activities of international oil and gas industry in Minas District can provide of
economic growth for Minas District in order to grow rapidly from other districts.
However this can not be utilized by the local government for the utilization of
resources and the potential that exists in the region. While the oil and gas
industry itself can provide economic value to changes in Minas District andprovide a positive multiplier effect for the surrounding region.
2. Infrastructure is concentrated around industrial region
Infrastructure located in the District of Minas is just being in the neighborhood ‐ aparticular region, especially commonly found around the industrial area. This
causes uneven deployment of infrastructure so that only part of the area that candevelop well. While the region is far from an industrial area not covered by the
infrastructure.
3. The occurrence of the economic disparities between the industrial area andcommunities around the industrial area.
This occurs because the economy of the population in the industrial area better
than economies that are outside the industry. From the physical (roads, drainage,
electricity, water), the infrastructure needs of the population in the industrial
area more in priority. This is the cause of economic inequality that is striking, so
the industry does not take effect on the economic development of thecommunities around the industrial area.
4. Distribution of facilities and infrastructure between villages in the District ofMinas uneven.
Inequitable distribution of the type and quality of facilities between the villages
resulted in impaired development of the physical activity of the population,
economic and social. This should be a concern of local government so that
inequality is not deep. Infrastructure that resides in the industrial area of higher
quality than the surrounding areas.

2. Infrastructure and Regional Development
Infrastructure has a positive effect on economic growth, social and cultural. In the
short term infrastructure development creates construction and non‐construction
sector. In the medium and long term infrastructure will support increased efficiency
and productivity related sectors. Infrastructure can be the answer to the region thatwant to encourage economic growth, social and cultural. Because of the availability of
infrastructure can help reduce poverty, improve quality of life, support economic
growth centers and increase the mobility of goods and services and lower the cost of theactivity of domestic and foreign investors.
The concept developed from the regional development needs an area to improve
the function and its role in managing the social, economic, cultural, educational andsocial welfare. The influence of globalization, free markets and regionalization leads tochanges and spatial dynamics, social, and economic interstate, regional (city / county),
districts and rural areas. The impact of globalization has caused the boundary between
urban and rural areas have become blurred, the polarization of regional development,484

municipal systems on an international scale, the formation of interstate construction
area (transborder regions), and the formation of regional development corridors both
locally, nationally, regionally and internationally.
Infrastructure development has a very important role in supporting economic
activity, social, cultural, as well as the unity and integrity of the nation, especially as thecapital base to facilitate interaction and communication among groups of people as wellas binding and connecting regions. Infrastructure development, which is the unity of thenational development, is expected to drive the growth of the national economy andsupporting national competitiveness globally. Infrastructure support to national
economic growth is mainly manifested in the role of the transport network,communications and informatics which allow people, goods and services moving fromone place to another and exchange information quickly. In addition, support facilities
and infrastructure are also embodied in the role of water resources, electricity, andhousing and settlements that became an integral part of community life. It is also an
important input in the production process of economic sectors such as trade, industry,
and agriculture.
In order to provide the facilities and services of quality infrastructure, thegovernment has made every effort in good shape with the setting regulatory policy
framework and investment policy framework, through the rehabilitation of damaged
infrastructure services capacity and increase service capacity through newdevelopment. expected availability of facilities and infrastructure services can be
improved. However, the high public demand for infrastructure is still constrained by thelimited capacity of government financing. As a result of inequality, the Government
encourages private sector participation in infrastructure development throughcooperation scheme between the government and private sector partnership promoting
the principle of a fair, open, transparent, competitive, and mutual benefit.
Beneficial cooperation between private and governement, will generate aplanning concept, namely sustainable development planning (Sustainable
Development). Sustainable development is an attempt to meet the needs of the present
without compromising the ability of future generations to meet their needs.

3. Material and Methods
The purpose of this study was to develop a program plan optimization of
infrastructure in Minas District to leverage the impact of the petroleum industry and thepalm, with the steps: identifying existing infrastructure, identifying policies and thedevelopment of industrial management oil and gas, and plan optimization program
infrastructure of industrial activity in the district of Minas‐based industries. The scopeof the research includes the preparation of planning reports:
1. Identify the problems of implementation of regional development studies
Identifying the existing problems of implementation of development at this time,with the search for solutions and equitable development strategic plan that fits
perfectly with the potential of natural resources and existing technology.
2. Estimated requirements for regional development implementation study
Estimates or projections of the development needs of the region in the future, by
knowing the amount of infrastructure required to use scoring analysis.
3. Analysis and drafting; analysis of the area that will be developed and assembles
the right concept that can support the analysis to be planned with some aspects
and other supporting sectors.
4. Conduct analysis of facilities and infrastructure needs
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5. Develop infrastructure optimization plan due to the impact of industrial activities
and palm oil in the District of Minas.

4. Results and Discussion
Subdistrict Minas is an area with the most extensive plantations in Siak. The maincommodity plantation sector in Siak district consists of rubber, coconut, palm, areca,
pepper and hazelnut. Among the commodities, oil palm plantation sector dominates
production with an upward trend. The rapid economic development in the District ofMinas mostly in the plantation sector, namely oil palm plantations. This shows shows asignificant increase of sector income generating economic growth in major capital forthe economic development of the District Minas.
The highest land use in Minas District is plantation 42594.21 ha (61.23%) andforest 13031.31 ha (18.73%). While the oil area is 433.80 ha (0.62%) and theresidential area is 792.54 ha (1.14%). Plantation is the largest land area in the Districtof Minas. Nearly 62% of the total area of the Minas District types largest oil palm
plantations. In addition there is a small scale rubber plantations, areca, pepper andhazelnut.
The topography of the Minas District is hilly, it is quite difficult in thedevelopment of Minas. Due to the topography of the hilly city, especially the pattern ofdevelopment of settlement takes place in enclaves in the flat area between the hills. The
area of all villages in the District of Minas around 69559.96 hectares.
Minas region is an area of oil and gas mining longest since 1960 until today. As theoil concession area, the results of the oil city of Minas became the largest contributor to
the National Budget. Since the Minas Districts developed into a city with growing
support facilities for the oil region. So until now, the market is growing Minas more thanthe other villages in Minas District. This is because the business district close to the oilfields (managed by PT Chevron).
In accordance with the vision of the corridor arrangement of Minas District that
position as a gateway and a haven environmentally sound also be promoted Local
Events Center. From this vision proves that Minas is good enough to be developed inany sector that can be used as a promotion out of the area as a large capital investment
and to increase input and appeal of the Minas District. Its directed to the development
and consolidation of functions and roles of Minas as the Strategic Economic Region in
Siak based utilization of oil and gas resources.

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Figure 1. Map of the District Administration Minas(Source: RDTR District of Minas, 2010)

4.2.

Potensial and Problems

The development of oil and gas industry in Minas District will have an impact forthe development of the region. Also with the movement of human activities, population
growth in line abreast and influence multiplier effect arising from the industrial activity.
This has attracted the emergence of regional growth in terms of the economy such as
trade and services, housing, human resources (professionals reliable and quality) as
well as the technology is increasingly modern and adequate infrastructure.
While the current conditions influence multiplier effect arising from the industry,when viewed in terms of quantity and condition of the building and distribution
facilities and infrastructure in the district of Minas currently not so perceived thesurrounding community. Facilities and infrastructure are there still very low, even far
from the reach of services and the city center. Unspoiled villages and did not feel theeffect of the multiplier effect of the industry. The government is difficult to provide
services and anticipation of distribution facilities and infrastructure disparities between
villages, the government hard to harness the influence multiplier effect caused by theindustry. To anticipate the problems of infrastructure that is not optimal and thedisparity in the distribution infrastructure of each village different apparatus, takes therole of the private sector to also take part in the construction and development of theregion.
The existence of an industry in a region will always have an impact on the region,
both negative and positive impacts. Also Minas District is identical to the petroleum
industry which is on the Minas District, and several national scale industries engaged in
the processing of palm oil. It certainly should be a special assessment for the District ofMinas to reap the benefits with it, especially the potential that can be exploited, but thethings that are harmful or new problems that arise with the industrial area of the Minas
District also be examined. Here are the potential and problems that can arise:487

Table 1. Potential and Problems Industrial Activities of Petroleum and Palm Oil in Minas District
Potensial
Problems
1.
Increase the income of the1.
Industrial waste will cause contamination of
population thereby increasingwater, soil and air
prosperity
2.
Factory smoke can cause air pollution
2.
Industry will produce goods needed3.
With the pollution would damage the ecosystem
by societyof animals and plants that exist.
3.
Industrial raw materials increase the4.
Not a positive impact on the local industry in theutility value
Minas District, both small and medium industries
4.
Expanding employment
5.
This happens because there is no connection
5.
timulate people's knowledge of the
between big, medium, and small, due to theindustryindustry from the foreign party usually brings
with supporting industry so that the production
process from upstream to downstream controlled
by the industry of the area in terms of the District
Minas
Source: Result of Analysis, 2013

4.3.

Theories of Industrial Relations with Industry Analysis

To support development plans in the District of Minas are many theories asneeded basis runway. So that the development plans in the District of Minas have thestrong theoretical basis, here are some of the theories used in this study and the resultsof the analysis of the use of the theory of the study area:
Table 2. Relationship Theories Industry by Industry Analysis Results
TheoryMaterial
Result of Analysis
Theory ofa. Raw Material
Applicable to industrial activities in Minas,
Weber
Based on the triangular theory of Weber, seen all the existing industries in the District
a manufacturer will determine the of Minas closer to the source of raw materials.
location of the plant in a location that can For example, Chevron makes oil refinery in
the District of Minas which has oil reserves inprovide optimal benefit.
order to get closer to the raw materials andreduce the cost of production.
b. Labor
The location of the existing petroleum
In general, manufacturers are more like industry is at the center of District of Minas,
workers coming from the area around the Minas Jaya, that the population is large andindustrial site. Transport costs incurred the location of Minas Jaya village close to thefor labor in the factory is cheaper, so the raw material as well as close to the Pekanbaru
workers were not demanding wages that City. This is considering that labor yaang
obtained are people around and close to theare too high.
office accommodation to reduce the cost oflaborc. Accessibility
The location of the existing petroleum
Accessibility to spur the process of industry is at a cross roads Pekanbaru‐Minas‐
interaction between the regions up to the Duri‐Dumai, making the level of accessibility
most remote areas so as to create of this industry to achieve high Dumai port as
equitable development. The smaller the the port of loading unloading petroleum andtransportation costs between the location palm oil, and returned to reduce the cost ofof raw materials to the plant and the production.
location of the total marketing costs arealso getting smaller
Effect ofSome things that can be harnessed from the Based on the theory of the influence ofIndustrial Area regional industry with regard to the amount industrial zones, industrial areas can provide
and location of industrial areas that could a certain impact and can be directed, theproduce certain effects for the surrounding impact of the oil and gas industry in theregion, which could be directed
District of Minas is the multiplier effects that
influence the development of Minas Districts,
which is based on the hypothesis is not
maximized use was in the construction of
infrastructure facilities in the District of Minas
Source: Result of Analysis, 2013

488

4.4.

Impact Analysis of Industrial Activity

Analysis of the impact of industrial activity was conducted to determine theoutcomes rather than activities of the petroleum industry and palm oil in the District ofMinas.
Table 3. Relationship Theory with Industrial Activity Impact Analysis Results
TheoryMaterial
Result of Analysis
Theory of
According Supriyadi (2007) multiplier effect is Industrial activity in the District of Minas has
Multiplieran activity that can affect and influence thegiven effect to the development of the Minas
Effectstate of the surrounding area indirectly, as aDistrict, the density and undeveloped land
result of factors urge to evolve and grow intoaround the location of the industry that triggered
an area that can be taken into account.
thedevelopmentofthesurrounding
development.
The various advantages of the Strategic Mulitplier effects resulting activity of the industry
Industrial Zone on the economy of the region that makes the central District of Minas into ais:rapidly growing,people become morea. Promote growth and development of the prosperous, the opportunity to open a business, it
regioncan make rapid development, but there are otherb. Attract investors to invest District / City.
things caused by the multiplier effect is
c. Enhance the development and welfare of concentrated in Central District of Minas course
the communitythat disparity development others are nearby
d. Attract more business opportunities to be that is not affordable multiplier effect.
developed, especially in the sectors ofindustry and trade and services.
e. Increase
revenueandeconomic
Regency/City
f. Increase of Community Development Indexand unit community activities
Disparity
Factors that cause the imbalance of economic Multiplier effects of the existing center of the
Theorydevelopment:
District Minas create economic activity centereda. Concentration of Regional Economic in the village of Minas Jaya, one of the factors of
Activity
production, namely population mobility is low in
b. Investment allocation
the District of Minas, and natural resources arec. The level of mobility of factors of different in every region of the village in the
production lower
district of Minas also give the impression of a gap
d. The difference of resources between in the District of Minas
regionse. Demographic differences between regions
f. Inhibition of trade between regions
Externalities
Externalities can be positive or negative. Externalities divided into two negative andTheoryPositive externalities occur when the activities positive impact of the negative externalities
performed by a person or group to provide petroleum and palm oil is the impact ofbenefits to individuals or other groups. The environmental
pollution
which
becomes
negative externality occurs when activities by damaged as a result of mining activities, theindividuals or groups produce harmful effects development of strategic land District of Minas
becomes narrower with the concession offor others.
Chevron. The resulting positive externalities is,the development center district town of Minas
becomes rapid, earnings and variations in
population into diverse professions and others.
Source: Result of Analysis, 2013

4.5.

Scoring Analysis

To maximize the positive impact of industrial activities in the District of Minas in
the field of development of infrastructure necessary to study development priorities todetermine the infrastructure that will be built first. For that analysis using the scoring
method used to determine the priority of infrastructure to be built.

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Tablel 4. Score Calculation of Facilities
No

Facili
ties

Range

Score

Function
Roads

Score

Building
Condition

Score

Total
Population

Score

1

Educa
tion

Far

15

Arteries

15

Medium15

1000‐3000

102Health

Near

8

Local

10

Not good

20

>3000

8

Colector

8

Good

10

<1000

15

Arteries

15

Medium

15

>3000

8

Colector

8

Good

10

>3000

8

Worshi
3
Far
8
p
Econo
4
Near
15
mic
Green
5
Open
Far
8
Spaces
Source: Result of Analysis, 2013

Table 5. Score Calculation of Infrastructure
PhysicalNo
Infrastructure
Score
Condition
1
Roads
Not Good25
2
DrainageGood
25
3Electricity
Good
15
4
Waste
Medium20
5Clean Water
Not Good
25

Availabilityof Land
Considerable
Considerable
Considerable
Adequate
Considerable

Availability ofLand
Considerable
Considerable
Consider
able
Ade
quate
Consider
able

Score

Quantity

Score

25
25
25
20
25

Deficient
Deficient
Adequate
Deficient
Deficient

15
20
10
15
20

Score

Quantity

Score

15

Deficient

20

15

Deficient1515Adequate

10

10

Deficient1515Adequate

10

Levelof
Requirements
Butuh
Butuh
KurangKurang
Butuh

Score
30
30
25
25
30

Source: Result of Analysis, 2013

Based on analysis of scoring to determine infrastructure priorities to be built in
the District of Minas in order to maximize the impact of the petroleum industry andpalm oil then showed the following results:
1. Development of facilities priority are:
 Education Facility= First Priority
 Health and Economics= Second Priority
 WorshipFacility and Green Open Space= Third Priority
2. Infrastructure Development priority is: Drainage and Clean Water= First Priority
 Waste and Roads= Second Priority
 Electricity= Third Priority

4.6.

The Concept and Development Strategy District of Minas

To plan and develop the District of Minas by optimizing the infrastructure due tothe impact of industrial activities of petroleum and palm oil takes the concept ofdevelopment that Infrastructure Optimization of Petroleum and Palm Oil Industrial
Activity. The strategies that must be done is :1. Provide and improve the completeness of educational facilities and economic
activities that bring no commercial value and is able to meet the needs of thecommunity and migrants as well as get the attraction for investors.
2. Increased growth of urbanization as a result of the construction of facilities andinfrastructure that support in a region
3. Improving road accessibility to the location of health and education services as aresult of industrial activities, supported by adequate infrastructure that creates
mobility of the population and the economic and social welfare.
4. Increase Index Community Development and Community Work Unit thusincreasing employment opportunities, thus eliminating unemployment.
5. Maximizing transport node and oil drilling were able to attract economic activity
and create economic strategic area of Minas District.

490

6.
7.
8.

9.

Increase the role of the community in improving the quality of services andinfrastructure to improve the capability of human resources
Attractive other business opportunities to be developed, especially in the
sectors of industry and trade and services
Maintain the characteristics of the regional potential, namely the potential of
petroleum, palm oil, mix use of economic activity (trade and services) and landuse (location Perawang strategic path intersection and main corridors crossPekanbaru ‐ Medan) which can be an attraction and uniqueness of the District ofMinas to bring investors and income for Minas District.
Using human resources qualified to provide expert reliable and equipped with
science and technology so as to create the modern technology.

5. Conclussion
Based on the research are:

1. There are positive impacts and negative impacts of the activities of thepetroleum industry and oil palm processing to the District of Minas.
2. The educational facilities and clean water is a top priority community needs in
Minas District.
3. The concept of the development of the District of Minas is the optimization of
the infrastructure of the activities of the petroleum industry and palm oilprocessing.

References
Adisamita, Rahardjo. (2010). Pembangunan Kawasan dan Tata Ruang. Graha Ilmu, Yogyakarta.
Astuti, P. and Maisaroh, L. (2013). Prospectivity of Ro‐Ro Dumai Cross Harbour for Physical andEconomic Sector at Kelurahan Pangkalan Sesai Kecamatan Dumai Barat. In Proceeding of
the 2nd International Conference on Regional Development, Diponegoro University,
Semarang.
Djojodipuro, Marsudi. (1992). Teori Lokasi. Lembaga Penerbit Fakultas Ekonomi Universitas
Indonesia, Jakarta.
Eriawan, T. and Tou, H. J. (2010). Perencanaan Wilayah. Universitas Bung Hatta, Padang.
Irawan and Suparmoko, M. (1992). Ekonomika Pembangunan. BPFE, Yogyakarta.
Mulyanto. (2006). Prinsip–Prinsip Pengembangan Wilayah. Graha Ilmu, Yogyakarta.
Nurzaman, Siti S. (2012). Perencanaan Wilayah dalam Konteks Indonesia. Penerbit ITB,
Bandung.
Rustiadi, Ernan, et al. (2009). Perencanaan dan Pengembangan Wilayah. Yayasan Obor
Indonesia, Jakarta.
Sadyohutomo, Mulyono. (2009). Manajemen Kota dan Wilayah, Realita dan Tantangan. Bumi
Aksara, Jakarta.
Susanto, A.B, et al. (2010). Reinvensi Pembangunan Ekonomi Daerah, Bagaimana Membangun
Kesejahteraan Daerah. Erlangga, Jakarta.
Tarigan, R. (2005). Perencanaan Pembangunan Wilayah. Bumi Aksara, Jakarta.
Warpani, Suwardjoko. (1980). Analisa Kota dan Daerah. Penerbit ITB, Bandung.

491

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Determining Equation of Oil Rate Prediction by StatisticallyAnalysis Function in New Productive Zone
1Ira Herawati, 2Novia Rita, 2Novrianti, 2Rosalia M Taufand
1

Petroleum Department, Faculty of Engineering, Islamic University of Riau, Riau, 28284,Indonesia

Abstract
Oil rate will be decline at production time in a well. So, we have to produce in anotherlayer who assume have a potential. Before we produce another layer who assumed havea potential, we need to predict oil rate to known how much oil gain. In this field research
oil rate prediction in new productive zone was determine following by analogical dataand near well references. In this method there is a difference determine of oil rate foreach people. Cause of that, in this research using analysis statistical for oil rate
predicting in new productive zone based on linear function for Productivity Index (PI)and polynomial function for watercut. Determining equation of linear and polynomial
functions for oil rate prediction measuring by production and logging data for each well
who assumed productive zone in area X field RMT. Based of statistically analysis forlinear function known that coefficient determination (r2) = 0.9964 and polynomial
function known that coefficient determination (r2) = 0.9993. This result indicated that
we can use both of the functions for oil rate prediction in new productive zone in area X
field RMT. After that, based on both of functions calculate oil rate prediction each wells
in area X field RMT. So, known differences in oil rate prediction between oil rate data inarea X field Y known is 28.13 BOPD or 0.78%
Keywords :Oil Rate, Statistical Analysis, Coefficient Determination , Productivity Index, Watercut

1. Introduction
The decline of oil flow rate in an oil field becomes a problem that have to be
faced during the production period. One of several ways to solve the declining oil flowrate problem is by producing a new zone. Previously, oil flow rate determination in the
new zone that have not been producing at a potential reservoir is determined from thelogging data and wells near by reference. This method focuses on the analogy of theexisting data. By using these methods, several parameters that become the benchmarkof oil flow rate estimation have an uncertainty factor. In this case, everyone has thedifferent determination of an oil flow rate with the same parameters. It makes thisresearch needs to be done to determine that uncertainty factor. Potential reservoir
which is the becomes the object in this research shall be referred to the productive zone.
Productive zone in this study is the layer that has never been in produces by awell, so it becomes a backup for the well. This occurs because the well was still quite
good producing from another layer or from wells that are still relatively new, so there

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

arecertain zone that has never been produced. When production wells down then, canbe done to increase production by opening new layers that are considered productive.
In the case of management and these issues , it is often found some forecasting
activity, prediction, estimation and more. One method that can be used to solve theproblem is statistical methods. The used of statistical method sare very dependent on
the structure of the data or the number of variables. One of the method that is used for
one variable or more than one variable is the regression analysis.
Regression analysis is a statistical methodology to predict the value of one ormore response variables (variable dependen) from the collection of predictor
variablevalue (variable independen). This analysis can also be used to predict or forecast
the effect of the predictor variable (independent variable) on the response. In regression
analysis , it is learn how does these variables relate and expressed in a mathematical
function.This research is done by using regression analysis, to determine the function
representing the approximate flow rate of oil in the productive zone.
The objective of this paper is to determine the coefficients and function of linear
regression of the permeability and thickness of the perforation of the Productivity Index
and regression function at the polynomial correlation to the water saturation of theWatercut. At the end we could to estimate the flow rate of the oil in the productive zone
using a regression function and evaluation of oil flow rate estimates based on thefunction of the oil flow rate based on the data.

2. Material and Methods
Productive zone in this study is a new zone that has not been produced and has
potential if seen from the data logging. This study uses data of each well log consisting oflog GR (Gamma Ray), log SP (Spontaneous Potential), caliper logs, resistivity logs,
neutron and density logs. Based on the GR deflection curve at minimum value, indicatesthat the area with the curve approaching the minimum value may be a reservoir layers
because of thenonshale (permeable) rock type whichin this case, the sandstone type, thereservoir rock type in general. Mean while, if the deflection curve leads to a maximum
value then the rock type may be shale (impermeable).
On the log resistivity deflectioncurve with a great value indicates the potential
for hydrocarbons contained therein, on the contrary if the deflection curve with a small
resistivity values indicates the potential non‐hidrokarbon (water zone). From the resultsof neutron log that has a deflection at a great value, it can be seen that these rocks have alarge porosity. In the productive reservoir layers, the neutron‐density log curves willintersect and form of separation. This indicates the exist of permeable layer and areservoir layer. This both curvesshows the formation of separation column (cross over).
The small cross over indicates the type of fluid is oil. At the gas zone, these two
curves show the formation of the separation column. A large cross over, gas zone is alsocharacterized by neutron porosity price that is far less than the price of porosity, so it
would show the existence of a larger separation.
In this research, to determine the flow rate of oil in the productive zone, it would
require some data from wells located in an area that is not separated by any fault (fault).
A layer of sand that is used as data in this study is the same sand layer. This is done
because the consideration of the physical properties of rock and fluid at the same sand493

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

tends not much different when compared to the physical properties of fluids and rocks
on different sand.
In areas 1 and 3 there are 614 wells candidates which are productive zones thathave been produced. However, this research is limited to areas that are not separated bytheir fault, so the area that it is included into non‐separated by fault area is area 1with
focus area 1, 2, 3 and area 3 with focus area 5 there are only 104 wells. After
determining the candidate wells that are included in the areas relevant to the objectivesof this study, furthermore, pick the same sand layer seen in a predetermined area. In thisstudy, A‐1 sand layer chosed.
Of the 104 wells which are reviewed there were 21 wells that have a productive
zone A‐1. Furthermore in this study, the 21 well candidates is reviewed as productive
zones to estimate the oil flow rate. Permeability and saturation datain the productive
zone which is used as a candidate in this research was determined from logging data to
the log attached. While the thickness of the zone productive in this study is the interval
thickness of each well perforations known by looking at the production history ofcandidate wells which is about to be examined and retrieve perforation data (Topperforation and bottom perforation), the watercut data and production flow rate on thecandidate wells in this research

3. Result and Discussion
Calculations of Permeability, Saturation and Resistivity Well RMT‐01 is done by thesameway to each well. Result of PI calculation as shown at table 1.
Table 1. Result of PI Calculation
Well

K (md)

hperfo(ft)

K.hp

re (ft)WC (%)µ (cp)

PG(psi/ft)PI(STB/D/psi)

RMT‐01

499

10

4990

393.2997.2

0.365120.3651

14.29

RMT‐02

752

6

13320

274.3993.22

0.42356

0.4236

34.81

RMT‐03

1849

3

5547

417.6896.7

0.37246

0.3725

15.43

RMT‐04

4370

2

8740

533.5496.3

0.37833

0.3783

23.07

RMT‐05

2102

8

16816

554.8898

0.35337

0.3534

47.26

RMT‐06

2403

8

19224

481.7197.23

0.36468

0.3647

53.46

RMT‐07

810

8

6480

295.7395.8

0.38568

0.3857

18.37

RMT‐08

3721

5

18605

554.8898.4

0.34750.347553.17

RMT‐09

1770

2

3540

609.7698.7

0.34309

0.3431

15.82

RMT‐10

3322

12

39864

442.0798.03

0.352930.3529116.02

RMT‐11

1243

3

29820

329.2799.68

0.32877

0.328897.5

RMT‐12

1404

10

14040

204.2793.92

0.41333

0.4133

39.49

RMT‐13

6167

3

18501

375

98.7

0.34309

0.3431

56.8

RMT‐14

751

14

10514

554.8896.6

0.37393

0.3739

27.93

Well

K (md)

hperfo(ft)

K.hp

re (ft)WC (%)µ (cp)

PG(psi/ft)PI(STB/D/psi)

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RMT‐15

1166

6

3708

480.1891.9

0.44295

0.4429

8.49

RMT‐16

2210

6

2352

161.5983.47

0.56674

0.5667

5.03

RMT‐17

841

4

3364

0

97.84

0.35572

0.3557#NUM!

RMT‐18

2705

9

9045

210.3790.8

0.45910.4591

8.49

RMT‐19

7128

4

1576

326.2288.8

0.488470.4885

3.47

RMT‐20

810

12

1692

539.6385.49

0.537120.5371

3.14

RMT‐21

2060

14

2282

475.6188.79

0.48862

0.4886

4.74

If the khp value is plotted against PI from the calculation, it can beshown by the figure 1
as follows:

Data
140.00PI (STB/D/psi)

120.00100.00
80.00
60.00
40.00
20.00
0.00
0

5000

10000

15000

20000

25000

30000

35000

40000

45000

k.hp
Figure 1. PI plot againts Khp

Based on the khp and PI data in Table 1 and after the regression done, it resulting
LINEST function outputs in Excel shown in table 2 as follows:
Table 2. LINEST Function to Estimate PI
KH

boCoefficient

2.94 x10‐3‐1.22Standard Error (seb)

4.37 x 10‐60.71

Coefficient of Determination (r2)0.9976

1.51

Standard Error Y (Sey)

F‐Value

4507.6311

Degrees of Freedom denominator(Dfd)

Regression Sum of Square (SSreg)

10215.74

24.93

Regression Sum of Residual (SSres)t‐value

67.14

1.72

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From the function LINEST output in table 2, it is generated a linear function to estimate
the PI is as follows:
PI 2.94 x 10 kh
1.22
From the LINEST functions output above, do the t value and F value calculation todetermine whether the function of the resulting statistics can be accepted. Calculationof PI' based on Linear Functions to Absolut Delta PI performed to determine thepercentage of PI errors and differences of each well, so the results got in table 3 asfollows.
Table 3. Result of PI and PI’ Calculation
Well

PI (STB/D/
psi)

PI' (STB/D/
psi)

Delta PI
(STB/D/psi)

Abs Delta
PI(STB/D/psi)%error PI
Vs PI’ (%)

Abs%error(%)

RMT‐01

14.29

13.21

1.08

1.08

7.54

7.54

RMT‐02

34.81

37.69

‐2.89

2.89

‐8.29

8.29

RMT‐03

15.43

14.85

0.58

0.58

3.76

3.76

RMT‐04

23.07

24.23

‐1.16

1.16

‐5.02

5.02

RMT‐05

47.26

47.97

‐0.7

0.7

‐1.49

1.49

RMT‐06

53.46

55.04

‐1.59

1.59

‐2.97

2.97

RMT‐07

18.37

17.59

0.78

0.78

4.25

4.25

RMT‐08

53.17

53.22

‐0.05

0.05

‐0.09

0.09

RMT‐09

15.82

14.83

0.99

0.99

6.25

6.25

RMT‐10116.02

115.7

0.33

0.33

0.28

0.28

RMT‐11

97.5

86.18

11.32

11.32

11.61

11.61

RMT‐12

39.49

39.81

‐0.32

0.32

‐0.8

0.8

RMT‐13

56.8

52.92

3.88

3.88

6.84

6.84

RMT‐14

27.93

29.45

‐1.52

1.52

‐5.45

5.45

RMT‐15

8.49

9.45

‐0.95

0.95

‐11.23

11.23

RMT‐16

5.03

5.46

‐0.44

0.44

‐8.67

8.67

RMT‐17

6.02

8.44

‐0.48

0.59

‐10.12

10.12

RMT‐18

8.49

9.45

‐0.95

0.95

‐11.23

11.23

RMT‐19

3.47

3.18

0.29

0.29

8.41

8.41

RMT‐20

3.14

3.52

‐0.38

0.38

‐12.12

12.12

RMT‐21

4.74

5.26

‐0.51

0.51

‐10.77

10.77

The following Figure 2 is a plot between the PI againts khp based on data and alinear function to estimate the value of PI', and khp againts based on hypothetical data.

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Fungsi

Data

Kolinear

140.00PI (STB/D/Psi)

120.00100.00
80.00
60.00
40.00
20.00
0.00
0

5000

10000

15000

20000

25000

30000

35000

40000

45000

50000

Khp
Figure 2. PI vs khp

Calculation of WC Function (Watercut)
Meanwhile, water saturation (Sw) was determined from log data interpretation that isdetermined based on the average price of saturation. The watercut data and water saturation(Sw) are plotted on a scatter , then it will form the figure 3 as follows.

dataLinear (data)

100
90
watercut (%)

80
70
60
50
40
30
20
10
0
0.00

0.20

0.40

0.60

0.80

1.00

Sw
Figure 3. Plotted between Sw and WC at Trend Linear

From the field data can be conducted to determine the regression coefficients,
to obtain the correlation polynomial to predict WC with LINEST function as shown intable 4.
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Tabel 4. LINEST function to estimate WC using actual data
Sw3

Sw2

Sw

Intercept

Coefficient

332.02‐735.14553.45‐48.28

Standard Error (Seb)

122.52215.99106.11

10.59

Coefficient of
Determination (r2)0.9598

4.38

#N/A

#N/A

F‐Value

151.04

19

#N/A

#N/A

Regression Sum of
Square (SSreg)

8692.26

364.47#N/A#N/At‐value

2.71

3.4

5.22

4.56

Standard Error Y (Sey)
Degrees of Freedom
Denominator (Df deno
Regression Sum of Residual(SSres)From the LINEST function output in Table 4.8 generated the polynomial function toestimate WC is:332.02Sw
48.28
WC ′ 553.45Sw 735.14Sw
From the LINEST function output above, calculate the t value and F value to determine
whether the function of the resulting acceptable statistically. Figure 4 is a plot between
Sw against watercut based data, the actual equation and the equation based on the data
adjusted to the data hypothetical in making the regression line.

Persamaan

Data

0.20

0.40

Kolinear

Adjust Data

100
90

Watercut (%)

80
70
60
50
40
30
20
10
0
0.00

Sw

0.60

0.80

1.00

Figure 4. SwVs WC againts the equation

Determination of Oil Flow Rate
Calculation was performed on each well to get the oil flow rate with a linear
function of khp regression of the Productivity Index and polynomial functions for
Swregression against watercut generated at the output function LINEST, so it can betabulated as shown in table 5.

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Table 5. Q and Q’ Calculation

Plot betweenQo and Qo 'to each well, can be seen in figure 5.

Laju Alir Minyak (BOPD)

Qo

Qo'

500
450
400
350
300
250
200
150
100
50
0

Sumur
Figure 5. Plot Qo and Qo 'In each well

Where:Qo
Qo': Oil Flow Rate Data (BOPD): Oil Flow Rate Calculation Based Functions

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Based on the calculations performed to estimate the oil flow rate based onfunction, then from the twenty‐one (21) wells studied,it is known the total of oil flowrate is 3633.68 BOPD. While from the data is known that oil flow rate total of twenty‐
one well studied is 3605.55 BOPD. From these results, note the difference oil flow rate
based on the data of the oil flow rate based function is 28.13 BOPD. The percentage
error of both oil flow rate is 0.78%.
After assessing the watercut from water saturation data and Productivity index
from permeability data, the thickness of the perforation of each well, then performed thecalculations of oil flow rate using both equation for estimating the flow rate of oil in new
productive zones.

4. Conclussion
Based on the research are:
1. Estimated oil flow rate can be multiplied by the thickness of the perforation
permeability parameters (k.hp) to determine the productivity index with r2 =0.9964. While water saturation parameters can be used to determine watercut ofpolynomial functions with r2 = 0.9993
2. The regression coefficient for k.hp known by using LINEST function in Excel is
2.92x10‐3, intercept is 1,49 while the Sw regression coefficient is 397.83, Sw2 is (‐5402.47), Sw3 is 140.53 intercept is (‐35). The function equation for estimating
1.22 and polynomial equations to
Productivity index is PI 2.94 x 10 kh
140.53Sw
35.90
estimate water cut is WC
397.83Sw 402.47Sw
3. Oil flow rateestimation based on the function is 3633.68 BOPD while the oil flowrate data is 3605.55 BOPD, the difference is 28.13 BOPD with a percentage of 0.78%
error. While the percentage of the average absolute error for each of the wells
5.47%
References

Ariadji, Tutuka. Radjes, Muhammad Tities. 2012. Kuantifikasi Ketidakpastian Pengembangan
Lapangan Secara Terintegrasi Surface dan Subsurface dengan Menggunakan Desain
Eksperimental. Simposium Ahli Teknik Perminyakan Indonesia. Jakarta
Gollan, Michael. Whitson, Curtis H.1996. Well Performance Second Edition. Norwegian University
Of Science and Technology. Tpir. Trondheim, Norway
Heinemann, Zoltain E. Fluid in Porous Media. 2003. Montanuniversitat. Volume I. Leoben
Houghton. Simal, Leopold. Hardle, Wolfgang. 2004. Applied Multivariate Statistical Analysis.
Humboldt University & Catholic de Louvain. Berlin, Germany
Jothikumat, et.al. Statistics.2004. Government of Tamilnadu
Kelkar, G. Mohan. Aplied Geostatistic for Reservoir Characterization. 2002. Tulsa, Oklahoma
Koesoermadiata, R.P. 1980. Geologi Minyak dan Gas Bumi. Jilid I. Edisi Kedua. Institute Teknologi
Bandung
Mccord. Reservoir Study and Future Performance Projections. 1970. Petroleum Consultants. PT.
CPI. Dallas. Texas
Morrison, Faith.A. 2014 Obtaining Uncertainty Measures on Slope and Intercept of Least Square Fit
with Excel’s Linest. Michigan Technology University
Pratama, Adi. Suharno. Zaenudin, Ahmad. Analisa Petrofisika untuk Menentukan Potensi
Hidrokarbon Pada Sumur ELP‐23 Lapangan Prabumulih Menggunakan Metode Inversi.
Jurusan Teknik Geofisika universitas Lampung. Pertamina EP Region sumatra
Noer, Ahmad. Sugito. 2010. Statistika Lanjutan. Edisi Pertama. BPFE‐Yogyakarta

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Chiba, 20‐24November 2016

Schmuller, Joseph. 2013. Statistical Analysis with Excel Third Edition. Hoboken, New jersey
Stanley, L.T. 1973. Practical Statistic for Petroleum engineers. Petroleum Publishing Company.
Tulsa
Stroud, K.A. 2001. Matematika Teknik. Edisi kelima, Jilid I. New York, Erlangga
Tang, hong. 2007. Using production Data To mitigate reservoir Connectivity uncertainty. Lousiana
State university. International Petroleum Technology. Dubai
Supranto, J. 2008. Statisik Teori dan Aplikasi. Edisi Ketujuh. Erlangga

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Sediment Deposit of Floodplain Formation Resulting From
Lateral Accretion Surfaces on Tropical Area: Case Study at
Kampar River, Indonesia
Yuniarti Yuskara, *, Tiggi Choanjia
aGeological Engineering, Universitas Islam Riau, Jl. Kaharuddin Nasution No 113

Pekanbaru, 28284, Indonesia

Abstract
Kampar Rivers with the length of 413 km with average depth of 7.7 m and wide of 143
m. 60% of river is meandering fluvial system which transport and deposit a mixture ofsuspended and bed‐load (mixed load) along low energy. River channel that moving
sideways by erosion is undergoing lateral migration and the top of the point bar
becomes the edge of the floodplain and the fining‐upward succession of the point bar
will be capped by overbank deposits of Kampar River. Along the Kampar Rivers, there
are more than 60% of ﬂoodplain sediments and almost all of the ﬂoodplain formed bybend migration on the suspended‐load channels of Kampar watershed. This formationconsist of succession of fine to medium sand and silt/mud, with root traces, that form as
drapes on the prograding bank. These beds dip mostly channel wards and quickly wedge
out as they grade up and onto the ﬂoodplain. The depositional model is presented
showing how lateral accretion can make a signiﬁcant contribution to the preservation ofﬁne‐grained within channel deposits in contemporary ﬂoodplains. The examples
presented here demonstrate that analogues to ancient point‐bar deposits containing
alternating sandstone and shale sequences are common in the low‐energy ﬂuvial
environments of Riau rivers especially Kampar rivers.

Keywords
Kampar Rivers, lateral accretion, floodplain, meandering, depositional model.

1. Introduction
Meanders develop by erosion of the bank closest to the thawed, accompanied bydeposition on the opposite side of the channel where the flow is sluggish and the bed‐load can no longer be carried and river is considered to be meandering if there isaccumulation of sediment inside of bends. Meandering rivers transport and deposit a
mixture of suspended and bed‐load (mixed load) a long low energy. The bed‐load is
carried by flow in the channel, with the coarsest material carried in the deepest parts ofthe channel. Finer bed‐load is also carried in shallower parts of the flow and it isdeposited along the inner bend of a meander loop where friction reduce the flow
velocity (Nichols, 2009). Type of sediment is formed by meandering pattern are channel
deposit, point bar, natural levee, floodplain, oxbow lake, and crevasse splay.
The relative contribution of a variety of accretion deposits to the formation ofmeandering river floodplains have been the subject of prolonged discussion in the* Corresponding Author, Yuniarti Yuskar. Tel.: +62‐822‐6790‐2974.

E‐mail address: yuniarti_yuskar@eng.uir.ac.id502

geomorphological literature (Page, et al, 2003). A channel moving sideways by erosion
on the outer bank and deposition on the inner bank is undergoing lateral migration andthe deposit on the inner bank is point bars and it will show fining‐up from coarser
material at the base to finer at the top (Nichols, 2009). Migration of meanders produces
a general fining‐upward point bar deposits and, in turn silky and muddy floodplain
deposits (Allen, 1970; Boggs, Jr 2006). Multiple episodes of meander migration produce
vertical stacking of fining‐upward succession in meandering‐river deposit (Boggs Jr,
2006).
Floodplains are dynamic feature that co‐evolve with channel so at present nouniversal theory is available to predict floodplain width in natural rivers (as a functionof drainage area, bank‐full discharge, or sediment flux, etc) because floodplain
morphology dynamically integrates across these and the other factors, over someunconfined time interval in the environment history of the watershed (Patrick Belmont,2011). In this study we focus on floodplain deposit resulting from lateral accretion
surface at river bend of Kampar Kanan River, Riau Province. Lateral accretion surfaces
are most distinct when there has been an episode of low discharge allowing a layer offiner sediment to be deposited on the point bar surface (Allen 1965; Bridge 2003;
Collinson et al, 2006; Nichols, 2009).

2. Overview of Kampar River
One of the meandering river system in the Riau Province, Indonesia is the
Kampar River. Kampar River on the island of Sumatera in Indonesia originates in themountainous Bukit Barisan of West Sumatra, and empties into the Malacca Strait on theisland's eastern coast. The river is the confluence of two big tributaries are Kampar
Kanan River and Kampar Kiri River. The tributaries meet in the Langgam subdistrict,
Pelalawan Regency, before flowing into the Malacca Strait as the Kampar River. Koto
Panjang, an artificial lake upstream of the river, is used to power a hydroelectric
generating plant.
In this case, data collected from location in one of the Kampar Kanan river bends
at Buluh China Village, Kampar District, Riau Province, Indonesia as shows in Figure 1.
The River has a length of 413 km and an average depth of 7.7 km and average wide of
143 m. Fluvial meander system develop typical morphology that oxbow lake withtropical rain forest, sand bar and river with fishery product. It has been used as a local
attraction. This study is one of the appreciation of Buluh Cina Village community thathas been keeping the forest and natural conditions so this area can be used as one of the
Geo‐tourism in the Riau Province.
2.1. Geomorphic and Geological Setting
Buluh Cina Village is plain area with an elevation of 2 to 6 meter above sea level.
The landscape of case study area is characterized mainly by active channels, abandoned
channels , natural leeve, backswamps and floodplain. The study area is the floodplain of
Kampar Kanan River, so this area will flood if higher rainfall. Distribution of geomorphic
feature throughout the tudy area suggests that the landforms were developed mostly
during Quaternary. Along The Kampar Kanan River is deposited Young Alluvium (Qh)during Holocene‐aged. Young Alluvium (Qh) are consist of gravels, sands and clays.

503

Figure 1. Location of Study Area.

The stratigraphy formation in the Buluh Cina Village are Older Alluvium (Qp) aged
Pleistocene to Holocene. This sediments are consist of gravels, sands, clays, vegetation
rafts and peat swamps (M.C.G. Clarke, W.Kartawa, A.Djunuddin, E. Suganda dan
M.Bagdja, 1982).
Most of sand deposit along Kampar Kanan River has become mining site location,
whether they have permission or illegally. This activity not only will affects thedeposition process that happen naturally in the river, but also affects the river biota,
tourism and water resources become damaged due to the mining. Morphologicalchanges is forming in the Kampar Kanan River happen because of natural leeve(riverbank) erosion and sand mining, it make sliding riverbank and deepening of theriverbed.
2.2. Floods
Buluh Cina area located as floodplain area from Kampar Kanan River. This water
are provided from large catchment area up to 5.321 km2 came from Gadang Mountainand surroundings, with debit of water about 700 to 1000 m3/s and relative slope 0,0008.
In headwater part, there are hydroelectric power plant at Koto Panjang that built besidefor electricity, and also to control volume of water. If there’s any increasing volume due
to heavy rain on the top side area and the dam of power plant cannot endure it, thecondition will become a big flood that will be affected to this area. And this event has
happened in January 2016, which the water of the river rising about 3 m from thecondition at dry season, and flooding all the area.

3. Methodology
Data collection on this research consist of three location of trench (TR‐01, TR02,
and TR‐03), two drilling data (BC‐01 and BC‐02), and satellite image from landsat. The
methodology for this study are consist of several steps and measurement, starting fromscouting field surveys to check condition and to mark the drilling position, and thencontinued doing trenching at three position which located 2 m and 400 m away from theriver. Some of them are already excavated and exposed, and revealed a 1 to 2 meter
thick sequence of sediment.
Drilling also conducted at two location up to 5 meter depth using hand auger for
coring, located 5 meter from river and 400 meter away from the river. This drillng data504

will provide a better visualization of the texture of sediment from bottom to top of thelayer. All of sediment that taken from trenching and drilling, will be analyze with sieve
analysis by using mesh from 2.38 mm, 1.19 mm, 0.6 mm, 0.297 mm, 0.149 mm, and0.074 mm to measure the weight each grain size and define the dominate grain size inevery layer collected from field.
Interpretation of satellite image are using landsat image from april 1989 until
april 2016. This image provide visual image to seek the geometrical changes of the river,and interpret the migration of the channel, and also correlate it with field survey data.

4. Lateral Accretion and Floodplain Deposit
1.1. Lateral Accretion Deposit on Kampar Kanan River at Buluh Cina Village
Based on the comparison of Satellite image data in 1989 and 2016, it shows a
migration of the channel that occured in Kampar Kanan River that located near the
Buluh Cina village as shows in Figure 2. The basic dynamics of flow around meanders
leads to erosion on the outside parts of bends and deposition on the point bars. Helicalflow transport sediment, eroded from the cut bank, across the stream along the bottom
and deposits it by lateral accretion on the point bar (Boggs, S.Jr. 2006. p.252). As thechannel migrate the top of the point bar become the edge of the floodplain and thefining‐upward succession of the point bar will be capped by overbank deposits.

Figure 2. (A) Satellite image that showing geometrical changes the position of the river and image of point bar as
result from river migration, and (B). Erosion at the nothern side of the river.

Field observations indicate that lateral accretion consists of a point bar, obliqueaccretion and overbank deposit. Sediment of point bar deposited medium sand withgood sorting and upwards‐fining couplets during flood events. Some flood channels
become enlarged during floods, and may become the dominant channel (Wood, S.H et al,2008). Oblique accretion sediment is defined here as the lateral accumulation of fine‐grained floodplain deposit by progradation of a relatively steep convex bank inassociation with channel migration (Page and Nanson, 1982). Oblique accretion aredeveloped on the meandering low energy rivers of Kampar Kanan River. The presence of505

oblique‐accretion deposits in Buluh Cina Floodplain was demonstrated by preliminary
investigations at natural bank exposure, coring to a depth 5 meter, and trenches
excavated at Kampar Kanan Rivers.
When the point bars occur, oblique accretion deposit occupy that part of theconvex bank directly above at the point bar (Page, K.J 2003). At site oblique‐accretion
layers consist of sand, muddy fine sand strata dipping conformably with bank surface asshows in Figure 3. Dip angles vary from near horizontal at the top and the bottom to lessthan 150 while at the bottom; there are point bar deposits with dip angle more than 150.

Figure 3. Deposit at western side of the river meander which shows sand bar deposit at bottom position withrelative steep slope and deposit of oblique accretion at top with gentle slope than sand bar deposit.

On trench location (TR‐01 and TR‐03) shows very fine to fine sand sediments, root planton the top and bioturbation on the top layer. It indicates as oblique accretion deposit.
The decreasing rootplant and bioturbation and sediment with medium sand on thebottom layer and it indicates as point bar deposit as show in Figure 4.

Figure 4. Deposit of lateral accretion which characterize with fine sand sediment at two different location ( TR‐01
and TR‐03).

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On TR‐02 (Trench) location consist of very fine sediment at the bottom of thelayer (125 to 75 cm) which indicates an oblique accretion deposit, and then silt – mudwith 75 m thick that interpret as overbank deposit as shows in figure 5. The boundary
between silt and fine sand are gradual contact which affected from different grainsizedand hardness, and also activity of organism and pedogenesis. Overbank sedimentdeposited on a floodplain was identified in the field using standard criteria (Allen, 1965;
Brown, 1987; Guccione, M. J, 1993). It was distinguished from channel deposits andcolluvium by general lack of gravel, the lateral fining of texture with increasing distancefrom the channel and general lack of bedding , except proximal to channel (Guccione, M.J
1993).

Figure 5. Succession at Trench (TR‐02) that shows oblique accretion on bottom of the layer and overbank depositat the top.

Based on sieve analysis from TR‐01, TR02, and TR‐03, considered from two
different deposit shows that medium sand dominate at the bottom and very fine to finesand sediment dominate at the upper part as shows in figure 6.

Figure 6. Sieve analysis that shows percentage of grain size distribution of each layer at four location (TR‐01, TR‐
02, TR‐04, and TR‐05).

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1.2. Lateral Accretion Deposit on Kampar Kanan River at Buluh Cina Village
Floodplain is a strip of land that borders a stream channel and that is normallyinundated during seasonal floods. Sediment is transported over the flooding as bed loadand suspended load during floods. The sediment comes from the main channel, thevalley sides and the floodplain itself (Bridge, S. John in Posamentier, W. H. And Walker,
G. R, 2006 p: 119). Based on drillling data using 5 meter depth of core hand auger, it
shows that floodplain formation originated from lateral accretion as sandbar, obliqueaccretion and overbank. Sandbar deposit located at the bottom and continued withoblique accretion deposit, and covered with overbank deposit at the top. The overbank
deposits are not always shown in the floodplain formation, due to erosion process.
Stratigraphy of this floodplain formation are showing repetitive deposit of sandbar andoblique accretion that there are two event happened in this area as shows in figure 7.

Figure 7. Analysis stratigraphy define from core data (BC‐01 and BC‐02) .

5. Discussion
Based on this research, it considered that lateral accretion gives a big
contribution to the formation of floodplain. This formation form two type of deposit
which are sandbar and oblique accretion that form at low energy in meandering river.
Floods that happen periodically in this area also bring finer sediment such as silt andmud that characterize overbank deposit but not significally shown in this area.
Therefore, in floodplain formation, lateral accretion gives bigger contribution thanvertical accretion. Lateral accretion deposit characterize with fine to medium sand while
overbank characterize with finer sediment (silt and clay).
The floodplain model that modified by (Page et al, 2003) state that there arethree models of stratigraphy produced by oblique accretion for different floodplain
settings: floodplain with point bar, floodplain with no point bar and floodplain withpoint bar and scrolls. Based on the model, this area are include in model of floodplain
with point bar as shows in Figure 8.

508

Figure 8. Model of stratigraphy in study area that related with Floodplain model with point bar (modified from
Page, et al 2003)

6. Conclusion
Floodplain fformation in study area are related with model floodplain with point bar
which consist of succession of fine sand to medium sand with steep dip beds as sandbar
and fine sand with gentle dip bed as oblique accretion deposit, and silt/mud, with root
traces as an overbank deposit, all of this deposit form as drapes on the prograding bank.
These beds dip mostly channel wards and quickly wedge out as they grade up and onto
the ﬂoodplain. In this study, showing that lateral accretions are making signiﬁcant
contribution rather than vertical accretion to the preservation of ﬁne‐grained withinchannel deposits in contemporary ﬂoodplains.

Acknowledgements
We would like to say thanks to Universitas Islam Riau for all the support and thestudents on The Department of Geological Engineering, Faculty of Engineering,
Universitas Islam Riau for helping us on this research.

References
Allen, J.R.L (1965). A review of the Origin and Characteristic Of Recent Alluvial Sediments.
Sedimentology 5, 89 – 191.
Allen, P.A & Allen, J.R (2005) Basin Analysis: Principle and Applications (2nd edition). Blackwell
Science, Oxford.
Belmont, P. (2011). Floodplain Width Adjustments in Response to Rapid Base Level Fall andKnickpoint Migration, Geomorphology 128 p. 92‐102
Boggs, S. Jr. (2006). Principle of Sedimtology and Stratigrapy 4th ed, Pearson Prentice Hall, New
Jersey, United States of America.
Bridge, J. S (2003) River and Floodplains: Forms, Processes, and Sedimentary Record. Blackwell
Science, Oxford.
Brown, A.G. (1987). Holocene Floodplain Sedimentation and Channel Response Of The Lower
River Severn, United Kingdom. Z. Geomorph. NF 31, 293‐310.
Clarke, M.C.G et al (1982). Geological Map of The Pakanbaru Quadrangle, Sumatra. PPPG.
Collinson, J.D., Mountney, N & Thompson, D. (2006). Sedimentary Structure. Terra Publishing,London.
Guccione, M.J. (1993). Grain‐Size Distribution of Overbank Sediment and its Use to Locate
Channel Position. Spes. Publs Int. Ass. Sediment 17 p. 185 – 194.
Nichols, G. (2009). Sedimetology and Stratigraphy 2nd Ed, John Wiley & Sons Ltd, West Sussex,
United Kingdom.
Nichols, G.j. & Fisher, J.A (2007). Processes, Facies and Architecture of Fluvial Distributary
System Deposit. Sedimentary Geology, 195. 75‐90.
Page, K.J et al. (2003). Floodplain Formation and Sedimen Stratigraphy Resulting From Oblique
Accretion on The Murrumbidgee River, Australia. Journal Of Sedimentary Research Vol. 73
No.1. Tulsa, Oklahoma, USA.

509

Page, K.J., and Nanson, G.C. (1982) Concave‐bank benches and assosiation and Floodplain
Formation: Earth Surface Processes and Landforms, v.7, p.529‐543.
Posamentier, H. W and Walker, R.G (2006). Facies Models Revisited, p. 119. Tulsa, Oklahoma. USA
Wood, Spencer H., Ziegler, Alan D., Bundarnsin, T. (2008). Floodplain Deposit, Channel Changes
and Riverbank Stratigraphy of Mekong River Area at 14th Century City of Chiang Saen,
Nothern Thailand, Geomorphology 101 p. 510 – 523.

510

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Radiation Performance of X‐Band Array Antenna Implemented Using
Unequal Power Divider Feeding System
E. T. Rahardjo, M.Erfinza, and F.Y. Zulkifli
Antenna propagation and Microwave Research Group (AMRG)
Department of Electrical Engineering, Universitas Indonesia
Kampus Baru UI Depok________________________________________________________________________________
Abstract‐
This paper presents radiation performance of an x‐band array antenna using unequal
power divider. A 6x32 element array antenna is designed and fed by corporate feeding
network. The feeding network is realize using unequal power divider implemented instripline transmission line. Simulation results showed that the design of array antenna
and its feeding network has an excellent radiation performance.
Keywords − X‐band array antenna; Unequal power divider; stripline transmission line;
microstrip antenna;________________________________________________________________________________
I. INTRODUCTION
The X‐band spectrum frequency that span from 8 ‐ 12 GHz is utilized for various
applications such as satellite communication, radiolocation, meteorological, maritime
radio navigation, radio astronomy and space research. In such radio system, antenna
plays an important role to achieve high performance of the system. Recently, numerous
antennas in X‐band frequency have designed and implemented for purpose of radar
application.
Microstrip antenna has been used for many radar applications in X‐band frequency
because it has many benefits such as compact and low profile [1]‐[2]. However, thesidelobe level of the developed antenna is still higher, at the level of >‐15 dB.
To surpress the value of sidelobe level, array technique is required from the microstrip
with current distribution technique in each sub‐array. The unequal power divider thathas been designed in [3] is using Chebyshev polynomial technique and has surpressed thevalue of sidelobe level into 26.4 dB. However, the use of series‐feed configuration causes
the element to affect each other so that the current distribution is uneven and the array
configuration become limited. The using of Chebyshev current distribution for morearray is designed in [4] with 32 element configuration which every element is fed withdifferent current value. The implementation adversity and the cost of antenna system isincrease because it requires additional power divider and attenuator.
In this paper, an array antenna and its feeding are designed to operate in 9.4 GHz
frequency. The array of microstrip antenna is fed using an unequal power divider. A
triangular current distribution technique is used to achieve low side lobe level as requiredby the system.
II. 1x6 ARRAY ANTENNA and FEED DESIGN
The propose array antenna has a dimension of 6x32 elements. The antenna element ischosen to use a usual rectangular microstrip antenna namely as a conventional antenna.
The dimension of the array is designed to fulfill the X‐band array antenna with frequencyof 9.4 GHz, 100 MHz bandwidth, azimuth beamwidth of 5o and elevation beamwidth of
18o and less than 30 dB sidelobe level for optimal functionality.
511

The antenna was designed using Taconic‐TLY‐5 dielectric substrate with dielectric
permittivity 2.2 and thickness 0.8 mm. As the first step, a conventional rectangularmicrostrip antenna is designed and simulated as an element for antenna array. Then, a
subarray of 1x6 element is designed using previous antenna element. To obtain therequired sidelobe level, the current distribution for each element is calculated bychebyshev polynomial. Unequal power divider is used to obtained current distribution foreach element in the subarray [4]. The 1x6 element subarray is shown in Figure 1.

Figure 1. 1x6 element sub array antenna.
The power divider was designed in stripline transmission line using Taconic‐TLY‐5
dielectric substrate with dielectric permittivity 2.2 and thickness 1.6 mm. The corporate
feed configuration with tapered technique is used to ensure the current distribution isfollowing the triangular equation [5]. The width of tapered lines, namely Zt(i) and Zf(i),have a specific value obtained from impedance which calculated from equation (1) and(2).
Zt(i)= Z0× 1+PAPB0,5× PAPB0,25(1)

Zf(i)= Z0× PAPB‐0,25(2)

Figure 2. Corporate Feed Unequal Power Divider.
The full designed of unequal power divider is shown in figure 3. The configuration for 16
port in each left and right side is an amplitude reflection of each other that was designed
to provide current distribution that following the triangular current distribution

Figure 3. Full Design of 1x32 Corporate Feed Unequal Power Divider.
The simulation is carried out using CST microwave studio. The return loss characteristic,
as indicated in Figure 4, show that the power divider works in 9.4 GHz frequency. The
value of insertion loss and amplitude from 32 output port of the power divider wascompared with triangular distribution in theory as shown in figure 5.

512Figure 4. Return loss of 1x32 power divider.

Figure 5. Comparison of triangular current distribution.
III. ARRAY ANTENNA INTEGRATION DESIGN AND SIMULATION
To achieve higher gain and smaller azimuth beamwidth, the 1x6 subarray is then arrayedfor 6x32 elements. The six vertically elements of arrayed antenna which have been
designed previously were used to achieve small elevation beamwidth and sidelobe level.
Power divider then is used to feed array for the 32 elements horizontally. The design ofarray antenna system is shown in figure 5. Semi‐rigid cables is used to connect between
array antenna and the power divider in a perpendicular configuration.

Figure 6. Design of 6x32 array antenna with power divider.
The simulation of 6x32 array antenna is carried out. The result show that antenna works
well in frequency of 9.4 GHz, with return loss of ‐20.01 dB and bandwidth over 100 MHz
as shown in figure 7. These results agree with the trend and, thus, the bandwidth is able
to cover the desired frequency band from 9.33 to 9.45 GHz.

Figure 7. Return loss of 6x32 array antenna.
Figure 8 shows the measured and simulated produce by the propose antenna at 9.4 GHz.
On the horizontal plane, in Figure 8(a), the measured antenna gain, azimuth half‐power
beamwidth and sidelobe level were 26.4 dB, 3.5o and ‐29.2 dB, respectively. The elevation513

half‐power beamwidth and sidelobe level on the vertical plane in figure 8(b) were 17.8o
and ‐26.8 dB, respectively.

Figure 8. Measured and simulated Radiation Pattern at 9.4 GHz on (a) a horizontal planeand (b) a vertical plane.
IV. CONCLUSION
The design of 1x32 unequal power divider as a feeding system of 6x32 array antenna thatworks in X‐band frequency has been described and simulated with excellent radiation
characteristic.
ACKNOWLEDGEMENT
This research was supported by The Ministry of Research, Technology and Higher
Education, The Republic of Indonesia under the National Research Advancement(PUSNAS) with contract no. 0436/UN2.R12/HKP.05.00/2015.
REFERENCES
Hajian. M, Zijderfeld. J, Lestari. A. A, and Ligthart. L. P, “Analysis, Design andMeasurement of Series‐fed Microstrip Array Antenna for X‐Band INDRA: The Indonesian
Maritime Radar.
F.Y. Zulkifli, Y. Wahyu, Basari, and E. T. Rahardjo. “Microstrip Antenna Array for
Coastal Surveillance Radar”. Jurnal Elektronika dan Telekomunikasi Vol. 13, No. 2,
Desember 2013
F.‐Y. Kuo, R.‐B. Hwang, “High‐Isolation X‐Band Marine Radar Antenna Design,“IEEE Transactions on Antennas and Propagation, vol. 62, no. 5, May. 2014.
E.T. Rahardjo, D. P. Yusuf, and F. Y. Zulkifli, “Microstrip Array Antenna for X‐Band
Application”, Asia‐Pacific Microwave Conference Proceedings (APMC), Nanjing, China,
December 2015.
Fitri Yuli Zulkifli, Taufal Hidayat, and Eko Tjipto Rahardjo, “Sidelobe Level
Surpression Using Unequal Four‐Way Power Divider for Proximity Coupled Microstrip
Antenna”, Asia‐Pacific Microwave Conference Proceedings (APMC), page 1166‐1168,
November 2013.

514

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Geophysical Modelling Using Gravity Data Of Meteorite Impact
Crater At Bukit Bunuh, Lenggong, Perak, Malaysia
Dewandra Bagus Eka Putraa, Abdul Rahim Samsudinb, Tiggi Choanjia
aUniversitas Islam Riau, Jl. Kaharudin Nasution No. 113, Pekanbaru 28284, Indonesia
bUniversiti Kebangsaan Malaysia, Bangi Selangor 43600, Malaysia

Abstract
A geophysical survey using gravity method was conducted at Bukit Bunuh, Lenggong,
Perak, Malaysia, to determine the occurrence of a subsurface impact crater, based on the
discovery of meteorite impact rock, suevite, in the study area. A standard correction wasapplied to all the gravity data to produce Bouguer gravity anomaly of the study area. The
Bouguer gravity anomaly was used to produce several maps of gravity anomalies byfiltering processes and relate them to the geological structure and tectonic history of thestudy area. Data processing and interpretation were conducted using geophysicalsoftware, Oasis Montaj. This software was used in a number of gravity data filtering
processes, such as Low Pass Filter (LPF) and the Total Horizontal Derivative (THD).
Bouguer gravity anomaly map shows a circular structure in Bukit Bunuh area which isinterpreted as a remnant of meteorite impact crater. The gravity anomaly appears todecrease from the edge of the crater and increases at the center. This feature indicates acomplex crater structure which has central uplift. The Total Horizontal Derivative map ofresidual gravity anomaly shows structural trend such as lineaments and faults that
dominant to the northwest‐southeast direction. A model was produced using GM‐SYS 3D
software to determine the geometry of the impact crater. The interpreted 3‐D modelshows a diameter of the impact crater was approximately 2368 m and depth of about 400
m. The model of the crater appears to tilt toward southeast, which illustrates the ancientmeteorite that hit this area about 1.83 million years ago possibility came from northwest
direction.

Keywords
Keywords: Geophysics; Gravity; Bukit Bunuh; Impact Crater; Model

1. Introduction
Gravity survey is a measurement of the gravitational potential field in a series ofdifferent locations for a particular purpose. The objective of this survey is to relate thedensity differences to anomaly gravity changes (Parasnis, 1986). The anomaly gravity
changes shows horizontal density differences of subsurface rocks or materials and could
be used to determine the subsurface structure (Samsudin, 1990).
A gravity survey was conducted in Bukit Bunuh, Perak, Malaysia. The study was
initiated by a discovery of meteorite impact rock, called, suevite (Fig. 1), around Bukit
515

Bunuh area. The presence of suevite provides an evidence of possible ancient meteorite
impact that had taken place in the study area.

Figure 1: Meteorite impact rock, suevite discovered in Bukit Bunuh area

Bukit Bunuh area (Fig. 2) was initially a rubber plantation until it had been
replanted with palm oil plantation in 2001. During the replanting period, some sueviteboulders and artifacts of archaeological significant were exposed, which was thenconfirmed by a palaeo‐environmental mapping of Lenggong Valley. Since then the area
has been set as a centre for archaeological and meteorite impact research lead by
Universiti Sains Malaysia. Bukit Bunuh area is believed to be impacted by a meteoritearound 1.83 million years ago, which developed an impact crater. However due to tropical
weather and erosion, the geomorphology condition of the crater has been destroyed andthe crater structure buried by a relatively new sediments.

Figure 2: Location map of Bukit Bunuh area

Based on Lenggong topographic map, sheet number 3464, series L7030, scale 1:50
000, issued by Department of Survey and Mapping Malaysia, 1986, Bukit Bunuh is516

situated at longitude 100058.5’ East and latitude 504.5’ North. The study area is a hilly
region that could be seen in the topographic map (Fig. 3), indicated by closed contour
lines on the eastern and the western part. On the southern part, Bukit Bunuh is borderwith Raban Lake and Perak River flows on the eastern area.
Geophysical gravity survey can contribute a supporting evidence for meteorite
impact structure in Bukit Bunuh. The fulfillment of all criteria would help the study area
to be recognized as a World Heritage Site by UNESCO.

Figure 3: Topographic map of study area

Based on Geological Map of Lenggong valley issued by Mineral and Geoscience
Department Malaysia in 2007, scale 1:200 000 (Fig. 4), the study area consists of517

Quaternary sediment and small lithology unit of Tertiary tephra ash and metasediments.
While, it basement were dominated by Mesozoic granitic rocks as a concurrence ofregional granitic intrusion in Peninsular Malaysia during Triassic (Alexander, 1962).
Suevite breccias in form of variable size boulders were found well scattered in thesouthern area of the Bukit Bunuh (Fig. 5).

Figure 4: Geological map of Lenggong valley518

Figure 5: Map of suevite boulders

2. Methodology
The gravity survey was conducted using CG5 Scintrex Micro‐Gravitimeter. A total of
544 gravity stations had been established with approximately 500 m spacing insurrounding area and 50 m spacing in Bukit Bunuh (Fig. 6). The observed gravity data has
been tied with an established gravity station (Loke, et al 1983). Wallcae and Ternian
altimeters had been used to measure the elevation of gravity stations and the station
coordinates determined by using global positioning system (GPS) instrument.

Figure 6: Map of observed gravity stations

519

The gravity data were corrected for drift, free air, bouguer, latitude and terrain inorder to produce corrected bouguer anomaly data of the study area. The gravity data werethen processed and analysed using Geosoft Oasis Montaj software to produce several
gravity anomaly maps such as, bouguer, regional, residual, THD residual and THD regional
anomaly maps, for qualitative and quantitative interpretation. Since about one fifth of
known impact craters on Earth are covered with sediments, gravity is the major tool forinvestigation of theses craters (Grieve and Pesonan, 1992). The gravity signature of
impact craters is relatively distinctive and the relationship between impact effects anddensity is somewhat straightforward (Pilkington and Grieve, 1992).

3. Result and Discussion
Several anomaly gravity maps had been produced and interpreted by qualitativeand quantitative analysis.
3.1.

Qualitative Analysis

The bouguer gravity anomaly map (Fig. 7) shows a negative low anomaly and somecircular shaped in the study area.

Figure 7: Bouguer gravity anomaly map of the study area

520

The map shows the occurrence of circular shaped in Bukit Bunuh area (C1). It
surrounded by high anomaly with a diameter around 2.5km and interpreted as a remnantof meteorite impact crater. The low gravity anomaly is interpreted to be associated with
low‐density sedimentary fill, ejecta, and brecciated Suevite. Information from boreholedata indicates that the subsurface geology at Bukit Bunuh area comprises of remnant of
impact brecciated rocks (suevite) and weathered metasediments which are underlain by
granitic rock basement. The bouguer anomaly map also shows the possible occurrencesof three others impact craters (C2, C3, C4) located not very far to the northeast andsoutheast of the Bukit Bunuh impact crater. However, these structures need further detailinvestigation for confirmation.
Regional and residual gravity anomaly map had been produced to analysed
subsurface structures. These maps were derivation of bouguer gravity anomaly map.
Regional gravity anomaly map (Fig. 8a) shows the condition of basement. The anomaly
tends to decreased in southwest‐northeast direction. This indicated either the basement
was shallower or alluvium sediment was thinner. Based on the surface geologicalcondition, granite had been found in the southwest part of study area, therefore the firstpossibility is likely to be acceptable.

Figure 8: (a) Regional gravity anomaly map shows the condition of basement; (b) THD residual gravity anomaly
maps shows the structure of shallower subsurface layer

Residual gravity anomaly map had been derived to produce Total Horizontal
Derivative (THD) gravity anomaly map (Fig. 8b) that shows the structural condition ofshallower subsurface layer. THD map shows the occurrence of lineaments and fault
structures that concentrated in Bukit Bunuh and the direction is dominant to northwest‐
southeast. This data were supported by the result of rose diagram (Fig. 9) analysis thatindicated the same dominant direction of the structures.

521

Figure 9: Rose diagram analysis indicated the dominant direction of lineaments and fault structures isnorthwest‐southeast

3.2.

Quantitative Analysis

An interpreted gravity model had been generated using GM‐Sys 3D software. The
model constructed based on several borehole data and bouguer gravity anomaly map of
the study area. The 3D model (Fig. 10) shows the structure of impact crater is complex
because of the occurrence of central uplifts.

Figure 10: A 3D gravity models shows a complex crater structure with central uplifts

Based on this model, the diameter of impact crater approximately 2368 m and low
density material including alluvium sediment, impact breccias (suevite) andmetasediment with thickness about 400 m. The thickness of impact crater also could bedetermined from power spectrum analysis (Fig. 11) and the result had been displayed ina graphic that indicated the estimated layer and depth of impact crater. The graphic shows
the subsurface structure divided into four section, 100 m, 130 m, 380 m and 400 m. The
basement or the deepest part of impact crater had been interpreted belong to the lastsection. The 3D model of impact crater appears to tilt toward southeast direction (Fig. 12)
suggesting the ancient meteorite that hit Bukit Bunuh area about 1.83 million years ago
came from northwest direction.

522

Figure 11: Power spectrum analysis to determined the estimated depth of impact srater

Figure 12: The direction of ancient meteorite that hit Bukit Bunuh 1.83 million years ago approximately camefrom northwest resulting the impact crater appears to tilt towards southeast direction

References
Alexander, J. B. (1962). A Short Outline of the Geology of Malaya with Special References to
Mesozoic Orogeny. Geophysical Monograph Series, Vol. 6, pp.81‐86. American Geophysics
Union, United States.
Grieve, R. A. & Pesonan, L. J. (1992). The Terrestrial Impact Crater Record. Tectonophysics, Vol.
216, pp.1‐30. Elsevier.
Loke, M. H., Lee, C. Y. & van Klinken, G. (1983). Interpretation of Regional Gravity and Magnetic
Data in Peninsular Malaysia. Bulletin of The Geological Society of Malaysia, Vol. 16, pp.1‐22.
Geological Society of Malaysia, Malaysia.
Parasnis, D. S. (1986). Principle of Applied Geophysics, Chapman and Hall, New York, United States.

523

Pilkington, M. & Grieve, R. A. (1992). The Geophysical Signature of Terrestrial Impact Crater.
Reviews of Geophysics, Vol. 30, pp.161‐181. Wiley Blackwell. United States.
Samsudin, A. R. (1990). Geofizik Konsep dan Penggunaan, Dewan Bahasa dan Pustaka, Kuala
Lumpur, Malaysia.

524

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Socioeconomic Relations

Introducing A Threshold To Condorcet Improvement
Fumihiro Kaneko1
Faculties of Law, Politics and Economics,, Chiba University, 1-33 Yayoi-cho, Inage-ku, Chiba-shi, Chiba, 263-8522, Japan

Abstract
For the case of three alternatives, an elementary extension of the system of axioms for the Condorcet Improvement
is presented in order to expand the indecision region for pairwise voting vectors beyond uniform cycles, The
resulting modification of the Condorcet Improvement criterion on pairwise votes is derived. The Condorcet
Improvement is the decision criterion on pairwise voting vectors which modifies the Condorcet winner criterion by
expanding winner regions over cyclic votes in a manner that the intensity of preference on a pair of alternatives by
voters is reflected. In the extension, an axiom is added to eliminate a small influence by a particular type of
perturbation on cyclic profiles that intends to discriminates against an alternative by dropping it from the set ofcandidates for a winner by the Condorcet Improvement. A threshold is used in this axiom in order to identify sucha small influence. Graphically in the space of pairwise votes, the extension makes the indecision region to be atriangular swelling of the line segment that is the indecision region of the Condorcet Improvement without athreshold. The winner regions are reduced by eliminating pairwise voting vectors that belong to the expanded
indecision region. This article is an abbreviated presentation of the main result in Kaneko (2016).

Keywords
Pairwise voting; Positional voting; Condorcet winner; Borda rule; Decision with thresholds

1.

Introduction

This article is an abbreviated presentation of the main result in Kaneko (2016), which gives anaxiomatic foundation for introducing a threshold to the Condorcet Improvement which
intends to expand the indecision region for pairwise voting vectors beyond uniform cycles
and derive its consequent modification of the Condorcet Improvement criterion on pairwise
vote, for the case of three alternatives. The cyclic coordinate system is used to identify“almost'' confused voters, which are non-confused only by discriminating against analternative slightly. Given a positive threshold less than , the system of axioms for theCondorcet Improvement is extended with an axiom that an “almost” confused voters with alevel of discrimination no more than the threshold is identified with a confused voter. It is
proved that, under the extended system of axioms, the indecision region is expanded to atriangular swelling of the line segment,,, , , , which is the indecision
regionfor
Condorcet
Improvement
withoutthethreshold.

1

Corresponding
author.
Tel.:
E‐mail address: fkaneko@le.chiba‐u.ac.jp+1‐81‐43‐290‐3584;

fax:+1‐81‐43‐290‐3584.

1

The Condorcet Improvement (abbreviated as CI hereafter) is the decision criterion on
pairwise voting which modifies the Condorcet winner criterion by expanding winner regions
over cyclic votes in a manner that the intensity of preference on a pair of alternatives by
voters is reflected. An axiomatic foundation of the Condorcet Improvement is given in Saari(1994) and Saari (1995) for the case of three alternatives. A crucial axiom implies that theregion of cyclic votes is partitioned according to a count of preference intensity exhibited in
the ranking of alternatives by each voter. It turns out that the Condorcet Improvement isequivalent to the social outcome mapping based on the Borda rule, a particular positional
voting method with a symmetric scoring vector.
The role of a threshold in expanding the indecision region of CI is to make a winner robust
to a small perturbation of a profile of voters by “almost” confused voters. Since CI
generically calls a winner even if a pairwise voting vector is cyclic, any voter who isarbitrarily close to a confused voter can be pivotal. Such a voter can be considered to be a
disguise of a confused voter. A disguise has a minimal effect on the selection of a winner if
only one alternative is dropped out of being a winner, since the set of candidates for a winneris minimally affected. However, if such disguises are made simultaneously, the pairwise
voting vector is generically moved to a winner region of CI. A threshold is used to neutralizea disguise of a confused voter by dropping an alternative from candidates of a winner to a
confused voter, in order to eliminate a vulnerability of a winner by simultaneous disguises ofa confused voter.
Throughout the analysis, use is made of the cyclic coordinate system for pairwise voting,which is introduced in Saari (1994) and Saari (1995). It represents a profile in view of agrouping of voter types into two groups, each of which creates either a positive or a negative
cycle in pairwise voting.
The article is organized as follows. The relevant outset of voting theory and the voting maps,
one for pairwise voting and the other for positional voting, are reviewed briefly in the section
2. The expansion of the indecision region by introducing a threshold to CI is presented in thesection 3. Remarks on issues related to the result are given in the section 4.

2.

Outset and Pairwise Voting Map

First, I briefly introduce the outset and the voting maps of concern, which are all taken from
Saari (1994) and Saari (1995). In the following, the (l-1)-dimensional basic simplex in the
Euclidean spaceis denoted by Δl-1.
Throughout the article, it is assumed that there are three alternatives. The set of alternatives
is {c1, c2, c3}. It is assumed that each voter has a strict ordering on the alternatives. There aretotal 3! = 6 strict orderings of alternatives, and they are numbered as in the table 2.1.
NumberType of strict ordering

1

≻

≻

2

≻

≻

3

≻

≻

4

≻

≻

5

≻

≻

6

≻

≻

Table 2.1. Strict orderings on alternatives

2

A tuple of strict orderings on alternatives across all voters is called a profile. A strict orderingcorresponds to a type of voters. A profile can be represented as a vector in Δ5. whose
components show the ratio of voters for each type. A profile represented as such is denoted by
p. For ∈ 1,2,3,4,5,6 , pj is the ratio of the voters of type j.
The pairwise voting map is defined as follows.
numbered as in the table 2.2.
NumberLet ordered pairs of alternatives be

Ordered pairof alternatives

1

,

2

,

3

,

Table 2.2. Pairs of alternatives
A pairwise voting vector is a vector ∈ 1,1 , where qi is a a relative vote for the firstalternative to the second one in the pair of alternatives indexed by i, for ∈ 1,2,3 . The
pairwise voting map associates a profile with pairwise voting vector. Specifically, it is a map:→ 1,1 defined by
≡

,
. .

,

. .

Its image is a subset ofis denoted by ImF3.

. .

. .

1,1 between two planes, ∑

.
. .

, ,

. .

1and ∑, ,1, andA pairwise vote has a one-to-one relationship with a normalized Borda rule vote, and in fact
CI is equivalent to the Borda rule voting. Hence the threshold imposed on CI can betransferred to the positional voting methods. A positional voting vector is a vector ∈ ,where vj denotes the total score for the alternative cj for ∈ 1,2,3 . A normalized scoring≡ 1. . 0 for a ∈ 0, . For ∈ 1,2,3 , the k-th component of ws
vector is a vector
is the score given to the k-th ranked alternative. The positional voting map associates acouple of a profile and a scoring vector with a positional voting vector. Specifically, it is a0, →defined by
map :
,

≡

,

is a vector obtained by a permutation of the components ofaccording to thewherestrict ordering of alternatives indexed by j, for each ∈ 1,2,3,4,5,6 . They are shown in thetable 2.3.
Permuted
Vector in thescoring vector component form
1

, ,0

1

, 0,
, 0,1

0, , 13

Permuted
Vector in thescoring vector component form
0,1

,

,1

,0

Table 2.3. Permuted scoring vectors

Given a∈ 0,

, the image of the map

spanned by vectors

3.

.,, denoted by Imfs, is a convex hull

. The Borda rule voting corresponds to. The

0, while the anti-plurality voting corresponds to.

, , , , ,plurality voting corresponds to≡

An Axiomatic Foundation of CI with a Threshold

The purpose of developing CI with or without a threshold is to partition ImF3 into thefollowing regions;
1,2,3): ci wins,(,(

1,2,3, mod 3): ci and ci+1 are tied at the top,

: no winner is decided.
CI without a threshold introduces a set of axioms on which these regions are identified as an
acceptable modification of the Condorcet winner criterion. I introduce a threshold of size εinto CI for reducing the influence of “almost” confused voters in a profile. Confused voters
are profiles making cyclic votes. In ImF3, the direct influence of confused voters appears on, , , , which is the indecision region for CI without a,,the line segment
threshold. By introducing a threshold, the indecision region must be expanded to include theline segment in its interior.
In Saari (1994) and Saari (1995), a coordinate system on the set of profiles based on
pairwise voting vectors, called as the cycle coordinate system, is introduced. It helps for
identifying effects of positive and negative confused voters in the pairwise voting. The cyclic
coordinate of a profile p is a tuple,,, where
, 0,
0,

, 0,

, 0,
, 0,

,0

,
and

.
∑ , ,
∑ , ,
By letting
≡
∈
1 and
≡
∈
1 ,
∈ and
∈
. The map defined by , , is one-to-one except for profiles forwhich the sum of components for the value by F3 is either 1 or -1. For such profiles, either
or can be neglected in an obvious way. It is clear that
1.

4

The positive confused voter pc+ is the profile
voter pc- is the profile

0, , 0. , 0,

, 0. , 0, , 0 , and the negative confused. Any convex combination of these profiles is called asa confused voter. The former is a unique profile that has the value of F3 to be
while the latter is a unique profile that has the value of F3 to bedifference between

, ,

and

,

,

, ,

,

. The

is a measure for the degree of freedom from thepositive confused voter, and that between
andis that from the negative,,
confused voter. It is intended that a threshold is used to identify a profile p for which each ofandare close to positive or negative confused voters, correspondingly.
An axiom for CI without a threshold claims that, if a profile consists of voter types for whichan alternative is ranked at the bottom and the other two alternatives are tied in the pairwise
vote, then it must be decided that those two alternatives are tied at the top. A confused voter
can be perturbed in any small degree to make two alternatives dominate another but are tiedeach other. A threshold is used to guarantee that such a perturbation does not rank any
alternative bellow others socially if the size of perturbation is small. All confused voters aretreated equally, so that the effect of a threshold must be uniform over confused voters. Basedon this argument, Kaneko (2016) proposes the following set of axioms to refine CI with athreshold .
Axiom 1. For each ∈ 1,2,3 , Di is an open convex set. For each ∈ 1,2,3 (mod 3). Di,i+1
is a subset of the intersection of boundaries of Di and Di+1 and a convex set. E is a closed
convex set.
Axiom 2. The set

∪

∪

∪

is dense in ImF3.

Axiom 3. For each ∈ 1,2,3 , let Ci be the set of all pairwise voting vectors for which thealternative ci is the winner by CI without a threshold. Then
∖ for all ∈ 1,2,3 .
Axiom 4. For some∈ 0,

, the following statements hold.

4.1. Let pc+(i, λ) (pc-(i, λ)) be the profile obtained by modifying the positive (negative)
confused voter in the way that the type which ranks ci at the bottom is increased by and thetype which ranks ci at the top is reduced by . Then F3(pc+(i, λ)) (F3(pc-(i, λ))) belongs to E if
and only if.
4.2. If a profile p satisfies α(p)=α(pc+(i, λ)) and β(p)=β(pc-(i, λ)), then F3(p) is in E if and only
if.
4.3. For a profile p, let pc be the profile having the cycle coordinate (α(pc+), β(pc-), d(p)).
Also, for each ∈ 1,2,3 , let pc(i, λ) be the profile having the cycle coordinate (α(pc+(i, λ)),β(pc-(i, λ)), d(p)). Then, if∈ ,∈ if and only if F3(p) is non-negatively
spanned by F3(pc), F3(pc(i+1, ε)) and F3(pc(i+2, ε)) (mod 3).
With this set of axioms, Kaneko (2016) derives the following refinement of CI.
Theorem.
A partition of ImF3 into Di (i=1,2,3), Di, i+1( ∈ 1,2,3 , mod 3) and E satisfies the axioms 14 if and only if these sets are determined as follows;
1
∖

∈

,

∈

,

∈ 0,1 ,

(i=1,2,3),

5

∩

,

∖

( ∈ 1,2,3 , mod 3)}.

where bd(Ci) is the boundary of Ci in ImF3 for i=1,2,3, and
,

,

,

,

, ,

,

,

,

,

,
,

,

,

,

,

.

,

In Saari (1994) and Saari (1995), it is derived that
|2
∈
,2
∑
the section of ImF3 by the plane
triangle with vertices

,

,

, ,

(mod 3), for each ∈ 1,2,3 . On
( ∈ 1,1 ), E becomes the closed

, ,

and

,

,

,

. The rest of thepartition on the section can be easily figured out with these.
The proof of the theorem in Kaneko (2016) derives the partition on the section directly by an∑ , ,.
elementary calculation. Let Ht be the intersection of ImF3 and the plane
Consider any profile p such thatfor such∈ . It is trivial to see thatprofiles, so that they have the same d-coordinate. An elementary calculation shows thatF3(pc+(i-1, λ)i+k = 1/3 + kλ for ∈ 1,2,3 and ∈ 1,0,1 (mod 3). Similarly, F3(pc-(i-1, λ)i+k= -(1/3) + kλ for ∈ 1,2,3 and ∈ 1,0,1 (mod 3). Therefore, we havefor
∈ 1,2,3 and∈ 1,0,1(mod 3).
Let
1,
≡
c
|2
3 for i=1,2,3. Then F3(p (i-1, λ)i is in and not in Ci∈
1.

1,0

Since
∩
∩

∩

, ,

guarantees that F3(pc(i-1, λ) is in,. By the axiom 3 and 4,∩∖,

3, 3, 3

1,,

1,

(mod 3). By the axiom 1 and 2,(mod 3).
They imply that
,
3 3

∩
,

3

,

3

,

3

, ,
3 3

,

3

,

3

.

The theorem follows easily by integrating these sets for ∈
, , ,
.
,
,

1,1 , or along the line segment

4. Remarks
Kaneko (2016) includes more results related to the theorem. It proposes that, for all scoring
voting methods, the image of the expanded indecision region for CI by the one-to-one map
from a pairwise voting vector to a scoring voting vector with the normalized Borda scoring
vector is adopted as the indecision region, though the maximal translation is proved to belarger than that for non-Borda scoring methods. But it is proved that, by doing so, thethreshold value for a pairwise voting on a pair of alternatives which guarantees that a scoring

6

voting method avoids the indecision is maximized at the normalized Borda method, so that CI
discredits the Borda method more than other scoring methods. Another use of a threshold to
expand indifference regions in which two alternatives are tied at the top is considered in thearticle, and it turns out that such a use of threshold does not translate to a meaningfulelimination of perturbations by confused voters that misrepresent the preference intensity for
two alternatives. A perturbation that a confuse voter breaks a tie between c1 and c2 for c1's
, scaled by a
, 0,
win by CI is a convex combination of , 0, , 0, 1,0 and 0,1,0,
small positive number. In both perturbation profiles, the preference intensity of c1 over c2
increases without affecting the vote on a pair
, . This perturbation of a profile breaks atie between c1 and c2 by moving the pairwise voting vector to the direction 2, 1, 1 by thesmall scale, which is a normal vector for the plane dividing C1 and C2 that heads toward C1.
But such a perturbation of a pairwise voting vector is also created by the perturbation profile, ,, , 1 scaled by the same small positive number. This perturbation profile
1,
does not manipulate the preference intensity of c1 over c2 at all. A perturbation by amisrepresenting confused voter leads to a profile with a negative ratio for some type if a
perturbed profile gives a tie between c1 and c2 by a pairwise voting vector close to theboundary of ImF3, since a type that a misrepresenting confused voter reduces is scarce in sucha profile.
The introduction of a threshold into the decision theory for expanding the indecision regionis unpopular in two reasons. One is that a threshold are given by the outset and not chosen
optimality on some criterion. The other is that the decision theorists are occupied with how todecide, not how to force the indecision. The former is the common problem for all social
decision with a threshold. An optimization of a threshold level requires a social interactionof voters other than the voting itself, and it would affect strategically on their voting
behaviour. The latter depends on an issue to be voted at hand. If voters are choosing a
congressman, a winner must be decided, otherwise registration procedures in the congress areseverely restricted and all voters suffer from that. However, if voters are choosing a longterm social investment on infrastructures whose true benefits and costs have not been fully
revealed yet,, there is no urgency to decide until a sufficient information on them becomes
available.

References
Kaneko, F. (2016) A Refinement of the Condorcet Improvement with a Threshold, Economic
Journal of Chiba University, Vol.30, No.2, pp.135-175.
Saari, D. (1994) Geometry of Voting, Springer-Verlag, Berlin.
Saari, D. (1995) Basic Geometry of Voting, Springer-Verlag, Berlin.

7

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic :add selected topic listed in website here

The Idea of Multicultural Interconnective with Socio‐Religious
Values at Trans Dalam Community in Pulang Pisau Regency
Dr. Abdul Qodir1
Vice Rector 1 on Academic Support and Development, State Islamic Institute (IAIN) of
Palangka Raya, Jl. G. Obos Komplek Islamic Center No. 24, Palangka Raya 73112, Indonesia

Abstract
This study was aimedat describing a growing multicultural awareness phenomenon
which is connected with socio‐religious values ina transmigrated community ofTrans
Dalam, Pulang Pisau regency. This study focused on how this phenomenon develops andits background be tracked back. The theory of motivation need for security and thefulfillment of social interaction are major consideration to understand this phenomena.The data were collectedthrough in‐depth interviews and field observation techniquewhich are endorsed by the methods of triangulation with data sources and finally thecollected datawere analysed inductively. The results showed that transmigrated
villagers demonstrate identically high motivation to preserve the multiculturalawareness, especially ideas to live together in harmony.
Intrinsically, transmigrated community members displayed strong passion and highneed for achievement in work and education which appeared on their vibrant nature of
togetherness, mutual respect, social silodarity calledsilaturrahimwith fellows fromdifferent background of ethnics and religions. The passion to help others grew anddeveloped along with the social comfort within inhabitant. They were encouraged tosolve social problem together in a congregated meeting. They have held this way of life
since 30 years ago and live in peace and harmony while collectively maintaining socio‐
religious connection and external factors (environment).
Sociologically, the support of community leaders and religious leaders confirmed thedesire of citizens to live peacefully. Social support system to fellow citizens without
discriminating different ethnic and religious origins. The system was maintainedto
encourage gotongroyong (togetherness) in order to help each other in needs, tosmoothly minimize opinion divergent, and to foster tolerance, and mutual silaturrahim(social respect). Moreover local government system was an instrumental element to
optimize security and social order are monitored by security districts.

Keywords
Value of Socio‐Religious, Multicultural Awareness, Transmigrated Community

1 Telp. Fax: +62 536 3222105.

E‐mail address: wr1@iain‐palangkaraya.ac.id ; abdulqodirjanah@gmail.com ; Phone: +62 81349775351

8

1. Introduction
Multicultural ideas have been discussed in many scientific forums. The ideas arealso written and analyzed by the experts as well, either comparatively or critically inmany papers including those with empirical basis. In spite of that fact, themulticulturalism is not exposed enough, particularly in empirical studies, especially heldin rural areas in which it grows, develops and interconnects in socio‐religious values.
Multicultural can be conceptually learned from Bhinneka Tunggal Ika with its idea ofsocio‐religious interconnection in life.

2. Focus on the Study
The empirical study in in rural area reflects the development of multiculturalcharacteristic which needs to be explained, even though from the early stage. This stage
will focus on: How and why the multicultural values can develop in Trans Dalam
society?
There are many important multicultural ideas we need to understand, because
we live in a very huge area and the diversity in its people. This diversity of cultures canbe seen and found where we interact with people in workplaces and/or in educational
institutions. Furthermore, the multicultural ideas may grow and develop in these places
an also in some communities in the society.

3. Theoretical Studies
Multiculturalism is derived from "multi" which means plural, "cultural" whichmeans culture, and "isme" which means ideology.2 Through the understanding ofmulticulturalism, the ideas an understanding ways to accommodate the different beliefs
in society or community using the concept of supporting of the existence of tolerance,social harmony, and cooperation for good in various behaviors.
Friendly and helpful behavior will make people achieve the harmony in
togetherness. Moreover, feelings of being in the same boat of nation in a wide national
area with its valuable assets is a potential for the formation of the solidarity aimed byreflecting Tunggal Ika.
Based on the observation of the respect people show towards the diversity inrace can be seen on the aspects in life and behavioral actions in daily basis, such as:
1. The harmony in life by the concord in a family.
2. Among the society, spirit off helping each other, the cooperation in solving problems.
2 Abdul Munir Mulkan, Monocultural versus Multicultural approaches, (Yogyakarta: Sl Press,
1996), hal. 205.

9

3. Solving problems in society by considering the deliberation.
4. The awareness of putting the public interest first above the personal and grouporientation interest.3
Beside those significant ideas, the other important thing is that knowing theparticular prominent figures who socialize multicultural ideas. There are handful ofthem, they show people what multicultural is and also voice the idea of human rights,
the freedom in thinking, and also talk about cross cultural religious dialogs. They are
Tilaar, Abdurrahman Wahid (Gus Dur) who familiarize the idea of indigene of Islam,
Nurkholis Madjid, with the idea of Islam cosmopolitanism, who is also voices thedemocracy and pluralism as the basis of the multicultural society.
Other than those, Abdul Munir Mulkan is also a figure who talks about therelation of religion and multiculturalism. There are also younger figures among them,such as Masdar Farid Mas'udi, Ulil Abshar Abdalla, Muqhshid Ghazali, Budi Munawar
Rachman, Zultan Misrawi, and Lutfi Assaukanie. They support the multiculturalism ideas
and voice their idea in democracy in politic, pluralism in society....4 So, multicultural
simply means the diversity which mainly concerns about the willingness of accepting
other people regardless the difference.
There are three terminologies, plurality, diversity, and multicultural are used
regularly and alternatively to describe the society with differences in its people, such as
religion, race, language, and culture.5
These three terminologies don’t represent the same thing, even though all ofthem hint to plurality. Plurality concept shows the things that are more than one. This
diversity shows that more than one thing means they are different, heterogenic, andcannot be treated the same way. Compare to those two concepts, multiculturalism isrelatively new.6
Furthermore, Iskandar Zulkarnain explains, that conceptually there is asignificant difference between plurality, diversity and multiculturalism. Multiculturalismis the idea of respecting and accepting any communities towards each other despite of
the cultures, ethnics, genders, languages, and religions.
If the plurality represents the plural things, then multiculturalism asserts that inevery differences, visible or not, has the same portion in public and in society.

3 MPR RI and socialization team for four pillars of nation, 2013, page 11.
4Abdul Munir Mulkhan, Monocultural versus Multicultural approaches, page. 195
5 Ibid., hlm. 4.

6Iskandar Zulkarnaen, Multicultural Dakwah, paper presented on Visiting Lecture Session in
STAIN Palangka Raya, 2013.

10

Multiculturalism becomes a response of the new policy towards the community
diversities in which are different but also being treated fairly by the country.
Furthermore, multiculturalism means the acknowledgement of politics ofrecognition towards the differences as the entity in society in which needs to be
accepted, valued, protected, an ensured of its existence.7
By applying the togetherness‐sociocultural in life, the social order in society candevelop in many aspects. The advancement will be easy to achieve in conducivesituation, so the idea of togetherness, respecting each other, betterment, highly
motivated and good ethos can raise the awareness of multicultural society in life. Here is
the explanation to understand better what multicultural life is.
4. Multicultural Ideas and Its Assessment
When an idea of multiculturalism is successful or not in the implementation canbe seen from the development in the field. Assessing the implementation is not easy,
because of the scope of multiculturalism idea and its implementation which is casuistic.
It means that it varies and is influenced by the situation and condition of the society
itself. Furthermore, the needs of understanding the concept and characteristics ofmulticultural idea and observation towards the object when conflict cases and problem
solver itself appear.
....multicultural education is successful when the process involve every element
in society. Tangibly, the education does not involve only particular community or
the government but also all of the elements. It is caused by the multidimensionalin every aspects of life in the multicultural education.8
The change in multicultural education is not oriented on figure justification,
statistic and cognitive ansich as the assessment of most of education is. It is more likely
to know the comfort, tranquility, and tolerance that happens in society so there will be
no more conflicts caused by the difference in culture, religion and racial.9
Furthermore, H.A.R. Tilaar states that multicultural education becomes one ofthe vital demands to build the new Indonesia. This education needs more studies tounderstand the concept and practice better and deeper.10
Mahfud, in his analysis of the urgency of multiculturalism education, says theconcept of multicultural education has not been studied seriously until now. However, in
7 Ibid., page 5.
8 Chaerul Mahfud, Pendidikan Multikultural, Yogyakarta: Pustaka Pelajar, 2013 hlm 74.
9Stephen Hill, Direktur Perwakilan Badan PBB Bidang Pendidikan, Ilmu Pengetahuan dan Budaya,
UNESCO untuk kawasan Indonesia, Malaysia, Filipina, dan Timor Leste, dalam chaerul Mahfud, hlm. 200.
10Tillar dalam Chaerul Machfud , hlm. 211.

11

juridical way, the laws of National Education system year 2003 states that the chance toenlighten the people of Indonesia about the multicultural education concept, in article 4
verse 1 about the practical and principle of education implementation which
considering the various society cultures values.11
Tilaar, also says that our educational system is not experienced enough in
multicultural education itself. Hence, it needs to be studied in every aspects about what
multicultural educational really is, about the philosophy of content an also thechallenges in the implementation process. We should also learn from another countries’
experience that have been applying the multicultural education on their pluralistic
people in this globalization era.
Multicultural reality in society is an asset to expand the culture strength in acountry. As an amazing asset in a country it cannot be obtained easily. Hence, it is clearthat such asset is worth to be protected and conserved.12
5. Alternative Medium for Preventing Conflicts
The multicultural idea implementation through education is believed as
preventive step, the real solution for conflicts and dis‐harmonization in society in reality
with pluralistic matter. In other words, the implementation of this multicultural
education can be found an observed in many collective lives as the alternative means insolving socio‐culture conflicts.
Today, multicultural education contributes in two significant conditions, forpreparing individual to be able to face the new culture in globalization era; and uniting
the nation elements itself which consisting of many different cultures.13 These two
conditions involve in education help people to achieve the internal ability to involve to
face the live in togetherness.
Indeed, multicultural education values is not given interconnectively with theright portion. Then, school as one of the educational institution can develop
multicultural education based on school autonomy. According to the writer,
multicultural education is implemented better by using interconective approach inreligion education subject, by discussing the values in the universality of Islam for
togetherness.

11Chaerul Mahfud, Pendidikan multikultural, ... 2013, hal 255.
12 Ibid, hlm. 255.

13 Chaerul Mahfud, Pendidikan Multikultural...... hlm 290.

12

Until now, the number of learners who understand what it is behind the culture
in a country is less than we expected. According to Suyanto (2009), the society knows
better about the stereotype of race compared to what that race has. In fact, discourse ofmulticultural education understands well about the meaning behind the culture reality
from a race is very essential.
Hence, multicultural education is successful in implementation if a student or
individual of a society lives in tolerance, peace, non‐conflict with each other regardlessthe difference in culture, race, language, custom and/or tradition.
6. Preservation Regional Root Culture Early
Mahfud says beside as alternative medium in preservation and problem solver,
multicultural education also cultivates every student for stay still with their own root
culture they have even when they are face with globalization era. The preservation
efforts can be obtained by teaching behavioral matters early. That way, the internalizingof such behavior will be implemented starting from family environment.
Based on Multicultural of Education seminar, held by Universitas Negeri Jakarta(UNJ) Stephen Hilf, Fuad Hassan, Siswono Yudo Husodo, and HAR Tilaar as speakers,
state that:14
Anticipative step is needed to anticipate the globalization challenges, particularly
in cultural aspects. Because most students in Indonesia now is way different withchildren in the same age in past were. The cultures from another countries is adapted
without filtering from various media, such television, and internet and much more. The
advance in technology and knowledge shortens the distance and ease the interaction ofcultures.15
In his analysis, Mahfud states that: the challenge in our educational system isvery hard and complex.16 Furthermore, anticipative effort should be designed
thoroughly. If it is not perceived seriously with proper problem solver, by means theeducational system is responsible for the human resource in this country, the children
will be losing their way with the original culture of their own country has.
7. Rasa Aman sebagai Kebutuhan Hidup Masyarakat Multikultural

14Chaerul Mahfud, Pendidikan Multikultural, .... hlm. 271.
15 Fuad Hasan dalam Haerul Mahfud, hal 281.

16 Chairul Mahfud, Pendidikan Multikultural, ....284.

13

Need, as has been discussed by many experts in hierarchy figure, in multiculturalcontext means that need for security is a vital matter an it has a very prominent function.
Conflicts or local gang fight as has happened in many occasion is cause by the failure
attempt of security condition in their environment. The background is very complex, but
most of them do not respect and accept each other’s difference in culture.
As seen in the fourth hierarchy is the need of safety conceptualized by Abraham
H. Maslow.17 He develops the individual motivation theory explaining about kinds ofneeds and based on the priority level. The individual hierarchy is showed as follows:
1. Actualization of the form‐self.
2. Need for pride.
3. Need for ownership and love.
4. Need for safety.
5. Need for physiology interaction (faali).18
Generally, the hierarchy needs shows the fulfillment stages in life, meaning that
individual needs starting from the family. In Trans Dalam, the residents have been
staying for 20‐30 years live in peace with their multicultural society. However, there
should be field research of it to see if this finding can confirm the theory of need of
security such as feeling of being freed of conflicts, and living in ease with conducive
condition.
Maslow also said that individual need is the need of self‐actualization, forsomeone to motivate achieving the potential‐self.19 For example, admitting for another’s
opinion, admitting the truth from other people and self’s faulty, and also adapting wellwith any situation.
The achievement in education also contributes in changes in social status frommobility social theory perspective.20 By immigrating a few number of Javanese‐Banjarish
and local Dayakish people to Trans Dalam as new residents with multiculturalcharacteristics, the cultures they have can fuse easily, without many fractions with their
original culture, not only accepted by their own people but also in sosio‐religious matter.
Trans Dalam residence, not only grows the sosio‐religious phenomenon, motilities
vertical intrageneration and intergeneration phenomena which can be observed easily.
These phenomena, is interesting to be researched viewed from many aspects, whether

17Abraham H. Maslow, Motivasi dan Kepribadian, terj. Nurul Imam, cet. ke‐4 (Bandung: Remaja
Rosdakarya Offset, 1993), hlm. 43‐57. Bandingkan dengan Matt Jarvis,Teori‐teori Psikologi, terj. SPA‐
Teamwork (Bandung: Nusa Media, 2010), hlm. 94. Jarwis dua kebutuhan sosial, kebutuhan dihargai,
kebutuhan intektual, kebutuhan estetis, yang puncak adalah aktualisasi diri.
18 Ibid., hlm. 94.
19 Matt Jarvis, Teorri‐teori Psikologi, hlm. 93‐95.
20 Anthony Giddens, Sociology (Cambridge: Polity Press, 1993), hlm. 249.

14

from the uniqueness of the rural area itself, the culture holders, the striving forknowledge ethos, trading ethos which way too far from the urban environment.
8. Interactions and Sosio‐Religius
Individual interaction happens in many space and time. It is unlimited, hence it ispossible for Trans Dalam people for interacted every time, whether in sociology
intraindividual pattern, social group interaction, between in the believers of particularreligion individually or in a family context.
The interaction happens incidentally and intimately between different believersof religions in the community.
9. Data Collection and Data Analysis
There are at least two communities in Trans Dalam. The location for its people isset by the government, managed by Dinas Kependudukan and Transmigration since it
was started in 1987/1988. The area, house, and farm is based on government policy.
The people got their own house by drawing to make it fair. The fairness principle isinternalized since those people arrived to grow the peaceful, dependable, and content
feelings between themselves.
The satisfying feelings of Trans Dalam people is relevant with the fusion effort tomake sure the solidarity grows so it will be easier to make change in social, economic, an
the understanding o the importance of togetherness.
....in 1997 we arrived here as elementary school teachers, it was when
government sent us to transmigration area. It was isolate, then few years laterthe children were born, the residents numbers were growing. We were recruitedas teacher right after we graduated from SPG 1 Palangka Raya. I did not have any
chance to continue my study because I have three younger siblings, so we had totake turns to continue our studies. So I worked and tried to apply as elementary
school. Open University was first here when there were only few students so we
had to go to the county to have the exam. The lecturers are from afar so we had
to pay fees for that. It is possible to join forces with other regencies so the exam
can be held in Kapuas regency but it is not carried out well just yet...21
The farm was dull at first, some residents had difficulties for managing theirfarm. Some of them successfully make a living from their farm by the help from intensive
cultivable local unit. While people from Java were eager to cultivate their farm, somefrom Banjarish or Kapuas found it was not easy for them to do farming. The experienceand patience is needed, so they decided to start trading business. It was also not easy at

21 Ibid15

first, but as the time went by, it was getting better, admitted a resident originated from
Kapuas as follows:... Dayakish transmigrants are rarely working as farmers. They are reluctant todo so because of the acid level in the land and water was so high that it is hard tocultivate the farm. They earn money by selling crops, also coffee and coconuts.
When it is nearly Idul Fitri like this, the price goes own, only Rp 13.000 per
kilograms. It is hard to balance with the debits, we sell one and half kilo of coffee
for one kilo of sugar. However, when the price goes up, we can get Rp 17.000
until Rp 20.000 so it is quite satisfying. Other than that we also sell local chicken,
it is quite expensive when Idul Fitri comes...22
There are at least two different psychological characteristics reflected based on
two interviews. First the residents who are interested to professional work as an
employee of government, such as teacher, nurse rather than working as farmers. Second,
the residents know the importance of sending their children to school, having a debt andalso working incising rubber tree early in the morning.
Being compare to need theory of Maslow, Trans Dalam Village residents
condition is relevant with the theory of the fulfillment for cognitive/knowledge
achievement to get into another level of advancement in life, to prepare the children to
be able to actualize his potential bringing their rural area’s name and also family name.
This phenomenon is explained by Jarwis, in which he expands the 5 theory of need to 7.
It is the need for cognitive which related to educational institution or need for education
before making onto the top of the need for actualization.
... It is very peaceful here. I have never witnessed any bothering actions around.
The concord between different religion believers is very good. When Idul Fitri isaround, there is no difference between Christians and Moslems. There are also
no differences in treating other people base on their tribes, we only know theelders or kadus (village chief). We are united in RT 16, sometimes it is calledmarket area. Most people here are Banjarish, only a few of them are Javanese...23....we like helping each other when they are busy. For example, at this time Idul
Fitri is soon, I am as a Christian helping them to prepare for the feast, and when
Christmas is around, they will help us back. It is like a routine happening during
those time. Men, women, children will visit their houses on those days. The
women usually help making snacks and desserts. There is no problem orconstraint in living together with many neighbors...24
Sociologically, these habits of helping each other appears as the result ofinteraction in believing and respecting each other. Visiting each other on Idul Fitri or
Christmas is also meaningful for both sides, as long as they do not involve in the ritual
worship. Because for Moslem, it is clear that in aqidah and worshipping that Nor will ye
22 Ibid
23Ibid.

24 Ibid.

16

worship that which I worship, which means both of them must be separated, it is notmeant to be interconnected or integrated.
In society aspect, the basic nee fulfillment, as called by Maslow as physical need,
the Trans Dalam communities fulfilling them by doing interconnected interactions. A
resident with abundant harvest will share some of it to neighbors or colleagues whose
not lucky enough hence no resident is too poor even for eating. As stated by a resident asfollows:...we live in a very humble way, we do not wish for anything fancy in life.
However Thank God we are not that poor. We are able to earn money to buy
foods as long as we work. It is very peaceful here. There are three tribes living
here, Banjarish, Javanese and Dayakish. I have been living here long enough but I
have never witnessed any conflicts or frictions because the difference in religion.
The melees happen mostly because of the delinquency actions from ourelementary student over petty things. However sometimes there are some issues
going around which terrify us, but in the en it usually ends as issues....25
The productivity skills is developing as well. The residents are smart enough not
to make everything complicated. They admit that they lie in peace regardless they are
Moslems or Christians, Javanese, Dayakish, or Banjarish. This has been implemented inTrans Dalam residents way before many transmigrants come and fuse with the local
transmigrants.
...they pleated these things they get from the rice field, they pleated them to mator hat. It is their mean of living, they sell them while also sell coffee seeds. They
also sold their house and farm. Most of Banjarish people is no longer living here.
Only some Javanese people stay in RT 16...26
It was admitted by some Banjarish and Dayakish people, that the achievements
in education is fulfilled. Another aspect is the ethos in working an education itself. It wasadmired by the residents of Trans Dalam. Here is a snippet from an interview from aresident:....Javanese people education level is higher than it was in the past. They send
their children to university and college. Most of them were only graduate fromelementary or junior high school. However now, their children are mostly
bachelors. So it is indeed getting better. For those who do not go to university
usually start working in oil palm factory, it is good money so it seems like they
enjoy working there...27.
They also respect the leader and hard‐working people to get higher educationlevel. They also refuse to defend someone’s faulty. Psychologically, they are used to livewith responsibility of their own actions...
25 Ibid

26 Wawancara dengan Normansyah, 11 Agustus 2013.
27 Ibid.

1710. Implementation of Interconnective Ideas with Sosio‐religious values inTrans Dalam Society

The implementation of multiculturalism ideas do not happen instantly, apartfrom connected other ideas, for example the implementation grows together with theunderstanding of the religion, and hence it grows intrinsically. The residents are fit,relieved, assisted, and happy being in the same domicile with migrant worker(perantau). Migrant workers are different in their backgrounds, tribe, and religion.
However in their daily basis they interact peacefully with the local residents. They
respect, help, and admit that living together in peace is very important, as assumed
from this snippet of this interview:...we live peacefully here, we respect and help each other. It is all good. For
example, Mrs. Intan’s husband is Banjarish. We do not differentiate him justbecause he is different. We are not bothered by the fact we’re living indiversities... In the elementary school here also there is another example, Mrs.
Ainun is Banjarish as well, we have been interacting for decades, and she iskind and warm hearted. The headmaster is Javanese, Mr. Tohari is like afamily... Yeah, we know each other well and he is a close friend in teaching in
the elementary school...28
It seems like the bond as the result of the interaction of these three tribes
Dayak Kapuas (the local residents) and another transmigrants (Banjarish andJavanese) is quite strong. The bond is focused on the psychological agreement thatgrows positively. The three tribes (Dayakish, Banjarish, and Javanese) would rather
manage and think about their own family internal matters, than meddle theneighbors’ business. In another statement, they have quite self‐restrain to manage
their own will, without forcing and intervening the local residents and anothertransmigrants about any new ideas.
11. Marriage as a Proof of Reforming of Social Religious Interconnection
Compatibility between man and woman from different hometown backgroundincreases. Wahyu and Sriwahyuni involve their self in community and finally get
married.
... I am married to a transmigrant. Mr. Wahyu is a transmigrant from Java,
Bojonegoro. He went here to work in Unit Pemukiman Transmigrasi (UPT). I
have my school degree, and joined transmigration program in 1982, I was in
Kuala Kapuas which now has become definitive village, in Basarang as now is a

28 Wawancara dengan Bu Sri Wahyuni, 50 tahun, di ruang tamu rumahnya, didampingi pak
Wahyu, suami yang semula muslim. Dua anak laki‐lakinya sudah bekerja di Dinas Pekerjaan Umum,
Provinsi, keduanya lulusan Strata 1 Fakultas Teknik dari sebuah Universitas di kota Palangka Raya.

18

district capital. Now the transmigration employee can choose if they want towork at the district office or any institution....29
The marriages in Trans Dalam sociologically becomes a strong will of living
together between two people, and it now appears as one of the social institution
construction as well as connection with social religious interaction. It can be seenfrom the success of her two sons who finished their university degree in a university
in Palangka Raya.
Mr. Wahyu’s family never finished his university degree, yet the sons obtain
theirs, so it is what makes him and his wife happy. Their sons re now working fulltime jobs with big salary so they can help their mother. Mr. Wahyu and Mrs. Sri arethankful because of the marriage of two different culture backgrounds can make asthemselves right now. The sons are also living in town which can be reached easily.
Mrs. Sri also explains that the marriage that happens between two different cultures
will produce children who are smart, strong willed, and devote to their parents.
According to the author, this case is worthresearching. This marriage couple are
happy to be living together with the transmigrants, as said here:... I was married in 1982, I am a Dayakish from Kapuas, and we were assigned
here in 1982, if I am not mistaken, yes, in 1982. We never move because I
always feel like at home living here. I am working as a teacher of elementary
school. As my husband, he works in many different areas, and I am staying here
all along. He worked in Dadahup, Sebagau, and also Belawan. I have evermoved to Belawan for three years, but then I came back here. My husband is
the deputy here in UPT Pangkoh30
From the interview, it can be concluded that the wife does not like living in manydifferent locations. It is understandable because the new location for teaching is more
remote than the village she was currently living.
Trans Dalam village is a conducive location for Mrs. Sri and Mr. Wahyu
because they have already known the people, they are quite close, the workplaces arenear, and the farm’s pleasing results. Psychologically, particularly motivation
psychological as stated by Maslow and Abin Syamsudin Makmun from Universitas
Islam Nusantara Bandung, this behavior indicates the growth of extrinsic motivation
with the individual needs to family, neighbors, and friends’ closeness. The
peacefulness and closeness grow and develop as conclude from this interview:....it is safe here, we never had any conflicts. When Idul Fitri comes like this, wevisit each other. I am Christian, but we also celebrate it together, the more themerrier. There are only about 4‐6 Christian families here, 98% of the total
residents are Moslems in Kantan Dalam...31
29 Ibid.,
30 Wawancara dengan Bu Sri, 50 tahn di ruang tamu rumahnya. ........
31 Wawancara dengan Bu Sri, 11 Agustus 2013.

19

Sociologically, this visiting habit in religious celebrations is one of many interaction
ways, consciously or unconsciously. The visits on particular occasion and moments
are better than doing that just because job reason or personal reason.
In between believers’ context, there is horizontal connection from human tohuman or silaturrahmim (in Islam terminology). There are few communities in Trans
Dalam, and this religious communities are led by some prominent figures. Social
communities are also found, such as Paguyuban Dulangmas, Paguyuban Paku Wojo
(both are for Javanese people) and Paguyuban Dayak Bakumpai. There communities
are sociologically may cause conflicts in the future, as well as a place for creating
harmony in difference. Among the people have no specific skills and Banjarese
residents living near Pasar Rebo (Rebo market) acquire working skills. These skills
bring benefits for society.32
A residents states his happiness by living together with another transmigrants,
as said here... Banjarish are probably only 17 families here, from Hulu Sungai Selatan
Regency, it is less than 2% of the total residents here. However in Pandih Batu
is fifty‐fifty, yes, in the district capital, in transmigrants are almost 99%
Moslems. They live in unity and respect each other. Moreover if they are also
Banjarish, and they have same religion as we do, it feels like a family.....33
Ethnically, even though they are from many different tribes, the habits,
customs, and traditions can be changed as the time goes by, the immigrants adapt the
habits easily, and they know their place and try to follow the rules. This attitude isvery accolade in Islam, because this person is useful for other people. The best humankind is who is useful for another.
Banjarish people are known for their skills in trading, and doing transaction.
Geographically, they would rather live around business area than in farming area.
They most likely live in area near the mosque, schools, boarding schools, and another
Islamic institutions. They pay more attention to the education. They concern about
Islamic studies and values. The local leaders of village, market as well as religious
ones admits the importance of search of knowledge and pursuit of happiness in theworld and hereafter.
This ability for taking the priority for doing good deeds for the hereafter life isrelevant with the forming of insan kaafah, insan kamil. Being a trader around pasar
Rabu in Trans Dalam is for helping their economic condition. The religious
32Anthony Gidden, 1999 Sociology: Cambridge: Polity Press.Hlm. 88.

33Wawancara dengan Normansyah di ruang Tamu rumahnya, di seberang pasar Rebo, 11 Agustus

2013.

20

motivation is to be able to go to Mecca for Hajj with their own effort, without any help
from the government or institution. From psychological aspect, they have high self‐
confidence to reach Allah SWT’s bless in short time.
....there are a lot of Javanese, Dayakish, and Banjarish people here... I am
Banjarish, and I have two sons, and they have their own families, I also have agrandchild. My daughter in law is Javanese and now living in Sampit....34
The marriages between Javanese and another tribe have been changed. Thechange is discarding the Javanese philosophy. They no longer use the birth day ormonth to a consideration factor in marriage. The marriage in Mr. Wahyu families
happens naturally. Even though they are from different ethnic, they are blessed byboth families and finally married in a wedlock. The attraction based on the same
belief and education. As in Islam, what Mr. Normansyah’s son does is relevant withwhat hadis recommends, by marrying an interesting woman. His son marries his
girlfriend because of her sex appeal and intensive interaction during their study incollege.
The marriage story between Mr. Wahyu and Mrs. Sri is a bit different, Mr.
Wahyu did conversion in religious faith in 1987. Wahyu is from Java and his wife isfrom Kuala Kapuas. Both of them met in the workplace, and then married because oflove with steady family foundation. Both of them have a stable job therefor makes thefamily ale to produce internal and external quality in life. Internally, the family
possesses nice shaped home with green fresh lawn of varied fruits like rambutan,
mangos. A nest of honey bee exist near the house.
Externally, this family has stale economy condition. The have rubber tree
farm, cattle, and renting car so they can pay for their sons’ tuition in university. Hereis an excerpt of an interview:.... I was just helping in transmigration office here, I have been working since1980 and knowing 17 villages so far. In 1980 I was offered to become
government employee, but I declined. Yet in 1981 I was offered once again towork in Kalimantan, in transmigration section. The honorary job need at least 5months to become a full time employee, and the salary at that time was bout Rp
27.000 per month... 35
Wahyu was not motivate to become government employee in Transmigration
office, because the salary was not high enough. Yet, the honorarium salary as a staff in

34 Interview with Normansyah, 11 Agustus 2013.
35 Interview with Wahyu, the husband of Sri , 11 Agustus 2013.

21

UPT was way bigger. The honorary status at his workplace is near with his homewhile being a government employee means he is willing to move to any places.
Mrs. Sri, Mr. Wahyu are Banjarish who live di Trans Dalam. They like being
together and form a community around pasar Rebo. The house and the farm were
sold, and they decided to buy a house near the market. Therefore, small residence inpasar Rebo, RT 1, is formed as stated here:....the Banjarish are quite a lot here around the market, pasar Rebo. In anotherplace are rare. We are mostly traders and as transmigrants as well. Our houses
and farms were sold. Even though we have some lands, it is usually rubber tree
and palm oil tree with paying Javanese people to manage them.36
The background of the lands influence the lifestyles of its people. Banjarese
locals insist to follow childhood experience they have been through. Normansyah
from Ajir Pasar, come along to join transmigration program with his fellow
merchants.
Norman and his friends sold their houses near the farms and then built theirhouses near Pasar Rebo. They have experience in trading so they starting their own
business, and as the results it is quite good for earning money even though themarket is merely a weekly activity. However he does trading every day.
Another Banjarish people in di Trans Dalam. They are very good in fishing andhave many experience. Their skills are admired by the Dayakish and Javanese, as
stated here:... Banjarish likes trading and some of them also very good in catching fish,
when dry season comes, they will have a lot of money after selling the fish...37
This social religious behavior happens when someone is passed away, they willvisit them and send them to the graveyard together. Non‐Moslem residents are also
coming and help as well as stated in this excerpt:.. Pak Ronta is from Kapuas, he is Dayakish and works in clinic, if a Moslem
passed away, he would visit and send condolences. He stayed in provided house.
We would do the same thing if one of his family passed away. There would be no
conflict and political gap among residents. They respect each other. If somebody
die all community from different background will accompany him to the grave.
All moslem, Christian, daakese, banjarese, are living in harmony which would not
happen in any place like this. There are some Christians belong to this society,
Pak Ponidi from Java, Pak Jenggot residing across the street. They are both verykind to neighbors.38

36 Interview with Norman, 53 years old.
37 Wawancara dan pengamatan.

38 Wawancara dengan Norman di rumahnya, 11 Agustus 2013.

22

12. Conclusion
Trans Dalam residents are highly motivated to preserve the ideas ofmulticultural. The process appear intrinsically, starting from the understanding of
religion theory for doing good deeds in life. The residents apprehend the means ofcooperation that is working together as one, help each other in useful things in life.
They have the spirit and persistence to face the geographical challenges such as
the distance with urban area, the weather, land’s prosperity, the water acidity level.
However they have strong will for fulfilling the need for achievement. It is indicatedfrom the spirit in working together, respects, appreciation towards each other, andvisiting each other in celebrating religion days reflected the solidarity. It grows
steadily to achieve comfortable environment for each other in social external ways,
even though it is different indeed. This is the reason they live in peace and harmony.
They are able to overcome many problems to make themselves strong,
confident, and able to confront greater problems in life. They have good conception ofknowledge, confidence yet do not hesitate to give support, and responsibility so thatthe peaceful life can be created easily.
The proof of the success of modern mobilization is relevant with vertical social
mobility theory. The facts shows that the residents are successful in doing the verticalmobility intrageneration and vertical intergeneration. The implementation ofmulticulturalism ideas happens in harmony. During their celebration of holy days,
they seem to pay less attention on religious differences. This phenomena become
particular channels for socio‐religious and local economic system.
The growth of multicultural ideas is caused by few things, which can be analyzed
sociologically and psychologically. The socio‐religious interconnection is influenced
by external factors. They are motivated by the surroundings to live in peaceful andsafe places that it also support the achievement in working. Intrinsically, Trans Dalam
residents are creative to have a new opportunity to make a living, hardworking, andthrifty in spending money. They consider other residents as families.
Sociologically, the village elders and leaders supports the strong will of theresidents to live in peace. The social system supports is given so that there is nodifferent treatments for those who live there. Any misconduct actions will be judged
fairly. This social system, such as cohesiveness, solidarity, concord, harmony, andsilaturrahim are preserve together as unity. Beside social system and family system
factors, it cannot be denied that the government role with development programs is23

essential to the residence itself, as well the peace and order section monitored by the
Sector Command and Koramil Pandih Batu area.

REFERENCES
Abdullah aly, Pendidikan Islam Multikultural di Pesantren, Pustaka Pelajar: 2011.
Yogyakarta.
Conny Semiawan, The Class Large of a Multi, Edin a Pluralistic Sosiology: theIndonesian Cate. Jurnal Antropologi Indonesia. 2004.
Chaerul Mahfud, Pendidikan Multikultural, `Yogya: ustaka Pelajar, 2013
Kamanto Sunarto, Multi Ed in Schools: Chanllenges in, It Implementation
Mulkhan, Abdul Munir, 2004. Pendidikan Monokultural Vs Multikultural dalam
Politik.
Tilaar, H.A.R 2002. Perubahan Sosial dan Pendidikan: Pedagogik Transformart
untuk Indonesia, (Jakarta: Grasindo).
Syahid, Achmad dan Zainudin Daunlay (eds) Riuh di beranda Satu: Peta
Kerukunan
Sulalah, Pendidikan Multikultural: Didaktika Nilai‐Nilai Universitas Kebangsaan,
Malang: UIN Maliki Press. 2012.
Umat Beragama di Indonesia. 2001. Jakarta: Pusat Litbang Keluhuran Beragama
RI.
Whid, Abdul 2001, Pengulangan Negara, Agama, dan Kebudayaan, (Depok:
Desantara).

24

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Law

LEGAL DEVELOPMENTS OF FIDUCIARY IN INDONESIA :A SPECIAL REFERENCE TO INTANGIBLE MOVING SECURITY
OBJECTS
Achmad Busroa, Yuli Prasetyo Adhia, Dewi Sulistianingsihb, and Indah SusilowaticaFaculty of Law, Diponegoro University (UNDIP). Jl. Prof. Soedarto, S.H. Semarang 50275,

Indonesia.
bFaculty of Law, Universitas Negeri Semarang. Kampus Sekaran Gunungpati

Semarang, 50229, Indonesia
cFaculty of Economics and Business, Diponegoro University (UNDIP).

Jl. Prof. Soedarto, S.H. Semarang 50275, Indonesia.
Corresponding author's email: indah‐susilowati@rocketmail.com

Abstract
Fiduciary is a transfer of ownerships of goods on the trust basis using the transfer mechanismof property rights on the goods belonging to the debtor to the creditor, althouh the goods
remains in the debtor's possession. The legal development of fiduciary in Indonesia
experiences a significant growth, particularly in the objects fiduciary in the security ofmoving intangible objects. The existence of legislation has influenced the development of
fiduciary law in Indonesia (Act No. 28 of 2014 on Copyrights). The copyrights Act governs
the fiduciary security object as an intangible object secured using fiduciary.
This study aims to formulate the development of intangible moving security objects as
fiduciary security objects in Indonesia. This paper is intend to analyze the occurrence of
fiduciary using intangible moving security objects. The research question raised is how is theexecution of intangible collateral objects in fiduciary. Furthermore, this research proposes a
strategy for executions towards fiduciary security objects in the form of intangible moving
objects.

Keywords
Keywords: Fiduciary; Security-Objects; Intangible; Moving-Objects; Indonesia

Introduction
Insurance agencies in Indonesia are the ones that bring debtors and creditors
together for the purpose of granting or obtaining loans or account payables. The
existence of the agency is definitely necessary for the development of trade andinvestment in Indonesia. The investment and trade require funds and they can beobtained through bank credits. Banks, in order to grant a credit, require the debtors toprovide collaterals to guarantee repayment of the debt. It serves as a precaution against
the possibities of risks in repayment of the credit/ loan. A collateral is something given
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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

to the creditor(s) to induce trust that the debtor will fulfill his obligations and can bevalued in money.
One of the security institutions in Indonesia is a fiduciary institution. The word
fiduciary, which originally comes from a word "fides", means trust1. Therefore, underthese circumstances, the legal relationship between the debtor(s) (the provider offiduciary) and the creditor (the beneficiary of a fiduciary) is a relationship which isbased on trust. The principle underlying the relationship of both parties is the principleof trust. The fiduciary provider believes that the beneficiary will restore the property
rights over the goods which have been delivered, after having paid his debt. Similarly,
the beneficiary of a fiduciary believes that the provider will not abuse the collateral thatis in his possession.
A fiduciary is an ownership transfer of goods on the basis of trust using a delivery
mechanism of property rights on goods belonging to the debtor to the creditor, while thegoods remain in the debtor's possession. A fiduciary is security rights over movable
goods either tangible or intangible and immovable goods, like a building which cannot
be encumbered with a mortgage, which remain in the control of the fiduciary provider,
as collateral for the repayment of certain debt, which make the beneficiary more
preferable than other creditors.
Fiduciary objects are regulated in Article 1 paragraph 2 and 4, Article 2 and Article
3 of Fiduciary Act (UUJF). Article 2 says that the Act is applicable to any treaty whichaims to encumber a good with fiduciary and subsequently confirmed by Article 3 whichstates that the Act is not applicable to: 1) a mortgage related to land and buildings, solong as the laws and regulations applied deciding on such objects shall be registered; 2)
mortgages on vessels registered with a gross tonnage of the size of 20 (twenty) m3 or
more; 3) mortgages on the aircraft and 4) pawning. Fiduciary objects mentioned in thearticle 1 paragraph 2 are moving objects, either tangible or intangible, and immovable
ones particularly a building which can not be encumbered with a mortgage. In addition,
the article 1 number 4 defines the objects as everything that can be owned andtransferred, either tangible or intangible, registered or unregistered, movable or
immovable which can not be encumbered with a mortgage. In the nutshell, a fiduciaryobject is an object that its ownership can be owned and transferred, whether it istangible or intangible, registered or unregistered, movable or immovable which can not
be encumbered with mortgages.
The decree of the Ministry of Justice and Human Rights, Directorate General of
Administrative Law to the Regional Office of the Ministry of Justice and Human Rights
Jakarta No. C. HT. 06‐10‐01 dated on February 24, 2010 states that: (1) the rights of thefiduciary object is material in nature; (2) project terms, rent, contract or leasing, as wellas other individual rights cannot be defined as the objects being used as the object offiduciary; (3) an insurance policy can not be used as an object of fiduciary insurance for
it is inherent to an individual who owns it and it can not be transferred.
Fiduciary objects especially on the intangibles experience a significant growth. Act
No. 28 in 2014 on Copyrights has set the development of intangible objects which can be
insured using the fiduciary. Copyrights act also governs copyrights as objects offiduciary. An artist can use his work as a fiduciary to obtain loans from banks. It is stated1

Gunawan Widjaya and Ahmad Yani, Jaminan Fidusia, Raja Grafindo Persada, Jakarta, 2005, p.115.

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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

in Article 16 clause (3) which reads, "copyright can be used as objects of fiduciary," This
article does not necessarily make banks easily give loans. The settings in Article 16
paragraph (3) does require a further elaboration. It is associated with a guarantee forthe bank to get a payment certainty of the loan from the artist. The payment certainty
from a loan guaranteed using the copyright is due to whether the songs are salable ornot. In general, banks are willing to give a loan to the recipient as long as he can provide
something from his possession to ensure the continuity of the debt payment.
The use of copyrighted work as a fiduciary in Indonesia is just recently possible
since the enactment of Act No. 28 in 2014. Therefore, its provision order is still frombeing complete. The problem which occurs in Indonesia is that the provision on the useof copyright as collateral in bank lending system is not fully available, as well as theunavailability of assessment institution having the ability to assess the economic valueof the copyright. In some countries like the United States, an insurance of intangible
goods such as copyright is already set. Software developers can get help from a financial
institution. The settings in article 16 (3) related to and even dependent on other acts, asmentioned in the article 16 paragraph (4) that the "The provisions on copyright as an
object of fiduciary referred to in paragraph (3) shall be implemented in accordance withthe legal provisions". The closest legal provision is Act No. 42 in 1999 on Fiduciary.
A copyright can be encumbered as a collateral in the form of fiduciary as set forthin UUJF, not on the objects encumbered by the copyright itself, but more on theeconomic value inherent in the copyright2. For the next development, we need toobserve further by conducting research to find out the development of the intangible
insurance object that can be pledged fiducially. Fiduciary objects which develop due tothe new provisions in the Act will result in other provisions of the fiduciary that are
related to the manufacturing process of the fiduciary insured using intangible objects. It
is possible that, just like a copyright that becomes an object of fiduciary, other rights in
intellectual property such as trademarks, patents, industrial design rights, etc to be usedas fiduciary objects. It is interesting to examine the extent to which intangible objects
can be encumbered fiducially, such as securities‐stocks, bonds, drafts, money orderdeposits, etc. This research is important considering that previously the object used ascollaterals in a fiduciary was a moving object but in its development disembodied
movable objects or immovable property which can not be encumbered with mortgage
can also be used.
A Share as a Fiduciary Object
Property right is an absolute power given to an entity by the law to directly control
an object regardless the whereabouts of the object itself3. Gunawan Widjaja defines anobject as anything or any right that can be governed by the property right, or in otherwords anything or any right that can be owned4. In addition, Sri Soedewi Masjchoen,
defines an object as: "... similarly, an object is firstly any tangible good that can beperceived by the senses, but intangible items can be included as an object as well. In
short, juridically, an object is defined as anything that can become a property object of
2

3

4

See, Sudjana, Hak Cipta Sebagai Jaminan Kebendaan Bergerak Dikaitkan Dengan Pengembangan Obyek Fidusia, Jurnal
Mimbar Hukum, Volume 24, Nomor 3, Oktober 2012, p. 416.
CST.Kansil and Christine S.T Kansil, Modul Hukum Perdata; Termasuk asas‐asas Hukum perdata, Pradnya Paramita,
Jakarta, 2004, p. 161.
Gunawan Widjaja, Seri Hukum Bisnis : Memahami Prinsip Keterbukaan dalam Hukum Perdata, PT. Rajagrafindo
persada, Jakarta, 2006, p. 16.

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

article 499 of the Civil Code"5. In the Civil Code, the word "zaak" is not only applied totangible goods, like article 580 of the Civil Code determines that some of the rights
mentioned in the article as "immovable objects". Article 511 of the Civil Code alsomentions some rights, interest money, payables and billing as moving objects6. So, in thelegal system of the Civil Code the word "zaak" bears two meanings. First, it denotes
tangible goods. Secondly, it denotes a part of assets. In the latter definition (i.e. as a partof assets) what can be included as “zaak” are any goods other than the tangible ones,
some specific rights which are included as tangible goods, as well as some specific rights
as intangible goods. According to the western civil law system as stipulated in the Civil
Code, objects can be distinguished in tangible goods (lichamelijk) and intangible goods(onlichamelijk), movable goods and real estate, goods that can be used up(verbruikbaar) and goods that cannot be used up (onverbruikbaar), readily available
goods (tegenwoordige zaken) and goods that will still be available in the future(toekomstige).
The immovable goods can be classified into: (1) characteristic‐based immovable
goods; land and everything on its surface, for example trees, small plants. (2) purpose‐
based immovable goods, for example machines used in a manufactory. (3) legal‐based
immovable goods. This can be in the forms of rights on the immovable goods, like theusufruct of the goods, mortgage, and so on. The movable goods can be classified into:7(1) characteristic‐based movable goods, article 509 of civil code defines it as any
transportable goods, like tables, or goods which can move by themselves like livestock.
(2) movable goods based on law provision in article 511 of civil code are rights ofusufruct of the goods, utilizing right, shares of the NV and so on.
It can be concluded that a share is included as a movable good as governed by thestatutory provision namely article 511 of civil code. From the above classification, ashare can be categorized as a movable good. Aside from the code, act number 40 in 2007
about Limited Liability Company, categorizes a share as a movable good and gives theholder rights over it. This classification results to limiting security institution to accept
only movable goods as the collateral. When a share is used as a collateral, there will be aproperty insurance because the share is used as a collateral pledge and a fiduciary.
Article 60 paragraph (1) states “A share is a movable good and grants the holder
rights as mentioned in article 52”. There are holder’s rights inherent in a share as set
forth in the article 52 of Act number 40 in 2007 as follows: (a) attending and voting inshareholder meetings; (b) receiving dividend payments and remaining asset liquidation
proceeds; (c) executing other rights under the Acts.
Those rights are applicable after the shares are recorded in the register ofshareholders on behalf of the owner. Provisions in letters a and c do not apply to aparticular class of shares as defined in the Acts of Limited Liability. Each share grants its
owner an undividable right. In the case of 1 (one) share held by more than 1 (one)person, the rights arising from these shares are used by pointing 1 (one) as the joint
representative.

5
6
7

Sri Soedewi Masjchoen Sofwan II, Hukum Perdata; Hukum Benda, Liberty, Yogyakarta, 1981, p. 13.
Ibid, p. 14.
Ibid, p.21.

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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Article 60 paragraph (2), mentions that "Shares may be collateralized by liens or
fiduciary to the extent not otherwise provided in the articles of association". These
provisions provide two options for security institutions, namely: (1) liens; (2) fiduciary.
Under Act number 42 in 1999 on fiduciary, the assignment of the movable objects
is recently not only by liens but also by a fiduciary. For immovable in the form of land
right with security rights as stipulated in Act number 4 in 1996, can also be with afiduciary for immovable objects which can not be encumbered with a mortgage.
The provision of 1150 of the Civil Code states that there are two parties involvedin the mortgage agreement which are that the pledgor (debtor) and the recipient (theholder) of the pledge (the creditor). In article 1150 of the Civil Code, it is also known thatthe mortgage agreement is an accessory agreement, which serves as an additional
agreement to the primary agreement, that is a loan agreement. The purpose of thisagreement is to prevent the borrower from being negligent to repay the loan money orinterest.8
If a share is not at the mercy of the insured, then it will be secured in a fiduciary
institution. In Article 1 paragraph 1 of Fiduciary Acts, a fiduciary is defined as thetransfer of ownership of a good on the basis of trust with the provision that the goodwhose ownership right is transferred remains in the control of the owner. Article 1
paragraph 2 mentions that a fiduciary is an insurance right over movable goods bothtangible and intangible and immovable goods particularly a building can not beencumbered with a mortgage as stipulated in Act No. 4 in 1996 on Mortgage which
remains in the Fiduciary provider’s possession, as a collateral for the repayment of acertain debt, which gives priority position to the Fiduciary Beneficiary against othercreditors.
The provisions of Article 60 paragraph (2) of Act No. 40 in 2007 states "Shares
may be collateralized by liens or a fiduciary to the extent not otherwise provided in thearticles of association". The provision explains that beside a share may be encumberedwith liens or a fiduciary, it also explains that this imposition of liens and fiduciary may
not be able to be implemented, if there are provisions the articles of association of acompany prohibiting the shares in the company to be encumbered with liens or
fiduciary.
The next provision, in Article 60 paragraph (3) states that the share mortgage or
fiduciary that have been registered in accordance with the provisions of the legislation
shall be recorded in the register of shareholders and special register as referred to in
Article 50. Article 50 explains that the Board of Directors the Company shall hold andmaintain a register of shareholders, which includes at least: (1) the name and address ofshareholders; (2) the amount, number, date of share acquisition owned by the holder,
and its classification in terms of issued more than one class of shares; (3) the amount
paid on each share; (4) the name and address of the person or legal entity who has a lienon the shares or the recipient of the shares and fiduciary lien acquisition date or the dateof registration of the fiduciary; (5) a description of depositing shares in other forms as
referred to in the Article 34 paragraph (2). The record aims to provide legal certainty forboth the fiduciary holders and the shareholders. The other shareholders, and all parties

8

Djaja S Meliala, Hukum Perdata Dalam Perspektif BW, Nuansa Aulia, Bandung, 2012, p. 127.

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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

involved in the company know that the shares in the name of the holder are being
encumbered with the fiduciary.
Article 60 paragraph (4) states that the voting rights on the shares encumberedwith liens or fiduciary remain on the shareholders. This reaffirms the principle of law
that does not allow the transfer of rights regardless of the ownership of shares. whereas
other rights outside the voting rights such as the right to the dividend may be contracted
in accordance with the agreement between the holder of the mortgage.
A Copyright as the Object of Fiduciary
The development of insurance law in Indonesia, especially on moving intangible
objects, is applicable to copyrights. A copyright can be used as loan collateral because it
has an economic value and can be transferred in whole or in part due to inheritance,
grants, wills, a written agreement or any other cause justified by the legislation. The
suitable type of insurance to copyright is a fiduciary for the transfer of objects as theobject of fiduciary is done on the basis of trust in which the objects remain in thepossession of the debtor. A copyright also meets the requirements defined in Article 1(2) Acts on Fiduciary Insurance.
Initially, the Copyright Act did not regulate copyrights as a collateral object. Due tothe issuance of the latest legislation on copyright i.e. Act No. 28 in 2014 on Copyrights in
Article 16, paragraph 3 expressly states that a copyright can become an object offiduciary. In the Act, it is also mentioned that in practice a copyright can be an object offiduciary by following the procedures set up by the Law Fiduciary. In this case copyright
has an economic value, but because it is an intangible good, it is difficult to determine its
economic value, unlike chattels, for example cars, land or jewelry.
A copyright can be used as one of fiduciary objects since it has an exclusive rightowned by its holder/ creator which is called economic rights. If a piece of work has an
economic right, it has an economic value. The economic value obtained by the author or
copyright holder can be in the form of the economic use of his creation. The instances of
economic use are obtaining a reward for the use of his creation or earning royalties inthe event of a contract/ license agreement. Therefore, parties entitled to ensure a
copyright is the creator or copyright holder.
The regulations in the Article 16 paragraph (3) are related to and even dependent
on other acts, as stated in Article 16 paragraph (4) that the "Provisions on copyright as an
object of fiduciary referred to in paragraph (3) shall be implemented in accordance withthe legislation provisions." The closest legislation provision is Act No. 42 in 1999 on
Fiduciary.
Article 1 point 2 of Fiduciary Acts says: "A fiduciary is security rights overmovable goods either tangible or intangible and immovable particular building cannot
be encumbered with mortgage rights as stipulated in Act No. 4 in 1996 on the Mortgage
right that remains in the possession of the Fiduciary provider, as a collateral for the
repayment of certain debt, which gives priority position to the Fiduciary Beneficiary
against other creditors." A copyright has already met the requirements defined in the
Article 1 point 2.
Article 1 point 2 of Fiduciary Acts says: "A fiduciary is security rights overmovable goods either tangible or intangible and immovable particular building cannot
be encumbered with mortgage rights as stipulated in Act No. 4 in 1996 on the Mortgage
30

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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

right that remains in the possession of the Fiduciary provider, as a collateral for the
repayment of certain debt, which gives priority position to the Fiduciary Beneficiary
against other creditors." A copyright has already met the requirements defined in the
Article 1 point 2.
A copyright as a fiduciary object in Indonesia is relatively new after the enactmentof Act No. 28 in 2014. Therefore, the order of its setting is still incomplete. Problems
faced in Indonesia are the absence of provisions regarding the use of copyright as acollateral in bank lending system and the unavailability of the assessment institutions
that have the ability to provide an assessment of the economic value of the copyright.
Banks in Indonesia have not recognized a copyright as a collateral for loans due toseveral obstacles in its implementation. The obstacles are related to problems of thevalues, market, ownership and copyright filing authority as an insurance object. Theseobstacles rise because there are no regulations specifically stipulating a copyright to bea insurance object. These circumstances pose a considerable risk for the banks when
receiving a copyright as an insurance object.
Banks in Indonesia have not recognized intellectual property, especially acopyright as a loan collateral using fiduciary method because there are several obstacles
in its implementation. The obstacles are related to problems of the values, market,
ownership and copyright filing authority as an insurance object. These obstacles risedue to primary problems regarding the absence of regulations specifically stipulating a
intellectual property right especially a copyright to be a insurance object. These
circumstances pose a considerable risk for the banks when receiving a copyright as aninsurance object.
A copyright as an intangible movable has an economic value and is transferable,
by a sale and purchase agreement. A copyright can be used as a fiduciary due to its
inherent economic value, as stipulated in Article 16 paragraph (3) of Copyrights Acts
that a copyright can be used as an object of fiduciary. The problem is that a copyright asa fiduciary certainly cannot be confiscated because its holder is adhered to it. Thisimplies that law actually has protected a person's ownership as a copyright holder.
However, in the terms of the contract itself, the debtor shall submit an object of fiduciarywithin the framework of the execution of the fiduciary because, in general, creditors arewilling to give a loan to the debtor provided that he can provide wealth to ensure thecontinuity of his debt. A collateral is important not to be owned by the creditors, but if
later the debtor breaches the contract and cause a bad debt, the insurance goods can be
auctioned and the proceeds will be used as the debt repayment.
The recent development in the insurance law particularly on moving intangible
objects like copyright is its recognition as a fiduciary object. This leads to a great
opportunity to fiduciary development. However, the provisions on copyright as afiduciary object are not perfect and thus it is necessary to set up implementation
regulations governing the use of a copyright as a fiduciary object in Indonesia. This
regulation will be enforced as a strong legal basis for the use of a copyright as acollateral.
Conclusions
Act No. 40 in 2007 on Limited Liability stipulates that shares, which are thecapitals of a company, may be encumbered by a mortgage and a fiduciary. Stocks are
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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

moving objects, as stipulated in Article 60 of Limited Liability Act and in accordancewith with the Article No. 511 of the Civil Code. According to Act No. 42 in 1999 on
Fiduciary, a stock is a moving object which can also be burdened with a fiduciary.
The Copyright Act No. 28 in 2014 on Copyrights already well contains provisions
about the use of copyright as an object of fiduciary. However, more specific regulations
are needed as the implementing regulations of the regulations on how copyright can beused as a fiduciary. These regulations are needed to clarify the implementation of
copyright as a fiduciary object, mainly to assess the appraisal of the copyright, in orderto have a clear legal certainty. Besides, bank or non‐bank financial institutions need to
be given information on the law in order to provide credit loans with a copyright as thecollateral. Therefore, the Act No. 28 in 2014 on Copyright can be workable and useful forthe society.

REFERENCES
Kansil, CST and Christine S.T Kansil. (2014). Modul Hukum Perdata; Termasuk asas‐asas
Hukum perdata. Pradnya Paramita. Jakarta, Indonesia.
Meliala, Djaja S. (2012). Hukum Perdata Dalam Perspektif BW. Nuansa Aulia. Bandung,Indonesia.
M. Ponto, Chintia. (2015). Aspek Hukum Eksekusi Jaminan Fidusia Serta Implikasinya
Dalam Praktik Perbankan, Lex Privatum, Vol. III/No. 3/Jul‐Sep/2015, p. 17.
Sofwan, Sri Soedewi Masjchoen. (1981). Hukum Perdata; Hukum Benda. Liberty.
Yogyakarta, Indonesia.
Sudjana, Hak Cipta Sebagai Jaminan Kebendaan Bergerak Dikaitkan Dengan
Pengembangan Obyek Fidusia, Jurnal Mimbar Hukum, Volume 24, No. 3, Oktober
2012, p. 416. Yogjakarta, Indonesia.
Widjaya, Gunawan and Ahmad Yani. (2005). Jaminan Fidusia. Raja Grafindo Persada.
Jakarta, Indonesia.
Widjaja, Gunawan. (2006). Seri Hukum Bisnis : Memahami Prinsip Keterbukaan dalam
Hukum Perdata. PT. Rajagrafindo Persada. Jakarta, Indonesia.

32

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic: Socioeconomics Relations

The Effect of Communication Skills on Job Opportunities forJapanese University Students
Yosuke Yoshioka *Chiba University, 1‐33 Yayoi‐cho, Inage, Chiba, 263‐8522 Japan

Abstract
Regarding job opportunities for Japanese university students, the educational
credentials hypothesis has been supported, which emphasizes that the students from thehigher‐ranked or more famous universities are more likely to become employees of larger
companies. Previous studies in Japan have supported the hypothesis; whether students
are hired by larger companies is significantly affected by the rank of their universities,
regardless of other control variables such as their family backgrounds and their specificuniversity experience. However, the students’ communication skills have been regarded
as an important factor in their job hunting (syuu‐katsu) in Japan and they have been notincluded in these empirical explanatory models.
We conducted an online ‐ based panel survey at the following two points: when
students were in universities in the spring of 2015 and when they started working after
graduation the following spring. Consequently, we received information from 156
respondents such as the universities they belonged to, their communication skills as
measured by their assertiveness scores from their fourth year, outcomes of their seeking
employment, and more.
The results obtained using multivariable analysis show that regardless of thestudents’ assertiveness scores and the other control variables, university type affects theoutcomes; students from public or high ranked private universities are more likely to be
hired by larger firms or public sectors than those from other universities. We conclude
that the educational credentials hypothesis is still supported in Japan after controlling forthe student’s communication skills.

Keywords

Job opportunities; communication skills; online‐based panel survey;
Japanese university students

1. Introduction
1.1.

Research Question

Regarding job opportunities for Japanese university students, the educational
credentials hypothesis has been supported. This hypothesis emphasizes that the students* Tel.:+81‐43‐290‐2290

E‐mail address: yoshioka@chiba‐u.jp

33

from the higher‐ranked or more famous universities are more likely to become employeesof larger companies that many students wish to enter. This hypothesis has been mainly
explained by signaling theory (Spence 1974), which indicates that, employers receive asignal about a students’ potential ability through his or her educational credentials.
Many previous Japanese studies have shown that the educational credentials
hypothesis and signaling theory are persuasive. For example, Hirasawa (2010), in his
empirical explanatory model, found that outcomes of job hunting, especially whether
students become employees of large companies, are significantly affected by their
university types, which are classified by ranks. These two variables are interconnected in
Hirasawa’s model, regardless of other variables such as the students’ family backgrounds,
university lives, such as club activities or records, and methods of job hunting, such asutilizing institutional networks through alumni or recruiters.
However, the students’ communication skills are not included in Hirasawa’s model.
In the traditional Japanese employment system, characterized by lower turnover rates orseniority‐based wages, employers ask students not “What can you do?” but “Who are you?”
They see the students’ personalities as one of the most important factors in job hunting(syuu‐katsu). Many Japanese employers evaluate the students’ communication skills
through oral examinations and group discussion. These skills might act as mediators
between the two variables of university type and outcome of job hunting. Therefor myresearch question is as follows: do university types affect job‐hunt outcomes regardlessof students’ communication skills?
1.2.

What are communication skills?

When we answer this research question, one of most difficult issues to be consideredis identifying the communication skills that are demanded by employers in large
companies? First, we focused on two previous studies, Iwawaki (2004) analyzed
recruitment articles from job‐placement magazines, and the Japan Institute of Labor(2000) analyzed a company survey. Both previous studies show that company recruiters
in large‐sized firms demanded students who acted autonomously and recruiters in middle
or small sized firms demanded the ability to work cooperatively. Then, we focused on
research in personality psychology. Fujimoto and Daibo (2007) found three categories ofadvanced communication skills of Japanese university students: assertiveness, otheracceptance and regulation of interpersonal relationships. By taking account the report of
Iwawaki and the Japan Institute of Labor, we hypothesized that employers in large
companies demand communication skills, especially assertiveness, from Japanese
university students.

2. Methods
2.1.

Online‐based panel survey

It is difficult for new workers to response past assertiveness scale, which is key
concept in this research, remembering by cross‐sectional survey. In order to ascertain
both the students’ communication skills and the final outcomes of their job hunts, we
conducted a panel survey at the following two points: when students were in universities
in the spring of 2015 and when they started working after graduation the following spring.
It was very difficult to choose students from various universities by random sampling. We
conduct an online‐based panel survey. This means that we chose a sample from accesspanels owned by an online research agency. In early June 2015, we created a survey forsenior university students who planned on graduating from 4‐year colleges in March of
the next year. Figure 1 shows our empirical model based upon the result of the online‐
based panel survey.
34

Wave 1
2015

Wave 2
2016

AssertivenessCommunication skill

University type

Firm size

Credential

OutcomeFigure 1. Empirical model based upon the results of an online‐based panel survey

We restricted the cases to students wished to work and who had not yet decided
upon their careers, and we excluded students who wished to go on to post graduate school.
Consequently, the Wave 1 respondents comprised 500 students, an equally number ofwhich were male and female. From the end of April to early May 2016, we followed up
them. Consequently, we get information on 212 respondents in Wave 2. The ratio of
follow‐up was about 42%; 67 cases withdrew from the access panels, and we have been
unable to contact them. If we regard the number of persons who were contacted as thedenominator, the ratio of follow‐up becomes about 49%. We removed some cases inwhich the answers about some unchanging variables were contradictory between the
waves, wherein the students did not transfer from education to work, and wherein thestudents became either employers or self‐employed in Wave 2. Consequently, in ourempirical model, we were restricted to 152 employees who were holding their first jobs
in 2016.
2.2.

Variables

The main variables were university type, firm size, and the students’ assertiveness.
We simply divided university types into 3 categories. Group A is national and public
universities. Group B is high‐ranking private universities categorized on the basis ofdegree of difficulty of their entrance examinations. Group C is low‐ranking private
universities. On average, Groups A and B comprise higher‐ranking, more famous
universities than dose Group C.
Regarding assertiveness, we used a scale derived from a previous study (Fujimotoand Daibo 2007). The scale consists of the total scores of 4 items and has high reliability(α = .862; see Appendix for more information on these items). In our analysis, we divided
the scale into 3 categories: high, middle, and low assertiveness. The each categories had
almost the same frequencies.
We divided the firms where the graduates were employed by size into the following
2 categories, as was done in previous study (Hirasawa 2010); the first category comprised
firms with more than 1,000 employees or that were in the public sector, and the second
category included firms with fewer than 1,000 employees.
Then, we included some control variables in our model in reference to the previous
research. We included gender (male / female) and major (natural science / social scienceand humanities). For the students’ family backgrounds, we used the information about
the number of household goods they had when they were 15 years old. For the students’university lives, we used information about how passionately they attended club activities
and their academic performance in university classes. For methods of job hunting, wecollected information in Wave 2 about whether they accessed their OB / OG and job
recruiters.

35

3. Results
First, we will describe the associations found between the main three variables:
university type, students’ assertiveness, and firm size. These variables are interconnected
as follows.
 Significant correlation between university type and students’ assertiveness: The
students from Groups A and B tended to have higher scores for assertiveness thanthose from Group C (see Figure 2).
 Significant correlation between university type and firm size: The students fromGroups A and B were more likely to have become employees at large firms or in the
public sector than those from Group C (see Figure 2).
 Significant correlation between students’ assertiveness and firm size: The higher thelevel of assertiveness a student had, the more likely he or she was to have become an
employee at large firm or in the public sector (see Figure 3).

Group A (n = 37)

43.2%

Group A (n = 37)

48.6%

Group B (n= 38)

44.7%

Group B (n= 38)

52.6%

0%
Low LV

50%
Middle LV

18.5%

Group C (n = 81)

24.7%

Group C (n = 81)

0%

100%

50%

Not Large Firm

High LV

100%

Large Firm & Public Sector

Figure 2. University type and Assertiveness (Wave1); University type and Firm size (Wave2)

High LV (n = 53)

49.1%

Middle LV (n= 52)

32.7%

Low LV (n = 51)

19.6%
0%

Not Large Firm

50%

100%

Large Firm & Public Sector

Figure 3. Assertiveness (Wave1) and Firm size (Wave2)

The results obtained using multivariable analysis and a binary logit model showthat regardless of the students’ assertiveness and other control variables, university typeaffects employment‐seeking outcomes; students from public or high‐ ranking private
universities are more likely to be hired by larger firms or the public sectors than thosefrom low‐ ranking private universities.

4. Conclusion
In our analysis, we conclude that the educational credentials hypothesis is still
supported in Japan after controlling for the students’ communication skills. This
credential implies that direct proof of vocational skill (“What can you do?”) is not asimportant as proof of past entrance examination efforts (“Who are you?”) because,36

unlike other countries, many students in Japan start to search for and secure jobs long
before they graduate. This information is important to comprehending the Japanese
recruitment system and job opportunities.

Acknowledgements
This work was supported by JSPS KAKENHI Grant Numbers JP15K17198, JP
15H03405 and JP16H03691.

Appendix
4 items for assertiveness (Fujimoto and Daibo 2007) as follows. Respondents
choose from 7 choices: I ‘m very bad (1) ~ I ‘m very good (7).
 I take the initiative in discussions.
 Without taking into account others, I define my ideas and opinions.
 In order to convince opponents, I cope with them flexibly in discussions.
 I argue logically and coherently.

References
Fujimoto, M and I Daibo. (2007). ENDCORE: A Hierarchical Structure Theory of Communication
Skills. Int. The Japanese Journal of Personality, Vol.15, No.3, pp.347‐61. Japan Society of
Personality Psychology, JP.
Hirasawa, K. (2010). Test of some hypothesis about Japanese university students’ job opportunity.
In T. Kariya and Y. Honda (Eds.). The Sociology of Transition from University to Work:
Empirical Studies of the Changing Mechanisms in Contemporary Japan, p. 61‐85. Tokyo
University Press, Tokyo, JP.
Iwawaki, C. (2004). A study of the Desirable Characteristics for New University Graduates:
Comparative Analysis of the Published Statements of Recruiters from Large JapaneseCompanies 1991‐2001. Int. The Journal of Educational Sociology, Vol.74: pp.309‐27. The
Japan Society Educational Sociology, JP.
The Japan Institute of Labor (2000). Human Resource Management for University Students in
Reform Term (JIL Report No. 128). The Japan Institute of Labor, JP.
Spence, M. (1974). Market Signaling: Informational Transfer in Hiring and Related Screening
Processes, Harvard University Press, Cambridge, US.

37

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Law

WHERE DOES THE REAL INTEREST OF SHARED FISH STOCKS IN
INDIAN OCEAN STAND FOR
Rachma Indriyani, Moch. Najib Imanullah*
Faculty of Law, University of Sebelas Maret, Jl. Ir. Sutami 36A, Surakarta 57126, Indonesia

Abstract
The Indian Ocean is rapidly emerging as one of Prima Donna fisheries where resources exist
that represent most important assets. In its development, along with the growing demands oftechnology and economy and food needs of each country, the exploration and exploitation offisheries on the high seas has been increasing. The 1982 UNCLOS governs that coastal statesshould cooperate in the organization of sub regional and regional levels in exploringtranszonal types of fish species. Common interests between countries in the high seas
fisheries management is encouraging the formation of regional fisheries organization which is
better known as RFMO. Through provision of the United Nations Fish Stocks Agreement(UNFSA), RFMOs are identified as key institutions bringing together countries that have acommon interest in managing a particular fish stock or the fish resources of a particularregion and who adopt common binding management rules that apply to all members.
However this article argues on how RFMOs in Indian Ocean can guarantee access to fisheries
that conform to the real interest criteria of shared fish stocks.

Keywords
RFMO, Indian Ocean, shared fish stocks, the real interest

1. Introduction
The biggest challenge for international regimes addressing common resources is thatstates need to establish credible principles of cooperation and mutual benefit in order toeffectively tackle declining resources. The international legal regime applicable to the highseas addresses the scarcity issue in two ways: it establishes some principles of equitable use
and appropriation, and it sets up institutions to manage and distribute the resources.
Intergovernmental organizations such as RFMOs set up the structure for constructive
discussion and implementation of conservation measures for stock management. They
provide a mechanism for nations to agree on conservation measures, but do not provide aconsequential legal system for enforcement or monitoring. RFMOs, however, are notoriously
weak on incentivizing compliance and sanctioning non‐compliance. That kind of matter,* Corresponding author. Tel.: (+62) 82226604018

E‐mail address: rachma.indriey@gmail.com

38somehow, are factors of what motivates States to ignore regulation and act in a mannerinconsistent with international law that there is more to be gained from fishing outside
international regulations than within them. As a result, the opaque commitments containedin fisheries agreements have not typically resulted in better conservation of shared resources.
Regional Fisheries Management Organizations (RFMOs) have been established, in themain, to facilitate co‐operation between countries with a common interest in the
management of fish stocks. Article 8(3) of the UN Fish Stocks Agreement, RFMOs are required
to admit “States having a real interest” in a particular fishery. Further, Article 10 (b) the UN
Fish Stocks Agreement requires States to “agree, as appropriate, on participatory rights suchas allocations of allowable catch or levels of fishing effort”. Although the term ‘real interest’ is
not further defined, it could be taken generally to mean any States that are interested inentering the fishery, namely new entrants. Mostly, RFMOs have been opened for its
membership in categories : member and cooperating non‐member. Different categories ofmembership imply different responsibilities. What more important is, as long as RFMOs
remain unclear to detemine how real interest should be interpreted and accommodated, it
will produces difficulties in any stable allocation agreement, because an ever‐increasing
number of states may seek access to scarce resources.
A major critical issue concerning article 8 is the notion of “real interest” as it is usedin paragraph 3 which reads as follows :“States having a real interest in the fisheries concerned may become members of suchorganization or participants in such arrangement. The terms of participation in suchorganization or arrangement shall not preclude such States from membership or participation;
nor shall they be applied in a manner which discriminates against any State or group of States
having a real interest in the fisheries concerned.”
Article 8 paragraph 3 of the FSA as stated above establishes certain restrictions,
namely, only states with a ‘real interest’ in the fisheries governed by the RFMO may become amember of that organization and have access. This requirement goes much further, regional
fisheries may simply not be open to certain states, regardless of whether they agree to playby the rules or not.
The real interest matter is obviously related to Pacta Tertiis principle that thisprovision can only apply to States which have become Parties to the 1995 Fish StockAgreement. The privileged position given to those States in paragraph 4 as follows :“Only those States which are members of such an organization or participants in such anarrangement, or which agree to apply the conservation and management measuresestablished by such organization or arrangement, shall have access to the fishery resources towhich those measures apply.” will very probably lead to arguments based on the principle ofPacta Tertiis that this provision can only apply to those States which have become Parties tothe 1995 Agreement.
Furthermore, it can be concluded that the introduction of the concept of ‘realinterest in the fisheries concerned’ clarified the scope of the right and obligation ofcooperation. The concept could be interpreted in two ways. First, the concept can beinterpreted to mean that states are entitled to participate in RFMO on the ground that they
have a real interest. Second, such states may become members of or participants in RFMO
with the competence to establish conservation and management measures. The terms ofparticipation of such RFMO shall not preclude such states from membership or participation,
nor shall they be applied in a manner which discriminates against any state or group of states
having a real interest in the fisheries concerned. First and foremost, high seas fishing states39

are qualified as having a real interest. Next questions arise such as to what extent the state
concerned needs to be engaged in the fishery or research and whether the intention to
engage in the fishery or research or past fishing record qualify the state whatsoever.
That is clearly define in determining which States could be subject to member
countries, RFMOs require its member who wish to join membership should be based on realinterest of fisheries criteria. However, they have no more elaboration on this problem, but inpractical matter, somehow, quota allocation would be determined by catch history record.
Joyner and DeCola write: ‘‘[t]rue, all states may in principle enjoy the same rights to
exploit living resources of the high seas. But, it is believed, only states having distant‐water
fishing fleets will be able to harvest them without having to share benefits with othernations’’. If the coastal state in the region cannot afford to invest in costly high seas fishingfleets, the special recognition of developing states through, say, favourable allocation offishing opportunities will not be meaningful unless the entitlement is transferrable to otherstates. The increased participation in high seas fisheries through support activities might be
one solution particularly where the stock is fully‐exploited and the states should not develop
their fishing capacities.

2. Recent Development in High Seas : From Open Access to Upscale ClubThe development of high seas fisheries policy and management in general can beclassified into three distinct phases. The first phase was the period until the 1970s when mostparts of the world’s oceans were international waters marked by open‐access fisheries, while
the coastal states’ jurisdiction over maritime zones did not encompass but a narrow belt of
three nautical miles along the coast lines. This phase saw a considerable increase of bothfishing effort as well as advances in technology which allowed greater catches. At the sametime states perceived the need for cooperation on the regional level so as to reduce resource
conflicts and to prevent overfishing on the high seas. The first fisheries management bodies
were established. The second phase was that of the “enclosure of the seas” from the mid‐
1970s through the extension of coastal state jurisdiction to 200 nautical miles and the
reduction of the scope of international fisheries management following UNCLOS III. The
development of high seas fisheries management entered into its third phase in the early
1990s with the international community’s growing concern about overfishing and theadoption of groundbreaking political and legal instruments such as the 1992 Rio Declaration,
the 1995 UN Fish Stocks Agreement and the 1995 FAO Code of Conduct for Responsible
Fisheries, which created a whole new framework for the governance of high seas fisheries. To
these three phases can be added a fourth phase which has seen the adoption of various
international instruments into reformed Conventions and RFMO practices. This has also seen
the implementation of the principles in these instruments in practice.
Until recently, open access meant that all nations could navigate freely and exploit
the resources of the high seas. The right of open access, however, is no longer absolute. Twoglobal treaties that form the building blocks of the legal framework applicable to the high seas
temper this principle.
2.1

The 1982 UNCLOS

The 1982 United Nations Convention on the Law of the Sea (UNLCOS) states that allStates have the freedom to sail fishing vessels flying their flag on the high seas. An essential
40

prerequisite to operating a ship on the high seas is thus for the ship to acquire the flag of aState, usually through the act of registration of that ship with the State. Because the high seas
are not subject to the jurisdiction of any State, in order to preserve public order, the right tonavigate on the high seas must be restricted to those vessels, which through their link to a
State, are subject to its jurisdiction and can therefore be held to account for compliance withinternational rules to which the State subscribes. Article 87 (2) of the UNCLOS qualifies theright by linking open access to the interests of other states. The UNCLOS at Article 91 allows
for every State to fix conditions for the grant of its nationality to ships, for the registration of
those ships and for the right to fly its flag with the requirement that there must be a genuine
link between the State and the ship. It doesn’t specify the definition of genuine link should be,leaving room for vessel owners to register their vessels with the States implementing theweakest conservation and management measures
Article 116 and 117 of UNCLOS similarly subjects the right of open access to othertreaty obligations (like obligations under RFMOs), and to the rights, duties, and interests ofcoastal states in relation to fisheries governance. Equally relevance Article 118 is the duty
UNCLOS places on all States to co‐operate in the conservation and management of living
resources of the high seas, including through the establishment of regional and sub regional
fisheries management organizations. Thus, while UNCLOS reaffirms the right of open access,it imposes important restrictions on state use of scarce natural resources, and mostprovisions of UNCLOS are considered to constitute customary international law
2.2

The 1995 UNFSA

The provisions of UNCLOS have been elaborated in the 1995 United Nations Fish
Stock Agreement (FSA) that augments the legal regime applicable to straddling and highly
migratory fish stocks for its seventy‐seven members. The purpose of the FSA is to ensure thelong‐term conservation and sustainable use of straddling fish stocks and highly migratory fishstocks through effective implementation of the relevant provision of the Convention. In
particular, the FSA requires states parties to adopt measures of conservation andmanagement, and cooperate in accordance with the convention on (i) measures to ensurelong‐term sustainability, (ii) use of the best scientific advice, and (iii) the prevention or
elimination of overfishing. It imposes a duty to cooperate by providing that members, andthose who want to access resources, have to respect a management regime. It also stipulates
that parties who are not members of the regional regimes, or who refuse to apply
conservation measures, can be denied access to the fishery resources. Nonetheless, unlessprovisions of the FSA evolve into customary international law, they do not create obligations
for third parties. Second, the FSA does not specifically address allocation, although it
determines the high seas component of straddling and highly migratory fish stocks, and the
distribution of high seas portions of stocks between RFMO member states and non‐member
states.

3. The Real Interest of RFMO membership
In addition to making access to RFMOs upon its membership, Article 8 (3) of the FSA
establishes certain restrictions, namely, only states with a ‘real interest’ in the fisheries
governed by the RFMO may become a member of that organization and have access. Thisrequirement goes much further, regional fisheries may simply not be open to certain states,
regardless of whether they agree to play by the rules or not. This is not merely a condition of
the exercise of the freedom to fish, it is an exception to this venerable principle. The practical41

necessity of such a limitation on membership arises from the fact that many of the world’s
fisheries are already fully exploited or over‐exploited.
Most RFMOs allow any state to join, even states that are not located in the region(the so‐called distant water fishing nations). Moreover, an increasing number of RFMOs
permit non‐parties to adhere to the goals of the organization as non‐contracting members inorder to increase compliance.
Another weaknesses in RFMO governance are widely acknowledged as a driver of theallocation problem. As Meltzer writes, “the determination of allocations is often a bitter
behind‐the‐scenes ‘horse‐trading exercise’(based on political leverage and negotiatedexchanges) that can be a less than effective means of deciding how the fish pie is split . . . .”RFMOs are created and run by states. Each state gets one vote; no RFMO permits non‐state
actors like nongovernmental organizations (NGOs) into the decision‐making process directly,
although many grant NGOs observer status.

3.1

New Entrant Problem

The larger the number of participants, the harder it is to achieve a stable coopertive
arrangement with equitable allocation arrangements. Broader membership aimed to increase
compliance, at the same time, broad membership also creates the unfinished issue of new
entrants. All states are expected to do conservation on fisheries stock through managementof RFMOs, meanwhile it is also difficult at making stable allocation agreement. Accepting a
new entrant and offering access to the resource would mean lower catch possibilities forexisting member countries. That matter could be arisen to another possibilities that whether
RFMOs should open new fisheries area to accommodate new entrants. In practice, where
access to the resources managed by the RFMO has not been formally allocated, a new
entrant may be at a significant disadvantage. Even if an RFO is able to agree on the level of
quotas for fish stocks, equally difficult decisions are necessary on how to allocate that quota
among the member countries.
Some States which are members of RFMOs may resist the new members for fear of
losing a share in fisheries which are already fully exploited or over‐exploited thereby
encouraging the possibility of non‐members with an interest in the fishery to engage inunauthorised fishing activities. Additionally, members may be reluctant to share the returnsof their investment in the fishery with new‐comers. A new comer admitted into such a fisherywill be considered to be a “free rider” whose participation could result in non‐cooperation by
the existing members. In situations where tuna stocks are oversubscribed and fully allocatedamong members of an RFMO, cooperation within the framework of the RFMO may thenresult in the adoption of new allocation criteria. Nonetheless, it is suggested that, according
to Article 8(3) and (4) of the UN Fish Stocks Agreement, new entrants must be offered a ‘justand reasonable’ share of the TAC (Total Allowable Catch) under an RFMO management plan.
Most organizations also do allocation based upon historical catch records, so thateach country has a fixed percentage of the quota. There are two primary reasons why thismeasure is ubiquitous. First, historically, past catch has been viewed as fair by states. Second,historical catch is reasonably easy to quantify. Historical catch favors existing players, andtherefore acts as a disincentive for states that are not currently members of RFMOs to join.
Historical catch reflects the policy preference of the original members of the organizations,
illustrating that redistribution is not a major objective in most of the internationalorganizations tasked with managing the high seas.

42

From contrary perspective, that equally important to be considered, what about countries
which have not formerly fished a particular stock but wish to develop their fishery? Where astate has little or no catch history, the chances of receiving a viable allocation would appear
to be slim. Equally important, how do we ensure that developing countries have theopportunity and human and financial resources to first, engage with RFMOs managing stocks
that partly occur in their EEZs to ensure that they regulate fishing in their EEZs in a sustainable
way and that the RFMO ensures sustainable exploitation of these stocks outside their EEZs,
and second, participate in high seas fisheries if they wish to? Most States, particularly
developing coastal States are not able to determine the TAC for lack of financial and technicalresources, moreover many developing States are still lack of sophisticated on either
equipment or size of fleets. In result, broad access obscures the identity of the real parties ininterest to fish on the high seas.

3.2

Indian Ocean Tuna Commission (IOTC)

The Indian Ocean Tuna Commission (IOTC) is an intergovernmental organization
mandated to manage tuna and tuna‐like species in the Indian Ocean and adjacent seas. The
Objective of the Commission is to promote the conservation and optimal utilization of tunaand tuna‐like stocks covered by the IOTC Agreement, and to encourage sustainable
development of fisheries. In accordance with Article V of the IOTC Agreement, the mainfunctions of the IOTC are to keep under review the conditions and trends of the stocks and togather, analyse and disseminate scientific information, catch and effort statistics and otherrelevant data. The current status of the stock in areas which covered by IOTC had suspected
overfished and overfishing. Unreported/underreported/misreported fishing, transshipment
and collaboration with Irregulated Unreported Unregulated (IUU) listed vessels are anothermain issue in this area.
One of the most difficult tasks for the RFMO institution is to keep members
motivated to continue membership and participate in the conservation of the fish stocks. If
this balance is not achieved, motivation can move in the direction of free riding and noncooperation. In the case of the RFMO, the management structure must be self enforcing since
there is no independent third party enforcement agency, and no court system. If the fishstock collapses, the RFMO will have failed in its mandate to conserve the high seas, what’smore there are no real world consequences for such condition. Importantly, RFMOs are only
accountable to their members and as such if an RFMO is underperforming there are noformal higher‐level accountability arrangements to ensure that performance improves.
Therefore, to detect and deter such non compliance, strong measures are needed to ensure
the integrity of allocations should be implemented, including penalties for breaches ofnational allocation and reductions in allocations for breaches of other conservation measures.
One fundamental approach that could be better employed for RFMOs is to limit or denyaccess to the fisheries resources under their purview to fishing vessels of members that do
not comply with the measures adopted by the RFMOs, including any obligations to reportfisheries data. Another approach is for all members of RFMOs to deny licenses to fish andport access to any vessels identified by the RFMO as having been involved in IUU fishing, even
if the vessels have subsequently been renamed or registered in new States.
In overcoming quota allocation for each member, basic principle must be considered,inter alia, first, the development and implementation of quota allocation system should
ensure the sustainability of fish stock. For that matter, a portion of the stock should beallocated to reserve stock or for the new entrance. The sum of all countries quota should notexceed the Tota Allowable Catch (TAC). Second, the utilization of the resources should be
43

distributed among members that consider historical management, geographic
location/proximity to the resources, the fisherman livelihood and the socio economic level ofdevelopment of the country. Last, the quota allocated for each country should be given to themember country based on their membership statute and their level of compliance to the
IOTC resolutions.

4. Conclusion
The common pool nature of the international fisheries regime is such a trigger for
fisheries activity. Under this regime, the freedom to fish the high seas is
granted to all
States equally and as such the individual fisher has every incentive to regard such fisheries
resources as if they were non‐renewable. In effect, any of individual fisher acting toconserve and invest in marine resources would be making an unsound and irrationalcommercial decision. In such system, the over‐exploitation of marine resources will occur
unless all States find the political will necessary to exercise control over vessels registered totheir flag.
RFMOs have an important role to play in the system of global fisheries governance. As
international fora, they are the primary mechanism that allows for co‐operation between andamong fishing countries and coastal States in line with the requirements and responsibilities
under UNCLOS and the UNFSA. Their role is particularly important for the conservation ofstraddling and highly migratory fish stocks which often move from a country’s EEZ to anotheror to the high seas. Stocks of such fish species can be sustainably fished only if coordination
across all the different zones inhabited by the stock allows for coherent management.
However, it is acknowledged that the articulation of such a policy would not be easy
given the provisions of Article 116 of UNCLOS and Article 8 of the UNFSA. It remains unclear
as to how ‘real interest’ should be interpreted and accommodated. It should be noted that
there appears to be an inherent tension between provisions which provide for ‘real interest’and the global community’s desire for healthy fisheries and ecosystems. From many RFMOs
experiences, nations which are not members in regional bodies, as such they not abide toconvention, have prioritised their merely socio‐ economic interest rather than conservation
measures. As a result, the opaque commitments contained in fisheries agreements have nottypically
resulted in better conservation of shared resources.

References
Andrew Serdy. (2011). Postmodern International Fisheries Law, or We are All Coastal States Now, 60
INT’L & COMP. L.Q
Elise Anne Clark. (2011). Compliance Enforcement in Regional Fisheries Management Organisations towhich Australia is a Party. Faculty of Law, University of Tasmania Hobart
Erik Franckx, (2000). Pacta Tertiis and the Agreement for the Implementation of the Straddling andHighly Migratory Fish Stocks Provisions of the United Nations Convention on the Law of the Sea
Gordon R Munro. (2003). Implementation of the Provisions of the UN Fish Stocks Agreement:
Conditions for Success‐ The Case of Developing Fishing Nations in IDDRA, Policy Research:
Options for Strengthening National, Sub‐regional and Regional Institutions and Policies to better
Address Developing Countries’ Needs*

44

G.T. Crothers, L. N. (2007). High Seas Governance: A Framework for the Future? . Marine resource
Economics Volume 21
Joyner and De Cola, Chile’s Presential Sea Proposal, in Yoshinobu Takei. 2008. Filling Regulatory Gaps inHigh Seas Fihseries : Discrete High Seas Fish Stocks, Deep‐Sea Fisheries and Vulnerable Marine
Ecosystems.
Kristen E. Boon. Overfishing of Bluefin Tuna : Incentivizing Inclusive Solutions, Journal of University ofLouisville Law Review, Vol. 52:1
Mbendo Jane Rowena. (2011). Management of tunas in the Indian Ocean: a study of Kenya's
Implementation of international and regional conservation and management measures for
Tuna, Doctor of Philosophy thesis
Michael W Lodge et al. (2007). Recommended Best Practices for Regional Fisheries Management
Organizations : Report of An Independent Panel To Develop A Model For Improved Governance
By Regional Fisheries Management Organizations.
Patricia Devaney. (2005). Regional Fisheries Management Organizations: Bringing Order to Disorder.
Papers on International Environmental Negotiation
Peter Orebech et al. (1998). The 1995 United Nations Straddling and Highly Migratory Fish Stocks
Agreement: Management, Enforcement and Dispute Settlement. The International Journal of
Marine and Coastal Law, 119, 126.
Strengthening Regional Fisheries Management Organisations. 2009. OECD
Willock, A. et al. (2006). Follow the leader : Learning from experience and best practise in regional
fisheries management organizations. WWF International and TRAFFIC International.

45

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic: Humanities

Our use of Descriptive Names and Singular Thoughts
Satsuki Ikeda
Graduate School of Humanities and Social Sciences, Chiba University, 1‐33 Yayoi‐cho,Inage‐ku, Chiba City, 263‐8522, Japan

Abstract
A descriptive name is a name whose reference is exclusively fixed by a definite
description. In using a descriptive name, we have a descriptive thought that contains, as
its component, the general concept expressed by the name’s reference‐fixing description.
However, I believe that in using a descriptive name, we sometimes have a singularthought, or a thought that does not comprise such a general concept but in factcomprises the name’s referent itself. To support my view I will first survey two
prominent theories on this issue―Acquaintance Theory and Semantic Instrumentalism.
Acquaintance Theory claims that in order to have a singular thought, we must first havean acquaintance relation to the object in question. This means that in using a descriptive
name, we can never have a singular thought about its referent. On the other hand,
Semantic Instrumentalism maintains that by simply using a descriptive name, we canalways have such a singular thought, regardless of whether the very referent exists or not.
In my opinion, the former idea is wrong in taking an acquaintance relation itself as anecessary condition for our grasp of singular thoughts, and the latter idea is implausible inthat it cannot offer any tenable grouping of singular thoughts. Considering this, I willargue that it is our possession of proper information that is really essential to our graspof such a thought, and we inevitably rely on our linguistic and social activities to obtain
the appropriate kind of information.

Keywords
Acquaintance; Descriptive Names; Information; Singular Thoughts

1. Introduction
Suppose I wish to own a book‐shop one day and name the shop “Sunny Sides.” This
name would refer to whatever uniquely satisfies the description “the book‐shop that I
own.” “Sunny Sides” is a typical descriptive name, or a name whose reference is
exclusively fixed by a definite description1. Moreover, it is generally believed that in using
a descriptive name, we have a descriptive thought that comprises, as its component, thegeneral concept expressed by the name’s reference‐fixing description2. However, I
Famous examples of actual descriptive names include “Unabomber,” which will be discussed later, and “Vulcan,” whichreferred to the planet that was assumed to be circling inside Mercury’s orbit. Examples of theoretical descriptive names
include “Julius,” which refers to the inventor of the zip (Evans (1982), (1985b)), and “Newman 1,” which refers to the firstbaby born in the 21st century (Kaplan (1989a)), etc.
2 Gareth Evans evidently supports this conclusion (Evans (1985b)) despite offering detailed arguments that seem toprovide strong grounds against it (Evans (1982), (1985a)). My discussion in this paper draws considerably from thosearguments, which claim that it is our possession of information derived from the relevant object that plays an essential
1

46

propose that in using a descriptive name, we sometimes have a singular thought, or athought that does not comprise a general concept but the name’s referent itself. This
paper will support this view and clarify how we can arrive at a singular thought while
using a descriptive name.

2. Preliminary Discussions

2. 1. Two theories considered
To have a singular thought about an object is to think about the very object inquestion. This characterization implies that in order to have a singular thought, we haveto think of an object in a very distinct way without thinking of it as the unique satisfier ofany description. Consequently, what are the conditions required for us to have a singularthought? Concerning this, Robin Jeshion once pointed out two extreme positions andargued that one of them claimed too strong a condition for our having a singular thought
about an object, and the other too weak a one3. To begin with, I would like to give a brief
overview of these two positions―Acquaintance Theory and Semantic Instrumentalism―
because I believe that each of them does include something worth serious consideration,although they do not seem to be tenable as they are just as Jeshion insisted.
Acquaintance Theory claims that, in order to have a singular thought, we must firsthave an acquaintance relation to the object in question. This claim requires that someone
in our language‐speaking community is acquainted with the object and identifies it as theunique bearer of the name4. However, a descriptive name is a linguistic device that is
introduced into our language‐speaking community without any relation to such anacquaintance or acquaintance‐based identification. The use of a descriptive name in itself
clearly does not constitute any acquaintance relation between the user of the name andthe name’s referent. If such a relation does exist between the user of the name and its
referent, the name would not function as a descriptive name but would refer to therelevant object based on that acquaintance relation. In other words, its reference would
not be exclusively confined by a definite description. Thus, Acquaintance Theory denies
any possibility of our having a singular thought about the relevant object while using adescriptive name. This position, which may be characterized by the slogan “noacquaintance, no singular thought,” seems to have been the most widely accepted view inthe philosophy of language5.
On the other hand, Semantic Instrumentalism, as Jeshion specified it, stands out by
its rather liberal attitude toward the question at hand. According to this position, we canhave a singular thought about the referent of a descriptive name simply by using the very
name, given some other minor conditions are satisfied. Indeed, it even claims that we canhave a singular thought about an object that has not yet come into existence, on thecondition that we can construct and use a descriptive name whose reference is fixed by adefinite description that is uniquely satisfied by the object in question. Thus, if Semantic
Instrumentalism is correct, we can have a singular thought about any object from thepast, present, or future, as long as we can construct and use an appropriate descriptive
name, or, as Jeshion defined it, “descriptively introduced referential terms” (DIRTs)6.
2. 2. Singularity of thoughts
According to Semantic Instrumentalism, we can have a singular thought simply byusing a descriptive name, which means that in using the name, we can have a type ofthought that cannot be obtained by thinking of the referent as the unique satisfier of any
description. Given that the reference of a descriptive name is exclusively fixed by arole in our grasp of a singular thought.
3 Cf. Jeshion (2010).
4 Cf. Jeshion (2010), p. 109.
5 For example, Bach (2008), Evans (1985b), McCulloch (1985), Recanati (2010), etc.
6 DIRTs are a group of linguistic devices whose references are exclusively fixed by a definite description (cf. Jeshion(2010), p. 105). Instead of proper descriptive names, those terms include Kaplan’s so‐called “dthat” expressions (cf.
Kaplan (1989a), especially p. 521) and deferred pronouns or demonstratives.

47

definite description, this idea is rather problematic to support and has actually raisedsome powerful arguments contradicting it. For example, Evans (1985b) maintains thatthe sentence “Julius is F”―formed by using a descriptive name “Julius” whose reference isfixed by the definite description “the inventor of the zip”―has exactly the same content as
the sentence “The inventor of the zip is F.” In other words, according to Evans, we cometo grasp exactly the same descriptive thought when we understand these two sentences.
However, if Semantic Instrumentalism is right, our introduction, and use of a descriptive
name of itself should enable us to have a singular thought about its referent. Evanscriticizes this by saying that it is implausible that we can create a completely new type ofthought just by “the stroke of a pen.”7 However, I think that the most serious problem
with Semantic Instrumentalism lies in the fact that it cannot give us a tenable grouping of
singular thoughts in the first place. If we are to classify a group of thoughts into a unified
category, that categorization should be related to some distinctive character of our
behavior and psychology, which can be explained by the underlying thoughts of thatcategory. The problem is that there is no distinctive character of our behavior andpsychology which is observed in all the cases of our use of a descriptive name, that is, inall the cases of our having a “singular thought” as Semantic Instrumentalism calls it. For
example, my behavior and psychology when using “Sunny Sides” in the situation
described above, will be quite different from when I use the name after I actually open
the book‐shop. It is essential that we acknowledge this difference if we are to correctly
understand my use of the name “Sunny Sides” in each situation. The concept of thought isprimarily connected to this kind of difference, which shows how we understand the termin question. However, we will end up cutting off that connection if we conclude, according
to Semantic Instrumentalism, that I have exactly the same “singular thought” in bothsituations. As far as I can see, our idea of singular thought as a thought about a particular
object entails that an object does, or did, exist. This, in turn, seems to suggest thatsingularity of thought, as we understand it, depends on there being a substantial
connection between the subject and the object that can be manifested as a change in thesubject’s state of knowledge according to the object’s state of affairs. Of course, we cannot
expect any non‐existent object to have such a causal effect on the subject’s state ofknowledge. This clearly has something to do with the difference of my behavior andpsychology observed in the two cases of my use of “Sunny Sides” mentioned above. Given
all this, our grasp of singular thoughts, or thoughts about a particular object, cannot
simply depend on our action or manipulation, such as our use of descriptive names.
Rather, it must be a matter of that substantial connection between the subject and theobject, which is manifested as a systematic change in the subject’s state of knowledge,
and behavior and psychology, based on the object’s state of affairs.
Thus, if this kind of connection always requires the subject to have an acquaintance
relation to the object in question, we will be forced to conclude that our use of a
descriptive name can never involve our grasp of singular thoughts about the referent ofthat name. In my opinion, however, the connection cannot be constituted by theacquaintance relation itself. Certainly, if the acquaintance relation does hold between thesubject and the object, there must be, or have been, an object to be thought about
anyway. In addition, if the subject himself is currently perceiving the object, orremembering his own experience of having perceived it, we may be allowed to say thatthe subject is connected to the object in the manner required for having a singularthought about it. However, as Jeshion argued, when the subject is acquainted with theobject via a communication chain, that is, on the basis of some other person’s experienceof having perceived the object, it is difficult to explain how the subject can have a singularthought (if any) about the object, given that our experience can never be transferred toanother person8. An acquaintance relation that extends between the subject and the
78

Cf. Evans (1985b), pp. 200‐202.
Cf. Jeshion (2010), p. 110.

48

object as long as someone in the relevant community has perceived the object andidentified it as a unique bearer of the name in question, seems to give us a merely partial
explanation of how to grasp a singular thought about that object.
If such a connection actually extends between the subject and the object, we can
expect the subject’s state of knowledge to change according to the object’s state of affairs.
From time to time, such a connection is sustained because of a communication chain
between the subject and the object, even if the subject has not perceived the object
himself. For example, we can gain information about the words and actions of a person
we have never met through communicating with others. Based on that knowledge, we
often form a certain opinion about the person, which will naturally change as we acquire
more information about him. This observation suggests that what constitutes a proper
connection and makes our thought a singular thought about a particular object, is not any
perceptual experience of that object by someone in the relevant community, nor any
acquaintance relation which originates from that perceptual experience for that matter.
Rather, it is information that is often received from the object and transferred to thesubject through an acquaintance relation that constitutes the required substantial
connection between the subject and the object9. This type of information, unlike
perceptual experience, can certainly be transferred to the subject who has neverperceived the object through a communication chain as mentioned above. It is quite
remarkable to see the power of that substantial connection, of affecting the subject’s stateof knowledge, ultimately consisting in this type of information that is transferred to thesubject and sometimes updated. Moreover, this information is not necessarily obtainedby someone’s perceptual experience of the object in question, but can be derived fromthe works created by the object, or historical material that tells us about the object’s
words or actions. If all these considerations are correct, we can say that Acquaintance
Theory has identified the means to receive and transmit this type of information, that is, aperceptual experience of the object in question and an acquaintance relation thatoriginates from such an experience. However, as I see it, to have a singular thought aboutan object is to acquire information from the very object itself, and that is quite different
from having an acquaintance relation to the object in question through which we cansometimes receive or transmit information.

3. Case Studies
3. 1. Recapitulation and ensuing deductions
Once again, what is essential to having a singular thought about a particular object
is, in my opinion, a precise connection to the object in question. Moreover, if I am right in
my assumption that this kind of connection does not depend on having an acquaintance
relation to the relevant object, there seems to be no obstacle for sustaining such aconnection between the user of a descriptive name and the name’s referent as long as thereferent really exists, or existed. In this section, I would like to examine some real cases of
our use of a descriptive name, and clarify in more detail how such an exercise can involve
our grasp of a singular thought of the relevant object.
3. 2. Two cases considered
The first case we shall deal with is one where the descriptive name has, as its
referent, an object that actually exists, or existed. However, even an examination of such acase cannot conclude that all such cases of our use of a descriptive name involve ourgrasp of a singular thought about its referent. For example, let us now introduce a
descriptive name “Conan” by means of fixing its reference through the definite description“the last Naumann’s elephant which lived in Hokkaido.” This descriptive name clearlysatisfies the condition that it has, as its referent, an object that must have really existed in
Hokkaido. However, given the arguments in the previous section, it is difficult to contend
9Cf. Evans (1982), (1985a) and footnote 2.

49that we can arrive at a singular thought about Conan in using “Conan,” because we do nothave any information, which can claim to have received from that particular Naumann’selephant. Thus, we are not connected to Conan in the manner required for having a
singular thought about it. This means that our state of knowledge, and our behavior andpsychology cannot be affected by Conan’s state of affairs. At most, we can conclude that,in using “Conan,” we have a general thought, which involves a general concept expressedby the name’s reference‐fixing description. In this type of case, where a descriptive nameis introduced in an entirely ad‐hoc manner, we can naturally conclude that in using adescriptive name we can never arrive at a singular thought about its referent. Indeed,some influential discussions about the relation between our use of descriptive names andsingular thoughts have focused on this type of ad‐hoc descriptive names10.
However, there is another type of case where the user of a descriptive name has amore substantial knowledge about the referent. One example is the use of the descriptive
name “Unabomber” before its referent was identified. This descriptive name wasintroduced to refer to the person responsible for the serial bombings that occurred
between the late 1970s and the 1990s in the United States of America. The Unabomber,later identified as Theodore Kaczynski, repeated the offense 16 times, targeting airline
companies and universities, until his arrest in 1996. He even claimed responsibility forthe bombings through a leading newspaper. Naturally, people who lived in the USA at thattime must have used the name “Unabomber” while discussing his character, actions, andmotives, even before he was actually identified. It is not too difficult to believe that someof them might have even refrained from visiting airports or universities because of such
conversations. As far as I can see, we essentially behave the same way with regard topeople who have already been identified in our language‐speaking community, such as
Abraham Lincoln or Adolf Hitler. We discuss their personalities or influences, express
various emotions toward their behavior, and decide to adopt or avoid a certain action
based on such discussions or emotions. Of course, the point here is that in both cases the
subject’s behavior and psychology seem to be significantly affected by information abouta certain object, which the subject himself has never perceived. Not only in the latter casewhere an object has already been identified as the bearer of the name at hand, but also in
the former case where such an identification is yet to be made, the subject seems toreceive information from the relevant object and, therefore, is in a position to have asingular thought about it11.
3. 3. Non ad‐hoc or “information‐based” use of descriptive names
In using a descriptive name, if we compare the way “Unabomber” was introduced
and used with the way “Conan” was, we will observe a distinctive feature, which seems toplay a crucial role in our grasp of a singular thought about the relevant object. Mainly, ourpositive involvement in collecting and communicating information derived from the very
object by using the exact name. “Unabomber” was first introduced into the relevant
community against a very different background from the case of “Conan,” in that, fromthe outset, the name “Unabomber” was linked with information derived from its referent
since the police must have obtained some information from the Unabomber during theirinvestigation. Indeed, it was exactly because such information had been obtained thatthey introduced the descriptive name “Unabomber.” In other words, “Unabomber,” unlike“Conan,” was not introduced into the relevant community in an ad‐hoc manner. Rather, it
was introduced in connection with some information from its referent in the first placewith the intention of being used to collect and communicate relevant information thatwould be accumulated and updated as time went by. When the name became common
knowledge in the community, information from the Unabomber also was transferred by“Julius” and “Newman 1” mentioned in footnote 1 are typical examples of ad‐hoc descriptive names.
As was discussed in the previous section, identification of the object in question, or an acquaintance relation between
the subject and the object based on such an identification, is different from the subject’s possession of information fromthe very object.
10
11

50

using the name more widely than ever before. This strikingly contrasts with the case of“Conan,” whose use was a completely personal matter and did not amount to any
collection and communication of information from its referent. In short, our introduction
and use of “Conan” had nothing to do with our collecting and communicating informationfrom the relevant object, which should be characterized as an essentially linguistic andsocial activity. On the other hand, the introduction and use of “Unabomber” was indeed
related to that kind of activity, and the fact that it actually provided people with the rightkind of information, was ultimately responsible for their grasp of a singular thought
about the Unabomber. Of course, information that was communicated using“Unabomber” may have included those that did not originate from the Unabomber at all.
If no information from him had been included, then, while using the descriptive name, thesubject could have grasped no singular thought about the Unabomber. In reality, however,more and more information from the Unabomber came to be connected with“Unabomber” as he repeated offenses. This is crucial for people to have a singularthought about him, given that their possession of such information plays an essential rolein their grasp of such a singular thought. The subject who did obtain some informationfrom the Unabomber must have been able to grasp a singular thought about him while
using “Unabomber,” even if he connected other information that did not originate fromthe Unabomber with “Unabomber”. If the subject found some incorrect information inconnection to “Unabomber,” he would have immediately discarded it. This suggests that it
was only information from the Unabomber that could affect the subject’s behavior andpsychology. Thus, only the Unabomber could be connected to the subject in a way thatcharacterized the grasp of a singular thought about a particular object.

4. Concluding Remarks
If all these considerations are on the right track, it follows that our use of
descriptive names, which is meant to be a linguistic and social activity like the example
given above, can actually widen the range of objects of which we can have a singularthought. If that is the case, it follows that descriptive names are uniquely important forour having a singular thought about a variety of objects that exist or existed throughout
the world. In fact, the following passage suggests that a more or less similar view may
underlie Semantic Instrumentalism.
“…The notion that a referent can be carried by a name from early past to present suggeststhat the language itself carries meanings, and thus that we can acquire meanings throughthe instrument of language. This frees us from the constraints of subjectivist semantics
and provides the opportunity for an instrumental use of language to broaden the realm ofwhat can be expressed and to broaden the horizons of thought itself. / On my view, ourconnection with a linguistic community in which names and other meaning‐bearing
elements are passed down to us enables us to entertain thoughts through the languagethat would not otherwise be accessible to us. Call this the Instrumental Thesis. / …It urges
us to see language, and in particular semantics, as more autonomous, more independentof the thought of individual users, and to see our powers of apprehension as lessautonomous and more dependent on our vocabulary.”12
Of course, Semantic Instrumentalism emphasizes the point that our use of a
descriptive name of itself allows us to grasp a singular thought about its referent. However,the passage cited above clearly requires us to be connected to some or other language‐
speaking community in order to grasp such a thought. The problem, in my view, is that
Semantic Instrumentalism has interpreted this connection as having nothing to do with
our linguistic and social activity discussed above, which is collecting and communicating
information from the relevant object. If my arguments so far are correct, we are forced to
12

Kaplan (1989b), pp. 603‐604.

51

conclude that, even in the case of an ordinary proper name from which the passage starts
its consideration, our receiving and holding information from the referent is what isessential for us to have a singular thought about it. This information is often transferred
to us through the linguistic and social activity carried out by using the very name. Thus,
Semantic Instrumentalism makes a good point in stating that our use of descriptive
names against a background of some language‐speaking community would enable us tohave a singular thought that would otherwise not be accessible to us. However, it would
be a grave error to conclude that our use of descriptive names quite generally enables us
to have a singular thought about its referent, regardless of whether the use is related to
any linguistic and social activity.

5. References
Bach, K. (2008). What does it take to refer? In Lepre, E. and Smith, B. eds., The Oxford
Handbook of Philosophy of Language, pp. 516‐554. Oxford: Clarendon Press.
Evans, G. (1982). The Varieties of Reference, Oxford: Clarendon Press.
Evans, G. (1985a). The Causal Theory of Names. In Evans, G., Collected Papers, pp. 1‐24.
Oxford: Clarendon Press.
Evans, G. (1985b). Reference and Contingency. In Evans, G., Collected Papers, pp. 178‐213.
Oxford: Clarendon Press.
Jeshion, R. (2010). Singular Thought: Acquaintance, Semantic Instrumentalism, andCognitivism. In Jeshion, R. ed., New Essays on Singular Thought, pp. 105‐140.
Oxford: Oxford University Press.
Kaplan, D. (1989a). Demonstratives. In Almog, J. et al. eds., Themes from Kaplan, pp. 481‐
563. New York: Oxford University Press.
Kaplan, D. (1989b). Afterthoughts. In Almog, J. et al. eds., Themes from Kaplan, pp.565‐
614. New York: Oxford University Press.
McCulloch, G. (1985). A Variety of Reference? In Mind, 94 (376), pp. 569‐582.
Recanati, F. (2010). Singular Thought: In Defense of Acquaintance. In Jeshion, R. ed., New
Essays on Singular Thought, pp. 141‐189. Oxford: Oxford University Press.

52

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Humanities
Ecological Anthropological Analysis of Nyale Foraging and the
Sasak Calendar System in Lombok
Shingo Odania*, Takuro Furusawab, Masanori Satoc, and Hana Shimizu‐FurusawadaFaculty of Letters, Chiba University, 1‐33 Yayoicho, Inage, Chiba, 263‐8522, Japan
bGraduate School of Asian and African Area Studies, Kyoto University, Yoshida‐Honmachi,

Sakyo‐ku, Kyoto 606‐8501, Japan
cResearch Field in Science, Science and Engineering Area, Kagoshima University,
Kagoshima 890‐0065, JapandDepartment of Gene Diagnostics and Therapeutics, Research Institute, National Center for
Global Health and Medicine, 1‐21‐1 Toyama, Shinjuku‐ku, Tokyo 162‐8655, Japan

Abstract
In Lombok Island of West Nusa Tenggara province, Indonesia, Nyale foraging isobserved annually only at the spring tide around February. Nyale worms, which are
identified into the family Eunicidae of Annelida, behave in mass spawning forreproduction once a year. Around West Nusa Tenggara province, people forage a part of
Nyale bodies containing sperm and eggs for self‐consumption or selling in market. Nyale
are assumed to be rich in protein and micro‐nutrients, hence people think Nyale
consumption to enhance their health condition.
When viewed from a cultural issue, Nyale foraging in Lombok accompanies Bau
Nyale Festival, derived from a story of Putri Mandalika. The main practitioner of Bau
Nyale and oral tradition of Putri Mandalika is the Sasak, who have their own lunar
calendar system. The date of Nyale appearance is fixed as “20th October” in Sasak
calendar, then other dates are corrected by the date of “20th October”. The dates around“1st January” in Sasak calendar is believed to be an ideal period for rice planting.
Because rice cultivation has been the main subsistence of the Sasak, Nyale foraging has
cultural and ecological significance for daily life in Lombok.
This study analyses the systematic relation between Nyale foraging and othercultural issues, in order to reveal the rationality of indigenous practices in Lombok. In
addition, by describing Bau Nyale Festival as a tourism resource from different angle,
sustainability of indigenous practices is discussed.

Keywords
Keywords: Lombok; Sasak; Nyale; Calendar system; Ecological Anthropology

1. Calendar system and anthropology
From the beginning of Anthropology, calendar systems have been one ofimportant subjects for revealing cultural diversity and universality [e.g. Tylor 1859].
* Corresponding author. Tel.: +81‐43‐290‐2298; fax: +81‐43‐290‐2298.

E‐mail address: odani@faculty.chiba‐u.jp53

Although almost all people in the world realize and accept western calendar system(precisely Gregorian calendar system) at present, local societies still use their local
calendar system also in combination with their own cultural contexts. At present,
coexistence of calendar systems is not only Anthropological issue but also social andpolitical issue. For example, Northern European countries are relatively tolerant toreceive refugees from Middle eastern countries, then refugees following Islamic
calendar system practice Ramadan with difficulty under the condition that hours of
daylight are too long in summer of Northern European countries [The Local 2015].
Originally, a calendar system of a local society has been referenced the local
environment: astrological phenomenon, fluctuation of temperature and precipitation,
biological phenomenon and so on. The need of agricultural practices is discussed as theprimary factor of the invention of local calendar system [e.g. Steward 1949]. It is nowonder that the fluctuation of biological phenomenon should effect on agricultural
practices. Moreover, astrological phenomenon and climate fluctuation also effectagricultural practices directly, or are used as indicators of biological phenomenon.
Classical ecological anthropology has been eager to describe the relation between
seasonal or annual cycle of agriculture (e.g. Rappaport 1968). However, recent studies
tend to be indifference to the relation between local environments and calendar systems.
In this study we aim to describe the relation between Nyale Foraging and the
Sasak Calendar System in Lombok as a case study. The Sasak, who are the majority of
Lombok in Indonesia, annually forage Nyale, a kind of annelid worms. Because Nyale
worms spawn regularly every one year, the regularity can be used to correct theircalendar. By describing details of biological phenomenon of Nyale spawning, foraging
practices and their calendar system, we will discuss flexibility of local calendar system.
Problems of Ramadan above mentioned are caused by high mobility in modern global
world. However, global world still consists of a lot of local societies, and mobile people
also rely on some sort of local bases. Problems will never be solved without
understanding the way of construction of local contexts.

2. Lombok Island in Indonesia
Lombok is an island in West Nusa Tenggara province, Indonesia. Between Lombok
and Bali island, the Lombok strait lies, which is one of the landmark of Wallace's Line.
Wallace’s Line is a biogeographical boundary separating Austrasia ecozone(characterized by marsupial’s habitat) and Indomalaya ecozone (characterized byplacental mammal’s habitat). Although mammals of Lombok island should be only
marsupials originally, by artificial introduction of buffalo, deer or monkeys there areplacental mammals at present.
The capital of West Nusa Tenggara and largest city in Lombok is Mataram. The
climate features measured in Mataram are showed in Figure 1 and Figure 2. Seasonaltemperature change is slight, while seasonal precipitation change is relatively
remarkable. Under an influence of monsoon, precipitation decreases in dry season from
April to September, and precipitation increases in wet season from October to March.
Number of population of Lombok Island was 3,394,280 at 2015 [Integrated
Processing and Statistics Dissemination Division 2016: p.95]. The majority of Lombok is
the Sasak. Number of the Sasak at 2010 was 2,838,239 [Ananta, Arifin and Hasbullah
2015: 299], that is, over 80% of Lombok population is occupied by the Sasak. With
regard to other ethnic group, the Balinese inhabit around 10‐15%, and the small
remainder (the Javanese, the Peranakan or the Sumbawanese) also inhabit. Most of the
Sasak are Muslim, so that they use Islamic Calendar combined with Western (Gregorian)calendar in their daily life. However, the Sasak have their own calendar system, so called
Sasak calendar, which is used especially for ritual dating.

54

Figure 1. Temperature change in Mataram on average from 2000 to 2012. (The data arereferred following website [World Weather Online 2016]:
http://www.worldweatheronline.com/mataram‐weather‐averages/west‐nusa‐
tenggara/id.aspx)

Figure 2. Precipitation change in Mataram on average from 2000 to 2012. (The data arereferred following website [World Weather Online 2016]:
http://www.worldweatheronline.com/mataram‐weather‐averages/west‐nusa‐
tenggara/id.aspx)
Majority of Lombok engage in primary industry including agriculture, forestry,hunting and fisheries (table 1). The main crop in agriculture is paddy rice (Wetland andDryland total): 1,005,822 tons per year at 2014 (The data are referred from Table 5.1.2
of Nusa Tengara Barat Province in Figures 2016 p.212). Judging from these data, main
subsistence of the Sasak is paddy rice cropping.

55

Table 1. Number of workers in Lombok Island.
Agriculture,
Forestry,

Mining andManufacture

Hunting, andQuarryinging Industry

Electricity,
Gas, and

Fisheries
Number of
Persons

829,993

34,544

199,542

Construction

Water

3,191

156,641

WholesaleTransportati

Financial,

Trade,

on,

Insurance,

RetailWarehousin

Real Estate,

Trade,

g, andandRestrant,

Communicat

Business

459,137

69,79024,356

Community,
Social, andPersonal

Total

Services
350,309

2,127,503(The data are referred and modified from Table 3.2.5 of Nusa Tengara Barat Province inFigures 2016 p.112)
Nyale foraging is observed at some parts of the southern coast of Lombok,
mainly at Pantai Seger, Pantai Kuta, Pantai Selong Belanak, Pantai Tanjung Aan or Pantai
Batu Kijuk. Pantai Seger is believed the best point for catching Nyale, and the main spot
relating the legend of Putri Mandalika mentioned later locates their also. Observation ofthis study was conducted mainly at Pantai Seger (Figure 3). The stages of Bau Nyale
festival (celebrating Nyale foraging and Putri Mandalika) stand around main foraging
spots. The biggest stage stands on Pantai Kuta.

Figure 3. Location of Pantai Seger.

3. Nyale
Nyale is assumed to be a kind of annelid worms of the family Eunicidae. Samecustoms of foraging worms of Eunicidae as an attractive food resource are observed
other Islands in Pacific Ocean. Foraging Palolo worm in Samoa, Fiji, or Vanuatu Islands
have been most well studied [Caspers 1984, Miller and Pen 1959, Mondragón 2004],
which is identified as Palola viridis or Eunice viridis. In Samoa, Palolo worm’s mass
spawning is observed at spring tide from October to November. The worm cut off andrelease their posterior parts fulfilled with sperm or eggs. Some populations in Samoa,
Vanuatu, Fiji or other Islands in Pacific Ocean forage and eat the reproductive portion of
the palolo worms.
Because the custom of eating the eunicid worms is observed in geographicallycontiguous areas from Lombok island to eastern islands reaching to Samoa, it isreasonable to classify Nyale into Palola viridis. However, it is also possible to assume
that Nyale belongs to some different species. At first, the spawning and foraging period56

of Palolo in Southern Pacific Islands is from October to November, while the period of
Nyale is from February to March. At second, we observed two types of Nyale, that people
consumed or traded in markets. One type has green or brown skin without chaetae(bristles) (see Picture 1), on the other hand, another type has red or orange skin withchaetae (see Picture 2.). The green and brown type is same shape that former studies
reported, so that it is reasonable to classify this type into Palola viridis. However,
because another type is assumed to be other species, biological survey to identify the
species of Nyale is needed yet.

Picture 1.

Picture 2.

In Lombok, a festival so called Bau Nyale is hold simultaneously with Nyale foraging
between February and March. Although it is still needed to study biologically whether
Nyale spawning can be observed only once between February and March or plural times
in a year, The Sasak focus on the time between February and March. Nyale foraging andthis festival is used for correcting their calendar mentioned later. Such practicecorrecting calendar by Palolo spawning was observed in other population in PacificIslands [e.g. Mondragón 2004].

4. Nyale foraging
In 2016, Nyale foraging started from 27th February at Pantai Seger. From around20th February, some people started to searching Nyale, and stalls for Bau Nyale festival
were preparing. However, because most people thank Nyale would appear after several
days after full moon (i.e. spring tide) of February and Full moon was 21th February in
2016, Nyale appearance was predicted around 25th February. Some rumor was heardthat professional fishermen had caught Nyale in offshore on dawn of 26th. Thousands ofpeople crowded to Pantai Seger or other foraging spots from evening of 26th.
The mass spawning of Nyale was observed from 3:00 o’clock on 27th. People chatted,
looked around stalls or fell asleep for waiting, then as soon as Nyale appearance they
entered shallow to catch Nyale simultaneously. They used a kind of net called “Solok” tocatch Nyale: some could catch about 1kg of Nyale, or some could not catch any. Until
sunrise, people continued catching.
Already on 27th morning, selling of Nyale started in local markets. Nyale in goodcondition, which contained only Nyale’s body, were sold about 15,000 IDR / 100g (about
120 Japanese Yen). The one in bad condition, which contained seaweeds or otherrubbish, were sold about 3,000 IDR / 100g (about 25 Japanese Yen). People said that the
one in good condition was caught by professional fishermen in offshore and the one inbad condition was caught by nonprofessionals in seashore.
Because our research ended 29th February, we could not observe the duration of
Nyale spawning. However, people think Nyale spawning continues about one month.
The idioms in Sasak language, Nyale Poto, Nylae Tanga and Nyale Punutuk, represent57

Nyale spawning timing and duration. Nyale Poto, which means first Nyale Spawning, isthought to occur a full moon of late February. Nyale Tanga, which means middle Nyale
Spawning, is thought to occur around the next spring tide (that is next new moon). Nyale
Punutuk, which means last Nyale Spawning, is thought to occur the next spring tide(That is next full moon). People said the amount of Nyale capture was the most in Nyale
Poto, in Nylae Tanga slightly declined, and after Nyale Punutuk there were no Nyale
observed.
People prefer to eat raw Nyale, when it is in good condition. Stale one or the one inbad condition is cooked to “Pepes”, in which grained Nyale is mixed with spices androasted in Banana or other large leaf. People believe that consuming Nyale guarantees
their health in one year.

5. Bau Nyale festival and Putri Mandalika
Bau Nyale festival is hold around Nyale Poto period, that is from late February toearly March. In 2016, the period was from 22th to 29th February. Traditionally, thefestival was a ritual practice of private sector. However, at present, public sector
participates to hold the festival then the festival is not only a ritual practice but also
tourist attractions. The ministry of Tourism and Culture of West Nusa Tenggara
province organizes many kinds of events and decides dates of events. The events wereas follows: social meeting, beauty contest to name Miss Putri Mandalika, stick fightcontest, Wayang shadow playing, musical performance on stage and so on. Mainaudience of these events are assumed to the Sasak people, however, not a few foreign
tourists also visit to see events.
The ritual aspect of Bau Nyale was formed by the legend of Putri Mandalika. The
story is as follows. Once upon a time, the king of Lombok had a beautiful daughter
named Putri (princess) Mandalika. Because of her beauty, many men including someprinces asked to marry. To prevent all of them to be disappointed, she could not decideand reply. Then, the king held an archery competition at the Seger beach to decide ideal
husband. However, there was no winner, because all participants had same ability andequipment. Then the participants started to argue and resulted in fighting. Soldiers
following princes also started to fight, so that war came to near breaking out. Putri
Mandalika did not want war and hurt many people. Then, she said that “I do not want to
be one’s wife. I don't want to hurt many people. I will change to something thateverybody can satisfy. I will change to Nyale that all of you can share and enjoy”. She
jumped to the sea and disappeared. After that, suddenly a lot of sea worms appeared on
the beach. People realized that she had changed to sea worms.

6. Correction of Calendar
The Sasak fix the date of starting Nyale Poto on “20th October” in Sasak calendar.
Because of Sasak calendar is lunar calendar system, length of one year would be shorter
than 365 days without intercalation. Other lunar calendar systems in the world adopt
various ways of correction. For example, Islamic calendar never insert intercalation andleaves the one year cycle faster than solar calendar systems. Chinese calendar systeminsert intercalation and fix the last new moon before “yushui”, that is 29.5 days before
vernal equinox, on the new year day in order to adjust one year to be 365days. The
custom of the Sasak that fixes the date of starting Nyale Poto has the same function toadjust lunar calendar system to the period of revolution of the earth.
Table 2 shows the date of the first appearance of Nyale from 2000 to 2014, whichsurveyed at Pantai Kuta by preceding study (Igarashi 2014). From this data, we can see
regular appearance once a year. Palolo worms take the opportunity of the biggest sea
58

level change at the spring tide near to autumnal equinox, in order to diffuse theirfertilized eggs to broader space [Caspers 1984]. Nyale is also assumed to have same
behavior, although the period of spawning at the spring tide near to vernal equinox
oppositely. Equinox is the phenomenon caused by revolution of the earth, and springtide is the phenomenon caused by revolution of the earth of moon. Using the date of
Nyale appearance to adjust lunar calendar system to the solar cycle is one of ideal way ofcorrection of calendar.
Table 2. The date of the first appearance of Nyale.
Year

Date

2000

24 Feb.

2001

13 Feb.

2002

3 Feb.

2003

21 Feb.

2004

10 Feb.

2005

28 Feb.

2006

17 Feb.

2007

7 Feb.

2008

26 Feb.

2009

15 Feb.

2010

4 Feb.

2011

25 Jan.

2012

12 Feb.

2013

1 Jan.

2014

19 Feb.

The new year day in Sasak calendar is around from middle April to early may inWestern calendar, which is 70days after the date of starting Nyale Poto (“20th October”).
Around new year day it is the end of wet season and the start of dry season. People thinkthat this period is ideal to rice planting. Even at present, main subsistence of the Sasak is
paddy rice cultivation. It is reasonable for the Sasak or other Lombok people to correct
calendar by Nyale appearance and adjust the new year day to the ideal date for rice
planting.

7. Globalization and local calendar system
Former studies of ecological anthropology discussed that calendar systems of local
society have been referred the local environment and the need of agricultural practices
are the primary factors of organizing of local calendar systems. This study has verified
these discussions by describing the case of the Sasak’s practices. They enjoy and profit
by Nyale foraging, and at the same time they correct their calendar for paddy ricecultivation. Although consuming and cerebrating Nyale seem to be strange fromoutsider, they are reasonable in local ecological and social system.
At present, Bau Nyale festival is not only a ritual practice but also tourist attractions,in which foreign tourists participate too. The legend of Putri Mandalika is relatively well‐known to tourists, because the story is quite impressive and beauty contest to name59Miss Putri Mandalika is held in the festival. However, logical aspect of Nyale foraging and
Bau Nyale festival also should be highlighted more. The foreigner can understand theimplication of “strange” customs in the context of the Sasak culture and theirenvironment. Moreover, the Sasak also can revalue their own custom in scientificcontext.
Indigenous practices would be vulnerable in global world, if people felt “strange” or“primitive”. Otherwise, the practices would be treated troublesome conventions byoutsider. Local calendar systems and relating ritual practices are one of the typicalsubject about this issue. Some calendar systems have disappeared without logicalanalysis in local cultural or environment context. Contradiction between migrant’s
calendar system and local environment of a foreign country causes some problems. In
order to keep indigenous practices sustainable, scientific studies for logical explanation
in local context are needed. Moreover, when these practices attract tourists as one ofcultural resources, logical explanation will enhance the value of resource.

Acknowledgements
This study was financially supported by KAKENHI Grant‐in‐Aid for Challenging
Exploratory Research, entitled "Integrated Area Study on Sea Worms as Traditional
Cuisine in Asia Pacific" (FY 2015‐15: PI = Takuro Furusawa).

References
Ananta, Aris., E.N. Arifin, M.S. Hasbullah. (2015). Demography of Indonesia's Ethnicity,
Institute of Southeast Asian Studies, Sigapore.
Caspers, H. (1984). Spawning periodicity and habitat of the palolo worm Eunice viridis(Polychaeta: Eunicidae) in the Samoan Islands, Marine Biology 79 (3), pp. 229–236.
Igarashi, Tadataka. (2014). Palolo, Celestial Body, and Indigenous Calendars,Interdisciplinary Workshop on Traditional Calendars and Old Astronomical Records
in Asia, on 25th July 2014, The Kyoto University Museum, Kyoto.
Integrated Processing and Statistics Dissemination Division. (2016). Nusa Tengara Barat
Province in Figures 2016, Integrated Processing and Statistics Dissemination
Division, Jakarta.
Miller, C.D. and F. Pen. (1959). Composition and Nutritive Value of Palolo (Palolasiciliensis Grube), 191‐194 Pacific Science 13 (2), pp.191‐194.
Mondragón, C. (2004). Of Winds, Worms and Mana: The Traditional Calendar of theTorres Islands, Vanuatu, Oceania 74 (4), pp.289–308.
Rappaport, R.A. (1968). Pigs for the Ancestors: Ritual in the Ecology of a New Guinea
People, Yale University Press, New Haven.
Steward, J. H. (1949). Cultural Causality and Law: A Trial Formulation of theDevelopment of Early Civilizations, American Anthropologist, 51 (1), pp. 1‐27.
The Local. (2015). New Ramadan Rules to Help Nordic Muslims in Midnight Sun,https://www.thelocal.se/20150612/new‐ramadan‐rules‐to‐help‐nordic‐muslims‐in‐
midnight‐sun Last Accessed 24 Octorber 2016.
Tylor, E. B. (1859). Anahuac; or, Mexico and the Mexicans: Ancient and Modern, Longman,Green, Longman and Roberts, London.
World Weather Online. (2016). http://www.worldweatheronline.com/mataram‐weather‐averages/west‐nusa‐tenggara/id.aspx Last Accessed 24 Octorber 2016.

60

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Sosio‐Humaniora

A Preliminary Study on the Experience of Indonesian Certified
Kaigofukushishi/Candidate Who Work at Japanese Nursing
Home in Japan: A Result from Participant Observatory
Nazalia Kurnia Dewi
Chiba University, 1‐33 Yayoicho, Inage Ward, Chiba, Chiba Prefecture 263‐8522 Japan

AbstractIndonesia and Japan signed Economic Partnership Agreement (EPA) in 2007. One of theagreement is to send Indonesian nurses to work as kanggo‐shi (nurse) in hospital and as
kaigo fukush‐ishi (caregiver) in nursing home in Japan. In this paper I will try to explain
the experiences of Indonesian nurses who work as caregiver in Japanese nursing home
based on my preliminary study using method participant observatory in Japan. I will
write three important points in order to give a balance accounts. Once delivered to thenursing home most of them found themselves really shocked with the contents of their
new work. Because they are not allowed to perform any medical actions but to assist
only on daily live of residents. Second is the communication issue. Although making
communication with the resident using Japanese is a hard task, they found another way
to communicate with the residents, that is with sabar (patient) and bercanda (makejokes). The last one is even they felt let down with the work of caregiver after work andlearn about kaigo (care), they have diverse opinions toward kaigo. Some of them saythat kaigo is a new knowledge for them that can be implemented in Indonesia once they
return.
Key words: Indonesia‐Japan EPA, Indonesian caregiver/kaigo fukush‐ishi, Kaigo, Nursing
Home, Care
1. Introduction

Japan and Indonesia signed Economic Partnership Agreement (EPA) in 2007. One of theagreement is to accept Indonesian nurses to work as nurses (kanggo‐shi) in Japanesehospital and as caregiver (kaigo fukush‐ishi) in Japanese nursing home. This accepting
began in 2008. However they must passed the National Board Examination (Kokka
Shiken) to become registered nurse and caregiver in Japan. Before they passed the
National Board Examination they treated as candidate (kouhosha), and work as well as
study at the hospital and nursing home.
In this study I will focus only to Indonesian nurses who work as caregiver in Japan. I
will try to describe some of their experiences while working in Japanese nursing home.
61All Indonesian nurses sent to Japan all have background as registered nurse inIndonesia. However, nurses who chose the path of caregiver, in Japan they no longer a“nurse” and their work place is not in the hospital but in a nursing home. Their job is nolonger doing some medical actions but to fulfill non‐medical daily needs of the residents.
This changing identity can bring some unpleasant experiences for them. Communication
also becomes an important issue in a work that requires a lot of contact with otherpeople such as caring work. With exist difference in language they might also experiencesome problems in communicating with residents they care about. How they deal withthis communication barrier is important to us to know. However it should be noted thatunwanted experience could turn to be a good experience if we change our way of
thinking. And this is occurred to both of Indonesian nurses that I would describe theirexperiences in this journal.
Therefore the aim of this study is to making description about the experiences ofIndonesian nurses who work as caregiver in nursing home in Japan. To describe theirexperiences is necessary in order to know how they exactly feel about their work andlife. And further to show that although at the first they suffered disappointment but bychanging their perspective about kaigo (care), the experiences they gained in Japan canmake positive contribution toward their futures.

2. Methodology

This article was based from interview and participant observatory conducted fromFebruary to April 2016 at Himawari (pseudonym) nursing home in eastern Japan. I
worked as part timer with them and lived with one of the seven Indonesian nurses who
work in this nursing home. I did the same work with them from feeding to bathing, but I
did not making records or transfer the residents. The interview was conducted during
their holiday from one to two hours.
The total number of Indonesian nurses working in this nursing home was seven, four
female and there male. Their ages ranges between 25 to 34. Their educational
background is D3 (three year vocational nurse), and one of the nurse had an experience
working as an emergency nurse for five years in Jakarta. And only one of the nurse ismarried. Although in EPA scheme Indonesian nurses who work at the nursing homehave not passed the national examination is called caregiver candidate (kaigo fukushi‐shi
kouhosha), and who already passed called certified caregiver (kaigo fukushi‐shi), in thisstudy I will refer them as “Indonesian nurses”. From the participant observatory and in‐depth interview of seven Indonesian nurses, I select two interviews, Sari and Tomi (bothare pseudonym).

3. Introducing Sari and Tomi
I will introduce the experience of Sari and Tomi. Sari is a 27 years old female nurse
from East Java. After graduated from the nurse school she applied as caregiver to EPA
program. She was motivated by the fact that salary of caregiver in Japan is highcompares to nurse salary in Indonesia. However economical reason is not the only
reason for Sari to apply to EPA program. She says that she wanted to learn about
Japanese nursing. She is arrived in Japan in 2011 and already passed the Caregiver
National Board Examination. However she decided to return to Indonesia. The next
nurse is Tomi. He is a male nurse from West Java and born in a nurse family. He is 31
years old. Tired of being an emergency nurse in Jakarta, he decided to apply to EPA
program. Instead of choosing nurse path he chose to enter caregiver path. He is arrived
in Japan in 2014, and now working as caregiver candidate and also study to prepare for
the Caregiver National Board Examination.

62

4. Daily Works at Himawari Nursing Home

There are four shifts in this nursing home. Morning shift from 7 AM to 15.30 PM, day
shift from 9 AM to 17.30 PM, late shift from 11 AM to 19 PM, and night shift from 16.30
AM to the next day 10 AM. Below is an example of Himawari nursing home’s daily
routine for the day shift.
09:00‐09.10
09‐10‐10:00
10:00‐12:00
10:00‐10:30
10:30‐11.30
11:45‐12.30
12:30‐12:45
12:45‐13.45
13:45‐14:30
14.00‐16.30
15:00‐15.30
15:30‐16.00
17.00‐17.30

Morning briefing
Toileting assistance, changing diapers, return used diapers to collecting
area writing records
Bathing (only certain day)Prepare for noon tea and liquid diet (some residents consume a liquid
diet)Transfer the residents to the hall, feeding the residents with liquid diet,serving noon tea, lunch preparation
Serving lunch, feeding residents who need assistance, collecting eatingutensil and return it to the kitchen, writing records (make record about
how much the residents eat or drink, usually only percentage)
Toileting assistanceLunch break
Changing diapers and return it to collecting area
Bathing (only certain day)Preparation for snack and afternoon tea
Fold the resident’s clothes and return it to their rooms
Preparation for tea and dinner

However depend on the actual situation, there are some cases causing delay in thedaily routine.
5. Sari and Tomi’s Experiences in Himawari Nursing HomeI will describe some experiences of Sari and Tomi when they entered a Japanesenursing home. About how they felt when they found the truth about their job, how they
deal with residents, and about how they gain a new positive perspective about theirwork.
5.1 Imagination vs Reality

In the previous study, there are two main reason why Indonesian nurses working inJapan. First is to get higher salary and second to obtain knowledge about nursing inJapan (Hirano and Wulansari, 2009). As I pointed above, the main reason for Sari tocome to Japan is to get high salary and learn about nursing in Japan. However, Sari aswell as other Indonesian nurses who work in this nursing home admitted that they do
not have a clear picture of what is kaigo and what is the content of their work. It is truethat before they leave for Japan there was a an explanation about the work content ofcaregiver such as feeding and taking the residents for a walk. They argued that the otherpart of work such as lifting and transfer the residents, changing diapers, and cleaning job
was absent from the explanation. They are also forbidden to perform any kind of
medical actions. Hence they were surprised by the content of their work when they
delivered to nursing home.
“First time I came to this nursing home I was shocked by the content of the work. The
daily activities do not content the medical elements. I felt my character as nurse waskilled. I think we all Indonesian nurses sent to Japan to work as caregiver feel the sameway” (Sari)

63

This finding is similar to Wulansari and Alam (2010). In their study they found thatIndonesian nurses who work at the hospital in Japan feel disappointed because they
only allowed to perform non‐medical care before passing the National Board
Examination.
Before came to Japan, Sari worked several months as nurse at hospital in East Java. As
she explained, nurse’s main work in Indonesia is to give an injection, infusion, andprovide medicine. Therefore when she was sent to the nursing home and knowing that
her work was limited to the fulfillment of the basic humane care she felt very
disappointed.
5.2 Sabar and Bercanda as A Way to Communicate with Residents

Indonesian nurses sent to Japan learned Japanese language six months before going toJapan and six months after arrived in Japan. However for some nurses, the Japanese
language is still an obstacle in their daily works. They have trouble in communicatingwith the residents. For example, some who sent to rural areas have difficulty tounderstanding the local dialect (hougen), which is completely different with theJapanese standard they learned. And also one of the most important in their works is towrite a daily care note (kaigonisshi). Daily care note can be a hurdle for them because
they have to write it in kanji (chinese character). And in some nursing home daily carenote is handwriting. As demonstrated above, in order to become registered caregiver
they first must passed the National Board Examination. Therefore they work and study
for the National Boards Examination preparation at the same time. Because they have tolearn kaigo in Japanese, they found it difficult especially to understand technical jargon.
However despite in this difficult circumstance, Tomi says that the most important way
to communicate with the residents is with sabar and bercanda.
“It is hard to communicate with orang tua (elder people). But to build a trusting
relationship with the residents who have dementia or not is to repeat the same thing
everyday, we have to be patient. For example say your name everyday to them. If we do
it with patient, we will have close relationship with them. You will see, that evenresidents who have dementia will remember you. And don’t forget to bercanda (makejokes) with them. They need it, it’s an entertainment for them” (Tomi)
Tomi, every time ofuro (bath) time comes, will be wearing pink or blue apron and tied asmall towel on his head and greet “irasshaimase” (welcome) to all the residents who will
he bathed. One day there was one resident who come to him and asking the samequestion all day, and he said “see, that is why we have to be patient”. This kind ofcommunication makes Tomi the most favorite caregiver in his floor. One day when Tomi
did not come to work, a resident name Tachikawa (pseudonym) asked about Tomi toSari. “Where is Tomi?” Sari replied “He is not coming today, but don’t worry I will takecare of you today” but then she denied her “Oh no, I prefer Tomi”, and Sari was burst tolaugh.
5.3 Kaigo as New Knowledge

As I pointed above Sari and Tomi’s background is registered nurse in Indonesia. Before
came to Japan they did not have a clear picture about their work. When they found out
the truth about their work they feel disappointed because what they imagined and thereality was very different. However after they learned about kaigo and practiced it theygained a new perspective about kaigo.
“Kaigo can certainly be applied in Indonesia by applied it directly to the society. It can bepracticed in community health center or by opening a clinic on my own. I receive
patients at home and explain to them how to care for older people, or how to care older
people with dementia. For example if there is a dementia patient who can’t move his64legs, I can do rehabilitation. Doesn’t mean that kaigo have to be applied only in nursing
home, but we can apply directly in the society” (Tomi)“I realized that nursing is not always something about medical or pharmacological. In
Japan the nursing technology is very improved but there is also rehabilitation. What I
think the most important thing that I learned in here is called rengkei (cooperation). The
hospital cooperated with the rehabilitation center to get the patients recovered from
his/her illness. Its very different with Indonesia. I want to bring kaigo to Indonesia whenI return someday. I want to practice it for my family or for people in my village. Or if I
can for the people in Indonesia” (Sari)
Sari and Tomi realized that kaigo is a knowledge that can be applied in Indonesia.
Working in Japanese nursing home benefit them in how they planning for the future.
Kaigo is a manifestation of their future when decided to return to Indonesia. Not only forthem, kaigo that brought to Indonesia by Sari and Tomi is a benefit also for the people
around them. They can become agents of change in society about how to understand andcare for the elder people.

6. Conclusion
I have described the work experiences of Sari and Tomi. As we can see from above
description, there is a positive change of Sari and Tomi’s point of view for kaigo. Whenthey first being sent to Himawari nursing home, due to the lack of information
concerning kaigo and caregiver’s main work, they felt disappointment. However after
they learned and practiced kaigo in their daily work, they found kaigo as a newknowledge and can be practiced in their society. Experiences and knowledge theygained in Japan help them to plan for their future. In this study also we can see that theJapanese language still a hurdle for Indonesian nurses to prepare for their National
Board Examination. However in practice in their daily works at the nursing home, theJapanese language is not a barrier in communicating with the residents. In fact, Tomifound a way to communicate with the residents. That is with sabar and bercanda. Thisway of communicating makes him the most wanted caregiver in his floor.
Kaigo is a new notion for Indonesian nurses. Aging society and kaigo houken (long‐termcare insurance) are two things that distinguish between Indonesia and Japan society.
And the impact of the differences is felt directly by Sari and Tomi who work in nursing
home in Japan. I believe that the experiences of Indonesian nurses, who work in Japan,
like Sari and Tomi’s experiences, could give a positive influence for the Indonesiansociety in the future.

Acknowledgement
The author wish to express her gratitude to all Indonesian nurses who participated inthis study. Thank you for the trust and allowed me to stepped in into your lives andshare all the stories. I would like to express gratitude also to all the staff in Himawari
nursing home. Thank you to let me in and helped me learn about kaigo.

References
Bachtiar, Alam and Wulansari, Sri Ayu. (2010). Creative Friction: Some Preliminary
Considerations on the Socio‐Cultural Issues Encountered by Indonesian Nurses inJapan. In Bulletin of Kyushu University Asia Center, Vol 5, pp. 183‐192
Hirano, Yuko Ohara and Wulansari, Sri Ayu. (2009). The Japan‐Indonesia Economic
Partnership Agreement Through the Eyes of Indonesian Applicants: A Survey and a
Focus Group Discussion with Indonesian Nurses. In Bulletin of Kyushu University Asia
Center, Vol 3, pp. 77‐90

65

66

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Socioeconomics Relations

The Response Of Public In Palangka Raya To Bank Muamalat
Indonesia (BMI) Palangka Raya Branch
Ali Sadikin, SE, MSI1
Head of Magister on Islamic Economics, Graduate Program, State Islamic Institute (IAIN)
of Palangka Raya, Jl. G. Obos Komplek Islamic Center No. 24, Palangka Raya 73112,
Indonesia

Abstract

The main concepts on Islamic banking are the principle of justice and not charge interest
system. Through the prohibition of interest in Islam so that Islamic economics experts inagreement that re‐organization of Islamic banking should be implemented based on
partnerships (shirkah) and profit sharing (mudarabah). In other review, thecharacterized of socio‐cultural conditions as well as religious of public in Palangka Raya
those are the number of Muslim as majority and the level of religious life (based on
researcher observations), those things assumed have an influence to public response on
factors of product, service, socialization, benefit and social setting.
Author collects data used questionnaires and interview methods, to analyze the public
response and public perception to the existence of Bank Muamalat Indonesia. The aimsof this research are (1) to find the public response to the existence of Bank Muamalat;(2) to find and analyze the public response toward Bank Muamalat Indonesia usedscoring method to the questionary.
Based on the result of this research discovered that for the most part of public of
Palangka Raya (respondents) accept and respond positively to the existence of Bank
Muamalat Indonesia (BMI) Palangka Raya Branch. At the aspects of product, service,
benefit and setting social are in accordance as expected (adequate). While, public
response (respondents) at the aspect of socialization is still less and needs to be
improved

Keywords
Public Response, Bank Muamalat Indonesia

1

Telp. Fax: +62 536 3222105. Phone: +62 85248046845.
E‐mail address: ali.sadikin@gmail.com

67

The Response Of Public In Palangka Raya To Bank Muamalat
Indonesia (BMI) Palangka Raya Branch
1. Background
Islamic economics development in accordance with the progress of Islamic
financial institutions as the prime mover of financial institution. As one of the highest
Moslem citizens in the world, it was quite unfortunate that Islamic financial institutions
newly flourished in the late 1990s, after recommendation of Majelis Ulama Indonesia(Indonesian Council of Ulama) was released in the workshop on bank interest on 18‐20
August 1990. Indonesia was left behind compared to Middle East countries, even from
Malaysia.
At the era of 1940s, the concept of Islamic bank had emerged. Banking system inIslamic economics based on profit and loss sharing concept. The general principle isanyone who want to earn the outcome from savings, should be willing to take risks, thebank will also share the company’s losses if they want the outcome of their capitalgains.2 Mit Ghamr Lokal Saving Bank was the first modern Islamic bank in Mesir. In
Manila also established Philipine Amanah Bank in 1973 and Dubai Islamic Bank in 1975,
placed in Dubai.3
After going through a long process though a bit late, at the end of 1991, precisely
on 1st November 1991 was the signing of the Deed of Establishment of PT Bank
Muamalat Indonesia.4 Then on 1st May 1992, Islamic financial institutions, such as Bank
Muamalat Indonesia, Bank Perkreditan Rakyat Shariah and Asuransi Takaful started tooperate. Along with the emergence of those Islamic financial institutions, an Islamic
financial institution also established in Palangka Raya that is Bank Muamalat.
Contemporary Moslem scholars have been formulated Islamic banking products, which

2Muhammad, 2001, Bank Syari’ah: Analisis Kekuatan, Peluang, Kelemahan dan Ancaman, Ekonosia, Kampus
Fakultas Ekonomi UII, Yogyakarta.
3M. Syafi’i Antonio, Bank Islam dari Teori ke Praktek, Jakarta: Gema Insani Press, 2001, p. 18 and p. 25.
4Syamsul Anwar, Permasalahan Produk‐produk Bank Syari’ah: Studi tentang Bai Muajjal (P3M, IAIN Sunan
Kalijaga, 1995), p. 17.

68

have been adjusted to the concepts of muamalat contained in fiqih books by ulama5,sourced from Al‐Qur’an and Hadith.
Characteristic of those financial institutions above, showed from the products
offered that assumed be able to give sense of fairness and more Islamic. Those financial
institutions have implemented their products in line with qawaid al fiqhiyah6 so that
expected will be able to meet Moslem’s desire, especially to transact with no riba
(usury) or interest which has been a polemic.
The peculiarity of Islamic bank is it used an approach which prioritize sense ofjustice, and forbids an interest. Through the prohibition of interest in Islam, the expertsof the modern economy agree that re‐organization in banking should be implemented
based on partnerships (shirkah) and profit sharing (mudarabah).7 Replaced an interest
mechanism, some ulama believe that in an individual project funding, the best
instrument is profit sharing.
However, as the result of a field observation, in practice it should be recognizedthat the transaction of muamalat activities often incompatible with the concepts ofIslam, as happened in Palangka Raya. A lot of transaction practices on muamalat which
incompatible with revelation. In muamalat cases, some people rarely heed the norms
and ethics that regulated in Al‐Qur’an and Hadith, whereas almost everyone knows theprohibition of riba (usury). Its indication can be viewed from the loss among community
or business institutions. For example in this case is habit of public in Palangka Raya,
especially around author’s neighborhood who still borrowing money (debt) to the loan
sharks while borrowing money to Islamic bank. Some traders prefer to borrow fund to
an investor who are preparing a fund but asking for interest (usury) in a row.8

5Ulama is an expert on Islamic law. In this paper, ulama identified as an expert in Islamic economics who
participate actively in the implementation of the concepts of Islamic values to the operational of Islamic banking, which is
being developed nowadays.
6Rules of fiqih or the principles of Islamic law.
7Nejatullah Siddiqi, Kemitraan Usaha dan Bagi Hasil dalam Hukum Islam, (Jakarta: Dana Bhakti Prima Yasa,
1992), p. 1.
8Based on author’s observation to people who involved debts with loan sharks style.

69

Actually, it is a reality that Moslem community in Palangka Raya obey the rulesof Islam in field of ibadah (worship/ibadah mahdah), But unfortunately Tuan Guru
(ulama in Palangka Raya) seem do not change too much on religious life of Moslems inmuamalat aspect.
In the context of mutual benefit in business, Bank Muamalat exists to serve thecommunity, especially in Palangka Raya as well as Central Kalimantan. In one side,product of Bank Muamalat is needed by people to be business partners and develop
business. But in another side, operational of Bank Muamalat still experiences many
obstacles to implement its products. This case caused not only by material regulations(its substance) in form a concept of its products, but also influenced by external factor
that is behaviour of stakeholders of muamalat in general. These things greatly affects the
response of public in Palangka Raya to Bank Muamalat Indonesia (BMI) Palangka Raya
Branch.

2. Literature Review
The research by Ashanul In’am (1996) on ”Performance Analysis of BMT” moreoriented to ”want to know or examine” the hyphotesis about opportunities andobstacles faced by BMT in the economic empowerment of people through its businessstrategies consisting of site selection, prices and services. This research states that BMT
has high opportunity to carry out its mission and empower small business.
Other research on How BMT give credit to customer with no interest system by
Yustikosari (1996) oriented to credit with mudharabah system practiced by BMI
without binding the customer through contractual system as customer or creditor anddebtor, but both in balanced position, that is as partners. He also concluded that theexistence of Bank Muamalat Indonesia is more independent than conventional bank.
This superiority, is a characteristic from Islamic bank and distinguish it fromnon‐Islamic financial institution system. As stated by Abd. Adhim (1998) in his researchon comparative between Bank Perkreditan Rakyat (BPR) with Profit Sharing system and70

Bank Perkreditan Rakyat with interest system (conventional). The result of this researchconcludes that profit sharing system has positive double values. It means that BPR
through profit sharing system not only plays its role as financial institution but also
implements Islam mission that is Amar Ma’ruf Nahi Munkar.
In international scale, banker and Islamic economist also have done research on
various aspects related to Islamic banking. Comparative study did by Abdul Gader A.,
and Gahrani S., on “Islamic and Commercial Banking Role in Economic Development: A
Comparative Financial Evaluation” in 1990 that compared three Islamic banks (Bahrain
Islamic Bank, Faisal Islamic Bank, in Bahrain and Dar Al mal Al Islamic with non‐Islamicbank (Nation Commercial Bank in Saudi Arabia and Saudi American Bank). The result of
this research shows that: 1) Islamic Bank tends to maintain a higher ratio between cash
and deposit than non‐Islamic bank; 2) Percentage of equity capital (equity) to total
assets in Islamic bank is higher than traditional bank that operated in same region; 3)Islamic Bank shows higher profit ratio than traditional bank that operated in same
country; 4) Islamic Bank is more efficient than commercial bank which proved by theratio of non‐interest expense with gross revenue (Metwally, 1995 : 149).
Anwar Igbal Qureshi (1973 : 113) in his book “Islam and the Theory of Interest”
explains specifically about Islam and credit. He states that Islamic banking is consistentto Islamic doctrine wisely avoids things that harm for one side, and also put capitalowner and trader in same level, and combine their interests. If there is someone who hasfund without experience or skill that needed to run a business, and also another one
who does not has fund but skill that needed by Islamic business institution, as seen in
Islamic banking practice that combines those both interests through fund from the first
person and skill from the rest would be permitted because profitable if combined tobusiness institution in order to get profit proportionally.
Anita Rahmawati, in 1999/2000 through her dissertation: Controversy on
Validity Status of Murabahah in Islamic Banking: Study of Product Implementation of71

BMI Semarang Branch. In this research, main theme is focused to controversy of a
product of Islamic bank that is murabahah. This research is not too different withresearch by Syamsul Anwar, because the product bai bi saman ajil in the principle isdeveloped from murabahah. But, this research has more value because this is fieldresearch which is in BMI Semarang Branch. Its difference with research by author is thisdoes not look for the response of public (muamalat behavior) to the product, as well as
the difference of research location.
Based on those researches above show explicitly the positive dynamics on
growth rate and system of operationalization of Islamic banking. In addition, the systemthat has been implemented by Islamic bank and Islamic financial institutions with nointerest is responded positively by public. It caused by an assumption that interest is
prohibited and contains the element of exploitation.

3. Research Methods
This research uses descriptive analysis method that draws and explains about the
response of public in Palangka Raya to Bank Muamalat Indonesia (BMI) Palangka Raya
Branch and the response of public in Palangka Raya to the factors of product, services,
socialization, benefit and social setting of public of Palangka Raya in form of table andpercentage.
Data

of

this

researchcollected

through:questionnaire,interview

anddocumentation. Through those methods valid data would be collected that related to the
problem of research.

4. The Results of Researcha. Response of Public to Bank Muamalat Indonesia
Data collecting as one method of this research has done during March to April
2006. Data collecting methods that choosed are questionnaire used checklist. The
questionnaire spread to respondents consists of: (1) Bank Mualamat practitioners,
either management or employee, (2) customers; (3) public figure/tuan guru (ulama) (4)72public non‐customer. For respondent who not knowing about Bank Mualamat will get an
explanation, especially for non‐customer respondent. The result of this research about
the response of public in Palangka Raya to Bank Mualamat Indonesia (BMI) Palangka
Raya Branch can be viewed on the tables below:
a. Based on respondent knowledge
Table 1.1. Response of Public Based On Knowledge
Opinion of Respondent
Know

Frequency
12

Percentage
8%

Just know

74

49.3%

Know little

35

23.3%

Do not know

29

19.3%

Total

150

100 %

Source: Result Data of Questionnaires
From the table 1.1. known that 12 respondents (8%) stated they know about theconcept of Bank Mualamat. 74 respondents (49%) stated they just know about theconcept of Bank Mualamat. Whereas 23,3% stated they know a little thing about theconcept of Bank Mualamat. And 29 from 150 respondents (19,3%) stated they do notknow about the concept of Bank Mualamat. From this research as the table above
concludes that mostly people in Palangka Raya have little knowledge on the concept ofBank Mualamat. Based on that respondents little knowledge so that needed a proactive
effort from Bank Mualamat to inform and explain to public about the concept of Bank
Muamalat.
b. Based on Source of Information
Table 1.2. Response of Public Based On Source of Information
Respondent’s Opinion
Mass media
Advertisement

Frequency
59
0Percentage
39,3%
0
73

Friend/relation

47

31,3%

Others44

29,3 %

Total

150

100%

Source: Result Data of Questionnaires
70
60
50
40
Series1

30
20
10
0
1

2

3

4

Source: Result Data of Questionnaires
Table 1.2. Response of Public Based On Source of Information
Grouping based on source of information displayed above (table 1.2.) has shown
59 respondents (39,3%) stated that they got information about Bank Muamalat frommass media. No respondent (0%) has gotten information about Bank Muamalat fromadvertisement. 47 respondents (31,3%) got information from friend/relation. 44
respondents (29,3 %) got information about Bank Muamalat from other media such associal gathering, associations and others.
Based on result of research about source of information that people get about
Bank Mualamat Indonesia, mass media plays big role to socialize Bank Mualamat
Indonesia (BMI) Palangka Raya Branch. Therefore, mass media is very effective toimprove people’s knowledge in Palangka Raya.
Furthermore, friend/relation and other media also play effective role to giveinformation about Bank Mualamat. However, if explored further, people will giveinformation about anything (including bank) if they feel satisfied from that thing. Basedon those facts, so management of Bank Muamalat should prioritize customer
satisfaction.
c. Based on Types of Respondent74

Table 1.3. Types of Respondent of Research

Respondent’s Opinion
Frequency
Bank Mualamat’s Employee
12
Customer68
Non‐Customer
62
Public Figure
8
Total
150
Source: Data from Result of the Questionnaires

Percentage
8%
45,3%
41,3%
5,3%
100%

70
60
50
40
Series1

30
20
10
0

1

2

3

4

Source: Result Data of Questionnaires
Information above in table 1.3. shows a general description of respondent basedon its types, that majority of respondents of Bank Muamalat Palangka Raya Branch areboth customer (45,3%) and non‐customer (41,3%). The next frequency came from
employee of Bank Muamalat (8%) and public figure (5,3%). Based on types of
respondent that show majority of respondents are customer and non‐customer.

b. Public Response to Product, Service, Socialization, Benefit and Social Setting
As in the data of public response on Bank Muamalat, data of public response
about (1) product; (2) service; (3) socialization; (4) benefit (5); and social settingcollected through questionnaire instrument in collecting. Data collecting could be
described as follows:a. Public Response to the aspect of ProductResult data of research about public response on product of Bank Muamalat75

composed to 5 categories; strongly disagree, disagree, doubtful, agree, and strongly
agree. Result of research as in the table 1.4. below:
Table 1.4. Public Response to the Aspect of ProductRespondent’s Opinion

Frequency

Percentage

Strongly disagree

2

1,3 %

Disagree32,0 %Doubtful

32

21,2 %

Agree

85

56,7 %

Strongly Agree28

18,7 %

Total

150

100 %

Source: Result of the Questionnaire
Based on the result of research above, can be known that mostly respondents
agree with the product of Bank Muamalat (56,7 %), followed by doubtful (21,2%),strongly agree (18,7%), disagree (2,0%) and strongly disagree (1,3%) as the last. The
conclusion is mostly respondent agree with the product of Bank Muamalat. For further
details can be viewed in pie chart below:

Strongly Disagree
Disagree
Doubtful
Agree
Strongly Agree

Source: Result Data of Researchb. Public Response to the aspect of Service
Result data of research on public response about service aspect of Bank
Muamalat composed to 5 categories; very low, low, normal, high and very high, that canbe viewed in the table 1.5. as follows:76

Table 1.5. Public Response to the Aspect of Service In
Bank Mualamat
Respondent’s Opinion
Frequency
Percentage
Very low
Low
NormalHigh
Very highTotal
Source: Result of the Questionnaire

3
13
47
68
19
150

2,0 %
8,7 %
31,3 %
45,3 %
12,7 %
100 %Based on result data of research above, can be known that mostly
respondents rate “high” for service aspect (45,3%), and the rest 31,3% rate normal,
12,7 % rate very high, 8,7% rate low and 2% rate very low for the quality of service
aspect. The conclusion is mostly respondents agree with service model of Bank
Muamalat as one of the factors of consideration by customer. For further details canbe viewed in pie chart below:

Very low
Low
NormalHigh
Very highSource: Data from questionnairec. Public Response to the aspect of Socialization
Socialization aspect is an important aspect to make Bank Muamalat Indonesia(BMI) known by public. Socialization aspect that has been implemented by Bank
Mualamat Indonesia (BMI) Palangka Raya Branch evidently gets low rating from public
in Palangka Raya. It means that product of Bank Muamalat Indonesia Palangka Raya
Branch is not much known by people.
Respondent’s statements to the aspect of socialization can be viewed from publicawareness on Bank

Muamalat Indonesia (BMI) Palangka Raya Branch.

Those
77

statements composed in the table 1.6. below:
Table 1.6.

Public Response to the Aspect of Socialization

Respondent’s Opinion

Frequency

Percentage

Very low

13

8,7 %

Low

24

16 %

Average

79

52,7 %

High

34

22,6 %

Very high

0

0

Total

150

100 %

Source: Result of the Questionnaire
From the result of questionnaire in the table 1.6. above known that socialization
factor is very desicive for public awareness to the concepts or products which are
owned by Bank Mualamat. From the questionnaire known that socialization aspect isstill less intense. 52,7% of respondents have average knowing on products of Bank
Mualamat Indonesia Palangka Raya Branch, while 16% have low knowing on productsof Bank Mualamat Indonesia Palangka Raya Branch.
Socialization by Bank Muamalat Indonesia has a significant value to affect the
public use Bank Muamalat’s services However, based on those respondent’s opinion
above, socialization that has done by Bank Muamalat shows an unsatisfactory result.
This socialization must always be implemented so that public in Palangka Raya who
mostly are Muslim will know, understand and desire to use Islamic bank services at last,
so the purpose of Islamic bank establishment (Bank Muamalat Indonesia) as analternate means for Muslim to avoid interest system will be achieved. Socialization
aspect of Bank Muamalat Indonesia (BMI) Palangka Raya Branch is not quite optimal as
showed below:

78

100
80
60

Series140
20
0Very low

Low

AverageHigh

Very highSource: Result of the Questionnaire
According to one customer of Bank Muamalat Indonesia who is living in Kereng
Bangkirai Urban Village, Sebangau sub‐district, which majority people living there are
Muslim, that mostly people in his neighborhood do not know about products offered by Bank
Muamalat Indonesia. Moreover, there are some people do not know that Bank Muamalat
Indonesia Palangka Raya Branch is exist.9 Indeed, it related to lack of effort to socialize its
products, especially from Bank Muamalat Indonesia Palangka Raya Branch itself.
Consequently, it is needed to socialize Bank Muamalat Indonesia Palangka Raya Branchmore intensive.
d. Public Response to the aspect of Benefit
Public statement on the existence of Bank Mualamat Indonesia (BMI) Palangka
Raya Branch for the most part respond positively, it means that they welcome to theexistence of BMI. It can be viewed from respondent’s answer on the aspect of benefits
which exist in the concept of Bank Muamalat Indonesia, those are tauhid (Oneness ofGod), social (togetherness) and economy. In a review of aspect of the anti‐usury (anti‐riba), there are various opinion of respondent between agree and disagree. The answerof respondent on the aspect of benefits that exist in Bank Muamalat can be viewed in theThis is further strengthened by opinion of some students who interviewed by author.

979

table 1.7. as follows:
Table 1.7.

Public Response to the Aspect of Benefit

Respondent’s Opinion

Frequency

Percentage

Strongly Disagree00%Disagree

22

21,3%

Doubtful

32

19,3%

Agree

66

44%

Strongly Agree

23

15,3%

Total

150

100%

Source: Result of Questionnaire
Based on result of the questionnaire in the table 1.7. above is known thatpublic response to the aspect of benefit given by Bank Muamalat is quite high. 44%
of respondents agree, while 21,3% disagree, and the rest are 19,3% stated doubtful
and 15,3% strongly agree.
When author talk to some people of Kereng Bangkirai Urban Village in informalinterview, their reason in choosing to use banking is their needed to withdraw funds,
without consider which is haram (forbidden) or not. Indeed, in this case, the concept ofharam (forbidden) of banking interests is very thin. People thought, if there is any bankthat allow interests, why should looking for Islamic bank, especially if its location is not
strategic. This thought generally used by Muslim in Palangka Raya, in addition to
emergency reasons. 10 So that needed a proactive effort from all parties who know
and understand about muamalat to explain to public. Those public opinion above
can be viewed visually as follows:

10Author heard this thought when author did an interview. It was also opinion by some respondent who are non‐customer of Bank Mualamat.

80

70
60
50
40

Series13020
100Strongly disagree Disagree

Doubtful

Agree Strongly agree

Source: Result Data of Questionnaire
Diagram on Public Response to the Aspect of Benefit
Actually, whether interest is same with riba (usury) or not had been discussed by
MUI (Indonesian Council of Ulama) in workshop on Bank Interests and Banking at
Cisarua, Bogor on 19‐22 August 1990. In that workshop, it was recognized about two
opinions on bank interests, those were an opinion which believed that bank interests isriba (usury) and forbidden, and other opinion which assumed that bank interests ishalal (permitted). Hereinafter, in the 4th National Conference of MUI period of 1990‐
1995 on September 1990 in Jakarta, both ulama (expert in Islamic law and economics)
who believed that bank interests is haram and ulama who assumed that interest is halal
they agreed to develop a system and procedure of banking which is non‐interest. Thisagreement contained in The Broad Outlines of the Work Programme of IndonesianCouncil of Ulama 1990‐1995.11
Polemic of the existence of bank interests itself become an obstacle for growthand development of Islamic bank. According to Muhammad Hasbi’s opinion that
Islamic bank nowadays is getting less attention by people due to the controversy oflegal status of bank interests. Furthermore, and this is an expectation of Islamic
11Karnaen Perwata Atmadja, "Peluang dan Strategi Bank Tanpa Bunga dengan Sistem Bagi Hasil dalam Bisnis
Perbankan di Indonesia", in Hamid Busyaib and Mursyidi Prihantoro (ed.), Bank Tanpa Bunga (Yogyakarta: Mitra Gama
Widya, 1993), p. 1‐2.

81

banking practitioners, government through MUI (Indonesian Council of Ulama) should
unite public perception on bank interests to release fatwa (legal opinion or legal
pronouncement) that declare bank interests is haram (forbidden), and people mustswitch to Islamic bank based on shariah as an alternative.12
e. Public Response to the aspect of Social Setting
Social setting aspect is a characteristic of people condition in Palangka Raya that
may affect public response on Bank Muamalat Indonesia Palangka Raya Branch. Thatthing above can be viewed from the result of questionnaire contained in table 1.8. asfollows:
Table 1.8. Public Response to the Aspect of Social Setting
Respondent’s Opinion

Frequency

Percentage

Very low

9

6%

Low

39

26%

Normal

42

28%

High

55

37%

Very high

5

3%

Total

150

100%

Source: Result Data of Questionnaire
60
50
40
Series130
20
100
Very low

Low

NormalHigh

Very highSource: Result Data of Questionnaire
As table 1.8. above can be known if mostly respondents agree that social setting
When author interview an Islamic bank practitioner in Palangka Raya.

1282

aspect has significant role (37% for high option), while 28% choosed normal and 26%
choosed low. It means that characteristic of people condition is an important thing forIslamic economics development, in this case is Bank Muamalat Indonesia Palangka Raya
Branch. Based on respondent’s opinion in the table 1.8. above, social setting aspect has
significant role for public in Palangka Raya to respond the existence of Bank Muamalat
Indonesia Palangka Raya Branch.

5. Conclusion
Based on analysis result to 150 respondents through questionnaire, so according
to problem formulation in this research can be concluded as follows:
1. Public response to Bank Muamalat Indonesia (BMI) Palangka Raya Branch isgood (positive). It showed by the result of research which mostly people in
Palangka Raya (respondent) respond positively to the existence of Bank
Muamalat Indonesia (BMI) Palangka Raya Branch.
2. Public response on the aspects of product, service, socialization, benefit andsocial setting is conformity to the expectation. In simple words, people in
Palangka Raya accept the product and they are pleased with the performance ofBank Muamalat Indonesia (BMI) Palangka raya Branch.

83

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A, Chotib, 1962. Bank dalam 1slam, Jakarta: Bulan Bintang.
Abdurraahman, Masduha. 1992, Pengantar dan Asas‐asas Hukum Perdata Islam (Fiqih
Muamalat), Surabaya: Central Media.
Alsa, A, and Santoso, F.H. 1997. “Faktor‐faktor Pendukung dan Penghambat bagi Dosen
Kelompok Ilmu Sosial‐Humaniora dalam Melakukan Penelitian melalui Lembaga
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Basyir, A. Azhar, 2000. Asas‐asas Muamalat (HukumPerdata Islam), Yogyakarta:
Perpustakaan Fak. Hukum UII.
______________, 1994. Refleksi Atas Persoalan Keislaman: Seputar Filsafat, Hukum, Politik
dan Ekonomi, Bandung: Mizan.
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Perpustakaan Fak. Hukum UII.
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Mitra Gama Widya.
Fauzi, Yuslam. "Peranan, peluang dan Tantangan Bank Syari'ah Sebagai Salah Satu
Lembaga Pemberdayaan Umat dalam Memasyarakatkan Ekonomi Syari'ah",
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Muslehuddin, Muhammad, 1994. Sistem Perbankan dalam Islam, Jakarta: Cet. II, PT.
Rineka Cipta.
Nadirsyah, 1999. "Bunga Bank dalam Perspektif Islam", Yurisdiksi First Edition.
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Karim (Ed) Berbagai Aspek Ekonomi Islam, Yogyakarta: Tiara Wacana dan FE UII.
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Siddiqi, Nejatullah, Kemitraan Usaha dan Bagi Hasil dalam Hukum Islam, (Jakarta: Dana
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85

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Socio‐Humaniora

Fairytale Roles in Family Communication as Effort to Encourage
Early Childhood Development: Literature Study
Uha Julaehaa, Anissa Faradillab
aCommunication Science Faculty, Padjadjaran University, Jalan Raya Badung‐Sumedang

KM 21, Jatinangor 45363, West Java, Indonesia

bPsychologic Faculty, Padjadjaran University, , Jalan Raya Badung‐Sumedang KM 21,

Jatinangor 45363, West Java, Indonesia

Abstract

Fairytale becomes a family communication tools needed to teach moral values inchildren. However, there are still a few families applying fairytale in theircommunication activities. Increasingly rampant child care services prove that many
parents are not confident in their ability to care for children. Moreover, anxiety ofparents toward the child inaction in adapting establish parents enter their children toschool as early as possible without considering the readiness of the child. This affects
the creativity of parents serve communication. Whereas, the family as the smallest
institution in a society authoritative the child's basic independence. The data from thisresearch based on literature review. Based on Pupung Puspa Ardini researches data
entitled “Pengaruh Dongeng dan Komunikasi Terhadap Perkembangan Moral Anak Usia
7‐8 Tahun” with 60 children samples which be placed on experimental class and control
class between fairytale and folktale, the most average high communication skill occurs
from fairy tale class. It happened because fairytale have variety plots with various
vocabularies. Continuously, fairy tale able to provide reciprocal emotionally andpsychologically. The seriousness of the parents in finding the fabled quality readingmaterial is needed to support their children's development. With consistently
storytelling activity, parents have a duty to prepare the best reading material for theirchildren and applicable to the real environment.

Keywords

Family Communication, Psychology, Parenting, Parent‐children Interaction, Fairytale.

1. Introduction
1.1. family communication
Familycommunication
simultaneously
manipulatesinterpersonalcommunication. Family Communication more than just the exchange of words
between family member. (Thames, s.a.). On family communication, there are two*

Corresponding author. Tel.: +62‐8967353403;
E‐mail address: uhajula@gmail.com

86orientation patterns: conversation orientation and conformity orientation.
Conversation orientation refers the degree where members of a family noticed
communication as a primary tool to maintain family trust. And conformity
orientation refers the furthest degree family believe that communication shouldemphasize homogeneity of attitudes, beliefs, and values. (Koerner & Fitzpatrick,
1997, 2014).

Figure 1. Four Tipes Family Communication Pattern (Koerner & Fitzpatrick, 2004)

The effect of two dimensions of communication in families created four family
tipes that are qualitatively different: consensual, pluralistic, protective, and laissez‐
faire (see on fig.1.). In Consensual families, parents are very interested in what theirchildren have to say, but at the same time, the parents consider themselves the final
decision makers. They resolve the tension by listening to their children and spend
time and energy in explaining their decision, value and beliefs and decisions hopedthat their children understand the reasoning behind their decisions. Pluralistic
families are characterized by open, consentrained discussions that involve all family
members and a wide range of topics. Parents do not feel a need to be in control of
their children, to make decisions for them or to agree with their decisions. Opinions
are openly discussed and evaluated based on argumentative support rather than on
who promotes the argument. Protective families are characterized by an emphasison obedience to parental authority and by little concern for conceptual matters or
for open communication within the family. Parents tend to make decisions for thechildren and see little value in explaining their reasons to their children. Laissez‐
faire families are characterized by few and often lifeless interactions between family
members that involve only a limited number of topic. Parents tend to believe that all
family members should be able to make their own decisions. In contrast to otherfamilies, parents show little interest in their children’s decisions; therefore, conflicts
are rare. (Koerner & Fitzpatrick, 1997, 2014; 2004; Alm, 2015).
Family communication enable to establish communication climate between theirmembers. And influence child acquisition to adopt communication from theirparents. Moreover, family as a smallest institution member unit of society, is the firstteacher on explaining daily actifities as child's basic independence.
Unfortunately, Increasingly rampant child care services prove that many parents
are not confident in their ability to care for children and depending on the caregiver.
Another for example, anxiety of parents toward the child inaction in adapting
establish parents enter their children to school (pra‐school; kindergarten) as earlyas possible without considering the readiness of the child. Whereas, parents do not87certainly know how that school nurtures their children. They only know from school
branding.
1.2. Childhood development
Development influence personality and it is important to individual traits.
Individu’s personality formed when their child especially early childhood. Early
childhood period spanned the years from birth through age 8. (NAEYC, 2009). Its
boundaries refers to the child who have not reach school age.
Generally, human learn behavior from interaction, and observation of social
context. (Bandura, 1986). Bandura (1997) said that the new response patterns are
acquired by direct experience or by observation (in the form of modeling, imitation,and vicarious experience). Two important components are symbolic activity (allows
individu to process information and to remember it using words and idea that servefor future behavior) and self‐regulatory capacities (the ability to monitor one’s own
behavior according to antecedents and consequences).
1.3. Fairytale
Folklore is plural form form ‘folk’ and ‘lore’. Folk is a similar word with‘collective and keep of physical, social, and cultural. Lore has mean of hereditaryculture heritage. There are so many kinds of folklore. One of them be formed by folk‐
prose like myth, legend, and folktale. (Bascom, 1965). Civilization which has time
dimension encounter form presentment evolution. Folktale rated folk‐prose oldversion and the modern version is a fairy tale. Fairytale becomes a family
communication tools needed to teach moral values on social context for children. It
happened because fairytale has variety plots. However, there are still a few families
applying fairytale in their communication activities.
According to Bowlby theory (1958), there are two kinds of attachment: secureand insecure. Positive relationship formed from prepared secure. (Santrock, 2011).
Parents‐child secure could become a quality time form. Quality time is not just how
many parents spend time together with their children, but also how much quality
activities have been done with their children. Fairytale could bridge to form an
attachment because fairytale activities require activities together between parents
and children. Attachment build trust‐feeling both of them.
Furthermore, fairytale enables become one way to fulfill physical, social, andemotional needed by its plot. Fairytale also can expand socio‐emotional of child byextending moral value about good or bad behavior.
2. Material and Methods
2.1. Literature Material Collection
This research is using literature study taken from various published journals.
The journal from Internet sources is entirely free full text. It retrieval used three
primary subjects: family communication, early childhood, and fairy tale.
Appropriate journal selected manually based on the needed topic to be included as
literature.
2.2. Method Discussion

88This research used descriptive paragraph to explain literature review. Research
object concentration began by asking questions: “Is there role to encourage earlychildhood development through the kind of fairytale on family communication?”.
Research discussion started out with a discussion about family communication, thenthe problems occur in family communication that make gape for children to express
their feelings. Especially between parents and early childhood. After that, the author
finds alternative solution to build communication between parents and earlychildhood as effort to negotiate problems on these family communication byinteractive fairytale. The kind story is fairytale to help encourage child development.
3. Discussion
The ability of parents to make a communicating climate affects family
communication. Probably, children often feel discomfort in expressing their feelcaused parenting problems like excessive sanction, hyper protection, insufficientrequirements, encouragement of infantilism, and undeveloped parental feeling.
There are differences in the orientation of family communication between father andmother (especially fathers to sons) can be entered in the communication approachbased on gender. A good family interaction represents the climate and good family
atmosphere. In hope, family communication pattern has entered a phase consensual
type. Where the parents give an opportunity to their children to define themselves
by reviews their own way.
Parents usually have spare time during weekday and weekend. Parents should
prepare quality time to interact with their children proved that they show anaffection for the child.
Table 1 Activities carried out strenghtening relationship (Havigerová, 2015)
Rank

Activity (Cathegorised)

Absolute Frequency

1
2
3
4‐7
4‐7
4‐7
4‐7
8
9
10

Talking
ReadingGames
outdoor Activities
Interests and Hobbies
Works
Just Being Together
physical Contact
Sport
Learning

25
22
19
13
13
13
13
12
8
1

TOTAL

139

Relative Frequencies
17.99%
15.83%
13.67%
9.35%
9.35%
9.35%
9.35%
8.63%
5.76%
0.72%
100%

The table above describes interaction frequency on weekdays (5 days x 4hours) and weekend (2 days x 10 hours) between parent‐child. The results showedthat the activity of reading into the second interaction is often done. And mostquality interaction time is on weekdays.
Based on the data Researches Pupung Puspa Ardini entitled “Pengaruh Dongeng dan
Komunikasi Terhadap Perkembangan Moral Anak Usia 7‐8 Tahun” or in English is"Tales Influence and Communication Against Childhood Moral Development 7‐8
Years", the average number of children who have high communication skills lies in89the modern fairy tale compared to the class folktale. This is cause modern fairy tale
has a groove varied with diverse vocabulary.

Figurev2. The average score of Communication and Moral Development of Tale (Ardini, 2012)

The picture above explains the differences fairy tale quality affects
communication abilities. There are four results of research stretcher: wide fairytale
storyline is very interesting children to continue to listen to stories and enrichchildren's vocabulary information; there are significant interactions between fairy
tale with communication capabilities. Groups of children with high communication
skills have a higher courage to express the ideas of the story when the storyteller
gives a chance to choose the storyline, making it easier to gain an understanding ofsocial values; moral development of children who have high communication skills
and given a modern fairy tale fantasy is higher than children who are given the
traditional fairy tale. They have the ability to be more spontaneous and daring
convey ideas when modern fairy tale fantasy takes place; and moral development ofchildren aged 7‐8 years who have poor communication skills have no differences
between the groups were given a fairytale modern fantasy and traditional
storytelling. This is because the traditional tales and modern fantasy are interestingfor children to observe.
4. Results
The best approach might be a parent do to build a family communication, suchas:
1. Listeners / Active listening. Listen carefully what their want. Encourage children
to talk and express feeling.
2. Be open‐minded. When parents speak with their childhood with preaching.
Indirectly, the child is limited in the act or say something. Thus, communicationis merely instructions.
3. Avoid to speak up. Avoid say anything that could hurt and make‐traumatic.
Fairytale potentially to approach family communication pattern. Activity in story
telling has two‐way interaction between the communicator (the parent) andcommunicant (the kids). Thus, fairy tales can be used for activities both indoors andoutdoors on the parent‐child quality time. The feedback that appears a proactive
action depends on the presentation of a fairy tale. Content can be presented in theform of a fairy tale: reading with intonation in accordance with the flow; kinesthetic
by demonstrating specific grooves; or use hand puppet. So choosing a fairy tale ininteracting not be an obstacle because every parent has a different storytelling skill.
In the narrative fairy tale, often illustrated how to behave in a good society.
Therefore, fairytale is able to stimulate the communication of children emotionally90and psychologically. For example illustrates the value and ethics to be aware of how
to respect the old and cherish the young; improve emotional intelligence in order todevelop of sympathy and empathy; stimulate children have a large imagination, able
to think out of the box; improve verbal skills, and develop interest in reading to
improve their language skills.
How to tell stories that can be used:
a. Read a narrative. The most basic way is used for parents who have difficult to
express themselves. These difficulties can be covered by adding image features
on a book of fairy tales. So the children’s imagination on the picture has an audial
effects from the narrator. To make more attractiveness, bring more than one
book to choose by children.
b. Using a hand puppet, both finger puppets and hand puppets. Supporting
equipment like that was intentionally provided by parents to tell stories. It also
shows the seriousness of parents in the storytelling. And usually, parents who
use this method have been adept at processing into a form kinesthetic
imagination.
c. Using appliances. Such as kitchen utensils, toiletries, and so on. It is shown thatevery activity, there are many lessons to be drawn. And trigger the child's
imagination. Fairy tales activity could be done during the hours weekdays.
Usually when weekdays, all family have free time. And is used to gather withfamily. The best time to gather is between 19:00‐up to bedtime.

Figure 3. Concept of Interaction Fairytale‐family ( Julaeha; Faradilla, 2016)

5. CONCLUSION
Fairy tale has a proper test to use in the system of teaching and learning
activities of children through adolescence. Through communication family, fairy tale
has a potential to promote early childhood development. This is occurring cause
there are various interactions in a fairy tale, in the presence of a fairy tale. At least byreading the narration. Thus, fairy tales can be applied to the family. Even though
every family has different skills to telling a story.
Continuously, fairy tale able to provide reciprocal emotionally andpsychologically. The seriousness of the parents in finding the fable quality readingmaterial is needed to support their children's development. With consistently
storytelling activity, parents have a duty to prepare the best reading material for
their children and applicable to the real environment.

91

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93

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Socioeconomics Relations

Economic Thought Of Ibn Taimiyah On Market Mechanism In
Perspective Of Moslem Scholars
Dr. Ahmad Dakhoir, SHI, MHIa., Itsla Yunisva Aviva, M.Esyb.1
aLecturer of Economic Law, State Islamic Institute (IAIN) of Palangka Raya, Jl. G. Obos

Komplek Islamic Center No. 24, Palangka Raya 73112, Indonesia

bLecturer of Islamic Economic, State Islamic Institute (IAIN) of Palangka Raya, Jl. G. Obos

Komplek Islamic Center No. 24, Palangka Raya 73112, Indonesia

Abstract
According to the capitalist economy concept, the best market is free market which theprices for goods and services are determined by supply and demand principle.
Consequently, role of the government in economic must be minimized. Otherwise,
market in socialist paradigm, it should be kept from fall into greedy capital owner sothat monopoly of means of production will not happen. By its thought, government
should determine the prices as well as distribution and suppy of goods so there is no
excuse for free market. On other side, Islamic Economics considers that market,
government and people are equal (iqtishad), there is no sub‐ordinat makes one more
dominant than others.
This paper aims to study IbnTaimiyah Thought of market mechanism in Islamic Scholars
perspective.
Conclusion of this paper draws thought of Ibn Taimiyah that point out the beauty ofmarket (the beauty of market mechanism as a mechanism of economy), with all its
shortcomings. Governmental intervention in market is justified in specific cases.

Keywords
Market Mechanism, Economic Thought, Ibn Taimiyah

1

Telp. Fax: +62 536 3222105.
E‐mail address: ahmad.dakhoir@iain‐palangkaraya.ac.id ; Phone: +62 81230665255
Email address: itsla.yunisva@gmail.com ; Phone: +62 81957042050

94

Economic Thought Of Ibn Taimiyah On Market Mechanism In
Perspective Of Moslem Scholars
1. BackgroundMarket practices basicly should shows right values according to norm and values
which is justified. All forms of economic system wishes to minimize shortcoming,
poverty and trouble from human life. It means that economic system works to create
distributive justice among society.2 Two notions in economic system which have becomereference and barometer of the world, those are capitalist economic system and socialist
economic system, evidently can’t provide satisfactory answers for all of world economic
problems such as to control mechanism of market activities which unstable nowadays,in fact they make matters worse.3
Capitalist economic system wants market to play important roles in economic
system and treats market as a mechanism who capable to solve economic problems. The
core questions in economic are (1) what should be produced, (2) how to produce, (3) for
whom goods and services produced, these questions believed can be responded well bymarket.4 Slogan in capitalist economic system is Laissez Faire originated from French
which means “Let them doing work as they wish”. Essentially, this system gives full
freedom to community determine their economic activities, as well as prices and market
mechanism.
Market should not interfered by anyone including government. Government rolein national economy limited to provision and development of infrastructures and public
administration. An active government intervention will decrease efficiency of economic
activities. With the power of its invisible hand, automatically market will respond andcontrol all of economic problems harmoniously. Capitalist economic system also known
as free market economic system. In this system, economic activities controlled
completely by market mechanism or invisible hand.
On the other side, socialist economic system which is created by Karl Max wants tomaximize the role of government. Government should take control of all sectors of theeconomy to ensure equity for people starting from means of production to redistributeto the workers, so that they benefit the work as well. Market in socialist paradigm
should be kept from fall into greedy capital owner (capitalist) so that monopoly ofmeans of production will not happen and they will not exploit workers to get profit as

2Abdullah Abdul Husain at‐Tariqi, Ekonomi Islam : Prinsip, Dasar dan Tujuan,translated by M. Irfan Syofwani,(Yogyakarta: Magistra Insania Press, 2004), First Edition, p. 44.
3Ibid., p. 48.
4Hendri Anto, Pengantar Ekonomika Mikro Islami, (Yogyakarta: Ekonisia, 2003), p. 314.

95

much as possible. Therefore, equilibrium will not happen, otherwise inequity will
happen in the public economy. Government should play a significant role to realize
equilibrium and equity of economy in market.5
According to this system, prices are determined by government, distributions ofgoods are controlled by government, so there is no freedom of the market. Citizens areworkers who have to produce according to their capabilities and will get paid adjustedwith their needs. All of economic activities or production should strived collectively.
There is no private business, all enterprises, including farm, are state enterprises. Whatand how much production determined by central planning of the government andstrived by state directly.
In contrast to the capitalist and socialist economic systems, Islamic economic
considers that market, government and people are equal (iqtishad), there is no sub‐ordinat makes one more dominant than others. Islam places market in an important
position of economic and ensure its independency. Market determines production
methods and prices without interference that can upset the balance of the market.
Despite the fact, hard to find a market that operate itself fairly. Distortion of the market
still happens so that potentially detrimental to the stakeholders.
Market that operate itself (laissez faire), without controlling, in fact leads tomarket dominance by capital owner (capitalist), infrastructure ruler and owner ofresources. Asymmetric information that can be a problem without solution by market.
Government in Islam perspective has the same role as market, to control and supervise
economy, ensure the competition in market running perfectly, equitable information as
well as economic fairness. Its role as a ruler does not make it dominant, because statemust not interfere market that running in balance, their role just needed when the
distortion happened in market system. Even though Islamic economic still provides theopportunity, in certain cases, to do the price intervention when traders harm consumers
through monopoly and cheating.
Thought of Ibn Taimiyah about market mechanism actually focused on pricemovements happened at the time, but he put it on market mechanism frame. Pricemechanism is a process running based on gravitational pull among producers andconsumers either from market output (goods) or input (production factors). As for the
prices defined as money that states a purchase value of a thing. A fair price is price(value of goods) that paid for a thing or certain object which at the time and place thegoods be given.6 He showed the beauty of market (the beauty of market mechanism as a
5http://shariaeconomics.wordpress.com/tag/mekanisme‐pasar‐dalam‐perspektif‐ekonomi‐islam/ accessed on
25 June 2013.
6Pusat Pengkajian dan Pengetahuan Ekonomi Islam (P3EI) UII Yogyakarta in collaboration with Bank Indonesia,

96mechanism of economy), with all its shortcomings. He refused a price intervention
which may disturb the freedom mechanism. As long as the fluctuation of supply anddemand caused by natural factors. Intervention in market is justified in specific cases
and also specifically.7

2. Market Mechanism In Islam
Islam is a perfect religion. Islam regulates about values, ethics and guidance of
way of life comprehensively. Islam also completes other earlier religions and regulates
all aspects of human life both issues of aqidah and muamalah. In muamalah aspect, Islam
regulates relationship among human being in order to meet their daily needs including
guidance of how to manage market and all form of its mechanism.
The teachings of Islam very appreciate market as a place of halal (legal) andthayyib (good) transaction so that is the most ideal mechanism of allocation anddistribution of economic resources. In market, people are free to transact according totheir needs and desires. Market mechanism is a power that are mass (impersonal) andnatural so that reflect condition of people’s economy comprehensively. In a perfectcompetition market, there is no one may control the market. Appreciation of Islam onmarket mechanism according to the word of Allah said the transaction or commerce
should be done in a good way based on the principle of mutual pleasure (rida) so thatcreated fairness. According to the word of Allah in Al‐Qur’an, An‐Nisa [verse 29]:
“O you who have believed, do not consume one another's wealth unjustly but only [inlawful] business by mutual consent. And do not kill yourselves [or one another].
Indeed, Allah is to you ever Merciful”.8
Mutual pleasure condition contrary to tyranny, that is a condition when one sidepleased and other side in misery. In price case, the fuqaha formulate it as the price of theequivalent. The price of the equivalent concept or thaman al mithl has important
implication in economics that is the competitive condition of market.

Ekonomi Islam, (Jakarta: PT RajaGrafindo Persada, 2012), p. 307.
7Ibid.
8Departemen Agama RI, Op.cit., p. 83.

97

PriceS
Market equilibrium will happens whenlinks
between supply and demand curves meetin condition of ‘an taraddim minkum(mutual pleasure). If this equilibrium
disturbed,
government should do an intervention to
the market.
D
Quantity
In Islamic economic concept price fixing determined by the power of supply anddemand. In the concept of Islam, supply and demand should be happened in mutualpleasure, there is no one forced to transact at a certain price level.
Monopoly, duopoly, oligopoly in the meaning of only one, two or more seller are notprohibited in Islam, as long as they do not take advantage above normal profits. It is aconsequence of the price of the equivalent concept. Producer who operate it with profits
positively will attract other producers to go into that business, so the supply curve will
shifts to the right, number of output which is offered will increase and prices will
decrease. New producers will keep on entering to this business until the prices drop
down so that economic profit will be zero. In this case, old producers in market will nothave an incentive to exit from the market and new producers who did not enter thismarket will not have an incentive to go into the market.9
However, Islam rejected market concept of free competition without restriction
when it ignores norm and ethics. This market will not realize the objectives to reachfalah nor distort it. In Islamic market, market actors pushed by spirit of competition toachieve kindness and collaboration and mutual assistance at once in a frame of Islamicvalues and morality. Islamic market is a free co‐opetition market. Market actors not only
pursuit of profit materially but also blessings of Allah. Market will be a place ofcommodities transactions where only halalan thayyiban so that haram will beabandoned. Market activities also reflects fair play competition, honesty, transparency

Adiwarman Karim, Op.cit., p. 153.

998

and justice with the result that just price as a prices created. In other word, this market
does not contain deviation from Islamic values and morality.10
Islam regulate the competition in market should be done fairly. All forms that canmake inequity are forbidden. Inequity and injustice mentioned above are:11
1.

Talaqqi Rukban forbidden because trader in the suburbs got profit from inequity byvillage seller on prevailing prices in town. Prohibition for village seller to go into thetown (entry barrier) will make uncompetitive market.

2.

Reducing the scales is forbidden because the goods sold with the same price but theweight is less.

3.

Hiding the defective items is forbidden because seller will get higher price for poor
quality of goods.

4.

Replacing dried dates with wet dates is forbidden because weight of wet dates are
not the same with dried dates that replaced.

5.

Replacing a peck of good quality of dates with two pecks of medium quality of dates
is forbidden because each of those quality of dates have their own prices. The
prophet Muhammad ordered to sell dates and then buy other dates used money.

6.

Najasy transaction is forbidden because the seller asks other man either to praise or
to bid his goods with high price so that other people will interested and come to
him.

7.

Ikhtikar is take advantage above normal profits through sell the goods less forhigher price and it is forbidden.

8.

Ghaban faa‐hisy (large) is sell above the market price and it is forbidden.

3. Market Mechanism Of Ibn Taimiyah In Perspective Of Adiwarman Karim
Ibn Taimiyah has a clear understanding about the condition in free market which
the prices determined by supply and demand power. He said:“Rise and fall in price is not always due to injustice of some people. Sometimes its
reasons is deficiency in production or decline in import of the goods in demand. Thus,
if the desires for the good increase while its availability decrease, its price rises. On
the other hand if availability of the good increases and he desires for its decrease, theprice declines. This scarcity and abundance may not be caused by the action of any
people, it may be due to a cause not involving injustice, or sometimes it may involve
injustice. This is totally Allah’s omnipotence that created desire in the depths of thehuman heart”.12

P3EI UII Yoygakarta and BI, Op.cit., p. 83.
Adiwarman Karim, Op.cit.
Ibnu Taimiyah, Majmu’ Fatawa Syaikh al‐Islam, (Riyadh: Matabi’ al‐Riyadh.1963), Vol. 8 p.583, in Adiwarman
Karim, Sejarah Pemikiran Ekonomi Islam, (Jakarta: PT RajaGrafindo Persada, 2012), Third Edition, p. 364
10
11
12

99

Based on the statement above, we will know that at the time of Ibn Taimiyah,fluctuation of the prices assumed as the effect of despotism of the traders. According to
the Ibn Taimiyah, that assumption is not always true. He explained specifically variousof economic reasons of the fluctuation of the prices as well as the role of market powerin this case.
Ibn Taimiyah mentioned two supply resources, those are local production andimport of demanded goods (ma yukhlaq aw yujlah min dzalik al‐mal al‐matlub). To draw
this demand of goods, he used the term raghbah fi al‐syai which means the desire forsomething, that is goods. The desire is the most important factor of demand, otherfactor is people’s income but it was not mentioned by Ibn Taimiyah. The change ofsupply draws as the supply fluctuation of goods, due to two factors those are local
production and import.13
Other factors that affect supply and demand are the intensity and magnitude of
demand, lack or abundance condition of the goods, trusts as well as discount and cash
payment. Demand of the goods is fluctuating occasionally. The fluctuation depend on thenumbers of supply, numbers of people who want it, and people needs of that item. If thisinterpretation is correct, Ibn Taimiyah has correlated the high price with intensity ofneeds as the relative importance of goods to the buyer’s total needs. If needs are larger,
the prices will increase, and otherwise.14
Statement of Ibn Taimiyah above shows something known as changes in the
supply function (supply) and demand, that is happened when demand increases on thesame price and supply decreases on the same price or otherwise, demand decreases on
the same price and supply increases on the same price. If supply decreases and demand
increases at once, the prices will rise certainly and vice versa.
However, both of these changes is not always in tandem. If demand increases
while supply stable., the prices will increase. Ibn Taimiyah explained:“If people sell their goods in a way that is acceptable generally without despotism
and prices rise as a consequence of decrease in the number of goods (qillah al‐syai), or increase in the number of population (katsrah al‐khalq), this condition
caused by Allah’s omnipotence”.15
In the statement above, Ibn Taimiyah mentioned that price increases caused bydecrease in the number of goods or increase in the number of population. Decrease in
the number of goods may be called as decreased supply, whereas increase in the number
Adiwarman Karim, Sejarah Pemikiran Ekonomi Islam, (Jakarta: PT RajaGrafindo Persada, 2012), Third Edition,13

p. 365.

Adiwarman Karim, Ekonomi Islam Suatu Kajian Kontemporer, (Jakarta: Gema Insani, 2001), p. 160‐161.
Ibnu Taimiyah, al‐Hisbah fi al‐Islam, (Kairo: Dar al‐Sha’b,1976), p. 24, in Adiwarman Karim, Sejarah Pemikiran
Ekonomi Islam, (Jakarta: PT RajaGrafindo Persada, 2012), Third Edition, p. 365.
14
15

100

of population may be called as increased demand. The price increases caused bydecreased supply or increased demand characterized as Allah’s omnipotence to showthat market mechanism is impersonal.16
Quotes above indicate that when want to analyze the implication of supply anddemand changes to the prices, Ibn Taimiyah did not consider effect of price level to thelevel of demand and supply. Moreover, he stated that price fixing determined bygovernment through a way cutting profits of traders will lead it to damage prices, theconcealment of the goods by the traders as well as it will damage public welfare.17 In
other word, government policy like that can lead it to disappearance of goods frommarket. Ibn Taimiyah realized if supply of the goods is decreasing it will make the prices
fall down drastically. Accordingly, Ibn Taimiyah was so conscientious when observed
links between prices and supply of the goods.
Ibn Taimiyah noted any factors that affect demand and its consequence to theprice, those are :18
1.

People’s desire (raghbah) to every kind of goods which are different and always
changing. This changing according to the lack or not of items those demanded. If
the number of the goods is less it will be more desirable for people.

2.

The number of enthusiasts (tullab) to the items. If the numbers of people whowant an item is bigger, price of that item will rise and otherwise.

3.

Low or high the needs of an item as well as level of needs. If the needs is high,price will rise. Otherwise, if the needs is low, the price will down.

4.

The quality of buyer. If the buyer is moneybags and trusted to pay debts, the given
price will be lower. Otherwise, the given price will be higher if the buyer isinsolvent.

5.

Type of money that used. The price will be lower if payment use money that iscommonly used (naqd ra’ij) than money that is rarely used.

6.

The aim of the transactions wants reciprocal ownership among both sides. Price ofan item that available commercially lower than price of an item that is notavailable in the market. And price will be lower if payment is made in cash thaninstallment payment.

7.

The number of the costs by producers or sellers. Higher cost of production will
make the price higher as well, and vice versa.

Adiwarman Karim, Sejarah Pemikiran Ekonomi Islam, (Jakarta : PT RajaGrafindo Persada, 2012), Third Edition,16

p. 366.

17Ibnu Taimiyah, al‐Hisbah fi al‐Islam, (Kairo: Dar al‐Sha’b,1976), p. 41, in Adiwarman Karim, Sejarah Pemikiran
Ekonomi Islam, (Jakarta: PT RajaGrafindo Persada, 2012), Third Edition, p. 366.
18Ibnu Taimiyah, Majmu’ Fatawa, Op.cit., Vol. 29 p.523‐525 in Adiwarman Karim, Sejarah Pemikiran Ekonomi
Islam, (Jakarta: PT RajaGrafindo Persada, 2012), Third Edition, p. 366.

101

4. Market Mechanism Of Ibn Taimiyah In Perspective Of Veithzal Rivai
Ibn Taimiyah explained about market mechanism that, in his point of view,fluctuation of the price level is not always as consequence of injustice that has done bysomeone, but frequently appear because either underproduction or the number ofimports has decreased. Increased demand that not balanced with increased supply or
production of the goods will push up the price of goods. Whereas, increased supply or
production followed by decreased demand will lower the prices.19
The concept of just price/price of the equivalent related to the aspect of economy,
whereas the concept of just compensation/compensation of the equivalent related to
ethics and law. According to Ibn Taimiyah in perspective of Veithzal Riva’i, just price ismore dynamic determined by interaction between supply and demand as well asaffected by the desire of someone to the business activities. In other side, justcompensation is a normative phenomenon that durable because it is a well establishedhabits.
Scarcity problems, that is an important problem of economy viewed from classic
economics, it can be caused by no one, but it can be caused by injustice or inequity ineconomic activities. Then explained that supply of goods coming from two resources
these are local (domestic) and import. The number of goods supply affected by numberof stock that available while demand determined by desire of people which income is
the main component that affected demand.20
Factually, factors that affected demand according to Ibn Taimiyah are as follows:21
1.

People’s demand is various (people’s desire). This factor depend on number ofgoods that available, a goods will be preferred if the number of goods is smaller(scarce) than plentiful.

2.

Depend on the number of people who need the goods (consumer). Higher
enthusiasts will make the value of goods higher as well.

3.

It also affected by needs intensity of a goods. The higher its intensity will makevalue of goods be more higher.

4.

It affected by the quality of consumers. If consumer is moneybags and trusted sothat the price of goods will be lower than if consumer is an insolvent.

5.

It also affected by the types of money which used as a payment instrument. If use
money that commonly used, that price will be cheaper compared to the moneythat rarely used.

19Veithzal Riva’i and Andi Buchari, Islamic Economics: Ekonomi Syariah Bukan Opsi Tetapi Solusi!, (Jakarta: PT
Bumi Aksara, 2009), p. 375.
20Ibid.,21Ibid., p. 375‐376.

102

From those descriptions above, factually the thought of Ibn Taimiyah noticeably is
relevant to the economic principles nowadays.
5. Market Mechanism Of Ibn Taimiyah In Perspective Of Muhammad
Ibn Taimiyah explained clearly about mechanism of exchange, free market
economy and how the fluctuation of prices happened due to supply and demand, despite
he did not read books about market mechanism.22 In this case, Ibn Taimiyah said:“Rise and fall in price is not always due to injustice of some people. Sometimes its
reasons is deficiency in production or decline in import of the goods in demand. Thus,
if the desires for the goods increase while its availability decrease, its price rises. On
the other hand if availability of the good increases and he desires for its decreas, theprice declines. This scarcity and abundance may not be caused by the action of any
people, it may be due to a cause not involving injustice, or sometimes it may involve
injustice”.23
At his time, it was an assumption that price increases is an effect of injustice andunlawful act by seller, or it may be caused by market manipulation, so that Ibn Taimiyah
denied it directly. His denial stated as quotation above. Therefore, if demand for goods
increase while its availability decrease, its price rises, and vice versa. Scarcity andabundance of the goods may be due to fair action, or may be unfair action.24
According to Ibn Taimiyah, supply may come from domestic production andimport. The changes of supply draws as a fluctuation of number of the goods thatoffered, while demand determined by desire and income. High or low of price increases
that happened is Allah’s omnipotence. As affirmed by Ibn Taimiyah below:“If people are selling their goods according to community accepted manner without
any injustice on their part and the price rises due to decrease of the community or
due to increase in population, then this is due to God’s doing”.25
Those matters shows essential that impersonal. Differentiated also by Ibn
Taimiyah, factors that cause shifting between demand and supply curves, these are auto
market pressure and unlawful act by seller, for example hoarding. And other factors areintensity and the number of demand, scarcity or abundance of the goods, the conditionof trust and discount from spot cash.
Ibn Taimiyah also explained that the effect of changes in demand and supply to themarket prices, he did not identify the higher or lower effect of prices on quantity thatdemanded or offered. However, in his book named al‐Hisbah, he showed thatgovernment policy will affect supply and demand, as follow:
Muhammad, Ekonomi Mikro Dalam Perspektif Islam, (Yogyakarta: BPFE‐Yogyakarta, 2004), p. 357.
Ibnu Taimiyah, Majmu’ Fatawa Shaikh al‐Islam Ahmad Ibnu Taimiyah, (Riyadh: al‐Riyadh Press, 1381), Vol. 8,
p.583 in Muhammad, Ekonomi Mikro Dalam Perspektif Islam, (Yogyakarta: BPFE‐Yogyakarta, 2004), p. 357.
24Muhammad,Op.cit.
25Ibnu Taimiyah, Al‐Hisbah fi al‐Islam, (Cairo: Dar al‐Sha’b, 1976), p. 24 Muhammad, Ekonomi Mikro Dalam
Perspektif Islam, (Yogyakarta: BPFE‐Yogyakarta, 2004), p. 358
22
23

103

“In that administrative setting of too low a price that the leaves no profit result in a
corruption of prices, hiding of goods (by sellers) and destructions of people’s
wealth”.26
Demand for the goods oftentimes changed. The changes depend on the number ofavailability, the number of people who desire the goods, and high or low the level ofneeds for the goods. If it correct, Ibn Taimiyah has correlated the high price withintensity of needs as the relative importance of goods to the buyer’s general needs. Ifneeds are larger, the prices will rise, and vice versa.27
In other side, Ibn Taimiyah identified other factors that determine supply anddemand which it can affect the market prices, as follows:28
1.

Intensity and the number of demand.

2.

Scarcity and abundance of the goods.

3.

Condition of charge account/debts.

4.

Discounted of spot cash.
As Ibn Taimiyah stated below:“People’s desire is of different kinds and varies frequently. It varies according to theabundance or scarcity of the good demanded. A good is much more strongly desired
when it is scarce than when it is available in abundance. It varies also depending on
the number of demanders. If number of persons demanding a commodity is large, its
price goes up as against whwn their umber is small. It is also affected by the strength
and weakness of the need for the good and by the extent of the need, how great or
small is the need for it. If the need is great and strong, the price will increase to an
extent greater than if the need is small and weak. Price also varies according to thecustomer with whom exchange is taking place. If he is well‐off and trustworthy inpaying debts, a small price from him is acceptable to the seller which (price) would
not be acceptable from one who is known for his insolvency, delay in payment orrefusal of payment due”.29
Prices also affected by level of trust to those who involved in the transaction. If

someone is quite rich and trusted to pay his credit, the seller will be happy to transact
with him. But, if his credibility in credit is doubted, the seller will doubt to transact withhim and will set the higher price.30
The things should be noted about competition and imperfection of market is that
Ibn Taimiyah never use the term “competition” (this concept appear lately in evolutionof economic thought), whereas he explained condition of perfect competition that be ajargon of contemporary economy, this case shows clearly that he realized theIbid.,p. 41.
Muhammad,Op.cit., p. 359
28Ibid.,29Ibnu Taimiyah, Majmu’ Fatawa, Op.cit., Vol. 29, p. 523‐525 in Muhammad, Ekonomi Mikro Dalam Perspektif
Islam, (Yogyakarta: BPFE‐Yogyakarta, 2004), p. 359.
30Muhammad., Op.cit.,
26
27

104

assumption on market competition is unambiguous. Furthermore, he wrote “to force
people to sell objects which are not obligatory to sell, or restrict them from selling apermissible object, are injustice and therefore, unlawful.”31 In term of contemporary
economy, it is clearly shows full freedom to enter or exit the market. Hereafter, hecriticized collusion between buyer and seller.32 The homogeneity and productstandardization, explained by Ibn Taimiyah: “advocated in his condemnation of
adulteration of the product and of fraud and deception in its presentation for sale”.33 Ibn
Taimiyah pointed the knowing of market and commodities, as well as sale and purchase
contract, depends on approval and approval needs knowledge and understanding.34
Ibn Taimiyah opposed excessive regulation when market forces independently
determines the competitive prices. With still consider imperfection market, herecommended if sellers hoard and sell for the higher price than normal price evenpeople need the goods, so that sellers should sell it at equivalent price level. This
concept synonymous with fair prices. Furthermore, if those are elements of monopoly(especially in market of foodstuff and other basic human needs), government should
prohibit the monopoly power.35
In Al‐Hisbah fi al‐Islam explained about restriction of individual economic freedom
in certain cases, including restriction on pricing of goods and services.36 Ibn Taimiyah
explained the restriction of economic freedom that individual is fully authorized to keep
his property and no one can take other property without permission and agreement thatjustified, except in certain cases that clearly they should give it,37 such as spending zakat
from our property.
The implication of statement that Islam based on market mechanism are thedoctrines of economic that proposed by Ibn Taimiyah as follows:38
1.

People are free to enter and exit the market.

2.

Good information about power and commodities that traded in the market is
indispensable.

3.

The elements of monopolistic should be removed from the market.

4.

In case of this freedom, Ibn Taimiyah recognized the effects of increased demandand decreased supply to the prices.

31Ibnu Taimiyah, Al‐Hisbah, Op.cit., p. 41 in Muhammad, Ekonomi Mikro Dalam Perspektif Islam, (Yogyakarta:
BPFE‐Yogyakarta, 2004), p. 360.
32Ibid.,p. 25.
33Ibid.,p. 21.
34Muhammad, Op.cit., p. 360.
35Ibid.,36Ibnu Taimiyah, Al‐Hisbah, Op.cit., in Muhammad, Ekonomi Mikro Dalam Perspektif Islam, (Yogyakarta: BPFE‐
Yogyakarta, 2004), p. 375.
37Monzher Kahf, The Economic Views of Ibn Taimiyah, Unpublished Paper, 1976 in Muhammad, Ekonomi Mikro
Dalam Perspektif Islam, (Yogyakarta: BPFE‐Yogyakarta, 2004), p. 375.
38Muhammad,Op.cit., p. 376.

105

5.

Deviation from economic freedom practices on the level, such as perjury, incorrect
scales and others. In addition, commodities that traded should follow the norms of
Al‐Qur’an such as commodities does not contain alcohol, prostitution andgambling.
Therefore, the conclusion is Ibn Taimiyah has clearly perception on market

condition, that in market should exist honesty, transparency and freedom to choose theimportant formulation. So, it related to the appreciation and evaluation of the analyzing
in relevance to the market and mechanism of price fixing.

6. Conclusion
Market mechanism is a power that are mass (impersonal) and natural so thatreflect condition of people’s economy comprehensively. In a perfect competition market,
there is no one may control the market. Appreciation of Islam on market mechanism
according to the word of Allah said the transaction or commerce should be done in agood way based on the principle of mutual pleasure (rida) so that created fairness.
Market mechanism that be expected is an equilibrium among supply and demand
which determine the prices, so that created normal prices in the market. The success ofmarket mechanism is it can allocates factors of production efficiently and pushing up forthe economic development.
Ibn Taimiyah has his clearly point of view on freedom market, which the prices
determined by supply and demand power. Because market in Islam is an element that
not operate itself so that it unite itself with individual, people and the state. All of thoseelements related each other and operate in combination to realize prosperity in theworld and the hereafter. Islam recognizes market mechanism as long as it works with
fair, equitable, mutual pleasure and there is no distortion. Generally, he showed thebeauty of market (the beauty of market mechanism as a mechanism of economy), withall its shortcomings. For this reason, he denied the intervention to push and determine
the prices (price intervention) so that will disturb the freedom mechanism. As long as
rise and fall of supply and demand are caused by natural factor. However, we should
realize that market mechanism will not always work perfectly, often the distortion will
happen. Therefore, the intervention will be justified for a certain specific cases and also
specifically.
REFERENCES
Anto, Hendri, Pengantar Ekonomika Mikro Islami, Yogyakarta: Ekonisia, 2003.
At‐Tariqi, Abdullah Abdul Husain, Ekonomi Islam: Prinsip, Dasar dan Tujuan, translatedby M. Irfan Syofwani, Yogyakarta: Magistra Insania Press, 2004, First Edition.
106

Chamid, Nur, Jejak Langkah Sejarah Pemikiran Ekonomi Islam, Yogyakarta: Pustaka
Pelajar, 2010.
Kahf, Monzher The Economic Views of Ibn Taimiyah, Unpublished Paper, 1976 in
Muhammad, Ekonomi Mikro Dalam Perspektif Islam, Yogyakarta: BPFE‐
Yogyakarta, 2004.
Karim, Adiwarman, Sejarah Pemikiran Ekonomi Islam, Third Edition, Jakarta: PT
RajaGrafindo Persada, 2012.
Muhammad, Ekonomi Mikro Dalam Perspektif Islam, Yogyakarta: BPFE‐Yogyakarta,
2004.
Pusat Pengkajian dan Pengetahuan Ekonomi Islam (P3EI) UII Yogyakarta incollaboration with Bank Indonesia, Ekonomi Islam, Jakarta : PT RajaGrafindo
Persada, 2012.
Riva’i, Veithzal dan Andi Buchari, Islamic Economics : Ekonomi Syariah Bukan Opsi
Tetapi Solusi!, Jakarta : PT Bumi Aksara, 2009.
http://shariaeconomics.wordpress.com/tag/mekanisme‐pasar‐dalam‐perspektif‐
ekonomi‐islam/ accessed on 25 June 2016.

107

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Humanities

Deployment of a Digital Textbook Conforming to a Textbook
YOSHIDA, Masamia,*, TAKANO, Tsutomub
aFaculty of Education, Chiba University, Chiba, Japan
bTokyo Shoseki Co. Ltd., Tokyo, Japan

Abstract
This article argues for digital textbook dissemination in Japan. Digital textbooks project
was distinguished in its range, budget, dissemination, and involvement of schools among
ICT education projects in Japan. In addition, it enclosed characteristics of 100%
conforming to textbooks and curriculum. The results of detailed interviews with apublisher and extensive social factors were introduced to clarify the barrier and futurerole of digital textbooks. Some political and technological issues were identified to
improve dissemination. In addition, we have become aware of communicating withforeign agents over differences in curriculum.

Keywords
Digital textbook; Digital materials; Textbook publisher; International communication;
Educational policy

1. Introduction
The teachers’ edition of digital textbooks were developed after revision of school
curriculum in Japan. Digital textbooks for elementary schools, lower secondary schools,
and high schools published in 2011, 2012, and 2013, respectively. These digital textbooks
have mediated lesson materials involving not only the content of textbooks, but also
audio/visual materials and simulations. Digital textbooks were designed to facilitate thefollowing functions (Textbook Publishers Association of Japan, 2015).
 To provide easy to understand explanations
 To offer textbooks through using various modalities
 To improve students’ lesson involvement
Subsequently, the students’ edition was introduced in 2013.
So far, we have met various mediated materials in education, but the project
regarding digital textbooks was distinguished in its range, budget, dissemination, andinvolvement. In addition, it enclosed characteristics of 100% conforming to textbooks andcurriculum.
*

Corresponding author. Tel.: +81‐43‐290‐2615; fax: +81‐43‐290‐2615.
E‐mail address: yoshida‐m@faculty.chiba‐u.jp108Unfortunately, there are a limited number of international reports regarding
diffusion of digital textbook in Japan, and this study summarizes current dissemination
and acceptance of digital textbooks in schools. It also discusses the future of this field andpossible international communication.
The methods included a review of documents and interviews at a publisher tocollect concrete dissemination facts.

2. Specification and Variety of Digital Materials
The production and development of digital textbooks are not independent activitiesof publishers. CoNETS (Connecting to the next education for teachers and students) is a
syndication of digital textbook publishers in Japan that has coordinated specification ofdigital textbook. The syndication covers 12 textbook companies among 42 textbook
publishers. Although each digital textbook has characteristic component, the system ofdigital textbooks is similar. Then, we selected a leading publisher to know more details.
The following statements are based on the interview at Tokyo Shoseki Co., Ltd.
(Takano, T., 2016).
2.1.

Digital textbooks
Digital textbooks in the market are categorized as the following three types.

a)Digital textbook, teachers’ edition

 Content development: HTML5, Java Script System data provision: DVD/ Download from a server of contracted organization (e.g.
a rural education office) Terminal: Computer Measure for an infringement on copyright: Digital Rights Management (DRM) Monitor: LCD or Interactive white board (IWB: Wired and interactive display with aserver controlled as well as white board function of more than 50 inch, 260 million IDR,
installed as a standard lesson media in Japan, see Figure 1)

Figure 1. Interactive White Board Fee: DVD 9.5 million IDR/textbook (one time contract, selectivity rate 90%) or
download (one year contract, selectivity rate 10%) 2.5 million IDR/textbook
 Functions: In addition to the digital view of a textbook, various tool buttons appear in
the screen. The following statements are a list of familiar functions.
 Display
Enlarge contents
Change font109

Read aloud with speed control
TransparenceBlack and white reversal
Spot light (focusing)Marker.
 Interactive
Over writing, hiding and moving
White board
 Informative

Link to animation or video
Web links
Link to digital dictionary
Visual contents list
Additional exercises

 Customize

Rearrange textbook contents
Insert photo
Slide show of selected partsb)

Digital textbook, students’ edition, EPUB3 version
This version is distributed as a supplement of the teachers’ edition

 Content development: EPUB3 (Same format as the International Digital Publishing
Forum: IDPF)
 Terminal: Tablet
 System data provision: Download from a server of a school Functions: Mainly this offers display functions in teachers’ edition.
c)Digital textbook, students’ edition, digital materials version

Figure 2. Distribution of Digital Textbooks

110

Content development: HTML5, JavaScript, This version includes digest of textbook
contents.
 Terminal: Tablet or PC
 System data: Download from a server of contracted organization (e.g. a school or a rural
education office) Functions: Digest of contents of teachers’ edition.
 Fee: One year contract and cover all students of a subject, 2.5 million IDR/textbook
Figure 2 shows the variety of digital textbooks and methods of distribution.
2.2.

Other digital materials in terms of a textbooka)Worksheet database

About 5,000 sheets for elementary schools and 5,000 sheets for lower‐secondary
school have been developed.
 Content development: PDF and word processor files
 Selectivity rate: About 22% of elementary schools and lower secondary schools.
 Functions: Worksheets for drill, exercises of essential items, achievement tests, follow
up exercises, and applied exercises. Possible to customize items by a teacher in charge
if needed.
 System data: Provide service via Web (see site view in Figure 3). Data are stored in aserver of publisher. Content delivery network (CDN) service is used to improve access
response.
 Fee: 8.7 million IDR/year per subject

Figure 3. View of web service site (left) and sample worksheet (right) of worksheets databaseb)

Audio visual materials

There are 2,200 titles for elementary graders, and 1,500 titles for lower‐secondary
graders.
 Data: Data are stored on a server at the school (see Figure 4).
 Fee: 12‐25 million IDR/grade per subject (one time contract)111

Figure 4. Other Digital Materials

Figure 4 shows the other digital materials and way of distribution.

3. Facts in Schools

Figure 5. Dissemination Rate (%) of Digital Textbooks.

The Internet penetration rate in Japanese schools is 100%. All schools can introduce
online services.

112

The dissemination rate of all digital textbooks is shown in Figure 5 (Textbook
Publishers Association of Japan, 2015). The data show the rate of schools adopting digitaltextbooks. However, data from the dominant digital textbook show that the actualcommercial product is uncovered. However, the digital English textbook in lower
secondary schools has been adopted most frequently—it reached 30% of schools basedon interviews with a leading publisher. This publisher has about 55% of the textbook
market share (Takano, T., 2016).
3.1.

Benefit to use digital textbooks

Reported benefit to use digital textbooks as described by the publishing company
include (Takano, T., 2014):
1)
2)
3)
4)

Concrete explanations. They turn their eyes more from a desk toward a teacher.
Increase concentration on a main point of discussion.
Introduce a new mode of explanation via moving arrows on the screen.
Introduce a dynamic iconic view to embed arrows. This involves psychographic
images of moving, action, changing, and depth of focus.
5) A tablet with a censor can introduced for real time analysis. Augmented reality (AR)functions can also be included (see details in 5.1).
On the other hand, teachers’ opinions of Genesis digital textbooks were also
reported (National Institute for Educational Policy Research, 2012). As a result, only one
percent of teachers had used a digital textbook, and their potential opinions of digitalmaterials were analyzed based on the following four factors.
1)
2)
3)
4)

Digital materials are useful to develop highly integrated lesson materials.
Digital materials can offer cues on lesson planning that needs to be developed.
Digital materials enhance motivation to study the content.
Known benefits to using digital materials materialize.

On these grounds, digital textbooks and digital materials are effective at improving
lesson preparation.

4. Barrier for Dissemination of Digital Textbooks
It has been five years since digital textbooks were installed, but dissemination rates
are still increasing slowly. This is because of the following issues.
4.1.

Governmental promotion

The Ministry of education, culture, sports, science and technology (hereinafter
MEXT) operate an educational project regarding ICT in education (MEXT, 2015).
However, a concentration on disseminating digital textbooks remains unclear, and thesize of the total budget is insufficient to cover digital materials that are installed at all
schools.
The budget plan for promoting learning using ICT is 114 billion IDR.
The breakdown of this is as follows.
 Project to promote the educational use of ICT: 21 billion IDR
 Project to support rural governments to enhance ICT education: 37 billion IDR
 Project to investigate and maintain educational quality via ICT in depopulating
societies: 18 billion IDR
113

 Project to develop progressive educational management system: 16 billion IDR
 Project to measure the effect of harmful environments on youth: 16 billion IDR
 Other projects: 7 billion IDR
4.2.

Anticipated challenge
The following statements show the upcoming challenges to dissemination.

 Promotion: Educational policy to introduce digital textbooks
 Infrastructure: Congestion control is a problem when a teacher uses classroom
techniques in a computer room. It is particularly difficult to access audio‐visualcontents in cyberspace by all students at the same time.
 All textbooks in Japan are authorized by MEXT. Screening systems are approved onlyin the paper version, but the guidelines only authorize digital textbook after anargument (Impress Corporation, 2016).
 Law: There should be laws for exceptions to copyright or extravagant contracts for
digital textbooks (MEXT, 2016). In addition, the current law can only cover the costof paper textbooks in compulsory schools. Therefore, the meeting of the Investigative
Commission for Digital Textbooks of Student Edition reluctantly proposed that cost ofdigital textbooks should be covered by a guardian (Asahi Interactive, 2016; Nikkei Inc.,
2016).
 Consensus: Digital textbooks require a new pedagogical viewpoint. Tamura, Y. (2014)
reviewed the following warning of instruction using digital textbooks.
1)
2)
3)
4)
5)
6)

Learning becomes standardized
Learning is only focused on getting the right answer.
Because the opportunity to write disappears, students’ ability to write decreases.
The communication between a teacher and students stops.
It is difficult to judge the answer with plural solutions such as a proof.
Immediate feedback, namely, the game sense, disturbs the development ofintellectual thinking.
7) Programmed learning does not improve intellectual thinking and decision‐making.
4.3.

Consideration on the use of digital textbook in foreign countries

The following record is a summary of interviews from a manager of ICT department
in a publisher (Takano, T., 2016).
 There are fatal differences in academic explanations among countries. This requires
studies of the similarities and differences.
 Math: The contents of elementary 1st grade is nearly the same, but many difficulties
are seen after the 2nd grade.
 The appropriateness of visual contents is not adaptable among countries—especiallyin science, health and physical education, and world geography.
 It is difficult to extend copyright—especially visual contents.
 Translation of the digest would be possible for foreign educators.
 Digital textbooks can contribute to Japanese‐language training.
Now, exchange and sharing educational digital contents are used including
activities of open educational resource (OER); however, the introduction of ourexperience and know‐how to develop a qualified textbook are another possible area ofinternational communication. Thus far, an investigated publisher has the following casesof technical transfer with international agents.
114

These include: India (content production), Saudi Arabia (qualified printing for
textbook), Vietnam (technical transfer of textbook development system), Mongol(development of digital materials), China (online content delivery and publishing) andEgypt.
On the other side, the publisher has used offshore production in China, Vietnam,
and Taiwan. Thus, the production of textbooks and materials are expanding.

5. Future View
5.1.

Textbook AR (Augmented Reality)

After installing APP in a tablet or smartphone, audio/visual information appears
when a student holds a tablet over the textbook (see Figure 6). A student can learn moredetails of the subject area knowledge or have an interactive mode of trial (Kyoiku Katei
Shinbun Co., 2015).

Figure 6. View of Textbook AR.
(Cited from Tokyo Shoseki Co., 2015)

5.2.

Space for free writing

In the students’ edition, the following activities are under development: annotation(add free writing into contents); spacing (insert space under exercise); popup (create a
new page during an exercise); and automated recording of their writing. (Kobayashi &Kato, 2016).

115

5.3.

Participative digital textbook

Communicative functions for the teachers’ edition have emerged. This allows
teachers to upload their photo into a cloud, and the system arranges data in a service sitewith positioning data of GPS (The Education Newspaper, 2015).
In addition, the function of collection of learning history, cloud computing,collaborative learning, and automated disaster alert are in the trial stage (JAPET, 2013;
NTT Communications Co., 2013); however, these are not ready to be standard because of
security reasons (Uchida Yoko Co., Ltd, 2014).

6. Final Remarks
It is known that the media has no effect on student outcomes. Student outcomesinvolve the quality of the curriculum materials, instructional method, and student
learning preferences (Western Interstate Commission for Higher Education, 2010).
For instance, we know that car navigation systems are convenient. While, we could
still reach our destination with a paper map, the media decreases our stress and lets us
focus on driving. Similarly, digital textbooks offer the same influence—they allow
students to focus on learning.

Acknowledgment
This study was developed based on our report at the Seventh International e‐
Learning Conference organized by Ministry of Education, Thailand on 28th July, 2016
(Yoshida, M. and Takano, T., 2016).

References
Asahi Interactive, Inc. (2016). Ministry of education, culture, sports, science and technology will
introduce "digital textbook" by placing the burden on a guardian.
Retrieved fromhttp://goo.gl/E86bHE
Impress Corporation. (2016). News: Problems and future of "digital textbook." From thesymposium of the association of digital textbook & teaching.
Retrieved fromhttp://goo.gl/hzJ9QOJAPET. (2013). Investigational study on using advanced ICT in educational area, 2013 (pp. 141).
Tokyo: Japan Association for Promotion of Educational Technology.
Kobayashi, N., & Kato, N. (2016). A model of digital textbooks for learners. For the activity writing
in textbook and the problem of official approval. IPSJ SIG Technical Report, 2016‐CE‐
134(10), 1‐8.
Kyoiku Katei Shinbun Co. (2015, July 6). To master formulation competence through difficult
exercise of mathematics, Kyoiku Katei Shinbun, p. 3.
MEXT. (2015). Major items of the budget request plan for 2016 fiscal year. Tokyo: MEXT Retrieved
from http://goo.gl/1hftU8.
MEXT. (2016). Summary of points of discussion for midterm report, Retrieved May 18, 2016, fromhttp://goo.gl/3rwWuN
National Institute for Educational Policy Research. (2012). Investigation of situation for
installation and use of digital materials. Retrieved from Tokyo: https://goo.gl/s18Z2x
Nikkei Inc. (2016). "Digital textbook" will be introduced in 2020. Expert committee proposed aplan. Retrieved from http://goo.gl/Gv5IRf
NTT Communications Co. (2013). Outline of the tryout project regarding learning and educational
system to use advanced information and communication system technology such as cloud.
NTT Communications Co. Tokyo.

116

Takano, T. (2014). Present and future view of digital textbook. Activities of Tokyo‐Shoseki Co., LTD.
Computer and Education, 36, 25‐29.
Takano, T. (2016) Situation of dissemination of digital textbook/Interviewer: M. Yoshida.
Tamura, Y. (2014). Status of digital textbooks. Journal of Information Processing and Management,
57(5), 307‐314.
Textbook Publishers Association of Japan. (2015). Present situation and issues of digital textbook.
Retrieved from http://goo.gl/ikGwai
Tokyo Shoseki Co., Ltd. (2015). Introduction of textbook and syllabus. Introduction of "textbook
AR". Retrieved from https://goo.gl/WGaEku
The Education Newspaper. (2015, May 14). Participative digital textbook. Allowing teachers to
upload their photos to Web. The Education Newspaper. Retrieved fromhttps://www.kyobun.co.jp/education‐ict/20150514_01/
Uchida Yoko Co., Ltd. (2014). "Investigational study to promote effective use of ICT in education
areas." from http://goo.gl/c6g1ef.
Western Interstate Commission for Higher Education. (2010). No significant difference. Retrieved
May 15, 2016, from http://goo.gl/g10W6I
Yoshida, M. & Takano, T. (2016). Overview of Digital Textbooks in Japan, Paper presented at The
Seventh International e‐Learning Conference 2016. Disruptive Innovations in Education,
July 28‐29th (Presentation on 28th), at Bangkok International Trade and Exhibition Center:
Bangkok, Thailand, Program P.2.

117

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic: Education

An Inquiry into the Meaning‐Making Process of Japanese
Learning in Higher Educational Institution in Indonesia
Fatmawati Djafri*
Waseda University Graduate School of International Culture and Communication Studies,
1‐6‐1 Nishiwaseda, Shinjuku, Tokyo 169‐8050, Japan

Abstract
Over the past ten years, Indonesia has become one of the countries in the world
with significant increasing number of Japanese learners. The recent survey of Japanese
education overseas conducted by Japan Foundation in 2012 pointed out Indonesia as thecountry with the second largest Japanese learners after China. It indicates theindisputable fact that Japanese has become a language of considerable significance inforeign language education in Indonesia. Furthermore, the growing bilateral cooperationand the spread of Japanese pop cultures also give a great influence. Many young people,
especially in high schools, are motivated to study Japanese and eager to continue theirstudy to higher educational institutions. In accordance with it, many Japanese
departments were established in universities across the country.
This paper discussed two studies conducted in an Indonesian university to explore
affective factors constituted in the meaning‐making process of Japanese learning in higher
educational context. The first study was conducted using quantitative method to examine
foreign language anxiety and its relation to motivation and learners’ perception ofteachers’ behaviours among learners of five foreign language majors, namely Japanese,
Korean, Arabic, French, and English. Results indicate Japanese learners tend to havehigher anxiety associated with classroom procedures. The second study was conductedusing narrative inquiry to investigate the process of motivational change among Japaneselearners. These studies proposed some key roles Japanese department as a higher
educational institution plays in fostering global human resources. The implications
provide important insights into foreign language education planning in Indonesia.

Keywords
higher educational institution; Japanese learners; foreign language anxiety; motivationalchange; meaning‐making.

1. Background
Surveys on Japanese language education overseas conducted by The JapanFoundation since 1974 has always shown constant increase of Japanese language learners
in Indonesia. Particularly since 2000s, there was a rapid growth of Japanese learners,
from 85,221 learners in 2003 to 272,719 learners in 2006 (Furukawa, Kitani, & Nunoo,* Corresponding author. Tel.: +81‐80‐3695‐1980. E‐mail address: fatmawati.djafri@akane.waseda.jp

118

2015). Furthermore, the latest survey conducted in 2012 even shows an astounding fact,that is Indonesia has reached 872,411 learners and by this, Indonesia has become thesecond country in the world after China with the largest number of Japanese learners. The
number has increased 21.8% from the data collected in 2009 survey. It indicates thegrowing needs of Indonesian people to learn Japanese language and in order to meet thedemand, many Japanese language institutions in second and higher educational level
were established, increased 18% in three years since 2009 (The Japan Foundation survey,2013). During the period of 1995‐2005, based on the long‐term higher education
development plan of the Indonesian government, many undergraduate and graduate
program of Japanese language were established in universities across the country(Furukawa, Kitani, & Nunoo, 2015). The growing bilateral cooperation and the expansionof Japanese industries into Indonesian market are among factors that play significant
roles in the rapid growth of Japanese language learners and institutions in Indonesia.
After the ratification of Indonesia‐Japan economic partnership agreement (EPA) in 2008,
the flow of investment, goods, and people between the two countries was enhanced evenmore. According to the survey conducted by Teikoku Data Bank (TDB) in 2014, there were1,763 Japanese companies established in Indonesia, increased 39.3% compared to thedata in 2012 survey.
However, The Japan Foundation surveys also demonstrated the increasing numberof unenthusiastic Japanese learners who show little or no interest in learning Japanese.
According to the survey, especially in the Southeast Asian countries, the problem of
insufficient interest has provoked significant responses. Similarly, among problems
Japanese language educational institutions in Indonesia are dealing with, insufficientinterest among learners and declining number of learners are constantly increasing in
2006, 2009, and 2012 surveys. As well as in general context, higher educational
institutions were also facing the similar problems as shown in the table below.
Table 1. Problems of Japanese language education in Indonesian higher educational
institutions (from the Japan Foundation survey of overseas Japanese language
educational institutions)
Problems
2006
2009
2012
Insufficient
12.2%
27.1%
33.1%
interest among
learners
Declining number
22.6%
27.8%
28.6%
of learners

There are some particular social contexts in which this phenomenon took place. In
Indonesia, we still find general opinion saying that foreign language learning does nothave a good prospect in the future, and there are people who choose to study foreign
language in university as the last option after failing university entrance national exam
(hereinafter national exam). Majoring language studies in university is seen as lesspromising option in the future compared to other majors such as medical, engineering, or
economics studies. Nevertheless, graduating from higher educational institution isconsidered to be a bridge to the future employment and participation in the society,regardless the major. Therefore, when one could not enter his/her priority major, he/shewould choose language studies major in order to be able to study in the university to geta graduation diploma. However, in reality, studying language is not an easy task as they
have imagined before. Being a Japanese learner and then Japanese teacher in university,
the author frequently observed cases where learners were anxious about their language
ability and performance inside language classroom. In some cases, they even decided toquit in the middle of the course.
To get a better understanding of the apparent paradox of the circumstances
mentioned above, a comprehensive study of how affective factors, such as motivation and119foreign language anxiety (hereinafter FLA), influence Japanese language learning inIndonesian higher educational context is indispensable, not to mention study focusing onlearners’ voice inside and beyond the classroom. Furthermore, study on how learners
made meaning of their language learning is of considerable significance in the field,
especially when we are aiming for the improvement of Japanese language education inIndonesia. To pay more attention to learners’ voice and their language learning
experience is an issue of great importance. Therefore, two studies were conducted using
quantitative and qualitative approaches. Each studies would be further explained in thenext section.

2. Study 1
Study 1 focused on the anxiety in learning a foreign language experienced byIndonesian university students. How FLA has come into the spotlight was triggered byphenomena observed by the author, both as learner and then teacher of Japanese
language at an Indonesian university. The author has seen many cases in which learnersof Japanese language experience some signs of anxiety inside the classroom. The signs
were similar with those summed up by Oxford (in Yanling & Guizhen, 2006) as FLA signs:
 General avoidance: “forgetting the answer”, showing carelessness, cutting class,coming late, low level of verbal production, lack of volunteering in class, seeming
inability to answer even a simplest question.
 Physical actions: squirming, fidgeting, displaying jittery behaviours, being unable toreproduce the sounds or the intonation of the target language even after repeatedpractice.
 Physical symptoms: complaining about headaches, experiencing tight muscles.
 Other signs of anxiety in which may reflect cultural differences: over‐studying,
perfectionism, social avoidance, conversational withdrawal, lack of eye contact, image
protection or masking behaviours (exaggerated smiling, laughing, nodding, joking).
MacIntyre & Gardner (1994) define FLA as the feeling of tension and apprehension
specifically associated with second language contexts, including speaking, listening andlearning. It is a universal phenomenon found not only in English language (Sila, 2010), butalso in other languages as well, such as Spanish (Noels, 2001), French (Rodríguez & Abreu,
2003), and less commonly taught languages, such as Arabic (Elkhafaifi, 2005) andJapanese (William & Andrade, 2008). Furthermore, the unfamiliar writing andphonological systems found in less commonly taught languages appear to produce greater
anxiety in learning compared to the commonly taught ones (Elkhafaifi, 2005). Factors
influence FLA are both internal and external, including learners’ motivation (Bandura,
1997) and their belief in second language acquisition (Horwitz, Horwitz, & Cope, 1986),
as well as those derived from the environment, such as teacher’s teaching styles and therelationship with learners (Noels, Clément, & Pelletier, 1999). This study intended to
examine how FLA relates to learners’ motivation and their perception of teacher’s
behaviors and to investigate the interaction between these variables within the foreign
language classroom context.
2.1.

Research Design

The purpose of study 1 was to examine the level of FLA among Indonesian
undergraduate learners of Japanese, Korean, Arabic, English, and French. Furthermore,
the study intended to see whether it is related to learners’ motivation and their perceptionof teacher’s behaviours inside the classroom.

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There were 5 research questions (hereinafter RQ) in this study. (RQ1) To what
extent FLA manifested in learners of five different foreign languages? (RQ2) Is there
differences in FLA level between alphabet languages group and non‐alphabet language
group? (RQ3) Do learners’ motivation and their perception of teacher’s behavior
simultaneously affect their FLA experiences? (R4) Does learners’ motivation affect their
FLA? (RQ5) Does learners’ perception of teacher’s behavior affect their FLA?
There were 3 main instruments used in this study. The first instrument was Foreign
Language Anxiety Scale, adapted from Foreign Language Classroom Anxiety Scale(FLCAS) constructed by Horwitz, et. al. (1986). The scale consists of 34 items with item‐
total correlation coefficients ranging from 0.303 to 0.696, and alpha reliability coefficient
0.933. The second instrument was learners’ motivation scale, adapted from Language
Learning Orientation Scale (LLOS) constructed by Noels, Pelletier, Clément, & Vallerand(2003). The adaptation version consists of 22 items with item‐total correlation
coefficients ranging from 0.301 to 0.569, and alpha reliability coefficient 0.866. The third
instrument was learners’ perception of teacher’s behaviors scale. It was adapted from
instruments used in two previous studies, the instrument to measure the perception ofteacher’s communication styles (Noels, et. al., 1999) and the instrument to investigate therelation between teacher’s behaviors and learners’ intrinsic motivation (Pelletier &Vallerand, 1996). The modified version consists of 9 items with item‐total correlation
coefficients ranging from 0.453 to 0.663, and alpha reliability coefficient 0.845. Along withthese three instruments, the participants were asked to fill open‐ended additionalquestions and background information concerning their language learning.
Participants were undergraduates of Japanese language program of an Indonesian
university who were in second year of their four‐year study program. There were a totalof 182 participants, consist of 30 English learners, 47 Japanese learners, 32 Arabic
learners, 43 French learners, and 30 Korean learners. The questionnaires were
distributed in the end of each language classes. After the explanation of the study andinformed consent form by the author, participants were asked to fill out thequestionnaires.
2.2.

Findings and Discussion

The data was analyzed using 3 methods of analysis. To answer RQ1, one‐way
ANOVA was applied. The mean scores showed that Japanese learners has the highest levelof FLA (100.30), followed by Arabic (92.59), French (91.63), Korean (90.30), and English(83.07) learners. Furthermore, significant difference was apparent between Japanese andEnglish learners’ sample groups (p=0.000, mean difference=17.231) after the analysis
using post‐hoc test. RQ2 was analyzed using independent sample T test, and the result
showed there is a significance difference between alphabet language sample group andnon‐alphabet language sample group, in which the latter (mean=95.28) has higher levelof FLA compared to the former sample group (mean=88.11).
To analyze the relationship between FLA, learners’ motivation and their perceptionof teacher’s behaviors in RQ3, RQ4 and RQ5, multiple regression analysis with backward
method was applied. Learners’ motivation variable was removed in model 2. The result
suggested that learners’ motivation and their perception of teacher’s behaviors are notsimultaneously affect their FLA (R square value=0.026, p=0.095). While in model 1 wherelearners’ motivation was included, the coefficient for this variable had p value=0.863,
while learners’ perception variable has p value=0.035. This indicated that the latter
significantly affects FLA, while the former do not determine FLA. The analysis ofadditional open‐ended questionnaires also showed teacher‐related situations is thebiggest cause of FLA, followed then by class‐related situations in all sample groups, except
121English learners’ group. However, all sample groups shared similarity of their perceived
ability in anxious classroom environment. They perceived their language ability as being
in average or low level when they get anxious while learning language in the classroom.
The findings of the study confirm that Japanese learners have the highest FLA level,
followed by Arabic, French, Korean, and English learners. Different writing system ofJapanese, including the application of three different kinds of characters at the same time,
and the gradual increasing of difficulty as the learners move to intermediate and advanced
level, are some factors contribute to it. There is also a difference in foreign language
anxiety levels between alphabet (English and French) and non‐alphabet (Japanese,
Korean, and Arabic) languages group, in which the non‐alphabet one has a greater anxiety
level. Besides the different writing system factor, the fact that English is the most common
foreign language learned in Indonesia, in which many English learners are also engaging
in informal English language institutes, might be one of the factors that makes English
learners less anxious compared to other foreign language learners.
Learners’ motivation and their perception toward teachers’ behaviours do not
simultaneously affect FLA of Indonesian undergraduate students. As a matter of fact, itshows only a very small contribution to FLA. Furthermore, learners’ motivation inlanguage learning is not a predictor FLA of Indonesian undergraduate students. One of
the explanations for it is that the external factors, for example classroom environment,
give bigger influence than the internal one, such as motivation, for most Indonesianlearners. On the other hand, learners’ perception of teachers’ behaviours is one of thepredictor for FLA of Indonesian undergraduate students. The explanation is similar withthe previous one, especially among Japanese learners, in which almost half the thoseparticipated in the study attribute teacher’s behaviours as the source of their anxiety
inside foreign language classroom. The learning procedures and environment inside theclassroom also contributes to the occurrence of learners’ FLA.
2.3.

Conclusion

This study proposed some recommendations for further research of FLA and forforeign language teaching practitioners. Teachers, especially in Japanese classroom, needto assess their approach in error correction as well as their behaviours toward learners.
This study also found that teacher’s behaviours, such as discouraged comments and harshmanner in correcting learners’ language errors, over‐dominating inside the classroom,
and inflexible teaching method that make it hard to understand the materials, wererelated to a higher level of FLA. Young (1991) suggested that teachers need to be morefriendly, relaxed and patient, made learners feel more comfortable, encourage them tospeak out, and emphasize that mistakes are part of language learning process. Teachers
can do more pair work or small group work and language games to reduce FLA. Working
in pairs or small group provides a lot of opportunity for learners to practice their foreign
language, to help each other, and to gradually build their self‐confidence in speaking infront of others.
Study 1 was conducted using quantitative approach and were able to determine thetendencies of foreign language learners inside foreign language classroom. However,much less is known about the changing process of learners during their study in theuniversity and how it relates to social and cultural contexts beyond the foreign language
classroom, especially Indonesian Japanese learners who have shown higher level of FLA
compared to other foreign language learners. For that reason, study 2 were designed tobe conducted in a qualitative manner, as further explained in the next section.

122

3. Study 2
Study 2 was conducted to investigate the motivational change and the meaning
making process of Japanese learning experienced by Indonesian Japanese learners who
were majoring Japanese language program at an Indonesian university. This process wasanalysed based on Dörnyei’s (2005, 2009) L2 (second language) Motivational Self System.
There are three components in this theoretical framework: (1) Ideal L2 Self (the image ofself who can speak L2 one would like to become), (2) Ought‐to L2 Self (the image of self
in which one believes one ought to become to meet others’ expectations or to avoid
possible negative outcomes), and (3) L2 learning experience (related to learning
environment and experience). This study aimed to understand the dynamics process oflearners’ identity construction and negotiation through the interaction between theirideal and ought‐to selves with their learning experiences during their Japanese study inuniversity. Therefore, 3 RQs were developed in the study. (RQ1) How did learners’
motivation change? (RQ2) What factors did influence the change? (RQ3) How did thischange relate with the image of learners’ future L2 self?
In order to grasp the sociological aspect of the motivational change, the concept of‘investment’ proposed by Norton (1995) was also taken into consideration. It argues that
“If learners invest in a second language, they do so with the understanding that they will
acquire a wider range of symbolic and material resources, which will in turn increase thevalue of their cultural capital. Learners will expect or hope to have a good return in thatinvestment, a return that will give them access to hitherto unattainable resources” (Norton,
1995: p.17). It is important to incorporate Norton’s view of investment into the analysis
since we are inclined to see learners from dichotomous point of view:
motivated/unmotivated, good learner/bad learner, etc. The framework of ‘investment’argues that language learners’ motivation, anxiety, and self‐confidence related tolanguage learning process need to be understood as parts of learners’ relationship tolarger social structures (Norton, 2013: p. 156). They are socially constructed in learners’
experiences, connected to their changing identities and desire for the future.
3.1.

Research Design

To get a better understanding of motivational change and the meaning making
process in Japanese learning, qualitative method using narrative inquiry was considered
to be the most suitable approach for data collection. The participants who agreed to beinterviewed were 17 Japanese learners in their last year of study at university. In‐depthsemi structure interviews followed by questionnaires of participants’ backgroundinformation were conducted and the collected data were then transcribed and coded.
Based on initial motives for learning Japanese in university, participants were divided into
2 general groups: those who decided to enter Japanese program because they have failed
national exam and those who enter because of the interest in learning Japanese.
Furthermore, there were 5 categories emerged from the data: (1) future self‐image
integrated with Japanese, (2) difficulties in learning Japanese, (3) conflict of selves, (4)support of others, and (5) expanded network.
3.2.

Findings and Discussion

The result found that among 17 participants, 8 of them chose to continue their higher
education in Japanese major because they have failed national exam and because of thescholarship opportunity. The interviews further show that they preferred other majors
when they applied for national exam. Japanese major has been a save second or last choicefor them in order to be able to enter university. Moreover, the influence of family123members, especially parents, and close friends who are already studying Japanese or went
to Japan, as well as their high school Japanese teacher is of considerable significance intheir decision in choosing Japanese major. The result is similar with the research
conducted by Kobari (2014) who also shows significant number of learners with similar
motivations as mentioned above in choosing Japanese language education major inuniversity.
Further analysis of in‐depth interviews pointed out 5 learners: Sheila, Santi, Isti,
Adel, and Dedi (all pseudonyms), who went through a notable motivational changes overtheir three‐year period of study. Sheila, Santi, and Isti are among those 8 participants,
meanwhile Adel and Dedi are among other group of participants whose great interest inanime and manga have motivated them to choose Japanese major in the first place andturn down other offers. From the analysis of their stories as well as other participants, 5
categories as mentioned earlier were emerged and become important factors in the
dynamic process of motivational change. The process itself were divided into three stages:(1) the initial stage, where learner starts to learn Japanese in university, (2) the
confirmation/practical stage or the anxious stage, where learners begins to question thefurther meaning of their Japanese learning, and (3) the development stage or thewithdrawal stage, where learner decides what to do with their further investment inJapanese learning. Furthermore, the changing from one stage to another is caused by what
the author called “turning point”. The first turning point marked the changing processfrom the initial stage to the confirmation/practical stage or the anxious stage, and thesecond turning point marked the changing process from the confirmation/practical stage
or the anxious stage to the development stage or withdrawal stage.
In the cases of Sheila, Santi, and Isti, they have various motivations when they
started to learn Japanese in university. Sheila without background of Japanese learning
felt the urgency to keep up with her classmates and get good grades. Santi who failed thenational university entrance exam is motivated because of her interest in anime, manga
and J‐Pop since her teen years. Meanwhile Isti needed to maintain her good grades for thesake of scholarship. Japanese was easy in the beginner level for them and somehow they
still could manage the difficulties in learning Japanese. Support from families and theirbest friends also motivated them to keep going.

Japanese:
Beginner → intermediate
theory → application

Initialstage

1st turning point

Engagement incommunities of practice(Japanese)
The meaning making ofJapanese learning

Confirmation/practicalstage

Future self:
Self‐actualization →societal contribution
Future choice →Japanese

2nd turning point

Development
stage

Figure 1. The process of motivational change experienced by Sheila, Santi and Isti

However, the transition from beginner to intermediate level, followed by theapplication of theoretical Japanese, become the first turning point for them in thinking
124more about the meaning of their Japanese learning. The ought‐to L2 self who is required
to have the necessary Japanese capability to deal with intermediate level is in conflict withthe real L2 self who is still lack of Japanese skills and the ideal L2 self as a competentJapanese learner. Some strategies learners applied in this stage are by practicing their
Japanese through engagement in expanded networks with communities of practice andby measuring and confirming their Japanese proficiency through Japanese Language
Proficiency Test (JLPT). This stage is significant for learners because it enables them toengage in the meaning making process of their Japanese learning, to connect theirlearning with those other than themselves, and to reconstruct their own identity withinthose new connections. This also prepares them to the development stage where they
could develop the more concrete image of their future L2 self. As they prepare for future
course after graduation, self‐actualization related to societal contribution with Japanese
as intermediary is being integrated into their future L2 self. For Sheila, her future L2 self
is to become member of Japanese translator’s community with competent Japanese skills,
especially in grammar and Kanji. For Santi, it is to be able to pursue new field of study inJapan by utilizing her Japanese skills. While for Isti, her future L2 self is to become acompetent Japanese teacher and for that reason, she wants to continue her study to higher
level of education, especially related to Japanese language education.
Meanwhile in the case of Adel and Dedi, both have turned down other opportunitiesof learning in order to pursue their interest in anime and manga by enrolling in Japanesestudies in university. They were highly motivated learners of Japanese in the initial stageof their learning. Up to this point, the Japanese learning was very much related with theirown interest. However, the similar turning point as experienced by Sheila, Santi and Isti
also happened to them. The shift from beginner to intermediate level has triggered themto engage in the meaning making process of Japanese learning. The difference is on their
expanded networks of communities of practice they participated in. Adel actively
participated in an international event with people from various countries, including Japan.
Still, the required competence in this community of practice was not Japanese, therefore
Adel was encouraged to practice other skills. The interaction with different fields andpeople somehow has made her reflect on her own Japanese skills and how she would be
able to actively participate in the future society. She doubted her lack of Japanese skills
would be sufficient for her future. This leads her to withdrawal stage where she decided
to take another course after graduation. The similar case also happened to Dedi who inthe end came to the conclusion that his Japanese skills is only for his self‐interest and heneeds to acquire other skills to be able to contribute to the future society.

Japanese:
Beginner →intermediate
theory → application

Initialstage

1st turning point

Lack of communities ofpractice (Japanese)
Discouragement ofJapanese learning

Anxiousstage

2nd turning point

Future self:
Japanese → withdrawal
Future choice → othercourseWithdrawal
stage

Figure 2. The process of motivational change experienced by Adel and Dedi

125

3.3.

Conclusion

From the analysis of learners’ motivational change during their three‐year of study
in university, it is inferred that learners’ investment in Japanese learning is greatly relatedwith learners’ identities and their perception of Japanese as symbolic capital. The stories
of five learners described above show that becoming the member of wider L1 (first
language) and/or L2 societies who has access to resources such as employment andprofessional status is one thing that make learners invest in Japanese learning. This
investment is expected to increase the value of their symbolic capital and open moreaccess to resources of their desire and future L2 self. In other words, it reflects themeaningful connection between learners’ commitment to learn language and theirchanging identities (Norton & Toohey, 2011). Furthermore, the study also found thesignificance of the meaning making process through participation in communities ofpractice related to Japanese language. The negotiation of meaning involves participation
as a member of community of practice and reification as the process to make something
more concrete through practice (Wenger, 1998). As learners made meaning of their own
learning, Japanese gradually becomes integrated with their self, a process of what
Wertsch (1998) refers to as “appropriation”.
Based on the findings, this study proposed some significant points higher
educational institutions should focus on, in order to encourage and facilitate learners’
development, such as to make a connection between Japanese learning and the future,and to realize the importance of future imagination for learners to help them making theirinvestment in language learning. Other suggestions are to foster learners’ capacity to havemultiple future options and to be able to choose the most relevant one, as well as toprovide opportunity to get connected with various communities of practice.

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127

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Sosial Science and Sustainability

The Support of Public Works And Community Housing
Development Ministry On Poverty Eradication Through Special
Fisherman Home
Hakim, S.Pd, M.Pda and Arin Fithriana, S.IP, M.Sib
a.Lecturer of Architecture Technique Faculty, Budi Luhur University, Budi Luhur
University, Highway Ciledug, North Petukangan, South Jakarta 12260, Indonesia
b.Lecturer of International Relations, Social and Politics Faculty, Budi Luhur
University, Budi Luhur University, Highway Ciledug, North Petukangan, South
Jakarta 12260, Indonesia

Abstract
This study describes the support of Public Works and Housing Development Ministry on
people in meeting the housing needs for the fishing community through thedevelopment of special homes in all parts of Indonesia based on the filing of local
government. This particular home using conventional building typologies / walls andwooden stilt home. This study uses a qualitative methodology with descriptive analyticalresearch by collecting primary and secondary data that refers to the form of structured
interviews and field observations supported by literature relating to the theme. This
study uses a series of theories and concepts such as the State, SDGs, Poverty and Special
Home concept for fishermen. The results of this study show that the support of the
Public Works and Public Housing Ministry as government institutions in alleviating
poverty as a form of implementation on fulfilling the needs in the field of housing andsettlement for fishing communities was corresponded to the attainment of SDGs
program.

Keywords: Poverty, State, Custom Home, Sustainable Development Goals (SDGs)
1.

BackgroundIndonesia is the largest archipelago in the world that consists of 17,508 islands
with a coastline of 81,000 km and Sea area of 3.1 million km2. According to UN
Convention in 1982, Indonesia has the potential of biological resources and nona Budi Luhur University, Highway Ciledug, North Petukangan, South Jakarta, Telephone : +6221 5853753;

Fax : +6221

7371164, hakim_hr@yahoo.com
b Budi Luhur University, Highway Ciledug, North Petukangan, South Jakarta, Telephone : +6221 5853753;

Fax : +6221 7371164, arin_030302@yahoo.com.au

128

biological abundance. This causes most people to stay and occupy the area around thecoastal areas as well as dependent as fishermen. As a nation state that has a vast sea
area and fertile land, it should Indonesia become a prosperous nation. Becomes
unnatural when the wealth of such a large turn out to be prosperous. Indonesian
territory that is wide enough to be part of the power and wealth of Indonesia as anation‐state. On the other hand the power and wealth could be turned into a potential
threat to the survival of the nation state. . With a coastline and vast ocean that is so,ideally coastal communities have the welfare of higher than inland communities, given
the natural resources and biodiversity of Indonesia is abundant in the region of the sea.
But in fact, especially in coastal communities directly border to another state or frontierarea, the real condition is different. Some fisherman in coastal border area life in lackcondition, both social and economic life. This condition can worsen the national
integration and sovereignty of the country. Fishermen society is a society living incoastal regions with their main livelihood is to utilize the natural resources found in theocean in the form of fish, shrimp, seaweed, coral reefs and other marine resources. Lifein the oceans to form their characteristics into characteristics that are very hard and fullof risks, especially the risk that comes from natural factors.
Fishermen have a very substantial role in promoting human life. They included anagent of development is the most reactive to environmental changes. It is more open
than the group of people living in the interior into a stimulator to accept thedevelopment of modern civilizations. In such context arises a positive stereotype about
identity, especially fishermen and coastal communities in general. They are consideredmore educated, insights on life is much broader, more resistant to the trials of life andtolerant of differences. Revenue fishing communities directly or indirectly, will greatly
affect their quality of life. Revenue from the sea is a major source of income, or even the
only way for them. The size of the revenue will greatly affect their lives, especially intheir ability to manage the environment in which they live.
In general, there are two (2) categories of fishermen in Indonesia are traditional
fishermen and modern fishermen. Traditional fishermen are fishing the workings
assisted by using inadequate equipment or are still using manual tools such as using acanoe with paddle means by human power or catch fish with nets. While modern fishingis fishing the workings uses sophisticated equipment such as by boat or catch fish using
a tool such as trawl.
In the daily life of traditional fishermen oriented to meet its own needs, in terms of
the allocation of the catch is sold more widely used for everyday basic needs, especiallyfood and not reinvested for expansion of business scale. Fishing conditions mentioned
above are compounded by increasingly limited and the high price of land for housing
and settlement, narrowing access to the fishing communities to obtain housing andlivable neighborhoods. The reality conditions above shows that the low level of social
welfare in coastal areas, as shown on the distribution of disadvantaged areas that
dominate the area and the archipelago. One reason is the lack of investment value(including facilities and infrastructures) supporting marine and fisheries sector.
The existence of settlements of fishermen are intimately associated with thesource of fishing, the area of distribution of the catch and the beach area, where thebeach should be easily reached by public with transport and good road network,
enriched with a variety of social activities, economic and cultural dazzling without
damaging the environmental compatibility to develop settlements in the coastal areas
are built or improved facilities and infrastructure fishing settlement. Development of
infrastructure is expected to be the center of formation and development of fishingcommunities, the center of economic activity and where the processing and marketing offishery products integrated. It would be multiplayer effect of development.
If the fishing community is only able to meet their basic needs then other needs
such as improved management of settlements as well as facilities and infrastructure
would be abandoned, this will lead to environmental degradation of their settlements as129

housing conditions that have been damaged cannot be repaired, the local roads
damaged nor serious attention, be completed due to financial constraints of the fishingcommunities who live in the neighborhood, so the development environment offishermen has decreased (stagnation conditions of the settlement) as the stagnation of
the development of a residential neighborhood and fulfillment facilities andinfrastructures existing support can even have an impact on the emergence of seedy
neighborhood (slump area) and will affect the development of global settlement
conditions for growth and development of the region is the physical manifestation of
economic activity. Problems in drainage and sanitation networks are also not treated
immediately, and many more problems that they are not exist in the neighborhoods.

2.

IssuesBased on the background and the above problems, there is support from the
Ministry of Public Works and Housing of the people meet the need for a place to staythat's habitable for Fishermen community. The home care program under the auspicesof the Director General Provision of Housing, the Directorate of Special Housing with a
special home delivery work for fishermen.
This government program is part of a national action plan on achieving theMillennium Development Goals (MDGs) which continues on Sustainable Development
Goals (SDGs) with a target of achieving by 2030. This action plan form implementationof global agreements that occurred on 25‐27 September 2015 in a meeting grandheadquarters of the UN (United Nations), New York, United States. This meeting is acontinuation of the agreement document MDGs. When the 193 UN member states
unanimously adopted a document entitled "Transforming Our World: The 2030 Agenda
for Sustainable Development". SDGs have a foundation that is five aspects; People,
Planet, Prosperity, Peace, and Partnerships who want to achieve three lofty goals in
2030 in the form of ending poverty, achieving equality and tackling climate change.
Based on the seventeenth of development goals, this study focused on the target ofpoverty alleviation through development by the Directorate of Custom Home, Custom
Home Supply Directorate of the Ministry of Housing PUPR.
For more mapped the problems it will be explained using the following analysis
modelsSpecialHousing
Assistance
ProgramFigure 1. Groove formation Custom Home Assistance Program

Based on these ideas, the discussion of the study include Indonesian fisherman poverty
in Indonesia’s border area, achievement of Sustainable Development Goals and national
development and the implementation of special housing assistance program.

3.

Indonesian Fisherman Poverty in Indonesia’s Border Area

According to J. G. Starke Border is one of the most important manifestations ofterritorial sovereignty. As far as the border was explicitly recognized by the treaty or
generally recognized without the assertion, then the border is part of a state's right tothe territory. Borders are often interpreted as an imaginary line on the Earth's surface
that separates the territory of one country to another. This border is in the form of land130border and maritime border. Land border is the locus of points or lines separating themainland and parts thereof into two or more regions of different power, while theborder waters of which the territorial waters or territorial waters.
Poverty is a condition of economic inability to meet the standard of living of
average people in an area. The inability of these is characterized by low ability of income
to meet basic needs in the form of food, clothing, and housing. The ability of low income
will also have an impact reducing the ability to meet the standards of the average life
such as public health standards and educational standards. Conditions of the poor
people can be known by poverty that lack ability to meet the standards of living.
Definition of poverty which is currently used as a study popular development ispoverty that is often found in developing countries and the third world countries. The
issue of poverty in these countries is not just a form of incapacity earnings, but has
spread in the form of its social and political powerlessness. Poverty was also considered
a form of construction problems that caused their negative impact on economic growth
is not balanced so that widening income gap between the community and the income
gap between regions (inter region income gap). Development studies today are not only
focused its study on the factors that cause poverty, but also identify all aspects that canmake the poor.
Indonesian border region poverty is evident by the lack of infrastructure which isowned by the region. Lack of good transportation, communication, health care,education, the economy and everything that related to human needs including energy
and water. Therefore, the Indonesian border area is part of the development of thenational spatial plan. Based on Government Regulation 26 of 2008 on Spatial Planning,
the border region of Indonesia are in the development of Indonesian Archipelagic Sea
Lanes (AKLI) and the Exclusive Economic Zone (EEZ). As government regulation, in the
figure bellow shows the location of the border of Indonesia, which became part of thedevelopment of the national territory. 10 boarders location in 26 cities as centre ofnational strategic activation (figure 2)

Figure 4.1. Location Border region of Indonesia.
Figure 2. Location Border region of Indonesia.

As the image area locations Indonesian border, seen, that the border area islargely underlined the coast of Indonesia. So in generally, which cultural, social andeconomic communities living on the border in accordance with the conditions of theirenvironment. In general the people in the coastal border area are fishermen. Fishermenborder in Indonesia synonymous with simplicity and even poverty. This is evident fromthe exchange rate of Indonesian fishermen compared to other agricultural sectors theexchange rate is still quite small even in 2007 was only 9.62 percent of the total value ofagricultural exchange. Very small compared to the area of marine waters of Indonesia.
This condition is directly proportional to the fishing conditions. This means that if theexchange rate of small fishermen, then so does the income of fishermen is also small.
This revenue will impact on their welfare. On the other hand the border region is remote131area far enough from the center of government, so some border areas experiencing gaps
in development. Not just the fishermen, but also impacts on the environment where thefishermen live, including infrastructure, education, health and other social services.
Some border areas are located on the coast with the lives of fishermen that stillrequire attention welfare, among others are ; District Sebatik East Kalimantan, District
Tahuna, Sangihe, North Sulawesi, District Atambua, Belu, East Nusa Tenggara, Kampung
Skouw Sae, Muara Tami District , Kota Jayapura

4.

Achievement of Sustainable Development Goals (SDGs) and National
Development

Since the reign of Joko Widodo, the national development agenda developed
through "Nawa Cita" which consists of nine development priorities. Nawa Cita
developed in the National Medium Term Development Agenda (RPJMN) 2015‐2019. On
the other hand, there is a global agreement related to the Sustainable Development
Goals (SDGs) for the period 2016‐2030. To follow the global agreement, the Indonesian
government needs to translate and integrate into the national development agenda andregional development.
There are four main focus areas of UNDP and the government of Indonesia as aform of convergence Nawa Cita and SDGs, that gap, Environment and Energy,
Governance (anti‐corruption) and Global partnership. In connection with the research
focus of poverty reduction through the development of Custom Homes by the
Directorate of Special Home Supply, Directorate of the Ministry of Housing ‐ PUPR, theconvergence seen in Nawa Cita 3 and 5. In Nawa Cita 3 emphasizes on the developmentof suburbs. In this case the outskirts covers the border area which is the area most edgeof the national territory of Indonesia. Construction of the suburban part of efforts tomaintain the unity of Indonesia. suburban areas, especially in border area as potentiallyexperiencing disintegration, especially if there are social and economic inequality arequite high and uneven development. While in Nawa Cita 5, one form of a prosperous
Indonesia Program is to ease the people to get a home to stay.
Table 1. Convergence Nawa Cita, RPJMN and SDGs:
Nawa Cita
RPJMN
SDGs
N.3. Indonesia build from theSection 6.3. Indonesia build from the G1. Ending poverty in all places inperiphery to strengthen these areas
periphery to strengthen these areas all forms
and villages within the framework of and villages within the framework of aa unitary state
unitary state.
‐ Laying the foundation of basic
commencementofasymmetric
decentralization‐ Distributing development among
regions, especially in eastern
Indonesia‐ Tackling poverty
N.5. Improving the quality of humanlife by increasing the quality ofeducation and training withIndonesia Pintar program, as well as
the improvement of social welfare
programs and prosperous Indonesia
Indonesia Work by encouraging land
reform and land ownershipprogram, program sequence village
houses or flats cost sera subsidizedsocial security for the people

Chapter 6.5. Improving the quality ofhuman life and the people ofIndonesia;‐ Building on population and familyplanning‐ Developing education: implementing
Indonesia Pintar program‐ Build health: implementing the
program Healthy Indonesia‐ Improving the welfare of
marginalized people: Indonesia
implement the program of work
‐ Improving the welfare of thecommunity through sustainable
livelihood.

G1. Ending poverty all over theplace in all its forms

132Based on the suitability or convergence between the Nawa Cita, Medium Term
Development Plan and the destination SDGs, it needs real implementation of the policy.
Ending poverty would not be an easy and smooth. Inter‐sectoral collaboration andawareness is necessary that poverty eradication as a common goal and not an individual
goal. One way to alleviate poverty is to meet the basic needs of society. The housingneeds is one of the basic necessities of human life, thus fulfilling the needs of the housing
is one solution. The government through the Ministry of Public Works and Housing,Directorate General for the Provision of Housing strives to meet the basic needs. Somepolicies have been made by the ministry. In the administration of President Joko Widodo
special housing program implemented by the Directorate of Special Home Supply
Directorate General of Housing. Ministry PUPR, allocated Rp 1.4 trillion to build 6,002
housing units specialized in the whole of Indonesia. The house specialty is built will be
for members of the TNI / Polri, people in rural areas, disadvantaged areas, fishermen
and people living in border areas. In addition to the border area house special Ministry
PUPR program includes also a special need for resettlement housing, resettlement ofdisaster victims, social homes to accommodate elderly, the poor, orphans andabandoned children. Including for the construction of houses and homes, which arelocated scattered in the border region. This may be as a single house, duplex or row
house typology in the form of sole houses or stilts. Existing home today many are nothabitable and the quality is poor compared to homes in neighboring countries. For thepeople in the border area and the periphery, one manifestation binder confirms thepresence of the government is a decent home for them.

5.

Fishermen’s Custom Home Assistance Program

As mandated in Article 28‐h 1945, the home is a basic human right in addition toclothing and food, as well as a reflection of human identity, either individually or in aunity and togetherness with the natural environment. Housing also has a strategic rolein the formation of character and personality of the nation, so it needs to continue to befostered and developed for the sake of continuity, improvement of life, and livelihood.
The state is responsible to protect all the Indonesian people through thedevelopment of housing and residential areas so that people can live and occupy decent
housing and affordable housing in a healthy, safe, harmonious, and sustainable in all
regions of Indonesia. Growth and development of the region are paying less attention to
the balance of the interests of low‐income people, that lead difficult‐low income people
to obtain decent and affordable homes
Notching the physical settlement of fishermen community in general based by theprocess of growth and development of a settlement. The process of growth anddevelopment of a residential community of fishermen historically most of thesettlements that grew naturally, spontaneously grow and develop sporadically. As aresult, in most settlements fishing communities in Indonesia looks less well ordered,tend to be irregular (sporadic) and tends to develop spontaneously or naturally. Becauseof the location and the location is far from the cities, settlements conditions of fishingcommunities still have not been touched by their regional planning activities.
The house specialty is the house that was organized to meet the specific needs
among other things for the community house in the border area, the people affected bygovernment development programs, people living in the outer islands, remote, disaster‐affected communities, prone to the risk of social, cultural heritage area, homesteader,older people, the poor, orphans and / or abandoned children, people in the area ofprocessing of natural resources.
Shape physically from settlement patterns fishermen usually in the form of: (a)pattern elongated (linear) along the shoreline, (b) the pattern of a group or cluster to the133center of settlement activity, usually around the mouth of the river, (c) patterns ofparallel, namely the settlements already tend to be large or wide, (d) patterns of loops
and / or curve linear especially on settlements by contour relatively steep, and (e)patterns of a compound or a combination of the patterns on the settlement of fishermen
who have large or widespread. This discussion related to the physical environment ofsettlements fishing communities, in addition to the condition of the settlement, also
discussed the completeness / provision of facilities and infrastructure for housing,housing conditions or houses where he lived and environmental sanitation conditions
around the settlements.
Residence or adequate housing is one of the standard of living or standard ofwelfare of people in an area. Under these circumstances, a society called poor if it has amuch lower income than the average income, so that not many have the opportunity toprosper himself.
Indonesia’s Government through Public Work and Community Housing Ministry
conduct special housing program for fisherman border. Beneficiaries based on
Permenpera No. 10 of 2015 on Guidelines Help Special House, including the people
living in the outer islands and fishing communities. In practice, the construction of
special houses of fishermen in need of support from various parties such as developers
and investors. Support and involvement of the private sector is regulated in Article 6.
Implementation Stages and implemented as set out in Article 9 to Article 45 in theRegulation of the Minister of Housing No. 14 / Permen / M / 2006 on the
Implementation of Special Area Housing.
To apply for a special housing assistance, applicants must meet the following
procedures:
 People apply for assistance to the Government of Regency / City.
 The Government of Regency / City forward proposals to the Provincial Government.
 Proposed assistance addressed to the Ministry of Public Housing.
 Proposal of Kodim / TNI Military Command coordinated by the Ministry of Defence.
 Proposal of the Police and coordinated by the National Police.
 Proposed entered in the database Ministry PUPR.
 Verify administration.
 Verify Field.
 Application of SK Recipient Custom Homes.
 Development auctions.
 Implementation of Development.
 The use and occupancy.
 Handover Assets.
The Implementation of the program for fishermen special house aid border is a
program of the Ministry PUPR, but the implementation also requires the support andcooperation of various parties, both government and private sector and the public.
Administrative Requirements Custom Homes development proposals include: Location requirements; such as Compliance with the Spatial Plan (RT/RW) Regency /City; Consideration of the bearing capacity of the soil and the environment; The
location has access roads; There are sources of drinking water and electricity
resources.
 Requirements Soil conditions; such as vacant land that free of buildings, permanentand free of plants that interfere with development; The topography or contour of theland that can be built housing is flat to gently sloping shape or slope steepness 0‐15%; At Custom Homes will begin construction, the location of the land is not entail

134the maturation process of land or land maturation has been done independently by
the proposer Custom Homes.
For the implementation of the program, the Ministry of Public Housing define theimplementation stages as the mechanism in the following figure:
SPECIAL HOUSING ASSISTANCE MECHANISMPROPOSAL FOR
HOUSINGASSISTANCE
application filecontains:
1. Petition
2. Pproposal
3. Letter of support
from the Regent/Mayor, Governor
4. affidavit
resistant, clear andclean, the shape ofthe building
5. Land titles
Technical
requirements:
1. in accordance withthe spatial
2. The location is notprone to disasters
3. Complete with
infrastructure
4. The condition ofland ready to build

AREA

PUBLIC WORKS &COMMUNITY HOUSINGDEVELOPMENT MINISTRYCONSTRUCTOR

Directorat General Provision
Of Housing

Supervision Of
Construction

Letters Of
Recommendation
Related Agencies

VERIFYadm
requirements

Incomplete

April –Octobercomplete
Verifyfield
The Development
Process:
1.Auctions
2.Construction
The Proposed Location
Determination

Improvement
Proposals

Location
Determination
December

Utilization By The
Receiver

Implementation Of
Development By The
Working Unit

Special House
Built

Management Of Asset Handover

Figure 3. Special Housing Aid Mechanism

The mechanism include how the fisherman to propose to the spatial authority or
the spatial authority to the government up to the final process, that are hand over asset.
The price for a unit of special house average on 150 million IDR which the payment
mechanism based on the asset regulation. The Special housing aid program forfishermen as part of the authority program to alleviating poverty and achieving the SDGs
this certainly has a provision that was passed in the legislation. This serves as thefoundation for the implementation of the achievement of national objectives and as atool control policy that has been made by the government. Since the special housing
assistance program was developed by the year 2014 from the development plan for the135fishermen as much as 2015 units of the border area, that has been only 912 inhabited.
This condition occurs because there are some obstacles that also presents challenges
such as limited state budget funds to built special house, the availability of land that isclear and clean in the area, and the limitation of resources the Ministry of Public
Housing. One step to ease these obstacles could be handled by cooperate with private
sector.

6.

Conclusion

As the first achievement of the objectives of Sustainable Development Goals(SDGs) is the alleviation of poverty, then poverty reduction also include social protection
for the poor. Taking the definition of social protection used by the UN in the "United
Nations General Assembly on Social Protection", ie as a collection of government policies
and programs as well as the private sector created in order to deal with the various
things that cause a loss or substantially reduced income/ salary received; provide
assistance to the family (and children) as well as providing health care and housing. In
more detail explained that social protection provides access to the effort to fulfill basic
needs and basic human rights, including access to income, life, work, health andeducation, nutrition and shelter. Additionally, social protection is also intended as a way
to reduce poverty and absolute vulnerability faced by people are very poor.
Social protection for the poor have the handling is different in each country. this isbecause every region has different characteristics. This difference is also the basis forthe implementation of the housing program specifically fisherman border. As explained
above that the construction of the house specialty is also adjusted to the readiness of theregion, georgraphy conditions and social and cultural life of society, a condition that
became a challenge for the implementation of the program. Special home construction
fisherman border is part of social protection for the community. Through theconstruction of the house specialty, basic human needs are met. Fulfillment of basic
needs will encourage people to improve subsequent fulfillment. In this case, it isassumed that the home be the cornerstone of the next social activity, including theadjustment of home form
Based on this insight, the special assistance program of fishermen houseespecially, the poor fisherman who is on the border Indonesia is part of the fight against
poverty as the first destination SDGs. This objective directly to sustainable national
development. If the national development can be achieved and implemented properly, it
will directly impact on national integration which is the main purpose of the Indonesian
government.
7. References

Bengen. D.G, (2001).Sinopsis. Ekosistem dan Sumberdaya Alam Pesisir dan Laut. PKSPL‐IPB.
Bogor
Budiharjo, Eko (Ed.), 1997, Arsitektur Pembangunan dan Konservasi, Penerbit Djambatan,
JakartaBlaang, C. Djemabut.(1986). Perumahan dan Pemukiman.Gadjah Mada University Press,
Yogyakarta.
Cresswell, John W.,(2010) Research Design: Pendekatan Kualitatif, Kuantitatif dan Mixed,
Pustaka Pelajar, Jakarta
Judohusodo, Siswono, (1991) Tumbuh nya Pemukim Pemukim Liar di Kawasan Perkotaan, JIIS.
Anup Shah, Poverty Around The World, http://www.globalissues.org/article/4/poverty‐around‐the‐world. Last Accessed 11, November 2011
Caterina Rugeri Laderchi, Et. Al. Does It Matter That We Do Not Agree On The Definition of
Poverty? A Comparison of Four Approaches, Oxford, 2010.pdf http://www3.qeh.ox.ac.uk/
pdf/qehwp/qehwps107.pdf . Last Accessed 19 Maret 2014136

According to issuing agency’s regulation, Permenpera No 10 Tahun 2013 tentang Pedoman
Bantuan Rumah Khusus
According to issuing agency’s regulation. Peraturan Menteri Negara Perumahan Rakyat Nomor
15 Tahun 2006 Tentang Petunjuk Pelaksanaan Penyelenggaraan Pengembangan Kawasan
NelayanBackground study, RPJM Kelautan Perikanan 2015‐2019, Analisis Pencapaian Nilai Tukar
Nelayan (NTN), Kerjasama Kementerian Perencanaan Pembangunan Nasional (BAPENAS)
dengan Japan International Cooperation Agency (JICA), Januari 2014
Laporan Akhir Penyusunan Prototipe Rumah Khusus di Perbatasan Negara DRKN 15‐06,
Kementerian PU‐PR, Direktorat Rumah Khusus 2016

137

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Public Studies

The Translation of Japanese Manga in German and English
Moe Otsuka*
Graduate School of Humanities and Social Science, Chiba University, Yayoi‐cho Inage‐ku,
Chiba‐shi, 263‐8522, Japan

Abstract
In this study, I investigate problems in the translation of manga and solutions tothese problems. The translation of manga has peculiarities when compared with that ofliterary works. The text in manga is to be read with illustrations and is mostly
conversational in style. This study aims to research German and English translations ofmanga, which have different translation policies. First, I treat the differences in cultural
habits, the biggest issue in the translation. I research the elements that are difficult forforeign readers to understand, and solutions the translators developed to tackle these
difficulties. Second, I investigate the word exchange in the conversational context thatoccupies the majority of the text in manga. I study the function of texts in theconversational sequence and the maintenance of that function in the translation. In
conclusion, I found that, first, the translators exchange verbatim translated words withthe proper native expressions, or add accounts according to background knowledge about
Japanese culture that readers are presupposed to have. Second, they change the original
elements on purpose in some cases in order to maintain the conversational sequence. The
translators do not only assimilate the Japanese elements to their own culture, but also
reserve Japanese vocabulary or cultural characteristics in order to maintain balance. My
investigations have revealed that as a whole, manga translators successfully introduce
modern Japanese culture through manga.
(Abstract should be approximately 200‐250 words in length)

Keywords

translation studies; Manga; German; English(Include approximately 5 keywords)

1. Introduction
Japanese manga has enjoyed a substantial international market and has come to be
seen as new symbol of Japan. This new status was made clear by the closing ceremony of
the 2016 Summer Olympics in Rio de Janeiro, Brazil. Japanese in anime and manga
characters presented Tokyo, Japan as the site of the next summer Olympic Games.
* Corresponding author. Tel.: +81‐080‐5694‐9109; fax: +81‐047‐451‐0526.

E‐mail address: moe.otsuka.29@gmail.com

137Because of their popularity overseas, dozens of Japanese mangas are translated
and published every month. Demand for the translated texts of Japanese manga is on therise from foreign manga readers, but research into these translated texts is not common.
Therefore, methods for analyzing manga texts have not been fully developed.
In this study, I discuss problems in the translation of manga and their solutions. The
main object of inquiry is the translation of manga texts. For the purpose, I define mangatexts and how the translations are analyzed.
Manga translations have peculiarities when compared to literary works. This study
aims to research translations of manga into German and English, which have different
attitudes towards translations. I refer to an increasing popularity of manga in Germany.
For this study, I use Japanese manga, “Yotsubato!” as the translated text.

2. Methods
I divide my analyzing methods into six parts.
First, the popularity of manga in Germany has been increasing, resulting in a saleboom. Two manga series caused this boom: “Dragon Ball” and “Sailor Moon.” Both series
targeted children as their main audience. Since their introduction, Japanese manga has
increased its share in the German market. GfK Entertainment reports that the sales ofmanga grew almost 15 percent from the previous year in 2015. Jüngst (2007) reports that
because of the acceptance of manga in Germany, German manga‐readers understandJapanese manga features; for example, they ca change reading direction, use easy
Japanese vocabulary, and so on.
Second, how are manga texts difined? Manga pages have two types of content:
literal texts and text illustrations. The former means that the character’s speech is mostly
contained in a speech bubble. The latter comprises onomatopoeia or depicted charactersin the background. In this study, I discuss the former and define these texts as “literaltexts.” Unser‐Schutz (2010) investigates the ratio of manga texts and reports that the
majority of text in manga is speaking text.
Third, how are manga texts used in Japanese language education for foreign
students? Texts of manga and anime are used for teaching Japanese. The study of Japanese
language education says that the features of manga and anime texts are much the same,
meaning that manga texts are speaking texts. Therefore, I suggest that manga texts can beanalyzed as speaking texts.
Fourth, how do we analyze speaking texts? Austin (1955) defines a speaking text as
one performing a “locutionary act.” He further breaks a locutionary act down into an“illocutionary act” and “perlocutionary act, perlocution.” The former means uttering a“question,” or “statement,” for instance, by performing a locutionary act. The latter affects
the acts and emotions of the others reachable through the locutionary act andillocutionary act. Furthermore, the ethnomethodology uses a real speaking text as a target
for their investigation of conversational organization. I utilize this methodology for mystudy.
Fifth, how are translation studies conducted? The functionalist approaches define
translation as the act of communication. Vermeer articulates the purpose of translation
as “skopos,” “purpose” in English derived from Greek. According to skopos, the translation
can be evaluated. Fujinami (2001) decides a parameter for evaluating translation within
the functionalist approaches. Fujinami analyzes whether the translation, along with its
purpose, is achieved. This attempt means that translated texts can be evaluated using avisual parameter. Pursuant to this method, I use a parameter for the purpose of analyzing
translated texts.
Finally, I introduce “Yotsubato!” (literally meaning “Yotsuba with !,” “Yotsuba” isthe name of the heroine, who is a five‐years‐old girl, and “to” is a grammatical conjunctionin Japanese meaning ‘and’) by Azuma Kiyohiko. The heroine, “Yotsuba” is a five‐year‐old
girl experiencing ordinary Japanese everyday life, which is recorded in the manga.
138

Because the heroine is a child and also a foreigner, “literal texts” include word plays or
mistakes; and because ordinary Japanese everyday life is written in the manga, “literaltexts” include many aspect of Japanese culture. These elements present a common
problem of translation. Moreover, the “literal texts” of “Yotsubato!” are mostly speaking
texts. Because of these factors, I chose “Yotsubato!” as the subject of my study.
I divide “literal texts” into two types and analyze them: unfamiliar concepts for
non‐Japanese manga readers and conversational texts.

3. Unfamiliar concepts for foreigner non‐Japanese manga readers
To study unfamiliar concepts for non‐Japanese manga readers, I picked out notesfrom texts of manga, because it has been observed that there are aspects of manga that
non‐Japanese readers might not understand. In keeping with the notes methodology, I use
a classification system that takes into account the function of note, originally proposed by
Nida (1972) and a classification of the translating intercultural concepts by Franco(1996).
 A classification system taking into account the function of note by Nida (1972)(1) A correction of difference between languages or cultures(a) A habit, (b) Geographic or material concepts, (c) An equivalent of weight orcapacity, (d) Word play, (e) Supplementary explanation on a proper noun, etc.
(2) A supplement of background information for understanding the relevant text
 A classification of the translating intercultural concepts by Franco (1996)i) Repetitionii) Orthographic adaptationiii) Linguistic (non‐cultual) translationiv) Extratextual glossv) Intratextual glossvi) Synonymyvii) Limited universalizationviii) Absolute universalizationix) Naturalizationx) Deletionxi) Autonomous creation
Consider the following example:
Example 1

In an example 1, Yotsuba goes camping with her father, her father’s friends, andher own friends. The time for dinner comes, and the campers start to prepare dinner:curry rice. Yostuba’s father orders Yanda, his friend, to cook the rice (example 1).
The word, “hayashi rice” is annotated in English. The note for hayashi riceconsists of a first half, an explanation of the food, and the second half, an explanation of asimilarity between curry with rice and hayashi rice. The second half indicates that serving
hayashi rice to Yanda is a punishment for Yanda’s failure to cook properly. Therefore, this139

note functions as a (2) A supplement of background information for understanding therelevant culutural aspects of the translation.
On the other hand, in German, the word for hayashi rice is deleted and thephrase “nothing but water” is used as a substitute. This alteration in German means that
German readers cannot understand the similarity between curry with rice and hayashi
rice because of their unfamiliarity with hayashi rice. Moreover, in the German version,notes are used to solve this problem. Finally the expression of viii) Absoluteuniversalization, “nothing but water” is used to convey it as a suitable punishment for
Yanda’s offense.
Translation of unfamiliar concepts is used in different ways in German andin English. In German, notes are hardly used and the problems of translation are solved
with alterations of literal texts. When a note is used in a German version, it consists of at
most an explanation of the word. In English, however, notes are used frequently. In
addition, a note often contains supplementary background information for understanding
the relevant concept in addition to an explanation of the word. It is obvious that theresources provided in each version are considered the best translation for each set ofreaders.

4. Conversational texts
To analyze conversational texts I chose the expression, “Nan da sore? / Nani sore?
(What does it mean? / What is it?)” because I think that this expression can mean various
things and play different parts in the conversation. However, I do not analyze English
versions because this phrase is translated without alteration in English versions.
I developed a parameter for analyzing the phrase, “Nan da sore? / Nani sore?
(What does it mean? / What is it?)” consisting of four points below: A parameter for analyzing the phrase, “Nan da sore?”I) Illocutionary act
II) Evaluative expressionIII) Attitude
IV) First pair part
The first content piece is I) Illocutionary act, the concept discussed above in thediscussion about Austin. The phrase, “Nan da sore? / Nani sore? (What does it mean? /What is it?)” acts mainly as a “question,” also secondarity as a “statement” when the
speaker talks to him‐ or herself. This occurs in the Japanese and German versions.
The second is II) Evaluative expression. This is demonstrated with a positive or
negative sign (“+” or “‐”) and only occurs in the German version. Because in Japanese thephrase denotes a “question,” it is neither positive nor negative and consequently is only
ever marked with the symbol “±.”The third is III) Attitude. Attitude can be positive or negative attitude and isdenote with “+” or “‐” in the Japanese and German versions. In addition to analyzing theliteral text and visual content in illustrations, we also analyze a silence in the text, an
exclamation point, the shape of a speech bubble, the shape or a size of letters, andcharacter expression. This content is analyzed as II) Evaluative expressions and evaluatedas sarcasm when results differ from one other.
The fourth is IV) First pair part. If the phrase is intended to ask a question, ananswer is strongly expected. This sequential organization is called an “adjacency pairs,”
the first part is a “first pair part,” and the second is a “second pair part.” However, if thefirst pair part indicates a question to oneself, second pair part is not expected. Questions
ca be marked to show what type of content they are: a first pair part, a “question” or a“talking to oneself,” with “○” or “×” in the Japanese and German versions.
Consider the following sample:

140

Example 2

Table 1 for example 2

In example 2 Yotsuba and her father play their original game using hands andsinging. Yanda sees it and asks, “Nani sore!? (What does it mean?)”.
The I) Illocutionary act is a “question” in both versions. The II) Evaluative
expression in German is the positive because of positive exclamations “wow” and “neu(new).” However, the image of Yanda is angery, with white inverted triangular eyes,
upwardly alanting eyebrows, and a large opened mouth. Therefore, in Japanese, III)
Attitude is negative, but in the German version, this content is positive because of positive
exclamation. In the German version, this content comes into disagreement with theexpression. The phrase indicates that Yanda is talking to himself, and the IV) First pairpart results is “×” in both versions. Because Yanda does not talk with Yotsuba and herfather immediately after he speaks, “Yotsuba. Sore ore tomo yarou ze (Yotsuba, play itwith me, too.)” shows that their answers are unnecessary.
As a result, the phrase is changed from the Japanese version, and in ③Attitude
The German and Japanese versions differ. In this alteration, the impression of the phrase
is also changed. In the Japanese version, Yanda’s “Nani sore!? (What does it mean?)” canbe interpreted negatively, even though he interprets the game positively in the following
141

lines, “Yotsuba. Sore ore tomo yarou ze (Yotsuba, play it with me, too.)” However, thisimpression is deleted in the German version.
It is obvious that in the alteration for the translation, the interpretion of
conversation sequence can be changed. On the other hand, the evaluative expression andattitude remain mostly unchanged and the expression for these can be changed duringtranslation.

5. Conclusion
In this study, I propose method of analysis for translated manga texts anddemonstrate analysis with it. Because I have shown that manga texts are speaking texts, I
suggested method of analysis based on the analysis of real speaking texts and using
similar parameters. I divided “literal texts” of manga into two types and analyzed them:
unfamiliar cultural concepts to non‐Japanese manga readers and conversational texts.
In conclusion, I found that, far from a word‐for‐word translation of concepts orconversational sequences of the different culture, translators exchange the words
translated verbatim with the proper native expressions, or add details according toassumed background knowledge about Japanese culture on the part of readers; second,translators change the original elements on purpose in some cases in order to maintainthe conversational sequence. It is obvious that the translators do not only assimilate totheir own culture, they also exclude Japanese vocabulary or cultural concepts in order tobalance their translations.
Manga Texts have many different contextual features. How the translatortranslates these texts can be decided by determining which factor is important, what isdemanded by the manga reader, or who reads manga in general. By these elements,
translators decide how they will translate words and concepts.

References
Austin, J. (1955) How to Do Things with Words, Oxford University Press, Oxford, United Kingdom.
Azuma, K. (2007‐2013) Yotsuba&!, Wehner, Marcus(Trasl.), 1‐12Bde, TOKYOPOP, Hamburg,
Germany.
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Power, Subversion. Multilingual Matters. pp.52‐78, Bristol, United Kingdom.
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Germanistik), Vol.30, pp.61‐84, Kobe, Japan. [in Japanese]
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umsatz‐das‐geschaeft‐mit‐mangas‐boomt/2826‐50‐prozent‐mehr‐umsatz‐das‐geschaeft‐mit‐mangas‐boomt.html. Last Accessed 9 August 2016.
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142

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Social Sciences and Sustainabilities

The Development of Organic Farming and Family Change in
Postwar Japan
Chiyo Yonemura*
Faculty of Letters, Chiba University, 1‐33, Yayoicho, Inage‐ku, Chiba‐shi, 263‐8522,JAPAN

Abstract
This research analyzes the development of the organic farming movement in
Postwar Japan from the perspective of family change. Many organic farmers and theircommunities that emerged during the 1970s were opposed to the dominant agricultural
methods which promoted heavy use of agricultural chemicals. Strong ties between
farmers and consumers were one of the most significant characteristics of thosecommunities, some of which still exist, while others are confronting management
difficulties.
First, this research will briefly overview the characteristics of these communities
and their social backgrounds in the 1970s, particularly their family histories. Similarities
among these groups were as follows: 1) Producers and consumers were strongly involvedin environmental and agricultural policies. 2) Consumers supported farmers not only bypurchasing organic products, but also by helping the farm. 3) Urban housewives who had
migrated from rural areas composed the majority of consumers demanding safe produce.
Second, we would like to consider these communities in terms of family change.
Most Japanese farmers, organic or otherwise, are family farmers, so many are confronting
succession problems. In addition, consumer families are undergoing changes. For
example, core members are aging and the younger generations have different approaches
to obtaining reliable produce, such as visiting specialty stores or farmers market.
In summary, this paper will suggest reinvestigating the social value of non‐commercialized organic farming in contemporary society.

Keywords
Organic farming; Family Change; Family History; Postwar Japan* Chiyo Yonemura. Tel.: +81‐43‐290‐2289; fax: +81‐43‐290‐2289.

E‐mail address:yonemura@chiba‐u.jp143

1. Introduction
This research analyzes the organic farming movements, which have emerged anddeveloped since 1970s in postwar Japan especially in Chiba prefecture, from theperspective of family sociology. While it is common for researchers to focus on the policy
or ideology when they study about such movements, this paper will also pay attention to
how these movements managed their farming by their family members. Because theirsustainability have been closely related to the interrelationships between farmers andconsumers, it is important for the study to focus on the management of family farmers
on the one hand, and the lifestyle of the consumer family on the other hand.
Considering family histories, this paper will address a frontier family in Narita asa case study (Sanrizuka no Tochi ni Ikiru wo Kankosuru Kai, 2000), and also farmers inother Chiba areas (Nakano and Nakajima, 1982; 1983; 1985) (Nakano et.al., 1984), in
order to investigate their motives and consciousness towards these movements.
As a conclusion, we would like to intend the social value of the concepts oforganic farming movement today, even though many groups experienced the decreasingof number of their members.

2. Material and Methods
Document data written, by the members of community themselves, will be used forthis study (Kitahara, 1996) (Sanrizuka no Tochi ni Ikiru wo Kankosuru Kai, 2000)(Koizumi, 2004). It includes data edited and written by the director of farmers’ school in
Chiba (Takeuchi, 1988; 1994) (Wada, 1991) (Fukutake Tadashi Sensei TsuitoBunshu
Kankokai, 1990) (Chibaken Noson Seinen Yoseijo, 1973) (Noson Chuken Seinen Yoseijo,1963). Especially the village daughters’ transcripts for their mothers were one of thecore resources for analysis (Wada and Takeuchi, 1973).

3. Characteristics of organic farming communities and their backgrounds
3.1. Policies
3.1.1 Example of “Teikei” principle
Japan Organic Agriculture Association (AOAA) was founded in1971 and is one ofthe oldest and the largest associations of organic farming in Japan and has the ten
principles of “Teikei”. “Teikei” and “Sanchoku” are keywords of the organic farming
movement in Japan. “Teikei” refers to the producer‐consumer co‐partnership in theorganic farming movement and “Sanchoku” refers directly delivering agricultural
produce from the farm to consumers. These concepts have provided the model for othergroups, and represented the approach of the Japanese organic farming community. The
10 principles of “Teikei” are as follows:
THE TEN PRINCIPLES OF "TEIKEI" (A SUMMARY)
To build a friendly and creative relationship, not as mere trading partners.
To produce according to pre‐arranged plans on agreed upon by both the producer(s) andthe consumer(s).
To accept all the produce delivered from the producer(s).
To set prices in the spirit of mutual benefits.
To deepen mutual communication to achieve mutual respect and trust.
144

To manage self‐distribution, either by the producer(s) or by the consumer(s).
To be democratic in the group activities.
To be interested in studying issues related to organic agriculture.
To keep the members of each group at an appropriate number.
To continuously make progress, even if it is slow, towards the final goal of the successful
management of organic agriculture and an ecologically sound life.
http://www.joaa.net/mokuhyou/teikei.html
http://www.joaa.net/english/teikei.htm
Quoted from English site, but with modifications.
3.1.2. Agricultural policies and industrial development
After the end of WW2, Japanese society was confronted with a serious foodshortage. The government aimed to increase food production and to promote the increaseof land owning farmers. The modernization of agriculture and rural villages were the key
concerns both for the government and villagers. The mechanization of agriculture and theuse of pesticides were vigorously pushed forward in order to streamline agriculture. In
the 1970s, however, the government changed their policy and began to promote reducing
rice acreage, a policy known in Japanese as “gentan‐seisaku”, because of theoverproduction of rice.
In the industrial areas, an increase in production was also put forward after WW2
in order to reconstruct the Japanese economy. Right after WW2, both agricultural andindustrial reformation were strongly promoted, however, as a result, it caused serious
pollution problems such as in ‘Minamata’, and famers were confronted with the paradoxof their farming (Minamata desease is one of the four major pollution‐caused illness inJapan).
Under such circumstances, some farmers started organic farming in order tosustain their livelihood.
3.2. The Characteristics of Organic Farming in Chiba
To consider the characteristics of the organic farming movement in the Chiba
area, we would like to address two points: the struggle with the construction of Narita
airport and the geographical proximity to the metropolis. The anti‐construction
movement against Narita airport was one of the most serious political movements inpostwar Japan (Uzawa, 1992). Additionally ‘the Sanrizuka One Pack Yasai’, which wasorganized among the anti‐construction group members was one of the most famousorganic farming groups at that time. Narita was the symbolic focal point of thecontradiction between prioritizing economic development and improving agriculture inpostwar Japan.
3.2.1. Geographical proximity to Tokyo
Because Chiba prefecture is located near Tokyo, it has been supplying various
resources such as labor, industrial products and agricultural produce to Tokyo. It is notedthat white‐collar families, blue‐collar families and farmers all co‐existed in Chiba.
a) Chiba as an urban suburb
If one were to get on the train at a station in Chiba early on a weekday morning,
one would see trains to Tokyo desperately crowded with commuters. In the 1970s
numerous apartment complexes called “Danchi” were built in Chiba. Many families living
145there were white‐collar families who moved to cities from country areas. Today some ofthem are confronted with population decline and aging as in other suburbs in Japan.
b) Chiba as an industrial area
Chiba has also distributed industrial products since 1970s. We can find manyfactories in the bay area. Some of them have already withdrawn from Chiba because of
the economic decline of Japanese heavy industries, and now those areas are planned as aredevelopment area.
c) Chiba as an agricultural region
Regarding the agricultural population, the number of farmers who do farming
both as their main job and side job are higher in Chiba than in many other areas of Japan.
On one hand there are old villages which have existed since prewar time, on the other
hand, many farmers have moved to Chiba and cultivated their land after WW2(Fukuda,2001).
d) Characteristics of Chiba
As we have seen above, Chiba experienced not only the prosperity but also thedecline of the rapid economic growth in postwar Japan. In addition, the contradiction
between agricultural policies and industrial development were easily observed. Due tosuch a historical and geographical background, Chiba became one of the locus of theorganic agricultural movement.
3.2.2. Political Movement against the Construction of Narita Airport and Organic
Farming“Sanrizuka One Pack Yasai” is an organic farming group started by 3 farms in1976.
Since then, while it experienced the increase and decrease of both the farmers andconsumers, it has been continuous until now (Funato, 2004). “Sanrizuka” is the name ofa place in Narita city, and it is the symbolic place of the anti‐construction movement
against Narita airport.

4. Family History and Change
4.1. A History of a pioneer family in Narita
If one would like to consider why the anti‐construction struggle against Narita
airport was so serious, the history of pioneering in Narita after WW2 would haveimportant meaning.
One should not understand the impact of the construction of Narita airport
without regarding the family histories of the pioneers. As a case study, this paper will lookat a family who settled in Narita and started farming after WW2. The Shimamura family
settled in the Toho district of Narita City in 1946, right after the end of WW2 (Sanrizukano Tochi ni Ikiru wo Kankosuru Kai, 2000). They had lost everything during the war andmoved to Narita. At first the wife of Ryosuke Shimamura worked as a hawker peddling
produce, and her husband worked as a casual laborer to survive. Then the government
decided to dispose of prefecture‐owned land to demobilized soldiers, and the Shimamurafamily applied for this plan and finally got their land. It took a long time to get their farminto gear. By the time they felt settled, the government had decided to construct the new
Tokyo International airport in Narita in 1966. That’s why not only the Shimamura family,
but also many other frontier families, organized the anti‐construction movement against
Narita airport146

4.2. Why they started organic farming
In the case of “Sanrizuka One Pack Yasai”, farmers and their supporters were strongly
and closely organized through their participation in the anti‐construction politicalmovement. Farmers started farming organically right when the struggle between anti‐
construction groups and police was intensifying. And the consumers who, agreeing ongroup policy, but not attending the demonstrations themselves, became the members of“Sanrizuka One Pack Yasai”. This was the most symbolic case of the organic farming
movement in which the political movement and the organic farming movement weredirectly connected.
In other areas in Chiba, some organic farming groups emerged around same
period. To explain such movements, this paper will indicate the historical and social
background of a farmer’s school in Tateyama‐city in Chiba which established in1952,
because some leaders of the “teikei” movements graduated from this school, and madenetworks with each other. Considering their self‐ consciousness as farmers, and how they
regarded their experience at school, this paper will examine the source of their ideas andtheir way of thinking towards the organic farming movement and producer ‐consumer
co‐partnerships. There were similar schools in other areas in Japan, so somecommonalities among them can be seen in their ideas regarding farming. However, thisschool was one of the famous schools in Japan at that time, and the first director of theschool educated and influenced many leaders in the Chiba area.
They had to find a way to manage their farms sustainably in the face of society’s
prioritization of economic growth. For this reason, some graduates of this school
promoted organic farming, or “teikei” farming. It was an alternative not only to themodernized agricultural method and the agricultural policies of the government, but also
to the custom of the ‘mura (village community)’ and ‘ie (family system)’ (Yonemura, 2013;2014).
This research will focus especially on the daughters of farmers who went to thisschool. By investigating documents they wrote, the way they saw their mothers andformer generations can be observed.
Daughters acknowledged their respect for their mothers on one hand, but they
distinguished themselves from their mothers’ generation on the other hand. The key
concepts were “farmers who think”, and “farmers who speak”. If one hear these phrases
today, it may sound trite, however, in those days, it sounded considerably strong or
strange, especially when women said such phrases. Because the farming was managed
according to custom or the mandates of the government, it wasn’t easy for younger
generations to change or reform such systems (Kano, 1983).
To learn the context and the position of the agriculture and the problems of the
agricultural policies at that time, they became aware of the importance of self‐
determination and self‐ assertion in order to improve their own farming, whereas the
economic development and the improvement of heavy industries had the priority of thestate policies. The young generation aimed to modernize their communities and farmingin their own way, in order to improve their farms in the face of social change in postwar
Japan. The way they pursued alternative methods of farming differed not only from thecustom, but also from state policy.

4.3. Family change of producers and consumers
In 1999, the Ministry of Agriculture, Forestry and Fisheries (MAFF) added organic
plants and organic processed foods of plant origin to JAS Standards. JAS means “Japanese147

Agricultural Standard” and the organic JAS system refers to the certification system which
requires the labelling of the organic JAS marks to the products that have been inspectedby the ministry. According to MAFF, they introduced this system amid growing concernsof consumers over food safety and health consciousness. Nowadays one can obtainorganic products with organic JAS label in supermarkets easily. Organic food became
common and commercialized and it became convenient for consumers. For farmers on
the other hand, if they want to get the certification, they must take the inspection regularly.
However, the cost to request for the inspection is not ideal for small farmers.
The young generation in the 1970s became older and some farms are confronted
with succession problems. The consumers in the 1970s are getting older, too. Therefore
it becomes difficult for both producers and consumers to maintain their “teikei” group in
the same way as in the 1970s. Additionally, their produce are not suitable to get thecertification of organic JAS because of the cost of inspection and the types of land. The
young consumers who are interested in organic produce are more likely to get suchproducts at shops or in the supermarket.
In the face of these changes, the first generation of organic farmers try to find theother distribution channels so as the farmers market, community café and organic
restaurants. It is another way of “teikei”, because farmers and consumers can relatively
keep closer relationships than selling their produce in a commercialized way. Some
consumers want to confirm the reliability of food not from the institutionalized
standardization, but from the “face‐to face” relationships.

Conclusion
This study examines the development of the organic farming movements inpostwar Japan, and the social value of the organic farming movements from the 1970s topresent. In summary, the close co‐relationships between producers and consumers in the
1970s, which characterized the strong motivated movements, had diminished in today’ssociety. This is the outcome of the change of families and the standardization andcommercialization of the organic produce. The organic JAS system expanded the marketof organic produce, and organic food has been accepted broadly amongst various
generations in present societies. However, ironically, the produce by the “teikei” groups
are not necessarily available in the supermarkets. Small farmers could not afford to apply
for the JAS system and they had to find their own route in addition to the “teikei” groups.
The business needs to stay in low‐profile, but these farmers become reliable on otherconsumers who are loyal to specific organic producers. For consumers nowadays,
although purchasing organic food does not necessarily mean that they are active inparticipating in the “teikei” movement, the intention towards the non‐commercialized co‐relationships between organic producers and consumers are recognized even today.

References
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History).Chibken Noson Seinen Yoseijo, Chiba, Japan.
Fukuda,C.(2001). Sanrizuka and Soil, Heigensha, Tokyo, Japan.
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FukutakeTadashi (Reminiscences of Tadashi Fukutake), Fukutake Tadashi Sensei
Tsuito Bunhu Kankokai, Tokyo, Japan.
Funato, S. (2004).Yuki Nogyo to Seisansha no Kansatsuryoku:Narita Sanrizuka’Junkan
Nojo’ no jireikara. (Organic Agriculture and the Farmer's Powers of Observation A
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Nenpo Shakaigaku Ronshu (The Annual Review of Sociology).17:132‐143, Tokyo,
Japan.
Kano,M.(1983). Senzen “Ie” no Shiso(Concepts of the “Ie” in Prewar Periods) Sobunsha,
Tokyo, Japan.
Kitahara,K.(1996).Daichi no Ran Narita Toso Sanrizuka Hantaidomei Jimucho no
30nen(Rebellion from the Land, Struggles of Narita: 30 years of the Anti‐construction
Movement According to Its Director), Ochanomizu Shobo, Tokyo, Japan
Koizumi, H. (2004). Mimizu Monogatari jyunkan‐Nohjyo heno Michinori(The Story ofan Earthworm: The Road to Circular Agriculture), Commons, Tokyo, Japan.
Nakano,Y. and Nakajima,S.(1982).Yuki Nogyo Kenkyu 1(A Study of the Organic Farming
Movement 1).Chiba Daigaku Kyoyobu Kenkyu HokokuA(Journal of the College of Arts
and Sciences, Chiba University. A) A15:357‐415, Chiba, Japan.
Nakano,Y. and Nakajima,S.(1983).Yuki Nogyo Kenkyu 2(A Study of the Organic Farming
Movement 2).Chiba Daigaku Kyoyobu Kenkyu HokokuA(Journal of the College of Arts
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Nakano,Y., Nakajima,S. and Ito,K.(1984).Yuki Nogyo Kenkyu 3(A Study of the Organic
Farming Movement 3).Chiba Daigaku Kyoyobu Kenkyu HokokuA(Journal of theCollege of Arts and Sciences, Chiba University. A) A17ge:265‐356, Chiba, Japan.
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Noson Chuken Seinen Yoseijo. (1963). 10 Shunen Kinen Shi: Yoseijyo Kyoiku no 10 nen(10Years of the Training School: New Education for Farmers), Chibaken Noson Seinen
Yoseijo 10 Shunen Kinen Jikko Iinkai, Chiba, Japan.
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Tochi ni Ikiru: Toho Shimamura Ikka no Ayumi(Living on the Land of Sanrizuka:
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(Last

149

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Social Sciences and Sustainabilities

What do daughters think when considering their parents’
thinking? : Interview analysis of unmarried women in the Tokyo
area
Akiko Fuchu *Chiba University,1‐33 Yayoi‐chou Inage‐ku Chiba‐shi, Chiba, 263‐8522,Japan

Abstract
This conference presentation discusses the relationship between parents and theirgrown‐up daughters: how the parents’ thinking and behavior influence those of theirdaughters who wish to get married.
In Japan, people, even as adults, are inclined to seek their parents’ agreement when it
comes to marriage. This paper focuses on how the consciousness and/or behavior of theparents work for their daughters in the process of encounter, dating, and marriage; how
influential the parents’ wishes are on their daughters’ decision on whether to getmarried.
The research method used is the interview with seven unmarried Japanese women
between the ages of 25 and 34 living in Tokyo. They were asked about their love
experience and their view of marriage. The author particularly focused on their remarks
about the relationship between themselves and their parents.
In the interview, these women often implied that their family was their role model. They
said that they would like to emulate their parents’ way of working (independent
business, part time job, regular employment, etc.), and to have economic environment,
and have a similar number of children as them. In terms of emotions, however, they
related how their parents’ love and marriage experiences were negative examples forthem. They wanted to avoid the marital problems that their parents had faced including
poor relationship between husband and wife or that between a wife and her parents‐in‐law. Thus, the result shows that the decision‐making process of marriage for thedaughters is influenced by the circumstances of their family.

Keywords
marriage; agreement with parents; influence from thinking of parents; Japanese women;
unmarried women*E‐mail address: afda2859@chiba‐u.jp150

1. Question
How does the thinking and behavior of parents influence that of their adult
daughters who wish to get married? How do parents influence their daughters’ views ofmarriage, design for the future, encounters, dating habits, and their experience ofmarriage?

2. Previous work
2.1.

David Notter introduced the concept of “negotiated marriage” (Notter, 2007).

Pimentel used the term “negotiated marriage” to refer to one in which a parent
has the right of veto (Pimentel, 2000). Notter introduced this concept as “kanshou
kekkon” in Japan. Furthermore, considering the concept of “freedom” in choosing apartner, Notter argued that there was a problem regarding the “right to decide” on apartner (Notter, 2007:119).
Here, I describe the concept of rights between parents and children in Japan.
2.2.

A study on parent‐child relationships by Yonemura

Yonemura explained that the parent‐child relationship is authoritative (Yonemura,
2010; 102). Yonemura’s research indicates that parents hinder their children
emotionally. However, the research shows that adult children express gratefulness
towards their parents and consider their feelings. Accordingly, children design their
future within their parents’ allowable range, hopes, and desires.
This conclusion echoes Miyamoto’s opinion. Miyamoto maintained that middle‐
class parents and children in Japan communicate through negotiation. This means thatthey do not directly express their wants to each other (Miyamoto, 2000). For Notter, thisis likely akin to “negotiate,” not “kanshou” (one way), and for Miyamoto, it represents“koushou” (interactive/two way).
2.3.

Logic of family sociology

Looking back, sociology indicates the influence of parents on children when thesechildren have values, for example in “Habitus” by Bourdieu (BOURDIEU, 1979) and“Body‐ized Gender” by Yamada (Yamada, 1996).
Nowadays, in the field of qualitative research, negotiation is considered a popular
approach in communication between family members about family behavior. This paper
explores how adult children, specifically daughters, accept their parents’ thinking andbehavior, and how they associate their views of marriage or career with their parents’
thinking and behavior. I analyzed interviews and considered the previous research.

3. Outline of the research
3.1.

The interviews

I conducted semi‐structured interviews with 10 unmarried women living or
working in Tokyo from July to November 2014. The interview questions focused on
their views of marriage and career design. In the interviews, I discussed participants’relationships with their parents. Therefore, I report on what six women said in theinterviews. I conducted face‐to‐face interviews with each participant, each lasting
between 60–90 minutes. In some cases, I recorded and transcribed the interview. In
others, I took field notes.
151

Table 1. Objects of interview
Objects

age

A

26

boyfriendsNlivingschooltogetherbackgroundsinglecollagea year's
job

professional history

salary（million）

regular employment

children's nurse

children's nurse

medical coding

3,0

with
B

30

Y

parents/
singleuniversity

regular employment
sales

none

4,0

(before)
with
C

30

N

parents/
singleregular employment

regular employment

managerial dietician at hospital

sales

regular employment

regular employment/ a temp staffer

nurse at hospitalnurse at hospital

graduate

regular employment

regular employment

schoolcareer in research

career in research

student

none

university

4,0(before)D

30

YsingleE

30

YsingleF

26

Y

single3.1.

nurse school

graduateschool4,50,5Selection of interview subjects

The subjects of this research are unmarried women for whom getting married
would be easy. In other words, there are no obstacles in their “encounters” and “dating
experiences.”
In a previous study, unmarried people highlighted economic reasons orcommunication ability as factors that made encounters difficult. These factors apply tomen, but no specific tendencies are evident for women. However, the increasing numberof unmarried people or those that marry later in life are not confined to a specific age
and hierarchy; thus, it is possible to lose sight of these reasons when hampered byeconomic or communication factors. The author focuses on women who face no
obstacles in dating in terms of economic or communication issues to identify otherfactors applicable to Japanese women.

4. Analysis and Consideration
4.1.

Categories
1) Awareness of marriage2) Encounter, dating, taking the plunge, and getting married3) Life after getting married4) Designing a career

4.2.

5,0

Explanation of Categories

About 1): Mothers teach their daughters about marriage. Daughters cannot help
but be conscious about marriage. When marriage was not an issue of discussion, an
informant noted, "There is no discussion on the usual, general things." Daughters
152considered it normal that parents, specifically mothers, ensured they remained
conscious of marriage.
[interviews]
A: My mom married when she was 26 years old, so she often asks me, “Whatabout you?” Mom says most strongly.
B: Parents say “get married,” but, everyone got married. Therefore, they ask
me, ”What about you?” However, in my family, my sister is experiencing so muchtrouble that they say it is okay if I do not get married.
C: (Interviewee noted that her mother asked her, “What about you?” when her
friends got married.)
E: My two older brothers already got married and they already have children,
so my parents do not expect me to marry. There is no discussion on the usual,
general things such as because I will be 30 soon, I need to get married. This is not
the case at all..
bout 2): In some cases, mothers advise their daughters on the choice of a dating
partner; for example, mothers assert that “That type of man is not a good man.” In somecases, women accept their mother’s advice, while in others, they do not.
[interviews]
A: My mother advises me on standards by which to choose a partner. For
example, the second son is a good choice or something similar…or the man who
rages is useless, so break up with him… or a partner who uses violence is useless on
all counts....She is troublesome.
D: (About a year ago, interviewee D’s boyfriend proposed.) However, myparents did not think he was a good choice, so we decided to put off our marriage.
F: My mom said that he was “not so good” (about her boyfriend). She
indirectly said, “It is not good that a life is ruined by a man.”
About 3): Women considered their mothers as role models. Regarding life aftergetting married, women used their mother’s advice as a reference more than relying on
their own will or thinking.
[interviews]
E: Mom has often worked in the past, and I always saw that. Therefore, this is
why I think I like working too.
E‐2: My family is self‐employed, and I would ultimately like to be self‐
employed. Therefore, one of the terms of marriage will be to understand this type ofthing.
F: I saw my parents…I am afraid that I will not be able to make money likethey did. Really, I am very grateful, and thank my parents very much.
About 4): This is similar to 3). Daughters want to be accepted by their parents
when deciding on their future, and they accept their parents’ advice.
[interviews]
D: My brother and I did not want to spend our parents’ money; therefore, I did
not feel any pressure. I was not any trouble to my parents, because I saw my mom
too. Both my parents worked. My mother is a very steady person, and she said to me,“There is nothing specific to become. Become a nurse. These days it is good that girls
have a job.” I heard this many times from my mother since being in junior high:“Nursing is a good job.” It is like mind control, hearing your parents talking. That iswhat I honestly thought at the time.
F: I am overwhelmed that all the members of my family lovingly watched over me.
Therefore, I should respond to them.
4.3.

Conclusions

153

The content of negotiation between middle‐class parents and daughters was
described. Miyamoto identified a few differences regarding negotiation in Japan;
however, in this research, I found similar points to those found in previous studies.
Evident in this research is the characteristic that when adults talk about theirparents, they express their gratefulness, not conflict.
More than negotiation, this is a balance between parents and daughters. It was
found that daughters accept the will of their parents.
There is variety in terms of negotiated marriage, which is not variety regarding
the right of veto. For this reason, I do not espouse Notter’s work.
Miyamoto stated that there are certain characteristics of negotiation between
parents and children in Japan. The reality of "koushou" is increasing, and this cannot be
explained through Notter’s previous work on “negotiated marriage.” Similarly,
Yonemura proved that there is both conflict and acceptance on the children’s side, whichis evident in communication between parents and children. Yonemura argues thatparents will hold their children back. Parents’ "intervention" is possibly adjusted only tothe degree acceptable to children. I tend to agree, because parents seem to want theirchildren to accept them.
The subjects of the interviews were women for whom there are currently no
obstacles pertaining to finances, love, and communication. Therefore, the conclusion ofthis paper differs from studies focusing on people with difficulties in these matters.
Previous work by Miyamoto indicated that different communication between parents
and children depends on hierarchy; thus, this research did not focus on all Japanese womenand their families. I consider focusing on different hierarchies as new knowledge, and would liketo explore the concept further in the future.

References
Bourdieu, Pierre, (1979). La distinction: critique sociale du jugement,
Éditions de Minuit, Paris, France.(=P. Bourdieu translated by Yoji Ishida, (1990), Distinction
Ⅰ,Tokyo: Fujiwara Shoten）.
Miwa, Satoru. (2010). Unmarried person's sculptured group of the present‐day Japan. In Sato
Hiroki, Nagai Akiko& Miwa Satoshi(Eds.), A Wall of Marriage, p.13‐36. Tokyo: Keiso‐Shobo.
Miyamoto, Michiko. (2000). Parents and Children of Declining Birthrate and Single
Society: Change of Mean and Figure about ‘Be an Adult’. In Hiroko Fujisaki (Ed.). Parents andchildren—mixing their life course, p.183‐210. Kyoto: Minerva shobo. [in Japanese].
Notter, David. (2007). Reconsideration about ’Romantic Love Ideology’. In Pure Modern‐‐
Comparative Sociology of the Modern Family and an Intimacy, p.111‐131. Tokyo: Keiou‐
gijuku‐daigaku Shuppankai. [in Japanese].
Pimentel, Ellen E. (2000). Just Do I Love Thee?: Marital Relations in Urban
China. Journal of Marriage and the Family, Vol.62, pp.32‐47. USA.
Tabuchi, Rokuro. (2012). Families and Intergenerational Relationships in an Era ofIntergenerational Ambivalence:Approaches from a Family Strategy Perspective. Japanese
Journal of Family Sociology. Vol.24, No.1, pp.37‐49. Japan.
Yamada, Masahiro. (1996). Sociology of Marriage: Do single‐ization and marriage
postponement continue? Tokyo: Maruzen Library. 47‐64. [in Japanese].
Yonemura, Chiyo. (2010). Parent Living and Independent Awareness: 'Goodness' andConflict of a Parent‐Child Relationship. In Iwakami Mami (Ed.). Sociology of ‘Youth andParents’, p.83‐104. Tokyo: Seikyu‐sha. [in Japanese]

154

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Sosio‐Humaniora

Japanese Soy Sauce Industry: a Legacy of the Centuries
Pradhikna Yunik Nurhayati*
Universitas Gadjah Mada, Yogyakarta, Indonesia

Abstract
Japan is a home for more than 53% oldest companies in the world. While more than
50.000 companies in Japan have more than 100 years history, longevity in the modern
business world is increasingly rare. The average lifespan of corporation has been
between 20 and 30 in 2010. The mortality risk for companies across all sectors is
dramatically increased regardless of the age and size of the companies.
As the economic landscape of nations dominated by family business, most of the oldcompanies in Japan are also managed by the family. Japanese family business runs thebusiness for dozens of generation. There are several reasons to make it possible. First is
adopting the business heir, if the biological heir unable to continue the business. Second
is the tradition that has supported the business to continue. Most of Japanese companies
founded before the year 1700 are culture oriented. Third is the culture of the company
such as ‘lifetime employment’ that keeps the strong bond of personal trust for over theyears.
In order to strengthen the analysis, this article is supported by the lesson learned fromsoy sauce industry specifically in Chiba Prefecture. Soy sauce is fundamental seasoning
for Japanese cuisine. As the part of Japanese culinary culture, soy sauce industry has
survived for hundreds years. Using strategic business management perspective, thisarticle will examine how the soy sauce companies managed their business and survived
as a family business for over the hundred years.

Keywords
Family business; strategic business management; soy sauce; japan* Corresponding author. Tel.: +62‐857‐4360‐5892; fax: +62‐274‐563362 ext. 222.

E‐mail address: pradhikna.yunik@ugm.ac.id155

1. Introduction
In the modern business world, the longevity of the business is getting decline. According to
Boston Consulting Group (BCG) Report in 2015, the life span of multinational company has
been decreasing from around 50‐60 in 1970 to 20‐30 in 2010 (Reeves and Pueschel, 2015).
As the matter of fact, “more than one‐third of the corporations on the 1970 Fortune 500 list
were no longer in existence by 1983” (Crockett, 2015). Companies are dying younger andmore likely to collapse at any given time. BCG has reported “one‐tenth of all public companies
fail each year, a fourfold increase since 1965” (Reeves and Pueschel, 2015). The mortality risk
is getting increasing for any scaled and aged of the company.

BCG Report, 2015
However, there are some exceptions for 967 businesses founded before 1700 that are
still survived, become the oldest companies in the world. Astonishingly, 517 of them or
53% of the businesses are located in Japan (BCG as cited by Crockett, 2015). “Before
being absorbed into a subsidiary in 2006”, the oldest family business in the world is
Kongo Gumi (Tamkin, 2014). This construction company (built temple) was founded in
578. The list of the oldest companies in the world from Japan still goes on including
Nisiyama Onsen Keiunkan (since 705), Tanaka Iga (religious goods company, since 885),
and Sudo Honke (sake brewer, since 1141).

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(Cited from Crockett, 2015)
This article will mainly discuss about family business supported by lesson learned from soy
sauce industry especially in Chiba Prefecture, Japan. There are several reasons that will be
discussed that make Japanese family firms can survived for hundreds years. First is about thesuccession. Succession is become one of the substantial aspect to ensure the businesssustainability. One of the main interesting finding from this research is how the familybusiness in Japan commonly practicing adoption in order to looking for a business heir.
Adoption is especially happened if the biological heir unable to continue the family business.
Second is the tradition that has supported the business to continue. Most of the Japanesecompanies founded before the year 1700 are culture oriented, as well as soy sauce. Soy sauce
has become the important part of washoku, traditional dietary culture of Japan whichemphasizes local ingredients and soy sauce as its unique seasoning. Still, the culture of thecompany such as ‘lifetime employment’ in Japan keeps the strong bond of personal trust forover the years.
In order to provide comprehensive overview of soy sauce industry, this article will also
discuss about the management of the business. Using perspective of strategic business
management, the last part of this article will examine the business from three aspect such asplanning, implementation and evaluation.
2. Research Method
This article is written based on the research about soy sauce industry in Chiba
Prefecture, Japan. There are nine companies/business involved as the interviewees. The
scale of the business is vary from the small enterprises to the big companies. Companies
157

ages ranging from 91 to 328 years old. Using qualitative method, this research aims toprovide information about management of the business especially about succession
process. Data collection is obtained through the literature review, observation andinterview with the director of the companies.
3. Discussion
3.1 Succession
As the economic landscape of most nations are dominated by family firms, the study
about family business is become important (Chrisman et al., 2003). However, there iscontroversy between academician related to definition of family business. As
summarised by Chrisman et al., (2003), there are various definition to describe familybusiness. Some of researches define it by the involvement of the family in the business(ownership, management, and trans‐generational succession), while another authorsemphasize on the influence of the family members in the business.
According to Dyer (1989), there are some weakness related to family business. First is
the lack of skills. One of the main challenge for family business is the lack of management
talent within the family. There are various skills needed to run the business such as
marketing, finance, and accounting to make the business survived. As a family businessgrow especially in complex environment, the family members are likely unable to holdthe key positions with all necessary skills needed. Therefore, there is a needed to bringprofessional management into the family business.
Another reason for professional management in family business is the norms and valueof business operations. The value and the interest of family might affect the operation of
the business because of the different goals between family and the business. When thebusiness getting expand, there are many decision that will affect not only family
members but also the staff of the business. The last but the most important reason forrequiring professional management is to prepare the next leader for the family business.
The founder of family business may want to retire and no one in the family consider ascapable to continue the leadership.
As Dyer (1989) mentioned above, the succession is become substantial especially for thesustainability of the family business. For family business in Japan, there are several
option to find the next successor. According to the interview, the next successor will be
determined by some criteria. First is capability. It is important for the next successor tohave ability to maintain and lead the business especially for the bigger business scale158

that has complex requirement and involving many people outside the family members.
Second is the interest. Once the candidate do not have any interest to continue thebusiness, then she or he will be eliminated from the list. Hence, the selection of the next
leader is not solely based on the family blood but also considering the interest andcapability.
Mainly, the next successor will be selected by the current business leader. For the small
business scaled, other family members will involved to decide the next leader of thebusiness. The selection process mostly held by discussion amongs the family member orthe board of director (for the bigger scaled business). Some of them will set a trial period
for the candidate to measure the capability. Most of the candidate already familiar since
they grown up with the business in their family.
Apart of capability, another concern is the interest of the candidate. Usually, the oldest
son in the family will continue the business. Unfortunately, the fact might be different.
The interest of the candidate might not be to continue the business. There are various
finding related to the interest of the candidate. Some of company put “interest” as one of
the criteria to be selected as the next business leader. According to the business leader, it
is important to run the business based on the interest and willingness of the candidate.
However there is some interesting case where the candidate has to choose between
continue the family business or will be eliminated from the family. To continue thefamily business is tend to be mandatory for the oldest son in the family.
Related to the women successor, most of the business owner stated it is possible if thedaughter is willing to continue the business as far as it is supported by her interest andcapability. There is a case where the owner only has two daughters. One of his daughters
has interest to run the business. Now the family support the daughter to be the next
successor of the business. Another company stated that historically, their company also
had women successor. It is depend on the quality and capability of the candidate.
Generally, the next successor will be selected during the young age. Some of thecandidate needs to decide since they were teenager. As mentioned before, commonly theoldest son in the family will continue the business. On the other side, early age will giveplenty of time to set trial period for the next successor and provide them training thatnecessary to continue the business. According to one of the interviewee, regeneration of
the business leader in the young age also provides fresh idea from the business. The

159

young successor will be able to create innovation and implement fresh idea to develop
the business.
There is none of the interviewees stated that they have non‐family successor during their
history. There will always be family member that able to become successor. In the casethere is no son or daughter available to continue the business, they try to find anotherfamily members that have their eligibility as the next leader. In some extreme cases, if
the business unable to find another candidate, the business will be shut down especiallyin the small scaled business. However, instead of recruiting professional manager, thefamily business in Japan tends to adopt their successor.
In the case where there is no biological children to continue the business, or if the ownerof the business desire for better candidate as the successor, it is legal to adopt thesuccessor. It is common for Japanese business owner to engage in this practice since along time ago (Crockett, 2015). According to Crockett (2015), nowadays “98% of Japan’s
81,000 adoptees are males between the ages of 25 and 30 – many of whom arebusinessmen who are legally adopted by the owners of corporations and put inmanagement positions”.
Business owner also can legally adopt son‐in‐law to continue the family business. This isalso happened in one of soy sauce company that being interviewed. The current leader ofthe business is the son‐in‐law while the daughter plays the role as a manager of therestaurant and participated in developing new product of the company. Through the
adoption as well as son‐in‐law, the practice of family business remains intact without
risking the business into less capable son or nephew. Moreover, according to Mehrotra(as cited by Crockett, 2015), the performance of adopted successor is better compared tobiological successor.
3.2 Tradition/Culture
Other factor that supported the longevity of Japanese family business is the tradition.
From 517 business founded before 1700, most of them are culture‐oriented such as sake,
paper lanterns, religious goods as well as soy sauce. There are the part of culture anddaily life.

160

According to Nishikawa (2011), there are several reasons related to culture that makeJapanese business can survived for hundreds years.
1. Character of the Japanese: integrity, tolerance, persistent efforst and diligent is
the part of Japanese characteristic.
2. Strong respect of the House (family name): the family name is considered as themost important asset to protect. It makes the principle of house‐centric become
ever lasting.
3. Sanpo Yoshi: value relationships to work together for harmony and mutual
benefit between customers and business partners; local communities; owner ofthe company and the employees.
4. Flexibility and continuous improvement (kaizen): Tendency to continuously
improve core products, services and technologies in a flexible manner
responding to environmental changes.
5. Stable governance system: There is no foreign invasion in Japanese history,
creating stable governance under the reign of the Emperor family.
In business framework, the heir adoption then becomes more rational because of thestrong respect of the house. By adopting new successor, the family name still remains
while avoiding the risk to handing the company to incapable successor. Put the goals ofsociety rather than private goals also become one of the main characteristic of Japanesepeople. Therefore, integrity and persistence are the part of Japanese society.

161

The value of sanpo yoshi also manifests in the culture of company such as ‘lifetime
employment’ that keeps the strong bond of personal trust for over the years. In one soy
sauce company, there are some employees that work for more than one generation.
There are some couple, or parent and children work in the same company. Other
company will gladly accept employees after their maternity leave for two or three years.
The relation between the owner and the employees is more like a family to support eachother.
The manifestation of kaizen also can be seen in the product innovation. Every soy saucecompany has their own innovation adjusting the need of customer such as halal product,free‐allergic product, as well as the innovation of the packaging, marketing, and also thetaste of products. For more comprehensive view of how the soy sauce business being
run, the next part will discuss from the planning, implementation and evaluation process.
3.3 Business Management
According to interviewees, the key of success for business are the persistence to survive
in hard time; build and maintain the trust from the customer, partner and employees;
and prioritise the goals of society than the private goals. However, there are still various
goals of the business that want to be achieved. Among of them are expanding products tointernational market, producing various specific and excellent products, as well as
expanding the business itself.
In order to achieve their future goals, every owner of the business always setting thegoals and strategy every year. The target of the business is arranged based on the past
performance and the future prospects. Some of them refers to other eminent company tolearn and develop the business while other focusing on improving the capacity of humanresources in the company. All of discretion belongs to the current business leader. They
create new strategies to develop the business such as using the internet to promote theproduct especially international market; expansion of the retail sector; and managed tohave a restaurant using their own products. Some of the business open to hired
professionals to develop new products especially if it is related to specific products.
Moreover, advice from different point of view will be useful to provide different insightand idea for the business.
The prominent aspect of family business compared to non‐family business is theinvolvement of the family member. Family value might affect many aspects of thebusiness. For small business scaled, influence of family members about management and162

product development is more apparel. It is because for the small scaled business, family
members are also involved directly in daily activities such as marketing or financial.
Meanwhile, for other bigger business, business and family are two different things. The
top management are still family members, but decision for the business will be madeaccording to professional mechanism for the sake of many people.
Since soy sauce is highly related to culture and community, the business also put theirconsideration into contributing to society. Historically, Kikkoman as the biggest soy
sauce company in Japan built hospital and bank to support their business. For smaller
soy sauce business, the contribution may become vary depend on the ability of thecompany such as donation for local events and participating in social activities. In soy
sauce industry, the waste of soy sauce making process is distributed to local farmers tofeed the cattle for free.
The next step of business management is implementation stage. As mentioned above, forsmall scaled business, involvement of family members become prominent to support
business activities. Meanwhile for biggest business where the need of employee is bigger,
the influence of family member is getting decline. Only family members in top
management that involved the business activities will influence decision making process.
In small soy sauce business, generally female family members are also involved inmanagement of the business such as financial or product development. In fact, one of thecompany already decided their daughter as the next successor due to her capability andinterest to continue family business. For bigger soy sauce business, female family
members are not involved anymore. However, one of the business owner has mentionedthat female employees have more contribution to the business. Female employees are
considered as more persistent, thorough, and comprehensive for development of the
products. Since most of soy sauce customers are women/wife, women perspective isbecome prominent.
Another specific issue that need to be considered in family business is the conflict
between family members. Some of the business owner have admitted that conflict might
be happen but the best way to deal with conflict is discussion. Through discussion amongfamily members, the conflict is never caused damage or fatal effect for the business.
The last part of business management is evaluation process. This stage is become
substantial especially when the goal of the business is not achieved during the year. The

163

business owner will evaluate the goals, strategy, and analyse the cause why the businessgoal are failed to achieve.
Discussion above indicates that even the business is owned by the family but the
management of business is still considered as professional. Every family business always
set their goals, strategy and mechanism to achieve the goal. They are also involving
professionals if it is needed especially for developing new product. The next successor isalso selected based on capability. There are various innovation to answer the challengeof business environment and adjust with the need of the customer. However it issubstantial to consider the scale of the business. When the business is getting bigger, thepercentage of family member involvement is getting decline. Thus, the professionalism isremains the same due to scale of the business.
BIBLIOGRAPHY

1. Crockett, Zachary. 2015. Why Are so many of the World’s Oldest Businesses
in Japan. Accessed at https://priceonomics.com/why-are-so-many-of-theworlds-oldest-businesses-in/
2. Chrisman, J. J., Chu, J. H., and Sharma, Pramodita. 2003. Current Trends andFuture Directions in Family Business Management Studies: Towards a Theoryof the Family Firms. White Paper of Coleman Foundation and US Associationof Small Business and Entrepreneurship.
3. Dyer, W. G. 1989. Integrating Professional Management into a Family Owned
Business. Family Business Review 1989.
4. Ehara, Ayako. 2015. Continuation of Washoku Culture, and Traditional Local
Dishes. Food Culture No. 25 - 2015. Japan: Kikkoman Institute forInternational Food Culture.
5. Nishikawa, Morio. 2011. Japanese Family Businesses: A View from A Family
Business Advisor. Accessed at https://cfb.bschool.cuhk.edu.hk/page/japanesefamily-businesses-view-family-business-advisor.
6. Reeves, Martin and Pueschel, Lissane. 2015. Die Another Day: What Leaders
Can Do About the Shrinking Life Expectancy of Corporations. Accessed athttps://www.bcgperspectives.com/content/articles/strategic-planning-growthdie-another-day/
7. Tamkin, Emily. 2014. Keeping It in the Family: Why are so many of theworld’s oldest companies in Japan. Accessed at
http://www.slate.com/articles/business/continuously_operating/2014/10/world_s_oldest_companies_why_are_so_many_of_them_in_japan.html

164

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20-24 November 2016

Topic : S2

Local Community Response To An Integration of Palm Oil Plantation
With Research & Development And Manufacturing of
Polyhidroxyalkanoates In South Sulawesi
Fitriwati
Fitriwati, Graduate School of Humanities and Social Sciences, 1‐33,Yayoi‐cho, Inage‐ku,
Chiba‐Shi, Chiba, 263‐8522. Japan.

Abstract
This research analyzes the response of local community about a
Polyhydroxyalkanoates (PHA) production in a rural area, and that integrates
Research & Development (R&D) and manufacturing of PHA in one site of South
Sulawesi. Descriptive data was obtained through discussions with local people in
a community symposium and informal discussions following that in the Kamiri
Village. The several discussions reveal that PHA is new for the local communityand only the old generation people become very interested in R&D andmanufacturing of PHA, for the reason of creating job opportunities for the young
generation. The other discussions show that most of the young generation
disregards a wage difference in different jobs offered by a firm because they do
not pay attention to the full picture of the business and are just grateful that aplantation company comes to their area to open a new business. The results
indicate that just an existence of a strong peer effect in a local community is notenough for R&D and manufacturing of PHA to be successful in the area.

Keywords
Palm Oil Plantation, Polyhydroxyalkanoates.
I.

Introduction

This field research obtains the responses of local communities in the
Kamiri Village of the Barru District concerning an idea to install a new businessmodel that integrates a plantation of palm oil with Research & Development(R&D) and manufacturing of Polyhydroxyalkanoates (PHA) at a site in a ruralarea. The purpose of this research is to check the empirical validity of myhypothesis that a strong peer effect makes the idea viable. Descriptive dataobtained by conducting a series of discussions in a community symposium and165

informal interviews. The data reject the empirical validity of my hypothesis.
Though there were plenty of evidence for the existence of a strong peer effect inlocal communities, those of age between 20 and 25 years, who are supposed tobe the beneficiary of the business, did not show much interest in R&D for PHA.
The result shows that a strong peer effect is not enough to install this businessmodel. It suggests that how to create a peer effect is crucial for the purpose. This
field study indicates that the mechanism to create a peer effect in the Kamiri
village is a kind of coercion, which would work negatively for installing thebusiness model in this area.
2. Description of Field Study
This section describes the method of field study based on a community
symposium. The goal is to clarify what done in the field study, in detail. The
objective of the research is to test the acceptability of the idea to locals that theycan employ to R&D activities. With that in mind, a series of discussions in acommunity symposium and informal interviews following it between a specialiston PHA and local people were conducted in the Kamiri Village. A symposium
was held on December 20th, 2015, with the title “Introducing of manufacturing
Polyhydroxyalkanoates (PHA) from palm oil industry to the local community”.
The participants were expected to be young and middle age farmers in the area,
but 45 farmers including 25 elderlies and 20 younger generations in age between
20‐25 years old attended the symposium, 5 for each farmers group (Gapoktan).
The older farmers were interested in R&D and manufacturing of PHA, they were
enthusiastic and would like to learn about PHA. But, other participants in the
symposium did not speak out their interest. In this symposium, the older
generations have the very important position for decision making from eachfarmer group. All farmers very enthusiastic to come to the symposium, they haveintentionally left a job in the fields because this was the first time for them toknow about PHA. PHA is plastic as material synthesized by many bacteria
which is entirely biodegradable in nature. Therefore, PHA is an attractive
material that could develop as biodegradable plastics (Sudesh Kumar, (2013)).
PHAs are biodegradable plastics (Viviana Urtuvia et al., (2014)). The
biodegradability of PHA makes it extremely suitable for substituting synthetic
plastics (C.S.K. Reddy, et al., (2003)
There were attitude differences between the old generation and the
young generation. The older generation interested in this business on the reasonof creating job opportunities for the young generation. The young generation
was interested in this business to increase their income. Responses in thecommunity symposium show that the local community does not concern about
the different wage levels of workers in various divisions of the firm because they
are very grateful just for that a plantation company comes to open a new
business in their area.
After the symposium, five locals in Kamiri Village were interviewed for
informal discussions. These interviews were conducted during December 21th,2015 to January 4th, 2016. These 5 locals are representative of five farmer groups(gapoktan), one of them is the young generation in age 25 years old with college
graduated background and others are older farmers in age between 40‐60 years

166old. Those 5 farmers have expectation for job opportunity to increased theirincome. But only one older farmer of the participant in the interview understoodthe business. All participants are expected this business will be realized
immediately.
In Kamiri Village, there is a Farmer Group Association called“Gapoktan” that consists of 9 farmers groups which all members in Gapoktan isfarmers and the older. Gapoktan is a combination of several farmer groups who
do agribusiness in increasing both production and income for its members withthe aim of strengthening the farmer’s institutions and boosting the economy inrural areas. The Kamiri Village consists of 8 hamlets with 9 farmer groups, eachof which corresponds to a group except one because one of the hamlets has 2
farmer groups. All 9 Gapoktan in Kamiri village have the similarity as an
economic institution in the rural areas‐based agriculture, Gapoktan also as
gateway institution in the rural area between farmer and the outside, namely inthe marketing of agricultural products, the provision of agricultural production
facilities, and including providing a variety of information needed by farmers.
This Kamiri Village located in the Barru District of South Sulawesi. The
village located close to the Makassar City, which enables transportation toanother island of Indonesia and abroad to be available. Furthermore, this village
is along the railway line of Trans Sulawesi. The Kamiri Village located in Barru
Regency; it is approximately 110 km from Makassar, the city of South Sulawesi.
The Kamiri Village is close to the Port Garongkong, which has a depth of ‐15 m
Lws and is the main gateway of export and import in the area of eastern
Indonesia after Sukarno‐Hatta Port of Makassar. This port located on the easternside of the Makassar Strait, whose development is included in the Master Plan for
Acceleration and Expansion of Indonesian Economy Development (MP3EI)
2011‐2025. Through this port, people come from and go to East Kalimantan,
South Kalimantan, and South Java every day. This port is use as a cargo port.
The Kamiri Village has an abundant of natural resources, a lot of lands
that have not been cultivated or utilized effectively yet. Farmers had installed
cloves plantations, but they did not produce clove fruits very well. Farmers arelargely dependent on agriculture and plantations. Rice is the primary product of
their agricultural activity. There are many crops plantation, which has been
produced in the area, such as palm oil, coconut, chocolate, banana, hazelnut andothers. But they still tend to use their agricultural products mostly for personal
consumption. Some farmers turn coconut fruit into cooking oil and brown sugarin a traditional way, and then sell them in the traditional market. In the Kamiri
Village, we can find that palm oil trees thrive in backyards of farmers. One of thelocals in this village already has his palm oil plantation, with approximately
about 100 palm oil trees. He just cultivated the palm oil seed and then the palm
oil trees grew up without any fertilizer and maintenance. If these palm oil trees
produce fresh fruit bunches (FFB), locals pick them up and cook the fruits into avariety of dishes. Rods and woods of palm trees are use as firewood for everyday
cooking. Farmers know that FFB can be sold in the market for money but, to sell
the FFB, they need to incur an expensive transportation cost to Mamuju City.
In the Kamiri Village, many young people are the unemployed, evenwith the college education. The unemployment of young generation with theeducational background at universities in Makassar caused by the scarcity of job
opportunities and a high cost of living in the city. The other reason that they are167

back to the village is to help their parents as temporary agricultural workers.
Some of them went to Mamuju, Kalimantan, and Malaysia as workers in palm oil
plantations.
3. Findings of The Field Study.
This section gives the detail description of the field study. The
responses through the discussions in it showed that biodegradable plastics
especially PHA, was entirely new to the locals. The old generation people in thelocal communities were interested in R&D and manufacturing of PHA for thereason of creating job opportunities for the young generation. But, otherparticipants did not speak out their interest. The focus of the discussion was ajob creation for young generations, and an efficient use of unproductive land was
also the reason to accept my idea. There were behaviour differences between theold generation and the young generation. The young generation was interested
in this business to increase their income. Responses in the community
symposium show that the local community does not concern the different wage
levels of workers at various divisions of the firm because they are very gratefuljust for that a plantation company comes to open a new business in their area.
These suggest strongly that a mere existence of strong peer effect is not enoughfor a PHA production to be successful in this area.
The discussions in the community symposium revealed that farmergroups were very glad to attend the symposium because this was the first time
for them to hear about a palm oil plantation and manufacturing ofpolyhydroxyalkanoates. Biodegradable plastics, especially PHA was entirely new
to the locals. They only knew conventional plastics, which they used in their daily
activities for the household appliance. They understood the dangers of disposingof conventional plastics that would lead to environmental contamination. In their
daily life, they usually throw away plastic waste anywhere on their home yards.
They sometimes found the plastics inside the intestines of cows, which would be
dangerous if a human consumes cows beef.
In the discussion at the community symposium, the old generation
people including the heads of farmer groups, secretaries of farmer groups andelders of farmer groups became very interested in R&D and manufacturing of
PHA, for the reason of creating job opportunities for the young with a college
education in Makassar. Furthermore, they said that there were vast lands in thevillage, which were not used for any agricultural production but would besuitable for a palm oil plantation. The other reason to accept the business was anincrease of income. Participants told that they were enthusiastic and would liketo learn about fermentation of PHA in a laboratory. Locals believed that the
texture of the soil, the climate, and the shape of the region in their areas would
be suitable for a palm oil plantation. The village is near the river and the port thatwill allow the transportation of CPO products elsewhere.
The locals were not concerned about the different wage levels ofworkers in different divisions of the firm because they were very grateful just forthat a plantation company would open a new business in their area. Local people
were very hopeful that the business plan would be realized immediately. They
wished that the abundant natural resources in their area could be utilized by a168

big industry that would involve them as workers in palm oil plantations and R &D and manufacturing of biodegradable plastic PHA.
Most of the young generation disregarded of different wages fordifferent jobs in the firm because they did not understand the full picture of thebusiness. Only the old generation understood the business and the necessity of adifferent qualification for R&D job. Other locals did not show an interest in R&D
and manufacturing of PHA.
The response of local community in 5 informal interviews shows that
locals wish that this business plan would immediately realize. There was anenormous expectation for job opportunities to the local communities by
employments in palm oil plantations as well as the R & D division as researchers.
They believed that, if this business operated at their location, it would enhancetheir livelihoods and welfare. One old farmer told that farmers wanted a benefitof health insurance from the firm. He also told that there should be a job
differentiation by qualifications that the young generation with a college
education should apply for the R & D jobs and others would be appropriate only
for plantation works. Four locals who were close to old generation showed adesire for a double income opportunity through an employment of the housewife
in the palm oil plantation. Furthermore, one old farmer agreed on sharing of
knowledge and experience with workers from outside. He also expected social
contributions by the firm to the local communities. He said that the firm must
establish a free school for children in their location. The other old farmer wasinterested in a positive contribution to environmental issues in the idea of
installing the biomass power generator of the palm oil mills effluents.
4. Assessment on The Hypothesis.
The discussions in the community symposium show that R&D andmanufacturing of PHA are new to the locals and that only the old generation
people in the local community are interested in R&D and manufacturing of PHA,
to increase the job opportunities for the young generation with the college
education and use unproductive lands in this village. The young generation wasinterested in this business merely to increase their income. Most of the young
generations have educational backgrounds in universities, but they are
unemployed. Therefore, the local community is very grateful that a company
comes and operates in their area, and locals did not concern about wage
differentials. Under these circumstances, the old generation will be able to pushpeer effects in local communities. There was some evidence of a strong peer
effect in this village. This evidence was respect from the young generation to theold generation and letting the young age have college educations following theother locals. However, I did not find an entrepreneurship in the young
generation. The spirit of entrepreneurship came only from the old generation. A
strong peer effect from the old generation would not be enough to install palm
oil plantation with R&D and manufacturing of PHA in this area because the oldgeneration will not work for manufacturing or R&D. The local community is just
waiting for the business to come to their village, and there is no initiative in themfor R&D and manufacturing of PHA. The local community just wishes to receive apositive contribution to the society from the business. These observations

169

suggest that there is a problem in mechanism to create peer effect in the local
communities. Namely, peer effects are likely to come from a kind of coercion
from the old generation. The coercion has a negative impact on morale, which isvery important in R&D jobs. The cooperative behaviour of locals under a peer
effect is not important in palm oil plantation jobs. Hence, the existence of peer
effects is not working positively to improve human capital in this area. A
mechanism to create a peer effect seems to be crucial to promote a high moralein the short‐run and scientific knowledge in the longterm.
5. Conclusion
There are two conclusions in this research. First, a mere existence of astrong peer effect in a local community is not enough to install palm oil
plantation with Research & Development and manufacturing of
Polyhydroxyalkanoates in the Kamiri Village. Secondly, The positive correlation
among a cooperative behaviour, morale and an improvement of scientificknowledge are weak at best in this area. The analysis of data suggests that there
is coercion from the old generation to the young generation in the local
communities. In general, coercion has an adverse impact on morale for work. The
analysis also suggests that the spirit of entrepreneurship in local communities
comes only from the old generation, though that comes from the younger
generation is needed in the R&D division. The mechanism to create a peer effectseems to be crucial to bring a high morale for work in R&D division in the shortrun.
References
Sudesh K (2013) Polyhydroxyalkanoates from Palm Oil: Biodegradable plastics,
springer briefs in microbiology, DOI: 10.1007/978‐3‐642‐33539‐6‐2. p:1‐2.
Urtuvia Viviana, Villegas Pamela, Gonzales Myriam, Seeger Michael (2014)
Bacterial production of the biodegradable plastics polyhydroxyalkanoates,international journal of biological macromolecules 70: 2018‐213.
C.S.K. Reddy, R. Ghai, Rashmi, V. C. Kalia (2002) Polyhydroxyalkanoates: an
overview. Review Paper. Bioresource Technology. Elsevier Science. Ltd
87(2):137‐46. DOI 10.1007/s00253‐011‐3102‐0.

170

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic :Agriculture

INTEGRATION OF SLC (SOCIETY LIVESTOCK CENTER) WITHPENTAHELIX SYSTEM AS AN INDONESIAN STRATEGY INLIVESTOCK DEVELOPMENT AND FARMERS EMPOWERMENTTOWARD AEC (ASEAN ECONOMIC COMMUNITY)
Ramadhan Febriansyah, Sarah Novianti, Rudiyansah*
Padjadjaran University, Jalan Raya Jatinangor‐Sumedang KM 22, Sumedang 45363,
Indonesia

Abstract
To improve independence, providing convenience and progress of business, and also to
improve competitiveness and welfare of farmers, especially to towards AEC (ASEAN
Economic Community), needs to be a strategy of the Indonesian government. Currently,
the government of Indonesia has launched a program of SLC (Society Livestock Center).
SLC is a growth center in area livestock commodities as a medium farm livestock
development and animal health in which there is a certain population of animals ownedby the majority of farmers who live in a village or more. SLC program will run as
expected if it involves various elements of a public institution or non‐profit to realize theIndonesian government innovation.This research conducted means of literature study,
which authors find and compare the secondary data obtained from journals,textbooks
and scientific article which reliable relevant Literature which used contains an
explanation of the SLC and an explanation of the system Pentahelix and we try toanalyze that for improving this idea and support this idea for implementation. SLC isagovernment program in the livestock sector,authors offer an idea to integrate the SLC
with Penta helix system (academy, government, business, media and community). It is tocollaborate all of the above elements to improve competitiveness, welfare and autonomy
of Indonesian farmers to towards AEC. The impacts of integration of SLC with Pentahelix
is to get the souvereignity on food, and improving competitiveness of farmer in AEC era.

Keywords: Asean Economy Communities, Pentahelix, Society Livestock Center.
1. Introduction
The formation of the ASEAN Economic Community (AEC) has purpose to increasing
welfare of all ASEAN members. This is a significant progress as a respond to care ofhuman security include economy security. As one of the main three ASEAN communities
2015, ASEAN Economic Community formed with the mission to make economy in
ASEAN get better and also the member of ASEAN can competes with developed
countries in regional and global scope. There five things as a critical points of ASEAN*Ramadhan Febriansyah. Tel.:+628986952065;

E‐mail address:ramadhan14001@mail.unpad.ac.id171

Economic Community: free flow of goods and services, skilled labour, free flow offoreign direct investment fund and capital. All country will cooperate and compete eachother regarding to that five points. This moment can be an opportunity or a threat forIndonesia depends on capability of government to prepare a competitiveness of thesocietyespecially in the productivity of livestock.
However even we are facing food security, the government not only have a
responsibility to fulfill the people needs on food as what Nawacita’s program, but also
commit to optimize the productivity of livestock. Therefore we can compete in livestock
field in the ASEAN Economic Community Era.Currently SLC (Society Livestock Program)has launched by government but it has not familiar and being optimum yet. In the
Nawacita program belong to Mr. President Joko Widodo, one of the goals is Indonesia
must have food souvereignty. But we still import meat, chess, and livestock products
from Australia and others. How can we compete in AEC era if we cannot fulfill ourneeded selves on livestock product?
Therefore,to improve independence, providing convinience and progress of businessand also to improve competitiveness and walfare of farmers toward ASEAN Economic
Community, we all have to support this by creating and proposing a new innovation toachieve success in AEC. That is integrating of Social Livestock Center with pentahelix
system.This successness can be following by the power of people to work together inmutual cooperation (gotong royong) related to pentahelix concept that elaborating five
key sectors. The five key sectors are citizen, government, privat, university, and non‐profit association.
Application of the pentahelix model has introduced into development program ofEastern Croatia region, as well as the whole Republic of Croatia. The pentahelix system
was success applied in Croatia. This system applied through partnerships andcooperation by engaging in business investments in opening new plants and facilities,
the introduction of modern technology, to create new employment opportunities and it
can stops the emigration of young people, who are increasingly looking to othercountries in terms of quality of life and dignity for themselves and their families. This
concept can be adopting in Indonesia according the problem of the Indonesian citizen inrural area seeking for job as a hard worker in many company, or eventually seeking a
job up to overseas as TKI (Tenaga Kerja Indonesia) and they pay very low.
2. Method
The method used in this research is using the study of literature. This method using
read and record technic. This technic is a collecting data by searching the data fromjournals, textbooks, and scholarly articles. Starting from the stage of formulation of the
problem, data collection, data analysis of the literature obtained. At the stage offormulation of the problem is to look for any problems and obstacles associated with theprogram people farm centers are integrated with the Pentahelix system as an
Indonesian strategy to toward ASEAN Economy Community (AEC) so that it can be usedas supporting their stabilizing farming and to competed Asean. The next step aftercollecting data from the literature is information about the SLC program in Indonesiathat has been running, the system Penta helix that has been launched as well as data on
the implementation of ASEAN Economy Community (AEC). SLC program facilitated by
Direcrotate Livestock and Animal Health guidelines issued by the People's Ministry ofAgriculture of the Republic of Indonesia in 2015.
Once the data is collected the next step is to analyze the extent to which the SPR
program that is integrated with the Pentahelix system in ASEAN Economy Community
172

(AEC) program so that it can be used as a support for food sovereignty. Then the resultsof the analysis will be the basis for creating a policy and initial conclusions that will beable to support the design of this author. In the process of realization of the programapproaches must also apply to elements that can provide such influence in Penta helix
namely: the academy as a mentor in the program SLC, the Government as a supervisorand set regulations, Privat as a supporter in the program SLC, Media as a tool to publish
so the SLC program is clearly visible, and the community of people who are members of
the SLC program.

3. Results and Discussion
The condition of Indonesia Livestock in the era of AEC

With the implementation of AEC challenge and the competitiveness of various
sectors is increasing, including in the livestock sector. In realizing its mission of AEC
agreed on several pillars one of which is a single market and production elements of thewriting of this time will be mentioned about the free flow of goods, the free flow
investment and the free flow of skilled labor. At the free flow of goods, this element is
one of the AEC Blueprint main element in realizing the AEC by the power of a single
market and production base. With the mechanism of the free flow of goods within the
ASEAN region is expected to be ASEAN regional production networks formed by itself.
The free flow of investments in AEC has the main principle in enhancing thecompetitiveness of ASEAN and create a conducive investment climate in ASEAN. In thecurrent skilled workforce provides greater opportunities for citizens of ASEAN countries
to come and go from one country to another to get a job without any obstacles in the
country of destination. (Towards AEC in 2015, the Ministry of Trade)
Analyzing the above that one of the most important in the face of the AEC improves
the competitiveness of one of them in the livestock sector through the development andempowerment of farmers. The condition of Indonesian farmers are now, breeders scale
people with limited skills and low education levels, as shown by the following data
(Livestock Statistics 2015, DG Agriculture Livestock Ministry of Indonesia)
Condition farms Indonesia is now in the sector of investment, domestic
investment by foreign investment relative increase with the amount of domestic
investment in 2014 amounted to Rp. 650 million more, if we compare it with foreign
investment are much greater that in 2014 amounted to 30 618 US $.

Figure 3. Employment by education attainment of livestock year 2012‐2014

173

Figure 4. (a) Value of Livestock Domestic Direct Investment 2010‐2014 (Million Rp), (b) Value of Livestock Foreign Direct
Investments 2010‐2014 (thousand US$)For facing the ASEAN Economy CommunityIndonesian government has prepared astrategy in general, namely:
1. The adjustment, preparation, and regulatory improvements both collectively
and individually (regulatory reform.
2. Improved quality of human resources in both the bureaucracy and the businessor professional.
3. Strengthening the position of medium‐scale enterprises, small and business ingeneral.
4. Strengthening the partnership between the public and private sectors.
5. Creating a conducive business climate and reduce high‐cost economy.
6. The development of priority sectors that have broad impact and commodity.
7. Increasing the participation of government and private institutions to
implement the AEC Blueprint
8. Institutional reforms and governance. In essence the AEC Blueprint is also a
joint reform program that can be used reference in ASEAN countries, includingIndonesia, and
9. Provision of institutional and capitalization that is easily accessible tobusinesses of all sizes. (The book Towards AEC 2015, the Ministry of Trade).
Analyzing the above general strategy in the face of AEC. SLC formation which has
been integrated Pentahelix as a strategy to develop the ranch Indonesia and bamboozle
farmers it has been consistent and supportive of the efforts into it. Where SLC departfrom the philosophy that the development of animal husbandry and veterinary welfareof the people breeder can only be Achieved if the government and the parties doeverything to Observe the principles of management, organization (consolidation)
perpetrators, and empowerment of farmers in order to Realize the livestock population
planning.

174

Figure 1. Mindset Development Conception SLC

SLC optimizing resource utilization of funds and resources towards the collective
business of all parties, namely the facility of:
1. The Directorate General of Livestock and Animal Health in the form of
infrastructure and technical services;
2. Local Government in the form of infrastructure and marketing services
3. Academics, Researcher ,and Development Agency, the Agency Human Resources
Development in the form of a guard and mentoring resources
4. The Ministry / Related Institutions in the form of economic services, and
5. Private form of insurance, partnerships, and investments. Sekolah Peternak
Rakyat (folk farm school) is a lever and agents of change in the management ofinstitutional and human resources towards the establishment of a farm livestockbusiness collective of independent and profit‐oriented businesses throughmentoring, start up, and information technology applications, the transfer ofknowledge. School attendance Folk Breeder in SLC become important as a place
to create awareness of knowledge transfer skills improve breeding is good andtrue. (SLC Guidelines DG Livestock and Animal Health, 2015).
The main purpose using SPR to build farms and animal health in Indonesia is as follows:
1. Create a livestock business people in a collective enterprise that is managed
under one management;
2. Improving the competitiveness of farm people through increased knowledge,
awareness, and strengthening the skills of farm people;
3. Establish a database of information systems to compile the livestock population
planning;
4. Increasing people's income and welfare of farmers; and improve the ease oftechnical and economical services for farm people (SLC Guidelines DG Livestockand Animal Health, 2015).
Analyzing the above, the mind set of the conception of the development of SPR
adopts itself Pentahelix, where there are five elements involved in the conception of thedevelopment of SLC with the adjustment. Basically, according to (Lindmark, Sturesson &Roos, 2009: 24) is an extension of the triple helix strategies by involving the various
elements of the community or non‐profit institutions in order to realize innovation. In
this case, the collaboration of five elements has its respective role towards foodsovereignty in livestock commodities. First, central and local governments, as well as the
Director General of Livestock and Animal Health, has a role in the form of technicalservice facilities, maker of regulation in favor of the farmers in the SLC and funding.

175

Figure 2. Collaboration Strategy Pentahelix

Second,academics play a role in human resource development in the form of aguard and mentoring of human resources, so as to improve science and technology andskills of farmers. Third, the community in question, in this case , the SLC in an area thathas been designated as the object (farmers) who will develop knowledge and skills
through SLC. Fourth, the media has a role in the documentation and publications in themass media to the benefit of the dissemination of information to the public relating tothese SLC following with products in an SLC making it known to the public. Fifth, thebusinessman has a very vital role which is as well as marketing of livestock fund
distributor farm products to the public. Step formation integrated SLC Pentahelix is oneof the programs implemented by President Joko Widodo during his reign as one ofIndonesia in the development of strategies at the farm and the empowerment ofIndonesian farmers in the face of AEC.

Acknowledgement
The process of writing this paper has been an interesting three week journey.
This paper will be a foundation of innovation for livestock policy by integrating Society
Livestock Center with Pentahelix System as strategy to overcome livestock issues
toward ASEAN Economic Community. On our way to a finished paper, we have sharing
with lecture who has given inspiration, useful thoughts, theories and guidance along theway. Thank you for the Padjadjaran University, the Government of West Java Province,
Faculty of Animal Husbandry, Faculty of Social and Political Sciences of Padjadjaran
University, Rumah Zakat, IKA (Union of Alumni) of Padjadjaran University, our parents
who have support in financial and any aids.

References
According to vision, mission and action rogram of new Indonesian president in 2014 Mr. Joko
Widodo and Mr. Jusuf Kalla.
According to the report of impact ASEAN Economic Community toward Industry, Service andLabour Sector in Indonesia.

176

Bustami, Gumardi. (2015). Menuju ASEAN Economic Community 2015. Trade Departement ofIndonesia Republic.
Wagiran. (2012). Mewujudkan Paradigma Vocational Education For All Melalui Strategi
Kerjasama Sinergis . In Proceedings of International Seminar Reformulating the Paradigmof Technical and Vocational Education 2012 , UNY, Yogyakarta, Indonesia.
Lindmark, Adam, Markus, and Elof. (2009). Difficulties of Collaboration for Innovation: A Study in
the Oresund Region. Lund University: School of Economic Management.
Muadno. (2015). Pedoman Peternakan Rakyat (SPR). Directorat General of Livestock and Animal
Health of Agriculture Ministry of Indonesia Republic.

177

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Social Sciences and Sustainabilities

A Consideration of Expectations in Nursing Education Regarding
Relationships with Patients― Main Focus on Textbook Analysis ofHigh School Nursing Departments―
Junko NANAHOSHI
Graduate School of Humanities and Social Sciences, Chiba University, 1‐33 YayoiCho,
Inage‐ku, Chiba‐shi, Chiba, 263‐8522, JAPAN

Abstract

In recent years, care work has become internationalized, and, since 2008, foreign nurses havebeen accepted through the Economic Partnership Agreement (EPA) in Japan. There are, however,various problems in accepting nurses from overseas. One problems is the language barrier, which
not only comes from difficulty with Japanese grammar, but may also affect communication andrelationships between nurses and their patients. Good relationships improves the quality of careprovided.
This paper aims to discuss how nurses have been educated to form relationships with theirpatients in Japan. The high school nursing courses in Japan use four textbooks that are authorized
by the Ministry of Education, Culture, Sports, Science and Technology. In analyzing the sections of
the textbooks regarding the relationship between nurses and patients, we found that nurses wererequired to be accepting and empathetic toward patients. In addition, comparing the contents ofsome textbooks before authorization and those of the four authorized books, we noted that thenature of nursing had become gradually more specialized. Nursing principles have changed fromthose that are one useful for both professional nurses and ordinary people taking care of theirfamilies to principles directed toward professional nurses only. As the nature of nursing becomes
more specific, empathy toward patients is regarded as significant. A closer look at the relationshipwith patients in the nursing curriculum will lead to a better understanding of the nursing care
expected by society.

Keywords

Nursing education, Relationship with a patients, Communication, Textbook, Empathy

1. Introduction
In recent years, the declining birth rate and aging population in Japan, and problemsof how care is provided, both everyday and occupational, in a co‐operative manner havebeen considered in various domains. Furthermore, globalization of care work is also oneof these issues, and since 2008, foreign nurses have been accepted through the Economic
178

Partnership Agreement (EPA) in Japan. There are, however, various issues concerning
accepting nurses from overseas. One issue is the language barrier, which not only comesfrom difficulty with Japanese grammar, but may also affect communication andrelationships between nurses and their patients. Good relationships improve the qualityof care provided.
This paper aims to discuss how nurses have been educated to form relationships
with their patients in Japan. How to connect with patients in nursing is one aspect of how
people form relations with others. How people form relationships with others varies
depending on the society involved. Therefore, while dealing with nursing education inthis paper, this issue will be considered from the point of view of care in the communityand society. As the first stage to investigate this, changes in education in nursing are
addressed. Therefore, this paper reports an investigation into coverage of the relationshipwith the patient in high school textbooks.

2. Methods
Reasons for examining textbooks are explained. Textbooks are a source of
information for education. They are intended to comment clearly on standard knowledge
at the time (Yamazaki, Roppongi 2005: 29). In addition, textbooks are a factor thatconnects expert on nursing and those who are going to learn about nursing, so they
provide clues about the image of nursing and the expectations of nurses at a given time.
Therefore, textbooks are targeted in the analysis.
Furthermore, high school textbooks are targeted in this paper. This is because,
although many nursing textbooks are published, they are the only textbooks that are
authorized by the Ministry of Education, Culture, Sports, Science and Technology (MEXT).
This would mean that these textbooks are designed and standardized to reflect the way
nursing education has been institutionalized by the state. Moreover, a previous study
examined Japanese nursing textbooks, but few studies have examined high school
textbooks. In addition, the kind of textbook used deals with general statements about
nursing rather than practical nursing techniques. Furthermore, the sections of the
textbooks regarding the relationship between nurses and patients are analyzed bydiscourse analysis. The target textbooks of high school nursing courses are the 1966
version, 1967 version, 1974 version, 1979 version (these 4 textbooks date from before
official approval began), 1982 version, 1995 version, 2003 version, and the 2013 version.

3. High School Curriculum Guidelines For Nursing
According to the description of the nursing education system in Japan as provided
by MEXT, nurse qualification is given to the person who passed the national nursing
examination. There are several courses offered to obtain the eligibility to take thisexamination, which are largely classified into three: (1) 3‐year course in junior college or
nursing school or 4‐year course in university after graduation from high school; (2) 2‐
year course after qualified as a licensed practical nurse; (3) 5‐year course in the
Department of Nursing of high school. Among these three courses, the third one is theshortest way to obtain the nursing qualification. Therefore, this course is regarded mostsuitable for those who have already been determined to become a nurse at theirenrollment in high school.
Regarding high school nursing education, courses teaching nursing were organized
for licensed practical nurse training in 1964. The educational context lacked nursing
workers and required education promotion for girls in high school (Nkajima, Maehara
179

1973, Kimura et al 2006). Furthermore, a non‐degree graduate program was establishedin 1968, and consistent education began in 2002 for five years.
The guidelines are reflected in the learning curriculum in high school. The sectionsof the school course regarding the relationship between nurses and patients are examinedfrom changes in the guidelines from the 1972 version through to the 2010 version (1972version, 1979 version, 1989 version, 2002 version, 2010 version).
 1972version “Nursing and personal relationships”“It deals with human relations in nursing and a method of transmission of the will, lets
you understand the significance and importance, and lets you think about the
influence that human relations have on the duties of nursing.” (emphasis added) (1972version: 8)
 1979version “Human relations of a nurse and the patient”“lets you understand how to contact the patientof the nurse and lets you think about the influence that human relations have on
nursing” (emphasis added) (1979 version: 19)
 1989version “Human relations of a nurse and the patient”“lets you learn human relations necessary to nurse and basic knowledge andtechniques about the communication.” (emphasis added) (1989 version: 19)
 2002version, 2010 version “Human relations with the patient”“Based on a basic understanding of human relations in everyday life, it lets you learn
the characteristics of human relations with a patient and a healthcare worker andnurses, helps you understand that being able to maintain a good relationship is thefoundation of nursing practice (emphasis added), and it lets you learn basic knowledge
and techniques about communication to build a relationship of mutual trust. In
addition, it lets you learn about human relations with the family of the patient.” (2002version: 24‐25)
In this way, the focus changed from human relations that surround nursing topatient‐centered human relations. In addition, human relations varied from a thing that
influenced one’s duties to the basis of nursing practice. We found an emphasis on humanrelations and the importance of communication in high school nursing courses education.
Kaji et al (2015) analyzed education in communication as a nursing technique andaddressed the relevant changes. They arranged a description of the contents of texts on
nursing techniques from the Meiji era to the present age. The target of nurses’
communication gradually spread through the family of the patient, and other medical
personnel as well as the patient and the doctor. They point out that communicativecompetence becomes necessary and important for nurses and communication graduallycame to be taught as one of the techniques to establish a relationship of mutual trust.
However, the high school textbooks were not included with the textbooks that Kajiet al. intended. In addition, Kaji et al. pay attention to the concept and significance ofcommunication, but do not address the techniques of communication. Therefore, thecontents of textbooks focus on communication.

4. Communication in the nursing
This section explains how the communication in nursing is described in textbooks.
Particular focus is on how the description of positioning of communication, nurses’
approach to patients and communication methods has changed over the last 50 years.
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4.1.

Positioning of the communication

First, the passages and their contents dealing with the communication in nursing
are described as follows.
 1966version, 1967version“Educational role of the nursing”“Education encourages human beings to change the actions of others. The scene of thenursing, such an educational encouragement accounts for a significant part. The
educational encouragement is carried out through communication in various
scenes.”(1966version:222, 1967 version: 222)
 1974version, 1979version“Nursing and personal relationships”“Indispensable elements for the progress of nursing activity include definitely about
understanding the patients thoughts and complaints, giving explanation as needed,
and getting the understanding of the patient about nursing. In such a meaning, it may
be said that the communication accounts for an important part in nursing.”(1974version:77, 1979 version: 77)
 1982version(Basically the same thing is written in the 1995 version)“Establishment of the relationship of mutual trust of the nurses and the patients”“The patient conveys something to a nurse through verbal communication, by a positionor movement from an expression, or a gesture. The nurse also communicates in thesame way to motivate and encourage the patient.” (1982 version: 229)
 2003version (Basically the same thing is written in the 2013 version“Establishment of the relationship of mutual trust of the nurses and the patients”“Through smooth communication between a patient and nurses, relationships of mutual
trust are built between them, Therefore, nurse understands the methods to advancecommunication smoothly, and it is necessary to acquire the technique.”(2003 version:
221)
In the 1960s, communication was placed as a tool for educational encouragement, and in
the 1970s, it was described that the nurses listened to the complaints of patients properly
and responded to it by making the necessary correspondence to provide care. In the 1980‐1990s, rather than communication being a means for accomplishing nursing activities, a
psychological approach to the patient was suggested. In the 2000s, communication has
been described as a technology needed to create a trusting relationship. The positioningof communication has changed from a focus on education and observing tocommunication becoming an end in itself.
4.2.

How nurses approach patients

This section describes how nurses approach patients; what has always been
regarded as important throughout the decades, and what was newly added.
 Atmosphere building
In smooth communication with the patient, there is a point where the nurses’
function is explicitly stated. In any version, atmosphere creation is cherished.
“An important function of the nurse is creating an atmosphere in the place where
communication occurs; also, to the nurse encourages a supportive atmosphere so thatthe patients can easily express themselves." (1982 version: 232)
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“It's important for a nurse to ease the patient's tension and anxiety throughunderstanding the hobbies and topics that they are interested in, and provide anenvironment that makes it easy for them to communicate.” (2013 version: 248)
Creating an atmosphere that encourages patients tend to communicate was also seen in
the 1970s, but was not seen in the 1960s.
 Individual correspondence with patients (From the 1980s)“People have individually different personalities, and different ways of reacting tobecoming sick. Nurses tend to see things from a fixed view point, such that they see thepatient in general terms.” (1982 version: 231)
"Even if the patients receive the same treatment, such as hospitalization for the samedisease, it is individually different and they have their own personality, such as a family,
an occupation, character, their own sense of values, and vary in their reaction to
becoming sick." (2003 version: 222)
 Interest and empathy“Nurses can convey that they continue to show interest in the patient by hearing about
their condition while adding what they have noticed about the patient.”(1982 version: 232)
“What the patients demand is that there is a human being nearby, while noticing their
feelings and the changes they experience, empathizing, and accepting their
feelings.”(2003 version: 222)
Creating an atmosphere that encourages patients to talk freely is dealt with in all
versions, and it is important when nurses contact a patient. Viewpoints that stressacknowledging the individuality of the patient have become increasingly prevalent. Not
only showing interest in a patient, but also accepting and empathizing with the patient is
expected, and it is understood that nurses will treat a patient more positively.
4.3.

Communication methods

This section focuses on the communication methods. There were no item ofcommunication technology items in textbooks before receiving official approval, butcorresponding items can be found in them. After receiving official approval, textbooks
refer to an item called communication technology. Firstly, corresponding items found
before receiving official approval are introduced; for textbooks published after official
approval, this section focuses on the point where a change occurred. Although not
examined here, techniques known as "hears stories well" and "the coherent manner" werealso introduced.
The 1966 and 1967 versions of the textbook includes items such as “type ofcommunication" and "Understanding what the patient expresses." At that point "themanner of representation of the nurse" has been described as "having a sense of stability,”"Consciously bear in mind the need to take action, such as helping in the guidance of thepatient,” and "strive to clearly communicate feelings in plain words" (1966 version:
224⁻225). In the 1974 and 1979 versions, it is written that at the time of communication
with the patient, the nurse may have to be particularly careful to "Listen,” show a"Friendly attitude,” and "use words that the patient can easily understand correctly"
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(1979 version: 76⁻77). Next, textbooks published after receiving of icial approval aredescribed.
 Do not take the evaluative attitude(1982‐2003version)
Explaining why a nurse would take an evaluative attitude“Nurses is also human being, therefore, they cannot always avoid judging the patient’s
expression from a standard of right and wrong and show a critical manner.” (1982version: 234)
“The nurses evaluate the behavior of the patient by common sense and their own moral
judgments and this may prevent patients from saying what they want to say.” (1982version: 234)
 Empathetic attitude(only 2013version)“When a patient wonders why he/she only is suffering from such a thing (for example,
serious illness; emphasis added), the nurse who supports the patient empathizes withthe thoughts of the patient and their family, and it is necessary for nurses to maintainand improve their motivation for medical treatment” (2013 version: 250)
“When patients cannot keep instructions of the prolonged dieting and rest, the nurses
does not criticize it and empathizes with the feeling of such them, with that in mind, thenurse thinks with the patients and families how they can send better medical treatment
life and it is connected by patient’s own for the health care that can continue after adischarge.”(2013version:250)
Thus, until the 2003 version, nurses were portrayed as having issues withevaluation, so there was an image that nurses did not tend to make patients talk to them.
This is also considered a reflection of the idea that educational attitudes in the 1960s hadgone too far.
In the 2013 version, “Do not take an evaluative attitude” was changed to“empathetic attitude.” The position where a nurse understands the patient sufficiently
from his or her perspective is referred to as an "empathetic attitude” rather than one of
judgment. So, this can be regarded as a change from “Do not take an evaluative attitude.”
Furthermore, it suggests also that the evaluative image of nurses has become lessprominent. In the 2013 version, references to the "empathetic attitude" were joined by afocus on more emphasis capturing the patient’s feelings; however, the sentence "nurse
who is also a human being" is not found. For nurses are also human beings, and as suchare prone to make judgments, such as about good and evil, and to criticize patients, butthese issues have not been addressed.
This might be related, along with attention, to the care concept. In the 1970s and1980s, a word ‘care’ received much attention in the area of nursing. One of the
backgrounds of this concern is said to be that the quality of life came to be discussed in
the context of high economic growth and advanced technology (Tutui1993). In addition,
it is said that with the development and spread of medical technology, there has been atransformation of the nature of disease, such as the increased prevalence of people withchronic diseases associated with the increase in the survival rate, and the development of
medical technology has triggered that human life is undervalued in the medical field(Japan Nursing Association 2007: 13). Due to the increase of chronic diseases and thedeath in hospitals during the 1950‐1970's, the idea has developed that "Whereas previous
medical practice tended to focus attention only on the disease and body surface, there isa need for a more “holistic” approach." (Mitsui 2006: 52). In this way, this is also
considered to reflect emergence of the thesis “from cure to care” associated with thedevelopment of medical technology and changes in the disease structure.
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5. Conclusion
This paper aims to discuss how nurses have been educated to form relationships
with their patients through high school textbooks. In the foundation of high school
education, there has been a gradually increasing emphasis on continuing to improve therelationship with the patient, developing to the point where communication is regarded
as essential, a finding similar to that of previous studies.
In addition, this study revealed changes in the purpose and technology ofcommunication over the last 50 years. As communication continues to be emphasized, thegoal is to create a trusting relationship with the patient. For this reason, a change has been
observed in that communication has become its own purpose. Specifically, there is not somuch attention on how nurses speak to patients, and there are technical aspects thatemphasize (1) treating the patient individually; (2) the patient is likely to convey theirthoughts; (3) accept the patient, and be empathetic to their feelings. In this way, nurse
education trains them to create a trusting relationship with patients while communicating
so that they treat the patients individually, and are receptive and empathetic.

6. References〇Textbooks<1966 version>
Abe Masakazu, Hinohara Sigeaki, Kaneko Mitu ed. (1966). Koutoukangogaku1
Kangosouron(High school nursing1 Nursing general remarks), Igakushoin,
Tokyo (In japansese).
<1967 version>
Abe Masakazu, Hinohara Sigeaki, Kaneko Mitu ed. (1967). Koutoukangogaku1
Kangoippan1（Kangosouron・Shikujirouhou）(High school nursing1 Nursing
general1（Nursing general remarks・Diet）), Igakushoin, Tokyo (In Japanese).
<1974 version>
Fjieda Chikako et al. (1975). Kangogaisetu (Nursing overview), Igakushoin, Tokyo (InJapanese).
<1979 version>
Fjieda Chikako et al. (1979). Kangogaisetu (Nursing overview), Igakushoin, Tokyo (InJapanese).
<1982 version>
Ministry of Education, Science and Culture. (1982). Kisokango (Basic nursing),
Medikarufurendosya, Tokyo (In Japanese).
<1995version>
Ministry of Education, Science and Culture. (1995). Kisokango (Basic nursing),
Medikarufurendosya, Tokyo (In Japanese).
<2003 version>
Ministry of Education, Culture, Sports, Science and Technology. (2003). Kisokango (Basic
nursing), Jikkyousyuppan, Tokyo (In Japanese).
<2013version>
Ministry of Education、Culture、Sports、Science and Technology. (2003). Kisokango(Basic nursing), Kyouikusyuppannsya, Tokyo (In Japanese).
Japanese Nursing Association ed. (2007). Kangonikakawaru syuyounayougo kaisetu―gainentekiteigi, rekisitekihensen, syakaitekibunmyaku － (Explanation of key
terms related to nursing － Conceptual definition, historical changes, social
context－), Japanese Nursing Association, Tokyo (In Japanese).
184

Jougahana Hatuko, Okawa Makiko, Inoue Miyoe. (2016). Nursing Theory―History,
Present state and Prospective, Seisen J. Nurs.Stud, Vol.5, pp.1‐12, Shiga (InJapanese).
Kimura Mayumi, Abo Shouko, Ohgushi Yasuko, Koyama Atuyo. (2006). Study Concerning
the History of Educational in Aomori Prefecture : The Transition of the
Department of Health Nursing in High School, Hirosaki Gakuin University nursing
Bulletin, Vol.1, pp33‐39, Hirosaki (In Japanese).
Ministry of Education, Science and Culture. (1972). Koutougakkou gakusyuu
sidouyouryou kaisetu Kangohen (Commentary of High School Curriculum
Guidelines For Nursing) higasiyamasyobou, Kyoto (In Japanese).
Ministry of Education, Science and Culture. (1979). Koutougakkou gakusyuu
sidouyouryou kaisetu Kangohen (Commentary of High School Curriculum
Guidelines For Nursing) higasiyamasyobou, Kyoto (In Japanese).
Ministry of Education, Science and Culture. (1989). Koutougakkou gakusyuu
sidouyouryou kaisetu Kangohen (Commentary of High School Curriculum
Guidelines For Nursing) higasiyamasyobou, Kyoto (In Japanese).
Ministry of Education, Culture, Sports, Science and Technology. (2002). Koutougakkou
gakusyuusidouyouryou kaisetu Kangohen (Commentary of High School
Curriculum Guidelines For Nursing) higasiyamasyobou, Kyoto (In Japanese).
Ministry of Education, Culture, Sports, Science and Technology. (2010). Koutougakkou
gakusyuusidouyouryou kaisetu Kangohen (Commentary of High School
Curriculum Guidelines For Nursing) higasiyamasyobou, Kyoto (In Japanese).
Mitui Sayo. (2004). Keanosyakaigaku Rinsyougenbatonotaiwa (Sociology of Care
Dialogue with the Clinical Site), keisousyobou, Tokyo (In Japanese).
Ministry of Education, Culture, Sports, Science and Technology. Koutougakkou ni
okerukangokyoiku (Nursing education of high school),
http://www.mext.go.jp/a_menu/shotou/shinkou/kango/index.htm
Last Accessed1 November 2016. (In Japanese).
Nakajima Kieko, Maehara Sumiko. (1973). Reasearch on the Actual Condition on
Instructor of Nursing Course of High School in Japan, Bulletin of the Faculty of
Education, Chiba University, Vol.2(22), pp321‐333, Chiba (In Japanese).
Tutui Mayumi. (1993). Kea/Kearingnogainen (The Concept of Care/Caring) Kangokenkyu
Vol.26(1), pp2‐13,Tokyo, (In Japanese).
Yamazaki Shigeaki, Roppongi Yoshie, (2005), Kangokenkyuuno tameno bunkengaido(dai4han) ( Literature Search Guide for Nursing Research (4th edition)), JapaneseNursing Association, Tokyo (In Japanese).

185

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Socioeconomics Relations
A Game Theory Approach to the Bargaining Process
between Japan and the U.S.in the Pre-War Period

Shuhei Shiozawa *Keio University, 2‐15‐45 Mita Minatoku Tokyo 108‐8345 Japan

Abstract
We analyse the political and military bargaining between Japan and the U.S. from 1905 to 1941, using
game theory concepts. We conclude that the outcome of the Washington Naval Limitation Meeting was
not Nash equilibrium since Japan had an incentive to deviate. After the war in Europe began, the U.S.
seemed to begin an anti-Germany war. The decision-making process in Japan during that period could
be viewed as a mini-max principle. We formulate a three-period game corresponding to historicalevidence. In this game, the loss of Japan is minimized when Japan declares war on the U.S. in thesecond period since the ratio of Japanese naval power to that of the U.S. was maximized in that period.

Keywords
Bargaining; Hawley=Smoot Tariff Act; mini-max strategy; Navy disarmament conference; the AntiJapanese Sentiment Immigration Act
１． Introduction
We analyze the political and military bargaining between Japan and the U.S. from 1905 to
1941, using game theory concepts. The decision-making process in Japan during that period could
be viewed as a mini-max principle.
The behaviour of Japan was affected by an action of the world situation and the United States inparticular. We cannot evaluate the behaviour of Japan appropriately by watching only Japan. In
that period, most areas of Asia and Africa were assumed a colony of the European and American
Great Powers.
The United States was expanding frontier from the East Coast of the North American
Continent, and the intention that stretched out a sphere of influence to the west in the Pacific wasclearer after having reached the West Coast. After having annexed Hawaii in 1898, there was theintention of the entry to the China market and insisted on an open-door policy in 1899.
Furthermore, I possessed the Philippines in 1901 and placed it under power. After Russo-Japanese
War of 1905, the United States assumed Japan a hypothetical enemy. Therefore, it is thought that adiagram called the opposition with an American world strategy around the west Pacific and thestrategy of the Japanese independence maintenance for it became clearer after it. The absolute antiJapanese sentiment Immigration Act based on the racial discrimination was passed in 1924 andexpelled a Japanese emigrant. In response to the Great Depression of 1929, the Hawley=Smoot
Tariff Act, which imposes the duty more than a maximum of 800% on an import fortune is passed
and will have a big influence on Japanese economy. Furthermore, a Great War outbreak in Europeof September, 1939 has a big influence on the policy of both Japan and the United States.
S Shuhei Shiozawa 81‐3‐3453‐1302

E‐mail address shiozawa.shuhei@keio.jp186

We consider the bargaining process between Japan and the United States while considering thedifference in both political system and economic situation in such a frame. A series of movementof the two countries or the strategy divide it into some categories and can think. The first relates toeconomic activities and includes the Hawley=Smoot Tariff Act or an oil embargo. The second
relates to naval armaments and is Washington disarmament treaty and withdrawal of Japan, navy
expansion plan for it of America. The third relates to the international relations for the country
except Japan and the United States, such as Japan, Germany and Italy Triple Alliance. In addition,
we know that the strategic choice that Japan can take has been narrowed rapidly because a cabinet
changes frequently in Japan. Furthermore, it is thought that a new cabinet played a sub game in the
choice of the extremely limited strategy under the new strategy of the United States for the strategyof the predecessor because the supreme command department of army and navy was not thesystem which a consistent policy has stolen.
2. Economic relations
2-1.The change of the U. S. diplomatic policy to Japan after the Russo-Japanese War
The Russo-Japanese War from 1904 through 05 terminated by the conclusion of thePortsmouth treaty of September 5, 1905 by the intermediation of President American Theodore
Roosevelt.
Edward Henry Harriman, who was an American railroad baron, wanted to make Japan and theUnited States syndicate, for the south Manchurian railroad which Japan would run by Portsmouth
treaty, and he offered it. It is the suggestion of the partnership. For this suggestion, the Prime
Minister Taro Katsura, Kaoru Inoue or Shibusawa Eiichi and others on behalf of the financial
world agreed, too, and the memorandum of the preliminary agreement was exchanged on October
12, 1905. It may be said that the partnership with the American company of the south Manchurian
railroad was extremely realistic choice for Japan which became impoverished financially militarily
just after the Russo-Japanese War. In addition, it was equal with the American national interest
that fell behind other Great Powers while aiming at an advance to Mainland China. However,Jutaro Komura, who compiled Portsmouth treaty as Japanese side full power and, went back to myown country, and returned to the Minister of Foreign Affairs on October 15, objected strongly forthis suggestion. The grounds were things not to be able to sell Manchurian that I obtained by theblood of Japanese officers to the United States, and in a sense it was a just argument, but it was
expected that Japanese Government cancel a memorandum bound together once one-sidedly on
October 25. After this, the American strategy that aimed at the entry to the continent market toJapan comes to assume change, Japan a hypothetical enemy.
2-2 Racial discrimination policies and the anti-Japanese sentiment Immigration Act
One of the basic institutional characteristics to characterize the global community until the early
20th century includes the racial discrimination policy that has been taken openly in European andAmerican society. These are not things of the kinds such as personal prejudice and feelings; in a
public thing such as a law and a policy of one country or the judicial decision.
Japan participated in World War I that broke out in 1914 as the allied powers side by a JapanBritain alliance, and the allied powers side increased the United States from 1917.
In a peace conference after World War I started in January, 1919, Japan planned to insert the
principle of racial equality in League of Nations agreement above sentence or league agreement
Article 21 to guarantee religious liberty. In contrast, Australia with "federal emigration limit law"
to limit the emigrant of the coloured race objects in various form strongly, and Japan gives up theinsertion of "the racial equality". And Japan suggested that "We approved principles of the fairness
service for the equality of each nation and the nation" and inserted the phrase in the League of
Nations agreement above sentence in the place of the meeting in the League of Nations Committee
last of April 11, 1919. Though there were more agreement 11, objection 5 and agreeable countries,
President Wilson which was the chairperson should decide such an important thing not decision bymajority unanimously and, for this suggestion, smashed this plan.
In addition, the American Supreme Court performed the judgment "that the yellow-skinned
races could not be naturalized and were a foreigner, and the naturalization right did not have" in
1922 and deprived it to the Japanese right that I was already naturalized in. This is measures by thesubsequent law that must not be a modern constitutional state. Furthermore, "the absolute antiJapanese sentiment Immigration Act" to expel a Japanese emigrant is passed in 1924. This law is
the federal law whereas a previous anti-Japanese sentiment law was a state law.

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2-3. Block economization as the correspondence to the Great Depression and autarky
When the Great Depression occur in 1929, the Hawley=Smoot Tariff Act, which imposed the
duty more than 800%passed an assembly to import fortunes more than 1,000 items in the UnitedStates and the President signed it in 1930, the following day and was established.
In addition, the U.K. makes a duty that there few it between the colony in Ottawa meeting (Ottawa
Agreements) in 1932, but decides that I hang a high duty for the outside the area. It is said that thisdid collapse and the block economization of the free trade system conclusively.
It is thought that there were such situation and "the absolute anti-Japanese sentiment
Immigration Act" in one of the backgrounds of Manchurian Incident of 1931 and the Manchuriancountry establishment of 1932.
The disposal of "treaty of commerce and navigation" is given notice of from the United Statesin July, 1939. The Hawley=Smoot Tariff Act largely limited import from Japan, but the disposal ofthis "treaty of commerce and navigation" meant that I did not sell important resources for Japan.
The U.K. and the Netherlands follow in 1941 two years later. Japan will in this way lack in raw
materials necessary for modern industry such as iron, tin, aluminium, wool, the rubberconclusively. Furthermore, 80% imported the oil in those days from the United States, and, in Arabcountries which were other main oil production area, Malay Peninsula, North Borneo, the British
follower, Indonesia were under the control of the Netherlands.
On July 25, 1941, the United States freezes Japanese assets residing in the United States, andJapan starts stationing in a southern Buddha mark (Vietnam) on July 28, and the United Statesembargos oil entirely for Japan on August 1. This means that the Japanese armaments become zerovirtually in 1~2 years losing storage of the oil.
3. Navy disarmament conference
3-1 Washington meeting
Based on overheat of the-based warship competition by the major country navy, during WorldWar I and post-war period, the United States suggested the holding of the disarmament conferencein Washington to each country in 1922.
As a result of meeting, a disarmament treaty was concluded, and, as for the U.K., the UnitedStates, Japan, France, the possession ratio of the capital ship including the Italian battleship, it was
decided 5, 5, 3, 1.75, 1.75, to cancel the building of the capital ship again for the next ten years. In
other words, the capital ship possession ratio in Japan became 60% to U.S.
In addition, it was determined to hold a meeting after having passed after treaty effect outbreakin eight years to accept the tendency of the times and technical progress.
3-2 London meeting
London meeting was held in 1930 eight years later by the rule of the Washington meeting.
The chief end of this meeting was a limit of the quantity of possession of the war vessel except the
major ship including cruiser, destroyer and submarine, and re-extension for a capital ship building
interval decided in Washington meeting. As a result, the ratio of the quantity of possession ofJapan to U.S. was 60% for battleships and aircraft carriers, and was 64.3% as the whole.
It was thought that the force in the sea was proportional to square of the quantity of main war
vessel possession such as battleships in those days. Therefore, the naval war vessel which Japan
held was 60% to U.S., and it was to U.S 36%, and that the Japanese navy force could not
responsible in the national defense. If it was 70%, it became 49% and thought that the Japanese
Navy could permit it, so that they insisted on 70% to U.S. strongly. It was said that Japan could
maintain American 70% that was a permission standard for the navy by the then strength of anation if the United States did not change quantity of war vessel possession. Hence theWashington Convention was not a Nash equilibrium, and it was not stable in that sense.
3-3. The issue of supreme command dried criminal
The person in charge of the disarmament treaty conclusion in the London meeting was Prime
Minister Osachi Hamaguchi, but, as the thing which performed a dried conviction of "the supremecommand" that this conclusion was prescribed by Great Japanese Imperial Constitution Article 11
and Article 12, was politicized. In other words, armaments are problems of the supreme command,and the authority to decide it in the cabinet which does not have the supreme command underGreat Japanese Imperial Constitution is the claim that there is not. In the case of the decision
making as the Japanese nation, I brought big influence, and, as for this "supreme command dried188criminal" problem, it followed that I often lacked in the consistency with diplomacy and militaryaffairs afterwards.
Actually, because possession of 70% was not accepted, Japan withdrew from a disarmament
conference and was going to maintain quantity of war vessel possession than 70% to U.S.
However, it was feasible under the premise that the U. S. did not change a strategy, and was notpossible to maintain the numerical value, when it was not so. Japan would take the wrong
prediction about the United States changing the strategy here. If the United States did not change aconventional strategy, Japan should have been able to maintain quantity of war vessel possession
more than 70% to U.S. However, in a sense, as a matter of course, the United States changes thestrategy for Japan having changed a strategy. It is "The third Vinson plan" and “Two-Ocean NavyAct" which were established in 1940.
A time limit of the Washington Convention expires by withdrawal of Japan at the end of 1936.
For "The third Vinson plan" and “Two-Ocean Navy Act", the expectation of the force ratio by theJapanese navy Naval General Staff was 75% in 1941, less than 50% in 1943 and less than 30% in
1944. Therefore, the choice is extremely limited when we think about a sub game after thedisarmament conference withdrawal, and it may be said that the navy authorities recognized that adifference enlarges after 1941. But this means that navy couldn't but admit that a prediction of theJapanese Navy about the American correspondence that became the basis of the judgment towithdraw from a disarmament conference took the wrong it.
This " Two-Ocean Navy Act " established in July, 1940 was the contents which could not
possibly cope by the strength of a nation of then Japan with a thing to make 35 battleships, carrier
20, warplane 25,000 by 1946.
4. Relations with other countries
Triple Alliance among Germany and Italy was concluded in September, 1940 one year after theGreat War outbreak in Europe of 1939. German military predominance continued in those days in
Europe. However, Germany persecuted a Jew as a national policy, and it followed that I worsened
the feelings of the United States nation that large number of influential Jewish nations existed
including economy in many fields to Japan more.
Actually, the United States gives an export of scrap iron restrictions law for Japan in October,1940 just after the Triple Alliance among Germany and Italy conclusion.
The U.K. which was numerical inferiority wanted to let the United States participate in the own
country side somehow militarily. In such situation, President Franklin Roosevelt broadcasts virtual
war intervention on a radio for all nations on December 29, 1940. Furthermore, the United Statesdevises "the rainbow 5 plan" that is a strategic plan to Japan on March 27, 1941.
The U.K. and the Netherlands followed economic sanctions measures by the United States toJapan in July, 1941 and, including the Republic of China which was in a battle state, were called
ABCD (America, Britain, China, Dutch)encircling.
On October 2, 1941, Hull notebook is taken out. This content is done with virtual final note todepend of America with a thing in defiance of a past negotiations process.

189

Figure 2.

5. The bargaining process after the Great War outbreak in Europe
5-1.
The situation of the United States
Because they can expect the effect of the effective demand promotion by the preparations for
war reinforcement without there being the strong request from the U.K. after World War II
outbreak in Europe of September, 1939, and getting rid of the Great Depression that began
domestically from 1929, it is thought that President Franklin Roosevelt aimed at the outbreak of
war with Germany.
For the United States which insisted on an open-door policy in 1899, it might be said that an
entry to the China market was the problem that was important as Great Depression measures as thelarge increase of the demand for the war industry was an extremely effective policy for Great
Depression conquest, and having mentioned above again for the United States troubled with thehigh unemployment rate while being blessed with natural resources such as oil or iron.
The President in the United States is a chief executive of army and navy having the appointive
power of all cabinet ministers. He can take a continuously stability-like policy after a presidential
election for four years and become able to perform consistent diplomacy and military campaign.
This is the point that is different from the Japanese political system conclusively in that period.
Generally, it is extremely difficult for a politician to take a policy against campaign pledge. The
declaration of war from the own country is against campaign pledge of 1940 of President
Roosevelt, and it is disadvantageous politically, and the feasibility is low. In addition, even the
President has difficulty in participation in a war in the form in defiance of public opinion because
the approval of the assembly is necessary for declaration of war, and public opinion has big
influence. I turned radiobroadcast to declare virtual intervention for the war in Europe on
December 29, 1940 to all nations, but there is a gulf for a reaction of the public opinion in reallydispatching troops with exporting weapons and the staff for battles.
However, there was Triple Alliance among Germany and Italy signed in September, 1940, andthe participation in a war to Europe is justified if declared war against by Japan. But because
Germany was not to declare war against it at the same time even if Japan declared war against theUnited States as for Triple Alliance among Germany and Italy, it did not mean that he could

190participate in Europe automatically, but war-weariness-like public opinion in the United States wasbig, and it was expected that he moved.
On the other hand, it was the United States with the big strength of a nation potentially, butsuitable time is necessary for war preparation, and what he participate in promptly is undesirable.
After having put some run-up when I take these into consideration, a battle state begins in form
scored the first by Japan, and it is thought that it was the development that is the most desirable for
the Roosevelt government to enter the Great War with the approval of the assembly which stoodon it.
5-2. The situation of Japan
Because the national economy receives a serious blow, and an emigrant to the United States
was done with impossibility in the other by Hawley=Smoot Tariff Act passed just after Great
Depression outbreak of 1929 as having mentioned above, a large quantity of unemployed people
will occur.
The disposal of "Treaty of Commerce and Navigation" given notice of from the United Statesin July, 1939 just before the Great War outbreak in Europe meant that the import of indispensable
important resources extremely became difficult as iron, tin, aluminium, wool, a modern nation
including the rubber for Japan. Furthermore, after August, 1941, oil import from the United States
which occupied 80% of the oil consumption of Japan was prohibited, and it was concerned about
dwindling for the force economically.
The biggest characteristic in then Japan is that "The Supreme Command" became independentwhen we think about the decision-making mechanism as the nation. In other words, the supremecommand which was the order right in military affairs became independent from the cabinet.
Therefore it is extremely difficult to take diplomacy and military consistency and will often
receive criticism with the double standard from the foreign country.
The cabinet changed frequently, too and lacked in consistency, the consistency of the policy
with a diplomatic aspect. Furthermore, it was extremely difficult to keep a foreign policy and theconsistency of the military campaign by independence of the supreme command which we statedabove. Therefore, in each cabinet, it is thought even if they played a sub game in a certain situation
given beyond own responsibility. It is a big difference with United States where it was able to havepolicy-like consistency toward or Germany. It may be said that this shows that it was in a far statewith "the conspiracy" in Japan accused at Tokyo trial.
In addition, unlike the United States or Germany and the Soviet Union, we do not hit it in theorganization system, which integrate the navy with the army and can apply. Ministry of Defense
which it was the organization which stood side by side, and the army and the navy moved in an
original budget and the chain of command on the personnel affairs system and strategy side, andintegrated them or the organization corresponding to the Department of Defense did not exist.
Furthermore, in army and each naval, military administration and a military command isolate
it. The military administration is a thing in charge of a budget and personnel affairs side, and aperson in charge is the Secretary of State for War who is the member of the cabinet and a Ministerof the Navy. On the other hand, the military command is a thing in charge of the use on the
military affairs side, and a person in charge is the staff officer president in the army and is theNaval General Staff president in the navy. They were not able to interfere it not the thing which
belonged to the cabinet mutually again.
When time passed after Washington disarmament conference withdrawal about the armaments
to some extent by American the third Vinson idea and Two-Ocean Navy Act , which mentioned
above, it was thought that the force difference opened so that time stood by a Japan-U.S. economic
power difference after it. Japan among the seas may receive an attack tactically from anywhere,
and it is extremely disadvantageous to receive the initiative from the other countries, and thedeclaration of war from the own country is advantageous tactically.
In addition, it is thought that there was the repulsion for having received institutional racial
discrimination in the background in the global community of many civilians having supported theoutbreak of war including people called an intellectual, the cultured person as well as someofficers. Iwata (2015) points out that "a personal grudge" to be hard to permit an insult for oneselfchanged to "moral indignation" for the system itself.
According to Yoshida (1983), Osami Nagano who was the Naval General Staff president
performs the following situation recognition with a statement book in September, 1941.
The armaments in the Far East of America make progress very much in late 1942, andcorrespondence becomes the difficult situation. The United States extremely has many goodchances to be reflected on a long-term strategy from a beginning. The war end is difficult and is191

expected even if Japan wins by a short-term decisive battle when I move to long war. I conclude it
to be considering what I score the first from Japan, the weather of the (3) field of operations
without being opened the scoring from deciding the outbreak of war judging from the fact of the(1) force immediately, the (2) United States by such recognition.
He remained in a tactical level in conclusion, and distinction of "a strategy" and "the war" wasnot done definitely while he did wider situation recognition in this statement book, but it may besaid that these contents became the basic policy of the policy in afterward.
It is thought that the then Japanese leader particularly the navy had a strategic idea based on themini-max principle when they took these into consideration. In other words, they assumed always
the worst situation fetching a declaration of war by the United States or the action that was almost
it virtually for, and that they chose a strategy (outbreak of war time) that there were the fewest
losses on the premise. The grounds of the judgment are the war vessel possession ratios after thedisarmament conference withdrawal, and quantity of storage of the oil increases after the oil
embargo by the United States. On the other hand, Japan did not understand importance of thecampaign pledge in the decision making process of America and obtains it for fear of the UnitedStates opening the scoring.
6. Formulation as three-stage game
6-1. Influence of the hours progress
Based on these facts and the situation in the rear, I consider time until about 1944 as thedevelopment form game that I divided into three stages after a Great War outbreak in Europe of
September, 1939. The first stage corresponds to the period from 1939 to September, 1940, when
Triple Alliance among Germany and Italy was signed. The second stage corresponds to the period
from October, 1940 to 1942. The third stage corresponds to the period after 1943 when a war
vessel started work by the third Vinson plan was completed. Each country has two choices,
continuing negotiations without opening the scoring and opening the scoring.
The major ships possession ratio was 60% to U.S. under Washington Convention in the
Operation. Japanese Naval General Staff section predicted it with 75% in late 1941, in less than
50% in 1943, and less than 30% in 1944.
It is thought that the gain is high so that a statement book of Nagano has it about the initiative
influence because to score the first becomes advantageous to Japan tactically, and the politicaldifficulty by what we score the first again in the country is unlikely to produce it than it is scoredthe first in which point in time in the first half.
On the other hand, it is thought that to score the first in which point in time is low in the gain
because the United States has a big political difficulty to be against the campaign pledge of the
President, and it is expected that the military loss when it was opened the scoring is restrictive.
6-2. Illustration of the payoff
During negotiations continuation, we assume payoffs of both Japan and the United States arezero, and the Japanese payoff after the outbreak of war is negative and the American payoff ispositive.
For Japan, the payoff is the highest in the second stage when the force difference between
Japan and the United States is minimized, and the payoff is the lowest in the third stage when aforce difference opens at an increasing tempo by the third Vinson plan and Two Ocean Navy Act.
On the other hand, for the United States, the payoff is the lowest in the second stage when theforce difference between Japan and the United States is minimized, and the payoff is the highest in
the third stage when a force difference opens at an increasing tempo by the third Vinson plan and
Two Ocean Navy Act.
From a tactical advantage, the payoff of Japan is higher when it is opening the scoring first.
The payoff of the U.S. is higher when Japan opens the scoring from a political reason.
The first stage is during Japan-U.S. negotiations continuation, and the U.S. side is less likely toreceive the initiative again because preparations for war are not set. The Japan side is a half-cock,too.
In the second stage, the force difference between Japan and the United States in the Pacific is
minimized. Japan does not want to carry over outbreak of war decision in the third stage when aforce difference spreads with time. Assuming the short-term tactical victory by Japan opening thescoring, the room for peace negotiation under conditions of the suitability is left.

192

In the third stage, the strategic difference spreads with time, and the damage when Japan
received the initiative is serious. Storage such as the oil disappears, and the possibility ofadvantageous negotiations is extremely low.
JO

Let U tAD

and U tdenote the payoff of Japan and the U.S. respectively when Japan
JD

opens the scoring in the t stage. And let U t

AOand U tdenote the payoff of Japan andthe U.S. respectively when the U.S. opens the scoring in the t stage. According to theprevious discussion, the payoffs of Japan seem to satisfy the following condition.

U 2JO  U 1JO  U 3JO  U 2JD  U 1JD  U 3JD
And the payoffs of the U.S. seem to satisfy the following condition.

U 3AD  U 1AD  U 2AD  U 3AO  U 1AO  U 2AO
We exemplify a payoff list to meet these conditions in Figure 2.

Figure 2

It is thought that it has suitable rationality to open the scoring to the second if we think thatJapan faced such a sub game. But we do not consider it about the payoff when in this case Japan
received a demand of the U.S. in acknowledgment of Hull note overall.

7.

Concluding remarks

It may be said that Japan driven into economically by "absolute anti-Japanese sentiment
Immigration Act" establishment of 1924 in the United States, by Hawley=Smoot Tariff Act
establishment of 1930. And by denunciation of "The Treaty of commerce and navigation" in July
1939, Japan was extremely limited to the choice at the time of a Great War outbreak in Europe in
September, 1939 as an industry nation in modern times.
On the other hand, in the Washington disarmament conference that prescribed the navy
armaments of the major country, the quantity of main war vessel possession of Japan was 60% of
the U.S. When Japan was suppressed in 60%, the Japanese Navy understood this, and it followedthat I withdrew, on the contrary, to have suppressed the United States in 167% because I was notable to understand it. The situation after the Washington disarmament conference was not Nashequilibrium in this sense.
If the United States did not change a strategy after disarmament conference withdrawal,

193

Japanese Navy thought that Japan could maintain 70% to U.S., but, as a matter of course, theUnited States changed a strategy. Therefore, judging from a military aspect, it became that theJapanese choice was limited.
Japan misunderstood about the intention of the U.S. after the Great War outbreak in Europe.
In addition, analysis about the authority of the assembly about the meaning of the pledge in the
U.S. political system particularly the presidential election and diplomacy, military affairs wasinsufficient. Therefore, the payoff that Japan assumed was not necessarily the thing whichreflected reality precisely. Therefore Japan mistook reactions of the U.S. at some important stages.
The choice for Japan was extremely restrictive, and, after an oil embargo by the United States,
it was thought that the strength of a nation difference between Japan and the United States wasenlarged at an increasing tempo with progress of the time. As for the armaments ratio in Japan toU.S., 1941 will take 75% of maximums. In such situation, it may be said that Japan took the action
based on mini-max principle. It may be said that the declaration of war from Japan at the end of1941 when Wood(2007) points it out when decided based on "the accurate calculation of themilitary risk" was a mini-max strategy in the sub game there if Japan thinks that the outbreak of
war to U.S. is not avoided. But it may not be said that an action after the outbreak of war of Japanwas based on military rationality.
References
Iwata, Atsushi (2015), "Greater East Asia War to read and to solve from racial discrimination",
Saitosha
Watanabe, Shoichi (2006), "Testimony of the Hideki Tojo history", Shodensha
Wood, James. B. (2007), “Japanese Military Strategy In The Pacific War”, Rowman & LittlefieldYoshida Toshio (1983), "Five Ministers of the Navy", Bungeishunju

194

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Macroeconomics

A Possible Answer to Japan’s Deflationary Problem as Revealedby the Use of a Modified Phillips Curve, and an Explanation ofSome Seemingly Contradictory Results

Noriko Ashiya*
Meikai University, 1, Akemi, Urayasu‐shi, Chiba‐ken 279‐8550, JAPAN

Abstract
This paper identifies the mutation of the Japanese inflation‐unemployment
dynamics through the use of estimation models based on a reduced, triangular
Phillips curve structure, and the modified Phillips curve theory, the analysis ofwhich tracks the economic booms before the bubble economy bursts, andcontinues to track the long recessionary period that follows. Our findings revealthat the productivity‐driven real wage flexibility might be viewed as a key factor
that helps cure deflation. As a spin‐off of our theoretical examination, we alsoarrive at the role of price expectation in a matured economy with severe pricecompetition in commoditized markets.
Keywords
Phillips curve; triangle model; deflationary problem

1. Introduction

Recently the American economist Robert J. Gordon (2013) has revived the Phillips
curve relationship which has not been used fruitfully as an economic tool since the mid‐
70’s and also after the financial crisis of 2008 (see, Figure 1). The re‐emergence of thePhillips curve is supported by Watson (2014), who adopted Gordon’s praxis of excluding
long‐term unemployment in one crucial part of his paper. In contrast, upon examining* Corresponding author. Tel.: +81‐47‐355‐5120; fax: +81‐47‐350‐5504.

E‐mail address: nashiya@meikai.ac.jp

195Figure 2, the reader will notice an illustration of the crux of this paper. Why does theplotting for Japan’s Phillips curve appear so stable, despite the fact that the economy
tracked by this curve has moved down along the horizontal axis (unemployment) into thefog of low inflation with a high‐unemployment dimension? The answer to this question
might provide a remedy to the problem of deflation in Japan, and this paper is an attempt
to provide empirical evidence and corresponding theoretical underpinnings to support
this assertion.
16

24
20
Inflation rate (percent)Inflation rate (percent)

12

8

4

16
12
8
4

0
0
-4

-4
3

4

5

6

7

8

9

10

11

Unemployment rate (percent)Figure 1. Inflation versus Unemployment in the U.S.

1

2

3

4

5

6

Unemployment rate (percent)Figure 2. Inflation versus Unemployment in Japan

In fact, we conclude that the productivity‐driven real wage flexibility might beviewed as a key factor that helps cure deflation; this result is consistent with Hamada andKurosaka’s (1986) findings on Japan’s labor market, suggesting that real wage flexibility
accommodates productivity changes during the period 1971‐75, and up to 1983. Our
singular evidence comes from the sample of the first‐half, between 1972:Q1 and 1991:Q4,
and its insights into the balance between the real wage growth and productivity trendchange is consistent with Japan’s labor market at that time. More precisely, our findings
suggest that upward‐drift in the real wage rate, which moves concurrently withproductivity growth, is the key factor that unifies the movement of the inflation‐
unemployment combination in the high‐inflation with low‐unemployment dimension(pre‐1992) and the low‐inflation with high‐unemployment dimension (after‐1992) down
the decades of the timeline, to arrive at the clear delineation of the Phillips curve.
Japan’s economy has commonly been considered to have gone through the
breakpoint of its growth around the year 1992 (concerning this view, see, e.g. Krugman,1998), and this fact is also supported by the flattened Phillips curve (see, Harada andOkamoto, 2001, which pointed out such a mutation of the curve first); whereas, ourfindings suggests that the mutation of the economy behind the curve can be explained by
one representative factor, the productivity. Given the ideally linked combinations of
unemployment and inflation distribution for the previous decades, we could find a196

remedy to move onto the upper‐left/positive‐inflation area; which perhaps indicates the
deflationary cure.
Moreover, we carry out estimates of Japan’s Phillips curve through the simplest
way. The estimation model is based on a reduced, triangular Phillips curve structure witha constant NAIRU (as per Gordon, 2013). The treatment of the productivity variable wehave followed is based on Dew‐Becker and Gordon (2005), which we used to calculate theinflationary pressure of varying productivity trend growth. To arrive at the possible
answer to Japan’s deflationary problems we simply used the total unemployment rate,and did not exclude long‐term unemployment from the data. The result may be seen in
Figure 2, in the stable relationship of headline inflation and ordinary unemployment inJapan. As a spin‐off of our theoretical examination, we also arrive at the role of priceexpectation in a matured economy with severe price competition in commoditizedmarkets.
Crucially, our estimates of Japan’s Phillips curve show evidence that iscontradictory to the price theory that the Phillips curve represents, as the sign of theregression coefficient of the productivity variable is estimated as positive for the first‐half
period, which, by the ordinary theory, is shown to be negative. To obtain supporting
evidence that may solve these contradictions, the productivity effect is postulated toincrease the real wage rates. We argue in this section that if there is no evidence for thishypothesis, then, there is no reason to believe that the actual Phillips curve moves
upwards in the first‐half period. Given this shift, if sufficient enough to cancel out thenegative productivity effect on the price inflation, we can arrive at the positive regression
coefficient of the ordinary Phillips curve model. Given those findings, we formulate a
modified Phillips curve, which includes a real‐wage‐setting function reflecting theadditional effects of productivity growth, and give explanations for those contradictions
by examining the theoretical underpinnings that may coincide with the evidence.
Throughout the paper, we go through the estimates and calculations using both Japaneseand U.S. data, to highlight the evidence‐based characteristics that are unique to Japan.

2. The Simplest Model for Japan’s Phillips Curve
The simplest way of arriving at PC estimation is to adopt the constant NAIRU
setting as specified below (Model 1). This makes it possible to provide the first approach197

to Japan’s price dynamics and corresponding economic state—which makes up thediscarded advantage of an ideal model setting that allow the NAIRU to vary over time (e.g.,
Richardson, et al., 2000). To estimate this model, we adopt the method of Ordinary Least
Squares; we could calculate the NAIRU,, asholds in Equation (1) below.

Model 1 (Phillips curve equation with constant NAIRU setting).
∑

where

∑

(1)

denotes the level of price inflation,
denotes energy prices,

denotes the unemployment rate,

denotes productivity, andis an error. The lag

length and polynomials, and the inclusion and exclusion of the supply shock variables are
the reasoning from Gordon (2013).
The next model is the real wage setting function. In this model, we set real wages,
instead of prices, as the dependent variable. To maintain the Phillips curve relationshipbetween inflation (in this model, the real wage inflation) and unemployment, we set the
unemployment as one of two independent variables. Other independent variables we set
are productivity and energy prices; this setting is in line with our study focus, placed in
the previous section based on our estimation results.
Model 2 (Quasi‐Phillips curve that explains real wage setting behavior).
∑∆
where ∆

(2)denotes the real wage inflation. To estimate this model, we adopt the methodof Ordinary Least Squares as well.

3. DataThis paper will focus on the total indicator of consumer price inflation. For Japan,
CPI for all consumers, all items less fresh food basis; which is the targeted index (from2013:Q2) or a guide index (up to 2013:Q1) for the inflationary trend that the Bank ofJapan has been tracking. For the U.S., we use the most explanatory variable for comparisonas CPI for all urban consumers, although this includes the fresh food prices, and does notsurvey all the areas in the U.S. economy.

198

To emphasize the firm’s price‐ and wage‐setting behavior that the Phillips curve
represents, we do not subtract the inflationary effects of the sales tax hike from the seriesof both CPIs. The economic logic behind the Phillips curve supports simply to use

the CPIs as released, as the firm, in theory, rationally includes the upward pressure of
the sales tax hikes on wages and prices.
Productivity is another focus. As per Gordon (2013), this paper introduces the
Dew‐Becker and Gordon (2005) type productivity variable: the productivity trend growth
acceleration variable equal to Hodrick‐Prescott’s filtered version of the productivity
growth trend (using 6400 as the smoothness parameter) compared to that trend eightquarters earlier. For the U.S., we use a series data, NFPB output per hour from U.S. Bureauof labor statistics. Whereas for Japan, we use quarterly GDP and the number of employees
to calculate this; due to data availability, we use the number for the office that holds over
30 workers from Monthly labor survey.
We just use the total unemployment; the reason is stated in Section 1. We use thelabor statistics for Japan, and the current employment statistics for the U.S. Energy andreal wages are extracted from the OECD data base. We also use the OECD data base, bothfor Japan and the U.S., to find out the series of the average hourly wage index, which weenter into the real wage setting function as specified in equation (2).

4. Results
Estimates of the Phillips curve equation are reported in Table 1, which displays
two remarkable contrasts.
Table 1. Estimate of the Phillips Curve Equation (Constant NAIRU Setting), Model 1, 1972:Q1‐2014:Q4
Variable

Lags

Constant
Lagged Dependent Variable
Unemployment Rate
Productivity Trend Change
Energy Effect

1‐4
0
0
0‐3

Adjusted R‐squared
S.E. of regression
Sum squared resid

1972:Q1‐1991:Q4
Japan
U.S.
3.036 (2.1) **2.775 (3.4) ***0.848 (14.2) ***0.798 (19.5) ***‐1.151 (2.4) **‐0.163 (2.6) **3.014 (0.5)‐23.752 (1.8) *0.014 (0.8)
21.740 (4.4) ***1992:Q1‐2014:Q4
Japan
U.S.
0.690 (1.9) *1.958 (2.8) ***0.808 (12.8) ***0.566 (4.7) ***‐0.161 (2.4) **‐0.109 (2.2) **‐0.575 (0.1)‐11.862 (2.0) *0.031 (2.6) **25.091 (4.6) ***

0.97
0.96
63.22

0.97
0.96
63.22

0.97
0.53
19.33

0.97
0.53
19.33

Notes
Estimated by Least Squares, HAC standard errors & covariance (Bartlett kernel, Newey‐West fixed bandwidth = 4.0000). t‐statistics in parentheses. * indicates coefficient or sum of coefficient is statistically significant at the 10 percent level, **indicates significance at the 5 percent level, *** indicates significance at the 1 percent level. The coefficients of Lagged
Dependent Variable (CPI inflation) and Energy Effects (energy inflation) indicate the total/long‐term effects of the four lagsfor each variable. Gordon's (2013) productivity variable, found to fit well at the 10 percent level to the U.S. Phillips curve.

199

One is the productivity effects that arise in the first and the second‐half periods;
the other is the same effects that arise in Japan and the U.S. Crucially, the third column
reports the estimates for Japan in the period between 1971:Q1 and 1991:Q4, with thepositive regression coefficient of the productivity variable (3.014)—which, although
weakly so, is contradictory to the price theory that the Phillips curve represents. Further,in the succeeding period between 1992:Q1 and 2014:Q4, the same sign of the productivity
variable, on the fifth column, is reported as negative (‐0.575)—which is diverted from a
positive to a negative, revealing the mutation of the macroeconomic relationship behindthe curve.

Secondly, see Table 2. A further step was taken to arrive at a real wage‐setting
function by constructing the estimation equation as a Quasi‐Phillips curve with OECD dataon real wages (average hourly wages index), and unemployment rates and productivity
we have used.
Table 2. Estimate of Real Wage Setting Equation (Quasi‐Phillips Curve), Model 2, 1972:Q1‐2014:Q4
Variable
Constant
Unemployment Rate
Productivity Trend Change
Energy Effect
Adjusted R‐squared
S.E. of regression
Sum squared resid

0
0
0‐3

1972:Q1‐1991:Q4
Japan
U.S.
0.047 (4.1) ***0.013 (0.2)‐0.021 (5.9) ***0.000 (0.4)
0.239 (3.3) ***0.017 (0.9)
0.000 (1.7)
0.000 (6.7) **
0.43
0.02
0.02

0.44
0.39
0.01

1992:Q1‐2014:Q4
Japan
U.S.
0.018 (3.0) ***0.013 (4.8) ***‐0.004 (3.6) ***‐0.001 (3.7) ***‐0.105 (1.4)‐0.001 (0.0)
0.000 (1.4)
0.000 (0.1)
0.16
0.01
0.01

0.38
0.00
0.00

Notes
Estimated by Least Squares, HAC standard errors & covariance (Bartlett kernel, Newey‐West fixed bandwidth = 4.0000). t‐statistics in parentheses. * indicates coefficient or sum of coefficient is statistically significant at the 10 percent level, **indicates significance at the 5 percent level, *** indicates significance at the 1 percent level. The results represent theadditional productivity effects on the process of the real wage setting behavior of the firm. The dependent variable is therate of change in the average hourly earnings index (MEI) extracted from the OECD data base.

The key proposition that we seek to test is that, in the upper‐left dimension of
Figure 2—which corresponds to the period between 1972:Q1 and 1991:Q4, and theplotting of data with high‐inflation/low‐unemployment combinations—the rate ofchange of real wage rates does depend on productivity factors, with some negative
relationship with the unemployment rate. The third column reports evidence ofsignificant productivity in the period between 1972:Q1 and 1991:Q4, beginning with thepositive, dramatic growth of the early 70’s, through the brief fading of the economy due
to the oil crises of 1973 and 1979, the yen‐strengthening/dollar appreciating Plaza Accordof 1985, and the eventual positive growth which resulted in the “bubble” economy,
followed by a long stasis in growth. The third column also reports the significance of theunemployment variable, estimated as negative, showing a quasi‐Phillips relationshipbetween real wages and unemployment. In the succeeding period between 1992:Q1 and200

2014:Q4, the sign of the productivity coefficient is reported as negative (‐0.105)—which
is diverted from a positive to a negative, although weakly so (see, the fifth column).
Then, we simply raise the question: why are such insignificant findings as well soimportant and focused? Despite some unsatisfactory statistics (p‐value), our primary
focus is placed on the change in the sign of the regression coefficient of the productivity
variable. And, in this paper, even the findings that are contradictory to the ordinary theory
have not been discarded. The answer is that we take those findings as a reflection of thesurface, and not the mutation, of the Japanese economy. Therefore, a further step in theremainder of this paper will be devoted to the exploration of those estimates, seemingly
contradicting the price theory that the Phillips curve represents.

5. Theoretical Underpinnings for Contradictory Results

What is specific to our theoretical reasoning is that, we take the Dew‐Becker and
Gordon type productivity

as an approximate of the marginal product of labor, MPL(see, the corresponding study by Akerlof et al., 1996, who adopt the ordinary definition of
the same variable as labor productivity, to explain the U.S. evidence—which does not
generate a positive, and therefore, contradictory, productivity coefficient in the context ofconstant returns).
Originally, this new definition of the productivity variable was introduced in
Gordon’s (2013) study to improve the tracking of the effects of the productivity growth;whereas, we use the same variable to arrive at the simplest understanding of Japan’s
Phillips curve. By replacing the MPL with the new productivity variable, we can easilytransform the theoretical model. Further, by including the ‐governed shifts of the real
wages setting function in nonlinear form (⁄), we can formulate the modified Phillips

curve with empirical support.
Generally, a Phillips curve can be derived from the actions of the representative
firm. So, the first equation we will consider is the demand for labor by the profit‐
maximizing competitive firms—which corresponds to the first postulate of the Classicaltheory as:
′

(3)
201

wheredenotes the money wage rate,

denotes the labor unit. The term

denotes the price of the firm’s output, anddenotes the derivative of the production function, or the marginal product of labor. Then, with the use of price expectation, we
transform equation (3) into the price setting equation as:
/
where

(4)

denotes the expected price level,in equation (3), withreplaced ′denotes the real wage rate. We have

, the Dew‐Becker and Gordon type productivity toobtain equation (4).
Then, we proceed to the firm behavior in monopolistically competitive market.
The simplest way is to assume the unit elastic demand for a firm’s output—which isdependent on both the price of the firm’s output and the average price of in the economy.
By introducing the mark‐up term

, which is defined asusing , the mark‐up

rate, we can extend equation (4) as:/
where,(5)reflects the elasticity of demand, , as we generally arrive at
The competitive firm has

mark‐up larger than 1 ordemand, we could treat/.

, and the firm with some market power has the/holds. With the setting of the unit elastic

as given and constant, to highlight the suppliers’ behavior toarrive at the simplest formula of the Phillips curve equation. The above formula is theordinary specification, except that we replace the marginal product of labor with the new
productivity variable—but, this point becomes crucial in the explanation of ourseemingly contradictory results.
So that we derive the modified Philips curve, we will include the real wage setting
function, specified above as⁄/⁄, in equation (5) as:
(6)

202

Then, the modified Phillips curve, or the inflation‐unemployment dynamics that
our findings support, is obtained in two steps. Firstly, replacing
output) with(the price of the firm’s(the average price in the economy) in equation (6), and secondly, taking

the natural log of each side of this transformed equation, and then subtractingfrom both sides as:
∆

∆

(7)
is assumed. Equation (7) suggests that if

where

productivity effects from the variable
to the economic state with a larger

holds, then thewill become positive. And, this case corresponds

where, by our setting, the economic boom may exist.

Also, equation (7) suggests the important role of price expectation. In a matured
economy with severe price competition in commoditized markets, it is reasonable toassume. Consequently, the term

becomes zero, having no pressure on the

resulting price inflation. We have already considered the role of, the new productivity

notion, to have upward pressure on the price inflation. Then, the variable remains is,which can be created through the economic policy, even in the matured economy.

6. Conclusion
Through the use of estimation models based on a reduced, triangular Phillips
curve structure, and the modified Phillips curve theory, this paper identified the mutationof the Japanese economy, the analysis of which tracks the economic booms of the 1970’s
and 1980’s and continues to track the long recessionary period that follows. Our findings
reveal that those inflation‐unemployment dynamics can be explained by the productivity
variable—whether or not, and to what extent, the productivity accelerates the real wages.
We could reasonably expect such productivity‐driven real wage flexibility in the booming
economy. Whereas, it gets more difficult in a matured economy with severe pricecompetition in commoditized markets; consequently, the role of economic policy thatexternally affects the price expectation is becoming larger. Our seemingly contradictory
results are not at all contradictions—the positive productivity coefficient is shown to be
an outcome of the upward‐shift of the real wage setting function, with empirical support.
We conclude that this shift helps cure deflation, with additional drifts that thepolicy creates. But, the shift factor—which, in the Japanese case, has appeared in the sign203

of the estimated coefficient of the productivity variable—must be country specific, that is,different from country to country. In our analysis, the corresponding estimates of the U.S.
Phillips curve become negative, consistent with the price theory that the Phillips curve
represents.
Even with the setting of diminishing technology, our model could generate thecyclical movement of the real wages. But, our device to set a productivity‐related real
wage accelerator, is put externally. Furthermore, if we consider the Okun’s coefficient, its
level generally exceeds one as is accepted as fact; this is consistent with increasing
returns, and would not be supported by the conventional setting with diminishingreturns. Thus, a remaining issue is to elucidate those contradictions between commonly
held economic law and conventional theoretical issues. Some of the source could be
expected to be obtained from the calculation of the Okun coefficient and its resulting
volatility; furthermore, this calculation extends the present analysis in to a more general
setting of an AD‐AS framework.

Acknowledgements
I am very grateful to Professor Koichi Hamada for the valuable comments on the insightsof my original report, and Professor Yutaka Harada for his over‐all guidance in thisresearch and his insightful comments and correspondence. I am also very grateful toProfessor Kenji Miyazaki for his generous help in furthering the range and depth of myanalysis.

References
Akerlof, G. A., Dickens, W. T. and Perry, G. L. (1996). The Macroeconomics of low inflation.
Brookings Papers on Economic Activity, Vol.1, pp.1–59.
Dew‐Becker, I. and Gordon, R. J. (2005). Where did the productivity growth go? Inflation dynamics
and the distribution of income. Brookings Papers on Economic Activity, Vol.2, pp.67–127.
Richardson, P., Boobe, L., Giorno, C., Meacci, M., Rae, D. and Turner, D. (2000). The concept, policy
use and measurement of structural unemployment: estimating a time varying NAIRU
across 21 countries. OECD Economics Department Working Papers, No.250, pp.1–75.
Gordon, R. J. (2013). The Phillips curve is alive and well: inflation and the NAIRU during the slow
recovery. NBER Working Paper, No.19390, pp.1–54.
Hamada, K. and Kurosaka, Y. (1986). Trends in unemployment, wages and productivity: the caseof Japan. Economica, Vol.53, pp.S275‐96.
Harada, Y. and Okamoto, S. (2001). Nihonkeizai Teitai no Genin – Suihei na Phillips Curve no
Kyoufu (in Japanese). Toyo Keizai, Vol.5/19, pp.72‐75.
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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016
Topic : Social Sciences and Sustainabilities

ARMY SUPPORT PROGRAM THROUGH SMART HOUSE IN POVERTY REDUCTION FRAMEWORKBASED ON SDGSTri Endangsih, S.T, M.Arsa and Jeanie Annissa, S.IP, M.Sib
a Budi Luhur University ,Highway Ciledug, North Petukangan, South Jakarta 12260
b Budi Luhur University, Highway Ciledug, North Petukangan, South Jakarta 12260

Abstract
This study discusses the smart house program organized by the army in support of improving
the quality of education related non‐formal education in the Cilodong area, West Java as reducing
poverty by SDGs framework points 4 related to the quality of education. This study used a qualitativedescriptive analytical methodology with the technique of primary and secondary data collection.
Primary data through interview techniques to smart house Cilodong which is an observation area of
research, while secondary data using the study of literature related to the research data of books,
journals, and even the necessary documents. This study uses the concept of sustainable development
goals within the framework of sustainable development and understanding of the smart house. Basedon the results of the study it can be concluded that the Army has been providing support in poverty
reduction related to improving the quality of education within the framework of SDGs through theestablishment of a smart house program (RUMPIN) who teaches non‐formal education for all ages.
Non‐formal education given in RUMPIN program in Cilodong, West Java. Programs provided include
education (1) Library (2) the center of creation, (3) the center of the game (4) audio‐visual centers,and (5) Laboratory of computer. As such, this program is expected to provide additional knowledge
to people of all ages and levels of social stratification and increases the standard of living.
Keywords : Smart House, Sustainable Development, Quality of Education
A. Background
The quality of human resources is a key development needs of the country. These needs mustbe supported by progress in the field of education that many changes and developments inscience and technology, especially in the era of globalization. Therefore, countries in the world
focus on education as one area which is becoming an important target for poverty reduction.
aLecturer of Architecture Technique Faculty, Budi Luhur University, Jakarta, Indonesia, Telephone : +6221 5853753, Fax : +6221
7371164, endangsihtri@yahoo.com
b Lecture of International Relations, Social and Politics Faculty, Budi Luhur University, Jakarta, Indonesia, Telephone : +6221 5853753,
Fax : +6221 7371164, Jeanieannissa@gmail.com

205Based on the UN agreement made with 189 countries focusing repairs poverty reduction throughthe Millennium Development Goals (MDGs) conducted from 2000 to 2015 that focused on eighttarget development by putting the improvement of education in the third point, which thencontinued in the program Sustainable Development Goals (SDGs), which is a sustainable
development program conducted from 2015 through 2030. in the SDGs targets, improvement ofeducation placed on the fourth point of the 17 goals were developed.
Based on these explanations, then Indonesia as one of the countries that joined the agreement
need to implement a series of programs to achieve the development goals. One is education.
Getting a quality education is the foundation for improving community life and sustainable
development. Great progress has been made towards improving access to education at all levels
and increasing participation rates in school without gender classified. Basic literacy skills have
improved tremendously, but the effort is more daring needed to make a bigger step in achieving
the goal of universal education. Development targets in the field of education can be classified
into formal education and non‐formal. In formal education emphasizes the eradication ofilliteracy and the prowess counting. While in Non‐formal education is substantially aimed at
improving the ability of the community, especially youth groups to produce good quality oftechnical and vocational skills to achieve decent work that foster economic twisted so as toachieve the target of sustainable development.
Hence of that, the formation of smart house Solutions (RUMPIN) into a government supportin creating quality education. RUMPIN is the big idea of the First Lady Mrs. Ani Yudhoyono ofIndonesia which was formed as part of efforts to achieve the life of the nation. In accordance with
the Decree of the Minister of Education and Culture No. 81 in 2013, smart house included in the
category of Non‐Formal Education Unit kind. In line with the government's efforts in the nation
as well as to reduce poverty, smart houses presence is meant to embody the knowledge society
to the formation of a prosperous and civilized society. Smart house was set to reach theunreached by the touch of progress, especially in the field of education. Through the smart house
expected the people need to learn in order to create community learning (learning community)that are also expected to have an impact on the welfare of society and the nation.
Smart houses as community learning centers are designed with the needs of local
communities. RUMPIN that have been built throughout Indonesia until 2015 amounted to 337
with the details of the financing of ministry of education (Kemendikbud) in 79 locations and fromother sources 258 locations. One of them is the Smart House Chakras Scholar ‐ one that is in thearea of Kostrad housing headquarters Cilodong Depok is one concrete manifestation of the ideaof the first lady Ani Yudhoyono, who intercepted concern by Commander of KOSTRAD(Pangksotrad) and mother Nur Alam George Toisutta will need to increase the quality ofeducation for children children who were in the area and surrounding Cilodong that creates ayounger generation of smart and qualified as the development of science and technology is so
globalized. With invites students around Cilodong or Depok in general, a smart house be one
alternative for the growing interest in learning, practicing and playing in order to afford sharing
in the learning process in their respective schools. This educational model and reflects theoneness of the Armed Forces with the people, in where the presence of the nation's children in
military discipline environment can absorb a range of values that are beneficial to the nation's
future.
Therefore, both the program and the activities carried out should be based on community
needs and potential of locally owned. Thus, we choose a case study in this research RUMPIN
Chakra Wise 1 which was first built in Indonesia, based on this, if the needs of society and utilize
local potential, the expected presence of smart house can be used as a cog for the advancementof society and development of the economy of an area. Given the smart house is one form of public
education, the management of the smart house is conducted in accordance with the needs of thepeople, but still consider the rules or instructions that have been made by the government as a206form of accountability of the smart house. Smart houses as a means of education and community
empowerment can accommodate a variety of educational programs ranging from early childhood
services, adolescents, adults and seniors with a fun learning approach (joyfull learning), means(meaningfull learning) and integrated (integrated learning). With the advent of smart house is
expected to awaken people who are intelligent, innovative, creative and independent. As thenation's assets must be maintained continuity smart house necessitating their continuous
development by the government.
B. Research Objectives
Program Sustainable Development Goals (SDGs) covers 17 targets related to sustainable
development which contains the eradication of poverty; the eradication of hunger; good health;quality education; gender equality; water and sanitation; clean and affordable energy; decent
work and economic growth; industry, innovation and infrastructure; reduction of the gap;
sustainable cities and communities; responsible consumption; climate change action;
underwater life; terrestrial life; peace and justice; a partnership in order to achieve the goal.
Based seventeen development objectives, this study focused on four targets on the provision ofquality education. Indonesia as one of the countries that are also committed to the sustainable
development goals to reduce poverty because of the high illiteracy rate and then through theperformance of the Army (Army of Indonesian National) made program smart house which aims toprovide educational services to the public that the problems of life do not receive an education ornever attend primary school but drop out (DO) and do not have the basic skills of reading, writing,arithmetic. Education development issues was lack of public understanding of the importance of
education for the further development of society. Most people do not understand that educationis good and true, especially in remote areas or rural areas, resulting in the diversity of educational
issues. Smart houses as community learning centers are designed with the needs of local
communities. Therefore, both the program and the activities carried out should be based oncommunity needs and potential of locally owned.
Look to the attention of people's needs and take advantage of the local potential is expected
existence smart house can be used as a cog for the advancement of society and economic
development of a region. Given the smart house is one form of public education, the managementof smart house implemented in accordance with the needs of society but still consider the rules
or instructions that have been made by the government as a form of accountability of the smart
house.
Smart houses as a means of education and community empowerment can accommodate avariety of educational programs ranging from early childhood services, adolescents, adults andseniors with a fun learning approach (joyfull learning), means (meaningfull learning) andintegrated (integrated learning). With the advent of Smart House is expected to awaken people
who are intelligent, innovative, creative and independent. As the nation's assets must be
maintained continuity smart house necessitating their continuous development by thegovernment. The literacy program requires a special service in meeting their needs as a result ofchanges to increase the standard of living, science and technology, including the availability ofhuman resources in order to achieve the life of the nation, which among other things ischaracterized by the increasing quality of life.
Targeting the public education more widely not only related to basic education for the poor,
illiterate, drop out from formal education, and other marginalized groups, but continues to growin line with developments in science and technology and the development of work field andchanges in society, particularly in relation to the culture of society itself. Based on the extent of
the purpose, activities for the community education program should be continue to expanded
according to the needs and conditions of the development of society. The emergence of the concept207

(learning community) want to learn public and lifelong learning (lifelong learning) as the main concept
encourages individuals, institutions, associations, educational community care, or other business
entities to participate in developing a new way of thinking in responding to the challenges of the newneeds of the community about education and learning.
C. Research Question
Based on the explanations that have been outlined, the research questions focused as follows:"how the support of the Army towards improving the quality of education through Smart House
can be part solutive as the country's efforts in poverty reduction in the field of education basedon SDGs framework 2015‐2030?"
D. Methode of ResearchThis study used a qualitative approach. Qualitative procedures have a more diverse approachin academic research rather than quantitative methods. Qualitative studies also have
philosophical assumptions, strategies, research and collection methods of analysis, andinterpretation of diverse data. Although the process is the same, the procedures continue to relyon qualitative data in the form of text and image, have unique steps in the data analysis, andstrategies‐strategies derived from different studies.
Therefore, in a qualitative study authors are required to be able to process data into an in‐
depth description and analysis of the data. In the process of data collection will be greatly
influenced by the interpretation of the data and documents related to the topics covered. While
the analysis process will be greatly influenced by the authors' interpretations of the data.
This type of research is descriptive analysis means is data obtained through analysis using
the concepts that have been described. Data acquisition techniques based on primary andsecondary processes, so in this study used a descriptive and analytical processes. Sources ofprimary data (primary data) is data obtained directly by research through in‐depth interviews,
direct observation involving researchers directly.
In this study, the selection of informants using purposive sampling technique. Purposive
sampling based on specific goals with the requirements that must be met (Arikunto : 2010)c.
While secondary data obtained from the activities will be described in the narrative literature in
the earlier parts of the report. This description is done to provide the knowledge that support thearmy in sustainable development programs in line with the government's agenda to alleviate
poverty based framework SDGs 4 points related to improving the quality of education throughthe construction of smart house in the area Cilodong providing education non‐academic for the
local population without any age limit and social levels aimed at improving professional skills
and foster economic stretching to improve social welfare.
E. Theoretical Framework
Sustainable development is a theoretical framework that evolved in 1972 and 1992 througha series of international conferences under the United Nations that was held in Stockholm that
addresses sustainability on a global scale. As a concept, sustainable development as developmentthat implies "paying attention" and "consider" environmental dimension. In writing
Abdurrahman explained also that Sundari Rangkuti confirms that the Stockholm conference todiscuss environmental problems and ways to resolve in order to take into account the carrying
capacity of implementing environmental (eco‐Development). In addition the report of theBrundtland Commission also produced a concept of sustainable development is defined as
development that meets the development in the present without eliminating the ability of futurecArikunto Suharsimi and Suhardjono, Supardi. 2010. Classroom action research.Jakarta: PT Bumi Aksara.

208

generations to meet their needs in the present, so that they can be assured of humansustainability in the future. Various development issues related to sustainable development inareas such as global warming, which resulted greedy economy that exploits the enviroment on alarge scale with the purpose of utilization of resources to produce economic benefits alone canlead to social conflict.d Therefore, to provide the application to the understanding of sustainable
development must involve the development in the field of quality education.
Education Field is one of the main priorities in the national development agenda.
Development of education is very important because a significant role in reaching progress inmany areas of life such as; social, economic, political, cultural and even technology. Therefore, thegovernment is obligated to fulfill the rights of every citizen in obtaining educational services inorder to improve the quality of life of the Indonesian people as mandated by the 1945
Constitution, which obliges the government is responsible for educating the nation and create
prosperity.
Therefore, through to Law number 20 of 2003 on National Education System, Article 5,paragraph (1) states that "Every citizen shall have the same right to obtain quality education",and article 11, paragraph (1) states "The Government and regional governments are required toprovide services and facilities, and ensure the quality education for every citizen without
discrimination". Under the law, then one of the government's responsibility to eradicate
ignorance and poverty is to build smart home (RUMPIN) as a place for people to get non‐formal
education, particularly related to membership, so as to improve the standard and well‐being
living with expertise or skills to improve living income.
In addition, this paper also uses the theory of poverty by Sumodiningrat (1998) who is
describes poverty has several causes, such as poverty natural, Cultural poverty and structural
poverty.e Poverty showing that the process of poverty arise from the attitudes of individuals andsociety itself that tends not productive or consumptive and social structure of policymakers isexactly what causes poverty. Poverty in the community caused by various factors complex andclosely interrelated with one another. The condition is often described as a pattern of vicious
circle that is very difficult to solve. The pattern continues over time and even tends to result in a
progressively worse. Low levels of quality of life due to lack of basic facilities, poor quality ofhuman resources, work ethic weak and difficult to grow, limited ability to find adequate
employment, low ability to save, the difficulty of access to sources of capital, are some of the
problems faced by the poor and left behind. Therefore, the poor need to be empowered to takeand the conditions of poverty and underdevelopment, This can be done through smart home
program with program craft centere that has been carried out by social workers or facilitators.
Therefore, in tackling poverty requires a change in the habitual patterns of society that has
not been conducive to a more insightful able to develop skills and his ability in accordance withthe guidance and direction, as well as changing the guidance of structural laws that apply in thecase of formulations and implementation is more real and directed to the purpose. One way is tocreate equitable access to education services for all the people and equality in terms of acquiring
it in developing Human Resources (HR) and the Improvement of Human Development Index(HDI).
dWahyu Surakusumah in “Linkage studies of Education for Sustainable Development (Education for Sustainable Development) Education
Technology Association (Basic Technology Education) "which can be downloaded in the website http://file.upi.edu/ Directory / FPMIPA/ Education_ Programs _biologiI / 197212031999031WAHYU_SURAKUSUMAH / Assessment of Education for Sustaineble
Development.pdf linkages. accessed on June 15, 2016.

e

Maimun Sholeh, the roots of poverty and dependency in developing countries in structuralist perspective dependensia described in thesite file:///C:/Users/usee/ Downloads/Akar%20 Poverty %20%20dan%20Depedency%20di%20Coutries% 20 flourish %20in%20
Perspective %20 structuralist %20 dependencies % 20(1).pdf. accessed on June 14, 2016 o'clock 12.34

209

F. Discussion
Nowadays, the world has faced various challenges associated with the development ofvarious fields of non‐conventional issues such as the environment, hunger, gender, sanitation,
climate change, including education. Through SDGs, the world community is incorporated by 189
countries including Indonesia focused in an attempt to resolve the issue. United Nation explainedthat the millennium goal targets yet to be finalized at the end stage of the Millennium
Development Goals (MDGs), but will be refined through second stage, known as the Sustainable
Development Goals (SDGs). Poverty alleviation program is also strengthened more than 8 targets
to 17 targets covering various areas one of which is education.
In education, the target of improving the quality of education has not been achieved
throughout the world. The average of the total estimated 59 million inhabitants there is 1 (one)of 5 (five) children in the world who still do not get a school education, so that the gap to the fieldof education is still very big for the international community. Thus explicitly challenge the worldcommunity to poverty reduction is still very large including Indonesia.f
Indonesia is a big country with a total population of almost 220 million inhabitants andilliteracy is very large. Based on BPS data in 2015 showed that as many as 17.77% of the total
population still suffers from illiteracy. This percentage also decreased in the period of 5 (five)
years which amounted to 28.02% in 2011.g Under these conditions, it is important for thegovernment to pursue educational backwardness alleviation by creating a Smart House program(RUMPIN) as a means to educate the community through non‐formal education is no age limit.
Major Infantri Mr. Markuat as an Executor of RUMPIN said that, the first lady, Ani Yudhoyono
played a role in the welfare of the nation together Solidarity of United Indonesia Cabinet Wives(SIKIB) initiated the “Indonesia Pintar” program. The main objective of “Indonesia Pintar”
program is to realize the knowledge society, a prosperous society (welfare society) and a civilizedsociety (civilized society). Smart house is one means of learning which can be a force for thenation which has an important role as a bridge towards mastery of science as well as a recreation
area pleasant and refreshing for children ages 2 ‐ 15th. Smart house made an important
contribution to disclose information about science and aims to be at the heart of the life of therural community activities, because with the smart house can be obtained data or informationthat can be used as the basis for the development of science and can add to the family income.
Smart house first in Indonesia in the wake of the 1st Infantry Division of Kostrad inaugurated
by the First Lady on May 1, 2009 under the name Smart House Chakra Wise 1. The purpose ofchoosing the location of smart house in the Kostrad Cilodong Dormitory Complex, to improve
citizen communication Infanteri‐ Division 1 Kostrad with Cilodong society, and strengthen thesense of togetherness among the soldiers of the army with the people so that oneness TNI(Tentara Nasional Indonesia) ‐people can be created. Smart house occupies a land area of 8,000
square meters with a building area of 358 square meters, consisting of 6 rooms with 8 centers,
which include: the central computer, centers read, centers of audio‐visual center of the play, thecenter of the craft, the central laboratories, centers outbound, and a center for food security. In
addition, the smart home is intended not only to residents of the complex, but also for the wider
community around Cilodong. Existing activities in smart home are as follows:fg

https://sustainabledevelopment.un.org/sdg4 accessed on, September 22, 2016
https://www.bps.go.id/linkTableDinamis/view/id/1056 accessed on October 20, 2016. This data is taken from the average of theestimated age of 15 to 44 years.

210

b

a

Figure 1. a. Operations manager and manager of the smart when Apple to initiate daily activities
b. Smart House building Chakra Cendekia I

a

b

c

Figure 2. a. Practice Centra, b. Library c. Computer laboratory

a

b

c

Figure 3. a. Centra play, b. Centra Practice, c. Centra Outbond
G. Conclusion
Based on the description in the previous section, it can be concluded that the Army provide
support in order to improve the quality of education by building smart house, manage and provide
the infrastructure to carry out activities through some varieties of activities contained in it, such as
the centre of computer, the center of Audio visual, center of Practice, center of outbound, center ofagricultural, and center of books. In addition, the Smart House Chakras Scholar‐1 uses the principle oflearning, playing and practicing in the learning process, which in turn can help the government in theformation of mental, physical and leadership of the nation. Through the Smart House, people in theregion have gained Cilodong forms of non‐formal education quality. Through computer centers,
the public get information on the Internet, helping to increase the level of internet literacy. Sentra
through livestock and agriculture, people gain knowledge about how to grow crops and raise
livestock productively so as to improve the economic welfare of the community; while the craft211

community centers are trained to be able to hone their skills and also increase the productivityof the community to achieve a better standard of living better, for outbound centers functioned
to train the ability to think and motor skills; whereas for the audio‐visual center, people aretrained to improve the ability of arts and culture. Thus, it can be seen that the Army helped thegovernment that plays a role in improving the quality of non‐formal education based on the goalof sustainable development through the framework SDGs 4 points.
H. References
Arikunto Suharsimi and Suhardjono, Supardi. 2010. Classroom action research. Jakarta: PT Bumi
Aksara.
Faculty of Education, University of Yogyakarta, 2012, Smart House, Smart Park and Smart
Communities. Directorate of Public Education, Directorate General PNFI The Ministry of
National Education and the Department of School Education
Maimun Sholeh, the roots of poverty and dependency in developing countries in structuralist
perspective dependensia described in the site file:///C:/Users/usee/ Downloads/Akar%20
Poverty %20%20 and%20Depedency%20di%20Coutries% 20 flourish %20in%20
Perspective %20 structuralist %20 dependencies % 20(1).pdf. accessed on June 14, 2016
o'clock 12.34
Wahyu Surakusumah in “Linkage studies of Education for Sustainable Development (Educationfor Sustainable Development) Education Technology Association (Basic Technology
Education) "which can be downloaded in the website http://file.upi.edu/ Directory /FPMIPA / Education_ Programs _biologiI / 197212031999031WAHYU_SURAKUSUMAH /Assessment of Education for Sustaineble Development.pdf linkages. accessed on June 15,2016.
https://sustainabledevelopment.un.org/sdg4. accessed on September 22, 2016.
https://www.bps.go.id/linkTableDinamis/view/id/1056 accessed on October 20, 2016.
Interview with executor of Smart House Cakra Cendekia I, Major Infantri Markuat on June 16, 2016212

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Topic : Sosio‐Humaniora

Moms’ War and the Misconception about“Ryosai Kenbo” and “Kyoiku‐Mama”:
Case of Educated Middle‐Class Women in Indonesia
Nunuk Endah Srimulyani1
Chiba University, 1‐33, Yayoicho, Inage Ward, Chiba‐shi, Chiba, 263‐8522 Japan

Abstract
Due to the rapid growth of internet users in Indonesia, mothers, who are sociallyconnected through social media, have been involved in an ongoing debate topic: the ideal
mother: stay‐at‐home moms versus working moms. Participants use religious dogma, atheory of parenting from psychology, philosophy of education and even sociology in thedebate. One of the more popular models proposed is the positive image of “ryosai kenbo”
and “kyoiku‐mama”, two Japanese styles of motherhood and child rearing, which arevirally spread by social media. Through in‐depth interviews with married women (aged20s ‐40s) who live in urban areas and are university graduates, this research was aimed
to find out the various perceptions of the ideal concept of motherhood and child rearing
standards among educated middle‐class women, which were represented in the so‐called
moms’ war conducted over social media. Based on subsequent analysis, the researcher
found that (1) the moms’ war on the social media showed the transition of motherhoodstyle and changes in child rearing standards in Indonesia, (2) the misconception of ryosaikenbo and kyoiku‐mama in Indonesia was caused by inadequate information about thehistory of Japanese family sociology, especially the social welfare system and sexual
division‐of‐labor in the Japanese workplace, and (3) the Indonesian urban family model
had changed from the extended to nuclear family, resulting in captivation by the ideology
of child‐centeredness that frequently happens in the middle‐class family.

1 Corresponding author: Tel. +81‐(0)43‐251‐1111

E‐mail address: nunuk.srimulyani@gmail.com

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Keywordsmom`s war; ryosai kenbo; kyoiku‐mama; middle‐class; women

1. Introduction
In the 2010s, social networking users in Indonesia were shaken by a meme
satirizing a working mom using a babysitting service to take care her child while she wasworking outside. The meme was of a picture of a child asking his/her mother whether she
would trust other people to take care of her jewelry. The mother of course answered “NO”‐‐followed by another question by the child: “Then why do you trust a nanny to take careof me?” In short, the meme was trying to compare how a mother treats her most valuable
things differently, in this case, a child and jewelry.
Another meme gave an example of two men discussing their wives’ activities. The
first man had a wife that quit working to be a stay‐at‐home mom while the other’s wife
continued her career. The question that was posed was: “Isn’t it a waste to have a highly
educated wife who just stays at home?” The second man replied with a question of his
own: “Isn’t it a waste to let your child be raised by a poorly educated maid?” The meme
tried to suggest the importance of early education for a child.
There are many debate topics that are brought up in the world of parenting, forinstance: which is better‐‐using disposable diapers or cloth diapers? Exclusively breast
milk or formula? The age when a child should start to read and to write, etc. Among these
topics, the concept of the ideal mother has become the most popular in the debate. That
is to say, the comparison between working moms and stay‐at‐home moms.
It is a fairly recent development that the parenting world debate uses memes andother information that are virally spread in social media. And these viral concepts are soscientifically framed that people are easily convinced. Proponents use various social
theories (especially psychological and child education theories) as well as religious
dogma. Other participants, including motivational experts and religious leaders added
various other interpretations of this topic, especially one involving sexual division‐of‐labor from social and religious points of view. Interestingly, they also brought forward
various social phenomena and motherhood philosophies from developed countries topromote a positive image of stay‐at‐home moms (ryosai kenbo and kyoiku‐mama,Japanese styles of motherhood and child rearing).
When and why did working moms versus stay‐at‐home moms start to be debated?
In fact, historically Indonesian and Southeast Asian peoples belong to “dual earner”
societies (Reid, 1993). Women living in rural areas probably will not seriously debate this
topic since most of them have always been asked to participate in managing the farmland.
Basically, the debate about motherhood philosophies and child rearing standards that hasgone viral in social media is found principally in urban populations with adequate digital
literacy. This phenomenon needs to be further explored in order to capture the socialtransition that has occurred in society.

1.1.

Objectives of the Study

This paper sought to determine the various perceptions of the ideal concept of
motherhood and child rearing standards among educated middle‐class women, which214were represented in the so‐called moms’ war conducted over social media. Threequestions were asked.
1. What is the ideal conception of motherhood described on social media and how dourban women respond to it?
2. How are ryosai kenbo and kyoiku‐mama interpreted in the Indonesian moms war?
3. How can this phenomenon be captured and explained from a sociological point of
view?
1.2.

MethodThis was a qualitative study using in‐depth interviews as a method of collecting
data. The participants involved in this study were 35 married women (aged 20‐40 yearsold). All participants had at least a diploma degree and lived in urban areas. Theinterviews were done from August 2014 until May 2015. Afterwards the informationcollected was confirmed through email or social media interaction.
The locations chosen were four big cities that were considered representative ofthe diversity of urban areas in Indonesia: Jakarta (including JaBoDeTaBek areas),
Bandung, Yogyakarta, and Surabaya (including Sidoarjo and Gresik). In the preliminary
study, blog writers focusing on child rearing and day care from the four cities were more
active than those in other cities in Indonesia.
2. Looking for the Ideal Mother Concept through the Indonesian Moms’ War
As has already been mentioned, the most trending debate topic in social media has
been working moms versus stay‐at‐home moms. That topic was discussed even more
after a religious leader (namely Felix Siauw) and a motivator (Mario Teguh), a net
celebrity, updated Facebook their status and tweeted about the topic.
In a random search of the moms’ war topic on Twitter on March 10 2011, a woman
tweeted “A stay‐at‐home mom is sometimes jealous of working mothers, but a working
mother, in her heart, wants to be a stay‐at‐home mom who can control her child’sdevelopment.” Or another tweet in 2012: “Working moms grumble in their hearts!
Missing their children and feeling like they are not taking care of their children has
become their daily diet.”
The debate about working moms vs stay‐at‐home moms does not stop on Twitterand Facebook. On ‘Kaskus’, the largest internet community in Indonesia, a poll was
conducted of men in February 2013; its principal query was “If you are married, do you
prefer your wife to be a stay‐at‐home‐mom?” As much as 74% of male respondents
answered ‘yes’ to this question.
Various reasons were voiced, including the importance of continuing R.A. Kartini’s
advocacy of women’s emancipation by supporting working moms, while those who
prefered stay‐at‐home moms argued that getting wives to say at home was part of a man’s
pride and that the old paradigm of stay‐at‐home moms badly needed to be reenforced.
Some even claimed that Japan’s economic sector had been devastated as the result ofJapanese women becoming infatuated by western feminism and starting to work outside
like men. This example indicates that Indonesian people do not understand the 1997 and2008 Financial Crisis very well and blame women for its impact on Asia.

215

2.1 “Part Time Mom” vs “Full Time Mom”
The Moms’ War then escalated when Felix Siauw issued a tweet on May 28 2013
“if a woman spends only three hours for her child and eight hours to work, which one isbetter for them, to be called as a mother or a worker?” The next two days in May, 2013,
Felix Siauw posted 44 points about the importance of being a stay‐at‐home mom on
Facebook; the points were his father’s advice before he converted to Islam. The moral
lesson of this post was that being a stay‐at‐home mom was a noble job for a woman. It is
not only a teaching in Islam, but is also an ideal in Chinese‐Christian families. From thesociological point of view, this is actually surprising since Felix appears to be questioning
the “dual earner” culture which is widely reported among Indonesian and Southeast Asianpeople. In the last point Felix added a sensitive sentence: “However it is a matter of choice,whether to be a “part‐time mother” or a “stay‐at‐home mother”. “You decide!” The status
was liked by 27,000 accounts, commented 3,000 times and shared 24,000 times.
Felix’ over‐simplification of the issue‐‐how perfect being a stay‐at‐home mom
was and how being a working mom meant being a part‐time mom, a victim of
emancipation‐‐ made the working moms’ faction quite irritated. From all the comments
about full‐time moms vs part‐time moms on Felix’s status, we can distinguish three
categories: (1) Pro: Those who are proud to be stay‐at‐home moms since it reduces many
worries that mothers usually have, (2) Con: Those who work do not neglect their children
and believe that their religion does not forbid women to work, (3) Indecisive: working
moms confused about resigning or continuing to work.
2.2 “The Rib Ain’t The Backbone”
On March 15, 2014, almost a year after the Felix Siauw fuss, a famous Indonesian
motivation expert conducted a poll on his official Facebook account, Mario Teguh Super
Club, which asked: “Should a woman be the family and household manager, and should aman be the economic ability builder?” 5,054 out of 6,388 (79.12%) voters answered in
the affirmative. Then, the poll result was broadcast on MTGW, a motivational TV programon the Kartini Day edition.
On April 20, 2014 (a day before the Kartini celebration), Mario Teguh posted a
Facebook status: “There is no gender equality. Woman is more esteemed than man. She is
the rib not the backbone”. By mentioning that, Mario Teguh is emphasizing the conceptbehind Eve’s creation from the Islamic and Christian views which maintain that Eve wascreated by God from Adam’s rib. Therefore, a woman is meant to be loved; do not ask her
to earn money and be the family backbone (breadwinner). Then, that kind of mythicalpoint‐of‐view and quote became more and more popular. Based on an interview with one
respondent in Yogyakarta, there were many stickers quoting that tweet found in her city
(Ira, 40 y/o, former teacher in Yogyakarta).
2.3 Moms’ War Trigger
The rise of the moms war in 2013‐2015 was also triggered by numerous mass
media reports such as child abuse committed by maids which were also broadcast on theofficial Facebook page of the Indonesian Police Force, a major alleged crime of sodomy
and pedophilia in a prestigious international kindergarten in Jakarta in 2014, and a childabuse case committed by the caregiver in Pertamina day care in September 2015. Thesemajor cases which attracted public attention raised the awareness of many people; they216

believed that there was something wrong with day care and child care during this time,either caused by the nanny or child care institutions.
Numerous cases of child abuse become great ammunition for the moms’ war onsocial media. Even the "maid’s day off campaign" (April, 2015) which was intended to give
holiday rights to maids in Singapore was twisted by Indonesian netizens. It was used toattack working moms and be the justification for stay‐at‐home moms. Based on
observation of social media since 2011, the moms’ war has been a never‐ending topic ofdebate. For example, on April 21, 2016, a private radio station in Jakarta named JakFm
posted the tweet: “Which one are you, a stay‐at‐home mom or a working mom?”. Onceagain, Kartini day, which commemorates women’s emancipation, always seems to be theright moment to question both woman’s nature and the ideal concept of motherhood.

3. Ryosai Kenbo and Kyoiku‐Mama as the Wanted Ideal Motherhood
Religious dogma is not the only reference for the moms’ war, there are also ryosaikenbo and kyoiku‐mama, motherhood philosophies and parenting styles from Japan,
which were virally shared through social media, blogs, and the internet community.
Ryosai kenbo literally means a good wife and wise mother, while kyoiku‐mama is an
education mother. At face value, there is nothing wrong with this term and it is no wonder
Indonesian people claim it as the secret of Japanese society’s success in educating theirnext generation. However, the term, which is quoted carelessly, raises a huge
misconception of the reality of Japanese society.
Based on available blogs and articles discussing the concept ryosai kenbo andkyoiku‐mama, almost all of them refer to Daoed Joesoef’s (former Minister of Education
and Culture 1978‐1983) article written in an opinion column published by Kompas on
July 7, 2007, which was also compiled by Waruwu (2010). Daoed Joesoef expressed his
admiration for the ethical and disciplined behaviors of Japanese elementary students
when they lined and organized their shoes neatly in the shoe rack at school. During his
visit to Japan, he asked the teacher how she disciplined the children, and the teacher said,"I do nothing, their mothers teach them discipline."
3.1 Social Assurance behind Housewifization of Japanese Woman
Daoed Joesoef’s deep impression was supported by a paper from Tony
Dickensheets (1998) entitled “The Role of Education Mother”. He quoted Dickensheets’
paper claiming that the miracle of Japan’s economic growth since 1960 was not the resultof government policy demanding 16 hours of work each day. In his opinion, Daoed
Joesoef wrote:“The key lies in the role of kyoiku‐mama or education mama who is responsible for thechildren’s education while the husband is working. Japanese education and the cultural
system mainly rely on the woman’s role in child rearing. Thus the woman has strong
ryosai kentro2 (a good wife and a wise mother) principle which determines the woman’srole as the household manager and children’s caregiver”.
2 The misspelling of “ryosai kenbo” ( =“ryosai kentro”) by Daoed Joesoef is followed by other writers in blogs,

217

It is true that kyoiku‐mama and ryosai kenbo philosophies indirectly influenced
Japanese economic growth after World War II, but the Dickensheets’ view of the value of
kyoiku‐mama in Japan which was carelessly quoted by Daoed Joesoef is a fundamental
mistake. Embroiled in political conflict, the ryosai kenbo philosophy actually contributes
to expanding women’s responsibility for household activities, leading to thedomestication of women. It allows her husband able to work effectively and her children
to concentrate on their lessons at school or outside courses which could last for 16 hours
a day.
Unfortunately, Dickensheets does not recognize the sexual division‐of‐labor
inherent during the era of Japan’s economic glory which adhered to the concept oflifetime employment. Lifetime employment ensures a worker job promotions and salaryraises, and the worker will not be fired from his job as long as he does not commit serious
mistakes. This lifetime employment makes the Japanese worker willing to give over his
entire day to working because the company also provides many kinds of family
allowances. However, conditions are now quite different following the economic upsetsof the last few decades.
In fact, not all university graduate women agreed to be stay‐at‐home moms as
Dickensheets and Daoed Joesoef said in their papers. At that time, of course, Japanesewomen who really wanted to be housewives and did not want to work were not a minority.
But many of them also quit from their job to be housewives due to the certain
circumstances in the workplace. Until the early 90s, a company never gave a woman an
important position because the assumption was a woman would get married, havechildren and stop working. No matter how skilled she was, she only ended as an officelady whose job was making a cup of tea.
A work environment which is dominated by men makes it hard for the women to
get higher positions in an institution. This condition is called garasu no tenjo (glass ceilingphenomenon), an unseen obstacle which forces a woman to give up on her career. Ryosaikenbo philosophy which claims the woman is the one responsible for education andhousehold activities causes a fundamental problem balancing career and family life. A
woman feels guilty when she cannot meet society’s standards for managing family
matters as well as giving full attention to and proper education for her children. Nowadays,ryosai kenbo is said to be a shigo (dead word). Due to the political views against women
involved in ryosai kenbo education policy in the Meiji‐Taisho era, this philosophy is nolonger the pride of Japan (see Koyama, 2012).
3.2 Kyoiku‐mama and Social Problems
Dickensheets and Daoed Joesof’s second mistake is using kyoiku‐mamaterminology without investigating its definition and background before it became popularin Japanese society. A title which uses a special terminology from raw translation without
knowing its proper use in Japanese society is a very serious mistake. Literally, kyoiku‐
mama means education mother and there is no negative connotation at all to it. The
expression is value‐free in Indonesia but not in its culture of origin.

internet community, and social media.

218

As for ryosai kenbo, some Japanese claim it as a positive value althoughsociologists and historians often blame it as the cause of the “care regime” in Japan whichburdens the woman with responsibilities in all caring activities (rearing and educating
the child and caring for the elderly). Consequently, kyoiku‐mama can be a pejorative
statement used for Japanese mothers who do everything for their children’s success at
school (Honda, 2013: 462).
According to Honda Yuki (2013), kyoiku‐mama is not a scientific term (gakujutsu
yougo); it is just a popular expression used in Japanese society and the use of which
spread during the Japan economic glory‐years after WW II. Now, it is rarely used in daily
communication or in mass media. A kyoiku‐mama is different from other moms who pay
attention to her children's education. There is negative element contained in the term
kyoiku‐mama. The term was firstly used in the 1960’s by "Sunday Mainichi" magazine.
Then in the 60’s‐70’s, it was used many times by other newspapers and mass media which
made it a popular expression. One of Japan's largest newspapers, Asahi Shinbun, decided
to stop using the term kyoiku‐mama in 1979, followed by Yomiuri Shinbun in 1980 (ibid).
In contrast to Dickensheets, Daoed Joesoef, and the opinion of many Indonesians,
kyoiku‐mama has had a bad impact on Japanese society. During those years (1960’s‐80’s),
many children committed suicide and left a suicide note saying something like “okasanbaka” which means f**** you mom. There were also some mothers who stole examinationquestions from the teacher’s room. In addition, many children became spoilt bratsbecause their mothers gave them all they wanted; they had nothing they had to do otherthan studying.
Japanese sociologists concluded that the kyoiku‐mama phenomenon was caused
by “Shinchuusankaikyuu”, the new middle class in the pre‐WW II era who were willing tosacrifice anything for their children’s education. Before WW II the kyoiku‐mamaphenomenon only existed in a certain social class. However, after WW II many people
started to behave like that. The worse thing was that all the attention to education was
focused on academic standing (high scores, enrolling in prestigious schools, etc.) not on
any ethical qualities (manners and attitude, etc.).
Compared to Honda Yuki’s research on kyoiku‐mama (2000 & 2013) and Koyama
Shizuko’s research on ryosai kenbo (1999 & 2013), Dickensheets’s paper contributes tothe misconception of ryosai kenbo and kyoiku‐mama philosophy. This misconception was
also expressed by my respondent, Ira (Yogyakarta, 40 y/o). She really admires ryosaikenbo and kyoiku‐mama after reading her friend’s status on Facebook who is in Japan forher doctoral study. Ira envies Japanese women who are educated but do not follow her
ambition to pursue her career. She thinks Japanese woman dedicate themselves to takecare of the family and especially the children's education exactly as written by Daoed
Joesoef and Dickensheets. Ira and most Indonesian people who have read about thegreatness of ryosai kenbo and kyoiku‐mama do not know the social background behindit.
Under this illusion, it is clear that many Indonesian people admire and envy
Japanese women who are willing to become stay‐at‐home‐moms because of their
persistency in the mentality and work ethic rather than focusing on money or luxury
items. It is, in fact, dissimilar to Japanese society in the Showa era with regard to thehousewives phenomenon in United States in the 70s which was more focused on material
prosperity, especially in the Western‐style layout of the home and modern kitchen
appliances3.
3

In the 1950s black and white television, washing machine, and refrigerator were known as the “sanshu nojingi” or “three sacred treasures” which also means the three essential status symbols in Showa era, and219

4. Ideology of Child‐Centeredness of the Urban Family in Indonesia
It is an interesting phenomenon that nowadays most working moms in Japan envy
the working moms in America. American working moms are able to take a business trip
without worry since they hire babysitters to take care of their children. So, like theworking moms in Taiwan and Singapore, they can enjoy working and still have lots of time
to be with their children and family because, when they come home, their houses are neatand food is already served on the table thanks to the in‐house‐maid they have hired. ManyJapanese working moms believe that it is too good to be true in Japan (See Sasagawa,2015).
In contrast, among middle‐class working moms in Indonesia, there is a newly
developing idea that a baby should be raised and educated by his/her own mother, not by
grandparents or nannies. Lots of Indonesian mothers even question the existence of day
care centers since there are not many qualified day cares here. That is why it is not
surprising if the ryosai kenbo and kyoku‐mama philosophies are welcome andinterpreted positively on social media’s moms’ war. It is such an irony since thephilosophies are criticized seriously in their own country.
4.1 Children’s Education as the main issue of the Moms’ War
Based on the in‐depth interviews conducted in this study, the moms’ war had anegative effect on the condition of working mothers in real life. Generally, it affected theiremotional state, but in many cases it was not enough to make them quit their jobs. For
example, Vero (Jakarta, 30 y/o) said that she was very hesitant to leave her children. “It is
unfortunate, others would like to be a civil servant but you would like to quit your job,”
said one of her neighbors. Hearing that, it made her reverse her decision to resign.
Another respondent, Mala (Jakarta, 40 years old) stated that she needs to work
since it is impossible to meet her family’s needs relying on only her husband’s income ina metropolitan city. Additionally, she and her husband have postgraduate degrees, so shewants her three children to have higher educations and brilliant careers. Regarding thememe “A child is god’s gift, why should we give him/her to the maid or daycare?”, she
responded that she chose the proper day‐care carefully, we don’t trust our children to betaken care of just anyplace. Mala also rejects one of the moms’ war’s issues regarding the
doubt that working mothers could educate their children properly.
“My first and second children said that they are more proud of having a working
mother rather than a stay‐at‐home mother. Working mothers have a larger networkand links; they are also well‐informed, so they can make good decisions when theirchildren need help.”

Although she is on the working‐mother side, she respects women who choose to be stay‐at‐home moms. When she was asked about the potential of having a home business or atrending online shop, Mala chose to stick with her decision since she felt that she did nothave any ability in that field. In line with Mala, Alia (31 years old), a respondent fromthen replaced by 3C ‐Color television, Cooler, and Car in the 1970s (See Yoshimi, 1999 & 2005).

220Surabaya, said that she is the ‘product of a working mom’ and does not feel that her
mother failed to educate her since she could pursue a higher education and get a stablecareer.
Religious views as to the appropriateness of woman being stay‐at‐home mothers
got various responses from Islamic and Christian figures in the social media recently. Iva(Surabaya, 40 y/o), a senior high school headmaster and a Nahdlatul Ulama activist,stated that, in Islam, a man is the leader of the woman but that does not mean necessarily
that she could not work and should always be staying at home. Similarly, Maria (Surabaya,
40 years old) who is a Christian kindergarten and daycare headmaster said that educating
and caring for the children is the mother’s duty, but it does not reduce a working woman’s
dignity as long as she can entrust her children to the right people.
Nonetheless, many housewives believe that they are on the right side of the moms’
war. Linda (Jakarta, 29 y/o) was afraid of the prevalence of child abuse cases in the mass
media and social media, therefore she finally decided to quit her job and to dedicate
herself as a stay‐at‐home mother. On the other hand, Ana (Yogyakarta, 30 y/o) quit her
job because of religious reasons. She said that she was very happy and at peace after
quitting her job as an engineer in a multinational company since she could concentrate on
taking care of her child. She blamed herself when she was busy working in France and herchild was born with autism.
Ira (Yogyakarta, 40 y/o) who quit her job as a teacher, agreed to the statement ‘awoman was born as a rib bone, so do not make her the back bone of the family’. She statedthat she could not stand listening to many children crying when they are in the daycare
near her home every morning. From her point of view, the economic condition of working
mothers is not worse than hers so she wonders why they continue their careers and leave
their children in a daycare. Moreover, she thinks that the standard of wealth is relative, it
depends on how we manage it.
Meanwhile, Tina (Surabaya, 33 y/o) already declared herself to be a stay‐at‐homemom before the moms’ war occurred. She is supported by her husband who has the same
perspective on it. She quit her job in a foreign company and chose to become a stay‐at‐home mother since she experienced having a working mom in her childhood and she felt
very lonely at that time. Furthermore, she said that her mother has replaced 17
housemaids and only one of them was sincere and nice to her. Other housemaids often
repeatedly pinched her younger brother, and it has made her decide to be a stay‐at‐home
mother. Tina was traumatized by the housemaids’ attitudes in her childhood experienceand considered that the financial independence of her mom, aunt and other female
workers around her reduces their respect toward their husbands. As stated in her
religion, a man is the leader of the family; this makes her sure that she would like to be astay‐at‐home mom. Similar to Ira, Tina deplores that educated women have a careeroutside and leave their children in the day care just because of economic considerations.
4.2 Academic Record Society and the Rising Middle Class
There are many theories of who deserves to be called middle‐class, but in general
this designation usually refers to people who have fixed incomes, a house, private cars,savings and good education. The distribution of middle‐class people in Indonesia in 2012,according to BCG (Boston Consulting Group), was 44% of the whole population. The
income limits that were used in this survey were actually too low due to the inflation rate221

of Indonesia. However, if the income limits from the BCG survey were used as an indicator
to categorize the participants in this study, the participants of this study were definitely
middle and upper‐middle class people.
Even though the exact percentage of middle class in Indonesia is still debatable,
many surveys show that economic growth and consumption in Indonesia are quite high.
Nielson (2016) sums up that Indonesians are the 3rd most confident consumers in theworld after Indians and Filipinas. In line with the previous data, Pew Research (2014)shows that 62% of Indonesian people believe that the next generation will have a better
future and financial condition. Meanwhile, Global Consumer Survey (BCG) (2012) statesthat 91% of Indonesian people are optimistic that their financial condition is relatively
secured compared to all of the countries in the world.
Indonesia is considered an academic record society, wherein children’s educationis regarded as a future investment. In fact, for religious people, a child is an investment inlife and in the life after. In such cases, children’s education is not only for survival in theworld, but also for the parents’ salvation in the afterlife. The successful birth control (KB)
program in Indonesia shifts the society’s orientation from having dependent families tocore families that want to have the best education (including religion wisdom) and healthfor their children. They can no longer go by the number of children for their security; as
the classic proverb says, ‘many children means many meals.’ Nowadays they tend to focus
on the quality their children experience, specifically in education, not only academically
but also in their understanding of religious teaching and morals. With this issue, we cansee that the ideology of child‐centeredness is being adopted by Indonesian society,especially in urban areas.

5. Conclusion
Based on the explanation above, it can be assumed that the ideal mom that isvisualized by the social media users and respondents is a mother who can take care of thefamily and educate her children. Working moms and stay‐at‐home mom both maintainthat their decision to pursue a career or not is because they believe it is best for their kids.
It is different from the statements of many working moms in the era of New Order in the“Satu Abad Kartini” ‐ Kartini in a Century (1979) essays; nowadays the gender equality
issue is not featured anymore in the choice of becoming a working mom or stay‐at‐homemom. The choices are usually affected by childhood experience and their understandingof the religious interpretation. It indicates the changing concept of motherhood and childeducation in Indonesia. A new standard of child rearing among middle‐class mothers inIndonesia is illustrated by their regard for Japanese motherhood philosophy in the moms’
war. The misinterpretation of the ryosai kenbo and kyoiku‐mama concepts which arevirally spread in the social media are basically caused by a lack of information about thehistory of Japanese familial sociology, especially regarding the social welfare system andsexual division‐of‐labor in the Japanese workplace. Dickensheets’ paper entitled “TheRole of Education Mama” which is quoted by Daoed Joesof in his opinion column,
contributes to this misconception. As an academic record society with a continuously
growing middle class, the Indonesian urban family model has changed from extended
family to nuclear family and is unconsciously captivated by the ideology of child‐centeredness as experienced by modern societies all over the world.

References
222

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Kartini. Jakarta: PT Sinar Agape Press.
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223

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic: Socioeconomics Relations

A Comparative Study of Economic Revitalization Policy in Coal
Mining Areas Between China and Japan‐ From the Spatial Perspective
Zhu xuna*
a1‐33, Yayoicho, Inage Ward, Chiba‐shi, Chiba, 263‐8522 Japan

Abstract
The resource‐based cities are the cities which are driven by the exploitation of mineral,
forests and other natural resources, and the leading industry is based on the processingof those resources. The resource‐based cities have been providing a lot of energy for thedevelopment of China, but around 2000, the economic depression of resource‐based cities
began to arouse people's attention. Regarding to restore resource‐based cities to growth,
after the implementation of a series of related stimulus plans in past decade, finally,
Chinese government enacted the Sustainable development plan of resource‐based cities in2013.
According to my research, there is a similar experience in Japan. Given that thetransformation of industrial structure and energy structure in 1960s, the coal mining
areas in Japan entered the period of economic stagnation. And then, Japanese government
passed Act on Temporary Measures concerning the Vitalization of the coal mining areas in
1961. Based on the policy, a series of economic revitalization policies was in force. Now,
the transformation of economic structure in some coal mining areas has succeeded.
In this paper, the differences of economic revitalization policy between China and Japan
will be compared from the spatial viewpoint. Based on comparative study, the importanceof spatial viewpoint applied in regional economic policy making will be reconsidered, andthe problems of policies in China will also be concluded. As a case study, the developmentof automobile industry in North Kyushu will be provided.

Keywords
Keywords: Resource‐based cities; Coal mining areas; Spatial distribution; Economictransformation

1. Introduction
First, the principle that economic revitalization through the advancement of theindustrial structure in the previous researches will be discussed. To achieve the* Corresponding author. Tel.: +.81 ‐(0)80‐6579‐2706

E‐mail address: shujin616@chiba‐u.jp224advancement and upgrading of industrial structure, those resource‐based cities highly
dependent on resource exploitation could, develop the downstream industries, andenhance Industrial competitiveness by increasing added value of the resource products.
Thus, in the future, even if the resource was exhausted, the resource‐based cities could
also realize economic growth by resource imports.
In previous researches, the principle based on following three assumptions. First,
the added value rate in each processing stage is constant. In this paper, it is set as α.
Second, the production in each processing stage will flow into next stage as raw material
in a constant ratio. In this paper, it is set to be β. It means that the ratio of 1‐ β of total
production is consumed. Third, other costs including transportation costs is set to be 0. It
means that production value is the sum of the raw material value and added value (Hara,
2007, pp. 116‐117). Through the three assumptions above, the production value of raw
material and the added value in each processing stage are as shown in table below:
Table 1. The added value and production value of raw material in each processing stage
Primary
Secondary
Tertiary
Processing…

N times

Processing

Processing

Raw Material

1

1

…

1

Added Value

1

1

…

1

1

…

1

Production Value

1

1

processing

According to the table, the added value that the enterprise could earn is determinedby three variables. It means that the higher added value ratio, the higher ratio flow into
next stage as raw material, the more processing stages there are, the more added valuethat the firms could earn. Therefore, regional economic revitalization is focus on following
points: How to have improve the raw materials flow into next stage, how to improve theadded value rate, and how to improve the processing stage (Hara, 2007, pp. 116‐117).
As what other methods show us, the new industrial development way is pointed
out. The new way of industrial development is that resource‐based cities should establish
the new industries that not rely on the existing resource through the accumulated capital,technology, and human resources by resource developing, and transform the labor fromresource development to the new industries.
Talking about the transformation difficulties, the advancement of the industrial
structure is considered as the easier one, but the new industrial development is the moreradical one, because it gets rid of the dependence of resource. However, as the common
points of the two methods, new firms or new investments are needed. In the previous
researches, because the foreign investment could bring not only capitals but also
advanced technologies, management, and concepts, so attracting foreign investment is
considered the effective way to develop the new industrial. Obviously, it is also applicable
to advancement of the industrial structure.
Based on the above viewpoints, around the problem about how local government
to attract foreign investment, lots of studies had been done, and some local governments
sacrifice their local interests to attract foreign investment. However, the relationshipbetween firm locations and regional revitalization based on spatial viewpoint has notbeen paid enough attention. This paper will be divided into following parts. First, under
the spatial viewpoint, the methods mentioned above may fail, we will discuss thispossibility. Second, the spatial distribution of coal mining areas in Japan and resource‐
based cities in China will be plotted, then, the spatial distribution characteristics will beanalyzed based on the plotted results. Third, the importance of spatial association will be225discussed. At last, as a case study, the development of automobile industry in North
Kyushu will be provided.

2. Methodology
2.1.

Theoretical model

According to the spatial economy (Fujita, Krugman, & Venables, 1999, pp. 120‐126),in the spatial models of urban systems, because production costs are the same regardlessof the location chosen, the problem reduces to one of minimizing transportation costs.
The figure1 shows that how the total transportation costs of a producer located at s may
be analyzed, given that all other producers are concentrated at .

Figure1 Plant location; Figure2 Function of s (two accumulation points)

First of all, as shown in formula1 and figure1, the total transportation costs could
be divided into three parts., the transportation costs of 0‐ s, s ‐1, and r. Second, as shownin formula2, the transportation costs of each part are the product of transportvolumes(Q), distance(S), and cost of per unit good transported one unit of distance(V).
According to the above two formulas, the total transportation costs could be calculated asshown in formula3.
TC
TC

(1)
∗ ∗V

(2)
1

μ|r

s|

(3)

We could plot this total transport cost as a function of s for the parameters =0.1,
μ=1/3, r=0.4. here, the parameters μ is the share of the population that employed in
manufacturing. Clearly, in this case the point of minimum transport cost ‐ the optimal
location of a firm choosing where to locate given the locations of other firms – is at s
=0.4= r . This result continues to obtain in more satisfactory models. In the “market
potential” function, an urban concentration normally both creates a cusp in the market
potential function and is sustained by that cusp, which causes the existing urban location
to be that function’s maximum (Fujita, Krugman, & Venables, 1999, pp. 124‐125).
In this model, we only consider the case of one accumulation point that each firmchooses to locate where all other firms are located. This model also could be extended to
two accumulation points. As shown in figure4, other assumptions remain unchanged, all
the firms are located in r1 and r2. r1 employs industrial population of μ1, r2 employs
industrial population of μ2, and the condition of μ=μ1+μ2 is satisfied. Through the similarcalculation method as shown in case1, we could the total transportation costs could be
calculated as shown in formula4 and plot the total transport cost as a function of s for the226parameters r1=0.4, r2=0.6, μ1=2/9, μ2=1/9, =0.1. As shown in figure3, we can still seethat the point of minimum transportation costs ‐ the optimal location of a firm choosing
where to locate given the locations of more firms – is at s=0.4=r1. That means, firms will
prefer the larger cities which could bring lower transportation costs.
s

1

s

μ |

|

μ |

|

(4)

Figure3 Plant location (two accumulation point); Figure4 Function of s (two accumulation points)

In previous researches, Zhao (Zhao, 2007) pointed out that the city scale ofresource‐based city is smaller. And Liu (Liu, 2007) pointed out that the resource‐based
city located along the mines, with poor infrastructure, and away from the traffic trunks
and developed areas. Therefore, according to the results in this section, we can infer thatthe resource‐based cities will be of disadvantages when the firms considers investing andestablishing plants. so, the policy effects may be less obvious if the policy only considers
the resource‐based cities.
2.2.

The policy characteristics and spatial distribution of coal mining areas in Japan

Here are some concepts. First, the coal mining areas are the depressed coalproduction regions which caused by the depress of coal mining industry, and the regions
connecting with it which has a close relationship with mining industry revitalizing. And
then, in this paper, “article two region”, “article six region”, “article ten region” are theregions which are the object of article two, article six, article ten of Act on Temporary
Measures concerning the Vitalization of the coal mining areas. According to Act on
Temporary Measures concerning the Vitalization of the coal mining areas, “article tworegion” will be the aid object of the law. “Article six region” will be the object of loan forcovering decrease in local tax revenues. “Article ten region” will be the object of interest
subsidy for issuing municipal bond.
In this paper, the coal mining areas is chosen based on Order for Act on Temporary
Measures concerning the Vitalization of the coal mining areas (2002.3.25). From the listed
coal mining areas, the following characteristics will be fund. First, “article six region”
contained in “article ten regions”, at the same time, “article ten region” contained in“article two region”. Second, based on the characteristic one, it is clearly that the “article
two region” has the largest number, the “article ten region” is the next, and the “article six
region” has the least number. In reference of points based on “article six region”, thenumber of more than “article six region” (added in article ten region), and also the numberof more than “article ten region” (added in article two region) is decreasing. Third, based
the characteristic one and two, the “article six region” has the largest proportion,
meanwhile, the “article six region” is aid object of article two, article six, article ten. So, it
is obvious that article six is the main aid object of law, and the assistance intensity isdecreasing from “article six region” to “article ten region”.
227

Then, based on Order for Act on Temporary Measures concerning the Vitalization of
the coal mining areas, the spatial distribution of coal mining areas in Hokkaido andFukuoka‐ken was plotted. According to the spatial figure, the spatial distribution
characteristics are as followings. First, the “article six region” is located in the center area,
the “article ten region” is distributed around the “added in article ten region”, and “theadded in article ten region” is located at the extension of the “added in article two region”.
Overall, from the view of policy characteristics, there is an inclusion relation
between each region, and from the view of spatial distribution characteristics, there is aconnection relation between each region.

Figure5 the spatial distribution of coalfields in Hokkaido and Fukuoka‐ken (yellow is the added in article
2 regions, red is the article 6 regions, blue is the added in article 10 regions.)

2.3.

The policy characteristics and spatial distribution of resource‐based cities in China

According to the policy, resource‐based cities in China had been classified by 4
types. They are developing resource‐based cities, mining resource‐based cities, decline
resource‐based cities, and regenerate resources‐based cities.
The developing resource‐based cities are the cities which resource development ina rising stage. These cities have great development potential of resource, economic, social,
and regarded as supply and reserve base of resource. The mining resource‐based cities
are the cities which resource development in a stable stage. These cities have a strong
resource security capability, a higher development level of economic and social, andregarded as the core area of energy security at the present stage. The decline resource‐
based cities are the cities which resource reserves tend to dry up. In these cities andeconomically underdeveloped areas, livelihood and environment issues are serious. So,
these cities are defined as the key and difficult areas in great need of being accelerated
the transformation of economic development mode. The regenerate resources‐based
cities are the cities which get rid of resource dependence. These cities began to enter the
track of Sustainable and healthy development, and become the leading regions of
economic transformation of resource‐based cities.
Refer to the characteristics of each type of resource‐based cities, the policy has
given a different guidance. For the developing resource‐based cities, resource and city
development based on a long‐term perspective is of importance. For the mining resource‐
based cities, the upgrading of the industrial structure based on the high‐level resource
development is focused. For declining resource‐based cities, how to promote economictransformation, and enhance sustainable development ability is a hot topic. For regenerate

228

resource‐based cities, how to improve the efficiency of economic growth after the
resource dependence reduced, and open wider to the outside world is focused.
Form the policy characteristics mentioned above, the relationship between eachtype of resource‐based cities is hard to find. so, we selected Inner Mongolia as thedeveloping resource‐based region, Shanxi province as the mining resource‐based region,
Jilin province as the declining resource‐based region, and Henan provinces as thecommon example to analysis the spatial distribution characteristics of resource‐based
cities in China, and determine if there is a relationship among each type of resource based
cities.

Figure 6 the spatial distribution of resource‐based cities in China (yellow is the developing resource‐based cities,
blue is the mining resource‐based cities, red is the declining resource‐based cities, green is the regenerateresources‐based cities)

From the results(figure6), in Inner Mongolia, almost all types of resource‐based
cities are related to the developing resource‐based cities. In Shanxi province, almost all
regions are mining resource based cities. In Jilin province, mining resource based cities,
declining resource based cities, regenerate resource based cities are interconnected,
while the developing resource based city are isolated. In Henan province, isolated
developing resource based city, decline‐resource based city existed, and interconnected
regions also are exiting. Therefore, it is difficult to sum up the common disciplines fromthe results. At the same time, various resource‐based cities have involved in policies, suchas coal‐based cities, forest industry based cities, so, there are examples which relate witheach other, but the resource types of cities are different. Clearly, the concept like ‘theregions connecting with it which has a close relationship with mining industry
revitalizing’ in Japan is not reflected in China’s policy.

3. The importance of spatial association
About the benefit of firm cluster, input sharing, labor pooling, skill matching, andknowledge spillovers, all of which could generate higher productivity and lower229

production costs indicated by O'Sullivan’s work (O'Sullivan, 2012, pp. 45-64). However,
due to the constrains of region space, with the increasing of agglomeration scale, higher
commuting time, higher building density, and environmental issues will bring a negative
impact on the firms which located in the agglomeration region. Therefore, theagglomeration scale is not the bigger the better, and it is considered that if theagglomeration scale exceeds the limitation, the agglomeration economics will be reduced.

Figure7 the change of average productivity and average cost; figure 8 the change of average net benefit(Nakamura & Tabuchi, 1996, pp. 34‐35)

As shown in figure7, the average productivity will increase with the expansion of
agglomeration scale, however, the growth rate is decreasing. The average cost will
decrease with the expansion of agglomeration scale, but after a certain scale, the average
cost will increase at an increasing growth rate. Average net benefit is the value that the
average productivity minus the average cost. Form the figure8, it is clearly that average
net benefit is increased first, and reached the maximum at N1, then decreased. In thispaper, we called N1 the optimal scale of region.
In terms of the above theory, return to figure, minimum transportation costs will beachieved if a firm choosing where to locate given the locations of other firms, and whenlocation point moves to both sides, the transportation costs is increased. Therefore, firms
will give priority to the agglomeration region, when the optimal scale of region exceeded,
part of the firms will locate on both sides of agglomeration region. Similar result is also
showed in the two agglomeration regions model, but from the figure, we can see that thegrowth rate of transportation cost is slowly when location point move from larger
agglomeration region to smaller one.

Figure9 the effect of regional revitalization policy in JapanSo, as shown in figure9, the effect of regional revitalization policy in Japan could be
divided into two parts, one is the direct policy effect which brought from policy directly,
and the other one is overflow effect which brought from the diffusion of agglomeration
economics. the direct policy effect will be effective only when the benefit brought from230

policy to firms can offset the disadvantages of transportation cost brought from thelocation select, and the direct policy effect need a sustainable policy helps theagglomeration economics reach a certain scale. Therefore, the direct policy effect needs
huge input. However, the overflow effect is based on the regional development where theagglomeration economies have a comparative advantage. So, from the point of firm
location, the input of the overflow effect is smaller, and more efficient.

4. A case study of Japan
Next, we will explain the overflow effect through the relationship between
automobile industry development and regional economic revitalization. Due totransformation of industrial upgrading and energy structure, the coal industry of Kyusyu
began to decline in 1960. And Kyusyu began to economic transformation from coalindustry to processing industry.
The development of the automobile industry in Kyusyu can be divided into threestages (Forum Fukuoka, 2007). The first stage is in 1970s. In 1973, through the industry
location policy of Kitakyusyu, Kyusyu factory of Nissan automobile was established in
Kanda‐machi. Then, Engine factory started production from 1975, and vehicles factory
started production from 1976. After the location of Nissan automobile in the first stage,
the primary products manufacturers of automobile started active in Kyusyu.
The second stage is in 1990s. In 1991, Toyota Kyusyu factory was located in
Miyaata‐machi, and started production from 1992. And in 1992 the second factory inKyusyu factory of Nissan automobile was completed. Through the second stage, thenumber of production in northern Kyushu automobile reached a peak of 613 thousand,accounted for 7.6% of the total in Japan. However, affected by Asian financial crisis, thenumber of production decreased after 1996.
The third stage is after 2003. In 2003, the promotion conference of million
production base in northern Kyushu was established, then, Nissan and Toyota automobile
began to strengthen the existing factory, and build new factories. At the same time,
Daihatsu car body (Daihatsu Kyusyu) moved from Gunma‐ken to Kyusyu in 2004.
Through the development of the third stage, the number of production in northern
Kyushu automobile reached 1million and 10 thousand, accounted for 10.1% of the total
in Japan.

231

Figure 9 The change about location distribution of the first supplier of automobile industry (Kyushu
Bureau of Economy, Trade and Industry, 2009)

After above three stages mentioned above, the development of automobile industry
in Kyusyu is regarded as a successful model, and Kyusyu is known for a car island. Thechange about location distributions of the first supplier of automobile industry is shownin figure. In 1973, Kyusyu factory of Nissan automobile was located in article two region,and in 1989, the first supplier of automobile industry was mainly located in article tworegion and article ten region, in 1999, with the agglomeration scale in article two region
and article ten region were strengthened, the agglomeration scale in article six region
began to increase. In 2008, the agglomeration scale in all of article two region, article ten
region and article six region was be strengthened. In general, the overflow effect is very
obvious.
About the impact of overflow effect on the coal mining areas, the Miyaata‐machi
which located in Chikuhou, had begun the coal mining since the middle of Meiji period,
and achieved long‐term prosperity as a coalfield. After the mine closed, Miyaata‐machi
began to establish industrial park near the Wakamiya interchange of Kyushu expressway.
With the convenience of transportation, abundant labor sources, and various funds
established for regional revitalization, Miyaata‐machi achieved success of industrial
location through reducing the location cost of firms, and being referred to as excellent
student of coalfields.

5. Conclusions
Firs, from a theoretical point of view, it is possible to help cities achieve region
economic revitalization through the advancement of industrial structures and newindustrial development. However, from the spatial perspective, the policy will face great
difficulties in the implementation process if the policy object only affects the regions
which most in need of assistances, and it may also lead to less policy effect. In the author’s
another research, effect of economic transformation policies in Henan province was beevaluated by compared with the indicators between resource‐based cities and the non‐resource‐based cities which connecting with resource‐based cities. The results haveshown that in all the 61 indicators, only 15% account for a strong policy effect, and 5% of
which have a weaker policy effect, in other words, the indicators which could be judged
to be effective were only 20% in total (Zhu, 2016). This is a very disappointing result, andit also shows the influence that leaded by a lack of spatial viewpoint.

232

Second, through the analysis above, in the industry location policy, it is efficient thatassistance to the developed regions which connecting with underdeveloped regions.
Therefore, the revitalization policy should pay more attentions to those regions. And forthe underdeveloped regions, such as infrastructure constructions, quality of labors shouldbe paid more attentions, because they could reduce the location cost of firms effectively,
and accelerate the agglomeration economics to underdeveloped regions from developed
regions.

References
Forum Fukuoka. (2007). The progress of automobile industry in Kyusyu - Why the Kyusyu
become a major base of automobile production. Forum Fukuoka, 16-21.
Fujita, M., Krugman, P., & Venables, A. J. (1999). The Spatial Economy - Cities Regions, andInternational Trade. London, England: The MIT Press.
Hara, I. (2007). The new development of regional economics. Taga Shuppan.
Kyushu Bureau of Economy, Trade and Industry. (2009). Market trend survey about the
automobile industries in Kyushu Investigation report(2008). Kyushu Bureau of
Economy, Trade and Industry.
Liu, j. (2007). Research on resource-based cities' transition and sustainable development in
China. Central south university.
Nakamura, R., & Tabuchi, T. (1996). Urban and regional economics. Yuhikaku PublishingCo., Ltd.
O'Sullivan, A. (2012). Urban Economics. Singapore.
Zhao, j. (2007). The study of the urban spatial development of the resource-based city in
China. Northeast normal university.
Zhu, x. (2016). A study on the effect of economic tranformation policy for resource-based
cities in China: A case study of Henan province. Studies on Humanities and Social
Sciences of Chiba University, 32, 77-100.

233

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Analysis on the Research Trends of CALL in China‐‐Based on the Papers from CNKI from 2010 to 2016
Xing, Yun*
Chiba University,Chiba‐Ken,Chiba‐shi,Inage‐Ku,Yayoichou 1‐33, Chiba‐Shi, 263‐8522,Japan

Abstract
CALL (Computer‐Assisted Language Learning), considered to be a young branch of
applied linguistics with dynamic characteristics, has developed more than 50 years andprograms about CALL, such as drill and testing have appeared since 1950s in the UnitedStates. While it was not until 1980s that CALL appeared in China, CALL has gradually cometo develop quickly in the past 30 years. Lots of researchers have explored thecharacteristics of CALL in China in the past few years. The research areas are mainly
focused on the theories about CALL; teachers’ roles or attitude toward CALL; students’attitude toward CALL; language testing based on CALL; technology or software about
CALL etc.
This paper attempts to analyze the development trend of CALL in China based on
120 articles selected from CNKI (China National Knowledge Infrastructure) from 2010 to2016. Adopting the statistical analysis method and literature review, this paper aims toinvestigate the development tendency of CALL in China, make conclusions about the hot
spots of CALL in recent years based on the high‐frequency keywords of the 120 articles,
and find out some advantages or disadvantages about CALL in China. Finally, suggestions
will be made for the problems of CALL in China.

Keywords

CALL; development tendency; hot spots; statistical analysis; literature review

1 Introduction
With the development of technology, computer gradually plays a key role inlanguage education. CALL (Computer‐Assisted Language Learning) is considered to be ayoung branch of applied linguistics according to Ken Beatty (2003: 2). The following
analysis about CALL by Ken (2003: 1) is noteworthy:
CALL is a subject tied tightly to other areas of study within applied linguistics suchas autonomy and other branches of knowledge such as computer science. In theworst cases, CALL is seen as little more than a tool mimicking a textbook, a learner’s
peer or a teacher.
Besides, other researchers also proposed their opinions about CALL. According toKen (2003), “ A definition of CALL that accommodates its changing nature is any process
in which a learner uses a computer and, as a result, improves his or her language ” (p.7).
* Tel.: 080‐4440‐8807;

E‐mail address:sxcjxy8807@yahoo.co.jp234

Moreover, CALL means “ learners learning language in any context with, through, andaround computer technologies ” (see Joy L. Egbert 2008:4). Additionally, CALL is definedas “ the search for and study of applications of the computer in language teaching andlearning ” (Levy 1997:1).
CALL programs about drill and testing have appeared since 1950s in the UnitedStates. It has developed over 50 years and the development can be categorized in termsof three distinct steps: behavioristic CALL, communicative CALL, and integrative CALL
(Warschauer & Healey, 1998). CALL did not appear in China until 1980s. Although thehistory of CALL is brief in China, it has developed quickly in the past 30 years since there
has been a large demand for the flexible modle. The development of CALL can be roughlyclassified into three stages in China (Cao Chao, 2009): audio‐visual stage (1979‐1993),
computer‐aided stage (1994‐1999), and integration of multimedia network stage (2000‐
2008).

2 Literature review
Researchers in China have explored the development of CALL in the past few years.
Tan Yanling & Yan Hua (2007) presented an overview of CALL in China based on papers
published in the ten influential foreign language journals from 1997 to 2006 and madeconclusions about features and tendencies of CALL in China.
Na Min (2008) also gave a statistical analysis and literature review about CALL in
China based on papers published in 8 major linguistics journals in the past 12 years(1995‐2006) and finally the future development trend of CALL was predicted.
Cao Chao (2009) also concluded the development of CALL in the past 30 years since
the reform and opening‐up of China.
Liu Hong & Zhao Miaomiao (2012) investigated and analyzed the hot spots of CALL
in China with the keywords frequency analysis based on papers published in journals
from 2008 to 2011 at home and abroad.
In addition, Yang Chunhong (2014) also analyzed the biblimetric characteristics ofthe papers based on CAFLE (Computer‐assisted Foreign Language Education) from 2009
to 2013 and found out both the characteristics and developing rules of CALL in China.
Furthermore, Zheng Chunping (2015) has examined research trends of CALL basedon articles published by 5 international CALL journals from 2010 to 2014 with word
frequency analysis method and found out that there were eight research hot topics in thefield of CALL.
Based on the above studies of CALL in China, this paper attempts to analyze thedevelopment trend of CALL in China by researching 120 articles from CNKI (China
National Knowledge Infrastructure) from 2010 to 2016.

3 Data collection and methodology
This paper adopts both quantitative and qualitative studies of CALL in China, aiming
at investigating the development tendency of CALL in China. All the data are selectedbased on CNKI focusing on papers from 2010 to 2016.
235

Figure 1. Total numbers of papers from 1985 to 2016

COMPUTER‐ASSISTEDLANGUAGE LEARNING
40
30

30

20
10

7
12

0
1980

1985

2

2

3

25
232324
1919
18
15
12
1213
10 9

12

1

1990

1995

2000

2005

2

1

2010

2015

2020

Table 1.Total numbers of papers
Year

2016

2015

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005

Num
ber

2

13

12

19

19

25

30

24

23

23

15

9

2004

2003

2002

2001

2000

1999

1997

1995

1992

1989

1988

1986

1985

Total

18

10

12

7

1

3

2

2

1

2

1

2

1

276

Firstly, “call” was considered as the key word to be searched based on CNKI. And
numbers of papers published in journals are 276 in total from 1985 to 2016. It is obviousthat the number of papers increases gradually from 1985 to 2000. Furthermore, it
increases rapidly from 2000 to 2010 and the number of papers in 2010 reaches 30, themost in recent years. However, it declines steeply from 2010 to 2016.
In addition to this, computer has been widespread in China since the late 1990s.
According to Sun Fenglan & Hu Jiasheng (2014), carrying out College English Teaching
Reform by utilizing computer technology has been advocated in China since 1999 (p.53).
Moreover, in 2001, Ministry of Education of the People’s Republic of China stated thatteaching method must be adjusted to the standard of the technological development
aiming at cultivating talents. Also, universities should strengthen the construction ofdigitalization of educational resources, such as campus network, electronic libraries, andmultimedia etc for college teachers and students to utilize information technology. As forthe compulsory courses regulated by national key universities, class hours by using
multimedia should occupy more than 30%. In contrast, other universities should take up
more than 15%. Therefore, it is clear that 2000 is the turning point of the development of
CALL in China. With the popularity of computer technology and the connection between
computer and education, researches on CALL have increased rapidly since 2000.
This paper mainly focuses on 120 papers published from 2010 to 2016, aiming at
analyzing the research hot spots about CALL in recent China, exploring the development236

trend of CALL in China and making suggestions based on problems of CALL. Furthermore,
the actual number of papers from 2010 to 2016 is 117 except two papers about
conferences and one repetitive paper.

4 Data analysis
4.1 Research content analysis
In order to find out the hot spots about CALL in recent years, the author collected
and classified all the key words based on 117 papers making use of the excel table.
Table 2. Keywords based on papers from 2010 to 2016
Nu
m
be
r

Keywords

201
0

201
1

201
2

201
3

201
4

201
5

2016

Total

1

CALL

20

14

14

10

5

14

2

79

2

pronunciation

1

4

2

5

2

2

0

16

3

College English

3

5

1

1

2

0

0

12

4

autonomy

4

2

1

0

1

2

1

11

5

mandarin proficiency test

1

2

2

2

0

0

0

7

6

theory

3

2

2

0

0

0

0

7

7

English listening

2

1

1

0

1

1

0

6

8

MALL

0

0

0

3

2

0

0

5

9

tone evaluation

0

0

0

1

0

3

0

4

10

learning strategy

0

0

0

0

3

1

0

4

11

teachers’ roles

4

0

0

0

0

0

0

4

Apparently, “CALL” is the top keyword. Besides, researches about “pronunciation”
mainly focus on “mispronunciation detection” which reaches the most in 2013 anddeclines in recent years. It is clear that “college English” is also one of the hot spots;
however, the number of it has begun to decline since 2012. Furthermore, researches
about “autonomous learning ” develop not so well based on above numbers. Moreover,
the author found out that researchers have gradually come to do some researches on“MALL (Mobile Assisted Language Learning)”, “tone evaluation”, and “learning strategy”
since 2013. While, topics about “theory” of CALL and “teachers’ role” decline in recent
years. Additionally, the author also found out that researches about “English listening” aremuch more than “writing” , “speaking” or “vocabulary”.
Based on the collected papers, we can also find out that researches on CALL in China
237

are widespread, such as researches on the relations between second language acquisition
and CALL, college English interactive teaching mode, problems and strategies about CALL
in China, summary of literature review about CALL at home and abroad, students’ attitude
toward CALL, and strategies about teaching and learning. In addition, synchronous video‐
based interaction and collaborative teaching have been introduced, which has provided
an authentic cross‐national environment for language learners.
4.2 Research methodology analysis
The author classified the research methodology based on 117 papers and found outthat there are totally 20 empirical studies about CALL.
Table 3. Empirical study from 2010 to 2016
Author

Qian Yubin(2016)

Research
period9 weeks

Zheng
Chunping, Lu
Zhihong &Lian Jingjing(2016)He Bi, Liu Lei& Chen Ting
(2015)

Level
Subjects

Methodology

Findings

31 postgraduates(non‐English
majors )Interview
Test

1Learners’ vocabularyknowledge in spelling,
meaning, and usage has
been greatly improved.
2 Learners could manage
their learning process more
actively.

21Chinese learners
from DartmouthCollege

Questionnaire
Interview

The result indicated that
this program is beneficial
for learners to improvetheir language
performance.

Freshmen ofEnglish majors

Questionnaire
Test

Yan Xiu& WangHonghua(2015)

270 college
students from Hong
Kong

Questionnaire
Grades of theChinese course

Wang
Mengmeng &Zhang Hai
(2015)

601 fourth year
undergraduate
students majoringin Spanish

Questionnaire

Cao Wen, Hu
Zengning, Li
Hui & Xu Xin(2015)

1Primary English
teachers and middle
school English
teachers who
attended thetraining courses in
Beijing
2. 42 teachers from
Guangdong,

Literature
review
Questionnaire
Case study
SeminarInterview
Recording

18 weeks

3 years

1 Results revealed thatstudents’ pronunciationlevel has been improved.
2 Autonomous learning of
the students also has been
greatly improved under the
CALL Verbo‐tonal system.
1 It was found that theusage of software,
Putonghua learning
motivation, and course
grades were correlatedwith each other.
2 Putonghua learning
motivation consisted of“liking of Putonghua
learning” and “effort inputonghua learning”.
1 The result indicated thatmetacognitive strategies
play an important role inlearning strategies.
2 It also indicated that theapplication of statisticalsoftware of CALL isconsidered as the catalyst
during the development oflanguage education.
It explored the current
situation of computer‐based teaching modeapplied in primary school
and middle school English
courses.

238

Shandong, andBeijing
3. 17 teachers
including 9 primaryteachers, 3 juniormiddle school
teachers, and 5
senior middle
school teachers

50 undergraduate
English majors fromSun Yat‐sen
University

Zhao Yebing(2014)

Non‐English majors
from Inner
Mongolia Universityof Technology

Feng Yong &Wang Xin(2014)

Questionnaire

The result revealed therelation between English
level and CALL strategies.
Meanwhile, it found outthat students who are good
at English could get highgrades in CALL learning
strategies test and they
spend more time in web‐based English learning.

Questionnaire

The author found out someproblems in college English
teaching and learning
under CALL, such as due tolack of computers, or
limitation of the internet,
students couldn’t learn
English autonomously.

130 sophomores
and 10 college
teachers

Questionnaire

Yang
Xianjian(2013)English majors andnon‐English majors

Questionnaire

Li MengDuan(2013)

College English
teachers from oneof the universities
in Hainan

Questionnaire

Jiao yanwei(2013)

4 postgraduate
English‐majors

Test

Qu Keting(2012)

200 sophomores

Questionnaire

Liu Liyi(2013)

1 termThe result discovered thatstudents’ attitude toward
CALL is complicated andthey expect moreinteresting and usefulmaterial under CALL
language learning.
1 The results revealed thatstudents’ attitude toward
CALL applied in English
reading are positive.
2 It also revealed that thefrequency of using
computers by teachers has
little influence on students’attitude toward CALL.
The author found out someproblems in this survey andproposed somesuggestions. The survey
revealed that teachers are
not familiar with CALL,
such as some of them do
not know what CALL is. The
author suggested teachers
should change theirattitude toward CALL.
The experiment told us thatthe four students are notmajoring in linguistics, butthey could spend about 1
hour searching information
on linguistics throughWikipedia. It revealed that
Wikipedia is important andpractical in English
learning.
The result told us that it
can reduce students’anxiety through CALL,
because they could raise
students’ interest andmotivation in learning
English.

239

83 English majors
and 173 non‐English majors

Dong Shiwen(2012)

Chen Feng(2011)

120 students
and 30 teachers

Questionnaire

It revealed that CALL isbeneficial for interpreter
training, because it can help
improve interpreters’ note‐taking skills; however,some limitations have been
pointed out, such as thelack of supervision etc.

Questionnaire

Both teachers and students
hold positive attitude
toward CALL, though they
propose limitations of
CALL, such as lack of high‐quality courseware.

Huang
Haiquan(2010)

20 English teachersand 200 freshmen

Questionnaire

The author explored
problems in CALL, such as
some students are addicted
in computer games during
study in language centerand proposed somesuggestions.

Liu
Fengxiang(2010)

125 freshmen ofnon‐English majors

Questionnaire
Interview

It concluded that CALL can
inspire students’ learning
motivation and autonomy
in English learning.

Shi Huiping& Gao yali
(2010)

45 college English
teachers from
Jiangnan University

Questionnaire
Interview

The author found thatteachers hold positive
attitude toward CALL andthe subjects integrate CALL
with English teachingfrequently.

Liu Yang(2010)

Yang Qi(2010)

1 weekTwo classes and 60
postgraduates fromXi’an Jiaotong
University

500 sophomores
from Heze
University in
Shandong ProvinceClassobservation
Questionnaire

Questionnaire
Interview

The result showed that
Teachers play a key role in
CALL and they should
improve teaching quality byadopting various teaching
methods.
This paper discussed
autonomous learning
ability in English based oncollege students from
Shandong Province andfound out that most of thestudents lack study plan,
the application of study
strategies, and self‐
assessment. Besides, theauthor also talked about
the necessity of
autonomous learning under
CALL, and pointed out
some issues which should
be taken seriously.

Based on Table 3, we can understand that most of the empirical studies are finishedin a short time, among which only one study lasts 3 years. In addition to this, there are 18
papers adopting questionnaire to do the research, which occupies 90% of the empirical
study. Other research methods are necessary for further studies. Taking the subjects into
account, it seems that the research level is mainly focused on colleges including English
majors, non‐English majors, and postgraduates. Only one paper is about primary school,
junior middle school and senior middle school, which shows that large‐scale studies about
CALL have not started in primary school, junior middle school and senior middle school.
Moreover, we can see from the conclusions that although theoretical studies account fora large proportion of the 117 papers, empirical studies are gradually increasing recently.
240

Apparently, it can be concluded on the basis of the research findings that CALL isbeneficial for language teaching and learning and also some problems under CALL havebeen found out by researches. Some researchers have made conclusions about
advantages under CALL, such as students’ vocabulary level, pronunciation level, andautonomous learning have been improved; teachers’ and students’ attitude toward CALL
is positive, which could help raise students’ interest and motivation in language learning.
Meanwhile, it can reduce students’ anxiety. Also, CALL is beneficial for interpreter
training. As for the problems of CALL, it can be roughly divided into three types:·Facility: Due to lack of computers or limitation of the internet, students could not learn
English autonomously.
·Teachers: Teachers are not familiar with CALL and some of them do not know what
CALL is.
·Students: Some students are addicted in computer games during study in language
center.
Besides, some researchers also pointed out that CALL is beneficial for language
learning, but there existed some problems by CALL for lack of supervision for interpreter
training and high‐quality courseware.
Table 4. Theoretical study & empirical study based on papers from 2010 to 2016
2010

2011

2012

2013

2014

2015

2016

Total
numb
er

Perce
ntage

Theo
retica
l
Study

25

22

17

15

9

9

0

97

82.9
%

Empi
rical
Study

5

1

2

4

2

4

2

20

17.1
%

Figure 2. The development trend of theoretical study
THEORETICAL STUDY

120
100
80
60
40
20
0
2009

25

2010

22

2011

17

2012

15

2013

9

9

2014

2015

0

2016

2017

Figure 3. The development trend of empirical study

241

EMPIRICAL STUDY

25
20
15
10
5
0
2009

5

2010

1

2

2011

2012

4

2013

2

2014

4

2015

2

2016

2017

Clearly, we can see from Table 4 that theoretical study accounts for 82.9% of the
117 papers, which is much more than empirical study in recent years; however, empirical
study only makes up 17.1% of the 117 papers. Figure 2 presents the development trendof theoretical study and Figure 3 presents the development trend of empirical study. From
Figure 2 and Figure 3, we know that theoretical study about CALL declines from 2010 to2016. In contrast, empirical study is gradually increasing with the development of CALL
in China.

5 Conclusion
It can be concluded that research contents are mainly focused on college English,
autonomous learning, and MALL (Mobile Assisted Language Learning) etc. Also, theresearch level is still concentrated on college students and teachers. Furthermore, English
is popular under CALL by researchers in China. Chinese and even German are graduallyemphasized in recent years.
Additionally, Table 3 tells us that most of the empirical study has been done withina short period and 90% of the empirical studies adopt questionnaire to do the research.
Besides, most of the empirical studies are focused on advantages and disadvantages of
CALL in China. From the perspective of research methodology, we can also see thattheoretical study is far more than empirical study on the basis of Table 4. However, inFigure 2 and Figure 3, we know that theoretical study declines gradually in recent years.
In contrast, the number of empirical study increases in recent years.
Some problems have been found out during analysis. Firstly, there are someproblems during classification of the key words, because most of the papers are finishedin Chinese and some papers do not contain English abstracts or key words. Also, some
papers do not contain abstracts or even key words.
Secondly, studies on CALL are mainly focused on English. With the development ofteaching Chinese as a foreign language, Putonghua Shuiping Ceshi (mandarin test) has
been widely spread, among which studies on pronunciation detection of mandarin has
been improved under CALL; however, other languages have not been studied extensively
and only a few papers made introductions about German and Spanish under CALL.
Thirdly, research level are mainly concentrated on college teachers or students,
including English majors and non‐English majors. While, studies on postgraduates havebeen increased in recent years. In contrast, studies on primary school and junior middle
school and senior middle school have not been analyzed deeply.
Considering the above problems, some suggestions have been made. From the242

perspective of contents, studies should not only focus on theory, characteristics, or
problems about CALL in China and further systematic studies are necessary for thedevelopment of CALL in China. As for the research method, empirical study should beemphasized for the future study. It should be noticed that this paper has limitations.
Firstly, this paper explored the development trend of CALL in China based on CNKI. For
the future study, other databases, such as databases in Japan, are necessary. Secondly, thestudy period should not be limited within 2016. The author should continue investigating
the development trend of CALL in the future.

References
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Egbert et al.(Ed.).(2008).CALL Research Perspectives.Egbert(Ed.). Conducting Research on
ALL.p.4.New York,Routledge.
Levy, M.(1997).CALL: context and conceptualization. Oxford: Oxford University Press.
Liu et al.(2012).Research on Hot Spots of Computer Assisted Language Learning between China
and Overseas Based on Keyword Frequency analysis. J.Overseas Chinese Education. pp.352‐
360.
Na.(2008).Duomeiti Jisuanji Jishu Yu Waiyu Kecheng De Zhenghe Yanjiu‐Dui Woguo Duomeiti
Fuzhu Waiyu Jiaoxue Yanjiu Zhuangkuang De Tongji Fenxi (Integrated Study Between CALL
and Foreign Language Courseware‐Statistical Analysis on the Research of CALL in China)(in
Chinese). J.Foreign language World, General Serial, No.124, No.1, pp.52‐63.
Na.(2012).Jin Shinian Woguo Duomeiti Fuzhu Waiyu Jiaoxue Shizheng Yanjiu Wenxian Pingxi.(ABiblimetric Analysis on the Empirical Study of CALL in Recent China Based on 10 Years)(inChinese). J.Journal of Inner Mongolia Normal University (Educational Science). Vol.25, No.7,
pp.112‐116.
Sun et al.(2014).Domestic and Foreign CALL Research Overview and Its Disciplinary Development
Trend.J. XDIYIS Vol.24, No.6, pp.50‐57.
Tan et al.(2007).CALL Research Over 10 Years: Retrospective and Prospective Analyses.
J.Computer‐assisted Foreign Language Education. No.117, pp.37‐42.
Warschauer, M. et al.(1998).Computers and language learning: An overview. Language Teaching,p.31, 57‐71.
Yang et al.(2014).A Biblimetric Analysis on the Study of Computer‐assisted Language Learning in
China‐Based on the Published Papers in computer‐assisted Foreign Language Educationfrom 2009 to 2013. J.College English Teaching & research. Serial No.71, No.4, pp.82‐88.
Zheng et al.(2015).International Research Trends in Computer‐Assisted Language Learning‐
Keyword Analysis of CALL Journal Articles from 2010 to 2014. J.XDIYIS. Vol.25, No.7, pp.75‐
81.
Zhang et al.(2015).Duomeiti Huanjingxia Woguo Waiyu Jiaoxue Yanjiu Zhuangkuang De Tongji
Fenxi Yu Fansi(Statistical Analysis on CALL in China)(in Chinese). J.Education Teaching
Forum. No.32, pp.185‐186.

243

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Humanities

Causative and adhortative expressions in Medieval English
Kousuke Kaita
Graduate School of Humanities and Social Sciences, Chiba University,
1‐33 Yayoicho, Inageku, Chiba, 263‐8522, Japan

Abstract
In Modern English (MnE, dating 1500 onwards), causative and adhortative expressions
are represented by LET and MAKE: (1) He let her go (meaning ‘he permitted her to go’);(2) He made her go (‘he forced her to go’); and (3) Let’s go. In the history of English
language, there are several other lexemes used for these notions. For causative
expressions, Old English (OE, dating 700‐1100) attested HĀTAN ‘to command’ and DO
besides LET, while MAKE came into use since the Middle English (ME) period (1100‐
1500). Before the rise of LET (with US) for the adhortative usage in ME, OE had anotherauxiliary UTON (sometimes followed by WE) placed at the initial position of adeclarative sentence. Prior research has focused on the use of these auxiliaries
individually, and their systematic alternation is suitable for comprehensive discussion.
This paper examines how causative and adhortative expressions were interrelated in OE
and ME. Were there semantic differences among LET, HĀTAN, DO, and MAKE as in MnEexamples (1) and (2)? Why was UTON (WE) replaced by LET (US) for the adhortative
case as in (3)? This paper will provide the following insights. For causative auxiliaries,
OE LET is chiefly used in the permissive sense while HĀTAN, DO, and MAKE convey anobligative sense. In the lexical alternation of the adhortative, UTON falls into disuse
along with the decline of the word order, with its finite verb in the initial position, andLET in the imperative mood takes over the adhortative function.
Keywords
Medieval English; causative; adhortative; LET; auxiliary

1. Introduction１
In English, the word LET is used to express both the causative notion, as in He let
her go, and the adhortative notion, as in Let’s go.２ This research project originated in
the question of why these different expressions share the same auxiliary LET. Quirk et al.
(1985: 1205) assign to LET in the former use (and the other causatives MAKE and HAVE)
the interpretation “verbs of coercive meaning”. For the latter use, Let’s is derived from
Let us. For this reason, Huddleston & Pullum (2005: 170) define Let’s as the “1STThis investigation is based on a paper read at the 19th International Conference on English Historical Linguistics(ICEHL) held at University of Duisburg‐Essen, Germany, on 24 August 2016.
‘Causative’ here refers to the situation that someone has another person do something. ‘Adhortative’ is a term used
when an addresser proposes to the addressee to do something together.

１

２

244

PERSON IMPERATIVE LET”. The present investigation focuses on the development of
causative and adhortative expressions in the history of English, namely in Old English(English dating about 700‐1100) (henceforth abbreviated as OE), Middle English (1100‐
1500) (ME), and Modern English (1500‐) (MnE). The primary focus is on the Medieval
English period, which includes OE and ME.

2. Framework: method and material
2.1.

Modality in causative and adhortative expressions

Both the causative and adhortative notions are considered closely related tomodality. Curme (1931: 432) regards LET as a modal auxiliary. Krug (2009) categorises
the adhortative sentence as a type of modality expression. According to Aarts (2011:275), modality can be defined as:a concept which is concerned with such semantic notions as ‘possibility’,‘probability’, ‘necessity’, ‘obligation’, ‘permission’, ‘intention’, and ‘ability’
Modality usually refers to the class of meanings expressed by the modal auxiliaries, suchas may (expressing permission), should (obligation), and will (intention). Causative andadhortative expressions can also be associated with the following three notions. A
causative sentence He let her go, meaning ‘He permitted her to go’, carries the modal
notion of PERMISSION. A coercive sentence He made her go, meaning ‘He obliged her togo’, alludes to the reading of OBLIGATION, and the adhortative Let’s go expresses the
speaker’s wish to go together with the hearer, and thus it is appropriate to admit themodality of VOLITION (cf. Krug 2009).３
2.2.

Lexical alternation

At the lexical level, there have been several words that have been used historicallyas causative and adhortative auxiliaries. Among these, the following five auxiliaries will
be dealt with in the present investigation: (i) MAKE (OE macian; ME maken); (ii) DO (OEdōn; ME don); (iii) HĀTAN (OE hātan; ME hōten); (iv) LET (OE lǣtan; ME lēten); (v) UTON(OE uton; ME ute).
According to Royster (1922), the first four (OE macian, dōn, hātan, and lǣtan) areused for periphrastic causative constructions. The causative notion (as in MnE he let hergo) was expressed by OE LET (see OED2, s.v. let, 12.a.; Traugott 1995; Krug 2009; Nykiel
2010; Lowrey 2013), while OE HĀTAN ‘to command (someone to do something)’ (seeOED2, s.v. †hight, 1.; Nagucka 1979; Ikegami 1981; Nykiel 2010; Lowrey 2013) and DO(see OED2, s.v. do, 22.a.; Ellegård 1953; Ikegami 1981) and ME MAKE (see OED2, s.v.
make, 53.a.; Terasawa 1985) were also prevalent in Medieval English. UTON is an
obsolete adhortative auxiliary used in OE and ME that derived from the 1st person
plural subjunctive present form of the motion verb gewītan ‘to go’, and was supplanted
by LET in ME (see OED2, s.v. let 14.a.; †ute; Warner 1993; Traugott 1995; Ogura
2000/2002; Krug 2009; van Bergen 2013). Like MnE Let’s, UTON was used in the initial
position of a declarative sentence followed by a bare infinitive. The historicalalternations of these lexemes is illustrated in the following figure.

３ These three notions almost correspond to what Palmer (2003: 7) terms deontic and dynamic modality (Palmer’s
examples: They may/can come in now and They must come in now for deontic modality and I will help you for dynamic
modality). For various other classifications of the modality of modal auxiliaries, see Kaita (2015: 20‐34).

245

Figure 1. Chronology (based on the datings of the OED2)
Initially, in the causative category for OBLIGATION, HĀTAN and DO were used, but they
eventually died out as causative auxiliaries. From ME onwards, MAKE came to be used as
an auxiliary. For PERMISSION, LET has been predominant since OE. In ME, LET was also
used for the adhortative notion expressing VOLITION from the 14th century on, after
UTON became obsolete in the 13th century.
2.3.

Research question and hypothesis

As mentioned above, several studies have been conducted on these five verbs
individually. Their systematic alternations appear to await a comprehensive discussionof how the causative and adhortative expressions were interrelated in OE and ME. In
particular, the following two points should be considered. First, for the causative,
whether it is possible to detect a sense of OBLIGATION in LET, in addition to MAKE, DO,
and HĀTAN. Second, for the adhortative, why UTON disappeared and LET emerged.
These two points can be hypothesised as follows. Causative LET mainly denotes
PERMISSION, while the reading of OBLIGATION depends on the context. In the history of
the adhortative, UTON was lost in accordance with the general tendency to lose the word
order of a finite verb preceding its subject in declarative sentences. Instead, LET cameinto use because there was a need to clarify VOLITION and PERMISSION. People in theMedieval English period needed to convey that certain actions were being carried out of
their own volition and others by permission of an authority like God or a king. I shallverify these hypotheses in the subsequent sections based on readings of several OE andME primary texts.
2.4.

CorporaIn the present study, religious texts play a central role. Their contents are rich insituations where the narrators wish to relate what is permitted and commanded by God
or Christ and to exhort the audience to carry out acts that are in accordance with God’s
doctrines. The primary texts examined are the following homiletic texts in OE: The
Blickling Homilies (Morris (ed.) 1874‐1880), Ælfric’s Catholic Homilies (Thorpe (ed.)
1844‐1846; Godden (ed.) 1979; Clemoes (ed.) 1997), Ælfric’s Lives of Saints (Skeat (ed.)
1881‐1900), and Lives of Saints not by Ælfric, which are Skeat’s homily numbers 23 (LS34 (SevenSleepers)４), 23B (LS 23 (MaryofEgypt)), 30 (LS 8 (Eust)), and 33 (LS 7(Euphr)) (see Clemoes 1959: 219 and Magennis 1986). For Early ME the text selection issmall. It covers Lambeth Homilies (Morris (ed.) 1868) and Trinity Homilies (Morris (ed.)1873).
The short titles of the texts in OE are based on the abbreviations used in The Dictionary of Old English, Web Corpus(DOEWC).

４246

3. Causative
In this section, it will be demonstrated that LET is used primarily for PERMISSION,
and the tone of OBLIGATION is an additional interpretation, sometimes dependent on
the context. One typical example is (1), which the OED2 (s.v. let, 12.a.) takes as its firstexample. In this case the subject that permits the audience (þe ‘you’) is the Lord. The
permission from the Lord here, contextually, can be interpreted as something forced aswell as permitted.
(1) OE: HomS 14 (BlHom 4) 204５
þe,
gif Drihten on þe genimþ þa nigan dælas,hwæt dest þu
what do you for‐you if
Lord from you takes the nine parts& þe læteþ þone teoþan dæl anne habban?
and you lets
thetenth part only
have
“what wilt thou do if the Lord taketh from thee nine parts of thy wealth, and letteththee have only the tenth part?” (translation by Morris (ed.) 1874‐1880: 50)
This ambiguity of LET can be illustrated more concretely by the following two examples,(2) and (3), which are based on Matthew 5.45 (see Cook 1898: 146‐147６). Concerning
the example (2) below, Lowrey (2013: 35) finds ambiguity in the interpretation of LET.
(2) OE: ÆCHom I, 28 413.97
Se mildheorta drihten þe læt scinan his sunnan ofer þa rihtwisan. &the merciful
Lord who lets shine hissunover the righteous andunrihtwisan gelice. & sent renas. & eorþlice wæstmas
godum&
unrighteous alike and sends rains and earthly
fruitsto‐the‐good andyfelumto‐the‐evil“The merciful Lord, who lets/makes his sun shine over the righteous andunrighteous alike, and sends rains and earthly fruits to the good and evil”(translation by Lowrey 2013: 35)
The auxiliary læt in (2), although literally meaning ‘lets’, appears to bear the coercive
reading ‘makes’. Lowrey (2013) reads LET here as either “lets” or “makes”. The subject
is once again the Lord and His permission is understood as an obligation placed on theobject (the sun) from the perspective of the narrator. This coercive reading is somewhat
clearer in (3), which has a similar context to (2) but uses DO instead of LET.
(3) OE: ÆCHom II, 12.2 123.446
And gebiddað for eowerum ehterum. and eow tynendum. þæt ge beon
and
pray
for
your persecutors and you injurers that you areeoweres fæder bearn. se ðe on heofonum is. se ðe deð his sunnan scinanof‐your father child who in heaven is who makes his sun shine
ofer ða yfelan. and ofer ða godan. and sylðrenscuras
ðamover the evil and over the good and gives rain‐showers to‐therihtwisum. and ðam unrihtwisum
righteous and to‐the unrighteous

The texts in the OE examples in the citations (1)‐(4) and (6) are from DOEWC. Literal glossing and emphasis are mine.
The corresponding Latin text given by Cook (p. 146) reads: orate pro persequentibus et calumniantibus vos, ut sitis filii
Patris vestri qui in coelis est, qui solem suum oriri facit super bonos et malos, et pluit super iustos et iniustos, where facit (3rdperson singular present form of facere ‘to do’) corresponds to læt in (2) and deð in (3).

５
６

247

“and pray for your persecutors and injurers, that ye be children of your Father who
is in heaven, who maketh his sun to shine over the evil and over the good, andgiveth rain‐showers to the righteous and to the unrighteous” (translation by Thorpe(ed.) 1846: 217)
A closer look at the manuscript variants in the Medieval English may help todetermine the coercive meaning of LET. The following example (4) exhibits themanuscript variants between LET and HĀTAN. LET in this context is replaced by HĀTAN
in two later manuscripts (see Clemoes (ed.) 1997: 335): manuscript P (Oxford, Bodleian
Library, Hatton 115 (Ker 332, s. xi2)) and manuscript B (Oxford, Bodleian Library,
Bodley 343 (Ker 310, s. xii2)). The use of HĀTAN in both manuscripts clarifies thecoercive reading of the context.
(4) OE: ÆCHom I, 20 335.14
Mannum he sealde uprihtne gang: þa nytenu he let gan
aloteneto‐men he gave upright going the cattle he let go bowed‐down“To men he [= God] gave an upright gait; the cattle he let go bending downwards”(translation by Thorpe (ed.) 1844: 277)
Lowrey (2013: 35) discusses the lexical conflict between LET and HĀTAN: “[i]t is the
spread of causative lætan, apparently, that spells the end for causative hatan”. While it istrue that LET is used in a wide range of contexts, the coercive interpretation of LET israther unstable in the OE period. Indeed, there are cases such as (4) that demonstrate
the lexical replacement of LET with HĀTAN. Therefore, there appears to be a need tocompare the uses of HĀTAN, LET and even DO in a more concrete and comprehensive
fashion.
Later in ME, MAKE emerges as another causative auxiliary. Example (5) from theLambeth Homilies is regarded by the OED2 as the first attestation of MAKE (s.v. 53.a.).
(5) ME: Lambeth Homilies 17.159.17‐19７
Þe ter þet .Mon. wepð for longinge to heouene; is inemned deu water
the tear that man weeps for longing for heaven is called dew water
for alswa se þe sunne drach up þene deu. and makeð þer of kume
for
as
the
sun draws up the dew and makes thereof comereines; swa makeð þe halie gast þe .Mon. bi‐halden up to houene
rains
so makes the Holy Ghost the man
lookup to heaven“The tear that a man weepeth through longing for heaven is called dew‐water, for as
the sun draweth up the dew and maketh thereof the rains to come, so the Holy Ghost
maketh the man to look up to heaven” (translation by Morris (ed.) 1868: 158)
In (5), the causers of the rains are the sun and the Holy Ghost. The former is inanimate.
It nonetheless seems possible, however, to read the agentivity of the sun in this example.
The sun can be regarded as the carrier of the wish to cause the event, taking into accountthat a correlative conjunction alswa ‘just as’ with swa ‘so’ connects the sun and the Holy
Ghost. Terasawa (1985: 135) does not regard the above example (5) as conveying the“coercive” meaning (“to force a person to do something by an exercise of influence,authority, or violence”), but instead argues that this meaning can be found from the 16th
century, based on the examples in the OED (s.v. make, 54.).８ It further remains to be
seen whether such a coercive reading is possible as early as the Medieval English period.
Text from Morris (ed.) (1868: 159). Literal glossing and emphasis are mine.
The definition of the OED2 (s.v. make, 54.a.) is: “[t]o constrain (a person) to do something, by an exercise of influence,authority, or actual or threatened violence”.
７
８

248

4. Adhortative
In English, there has been no exclusive form used to express the adhortative
meaning. Bauer’s (2004) glossary of morphology (s.v. mood) lists “hortative” as a moodwhich “shows exhortation”, and classifies it with imperative, indicative, and subjunctive
moods as “[s]ome typical moods” in language. Verbs in English conjugate according to
the imperative, indicative, and subjunctive moods, ９ but there is no particularmorphological category for the hortative. This leads to the question of how the hortative
notion can be expressed in English.
4.1.

UTON and modality

There are at least three types of adhortative expressions in OE and ME, as
Mustanoja (1960: 475) (cf. Millward 1971: 49) briefly describes:
In OE and early ME, exhortations and commands in the first person plural are
expressed by means of the inflectional subjunctive (helpe we) or of aperiphrasis with uton (ute) […]. From later ME on they are expressed bymeans of a periphrasis with let + infinitive
The first form helpe we takes the particular inverted word order of the finite verb
followed by its subject. Another expression with UTON in OE mentioned is frequently
found in homilies, sometimes side by side with a modal auxiliary sculan (> MnE shall, but
usually meaning ‘must’ in OE) as in (6) below.
(6) ÆLS (Maurice) 119‐121
Ac uton þencan georne þonne we þyllic gehyrað, þæt we þe beteran
but let‐us think earnestly when we the‐like hearthat we the better
beon,
þurh
þa boclican lare. We sceolon swincan, and oferswyðan
be through the bookish lore we have‐totoil
and overcomeunþeawas mid godre drohtnunga Godes
rice
geearnianevil‐habits with good
serviceGod’s kingdom
earn“But let us think earnestly, when we hear the like, that we may be the better bymeans of bookish lore. We have to toil, and overcome evil habits by a good service,
to earn God’s kingdom” (translation by Skeat (ed.) 1900: 165)
The combination of UTON and the modal sculan with the 1st person subject explicatesthe exhortative notion as typifying the purpose of the homily. The homilist expresses his
intention to act properly together with the audience, and he believes that doing suchthings is an obligation.１０ Van Bergen (2013: 170) convincingly points to the collocationof UTON and a modal sculan meaning ‘must’:[t]he modal sceal ‘must’ may be used to express commands, instructions, andexhortations as well, and it can occur in contexts similar or identical to thosein which uton constructions are foundThis analysis is conducive to accepting that both modal auxiliaries and the adhortative
auxiliary belong to the semantic realm of modality.
Note, however, that there are some morphological ambiguities of the verb forms within these three mood categories.
Take the OE verb bindan ‘to bind’, for example: binde can be the 1st person singular indicative present form (‘I bind’) or a
subjunctive present form in all three persons. Another form bindaþ can be the plural indicative present form(‘we/you/they bind’) or the imperative plural form (‘bind’).
１０ Note also that sculan with the 1st person subject may express intention with a meaning close to ‘will’ (OE willan). Thisis pointed out by Standop (1957: 123): “[s]culan scheint sich vor allem in der 1. Pers. oft der Bedeutung von willan zu
nähern” (‘sculan especially in the first person appears often to approach the meaning of willan’) (my translation).
９

249

4.2.

Loss of UTON and the rise of LET

As sketched in Section 2.2., in the adhortative category OE UTON fell into disuse
and LET came into use in the Medieval period. The demise of UTON can be ascribed tothe decline of so‐called verb‐first (V1) order in declarative sentences, where the finite
verb is placed at the beginning of the sentence preceding its subject.１１ UTON almost
always appears in the V1 position, followed by its subject we. This order does not follow
the general tendency of word order change, as Önnerfors (1997: 242) briefly mentions:[d]ie noch im Ae. häufige V1‐Stellung im selbständigen DS [= Deklarativsatz]
wird im Laufe der Zeit etwas seltener, wenn sie auch im Me. nicht
verschwindet‘The V1 order in the declarative sentence, still frequent in OE, becomessomewhat rarer in the course of time, although it does not entirely disappear
even in ME’ (my translation)
The construction using LET with US is attested later. The following (7) is the firstexample of LET US in the OED2 (s.v. let, 14.a.).１２(7) ME: Chaucer Canterbury Tales, The Man of Law’s Tale 953‐954１３
stynteof Custance but athrowe,Now lat us
now let us cease‐speaking of Custance only a space‐of‐time
And speke we of the Romayn Emperour
Emperorand speak we of the Roman‘Let us cease speaking of Custance for just a short time and let us speak of the
Roman emperor’
As the V1 word order of the declarative sentence becomes rare in ME, LET in theimperative form inherits the adhortative function. The contextual role of this example isto change the topic, and LET has two notions: VOLITION and PERMISSION. The narratorin (7) wishes to move on from the story about Custance to the next topic, the Romanemperor, and asks the hearers for permission to change the topic (for the pragmaticinterpretation of this example, see Krug 2009: 323‐324 in detail). The wish can beconveyed by the imperative form placed in the V1 position, and the permissive notion isin the lexical meaning of LET. The use of LET in the adhortative context in (7) is possible
because LET keeps its permissive meaning throughout the ME period.

5. Summary
This study investigated the lexical alternations of LET and other auxiliaries in OE
and ME from the perspective of modality. The main findings can be summarised asfollows.
First, OE LET mainly denotes PERMISSION. The sense of OBLIGATION is mainly
conveyed by OE HĀTAN (and occasionally by DO) and ME MAKE. Second, OE UTON
clarifies the speaker’s wish to carry out the propositional content, but later falls into
disuse due to the decline of the declarative V1 order. Third, the rise of ME LET in the
１１ Many studies discuss the status of this peculiar position of the finite verb. The function of the V1 order may be
topicalisation, although I shall not enter into this problem in detail. For this word order in Proto‐Indo‐European, see
Fortson (2010: 159‐160), and for that in OE, Ogawa (2000) and Ringe & Taylor (2014: 407‐410) are noteworthy.
１２ The very first example of 14.a. takes Lat with me, dated 1375. It seems that the OED2 makes no clear distinction
between the usage for someone’s asking permission to do something (‘Let me’) and an adhortative usage (‘Let us’).
１３ Text from Benson (ed.) (1987: 100). Literal glossing and emphasis are mine.

250

imperative mood for the adhortative highlights the contextual role of an entity wishing
to realise the propositional content, with the permission of the addressee implied.
For further study, the scope of the texts used should be expanded andindispensable theoretical support will be provided through philological analysis of thecontexts. This project hopes to contribute to the comprehensive study of several
lexemes used for the same or similar functions from a diachronic perspective.

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253

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

An Experimental Study of Academic English Vocabulary
YANING XIANG*
1‐33, Yayoicho, Inage Ward, Chiba‐shi, Chiba, 263‐8522 Japan

Abstract
For English learners, it is necessary to learn basic vocabulary at first in order to lay afoundation for more advanced study. For college students, who already have a grasp on
basic vocabulary, it is important to learn academic vocabulary in order to read academic
essays in English, publish on international magazines, and do presentations atinternational conferences. There are a lot of vocabulary lists, but few are specialized foruniversity students. This study aims to create academic English vocabulary lists forJapanese university students, helping them strengthen their language capabilities. The
created academic vocabulary lists consist of words in 5 fields: Biology, Chemistry, Earth
Science, Math and Physics. All the English vocabulary data come from online academic
essays. First, the raw vocabulary data are narrowed down by removing function words(of, the, etc.) and basic words (student, many, etc.). Then, the frequent words from thenarrowed down lists are put into 5 questionnaires. Students in the corresponding fields
are asked to assess the narrowed down vocabulary lists, answering questions such as “doyou know this English word” and “the importance of the word”. Japanese translations are
given next to the English words, considering that not all of the students have known all of
the presented academic English vocabulary. At last, all the questionnaires are carefully
analysed. The final academic vocabulary lists are made based on the questionnaires’
results.

Keywords
academic vocabulary, university students, capabilities, online, questionnaire

1. Introduction
There are lots of research concerning the average sizes of English vocabulary forboth native speakers and non‐native speakers. Goulden et al (1990:356) pointed out that“the average educated native speaker has a vocabulary of around 17,000 base words andhas acquired them at the average rate of about two to three words per day”.
As for Japanese high‐school students’ English vocabulary, according to the resultsof vocabulary level tests and reading tests for 260 third year high‐school students,* E-mail address: kouanei@chiba-u.jp254

Yamauchi (1996:6) reported that by about 60% of all the third year high‐schoolparticipants showed English vocabulary sizes as 2000 words or less.
By comparing the vocabulary sizes between native speakers and non‐native
speakers in Japan, we can clearly recognize the gap. Nowadays, international
communication, such as academic presentation, is becoming increasingly common.
English capability is welcomed in every field. Under such circumstances, how to reduce
the gap between English vocabulary size of Japanese learners and that of native speakers
is a significant issue. For university students, who have already learnt daily
communication English words in high schools, they need to expand vocabulary toacademic words which are useful in specialized studies.
This study, considering the current vocabulary sizes of third year high‐school
students or first year university students, aims to make 5 academic vocabulary lists in 5
fields of Biology, Chemistry, Earth Science, Math and Physics.

2. Prior research
2.1 About data collection
Different corpora include different data that came from different sources.
BCCWJ (Balanced Corpus of Contemporary Written Japanese), a representative ofcontemporary Japanese written language, was made up by collecting data from books,
magazines, newspapers, Internet and so on. (“Introduction to BCCWJ”)
BNC (British National Corpus), a representative of “a wide cross‐section of British
English, both spoken and written” (“About the BNC”), was made up by collecting data fromwritten texts and speeches.
We can recognize that written texts and the Internet are two main methods adopted
to collect data. Due to the time consumption to transfer words from books to digital files,
Internet is the main source to collect academic papers in this study. Further, this study
chooses both ScienceDirect and Google Scholar as the source of data collection.
ScienceDirect, which “delivers over 14 million publications from over 3,800
journals and more than 35,000 books” (“Content”), was also introduced as a website
offering the most digital journals in different fields in the world (Joetsu University of
Education Library, 2014). Because of its variety of academic papers, this study downloads
most of the data from ScienceDirect. Besides ScienceDirect, this study also uses Google
Scholar as a supplement to collect academic papers. Google Scholar is regarded as a
website where users can easily find lots of academic data (“About Google Scholar”).
Since this study aims to create academic vocabulary lists in different fields, it was
better to collect all the papers by fields, not randomly.
2.2 Tools used to analyze data
Software tools are indispensable while dealing with a corpus. This study uses two
software: AntConc and GoTagger.

255

AntConc is “a freeware corpus analysis toolkit for concordancing and text analysis”(“AntConc”). It was used by many researchers to analyze a corpus, such as Ishikawa(2012). AntConc embraces many functions like Concordance, File View, and Collocates.
This study mainly focuses on two functions: Word List and Keyword List. Below is theofficial description about Word List from Dr. Laurence Anthony, developer of AntConc.
This tool counts all the words in the corpus and presents them in an ordered
list. This allows you to quickly find which words are the most frequent in a
corpus. (“AntConc Help”)
In other word, Word List presents all the words of a corpus in a list by frequency.
The official description about Keyword List is as below.
This tool shows the which words are unusually frequent (or infrequent) in the
corpus in comparison with the words in a reference corpus. This allows you to
identify characteristic words in the corpus, for example, as part of a genre or
ESP study. (“AntConc Help”)
Keyword List presents words, which are unusually frequent in one corpus but notin another, in a list by their unusual frequency. Keyword List can help to find the words
that represent the characteristics of one corpus.
As for GoTagger, it is a program designed to tag words of English texts (“GoTagger”).
This study uses GoTagger to tag all the English words and divides them into function
words and content words based on the tags.
2.3. Vocabulary sizes of first year university students
Yamauchi (1996:6) reported that according to do English vocabulary and reading
tests, 60 percent of Tokyo third year high‐school students showed vocabulary sizes of2000 words or less. Besides, Chino and Ominato (2007:1) also pointed out that the
average vocabulary sizes of first year students in Nagaoka College in Japan were about
2370.
In this study, a word list that can represent the words that university students
should have learnt in high school is necessary. Word System 5000 (Takefuta, 1976) listed
5000 words especially for high‐school students in Japan. According to “introduction”(2‐8) in Word System 5000, we could recognize that the author selected the most frequently
used words in a corpus of 9 million words which were collected from magazines, essays,
academic books, conversations and so on. Then, after careful evaluation, the most possibly
useful 5000 words for high‐school students were picked out and formed the final word
list. There is another word list called JACET8000 (The Japan Association of College English
Teachers, 2016) that lists words which university students should learn in heart.
Considering the reality of current high school students’ vocabulary sizes, this study uses
Word System 5000 as the representative of a standard word list that university students
should have learnt in high schools.

256

3. Purpose
This study aims to make 5 academic vocabulary lists in Biology, Chemistry, Earth
Science, Math and Physics to help university students to strengthen vocabulary
capabilities. Besides, through learning from this pilot study, academic vocabulary lists inother fields can also be created.

4. Methodology
4.1 Creating a corpus
As mentioned in prior research, this study collects data from ScienceDirect and
Google Scholar. In order to reflect the latest trend of words usage in academic
development, this study only collects papers that were published after the year of 2000.
This study collects academic papers in 28 fields and all of them form a corpus which
consists of 1,218,267 words. The details are in Table 1. All the fields’ names are underreference to the courses division in edX and academic fields division in JSPS (Japan Society
for the Promotion of Science). JSPS, which was established with an imperial endowment
in 1932, “has initiated and carried out a vast array of programs that are essential topromoting scientific research” (“About Us”). JSPS divides Science into detailed fields. For
example, in Humanities, there are Philosophy, Arts, Literature and so on. edX, “an online
learning destination” (“Our Story”), provides numerous online courses which are groupedby different subjects like Architecture, Chemistry and so on. Based on above information,
this study collects data by the following 28 fields as Table 1 shows.
Table 1. Corpus details in fields, types and tokens
fieldstypes
tokensfieldstypes

tokens

Art and Culture

8,412

33,760Architecture

9,481

50,835Business and Management

8,487

36,942Biology

9,867

42,423

Communication

10,23048,446

Chemistry

9,409

41,184

Economics and Finance

8,831

40,331

Computer Science

8,086

35,558

Education

8,068

38,981

Industrial Design

8,546

35,169Ethics9,199

40,336

Electronics

9,111

40,304

History

11,522

49,630Earth Science

10,487

49,697

Humanities

8,686

38,383Engineering

7,064

30,211

Language

8,624

39,268Environmental Studies

11,86859,543

Law

10,99853,255

Food and Nutrition

11,30562,196

Literature

9,455

36,114

Health Safety

12,07068,719

Music

6,854

27,905

Math

8,320

37,784

Philosophy

9,258

42,026

Medicine

10,47460,078Social Sciences

8,076

33,918

Physics

8,850

45,271

As a pilot study, this study creates 5 academic vocabulary lists in the fields ofBiology, Chemistry, Earth Science, Math and Physics.
4.2 Definition of Academic Words
257

Since this study aims to make academic vocabulary lists for university students, itis necessary to remove all the words that university students should have learnt in highschools. As mentioned in 2.3, Word System 5000 (Takefuta, 1976) is the representative ofwhat university students should have learnt in high schools. Therefore, all the words in
Word System 5000 are removed. Besides Word System 5000, one more kind of words are
not the wanted academic words either: function words.
There are two groups of words in English: function words and content words.
Function word is “a word that does not mean anything on its own, but shows therelationship between other words in a sentence, for example words such as but or if”(LDOCE S.V. Function Word). Content word is “a word to which an independent meaning
can be given by reference to a world outside any sentence in which the word may occur”(Collings English Dictionary S.V. Content Word). According to the definition and purposeof this study, function words are not counted as wanted academic words in this study.
Therefore, in this study, the wanted academic words are selected from the wordlists that are removed all the function words and words in Word System 5000 (Takefuta,1976).
4.3 Content and function words’ division
Based on the definitions in dictionaries mentioned in 4.2, this study divides all thewords into function and content ones as Table 2 shows.
Table 2. Function and content words division
CONTENT WORDFUNCTION WORD

Tags

tags’ meaning

tags

tags’ meaning

CD

Cardinal number

CC

Coordinating conjunction

FW

Foreign wordDT

Determiner

JJ

Adjective

EX

Existential there

JJR

Adjective, comparativeIN

Preposition/subord conjunction

JJS

Adjective, superlativeLS

List item marker

NN

Noun, singular or mass

MD

Modal

NNS

Noun, plural

PDT

Predeterminer

NNP

Proper noun, singular

POS

Possessive ending

NNPS

Proper noun, plural

PRP

Personal pronoun

RB

Adverb

PRP$

Possessive pronoun

RBR

Adverb, comparative

RP

Particle

RBS

Adverb, superlative

SYM

SymbolVB

Verb, base form

TO

to

VBD

Verb, past tense

UH

Interjection

VBG

Verb, gerund/present participle

WDT

wh‐determiner

VBN

Verb, past participle

WP

wh‐pronoun

VBP

Verb, non‐3rd ps. sing.

WP$

Possessive wh‐pronoun

VBZ

Verb, 3rd ps. sing. Present

WRB

wh‐adverb

4.4 Automatic improvement of raw data

258

Through AntConc and GoTagger as mentioned in prior research, the raw vocabularydata in the 5 fields are narrowed down respectively by removing all the words in Word
System 5000 (Takefuta, 1976) and all the function words mentioned in 4.3. The result
vocabulary lists are called “vocabulary lists 1” in this study.
As mentioned in 2.2, through Keyword List, we obtain the word lists that represent
the characteristics of the corpus, which are called “vocabulary lists 2” in this study. This
study obtains “vocabulary lists 2” in 5 fields by comparing “vocabulary lists 1” in 5 fields
with BNC, a corpus of “a 100 million word collection of samples of written and spoken
language from a wide range of sources” (“BNC”). Because BNC enjoys a large collection ofdata from wide range of sources, it serves as a good reference corpus since subject corpus
is an academic vocabulary assembling.
4.5 Author’s further improvement
Although all the lists are removed all the function words and words in Word System
5000 (Takefuta 1976), it is necessary for author to check the results. For example, there isword datum in Word System 5000 but no plural one data, which should be removed as theword that university students should have learnt in high schools. This study checks all the
vocabulary lists to remove the similar derivative terms. But if there were changes inmeaning, the derivative would be left. For example, verb tolerate means “to be able toaccept something unpleasant or difficult, even though you do not like it” (LDOCE S.V.
Tolerate). But tolerance is not just the acceptance of something you might not agree, butalso can be used in mathematics or engineering meaning “the permitted variation in somemeasurement or other characteristic of an object or workpiece” (Collings English
Dictionary S.V. Tolerance). Under such circumstances, tolerance will be left.
Through author’s check, this study attains the improved “vocabulary lists 1” and“vocabulary lists 2 ” in 5 fields.
4.6 Questionnaires
The frequently used words in improved “vocabulary lists 1” and “vocabulary lists 2”
are put together in questionnaires by fields. Students in the corresponding fields are
required to assess all the words. Because not all the studetns have already known all the
English vocabulary, Japanese translations given next to the English words can givereference. For example, part of the quesionnair in Math is like figure 1.
The results are evaluated based on the percentage of “do you know the English
word”, “do you know the Japanese translation” and “the importance of the word” (5 being
the most). In this study, words that are classified as the wanted academic words mustsatisfy:
1, the percentage of “I know the English word”≠ 100%;
2, the percentage of “I know the Japanese translation” > 50%;
3, the average importance > 2.5.

259

Figure 1. Questionnaire in MathFor example, hypothesis, elementary are two words that 100% students know theEnglish words and Japanese translation. Although their average importance is gradedabove 4, these words are not considered as the wanted academic words in this study.
Constraint is a word that only 20% know the English word, but 80% know its Japanesetranslation and its importance is graded as 3.8. Constraint is the word that this study
wants. In‐service is a word that 0% know the English word and 60% know its Japanesetranslation. But considering its importance is graded under the average importance 2.5,
this study does not involve this word as the wanted academic words.

5 Results
According to the evaluation standard as mentioned above, this study obtains
academic vocabulary lists in Biology, Chemistry, Earth Science, Math and Physics.
Table 3. Academic vocabulary list in Biology
antireductionism
fungalhyphaecomputational
fractalendosomeqb (quantum biology)
classical

pathogensub‐stomatalmonisminteraction

Table 4. Academic vocabulary list in Chemistrysynthesis
uranylderivativesolvent‐free
medicinal
thermodynamic
refluxaromatic
IC (Isotope Chemistry)
nitrogenalgorithm
necrotrophic
dispensable
execution

asynchronous
methodologicalsimulation
episodeaqueouscondensation
fuse
tetrahedron

conjugatedelectron
pharmaceuticalligands

optimalheterocyclic
catalyst
subsequent

Table 5. Academic vocabulary list in Earth Science
asteroid
gridthermodynamic
velocity
interfaceemissionhydroelectric
vectorGDP(Gross Domestic product)
diameterconsistenthydropowerclassification
respectively
deflection
arrayentityalgorithm
basin
paleoceneparameter
chromium
coating
passivecomputation
causality
stand‐offsimulation
decomposition
tectonic
stand‐onempirical
combustible
aggregate
eustatic
mitigation
nexus
oxide

Table 6. Academic vocabulary list in Math260

constraint
deviation
algorithmic

pre‐test
excerpt

post‐test
induction

Table 7. Academic vocabulary list in Physics
simulation
temporaldecayelectroweak
plasmadislocation
residual
tolerance
copperalgorithm
refinement
coefficient
retrieveinterfaceinteraction
iteration
gridpreconditioning
vectormatrixrespectively

interactive
covariancethresholdorthogonaltransient
derivativeequilibrium
infrared
prototypeparameter
executeisotopecosmology
inquisitivenesscomputational

disposition
affirmation

disposition
nonlinearconvergencehydraulictruncation
mechatronics

Under evaluation standard(1, the percentage of “I know the English word”≠ 100%;
2, the percentage of “I know the Japanese translation” > 50%; 3, the average importance> 2.5), the percentages of the number of the wanted academic words in the number ofwords in questionnaires are: Biology, 32%; Chemistry, 35%; Earth Science, 54%; Math,58%; physics, 67%.
There are probably 2 reasons accounting for the fact that Math has the leastacademic words among 5 fields. The first is because of the least data collection in Mathcompared with other fields; the second is because in academic papers in Math, the factthat lots of calculation process or results taking a large coverage of the texts cannot be
neglected.
Earth Science and Physics enjoy high percentage of wanted academic words inquestionnaires. It is not just because of their large collection of data compared withothers, but also because of the fact that there is 0 word whose percentage of “I know theEnglish word” is 100% and “I know the Japanese translation” also 100% in thequestionnaires. It means that no words are considered as not wanted academic
vocabulary because 100% participants know their English spellings and Japanesetranslations. With Biology 32%, Chemistry 17%, Math 26%, we can recognize that words
in Earth Science and Physics are relatively difficult compared with words in other fields.

6 Summary and Discussion
This study created a corpus consisting more than 1 million words data in 28 fields
and made academic vocabulary lists of 5 fields in Biology, Chemistry, Earth Science, Mathand Physics. After automatic effort by software, author further improved the resultsmanually. The final academic vocabulary lists were results that were selected byuniversity students in the corresponding fields.
Rethinking about the results of this study, author recognized that they were closely
related to the corpus size and evaluation standard. To raise accuracy, bigger corpus willbe created in the next study. Evaluation standard can be adjusted according to the targetof study. For example, all the derivative terms of words in Word System 5000 were
removed in this study, but word like qualitative, which is the adjective of quality, actuallywas not known by many students. Therefore, it is important to rethink which kind ofwords should be removed or left. Besides, the evaluation standard to select the academic
words also can be re‐considered. For students that do not have a large size of English
vocabulary, more words should be included. Thus, relaxing the current criteria issignificant.

261

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Collings English Dictionary. Available Online: http://www.collinsdictionary.com/.
Chino, Junichiro. Ominato, Yoshihiro. (2007). The Development of the Vocabulary Size of Japanese
EFL Learners. Nagaoka National College of Technology, V. 43, No. 1, pp.1‐10. NII‐Electronic
Library Service, Japan.
“Content”. (2016). ELSEVIER. https://www.elsevier.com/solutions /sciencedirect /content. Last
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Linguistics, Vol. 11, No. 4, pp. 341‐363. Oxford University Press.
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jal.ac.jp/corpus_center/bccwj/. Tachikawa, Tokyo. Last Accessed 12 Oct. 2016.
Ishikawa, Shin‐ichiro. (2012). A Basic Guide to Corpus Linguistics, Hituzi Shoten, Tokyo, Japan.
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made comprehensible in 30 minutes’). Joestu University of Education.
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262

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Social Sciences and Sustainabilities

Promoting Cities through Shopping Street Unions in Japan
Masakazu Ito*
Chiba University, Graduate School of Social Sciences and Humanities, 1‐33 Yayoi‐cho
Inage‐ku Chiba‐shi 263‐8522, Japan

Abstract
Some sociologists and commercial scientists have claimed that shopping streets
serve various functions in the local ecosystem and culture. In particular, urbansociologists have claimed that streets are contexts of globalization (immigration) andgentrification (urban development). In Japan's case, however, there is limited influence ofimmigration on shopping streets. Moreover, Japanese shopping streets are not the main
target of urban development; therefore, it is necessary for studies on Japanese shopping
streets to analyze what affects of globalization and gentrification. This paper argues that
promoting cities can play a significant role for them.
To achieve this purpose, I conducted a case study of activities in a Japanese shopping
street union: fieldwork and interview at Sengen shopping street in Chiba City. Japanese
shopping street unions have a history of accepting social policy for shopkeepers.
However, against this history, some argue whether shopping street unions areconservative groups or not.
On the other hand, changes in social policy have emphasized city promoting. This
trend influences shopping streets; some shopping street unions function as protectors of
local ecosystem and culture. When shopping street union’s activities expand local culture
and promote the city, the local community can undergo globalization and gentrification.
Some Japanese shopping streets are tourist attractions. In Japan, promoting cities via
shopping street unions is a key to the future development of shopping streets. In
particular, tourism strategy facilitates their globalization and gentrification.

Keywords
shopping street, globalization, gentrification, local community

1. Study on shopping streets
1.1.

Studies by sociologists and commercial scientists

Some sociologists and commercial scientists have claimed that shopping streets
perform various functions in the local ecosystem and its culture. Moreover, sociologists* Corresponding author. Tel.: +81‐090‐1807‐6919.

E‐mail address: adua2932@chiba‐u.jp263

have observed that shopkeepers have cooperated with local residents to manage local
festivals and have participated in the efforts of residents to solve tasks associated withlocal governance such as ascertaining political opinions (Tamano 2005). Shopkeepers in
shopping street unions have become part of a maintenance function for local culture and,through the pressure they exert, have political significance.
Commercial scientists have considered shopping streets as important for central
city revitalization. They have claimed that shopping areas have created “prosperity”(called nigiwai) and have formed a local economy inspired by consumers’ shopping(Ishihara and Nishimura 2010). Shopping streets, therefore, have an important economic
function in local communities.
Studies on shopping streets have claimed that there are social functions that aremanaged by shopping streets (Ito 2016).
1.2.

Studies by urban sociologists

In particular, urban sociologists have claimed that streets are contexts for
globalization (immigration) and gentrification (urban development). Shopping streets
associated with the context of globalization accept immigrants for employment, which isoften their first work experience. Shopping streets in context of gentrification are
involved in urban development, which, paradoxically, often cannot accept people who are
immigrants or those with a low‐income (Zukin, Kasinitz & Chen 2016).
There are some steps that take place in order for gentrification to be reached. In thefirst instance, a street with low rent attracts immigrants and people with a low‐income(for example, students and fledgling artists). They gradually form a unique culture withthe opening of various shops and art galleries (Sasajima 2016). Second, this uniqueculture attracts interest to the street. It also brings in tourists and those interested in art.
The third step is the influx of big capital (a large corporation or an urban policy) that has
a rapid impact on the street. This leads to soaring property values and a “scrap and build”
form of exclusion to immigrants and low‐income residents.
1.3.

Shopping streets in Japan

In Japan's case, however, there is limited influence of immigration on shopping
streets. Moreover, Japanese shopping streets are not the main targets for urban
development. In fact, during the last 30 years, shopping streets have been in decline andare labeled “shutter streets” as shopkeepers cannot keep their businesses afloat andbuilding owners cannot find tenants. According to the Shopping Streets Actual Condition
Survey (Small and Medium Enterprise Agency 2016), the rate of “Prospering” and of thosewith an “Indication of prospering” stands at a mere 5.3%. Meanwhile, the rate of“Declining” businesses and of those “Afraid of declining” is as high as 66.9% (Table 1).
Majority of Japanese shopping streets do not make money for the business owners who
would benefit from urban development.
Table 1. Business conditions of shopping streets in2015
Business conditions
Rate
Prospering
2.2%
Indication of prospering
3.1%
Flat
24.7%
Afraid of declining
31.6%
Declining
35.3%
No answer
3.1%
Source: Shopping Streets Actual Condition Survey(Small and Medium Enterprise Agency 2016: 34)

Meanwhile, globalization gradually influences shopping streets from attracting
tourists. There are some Japanese shopping streets that are tourist attractions, such as264

Asakusa and Yanaka. Asakusa has a historic temple city that continues to prosper. The
shopping streets in Asakusa naturally flourish because of their location near to suchhistoric landmark. In Yanaka, there are guest houses and youth hostels supporting foreign
travelers. In addition, townscape which is called shitamachi and means the expression ofJapanese nostalgia (about 1950s‐1970s) is maintained by the shopping street union.
Globalization from tourism may offer a guide to indicate gentrification. Therefore,
it is necessary for studies on Japanese shopping streets to analyze the effects ofglobalization and gentrification on such streets. This paper argues that promoting cities
can play a significant role. In order to achieve this, I conducted a case study of the activities
of a Japanese shopping street union.

2. Japanese shopping street unions
2.1.

History of Japanese shopping street unions

Japanese shopping street unions have a history of accepting social policy forshopkeepers. Between World War I and World War II, there was an inflow of people fromthe rural coutryside into urban areas who soon constituted a new low‐income class. They
made a living from trade learned through trial and error. In order to get relief frompressures associated with urbanization, they established shopping street unions. Thisphenomenon of urbanization is not unique to Japan and can also observed in order partsof the world (Arata 2011).
During the high economic growth period (1954‐1973), there was the emergence ofa white‐collar class, also termed a new middle class. At the same time, an urban self‐
employment class (shopkeepers) was established by national social policy that regulate
to build big stores. The development of these two classes became known as the “stabilityof both wings” (Arata 2012).
2.2.

Recent trends of Japanese shopping street unions

Bearing this history in mind, some argue whether shopping street unions areconservative groups or not. In actuality, after the high economic growth period, shopping
street unions claimed that they were opposed to the building of big stores near theirstreets and they wanted a social policy to be in place that would allow them to receive
financial assistance. Such attempts have led to the formation of the impression that the
shopping street unions have a conservative agenda.
Conversely, in around the year 2000 the “sharing equally” social policy changed into
the policy of “supporting for working hard” social policy (Nakazawa 2001). This policy’s
development led to a reconsideration of whether shopping street unions are truly
conservators, since this policy shift acted towards the promotion of cities.
The broader Japanese social circumstances, which include challenges such as
declining birthrate, the growing number of elderly people and the experience of natural
disasters (for example, the Kobe earthquake and the Tohoku earthquake) demonstrated
the necessity of having a vibrant local community. Such trends influenced shopping areas
with some shopping street unions functioning as the protectors of the local ecosystem andculture.

3. Case study of the Sengen shopping street in Chiba City
3.1.

Shopping street unions in Chiba City

265

Chiba City is the capital of the Chiba Prefecture that is contiguous with the Tokyo
Metropolitan area. In 2016, 49 unions belonged to the Chiba City shopping street union.
The average number of shops in these unions stands at 44.92 shops. However, there wasonly information about 26 of the unions on the Chiba City shopping street union’s website.
Of these 26 unions, 22 managed original events, and only seven unions have original
websites (Chiba City Shopping Street Union 2016). Therefore, we cannot conclude thatshopping street unions in Chiba City necessarily prosper.
3.2.

Sengen shopping street in Inage area

Inage area belongs to Inage Ward in Chiba City. The Inage area is a suburb that hasaccess to Tokyo station, which is about 35 minutes away from the area by the rapid train
operated by Japan Railways (JR). The size of the Inage area is roughly equal to that of ajunior high school district.
Table 2. Population of Chiba City, Inage Ward and Inage area (2010)
Chiba City
Population

Inage Ward

Inage area

Total

961,749

157,768

20,264Male

480,194

78,835

10,129Female481,555

78,933

10,135

Source:National
Population Census 2010

In the past, the Inage area had a view of the ocean and was a farming and fishingvillage. In 1921, Keisei Railway opened traffic between Oshiage station in Tokyo and the
Keisei Inage station. The Inage area was prospered as a health resort for cultural people,
while the masses flocked to its beaches. During this time, the Sengen shopping street
began to prosper.
However, in 1961, the area, especially the beach, became subject to urban
development and was soon transformed into a dormitory suburb of Tokyo for whitecollars workers. The central part of the Inage area saw the moving of the Keisei Inage
station to the JR Inage station. Finally, in 1981, the JR Inage station could accept rapid
trains, which added to the image of the Inage area have been thought as a dormitory
suburb. The construction of projects such as “Proud Tower Inage” (37 floors, 354 rooms,
built in September 2009) and “Willis Inage” (14 floors, 929 rooms, built in February 2015)
became symbolic condominiums of a dormitory suburb.
The Sengen shopping street, with a total length of about 600 meters, has been
managed by the Inage shopping street promoting union that was established in 1963. By
2016, there were 37 shops that were members of this union (the number of shops not in
the union stands at 28). The shoppers are predominantly senior residents who haveaccess to the Sengen shopping street and go there on foot. This shopping area was an
example of a typically declining Japanese shopping street in Japan until around 2004
when the union started two main activities in the Inage area.
3.3.

Activities in Sengen shopping street"One Shop, Great Products Movement" (called "Itten Ippin Undo" started in 1993)
The above movement inspired shops to consider product development. In thisinitiative, each shop was to create “great” products and sell them. Recently, an
incorporated non‐profit organization (NPO) called the One Shop, Great Products
Movement Association, established in 2007, chose to support shopping street unions. The
association opened lectures for product development, supported the teaching andlearning of product design, and promoted a “great” products fair in the shopping streets.
Furthermore, it created networking opportunities for each shopping street unions. The
primary characteristic of the movement is routine participation in product learning andfor the exchange of views and opinions about each product. However, because these266

programs gathered shopkeepers together, many shopping street unions limited their
participation in the movement.
In the case of the Inage shopping street, union participation in the movement of
2004, stood at around one‐third of union members.
Table 3. Participants of the One Shop, Great Products Movement in the Inage Shopping Street Promoting Union
year

2006

2007

2008

2009

2010

2011

2012

2013

2014

shops

9

10

11

13

12

10

11

12

11

Source: Leaflets of the Great Products Fair Made by the Inage Shopping Street Promoting Union

One‐third of the members attended a “great” products fair, which presented the“great” products of each shopkeepers. In addition, one‐third of the members managed
walking tours of the Inage area. They introduced not only their products but also
historical places of significance during the tours. This constituted function of promoting
the city as well as their activities.
"Yotoboshi"
The formal name of Yotoboshi is the “Inage Akari Festival Yotoboshi” and it wasestablished in 2006. The origin of the festival is Yotoboshi‐ryo which consists of fishing atnight while playing with a carbide lamp (an old model lantern called kantera) in a shallow
beach. This ocean view is reproduced with handmade candle lanterns (called touro). The
body of the lantern is made form laminated Japanese paper (called washi) and primaryschool children draw pictures on it.
Yotoboshi‐ryo is the symbol for the memory of the Inage area where old residents
once had an ocean view. In 1961, as a result of the business of reclamation, the memory
from the Inage beach was buried. Yotoboshi is the place where older residents reminisce
and make new memories for younger residents who have no recollection of the Inage
beach.
Yotoboshi does not originate from religion or a belief in God. It is managed by the
Yotoboshi executive committee and organized by its main members in the Inage shopping
street promoting union. They succeeded to make a symbol of the Inage area. There wereabout 1,000 candle lanterns in the first Yotoboshi; however, during the 10th Yotoboshi in
2015, there were as many as 8,000 candle lanterns. The event became so significant thatthe name of Yotoboshi got featured in guide book published by the Chiba City Tourism
Association.
3.4.

Tourism Strategy in Shopping Streets

Shopping street unions are organized for shopkeepers so that they may profit. In
particular, the “One Shop, Great Products Movement” seeks to improve the functioning of
the local economy. In the case of the Inage shopping street promoting union, their
movement has the function of promoting the city. They hope to offer prosperity not only
to the shops in Sengen shopping street but also to the Inage area at large.
Moreover, the Inage shopping street promoting union has the function of creating a
local culture and the maintenance of this culture through the Yotoboshi. A Japanese tea
shopkeeper who is a member of the union emphasized that helps the "pride of thecommunity," offers a "festival for children," and contributes to the "management of
neutral position in the community" (interview August 29, 2012.).
These two activities in the Sengen shopping street work with members of the Inage
shopping street promoting union to consider ways of promoting the Sengen shopping
street and Inage area. In this case, meaning of "promote" is how they work to makeshoppers' and visitors' look at the stores. In other words, this leads to "tourist gaze" (Urry& Larsen 2011). In addition, such activities promote the way in which cities can attract
tourists.

267

4. Conclusion
4.1.

Indication of globalization and gentrification in Japanese shopping streets

The activities of Japanese shopping street unions tend to promote the cities. Whenthe shopping street union’s activities expand local culture and promote the city, the local
community can undergo globalization and gentrification.
Shopping street unions of not only famous streets but also non‐famous streetschoosing tourism strategy are gradually increasing. Generally speaking, these shopping
street unions try to form things that can symbolize the city and try to maintain it. Shopping
street unions working hard try to create symbols of the city such as historic landmarks,
townscape expressing Japanese nostalgia, new festivals, “holy place” about cartoons or
animation (background of the cartoons or animation), B class gourmet, and “Yuru‐chara”(original local cartoon‐character costume). Japanese people who get tired of Tokyo, Osakaand Kyoto already search and walk around the niche places. Foreigners start following
this gradually. Therefore, there is an indication of globalization from tourism.
4.2.

Conclusion

In Japan, promoting cities via shopping street unions is a key to the future
development of shopping streets. Will declining shopping streets be included inresidential areas and business districts, leading to their redevelopment, or will they beconverted into ghost towns? Shopping street unions are increasingly striving toward
promoting the city through methods such as social movements. In the case of tourism
strategy, do hard‐working shopping street unions involve or resist gentrification? The
answer to this depends on the thought of promoting cities.

References
Arata, Masafumi. (2011). Ryo‐taisen‐kanki Globalization ni okeru <Syotengai> no Keisei (Forming<Shopping Street> in Globalization between World War 1 and World War 2). In Endo, Kaoru(Ed.). Globalization to Toshi‐henyou (Globalization and Urban Transformation), p.251‐275.
Sekaishisousha, Kyoto, Japan. [in Japanese]
Arata, Masafumi. (2012). Syotengai wa Naze Horobirunoka (Why Shopping Street Disappear?),
Kobunsha, Tokyo, Japan. [in Japanese]
Chiba City Shopping Street Union. (2016). Shopping Street Unions in Chiba City, Chiba, Japan.
http://www.chiba‐shopstreet.com/menber.html Last Accessed 20 October 2016.
Ishihara, Takemasa & Nishimura, Sachio (Eds.). (2010). Machizukuri wo Manabu (learning the
Town Planning), Yuhikaku, Tokyo, Japan. [in Japanese]
Ito, Masakazu. (2016). Machizukuri‐shiko no Syotengai‐ron ni taisuru Chiiki‐syakaigaku‐tekiApproach no Houto: Syotengai no Syakai‐teki‐kinou ni Chakumoku shite (Way of Regionaland Community Studies to Shopping Street Studies of Town Planning Intention: Focusing on
Social Functions in Shopping Street). In Yonemura, Chiyo (Ed.). Social Bonding in Fluid
Societies, p.51‐63. RESEARCH PROJECT REPORTS, No.301. Chiba University Graduate
School of Humanities and Social Sciences, Chiba, Japan. [in Japanese]
Nakazawa, Takao. (2001). Kawaru Syotengai (Changing Shopping Streets), Iwanamisyoten, Tokyo,
Japan. [in Japanese]
Tamano, Kazushi. (2005). Tokyo no Local Community (Local Community in Tokyo),Tokyodaigakusyuppankai, Tokyo, Japan. [in Japanese]

268

Sasajima, Hideaki. (2016). Artist‐led Gentrification of SoHo in New York City: The Birth of the Art
Gallery District from 1965 to 1971. Japanese sociological review, Vol.67, No.1, pp.106‐121.
Yuhikaku, Tokyo, Japan. [in Japanese]
Small and Medium Enterprise Agency. (2016). Shopping Streets Actual Condition Survey, Tokyo,
Japan. http://www.chusho.meti.go.jp/shogyo/shogyo/2016/160322shoutengaiB.pdf
Last Accessed 20 October 2016.
Urry, John & Larsen, Jonas. (2011). THE TOURIST GAZE 3.0, Sage Publications, London, United
kingdom.
Zukin, Sharon & Kasinitz, Philip & Chen, Xiangming. (2016). Global Cities, Local Streets: Everyday
Diversity from New York to Shanghai, Routledge, London, United Kingdom.

269

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

The Importance of Paddy Rice Production for the Agricultural
Communities in the Highland of South Sulawesi
Muhammad Agung Ady Mangilep*
Chiba University, 1‐33 Yayoi‐cho, Chiba‐shi 263‐0022, Japan

Abstract
This article aims to reveal farmers' intention on the continuation and improvement of,and the adoption of new methods for paddy rice production in the highland of South
Sulawesi. A series of interviews with farmers were conducted in the Enrekang Regency,
the Toraja Regency, and the North Toraja Regency in order to obtain descriptive data on
the paddy rice production, agricultural technologies, land ownerships, and farmer’s
income sources. Paddy rice fields in these areas are generally short of water supply andtheir sizes are limited by the shape of the hilly land surface. Farmers in the Enrekang
Regency maintain a paddy rice production as a part of their horticulture production
cycle. In that area, red onions are commercially produced twice in a year, and paddy riceis produced non‐commercially once in a year between red onion productions. That cycle
has effectively reduced pests on the red onions. Farmers also keep paddy riceproductions for food stocks and for preserving their agricultural lands in a goodcondition. They use both local and government’s varieties alternately to increase thepaddy rice production. A turn to produce on the agricultural land is rotated among all
family members. Farmers in the Toraja Regencies maintain a paddy rice production toserve symbolic dividends on a collective ownership of the big family assets. Agriculturalland is an important family asset since it is a part of the Tongkonan. Their non‐commercial paddy rice production preserves an agricultural environment and keeps
land values. The Tongkonan has been served as the main place for a funeral ceremony ofa deceased family member. That ceremony holds the most important aspect in an
agricultural community life, where water buffaloes are used for a bull‐fighting attraction
and served as foods. Both the paddy rice production and the water buffalo breeding
sustain the non‐monetary economic welfare in this region, though the water buffaloes
are also sold in the market for their income. Income of farmers comes mostly from awater buffalo breeding and plantations of commercial agricultural products such as acoffee and a clove.

Keywords
Paddy rice production; farmer behavior

1. Introduction
This research is aimed to find out farmer perspectives on the continuation andimprovement of, and adoption of new methods for paddy rice production inSouth Sulawesi. The descriptive data of this research were collected by field* Muhammad Agung Ady Mangilep. Tel.: +8‐170‐1388‐9122

E‐mail address: agung@chiba‐u.jp270The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

studies. Field studies were conducted by me to interview South Sulawesi farmers
in Enrekang Regency, North Toraja Regency, and Tana Toraja Regency. Based on
my notes and records of these interviews, this research reveals that a motivationof farmers depends on agricultural production other than the paddy riceproduction; and the need for maintaining a close relationship among members ofa big family.
The demand, the price and the production of paddy rice have been increased foryears in Indonesia, but that production at upland of South Sulawesi has beenstagnant and tends to decrease. Although the current prices of local rice varietiesof highlands are more than and the current prices of lowland rice varieties, it is
not as high as those of other competitive commercial agricultural products. For
an example, red a kilogram onion price is more than twice of rice price. It can beproduced 3 times a year, while paddy rice production only once a year. In 1
hectare, a red onion production can produces about 3 times more than paddy
rice. So there is no incentive for farmers to continue a paddy rice production for
a commercial purpose. Mostly, the purpose of paddy rice production there is aself‐consumption by the family.
In Enrekang Regency, farmers had kept a paddy rice production as a part ofanother agricultural production which has a competitive commercial value in themarket. In Toraja Regencies, the paddy production is also used to keep a
relationship among members in a big family in which all members of the family
have their willingness to secure their dividends on the agricultural land.
2. General Situation of Paddy Rice Production at Uplands of South Sulawesi
The South Sulawesi province is one of provinces at the Celebes island inIndonesia and Celebes island is one of the main islands which is located at thecenter of Indonesia. The South Sulawesi province is one of the most important
rice production centers in Indonesia. Kompas.com (2013) mentioned the South
Sulawesi province produced rice about 540,000 ton in 2013. However most of
paddy rice in the province is produced in the lowland areas. In upland areas ofSouth Sulawesi, most of farmers have lands, which belong to their family
members, and they are not available for sale or for rent. They own about 1 to 2
hectares of irregular‐shape fields, but only some part of them are allocated to apaddy rice production. Farmers cultivate paddy rice on the terrace fields at hilly
mountain sides, most of which are rainfed fields. Some areas are close to a riverand have irrigation channels. According to Accuweather (2016), the temperaturein those regencies is 15 to 25 oC. It is about 10 oC lower than that of the lowland
areas. Most of the government varieties can grow in about 3 months, while mostof local varieties need about 6 months. Although government subsidized paddy
varieties have a higher productivity than others, only a few varieties can grownormally in such an environtment. The local varieties have a lower productivity,
but all of them are suitable for the upland condition, so that farmers keep
producing local varieties.

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Farmers who participate in the inerviews mentioned production of local paddy
rice varieties are done once a year in a rainy season. A transplanting of seeds
starts from February. Before it, land must be prepared by plowing the soil andthen flattening the land, which can be done by using a hand‐tractor. A hand‐
tractor can be borrowed from a farmer group to which the farmer belong, or canbe rent from other farmers who own one privately. After plowing the soil,
farmers prepare seeds in a separated section of a field. After they germinate,
which usually take a month, farmers start to transplant seedlings by hiringneighbourhood farmers. At some fields closed to a river with an irrigation
channel system, farmers combine a paddy rice production with a fish pool.
Chemical fertilizers are subsidized by government and they should be applied tothe plants twice, first after transplanting and secondly before paddy fruits comeup, but farmers producing on fertile lands leave the plants without any chemicalfertilizer. For a pest control, farmers buy chemical pesticides, herbicides, andmouse poisons by themselves. Chemical pesticides can be applied for a pest
control, which depend on pest types such as insects and microbes. A set ofscarecrow is used to dispel sparrows. A weeds control can be done by applying
herbicide, but is mostly done by farmers’ own field work. When the color ofplants turns yellow, usually after 6 months, paddy plants can be harvested byusing “ani‐ani”, a specific cutter for a long paddy straw. For harvesting, farmers
hire neighbors who have participated in transplanting. Harvested paddy rice isgathered on a section of field and then they are defoliated, sometimes by using adefoliation machine. Then, rice is cleared and dried under the sunlight. A driedrice will be kept in a house or a rice storage.
Farmers produce other agricultural products other than paddy rice. They
produce red onion and other vegetables. A publication of Enrekang Regency’s
government (2016) mentioned red onion price is about Rp 20,000 to 32,000 per
kilogram. They also grow plantation such as cloves and coffee. Harga.web.id(2016) mentioned cloves price was about Rp 100,000 per kilogram andOthervisions (2013) mentioned cloves plantation produces about 0.5 to 1.5 ton
per hectare once a year. Tanimedia.com (2013) mentioned a coffee plantation
produces about 0.5 – 1.5 tons in 1 hectare a year and Veco Indonesia (2015)
mentioned coffee bean price was about Rp 100,000 per kilogram. De Jong (2013)
mentioned Torajan Arabica varieties have a stable price. They also breed cattles
and water buffaloes. TribunToraja.com (2016) mentioned price of a water
buffalo was about tens of millions Rupiah to billions Rupiah.
3. Method of Field Study
Field study is done on 3 regencies namely the Enrekang regency, the Tana Toraja
regency and the North Toraja regency. Those regencies is located in the upland
and they have aromatic local paddy rice varieties. Lestaria, Abdullah, Junaedib,
and Aswidinnoorb (2011) mentioned there are aromatic paddy rice varieties inthe Enrekang Regency such as Pinjan and Pulu Mandoti, and in the Toraja
regencies such as Pare Bau and Lambau. According to a publication of the272

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Enrekang Regency’s Statistic Bureau (2016), the Enrekang regency is located at
3º14’36” to 3º50’0” South Latitude and 119º40’53” to 120º6’33” East Longitude
and its distance from Makassar, the capital city of the South Sulawesi province, is
235 km. Its elevation is from 442 to 3,000 m above the sea. The capital city of the
Enrekang regency is the Enrekang city. According to a publication of the Tana
Toraja Regency’s Government (2016), the Tana Toraja regency is located at 2º to
3º South Latitude and 119º to 120º East Longitude and its distance from
Makassar is 320 km. Its elevation is from 1,500 to 3,000 m above the sea. The
capital city of the Tana Toraja regency is the Makale city. According to a
publication of the North Toraja Regency’s Government (2016), the North Toraja
regency is located at 2º35’ to 3º15’ to South Latitude and 119º to 120º East
Longitude and its distance from Makassar is 321 km. Its elevation is from 704 to
1,646 m above the sea. The capital city of the North Toraja regency is theRantepao city.
Interview was done from 18 December 2015 to 18 January 2016. Responders forthis field study were 17 farmers, 11 farmers were in the Enrekang regency, 4
farmers were in the North Toraja regency, and 2 farmers were in the Tana Toraja
regency. At first, responders were obtained by informants who knew them. Thenby using the snowball techniques, the first responders in each villages asked
their friends or relatives to join the interviews. Interviews were held at the Balla
village and the Bau village in the Enrekang regency, at the Minanga village in the
Tana Toraja regency, and at the Buntu village, the Bolu village, the Tallunglipu
village and at the Kampung Baru village in the North Toraja regency. The first
responders in almost all villages had introduced me to other farmers inside theirvillages. There was only one responders who introduced me to another farmer
ouside his village, and there were two farmers who did not introduced me toanother farmer. Farmers decided the dates and times for interviews. At first,
interview was held at the Balla village in the Enrekang regency, then at the Buntu
village in the North Toraja regency, then at the Minanga village in the Tana
Toraja regency, then at the Bolu village in the North Toraja, then at the
Tallunglipu village in the North Toraja regency, then at the Kampung Baru village
in the North Toraja regency, then at the Bau village in the Enrekang regency. Theinterviews used a free style techniques which helped farmers to speak freely
based on their experiences in the paddy rice production. Farmers were not easy
to believe an outsider, so I promised a confidentiality for all responder’sidentities and any specific information in the interviews. The questions forinterviews consisted of 6 topics; 1) about the countinuity of the paddy riceproduction, 2) about farmers’ cooperation to solve pests problems, 3) about
farmers’ cooperation to maintain agricultural infrastructures, 4) about
production factors for a paddy rice production, 5) about a financial aspect for a
paddy rice production, and 6) about marketing of paddy rice products. Farmers
were asked to choose any topic in the list which they wanted to talk about. Talk
was usually about their experience of production and related problems, mixing
up many topics. Farmers talked mostly during interviews, and I interfered only
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to clarify ambiguous comments by them. Those information were recorded using
a voice recorder and a logbook.
Minimum quantitative data was taken to characterize interviewed farmers.
Quantitave data is not used in the analysis. Those quantitative data were about
the total size of their agricultural lands, a size of a part of agricultural land usedas paddy rice fields, their current ages, and how long they have been working on
the paddy rice production. Almost all of farmers interviewed were not small
scale farmers. In the Enrekang Regency, the North Toraja regency and the Tana
Toraja regency, all of interviewed farmers owned more than 1.5 ha ofagricultural land. All interviewed farmers had enough experience on the
agricultural production, who had been experienced more than 10 years ofexperience in the agricultural production. The least experienced farmer in the
Enrekang regency had been working in the agricultural production for 18 years.
The least experienced farmer in the Tana Toraja regency had been working in
the agricultural production for 20 years. The least experienced farmer in the
North Toraja regency had been working in the agricultural production for 33
years. All responders of the interviews managed a production of various
agricultural products.
4. The Role of A Paddy Rice Production in the Enrekang Regency
In the Enrekang Regency, farmers use 0.2 to 1 hectare of their land for a paddy
rice production, but because of a rotating land ownership system, farmers
mentioned that they must wait for more than 2 years for their turn ofproduction. Farmers can produce 7 to 8 tons of paddy rice in a hectar per year. At
other lands, they produce corn and horticultures such as red onions, chili andpotatoes at other lands. They also have cattles breeded and some fish pools. In
the dry season, farmers produce only agricultural products other than paddy
rice. Farmers mentioned their income mostly comes from vegetable productionof red onion, chili, potato and tomato. They also make revenues from corn andfish. Among all products, red onion contributes the most to their income.
Although the current prices of local rice varieties of highlands are higher than thecurrent prices of lowland rice varieties, it is not as high as those of othercompetitive commercial agricultural products. For an example, in the Enrekangregency, red onion productivity and pofitability is much higher than rice.
Farmers mentioned red onion can be produced 3 times a year, while paddy riceproduction only once a year. They also mentioned a red onion production can
produce about 20 tons in a hectar per year, while a paddy rice production
produce about 6 tons. Farmers mentioned the current prices of local rice
varieties of highlands are about Rp 14,000 per kilogram and the current prices oflowland rice varieties are about Rp 8,000 per kilogram. So there is no incentive
for farmers to continue a paddy rice production for a commercial purpose.
Mostly, the purpose of paddy rice production there is a self‐consumption by thefamily. Sometimes, rice is sold when farmers need money for children educationand health treatments.
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At an area which is far from a river, paddy rice is still produced. Farmers
mentioned, although a red onion production is the main source of income forthem, farmers always produce a paddy rice after two consecutive productions of
red onion. From their experience, they see that a continuous red onion
production, three times in a year, would make a risk of worm pest on red onions
which would require to apply a chemical pesticide. A production of paddy rice
reduces a worm pest and farmer can save their money from buying pesticides.
The paddy fields must be maintained by the current owner in a good condition
for a next production. A paddy rice production can also prevent them fromspending on rice for their consumption. Farmers mentioned they use both thegovernment’s paddy rice variety and that of upland variety alternately tomaintain the productivity of both varieties. By their experiences, farmers realizethat a continous paddy rice production with only one varieties would corrupt
paddy grains, which might reduce the weight of paddy grains, or even lead toempty grains. A bad harvest would harm farmers because it reduces paddy ricestock for a self‐consumption and for sale. In the worst case, farmers have to buy
rice produced by the lowland farmers to fulfill their consumption.
5. The Role of A Paddy Rice Production in the Toraja Regencies
In the North Toraja Regency, farmers use most of their land, 1 to 2 hectares, for a
paddy rice production, while farmers in the Tana Toraja Regency use only 20%
to 80% of their land. They can produce about 6 tons of paddy rice in a hectare.
The rest of farmer’s fields in the North Toraja is used for other agricultural
production such as pig breeding, poultry, water buffalo breeding. They also workat a coffee plantation owned by a Japanese company. In the dry season they justconcentrate on their cattles. The rest of farmer’s land in the Tana Toraja is used
for other agricultural production such as coffee plantation, clove plantation, pig
breeding, poultry and water buffalo breeding. A landlord family who has 10
hectares land concentrates their effort on plantations. In the dry season farmers
just concentrate on their plantations and their cattles.
In both Toraja regencies, farmers realize that a paddy rice production is notprofitable and rice is no longer a competitive commercial agricultural product inupland. That rice is mostly for self‐consumption of a family. In order to provide
cash for children education and health treatments, farmers sold their rice stocks.
Farmers mentioned the prices of local rice varieties of highlands are more
expensive than the lowland rice varieties. They mentioned the price of thehighland local rice varieties are about Rp 14,000 per kilogram and those oflowland rice varieties are about Rp 8,000 per kilogram currently. However,farmers also mentioned their attention to economic returns from otheragricultural products than paddy rice. Farmers in the North Toraja Regency
mentioned their income mostly comes from a water buffalo breeding and sales offishes. Among all products, a water buffalo breeding contributes the most to theirincome. Farmers in the Tana Toraja Regency mentioned their income mostly
comes from a water buffalo breeding, sales of fishes, poultry, coffee plantations
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and clove plantations. Among all products, plantations and a water buffalo
breeding contribute the most to their income. Although, a paddy rice production
produce more than cloves production, cloves’s price is much higher than paddy
rice price. Coffee beans profitability are also higher than paddy rice, but its priceis much higher than paddy rice price. Both cloves and coffee produce more profit
than paddy rice and cost of producing them become so low since they need lesspesticides, fertilizers and water than paddy rice. So there is no incentive forfarmers to continue a paddy rice production for a commercial purpose. Mostly,
the purpose of paddy rice production there is a self‐consumption by the family.
Farmers in both Toraja regencies mentioned water buffalo breeding could give ahigh economic return to a farmer since a lot of Torajan people would like to havesome water buffaloes for their traditional ceremony. Farmers mentioned there isa custom in Toraja’s societies to conduct the “Rambu Solok”, a funeral ceremony
for the deceased in their families, which presents a water buffalo fighting as apart of the ritual ceremony. The family of deceased also sacrifices other water
buffaloes and serve them as a food in the ceremony. Their horns are placed at the
top‐front of their “Tongkonans”, a set of a traditional house and paddy ricestorages to manifest their family wealth. The fighter water buffaloes and thealbino water buffaloes are in a very high demand and their prices are very high.
The funeral ceremonies are conducted more often in the North Toraja than in the
Tana Toraja. Farmers in the North Toraja mentioned a funeral ceremony isfunded by all family members, but the big part of it comes from the family
members who have a good job with a big income in the cities.
Farmers in the Toraja regencies mentioned agricultural land is owned by all
members of a big family. The land is a important part of a family property
combined with its Tongkonan. The share of land ownership is not distiributed
equally. Farmers mentioned family members who have sacrificed a lot of water
buffaloes in a “Rambu Solok” would hold more shares than other family
members and each members of the family tries to sacrifie as many as he cans.
Most of the big contributors are the family members who have a good job with ahigh salary in the big cities. Farmes mentioned if a family member has moreshares, his pride in his big family and in the Torajan’s societies would increase.
Stabilizing a paddy rice production would secure the asset value for a big family
and promote a pride of the family. Amount of paddy rice harvested is notimportant, as long as it is enough to be consumed by family members who
maintain the paddy rice production and preserve the agricultural land. Paddy
rice production is not important commercially, but it is a part of a family’s real
asset, and each member in a big family would like to share the real wealth fromit.
6. Conclusion
Farmers in the upland of South Sulawesi have a different way to see a role ofpaddy rice production. Farmers in Enrekang have put a focus on red onion
productions as their most important commercial agricultural product. They keep
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Joint Scientific Symposium(IJJSS 2016)
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Farmers in Tana Toraja and North Toraja have a consideration on the ways ofkeeping their close family relationship in a big family. A paddy rice production
has become an important part of their real asset and all family members will
support the production to secure their dividends on it.
REFERENCES
AccuWeather (2016). AccuWeather: Enrekang, Indonesia Cuaca. Retrieved fromhttp://www.accuweather.com/id/id/enrekang/205767/daily‐weather‐
forecast/205767______ (2016). AccuWeather: Makale, Indonesia Cuaca. Retrieved fromhttp://www.accuweather.com/id/id/makale/205729/daily‐weather‐
forecast/205729______ (2016). AccuWeather: Rantepao, Indonesia Cuaca. Retrieved fromhttp://www.accuweather.com/id/id/rantepao/205782/daily‐weather‐
forecast/205782
BPS Kabupaten Enrekang (2012). Situs Resmi BPS Kabupaten Enrekang: Geografi
dan
Iklim.
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De Jong, E. (2013) Making a Living between Crises and Ceremonies in Tana Toraja:
The Practice of everyday Life of a South Sulawesi highland Community.
Leiden/Boston: Brill, 2013
Harga.web.id (2016) Prediksi Harga Cengkeh tahun 2016. Retrieved fromhttp://harga.web.id/prediksi‐harga‐cengkeh‐tahun‐2016.info
Jitunews.com (2016). Petani Sukses: Keberhasilan Hanya Diraih dengan
Ketekunan. Retrieved from http://www.jitunews.com/read/2205/petani‐sukses‐keberhasilan‐hanya‐diraih‐dengan‐ketekunan
Kabupaten Enrekang (2016). Situs Resmi Kabupaten Enrekang Provinsi Sulawesi
Selatan: Enrekang Kabupaten Penghasil Bawang Merah di Sulawesi
Selatan. Retrieved from http://ver2.enrekangkab.go.id/index.php/83‐
tulis/berita/380‐enrekang‐kabupaten‐penghasil‐bawang‐merah‐di‐sulawesi‐selatan
Kompas.Com(2016).
Kompas.com:
Ekonomi.
http://bisniskeuangan.kompas.com/read/2013/01/03/16462125/Ini.10.Provinsi.Penghasil.Beras.Tertinggi.di.Indonesia
Lestaria, A. P., Abdullah, B., Junaedib, A., Aswidinnoorb, H. (2011) Performance ofGrain Quality and Aroma of Aromatic New Plant Type Promising Rice Lines.
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Othervisions(2013)
Cengkeh yang Menghidupi.
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Pemerintah Kabupaten Tana Toraja (2012). Situs Resmi Pemerintah Kabupaten
Tana
Toraja:Letak
Geografis.
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http://www.tanatorajakab.go.id/id/content/letak‐geografis
Pemerintah Kabupaten Toraja Utara (2014). Pemerintah Kabupaten Toraja
Utara:
Letak
Geografis.
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http://www.torajautarakab.go.id/profil‐daerah/letak‐geografis.html
Tanimedia.com(2013)
Panen
Buah
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TribunToraja.com (2016) Inilah Jenis, Ciri, dan Harga Tedong di Toraja. Retrieved
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dan‐harga‐tedong‐di‐toraja?page=4
Veco Indonesia (2015) Dan, Kopi dengan Nilai Tertinggi Diperoleh... Asnikom!
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dengan‐nilai‐tertinggi‐diperoleh‐asnikom

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Miscommunication in Japanese between Japanese and Local
Employees
in a Japanese‐affiliated Company in China
Yayoi Umemura
Chiba University
1‐33, Yayoi‐cho, Inage‐ku, Chiba‐shi, 263‐8522, Japan

Abstract
According to the 42nd Survey of Overseas Business Activities by the Ministry of
Economics, Trade, and Industry (METI) in 2013, almost 3,734 thousand people work inJapanese‐affiliated companies in Asia. It has been well documented that corporate
globalization increases communication conflicts among individuals from different cultural
backgrounds. A considerable amount of quantitative and qualitative studies have been
conducted to identify the source of the misunderstandings. However, fewer studies haveanalysed actual discussions at work.
This study focuses on the interaction between native and non‐native speakers of Japanese,
which was video‐recorded during fieldwork at an anonymous Japanese‐affiliated company inSuzhou, China. Using Japanese as a common language, the speakers communicate with eachother about work. Based on a theoretical and methodological framework of conversation
analysis this study attempts to explore what types of problems occur in their communication.
This paper presents several conversations. In some cases the employees recognize theemergence of problems and solve them successfully, but in other cases they fail to do so. In
the latter cases, the interlocutor only partially understands what the speaker intends tocommunicate, and they are both unaware of the problems occurring in the on‐goinginteraction. Solely acquiring advanced Japanese competence on the part of non‐native
employees will not completely resolve this problem. Along with such competence,cooperative communication training is also necessary to improve understanding between
workers.

Keywords

miscommunication, talk at work, conversation analysis, native and non‐native
speaker,Japanese‐affiliated company

1. Introduction
After China joined the World Trade Organization (WTO) in 2001, JapaneseForeign Direct Investment (FDA) surged into China, and by 2014, almost 6707
Japanese‐affiliated companies* had begun to operate in China (Mitsubishi Tokyo UFJ2014). Recently, they have expanded their business in Association of South‐East
Asian Nations(ASEAN)countries because of high wages and economic stagnation in*This number contains the number of the companies which have already withdrawn.

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China. Almost 6859 Japanese‐affiliated companies have been running theiroperations in ASEAN countries; they have focused on the manufacturing industry
because of the low production costs and the growing market in those countries†.
Globalization in the corporate world has increased problems in communication
among employees who have different cultural backgrounds. In the study of businesseconomics, numerous attempts have been made to show that the cultivation ofhuman resources with high communicative proficiency is required and that
globalized human resources are indeed the foundation for the development of
globalization of business (Ferraro 1990; Earley and Mosakowsky 2000; Shiraki
2012; Yamamoto 2012). In the field of cross‐cultural communication, researchers
have investigated communication conflicts between employees in multinational
companies (Allen 1995; Hofstede 2001; Nishida 2001, 2007). Furthermore, from theJapanese language education perspective, they have revealed that employees
experience conflict when establishing mutual understanding and developing
common recognition between Japanese and local employees in Japanese‐affiliatedcompanies. Those studies have defined the communication problems at work; inaddition, some of them have given directions on how to break away from the conflict
caused by misunderstanding (Kondo et al. 2009).
However, the above‐mentioned studies have been conducted through surveys,
namely, questionnaires and interviews. Only a few of the conducted studies haveanalyzed their communication at work by focusing on their linguistic context. The
present study is based on the face–to‐face interaction occurring between Japaneseand Chinese employees. Their natural conversation at work was video recorded in ananonymous Japanese‐affiliated company located in China, where local employees withelementary Japanese language skills are required to communicate with their
Japanese colleagues in Japanese. A challenging language barrier exists in thecompany.

2. Purpose of this study
In my data, some Chinese and Japanese employees recognized the emergence oftrouble and solved it successfully; however, in some, they failed to do so. In the latter
cases, the interlocutor’s understanding was partially or totally different from what
the speaker intended to communicate, and they were unaware of the trouble
occurring in the on‐going interaction.
This study investigated the conversations at work by focusing on the
misunderstanding between Japanese and Chinese employees. In their talk‐in‐interaction, the place where the misunderstanding occurs and the process in which
their problem is solved can be demonstrated through the procedure of conversation
analysis. By clarifying the process of misunderstanding, its source can be revealed.
Because this study was a type of case study, it did not explore the source of
miscommunication statistically, based on many cases. The segments presented inthis study are ones from natural conversations that actually occurred during myfieldwork. Accordingly, the purpose of this study is neither to illustrate the generaltendency nor to find the general pattern of the occurrence of miscommunication.

3. Background information of the field
3.1 Fieldwork in PLA Company†This number contains the number of the companies which have already withdrawn.

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The parent company of PLA Company (an anonymous name), which manufactures plastic
parts, is a medium‐sized company located in Japan. It has 11 factories in Japan and overseasof which PLA Company is one. Several Japanese employees are dispatched to each of theoverseas factories as supervisor for production and management. Japanese employees

communicate with local employees in Japanese in the overseas factories.
As a Japanese language teacher, I visited PLA Company five times from 2011 to 2013,
where Japanese employees sometimes claimed that they often felt uneasy because they did
not know whether Chinese employees understood what they intended. Japanese employees
thought that to solve the Chinese employees’ communication problems, it would be effective
for the Chinese employees to learn Japanese and thus acquire the necessary communication
skills.

3.2 Chinese employees in PLA Company

Out of the 372 Chinese employees in PLA Company, 20 could speak Japanese and played
important roles in the company. Those 20 employees are divided into three groups: group(a), group (b), and group (c) as shown in Table 1.
Table 1: Job Title and Japanese Language Learning
Job Title

NumberJapanese Language Learning(a) executive level3

Graduated from Japanese University or technical school in Japan(b) middle management level

15

Learned Japanese at night school in half or one year(c) interpreter

2

Majored Japanese at university

Group (a): They possessed a high level of Japanese language proficiency and had considerable
experience in working in the parent company in Japan. They supported PLA Company as
executive‐level employees.
Group (b): As they had been working at PLA Company for more than 10 years, they wereversed in production of plastic parts. Even though their Japanese language proficiency was ata beginner or intermediate level‡, they were required to mediate and help both Japanese co‐workers and Chinese workers understand each other to communicate the Japanesetechnique. They faced many communication problems while executing their duties.
Group (c): Although they majored in Japanese at universities, they could not interpret theJapanese employees correctly because of their little knowledge of plastic manufacturing.
They were mainly in charge of translating official documents.
The communication between Chinese employees belonging to group (b) and Japaneseemployees was the focus of my research.

4. DataIn this section three segments of conversations between Japanese and Chinese
employees are presented, in each of which miscommunication is occurred caused by
Japanese employees.

4.1 Long TCU in utterance
In PLA Company they keep production for 24 hours. For night operation some workers are

assigned to evening shift. Every morning they have meeting in order to share information
about night time production. In the meeting held on one morning the night man reports that
‡They took a mock examination of a Japanese language proficiency test (JLPT) in August,2010. Average percentage of achievement of the middle management employees was
52.4 %. The latter indicates that their Japanese language proficiency was at anintermediate level.

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the defective production occurred and he only reports the number of the part and numericalquantity of defection. After meeting the Director of Manufacturing Division, Japaneseemployee (J1) claims against Vice Manager, Chinese employee (C1) that when defective
production occurred, not only the name and numerous quantities but also more detailed
information like the lots number§ and supposed reason of defection is required to explain. He
commands the Vice Manager that he has to tell leaders of each section to give more detailed
information in the meeting. J1 told C1 as follows.

【segment 1】
01J1:→ ですから(0.2) そこらへんは まず: (.) ひとつは ストップかけるのが ひとつ
Then, what should do first is to stop the production.
02 → 第１番目に 必要なこと だろうけど: (.) あれは 各ポジションのね(.) リ
ーダーさん→ That is most important one they should do. Leaders of each section
should know
03 → 係長さんが (.) そこらへんね (.) よく理解して(.) あのストップかけたか
それに対してthat the machine stopped immediately and also
04 → どういうロットの範囲があったか ある程度の おおむねの 原因をね (.)
they should confirm that how many lots have trouble and what reason
can be supposed for
05 → あのあそこの朝来る時点で: みなさんが 把握していないと (.) あそこに
the defective production. Before attending the meeting they shouldgrasp those
06 → 議論 成り立たないんですよ.
points. Then we can discuss on that trouble which happened at nighttime production.
07C1:.hh そうですね: あの:. hh 実は 今朝の劉係長の話によると: まあ: 前回
は:確かに バリもWell. According to Mr. Ryu the defection caused by burr happened
before <<omitted>>
08
発生しました.
＜＜省略＞＞
09C1
わかりました.
OK. I understand.
In the above segment the utterance of J1 is composed of six clauses. In Japanese language, we
generally use clause chaining (Ono & Iwasaki 2002) in one TCU **(Sacks, Schegloff andJefferson 1974). By use of clause chaining we utilize many function, increment of information,
reformulation of sentence construction, interpolation, bridging and local management (Ono &Iwasaki 2002). It is quite natural for Japanese to go on conversation forward by chaining
many clauses in one TCU. However since the talk of J1 contains various information, it seems
difficult for non‐native speaker C1 to grasp what was required to command. In line 07 C1
begins to explain the cause of previous defection of the same mold of the machine. Actually
C1 does not comprehend J1’s talk, even though C1 responds with “Well”, in Japanese“Soudesune” which is affirmative response to previous utterance. After his explanation J1
repeats his direction in more concise way, then C1 understands what he should do. It took
long time to attain to the point of J1’s direction. As a result it causes long delay ofunderstanding.
4.2 Difficult expression in Japanese utterance§ Productive unit which is divided in the time of continuous production.
** TCU is abbreviation of Turn Construction Unit, which is unit of smallest unit the utterance

in the situation where the utterance is produced.

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In the following segment J2 (Japanese employee) uses the form of negative question. In
linguistics this type of language format is called Reversed‐Polarity‐Question (RPQ), which
express reversed polarity to the polarity of the used form (Koshik 2005). It means that eventhough the speaker uses negative form, he or she delivers the affirmative meaning. In thefollowing segment J2 offers suggestion C2 to make appointment with the client to meet in theafternoon. Because, however the format of his suggestion is negative form, C2 comprehend
that he was suggested to have meeting in the morning.

【segment 2】
01 J1: 一番いいのはね(.) ヤマノさんが時間取れるのであれば: 午後１時半とかいう時間帯
The best time is in the afternoon 1:30,if Yamano has time to
meet.
02 → の方がいいと思わない?
Don’t you think that it is good to set appoint, one thirty inthe afternoon.

The listener of this suggestion, C2 responds, “ I understand. ” After hearing C2’s response, J2
begins to explain why afternoon time is preferable. During his explanation C2 feels
embarrassment because C2 understands that it is not good to set time one thirty in theafternoon. The intonation of J1’s question is slightly climbing up. C2 understands that J2 says
“I don’t think that you set time one thirty in the afternoon.” By making interview and asking
C2 whether he understands RPQ in this conversation. The author founds that C2 actually
misunderstands what J1 means.
4.3 Repeated sentence by the Japanese employee
To understand the following segment you should know background information on metal
mold for plastic parts. For the production of plastic parts they make metal molds.

During the mass production of plastic parts, metal molds frequently break and must
be repaired immediately. In order to meet the deadlines to deliver the products tocustomers, they have to be fixed promptly. From ten to fifteen metal molds arerepaired every week at PLA Company.
C3 is in charge of managing the metal mold repair. She accepts repair requestfrom manufacturing section and then she evaluates the level of repair. Whenrelatively easier repair case, C3 asks Maintenance Division to fix and whenrelatively difficult repair case, C3 asks Technical Division to fix. In the following
conversation, they were talking about a certain metal mold, temporarily we callthe name of which Mold X which is to be fixed in Maintenance Division. J3 wanted
to know the situation of a certain mold which Maintenance Division was asked tofix. Because all of the mold in this company are made in C3’s Division, he has tograsp the process of repair of all the metal molds in the company.
【segment 3】
01 J3:→まっ 金型保全に: 修理を 頼んだんです
OK. So the Maintenance Division was asked to fix.
02
けど: (0.2) 金型保全は 修理したん ですか↓ね
Has the Maintenance Division already fixed?
03(0.4)
04 C3:→もう修理 しましたか?
Have they fixed?
05 J3:→はい (0.2) 修理 し[たんですか [金型保全は283

Yes. Have they fixed, the Maintenance Division ?
[う(h)は(h)は(h)u(h)ha(h)ha(h)07 J3:
は(h)(h)(h)ha(h)(h)(h)08 C3:
修理した(h)んです
They have already fixed.
09 J3:→ 修理しましたか? (.) [金型保全は.
Have they fixed, the Maintenance Division?
06 C3:

J3 asks C3 whether the Maintenance Division has already repaired the Mold X or not. J3’s
question, however ends with “Kane”, which generally means requiring confirmation.
Accordingly in line 4 C3 confirmed J3 whether they have already fixed because C3 thinks J3
knows the situation. Responding to C3’s confirmation J3 answers, “yes”. By J3’s affirmative
answer C3 understands that Maintenance Division has already fixed. On the contrary to thisin J3 asks C3 the same question again. Then in line 8 C3 answers that mould fixing has
finished. Strange interaction occurs here but by use of procedure of conversation analysis it
can be analysed. First the question of J3 is heard as confirmation by C3. So she re‐confirms J3
that you know that the Maintenance Division has fixed. J3, on the other hand hears thisconfirmation as repair initiation (Schegloff, Sacks and Jefferson 1997) which means yourquestion is whether the Maintenance Division has fixed or not. Then C3 answers “Yes” andask the question again. In line 8 C3 answers that the Maintenance Division has finished fixing.
But this utterance is very weakly produced and is not heard by J3 as answer. Then J3 repeats
his question again.

5. Result
In the above segments Japanese employees produce the complicated utterances andinitiate misunderstanding between Japanese and Chinese employees. If they reflect the
response of the hearers cautiously and try to comprehend the response of Chinese employees
in each utterance, those misunderstanding and delay of comprehension may not occur ormust be reduced.
The communication skill or competence of communication is the knowledge of neither
grammar nor language, but the ability to try to understand and meet the comprehension ofinterlocutor on a case‐by‐cases. We respond after understanding recipient’s response. That iswhat is called as recipient design which is key concept of conversation analysis.

6. Discussion
In natural conversations, we often fail to hear or have difficulty understanding
what the speaker says. When we are aware of it, we ask the speaker to repeat or we
ask them questions. However, we do not notice that we miss hearing what the
speaker intends to say or that some miscommunication is occurring. Unconscious
miscommunication subsequently causes the misunderstanding.
During communication between native speakers and non‐native speakers, whensuch problems occur, we tend to blame the non‐native speakers for the
misunderstanding the discourse. As is seen in the above cases, however, it is notnecessarily the non‐native speakers with poor Japanese who miscomprehend.
Rather than that Japanese employees should turn their attention to Chinese
employees.
Although a native speaker is described as the most ideal speaker in the study ofJapanese language education, in the data, I demonstrate that the native speakers,
namely, Japanese employees, make mistakes in their expression and grammar in284

verbal exchanges at work. They are unaware of their mistakes and the unintelligible
expressions they make, which cause miscommunication.
In PLA Company, the learning program was proposed in which Japaneseemployees and Chinese employees learn collaboratively to lessen the language
burden of the Chinese employees (Umemura 2012). In that program, they have achance for feedback of their face‐to‐face communication by watching their own video
recorded conversations and the transcription of conversation. Both Chinese andJapanese employees reflect together and discuss the problems straightforwardly.
Solely acquiring advanced Japanese competence on the part of non‐native employees will
not completely resolve this problem. Along with such competence, cooperative
communication training is also necessary to improve understanding between workers.

References
Allen, M.W. (1995). Communication concepts related to perceived organizational support.
Western Journal of Communication. 59, 4, 326‐347.
Mitsubishi Tokyo UFJ (2014). Global Business Handbook for Asia. Toyo Keizai Shinposha.
Earley, P. Christopher and Mosakowski, Elaine（2000）“Creating Hybrid Team Cultures:
An Empirical Test of Transnational Team Functioning” Academy of Management
Journal, Vol.43, No.1, 26―49.
Ferraro, G. P. (1990). The Cultural Dimension of International Business. Prentice Hall Inc.
Hofstede, G. (2001). Culture’s consequences: Comparing values, behaviors, institutions,and organizations across nations. Thousand Oaks, CA: Sage Publications.
Koshik, Irene.(2005). Beyond Rhetorical Questions. Philaderphia : John Benjamins PublishingcompsmJohn

Nishida, H. (2001). Malasya・Philippin shinshutsu nikkeikigyo niokeru ibunka
komyunikeishon.[Cross‐cultural Communication in Japanese‐affiliated Companies in
Malaysia and Philippine]. Tagashuppan. [in Japanese]
Nishida, H. (2007). Beikoku・Chugoku shinshutsu nikkeikigyo niokeru ibunka
komyunikeishon.[ Cross‐Cultural Communication in Japanese‐affiliated Companies
the United States of America and China]. Kazamashobo. [in Japanese]Ono, T & Iwasaki, S.(2002). ‘Sentence ’ in Spoken Japanese Discourse. In Culture,
Interaction and Language. Kataoka, K. & Ide, S. (eds. ). Hitsujishobo.
Sacks,Harvey , Schegloff, Emanuel A. and Jehherson, Gail (1974). The simplest systematics
for the organization of turn‐taking for conversation. Language,50(4), Pp.696‐735.
Schegloff, E. A.,Jefferson, G. & Sacks, H. 1977. The Preference for Self‐ Correction in the
Organization of Repair in Conversation. Language 53(2).361‐382
Shiraki, M(2012). Nihonkigyo no gurobarizeshon to kaigai hakensha. [Glovalization of285

Japanese Company and Dispatched Employees]. Nihonroudoukenkyuzasshi.
No.623,pp.5‐16. [in Japanese]
Umemura, Y(2012). Zaichugoku kigyoniokeru chugokujinshainto nihonjinshainniyoru
kyodoutekigakushuno jissen. (A Practical Report on a Collaborative Learnin Programfor Japanese and Chinese employees of a Japanese‐ affiliated CompanyinChina).
Nihongokyoiku Jissenforamu houkoku. Nihongokyouikugakkai. [in Japanese]
Yamamoto, I. (2012). ASEAN nikkeikigyo no ginoukei jinzaiikusei to rokaru kontekisuto[Development of Human Resources in Japanese‐ Affiliated Companies in ASEAN and
Local Context]. Nihonroudoukenkyuzasshi. No.623, pp.37‐48. [in Japanese]

286

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Education

Comparative Study On The Learning Styles (Visual, Auditory,
And Kinesthetic) Towards Vocabulary Mastery
M. Zainal Arifin, M.Hum.a, Norma Yuwanti1
aVice Dean of General Administrative and Planning, Faculty of Islamic Economics andBusiness, State Islamic Institute (IAIN) of Palangka Raya, Jl. G. Obos Komplek Islamic
Center No. 24, Palangka Raya 73112, Indonesia

Abstract
The writer has chosen the learning style to master vocabulary to find the comparison
the learning style in the student’s vocabulary score. The type of study was Expose‐Facto
research and the writer used quantitave approach in finding out the answer of the
problem of study. In taking sample, the writer used proportional cluster random
sampling. The collected data were taken from questionnaire, test, and documentation.
The writer used t‐test calculation with manual and SPSS 21.0 calculation to test
hyphotesis. The result of t‐test with SPSS 21.0 calculation found the calculated value(tobserved) was greater than ttableat 1% and 5% significance level or 2.00 < 6.898 > 2.66. It
was interpreted that alternative hyphotesis (Ha) stated that there was significant
difference between means of variables was accepted and null hyphotesis (Ho) statedthat there was no significant difference means of variables was rejected. It meant there
was significant difference between the result of learning style’s class A in mastering
vocabulary and learning style’s class B in mastering vocabulary.

Keywords
Vocabulary, Learning Style.

1

Telp. Fax: +62 536 3222105.
Phone: +62 85651387908

287

Comparative Study On The Learning Styles (Visual, Auditory,
And Kinesthetic) Towards Vocabulary Mastery
1. Preface
There are many ways in teaching and learning English as a solution for teachers toteach the students. Exactly, the teacher usually uses the easiest and simplest way inteaching and learning process. In the classroom, teacher usually gives simple words
through the understanding students’ learning styles to give an alternative ways ofteaching and learning process. If we wish to think and communicate more effectively, wemust increase our vocabulary and improve your word using skill. There are manymethods in improving vocabulary such as, by using pictures, songs or radio, games, etc.
The best way to develop rich vocabulary is to have reach experiences travel, going tomovies, plays, and concerts, seeing things, meeting people, listening to good
conversation, and selecting going television broadcast.2
Multiple intelligence theory told by Howard Gardener remind the teacher about
student owning type learn different. The learning styles as a the best way for teaching
vocabulary, if the teacher uses the learning styles of each students will help students toacquiring the vocabulary. The students will be easy to comprehend knowledge if theylearn through their learning style and the teacher have to know the students’ learning
style to help the students be easy in learning process. They choose and decide the best
way to process the information in order it can be easy to learn. Learning style is a best
way that they use to learn language. It helps students learn more fast and easier withselecting and using appropriate learning style.
Learning styles represent the best way to assist the student remember and the study
the new information. Learning style for studying not only for studying is importantbecause it can for developing their skill and interest, and improving the learning output.
Learning style can be used to learn language by the students, including English. The
Nana Sujana, MetodeStatistika :The world book student hand book, Chicago: Child craft international, Inc, 1978,

2

p. 82.

288

students can prefer learning style that is suitable for them to learn and practice English
by themselves. The teachers have to understand what is the student’s learning styleorder to easier in vocabulary mastery. Then, it also can comprehensible by the students,
simple, and easy, and of the course if we change at the certain time so that still up to dateand it doesn’t make the student bored.

2. Review Of Related Literaturea. Definition of Learning Style
Learning style is the way and technique that use to learn informationand knowledge. Students can learn more fast and easier with selecting andusing the appropriate learning style that they like. Learning style refer to thevariations in your ability to accumulate as well as assimilate information.
Brown defines learning style as the manner in which individuals perceive andprocess information in learning situation.3
Brown defines learning style as the manner or way in which individuals
perceive and process information in learning situations. Keefe says learning
style might be as thought of as “cognitive, affective, and physiological trails thatare relatively stable indicators of how learners perceive, interact with, andrespond to the learning environment.4
According to Dunn, learning style is the way students begin toconcentrate on, process, internalize, and remember new and difficult academic
information.5
Basically, learning styles are divided into three part, they are as follows:1) Visual Style (Visual Learner), visual learners tend to prefer reading andstudying charts, drawing, and other graphic information.6 The students who
fall into this category learn what they are able to see with their own eyes.
Ibid, P. 114
Ibid, P. 114
5Rita Dunn, and Shirley A Griggs, Practical Approach to Using Learning Style in Higher Education, English:
Library Congres Cataloging in‐Publication Data, 2000, p.8
6Ibid, P. 129
3

4

289

They tendency learn to describe everything that they see in terms ofappearances. Visual learners frequently are good writers and willcommonly perform quite well on written assignment. Visual style has somecharacteristics, they are:7 a) students can speak fast, ; b) students are goodat spelling, ; c) students strong to remember what they see than they hear, ;d) students use pictures and notes aids to memorize or process some
information and knowledge, ; e) students have difficulties to remember
verbal instruction, ; f) prefer to read and write than listen dan ; g) they
prefer art than music.
There are some learning strategies for visual style (visual learner),these are:1)

For work sheet, make a bold line around the items, to help the learners
follow an item when they like it.

2)

Write the guidance on white or blackboard.

3)

Use graphic, charts, pictures, map, or colors.

4)

Let the learners point if it’s needed, let them point the word or sentence
when reading.

5)

Use mind‐mapping to process information..

2) Auditory Style (Auditory Learner). Brown says that auditory learners preferlistening to lectures and audiotapes.8 Auditory style is learning wherelearner or students are very good in listening. They tend to absorb
information in a more efficient manner through sounds, music, discussion,teaching, etc. These individuals will be more likely to record lectures to thatthey can replay them at a later time for study purposes. Auditory learners
appreciate books on tape and may find that reading aloud will help them to

7Bobbi DePorter, and Mike Hernacki, Quantum Learning“Membiasakan Belajar Nyaman dan Menyenangkan”,
Bandung: PT. MizanPustaka, 2003, P. 116
8H. Brown Douglas, Principles of language Learning and Teaching fourth edition, New York: Longman, Inc, 2000,
P. 129290

retain information. Rather than written reports, auditory learners tend do
better on oral presentation and reports.
The best ways for auditory learner to process the information by
telling the information loudly, listening the voice recording, discussing withfriends or learning group, recording an argument or statement, doing
interview, teaching someone or people, and leading with others. Auditory
style has some characteristic, they are:9
1) Students/learners like talking much, discussing, and explaining
information lengthily.
2) Students feel difficult when they have to write the information but they
are smart in explaining it.
3) Students like repeating and imitating a tone, rhythm, music, voice, orsound.
4) Students love music5) Students are not afraid speaking in a class6) Students can to remember learning in verbal instruction.
There are some learning strategies for auditory style (auditory
learner), those are:1) Let them repeat the information loudly.
2) Convert writing information into voice information (song, recording,etc)3) Play background music when they learn
4) Play many rhythmical and united games when learning5) Make group discussion

9Bobbi DePorter, and Mike Hernacki, Quantum Learnin “Membiasakan Belajar Nyaman dan Menyenangkan,
Bandung: PT. MizanPustaka, 2003, P. 118

291

3) Kinesthetic Style (Kinesthetic Learner). Kinesthetic learner will show apreference for demonstrations and physical activity involving body
movement.10Kinesthetic style is where students or learners to do tactile
learning. This means that they learn well through moving, doing, acting out
and touching. Kinesthetic learners tend to become frustrated when theymust sit for long periods of time. They enjoy conducting experiments,
exploring and performing tasks.
Kinesthetic learner has some characteristics, those are:11
1)

Learners or students always move‐that’s way learner or students learn.

2)

They move their body when they memorizing information like walking
around.

3)

They use fingers to point out the writing in a book when they read.

4)

They cannot silently in long time.

5)

They talk slowly and usually stand up near someone when talking.

6)

Students prefer learning through practice and physic activities.

7)

They want to do anything and love games.

8)

They need concrete object as learning aids.
There are some learning strategies for kinesthetic style (kinesthetic

learning), they are:1)

Use role play games as learning.

2)

They do memorizing by walking around and see.

3)

Show them how to do something.

4)

Give silent activities after moving activities (example: reading text
loudly after physic training at school).

10H. Brown Douglas, Principles of language Learning and Teaching fourth edition, New York: Longman, Inc,
2000, P. 129
11Bobbi DePorter, and Mike Hernacki, Quantum Learning “Membiasakan Belajar Nyaman dan
Menyenangkan”,Bandung: PT. MizanPustaka, 2003, P. 118

292

b. The Nature of Vocabulary
About vocabulary, there are some definition, Hatch and Brocun state thatthe term of vocabulary is a list or a set of words for a particular language or alist or a set of words that individual teacher of language might use. Vocabulary
is all the words, usually arranged alphabetically and defined, explain ortranslate or the range of language, the stock of word at a person’s command or
used in particular work, branch or subject, language, etc. A vocabulary usuallydevelops with age, and serves as a useful and fundamental tool forcommunication and acquiring knowledge.12
Talking about the vocabulary is needed to develop English language inprocess mastering it. Vocabulary is like way to learn new language. Language is
combined by word.
According to Hornby, the word “vocabulary” is defined as follows:
1. The total number of words in language.
2. All the words known to a person or used in a particular book, subject, etc.
3. A list of words with their meanings, especially one that accompanies atextbook in a foreign language.13
Vocabulary is very important to be learned, because the students
communicate with other students. If they have enough vocabulary to speak they
can misunderstanding what about will be spoke.

c. Aspects of Learning Vocabulary
In English of the words are classified into eight part. They are known as
the eight parts of speech. The parts of speech are consisted of.14 That based on
the subject profile of vocabulary used the teacher. In the subject profile ofvocabulary contents some core materials that are thought by the teacher to the
12Elfrida H. Hiebert and Michael L. Kamil, Teaching And Learning Vocabulary, New Jersey: Lawrence Elbaum
Associates, 2005, P. 7
13Hornby, Oxford Advanced Learner’s Dictionary of Current English, oxford university pers,1995,p.1331.
14FuadMas’ud, Essential of English Grammar: a partical guide, Yogyakarta: BPFE, 2005, P. 44‐16

293

students as follow related there are many kinds of vocabulary that should becomprehend by the teachers before giving it to the students. Summarizing manykinds of vocabulary elaborated. According Thorn burry (2002) vocabulary is
divided into:a) Word Classes
Word classes are well‐known as parts of speech in grammaticalEnglish. They include: noun, countable noun can usually be made plural by
the addition of –s/es. uncountable noun, proper noun, common noun, verb,
action verb, phrasal verb, adjective, adverb, pronoun, preposition, andconjunction. Example of word classes.
Auxiliary verbs
Pronoun
Nouns
Main verbs
Adjectives
Adverbs (except
adverbs offrequency)

Verbs that support themain verbs
Words that replace
nouns
People, place, things,
and ideas
Verbs without
auxiliaries
Words that describe
nouns
Words that describe
nouns

Am, are, has, could, shouldI, it, we, they, he, she
Patty, Seattle, cars, happiness
Run, swim, thinks
Red, soft, careful
Calmly, quickly, carefullyb) Word Families
Thornbury says that how words may share the same base of root, buttake different endings. A word that result from addition of an affix to a root,
and which has different meaning from the root, it is called derivative. For
example: player, playful, replay are each derivate of play. Thus, inflexions
and derivate are both formed by the process of affixation. Affixes consist of
suffixes such as –full ends of a word. Moreover, there are prefixes such asre‐, un‐, pre in the beginning of word.

294

1. Derivational Suffixes usually change part of speech of the word to which
they are added.
Example:Happy– adjective

Happily‐ adverb

Happiness‐ noun2. Derivational suffixes usually do not close off a word. After derivationalsuffix you can add derivational suffix.
Example: Fertile, Fertilize, Fertilizer
3. The word with derivational suffixes combined is an arbitrary matter.
Example: Failurec) Word Meaning
Word meaning are synonyms, antonym, and homonym is a word that sharessame form but has unrelated meaning. Example: Well, left, fair.

d. Vocabulary Mastery
Mastery comes from “master” that means to gain knowledge, to get thebetter of, and to train to live with and be of use to human. In Oxford Advanced
Learners Dictionary is defined that “mastery is to complete knowledge, greatskill, achieve/attain mastery of several language or show complete mastery in
one’s handing of a difficult situation”.15 Vocabulary mastery means the power tocontrol, command, decide, and rule the vocabulary as a useful and fundamental
tool for communication and acquiring knowledge.
Vocabulary mastery is one component to master English as foreign
language. In learning four skills in language (listening, speaking, reading, andwriting), vocabulary is very important to master by learners or students. It isreasonable remembering that four language skills need knowledge of words
because they will get noting without words or vocabulary.
Hornby As, Oxford Advanced Learners’ Dictionary, Oxford: Oxford University Press, 2004, p. 721.

15

295

Learning language practically always means primarily learning the wordsof the language. Sometimes, it is useful to assess the size of a learners’
vocabulary. One way to measure is to use a dictionary and choose the random
selection of words and incorporate these into a test. Without testing there is no
reliable means of knowing effective a teaching sequence has been.
All the teachers’ language ought to see the growth or develop of thatvocabulary as conceptual growth of conception or growth. Development ofvocabulary has more than addition of new vocabulary into exchequer of new
better in concept into formation. Change vocabulary meant to change life: tochange your vocabulary is to change your life. One of fundamentals duty growthof vocabulary by the teachers helps all the students to see difference andequation. Which they are never seeing all the teachers have to strive by
exploiting is multifarious technique of growth of word.
In this study, writers used the quantitative approach. The design of thisstudy was non‐experimental design because the writer want to measure thedifferent significant on learning style in the teaching learning English
vocabulary process. The larger group about which the generalization is madecalled a population. A population is defined as all members of any well‐definedclass of people, events, or objects.16 The number of population is about 398
students of SMK N 1 Palangka Raya. The number of sample was 80 students.
A test was an instrument or procedure design to acquire performancefrom learners with the purpose of measuring their attainment specified criteria.
Tests can be useful devices among other procedures and tasks designed toassess students.17 In the study, the writer used some procedures to collect thedata.

16DonalAry, Lucy Cheser Jacobs, Chris Sorensen, and AsgharRazavieh, Introduction to
Research in Education Eight edition,2010 p. 148.
17 H. Douglas Brown, Teaching by Principles an Interactive Approach to Language Pedagogy(Second Edition), p. 402.

296

The procedures would describe as follows: observation, questionnaire,and documentation. The data was very important for this study. They helped
the writer in order to find aims of the study. Instrument was also as a tool for
writer to collecting data. They were to measure the different significant onlearning styles (visual, auditory, and kinesthetic) towards vocabulary masteryat the tenth grade of SMK N 1 Palangka Raya. The writer used the test andquestionnaire as instrument for this research. In order to prove the tests weresuitable to the students who are the sample of this study, the writer would be
conducting try out test. Then writers have chosen students in the same school
but different class to try out test. The try out test was conducted to class C of thesample of tenth grade students of SMK N 1 Palangka Raya.
In this study, the writer used the students’ learning style questionnaire
and multiple – choice checked students’ vocabulary mastery. Therefore, thewriter used multiple – choice that consisted of 45 items. If the result was valid,
it means that the test items as instrumentation of this study are suitable to begiven. In order to find out the description of how well the individual student has
mastery the vocabulary, the final scores are related to the following
qualification:18
Table 3.4
The Standard of Evaluation

3.

Score

Criteria

70‐100Mastery<69

Fall

The Result of Data Analysis

Based on KKM at SMK N 1 Palangka Raya

18

297

The writers applied SPSS 21.0 program to calculated t‐test in testing hypothesisof the study. The result of t‐test using SPSS 21.0 was used to support the manual
calculation of the t‐test. The result of the test using SPSS program 21.0 could be seen as
follows:
Table 4.33
The Standard Deviation and the Standard Error of X1 and X2
Using SPSS 21.0 ProgramGroup Statistics
CLASS

SCORE

N

Mean

Std.
Deviation

Std. Error
Mean

1.00

40

87.6750

11.40487

1.803272.00

40

70.0750

12.19371

1.92799

The table showed the result of the standard deviation calculation of X1was
11,404878 and the result of the standard error mean calculation was 1,80327 . The
result of the standard deviation calculation of X2 was 12,19371 and the standard error
mean calculation was 1,92799.
Table 4.34
The Calculation of T‐test Using SPSS 21.0
Independent Samples Test
Levene's
Test for
Equalityof
VariancesFSig.

t‐test for Equality of Means

T

Df

Sig.
Mean
(2‐ Differen
tailed
ce
)

Std.
Error
Difference

95% ConfidenceInterval of the
Difference
Lower

Upper

298

Eq .116 .734 6.667 78
ual
var
ian
ces
ass
um
SC
ed
O
Eq
6.667 77.6
R
ual
54
E
var
ian
ces
not
ass
um
ed

.000 17.6000 2.63988 12.344
041

22.85559.000 17.6000 2.63988 12.344
004

22.85596

The table showed the result of t‐test calculating using SPSS 21.0 program. Since
the result of Class A and Class B had difference score of variance, it meant the t‐test
calculation used at the equal variances not assumed. It found that the result of tobserved
was 6,667, the result of mean difference between class A and class B was the standard
error difference between class A and class B was 2,63988.

a. Interpretation
To examine the truth or the false null hypothesis stating that there are difference
students’ learning style in class A and class B toward vocabulary mastery, the result of t‐
test was interpreted on the result of degree of freedom to get the ttable. The result ofdegree of freedom (df) was 78/60, it found from the total number of the students in bothclass minus 2. The following table was the result of tobserved and ttable from df at the 5%
and 1% significance level.
Table 4.35
The Result of T‐test Using SPSS 21.0
Variable

T observed

T table

Df/db

299

X1‐X2

6,667

5%

1%

2.00

2.66

78

Interpretation of the result of t‐test using SPSS program, it was found the t‐observe was greater that the t‐table at 1% and 5% significance level or 2.00<6,667>
2.66. It means that Ha was accepted and Ho is rejected.
It could be interpreted based on the result or calculation that Ha stating that
there is significant difference on learning style (visual, auditory, and kinesthetic)
towards vocabulary mastery of the tenth grade students of SMK N 1 Palangka Raya is
accepted and Ho stating that there is no significant difference on learning style (visual,auditory, and kinesthetic) towards vocabulary mastery of the tenth grade students of
SMK N 1 Palangka Raya is rejected.

b. Discussion
The result of data analysis showed that the questionnaire in chapter IV toidentifying student’s learning style towards vocabulary mastery of tenth grade studentsof SMK N 1 Palangka Raya. From the questionnaire was found that students’ visual styleor visual learner is 45 students that 30 students of class A and 15 students of class B,
students’ auditory style or auditory learner is 5 students’ that 14 students of class B and5 students of class A, students’ kinesthetic style or kinesthetic learner is 19 students’
who 2 students of class A and 11 students of class B, and 3 students have multiple
learning style of class A. Most of the tenth grade students of SMK N 1 Palangka Raya arevisual learner in mastering vocabulary. It can be seen the percentage of visual learner is
56,25%, auditory learner is 23,75%, kinesthetic learner is 16,25%, and multiple learner
3,75%. Most of the tenth grade students of SMK N 1 Palangka Raya are visual learner inmastering vocabulary. In the chapter II at the page 15, according to Dunn, visual learners
tend to prefer reading and studying charts, drawing, and other graphic information. The
students strong to remember what they see than they hear. The students who have300

multiple learning styles got the high score in the first and second test. Then, in thechapter II at the page 16, brown says that auditory learners prefer listening to lectures
and audiotapes. And kinesthetic learner will show a preference for demonstration andphysical activity involving body movement. It could be shown from the previous study inthe chapter II at the page 13 a study entitle “The Influence of Learning Styles (Visual,
Auditory, and kinesthetic) towards vocabulary mastery at the second year students of
MAN Salatiga in the Academic year of 2012‐1203” by Nur Khafifudin that the researchsaid there were influence learning style towards vocabulary mastery.
The result of data analysis showed that there was significant difference learning
style towards vocabulary mastery of the tenth grade students of SMK N 1 Palangka Raya.
The students of class A who have the highest on the visual style in second test with meanscore (88) than those students of class B who have both learning style in second testwith mean score (70). Moreover, after the data calculated using T‐test with level 5% of
significant. It was found that tosberved was higher than ttable.
The students, learning style of class A have significant difference on vocabulary
mastery than class B at the tenth grade students of SMK N 1 Palangka Raya. It can beseen first from the vocabulary score of class A and class B 2.00<6,89819>2.66. It
indicated that there is significant difference on the learning style of class A and Class B
towards vocabulary mastery of the tenth grade students of SMK N 1 Palangka Raya.
Meanwhile, after the data were calculated using ttest formula using manual calculation
showed that tobserved was 6,89819. By comparing the tobserved with the ttable,. It was foundthat tobserved was higher than the value of ttable at 1% and 5% significance level or2.00<6,89819>2.66.
It could be concluded there was significant difference of score at the first test andthe second test. In the first test meeting, the students gave the first test was notdepending of their learning style. The students answered all of learning style item. In thesecond test meeting, the students gave the second test was depending their learning
301

style. The students answered the item based on their learning style. The result showedthat the students’ score of the first test have the mean score (class A 70 class B 58).
Then, the students’ score have difference when they answered the test based on theirlearning style. The results showed that the students’ score of the second test have themean score (class A 88 and class B 70). In the chapter II page 14, Brown defines thatlearning styles as the manner in which individuals perceive and process information inlearning situation.
The result supported by theory about the learning style is a way to students to learn
English. There are some reason how the learning style can give the way to students’vocabulary mastery, that are about the learning style in learning process, such as thestudents’ will be more interesting to learn, the students will be easy to comprehend
knowledge based on their learning style, the teacher will be more easy to teach thestudents if the teacher know the students’ learning style.
Other reason was in teaching learning process, the technique or the style is the best
way for teaching vocabulary. DePorter said “Learning style is the way and technique thatis used to learn information and knowledge. DePorter said “Learning style is the way
and technique that is used to learn information and knowledge. It helps students learn
more fast and easier with selecting and using the appropriate learning style that theylike”. It could be shown how the learning style gives the best way towards vocabulary
mastery of the tenth grade students of SMK N 1 Palangka Raya. Based on the result, thevisual learner had the highest score towards vocabulary mastery and auditory learner
had the lowest score towards vocabulary mastery. The students will be enjoying inlearning process if they can remember the vocabulary with their learning style.
In this case, the writer did not found problems when conducting the study in giving
the questionnaire and instrument test to the students, because the students still like to
study together.

302

4.

Conclusion
Based on the data obtained from the scores of vocabulary mastery test, it could beanswered the problem of the study which “Is there significant different on learning style(visual, auditory, and kinesthetic) towards vocabulary mastery of the tenth gradestudents of SMK N 1 Palangka Raya?”. It could be answered by testing data analysis.
Based on the obtained, the result showed that the mean score of class A of the tenth
grade students of SMK N 1 Palangka Raya in mastering vocabulary in the second test
was 88 that was increase from the first test with mean score of 70,1. It proven there wassignificant effect of learning styles towards vocabulary mastery of the tenth gradestudents of SMK N 1 Palangka Raya. While the mean score of class B of SMK N 1Palangka Raya in mastering vocabulary in the second test was 70 that was increase fromthe first test with mean score of 66. It proven there was significant effect of learning
styles towards vocabulary mastery of the tenth grade students of SMK N 1 Palangka
Raya. From both means, there was different value that 18. It meant that there wasdifferent learning style of them in mastering vocabulary. The result of hypothesis test,
the value of t from the test result calculation for tobserved was 6,89819. The level ofsignificant (5%) and (1%) with df or db (N1+N2)‐2 = (40+40)‐2 = 78, ttable was 2.00 and
2.66. Since the tobserved > ttable = 6,89819 > 2.00. Because tobserved from the result was
higher than ttable, so Ha was accepted and Ho is rejected. It meant there is significant
difference on the learning style towards vocabulary mastery of the tenth grade studentsof SMK N 1 Palangka Raya. The difference of problem that students of class A and class B
in mastering vocabulary are: (1) The students of class A of SMK N 1 Palangka Raya havethe higher visual style consist of 30 students, auditory style consists of 5 students,
kinesthetic style consists of 2 students, and multiple style consist of 3 students. (2) The
mean score of learning style of class A was 88. The students of class B of SMK N 1Palangka Raya have visual style consist of 15 students, auditory style consists of 14

303

students, kinesthetic style consists of 11 students, and there was no multiple style
students. The mean score of learning style of class A was 70.

REFFERENCE
Ary Donald, Lucy Cheser Jacobs, Chris Sorensen, and AsgharRazavieh, Introduction to
Research in Education Eight edition.
Bobbi DePorter, and Mike Hernacki, Quantum Learning“Membiasakan Belajar Nyaman
dan Menyenangkan”, Bandung: PT. MizanPustaka, 2003.
Dunn, Rita and Shirley A Griggs, Practical Approach to Using Learning Style in Higher
Education, English: Library Congres Cataloging in Publication Data. 2000
Elfrida H. Hiebert and Michael L. Kamil, Teaching And Learning Vocabulary, New Jersey:
Lawrence Elbaum Associates, 2005
FuadMas’ud, Essential of English Grammar: a partical guide, Yogyakarta: BPFE, 2005
H. Douglas Brown, Teaching by Principles an Interactive Approach to Language Pedagogy(Second Edition).
H. Douglas Brown, Principle of Learning and Teaching fourth edition, New York:
Longman. 2000
Nana Sujana, MetodeStatistika :The world book student hand book, Chicago: Child craftinternational, Inc, 1978

304

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Humanities

Hidden Aspects of the Private Language Argument:
What Will Wittgenstein‘s Philosophy Bring Us Henceforth?
Toshio Irie*
Faculty of Letters, Chiba University, 1‐12 Yayoi‐Cho Inage‐ku, Chiba‐shi, 263‐8522, Japan

Abstract
In Philosophical Investigations (henceforth PI), Ludwig Wittgenstein presents afamous argument called “the private language argument” (PLA). The PLA has beentreated as one of the decisive criticisms of Cartesian dualism, which locates “mind” in the
inner realm of each person, in contradistinction to “material things” in the outer world.
However, it is difficult to grasp the PLA’s true intention and potential.
The PLA has been interpreted as a kind of reductio ad absurdum. Gordon Baker has
recently questioned this interpretation, insisting that the PLA is intended not as ademonstration but as the initiation of a change in our way of seeing things imprisoned
by linguistic illusions.
This presentation develops Baker’s new framework by associating it with
Wittgenstein’s philosophy of mathematics, which was his main concern before hechanged the organization of PI to include considerations about mental concepts,
beginning with the PLA (the “intermediate version” of PI), instead of considerations
about mathematics (the “pre‐war version” of PI). First, I show an illuminating
connection between Baker’s framework and Wittgenstein’s view that mathematical
proofs change our perspective. I then propose to associate with the PLA a fragment ofWittgenstein’s view of rule‐following, written just before he changed the organization of
PI. This connection is found in the inevitable factors in the rule‐following of thecircumstance surrounding linguistic activity and the reaction of a linguistic agent, whichshed light on the contingency and locality of language understanding.

Keywords
Wittgenstein, private language, rule‐following, philosophy of mathematics, concept
formation

1. Introduction
In Philosophical Investigations (henceforth PI), the masterpiece of the later
Wittgenstein, is a very famous argument called “ the private language argument”(henceforth, PLA). The PLA lies at the beginning of critiques of the notion that mental
concepts such as pain, thoughts, images, and consciousness describe private processes
occurring in the inner realm of each person. The PLA has been treated as representativeof the critique of Cartesian dualism, which locates the mind in the inner world in contrast* Corresponding author. E‐mail address: toshioirie@gmail.com

305with the body and material things in the outer world. In examining the PLA closely,
however, grasping its genuine points and its potentiality is a difficult task.
Up to the present, the PLA has been interpreted as a kind of reductio ad absurdum.
However, Gordon Baker has recently called this interpretation into question, insisting that
the PLA is intended not as a demonstration, but rather as an effort to bring about of achange in our way of seeing things, a way of seeing things that has been held prisoner bylinguistic illusions.
This presentation develops the PLA interpretation further in Baker’s direction byfocusing on the continuity between the PLA and Wittgenstein’s consideration of thephilosophy of mathematics. Initially, Wittgenstein planned for PI to address thephilosophy of language in the first half (§§1‐188) and the philosophy of mathematics inthe latter half (the “prewar” version of PI). However, in the spring and summer of 1944,
he altered the organization of the book such that instead of the philosophy ofmathematics, the PLA and considerations on mental concepts are subsequent to aconsideration on rule‐following (the “intermediate” version of PI). For several years until
1944, Wittgenstein expended considerable effort on the philosophy of mathematics. This
presentation focuses on the continuity between the philosophy of mathematics and the
PLA.
This presentation deals in particular with a famous section of the PLA, §258. In thenext section, I outline of §258 and its interpretative problems. Subsequently, I present
Baker’s new interpretation (§3). His interpretation can be understood to a greater depth
if we pay attention to Wittgenstein’s consideration of mathematics; based on this, I use
Baker’s framework to develop a further interpretation (§4). I suggest a way with regard
to the interpretation of PI in the closing section (§5).

2. §258 of PI
The story of §258 is as follows. “I” want to keep a diary about the recurrence of acertain sensation. To this end, I associate it with the sign “S” and write this sign on acalendar for every day on which I have the sensation. Wittgenstein takes thisassumption as he wants, first, “to observe that a definition of the sign cannot be
formulated.” Responding to this, a further assumption is added. It is supposed that “S” isdefined through a kind of ostensive definition such as speaking or writing the sign down
and at the same time concentrating my attention on the sensation. Regarding this, hesays, “But what is this ceremony for? For that is all it seems to be! A definition serves tolay down the meaning of a sign, doesn’t it?” The response to this is: “Well, that is done
precisely by concentrating my attention; for in this way I commit to memory theconnection between the sign and the sensation.” Here are Wittgenstein’s last words inthis section:
But “I commit it to memory” can only mean: this process brings it about that I
remember the connection correctly in the future. But in the present case, I have nocriterion of correctness. One would like to say: whatever is going to seem correct tome is correct. And that only means that here we can’t talk about “correct” (PI §258).
There are many criticisms of the above “argument.” For example, it is possible for a
private language speaker to talk about “correct” because it is possible for each private
language speaker to identify their own sensation, keep that in their memory, andrecognize a similar sensation when it occurs in the future without external criteria; apublic community is not necessary for deciding what is correct because the stability ofthe speaker’s disposition is sufficient. Therefore, if we regard the above “argument” as akind of reductio ad absurdum, we must provide some grounds for why what is accessible
to private language speakers is insufficient grounds for correct or incorrect. Here, boththe for and against for the argument are inconclusive.
306

3. Baker’s Interpretation
Recently, Gordon Baker presented a new interpretation. According to him, the PLA
is not intended to give a demonstration of reductio ad absurdum. The main concern of
the PLA is rather to remove the prejudice that stands in the way of our seeing the actualuse of expressions．
One of Baker’s main interpretative strategies is comparing the PLA with the
opening sections of PI, where Wittgenstein’s point is much easier to see. There, Baker
says, Wittgenstein calls attention to a set of very general notions that affect almost
everybody who reflects on the meaning of words—namely, the notions that every word
is a name, that the meaning of a word is the object correlated with it, and that every
sentence is a combination of words with the function of describing some state of affairs.
Wittgenstein notes that this widespread conception, “a particular picture of the essenceof human language” (PI §1), “surrounds the working of language with a haze whichmakes clear vision impossible” (PI §5). Baker characterizes that picture, using
Wittgenstein’s phrase, as a “grammatical illusion,” and indicates that the PLA deals withthe same grammatical illusion, which elaborates the model of name and designation(Baker 1998: 348).
By finding similarities between the PLA and the opening sections of PI, Baker
makes an important remark concerning §258. Wittgenstein imagines a very simple
system of signs in the opening sections of PI (§§2‐3) and then goes on to use this simple
language game as an object of comparison to highlight both its differences andsimilarities with the everyday use of words. Hence, following Baker, the example of asensory diary in §258 is not a part of a reductio ad absurdum but a language gameinvented as an object of comparison. “Comparison between genuine names of sensationsand ‘S’ in this imaginary language‐game makes perspicuous just how far the everyday
use of the words ‘pain’, ‘fair’, etc. deviates from the models of the mere association ofsigns with immediate experiences” (Baker 1998: 349). Through this comparison, we
come to see that “we must establish more complex patterns than what is present, by our
hypothesis, in the private speakers’ activities” (ibid.) in order for “S” to be a genuinename of a sensation.
Baker closes the comparison with the opening sections of PI by stressing that thephilosophical activity of dispelling grammatical illusions is very different from that of
mapping the logical geography of “psychological concepts.” “It more often consists intaking note of possibilities to which one is blind than of establishing facts of which one is
ignorant” (Baker 1998: 349‐350). The example Baker invokes for this point is very
illuminating: to the question “How do words refer to sensations?” Wittgenstein replies
by suggesting the possibility of teaching the word “pain” to a child by conditioning him to
replace natural expressions of pain (say crying) by a verbal expression of pain (PI §244).
Appropriately, Baker adds that taking note of this possibility is enough to escape fromthe compulsion to address the question “What does an avowal of pain describe?”. Baker
concludes that attention to possibility doesn’t manifest Wittgenstein’s modesty, but his
method (Baker 1998: 350).

4. From Wittgenstein’s Philosophy of Mathematics
The character of Baker’s interpretation, outlined above, is revealed more vividly incomparison with an important function of a mathematical proof that Wittgenstein sheds
light on in his philosophy of mathematics. The following two remarks, the former ofwhich lies in the PLA and the latter of which lies in remarks about mathematics, show
the similarity between Wittgenstein’s philosophy and his conception of mathematics.
What is your aim in philosophy? ― To show the ly the way out of the ly‐bottle (PI:§309).
307

Can’t we say: the figure which shews you the solution removes a blindness, or againchanges your geometry? It as it were shews you a new dimension of space. (As if a fly
were shewn the way out of the fly‐bottle) (Wittgenstein 1984b: Ⅰ‐§44).
In his philosophy of mathematics, Wittgenstein pays attention to an importantfunction of the mathematical proof, namely, the way the proof brings about changes inour perspective. (cf. Irie, 2012) In a 1935 lecture, Wittgenstein compared unsolved
mathematical problems with riddles.
They are like the problem set by the king in the fairy tale who told the princess tocome neither naked nor dressed, and she came wearing fish net. That might have beencalled not naked and yet not dressed either. He did not really know what he wanted
her to do, but when she came thus he was forced to accept it. The problem is of theform, Do something which I shall be inclined to call neither naked nor dressed. It is thesame with a mathematical problem. Do something which I shall be inclined to accept
as a solution, though I do not know what it will be like (Wittgenstein 1979: 185‐6).
When the king gave the problem to the princess, there seemed to be nothing to satisfy
the conditions of the problem because it was quite natural to think that she had noalternative but to come either naked or dressed. However, by wearing the fish net,“dressed” was changed into “wearing clothes,” and a space, a possibility of an answer
between “naked” and “dressed” emerged. At that moment, we find ourselves in an
unnecessary prison (like the fly in the fly‐bottle) and set free. The most interesting point
regarding riddles is that the possibility of giving an answer to the question emerges
afterward by the giving of the answer itself. In the relation to the answer, the original
problem gets a new aspect.
In mathematics, we can easily find a similar example of something that was initiallythought to be impossible proved to be possible afterward—namely, the discovery ofimaginary numbers. But in the present context concerning the PLA, the proof thattrisecting an angle with a ruler and compass is impossible, discussed by Wittgenstein
again and again, is more important.
I can’t ask whether an angle can be trisected with ruler and compass, until I can see
the system “Ruler and Compasses” as embedded in a larger one, where the problem issoluble; or better, where the problem is a problem, where this question has a sense.
This is also shown by the fact that you must step outside the Euclidean system for a
proof of the impossibility.
A system is, so to speak, a world (Wittgenstein 1984a: §152).
(We should keep in mind the distinction between possibility of solving the problem andimpossibility of the trisection of the angle with ruler and compass in mind. These are, so
to speak, different levels.) Like the riddle, here the original problem receives a new
aspect when we see “the system ‘Ruler and Compasses’ as embedded in a larger one,
where the problem is soluble.” Here, Wittgenstein refers to a mathematical technique,translation, in which the original problem of Euclidian geometry is reformulated inalgebra such that construction with ruler and compasses is translated into the solutionof linear and quadratic equations, and the constructability of the trisection of an angle istranslated into the solvability of a special type of cubic equation. When we compare
geometric constructions with solutions of equations and find the connection between
them, the original problem gets a new aspect, and at the same time, the possibility of a308

solution emerges. We manage to “step outside the Euclidean system”—outside the oldworld into a new world.
The above consideration shows the importance of finding new aspects. Baker also
refers to the importance of making apparent aspects that are hidden from us (Baker
1998: 352). But his emphasis is put on dispelling the philosophical illusion, and does not
pursuit the hidden aspects further. Now, our main topic is §258. Can we pursue thehidden aspect §258 reveals further? What are the hidden aspect §258 reveals?

5. A Hidden Aspect that the PLA reveals
The answer to the last question in the previous section is in Baker’s words cited in
the penultimate paragraph of §3 in this presentation: through comparison, we come tosee that “we must establish more complex patterns than what is present, by our
hypothesis, in the private speakers activities” in order for “S” to be a genuine name of asensation. The hidden aspect that the imaginary language game in§258 reveals is the‘complex pattern’ of our ordinary linguistic activity, which is lacking in private language.
But how do we pursue that further?
Here is my suggestion. The last part of §258 strongly indicates the first landing
point of the “rule‐following consideration” (PI §202), which includes the comment that“to think one is following a rule is not to follow a rule. And that’s why it’s not possible tofollow a rule ‘privately.’” Saul Kripke has already discussed the connection between therule‐following consideration and the PLA, but in my conjecture, we can pursue a
different aspect of the connection shown by Kripke by directing intensive attention to a
fragment written on March 18, 1944 (Wittgenstein 2000: MS 124, 149‐151). There,
Wittgenstein focuses on essential factors of rule‐following—that is, the circumstances
surrounding linguistic activity and the reaction of a linguistic agent. Moreover, for thishidden aspect of the connection between the rule‐following consideration and the PLA
to be revealed, it will be especially useful to take into consideration §262, which belongs
to a stream of arguments beginning with §256, including §258. We can expect thatrevealing the hidden aspect of the connection will bring us “natural limits” (Wittgenstein
2000: MS 124, 151) that determine what has meaning and what does not, showing thepenetration of contingency and locality into our understanding of language. This is oneof the things that Wittgenstein’s philosophy will bring us henceforth.

6. Conclusion
It can be said that this presentation deals with two hidden aspects of the PLA. Oneof them concerns the character of the PLA, the other what the PLA reveals. As to theformer, I agree with Baker’s interpretation that the PLA is intended not as ademonstration but as the initiation of a change in our way of seeing things imprisoned
by linguistic illusions. This function of the PLA, the hidden aspect Baker reveals isunderstood deeply by comparing it with an important function of the mathematical
proof, namely, the way the proof brings about changes in our perspective. Meanwhile,
this comparison makes us realize that the importance of new aspects the PLA reveals
should be much more emphasized, and the latter of the two hidden aspects concerns thisemphasis. We can see this hidden aspect, which §258 reveals, in detail by directing
intensive attention to a fragment concerning rule‐following written on March 18, 1944.
This aspect is expected to show the limits of language in later Wittgenstein, reflecting
the penetration of contingency and locality into our understanding of language.

References
Baker, G. (1998). The private language argument. Language & Communication 18.4: 325‐
356.
309

Irie, T. (2012). On an Important Aspect of Relations between a Problem and Its Solutionin Mathematics and the Concept of Proof: The Evolution of Wittgenstein’s
Philosophy of Mathematics from Tractatus Logico‐Philosophicus to Bemerkungenüber die Grundlagen der Mathematik. Philosophy of Science, Vol.45, No.2, pp.115‐
129. The Philosophy of Science Society, Japan. (in Japanese)
Wittgenstein, L. (1979). Wittgenstein's Lectures: Cambridge 1932‐1935, Alice Ambrose(eds.), Blackwell．
― ― ― ― ― ― ― (1984a). Philisophische Bemerkungen: Werkausgabe Band 2,
Suhrkamp．
――――――― (1984b). Bemerkungen über die Grundlagen der Mathematik (3rd ed.):Werkausgabe Band 6, Suhrkamp.
――――――― (2000). Wittgenstein’s Nachlass: The Bergen Electric Edition, Oxford
University Press.
――――――― (2009). Philosophical Investigations (4th ed.), P. M. S. Hacker & J.
Schulte (ed.), Wiley‐Blackwell．

310

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Remote Sensing

Investigation of a High Resolution Lidar Using Optical Frequency
Comb
Nobuo TAKEUCHICEReS, 1‐33 Yayoi‐cho, Inage‐ku, Chiba‐shi, Chiba 263‐8522 Japan

Abstract
An optical frequency comb (OFC) is a spectrum consisting of a series of discrete,equally spaced elements. The invention of the OFC is of key importance in fields like
optical spectroscopy, ultrashort pulse generation, optical clocks, and for calibration of
optical frequency standards. OFC can be generated usually by a mode locked laser. The
use of fiber laser enables a compact and robust OFC laser system. The OFC allows a
direct link from radio frequency standards to optical frequencies, so that the OFC
improved the accuracy of the frequency standard by several orders of magnitude.
Also high‐precision distance measurement technology has always been playing animportant role in the fields of high‐tech industries and scientific research. The ability todetermine absolute distance to an object is one of the most basic measurements ofremote sensing. High‐precision monitoring has important applications in both nm‐
accuracy measurement of small size structures and also long‐distance range finding
such as lidar. The OFC provides the sub‐cm accuracy in long range lidar detection, as
well as nm accuracy in the meter‐size measurement. The chirping laser OFC technology
is considered, too. The feasibility of some cases of lidar configuration is considered andtheir performance assessment is given.)

Keywords
Lidar, High resolution, Optical frequency comb, High accuracy ranging,

1. Introduction
Recently there has been a remarkable synergy between the technology of precisionlaser stabilization and mode‐locked ultrafast lasers. This has resulted in control of thefrequency spectrum, which consists of a regular “comb” of sharp lines, produced bymode‐locked lasers (Hänsch, 2006, Hall, 2006, Ye et al,2004). Such a controlled mode‐
locked laser is a “femtosecond optical frequency comb generator.” For a sufficiently
broad comb, it is possible to determine the absolute frequencies of all of the comb lines.
This ability has revolutionized optical frequency metrology and synthesis. It has also
served as the basis for the recent demonstrations of atomic clocks that utilize an opticalfrequency transition. In addition, it is having an impact on time‐domain applications,
including phase‐sensitive extreme nonlinear optics and pulse manipulation and control.
1.1.

Frequency spectrum of a mode‐locked laser1

To understand how frequency‐domain techniques can be used to control mode‐locked
lasers, we must first connect the time‐ and frequency‐domain descriptions.
The electromagnetic field emitted by a mode‐locked femto‐second laser is composed, inthe frequency domain, of a series of modes, regularly spaced in frequency, and phasecoherent with each other. The frequency of each mode thus follows the relation
N = N × frep + fceo
(1)
where frep is the repetition rate (typically radio‐frequency) of the laser pulses, N is the
optical frequency of the considered mode, N a large integer (typically of the order of106), and fceo is a global shift frequency called “carrier‐envelop offset frequency”. This
last term is related to the difference between the phase velocity and group velocity inthe laser oscillator. It corresponds, in the time domain, to the fact that the electric field is
not strictly identical from one pulse to the next, but exhibits a phase shift with reference
to the time envelop of the pulse (see Fig. 1)

Fig. 1. FOFC and its temporal coherence function. (a) Pulse train in the time domain.
(b) Comb lines in the frequency domain. (c) TCF of FOFC.
When φce is evolving with time, such that from pulse to pulse (at a time separation of
TR = 1/ frep) there is a phase increment of Δφce, then in the spectral domain, a rigid shift
will occur for the frequencies at which the pulses add constructively. This shift is easily
determined to be (1/2π) Δφce /TR. The comb offset is connected to the pulse‐to‐pulse
phase shift by fceo= ( 1/ 2π) frep Δφ ce. The relationship between time‐ and frequency‐
domain pictures is summarized in Figure 1. The pulse‐to‐pulse change in the phase forthe train of pulses emitted by a mode‐locked laser occurs because the phase and groupvelocities inside the cavity are different. The pulse‐to‐pulse change in the phase for the
train of pulses emitted by a mode‐locked laser can be expressed in terms of the averagephase (vp) and group (vg) velocities inside the cavity.
Specifically, Δφce = (1/ v g −1/ v p) l cωc , where lc is the round‐trip length of the laser
cavity and ωc is the “carrier” frequency.
1.2. Determining absolute optical frequencies with octave‐spanning spectra
The CEPφce is the phase between the carrier wave and the position of the intensity
envelope of the pulse (cf. figure in the time domain). In a train of multiple pulses it isusually varying due to the difference between phase and group velocity. The time, after2

which the phase increases resp. decreases by 2 π is called T C E O >. Ideally, it is an integer
multiple of the duration T r e p between two pulses and the pulses are picked at thecorresponding rate to obtain a constant phase over all picked pulses. Besides this linear
evolution, fluctuations which are common in conventional femtosecond laser systems
usually cause a nonlinear shot‐to‐shot fluctuation of the CEP. This is why measuring andcontrolling it is very important for many applications.

Octave expanded OFC
SHG of OFC

fceo

frep

2N, 2N

Fig.2 Determination of fceo . The large nonlinearity of photonic crystal fiber
extends frequency region over one octave. By comparing the higher end on frequency
comb and the SHG of fundamental comb, fu an be used without other laser source.
The CEP ϕCE is the phase between the carrier wave and the position of the intensity
envelope of the pulse (cf. figure in the time domain). In a train of multiple pulses it isusually varying due to the difference between phase and group velocity. The time,after which the phase increases resp. decreases by 2 π is called T C E O >. Ideally, it is an
integer multiple of the duration T r e p between two pulses and the pulses are pickedat the corresponding rate to obtain a constant phase over all picked pulses. Besides
this linear evolution, fluctuations which are common in conventional femtosecond
laser systems usually cause a nonlinear shot‐to‐shot fluctuation of the CEP. This is why
measuring and controlling it is very important for many applications.

2. Frequency Comb Laser
For the purpose to obtain optical frequency comb system, laser active material has toposes a wide spectral range. Usually rare earth ions are typical material. In Fig.3, theirspectral is shown (Nishizawa, 2013).

Fig. 3 Gain spectrum of typical rare‐earth doped fibers.

Some of typical lasers are describe below.
2.1

Ti:Saphire Laser3

Ti:sapphire lasers (also known as Ti:Al2O3 lasers, titanium‐sapphire lasers, orTi:sapphire) are tunable lasers which emit red and near‐infrared light in the range from
650 to 1100 nanometers. These lasers are mainly used in scientific research because of
their tunability and their ability to generate ultrashort pulses.
Titanium‐sapphire refers to the lasing medium, a crystal of sapphire (Al2O3) that is
doped with titanium ions. A Ti:sapphire laser is usually pumped with another laser witha wavelength of 514 to 532 nm, for which argon‐ion lasers (514.5 nm) and frequency‐
doubled Nd:YAG, Nd:YLF, and Nd:YVO lasers (527‐532 nm) are used. Ti:sapphire lasers
operate most efficiently at wavelengths near 800 nm.
2.2 Mode‐locked oscillators
Mode‐locked oscillators generate ultrashort pulses with a typical duration between a
few picoseconds and 10 femtoseconds, in special cases even around 5 femtoseconds.
The pulse repetition frequency is in most cases around 70 to 90 MHz. Ti:sapphireoscillators are normally pumped with a continuous‐wave laser beam from an argon or
frequency‐doubled Nd:YVO4 laser. Typically, such an oscillator has an average output
power of 0.4 to 2.5 watts.
2.3 Chirped‐pulse amplifiers
These devices generate ultrashort, ultra‐high‐intensity pulses with a duration of 20 to
100 femtoseconds. A typical one stage amplifier can produce pulses of up to 5 millijoules
in energy at a repetition frequency of 1000 hertz, while a larger, multistage facility can
produce pulses up to several joules, with a repetition rate of up to 10 Hz. Usually,
amplifier crystals are pumped with a pulsed frequency‐doubled Nd:YLF laser at 527 nm
and operate at 800 nm. Two different designs exist for the amplifier: regenerative
amplifier and multi‐pass amplifier.
3. Fiber Lasers
Ti:saphire laser was first used for frequency comb laser. However, it is large, weak instability, and difficult to long operation. Especially, the connection to a large nonlinear
photonic crystal fiber has a large connection loss and instability. On the other hand, afiber laser is robust and compact and maintenance free long time operation is possible.
(Inaba, H., et al., 2006).
3.1 Fiber Laser
A fiber laser is a laser in which the active gain medium is an optical fiber doped withrare‐earth elements such as erbium, ytterbium, neodymium, dysprosium,
praseodymium, thulium and holmium (see Fig.3). They are related to doped fiber
amplifiers, which provide light amplification without lasing. Fiber nonlinearities, such as
stimulated Raman scattering or four‐wave mixing can also provide gain and thus serve
as gain media for a fiber laser.

OutputPump
LD

Fiber-type
Grating

Fiber-type
Grating

Fig. 4 Fundamental scheme of a fiber
laser.

4

Fig. 5 Example of a fiber amplification scheme.
3.2 Advantages and applications
A fiber laser has superior characteristics as follows:
A laser cutting machine with a 2 kW continuous wave fiber laser
The advantages of fiber lasers over other types include:
Light is already coupled into a flexible fiber:High output power:
High optical quality:
Compact size:
High peak power and nanosecond pulses enable effective marking and engraving.
The additional power and better beam quality provide cleaner cut edges and fastercutting advantages and application speeds.
Lower cost of ownership.
Applications of fiber lasers include material processing (marking, engraving, cutting),
telecommunications, spectroscopy, medicine, and directed energy weapons.
Er‐doped fiber lasers (EDFLs) can be viewed as EDFAs operating in the particularregime where coherent oscillation of ASE occurs due to some feedback means.
A standard definition could be the following: EDFLs are used as sources for coherent
light signal generation, while EDFAs are used as wave‐wave amplifiers for coherent lightsignal regeneration.
All EDFLs can be pumped with compact, efficient, and sometimes inexpensive laser
diodes. They are compatible with different fibers and fiber optic components used incommunications so they have negligible coupling losses.
Fiber waveguiding and splicing alleviate any mechanical alignment of parts and provide
superior environmental stability.
There are many possible laser cavity designs and configurations.
The tunable EDFL configuration presented here uses an all‐fiber ring laser cavity.
Wavelength selectivity can be achieved by using a tunable transmission filter.
This example will show how OptiSystem can simulate laser ring design and ASE sources.
The setup parameters are very important to obtain a steady state output power. Thismeans the user must find the minimum number of convergence iterations to obtaincorrect results.
3.3 Erbium-doped Fiber Laser

5

Fig. 6 Schematic setup of a simple erbium‐doped fiber amplifier. Two laser diodes(LDs) provide the pump power for the erbium‐doped fiber. The pump light is injected
via dichroic fiber couplers. Pig‐tailed optical isolators reduce the sensitivity of thedevice to back‐reflections.
A typical setup of a simple erbium‐doped fiber amplifier (EDFA) is shown in Fig. 6. Its
core is the erbium‐doped optical fiber, which is typically a single‐mode fiber. In theshown case, the active fiber is “pumped” with light from two laser diodes (bidirectional
pumping), although unidirectional pumping in the forward or backward direction (co‐directional and counter‐directional pumping) is also very common. The pump light,
which most often has a wavelength around 980 nm and sometimes around 1450 nm,
excites the erbium ions (Er3+) into the 4I13/2 state (in the case of 980‐nm pumping via
4I11/2), from where they can amplify light in the 1.5‐μm wavelength region via stimulated
emission back to the ground‐state manifold 4I15/2. (See also Figure 1 in the article on
erbium‐doped gain media.)
3.4 ytterbium ‐doped Fiber Laser
Ytterbium (Yb) is a chemical element belonging to the group of rare earth metals. In
laser technology, it has acquired a prominent role in the form of the trivalent ion Yb3+,
which is used as a laser‐active dopant in a variety of host materials, including both
crystals and glasses. It is often used for high‐power lasers and for wavelength‐tunablesolid‐state lasers.
Ytterbium (Yb) is a chemical element belonging to the group of rare earth metals. In
laser technology, it has acquired a prominent role in the form of the trivalent ion Yb3+,
which is used as a laser‐active dopant in a variety of host materials, including both
crystals and glasses. It is often used for high‐power lasers and for wavelength‐tunablesolid‐state lasers.
3.5 photonic band‐gap fiber.

（a）

（b）

（c）

Fig. 7 Cross‐sections of typical fibers (a)&(b) double clad fibers, (c) photonic band‐gap
fiber.
6

Photonic‐crystal fiber (PCF) is a new class of optical fiber based on the properties ofphotonic crystals. Because of its ability to confine light in hollow cores or withconfinement characteristics not possible in conventional optical fiber, PCF is now
finding applications in fiber‐optic communications, fiber lasers, nonlinear devices, high‐power transmission, highly sensitive gas sensors, and other areas. Photonic crystal
fibers may be considered a subgroup of a more general class of microstructured opticalfibers, where light is guided by structural modifications, and not only by refractive index
differences.
Due to special microstructured optical features, it makes possible to expand spectral oftransmitting light. (See Fig.8)

Fig. 8 Spectral expansion of afiber laser by using a photonic
crystal fiber.

3.6 Optical Frequency Comb.
Optical frequency comb is generated by phase locking of mode lock laser.
For mode‐locking, passive and active methods exist. Here passive mode‐lock methods
are shown in Fig. 9.

Fig.9(a) Linear type mode‐lock fiber laser

Fig.9(b) Ring type mode‐lock fiber laser

Fig.10 Frequency measurementof Experimental turnkey setupof the frequency measurement.
system: PZT, piezoelectrictransducer(Shibli, 2004)

7

The frequency comb system under the phase‐lock of a mode‐lock laser has been used
for the national length standard in Japan (2009).
The frequency comb technique is used in the fields of optical clock, optical metrology,
frequency chain generation, optical atomic clocks, high precision spectroscopy, andmore precise GPS technology.
4. Lidar Application
One of the application of Optical Frequency Comb is the measurement of distance.
In distance measurement, usually the beat of probe and reference lights, so the term of"lidar" is not commonly used "lidar", but "range finder" where the distance to a rigid
surface is obtained. (Minoshima, 2000, Swann, 2006, Balling, 2009, Coodington, 2009,
Baumann, 2013, Wu, G.,2013, Wu, X., 2013).
The lidar system (Minoshima, 2000) which is used for the measurement of 240m
distance in an optical tunnel is shown in Fig.11. They measured in the accuracy of 10‐6.

Fig.11 Experimental setup of the high‐accuracy distance meter.
In a case of soft target reflection, the return signal is very weak, but the greenhouse gas
monitoring over kilometer air path is tried (Rieker, 2014).
5. Dual Comb
Dual comb technique is a method to use two optical frequency comb system with slightfrequency difference. The slight difference of resonant frequency is used for step ofspectral resolution. (Sasada, 2012).
Many molecules with resonant frequency in NIR are measured.

OFC 1

SampleDetector

Spectrum
Analyser

OFC 2

Fig. 12 Principle of Dual Comb.
In Fig.13, Dual comb "green‐house gases" monitoring over 2km path is described.
Concentration of CH4, H2O and CO2 are measured. (Rieker, 2014).
In the case of OFC lidar monitoring, Signal to Noise is sais to be limited by shot noise,dark current ,etc. However, speckle noise may also limit S/N ratio.
8

Fig. 13 Open ‐air path greenhouse gas sensing through dual‐com spectroscopy.
Some investigation of detailed system will be shown in the presentation.

Acknowledgements
The author express deep thanks for information and discussion to Prof. Kaoru
Minoshima, UEC, and Prof. Yohei Kobayashi, ISSP, U. Tokyo.

References
Balling, P., Kren, P., Masikka, P., van der Berg, S.A., (2009). "Femtosecnd frequency comb based
distance measurement in air", Optics Express 17 9300.
Baumann, E., Giorgetta, F.R., Coddington, I., Sinclair, L.C., Kanabe, K., Swann, W.C., Newbury,
N.R.,(2013). "Comb‐calibrated frequency‐modurated continuous wave ladar for absolute
distance measurements", Optics Letters, 38 2026.
Boudreau, S., Levasseur, S., Perilla, C., Roy, S., (2013). "Chemical detection with hyperspectral
lidar using dual frequency comb", Optics Express 21 7411.
Coddington, I., Swann, W.C., Nenadovic, L., Newbury, N.R., (2009). "Rapid and precise absolute
distance measurements at long range", Nature Photonics. 3 351.

Hänsch, T. (2006). “Nobel Lecture: passion for precision”, Review ofModern Physics 12,1297.
Hall, J. (2006). “Nobel Lecture: defining and measuring optical frequencies”, Review ofModern Physics 78, 1279.
Inaba, H., Daimon, Y., Hong, F‐L., Onae, A., Minoshima, K., Schibli, T. R., Maatsumoto, H.,
Hirano, M., Okuno, T., Onishi, M., Nakazawa, M., (2006). "Long‐term measurementof optical frequencies using a simple, robust and low‐nosie fiber based frequency
comb", Optics Express 14 5253.
Minoshima, K., Matsumoto, H., (2000). "High accuracy measurement of 240‐m distance in an
optical tunnel by use of a compact femtosecond laser". Applied Optics 39 5512.
Newbury, N.R., Swann, W.C., (2007). "Low‐noise fiber‐laser frequency coms" J. Opt. Soc. Am. B 24
1756.
Nishizawa, N., (2013). "Development and application of fiber laser", Optics, 42, 438. (in Japanese)
Rieker, G.B., Giorgetta, F.R., Swann, W.C., Kofler, J., Zolot, A.M., Sinclair, L.C., Baumann,E., Cromer,
C., Petron, G., Sweeney, C., Tans, P.P.,Coddington, I., Newburry, N.R.., (2014). "Frequency‐
comb‐based remote sensing of greenhouse gases overr kiloeter air paths", Optica 5 290.
Sasada, H., (2012), "Current status and prospect of optical frequency comb technology", Optics 41
460 in Japanese.
Shibli, T.R., Minoshima, K. Hong, F.‐L., Inaba, H., Onae,, A., Matsumoto, H., Hartl, I. Fermann, M. E.,(2004). " Frequency metrology with a turnkey all‐fiber system", OPTICS LETTERS 29, 2467

9

Swann, W.C., Newbury, N.R.,(2006). "Frequency‐resolved coherent lidar using a femtosecond
fiber laser". Optics Letters 31 826.
Wu, G., Takahashi, M., Inaba, H., Minoshima, K.,(2013) "Pulse‐to‐pulse alignment technique basedon synthetic‐wavelength interferometry of optical frequency combs for distancemeasurement" Optics Letters 38 2140.
Wu, X., Wei, H., Zhang, H., Ren, .L., Li, Y., Zhang, J.,(2013). "Absolute distance measurement using
frequency‐sweeping heterodyne interferometer calibrated by an optical frequency comb",
Applied Optics 52 2042.

Ye, J., Cundiff.S.T. (2004). "Femtosecond Optical Frequency Comb: Principle, Operation,
and Applications", Springer

10

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Remote Sensing

Modeling of scattering enhancement factor, f(RH), in Chiba using
visibility and ground measurements
Nofel Lagrosasa,b*, Tomoaki Tsuneyoshib, Naohiro Managob, Hiroaki Kuzeb
aManila Observatory, Ateneo de Manila University campus,Katipunan Ave. 1108 Quezon City,

Philippines

bCenter for Environmental Remote Sensing, Chiba University, 1‐33 Yayoi‐cho, Inage‐ku, 263‐

8522 Chiba, Japan

Abstract
Monthly scattering enhancement factor, f(RH), is evaluated in Chiba in 2014. Hourly
extinction coefficients at 875 nm are obtained from visibility meter operated at a Japan
Meteorological Agency station located 2.5km south of Chiba University. Absorption
coefficients at 875 nm are extrapolated from aethalometer measurements. Scattering
coefficients are obtained as the difference between the extinction and absorption coefficients.
These scattering coefficients in a month are averaged for every ambient relative humidity(RH). To obtain the dry scattering coefficient, a 7-point running average is applied to thevisibility with RH to acquire the power-law fit of the visibility with RH. The scattering
coefficient in the 0-30% RH range is the dry scattering coefficient obtained from the fit. The
monthly f(RH) is the ratio of the scattering coefficients and the dry scattering coefficient in amonth. A power-law is used to fit the f(RH) with RH. The winter months show increasingf(RH) with RH for RH>80%. November, December, January and February show that f(RH)starts to increase at around RH=75%. The high f(RH) values in February is considered as theeffect of high RH in early morning. The change of f(RH) with RH is relatively insignificant in
the summer months, although f(RH) rapidly changes with RH for RH>90%. This rapid
increase can be explained as the effect of the presence of higher volume concentration oforganics in the atmosphere, as revealed in the chemical component analysis previously
conducted by our group.

Keywords
Scattering enhancement factor, relative humidity, visibility meter, absorption coefficient,scattering coefficient.

1. Introduction
Aerosols are liquid and solid particles that are suspended in the atmosphere. They
are produced from natural and man‐made activities (Seinfeld & Pandis, 2006). Their
scattering properties depend on their size, chemical and optical characteristics. Aerosol
growth takes place under conditions of increasing relative humidity (RH) and changes
the scattering properties considerably. The parameter used to quantify aerosol
scattering properties with RH is the scattering enhancement factor, f(RH). It is defined as* Corresponding author Tel.: +63915‐3605‐398; fax: +632‐426‐0847.
E‐mail address: nofel@observatory.ph11the ratio of the scattering coefficient at a particular RH, (RH), to the dry scattering
coefficient:f ( RH )  RH 
 RH dry (1)where (RHdry) denotes the scattering coefficients at a dry RH. Different aerosols havedifferent responses to increasing RH. Previous studies have shown that the changes off(RH) with RH for sea salt is high compared to dust (Zieger et al., 2013, Pan et al., 2009).
In Chiba, seasonal changes of RH exist and aerosols are composed of different types(Fukagawa et al, 2006). The objective of this work is to measure and produce a monthly
model of f(RH) of aerosols in Chiba. Such a study of hygroscopic growth of particles in
the real atmosphere is important from the viewpoints of the influence of aerosol on theradiation budget and understanding the onset of cloud formation in which aerosols
work as the cloud condensation nuclei (Seinfeld and Pandis, 2006).

2. Aerosols and RH characteristics in Chiba
The composition of aerosols in Chiba varies according to seasons (Fukagawa et al,2006). Ammonium sulfate and elementary carbon, for example, are seen to have highconcentrations during summer and winter, respectively. Sea salt also exhibits highconcentrations during summer. Ground measurements of RH in Chiba show thatsummer and winter months have the highest (~80%) and lowest (~45%) mean RH
values, respectively. However, the month of February can have RH values that can reachup to 95% in the early hours of the morning. These variations of RH and aerosols
provide a complex nature of the collective scattering properties of aerosols.
Nevertheless, measurement of f(RH) from ground data collected over a year can offer
the seasonal changes of the scattering properties of aerosols.
Conventionally measurements of f(RH) have been achieved using two integrating
nephelometers that measure scattering coefficients of ambient and then dry air (Fierz‐
Schmidhauser et al., 2010, Zieger et al., 2013). In this work, we propose thedetermination of f(RH) through the monitoring of the ambient atmosphere by employing
visibility, nephelometer and aethalometer data.

3. Methodology
The Japan Meteorological Agency (JMA) measures the hourly visibility values at
Chiba city’s District Office using a “present weather detector” (Vaisala PWD 22). The
data are obtained from JMA’s website (http://www.data.jma.go.jp/). The visibility meter
is located around 2.5 km south of Chiba University (Figure 1a). Figure 1 (b) and (c) show
the image of the aerosol measurement unit (aethalometer, nephelometer, particle
counter) located at CEReS, Chiba University, and that of the visibility meter, respectively.
The visibility meter can measure a maximum visibility value of 20 km. In thepresent analysis, visibility values less than 20 km are used to generate the extinction
coefficient at 875 nm. Values of ambient RH are also obtained from JMA’s website. The
extinction coefficient is extracted from the visibility data using

2.996
(2)
,
V
where ext and V are the extinction coefficient and the measured visibility. The factor

 ext 2.996 is the logarithmic attenuation of 5% of the original intensity, i.e., ln(1/0.05). The
absorption coefficients at seven wavelengths from 370 to 950 nm are measured using anaethalometer (Magee AE31). The absorption coefficient at 875 nm is interpolated fromthe linear fit of the logarithm of the absorption coefficient and the logarithm of the

12wavelength. The difference of the extinction and absorption coefficient gives thescattering coefficient.
In a month, the scattering coefficient values at the same RH are grouped andaveraged. The dry scattering coefficient used in calculating for f(RH) is the average of thescattering coefficient for RH<30%. The f(RH) values are fitted using a power law
relationship off ( RH )  ax b  1 ( x  RH / 100 ).

(3)b

Figure 1. (a) Location of the visibility meter with respect to Chiba University; (b) Aerosol measurement unit, and(c) Vaisala Present Weather Detector(PWD22)
http://www.vaisala.com/en/maritime/products/visibility/Pages/PWDPresentweather.aspx

4. Results and discussion
Figure 2a and b show the measured and modeled dependence of f(RH) with RH for
the months of April and June 2014. These are representative months when f(RH) showsdifferent responses with RH at high RH. In April, f(RH) values do not change that muchwith increasing RH compared to the behavior of f(RH) in June. This can be attributed tothe type of aerosols present in the atmosphere during these months. Previous studies
have shown that f(RH) increases sharply with RH for sea salt but not that much withdust (Zieger et al., 2013). Also, increasing weight percentage of organics in ammonium
sulfates tend to decrease f(RH) values (Garland et al., 2007). In April, aerosols in Chiba
have lower sea salt component, high concentration of dust and organics. Asian dust istransported from China and passes over Japan. Local dust may also contribute to the low
f(RH) due to relatively dry conditions. In the month of June, the aerosols in Chiba have ahigher concentration of sea salt, with less concentration of dust and organics. This may
explain the steeper f(RH) values at high RH.
Figure 3 shows the trend of modeled f(RH) with RH for the year 2014. The monthof February has higher f(RH) values with increasing RH and this can be attributed tohigh RH during early morning although the mean RH of this month is low. This also thereason why f(RH) values start to increase significantly at around 80% RH. The summer
months also show higher f(RH) values at high RH. This can be attributed to relatively
high RH during daytime and nighttime compared to the other months. However, f(RH)
values start to increase signifi‐cantly at 90% RH. This may be attributed to the fact that,on the average, the aerosols in the atmosphere have significantly increa‐sed in size at aparticular RH compared to the size of the aerosols at the same RH for different months.
Thus, any increase in size contributes to a small increase in the scattering coefficient ofthese larger aerosols.
13

Figure 2. a) Measured and modeled f(RH) for the month of April 2014. The modeled f(RH) increases
with RH according to Eq. 2 with a=4.455 and b=14.38. b) Measured and modeled f(RH) for themonth of June 2014. The modeled f(RH) sharply increases with RH according to Eq. 2 with a=16.88
and b=26.60.

Figure 3. Modeled f(RH) values for the year 2014.

Acknowledgement
This work was supported by the CEReS Overseas Joint Research for FY2016.

References

Fierz‐Schmidhauser, P. et al. (2010). Measurement of Relative Humidity Dependent Light
Scattering of Aerosols. Atmos. Meas. Tech., 3, 39‐50. Copernicus Publications, Germany
Fukagawa, S. et al. (2006). Characterization of Seasonal Variation of Tropospheric Aerosols in
Chiba, Japan. Atmos. Env., 40, 2160‐2168. Elsevier Publications, The Netherlands.
Garland, R.M. et al. (2007). Parameterization for the Relative Humidity Dependence of Light
Extinction: Organic‐ammonium sulfate aerosol. J. Geophys. Res., 112, D19. American
Geophysical Union Publications, USA.
Pan, X.L.. et al. (2009). Observational Study of Influence of Aerosol Hygroscopic Growth on
Scattering Coefficient over Rural area near Beijing Mega‐City. Atmos. Chem. Phys. 9, 7519‐
7530. C Copernicus Publications, Germany.
Seinfeld, J.H. & Pandis, S.N. (2006). Atmospheric Chemistry and Physics: From Air Pollution to
Climate Change (2nd ed.), John Wiley & Sons, USA.
Zeiger, P. et al. (2013). Effects of Relative Humidity on Aerosol Light Scattering: Results fromdifferent European sites. Atmos. Chem. Phys., 13, 10609‐10631. Copernicus Publications,
Germany.

14

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic: Remote Sensing

Observation of Aerosol Optical Properties by Means of
Himawari‐8 Satellite from Space and Lidar System from Surface
Jamrud Aminuddina,b, Tomoaki Tsuneyoshia, Nofel Lagrosasc,
Babag Purbantoroa,d, Shin’ichiro Okudea, Naohiro Managoa, and Hiroaki Kuzea*
aCenter for Environmental Remote Sensing, Chiba University, 1‐33 Yayoi‐Cho, Inage‐Ku,

Chiba, 2638522, JAPAN.

bDepartment of Physics, Faculty of Mathematics and Natural Science, Universitas Jenderal

Soedirman, Jl. dr. Suparno 61 Purwokerto, Jawa Tengah, 53123, INDONESIA.

cManila Observatory, Katipunan Ave, Loyola Heights, Quezon City, 1108, PHILIPPINES.

dRemote Sensing Technology and Data Center‐Indonesian Aeronautical and Space Agency,

Jl. Lapan No. 70, Pasar Rebo, Jakarta, 13710, INDONESIA.

Abstract
Observations have been carried out by means of Himawari‐8 satellite from space and lidar
systems from surface to retrieve aerosol optical properties. The high temporal resolutionof Himawari‐8 satellite is employed to derive the surface reflectance using band 1 to 6
and brightness temperature using band 7 to 16. The near‐surface aerosol extinction
profiles, on the other hand, are measured using a plan position indicator (PPI) lidar
coupled with a slant path (SP) lidar as well as ground‐based sampling instruments. The
wavelengths are 349 and 532 nm for PPI and SP lidars, respectively. The general intentionof these observations is twofold. First, we verify the consistency of the lidar data inretrieving aerosol extinction with the aerosol data measured using sampling instruments,
namely an integrating nephelometer, aethalometer, and an optical particle counter. The
difference in humidity conditions between the instrumental and ambient conditions istaken into account through the Mie‐scattering calculation. Second, the horizontal
distribution measured with the PPI lidar is compared with the aerosol distribution
derived from satellite data of Himawari‐8, in addition to less frequently observed
Landsat‐8 and MODIS imagery. In this paper, we describe recent results of our analysis
based on lidar observations synchronized with satellite overpass.

Keywords:
Boundary‐layer aerosol; PPI lidar; Mie scattering; Satellite data analysis.

1. Introduction
Aerosols are liquid and solid particles originated from both natural andanthropogenic sources particles. Aerosols exerts impact on radiation balance of the Earthatmosphere directly and indirectly that can be analyzed by employing their physicalproperties (IPPC 2007). To obtain better understanding of aerosols, we need themonitoring technique that enables the retrieval of their optical properties. Optical remote*
Corresponding author. Tel.: +81‐080‐8722‐8998; fax: +81‐043‐290‐3857.
E‐mail address: jamrud.aminuddin@unsoed.ac.id15

sensing from ground‐based instruments as upward looking and satellite platforms as
downward looking can provide good understanding of aerosol optical characteristics(Kuze 2012b). The aerosol parameters have routinely observed by the atmosphericgroup of the Center for Environmental Remote Sensing (CEReS), Chiba University. In thisreport, the major instruments employed in concurrent measurement with satellite
overpass are plan position indicator (PPI) and slant path (SP) lidars. Backscattering
signals recorded by lidar systems are analyzed by Fernald method to obtain the aerosol
extinction coefficient (Fernald 1984; Klett 1985). In processing data we need lidar ratiothat can be obtained by Mie calculation by employing ground‐based instruments(Jaenicke 1993; Bagtasa et al. 2007). Since the elevation angles of PPI and SP lidars are
small (10° for PPI and 30° for SP), the major target of these instruments is the aerosol
particles in the atmospheric boundary layer.

2. Instruments and Methods
The ground instruments consist of plan position indicator (PPI) and slant path (SP)lidars. Besides, there are nephelometer, aethalometer, particle counter, sunphotometer,
and weather detector, all of which are operated routinely. The PPI lidar, installed at theroof top of 9th floor of CEReS building about 30 m above the ground as shown in Fig. 1a.
The SP lidar utilize a diode‐laser‐pumped Nd:YAG laser at 532 nm with 200 μJ/pulse and1000‐3000 Hz pulse repetition rate. A photo multiplier tube and a transient recorder forrecording the signals as shown in Fig. 1b ( Kuze, 2012a, 2012b; Mabuchi et al., 2012).

Figure 1. The PPI and SP lidars installed on the 9th and 5th respectively of CEReS building.

A high‐spectral resolution lidar (532 nm) and a Raman lidar (355 nm) are also
installed for the direct measurement of the lidar ratio (S1). In order to monitor the aerosol
properties inside the boundary layer, the following instruments are operated on the same
rooftop as the PPI lidar: a three‐wavelength integrating nephelometer (TSI, Model 3563),
an aethalometer (Magee Scientific, AE‐31), and a particle counter (Rion, KC‐22B). These
instruments can provide continuous information on scattering, absorption, and size
distribution, respectively, on aerosol particles sampled near the roof‐top level. In
addition, a five‐wavelength sunphotometer is routinely operated to monitor AOT during
the daytime (Mabuchi et al. 2012). When the cloud influence is insignificant, thesunphotometer data can give good constraint on the aerosol retrieval from lidar
measurements. To study the relative humidity effect on particulate growth/ evaporationof hygroscopic aerosols, we have compared the sampling data with the visibility data
provided from the Chiba station data of JMA.

16

3. Results and Discussion
Signal of both PPI and SP lidars are processed using the Fernald methods to obtain
extinction coefficient (Fernald 1984; Klett 1985). Lidar ratio in Fernald method is
obtained from ground based instruments data in Fig. 2 by using Mie calculation (Kuze
2012a; Mabuchi et al. 2012). Employing lidar ratios are 35 sr for PPI and 30 for SP, theextinction coefficient can be computed and their results are shown in Figs. 3 and 4.

Figure 2. Ground based instrument data retrieved on May 13th 2016.

Figure 3. Aerosol extinction coefficient observed using PPI lidar on May 13th 2016 at 15.00 JST

Figure 4. Aerosol extinction coefficient observed using SP lidar on May 13th 2016 at 15.00 JST

Surface reflectance of solar energy (shortwave radiation) is an influential
parameter for aerosol retrieval from satellite imagery. This parameter is derived from
Himawari 8 satellite data by processing Bands 3 in the visible and near infrared (IR)wavelengths (Fig. 5a). On the other hand, brightness temperature as the amount ofthermal infrared (TIR) radiation traveling upward from the top of atmosphere is retrieved
from Bands 7‐14 as infrared wavelength (Fig. 5b). Because of the high temporal
resolution, it is possible to characterize both surface reflectance and brightness
temperature precisely from Himawari‐8 data (Bessho et al. 2015).
17

Figure 5. Surface reflectance (albedo) and brightness temperature retrieved from Himawari‐8 satellite band 3
and 7 in May 13th 2016 at 06.00 UTS or 15.00 JST same time with PPI and SP lidars.

4. Conclusion
In this paper we have described the recent attempt ongoing at CEReS, Chiba
University, for elucidating the dynamic behavior of aerosol particles in the atmosphericboundary layer. Various instruments including PPI and slant‐path lidars are operated toevaluate aerosol parameters concurrently with the satellite observations. Especially, thehigh temporal resolution of Himawari 8 and high spatial resolution of Landsat satellite
are considered to be beneficial for better comparison with and interpretation of ground‐based data. Such an approach is a good example of optical remote sensing based onsatellite as well as ground‐based observations in the field of atmospheric studies.

Acknowledgement

One of the authors (JA) as a first author would like to thank the fellowship(BEASISWA DIKTI) from the Ministry of Research, Technology, and Higher Education
Republic of Indonesia.

References
Bagtasa, Gerry, Nobuo Takeuchi, Shunsuke Fukagawa, Hiroaki Kuze, and Suekazu Naito. 2007.
“Correction in Aerosol Mass Concentration Measurements with Humidity Difference
between Ambient and Instrumental Conditions.” Atmospheric Environment 41 (8): 1616–26.
doi:10.1016/j.atmosenv.2006.10.038.
Fernald, Frederick G. 1984. “Analysis of Atmospheric Lidar Observations: Some Comments.”
Applied Optics 23 (5): 652. doi:10.1364/AO.23.000652.
IPPC. 2007. “Climate Change 2007 : The Physical Science Basis.” INTERGOVERNMENTAL PANEL
ON CLIMATE CHANGE Climate. Vol. 446. doi:10.1256/004316502320517344.
JMA. 2015. Himawari Standard Data User ’ S Guide. Version 1. Tokyo‐Japan: Japan Meteorological
Agency.
Klett, James D. 1985. “Lidar Inversion with Variable Backscatter/extinction Ratios.” Appl. Opt. 24:
1638–43.
Kuze, Hiroaki. 2012a. “Characterization of Tropospheric Aerosols by Ground‐Based Optical
Measurements.” SPIE Newsroom. doi:10.1117/2.1201211.004555.
———. 2012b. “Multi‐Wavelength and Multi‐Direction Remote Sensing of Atmospheric Aerosols
and Clouds, Remote Sensing ‐ Applications.” In InTech, Available From:, edited by Dr. Boris
Escalante, 279–94. In Tech. http://www.intechopen.com/books/remote‐sensing‐applications/multi‐wavelength‐and‐multi‐direction‐ remote‐sensing‐of‐atmospheric‐aerosols‐and‐clouds.
Mabuchi, Yusaku, Naohiro Manago, Gerry Bagtasa, Hayato Saitoh, Nobuo Takeuchi, Masanori
Yabuki, Tatsuo Shiina, and Hiroaki Kuze. 2012. “Multi‐Wavelength Lidar System for theCharacterization of Tropospheric Aerosols and Clouds.” In International Geoscience andRemote Sensing Symposium (IGARSS), 2505–8. Munchen‐Germany: IEEE Publisher.
doi:10.1109/IGARSS.2012.6351839.

18

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Image and Signal Processing

Cloud Retrieval and Cloud Type Detection from Himawari‐8Satellite Data Based on the Split Window Algorithm
Babag Purbantoroa,b, Jamrud Aminuddina,c, Naohiro Managoa,
Koichi Toyoshimaa, Josaphat Tetuko Sri Sumantyoa, and Hiroaki Kuzea*
aCenter for Environmental Remote Sensing, Chiba University, 1‐33 Yayoi‐Cho, Inage‐Ku,

Chiba, 2638522, JAPAN.

bRemote Sensing Technology and Data Center‐Indonesian Institute of Aeronautics andSpace, Jl. Lapan No. 70, Pasar Rebo, Jakarta, 13710, INDONESIA.

cDepartment of Physics, Faculty of Mathematics and Natural Science, Universitas Jenderal

Soedirman, Jl. dr. Suparno 61 Purwokerto, Jawa Tengah, 53123, INDONESIA

Abstract
Cloud detection and cloud type classification yields basic information indispensable formeteorological as well as climate studies. Here we propose the use of Himawari‐8 data.
This satellite has been employed for operational use since July 2015, providing spectral
data over 16 channels in visible (VIS), near‐infrared (NIR) and thermal infrared (TIR)
spectral regions. Also, high temporal resolution is available for both full disk (10 min)and Japanese archipelago (2.5 min). First, we test the traditional approach of the split‐
window algorithm using bands 15 and 16, centered at 12 and 13 m, respectively, forthe determination of cloud density. The brightness temperature difference (BTD)
between two bands are derived on the basis of the Planck formula. The resultant
threshold temperatures are 250 and 270 K for the discrimination of high, middle andlow‐level clouds. The BTD thresholds, on the other hand, are determined to be 5 and 11
K for distinguishing very thin, thin or thick clouds. The verification of cloud classification
results will also be discussed.

Keywords
Cloud Type Retrieval; Himawari‐8; Split Window; Calipso.

1. Introduction
The meteorological satellite Himawari 8 was launched by Japan Meteorological
Agency (JMA) in October 2014 and started the full operation in July 2015. As comparedwith its predecessor, MTSAT (Himawari 7), significant improvements have been made in
regard to the temporal resolution as well as the number of spectral bands. The
acquisition frequency of Himawari‐8 is 2.5 min for Japan area and 10 min for the full
disk. It has 16 bands in the visible (VIS), near infrared (NIR) and thermal infrared (TIR)
spectral regions. Because of these advanced features, the satellite provides remotesensing capability in quite a wide perspective, in addition to its original purpose of
meteorological monitoring.
* Corresponding author. Babag Purbantoro, Indonesian National Institute of Aeronautics and Space
Tel.:+62(0)218710786 fax: +62(0)218771775. E‐mail address: babag@lapan.go.id

19Based on their altitudes, clouds can roughly be classified into three classes,
namely, low‐level (<2km), middle‐level (2‐6km) and high‐level (>6km) clouds. Becauseof the lapse rate of troposphere (~6.5 K/km), the difference in altitudes leads to thedifference in the blackbody temperature (Tb). Thus, a value of Tb can be assigned to eachpixel of Himawari‐8 imagery, depending on the cloud top height and the Planck formula.
In terms of cloud classification, the difference in Tb between the thermal infrared
bands yields useful information. The split window algorithm (Inoue, 1987, 2002 and2003; Hamada et al., 2004) has widely been used to discriminate various types of clouds.
For example, Inoue proposed the use of the two dimensional plot of the 11 m Tb andthe brightness temperature difference (BTD) between 11 and 12 m bands (hereafter
BTD 11‐12) to classify cirrus, dense cirrus, cumulonimbus, and cumulus clouds over thetropical ocean (Inoue, 1987). Split window algorithm was particularly suitable fordetecting high‐level cloud type, but occasionally misclassification occurred for low‐ andmiddle‐level cloud types (Inoue, 2003). Also a multi‐spectral technique to infer the cloudproperties using BTD 8‐11 and BTD 11‐12 was proposed to separate water cloud and ice
cloud (Strabala, 1993). In the present work, we apply BTD 15‐16 (12 and 13 m) to
detect the cloud type based on the thickness (density) of the cloud. To help the correctinterpretation, lapse rate formula is used to calculate the altitude and verify the cloudtype using Calipso data (NASA, 2007). In this research, the 9 cloud types indicated in
Figure 1 are examined from the analysis of Himawari 8 images around Japan.

Figure 1. The split window algorithm.

2. Method
In this research, we use the geo‐corrected full disk data of Himawari‐8 downloaded fromCEReS, Chiba University (ftp://hmwr829gr.cr.chiba‐u.ac.jp/gridded/FD/V20151105/).
Here we use the data cropped only in Japan area (22.02‐47.74 N and 120.11‐156.99 E).
In the first step, radiance (I) is calculated for each pixel from the digital count, andsubsequently for band 1 through 6, albedo (A) is calculated by multiplying the radiancewith the transformation coefficient (c’) (JMA, 2015):
I = Gain * Count + Constant,A = c' I .

(1)The values of gain and constant are given in the header information of Himawari‐8 data.
Comparing the histograms of bands 1 – 6 taken midday, we decided to choose band 1
centered at 0.46 μm for the initial selection of cloudy pixels because of the best
capability of distinguishing cloud and non‐cloud coverage (Fig. 2). Here the resulting
criterion is
0.28 for cloud‐free area and0.28 for cloudy area.
In the second step, we calculate the blackbody temperature, Tb, using infrared
band of Himawari‐8 and the following formula (JMA, 2015):
,

(2)

where
ln

1

.

(3)

20

The values of c0, c1, and c2 are given in the header information of Himawari‐8 data. The
threshold value was 250 K and 270 K to distinguish between low, middle, and highcloud. This threshold was chosen after many trials in different time of image acquisition.

Figure 2. The histogram of Himawari‐8 visible bands.

The approximate values of cloud altitudes are estimated using the equation(Wengang, 2010):
(km).

(4)

Here δ is vertical lapse rate constant (6.5 K/km) and TS is the surface temperature,
which was estimated at the nearest land without cloud cover.

3. Results and Discussion
Figure 3 shows an example of the spatial distribution of BTD. Figures 3(a) shows
the visible image (band 1). Equations (2) and (3) are used to calculate Tb of bands 15
and 16. The threshold values of BTD = 5 and 11 K have been determined from theanalysis. In Figure 3(b), the blue, green and orange colors denote thick, thin and verythin cloud (or clear) area, respectively. Referring to the split window table (Figure 1),
the blue color is also related to cloud types of 7, 8 or 9, whereas the green color to types
of 4, 5 or 6, and the orange color to types 1, 2 or 3. Figure 3(c) shows the brightness
temperature histograms of band 15, 16 and BTD 15‐16.

(a)

(b)

(c)

Figure 3. The BTD 15‐16 calculation result (a); Visible band (b) The BTD 15−16; (c) Brightness Temperature
histogram of Band 15, 16 and BTD 15‐16.

To verify the cloud type, the altitude of the cloud each class was checked using theCalipso data. Himawari‐8 images taken during the Calipso overpass were chosen for thispurpose. The resulting comparison is summarized in Table 1. The list contains thealtitude, time and date, position, and water or ice phase information. Here theHimawari‐8 result has been conformed to the four classes of Calipso data. The cloud top
altitudes estimated using the lapse rate are in reasonable agreement with those from theCalipso data.
21

Table 1. Analysis of Himawari‐8 clouds with Calipso DataClass ofcloud

Date Time(UTC)

Position(lat –Long)

Cloud
Altitude(Calipso)

Cloud
Type

Albedo/Tb15/BTD15−16/
Cloud type of Himawari‐8

Altitude calculation
using lapse rate

High‐
level

2016‐08‐29;
04:20:034.77‐
135.42

7 km

Water
cloud

0.762/245.99/4.851/7
thick cumulonimbus

TS = 289.05
h = 6.625 km

Middle‐level

2016‐03‐17;04:0:029.40‐
141.55

3 km

Water
cloud

0.581/262.43/6.584/5
altostratus‐ice cloud

TS = 290.81
h = 4.366 km

Low‐
level

2016‐09‐22;03:30:037.47‐
147.14

1.3 km

Water
cloud

0.323/281.61/11.90/3
cumulus

TS = 287.15
h = 0.853 km

Non‐
cloud

2016‐06‐26;
04:20:037.17‐
134.80‐‐0.095/15.158/284.50/‐‐

4. Conclusion
The process of cloud type detection has been described. The altitudes of cloud top
heights have been calculated correctly using lapse rate. The cloud types determinedusing the split window algorithm are found to be in reasonable agreement with theconcurrent Calipso data, including the altitude and cloud phase information. The
algorithm presented here enables the identification of high cumulonimbus, middle
cumulonimbus, low cumulonimbus, altocumulus, thick cirrus, cirrus, thin cirrus, water
clouds and ice clouds, with the sole exception of very thin cirrus clouds.

References
Inoue, T. (1987). A Cloud Type Classification with NOAA 7 Split‐Window Measurements. Int. J.
Geophysical Research Vol. 92, No. D4, pp.3991‐4000.
Inoue, T. and T., Ackerman SA. (2002). Radiative Effects of Various Cloud Types as Classified by
the Split Window Technique over the Eastern Sub‐tropical Pacific Derived from Collocated
ERBE and AVHRR Data. Int. J. Meteorological Society of Japan Vol. 80, No. 6, pp.1383‐1394.
Lutz, HJ. and Inoue, T. (2003). Comparison of a split‐window and a multi‐spectral cloudclassification for MODIS observations. Int. J. Meteorological Society of Japan Vol. 81, No. 3,
pp.623‐631.
Strabala, KI. and Ackerman SA. (1993). Cloud Properties Inferred from 8‐12m Data. Journal ofApplied Meteorology.
X. Hu. et al. (2015). Automatic Recognition of Cloud Images by Using Visual Saliency Features.
Journal of IEEE Geoscience and Remote Sensing Letters. Vol. 12. No. 8.
Wengang, Z. et al. (2010). Study in Retrieval Visibility and Optical Thickness of Fog with
MODTRAN. Multimedia Technology (ICMT), 2010 International Conference on, Ningbo,
2010, pp. 1‐3.
Japan Meteorological Agency (JMA), (2015). Himawari‐8/9 : Himawari Standard Data User's
Guide.
National Aeronautics and Space Administration (NASA) Langley Research Center. (2007). Cloud –Aerosol LIDAR Infrared Pathfinder Satellite Observations (CALIPSO) : Data Management
System, Data Products Catalog.

22

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Hail Detection By A Low Cost Local Weather Radar Operated For
Disaster Early Warning System
Ginaldi Ari Nugroho1, Tiin Sinatra1, Asif Awaludin2, Halimurrahman1, Dian
Handiana3
1) Center for Atmospheric Science and Technology, Lembaga Penerbangan dan Antariksa

Nasional (LAPAN)
2) Chiba University
3) Indonesia Agency for Meteorology, Climatology, and Geophysics ‐ BMKG

Email : ginaldi.ari@lapan.go.id

Abstract
A local weather radar (LWR) has been developed by modifying X-band marine radar.
LWR has been installed and operated to measure presipitation in Bandung area, West
Java, Indonesia at 107.5864910 W and6.8949580 S. During its observation, LWR has
detected hail falling in West Bandung region on March 26, 2016. LWR can observe
hail formation and growthprocesses thanks to its 2 minutes of sampling interval. Hailoccurence was also confirmed by C-band weather radar installed 120 km away innorthwest side of LWR site and black body temperature data of Himawari 8 satellite
which analyzed using Auer method. This C-band radar identify hail occurence at 2.43
pm until 3.14 pm (around 31 minutes). Maximum recorded reflectivity data of thishail precipitation is 58.46 dBZ which close to 55.1 dBZ of C‐band radar data. This
results confirm that LWR is suitable as a low cost solution for disaster early warning
system due to precipitation.
Keywords

Keywords : local weather radar, Himawari 8, hail, reflectivity, disaster.

1. Introduction
Deep convective cloud mostly appear in tropical region. This convective cloud cangenerate severe weathers such as heavy rain, tornado, strong wind and hail. Urban
areas are severe weather catastrophe‐prone regions due to its dense population andbuilding. Therefore, efforts to predict and monitor severe weather are necessary to
avoid huge damage.
Hail, which formed by strong and wide updraft, has diameter until around 5 mm
(Barnes,2010). Many methods have been developed to detect hail. Weather Radar is a
useful tool to conduct real time observation of hail. Dual polarization weather radar isvery effective for distinguishing rain and hail by measuring ZDR ‐ differential reflectivity(Marzano et al., 2007). Single‐polarization weather radars can not distinguish among
different types of hydrometeors, however many method have been developed in order
to distinguish between hail and rain using single polarization (Holleman, 2001). Most
33

single polarization radar is commonly S‐Band or C‐band system. Recently, there are low‐
cost short range X‐Band systems developed for observing precipitation in urban area
(Einfalt T, et al,2004 ; Rollenbeck and Bendix, 2006 ;Van de Beck et al., 2010) and hailstorm (Capozzi, V et all, 2016).
In this paper, a preliminary results of using LWR and image processing for haildetection are presented. Hail with rain and strong wind has occured in urban area of
Cimahi city, a west region of Bandung in Indonesia, for around 30 minutes (14.45 pm) in
March 26, 2016 (http://jabar.tribunnews.com , access May 20th 2016). The hail diameter
was up to 2 cm with strong wind damaging trees and bilboard. A local Weather Radar(LWR) developed in 2012 has been utilized to observe the precipitation around theradar site. The LWR is a precipitation radar developed by modifying an X‐band marine
radar. Signal and image processing system of the X‐band radar are modified to analyze
rainfall reflectivity data rather than marine target. Hail observation results were verified
by comparing them with measurement results of a C‐band weather radar located 120

km northwest of the LWR location.
2. Data and Methods
The LWR is a modification results of a marine radar. Data acquisition and digital
signal processing are developed for the LWR to extract, overlay, and display
precipitation reflectivity (Nugroho and Awaludin, 2013). In order to verify the hailoccurence, observation data from Himawari 8 satellite and Indonesia Agency for
Meteorology, Climatology, and Geophysics (BMKG) C‐Band weather Radar in March 26,
2016 are utilized. The C‐Band weather radar has single polarization and its coveragearea compared to the LWR area is illustrated in Fig. 1. White dot is the location of the C‐
Band radar while the yellow pindrop is the LWR location.

Figure 1. Coverage area of C‐Band Radar (green circle) and LWR (red circle).
C‐band weather radar with CAPPI method and black body temperature (Tbb) datafrom Himawari satellite were used to identify the hail object. Previous research showedthat increase on diameter of scattering particles will increase radar reflectivity
significantly. Threshold was used to distinguish between severe rain and hail by
employing CAPPI method with 57 dBZ (Mason 1971) and 54 dBZ (Auer,1994) ofthreshold. Obtained hail properties were compared with LWR observation data.
Location and reflectivity value were analyzed to know the LWR performance indetecting hail.
34

3. Results and Discussions
A method to recognize hail by using combination of radar reflectivity and cloud‐
top temperature had been proposed in (Auer, 1994). According to this method,
threshold of CAPPI reflectivity (ZTH) for hail as a function of cloud‐top temperature (Ttop)
is given by equation (1). Optimum threshold for this equation varies between 36 and 53
dBZ for cloud‐top temperatures between −11 and −55°C.
0.38.

85.0

11°

1.33.

38.8

11°

(1)

Hail occurence in Cimahi city, west region of Bandung, was investigated using thismethod. Black body temperature (Tbb) data of Himawari 8 satellite was presented as
cloud‐top temperature data as shown in Fig. 2. This data reveals that cloud with top
temperature around ‐60°C appears during hail occurence which indicates strong
convective process. ZTH value of this temperature is 55.1 dBZ.

Figure 2. Temperature Black Body (Tbb) data of Himawari‐8 satellite at 08:00 UTC.

35

Figure 3. Reflectivity in CAPPI by C‐Band weather radar at 4.25 dan 4.75 km.
Observation data by C‐band weather radar at constant altitute of 4.25 and 4.75 km
were presented to confirm Himawari 8 data. Both radar and satellite data confirm highreflectivity above 50 dBZ at 08:00 UTC but with slightly different location of west
Bandung region. Whereas colocation data of both radar and satellite reveals reflectivity
36threshold of 40.77‐46.38 dBZ in that region. Since cloud top temperature in the
colocation area is below ‐30°C, it can be concluded as hail occurence.

37

Figure 4. Precipitation evolution from the LWR observation data.
C‐Band weather radar data indicated that high reflectivity is detected in west
Bandung region. LWR also observed high reflectivity in similar location. Time frame
images of both radar showed similar time period of high reflectivity between 07.40 until
08.10 UTC. Thus, according to both radars, hail occured for about 1 hour 40 minutes.
However, the shape of the reflectivity area from both radar are different, this is due todifferent specification of both radar and also scan method. By using time sequential
images as outlined in Fig. 4, it can be observed that the growth of the heavy precipitation(including hail) started at 07.18 UTC, continued to grow at 08.04 UTC, and thendispersed at 08.58 UTC.
Observed LWR reflectivity data is much lower than C‐band weather radar results
for similar target due to its low power and wide beamwidth. In this regard, 4 kW LWR
measurement data has been calibrated using 25 kW X‐band weather radar (Nugroho,2015). According to the calibration results, LWR reflectivity which equal to the X‐bandradar reflectivity is given by
7.338

ln

22.71

(2)

By using equation (2), calibration result of 30 dBZ reflectivity in LWR data whichhas 4,8721 of ADC count is 58.46 dBZ, slightly higher then 55.1 dBZ of C‐band radarreflectivity. Both radar data confirm hail occurence since minimum reflectivity that
confirm hail by radar is 50 dBZ (Auer, 1994).

4. Conclusion
Hail occurence during heavy precipitation in March 26, 2016 has been investigatedusing developed LWR. Black body temperature (Tbb) data of Himawari 8 satellite andimages data of C‐band weather radar data are presented to verify hail detection of the38

LWR results using Auer method. Both satellite and C‐band radar data confirm the hailoccurence. LWR observation result is in good agreement with C‐band radar data in haildetection by recording LWR maximum reflectivity of 58.46 dBZ compared to 55.1 dBZ
of C‐band radar data.

Acknowledgements
This research is supported by Center for Atmospheric Science and Technology,
Lembaga Penerbangan dan Antariksa Nasional (LAPAN) Indonesia for the LWR projectand Indonesia Agency for Meteorology, Climatology, and Geophysics ‐ BMKG for C‐Band
weather radar data.

References
Barnes, G. M., (2010) Meteorological hazards in the Tropics: Severe convective storms
and flash floods. Chapter in Tropical Meteorology, Encyclopedia of Life Support
Systems (EOLSS) (www.eolss.net), sponsored by the UNESCO, 109 pp.
Nugroho,G.A., Munir, M.M., dan Khairurrujal. (2015) A Computer‐Based Marine
Automatic Radar for Rain detection. Applied Mechanics and Materials, 771, 9‐12
Awaludin, A., G.A. Nugroho, dan Rahayu, S.A. (2013) Analisis Kemampuan Radar
Navigasi Laut Furuno 1932 Mark‐2 untuk Pemantauan Intensitas Hujan. Jurnal
Sains Dirgantara, 10, 90‐103.
Auer, A. H., Jr: 1994, Hail recognition through the combined use of radar reflectivity andcloud‐top temperatures. Mon. Wea. Rev ., 122, 2218‐2221.
Mason, B. J.: 1971, The Physics of Clouds. Clarendon Press, Oxford UK.
Iwan Holleman Hail detection using single‐polarization radar. 2001. Scientific Report,
KNMI WR‐2001‐01.
Nugroho, G A and Awaludin A. (2013). Mapping method development using digital
image processing to calibrate rainfall radar image, International Proceeding 17th
SIPTEKGAN.
Marzano, F.S., Budillon, G., Picciotti, E., Montopoli, M., Zinzi, A., and Buonocore, B.: X‐band
weather radar monitoring realtime products in Rome and Naples urban areas.
Tyrrhenian Workshop 2012 on Advances in Radar and Remote Sensing, 2012
Marzano F.S., Scaranari, D., and Vulpiani, G.: Supervised fuzzy‐logic classification ofhydrometeors using C‐band dualpolarized radars. IEEE Trans. Geosci. Rem.
Sensing, ISSN: 0196‐2892, n. 45, pp. 3784‐3799, 2007
Einfalt T, et al, (2004), Towards a roadmap for use of radar rainfall data in urban
drainage, Journal of Hydrology, 299 ,186‐202.
Rollenbeck,R. dan Bendix,J., (2006), Experimental calibration of a cost‐effective X‐band
weather radar for climate ecological use in southern Ecuador,AtmosphericResearch, 79,296‐316
Van de Beek, C. Z., Leijnse, H., Stricker, J. N. M., Uijlenhoet, R., and Russchenberg, H. W. J.:
Performance of high‐resolution X‐band radar for rainfall measurement in The
Netherlands. Hydrol. Earth Syst. Sci., Vol. 14, pp. 205‐221, 2010
Vincenzo Capozzi, Errico Picciotti, Vincenzo Mazzarella, Giorgio Budillon, Frank Silvio
Marzano, journal Hydrol. Earth Syst. Sci ., doi:10.5194/hess‐2016‐177, 2016
http://jabar.tribunnews.com , access May 20th 2016

39

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Extreme precipitation over Indonesian maritime continent:
Uncertainties in satellite estimation and its relationship withlow storm top height extreme
Andung Bayu Sekaranoma,b*aGraduate school of earth and environmental sciences, Nagoya University, Furo‐cho,Chikusa‐ku, Nagoya, JAPAN 464‐8601

bDepartment of Environmental Geography, Gadjah Mada University, Bulaksumur 28A,

Yogyakarta, Indonesia 55281

Abstract
This paper aims to explain the uncertainties in satellite rainfall estimation due toexistence of very high near surface rain, but with relatively low cloud top heightover Indonesian maritime continent (MC). More than 15 years of satellite
precipitation data recorded by tropical rainfall measuring mission (TRMM) wereused in this analysis. The result reveals a large discrepancy between the active
precipitation radar (PR 2A25) and passive microwave imager (TMI 2A12) overland surface. PR identifies low storm top height associated with large downward
increase of radar reflectivity. In contrast, TMI identifies large ice scattering
associated with higher storm top height, but with lower rain rates near surface.
Further investigation identifies larger relative humidity and upward verticalvelocity at middle part of the troposphere for the low storm height extremes. Thiscondition represents a larger condensation around 300‐500 hPa level, but less forthe upper part. As a result, it produces lower amount of ice at the upper
troposphere, contrasting to the type of extreme precipitation identified by TMI.
Keywords
Keywords: Extreme rainfall, Indonesian Maritime Continent, satellite observation

I. Introduction
Indonesian Maritime Continent is one of the tropical area with largest
precipitation over the globe. Characteristics of precipitating cloud over this area
has been studied intensively especially with advancements of meteorologicalsatellites in measuring precipitation. In early development of the measurement,
indirect measurement depends on cloud top brightness temperature (TB) were
* Corresponding author. Tel.: +8190‐4189‐7611.

E‐mail address: andungbayu@geo.ugm.ac.id23

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

used, for example that was implemented by Goddard Precipitation Index (GPI),
which measures area with significantly low TB to estimate existence of ice at the
top of clouds as a proxy to determine rain‐rate (NASA GFSC, 2014).
The most successful mission in retrieving rain‐rate based on satellite
measurement might be obtained by Tropical Rainfall Measuring Mission (TRMM).
This mission provides a record of long term precipitation climatology for 16 years(1998‐2014), covering global tropics and subtropics between 50˚N‐50˚S(Kummerow et al. 1998). Current precipitation estimation implemented by the
TRMM, are based on active and passive sensors. The active sensor might be themost robust method in measuring precipitation, since it is the first satellite thatutilize an on‐board radar sensor to estimate precipitation. It is also equipped witha microwave radiometer as a passive sensor measuring brightness temperaturefrom 9 channels.
Rain‐rate estimation using an active sensor, for example inside the TRMM
Precipitation Radar (PR) are determined based on relationship between radarreflectivity and rain‐rate (Iguchi et al., 2000). The satellite emits electromagnetic
energy from the top of atmosphere to the earth surface and measure the reflectedenergy from atmospheric hydrometeors and its travel time. The measurement
therefore could produce vertical reflectivity profiles of the atmosphere (Figure
1:left). The reflectivity profiles are then converted to rain‐rate based on rain rate(R) ‐ reflectivity (Ze) relationship, considering shape and drop size distribution of
the particles (a&b):
R  aZ eb

Rain‐rate estimation using passive microwave sensor, on the other hand, measure
the trace of longwave emission emitted by hydrometeors particles in theatmosphere (Kummerow and Giglio, 1994). If the atmosphere contains a large
number of cloud particles, a higher longwave emission is obtained (Figure
1:middle). An exception is given over land due to influence of land surface
emission. The variation of the land surface emission often produce large noises tothe emission channels. As a result, the rain‐rate estimation could only be
determined by trace of ice crystal emission at the top of clouds (Figure 1:right). In
this case, precipitation are detected at a significantly low brightness temperaturesince abundant ice particles will produce low brightness temperature as well as
higher precipitation rate.

24

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Figure 1. Different principle in satellite rainfall estimation from an active radar sensor(left), passive radar sensor over ocean (middle), and land (right).
source:http://www.eorc.jaxa.jp/GPM

II. Underlying process between extreme rain and Deep convection
Although the rain‐rate estimation from satellite seems to be robust, there are
significant discrepancies between the active and passive sensors, as well as its
ground validation. Many studies indicated that the discrepancies are large in theregional scale than the global scale. This condition exist especially due to different
cloud microphysics and precipitation characteristics at each region, for example
between convective and stratiform precipitation.
Over the tropics, extreme rain events are often associated with the deep
convective process. The process started to develop by development of low
pressure system due to a large amount of heat received by earth surface and force
an upward instability. At initial stage, a small cumulus cloud formed due tocondensation of water vapor at lower level (Figure 2:growing). The condensation
process release latent heat to the atmosphere, which in turn push the condensed
water continuously upward. At this stage, snow and ice crystal are formed due to
low temperature below freezing level (Figure 2:mature).

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The highest precipitation is often associated with maximum cloud growthindicating the beginning of dissipating stage. The maximum growth obtained
where significant cloud top height are obtained, forming a flat top where cloudparticles could not penetrate the top part of atmosphere, and colliding each other(Figure 2:dissipating). The collision between cloud particles yields larger drops,
which are moving down due to gravity. Intense collision between cloud particles
are increasing while the droplets moving down, as combined with the coalescenceprocess. Near the earth surface, the droplets melt and becomes rain which thenreaching the ground.

Figure 2. Phases of convective cloud development corresponding to heavy
rainfall system (Shepherd, 2013)
III. The Maritime Continent Low Storm Top Height Extreme
Although the conceptual relationship between storm top height and rain‐rate
seems to be reasonable, recent research conducted by Hamada et al. (2015)
indicates that extreme precipitation at several region over the tropics have lower
storm top height than the others, including the Indonesian Maritime Continent.
This paper aims to identify the properties of low storm top height extremes overthe study area based on more than 15 years of TRMM observation, as well as thediscrepancies between the active and passive sensors.
In this study, active sensor derived rain‐rate data TRMM PR 2A25 were utilized,
as well as the passive sensor from TMI 2A12 product. As a comparison, merged
infrared/Microwave, adjusted with ground observation available as TMPA 3B42
were used. Cloudsat reflectivity data were also utilized to clearly explain thediscrepancies. The TRMM PR measures reflectivity of precipitating rain drop at
10.3 GHz, while CloudSat measure reflectivity at 94 GHz, in which smaller cloudparticles could be identified. In this analysis, we focus on extreme precipitation
events, defined as the uppermost 1% of the near surface rain‐rate distribution. All
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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016of the three data were collocated to 0.25 square degree resolution with maximum
time differences around 3 hours among each other.
The comparison between the three satellite precipitation estimation data
indicates that under extreme rain events reveals that the active sensor measures
the higher extreme than the passive sensor near the ground level (Figure 3:top).
This condition is related to differences between environmental profiles of eachextreme events. Over land surface, the passive sensor identify less humid
environment at the middle of troposphere. Further investigation reveals that therain events identified by the active sensor over land have lower storm top heights
compared to the passive sensor at a given rain rate (Figure 3:bottom). Those low
storm height extreme events are somehow could not be detected by passive
sensor. It is likely that this condition represent a condition where water content
are abundant at middle level, but with less ice at the upper atmosphere. Therefore
the passive microwave sensor miss this kind of extreme event since it only
depends on the existence of ice in the top of cloud.

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The 7th Indonesia Japan
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Chiba, 20‐24 November 2016

Figure 3. Vertical profile of uppermost 1% extreme rainfall based on collocated
TRMM PR active sensor (top) its corresponding relative humidity (middle), andits relationship with storm top height (bottom)
A contrast condition could be observed from the ocean compared to the land surface.
Over ocean, the passive sensor detects events that has higher humidity at middle
troposphere, but somehow less precipitating than the extreme events identified by theactive sensor. Further investigation identifies that although the extreme events
identified by the passive sensor have almost similar storm top heights to those identified
by the active sensor, they are generated by different precipitation system. Most of theextreme events identified by the passive sensor are generated by stratiform
precipitation, while the active sensor identify convective precipitation (Figure 4).
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Chiba, 20‐24 November 2016

Figure 4. Difference of TRMM PR active sensor reflectivity over ocean (left) andits corresponding convective fraction between PR active sensor extreme and TMI
passive sensor extreme events.
IV. Low cloud height extreme rain events identified by CloudSat
To clearly identify the discrepancies between active and passive sensors over ocean,comparison of CloudSat radar reflectivity data along the TRMM tracks were generated.
Two snapshot representing an active sensor extreme and a passive sensor extreme
rainfall are shown in Figure 5. At the upper left, an considerable rain-rate has been
identified by the active sensor, but less for the passive sensor. At the lower left, thepassive sensor identify a considerable amount of rainfall, as well as the active sensor.
However, the extreme event identified by the passive sensor has larger humidity at adense vertical column of the atmosphere, as shown in the lower right part of the figure.

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The 7th Indonesia Japan
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Chiba, 20‐24 November 2016

Figure 5. Two snapshots comparing TRMM PR active sensor extreme events(upper left) and TRMM TMI passive sensor events (lower left). Its corresponding
vertical velocity and humidity are shown in the right part.
The result of the above comparison are shown in Figure 6. At the upper part, CloudSat
reflectivity are shown, as well as the TRMM active sensor reflectivity at the lower part.
The result shows a clear difference between the two types of extremes. At the left figure,it reveals that higher rain rate are not always have high cloud top, but possible to beoccur at lower level, but with considerable amount of water content near the freezingheight. At the right part of the figure, a higher cloud height are obtained by the passive
sensor, however, it has less rain rate as identified from the bottom part. It means that
although this kind of extreme seems to have a massive cloud structure, the amount ofcloud particles washed out by rains are less.

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Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Figure 6. Comparison of CloudSat reflectivity (upper) and TRMM PR active
sensor reflectivity (lower) of the two snapshots shown in Figure 5.

V. Discussion and Conclusion: Sensor Discrepancies Corresponding to
Cloud Phase
The main result in this research reveals that extreme rainfall over the Indonesian
Maritime Continent have a weak association with the highest cloud. This condition isfound from both land and ocean. Over ocean, the passive sensor often mistaken
abundant ice particles over the upper troposphere as an indicator of heavy rainfall,whilst less water content found at the middle troposphere. Over ocean, tall structure ofstratiform clouds with high humidity often mistaken as heavy rainfall condition.
However, it is less precipitating at the lower level.
An interesting property related to heavy rainfall over the ocean as observed from theactive sensor is that it has less water content over a dense vertical column, as identified
from the passive sensor. This kind of extreme seems to have a considerable amount ofwater content at lower level, but less at upper level. This condition might be exist due
to different cloud phase explained in Figure 1. In this case, the extreme might be occur
further in decaying phase where intense collision and coalescence occur. Further
investigation reveals that the low storm top height extreme has higher cloud effective
radius due to the collision and coalescence process of the cloud particles, while for thetallest cloud structure identified by the passive sensor, a smaller radius are found,indicating a earlier stages of precipitation development. However, further investigation
are required to address the detailed explanation of this process.

References
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Chiba, 20‐24 November 2016

Hamada, A., Y. N. Takayabu, C. Liu, and E. J. Zipser, 2015: Weak linkage between
the heaviest rainfall and tallest storms. Nature Communications,6, 6213,
doi:10.1038/ncomms7213
Iguchi, T., T. Kozu, R. Meneghini, J. Awaka, and K. Okamoto, 2000: Rain‐proﬁling
algorithm for the TRMM precipitation radar. Journal of Applied
Meteorology,39(12), 2038–2052
Kummerow,C., W.Barnes, T.Kozu, J.Shiue, and J.Simpson, 1998: The tropicalrainfall measuring mission (TRMM) sensor package. Journal of atmosphericand oceanic technology, 15 (3),809–817
Kummerow, C., and L. Giglio, 1994: A passive microwave technique for estimating
rainfall and vertical structure information from space. Part I: Algorithm
description. Journal of Applied Meteorology,33(1), 3–18
NASA GFSC, 2014: Precipitation processing system Tropical Rainfall Measuring
Mission: File speciﬁcation for TRMM products, version 7.003. URL
http://pps.gsfc.nasa.gov/Documents/ﬁlespec.TRMM.V7.pdf
Shepherd, J. M. (2013). Impacts of urbanization on precipitation and storms:
Physical insights and vulnerabilities.

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Earth and Planetary Science

Observation of geomagnetic fields changes related to
9th March 2016 solar eclipse on Lombok Island‐Indonesia
Teti Zubaidah*,a,b, Bulkis Kanataa,b, Panirana,b, Giri Wahyu Wiriastoa,baResearch Group on Applied Electromagnetic Technology
bElectrical Engineering Department of Mataram University, Indonesia

Abstract
It is known from hundreds years of researches that the geomagnetic fields are generated
mainly by internal mechanisms in the Earth. Therefore, the fields are dominated by low‐frequency from internal sources with small fractions of high‐frequency from externalsources, particularly the Sun. However, conclusions are not obtained, regarding which
vector components are really related to the external or internal sources. Solar eclipse isa rare natural occurrence, where the Moon is temporarily shadowing the Sun, therefore
the solar influence on geomagnetic fields should reach a minimum values. Thus
meticulous geomagnetic observations conducted during a solar eclipse are expected to
be able to answer the above questions. A solar eclipse has occurred on the Lombok
Island on 9th March 2016, reached the totality of 82 %, occurred during 07:22 LT – 09:43
LT with a peak at 08:28 LT. We have conducted a continuous observations at the
Lombok Geomagnetic Observatory, over a time span of one month (two weeks before
and two weeks after the eclipse). We analyzed the fluctuations of vector components by
taking comparisons with two other observatories; one in the nearest affected region (i.e.
Kupang in Indonesia) and another one in the regions that are not affected by eclipse (i.e.
Kakadu in Australia). Changes of vector directions are also observed by looking at the
Declination and Inclination values, obtained from daily absolute measurements. The
values are compared with the results of periodical absolute measurements, which havebeen conducted weekly at LOK during the last two years. The frequency spectrums of
total magnetic fields are analyzed to obtain the changes of low‐frequency components
due to the eclipse occurrence. Data will be juxtaposed with observations of solar
radiation and temperature in the observation room. The results showed that the total
values of the magnetic fields tend to decrease (about 10 nT), with clear reductions in thevalues of X (Northing) and Y (Easting), while increases in Z (vertical) component. The
absolute measurement results confirm the decreases of fields during eclipse time. They
also show significant increase in declination and decrease in inclination. The increasingof declination, decreasing of inclination, and decresing of total magnetic fields are clearlyseen since three days before the eclipse.

Keywords
Geomagnetic; solar eclipse; declination; inclination; Lombok Island.
* Corresponding author. Tel.: +62‐817368685, E‐mail: tetizubaidah@te.ftunram.ac.id

11. Introduction
The geomagnetic field measured at the Earth’s surface is the superposition ofcontributions from external sources in the planetary environment (e.g. electric current
flowing in the ionosphere and magnetosphere) and internal ones in its interior (e.g. fluid
core, magnetization of rocks in the crust and induced currents in the Earth’s interior by
the time variations of the external fields), as described in detail by Olsen et al. (2010).
Indeed, effort to separate contributions of internal and external sources has been
performed firstly about 180 years ago by Carl‐Friedrich Gauss (1839), who introduced
the concept of spherical harmonic analysis. Since then, people came to the conclusionthat by far the largest part of the field originates inside the Earth. However, according toOlsen et al. (2010), the sophisticated separation of these various sources and theaccurate determination of the spatial and temporal structure of them is still a scientificchallenge up today.
Solar eclipse is a rare natural occurrence, where the Moon is temporarily
shadowing the Sun. During the eclipse time, therefore the solar influence on
geomagnetic fields should reach a minimum values. Since the main external
geomagnetic fields is generated by the Sun, thus meticulous geomagnetic observations
conducted during a solar eclipse are expected to contribute in the efforts to separate andanalyze the geomagnetic sources.
In this paper we present the resuts of one month continuous geomagnetic
observations, conducted at the Lombok Geomagnetic Observatory (LOK), with the peaktime of eclipse is placed right in the middle of the time span. All vector components
values are analyzed to get the fluctuations related to eclipse. Comparissons are takenwith two other observatories; in the nearest affected region (i.e. Kupang (KPG) in
Indonesia) and another one in other regions that are not affected by eclipse (i.e. Kakadu(KDU) in Australia). Changes of vector directions are observed by looking at the
Declination and Inclination values, which are obtained from daily absolutemeasurements. These absolute measurements have been taken exactly at thecorresponding time to the peak time of eclipse. The values are compared with theresults of periodical absolute measurements, which have been conducted weekly during
the last two years.
Related to the separation of field sources, the frequency spectrums of totalmagnetic fields are analyzed to obtain the changes in the proportion of low‐frequency
parts due to the eclipse occurrence. Data will be juxtaposed with observations of solar
radiation and temperature in the observation room.
By showing a good results of solar eclipse observations, we would like tointroduce LOK as a new observatory operated in equatorial regions, which produceshigh quality variations and absolute data. The available data should be very useful forfurther studies related to geomagnetism, including earthquakes studies of this regions.

2. 9th March 2016 Solar Eclipse
A partial solar eclipse has been occured over the Lombok Island (West Nusa
Tenggara), with totality magnitude of 78% ‐ 82%. At the location of Lombok
Geomagnetic Observatory (LOK), it happened on 9th March 2016 from 07:22 LT to 09:43
LT (8th March 2016 at 23:22 UTC to 9th March at 01:43 UTC), with the maximum total
phase at 08:28 LT (01:28 UTC). Path of the eclipse and locations of the threeobservatories are depicted in Fig. 1.

2

Figure 1. Path of the 9th March 2016 solar eclipse, with the location of three observatories, i.e. Lombok (LOK) and
Kupang (KPG) in Indonesia, and Kakadu (KDU) in Australia. This figure is taken with modification from:https://en.wikipedia.org/wiki/Solar_eclipse_of_March_9,_2016#

3. Observation at Lombok Geomagnetic Observatory
3.1. Fields Variation Recording
The following equipment are used for variation recording:(i) Three‐axial suspended fluxgate magnetometer FGE (manufactured by DMI

Copenhagen, Denmark), which measures geomagnetic variations in three directionsof vector components (Horizontal, Declination, and Vertical).
(ii) Overhauser proton magnetometer GSM90‐F1 (manufactured by GEM Systems,
Richmond Hill, Canada), which measures geomagnetic total intensities.
(iii) GPS clock Telecode (manufactured by Precitel Neuchatel, Switzerland), which
determines time automatically, synchronized with Universal Time Coordinate(UTC) using satellite.
Results of recordings are depicted in Fig. 2 to Fig. 5.
140

200
F LOK
F KDU+50
F KPG+100

120

150

F LOK
F KDU+50
F KPG+100

V a r ia t io n o f t o t a l m a g n e t ic f ie ld s ( F )V ariation rec ording of total m agnetic fields (F)

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Figure 2. Variation recording of total magnetic fields (F) at LOK compared with KPG and KDU, (a) during one
month observation (02.03.2016, 00:00 UTC – 16.03.2016, 23:59 UTC), and (b) during the eclipse time (8th March
2016 23:22 UTC ‐ 9th March 01:43 UTC).

3

140

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X KDU+50
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V ariation of X

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(a)

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Figure 3. Variation recording of Northing (X) component at LOK compared with KPG and KDU, (a) during one
month observation (02.03.2016, 00:00 UTC – 16.03.2016, 23:59 UTC), and (b) during the eclipse time (8th March
2016 23:22 UTC ‐ 9th March 01:43 UTC).

120

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Y LOK
Y KDU+50
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Y KDU+50
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(a)

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Figure 4. Variation recording of Easting (Y) component at LOK compared with KPG and KDU, (a) during one
month observation (02.03.2016, 00:00 UTC – 16.03.2016, 23:59 UTC), and (b) during the eclipse time (8th March
2016 23:22 UTC ‐ 9th March 01:43 UTC).

120

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Z LOK
Z KDU+50
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Z KDU+50
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V ariation of Z

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Figure 5. Variation recording of Vertical (Z) component at LOK compared with KPG and KDU, (a) during one
month observation (02.03.2016, 00:00 UTC – 16.03.2016, 23:59 UTC), and (b) during the eclipse time (8th March
2016 23:22 UTC ‐ 9th March 01:43 UTC).

4

3.2.

Absolute Measurements

Absolute measurements have been conducted every day for one month, during
two weeks before and two weeks after the eclipse. The measurements of declinations ofeach day have been taken around the time of maximum total phase. Especially for the
day of eclipse, absolute measurements were taken three times, i.e. with the declinations
measurements taken in the beginning phase, during maximum, and at the end of eclipse
phase. Results of measurements are depicted in Fig. 6.
45100
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17.09.2014

22.07.2015

09.03.2016 (SE)12.10.2016

09.03.2016 (SE)12.10.2016

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09.03.2016 (SE)12.10.2016

09.03.2016 (SE)12.10.2016

(a)
37145
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17.09.2014

22.07.2015(b)
17.09.2014‐25630‐25650‐25670‐2569022.07.2015

(c)
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17.09.2014

22.07.2015(d)
17.09.2014‐34.5

22.07.2015

‐34.6
‐34.7

(e)
Figure 7 Blue points are results of weekly absolute measurements during two years time interval (17 September
2014 ‐ 12 October 2016), with red ones are results of daily measurements during one month around the solar
eclipse. All component are shown, with (a) Total, (b) Horizontal (c) Vertical and (d) Declination (e) Inclination.

3.3.

Solar Radiation Measurements

Solar Radiations were observed using Phyranometer for one week, i.e. from threedays before to three days after the eclipse, with the day of eclipse in the centre of time
range. Results of measurements are depicted in Fig. 8, shows that solar radiation wasquite low during eclipse time.
5

‐400

Time (UTC)

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22.00

Solar Radiation (W/m)

Solar Radiation (W/m)

800

21.00

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Time (UTC)

(a)

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Figure 8. Variation recording of Solar Radiatin at LOK, (a) during 06.03.2016, 00:00 UTC – 12.03.2016, 23:59 UTC.
(b) during 08.03.2016, 21:00 UTC – 09.03.2016, 05:59 UTC.

3.4.

Temperature Measurements

Temperatures were measured in the Variation Room, as recorded by the datalogger MAGDALOG, with 2 Hz time sampling and averaged in one‐minute. Results ofmeasurements are depicted in Fig. 9, which shows that the temperature were mainly
stable during the observation days (27 – 29 °C). However, the temperature were slightly
lower on the eclipse time.

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Temperature (oC)

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Time (UTC)(b)

Figure 9. Variation recording of Temperature measured in the Variation Room of LOK, (a) during 02.03.2016‐16.03.2016, and (b) during 08.03.2016, 21:00 UTC – 09.03.2016, 05:59 UTC.

4. Spectrum of Variation Recording
The variation recordings of total fields (F) are analyzed to get the spectrum forfrequency range <0,04Hz. The normalized values of power spectral densities arereaching the maximum point of 2,645 on 6th March 2016 at f= 0 Hz, while on other days
are 1,062 on 2nd March at f= 0 Hz, 1,264 on 9th March at f= 0 Hz, 1,294 on 10th at f= 0 Hz,
0,956 on 14th at f= 0 Hz, and 1,348 on 15th at f= 0,0039 Hz.
Results of spectrum analysis are depicted in Fig. 10. It can be concluded that the
low frequencies are higher on the days before and after the eclipse. It means that the low
frequency and contributions of internal sources to the total fields are reaching theminimum value on the solar eclipse day.
6

Normalizedof Power SpectrumDensity

2.5

2.5

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Frequency (Hz)Figure 10. Power spectral density of total fields (F) for frequency range <0,04Hz

5. Discussions & Remarks
Among early study about geomagnetic fluctuation as an effect of the solar eclipse
is done by Chapman (1933), who theoritically estimated the effect that should be
expected to result from a solar eclipse. Afterward, Chapman and Bartels (1940) statedthat partial eclipses (with more than 70 % of the Sun is obscured) may be little inferior,in their magnetic effects, to total eclipses. A quite long time after that, Cullington (1962)
showed that the magnetogram traces recorded at Apia Observatory on the day
preceding the eclipse, the day of the eclipse, and the day succeeding the eclipse. At thetime of the eclipse there appears to have been a distinct decrease in the horizontal
component, with maximum amplitudes of 10 nT in H, 0.6' in D, and 5 nT in Z.
Further studies of solar eclipse has been done by Ates et al. (2011), which resulted
a decrease in the intensity of the magnetic field as observed during the total solar eclipse
in 2006 in Turkey. Low‐pass filtered magnetic data show peculiarity during the eclipse
which can be correlated with the fluctuations in the gravity fields. During the previous
eclipse on the same region, Korte et al. (2001) reported that no eclipse‐related magnetic
variations were observed from various parts of Europe. However, they found amagnetically quiet period with magnetic activity index Kp= 1 around the solar eclipse.
On the other hand, during the same previous eclipse, Malin et al. (2000) observedchanges in the declination angle and a decrease of the intensity of the magnetic field.
Babakhanov et al. (2013) studied the effect in magnetic field by measuring thegeomagnetic variations during a solar eclipse on 1 August 2008 in Rusia. They used
standard instruments and comparing the results with measurements over the same timespan at 18 INTERMAGNET observatories along shadow path from Canada to Japan.
Some variations can be noted in the magnetic field in Novosibirsk with amplitude lessthan 5 nT, which is not reliable for being among geomagnetic variations of non‐eclipse
origin. The results for X component show negative anomalies for all mid‐latitude
observatories and the times of its extremes coincide with local totality.
Finally, Panda et al. (2015) studied the impact of 15 January 2010 solar eclipse,
they refer to Espenak et al. (2006) who considered that the effects associated with asolar eclipse is always unique and empasized the necesity to study any individual
eclipses. It is because the solar eclipses may occur at various geographic locations
during different phases of the solar activity, geomagnetic conditions, seasons, as well as
local times of the day.
7

Continuous observations at LOK during one month around the day of solar eclipse
on 9th March 2016 resulted decrease in total field value of about 10 nT or 0.02 % fromthe base value (results of absolute measurements during two years interval). Thisdecreases are affected by reductions in the values of X (Northing) and Y (Easting), which
are the components related to H (horizontal component). On the other hand, there wasslightly increase in Z (vertical component). The frequency spectrum of total field showeddecrease in low frequency (e.g. internal source) contribution. This decrease is about 52% if compared to the maximum specral reached on another day.
The absolute measurement results show significant increase in declination anddecrease in inclination, and clearly confirm the decreases of fields during eclipse time.
These decrease of total fields is more prominent in comparisson with the normal
decrease during non‐eclipse days. The fluctuations of declination, inclination, and totalmagnetic fields are clearly seen since three days before the eclipse.
The results of solar eclipse observations in our current study is more touroughly
compared to the previous eclipse studies. It is really supported by high quality data,obtained by high resolution of equipment, as well as well done procedures ofmeasurements. Based on the consistency of results which are supported by high quality
data, we really confident to use LOK data for the future studies which need sensitive
analysis, such as earthquake precursors.

Acknowledgements
The results presented in this paper rely on the data collected at Kakadu (KDU). We
thank to Geoscience Australia (GA) for supporting their operations and INTERMAGNET
for promoting high standards of magnetic observatory practice (www.intermagnet.org).
We also thank to BMKG Stageof Kupang for providing Kupang (KPG) data. MATLAB ®
with license number 863485 is used for data processing. Funding for this research isprovided by Indonesian Ministry of Research, Technology and Higher Education underPenelitian Unggulan Perguruan Tinggi (PUPT) 2016, entitled Observasi Geomagnetik dan
Seismologi Terpadu di Pulau Lombok: Kontribusi untuk Pemodelan Global dan Mitigasi
Bencana Gempa Bumi Wilayah Indonesia Timur. Contributors of this paper are:Misbahuddin, Rosmaliati, Budi Irmawati, Made Sutha Yadnya, Abdullah Zainuddin, L.A.S.
Irfan Akbar, A. Sjamsjiar Rachman, M. Syamsu Iqbal, Cipta Ramadhani. The authors
would like to thank to the students of Electrical Engineering Dept. of Mataram
University, who carried out the absolute measurements at LOK.

References
Ates, A., Buyuksarac, A., Bekta, O. (2011). Geophysical Variations during the Total Solar Eclipse in2006 in Turkey. Turkish Journal of Earth Sciences, Vol. 20, pp. 337–342.
Babakhanov, I.Y., Belinskaya, A.Y., Bizin, M.A., Grekhov, O.M., Khomutov, S.Y., Kuznetsov, V.V.,
Pavlov, A.F. (2013). The geophysical disturbances during the total solar eclipse of 1
August 2008 in Novosibirsk, Russia. Journal of Atmospheric and Solar‐Terrestrial Physics,
Vol. 92, pp. 1–6.
Chapman S. (1933). The Effect of a Solar Eclipse on the Earth's Magnetic Field. Terr. Magn. Atmos.
Elect., Vol. 38, pp. 175‐83.
Chapman, S. and Bartel, J. (1940). Geomagnetism, Vols. 1 and 2, pp. 354, 794‐798.

8

Cullington, A.L. (1962). Geomagnetic effects of the solar eclipse, 12 October 1958, at Apia,
Western Samoa, New Zealand. Journal of Geology and Geophysics, Vol. 5, No. 3, pp. 499‐
507.
Espenak, F., Meeus, J., Center, G.S.F., Aeronautics, U.S.N., Administration, S. (2006). Five Year
Millennium Canon of Solar Eclipses: ‐1999 to +3000 (2000 BCE to 3000 CE). NASAtechnical paper, NASA Goddard Space Flight Center.
Gauss, C.F. (1839). Allgemeine Theorie des Erdmagnetismus, Resultate aus den Beobachtungendes Magnetischen Vereins im Jahre 1838, Göttinger Magnetischer Verein, Leipzig, pp. 1–52.
Korte, M., Luehr, H., Forster, M., Haak, V. (2001). Did the solar eclipse of August 11, 1999, show ageomagnetic effect? Journal of Geophysical Research, Vol. 106, No. A9, pp. 18563–18575.
Lepidi, S., Francia, P., De Lauretis, M. (2001). Local time behaviour of low frequency geomagnetic
fields fluctuation power at low latitude. Annals of Geophysics, Vol. 44, No. 1, pp. 119‐126.
Lepidi, S., Cafarella, L., Francia, P., Meloni, A., Palangio, P., Schott, J.J. (2003). Low frequency
geomagnetic field variations at Dome C (Antarctica). Annals of Geophysics, Vol. 21, pp.
923–932.
Malin, S.R.C., Ozcan, O., Tank, S.B., Tunger, M.K, Yazicicakin, O. (2000). Geomagnetic signature of
the 1999 August 11 total eclipse. Geophysical Journal International, Vol. 140, pp. F13–F16.
Olsen, N., Glassmeier, K.H., Jia, X. (2010). Separation of the Magnetic Field into External andInternal Parts. Space Sci Rev, Vol. 152, pp. 135–157.
Panda, S.K., Gedam, S.S., Rajaram, G., Sripathi, S., Bhaskar, A. (2015). Impact of 15 Jan 2010
annular solar eclipse on the equatorial and low latitude ionosphere over Indian region
from Magnetometer, Ionosonde and GPS observations. Journal of Atmospheric and Solar‐
Terrestrial Physics, Vol. 135, pp. 181–191.

9

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Development of Synthetic Aperture Radar onboard Aircraft andMicrosatellite for Global Land Deformation Observation
Josaphat Tetuko Sri Sumantyo a,*, Nobuyoshi Imura aand Robertus Heru Triharjanto b

a Center for Environmental Remote Sensing, Chiba University, Japanb National Institute of Aeronautics and Space, Indonesia

Abstract
Synthetic Aperture Radar (SAR) is well‐known as a multi‐purpose sensor that can be
operated in all‐weather and day‐night time. As our laboratory roadmap for
microsatellite, aircraft, and unmanned aerial vehicle development, our laboratory
develops synthetic aperture radar (SAR), especially Circularly Polarized Synthetic
Aperture Radar or Elliptically Polarized Synthetic Aperture Radar (CP‐SAR or EP‐SAR,
Patent Pending 2014‐214905) to monitor global land deformation. The sensor is designed
to transmit and receive left‐handed circular polarization (LHCP) and right‐handed
circular polarization (RHCP). For this purpose, we also develop unmanned aerial vehicle(UAV) for ground experiment of this sensor. The main mission of CP‐SAR is to hold thebasic research on elliptically polarized scattering and its application developments. In thebasic research, we will investigate the elliptical (including circular and linear
polarizations) scattering wave from the land surface, generation of axial ratio image (ARI),
ellipticity and tilted angle images etc. We will hold the analysis and experiment ofcircularly polarized wave scattering on vegetation, snow, ice, soil, rock, sand, grass etc toinvestigate the elliptical scattering wave. These images will be extracted by using thereceived RHCP and LHCP wave. CP‐SAR sensor transmits only one polarization, RHCP or
LCHP, then this sensor will receive RHCP and LHCP scattering waves simultaneously. The
image is employed to investigate the relationship between the physical characteristics ofvegetation, soils, snow etc. The image of tilted angle as the response of land surface also
will be extracted to mapping the physical information of the surface, i.e. geological mattersetc. In application development, CP‐SAR sensor will be implemented for land cover
mapping, disaster monitoring, Cryosphere monitoring, oceanographic monitoring etc.
Especially, land cover mapping will classify the forest and non‐forest area, estimation oftree trunk height, mangrove area monitoring, Arctic and Antarctic environment
monitoring etc. In disaster monitoring, CP‐SAR sensor will be employed for monitoring ofearthquake area, volcano activity, landslide etc. This paper introduces progress ondevelopment of our SAR onboard Boeing 737‐200 aircraft and microsatellite.

Keywords

Microsatellite, synthetic aperture radar, CP‐SAR, UAV, Aircraft* Corresponding author. Tel.: +81(0)43 290 3840; fax: +81(0)43 290 3857

E‐mail address: jtetukoss@faculty.chiba‐u.jp

1

1. Introduction
Synthetic Aperture Radar (SAR) is well‐known as a multi‐purpose sensor that canbe operated in all‐weather and day‐night time. As our laboratory roadmap for
microsatellite, aircraft, and unmanned aerial vehicle development (refer Fig. 1), ourlaboratory develops SAR, especially Circularly Polarized Synthetic Aperture Radar or
Elliptically Polarized Synthetic Aperture Radar (CP‐SAR or EP‐SAR, Patent Pending 2014‐
214905) to monitor global land deformation. The sensor is designed to transmit andreceive left‐handed circular polarization (LHCP) and right‐handed circular polarization(RHCP), see Fig.2. For this purpose, we also develop unmanned aerial vehicle (UAV) for
ground experiment of this sensor (Sri Sumantyo 2011 & 2012), see Fig.3 and Fig.4.
The main mission of CP‐SAR is to hold the basic research on elliptically polarized
scattering and its application developments. In the basic research, we will investigate theelliptical (including circular and linear polarizations) scattering wave from the land
surface, generation of axial ratio image (ARI), ellipticity and tilted angle images etc. We
will hold the analysis and experiment of circularly polarized wave scattering on
vegetation, snow, ice, soil, rock, sand, grass etc to investigate the elliptical scattering wave.
These images will be extracted by using the received RHCP and LHCP wave. CP‐SAR
sensor transmits only one polarization, RHCP or LCHP, then this sensor will receive RHCP
and LHCP scattering waves simultaneously. The image is employed to investigate therelationship between the physical characteristics of vegetation, soils, snow etc. The imageof tilted angle as the response of land surface also will be extracted to mapping thephysical information of the surface, i.e. geological matters etc.

Fig.1. Roadmap of Chiba University Microsatellite

2

RF System

RX AntTX AntTX AntRX AntSAR Processor(A) L Band CP‐SAR for UAV and Aircraft(B) C & X Bands CP‐SAR system for Boeing 737‐200 (C) Antenna for CP‐SAR onboard
Boeing 737‐200
Fig. 2. Circularly Polarized Synthetic Aperture Radar (CP‐SAR) onboard Boeing 737‐200
CP‐SAR System

Fig. 3. Flight test of CP‐SAR onboard UAV Fig. 4. The 2nd Josaphat Laboratory
JX‐1 at Fujikawa Airport, Japan on 29
Experimental Unmanned Aerial Vehicle (JX‐2)
August 2013.
for microwave sensor ground test
In application development, CP‐SAR sensor will be implemented for land cover
mapping, disaster monitoring, Cryosphere monitoring, oceanographic monitoring etc.
Especially, land cover mapping will classify the forest and non‐forest area, estimation oftree trunk height, mangrove area monitoring, Arctic and Antarctic environment
monitoring etc. In disaster monitoring, CP‐SAR sensor will be employed for monitoring ofearthquake area, volcano activity, landslide etc. This paper introduces progress ondevelopment of our SAR onboard Boeing 737‐200 aircraft and microsatellite.

2. CP‐SAR Onboard Aircraft
The CP‐SAR onboard Aircraft (Fig. 5) is mainly composed by Flight Control System,
Telemetry and Command Data Handling, Attitude Controller, and Sensors. Attitude
Controller is composed by Inertial Measurement Unit (IMU) and GPS units. Sensors arecomposed by CP‐SAR as main mission sensor, and other sensors. CP‐SAR sub‐system itself
is composed by chirp pulse generator module, Transmitter and Receiver (Tx‐Rx) module,
and Image Signal Processing module. Ground control segment was used for CP‐SAR
sensor monitoring and image processing. The CP‐SAR system is composed by transmitterand receiver sub modules. The input of transmitter is In‐phase (I) and Quadrature (Q)signal of chirp pulse generated by pulse generator with baseband range is DC to 150 MHz(normally 50 MHz), 400 MHz, and 800 MHz for L, C and X band, respectively. Then chirp3

Fig. 5. Aircraft onboard CP‐SAR System

Fig. 6. Microsatellite CP‐SAR

Fig. 7. Deployment experiment of meshed parabolic antenna
pulse is modulated by frequency 1,270 MHz, 5,600 MHz, and 9.400 MHz, respectively. The
transmission system has gain tuning function as 1, 2, 3, 8, 16 dB or 0 to ‐31 dB, andreceiver has gain tuning function as 1, 2, 3, 8 and 16 x 2 or 0 to ‐62 dB. Power amplifier(PA) is available to control pulse transmission output power 50 W, 400 W and 1000 W
respectively with pulse width maximum 10 s, and maximum duty circle is 2%. The
switching speed of transmission and receiver system antennas (RHCP and LHCP) is
typically 1 s and maximum 2 s. The antenna is composed by two sets of CP microstrip
array antenna (LHCP and RHCP panels), totally 4 panels to realize full polarimetric CP‐
SAR sensor. We could control the pulse length and bandwidth of chirp pulse, and savedata to SSD memory.
In this research, the CP‐SAR onboard unmanned aerial vehicle (CP‐SAR UAV, Fig. 3
and 4) is developed for ground testing of CP‐SAR and other sensors. The platform called
Josaphat Laboratory Experimental UAV (JX‐1 and JX‐2) has 25 kg of payload. The
operation altitude is 1,000 m to 4,000 m. The specification of CP‐SAR sensor for UAV isfrequency of L, C and X bands, ground resolution up to 1 m, pulse length could be tuned
from 4.5 to 48 s, off nadir angle 30o to 60o, swath width 1 km, 4 panels of antenna, and
PRF 1,000~2,500 Hz. We held ground experiment with altitude less than 2 km with pulse
transmission output power 50 W for L band, 4 km with output power 400 W for C band,and 10 km with output power 1000 W for X band, respectively. The data retrieved by
LHCP and RHCP antenna (Yohandri 2011) is employed to investigate the characteristics
of elliptical polarization, including circular and linear polarizations. In the future, further
investigation of characteristics of circular polarization will be done by using Boeing 737‐
200 aircraft.

4

Fig. 8. Modules of Microsatellite CP‐SAR

Fig. 9. Power network of CP‐SAR microsatellite

Robot

CP‐SAR

Corner Reflector

Fig. 10. Ground test of CP‐SAR system for UAV

5

Fig. 11. Ground station for our microsatellite CP‐SAR

3. Microsatellite CP‐SAR
Fig. 6 shows model of CP‐SAR onboard microsatellite (Microsatellite CP‐SAR,
100 kg class) that developed in Josaphat Microwave Remote Sensing Laboratory (JMRSL),
Center for Environmental Remote Sensing, Chiba University. We proposed meshedparabolic antenna to reduce weight of SAR system to realize 100 class SAR onboard
microsatellite. Fig. 7 shows deployment experiment of meshed parabolic antenna of
Microsatellite CP‐SAR. Fig. 8 shows microsatellite is composed by Command and Data
Handling Sub‐system (CDS), Communication Subsystem (CMS), Electrical Power
Subsystem (EPS), Altitude Control Subsystem (ACS) and payload. CDS uses Leon3 card,
low power supply card (LVPS), IO card, payload IO card, and non‐volatile memory card.
CMS is composed by LVPS, low power supply card, S band transmitter & receiver (STXand SRX) and antenna for telemetry, X band transmitter and antenna for data downlink.
EPS is composed solar panel, solar power regulator, power supply card, power
distribution card, Li‐Ion battery pack and battery control card. ACS employs LVPS,
actuators (reaction wheels assembly–RWA and electromagnetic torque bar‐EMTB) andsensors (coarse sun sensor‐CSS and three‐axis magnetometer‐TAM), and GPS Receiver‐
GPSR. Payload is composed by main sensor CP‐SAR for Earth surface monitoring andminor sensors: electron density – temperature probe (EDTP) for ionospheric monitoring.
Power network of our microsatellite is shown on Fig. 9. We also develop SAR ground test
measurement system as shown on Fig. 10, with moving precision of robot is 0.1 mm.
We also develop sub mission sensors, i.e. GPS‐RO and electron density ‐temperature probe (EDTP) to monitor ionospheric phenomena. We will employs these
ionospheric observation sensors simultaneously with our CP‐SAR to monitor ionosphereand global land deformation. Therefore we could mapping pre‐cursors of earthquake byusing our microsatellites in the future.

4. Ground Station
Fig. 11 shows our satellite ground station with S band for command‐telemetry
and X band for mission data downlink. The 3.6m diameter of antenna and main control
room of satellite ground station locates at Center for Environmental Remote Sensing,
Chiba University. Command Unit (S band) has output power 100 Watts, frequency 2,025
to 2,120 MHz, LHCP and PCM, BPSK, PM and FSK modulations, and bitrate 1,024 BPSK,
9.6 kbps FSK. Telemetry Unit (S Band) works with frequency 2,200 to 2,300 MHz, LHCP
and PCM, BPSK, PM and FSK modulations, bitrate 2.4 Mbps BPSK, 38.4 kbps FSK. Data
Receiver Unit (X band) works with frequency 8,025 to 8,300 MHz, LHCP, QPSK
modulation, bitrate 20 Mbps QPSK.

6

5. Summary
In this paper, we introduce the progress of development on CP‐SAR onboard UAV,
Boeing 737‐200 aircraft, and microsatellite in our laboratory. The CP‐SAR sensor isdesigned as small, lightweight and low power consumption system. The CP‐SAR sensor isdeveloped to radiate and receive elliptically polarized wave, including circularly andlinearly polarized waves. In the near future, this sensor will be installed on Boeing 737‐
200 aircraft and microsatellite that will be applicable for land cover mapping, disastermonitoring, snow cover and oceanography monitoring etc. We also develop ionosphericobservation sensors that is introduced in this paper too. In the future, these sensors could
be employed for observation of ionosphere and global land deformation simultaneously
for disaster monitoring and prediction.

Acknowledgement
Josaphat Microwave Remote Sensing Laboratory (JMRSL) thanks to Chiba
University Global Prominent Research Program; the Japan Society for the Promotion of
Science (JSPS); the Japanese Ministry of Education and Technology (Monbukagakusho)
No. 2114K042527 and No. 2101; JICA‐JST SATREPS Program, Bhimasena, Indonesian
Aerospace Agency (LAPAN) etc for supporting this research.

References
Sri Sumantyo, J.T. (2011), "Microwave Remote Sensing Research and Education at Center for
Environmental Remote Sensing, Chiba University," IEEE Geoscience and Remote Sensing
Society (GRSS) Newsletter, Issue #159, pp. 32‐38.
Sri Sumantyo, J.T. (2012), Chapter 11. Circularly Polarized Synthetic Aperture Radar onboard
Unmanned Aerial Vehicle (CP‐SAR UAV), Autonomous Control Systems and Vehicles, Kenzo
Nonami edn., Springer.
Yohandri, V. Wissan, I. Firmansyah, P. Rizki Akbar, J.T. Sri Sumantyo, and H. Kuze,(2011)"Development of Circularly Polarized Array Antenna for Synthetic Aperture Radar
Sensor Installed on UAV," Progress in Electromagnetics Research C, Vol. 19, pp. 119‐133.

7

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Remote Sensing

Phase Coded Stepped Frequency Linear Frequency Modulated
Waveform Synthesis Technique for Ultra‐Wideband Synthetic
Aperture Radar
CHUA Ming Yama,*, KOO Voon Cheta, LIM Heng Sionga, Chan Yee Kita, Josaphat
Tetuko Sri Sumantyob

aFaculty of Engineering and Technology, Multimedia University, Jalan Ayer Keroh Lama,

75450 Bukit Beruang, Melaka, Malaysia
bJosaphat Microwave Remote Sensing Laboratory (JMRSL), Center for Environmental

Remote Sensing, Chiba University, 1‐33 Yayoi, Inage, Chiba 263‐8522 Japan

Abstract
This paper presents the design work of Phase Coded (PC) Stepped Frequency
Linear Frequency Modulated (SFc‐LFM) technique targeted for use in Ultra‐Wide Band
(UWB) Synthetic Aperture Radar (SAR). The technique is a hybrid approach that employs
digital waveform synthesis technique for baseband LFM pulse generation and analogue
microwave up‐conversion technique. In this work, a train of phase coded baseband LFM
pulses is generated using a custom designed Field Programmable Gate Array (FPGA)
waveform synthesis board and each baseband pulses are then up‐converted to different
adjacent band in the carrier band. The collected train of pulses is then re‐combined andprocessed, to synthesis an ultra‐wideband pulses. The experimental results show that thetechnique is able to synthesize a UWB SAR LFM pulse signal. The main advantage of thetechnique is its capability to improve existing SAR system resolution without having toincrease the baseband bandwidth of the system.

Keywords
Keywords: UWB; SAR; Linear FM; Stepped‐Frequency; Signal Synthesis.

1. Introduction
SAR is a modern radar system that utilizes pulse compression technique to improve
its system resolution whilst maintaining the pulse width of the signal (Skolnik, 1970;
Ulaby et. al, 1981). It uses match‐filtering technique to compress a wide pulse into a very
narrow impulse response (Barton, 1988; Mahafza, 1998). SAR system has stringent
requirement in its signal Time Bandwidth Product (TBP). The TBP determines the pulse
compression ratio, which is the quantitative measure on the system’s range resolution.
Conventionally, a large bandwidth signal can be synthesised using a Voltage
Controlled Oscillator (VCO). However, this method is not suitable for SAR signal synthesis
as the VCO has a very slow sweep time (Chan and Lim, 2008). On the other hand, due tothe limitation in DACs sampling speed, the digital approach is more suitable for low
bandwidth (< 100 MHz) signal synthesis applications. Furthermore, increasing the DACs
sampling speed introduces new issues in hardware system design, and also increases the* Corresponding author. Tel.: +85‐070‐4328‐9428

E‐mail address: mychua@chiba‐u.jp8requirement of Analogue‐to‐Digital Converter (ADC) sampling speed and system bus datatransfer rate.
In order to solve the problem, a new technique on Phase Coded Stepped Frequency
Linear FM (SFc‐LFM) method is proposed for Ultra‐Wide Band (UWB) SAR signal
generation.

2. Phase Coded SFc‐LFM Waveform Synthesis Technique
In traditional, SAR transmits a single burst baseband LFM pulse at every Pulse
Repetition Interval (PRI). The transmitted pulse is in its carrier frequency, , given as,
Π

∙

∙

(1)

In the proposed Phase Coded SFc‐LFM technique, multiple burst of phase coded
LFM pulse (or known as intra‐pulses) was transmitted, for every SAR PRI interval. They
were separated by an intra‐PRI interval,so that the current listening echo does_
not overlap with the transmission of the succeeding pulse. Figure 1(a) illustrates anexample of the time‐frequency plot for 4 burst SFc‐LFM waveform and Figure 1(b) shows
an example of the time domain plot of these pulses. Equation below formulates SFc‐LFM
signals where each intra‐pulses were phase coded.
∙∑

∙∏

∙

(2)

where,= number of transmitted pulse within an PRI interval
n = integer number of 1,2,3 … N=
1_= intra pulse PRI_= the implemented phase coding scheme(a)(b)
Figure 1: (a) Time‐Frequency Plot for SFc‐LFM (n=4), (b) Time‐Domain Plot for SFc‐LFM
Baseband Pulses (n=4)
In the proposed technique, each phase coded intra‐pulses were mixed withdifferent adjacent carrier frequencies. For design simplicity, an assumption is made that
only even number of intra‐pulses are transmitted (N is an even number and N > 2). Thus,
the up‐converted signals then can be further expressed as,
_

∙∑

∙∏

∙

∙

(3)

where fn is the desired adjacent carrier frequency denoted as,

9

0.5

1

(4)

Theoretically, the bandwidth and pulse width are improved N times, where N is
the number of transmitted intra‐pulses. This infers that the range resolution of a SAR
system that employs SFc‐LFM scheme signal shall be improved N times. In summary, theeffective bandwidth, the effective pulse width, and the effective range resolution∆
are now,
(5)
(6)
(7)

∆

Figure 2 depicts the overall up‐conversion process of the baseband intra‐pulses
into its respective adjacent carrier frequency that results in widening its effective
bandwidth and pulse width. The intra‐pulses in the carrier band are transmitted as in aconventional SAR system. The collected echo is then mixed with its own respective carrier
signal to down‐convert them into baseband for digitizing and recording. At each intra‐
pulse interval,, a trigger signal is sent to the SAR processor to initiate the recording_of the echo pulse. As a result, the SFc‐LFM SAR system records N times more echo pulses
as compared to a conventional SAR system. It shall be noted that due to the triggering
nature in the data acquisition system, the initial point for each collection of digitized echo
intra‐pulses is zero time referenced.

Figure 2: Proposed Phase Coded SFc‐LFM Technique
The collected intra‐pulses are stored as an array of digital data with N intra‐
pulses. Before it can be used for SAR image formation, it requires an additional processthat employs a dedicated signal re‐construction algorithm to merge the recorded data into
its equivalent pulse. Theoretically, the re‐constructed equivalent pulse shall be,
∙∏

∙

(8)

where,= Effective bandwidth= Effective pulse width= Effective LFM rate =10

Figure 3 shows the signal re‐construction process with a record of 4 intra‐pulses(N = 4). The received echo for each of the intra‐pulses can be formulated as,
∙∏

∙

∙

∙

(9)

(a)
(b)
Figure 3: SFc‐LFM Pulse Reconstruction Algorithm (N = 4): (a) Collected Intra‐Pulses
Echoes, (b) Signal Reconstruction Algorithm
All of the collected echo intra‐pulses will reside at the origin of the time‐frequency
plot, as shown in the left diagram of Figure 3. In the signal re‐construction process, theecho pulses will be re‐arranged into their respective frequency bands and time slots.
Mathematically, this is by adding a time shift of, , and a frequency shift of,
into eachecho intra‐pulse. Then, Equation (9) becomes,
∙

∙∏

∙

∙

∙
(10)

where,
1

0.5

(11)

1

0.5

(12)

Solving Equation (10), then, down‐converting them to baseband, and finally,
removing the additional phase added during the waveform generation, this finally gives,
∙∏

∙

(13)

From Equation (13), it is shown that the phase for each collected intra‐pulse echoshould be shifted with a time shift, , and a phase shift with ∅ , where ∅ can bequantified as,
∅

2

2

2

2

(14)

11

3. FPGA‐based Baseband Waveform Synthesizer
An FPGA‐based baseband waveform synthesizer was built (Chua and Koo, 2009).
In the hardware, it uses Altera Cyclone IV chips as its programmable core with on‐board
dual‐channel, 14‐bits, 420 MSPS DAC. Figure 4 shows the custom made FPGA waveform
synthesizer board and Table 1 lists the main features of the board. In order to generate
the required baseband LFM signals for up‐conversion, the board is configured with a real‐time re‐configurable radar waveform synthesizer as shown in work by Chua et. al. (Chuaet. al., 2012). Figure 5 depicts the block diagram of the implemented synthesizer.

(a)(b)
Figure 4: SFc‐LFM Pulse Reconstruction Algorithm (N = 4): (a) Collected Intra‐Pulses
Echoes, (b) Signal Reconstruction Algorithm

Figure 5: Block Diagram of the Phase Coded SFc‐LFM Waveform Synthesizer
Table 1: Main Features of Custom Designed Altera Cyclone FPGA Board
ModuleSpecifications
FPGA Altera EP4CE22E22C7N
 22,320 LEs
 594 Kbits total memory
 66 18x18‐bit multipliers 4 General Purpose PLLs
 153 user I/Os
DAC
 Analog Device AD9744 DAC
 2 Channel 210 MSPS
 14‐bits resolution12

4. Experimental Setup
An in‐lab proof‐of‐concept experimental setup was constructed to verify the
waveform synthesis technique. Figure 6 illustrates the simplified block diagram of theentire setup.

Figure 6: An Illustration of Proof‐of‐Concept Experimental Setup
In the transmitter, the baseband intra‐pulses are up‐converted to its respective
carrier using an off‐the‐shelf microwave quadrature modulator. An RF signal generator
generates the required stepped carrier signal for the up‐conversion. In order to ensure
coherency in the transmitted intra‐pulses, the selected signal generator has low phasenoise (< ‐120dBc/Hz @ 20 kHz offset) to minimize the phase difference between the intra‐
pulses. The up‐converted intra‐pulses are fed into a calibrated microwave delay line forsingle point target echo emulation. The intra‐pulse echoes were then down‐converted
using an off‐the‐shelf microwave demodulator and finally these echoes were recorded
using an embedded controller with high‐speed digitizer.
Table 2: SFc‐LFM Waveform Parameters
Parameters
Value
Number of intra‐pulses, N
8Intra‐pulses bandwidth, BW
50 MHzPulse Repetition Frequency, PRF
1 kHz
Pulse Width, Tp
10 µs
Carrier Frequency, fc
2000 MHz
1825 MHz 1st carrier frequency, f1
nd1875 MHz 2 carrier frequency, f2
1925 MHz 3rd carrier frequency, f3
1975 MHz 4th carrier frequency, f42025 MHz 5th carrier frequency, f5th2075 MHz 6 carrier frequency, f62125 MHz 7th carrier frequency, f72175 MHz 8th carrier frequency, f8
Effective Bandwidth, Beff
400 MHz
Effective Pulse Width, Teff
10 µs
13

Table 2 summarizes the SFc‐LFM signal parameters (N = 8). The intra pulses areup‐converted to different carrier frequency, f1 – f8, as depicted in Equation (4). Based on
Equation (5) and Equation (6), for the generated SFc‐LFM signal, the effective bandwidth,
Beff, is 400 MHz, and the effective pulse width, Teff, is 80 µs.

5. Results and Findings
The spectrum of SFc‐LFM waveform in carrier band are recorded using a spectrum
analyzer. Figure 7 shows the recorded frequency spectrum of each of the transmitted
intra‐pulses and the DSP combined spectrum of the resultant signal.

Figure 7: Frequency Spectrum of SFc‐LFM (N = 8, B = 50 MHz): DSP Combined Spectrum(Black colour), Individual Intra‐Pulse Spectrum (Other colours)
A phase decoding process (or intra‐pulses decryption) is required to remove thephase code added during the baseband waveform generation. Figure 8 illustrates that,without the phase decoding process, the re‐constructed pulses will not be able tocompress into its equivalent impulse response.

(a)

(b)

(c)
Figure 8: Match Filter Output of SFc‐LFM Received Signal; (a) N = 2, (b) N = 4, (c) N = 8.
14

Figure 9 – Figure 14 show the recorded intra‐pulses, the re‐constructed pulse andthe Auto‐Correlation Function (ACF) a.k.a match filter output of the reconstructed pulse.
Meanwhile, the measured Peak Side‐Lobe Ratio (PSLR) and the Impulse Response Width(IRW) improvement factor obtained for SFc‐LFM waveforms are tabulated in Table 3.

(a)(b)
Figure 9: SFc‐LFM for N = 2, td = 100ns; (a) Top – Intra‐Pulses, Middle – Reference Signal,
Bottom – Reconstructed Pulse; (b) ACF of the Reconstructed Pulse(a)(b)
Figure 10: SFc‐LFM for N = 4, td = 100ns; (a) Top – Intra‐Pulses, Middle – Reference
Signal, Bottom – Reconstructed Pulse; (b) ACF of the Reconstructed Pulse(a)(b)
Figure 11: SFc‐LFM for N = 8, td = 100ns; (a) Top – Intra‐Pulses, Middle – Reference
Signal, Bottom – Reconstructed Pulse; (b) ACF of the Reconstructed Pulse(a)(b)
Figure 12: SFc‐LFM for N = 2, td = 200ns; (a) Top – Intra‐Pulses, Middle – Reference
Signal, Bottom – Reconstructed Pulse; (b) ACF of the Reconstructed Pulse
15

(a)
(b)
Figure 13: SFc‐LFM for N = 4, td = 200ns; (a) Top – Intra‐Pulses, Middle – Reference
Signal, Bottom – Reconstructed Pulse; (b) ACF of the Reconstructed Pulse(a)(b)
Figure 14: SFc‐LFM for N = 8, td = 200ns; (a) Top – Intra‐Pulses, Middle – Reference
Signal, Bottom – Reconstructed Pulse; (b) ACF of the Reconstructed Pulse
Table 3: Peak Side‐Lobe Ratio Comparison (PSLR) and Improvement in Impulse
Response Width (IRW) using SFc‐LFM
Number Delay
PSLR (dB)
IRW (ns)
Improvement Factor
of intra‐(ns)
in IRW (Unit less)pulsesSingle‐SFc‐
Single‐SFc‐
Estimated Measured
N
Pulse
LFM
Pulse
LFM
LFM
LFM
2
100
‐13.36‐12.89
17.23
8.32
2.00
2.07
200
‐13.11‐12.92
17.23
8.33
2.00
2.07
4
100
‐12.96‐12.02
16.70
4.03
4.00
4.14
200
‐12.85‐10.73
16.70
4.01
4.00
4.16
8
100
‐12.92‐12.70
16.70
2.00
8.00
8.35
200
‐12.90‐11.25
16.70
1.98
8.00
8.43

6. Conclusion
This paper presents a SFc‐LFM technique to generate UWB SAR LFM signal. The
technique can synthesize a greater bandwidth and wider pulse width signal as compared
to conventional SAR system. The obtained result has proven that SFc‐LFM technique isable to improve the system range resolution, whilst maintain the required SAR signal
quality. Also, the introduction of phase coding scheme into the transmitting signal
enhanced the immunity of the radar system on radar system’s electronics
countermeasure. In conclusion, the proposed waveform modulation technique and its
synthesis technique can practically be implemented.

16

Acknowledgements
This work is funded by the Minister of Higher Education Malaysia (MOHE) underaccount no 203.PJJAUH.6711279, and Japanese International Cooperation Agency (JICA).

References
Barton D. K. (1988), Modern Radar System Analysis, Norwood, Artech House.
Chan Y. K., Koo V. C. (2008), An Introduction to Synthetic Aperture Radar (SAR), Progress inElectromagnetics Research B, Vol. 2, pp. 27‐60.
Chan Y. K., Lim S. Y. (2008), Synthetic Aperture Radar (SAR) Signal Generation, Progress inElectromagnetics Research B, Vol. 1, pp., 269‐290.
Chua M. Y., Koo V. C. (2009), “FPGA‐based Chirp Generator for High Resolution UAV SAR”, PIER99,
pp 71‐88.
Chua M.Y., Boey H.S., Lim C.H., Koo V.C., Lim H.S., Chan Y.K., Lim T. S. (2012), “A Miniature Real‐Time Re‐configurable Radar Waveform Synthesizer for UAV based Radar”, PIERC2012,
Vol. 31, pp. 169‐183, 2012.
Mahafza B. F. (1998), Introduction to Radar Analysis, New York, CRC Press.
Skolnik M. I. (1970), Radar Handbook, New York, McGraw‐Hill.
Ulaby F. T., Moore R. K., and Fung A. K. (1981), Microwave Remote Sensing: Active and Passive,
Vol. 1, Norwood, Artech House.

17

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Computer and Information Technology

NETWORK BASED DATA ACQUISITION AND CONTROL SYSTEMFOR CIRCULAR POLARISATION SAR (CP‐SAR) SENSOR ON UAVAgus Hendra Wahyudi, Josaphat Tetuko S. Sumantyo, Heein Yang, Matsumura
Kohei, Yuta Izumi.
Josaphat Microwave Remote Sensing Laboratory, Center for Environmental Remote
Sensing, Graduate School of Advance Integration Science, Chiba University,1‐33, Yayoi,
Inage,Chiba, 263‐8522, Japan

Abstract
High resolution C band CP‐SAR sensor has been developing for natural disasterand earth monitoring using UAV platform in JMRSL. This paper will describe one
method of data acquisition system using fast Ethernet interface for continuous
operation during UAV’s flight. Graphical user interface was made using visual c#to allow operator to control and monitor SAR system and operation. Hardwarein the loop for low altitude flight operation has been done and discussed for
ensuring system working well before real flight test. Transfer rate less than 10%
of PRI can be achieved in this low altitude operation particularly 150 meter,
cruise speed 100 km/h and 1000 PRF chosen value. That result show the gigabit
network based data acquisition provide good transfer rate for continuous CP‐
SAR sensor data logging and allow the user to change SAR sensor operation andparameter remotely.
Keywords
Keywords: UAV,network, data acquisition, CP‐SAR
1. INTRODUCTION

Earth surface monitoring by UAV has been increased in recent years. It can give local
area data information for fast response such as on natural disaster monitoring anddecision support system on disaster area (Li et al. 2011, Fikar et al. 2016). Opticalsensor was common passive sensor utilized on UAV. However, it can not operate onnight and bad weather. On the other hand SAR sensor was active sensor that can givedata day night and all weather therefore many platform use this technique for earth
observation such as ground based, spacecraft, airborne and UAV (Bayuaji et al. 2010).
Conventional SAR sensor utilized linear polarizasation while a novel methode will be
performed in this research is circular polarization SAR sensor. The benefit of using
circular polarization is polarization loss factor robustness due to mismatch polarization18

usually in LP case when some disturbance in UAV flight path happened. Thus, better
detection of target will be more reliable. In addition, CP SAR sensor on spacecraft will be
more robust than LP‐SAR due to faraday rotation that will make polarization mismacthincrease in LP(freeman and S.Saachi, 2004).
One of SAR image quality is represented by resolution number, which is depent on the
bandwidth of signal called chirp. In order to get sub‐meter high range resolution on C
Band SAR image we implemented 400 MHz chirp bandwidth. Backscattered signal fromearth surface will be sampled with high sampling ADC and saved to hard disc computerfor image processing, therefore this system requires fast transfer data rate such as
network gigabit Ethernet interface. Network based data acquisition and control allow
UAV CP SAR researcher to control gain of RF system and configure PRF, bandwidth of
chirp signal and store data continuously during SAR flight UAV operation. The system
will be described in this paper and hardware in the loop experimental set up will bepresented for ensuring functional system work well before flight test.
2. SAR DATA ACQUISITION SYSTEMSAR data acquisition system is a methode to collect a SAR raw data. It contain RF system,
Antenna sensor, embedded system and graphical user interface in laptop/pc for control
SAR parameter and display data.
2.1 Block Diagram of SAR System
Block diagram C band CP‐SAR system can be shown in figure 1.

Figure 1. Block Diagram C Band SAR System
Embedded system will produce chirp signal 200 MHz. AD/DA from analog devices
connected to fpga through High speed FMC card provide high sampling 2.6 GSPS for DAC
and 1GSPS for ADC. Fpga system board KCU105 has 2 GB DDR4 Ram for fifo buffer I andQ data from ADC. It also has gigabit ethernet port communication to transfer data tohardisk PC/Laptop for further analysis.
RF system transmitter and receiver have TCP/IP communication port for configurationsuch as SSPA gain control transmitter , gain offset and phase sifter. The transmittercontain baseband unit to combine signal from DAC inphase and quadrature with IF local
oscillator, upconverter unit to convert IF signal to C band RF 5,3 GHz, and SSPA unit for
amplify the signal and pass them through antenna. RF system receiver contains LNA and
Down‐converter to provide baseband In‐phase and Quadrature signal for ADC analog
input.
19

The received signal will be sampled by ADC card daughter board of fpga system, saved inbuffer RAM and transfered to laptop through gigabit ethernet UDP communication.
Motion sensor IMU and GPS simultaneuously send data to laptop through serialinterface for geolocation metadata of CP‐SAR raw data. All process of data acquisition
and baseband controller can be monitored and controlled by operator through RF
datalink 900 MHz communication.
2.2 CP Antenna Sensor
Antenna should have good axial ratio < 3dB for circular polarisation. Circularpolarization antenna will operate on Left Handed Circular polarization and Right handed
circular polarization (RHCP and LHCP) which one antenna will be used for transmitterand another for receiver.
2.3 Stripmap Geometri and Resolution
Side‐looking synthetic aparture radar (Stripmap mode SAR) will be utilized for generate
image of earth with high resolution.

Figure 2. SAR Stripmap Geometry
Figure 2. describe geometry parameter such as swath width, minimum range, maximum
range that can be stated as :R min =
R max =

H
cos

H
cos

2
2

Sw
Where Ƴ is look angle of antenna, θ is 3dB beam‐width of antenna in elevation and H is
UAV or platform altitude. Preeminence of SAR image is important that can be expressedby resolution. Range resolution rely upon baseband signal bandwidth of chirp as can bepresented :

20

R

2

Bandwidth chirp signal entering RF system limited to 200 MHs quadrature therefore
submeter resolution can be achieved. Chirp signal can be stated as equation below :yrWhere B is bandwidth of chirp signal, T is pulsewidth and r is pulse amplitude
modulation signal.
Azimuth resolution depend on SAR antenna length, as can be stated :z

2
Where L is physical antenna length in azimuth direction.
.2.4 Sample Window Time and PRF

Sampling data of SAR will be divided to be two dimension in range and azimuth, whichfast time in range and slow time in azimuth direction. Fast time sample should be fastenough to detect chirp signal, as nyquist criteria it has to be minimum twice of chirp
bandwith. Sampling window time in one range will be depent on the maximum range
and pulse width of chirp signal as can be stated:
t rw

2

T

c

While in azimuth direction, window sample timing depent on the speed of UAV andantenna 3dB azimuth beamwidth as can be stated below:
taz

az

v

PRF selection should be considered in order to collect unambigue range and doppler
frequency which is represent by minimum and maximum chosen value criteria(Mahafza,2004).
c
2 R max

2
R min

sin

2.5 Graphical User Interface
Graphical user interface was made to provide changing signal parameter, SAR mode
operation and time duration to be implemented on SAR data acquisition system. Visualc# will be used to realize this GUI, the flowchart can be shown in figure 3 and 4.

21

Figure 3. GUI Single Mode FlowChart

Figure 4. GUI Observation Mode Flowchart
From figure 3 and 4 operator can change some parameter of SAR mode, bandwidth,
pulsewidth, timing window, and ADC sampling frequency. Specific command will besent to FPGA through UDP communication. After receiving data, in single mode they will
be displayed on chart directly while in observation mode they will be saved to file before
some sample data displayed to chart.

22

3. Experiment
Experiment data acquisition CP‐SAR was tested using hardware in the loop methodewhich is described condition operation before real flight test.
3.1 Experimental Setup
In this hardware in the loop experiment we use JX2 platform as referenced, whichantenna dimension 0.75 m length and 0.2 m width. The off nadir angle of antenna adjust
to 37.5 degree. JX 2 fly on low altitude 150 meter to obey UAV flight limitation rule inIndonesia (jonan,2015) with cruise speed 100 km/h.
3.2 Experimental Result
This experiment setup condition lead 16.2 degree for Range direction 3dB beamwidthand 4.324 degree azimuth direction 3dB beamwidth such as shown in figure 6.

Figure 6. Antenna 3dB Beamwidth

Combine with UAV flight condition and antenna on stripmap mode SAR provide timing
result information on figure 7.

23

Figure 7. Stripmap Geometry SAR result

Baseband signal reference to be transmitted is shown in figure 8 which has 200 MHz
bandwidth bilinear chirp signal inphase and quadrature.

Figure 8. Signal Transmitted Reference
The backscattered signal raw data from fpga/PC through gigabit ethernet can be shownin figure 9. It is delayed form of Tx signal due to target distance from UAV and added
random noise function.

24

Figure 9. Signal Transmitted Reference

The matched filter signal is convolution signal reference and signal received as can beshown in figure 10.

Figure 10. Matched Filter Result
It is clear that target can be detected using matched filter.
4. Result Analysis

Antenna as SAR sensor mount on JX‐2 has length dimension = 0.75 meter and antenna
width dimension 0.2 meter. These parameter will lead 3dB beamwidth in asimuth and25

range as 16.2O and 4.34O respectively. In order to reach 30O to 46O incident angle ofimage the look angle of antenna should be adjust to 37.5O inside JX2 fuselag.
UAV JX2 will fly at 150 meter low altitude, with 1000 Hs Pulse repetition frequency(PRF). The PRF value is higher than PRF minimum limitation (74Hs) due to cruise speedof JX2 at 100 km/h antenna length 0.75 meters. In addition chirp signal has very highbandwith 200 MHs in order to get sub meter range resolution.
This Single polarisation system C Band SAR will provide in‐phase and quadrature signal
with 16 bit resolution ADC and 1 Gsps. At this low altitude SAR geometry the receiving
window time will be very short only 3 µS. Raw data collected each pulse will be 96000
bit, then they will be delivered to laptop hardisk by gigabit ethernet UDP in order to be
saved to hardisk. The transfer time of raw data to laptop only 96 µS or 9.6% from PRI,
which is very enough transfer time in one pulse. This low altitude SAR operation will becollected data for 10 seconds continuously for 280 meter flight distance, with 1000 PRF
it will collect 120Mbytes which is enough space for external RAM of FGPA to buffer all
measurement data.
5. Conclusion
Network based data acquisition of C band CP‐SAR sensor on UAV was described.
Hardware in the loop test also was done for low altitude UAV operation for ensure thatthe system working well. From the result and discussion it is ready for test using realembedded system in near future for natural disaster monitoring.
Acknowledge
Thank you for reseach support from Riset‐Pro Ristek‐Dikti Indonesia and collaboration
research team in JMRSL Ceres Chiba University for this research project.
References
Bayuaji et al. (2010). ALOS PALSAR D‐InSAR for Land Subsidence Mapping in Jakarta, Indonesia.
Canadian Journal of Remote Sensing. Vol. 36, No. 1, pp. 1‐8.
Fikar et al. (2016). A Decision Support System for Coordinated Disaster Relief Distribution.
Expert System With Application 57 104‐116.
Freeman and S. Saatchi. (2004). On The Detection of Faraday Rotation in Linearly Polarized L‐
Band SAR Backscatter Signature. IEEE Transactions On Geoscience And Remote Sensing, Vol. 42.
No. 8.
Jonan. (2015). Pengendalian Pengoperasian Pesawat Tanpa Awak di Ruang Udara Yang Dilayani
Indonesia. Peraturan Menteri Perhubungan Republik Indonesia. Nomor PM 90. Jakarta,
Indonesia.
Li et al. (2011). Quick Image Processing Method of UAV Without Control Point Data inEarthquacke Disaster Area. Transaction of Nonferrous Metals Society Of China. S523‐S528.
Elsevier Science Press. China.
Mahafza (2004). Matlab Simulations for Radar System Design. CRC Press. USA.

26

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Computer Science

CP‐SAR Image Processing System with Kintex‐7 FPGA Board
Masaru Bunyaa, Kazuteru Nambaa , Josaphat Tetuko Sri Sumantyob
aGraduate School of Advanced Integration Science, Chiba University, Chiba, JapanbCenter for Environmental Remote Sensing, Chiba University, Chiba, Japan

Abstract
Synthetic Aperture Radar (SAR) is a class of multipurpose sensors, which canoperate in all‐weather and day‐night time. In Chiba University, We have a plan averification experiment for Circularly Polarized SAR (CP‐SAR) using Unmanned Aerial
Vehicle (UAV). Since CP wave is not affected by an ionosphere, it’s expected to allow for
more precise observation. Raw image data received by CP‐SAR needs to be applied
image processing, but it will not be processed on the ground. Considering thecommunication time, only the image processed on UAV is sent.
Our previous image processing system needs high power consumption and takes
up space because it uses Vertex‐6 FPGA Board ML605, Spartan‐6 FPGA Board SP605 and
one PC which has Intel Atom processor and a Solid State Drive (SSD). In this system,
Range Doppler Algorithm (RDA) which is major image processing algorithm for SAR is
executed in ML605 and the others is used to save the image to SSD. Our proposedsystem only uses Kintex‐7 FPGA Board KC‐705 with XM104 Connectivity Card. XM104
makes it possible for KC‐705 to use SATA; it can connect SSD without a PC. It’s expected
to reduce power consumption, space, time of development and modification.
Our CP‐SAR image processing system is required semi‐real‐time observation.
KC705 has high performance than ML605 so we expect it to satisfy this requirement andto reduce image processing time. The proposed system is applicable to SAR image
processing system on an UAV making semi‐real‐time observation.

Keywords

Keywords: CP‐SAR, SAR image processing, on‐board processing, FPGA, Kintex‐7

1. Introduction
To observe global environment, remote sensing technology is necessary. In
particular, Synthetic Aperture Radar (SAR) which allows high‐resolution observation inall‐weather and day‐night time is used in variety of fields [1]. Raw image data received
by SAR needs to be applied image processing. In order to apply image processing, DSP
had been often used. But recently, Field Programmable Gate Arrays (FPGA) has beenused as its performance improved [2]‐[4].

27We are developing a Circularly Polarized (CP)‐SAR system on small satellite.
Since circularly polarized wave is not affected by earth’s ionosphere, CP‐SAR is expected
to allow for more precise observation.
Now, we have a plan a verification experiment for CP‐SAR using Unmanned
Aerial Vehicle (UAV) [5]. To do image processing, our system apply Range Doppler
Algorithm (RDA) to raw image data. In generally, taking into time of communication
with the ground, image processing is executed on platform (plane and satellite). In thisverification experiment, CP‐SAR and image processing is executed on UAV with FPGA.
After UAV landed on the ground, we analyze the data. To achieve semi‐real‐timeobservation, our system is needed to make one image in 60 second.
The rest of the paper is organized as follow. Section 2 introduces thepreliminaries of SAR and FPGA. Section 3 shows our current system. Section 4 presents
the proposed system. Section 5 evaluates and section 6 draws the conclusion.

2. Preliminaries
2.1.

FPGA
FPGA is well known devices concerning reconfigurable hardware. FPGAs consistof an array of programmable logic blocks surrounded by a programmable routing fabricthat allows blocks to be programmably interconnected. In high performance system, it
has advantages in terms of cost and power consumption [6] [7]. In order to reduce thedevelopment period, various IP core has been provided by each vender. In this paper,
we use IP Core Generator provided by Xilinx. The FPGA configuration is generally
specified using a hardware description language. The features of flexibility, it is often
used for control of the equipment with special purpose and aerospace equipment.
2.2.

SAR
SAR, sends itself a microwave and measures the scattered waves, is active image
radar enabling high azimuthal resolution in the resulting image despite a physicallysmall antenna. The larger the antenna, the resolution of the image is higher, but there isa limit of increase the size of the antenna on satellite and plane. To achieve a largeantenna virtually, small antenna observes many times in moving as shown in fig.1. A
radar on satellite and plane is called platform. Fig.2 is the instrument arrangement andthe name of the radar.Using a microwave characterized in that passing through theclouds, it can observe earth in all‐weather and day‐night time. Thus, it has been applied
to an earthquake prediction by the monitoring of small crustal movement, anobservation in a disaster and a geological survey.

Figure 1. Synthetic Aperture Radar.

Figure 2. . The instrument arrangement and the name of the radar

28

SAR needs to send the data to the ground. But the raw data received by SAR is too large
to communicate with the ground. It sends only the image processed on platform since ittakes a long time and power.
SAR generally uses linearly polarized wave. Linearly polarized wave is received
twice the Faraday effect at the time of transmission and reception as it passes throughthe ionosphere. However, circularly polarized is able to ignore the effect by having auniform amplitude in all directions. Therefore CP‐SAR is expected to be observed in the
better than the SAR using linearly polarized wave [8].
2.3.

Range Doppler Algorithm
Raw image data received by SAR needs to apply image processing in order tocorrect the gap which occurred due to the movement during observation. RDA is thecommonly used algorithm for processing continuously collected SAR data into an image.
The main steps of RDA used in our system are shown in fig.3. In collecting the SAR data,a long‐duration linear FM pulse is transmitted. This allows the pulse energy to betransmitted with a lower peak power. The linear FM pulse has the property that, whenfiltered with a matched filter, the result is a narrow pulse in which all the pulse energy
has been collected to the peak value. This matched filtering of the received echo is called
range compression. Azimuth compression is a matched filtering of the azimuth signal,
performed efficiently using Fast Fourier Transform's [1].Our system only make a Single
Look Complex (SLC) image by using RDA.

Figure 3. Chart of Range Doppler Algorithm.

3. Current System
Our system consists of 2 parts; signal processing of CP‐SAR part and image
processing part, as shown in fig.4. At first, signal processing part gets raw data by using
CP‐SAR and sends data including information of SAR to image processing part. After
applying RDA at image processing part, the image data is saved in SSD.
Our image processing part in fig.5 has one PC which has Intel Atom processor
and a Solid State Drive (SSD) and two FPGA Boards, Vertex‐6 FPGA Board ML605 for thetarget device xc6vlx240t‐1ffg1156 is used and Spartan‐6 FPGA Board SP605. In ML605,
29

it receives raw data gained by signal processing part through Ethernet and apply RDA tomake a SLC image. SP605 which connected to ML605 by FMC cable sends the image to
PC to save. PCIe is used between SP605 and PC. These FPGAs is implemented in Verilog
Hardware Descriptive Language (VHDL). Since our systems has one PC and two FPGABoard, it needs large power consumption, space and time.

Figure 4. Current System.

Figure 5. Image Processing Part.

4. Proposed System
Our proposed system has only one FPGA Board Kintex‐7
KC705 for the target xc7k325t‐2ffg900c is used with XM104 Connectivity Card.
Since current system has low resources, it has to need PC for control and divide system
into 2 unit; image processing unit, data saving unit. When it saves the image to SSD,
SP605 had to use the PC because SP605 does not have SATA port. However, XM104
which has SATA port does not need PC and SP605.

Figure 6. Proposed System.

Figure 7. Image Processing Part in Proposed System.

5. Evaluation
Our System is needed semi‐time‐observation, low space and low power
consumption in order to observe on small satellite. Table I shows specification ML605
and KC 705[9] [10]. KC705 has 35% more logic cells than ML605. Current systems used
98% resources of ML605 only image processing. KC705 is expected to send or receive
image data, to execute image processing, to save the image to SSD on only one board.
Equipment on UAV has to be a space‐saving, power‐saving, lightweight. Fig.8, 9 and table
2 show comparisons of current system and proposed system. Proposed system canreduce 3.5kg than current system.

Table 1. Specification ML605 and KC705

30

Device

Logic Cells

ML605 (XC6VLX240T)
KC705 (XC7K325T)

Configurable Logis Blocks
SlicesMax RAM(kb)241,152

37,6803,650

326,080

50,9504,000

DSP Slices

Block RAM Blocks
18kb

36kb

Max (kb)

768

832

416

14,976

840

890

445

16,020

Table 2. Weight and power of each system.

weight (kg)Current System

4.6

Proposed System

1.1

Figure 8. Overview of Current System.

Figure 9. Overview of Proposed System.

6. Conclusion
Comparisons of current system used ML605 and proposed system used KC705 ispresented. SAR is an important technology in the field of global environment
observation. Raw data received by SAR need to be executed image processing. Devices
on UAV must be small since resources (space, power) are limited. KC705 which has
more resources than ML605 is expected to reduce power consumption, space, time ofdevelopment and modification. The proposed system is applicable to SAR image
processing system on an UAV making semi‐real‐time observation.

References[1] Ian G. Cumming and Frank Hay‐Chee Wong (2005). Digital Processing Of Synthetic Aperture
Radar Data, Artech House.
[2] Lin Shuisheng, Wu Jinghong and Huang Shunji (1996). Real‐time digital signal processing
system of airborne SAR with ultra‐high speed DSP, Signal Processing, 3rd International
Conference on vol.1, pp.427‐430.
[3] Xin Xiao, Rui Zhang, Xiaobo Yang and Gang Zhang (2004). Realization of SAR real‐timeprocessor by FPGA, Geoscience and Remote Sensing Symposium, IGARSS '04. Proceedings.
2004 IEEE International, vol.6, pp.3942‐3944.
[4] Wai‐Chi Fang, Charles Le and Stephanie Taft (2005). On‐Board Fault‐Tolerant SAR Processor
for Spaceborne Imaging Radar Systems, Circuits and Systems. ISCAS 2005. vol.1, pp.420 –
423.

31

[5] Masaru Bunya, Kazuteru Namba and Josaphat Tetuko Sri Sumantyo (2015). CP‐SAR processing
system on FPGA for multiple image size, The 18th Symposium on Environmental Remote
Sensing.
[6] Yutana Jewajinda (2013), A Performance evaluation of a Probabilistic Parallel Genetic
Algorithm: FPGA vs. Multi‐core Processor, 2013 International Computer Science andEngineering Conference (ICSEC), pp.298‐301.
[7] Brian Van Essen, Chris Macaraeg, Maya Gokhale and Ryan Prenger (2012). Accelerating arandom forest classifier: multi‐core，GP‐GPU，or FPGA?, 2012 IEEE 20th International
Symposium on Field‐Programmable Custom Computing Machines, pp.232‐239.
[8] Heein Yang, Jin‐Hong An, Hae‐Won Jung and Jae‐Hyun Kim (2014). Circular Polarization
Implementation on Synthetic Aperture Radar, 2014 International Conference on
Information and Communication Technology Convergence (ICTC) , pp.991‐994.
[9] Xilinx (2015), Virtex‐6 Family Overview,https://www.xilinx.com/support/documentation/data_sheets/ds150.pdf[10] Xilinx (2016), 7 Series FPGAs Overview,https://www.xilinx.com/support/documentation/data_sheets/ds180_7Series_Overview.p
df

32

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Novel Disaster Mitigation Engineering Toward Future

Smart disaster mitigation based on novel structures/materials
Hiroshi Asanuma*
Chiba University, 1‐33 Yayoicho, Inage‐ku, Chiba‐shi, Chiba 263‐8522, Japan

Abstract
The author proposed to use novel technologies/materials such as smart
structures/materials
andrelatedtechnologies
toenablerevolutionary
prevention/mitigation of disasters. A typical example is the deployable breakwater which
can be used daily for energy harvesting, small enough not to be an obstacle, as well as asmart breakwater autonomously deployable by the force/energy and material of tsunami
or high wave. The author discussed with Furuya and Nonami on new reliable approaches
to cope with disasters, which intends to enable sustainability as well as disastermitigation, and they named it as “Disaster Mitigation and Sustainable Engineering.” Theauthor et al. are establishing a research committee as a part of JSME M&P Division. In thispaper, new ideas and developments for smart disaster mitigation toward future especiallybased on smart structures/materials are described. To explain the proposed concept
more comprehensively, two examples, that is, an artificial forest and a novel deployablestructure based on honeycomb to be used against flooding are introduced. Many othersmart challenges and products are also introduced and future directions are discussed.
Several projects are mainly undergoing by the author and/or his collaborators. Various
outstanding challenges have been also done in industries and some are alreadycommercialized. Disaster Mitigation and Sustainable Engineering has to be brushed up to
become a basis for the above introduced emerging field with more variety of disasters tobe smartly overcome or rather utilized.

Keywords
disaster, tsunami, flooding, sustainability, deployable structure, energy harvesting, dailyuse

1. Introduction
In recent years, more serious disasters occur around the world than in the past, anda large number of people are lost in spite of the rapid advancement of science andtechnology. In order to solve this problem, the author et al. have proposed a new concept“Disaster Mitigation and Sustainable Engineering” which enables sustainability as well as
disaster mitigation, effectively and economically. It is emphasized that this novel concept
can be effectively realized by the innovative field “Smart Materials and Structures.” The* Corresponding author. Tel.: +08‐43‐290‐3201; fax: +08‐43‐290‐3039.
E‐mail address: asanuma@faculty.chiba‐u.jp

1

number of presentations in this field at JSME (The Japan Society of MechanicalEngineers)annual meeting (MECJ) has been increasing, and it has also become anucleation site for developing new innovative fields. A couple of research committees
have been managed for many years, and as one of them, “Active Material Systems”
Technical Section which belongs to the M&P (Materials and Processing) Division of JSME
has been playing an important role to support and activate the field. Its major applications
have been explored in mechanical, electronics, civil, architecture, aerospace, automobile,transportation, biomedical, and so on. But, since the Japanese earthquake and tsunami
disasters on March 11, 2011, Asanuma et al. had proposed the new concept briefly
mentioned above and have been exploring a completely new and effective direction fordisaster mitigation.

2. Disaster mitigation and sustainable engineering
The new concept “Disaster Mitigation and Sustainable Engineering” can be briefly
explained using the typical examples shown in Figure 1 and Figure 2. Serious disasters
may occur today or may not for a long period of time. The structures necessary for disastermitigation need vast amount of construction and maintenance costs. So, we better thinkof using them daily to produce something useful such as energy. The generated energy
can be used for their monitoring, maintenance, corrosion suppression, repair, and manyother purposes such as lighting, charging drones, and so on. The disaster mitigation
devices and structures have to be available even if disaster occurs once for hundred years.
For the overwhelming period without disasters, they are not necessary from disastermitigating point of view, so their compactness is very useful from daily and aesthetic pointof view. In addition, a “Smart Furniture” to protect valuable products from falling fromshelves etc. at the time of earthquake has been considered. Asanuma et al. introduced theconcept etc. at the Chiba Univ. symposium on Jan. 26 and also at the MECJ‐12 on Sep. 11,2012 [1, 2]. In addition, several invited talks etc. such as keynotes at MECJ, MRS‐J and PT‐
PIESA 2013 have been delivered by Asanuma [3, 4 and 5].
Asanuma and Furuya are establishing a research committee with Nonami, Maeno,
Yamazaki, Igarashi, Kudo, Takahashi, Shimazu, Sumantyo, Kubo, Maruyama, Tanaka, Lu,
Takei, Koyama, Okawa et al. from Chiba Univ., and Su (NASA), Shahinpoor (Univ. ofMaine), Paolozzi, Felli (Sapienza Univ. of Rome), Nejhad, Hihara (Univ. of Hawaii at
Manoa), Aimmanee, Ekkawatpanit (King Mongkut’s Univ. of Tech. Thonburi), Adachi(Chubu Univ.), Yanaseko (Kogakuin Univ.), Vendittozzim, Santilli (Univ. of Brasilia), Dry(Natural Process Design), Yan (Missouri Univ. of Sci. and Tech.), Kishimoto (NIMS),
Furukawa (Yamagata Univ.), Nakao (Yokohama National Univ.), Kosaka (Kochi Univ. of
Tech.) et al. are also extending it to be more active and international one.

Figure 1. Typical examples to show the concept of “Disaster Mitigation and Sustainable Engineering.”

2

Figure 2. Examples to realize the concept.

First of all, in order to explain the concept more comprehensively, two examples
having been experimentally done are mainly introduced and discussed. As the firstexample, an artificial forest has been developed, which are intended to have better
capability of high wave or tsunami mitigation than actual ones [6, 7], by optimizing
various parameters such as configuration, density and material. Natural forests have
many problems such as low fraction of trees, low visibility of ocean waves, low strength,
long time to grow, and so on.
The first two experimental parameters have been mainly examined by using awater channel set‐up prepared for this research. Multifunctional design is also described.
As the second example, a new smart structure based on honeycomb like one to be usedagainst flooding etc. is proposed and demonstrated to show the possibility of
autonomously deployable due to increase of water level as external environmental
change. This autonomous height‐controlled river or anti‐flooding bank system can be
regarded as a smart structure. Energy harvesting materials and systems are underconsideration and development to make the system much smarter and fully realize theconcept.
Secondly, several challenges toward future mostly done by the authors, and several
smart products from industries and projects are introduced, and finally, the content issummarized

3. Experimental and future works
3.1 Artificial forests [8]An aquarium as shown in Figure 3, consisting of 300 mm wide and 4500 mm longwaterway and hydraulic bore water tank, was used, and an artificial forest model,
consisting of 4 mm diameter and 300 mm long columnar bars, was arranged as shown in
Figure 4, where lattice spacing S and number of rows N were changed. It was placed in therange of 2780 to 3180 mm from the gate of water tank. Stage type wave was generated by
setting the initial water height of the waterway ho = 30 mm and the initial water height of
the water tank H = 240 mm, and opening the gate. In this case, the generated hydraulicbore is the state of supercritical flow, of which flow rate is 1.5 m/s and Froude number is
1.5 at the front edge (tank side) of the model.
3Figure 3. Schematic of experimental waterway.

Figure 4. Schematic of metal plate to arrange cylinders.

To observe the state of flow passing through the artificial forest model, photos weretaken from the above and the side positions with a digital camera. Then, by using an image
processing software, flow rate and water level at the front and the end of the cylindergroup model were measured, and reduction of those were used to evaluate wave
mitigation effect .
From the preliminary studies [9], the arrangement shown in Figure 4 is better thansquare one, and smaller spacing S is also better. Therefore, the effect of type of material,that is, polyacetal (POM) and stainless steel (SUS304) were compared as a function of
number of rows N from 1 to 12 at the minimum and constant S (= 15). In Figure 5, thewater flow interacting with the artificial forest model made of POM cylinders is shown. In
the case of N = 12, remarkable reflection of the incident wave can be observed in front of
the model, and remarkable reduction of the water level and hydraulic jump phenomenon
can be observed behind it.
In Figure 6, reduction rate of water flow velocity as a function of number of rows isshown. According to the figure, the reduction rate increases with increasing number ofrows for both materials, and those of POM are generally higher than those of SUS304
except N = 1 and 2. This tendency is considered to be caused due to the difference ofYoung's moduli of the materials, that is, POM having lower Young's modulus can absorb
4

Figure 5. Side views of water flow experiments using POM cylinders of number of rows (a) N = 1 and (b) N = 12.

Figure 6. Effect of number of rows N on reduction rates of water velocity RV for the cases of POM and SUS304.

the kinetic energy of water flow.
As the next step of this research, the poles are planned to be integrated with voltage
generation or energy harvesting function using vibration of the poles due to air flow
and/or water flow. To realize this, electroactive polymers, piezoelectric materials, etc. areunder investigation to be applied, or conventional electro‐mechanical systems can beused for a while.

3.2 Deployable structure [8]In Figure 7, a schematic drawing of the deployable honeycomb structure model isshown. In this study, the cell shape was designed based on the assumption that the cell ismade of 0.2 mm thick aluminum (A1050‐H24) and can elastically deform up to the doubleof its original height. The actual model designed to follow the height of water level with afloat (POM cylinder) to lift the model and a membrane (PVC) to stop water flow, which
are attached to L‐shape aluminum frames on both vertical sides of the structure to obtain5

higher stiffness in the direction of water flow. This model was set in the same water
channel as used for the artificial forest experiment and water was supplied at the rate of
1.3 l/s up to 150 s where overflow started. Then the water flow was stopped and the waterlevel reduced. The heights of the water level and the top of the structure were measured.
In Figure 8, the actual model is shown at the initial and the successfully deployedstates. Above this level, the supplied water overflowed. This system can be regarded as asmart structure because its height is found to be in autonomously proportion to the waterheight and its change as an environmental state in the experimental range. As the next
steps of this research, the authors are trying to embed functional materials such as piezo‐
composites and IPMCs to make the structure multifunctional and smarter.

Figure 7. Schematic of deployable structure model.

Figure 8. The actual deployable structure model at (a) initial and (b) deployed states.

6

3.3 Challenges toward future
The following researches are mainly undergoing by the authors et al.
1) Applications of Piezoelectric Polymers in Electrical Power Generation Using Ocean
Waves [10].
2) Dynamic Deployment of Smart Inflatable Tsunami Airbags (TABs) for Tsunami
Disaster Mitigation [11].
3) A Novel Underwater Inflatable Structures for Smart Costal Disaster Mitigation [12].
4) Structural Health Monitoring of Pipelines for Environment Pollution Mitigation [13].
5) The Contribution of LARES to Global Climate Change Studies with Geodetic Satellites[14].
6) Smart Disaster Mitigation in Italy [15].
7) Smart Disaster Mitigation in Thailand.
The following one is also undergoing. In order to cope with tsunami, rigid andfragile structures are not suitable, and rather strong, light and flexible structures are
preferred, Asanuma et al. have started to develop a multi‐layered flexible and deployablestructural material system to diminish the force of tsunami and dissipate its energy byseparating water flow and letting them conflict with each other as briefly shown in Figure
12 [16], which was presented as a part of the plenary lecture at the International
Innovation Workshop on Tsunami, Snow Avalanche and Flash Flood Energy Dissipation(January 21‐22, 2016, Lyon, France) where lots of innovative ideas and challenges suchas offshore mega‐floating structures with energy harvesting function as well as
dissipation function were introduced and future works were discussed [17].

4. Products from industries and projects
Various challenges have been done in industries and some are alreadycommercialized. In Figure 13, one of the products successfully developed by Hitachi
Zosen Corporation is schematically shown. The neo RiSe® (no energy, no operation,
Rising Seawall) land‐ mounted movable flap‐gate type seawall can be autonomously
deployed by using the force of tsunami [18, 19].

Figure 9. A new design of tsunami barrier using computational fluid dynamics (CFD), and its next plan to be
multifunctional.

7

Figure10. The neo RiSe land‐mounted flap gate embankment system (Courtesy of Mr. K. Nakayasu (Hitachi Zosen
Corporation)).

Project MOSES, Aqua Dam, Inflatable Flood Barriers, Inflatable Rubber Dam,
Water‐Gate are also attractive examples.
In addition to the above mentioned products, Takenaka Corporation proposed
innovative “Breakwater and breakwater group [20].”

5. Summary
New ideas and developments for smart disaster mitigation toward future especiallybased on smart structures/materials are described in this paper. The proposed concept“Disaster Mitigation and Sustainable Engineering” is the key and explained morecomprehensively. Two examples having been tried experimentally to realize the concept
are shown. As the first example, artificial forests are examined to have better capability ofhigh wave or tsunami mitigation by changing various parameters such as configuration,
density and material. Multifunctional design is also mentioned. As the second example, anovel deployable structure based on honeycomb to be used against flooding etc. is
proposed and demonstrated to be autonomously deployable due to increase of waterlevel. This autonomously height‐controlled river or anti‐flooding bank system can be
regarded as a smart structure. Energy harvesting materials and systems are underconsideration and development to make the system smarter and fully realize the concept.
Many other smart challenges and products are also introduced and future directions are
discussed.

Acknowledgments
The authors thank Mr. K. Nakayasu (Hitachi Zosen Corporation) for his kind offer ofvaluable information.

References[1] Asanuma, H., “The 1st Symposium on Disaster Mitigation and Sustainable Engineering,” Chiba
University, 23 January 2012. <http://www.chiba‐
u.ac.jp/others/topics/article2011/pdf/gensai_sympo.pdf> (20 February 2016).
[2] Asanuma, H., Furuya, Y., Kubo, M., Maruyama, Y., Tanaka, G., and Yanaseko, T., “Application of
Smart Materials and Structural Systems to the Area of Disaster Mitigation,” MECJ‐2012, J044082(CD‐ROM) (2012).
[3] Asanuma, H., “Smart Materials and Structural Systems and Their Potential Applications to theField of Disaster Mitigation and Sustainable Engineering,” MECJ‐2013, K04200 (CD‐ROM) (2013).
[4] Asanuma, H., Furuya, Y., Yanaseko, T., and Oshima, K., “Disaster Mitigation and Sustainable
Engineering Based on Smart Materials and Structural Systems,” 23rd Annual Meeting of MRS‐J, G‐
K10‐006 (CD‐ROM) (2013).

8

[5] Asanuma, H., “Development of Smart Mechanical Material Systems,” 4th Scientific Symposiumof the CRC/TR 39 “PT‐PIESA,” 26‐27 March 2013. <http://www.pt‐piesa.tu‐
chemnitz.de/symposium/4.Symposium/DE/img/Agenda_ A4.pdf.> (20 February 2016).
[6] Harada, K., and Imamura, F., “Effects of Coastal Forest on Tsunami Hazard Mitigation, Tsunami‐ Case Studies and Recent Developments,” Springer, 279‐292 (2005).
[7] Kitamura, K., and Maruyama, Y., “Estimation of Tsunami‐Inundated Areas in Asahi, Chiba after
the 2011 Off the Pacific Coast of Tohoku Earthquake,” Proceedings of the 31st Workshop of
Earthquake Engineering (JSCE meeting), 5‐025 (CD‐ROM) (2011).
[8] Asanuma, H., Su, J., Shahinpoor, M., Felli, F., Paolozzi, A., Nejhad, M., Hihara, L., Aimmanee, S.,
Furuya, Y., Yanaseko, T., Okabe, S., “Development of Disaster Mitigation and Sustainable
Engineering Based on Smart Materials and Structures,” WECC 2015, Paper No. 20344 (CD‐ROM),
29 November‐ 2 December 2015, Kyoto, Japan.
[9] Asanuma, H., Yanaseko, T., Suzuki, H., Katayama, D., and Oshima, K., “A Fundamental Study on
Designing Smart Wave Mitigation Structures,” MECJ‐2014, S0430101 (CD‐ROM) (2014).
[10] Su, J. and Asanuma, H., “Applications of Piezoelectric Polymers in Electrical Power
Generation Using Ocean Waves,” SPIE Smart Structures/NDE 2015, 12 March 2015, San Diego,
Callfornia, USA.
[11] Shahinpoor, M., and Asanuma, H., “Dynamic Deployment of Smart Inflatable Tsunami
Airbags (TABs) for Tsunami Disaster Mitigation,” Proc. of the ASME 2015 Conference on Smart
Materials, Adaptive Structures and Intelligent Systems, V002T04A007 (2015).
[12] Adachi, K. and Asanuma, H., “A Novel Underwater Inflatable Structures for Smart Costal
Disaster Mitigation,” ASME 2015 Conference on Smart Materials, Adaptive Structures andIntelligent Systems (SMASIS2015‐9082), 21‐23 September 2015, Colorado Springs, Colorado,USA.
[13] Felli, F., Paolozzi, A., Vendittozzi, C., Paris, C., Asanuma H., De Canio G., Mongelli M., Colucci A.,“Structural Health Monitoring of Pipelines for Environment Pollution Mitigation,” Proc. of the
ASME 2015 Conference on Smart Materials, Adaptive Structures and Intelligent Systems,
V002T04A009 (2015).
[14] Sindoni, G., Paris, C., Vendittozzi, C. E., Pavlis, C., Ciufolini, I., Paolozzi, A., “The Contribution of
LARES to Global Climate Change Studies with Geodetic Satellites,” Proc. of the ASME 2015
Conference on Smart Materials, Adaptive Structures and Intelligent Systems, V002T04A010(2015).
[15] Felli, F., Palozzi, A., Vendittozzi, C., Paris, C., “Smart Disaster Mitigation in Italy ‐ A Brief
Overview on the State of the Art,” Proc. of the ASME 2014 Smart Materials, Adaptive Structuresand Intelligent Systems (Paper no. SMASIS2014‐7631), vol. 2 pp. V002T04A018, 8‐10 September
2014, Newport, Rhode Island, USA.
[16] Asanuma, H., Shahinpoor, M., Su, J., Adachi, K., Kubo, M., Maruyama, Y., Tanaka, G., "Disaster
Mitigation and Sustainable Engineering Based on Smart Structures," 21‐22 January 2016,
International Innovation Workshop on Tsunami, Snow Avalanche & Flash Flood Energy
Dissipation,<http://www.fri.niche.tohoku.ac.jp/workshop2016/data/20160122/tsunami_ws_20
16_H_ASANUMA.pdf> (20 February 2016).
[17] <http://www.fri.niche.tohoku.ac.jp/workshop2016/> (20 February 2016)[18] <http://www.hitachizosen.co.jp/english/products/products026.html> (20 February 2016).
[19] Shirai, S., Nagata, S., Fujita, T., Niizato, H., Nakayasu, K., and Takahashi, K., “Development of
Flap Type Mobile Gate for Protection against Storm Surge and Tsunami,” Proc. of Civil
Engineering in the Ocean, 21, 109‐114 (2005).
[20] Nishioka et al, “Breakwater and breakwater group,” application number P2011‐129500,
applied on July 5, 2011 in Japan.

9The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Earth and Planetary Science

Seismological Evidence for Crustal Deformation beneath the
Sunda‐Banda Arc Transition Zone
Syuhada Syuhada a, b*, Nanang T. Puspito,c, Nugroho D. Hanantod, Chalid I.
Abdullahe, Titi Anggonoc and Tedi Yudistiraca Graduate Research on Earthquake and Active Tectonics, Institut Teknologi Bandung(ITB), Bandung, Indonesia
bResearch Centre for Physics ‐ Indonesian Institute of Sciences (LIPI), Tangerang, Indonesia
cFaculty of Mining and Petroleum Engineering, ITB, Bandung, Indonesia
d Research Centre for Geotechnology‐ LIPI, Bandung, Indonesia
e Faculty of Earth Sciences and Technology, ITB, Bandung, Indonesia

Abstract
Recent seismological studies involving a large amount of receiver function and shear
wave splitting data recorded by regional Geofone-IA stations have been conducted in
the Sunda-Banda Arc transition zone. This region is characterized by a change intectonic regime from subduction of Indo-Australia plate along the eastern part ofSunda Arc to collision of the Australian continental plate with islands arc in thewestern part of the Banda Arc. The previous receiver function results reveal variationin crustal structure and properties due to the influence of the change in tectonic
regime from subduction to collision. The recent shear wave splitting results also show
variation in the direction of the shear wave fast polarisations, suggesting that
anisotropy is either caused by preferentially aligned cracks related to the stress field or
structural fabrics related the aligned macroscopic fractures and anisotropic minerals.
These variations are suggested to be related to the change in tectonic setting. In thisreport, we extend our analysis using spatial averaging fast polarizations to reveal
some features that might be connected to the structure variation due to the change oftectonic regime. The spatial averaging method reveals that the average fastpolarisations of the splitting waves are consistent with the trending structural
discontinuity that might be presence in this region. This result is in good agreementwith other geological and geodetical studies conducted in the Sunda-Banda arc
transition zone.
Keywords
Sunda-Banda Arc transition zone; Crustal structure; Receiver function; Shear wave
splitting; Crustal anisotropy* Corresponding author.

E‐mail address: hadda9@gmail.com

10

1. Introduction
Sunda‐Banda arc transition zone is marked by transition in tectonic setting from
subduction in west of Sumba Island to collision in east of Sumba Island (Fig. 1). The
evolution and origin of Sumba Island itself is still debated (e.g. Rutherford et al., 2001;
Abdullah et al., 2000). Seismic reflection and refraction studies (e.g. Shulgin et al., 2009;
Luschen et al., 2011) found that this area is highly deformed providing variation in
structure and morphology. This region is also characterized by the presence of two
major structure discontinuities dividing the region into three tectonic blocks (Nugroho
et al., 2009). First, Major tectonic discontinuity separating between the Sunda arc andBanda arc has been hypothesized based on the discontinuity line of volcanism locatedbetween Sumbawa and Flores Islands (Audley‐Charles, 1975). Another hypothesized
structure discontinuity based on the uplift different of coral reefs is located along Pantar
Strait (Nishimura and Suparka, 1986).

Fig 1. Tectonic setting of the study area. The inverted blue triangles detone seismic station usedin this report. The bathymetric contours plotted from Sandwell and Smith (2009).

Recent seismological studies have conducted in order to substantiate variation incrustal structure and deformation pattern as result of the change of tectonic regime
from subduction to collision (Syuhada et al., 2016a; Syuhada et al., 2016b). Previous
receiver function study (Syuhada et al., 2016a) reveals that the Moho depth varies
between 26‐38 km, and the deeper Moho found at seismic stations located in thecollision domain suggest the influence of the underplating of buoyant Australian crust
during the arc‐continent collision. The study area also has high Vp/Vs ratio which might
be related to the local geological features such as the presence of mafic and ultramafic
materials, fluid filled fracture zone and partial melt due to geothermal activities in theupper mantle. The shear wave splitting results (Syuhada et al., 2016b) show that the fast
directions in the subduction domain are consistent with the directions of the principal
compressional strain‐rate axes, suggesting that anisotropy is mainly caused by stressinduced anisotropy. On the contrary, more scattered fast directions are shown in thecollision domain, indicating that anisotropy is either caused by preferentially aligned
cracks related to the stress field or structural fabrics related the aligned macroscopic
fractures and anisotropic minerals. Recent 2D delay time tomography derived from the11shear wave splitting measurements (Syuhada et al., 2016c) also found strong anisotropy
related to the geological features as possible sources of seismic anisotropy in this area.
This previous study suggests that strong anisotropy found in Timor Island related to thepreferential alignment of anisotropic minerals, whereas strong anisotropy in Sumba
Island corresponds to micro‐cracks in the lower crust resulted from the interaction
between the crustal root of Sumba and the Australian Plate. In this report we extend ouranalysis to map crustal deformation pattern using spatial averaging of fast polarization
derived from shear wave splitting measurements.

2. Data and Method
In this research, we use the same seismic dataset as in the previous anisotropic
study (Syuhada et al., 2016c). The dataset consists of seismograms recorded between
2008 and 2015 by 17 GEFONE‐BMKG stations distributed in both two tectonic domains:subduction and collision (Fig. 1). All events used for the study have hypocenter depth
less than 30 km to avoid contamination from mantle anisotropic sources. Splitting
parameters are then computed using the automated shear wave splitting package(MFAST) (Savage et al 2010). Shear wave splitting occurs when a polarized shear wave
propagates through an anisotropic medium and splits into two quasi shear waves withdifferent polarizations and speeds. The shear wave splitting technique then measures
the fast polarization direction () and the delay time (t) between fast and slow waves.
The MFAST code works based on eigen value minimization (Silver and Chan,
1991) and cluster analysis (Teanby et al., 2004). To compute shear wave splitting
parameters, we follow the procedure as described in the previous study [Syuhada et al.,2016b and 2016c]. First, we only use seismograms which have clearly S‐arrivals andincident angle within 35°. In MFAST, we then apply multiple filters to look for the best
filter based on signal to noise ratio (SNR > 3). The seismograms resulted from the best
filter are then used for the splitting measurements. The splitting results are then gradedbased on SNR, stability of cluster and error analysis. In this report, we only employ the
splitting results with grading A or B (AB grade) for further analysis (Fig. 2).
We then use TESSA package to examine spatial variation of fast polarisations(Johnson et al., 2011). In this package, Spatial averages of  are computed by averaging 
calculated from each event‐station pair in particular grid block. Each block is set to be
32 km x 32 km. Tomographic weighting scheme is derived from the previous study to
calculate average  in grid blocks (Syuhada et al., 2016c). This weighting factor works
based on variations due to heterogeneous anisotropic structure. Therefore, moreweighting is given for the blocks containing higher degree of anisotropy. The weighting
function then can be formulated as (Johnson et al., 2011):

Here, r is the ray propagating through block b. Then the weighted average of  for n rays
in each block is:
∑
1
cos 2
∑
2
sin 2
We only calculate the average when block consists of at least eight ray path (Fig. 3).

12

Fig. 2 An example of the spitting paramaters derived from MFAST code. The top left panel shows
the original three component seismogram. The top righ panels depict the waveform and particle
motions of S wave before and after correction. The below panels represent the cluster analysis
and the contour diagram providing the best splitting measurement denoted by the blue crosses.

Fig. 3 Grids and rays (red lines) used for the spatial averaging. The grey boxes represent squareboxes containing rays less than 8 rays and thus are discarded from the analysis.

3. Result and discussion
Fig. 4 displays the rose diagram of  and the weighted average of  obtained for eachgrid block. Here, we only plot the spatial average of , if the standard deviation and thestandard error of the mean are less than 30° and 20°, respectively. We observe that the13direction of  spatial averages beneath Sumba and Savu Basin varies between NE‐SW
and SE‐NW. We suggest that this region is densely fractured as resulted from thecollision process (e.g. Johnson et al., 2011). We also observe that weighted means of 
depict consistent regional patterns dominated by NE‐SW direction near Lombok Basin.
This direction is parallel to the principal compressional axis of the strain rate (Bock etal., 2003). This result suggests that anisotropy beneath Lombok Basin might be related
to dilatancy of fracture zones causing a fast wave polarisation parallel to the maximum
horizontal stress (Boness and Zoback, 2006).

Fig. 4 Map of the spatially averaged fast orientations using 32 km grid blocks. Red rose diagrams
represent all measurements in each individual block containing at least 8 passing rays. The
yellow bars denote the mean fast orientation in each block with the standard deviation < 30° andthe standard error < 20°. The black ellipses represent the places in which the mean fast
directions are aligned parallel to the trending structural discontinuities.

The most striking feature in the spatial averaging results is the change of fastpolarisations from generally NE‐SW fast direction in the north‐west of Sumba and NW‐
SE directions in the north‐west of Savu Basin to almost N‐S direction in the north of
Sumba at around 120°E. We suggest that this pattern could be related to the trending
structural discontinuity called Sumba fracture, reflecting the boundary between an
intra‐oceanic character in the west and an arc‐continent collision zone in the east as
proposed by Audley‐Charles (1975) and Nishimura and Suparka (1986). The Sumba
fracture occurred during the Late Jurassic, and Sumba drifted northwards away from thecontinental margin in response to the initiation of the Wharton Basin of the Indian
Ocean and performed a clockwise rotation (Audley‐Charles, 1975). The discontinuities
in geological and geophysical parameters found between Sumbawa and Flores support
the existence of Sumba fracture. The prominent offset in the line of volcanism between
Sumbawa and Flores might provide the evidence for this structural discontinuity. The
geochemistry study observed that the chemical contents in the volcanic products
obtained from the islands between Flores and Sumbawa are also different (Nishimura,1980). Recent geodetic study reveals three possible micro plate blocks (the Lombok‐
Sumbawa forearc, the Flores‐Sumba‐Savu and the Timor‐Wetar segments) based on GPS
velocities that increase relative to SE Asia from 21% to 41% to 63% eastward along the
Sunda‐Banda arc transition zone (Nugroho et al., 2009). These segmentation boundaries
lie along major structural discontinuities in the transition zone, namely Sumba and14

Pantar fractures (Audley‐Charles, 1975; Nishimura and Suparka, 1986). Interestingly,
we also observed that the fast polarisations in the north of Timor, near the proposed
location of the Pantar fracture, are aligned parallel to the strike of the Pantar fracture
and perpendicular to the principal compressional axis of the strain rate (Bock et al.,2003). Although this fracture is poorly constrained, the geological evidence shows asharp break in rate of uplift of the coral reefs along the Pantar strait, indicating a zone offracture (Nishimura and Suparka, 1986). Seismic reflection profiles also reveal fault
zones, which might be correlated to this structural discontinuity (Karig et al., 1987).
Thus, we suggest that anisotropy around these structural discontinuities is mainly
controlled by structural anisotropy.

4. Conclusion
In this report, we have shown that the average fast directions observed in the Sunda‐
Banda arc transition zone coincide with the features related to the structural
discontinuities as suggested by other studies. In the north‐west of Sumba, the pattern offast directions is consistent to the strike of Sumba fracture separating oceanic characterin the west and continental character in the east. In the north of Timor, the pattern of
average fast polarizations is consistent to the strike of Pantar fracture. However, further
investigation involving the deeper part of the lithosphere is necessary in order toprovide a broad‐scale understanding of tectonic evolution in this area.

Acknowledgements
We acknowledge Indonesian Agency for Meteorology, Climatology, andGeophysics (BMKG) and GFZ Potsdam for providing seismogram data used in thisresearch.

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Sciences, 19, 453– 479.
Sandwell, D. T., and Smith, W. H. F. (2009). Global marine gravity from retracked Geosat and ERS‐
1 altimetry: Ridge Segmentation v. spreading rate, Journal of Geophysical Research, 114,
B01411.
Savage, M. K., Wessel, A., Teanby, N. A., and Hurst, A. W. (2010). Automatic measurement of shear
wave splitting and applications to time varying anisotropy at Mount Ruapehu volcano,
New Zealand, Journal of Geophysical Research, 115, B12321.
Shulgin, A., Kopp, H., Mueller, C., Lueschen, E., Planert, L., Engels, M., Flueh, E. R., Krabbenhoeft, A.,
and Djajadihardja, Y. (2009). Sunda–Banda arc transition: Incipient continent–island arc
collision (northwest Australia), Geophysical Research Letter, 36, L10304.
Silver, P. and Chan, G. (1991). Shear wave splitting and subcontinental mantle deformation,
Journal of Geophysical Research, 96, 16,429–16,454.
Syuhada, S., Hananto, N. D., Abdullah, C. I., Puspito, N. T., Anggono, T., and Yudistira, T. (2016a).
Crustal structure along Sunda‐Banda Arc Transition Zone from Teleseismic receiver
functions. Accepted Acta Geophysica
Syuhada, S., Hananto, N. D., Abdullah, C. I., Puspito, N.T., Anggono, T., Yudistira, T., and Ramdhan,
M. (2016b). Crustal Anisotropy along the Sunda‐Banda Arc Transition Zone from Shear
Wave Splitting Measurements. Submitted Journal of Geodynamics.
Syuhada, S., Hananto, N.D., Abdullah, C.I., Puspito, N.T., Anggono, T., and Yudistira, T. (2016).
Study on 2‐D Crustal Shear Wave Splitting Tomography along The Sunda‐Banda Arc
Transition Zone. Accepted Southeast Asian Conference on Geophysics
Teanby, N. A., Kendall, J. M., and van der Baan, M. (2004). Automation of shear‐wave splitting
measurements using cluster analysis, Bulletin of the Seismological Society of America, 94,
453–463.

16

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic: Disaster Management

Identification of Area Prone to Multi Hazards using RemotelySensed Data ‐ Case in Lowland Area of Kulon Progo, Yogyakarta,
Indonesia
DisplayText cannot span more than one line!
aResearch Centre for Disaster, Universitas Gadjah Mada, Yogyakarta 55281, Indonesia
bFaculty of Geography Universitas Gadjah Mada, Yogyakarta 55281, Indonesia
cFac. of Math. and Nat. Sciences Universitas Gadjah Mada, Yogyakarta 55281, Indonesia

Abstract
This research was carried out in the lowland area of Kulon Progo Regency, Yogyakarta
Special Region, Indonesia. It is aimed to identify several natural hazards potential by using
Unmanned Aerial Vehicle (UAV) developed by “Kelompok Riset Dirgantara” (Aerospace
Research Group) Universitas Gadjah Mada. Visual interpretation was conducted toanalyze the landform characteristic related to the specific hazard. Descriptive analysis
was carried out by using landform as analysis unit. It is assumed that different landform
will reflect different hazard potential and each landform possibly has more than one
hazard. Provisional results on image analysis show that lowland area in the research area
can be distinguished in to several landforms. Based on the genetic, it can be classified tolandform of marine origin and fluvial origin. From the shoreline to the hinterland,
landforms can be differentiated such as beach, beach‐ridge and swale complexes, alluvial
plain, floodplain, and lagoon. Each landform potentially has multiple hazards, for instanceearthquake, tsunami, flooding, marine erosion and strong wind. The level of multi hazards
is varied for different landform. Further analysis is needed for determining level of risk tomulti hazards, i.e. by including vulnerability and capacity factors. By doing so, the results
can be used as a disaster risk management basis.

Keywords

Multi hazards; UAV; lowland area; landform; risk management

1. Introduction
Based on the natural condition, Indonesia is prone to multi‐hazards event, bothgeophysical and hydro‐meteorological hazards. Almost all natural hazard types can befound in this country, such as earthquake, tsunami, volcanic eruption, landslide, flood,
drought, and forest fire. If such hazard affects human life, it will result in disaster. Disastercan occur anytime and anywhere, it may happen either in the urban or rural areas.
* Corresponding author. Tel.: +62‐812‐271‐5091; fax: +62‐274‐548812.

E‐mail address: djati.mardiatno@ugm.ac.id17

According to National Disaster Management Authority (BNPB), Yogyakarta Special
Region (DIY) area, including Kulon Progo Regency, is categorized at a high susceptibility
to disasters. Coastal area as a part of lowland area in Kulon Progo can be called as aquaternary landscape (Santosa, 2014). This area consists of quaternary alluvium
dominated by sandy materials. As shown in Figure 1, the coastal area is located between
7º53'18" to 7º59'00” South Latitude and 110º0'00" until 110º14'00" East Longitude.
Geographically, this coastal area is situated adjacent to the subduction zone between the
India‐Australian plate and the Eurasian plate in Indian Ocean. This subduction zone may
potentially result in tectonic earthquakes that potentially generating a tsunami.
Tsunami can be caused by the earthquake on the seabed resulting rise in sea waves
quickly and suddenly. Although this area in recent years are not directly affected by thetsunami that hit the southern coastal area of Java, there is a tsunami that potentially hit
along the south coastal area of Kulon Progo. Last tsunami in 2006 from Pangandarancould reach this location, affected mostly in Temon district.
On the other hand, this lowland area also has been potentially inundated by floodingin the South–East, because the river overflow here sometimes result in a pool of water.
This event happened in several districts, such as in Sentolo (caused by overflow of Sungai
Papah) and Nanggulan area, due to Keso river overflow (Bappeda DIY, 2007). Water
overflowing rivers especially inundated paddy fields.
The variety of potential hazards exist in these areas is very important to beconsidered as the input in spatial planning (Mardiatno et al, 2016b). Furthermore, thisarea has been selected as the location of regional mega project such as Fish Port ofTanjung Adikarta, Iron Ore Mining and Processing Plant, and the New Yogyakarta
International Airport based on the Regional Regulation No. 1 Year 2012 on Regional
Spatial Planning of Kulon Progo Regency Year 2012‐2032. Thus, it is necessary to promote
the principles of appropriate mitigation as well as disaster risk reduction in case ofdisaster occur in this area.

Figure 1. Overview of the lowland area of Kulon Progo

18

Aerial Photographs by utilizing air vehicle UAV has become a trend and growing in
the world of photography. Its use is growing to coastal area and maritime field of study.
Data from aerial photographs has become an important data source for further analysis
in the maritime world, including for disaster studies. Coastal and maritime information
extraction can also be done by optimizing small format aerial photography.
Based on the previous explanation, this research is aimed to identify several natural
hazards potential by using Unmanned Aerial Vehicle (UAV) developed by “Kelompok
Riset Dirgantara” (Aerospace Research Group) Universitas Gadjah Mada. According toHarintaka (2009) and Mardiatno et al (2016a), the air photo has an advantage in fasterdata acquisition, cheaper operating costs, and equipment readily available for use of non‐metric cameras. Aerial photo has a high spatial resolution, but it has a weakness ingeometric distortion, so that it is necessary to correct geometric data prior to use it. The
development of vehicle (UAV) and the camera used for capturing photos is also growing
rapidly.

2. Method
UAV Gama‐2 was used as a main instrument for landform data acquisition from theair. The camera installed in UAV for capturing photos is the Single Lens Reflection (SLR)
camera with a 35 mm format. The focal length of the lens will be associated with an areaof coverage recorded by the camera. The longer the lens, the focal area of coverage will beeven greater.
Flight plan determination is one of the processes in taking aerial photographs.
Making flight plan should cover the whole of the area to be photographed taking into
account both the efficiency and safety of the operator, the tool of UAV and everything thatexists in the area of the subject. Several following factors were considered in determining
flight plan: end laps and side laps between 60% and 70%, focal length and the sensor for
maintaining photo quality, photo scale and fly height, and roaming capability as well as
wind direction.
After making a complete flight plan, the next step is setting up the UAV that will be
carried out to take aerial photographs. To control the UAV aircraft, supporting equipment
were connected to the aircraft. Ground station was put on “Set Home” flight area. One
laptop with the Mission Planner (APM Planner) software was utilized for this purpose(Figure 2).

Figure 2. Ground station used for this research

19Flight plan was fit to the coverage area, the best roaming capabilities and image
resolution that will be generated (see Figure 3). For this research purposes, photo
resolution is 5cm/pixel, resulted by the comparison analysis between the sensor
capability and 200 meters flying height above ground level.

Figure 3. Flight plan illustration

After flight plan was decided, the next step was determining the coverage area tobe photographed followed by the flight grid marking and calculating end lap, side lap,
flight height, image resolution and camera sensor capabilities. Finally, UAV was flown andcaptured aerial photographs in accordance with the flight plan decided previously.
Descriptive analysis through photo interpretation was conducted by using
landform unit as the analysis unit. To obtain landscape information using aerial
photographs, remote sensing imagery interpretation key were applied. Key image
interpretation helps to identify objects on aerial photographs. Elements of image
interpretation consists of color, hue, shape, size, shadow, websites, associations andpatterns. Land use also can be used as an indicator for landform interpretation if
morphological features are not easily differentiated. This is a true since landform in thelowland area sometimes express homogenous morphology only.

3. Results and Discussions
Aerial photos recorded from camera installed in UAV are 352 photos. Processing of
aerial photos into a photo mosaic by doing some of the steps being taken automaticallyusing photogrammetric software. These stages include conversion of photos into a point
clouds, followed by simplification the point cloud into a dense cloud (become finer point),
and then merge into a mesh cloud dense. After these phases, the next following step was
creating mosaics and texturing.
When a collection of photos has presented into a photo mosaic, it is only known
coordinates of the model. The model coordinate then was converted into groundcoordinates, i.e. data corresponding to the position in the field. For this purpose,
rectification by using GCP (Ground Control Point) in the aerial photo is needed. After
geometric correction was conducted, images have been corrected properly. The
photomosaic can be used for further analysis such as visual identification of objects orfeatures. Figure 4 shows the photomosaic of the research area.
The results of aerial photography using SLR camera produce good images in a good
air condition. Several information can be obtained from photomosaic data such as
information on beach morphology and morphometry beach. Other useful information is20

land use, which might be used for multipurpose analysis, e.g. to support landform
interpretation analysis.

Figure 4. Photomosaic of the coastal lowland area of Kulon Progo

Based on the visual interpretation results, landforms in the lowland area genetically
can be classified into marine and fluvial origin. They potentially have multiple hazards,
either collateral or simultaneous (Mardiatno et al, 2016b). The coastal alluvial plain (oralluvial coastal plain) directly face to the subduction zone in the Indian Ocean. Fromgeomorphology point of view, landscape of the coastal area is located in the twoenvironments, namely the coastal environment with beach ridges‐swale complex unit
(partly covered by sand dunes) and the coastal environment dominated by beachlandforms which has morphological beach cusps.
Mardiatno et al (2015) explained that coastal area is a dynamic system which has
an important value as a natural environment. The research area has not only good
resources potential but also hazard potential. Coastal area as a strategic location of humanactivity center and settlement is a prone area to coastal hazards, such as tsunami andmarine erosion. Tsunami run up in this region can exceed 10 meters, although the average
run up is about 3 meters. The existence of specific features such as mangroves, sanddunes, lagoons, and beach ridges can be used as a protective measures against tsunami
threat. Settlements and objects located behind these formations are relatively safe fromthe tsunami if the run‐up height is still below the elevation of these formations.
Potential flood hazard in Kulon Progo is more common in riparian area of Progo,
Serang, and Bogowonto River (Bappeda DIY, 2007). Flood events mainly occurred in thefloodplain and flood terraces. It can also potentially happen in the alluvial plains andbackswamps or marshes located behind beach ridges formation, because runoff may beblocked by beach ridges features. Flooding is usually caused by the overflow of river waterat the beginning and middle of the rainy season when rainfall intensity above average or
rainfall occurs with a long duration.
The area along the Progo River should be considered as the earthquake source
because the river morphology is formed by faulting process. If earthquake happen with
its epicenter near the fault zones of Progo River and its magnitude is strong enough, thisfault can also be activated as Opak‐Oyo pathway in 2006 earthquake, which results in high21

level of damages. This tectonic earthquake can be deadly and potentially destroy manybuildings or infrastructures that may result in many casualties.
According to the previous explanation, it can be argued that there is a relationshipbetween landforms and potential hazards within the landforms. Landform information isa starting point or key to analyze the hazard potential. Table 1 shows the landform units
variation in the research area and their relationship with hazards potential.
Table 1. Landforms and Hazard Potential Types
No
1
2
3
4
5
6
7
8

Landform Unit
Beach ridge‐swale complex
Mature Beach Ridge
Young Beach Ridge
Old Beach Ridge
Alluvial Plain
Coastal Alluvial Plain
Sand Dunes
River Basin and terraces

Hazard Potential
Flood, Earthquake
Tsunami, Earthquake
Tsunami, Storm Surge, Marine erosion
Flood, Earthquake,
Flood
Flood
TsunamiFlood

From aerial photos, it is also possible to identify the detailed morphology.
Furthermore, elements at risk as the objects for vulnerability analysis also can becollected. Figure 5 shows the examples of landform features and several elements at risk
acquired from aerial photograph data.

Figure 5. Examples of detailed landform features and elements at risk

Land use can also be used for differentiating landform. Since coastal area sometimes
reflects quite similar morphology, it is necessary to use other key features, in this caseland use. Figure 6 indicates that land use sometimes is very useful to delineate landformfrom air photos.

Figure 6. Example of land use as an alternative indicator to differentiate landform

22

Other features can be acquired for vulnerability analysis. Vulnerability is an
important factor for disaster risk analysis purpose. Figure 7 illustrates the element at risk
(shrimp ponds) as a vulnerable object to potential coastal hazards such as tsunami andmarine erosion.

Figure 7. Example of shrimp pond as a vulnerable object to tsunami and marine erosion

Further analysis is necessary for risk assessment, especially for the analysis related
to the realization of new airport in this location (Figure 8). Refer to Paripurno et al (2015),
even only for tsunami, risk level in the planned area for airport and its surrounding will
increase in line with the rising of element at risk value. The people exposure can be morethan 1000 times and total loss will be more than 200 times.

Figure 8. Sketch of the New Yogyakarta International Airport location

Based on the spatial theory, airports, ports and factories is commonly recognizedas CBD (Central Business District) that can stimulate the development of other sectors,
especially the road network. It has been proven by the government's commitment to JJLS
(Southern Roadway) development. JJLS construction is planned for completion in 2019,
which is expected to facilitate and stimulate the development of Kulon Progo Regency andsurrounding areas. The road network construction is a first step in the regional23

development. Road network is an important aspect in developing of an area, where easeof distribution of goods and the mobility of the population is highly influenced thedevelopment rate of the region. If there is no right preparation to anticipate the potential
multi hazards event in this area, the possibility of loss will be very high.
Disaster risk reduction paradigm is a disaster management planning which
integrates scientific and practical view and also considers physical, social, economic, andpolitical factors. It is directed to increase all stakeholder’s capability and awareness tomanage the multi hazards potential in this region. The implementation of suitable disasterrisk reduction efforts in the lowland area must consider the socio‐economic factor, local
wisdom, environment sustainability, effectivity and efficiency, and also complexity of thearea itself.

4. Conclusions
The research area has potentially multi hazards event, either collateral or
simultaneous. Land use can be used as a key features to differentiate landforms as ananalysis unit in the lowland area. UAV offers a more detailed spatial terrain data which isvery useful for multi hazards analysis. It also provided other useful spatial data to support
further analysis such as vulnerability and risk potential. Disaster risk reduction
alternatives must take into account the potential multi hazards event and other factors
influencing the risk reduction actions.

Acknowledgements
This paper is part of the research titled “The development of Unmanned Aerial
Vehicle‐UAV GAMA for Regional Monitoring within the Frame of Maritime State Insightand National Independent” (in Bahasa: Pengembangan Potensi Teknologi Pesawat Udara
Tanpa Awak UAV GAMA untuk Monitoring Wilayah dalam Kerangka Wawasan Negara
Maritim dan Kemandirian Bangsa). The authors thank to the Directorate General of Higher
Education Ministry of Research, Technology and Higher Education for the second year
(2016) grant of the research and to support this paper writing.

References
Bappeda DIY. (2007). Penyusunan Profil (Hazard, Vulnerability, dan Risk), Pemetaan Wilayah
Rawan Bencana dan Penyusunan Rencana Aksi, Laporan Akhir, Pemda DI Yogyakarta,
Yogyakarta.
Harintaka (2009). Small Format Aerial Photography dan Small Format Aerial Photogrammetry:
Kajian Sistem,Distorsi dan Produknya. In Proceedings of Simposium Nasional Sains
Geoinformasi I, Fakultas Geografi UGM, Yogyakarta.
Mardiatno, D., Sunarto, Rahayu, L., and Malawani, M.N. (2015). Potensi Risiko Bencana Kepesisirandi Wilayah Kabupaten Bantul, Daerah Istimewa Yogyakarta. In Proceedings of Konferensi
Nasional Forum Perguruan Tinggi untuk Pengurangan Risiko Bencana (KN FPT‐PRB 2015),
Surakarta, Indonesia.
Mardiatno, D., Khakhim, N., and Priyambodo, T.K. (2016a). Identification of Flood‐prone Area Using
Remotely Sensed Data‐Case in Tanjung Selor City, North Kalimantan. In Proceedings of IEEE
International Conference on Aerospace Electronics and Remote Sensing Technology(ICARES 2015), Denpasar, Indonesia. DOI 10.1109/ICARES.2015.7429823.
Mardiatno, D., Susmayadi, I.M., Faizah, M., Mustofa, U., and Ahmad, D.N.A. (2016b). Multi Multi‐
hazards Analysis Based on Landscape Approach in the Area of Yogyakarta New Airport Site
Plan. In Proceedings of the 8th International Graduate Students and Scholars’ Conference inIndonesia (IGSSCI 2016), Yogyakarta, Indonesia.

24Paripurno, E.T., Nugroho, A.R.B., Wicaksono, A.P., Pradana, G., and Nugroho, N.E. (2015). Kajian
Peningkatan Risiko Bencana Tsunami di Pantai Selatan Kulon Progo‐Yogyakarta. In
Proceedings of Simposium Nasional Mitigasi Bencana Tsunami 2015 (SNMBT 2015), Banda
Aceh, Indonesia.
Santosa, L.W. (2014). Keistimewaan Yogyakarta dari Sudut Pandang Geomorfologi, Gadjah Mada
University Press, Yogyakarta.

25

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Urban Environment

ANALYSIS OF STREAM AND RESIDENTIAL AREA PROTECTION
CASE STUDY: TEMBAGAPURA, PAPUA
Toha Saleh*
Civil Engineering Department, Universitas Indonesia, Depok 16424, Indonesia

Abstract
The problem with residential area such Tembagapura, which close to river that has
steep slopes and fluctuated intensity of rainfall, is that flood might occur during rainyseason while in the dry season the area is lack of sufficient water supply. This conditionand situation normally can be solved by constructing a dam to control the discharge andmanage the expected quantity of water. However, the geological condition of the area
has also contributes to the flood with large amounts of debris (and sometimes boulders)which carried onto downstream area and caused damage to residential infrastructures.
This study is conducted to find suitable approaches to decrease flood velocity which
implicates in reducing the peak flood discharge and momentum to transport debris andboulder, as well as give assurance of safe water passage. The analysis is done byiteration in reducing river bed slope to get stable regime, at the same time protect theresidential area from excess debris, and normalize the river at selected sections andcritical banks. The result suggested installation of series of check dams to trap debris
material and use it to build mild bed slope, along with providing sufficient channel
capacity to convey at least 50 year flood return period, with additional consideration ofusing dolos and gabion to stable the river banks.

Keywords

Flood control; stream protection; debris transport; check dam

1. Introduction
In order to have a sustainable and safe urban area, the local government needs toaware of any possible threat that might occur in the region. Many fast‐growing world
populations are living in urban areas, and this is only expected to grow more in the
coming decades (USAID, 2001). Most of the urban areas are exposed to natural hazards,
such as flooding, storms and land‐subsidence depend on their location. Urban areas also
have a varying degree of vulnerability; depending on the level of development, thecoping capacity and the effectiveness of risk reduction strategies that have been
implemented.
* Corresponding author. Tel.: +6221‐727‐0029; fax: +6221‐727‐0028.

E‐mail address: toha@eng.ui.ac.id26

Beside flood, in the area which surrounding by steep slopes and has fluctuatedintensity of rainfall, the threat could come in the form of debris flow. The debris flows
can be triggered by intense rainfall, by dam‐break or by land‐sliding that may or may not
be associated with intense rain. In order to prevent debris flows reaching property andpeople, a debris basin, such sabo dam, may be constructed. Debris basins are designed toprotect soil and water resources or to prevent downstream damage. Such constructions
are considered to be a last resort because they are expensive to construct and requirecommitment to annual maintenance (FWS, 2013).
This study gives an example of stream and residential area protection where floodwith debris flow often occur in rainy season, together with a strategy to manage safe
water passage and obtain sufficient fresh water as city water supply during the dry
season.

2. Study Area
The study area is the Tembagapura Town which located in Mimika Regency,
Papua Province, Indonesia (see figure 1). The town is situated on a high land area by theheight between 2000 and 2400 meters above sea level, surrounded by hills and has two
main rivers with many streams in the upstream part.

Figure 1. Tembagapura Town Site Area

2.1.

Hydrological condition

From the rainfall records, Tembagapura has maximum monthly rainfall about 550
mm during September to October, while reached only about 330 mm in June. The rangeof number of rainy days is between 11 to 30 days throughout the month. The Intensity‐
Duration‐Frequency (IDF) curve from 2013 record is shown in figure 2.
Catchments in Tembagapura are divided into two sub‐catchments which surface
water flow directly through two rivers, namely Mulki River and Uteki River. Mulki sub‐catchment has area about 3.82 km2 and Uteki sub‐catchment has about 7.46 km2. Bothrivers flow towards western part of the region and merged in downstream area as Banti
River (figure 3). Those rivers have a high discharge only in the rainy season while in the27dry season they have a small discharge so that they cannot fulfill fresh water needs for
Tembagapura town.

Figure 2. IDF‐Curve of Tembagapura (2013 records)

Mulki sub-catchment(3.82 sqkm)

Banti River

Uteki sub-catchment(7.46 sqkm)

Figure 3. Two main catchment areas of Tembagapura

2.2.

Geological condition

The geological condition of Tembagapura town site consists of predominantly
moderate to complete weathering, red and green mudstone and siltstone inter‐beddedwith fresh to moderate weathering, red, green and white sandstone and minor
conglomerate. These rocks are classified as a part of the Tipuma Formation and Kopai
Formation (figure 4) which have metamorphosed.

28

Kopai
Formation

TipumaFormation

Figure 4. Geological map of Tembagapura site

The Tipuma and Kopai Formations are defined by Visser and Hermes (1962) andhave been described in detail by geology investigation. The interpretation of aerial
photograph and direct mapping has succeeded in categorizing the slope range and its
characteristics as well as the distribution of landslides. The correlation among
distribution of landslide and slope range is also shown in table 1 below. It has been
identified that the landslides often occur at the slope range between 30% and more than70%.
Table 1. Slope range and its characteristic29

3. Methodology
As mentioned earlier that the objective of the study is to find suitable approaches
to decrease flood velocity and anticipating the transport debris in the area, as well asgive assurance of safe water passage. There are 3 main goals of the analysis withdifferent approach for each purpose. Figure 5 describes the methodology used in theanalysis.

Figure 5. Methodology of the study

For the first purpose, the analysis is done by iteration in reducing river bed slope
to get stable regime; this will decrease the flood (water) velocity and lower the peakdischarge. Where this can also reduce the momentum to transport boulder brought
down the stream during flooding.
The second purpose has strong relation to the first one since the reduced
momentum will protect the residential (urban) area from excess debris and boulder.
The possible approach would be constructing a debris dam or known as sabo dam.
The third purpose will give assurance of safe water passage by normalize thoserivers at selected sections and protect any critical banks. To do so, an estimation of 50
years return period of design flood has been set.

4. Results and Discussion
4.1.

Reducing bed slope for stable regime

The two rivers, Mulki and Uteki, have similar regime and stream characteristics,
but the slope in the Mulki catchment has steeper slope than the Uteki catchment. Figure
6 shows the cross‐section of each river, where both rivers has slope average more than20%.
The slope is stabilized using check dams along the cross‐sections iteration has
been done to obtained proper distance and space. Check dams are constructed acrossthe gully bed to stop channel and lateral erosion. By reducing the original gradient of thegully channel, check dams diminish the velocity of water flow and the erosive powerof run‐off (FAO, 2009). Run‐off during peak flow is conveyed safely by check dams.
Temporary check dams, which have a life‐span of three to eight years, collect and holdsoil and moisture in the bottom of the gully.
30

To obtain satisfactory results from structural measures, a series of check dams
should be constructed for each portion of the gully bed. Because they are less likely tofall, low check dams are more desirable than high ones. Check dams may also be
combined with retaining walls parallel to the gully axis in order to prevent the scouring
and undermining of the gully banks.

Figure 6. (a) Uteki cross‐section, (b) Mulki cross‐section

Stabilized watershed slopes are the best assurance for the continued functioningof gully control structures. Therefore, attention must always be given to keeping thegully catchment well vegetated. If this fails, the structural gully control measures will failas well. Figure 7 shows the typical check dams constructed along the channel.

Figure 7. Check dam dimensions in longitudinal section: height ( H ), horizontal distance between two dams ( D ),slope gradient of gully bottom ( S b ), slope gradient of line connecting spillway and foot of upstream check dam ( S n ).
Between the dams on the left, S n has a negative value (reverse slope) (Source: Nyssen, J; 2006)

4.2.

Protection against debris flow and boulders

To protect the area against debris flow and boulders, after the regime has beenstabled, a Sabo dam will be constructed to capture and hold the debris and boulders.
Based on the natural function of Sabo dam, the height of the main dam will bring a result
for the stabilization of the river’s slope in this specific area where the dam is planned to
be built. There will be possibilities where the height obtain from the design will behigher than the existing cliff. Therefore, if it does happen, the height of the main dam willreflect with the height of cliff. Follows are some calculation example to obtain proper
dimension of proposed dam.

31

Geometric properties of the river:• Baseflow elevation on the downstream of the Sabo Dam River• Elevation of the cliff
The slope is determined with this equation below:: 2044.5 m: 2054.2 m,

Where:
Is
d
g
b
n
Qd

(1)

.

= slope of the river= the river bed debris’ diameter (m)= acceleration due to gravity (m/s)= the width of the river (m)= Manning coefficient= Discharge of the river (m3/s)

Then using equation (1): Is =

,

.

,

,

.

= 0.00089 = 0.089

Considering the height of the cliff’s right side is +2054.24 m, the height of the dam
is determined with this equation below:
The height difference of the cliff and the river bed = 2054.24‐2044.5 = 9.74 m
The dam height must be below from the cliff’s height where the dam height isdetermined to be 6.34 m.

Figure 8. Sketch of the height of Uteki main dam

Main dam’s width design:This equation below is used to determine the width of the main dam
0,7
Where:
B= the width of the river bed (m) = 10 m
B1
= the width of the spillway (m)(2)

From the equation (2), the width of the spillway is determined to be 7 m
B1 = 7 m

Figure 9. Sketch of the width of Uteki main dam

Spillway height design:
Flow rate which passes through the spillway is quantified by this equation below:
32

2Where:
Qd
Cd
g
B1
B2
M
hw

2

3

(3)

= Discharge of the river= Discharge coefficient (0.6 – 0.66)= Acceleration due to gravity= 9.8 m/s2
= the width of the spillway (m)=7m= the width of the upper spillway (m) = (B1 + 2m.hw)= spillway slope= water level (m)then using equation (3):80

0.66 2.9,8

3.7

2 7

2.1.

After the equation being executed, there is only one variable undefined which canbe determine by using trial and error test. The result shows that B2 is 12.6 m.
Free board design:
The function of the free board is to avoid water to be over‐spilled into side of theriver. Free board is determined based on the flow‐rate of the river. From the calculation,and based on the design rainfall, the free board height is obtained about 0.6 m.
Thickness of main dam spillway:
The thickness of the spillway must reflect from the stability and the probability of
impact caused by the debris. The thickness is determined to be 4 m.
Depth of dam sub‐structure:
This equation below is used to determine the depth of the dam structure
Hp=(1/3 s/d ¼ ) (hw + hm)
Where:
hw= water level above spillway= effective height of the main dam
hm(4)

Therefore from the equation (4) it could have two different value of Hp which is:1). Hp =(1/3) (hw + hm); where Hp = 3.047 m
2). Hp =(1/4) (hw + hm); where Hp = 2.285 m
From the results can be obtained that Hp value is in range between 2.285 ‐ 3.047
m, where in this design the average value of Hp is 2.5 m.
Slope of the main dam design:
The slope of the main dam is designed for avoiding an intense impact fromupstream’s debris because it might cause bigger damage into the dam and ignite an
abrasion problem in downstream of the dam. Other than that, the slope will give a big
influence to the stability of the main dam.
Downstream slope of the dam is based on the material and the critical velocity that
passing through the spillway and free falling on the apron floor. The downstream slope
is determined with ratio of 1:0.2.
33

Apron design:
We obtain that the length of the apron is 18.97 m therefore we could even thenumber and use 21 m as the length of the design.
hm = 2,8m

hm = 6,34m

Hj =2,92 m
H2 = 2,5m

hm = 2,5m

Figure 10. Uteki Dam and Apron Sketch

From overall calculation that has been conducted, the design of Sabo dams of
Mulki River and Uteki River are typical. Below are proposed designs for Sabo dam ineach river.

Figure 11. Proposed Sabo dam for Uteki River

Figure 12. Proposed Sabo dam for Mulki River

34

4.3.

River normalization

Normalization of both rivers could be done by removing sediment deposited along
the stream, place dolos/coarse materials at the toe of the river bank and the fix eroded
areas above to protect surrounding infrastructures (road, bridge and barracks). It is also
necessary to remove large boulders in the upstream part which might triggered to be
swept away when the peak discharge occurs.
Normalization can be done using existing natural rocks arranged according to theregime (figure 13 a) and in more flat areas, it can be proposed using the vertical gabions
along the river side or embankment as shown in figure 13 b.

(a)

(b)

Figure 13. (a) Normalization using natural rocks, (b) Normalization using vertical gabions

5. Conclusion
This study has shown approaches to decrease flood velocity which implicates in
reducing the peak flood discharge, reduce the momentum of debris transport, anddesign normalization of rivers to give assurance of safe water passage.
Reducing river bed slope to get stable regime will have impact to the protection
the residential/urban area from excess debris and boulders. Installation of series ofcheck dams to trap debris material and use it to build mild bed slope, along with
providing sufficient channel capacity to convey at least 50 year flood return period, withadditional consideration of using dolos and gabion to stable the river banks.
It is also suggested to normalize the river at selected sections and critical banks.

Acknowledgements
A sincere gratitude to Mr. Soeryantono for the guidance, also to Mr. Achdiana andall supporting team who contributed to this study.

References
Knight, D. W., and Samuels, P. G. (Eds) (2003) River Basin Modelling for Flood Risk Mitigation.
Proceedings of an EU Advanced Study Course on River Basin Management, Birmingham, Oct
2002.
Nyssen, J. et.al. (2006). The Effectiveness of Loose Rock Check Dams for Gully Control in
Tigray, Nothern Ethiopia. Soil Use and Management 20(1): 55 – 64.

35

U.S. Fish & Wildlife Service (FWS). (2013). "Debris Basins". Retrieved 30 January 2013
USAID,
2001,
MakingCitiesWork:
USAID’s
Urban
Strategy.
http://www.makingcitieswork.org/files/docs/MCW/MCWurbanstrategy01.pdf
Visser, W.A., and Hermes, J.J. (1962). Geological Results of the Exploration for Oil in Netherlands
New Guinea; Koninkl. Netherlands Geol. Mijnbouw Genoot., Verh., Geol. Ser., v.20, spec no.
265 p.
https://en.wikipedia.org/wiki/Debris_flow
http://www.fao.org/docrep/006/ad082e/AD082e02.htm

36

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Topic : Disaster Management

Vulnerability of Volcanic Ternate Island: Towards Ecosystem
Based Disaster Risk Management
Dyah Rahmawati Hizbarona*, Estuning Tyas Wulan Meia*, Arry Retnowatia*, Desy
Wahyuning Tyasa*, Muh. Aris Marfaia*aFaculty of Geografy, UGM, Yogyakarta, Indonesia 55281*DREAM Project of Community Resilience andEconomic Development Programme, UGM

Abstract
Ternate is a volcanic island amongst North Moluccas Island, which belongs to North
Maluku Province. It is a volcanic ecosystem island centered on Gamalama Volcano. The
island and its inhabitants are prone to volcanic eruption; hence vulnerability studies are
essential for this area. This study applied vulnerability assessment using Indonesian
Disaster Management Board standard regulation known as Regulation of (Peraturan
Kepala) BNPB No. 2/2012 about risk assessment. There are four vulnerabilities assessed
namely economic, social, physical/infrastructure, and environment vulnerability.
Weighting method is implemented on each vulnerability score, where social
vulnerability considered as the highest weighting factor. Environment vulnerability is
the lowest weighting factor in consideration that environment suffered less compare toother element at risk. Based on the calculation, the highest vulnerability is in the urban
area while the rural area less vulnerable. As volcanic ecosystem based island, Ternate
inhabitants depend on their ecosystem services to support their livelihood. Therefore,
this study argued and proposed to apply ecosystem based disaster risk management
upon Ternate as volcanic island to minimize its vulnerability.

Keywords
Ternate; volcano; vulnerability; ecosystem; Ternate; Indonesia

1. Ternate island and its volcano
Ternate island is located administratively in North Maluku Province, Indonesia. Its
island is formed by Gamalama volcano activities and lied above a low angle subduction
zone of Sangir and Halmahera arc (Hamilton, USGS Prof. Paper., 1979) (see Figure1).
The activity of plate tectonic surrounding North Maluku islands, including Ternate,triggers earthquake occurrences and volcano eruption when Gamalama is in the active
level (Hendrayana, et al. 1996).
Ternate inhabitants' activities mostly rely on the natural resources nurtured byvolcanic materials. The island was well known as the spices island during Dutch
government colonialism in the 1800s ‐ 1900s. The spices trail still can be found,particularly in the northeast to northwest of the island. Agriculture activities rely
basically on the volcanic ecosystem of Gamalama. After the 2011 eruption and lahars* Corresponding author. Tel.: + +62 81931 445980, fax: +62‐274‐6492340

E‐mail address: dyah.hizbaron@ugm.ac.id37

floods, sand and gravel mining occur in several river outlets. Due to its historicalbackground as center of spices trade, Ternate Island contributes to the development ofNorth Mollucas island in term of distribution of goods and services to Sofifi, the capitalcity.

Figure 1. Ternate Island (see red square) and its surrounding tectonic plate

Gamalama volcano is one of five volcanoes in North Maluku Province, which is stillin active phase. The last eruption was in 2015 and shut down local airport for several
days due to its volcanic ashes. Transportation accessibility in Ternate rely not only on
air transportation, it also make use sea transportation as secondary option (Ternate
Spatial Plan, 2012‐2032). There are at least three main ports in Ternate which support
the inhabitants' and visitors mobile accessibility when the air transportation close due
to Gamalama eruption.
Ternate Island is basically the volcano itself. Gamalama eruption in 1980s once
forced inhabitants in the north part area to evacuate to closest island namely Tidore andHiri Island. Since then, there was no adequate record of eruption that imposed people toleave their village and the main island.
This study aims to analyze vulnerability of the island towards volcanic eruption.
The method proposed highlights Indonesian National Disaster Management Board on
vulnerability assessment Perka BNPB no. 2/2012, which applied analytic hierarchy
process (AHP). In more details, this study targeted ecosystem based disaster risk
reduction application to minimize vulnerability in the area.

38

2. Hazard and vulnerability of Ternate Island
2.1.

Volcanic Hazard of Gamalama

Ternate island is one of insular isles in North Maluku Province which prone tovolcanic eruption and lahars, earthquake, and coastal hazard. The island has two
different characteristics, due to physical features and social economic characteristics,
namely northeast to northwest part of the island that shows rural activities, and thesoutheast that more urbanized area. Based on the hazard zone map published by the
volcanology agency (Baharudin, 1996), the rural area is prone to volcanic eruption
rather than the urban area. Hazard zone map of Ternate Island due to Gamalama
eruption is published by Indonesian Center for Volcanology and Geological Hazard
Mitigation (CVGHM) can be seen in Figure 2. Based on Disaster Management Board
regulation Perka BNPB no. 2/2012, Ternate Island 3rd hazard zone is scored 1; 2nd hazard
zone score 0.66; and 1st hazard zone score 0.33. The value of each score is based on its
potential damage.
Landscape of the northwest part of Ternate Island is steeper than the northwest to
southeast part where central business activities take place and grow in the lower area.
The volcanic risk becomes the first concern in the research because in 2012, CVGHM
stated that all of volcanoes in North Maluku, except Kie Besi Volcano, were on active
level. One of the active volcanoes was Gamalama Volcano (1,715 m, located in Ternate
Island, the most densely populated district in North Maluku – more than 200,000
inhabitants in 111,39 km2). They are relations between volcanic phenomenon andelements at risk (Bignami, et al., 2012).

Figure 2 Ternate island hazard zone (see the different color of each zone)

2.2.

Vulnerability of Ternate island

The volcanic hazards are the cause of major negative impacts on the ecology,
natural resources degradation, infrastructure damage, and they also impacted
agricultural activities (Hadmoko et al, 2010). The rural people of Ternate island through39

generations has developed on local knowledge to "read the sign" of Gamalama activities
with volcanic ash as the main hazard. However, in 2011 eruption, local people and thegovernment experienced the lahars flood as secondary hazard and become disaster
when victims recorded that time.
This study apply vulnerability parameters based on Head of BNPB regulation
number 2 issued in 2012 about risk assessment with some adjustment due to Ternate
island characteristic. There are economic, social, physic, and environment vulnerability
which then weighted to get vulnerability index in total (see Figure 3). Each component
consists of several indicators, for example social vulnerability consist of population
density and social awareness. Some indicators need to be adjusted to data availability.
The calculation is based on scoring and weighting factors for each vulnerability
indicators.

Figure 3 Total vulnerability components (Perka BNPB no. 2/2012)

2.2.1.

Economic vulnerability

This study adjusted the economic vulnerability assessment using threeparameters, namely width of productive land (cultivation), gross product value, and thelost of livestock. Livestock is considered important to be valued due to number offarmers potentially suffered from the lost of cattle and poultry. These rural activities
mostly occur in the northern part of the island, whilst in the southern part, economic
activities mostly dominated by trade and services as urban area. As consequence, thescoring and weighting calculation result shows that the rural area, Pulau Ternate sub‐district economic vulnerability is the lowest. Ternate Utara sub‐district, where theairport located at, is high vulnerable economically. Figure 4 shows economic
vulnerability of Ternate Island.

40

Figure 4. Economic vulnerability of Ternate island

2.2.2.

Social Vulnerability

Social vulnerability components in this study basically is demographic factors,
there are population density, sex ratio, and age ratio. No recoded data available forpoverty and disabled people from Ternate statistic data (Ternate in figure 2014). Center
business of Ternate Island, located in Ternate Tengah sub‐district, is in high social
vulnerability.
2.2.3.

Physical vulnerability

There are four parameters applied to assess the physical vulnerability in thisstudy, namely building density, public and vital utilities, and industry facilities. Wheneruption occur, it is possible some facilities and infrastructure collapse or disrupted.
Most of facilities and infrastructure are located in the most dense population andeconomic activities, namely Ternate Tengah sub‐district. Hence, this area is physicallyhigh vulnerable. Lowest physical vulnerability is located in Pulau Ternate sub‐district,the rural area of the island.
2.2.4.

Environmental vulnerability

Main parameters of environmental vulnerability in this study are conservation
and buffer zone. The forest in the Gamalama summit is most prone to eruption.
Surrounding the forest, some spices plants such as cloves, nutmeg, and pepper
cultivated there. These spices plants are at risk and possibly disrupted the inhabitants’
livelihood. Ternate Selatan sub‐district is at high environmental vulnerability based on
the conservation area, namely mangrove and shrubs. Pulau Ternate sub‐district as ruralarea is at medium environmental vulnerability. Ternate Tengah and Ternate Utara sub‐district, which are urban area, are classified at low environmental vulnerability. Figure 5
shows Ternate island environmental vulnerability.

41

Figure 5. Environmental Vulnerability of Ternate island

2.2.4.

Total index of vulnerability

Total index vulnerability is the result of each vulnerability score and weighting.
weighting factor for social vulnerability is the highest (40%) amongst economy andphysical vulnerability (each 25%), and 10% for environmental vulnerability. The
environmental vulnerability‐weighting factor is small percentage in consideration thatno social community activities disrupted directly from the environment. This study
argues the environmental vulnerability consideration (10% weighting factor). However,based on the BNPB regulation, total index vulnerability of Ternate island shows that
Ternate Selatan and Ternate Tengah sub‐district, located in the urban area (southeast
part of the island), are most vulnerable compare to other sub‐districts (see Figure 6).
Managing the vulnerability of Ternate island need specific intention and integration due
to its volcanic characteristic. Vulnerability integration into spatial plan has been
initiated in Indonesia (Hizbaron, et.al., 2012).

42

Figure 6. Environmental Vulnerability of Ternate island

3. Ecosystem based disaster risk management
This study proposes to consider ecosystems approach for disaster risk
management (Renaud, et.al 2013) in the volcanic ecosystem Ternate Island. The island is
the volcano body itself; therefore the ecosystem services (MEA, 2005) need to beconsidered as the weighting factor in calculating the island vulnerability. Unfortunately,
the ecosystem services have not yet calculated thoroughly. The Ternate Island itself
indicated intensive interaction between the people and their environment. People
receive benefit from the nature, in this study, Gamalama provide materials for
agriculture and determine people behavior on managing the resources.
Vulnerability maps assessed using BNPB regulation show that the urbanize area,
where human often modify the ecosystem, have high vulnerability index. Modified
ecosystem in the urban area for certain provisioning services, lead to the declining ofother services. Unregulated settlement along the river has caused victims and losses
during 2011 lahars floods. On the other hand, the rural area in the northern part of theisland shows low index vulnerability. However, need to keep in mind that spices plantson the surrounding conservation (forest) area determine the livelihood of the rural
people. Such damage due to volcanic eruption will lead to decreasing economic servicesof rural people. They are more affected by the loss of ecosystem services because theirlive depend mostly to agriculture.
Regulating services are critical for ensuring the reliable supply of other ecosystemservices, as well as helping reduce people’s exposure to volcanic hazards. The northernpart of Ternate island play as the regulating service area for southern part. The decliningof regulating ecosystem services in one side will lead to disruption of other services.
Exposure to volcanic hazard will increase when northern part of the island, which is themost affected area of Gamalama eruption (3rd hazard zone), modified for certain
services.
Ecosystem services shape both the exposure of people to hazards and the ability ofpeople to cope with hazards. The rural ecosystem in northern part of the island shows
resilience pattern, but should not only relying to the natural ecosystem. Policy makers
need to comprehensively include ecosystem services trade‐off between rural ecosystem
and urban ecosystem on Ternate Island. Short‐term demand on urbanize area of Ternate
43

Island will give longer term impact, demands on different scale provision of ecosystemservices. Hazard regulating services and vulnerability indicators depicted fromecosystem services of specific characteristics, namely small island with active volcano
like Ternate, need to be considered into the risk assessment regulation by authorized
government institution. Ternate Island disaster risk management need to integrate theecosystem services with the regulating services, in this study volcanic hazard of
Gamalama and its natural resources.
4. Conclusion
The vulnerability assessment which is part of risk assessment based onIndonesian Disaster National Management Board namely Perka BNPB 2/2012 consider
the environment parameter has indirect impact to social life of people. The study
indicated that vulnerability assessment reveals which area needs to be prioritize within
disaster risk management. Instead of relying upon formal action from the government,
the idea of the research is to introduce a slightly different idea to implement disasterrisk reduction. There are so many methods and approach to conduct disastermanagement, i.e. Participatory based DRR, Top down based DRR, and the mostchallenging is Ecosystem based DRR. The ecosystem plays important role from theglobal to local services provision. Environment services correlate to social economy lifeof the people. It then creates social engineering, which being effectively implemented on
the daily basis. In addition, such specific characteristics of environment, volcanic
environment of Ternate Island in this study, determine the inhabitant livelihood andother social activities supporting them. The vulnerability assessment, then need toconsider the environment services.

Acknowledgements
This study is part of Community Resilience and Economic Development (CaRED)
programme, the collaboration between Universitas Gadjah Mada Yogyakarta andMinistry of Foreign Affairs and Trade (MFAT) aid programme New Zealand.

References
Hadmoko D.S., Lavigne F., Sartohadi J., and Hadi M.P., Winaryo. (2010). Landslide hazard and risk
assessment and their application in risk management and landuse planning in eastern
flank of Menoreh Mountains, Yogyakarta Province, Indonesia. Natural Hazards. DOI
10.1007/s11069‐009‐9490‐0. Vol. 54, no3, pp. 623‐642.

Hamilton, USGS Prof. Paper., 1979.
Hendrayana, L., Surono, and Handayani, G. (1996). A Short note on: Basic Behavior of the Mount
Gamalama's Eruption. JMS, vol.1 no.2, pp. 1‐14.
Hizbaron, D.R., Baiquni, M., Sartohadi, J., and Rijanta, R. (2012). Urban Vulnerability in Bantul
District, Indonesia ‐ Towards Safer and Sustainable Development. Article in Journal:
Sustainability, vol.4, pp. 2022‐2037.
Indonesia Disaster Management Board (BNPB). (2012). Head of BNPB Risk Assessment
Regulation number 2.
Bignami, C., Bosi, V., Costantini, L., Cristiani, C., Lavigne, F., Thierry, P. (2012). Handbook for
Volcanic Risk Management : Prevention, Crisis Management, Resilience. MIAVITA team,
Orleans, France.
Millennium Ecosystem Assessment (MEA). (2005). Ecosystems and Human Well‐being:
Synthesis. Island Press, Washington, DC.

44

Regional Planning and Development Board of Ternate Municipality. (2012). Spatial Plan of
Ternate Municipality 2012‐2032.
Renaud, F. G., K. Sudmeier‐Rieux, And M. Estrella. (Eds) (2013): The Role of Ecosystems in
Disaster Risk Reduction. UNU‐Press, Tokyo.
Syiko, S.F., Ayu, T.R, and Yudono, A. (2013). Evacuation route planning in Mount Gamalama,
Ternate Island ‐ Indonesia. Procedia Environmental Science 17 (2013) pp. 344‐353.

45

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Study of 6‐module X‐band array antenna for Airborne CP‐SAR
application
Kaihei Nakamura* , Josaphat Tetuko Sri Sumantyo , Cahya Edi Santosa , Asif
Awaludin †Center for Environment Remote Sensing (CEReS), Chiba University, Japan

Abstract
The synthetic aperture radar (SAR) is a kind of active sensors. To acquire the images oftarget in remote area, the SAR uses microwave signal. Nowadays, Josaphat microwave
remote sensing laboratory (JMRSL), Chiba university, Japan is developing the Boeing 737‐
200 on‐board X‐band airborne SAR system. As the system requirements of proposed X‐
band SAR, the wide bandwidth of transmit signal, narrow beam width, beam tilting, andcircular polarization are needed to support the high resolution image in range andazimuth directions. The frequency resouce is set to the center frequency on 9.4 GHz andthe bandwidth of 800 MHz. Also, the antenna should support the tilt angle up to 35 degree.
To realize these requirements, the array antenna which has same characteristic in each
module is proposed in the paper. The proposed antenna has 6 modules and each module
is designed as 2 by 6 elements. Considering the combination of these modules, thecharacteristic of each module is preferred to have same value because of used technic totilt transmitted signal. The performance of proposed antenna has been verified based on
the four performance eveluation parameters; return loss, axial ratio, gain, and radiation
pattern. As a result, S11, gain and radiation pattern could acquire the almost same value.
However, in axial ratio, there were some difference between each module. As a reason,
the interference of transmitted signal is considered because of sequential array in object
to be measured.

Keywords
Synthetic aperture radar; circular polarization; airborne SAR; X‐band antenna;(Include approximately 5 keywords)

1. INTRODUCTION
Recently, the circularly polarized (CP) antennas are attracting much attention inremote sensing fields. The benefits of CP antenna compared to the conventional linearlypolarized (LP) antenna are listed as follow; small resistant than LP antenna whiletransmitted in atmosphere, less phase variation when the radiated wave throughionosphere and ease of antenna making which has narrow beam width than linear* Corresponding author. Tel.: +81‐43‐290‐3846.

E‐mail address: Kaihei‐hey@chiba‐u.jp1

polarization antenna. These characteristics have advantages on the energy efficiency
issue and the ease of synthetic aperture processing in radar application. Due to theseadvantages, the design of CP antenna for synthetic aperture radar (SAR) has been
proposed in this paper. SAR is a kind of active sensors that using microwave signal.
SAR is a kind of an active sensor. In the SAR image processing mechanism, the larger
size antenna offers the high resolution images of target. Linear polarization (LP) was used
as conventional antenna, however this paper proposes about the circularly polarized (CP)antenna for SAR mission. CP antenna has advantages on the narrow 3‐dB bandwidth,
higher resolution, and etc. Therefore, we designed CP antenna which has the narrow beamwidth and wide bandwidth. Proposed antenna will be implemented Boeing 737‐200
platform. The requirements of airborne SAR mission is summarized in table.1. To meetthe ends of requirements, the array antenna with 2 x 16 elements was used. It is planned
to use by combining as array antenna with 16x16 elements. In this experiment, 6 modules
that were developed for performance test will be measured. And, they will be checked
whether they meet the demand or not and there are variations in the performance or not.

2. ANTENNA REQUIREMENT
Table 1. Requirement of antenna in on‐board SAR mission

Categories

Specification

Platform

Boeing737‐200

Altitude

Max. 35,000 feet / 10,668 m

Radome dimension
Width508.66 cm

Depth

38.10 cm

Height50.80 cm

Signal properties
Center frequency

9.4GHzBandwidth

800MHzAntenna polarization

circular polarization

Beam width

horizontal : under ‐13dB
vertical : under ‐15dB

Beam direction

horizontal : 0 degree
vertical : 35 degree

Axial ratio

under 3dB‐

Table 1 shows the requirements of antenna property. As the radome sized is fixed,
antenna should be designed according to the maximum size of radome. Center frequency
is 9.4 GHz (X‐band) and antenna should support the bandwidth of 800 MHz. Antenna isdesigned to circularly polarized which means that the axial ratio within the required
bandwidth should be designed under 3 dB. Also, as the SAR transmits its beam
perpendicular to the flight path but little bit tilted downward, the center of beam radiation
should be shifted 35 degree from 0 degree.

2

3. ANTENNA MEASUREMENT
The proposed antenna performance was measured in anechoic chamber of JMRSL.
We used the vector network analyzer (VNA), turn table which is set in distance of antenna,
the turn table controller, and PC. The measurement concept is depicted in Fig. 1.

Measured antenna

Transmitting antenna

Rotation table

Controller for rotation table
VNA

PC
Figure 1. measurement concept

The measured antenna is installed on turn table, and it is possible to measure thecircumference of the antenna by rotating turn table. Also, the purpose of thismeasurement is to measure far‐field condition. The far‐field of antenna is expressed byequation(1)2 ⁄ ,where D and λ are the largest dimension of the radiator (or the diameter of the antenna)
and wavelength, respectively. In this time, the distance of far‐field is more than about
5.9m because the largest dimension of measured antenna is 30cm. in addition, equipped
VNA can get only result of S11 and radiation pattern. To obtain the result of axial ratio andgain, the data must be calculated by computer using software.
Axial ratio is the ratio of major axis and minor axis in ellipse polarization. Namely,
axial ratio can express by equation
(2)
| |
1.
After rewriting to the measured data, equation can be written as
| |

(3)

.

If we assume that the data measured by right handed circular polarization is andthe data measured by left handed circular polarization is , relational expression isexpressed as,. Therefore, axial ratio is calculated by
(4)
| |
.
For the gain, the result is calculated from equation
1.64

.

(5)

3

is received power of measured antenna,is received power of dipole
where
antenna that is used as criterion instead of isotropic antenna.

4. ANALYSYS AND RESULTIn antenna performance analysis, the 6‐moule of same designed antenna were
tested in anechoic chamber. In the future, these modules will be combined as array,however we separate each module to measure the profile of single module in this time.
Therefore, each module has to show same characteristics. In this chapter, S11 (returnloss), axial ratio, radiation pattern, and antenna gain were measured. Also we examinedthe error from identical design parameters. The S11 result of each module is shown in fig.
2.
0
No1

‐5

Return Loss [dB]

‐10

No2

‐15
‐20

No3

‐25
‐30

No4

‐35
No5

‐40
‐45

No6

‐50
8.5

9

9.5

10

10.5

Frequency [GHz]
Figure 2. measured result of S11

The required bandwidth of antenna is 800 MHz which is from 9 GHz to 9.8 GHz.
We decide the bandwidth where the S11 is under ‐10 dB in return loss graph. The resultshows S11 value is located under ‐10 dB lies from 8 GHz to 11.7 GHz. This result satisfies
the previous design requirements. However, the antenna named No. 2 shows non‐identical characteristic to the other antenna modules.
Next, the measured result of axial ratio is shown in Fig. 3.

4

5

No1

4.5
4

No2

3.5
axial ratio [dB]

3

No3

2.5

No4

2
1.5

No5

1
0.5

No6

0
8.0

8.5

9.0

9.5

10.0

10.5

frequency[GHz]
Figure 3. measured result of axial ratio

Axial ratio means the ratio between major axis and minor axis of ellipse
polarization. Therefore, in ideal circular polarization, this value should be 1. In ideal linear
polarization, the value becomes infinite. Generally, the wave that has axial ratio under 3
dB of axial ratio is defined as CP by IEEE. The bandwidth used in on‐board SAR mission is
9GHz to 9.8GHz. For that reason, axial ratio need to be less than 3dB from 9GHz to 9.8GHz.
However, every module could not achieve this requirement except for No6. Especially, No.
2 and No. 5 have worse characteristic. Their axial ratio could achieve only half ofrequirement. Comparing No. 6 which could achieve requirement roughly and them, there
is big difference of characteristic.

30
20

Gain [dB]

10
0

‐10

No1
No4

‐20

No2
No5

No3
No6

‐30
8.00

8.50

9.00

9.50

10.00

10.50

Frequency [GHz]
Figure 4. measured result of gain

Result of gain is shown in fig. 4. In the measurement results of gain, although noise
during measurement is observed, satisfying result was obtained in used bandwidth of800MHz. However, only No. 3 indicated different characteristic among six modules.
Finally, results of radiation pattern are shown in fig. 5. Radiation pattern is measured inthree points of 9 GHz, 9.4 GHz and 9.8 GHz in each module. In on‐board SAR mission, tilt
angle of 35 degrees is required. Fig. 5 shows all module can have the tilt angle andachievement of requirement.

5

9.0GHz330
300

9.8GHz0

9.4GHz

330

30

-10

60

-20

300

9.4GHz

0

90

-40

240

120
210

120
210

150
180

300

(b)

9.4GHz

330

30
60

-20

300

9.4GHz

0

90

-40

240

120
210

120
210

150
180

300

(d)

9.4GHz

9.8GHz

0

9GHz

330

30

-10

60

-20

300

9.4GHz09.8GHz

0

30

-10

60

-20
-30

-30
270

90

240

(c)

0

60

-40

180

330

30

-10
-20

270

150

9GHz

9.8GHz

0

-30

-30
270

9GHz

9.8GHz

0

-10

90

240

(a)

330

60

-40

180

0

30

-10
-20

270

150

9GHz

9.8GHz

0

-30

-30
270

9GHz

0

90

-40

240

120
210

150

270

90

-40

240

120
210

150
180

180
(e)

(f)
Figure 5. result of radiation pattern(a)No.1 (b)No.2 (c)No.3 (d)No.4 (e)No.5 (f)No.6

6

5. CONCLUSION
X‐band antenna for the airborne SAR mission has been designed and measured
in this paper. The performance of proposed antenna has been examined using return loss,
axial ratio, radiation pattern, and gain. Originally, 8‐module array antenna has been
designed to support 800 MHz of bandwidth and circular polarization. However only 6‐
moule antenna has been examined in this paper. We separate each module and measure
the performance in anechoic chamber. All the module shows satisfactory return loss
characteristics. In the respect of axial ratio performance, half of modules have achieved
design requirement; module No. 3, No. 4, and No. 6. On the other hand, module No. 1, No.
2, and No. 5 could achieve only half of requirement. In case of radiation pattern, every
antenna shows that its beam has been tilted around 35 degree from the beam center. Last,
gain has been measured, however, module No. 3 could not achieve the requirement value.
As a reason, effect of sequential array method used in measured antenna is considered.
Usually, in high frequency band, the size of antenna become smaller than low frequency
band. In addition, the measured antenna has elements of 2x16 to realize sequential array
and all element has phase difference. Therefore, the feed network for each element
become more complicated than usual one. Therefore, small error which doesn’t affectresult usually become non‐negligible error and affect to the result. In the future we will
operate the proposed antenna using array. Then, as an effect of sequential array method,
the proposed antenna can be used for airborne SAR mission.

References
C.A.Balanis, Antenna Theory Analysis and Design, John illey & Sons, Inc, 2005.
V. Senthil Kumar, V.V.Srinivasan, V.K. Lakshmeesha and S.Pal “Sequentially Rotated Microstrip
Array Antenna at X‐Band for Spacecraft” IEEE,
Yo, T.‐C., C.‐M. Lee,andC.‐H. Luo. Compact circular polarized patch antenna with harmonic
rejection. Microwave and Optical Techology Letters, 50(1):45‐48, 2008.

7

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

The Effects Of Adecuate Brisk Walking Exercise Toward
Amount Of Pyramid Cells In The Cerebral Cortex Of Congenital
Hypotyroid Pups
IdianiDarmawatia*, Muhammad SatyaArifZulhanib,Zulkhah Noor c
A,b,c. Faculty of Medicine and Health Science Study Programe, UniversitasMuhammadiyah Yogyakarta
Jalan Lingkar Selatan,Tamantirto Kasihan Bantul, Yogyakarta ,DIY , Indonesia, Pos Code: 55183
Email: idianifkumy@gmail .com/ idiani2001@yahoo.com

Abstract
Hypothyroidism is a thyroid hormone deficiency disease that causes
developmental abnormalities or disorders of nerve cells, especially pyramids cells in
cerebral cortex, so that it can interfere daily activities and resulting low value ofintelligence quotient (IQ). Pharmacological therapy is still lacking to help sufferers ofhypothyroidism.Determine the effects of brisk walking exercise against the number ofpyramid cells that are in the cerebral cortex of congenital hypothyroid rats.Postes toanalyze changes in the number of pyramid cells in the cerebral cortex of congenital
hypothyroid rats. Pups that born from each parents taken 5 pups, so we get 6 groups:
normal without exercise, normal with exercise, hypothyroidism without exercise,
hypothyroidism with exercise, hypothyroidism When it reaches the age of 8 weeks, pups
brain tissue taken and made preparations so it can be compared the number of pyramidcells.First, the data is normality teted with kolmogorov‐smirnov method.analyzed by one
way anova. And post hoc multiple comparison test.The number of pyramid cells of
normal group (66), normal training (88 ), hypothyroidism (47), hypothyroid exercise(59), hypothyroidism with thyroxine (85) and hypothyroidism with thyroxine andexercise (97). One way anova test result shows the result of p = 0.000 (p <0.05) so can besaid there are differences in the average number of pyramid cells are significantly
among the six groups and adequate exercise brisk walking can increase the number ofpyramid cells.

Keywords : hypothyroidism, thyroxine, brisk walking, pyramidal cells
1.

Introduction

Hypothyroidism is a thyroid hormone deficiency disease that causes thedisorder or developmental disorder, especially nerve cells in the cerebral cortex
pyramid cells, which can interfere with daily activities and lead to low grades
Intelligence Quotient (IQ). Throughout the world the prevalence of hypothyroidism
close to 1: 3000. While in Indonesia newborn screening results in some province foundbabies with congenital hypothyroidism about 1 in 305 live births. Cretin is a further
consequence of iodine deficiency in the womb. Each patient cretin had
a deficit of 50 IQ points. If found 1‐10% of patients cretin populated, it is predicted that
there 5‐30% of children who suffered damage to part of his brain that it can notfunction optimally, and 30‐70% of the population in the area is weak and unproductive
because hipotiroid. (Samsudin, 2014).
Hipotiroid generally based etiology can occur because of primary failure of the
thyroid gland itself, secondary to deficiency of TRH, TSH or both, and could also be due
to lack of iodine intake and food. While the definition of congenital hypothyroidism is a8thyroid hormone deficiency disease inborn. One result of this condition is retarded
mental. Growth brain cells and mental health requires thyroid hormone in sufficientquantities. When the body is deprived of thyroid hormones in the womb of his mother,a child will have mental retardation but mental retardation can be prevented if
treatment is given promptly recovered, but can not be recovered when it has been
established for several months after a person is born although then given hormones
tiroid.(Sherwood,L.2011).
.
The brain can be likened to a special computer. human behavior depending on the
programs that are inside. While the chip is the brain‐nerve cells neuron.Salah the cells
that are in the cerebral cortex is the pyramid cells. Selpiramida is a type of neuron"major excitatory" which use glutamate as ineurotransmitter. (Markam,2005).
Hipotiroid alone can reduce the number of cells of the pyramid and the pyramid canstop cell growth at the age of 30 days in mice. ( Ruiz‐Marcos, et al 2003). Fast walk isvery simple activity and is one type of exercise is aerobic and can improve the physicalcondition (conditional fitness) of a person. If we move the body to the same thing we
Also stimulate and train the brain, (Hasibuan, 2010). Because The brain itself is a
center of the body driving. Irregular body movements and measured, in addition tobody refresh , will Also increase of the blood flow in your body Including diotak.5 So
with the study expected later this useful and can help sufferers of hypothyroidism inorder to improve Reviews their quality of life.

2.

Material And Metods

This study was an experimental study, design posttest only control group design.
Postes to analyze changes in the number of pyramid cells in the cerebral cortex of
hypothyroid rats kongenital.Subjek this study is the mother rats (Rattus norvegicus)
Sprague Dawley, 4‐5 months of age, healthy and ready to mate and pregnant .In this beused Sprague Dawley because they are more sensitive to hormones, resistant totreatment, omnivorous, have physiological characteristics more like humans than
rabbits and can be controlled in terms of food intake to reduce the occurrence of bias instudy.
Pregnant parent required as many as 12 were divided into 6 each group of two
tails. Four (4) groups induced hypothyroidism with given prophilthiourasil (PTU), 2
Other groups of Other normal.group . Mice children are born grouped by treatment
among other things normal without treatment (KI), normally with a brisk walk adequate
on a treadmill at a speed of 10 m / min (K II), hypothyroidism without treatment oncethe child is born from the mother who gets propyl tiourasil 15 ppm during gestation (KIII), hypothyroidism with adequate brisk walking on a treadmill at a speed of 10 m / min(K IV), hypothyroidism with thyroxine treatment by therapy of 1.6 ug / g thyroxine (KV),and hypothyroidism with thyroxine treatment and brisk walking adequate (K VI).
Randomization was performed on the mother and children in a single parent, it isbecause children are still suckling
mice for approximately 20 days. Each treatment group using 5 mice pups. The size of thesample can be calculated by the formula Federer (1963), after calculation s0 thatobtained a minimal amount of sample required is 4 rats untuksetiap group. Once thechild Reaches the age sufficient mice (8‐10 weeks) will be terminated by using
chloroform and brain tissue will be taken. The brain tissue preparations will be madeand observed with a microscope with a magnification of 100x (23 x 17 μm = 391 μm2).
This research was conducted in UPHP UMY for maintenance, administration of stem
treatment, replacement thyroxine hormone treatment, the provision of treatment ofchildren in the form of brisk walking rats on a treadmill mice and rat brain surgery
organ harvesting. Making the mouse brain preparations carried out in the Laboratory of
Pathology Anatomy Faculty of Medicine. Filming is done in preparation Histology
9

Laboratory of the Faculty of Medicine . Materials and Instrument research include
mother rats white Sprague Dawley12 tail, mouse cage, feeding rats, treadmill rat,
Propylthiouracil (PTU), thyroxine, a bottle of mineral water a used along with cap andhose, enough water, the drug (chloroform), jars, surgical equipment rat , pot to save the
network, which has been diluted alcohol, glass preparations, microscopes and cameras,
calculators,
computers
andothers.
Data Obtained from observations of a numerical scale the data. Because, in research
inimenggunakan 6 treatment groups (> 2 groups) and not a variable pairs(independent) to test the hypothesis, the difference in all treatment groups used
OneWay ANOVA statistical analysis. Before the Data were tested for normality using thedescriptive method and metod eanalitikujiShapiro‐Wilk because the sample size 30. If it
comes to data distribution is not normal, then the statistical test used was Kruskal
Wallis. Then, to compare the effect of each terapipada each group against another group,
used to test the Post Hoc Multiple Comparison Test. The analytical data obtained from
histological observation in mice brains of test animals.

3.

Result and Discusion
The following image pyramid cell histology cerebral cortex of group I
Group II, Group III , Group IV, group V and Group VI:

Figure a.
Overview ofHistology Cells Rat
cerebrum cortex Pyramids Normal H E(hematoxylin
eosin,
100x
total
magnification, wide field of view of 23 x
17 μm = 391 μm2) .: Selpiramid

Figure b.
Overview of Histology Cells Rat
cerebrum cortex Pyramids K II
Normal practice (Hematoxylin Eosin,
100x total magnification, wide fieldof view of 23 x 17 μm = 391μm2) .
Pyramids Cells

10Figure c.
Overview ofHistology Cells Rat
cerebrum cortex Pyramids Normal HE(hematoxylin
eosin,
100x
total
magnification, wide field of view of 23 x
17 μm = 391 μm2) .: Selpiramid.

Figure d.
Overview of Histology Cell Pyramids Rat
cerebrum cortex K IV Hypothyroidism
exercise (hematoxylin eosin, 100x total
magnification, wide field of view of 23 x
17 μm = 391 μm2). : Pyramid Cells

Figure e.
Overview of Histology Cells Rat cerebrum
cortex Pyramids K V hypothyroidism
thyroxine and exercise (hematoxylin eosin,
100x total magnification, wide field of viewof 23 x 17 μm = 391 μm2). : yramids Cells
Pyramids

Figure f.
Overview of Histology Cells Rat
cerebrum cortex Pyramids K VI
hypothyroidism thyroxine and exercise(hematoxylin
eosin,
100x
total
magnification, wide field of view of 23 x
17 μm = 391 μm2). : Pyramids Cells

The results are also presented in histogram form that makes it easier to compare
the results, as follows

Groups

120

KI

100

K II

80

K III

60
40
20
0

K IV
KV
K VI

GroupsDiscription :K I = Normal untreated
K II = Normal exercise brisk walking
K III = Hypothyroidism
K IV = Hypothyroidism with brisk
walking workout
K V = hypothyroidism withthyroxine therapy
K VI = hypothyroidism withthyroxine and road cepatl

Table 1. Average number of pyramid cells
Number

1
2
3
4
5
6

Mice Groups

Normal without treatment (K I)
Normal exercise brisk walking (K II)
hypothyroidism (K III)
Hypothyroidism with brisk walking workout (K IV)
hypothyroidism with thyroxine therapy (K V)
hypothyroidism with thyroxine and a brisk walk (K VI)

Average

± SD
66±7
88±12
47±10
59±4
85±7
97±18

11

In accordance with the tables 1 and histogram above it can be concluded thatthe number of cells contained the highest pyramid on the group VI, namely congenital
hypothyroid rats treated with thyroxine and fast way adequate. While the number ofcells contained in the pyramid at least the third group, which is congenital hypothyroid
mice without any treatment or therapy. (Table 2)
Table 2 value significance between groups * = Value <0.05 or obvious that there is adifference between information the groups is:
Group
I
II
III
KI
‐
0,003*
0,012*
KII
0,003*‐
0,000*
KIII
0,012*
0,000*‐
KIV
0,327
0,000*
0,101
KV
0,009*
0,663
0,000*
KVI
0,000*
0,198
0,000*
Discription :K I = Normal untreated
K II = Normal exercise brisk walking
K III = Hypothyroidism
K IV = Hypothyroidism with brisk walking workout
K V = hypothyroidism with thyroxine therapy
K VI = hypothyroidism with thyroxine and road cepatl

IV
0,327
0,000*
0,101‐
0,001*
0,000*

V
0,009*
0,663
0,000*
0,001*‐
0,090

VI
0,000*
0,198
0,000*
0,000*
0,090‐

After the results are displayed, the normality test beforehand to determine the
distribution of the data, by using the Shapiro‐Wilk test, because the sample size of 30.
The results of this test to the whole group shows the results p> 0.05, so that shows the
distribution of the number of normal pyramid cells . Therefore the continued data
analysis using One Way Annova. One Way Annova test results show the result p = 0.000(p <0.05) so that it can be said there are differences in the average number of pyramidcells are significantly among the six groups. Once known there were significant
differences among the six groups, then do LSD (Least Significant Difference) in post hoc
test to determine which groups are different. LSD test results obtained significant
differences in the KI KII, with KIII KI, KI with KV, KI with KVI, KII with KIII, KII with KIV,KIII with KV, KIII with KVI, KIV with KV, KIV with KVI. The value of significance between
treatments can be seen in Table 2 In addition, to ensure and prove that the mother rats
and mice induced PTU really managed to become hypothyroid rats, the rats have blooddrawn prior to the data taken FT4 results can be seen in Table 3

Table 3. Mean FT4 levels of mice treated
FT4 serum levels (ng / mL)Group
ParentParent Child Day 15

KI

1,42±0,158

1,09±0,145

K II

1,37±0,162

Children 2 Month1,32±0,211*
1,77±0,113**
12

KIII

0,07±0,089

K IV

0,122±0,106

KV
KVI

0,23±0,13

0,09±0,164

0,50±0,094***
1,46±0,327*
1,50±0,20*

0,21±0,17

1,20±0,33

Discription :Discription :K I = Normal untreated
K II = Normal exercise brisk walking
K III = Hypothyroidism
K IV = Hypothyroidism with brisk walking workout
K V = hypothyroidism with thyroxine therapy
K VI = hypothyroidism with thyroxine and road cepatl
Kruskal Wallis test: p = 0.002
Extensive details: * The number of different shows significant differences in p≤0,05
PTU given to mother rats cause hypothyroid conditions to the parent as well the sonconcentration; FT4 hypothyroid rats induced PTU significantly lower than other groups.
Hypothyroid group FT4 levels with exercise can increase up to par with the normalgroup (p> 0.05). While hypothyroid mice receiving thyroxine therapy and exercise
treatment also showed similar elevated levels of FT4 normal group of rats.
Test Result of the One Way Annova on the average number of pyramid cells
showed p = 0,000. results showed that p <0.05, so that the statistical tests showed thatthe number of pyramid cells in the cerebral cortex and control have significant
differences. The results obtained in accordance with previous hypotheses.
Thyroid , which consists of thyroxine (T4) and triiodothyronine (T3), is essential
for normal growth and development of fetus thyroid .Hormon needed for the general
growth of fetal life and trigger the development of discrete in fetal brain and somatic
tissue early in pregnancy. These hormones also influence idiferensiasi terminal of fetal
tissue and gives the effect of prepartum maturation of gluko corticoids that will ensure
the survival of the baby. Hormontiroid acting directly through anabolic effects on fetal
metabolism and oxygen consumption fetus stimulation. Hormon also acts indirectly bycontrolling the bioavailability and efficacy of other hormones and growth factors that
affect fetal development such as catecholamines and insulin‐like growth factors(Forhead & Fowden, 2014).). PTU is a medicine used to lower levels of tirod. Clinicalstudy mentioned that the thyroid hormone affects the formation of cholesterol,
especially low density cholesterol (LDL). By giving this drug in the pregnant mother on acertain dose (in this study stem induced a dose of 15 ppm during pregnancy) will beborn children who suffer from congenital hypothyroidism. (Furi, & Wahyuni, 2011).The
main determinants though not the only determinant of the basal metabolic rate is thejob of the thyroid hormone. Increased thyroid hormone alone can lead to an increase
BMR.Namun case of hypothyroidism in which the symptoms are generally caused by adecrease in metabolic activity as a whole, then a person with hypothyroidism will
decrease basal metabolic rate. (Sherwood, 2011). Decreased metabolic rate will cause
hyperglycemia conditions, so it will be conditioned are conducive oxidative stress, acondition in which compared to endogenous oxidant. These conditions will cause organ
damage jaringana tau that have a high fat content, because fat is very susceptible toradical attack Itself is free. (Winarsi at al 2012).
While one of the main organs of the brain with a very high fat content (± 80%),so the brain vulnerable to free radical attack. This will lead to an increase nekrosa
13

pyramidal neurons in particular neuron in hypothyroid rats group. So that this condition
will reduce the number of pyramid cells in group hipotiroid. (Utami,2003).
Fast walking is fitness exercise consisting of aerobic running at high speed by moving
the arms energetically. The definition of this jalancepat located between walking andrunning, done in a way that requires cognition and concentration in an individual to doso. The fundamental difference of running is the one leg that remains on the ground,while running there is a condition in which both feet float. (Depdiknas. (2002).
Based on research Xiafeng Shen et al (2013) under the title The Effect of Different
Intensities of Treadmill Exercise on Cognitive Function Deficit Following a Severe
Controlled Cortical Impact in Rats can be concluded that the treadmill exercise can
improve cognitive function and BDNF after TBI (Traumatic Brain Injury) , TBI itself willcause the nerve cells or neurons die, resulting in deficits in learning and memory space.
In cases of hypothyroidism are also almost similar pathophysiology, where nerve cells
are also in deficit because of their exposure to radical bebas.Sedangkan BDNF itself ispart of the "neurotropic factor" (Group of protein responsible for the growth andsurvival of neurons and repair of mature neurons) that this overflow.BDNF facilitate thegrowth, proliferation and differentiation of neurons BDNF hippocampus.12 is not only
found in the hippocampus, but also there are padakorteks cerebrum. BDNF can bedetected in low numbers in mice postnatal day 2 and there is a high number of type
Ausia 5 minggu.13 Shen et al. 2013) Therefore, by doing brisk walking exercise
adequately during the growth of onshore tmerangsang BDNF, so the existing pyramidcells at cortekxs cerebrum more numerous in the exercise group compared to the group
without exercise.
4.Conclusion
In this study we can conclude that with adequate exercise brisk walking canincrease the number of pyramid cells in the cerebral cortex of congenital hypothyroid
rats.
* Corresponding author. Tel.: +62 817 940 4442; fax: +62 274 387 646.

E‐mail address: idiani@umy.ac.id/idianifkumy@gmail.com/idiani2001@yahoo.com

References
Depdiknas. (2002). Pedoman Pencak Silat, Pedoman Atletik Untuk Klub Olahraga
Usia Dini. Jakarta: Ditjend Dikdasmen.Shen, X., Li, A., Zhang, Y., Dong, X.,
Shan, T., Wu, Y., et al. (2013).The Effect of Different Intensities ofTreadmill Exercise on Cognitive Function Deficit Following a Severe
Controlled Cortical Impact in Rats. Molecular Sciences, Vol.14, No.11,
pp.21598‐21612.
Furi, P. R., Wahyuni, A. S. (2011). Pengaruh Ekstrak Etanol Jamur Lingzhi(Ganoderma lucidum) Terhadap Kadar HDL (High Density Lipoprotein)
Pada Tikus Dislipidemia Pharmacon,Vol.2, No. 4, pp.5.
Forhead, A., Fowden, A. (2014). Thyroid Hormones in Fetal Growth andPrepartum Maturation, Vol.22, No.3, pp.87‐103.
Hasibuan, R. (2010). Terapi Sederhana Menekan Gejala Penyakit Degeneratif.
Vol. 8, No. 2, pp.78‐80.

14Huang, Z., Kirkwood, A., Pizzorusso, T., Porciatti, V., Morales, B., Bear, M., et al.
(2000). BDNF Regulates the Maturation of Inhibition and the Critical
Period of Plasticity in Mouse Visual Cortex. Cell, Vol. 98, No. 6, pp. 739–755.
Markam, S. (2005). Latihan Vitalisasi Otak. Jakarta: Grasindo.
Ruiz‐Marcos, A., Sanchez‐Toscano, F., Escobar, F., Morreale, G. (2003). Severe
Hypothyroidism and The Maturation of The Rat Cerebral Cortex. Brain
Research, Vol.162, No. 2, pp.315–329.
Samsudin, M. (2014). Nilai Diagnostik Indikator Fisik Dibandingkan Baku Emas
Untuk Menegakkan Diagnosis Terduga Kretin Pada Batita. MGMI, Vol. 5,
No. 2, pp.112.
Shen, X., Li, A., Zhang, Y., Dong, X., Shan, T., Wu, Y., et al. (2013).The Effect ofDifferent Intensities of Treadmill Exercise on Cognitive Function Deficit
Following a Severe Controlled Cortical Impact in Rats. Molecular Sciences,Vol. 14, No. 11, pp.21598‐21612.
Sherwood, L. (2011). Fisiologi Manusia Dari Sel ke Sistem, Ed.6 ed. Jakarta:
EGC.reference.
Utami, P. (2003). Tanaman obat untuk mengatasi diabetes mellitus. Jakarta:
AgroMedia.
Winarsi, H., Wijayanti, S., Purwanto, A. (2012). Aktivitas Enzim Superoksida
Dismutase, Katalase, dan Glutation Peroksidase Wanita Penderita
Sindrom Metabolik. MKB, Vol. 44, No. 1, pp.7‐11.

15

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

IMPLEMENTATION ON REDUCTION LUT MEMORY SIZE
IN CHIRP SIGNAL GENERATION FOR SATELLITE ON‐BOARD SAR
Min‐Wook Heoa*, Tu‐Hwan Kima, Kyeong‐Rok Kima, Jae‐Hyun Kimb,
HeeinYangc, Josaphat Tetuko Sri Sumantyoc
a Department of Space Electronics and Information Technology,
Ajou University, San 5, Woncheon‐Dong, Yeongtong‐Gu, Suwon 443‐749, Korea
bDepartment of Electronics and Computer Engineering,
Ajou University, San 5, Woncheon‐Dong, Yeongtong‐Gu, Suwon 443‐749, Korea
cCenter for Environmental Remote Sensing,
Chiba University, 1‐33, Yayoicho, Inage Ward, Chiba‐shi, Chiba, 263‐8522 Japan

Abstract
The synthetic aperture radar(SAR) is an active sensor that is mounted on moving
platform such as aircraft or satellite. It uses electromagnetic waves for the target detecting
signal which can penetrate the Earth atmosphere. For that reason, it can obtain target
images regardless of the weather condition. Generally, it obtains higher resolution images
with the wide bandwidth reference signal. So it takes linearly frequency modulated (LFM)
signal called chirp. The instantaneous frequency of chirp signal increases as time, so that
this signal can enlarge the bandwidth. In this paper, we suggest the parallel direct digitalsynthesizer (PDDS) chirp signal generator to generate the wide bandwidth chirp signal.
The proposed PDDS signal generator consists of 4‐DDS in paralleled and 4 look‐up tables(LUTs) those are cascaded to each DDS unit. By using the PDDS method, it takes anadvantage on the clock frequency resource, but it occupies large memory resources. When
implementing SAR system in satellite platform, the size of memory unit is a critical unit.
To solve this problem, we suggest the LUT memory reduction method for using microsatellite use. Using the sinusoid, we divide one period of the sinusoid in quarter. We add
an algorithm that represents a one period signal using the quarter signal of sinusoid,
generate chirp signal and coded. The memory size of chirp signal generation algorithm iscompared with conventional method through simulation. The memory that is used bygenerating chirp signal in entire system is confirmed by simulation that reduce about aquarter of conventional method. Because it applies the same algorithm in systemgenerator, if it uses higher LUT output bit, ratio of the memory reduction will be increase.
Therefore, it is considered that if it uses the same amount of memories, it would be able
to design a chirp signal that has a better characteristic.

Keywords
SAR, PDDS, LUT, memory reduction , system generator,* Corresponding author. Tel.: +82‐10‐5106‐6120.

E‐mail address: gjalsdnr8910@gmail.com

16

1. Introduction
At memory‐map based chirp signal generation used in the existing satellite SAR,
the memory device has the disadvantage that likely to be damaged in a spaceenvironment. Chirp signal generator of DDS method has an advantage that a low
dependence on the memory device. But, there is a disadvantage that the memory
consumption is large due to LUT. Chirp signal generator of conventional DDS method, it
save and use all of the sine wave 1 cycle in LUT in order to represent the sine and cosine
wave. In this paper, rather than 1‐cycle of the sine wave stored on LUT, we propose away to reduce the LUT memory size that is used to save only a quarter period.

2. Chirp signal generation of PDDS method
Chirp signal, as the type of linear frequency modulation(LFM) signal that frequency
varies linearly with time, it’s characterized with wide bandwidth. Resolution( r ) of theSAR, as in Equation (1), is inversely proportional to the bandwidth of the transmitted
signal, mainly use a chirp signal with a wide bandwidth in the SAR. In Equation (1), c isthe speed of light, B is the bandwidth.

r

c
2B

(1)

2
t
s(t )  rect ( ) Aei Kt
T(2)Equation (2) shows a formula that defines the chirp signal, t is time, T is the pulse width,
K is the chirp rate that rate of change of the frequency as time, A is the amplitude of thesignal[1][2].
Although you can generate the Chirp signal using the DDS system, it requires ahigh clock frequency. However, in a satellite environment, it is difficult to generate thehigh clock frequency on the performance limits of the clock generator. Thus, byconnecting a number of DDS that is relatively low operating clock in parallel, it can beused up system operation clock of the PDDS method[3].

Figure 1. Structure of the PDDS.

Fig.1 is a diagram showing a PDDS method used by connecting 4‐DDS blocks
generating a chirp signal in parallel to the MUX. PDDS method, because 4‐DDS blocks of17each generate a chirp signal, occupied more memory size in the entire system than DDS
method that using 1‐LUT. Chirp signal generation of PDDS method have a large
proportion of LUT. If there is a large bit number of the desired output signal, it can’t
input a code into the board caused by the memory limit of FPGA that is hardware forsignal generation. For the reason, it can be a problem of lowering the requirements ofthe chirp signal.

3. LUT reduction solution
In general, the phase information that necessary for the chirp signal generation isstored in a sine wave form of 1‐cycle in the LUT in each PDDS block[4]. The output bit
number of sine wave is taken as n , the size of the data stored in the LUT is proportionalnto the length of the sine wave stored in LUT and 2 . It is necessary to use a sine wave ofshort cycle in the LUT in order to reduce the entire memory size as generating a signal of
the same performance. As a solution, first, saving only a quarter period of sine wave in the
LUT. Second, arranging the four wave as shown in Fig. 2(a). Third, making wave between
 / 2 and  , 3 / 2 and 2 to vertical symmetry (Fig. 2(b)). Finally, by changing thewave of between  and 2 , it is possible to sine wave representation of one period asshown in Fig. 2(c). In this paper, we implement digitally the chirp signal generator
algorithm and the LUT reduction algorithm of PDDS method using the parameters shownin Table 1 through the system generator of the MATLAB. Then, we compare withconventional method the memory size occupied by the chirp signal generation algorithmof PDDS method using the ISE Project Navigation 14.7. Target board of ISE Project
Navigation 14.7 that was used to code generation is set to Xilinx virtex‐5 XC5VFX130T.
Table 1. Parameters of the signal generator used in the simulation
Parameters
Value
Unit
Pulsewidth

13.3

us

Bandwidth75

MHz

Number of DDS

4ea

Output bit

10

bits

Table 2. Comparison of the simulation result
Unapplied LUT reduction

Applied LUT reduction

Number of slice LUTs (ea)

832

768

Total Memory used (KB)

432

114

Table 2 is a simulation results. As a result, in case of using the number of the LUT
saved by a quarter period of the sine wave in the LUT, it was not significantly reduced
from 832 to 768. However, as the used entire memory is 114 KB, it is equivalent to 26.38%
of 432 KB as compared to the case of using 1‐cycle.

a

b

c

Figure 2. Sine wave representation through the phase and amplitude conversion.

18

4. Conclusion
In this paper, we propose on how to reduce the LUT size of the chirp signal
generator mounted satellite SAR. We use the system generator that is a program togenerate chirp signal and the algorithm of the PDDS method. In system generator, theperiod of the sine wave stored in the LUT is reduced to a quarter. We add the algorithm
for representing 1‐cycle by using the signal, generate a chirp signal, and coded. The
memory size of chirp signal generation algorithm is compared with conventional method
through simulation. The memory that is used by generating chirp signal in entire system
is confirmed by simulation that reduce about a quarter of conventional method. Because
it applies the same algorithm in system generator, if it uses higher LUT output bit, ratio of
the memory reduction will be increase. Therefore, it is considered that if it uses the sameamount of memory, it would be able to design a chirp signal that has a bettercharacteristic.

Acknowledgements
This research was supported by Korea Aerospace Research Institute(KARI) throughthe Ministry of Science, ICT and Future Planning.

References[1] Cumming, I, G. and Wong, F, H. (2005). Digital Processing of synthetic Aperture Radar Data.
[2] Koo, V, C. and Chua, M, Y. (2009). FPGA‐based chirp signal generator for high resolution UAV
SAR. Progress In Electronics Research, vol. 99, pp. 71‐88,[3] Samarah, A. (2012). A novel approach for generating digital chirp signals using FPGA
technology for synthetic aperture radar applications.
[4] Vankka, J. (1997). Methods of mapping from phase to sine amplitude in direct digitalsynthesis. Ultrasonics, Ferroelectrics, and Frequency Control, IEEE Transactions on 44.2 pp.
526‐534.

19

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

The archaeological investigation of the central Jawa applying theadvanced remote sensing technology
Kageaki Inouea, Josaphat Tetuko Sri Sumantyob, Agus Hartokoc, Achmad Famad,
Hiroaki Kuzee
a,b,e Center for Environmental Remote Sensing, Chiba University, 1‐33, Yayoi‐cho, Inage‐ku,

Chiba‐shi 263‐8522 Japanc,d Diponegoro University, Prof. Soedarto Street, Semarang City, Central Java 50275

Indonesia

Abstract
Nowadays the study using Structure from Motion (SfM) to mapping unstructured
aerial images using some commercial optical sensors onboard small Unmanned Aerial
Vehicle (UAV) has been increasing in several research fields. In this study, we applied thisUAV‐SfM technology for Geology and Paleontology fields, and study area is Sangiran area
in central Jawa, Indonesia. Conventionally, it is difficult to get information of thesedimentation process and the layer type in Archaeological area. It is also difficult tospecify the exact location and type of fossils are. Our proposed technology solved these
problems by using low cost equipment, spending less time for preparation and mapping
process, and providing high resolution 3D images with the locational and the geologicalinformation. Firstly, several photographs which were aerially shot using the commercial
digital camera onboard small UAV were obtained and some fossils sample with GPS data
used by digital camera collected in the study area simulteneously. Next, point clouds, highresolution 3D images, DSMs, Orthophotographs were generated by the calculation of
those photographs data using the SfM technology. And also, to combine the image
processing of DIn‐SAR with UAV‐SfM technique provide us the information of Geologicalboth detailed and overall changes in Sangiran area.

Keywords
Keywords: UAV; SfM; Geology; Paleontology; Archaeology; Image processing; D‐InSAR;
Sangiran; Central Jawa

Corresponding author. Tel.: +81(0)43‐290‐3840; fax: +81(0)43‐290‐3857.
E‐mail address: kageaki@chiba‐u.jp20

1. Introduction
Nowadays, the remote sensing technology using small UAV and SfM (Structurefrom Motion) has been increasing. This technique is applied for several research field
especially geology. This technique has the advantage for inaccessible area. Small UAV
can be operated from start point to about 200m manually. If autopilot system of the UAV
can be used, small UAV can flight about 1000m distance. In archeological survey, theinvestigation was carried out in only accessible area conventionally but this technique
can make us access to inaccessible area. D‐InSAR image processing is also advanced
remote sensing technology. It can make sure where crustal deformation happened. In
this study, both UAV‐SfM technique and D‐InSAR image processing are applied forarcheological area and we want to show how effective this advanced remote sensing
technology is for archeology, geology and paleontology.

2. Methods
The flowchart in this study is below.

Figure 1. Flowchart of methods

At first, the investigation concluded getting aerial photographs and collecting
fossils was carried out. Next, SfM & GIS processing and D‐InSAR image processing havebeen done simultaneously. Final, both data was exported to Google Earth.
2.1.

The small UAV

In this study, “DJI Phantom2” was used as small UAV. It can be operated easily
without special knowledge about the radio‐controlled vehicle. This UAV has 4 propellers
and it is also called Quad‐Copter. It contains GPS inside body and it can adjust aerial
location automatically. The size is 400mm * 400mm * 190mm, weight is 1030g, maxflight time is 25min, and payload limitation is about 300g.

Figure 2. DJI Phantom2

21

2.2.

The digital camera

In this study, “Nikon COOLPIX A” was used as the optical sensor onboard thesmall UAV. It can be installed size and weight to the small UAV, which can get high‐resolution images with a single‐lens reflex camera. The most important function is theinterval shooting function during aerial photography. Less than 1‐sec interval time is thebest for usual aerial photography. This camera has minimum 1‐sec interval time. Nikon
sells separate GPS unit which can be set on COOLPIX A. In advance this GPS unit should
be set on it and this is how the aerial images can get GPS information. These GPS
information is so effective to build 3D‐models after that.

Figure 3. Nikon COOLPIX A

2.3.

Aerial photography

We visited Sangiran in central Jawa in 30 April to 1 May 2016. Observation sites
were Duku Ngampon, Pablengan, Drepo and Kabuh in Sangiran. They were fine days inall investigation times. Basically, taking aerial photographs were carried out twice ineach area. One is a horizontal shoot, the other is about 45 degree look angle shoot. One
flight time is less than 15‐min in each area. We shorten 10‐min than maximum flighttime 25‐min because of loading digital camera on UAV and safety operation.
2.4.

Collecting fossils

Fossils were collected each area in order to classify the type of them and register
the location where each fossil existed. If fossils locations are registered, the images with
GPS information is very effective and they help us to notify the location on their 3D‐models.

2.5.

SfM processing

In this phase, 3D‐models can be built by SfM (Structure from Motion) processing
on the software (Agisoft Photscan). SfM is a technique that calculates the three‐dimensional geometry (Structure) and the camera attitude change (Motion)
simultaneously by tracking feature points in each image of the moving camera. The
feature points mean a characteristic part of the objects in each image.

22

2.6.

ArcGIS processing

In this phase, the DSM of Drepo area was made from that 3D‐model on ArcGIS. In
advance, the las data of 3D‐model should be exported on Photoscan in order to makeDSM on ArcGIS. The noted point is to change coordinate from WGS84 to UTMzone49S.
This processing can help us to find height value of the layer in each area.
2.7.

D‐InSAR processing

D‐InSAR image processing was analyzed on SNAP. The images from ALOS‐2 wereused and these images are in 8 Feb 2015 and 7 Feb 2016. Thus the displacement for one
year was analyzed in this study. The flowchart of this phase is as below.

Figure 4. Flowchart of D-InSAR image processing23

3. Results
3.1.

3D models

Figure 5. 3D-model of Drepo 1

Figure 6. 3D-model of Drepo 224

Figure 7. 3D-model of Drepo 3

Figure 8. Fossils in Drepo

3.2.

Orthophotograph

Figure 9. Orthophotograph of Drepo

25

3.3.

ArcGIS processing

Figure 10. DSM of Drepo

3.4.

D‐InSAR image processing

Figure 11. D-InSAR image processing of Sangiran area

4. Discussion
As a result, we were able to get the detailed information of an archeological area
in Sangiran by small UAV, digital camera and SfM technique. Collected fossils weremarked on 3D‐model visually. And also, we were able to get the displacement value in26

Sangiran area by D‐InSAR image processing on SNAP. It can make sure where the mostchanging for one year is in Sangiran. If we go surveying those areas, new archeologicalarea will be found due to some disaster like landslides. And also the detailed informationof those areas will be able to be got by our UAV‐SfM technique. So we will have toinvestigate Sangiran again, especially higher displacement value area, and make sure if
D‐InSAR image processing result points out our expectative phenomena.

5. Conclusion
In this study, the application of the advanced remote sensing for archeology was
shown by building 3D‐models, making DSM and processing ALOS‐2 images. In
conventional methods, it took a long time for us to research archeological area and tofind new one. This study is expected to define that advanced remote sensing technology
will get more effective to research archeological area than the conventional methods.

Acknowledgements
The author would like to appreciate to Professor Agus Hartoko in Diponegoro
University and Professor Josaphat Tetuko Sri Sumantyo in Chiba University forarrangement of the investigation in central Jawa and any supporting. And also, theauthor would like to thank Achmad Fama in Diponegoro University for supporting when
operating the small UAV and giving me some ideas for geology and paleontology.

References
小花和宏之、早川裕弌、ゴメス・クリストファー：UAV 空撮と SfM を用いたアクセス困難地の 3D モデリング、Japanese Geomorphological Union、 35‐3、
pp283‐294、2014
川崎英明、安齋翔次郎、中島宗宏、岡本良夫、小泉俊夫：ブータン伝統住居実測調
査での UAV の利用について、写真測量学会平成 26 年度秋季学術講演会発表
論文集、pp11‐12、2014
M. Itihara, Sudijono, D. Kadar, T.Shibasaki, H. Kumai, S. Yoshikawa, F. Aziz, T. Soeradi,
Wikamo, A.P. Kadar, F. Hasibuan, Y. Kagemori：GEOLOGY AND STRATIGRAPHY
OF THE SANGIRAN AREA, QUATERNARY GEOLOGY OF THE HOMINID FOSSIL
BEARING FORMATIONS IN JAVA, pp11‐27, 1976‐1979

27

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24 November 2016

Neutron Radiation To Soft Error Hardened Latches
Hiroki Ueno, Kazuteru Namba*
Graduate School of Advanced Integration Science, Chiba University, 1‐33 Yayoi‐cho, Inage‐ku, Chiba‐shi, Chiba, 263‐8522 Japan

Abstract
The recent development of semiconductor technology has achieved
downsized, large‐scaled and low‐power VLSI (Very Large‐Scale Integration)systems. However, it makes the soft error issue more serious. Soft errors
occur due to a transient‐induced event caused by striking of high energy
neutron radiation from cosmic rays. The striking on the silicon bulk
generates electrons and holes, which are collected at a drain node. The
collected electrons or holes lead to transient voltage. As a result, values
erroneously change in storage elements, such as memory. Traditionally only
soft errors on memory system have been serious. However, in recent VLSI
systems, soft errors on logic circuit as well as memory system are also
serious because recent VLSIs do not tolerate pulses with a short period oftime vibration phenomenon. To resolve this issue, researchers (including
the authors' group) have presented several soft error tolerate schemes.
Most of them provide only simulation results; it is not known that whichscheme is best in actual devices. We are making experimentation on an
actual device. In this experimentation, several flip‐flops are mounted on theactual device; the mounted flip‐flops consist of several existing soft error
hardened latches, such as DICE, and normal latches not hardened. Neutron
beam is delivered to the device. The device is observed by an observationequipment mounted on Raspberry Pi during radiation.
Keywords
Index Terms—Radiation hardening; soft error tolerance; single event upset(SEU)

1. INTRODUCTION
The recent development of semiconductor technology has achieved downsized,
large‐scaled and low‐power VLSI (Very Large‐Scale Integration) systems. However, it
makes the soft error issue more serious. The soft error is a transient‐induced event on
memory and logic circuits caused by striking of α‐rays emitted from the package and high* Corresponding author. Tel.: +81.43.290.3255; fax: +81.43.290.3305.

E‐mail address: acsa2639@chiba‐u.jp, namba@faculty.chiba‐u.jp28

energy neutron radiation from cosmic rays [1], [2], [3].The striking on the silicon bulk
generates electrons and holes, which are collected at a drain node. The collected electrons
or holes lead to transient voltage [4].
Traditionally only soft errors on memory system have been a serious issue; error‐
correcting codes have been widely studied and used to tolerate the soft errors. However,in recent VLSI systems, soft errors on logic circuit as well as memory system are also
serious issue because recent VLSIs do not tolerate pulses with a short period of time
vibration phenomenon [1], [2], [5]. So, several soft error tolerate schemes for logic circuits
have been proposed. Logic circuits consist of combinational parts and latches. For errors
on combinational parts, several error tolerant schemes have been proposed, e.g. Dual
Interlocked storage Cell(DICE) [6], [7], [8], [9], duplication using C‐elements[10],[11],duplication using XOR gates [11] and duplicated feedback loop [12].The inter storage
cell (DICE)[7]and the latches proposed in [12], [13]have duplicated and interlocking
feedback loops and use high impedance states. If particles strike a line on the feedback
loops, some lines on the loops become high‐impedance states. Despite that, the lines inhigh‐impedance states continue to store correct values using the parasitic capacitance. An
S/D latch of [14] uses RC filtering prevents feedback loops from stabilizing erroneous
values flipped by particle striking feedback loops. In the SDT latch of [15], the transistors
on feedback loops are duplicated to prevent them from incorrectly conducting between
the loop and Vss / Vdd.
For errors on latches, several soft error hardened (SEH) latches have been
proposed. The Cosmic‐Ray immune (CRI) Latch [16] is one of SEH Latches, the CRI latch
accomplishes good trade‐off between area and error tolerant capability. The evaluationin [16] provides not only simulation results but also results obtained by actual
experiments including radiation tests. The results suggest that the latch have a sufficiently
high SEU tolerant capability for use in sub‐90 nm technologies through they cannot
tolerate some errors. The authors group presented soft error tolerant latches allowing
enhanced scan delay fault testing by adding transistors to the CRI [16]. The paper [17]presented latches with higher critical charge than [16] by adding transistors to the latchesof [16].
This paper presents the background and setup of the experimentation on an
actual device. In this experimentation, several flip‐flops consisting of the latches: DICE
latch, CRI latch, the latch of [14], are mounted on an actual device. Neutron beam isdelivered to the device. The device is observed by an observation equipment mounted on
Raspberry Pi during radiation; the number of flip‐flops in which stored values change due
to soft error.
{This paper is organized as follows. Section II introduces related works as preliminaries.
Section III provides the construction and features of the proposed latch. Section IV
presents the simulation and evaluation results. Finally, Section V concludes the paper.}29

2. PRELIMINARIES
2.1.

Soft error
A soft error is a bit upset that is caused by striking of α‐particle and neutron in acircuit. The striking may causes a nuclear reaction at transistors; holes and electrons are
generated in the transistor. The generated holes and electrons are accumulated in a drainnode, leading an upset. The effect of the upset can be propagated to the whole circuits. A
soft error occurs if the charge of the particles is beyond an expected range, called as
critical charge. In other words, high critical charge means a high soft error tolerantcapability.
The direction of soft errors is determined by types of transistors (NMOS or PMOS)
a particle strikes. If a particle strikes a PMOS transistor, it is possible that an error from 0
to 1 occur at the source / drain of the transistor; however errors with the opposite
direction (from 1 to 0) never occur at the source / drain. Similarly, if a particle strikes a
NMOS transistor, only errors with the direction from 1 to 0 occur at source / drain oftransistor.
2.2 Soft error hardened latch
Figure 1 shows the construction of normal latch. This latch has two inputs D, CLK
and CLKB. D is a normal input. CLK is a clock input and CLKB is an inverted clock input.
The latch can store value 1 or 0 and has two states: set and reset. But the normal latch
typically does not tolerate soft error.
Here we introduces four conventional soft error tolerant schemes: Cosmic‐Ray
Immune (CRI) Latch [16], Soft Error Tolerant Latch Allowing Enhanced Scan Delay Fault
Testing [17] and Soft Error Tolerant Latch for Enhanced Scan Delay Testing with highcritical charge [18]. These latches tolerate soft errors occurring on the latch; errors on
combinational parts of logic circuits are not supported.

CLK

Node_A

CLKB

CLKB
Node_B

CLK
Fig 1. Normal Latch

30

1) Cosmic‐Ray Immune Latch [16]Figure 2 shows the construction of the CRI latch [16].The latch has three inputs D,
CK and CKB. D is a normal input. CK is a clock input and CKB is an inverted clock input.The
latch has three nodes PDH, NDH and DH to store a value, and two feedback loops, a PDH‐
DH loop and a NDH‐DH loop. The PDH‐DH loop passes through PMOS transistors P2, P3
and P6; the NDH‐DH passes through NMOS transistors N3, N2 and P6. These two loops
keep the same value unless a soft error occurs. PDH is connected to the source /drain of
only PMOS transistors P1, P2 and P3: it is not connected to the source / drain of any NMOS
transistors. As mentioned in II.A, errors from 1 to 0 never occur at the source / drain of
PMOS transistors. So, such errors never occur at PDH. Similarly, NDH is connected to thesource / drain of only NMOS transistors N1, N3 and N2. So, errors from 0 to 1 never occur
at NDH. DH is connected to the source / drain of both PMOS and NMOS transistors P4, N4,
P5, N5, P6 and N6; errors with both direction can occur at DH.
The latch tolerates a soft error on the latch as follow: As mentioned previously,
soft errors from 1 to 0 never occur at PDH. If an error from 0 to 1 occurs at PDH, the errors
turns P6 off and N2 on. Because P6 turns off, DH is in a high‐impedance state transiently;
the parasitic capacitance at DH keeps the correct value. Although N2 turns on, this does
not affect DH because N3 is in an off‐state. In summary, the error is not propagated to DH
or NDH. After a while, the flipped value at PDH is dis‐charged through P2 and P3, which
are controlled by correct values at NDH and DH and are in on‐state. Similarly the CRI latch
tolerate soft errors occurring at NDH.
Soft errors on DH affect the output node Q because DH is connected to Q throughthe inverter which consists of P7 and N7. So the value of Q charges to the incorrect one
temporarily. In addition it charges the state of P3 and N3. For example the correct valueof DH is one, the error turns P3 off and N3 on. However, it does not affect NDH because
N2 is in an off‐state. The off‐state of P3 makes DH be in a high‐impedance state transiently;
however the parasitic capacitance at DH keeps the correct value. In summary the error
does not affect the value of NDH or PDH. Finally, the error is corrected through P6 or N6,
which are controlled by correct values at PDH and NDH.
In summary, the CRI is capable of tolerating all possible soft error occurring at
single nodes in the latch.
2) Soft Error Tolerant Latch Allowing Enhanced Scan Delay Fault Testing
Figure3 shows the construction of the latch of [17]. This latch not only tolerates
soft errors but also allows enhanced scan testing. We can obtain the latch by adding fourtransistors P8, P9, N8 and N9 to the CRI latch [16] to achieve enhanced scan design. The
latch has two control inputs CNF and CNFB and two scan outputs SCO‐PDH and SCO‐NDH.
The latch supports two operations, namely system and scan‐shift operations, which CNF
and CNFB controls. If CNF=0 and CNFB=1, the latch does system operations, the latch
works in the same way as the original CRI latch. If CNF=1 and CNFB=0, the latch does scan‐
shift operations. The latch is divided into two latches and works as slave and extra latchesof enhanced scan FF. The divided latches cannot tolerate soft errors.
3) Soft Error Tolerant Latch for Enhanced Scan Delay Testing with high critical charge
Figure4 shows the construction of the latch of [18].This latch not only tolerates
soft errors but also allows enhanced scan testing like [17].This latch has higher criticalcharge than [17]. We can obtain the latch by adding four transistors P10, P11, N10 and
N11to the latch of [17], that is, by adding eight transistors P8, P9, P10, P11, N8, N9, N10
and N11to the CRI latch [16].The input and output ports are the same as that of [17]; thelatch supports enhanced scan testing in the same way as [17].
31Fig. 2.Cosmic‐ray immune (CRI) latch [16].

Fig. 3. Soft error tolerant latch allowing enhanced
scan delay fault testing [17].

If an error occurs on the CRI latch, DH can be in a high‐impedance state. In
contrast, DH is always connected to either Vss or Vdd even if a particle strikes at PDH or
NDH in the latch of [18]. This property is given by the four additional latches P10, P11,
N10 and N11 and accomplishes higher critical charge.
The latch of [18] tolerates soft errors on the latch as follows: PDH is connected tothe source / drain of only PMOS transistors, namely P1, P2 and P3. So, errors from 1 to 0
never occur at PDH just like the case of CRI latch. If errors from 0 to 1 occur, it turns P6off,
N2 on, and N10 on. The on‐state of N2 does not affect NDH because N3 is in an off‐state.
Just like the CRI latch, P6turns off. However DH is not in a high‐impedance state due tothe turning on of N10; DH is connected to Vdd because both N10 and N11 are in an on‐state. After a while, the flipped value at PDH is dis‐charge through P2 and P3 just like the
CRI latch. Similarly the latch of [18] tolerates soft errors occurring at NDH; DH is never ina high‐impedance state.
Errors on DH affect the output node Q because DH is connected to Q through theinverter of P7and N7. So, the value of Q changes to the incorrect one temporarily. In
addition, it charges the state of P11and N11 as well as P3 and N3. We assume that thecorrect value of DH is one, the error turns N11 off and P11on. The turning off of N11 does
not affect to any nodes because N10 is an off‐states. Because P10is an on‐state, turning onof P11connects DH to Vss. In the CRI latch, DH is dis‐charged through P2 and P3. In thelatch of [18], DH is dis‐charged through P10 and P11 as well as P2 and P3. This gives
higher critical charge than the CRI latch.
4) Dual Interlocked storage Cell Latch (DICE Latch)
Figure5 shows the construction of the latch of [7].The latch has short delay time,
low power consumption and small area. The latch has three inputs D, CK and CKB. D is anormal input. CK is a clock input and CKB is an inverted clock input. The latch has threenodes net1, net2 and net3 to store a value. All the nodes are connected to the source /drain of both PMOS and NMOS transistors P2, P5, P6, N2, N5 and N6; errors with both
direction can occur at the nodes.
The latch tolerates a soft error on the latch as follow: If an error from 0 to 1 occurs
at net2, the errors turns P1 off and N3 on. Net 3 is connected to both of Vdd and Vssbecause N3, N6, P3 and P6 are in an on‐state. Net3 store an intermediate value between
Vdd and Vss. off, N2 on, and N10 on. Net1 is not affected because P1 is in an off‐state. Aftera while, the flipped value at Net2 is dis‐charged through N2, which are controlled by32

Fig. 4. Soft Error Tolerant Latch for Enhanced Scan Delay Testing with high critical charge [18].

correct values at net1 and are in on‐state. Net1 and Net3 tolerate soft error in the same
way as net2.

3. SIMULATION
To estimate soft error tolerant capability of these latches, we performed
simulations using HSPICE and Predictive Technology Model (PTM) [19]. Experimentationis performed at room temperature 25 degrees C.
Table 1shows the critical (i.e. maximum) charge (fC) of particles which each latch
can tolerate for nodes PDH. PDH has the lowest critical charge for any latches. This result
gives evidence that the latch of [18] has the best soft error tolerant capability (i.e. thehighest critical charge) in the three latches. The CK‐Q delay time of the three latches isshown in Table 1. The delay time of the normal latch is the shortest in these latches. The
average of the peak power consumption for the rising and falling edge of Yang FF is thelowest in these latches.

4. EXPERIMANTATION SPECIFICATION
For the radiation experiment, we designed an actual device. Fig.6 shows the layoutof the actual device. In this time, experimentation are performed for three flip‐flops:
Normal flip‐flop, Yang flip‐flop and DICE flip‐flop. We construct these flip‐flop at 180 nm.
The power supply from Raspberry Pie 3 is 3.3 V. We will perform radiation test once fortwo hours.
Fig7. Illusrate the outline of the experimentation environmaent . The actual device
is connected to a test equipment which is designed on Raspberry Pie 3. All the three FF
33

output a value after six clock rising edge. Normal flip‐flop is constructed by three masterslave flip‐flop.The MS‐FF has two normal latches. The Yang flip‐flop is constructed bythree MS‐FF too. The MS‐FF has CRI latch as master latch and the latch of [18] as slave
latch. DICE flip‐flop is constructed by three MS‐FF. The MS‐FF has two DICE latches.

5. CONCLUSION
This paper presented preliminaries and specifications of the neutron radiation tosoft error hardened latches. The soft error is a transient‐induced event on memory andlogic circuits caused by striking of high energy neutron radiation from cosmic rays.
However, evaluations in many papers provides not only simulation results but also results
obtained by actual experiments including radiation tests. To confirm the validity of thesimulation results, we are making experimentation on an actual device.

ACKNOWLEDGMENT
This work was supported by VLSI Design and Education Center (VDEC), theUniversity of Tokyo in collaboration with Synopsys, Inc, Cadence Design Systems, Inc,
Mentor Graphics, Inc, Rohm Corporation and Toppan Printing Corporation.
TABLE1
The critical Charges (fC) of particles, Delay time (ps) and dynamic power (uW)of the three latches

normalqcrit(fQ)delay(ps)power_rise(uW)power_fall(uW)

dice
9
14.21
522
528

30
21.21
576
601

yang1
99
38.13
510
487

Fig. 5. DICE latch

34

Fig 6.
Layout of the actual device

Fig 7.
Test equipment

35

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

The Effectiveness Of Addition Nelson Traction On Microwave
Diathermy (MWD) Intervention And Transcutaneous Electrical
Stimulation (TENS) For Upper Thoracal Joint Blockade Pain
Reduction.
Susanaa, Agus Hendra Wahyudi
aalumni student at Fisioterapi Indonesia Esa Unggul, Kebun Jeruk Jakarta 11510,

Indonesia
Josaphat Microwave Remote Sensing Laboratory, Center for Environmental Remote
Sensing, Graduate School of Advance Integration Science, Chiba University,1‐33, Yayoi,
Inage,Chiba, 263‐8522, Japanb

Abstract
This research aims to determine the effect of Nelson Traction combined with theprovision MWD and TENS on pain reduction upper thoracal result of joint blockade. The
sample of 10 people who were devided into age and gender were used in this research.
This study was quasi experimental in the treatment compare before and after therapy
MWD+TENS+Nelson Traction. Measuring tool used was Visual Analogue Scale (VAS).The
effect therapy was reduced blood circulation, relaxation of muscle, pain reduction in thelevel of sensory, spinal level and in the supra spinal level and also obtained anothereffect that was opening joints that locked , restore nucleus anteriorly, streching muscles
and ligaments, widening the intetvertebral foramen, and reduced disruption of
respiration especially during inspiration. Statistical data were processed and analysedby wilcoxon match pairs and Mann‐Whitney method by SPSS software tools. There wasfound that the pain were reduced sigificantly between before and after intervention
reach to 26.70 VAS and P value 0,005(P <0,05).

Keywords
Nelson Traction, Joint Blockade, pain, MWD, TENS
1. INTRODUCTION

According to Rene Cailiet 80 % population had never felt pain throughout theirlives regardless of gender, age, social level, and the profesi. In his book Mc. Kenzie said
the back pain is divided into upper back pain and lower back pain. Judging the aspects ofbiomechanics . The cause of back pain is divide into errors postural in the long term andkinetic back pain is pain that arises due to bnormalyties or errors postural can beexperience by anyone for example a student who has habit of writing by means ofbending his back, a man who worked at in front of the computer by means of bending
caused due to the high table computer that does not comply with chairs.

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

Based on the declaration of WCPT (Word Confederation Physical Therapy) in
Yokohama, pyhsiotherapy is integral part of the health care profession which are
addressed to individuals and groups to development, maintainance, and restore
movement and fucntion of the body throughout their life cycle of using techniques
MWD,SWD,TENS,IIR, ULTRA SOUND, Massage, exercise therapy, and manipulation
methode such as Nelson Traction.
Some cases of back pain also combine with joint blockade which is needed torelease back with manual therapy. In this research we will focus on addition of manual
therapy Nelson Traction Methode effectiveness in reduction of back pain and combine
this methode with MWD ‐ TENS therapy.
2. THEORY

Back pain is a pain in the back. Episodes of back pain may be acute, sub‐acute, orchronic depending on the duration. The pain may be characterized as a dull ache,shooting or piercing pain, or a burning sensation. The pain may radiate into the arms
and hands as well as the legs or feet, and may include paresthesia (tingling with noapparent cause), weakness or numbness in the legs and arms. The anatomic
classification of back pain follows the segments of the spine: neck pain (cervical), middle
back pain (thoracic), lower back pain (lumbar) or coccydynia (tailbone or sacral pain)with the lumbar vertebrae area most common for pain and some times can be difficult
to breath.
2.1 Anatomy and Fisiology Of Trunk
The totally of trunk is described in figure 1 which consist ofparticularly cervikal 7, thoracal 12, lumbal 5, sacral 5, cocygeus 4‐5 bones.

33 bones,

Figure 1. Human’s trunk anatomy
The trunk work as stabilizers of body and there is many muscles in the trunk.

38

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

2.2 Facet Joint Anatomy
The facet joints are paired joints in the back and neck, one pair at each vertebral level(one joint on each side of the vertebrae). These joints have opposing surfaces of cartilage(cushioning tissue between the bones) and a surrounding capsule that is filled with synovial fluid,which reduces the friction between bones that rub together.

Figure 2. Facet Joint Anatomy
2.3 Joint Blockade on Thoracal Joint
At one the time a joint occur locking is a condition that occurs in the joint thathave a meniscus uch as the spinal facet joint.In this research about joint blockade in
facet processus transversus inferior cervical 7 and facet precesesus tranversus superior
in thorakal 1 until thoracal 12.
Joint blockade will occur cause poor postur, antero postero cercical, kiphosis .
Thoracic facet joints. pain caused by thoracic facet joints (in the upper spine) is typically felt in theupper back, chest, and/or arm (rarely).
How to know the joint is blockade?there is special exmination to know it. It’s
examination is PACVP (Postero Anterior Central Vertebral Pressure). If there is hurtwhen PACVP done and the pysical therapis feel firm end feel in the last examination it
positif joint blockade.
2.4 Visual Analogue Scale (VAS)
VAS is measuring the intensity and type of pain, with use line 10 cm to describe
intensity of pain. It’s start zero pain, midlle pain, and sore pain.
2.5 Micro Wave Diathermy (MWD)
It’s a therapy method to use stressor fisis electromagnetic resulting from current
frecquensy 2450MHz with waves lengths 12,25cm.
2.6 TENS
Transcutaneous Electrical Nerve Stimulation (TENS) it’s one of therapy methodthat use electricity in stimulation nerve sensori and it will reduce pain through gate
control theory.
TENS has the form of monophasic, biphasic, and polyphasic. Monophsic has theform retranguler, trianguler, and half sine wave in the direction of the biphasic while

39

The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

in the polyphasic pattern there is a series of sine waves and the form of interfernceor mixed.
2.7. Nelson Traction
It’s manipulation method which use to open facet joint locked. The effect oftherapy can open joints that locked , restore nucleus anteriorly, streching muscles andligaments, widening the intervertebral foramen, and reduced disruption of respiration
especially during inspiration.
3. METHODE

This Research methode utilize quasi experimental and Statistical data wasprocessed and analysed by wilcoxon match pairs and Mann‐Whitney method, compare
before and after therapy MWD+TENS+NELSON TRACTION, and calculation with SPSS
2000 program. This research have been done in Navy Hospital Mintohardjo West
Jakarta.
4. RESULT AND ANALYSISThis research implement on 10 person consist of 2 men and 8 women. Below
table 1 show distribution of sample by gender.
Tabel 1. Distribution sample by gender
GenderMan
Woman
TotalySample
N
2
8
10

P
%
20
80
100

While sample distribution by age is described in table 2.
Tabel 2. Distribution sample by Age
Age(Years)
20‐27
28‐35
36‐43
44‐51
52‐58
59‐65
Totaly inpersenSample

P

N
1
2
3
3
1
0
10

%
10
20
30
30
10
0
100%

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The 7th Indonesia Japan
Joint Scientific Symposium(IJJSS 2016)
Chiba, 20‐24November 2016

After being given MWD+TENS+Nelson Traction therapy there werereduction pain result on thoracal joint because of joint blockade. The result can be seen
in table 3.
Tabel 3. Relief of pain before and after therapy
Sample
1
2
3
4
5
6
7
8
9
10
Mean
SD

Before

After
50
55
39
48
58
39
62
50
90
51
54,20
14,543

Change
3
28
16
46
25
35
39
20
24
39
27,5
12,782

47
27
23
2
33
4
23
30
66
1
26,70
19,368

Statistical data were processed and analysed by wilcoxon match pairs and Mann‐
Whitney method. There were found that the pain were reduced sigificantly between
before and after intervention reach to 26.70 VAS and P value 0,005(P <0,05).
5. CONCLUCION

There were some positif change effect therapy MWD+TENS+NELSON TRACTION
before and after intervention to reduce pain caused by joint blockade upper thoracalwith reach to 26.70 VAS and P value 0,005(P <0,05).
REFERENCES
Atkinson, Karen, et al (1999), Physiotherapy in Orthopaedics A Problem‐Solving
Approach, Churchill Livingstone, London.
Donatelli, Robert, and Wooden, Michael J, (1989), Orthopaedic Physical Therapy,
Churchiil Livingstone, New York.
Kisner, Carolyn, and Colby, Lynn Allen (1996), Therapeutic Exercise Foundations andTechnique, Third Edition, F.A. Davis Company, Philadelpia.
Low, John, and Reed, Ann (2000). Electrotherapy Explained Principles and Practice,
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John
&
Dyson,
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Oxford, Auckland, Boston,41