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ENVIRONMENTAL RESEARCH JOURNAL
Volume 3, Issue 2/3
TABLE OF CONTENTS
Human Waste - A Potential Resource: Converting Trash into Treasure by
Embracing the 5 R’s Philosophy for Safe and Sustainable Waste Management
Rajiv K. Sinha, Sunil Hera Gokul Bharambe, Swapnil Patil,
Pryadarshan Bapat, Krunal Chauhan and Dalsukh Valani
Effective Removal of Low Concentrations of Arsenic and Lead and theMonitoring of Molecular Removal Mechanism at Surface
Yasuo Izumi
Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer
Joong Kyun Kim and Geon Lee

143

205
219

Equity of Access to Public Parks in Birmingham, England237
Andrew P. Jones, Julii Brainard, Ian J. Bateman and Andrew A. Lovett
An Idea for Phenomenological Theory of Living Systems
Svetla E. Teodorova
A New Trait of Gentoo Penguin: Possible Relation to Antarctica Environmental
State?
Roumiana Metcheva, Vladimir Bezrukov, Svetla E. Teodorova
and Yordan Yankov
Assessing Population Viability of Focal Species Targets in the Western
Forest Complex, Thailand
Yongyut Trisurat and Anak Pattanavibool
Protection of Riparian Landscapes in Israel
Tseira Maruani and Irit Amit-Cohen
Hydraulic Characterization of Aquifer(S) and Pump Test Data Analysis of
Deep Aquifer in the Arsenic Affected Meghna River Floodplain of Bangladesh
Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes andDavid W. Clark
Nova Science Publishers, Inc.
Hauppauge, New York
2009

257

271

285
305

325

Environment Research Journal
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Editor-in-Chief
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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

HUMAN WASTE - A POTENTIAL RESOURCE:
CONVERTING TRASH INTO TREASURE BYEMBRACING THE 5 R’S PHILOSOPHY FOR SAFEAND SUSTAINABLE WASTE MANAGEMENT
Rajiv K. Sinha∗1, Sunil Herat 2 Gokul Bharambe3, Swapnil Patil 3,
Pryadarshan Bapat 3, Krunal Chauhan3 and Dalsukh Valani 3
1

Visiting Senior Lecturer, School of Engineering (Environment), Griffith University,
Nathan Campus,
Brisbane, QLD-4111, Australia
2
Senior Lecturer, School of Engineering (Environment), Griffith University
3
Master Student, School of Engineering (Environment), Griffith University

Keywords: Culture of Consumerism; Culture of Disposables; Packaging Culture;
Australians and Americans as Superconsumers and Waste Generators; Waste – A Misplaced
Resource; Traditional Societies – Recycling Societies; Modern Society – Throwaway Society;
Waste – Source of Greenhouse Gases; Vermiculture Movement for Efficient and Costeffective Waste Management.

1. INTRODUCTION
Waste is being generated by the human societies since ancient times. Ironically waste was
not a problem for the environment when men were primitive and uncivilized. Waste is aproblem of the modern civilized society. Materials used and waste generated by the
traditional societies were little and ‘simple’ while those by the modern human societies arelarge and ‘complex’. With modernization in development drastic changes came in ourconsumer habits and life-style and in every activity like education, recreation, traveling,feeding, clothing and housing we are generating lots of wastes. The world today generate
about 2.4 billion tones of solid waste every year in which the Western World alone
contributes about 620 million tones / year.
Discarded products arising from all human activities (cultural and developmental) andthose arising from the plants and animals, that are normally solid or semi-solid at room∗

Corresponding Author: Rajiv.Sinha@griffith.edu.au

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Rajiv K. Sinha, Sunil Hurat, Gokul Bharambe et al.

temperature are termed as solid wastes. Municipal solid waste (MSW) is a term used torepresent all the garbage created by households, commercial sites (restaurants, grocery andother stores, offices and public places etc.) and institutions (educational establishments,
museums etc.). This also includes wastes from small and medium sized cottage industries.
We are facing the escalating economic and environmental cost of dealing with current
and future generation of mounting municipal solid wastes (MSW), specially the technological(developmental) wastes which comprise the hazardous industrial wastes, and also the healthcost to the people suffering from it. Developmental wastes poses serious risk to human healthand environment at every stage – from generation to transportation and use, and during
treatment for safe disposal. Another serious cause of concern is the emission of greenhousegases methane and nitrous oxides resulting from the disposal of MSW either in the landfills orfrom their management by composting.
Dealing with solid household waste in more sustainable ways involves changes not only
to everyday personal habits, consumerist attitudes and practices, but also to the systems ofwaste management by local government and local industry and the retailers.
This chapter reviews the causes and consequences of escalating human waste, theincreasing complexity of the waste generated, and the policies and strategies of safe waste
management. It also provides ‘food for thought’ for future policy decisions that governmentof nations may have to take to ‘reduce waste’ and divert them from ending up in the landfills,
drawing experiences from both developed nation (Australia) and a developing nation (India).

2. CITIES AS THE CENTERS OF MOUNTING MUNICIPAL WASTES
Cities have become major ‘centers of consumption and waste generation’ all over theworld. In fact a city ‘consumes’ as well as ‘produce’. This is called ‘urban metabolism’. City
use some 75 % of world resources and release a similar proportion of wastes. According to
UN Population Fund Report (1990), a city with one million population consumes 2000 tonesof food and 9,500 tones of fuel, generating 2000 tones of solid wastes (garbage and excreta)and 950 tones of air pollutants; consumes 6,25,00 tones of pure water and secrete 5,00,000
tones of sewage. (UNEP, 1996).
United Nation Environment Program (UNEP) worked out the urban metabolism of
London city. Greater London with a population of 7 million consumed 2,400,000 tones offood; 1,200,000 tones of timber; 2,200,000 tones of paper; 2,100,000 tones of plastics;
360,000 tones of glass; 1,940,000 tones of cement; 6,000,000 tones of bricks, blocks, sandand tarmac; 1,200,000 tones of metals every year and produced 11,400,000 tones of industrial
and demolition wastes; 3,900,000 tones of household, civic and commercial wastes and7,500,000 tones of wet, digested sewage sludge. Everyday London dispose off some 6,600
tones of household wastes. (UNEP, 1996).

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145

3. MODERN CULTURE OF CONSUMERISM: THE ROOT OF WASTE
PROBLEM
The root of waste problem is the ‘culture of consumerism’ and is directly proportional tothe affluency of the human societies. To this has added the ‘culture of disposables’. Large
number of goods in the society are being manufactured for only ‘one time use’, and to bediscarded as waste after use. Modern urban culture of using ‘canned and bottled foods’,‘frozen foods’, ‘take-away foods’, exchange of ‘greeting cards’ on all occasions, using‘disposable’ home equipments (spoons, cups, plates, tumblers and safety razors), medical
instruments (syringes, sharps and needles), office equipments (writing pens and utilities), andplastic bags in all grocery shopping has escalated the solid waste problems.
People all over the world consume food and the 5 P’s (paper, power, petrol, potable waterand plastics) in their daily life without realizing the environmental consequences and costs of
the waste generated in their production, distribution, and consumption. Every commodity
processed from natural resources, and every consumer product, from ‘shampoo tochampagne’ has an environmental cost and generally causes some damage to theenvironment, ‘before use’, as a source of pollution during production, and ‘after use’, aswaste (Eklington and Hailes, 1989).

3.1. Waste Generation Is Proportional to Resource Consumption
and the Way We Use Resources
Consuming resources and generating wastes are ‘two sides of the same coin’. The way
we use resources to maintain our ‘quality’ of life, assumes as much significance in waste
generation as the sheer amount of resources that we use. For instance, one kilogram of steel
might be used in a construction that lasts hundreds of years or in the manufacture of severalcans thrown away just after a few uses. A few kilograms of PVC plastic materials might bemolded into durable home and office furniture, water and sewer pipes, and remain useful for
decades or might be used to manufacture plastic bags to be used just once or twice and thenthrown away as enduring waste.

Packaging Culture Proliferate Waste Generation
Packaging materials have become part of our modern culture and generate huge amountsof waste. Manufacturers and retailers see packaging as a way to attract purchasers. Everythingneeds fine packaging today, from cornflakes to computers, from gifts to garments, fromflowers to foods. Life today cannot be imagined without plastic bags, glass bottles, paperboxes, tins and cans. Plastics are versatile, convenient and light weight — good packaging
material — but ultimately end up as a non-biodegradable waste in the landfills to remain
intact for centuries.
On average each European Union citizen is currently responsible, directly or indirectly,
for the generation of some 172 kg of ‘packaging waste’ every year. Packaging waste
generation increased by 10 % in the EU between 1997 and 2002. Per capita consumption ofplastics increased by almost 50 % from 64 kg / year in 1990 to 95 kg / year in 2002. Only UK

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Rajiv K. Sinha, Sunil Hurat, Gokul Bharambe et al.

managed to actually reduce, and Austria stabilize the generation of packaging waste since1997. (GEO, 2006).
Plastic consumption in Australia has increased from negligible quantities in the early
1940s to enormous quantities today. Plastics made up around one-third of all rubbish
collected on Clean Up Australia Day (Clean Up Australia 2004). Even though Australians
reduced their use of plastic shopping bags by around one-fifth between 2002 and 2004, each
person was still using almost one bag per day (EcoRecyle 2006). Australians use 6 billion
plastic bags every year much of that end up in landfills. These bags form litter, infest andblock waterways, kill animals.

The ‘Ecological Footprint’ of Global Human Population
The Measure of Resource Consumption and Waste Generation. An ecological footprint isan estimate of the average area of productive land and water required to maintain a given
population’s resource consumption and waste generation. (Table 1). In this instance we
simply use it to indicate the comparable cost and sheer significance of waste generation.
Australia with a small population of just 19.5 million, is part of the North developed world,and Australians are ‘super-consumers’ and ‘super-waste makers’.
Table 1. Ecological Footprints of Human Population on Earth Reflecting Resource
Consumption Vis-à-Vis Waste Generation (2002)
Total
Population(millions)
World
High income˚ countries
Middle income countries
Low income countries
Australia
United Kingdom
China
Asia Pacific (regional)
CanadaUSA

6 225.0925.6
2 989.4
2 279.8
19.5
59.3
1302.33448.4
31.3
291.0

Total
Ecological
Footprint(global ha/person)
2.2
6.4
1.9
0.8
7.0
5.6
1.6
1.3
7.5
9.7

Total
Energy Footprint(global ha/person)
1.2
4.1
0.9
0.3
4.0
3.6
0.7
0.6
4.6
6.3

Total
Biocapacity*(globalha/person)
1.8
3.4
2.1
0.7
11.3
1.6
0.8
0.7
15.1
4.7

Source: Global Footprint Network (2005).
*Biocapacity includes cropland, grazing land, forest and fishing ground.
˚High income countries includes Australia.

In developing Asian countries, consumption and waste generation is growing at an
unprecedented pace and populous countries like China and India are becoming consumerist.
The ‘consuming class’ in India is estimated at around 100 million, and in China at 200
million; traditional conservative Indians believing in modesty, simple living and saving, aregradually giving way to rich generations highly influenced by the consumerist North (UNEP,
2006). China manufactures, packages, transports, distributes nationally and for export over 60
billion pairs of disposable wood chopsticks which use up over 32 million trees, harvested

Human Waste - A Potential Resource
unsustainably,indeed
China
risks
being
without
forests
years.(<http://blog.bcchinese.net/bingfeng/archive/2006/01/25/51815.aspx>).

147
withinten

4. WASTE GENERATED IN THE RICH VIS-A-VIS IN THE POOR
SOCIETIES OF WORLDThe United Nations Environment Program (1992) carried out a study of per capita waste
generation in the low, middle and the high-income countries and found it to be 0.5, 1.5 and3.5 kg. per day per person respectively. The solid wastes generated in the rich affluent
societies of the developed nations are exceptionally large in quantity and varied in quality(components). Of these, a considerable part is hazardous waste.

4.1. Waste Generated in the Rich Developed Countries of World
The World Watch Institute (1991), Washington, reported that 14 out of 16 members ofOECD countries showed increase in generation of MSW per person between 1980 – 85. In
the US, each sunset sees a new mountain of nearly 410,000 tones of garbage. (Toth, 1990).
The countries of the European Community (EC) throws away an estimated 2 billion tones ofsolid waste each year. Only Japan and West Germany produced less waste, but after
unification MSW in Germany skyrocketed. Americans, Canadians and Australians are great
waste makers. They generate roughly twice as much garbage per person as West Europeans
or Japanese do. In his /her lifetime an average American wear and discard 250 shirts and 115
pairs of shoes; use and discard 27,50 newspapers, 3900 weekly magazines and 225 pounds ofphone directories; consume 12,000 paper grocery bags, use 28,627 aluminum cans weighing
1022 pounds, use 69,250 pounds of steel and 47,000 pounds of cement. The Scandinavian
nations generate much less waste than the Americans and Europeans. (WWI, 1991; UNEP,
1996).
Table 2. Average Per Capita Municipal Solid Waste (MSW) Generated by Some
Developed Nations Country Waste Generation Per Day (in Kg)
Country
USA
Japan
FranceSingapore
Germany
Italy

Waste Generation Per Day (in Kg)
1.80 – 2.60
1.38 - 2.10
1.10 – 1.90
0.87 – 1.37
0.75 – 1.85
0.69 – 1.75

Source: WWI (1990):‘State of the World’ (These are 1990 Values which must have increased).

Table 3. Urban Waste Generated in Some Developed (Rich) Countries
Urban Waste Generated in Some Developed (Rich) Countries
Country
Annual Generation (In tones)
USA
20,00,00,000

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Rajiv K. Sinha, Sunil Hurat, Gokul Bharambe et al.
Table 3 – Continued

CanadaAustralia
Spain Netherlands
Belgium Sweden
Switzerland
Denmark
Norway New ZealandFinland

1,26,00,000
1,00,00,000
89,28,000 54,00,000
30,82,000 25,00,000
21,46,000
20,46,000
17,00,000 15,28,000
12,00,000

Source: Dorling Kindersley ‘Blueprint for Green Planet’ ;London (1987).

4.2. Waste Generated in the Poor Developing Countries of WorldIn the low and middle income developing countries of Asia, Asia-Pacific and Africa,
waste is a luxury, only produced by the wealthy minority which of course is increasing withthe growing economy and the exploding population. What is most concerning is that thewaste is not regularly collected by the municipal authorities and often becomes a horrible siteof piled and rotting waste on street corners with stray animals (dogs, pigs and cows) feedingon the scraps. Domestic waste heaps often becomes sites of defacation and discharge ofhuman excreta and illegal dumping of hazardous wastes by scrupulous industries withpotential health threats. Municipal waste services often swallow between a fifth and a half ofcity budgets, yet much solid waste is not removed. Even if municipal budgets are adequate forcollection, safe disposal of collected wastes often remains a problem. (Holmes, 1984).
Another ugly feature in these countries are that waste is often picked up by poor people
called ‘rag-pickers’ for whom waste reuse and recycling is a way of life, and many poorsocieties survive here by scouring the garbage of the rich for valuable scraps. They collectrecyclable wastes (mainly papers, plastics, glasses and metals) from the street corners andeven the dumpsites and sell them to the recycling industries to earn for their livelihood.
Table 4. Average Per Capita Municipal Solid Waste (MSW) Generated by Some
Developing (Poor) Nations Country Waste Generation Per Day (in Kg)
Country
PakistanIndonesia
India
Nigeria

Waste Generation Per Day (in Kg)
0.25 – 0.60
0.33 – 0.55
0.15 – 0.51
0.16 – 0.46

Source:WWI (1990);’State of the World’ (These are 1990 Values which must have increased).

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149

4.3. Typical Waste Components in the MSW Generated in Both Rich
Developed and Poor Developing and Underdeveloped Nations
Several waste components have been identified in the municipal solid waste (MSW) of
both the rich and poor societies of world. It ranged from twelve (12) to fourteen (14) and aconsiderable portion of this waste is ‘Organic’ while others are ‘Inorganic.’ Ironically, there
is relatively high amount of food waste in poor developing and underdeveloped nations ascompared to the rich developed nations. In contrast, there is high amount of paper and garden
wastes in rich nations and low in poor nations. However, very little (or none) food waste
finally reach the waste dump-sites in poor nations as they are scoured and scavenged by strayanimals – pigs, dogs and cattle and even by the poor street beggars. Paper, cardboard, plastics,
leather, wood and metals also do not reach the dump-sites and are picked up by ‘rag-pickers’.
(WHO, 1976).
Table 5. Solid Waste Components in MSW of Low, Middle and High Income Countries(In % age)
Waste Components
Organic
Food Waste
Paper
Cardboard
Plastics
TextilesRubber
Leather
Garden Wastes
Wood
Inorganic Glass
Tin cans
Aluminum
Other Metals
Dirt, Ash etc.

Low-Income

Middle-Income

High-Income

40 – 85
1 – 10
1–5
1–5
1–5
1–5
1 – 10
1–5
1 – 4020 – 65
8 – 30
2–6
2 – 10
1–4
1 – 101 – 10
1–5
1 – 30

6 – 3020 – 40
5 – 15
2–8
2–6
0–2
0–2
10 – 20
1–4
4 – 12
2–8
0–1
1–4
0 – 10Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995).
Low Income = Underdeveloped African, Asian and Pacific Nations;Middle Income = Developing Asian, African, Pacific and South American Nations.
High Income = Developed European and North American Nations and Australia.

Table 6. Typical Solid Waste Components in the MSW of an European Society Waste
Components Percentage (%)
Waste Components
1. Paper and paper products
2. Metals
3. Glass
4. Plastics

Percentage (%)
Germany
19.9
8.7
11.6
6.1

Switzerland
26.6
5.6
11.5

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Rajiv K. Sinha, Sunil Hurat, Gokul Bharambe et al.
Table 6 – Continued

5. Textiles
6. Minerals
7. Wood, leather, bones, rubber
8. Compounded materials
9. Sieving fractions (0-12 mm)
10. Sieving fractions (12-50 mm)
11. Residue
12. Total unidentified fraction

1.5
2.9
2.3
0.8
8.6
15.6
26.8
51.0

2.8
1.1
3.1
0.7
9.2
8.1
27.1
44.4

Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995).

Table 7. Typical Solid Waste Components in the MSW in U.S. Society (in % age)
Organic
1 Food Waste
2. Paper3. Cardboard
4. Plastics
5. Textiles
6. Rubber
7. Leather
8. Yard waste

9.0
34.0
6.0
7.0
2.0
0.5
0.5
8.5

Inorganic
10. Glass
11. Tin cans
12. Aluminum
13. Other Metal
14. Dirt, Ash etc.

8.0
6.0
0.5
3.0
3.0

Total = 100.00

Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995)

5. CHANGING CHARACTER OF THE MSW IN MODERN SOCIETY:
INCREASING AMOUNTS OF TOXIC MATERIALSThe character and composition of the municipal solid wastes (MSW) are changing in themodern human society. Significant changes have occurred in the composition of municipal
solid waste (MSW) ever since the technological revolution of the 20th century. They are nolonger only ‘organic’ waste, as it used to be in the earlier societies. The technologicaldevelopment which mainly influenced the character of the MSW was the fossil fuel driven‘industrial revolution’ and the agro-chemicals driven ‘green revolution’. Waste componentsthat have an important influence on the composition of the MSW are food waste, paper andplastic wastes, the white goods and the hospital wastes. What is the matter of more serious
concern is that all ‘living organisms’ including the human beings have become exposed tochemicals for which there has been no evolutionary adaptation and experience. The chemicals
in the hazardous wastes mixed up with the MSW are completely ‘foreign’ to living organism.
(Sinha and Sinha, 2000).

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151

5.1. Changing Quality and Quantity of Food Wastes in the MSW
The quantity and quality of residential food waste has changed significantly over theyears as a result of technical advances in food growing (use of agro-chemicals) and foodprocessing and packaging (use of chemical preservatives), and public attitudes towards foodprocurement i.e. relying more on processed and packed takeaway foods rather than cooking
food at home from raw materials. However, due to education and awareness about thenutritive values of home cooked food, now people are moving back again towards homecooking.
Two technological developments that have had a significant effect on generation of foodwaste are the development of the ‘food processing and packaging industries’ and the ‘use of
kitchen food waste grinders’ in modern homes. Because of kitchen grinders the grinded foodwastes are delivered directly into the sewer systems rather than being disposed as MSW. In
these modern homes, the percentage of food wastes, by weight, has decreased from about 14% in the early 1960s to about 9 % in 1992. In the packed and takeaway food culture, thegeneration of food wastes in homes have reduced, but it has increased significantly in thefood processing industries and the food outlets. In homes, and the food outlets there are more
paper and plastic wastes due to over-packaging of processed foods, than food wastes itself.

5.2. Proliferating Plastic Wastes in the MSW
Percentage of plastics in MSW has also increased tremendously during the last 50 years.
The use of plastic has increased from almost non-measurable quantities in the 1940s to
between 7 - 8 %, by weight, in 1992. It is anticipated that the use of plastics will continue toincrease, but at a slower rate than during the past 25 years. (UNEP, 1996).

5.3. Escalating Electronics Waste in MSW : Heading for E-waste ‘Tsunami’?
Electronic waste is a growing concern as technology changes and new generations ofelectronic products and equipments more sophisticated, improved and upgraded versions
continue to invade the market and the minds of consumer’s. The unfortunate part is that theprice of the new models and upgraded versions is continuously falling giving more temptation
to the consumers for discarding the old ones and replacing with the new.
The UNEP working group on Sustainable Product Design described the e-waste
essentially as a chemical waste. Electronics industry uses several hazardous chemicals
including toxic heavy metals (lead, cadmium, mercury, chromium, barium etc.), acids andplastics, chlorinated and brominated compounds in production process. Developers ofelectronic products are introducing chemicals on a scale which is totally incompatible withthe scant knowledge of their environmental or biological characteristics. (O, Rourke, 2004).
More than 2 million tons of e-waste ends up in landfills every year and there is serious threatof leaching lead (Pb) and other heavy metals that may seep into groundwater supplies.
Incineration results into emission of dangerous dioxins and furans as e-waste containconsiderable amounts of plastics, brominated and chlorinated compounds. (Sinha, et. al.,2006).

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Rajiv K. Sinha, Sunil Hurat, Gokul Bharambe et al.

Recent study indicate that e-waste make up approximately 1 % of the MSW waste stream
in all developed nations and mercury (Hg) from the e-waste has been cited as the main sourceof this heavy metal in the general MSW. E-waste in MSW is creating serious health andenvironmental problems for the MSW landfills and the waste workers, and for the MSW
incinerators. In Europe the e-waste is growing at three times the rate of other MSW andmixing with it. ‘USA today is virtually sitting on a mountain of obsolete PCs’. A report
produced by the Silicon Valley Toxics Coalition (a grassroots coalition that performs research
and advocacy on health and environmental issues related to electronics industries in the U.S.)in 2001 suggest that if all the consumers decided to throw out their obsolete computer at thesame time, the country would face a ‘tsunami’ of e-waste scraps between 2006 and 2015. The
report called ‘Poison PCs and Toxic TVs’ was released by another grassroots organization
California Against Waste (CAW). (Anonymous, 1999).

Developing Countries as the Electronic Junkyards of U.S. and Industrialized Nations :An Untenable Choice Between Poverty and Poison
There are reports about Asia, mainly India, China, Taiwan, Vietnam, Singapore andPakistan, being made as the high-tech dumping ground of U.S. An estimated 20 million
computers become obsolete each year in the U.S. and an estimated 200 tons of thesecomputers end up in these countries in the name of ‘reuse’ and ‘recycling’. Low labor cost
and weak environmental regulations have made these countries dumping grounds of e-waste
destined for recycling and final disposal in landfills. A pilot program that collected electronic
scrap in San Jose, California estimated that it was10 times cheaper to ship CRT monitors to
China than it was to recycle them in the U.S. It is still legal in the U.S., despite internationallaw (The Basel Convention, 1989) to the contrary, to allow export of hazardous waste without
controls. (It may be recalled that U.S. has not yet signed the Basel Convention (1989) which
prohibits trans-boundary movement of hazardous wastes). Industry insiders indicate thatabout 80 % of the e-waste goes to Asia and of that 90 % ends up in China. (Puckett et. al,
2002)
A report by Basel Action Network and the Silicon Valley Toxics Coalition ‘Exporting
Harm: The Techno-Trashing of Asia’ asserts that 50 to 80 % of e-waste collected forrecycling in the U.S. is exported to developing nations. BAN produced a film on the reportwhich shows the Guiyu village in Guangdong province in China as ‘electronics junkyard’.
Some 100,000 men, women and children make US $1.50 a day dismantling e-waste by barehands to retrieve the valuable metals and materials. Circuit boards are melted over coal grills
to release valuable metals giving highly toxic dioxin fumes. Riverbank acid baths are used to
extract gold. Lead-containing cathode ray tubes from monitors and televisions are not ofmuch market value and hence are dumped in some wastelands. Toner cartridges are pulled
apart manually, sending clouds of toner dust into the air. Soil and drinking water at Guiyu arecontaminated by lead much above WHO limits- soil by 200 times and water by 2,400 times.
Water has to be trucked from 30 km away. At one point of time both China and India werewilling to take the e-waste for almost free. For poor countries of the world it is an untenablechoice between ‘poverty and poison’. (Puckett et. al, 2002)
In November, 2002 officials from eight Asian nations met in Tianjin, China, under the
auspices of Basel Convention (1989) to prevent their nations from being made the dumping
grounds of hazardous e-waste in the name of free trade (export and import) for recycling
discarded electronic products. It was represented by India, Malaysia, the Philippines,

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153

Singapore, Sri Lanka, Thailand, and Vietnam. Resource persons came from Canada, Japan,
the U.S. and the Secretariat of the Basel Convention. Financial support was provided byAustralia, Japan and Canada. China has now banned and India also follows. (Sinha, et. al.,2006).

5.4. The White Goods and Bulky Items in MSW
There are ‘bulky items’ which include large worn-out or broken household, commercial
or industrials goods such as furniture, lamps, bookcase, filing cabinets, etc. There are‘consumer electronics’ wastes which include worn-out, broken, and no longer wanted items
like stereos, radios, computer and television sets. There are ‘white goods’ as waste which
include worn-out and broken household, commercial and industrial appliances like stoves,
refrigerators, dishwashers, cloth washers and driers. The rejected auto-parts like tires,
batteries and accessories also constitute important constituents of MSW. About 230 to 240
million rubber tires are disposed off annually in landfills or in tire stockpiles. (UNEP, 1996).

5.5. The Biomedical Wastes in MSW
The biomedical waste from hospital and clinics and slaughterhouses contain about 85 %as general refuse, but 10 % is hazardous wastes contaminated with infectious pathologicalagents, and 5 % is non-infectious but potentially toxic (chemicals) and radioactive and hence
hazardous. Dressing and swabs contaminated with blood and body fluids; syringes, needles
and sharps; surgically removed placenta, tissues, tumors, organs or limbs are potentially
infected wastes from hospitals. There are several ‘disposable’ items made of PVC andthermocol now being used in medical organizations. Hospital wastes are of special category
and require special care for final disposal. WHO has provided strict guidelines for their safe
disposal. (WHO, 1976).

6. THE COMPLEX SYNTHETIC WASTES INVADING HUMANENVIRONMENT
Human ingenuity has created some ‘new and synthetic materials’ in the wake oftechnological revolution. They contain both organic and inorganic chemicals and resins andcreates more ‘complex’ type of waste after being discarded. Nature do not possess anyorganism and mechanism to biodegrade them.
The processing of some new materials discovered by technology such as‘semiconductors’, ‘optical fibers’, new class of ‘ceramics’, and ‘composites’ requires the useof large amount of toxic chemicals which eventually ends up as hazardous wastes in the
MSW. These technological wastes are often toxic and are posing danger not only for theenvironment, but also for the human health. It has already caused several accidents, deathsand disabilities among the municipal waste workers.

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6.1. The Non-Biodegradable Wastes: Potential to Remain Long in Human
Ecosystem
The synthetic wastes are ‘non-biodegradable’ because they cannot be decomposed andcan remain in the human ecosystem for years and decades polluting the environment.
Common examples are all forms of plastics, x-ray films, celluloid films, cells and batteries,
several chemicals and all synthetics.
What nature cannot do, human beings are trying to do through the knowledge ofenvironmental biotechnology. Genetically tailored bacteria are being created which would
possess the necessary enzymes to degrade the synthetic wastes. Some strains of bacteria andfungi have been identified in nature too, which has the arsenal to degrade some of thecomplex organic chemicals. Efforts are also being made to create ‘biodegradable synthetics’using ‘starch’ as the raw material. They can be degraded in 4-6 weeks. (Sinha and Sinha,2007).

6.2. The Hazardous Wastes : Permeating the Human Society
Wastes containing toxic chemicals, radioactive substances and infectious materials which
poses potential risk to human health and environment are categorized as ‘hazardous wastes’.
Toxicity, radioactivity, flammability, chemical reactivity, corrosivity, nonbiodegradability, carcinogenicity, mutagenicity, infectiousness, oxidizing and leachating aresome of the characteristics of hazardous wastes. (WHO, 1983).
Many primary and manufacturing industries using toxic chemicals generate hazardous
waste (solid or liquid) in the production process. They can be referred as ‘industrial hazardous
wastes’ (IHW). Many of our favorite cultural activities depend on products the manufactureof which creates industrial hazardous waste. Glaring examples are ‘glass and metal’, ‘paper
and plastic’, ‘leather and textile’, ‘painting and dyeing’, ‘printing and publication’ and‘photography and dry cleanings’. Consumer industries today use a variety of chemicals to
produce ‘consumer goods’ a number of which are now ‘disposables’. When these items are
consumed and discarded by society, they eventually end up as hazardous wastes in ourhomes. This can be referred as ‘household hazardous waste’ (HHW). Prime examples are
torch dry-cells and batteries, pesticides / disinfectant cans and bottles, fluorescent tubes andelectric bulbs, detergents and shampoos, lead-acid car batteries, auto tires and waste oils, andthe expired medicines.
As we enjoy the benefits of consumer goods (furniture and fixtures, white goods,
electrical and electronic goods, automobiles, processed and packed food and drinks etc.)
produced by consumer industries, we also generate considerable amount of hazardous wastes
as by-products when we discard them after use or change the ‘old’ version with ‘new’. They
can be referred as ‘consumer hazardous waste’ (CHW). Industries producing products thatsustain our modern life-style and living habits generate tremendous amount of hazardous
wastes. Glaring examples are the ‘agro-chemical industries’ (to boost our food production)and the ‘petroleum industries’ (which drives our automobiles). (Raghupati, 1994; Sinha andHerat, 2004).

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Household Hazardous Wastes (HHW) : The Poison in Our Homes
Household hazardous wastes are either solids, semi-solids, or liquids. In addition tracechemical compounds can exist as a solute within a liquid solvent, as a gas adsorbed onto asolid, or as a component of the gaseous emissions from MSW.
Plastics contain organochlorine compounds, organic solvents in PVC; paints containheavy metals, pigments, solvents and organic residues; home pesticides containorganochlorine and organophosphates compounds; oil and gasoline contain phenols andorganic compounds, heavy metals, salt acids, ammonia and caustics; textiles may have metaldyes and organochlorine compounds; carpets can contain chemical stain resisters, pesticides,
solvent-heavy glues, VOCs laden underlayer; curtain treated with stain resisters and backing
can give off VOCs; dry-cleaned clothes give off VOCs; chip board and plywood furniture
releases formaldehyde; fibre-glass based insulation of ceiling cavity gives off VOCs; windowsealants give off toxic fumes; bathroom air fresheners release VOCs; and the carcinogenic
benzene can be formed in the garage from the car exhaust. Virtually all of the mercury in
MSW is due to the disposal of household dry cell batteries (mercury, alkaline, and carbonzinc types). A smaller amount of mercury may come from the disposal of broken homethermometers. (Sinha, et. al., 2005 a)
Several toxic chemicals are commonly used today in modern homes that also results into
generation of HHW. They are usually mixed and disposed with the MSW. Some glaring
examples of toxic chemicals used in modern homes that contributes in the generation ofhousehold hazardous wastes (HHW) are1) Perfumes and cosmetics used by the women contain some 884 ‘neurotoxic’ chemicalcompounds. (Report of National Institute of Occupational Safety and Health in theUS).
2) Paper whitener is toxic. The chemical used in it has potential to kill.
3) Cadmium is present in food processing equipment, kitchenware enamels, pottery
glazes and plastics and relatively high levels in the sea foods.
4) Lead is present in paints and dyes, toys and newspapers, solder and batteries, leadwater pipe;5) The highly toxic polychlorinated biphenyls (PCBs) are added to paints, copying andprinting paper inks, adhesive and plastics to improve their flexibility. Fish foodcontain generally higher levels of PCB’s. High levels of PCB’s were reported fromthe breakfast cereals in Sweden and Mexico as a result of contamination by‘packaging materials’.
6) Containers of paints and enamels used in homes and in automobiles. They containdangerous chemicals like glycol, ether, ammonia, benzene and formaldehyde andcontinue to give out toxic fumes at least for 7 years.
7) Containers of pesticides, insecticides, herbicides and fungicides are available inmodern homes to eradicate pests and insects in garden plants, cockroaches andspiders in kitchens and storerooms.
8) Many relatively innocuous items, such as plastics, glossy magazines, and flashlightbatteries used in homes, contain metallic elements.
9) Metals like cadmium (Cd), chromium (Cr), mercury (Hg), and lead (Pb) are present
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particulate matter or vaporized into air. Mercury pose a particular problem because it
volatilizes at a relatively low temperature, 675 °F. (UNEP, 2004).

Very little is known about the amount of HHW generated in various countries. UNEP
(2006) reported that The Netherlands generate 41,000 tonnes of HHW every year. The
University of Arizona, US, made a survey and found that about 100 hazardous items(containers) are discarded per household each year. Australian study made in Melbourne in
1990-92 also found 89,576 kg of hazardous wastes from households. (CSIRO, 1996).

Mercury in the MSW from Household Wastes Has the Potential to Kill : A Case Study
from U.S.
It is interesting to note that if the tons of ‘household batteries’ generated in California iscalculated for whole of U.S., the total amount would be 160,000 tons per year. Given that atypical household battery weighs 50 grams, the corresponding number of batteries is2,910,000,000. It is estimated that more than 2,700,000,000 battery units were purchased in
the US in 1990. If half the household batteries were ‘alkaline’, and assuming that each battery
contained about 1200 mg of mercury (Hg), then, based on the data reported above, 1923 tonsof mercury (Hg) would enter the environment each year in California alone. This mercury isenough to kill 8,730,000,000 people based on a lethal dose of 200 mg per person(Tchobanoglous et. al., 1993).
Such situation exist in all metropolitan cities of world, in both developingand thedeveloped countries. Clearly, proper disposal of these household batteries in the MSW is an
important issues that must be addressed. If not collected separately, all these household
batteries get mixed up with MSW and is disposed in the ‘ordinary sanitary landfills’ insteadof the ‘secured landfills’.
The Hazards of Disposable Baby Nappies in the MSW
More than 20 billion disposable baby nappies (equivalent to some 2.7 million tons ofsolid waste) are ending up in the landfills every year the world over. They contain hazardous
chemical ‘sodium polyacrylate’ (a super water absorbent) responsible for several medical
conditions in infants, including hampering of genital growth in male child. On an average
disposable nappies occupy landfill space of 0.40 m2 per child per year in Australia. They are 2% by weight in total solid waste but occupy 3.5 % of total landfill space. They are also
disturbing the natural microbial biodegradation processes of organic wastes in the closed
landfills by absorbing all water internally. (Brahambhatt and Saeed, 2005).

6.3. The Nuclear Waste : Radioactive Substances Invading the Human
Environment
Nuclear wastes are the result of our urge to generate nuclear energy without emission ofgreenhouse gases (which is in fact a myth as it requires 18 years of CO2 producing fossil fuelenergy (in uranium mining and enrichment, building reactors etc.) to produce one calories ofnuclear generated energy. (Report of Friends of Earth, 2000). Nuclear waste are produced
regardless of whether nuclear fission is controlled (such as for energy generation in reactors),

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or occurs explosively, as in the atom bomb. The resulting fission products, isotopes ofapproximately 30 elements, have mass numbers in the range of 72 to 162, are for the mostparts solids, and emit beta particles, together with electromagnetic reaction (gamma rays)
which are exceedingly penetrating. The chemical separation of fission products and theirconversion to nuclear fuel are the most important sources of radioactive wastes. The
radioactive wastes can be in all the three forms – solid, liquid and gaseous and two categoriesof radioactive wastes are mostly encountered- the Low Level Radioactivity Waste (LLRW)
and the High Level Radioactive Wastes (HLRW). (IAEA, 1991).
Eight tons of liquid radioactive waste result per year from the typical average-size,
nuclear reactor. The ‘nuclear reactors’ mostly generate HLRW in the form of plutonium-239(Pu239). Other two most significant fission products are strontium-90 (Sr90) and cesium-137(Cs137) with half-life of 19.9 and 33 years respectively. They are routinely emitted from thereactors and continue to release radiation energy over long periods of time (several
generations of the human race). Even dismantling (decommissioning) of retiring nuclear
reactors produce enormous amount of radioactive wastes and contaminate vast land area.
There are 439 nuclear power reactors in operation around the world mostly in France andJapan. They would all retire in years to come.
Uranium mining and processing (enrichment) produces huge amount of solid and liquidradioactive wastes which is highly hazardous. The extraction of uranium from the earth crustleaves vast quantities of wastes as ‘tailings’ which contain up to 80% of the original
radioactivity of the extracted ore. After mining uranium is further enriched to produce‘nuclear fuel’. Depleted uranium hexafluoride (DU) is a radioactive waste by-product ofenrichment. For every 1000 tones of processed uranium fuel , 100,000 tones of mined wastes
as tailings and 3,500,000 liters of liquid waste is produced. They migrate into theenvironment through air, soil and water. Processing of uranium ores produces considerable
volumes of alpha emitters, mainly radium-226. The half-life of Ra226 is 1600 years and gives
rise to a toxic gas ‘radon’. (IAEA, 1991).

7. WASTE : POTENTIAL SOURCE OF GREENHOUSE GASES(METHANE AND NITROUS OXIDE)
So far, not much attention was paid towards this aspect of waste generation. Marked
increases in the amount of waste generated has also contributed to emission of greenhousegases carbon dioxide, methane and nitrous oxides. A major issue of concern today is emissionof greenhouse gas methane (CH4) resulting from disposal of MSW in landfills and this may
be between 45 – 60 %. This is mainly due to anaerobic degradation of the organic waste
components in the landfills as oxygen becomes deficient due to compaction. Methane is 2025 times more powerful GHG than carbon dioxide (CO2) in absorbing the infrared solar
radiation.
Studies have also indicated high emissions of nitrous oxide (N2O) in proportion to theamount of food waste. N2O is mainly formed under moderate oxygen (O2) concentration.
(Yaowu et. al., 2000). Molecule to molecule N2O is 296 times more powerful GHG thancarbon dioxide (CO2). Yaowu et. al., (2000) has studied the emission of both methane andnitrous oxides from aerated food waste composting.

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In fact, improved recycling of waste can significantly contribute to abatement of GHG
emissions. However, convention microbial composting (biological recycling) of organic
wastes also emits methane (Wang et, al., 1997) due to ‘anaerobic sites’ appearing in the inner
layers of compost piles. However, it can be reduced significantly by improving ‘aeration’ in
the waste biomass by periodical turning or through mechanical aerating systems. (Toms et.
al., 1995). Significantly, vermicomposting of waste by waste eater earthworms decrease theproportion of ‘anaerobic to aerobic decomposition’, resulting in a significant decrease inmethane (CH4). Earthworms can play a good part in the strategy of greenhouse gas reduction
and mitigation in the disposal of global organic wastes. Currently we are studying thepotential of GHG emissions by various systems of biodegradation of wastes (Aerobic &Anaerobic Composting & Vermicomposting by Earthworms). (Chauhan & Valani, 2008).

8. SAFE MANAGEMENT OF WASTE : A TECHNO-ECONOMIC
PROBLEM
Both rich developed and the poor developing nations of world have become conscious
towards safe waste management in the changing situation where the human waste is no longer‘simple and organic’ to be salvaged by nature in course of time but getting more complex andeven hazardous, and threatening to remain in the human ecosystem for long time. Safe
management of all waste becomes imperative for the safety and security of the society and it
require the input of knowledge of diverse disciplines of material science, political science,
economics, geography, sociology, demography, urban planning, public and environmental
health, communication, conservation, and civil and mechanical engineering.
Waste management has been termed as ‘Cradle- to- Grave’ management i.e. from pointof generation to final disposal, involving safe storage, transport and treatment- and in all thesesteps, the generator owes the main responsibility. The collection and disposal of waste
involves huge expenditures in the development of landfills, waste collecting vehicles,
precious fuel (petrol and diesel) and labour costs.

8.1. The Nature’s Technology at Work : Salavaging the Organic Wastes
The organic wastes in the MSW are ‘biodegradable’ and are decomposed in nature by
diverse microorganisms – bacteria, fungi, actinomycetes and the protozoa. Among thebiodegradable wastes some are ‘rapidly’ degraded while others are ‘slowly’ degraded overtime. It may take time from few days to several months and years to degrade the organic
wastes, but it does happen ultimately. Some organic materials in the waste decomposes
rapidly (3 months to 5 years), while others slowly (up to 50 years or more). The relative easewith which an organic waste is biodegraded (decomposed) depends on the ‘genetic makeup’of the microorganisms present and the ‘chemical makeup’ of the organic molecules (mainly
carbon structure that the organisms use as a source of energy and biodegrade in the process).
Carbons in sugars, lipids and proteins are easily decomposed than the carbon in lignin, while
the carbon in plastics are not at all biodegraded.

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The biodegradability depends to a large extent on the lignin content (present in woodfibers) of the waste. Lesser the lignin content, rapid will be the biodegradation rate of thatorganic material. Nature has those ‘decomposer microorganisms’ (mainly bacteria and fungi)
in soil, air and water which perform the task. This is how the natural ecosystems on earth has
been operating since life evolved. Had there been no decomposer organisms, the earth would
have been full of animal and human excreta, animal carcasses and vegetable matters (leaves
and twigs) and dirt, and life impossible. The biodegradable waste include all plant, animaland human products, the kitchen waste in every home and restaurants, wastes from theagriculture farm, food processing industries, slaughter houses, fish and vegetable markets,and paper and cotton wastes. All these wastes mainly contain organic matters.
The process of biodegradation (decomposition) in nature can be enhanced to several
times by introducing decomposer organisms such as the earthworms or even the bacterial
biomass directly into the waste biomass. This is being done these days to dispose themounting organic wastes rapidly. The process is called ‘composting’ and the byproduct is
NKP rich biofertilizer.
Table 8. Rapidly and Slowly Biodegradable Organic Constituents in MSW
Rapidly Biodegradable
Food Waste
Newspaper
Office Paper
Cardboard
Yard Waste (Leaves and Grass Trimmings)

Slowly Biodegradable
TextilesRubber
Leather
Yard Waste (Woody portions)
Wood
Misc. Organics

Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995).

Table 9. Biodegradability of Some Organic Components in the MSW
Component
Food Waste
Newspaper
Office Paper
Cardboard
Yard Waste

Lignin Contents (% of volatile solid)
0.4
21.9
0.4
12.9
4.1

Biodegradability (% of vs)
82
22
82
47
72

Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995).

8.2. Sanitary Landfills - The Ultimate Graveyard for Wastes : An Economic
and Environmental Burden
Sanitary landfills constitute the ultimate graveyard for the safe burial of all human waste
in the womb of ‘mother earth’. There is an enormous range of materials found in landfills.
‘Today’s landfill is tomorrow’s time capsule,’ writes Blatt (2005). Experience have shownthat modern landfills although made with great engineering skills are unable to contain the
toxic ‘landfill gases’ and the ‘leachate discharge’ into the environment. They are proving to160

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be a techno-economic burden and a curse in disguise. The cost involved in landfill
construction is not only up-front, but also in its monitoring and maintenance, for controlling
landfill gases and the leachate collection etc., which is long term, often up to 30 to 50 years.
The up-front development costs for new landfills in U.S. varied from US $ 10 million to $ 20
million in 1992, before the first load of waste was placed in the landfill. This must have goneup substantially by now. (Tchobanoglous, 1995).

Health and Environmental Concerns of Waste Landfills : The Uncontrolled Release ofGreenhouse and Toxic Gases into the Environment
Methane (CH4), carbon dioxide (CO2), carbon monoxide (CO), hydrogen (H2), oxygen(O2) and nitrogen (N2) are the principal landfill gases. Methane and carbon dioxide are known
greenhouse gases and molecule to molecule methane (CH4) is 20 – 25 times more powerfulgreenhouse gas than carbon dioxide in absorbing the infrared solar radiation. Methane cancause explosion when present in air in concentrations between 5 and 15 %. Ammonia (NH3),hydrogen sulfide (H2S) and the Volatile Organic Compounds (VOCs) are in trace amounts.
They are products of biochemical reactions occurring in the landfills. Landfill gases migrate
horizontally and migration distances greater than 300 m have been observed with 40 %concentration.
Gas samples collected from over 66 landfills in UK showed the presence of 116 organic
compounds, many of which are classified as VOCs. (UNEP, 1996). VOCs are mostly evolved
from the newly placed MSW and specially which also contains hazardous wastes (HW). The
increasing quantities of ‘household hazardous wastes’(HHW) in the modern society and theirdisposal along with the MSW, is posing a serious problem for the landfill engineers.
Table 9. Typical Hazardous Chemical Constituents Found in MSW Landfill Gases
Chemical Constituents
MethaneCarbon dioxide
Nitrogen
OxygenSulfides, disulfides, mercaptans, etc.
Ammonia
HydrogenCarbon monoxide
Trace constituents (In VOCs)% (By Dry Volume Basis)
45 – 60 (Greenhouse gas)
40 – 60 (Greenhouse gas)
2–5
0.1 – 1.0
0 – 1.0
0.1 – 1.0
0 – 0.2
0 – 0.2
0.01 – 0.6

Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995).

Table 10. Concentrations of Toxic Trace Compounds Found in MSW Landfill Gases
CompoundAcetoneBenzene
Chlorobenzene
Chloroform

Mean Value in Parts Per Billion (ppb) by Volume
6, 8382, 05782245

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Table 10.- Continued
Compound
1,1 Dichloroethane
Dichloromethane
1,1 Dichlorethene
Diethylene chloride
trans- 1,2-Dichloroethane
Ethylene dichloride
Ethyl benzene
Methyl ethyl ketone (MEK)
1,1,1-Trichloroethane
Trichloroethylene
Toluene1,1,2,2-Tetrachloroethane
Tetrachloroethylene
Vinyl chloride
Styrenes
Vinyl acetate
Xylenes

Mean Value in Parts Per Billion (ppb) by Volume
2, 80125, 694130
2, 83536
59
7, 3343, 092615
2, 07934, 907246
5, 2443, 508
1,517
5,663
2,651

Source: Tchobanoglous et, al., ‘Integrated Solid Waste Management’; McGraw-Hill (1995).

Some hazardous chemicals like ‘vinyl chloride’ is going to the landfills by way of plasticbags. Residents are throwing their kitchen wastes mostly packed in grocery plastic bags.
Earlier, there was also a practice to dispose some ‘industrial solid wastes’ (ISW) with MSW
in the landfills, which have now been banned. However, to minimize the emission of VOCs, avacuum is applied and air is drawn through the completed portions of the landfill.
Trace gases although present in small amounts, can be toxic and pose grave risk to publichealth and environment. Trace compounds may carry ‘carcinogenic’ and ‘teratogenic’compounds into the surrounding environment. Half-lives of various trace compounds in the
VOCs have been found to vary from fraction of a year to over a thousand years. (Heath,1983).

The Uncontrolled Release of Leachate and the Threat of Contamination of
Groundwater and Surface Water
The liquid (waste juice) that collects at the bottom of the landfill is known as ‘leachate’.
It is the result of percolation of precipitation, uncontrolled runoff, and irrigation water into thelandfill. Leachate can also include water initially contained in the waste as well as infiltrating
groundwater. Leachate seeps downward to the base of the landfill by gravity and poses a
potential health risk to public as it can percolate into the groundwater aquifer and contaminate
it. Concern is growing worldwide about wastes leaching heavy metals that may seep into
groundwater supplies. Leaching into soil and groundwater will occur regardless of whether
the landfill is sealed or not. It has become a common knowledge that all landfills leak. Even
the best ‘state of the art’ landfills are not completely tight throughout their lifetimes and acertain amount of chemicals and metal leaching will occur.

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Landfill leachate contains a variety of chemical constituents including heavy metals (Pb,Cu, Ni, Cr, Zn, Cd, Fe, Mn, Hg, Ba, Ag), arsenic, cyanide, fluoride and selenium, and organic
acids derived from the solubilization of the materials deposited in the landfill and from theproducts of chemical and biochemical reactions occurring in the landfills. (Tchobanoglous et,al.,1995). Disposal of consumer electronics mixed with MSW accounts for 40 % of lead (Pb)in the landfills. Mercury (Hg) will leach when circuit breakers are destroyed, PCBs will leachwhen condensers are destroyed. When plastics with brominated flame-retardants or cadmium
containing plastics are landfilled, both PDBE and cadmium (Cd) may leach into the soil andgroundwater. (Miller, 2004).

8.3. Thermal Destruction (Incineration) of Waste
High temperature incineration of wastes especially the hazardous chemical andbiomedical wastes is considered to be the safest remedy to get rid of it. It enables
detoxification of all combustible carcinogens, mutagens and teratogens. Destruction is donein stages. In the first stage the waste is thermally decomposed at 800 °C in a refractory lined
chamber to produce ashes and volatiles. The ashes are removed and the volatiles with gases
are led to second stage where they are heated to around 1200°C with additional air. It is the
only environmentally acceptable means of disposing some complex organic wastes likechlorinated hydrocarbons, polychlorinated biphenyls (PCBs) and dioxins. These chemicals
are persistant, non-biodegradable and highly toxic.
However, the conventional incinerators emit dangerous ‘dioxins’, ‘furans’ and otherhighly toxic pollutants when inorganic chemical dyes in plastics are incinerated. Dangerous
dioxins may also be formed if some organic materials are incinerated at too low temperatures.
But, the modern, well-regulated incinerators have dramatically reduced such toxic emissions.
It has been observed that injection of lime and activated carbon significantly remove the‘dioxins’ and ‘mercury’ from the gases by 95 %. However, people in most countries areopposing incinerators and landfills in their neighborhood.

Plasma Arc Incineration System
High temperature incineration using ‘plasma arc furnaces’ is a growing technology forthe management of hazardous chemical and biomedical wastes. In plasma arc system athermal plasma field is created by directing an electric current through a low-pressure gas
stream. Plasma fields can reach temperature from 5000 °C to 15,000 °C. This intense hightemperature zone can be used to dissociate the wastes into its atomic elements in the
combustion chamber. Heat generated from the plasma torch can melt and vitrify solid wastes.
Organic components can be vaporized and decomposed by the intense heat and ionised by the
air used as the plasma gas. Oxygen may also be added in the primary chamber to enhancecombustion. Metal-bearing solids are vitrified into a monolithic non-leachable mass.
(Hasselriss, 1995).
The system is hermetically sealed and operated below atmospheric pressure to prevent
leakage of process gases. Dioxin formation is prevented. The vented gas is held in the tankand recycled into the furnace. The clean gases are released into the atmosphere through an
exhaust stack. The destruction and removal efficiency (DREs) of organic compounds areHuman Waste - A Potential Resource

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greater than 99.99 %. There is less public opposition to such incineration system. Plasma
technology’s inherent ability to eliminate risks of future liabilities from waste disposal
through a single step treatment is an added advantage. A mobile plasma arc system would
also reduce or eliminate public health risks associated with the hazards of accidents or spills
resulting from the transportation of toxic or hazardous wastes by road or rail.
Plasma Arc Technology has proved to be an ideal and economically viable method tosuccessfully treat even the carcinogenic asbestos waste, the nuclear power plant wastes andfor safe disposal of arms and military waste worldwide. Temperatures in the order of 1,000°C are necessary to irreversibly transform asbestos into a non-hazardous material. Plasma
treatment transformed the asbestos waste into a harmless vitrified slag.
Japan has been using the plasma arc technology on large scale to vitrify its municipal
solid wastes (MSW) to reduce the volume of its MSW going to the landfills. Land starved
Japan cannot afford to have large number of landfills on its island. The slag produced by theplasma arc pyrolysis is recycled into glassy bricks used as construction materials in buildings.
General cost of waste treatment by plasma arc technology range between US $ 400 and $2,000 per ton, depending on the characteristics of the waste. PAT is however, a capitalintensive technology due to its initial equipment costs. A new plasma waste processing plantcan cost between US $ 3 million and $ 12 million depending on size, the hazardous nature of
the waste and the complexity of the treatment process. (Hasselriss, 1995).

Combining Incineration with Energy Generation : Killing two Birds in One Shot
Although waste incineration has been discredited worldwide particularly due to emissionof ‘dioxins’ and ‘furans’, most European nations have waste incinerator plants combined withenergy recovery plants, and several categories of wastes (with high calorific value) including
the hazardous wastes are used as fuel to achieve the dual objectives of waste disposal andelectricity generation. The ‘waste-to-energy’ movement started with the ‘oil crisis’ in the
Middle East and the increased cost of oil in the 1970s. Denmark and Sweden are leaders.
They incinerate 65 % and 55 % of their MSW respectively and also produce thermal
electricity from steam generation. Of the 12 MSW incinerator plants in Netherlands, 5
generate thermal electricity. Some large German cities operate combined incinerator plants
providing up to 5 – 10 % of the total electricity demand. U.S. has few incinerators andincinerates 16 % of its MSW currently, but recovers energy from almost 80 % of the plants.
The U.S. National Energy Strategy (1991), projected 7 fold increase in the electricity
generation from MSW incineration plants by 2010. Nearly three quarters of the Japan’s 1900
MSW incinerators, recover energy. (UNEP, 1996).

9. EMBRACING THE 5 R’S PHILOSOPHY OF WASTE MANAGEMENT
THROUGH WASTE AND CONSUMER EDUCATIONAs the generation of waste has increased in volume and also become more complex innature (due to mixing of non-biodegradable plastic wastes and household hazardous wastes)
traditional waste management systems have proved inadequate and inappropriate. Landfills
are not the lasting solution to the waste problem. Worldwide consensus is emerging todiscourage incineration and landfill disposal of wastes. In accordance with the EU Landfill

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Directive of 2001, the UK government is now phasing out the landfills for waste disposal.
Several U.S. states have banned landfill disposal of e-waste.

9.1. Waste and Consumer Education for the Wasteful Modern Society
Environmental education about consumption and waste is a kind of ‘re-education’ of thealready educated but ignorant modern wasteful society. Waste generation involves the entire
population, so broad cooperation is necessary for sustainable and efficient waste
management. Partnerships are required between people and governments to deal with waste
collection and disposal. Waste and consumer education aims to raise public awareness about
the stresses on municipal councils and enable communities to understand their role and sharein the financial responsibilities needed for efficient management of solid wastes.
Educational programs must involve consciousness-raising on these fundamentals:
·
·
·

·

Waste is an inevitable by-product of all individual and social activities and is
proportionate to daily consumption.
Waste is a potential resource and every individual needs to commit to help recoverwaste by reuse and ‘recycling’.
Waste generation can be minimized — it can never be eliminated — throughchanging the patterns of production and consumption of goods and materials either
used most and/or that are used once then end up as waste.
Judicious consumption of food and the 5 P’s — paper, plastic, power, petrol andpotable water — can help minimize waste generation on a large scale.

However, there are series of issues that consumers have no control over and that require
government interventions at the level of production and distribution, involving manufacturers
and retailers.

The Consumer Power of Acceptance / Rejection Can Positively Influence Consumer
Industries Counteracting Vested Commercial Interest : India Showed the Way in 1940s
Consumer power can change things provided they are aware. By accepting or rejecting
consumer goods for sale, buyers can positively influence the production process, conveying
messages to industries and retailers to reduce waste at source both in quantity as well as inquality (hazardous). Consumers can also influence government and industrialists’ policies tomanufacture goods that are durable, and also re-useable and recyclable after one use.
Consumer boycotts, which represent the kind of non-violence preached by the great Indian
saint, Mahatma Gandhi, back in the 1940s, counteract the vested commercial interest of
manufacturing industries promoted by media for commercial gain.
Consumer Education: Women Holds the Key
Consumerism is a growing human culture all over the world. Shopping is a key activity inmarket based modern societies and grocery shopping for domestic consumption is done
mostly by women all over the world who are keenly aware of the various shelf products. They

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also observe the invasion of diverse consumer products in the market through media andassess their values for family consumption.
However, buying less and narrowing choices are seen as infringements on people’s
rights. Individuals and householders who care about the environment can feel powerless.
Therefore policy makers, program coordinators, and educators need to address a series ofcomplex issues associated with educating about consumerism and waste generation.
A news poll survey conducted in mid-2005 found that five out of ten women comparedwith three out of ten men were saying ‘No’ to plastic bags and only two in ten women but
more than a third of the men surveyed preferred to use plastic bags rather than reusable ones
(Clean Up Australia 2006) ; (Also on <http://www.noplastics.org.au>).

International Efforts and Role of UNEP, WWF and WWI
The United Nation Environment Program (UNEP) and the World Wide Fund for Nature
Conservation (WWF) and the Washington based World Watch Institute (WWI) are playing
important roles in educating people at an international level, creating mass awareness about
waste problems as well as other environmental issues. UNEP sponsored the first Clean Up theWorld Campaign, 17-19 September 1993. Several million people, from 79 countries, actively
participated in that campaign, which combined dual objectives, environmental sanitation andresource generation. The campaign followed up on the first ‘World Clean Up Movement’ in
Sydney, Australia, initiated by Australian yachtsman, Ian Kiernan, on 8 January 1986.
Kiernan gathered around 40,000 Sydney siders to collect more than 5000 tons of rubbish fromdifferent parts of the city. The first Clean Up Australia Day, 1990, involved almost 300,000
volunteers.
Programs have been developed to influence consumers and to encourage them to rethink
about their patterns of consumption which can reduce waste. The Japanese Environmental
Agency (JEA) has launched a scheme called ‘Household Eco-Account Books’ thatencourages the citizens to live sustainabily in an environmentally friendly manner and also
save money by consuming resources judiciously and by embracing the philosophy of 3 R’s
for waste reduction, reuse and recycling. In Norway NGOs run a program that builds
householders awareness on environmental impacts of consumer products, especially on its
contribution to piling municipal solid waste (MSW) and also the household hazardous wastes(HHW) as several consumer products in modern homes may contain hazardous chemicals andmaterials.

9.2. Educating about the Golden Rules of 5 R’s : Refusal, Reduction, Reuse,
Recycling and Responsible Behavior
People and policy makers need to embrace the ‘5 R’s environmental philosophy forsustainable waste management. In the waste management hierarchy ‘waste refusal andreduction’ is the best option, ‘waste reuse and recycling’ the better option than the ‘waste
disposal’ in landfills. (Sinha et. al. 2005 c). It is imperative to educate the masses to 1. Refuse to accept articles and materials that generate / create more waste, especiallythose that generate toxic and hazardous wastes;

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2. Reduce waste at source by consuming resources as little as possible and which isenough to enjoy a minimum quality of life;
3. Reuse articles and materials several times and as much as practicable before
discarding them as waste and insist on buying durable, reusable and recyclable
articles and products and ‘repair’ household goods before rejection as waste;
4. Recycle / recover / retrieve new materials / energy from discarded waste products
and assist the recycling industries by separating the recyclable waste from the nonrecyclables faithfully at source; and to behave with
5. Responsibility (for both consumer societies and producer industries) with regard to
judicious use of resources and reduction in waste generation in everyday activities.

If people (society) and producers (industries) embrace the 5 R’s golden rule majority of
the waste will be taken care of and very little will be left for ‘treatment’ or to ‘contain’ themand finally to dispose them in landfills.
The environmental organization ‘EcoRecycle’ of Victoria, Australia (2006) proposed a‘waste management hierarchy’ which emphasizes that waste ‘reduction / avoidance’ shouldbe the first option and ‘disposal’ the last. Waste reuse and recycling comes after reduction. If
this management plan is sincerely implemented, there will be very little waste left to bedisposed finally. (Figure 1).

Figure 1. Source: EcoRecycle 2006.

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The Power of Refusal : It Can Prevent Misuse of Resources
In the 1980s, the Women Environmental Network (WEN) of the UK campaigned against
over-packaging of food products and refused to buy those products that were heavily wrappedwith plastics and papers . Women groups went into supermarkets, ripping off all theunnecessary extra layers of paper and plastics and handed them back to the managers. WEN
has campaigned against several environmentally unfriendly consumer products such as paper
handkerchiefs and toilet rolls made from newly produced paper refusing to accept them.
(Belamy 1995).
Way back in the 1940’s the great Indian philosopher and educator M.K. Gandhi, used this‘power of refusal’ against the mighty British Empire (although in a different context) togenerate awareness among the masses.
Box 1. Responsibility of Consumers : Check Before Shopping and Refuse to Accept
Articles That Can Generate More Waste Upon Use
1.
2.

3.

Refuse to accept non-biodegradable plastic bags for grocery and other shopping —force manufacturers and retailers to offer environmentally friendly alternatives.
Refuse to accept any plastic or paper bag for small or just a few articles that you cancarry instead in your pockets or personal bags — always carry easily tucked away
cloth or alternative bags for shopping.
Refuse to accept articles over-packed in plastic and paper, which have no eco-label(are not produced through clean methods of production), and have the potential togenerate more waste when used.

The Wisdom of Waste Reduction / Prevention : It Conserves Material Resources
This is the best option in the waste management hierarchy. Preventing waste is likepreventing a ‘social disease’ to occur. Waste reduction means conserving resources, that
otherwise constitute waste, with further economic and ecological benefits, including:conserving valuable raw geo-chemical and biological resources, water and energy (fossil
fuels) used in the manufacture of products; saving money otherwise spent on constructing andmaintaining waste landfills; reducing health and environmental impacts of air, water and soil
pollution and global warming. Science and technology, the industry and the society all haveto play critical role towards waste reduction. If people judiciously use and reduce theconsumption of 5 P’s (paper, plastic, power, petrol and potable water) in daily life, it would
dramatically reduce all the three wastes- the solid, liquid and the gaseous from theenvironment.
Society has to begin the process of reducing waste at source – the home, office, or
factory- so that fewer materials will become part of the disposable solid wastes of acommunity. Efforts must be made to reduce the quantity of materials used in both packaging
and obsolescent goods. Waste reduction may also occur at the household, commercial, or
industrial facility through ‘selective and judicious buying and consuming’ patterns and thereuse of products and materials. Source reduction is an option that will conserve resources
and also has economic viability.

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Technology Has Improved Efficiency of Resource Use and Reduced Waste Generation
by Consumers at Source
Technological advancement has undergone a process of ‘dematerialization’ for reducing
the consumption of resources (metals, plastics, glasses etc.) in manufacturing products, withconsequent reduction in waste generation. Many packaging items (cans and bottles),consumer ‘electronic goods’ and even the ‘automobiles’ have become lighter, slikker andsmaller. Since 1977, the popular 2-liter PET plastic soft drinks bottles have been reduced
from 68 grams each to 51 grams, a 25 % reduction in material used per bottle. One hundred
12 fluid ounce aluminum cans which weighed 4.5 pounds in 1972, only weighed 3.51 pounds
in 1992, a 22 % reduction in material use. Steel beverage cans have also been downsized andare now 40 % lighter than they were in 1970. This means that people can still enjoy a goodquality of life while consuming smaller amounts of resources from the environment andgenerating lesser amount of waste. Lesser resource use would also mean ‘lesser energy
consumption’ and ‘lesser waste generation’, thus benefiting the environment in every way.
(WWI, 1991).
The Wisdom of Waste Reuse : It Extends the Life of Material Resources
There are several articles like bottles and jars made of glasses and tough plastic materials,
large tins, metallic cans and cansisters which can remain in our economy and ecosystem forvery long time (if not discarded as waste) just by simple cleaning and washing.
Box 2. Recipe and Responsibility of Consumers to Reduce and Re-use Waste in Daily
Life
1.Buy in bulk and concentrates.
2.Buy durable not disposable products.
3.Buy products packed in reusable and refillable containers.
4.Chose products without or as little packaging as possible.
5.Take Your Own Bags, Box or Basket (TYOB). Insist on reusable cotton bags or durable
synthetic bags for grocery shopping; keep a few used shopping bags in your car.
6.Select paper bags/wrap only if needed and avoid plastic bags/wrap.
7.Reuse paper/envelopes only printed/photocopied on one side printed.
8.Use rechargeable batteries.
9.Use refillable ink fountain pens and biros.
10. Avoid using greeting/invitation cards.
11. Avoid wrapping, or sparsely wrap, presents etc.
12. Avoid paper napkins — carry cotton handkerchiefs.
13. Save electronic copies of data or print and photocopy on both sides of paper.
14. Prepare meals at home (not take-away/convenience foods).
15. Avoid frequent use of canned, bottled, packed, processed and preserved foods and eat
raw, fresh foods (good for human and environmental health).
16. Avoid peeling fruits and vegetables to reduce kitchen wastes (and preserve nutrients fordigestion) and compost any food scraps and leftovers.
17. Carry food and edibles to school/workplace/friends’ place in reusable boxes.
18. Repair clothes and garments, toys, tools and appliances.
19. Go to garage sales rather than throwing away old things or buying new ones.
20. Use safe retreated car tyres.

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Box 3. Responsibility of Producers (Industries) to Reduce Waste
1.

Producers of consumer goods and products MUST embrace the philosophy andprinciples of ‘cleaner production’, which emphasize producing ‘more with less’,
thus conserving resources and reducing waste.
2. Producers MUST embrace the ethical principle of producing durable, re-usable
and recyclable goods, which can remain in use for longer periods of time eventhrough changes in the purposes of their uses before being discarded.
3. Producers MUST inform consumers about the recycling potential of their products
and be committed to ‘take back’ products after use for recycling, to recovermaximum useful materials from them to reduce the amount of final waste.
It do not involve any complex industrial processing, use of chemical and energy for theirreuse. They might have been originally made for some other use, but now can be reused for
different purpose- especially for storing and packaging. It should rather be termed as‘resource reuse’.

The Wisdom of Waste Recycling : Retrieving New Materials / Energy from Waste andConserving Virgin Raw Materials and Natural Resources
Waste recycling is a technological process to reuse waste materials involving physical,
chemical and biological processing to recover useful materials from them. It converts waste
into a resource, conserves primary and virgin raw materials from environment (geo-chemicaland bio-chemical natural resources), saves tremendous amount of water and energy andprotect the environment. Hidden environmental protection values of recycled goods, include
the energy and water saved, the pollution and deforestation prevented.
Government and People’s Support is Paramount for Recycling to Succeed
Recycling combines social, economic, and ecological values. The opportunity to recycle
provided by local and state governments has seen an almost fourfold increase in the Victorianrecycling industry in Australia in the years 1993–2003 (EcoRecycle, 2006). EcoRecycle
estimates that re-processors have saved: water equivalent of filling 17,500 Olympic sizedswimming pools; greenhouse gas equivalent to that produced by 580,000 cars; and, ‘enoughenergy to power every household in Victoria (Australia) for 7 months’ (EcoRecycle, 2006).
Consumers can support recycling by buying goods which bear ‘recycled’ stickers fromtheir manufacturers. People can indirectly support and promote recycling industries by
separating the recyclable from non-recyclable wastes and can directly participate by recycling
domestic, e.g. kitchen, wastes through composting. Policy makers could encourage or
regulate for all recycled goods to bear a tag recording the origin and life history of the goods,
i.e. identifying from which waste it was produced and how it has saved damage to theenvironment. Such initiatives allow consumers to confidently reuse and recycle products. A
demand for recycled goods in society can be created by education.

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Box 4. Responsibilities of Consumers (Society) in Promoting Waste Recycling
1.

2.
3.

Separate recyclable wastes — glass bottles and jars, aluminum and steel cans, plastic
bottles, milk cartons, paper, cardboard, magazines and phone books — from otherhousehold wastes faithfully for collection by councils or deliver them to recycling
centers / industries.
Buy recycled goods. This will encourage promotion of recycling efforts by thegovernment and industries.
In order to make recycling an effective strategy, people must understand more about
the qualities of materials in everyday items. For example, several vitreous materials
that look like, and shatter like, glass are not recyclable. Even a minute amount (suchas 5 grams per ton) of these vitreous materials found in some ceramic mugs andplates, cups and crockery, mirror, broken drinking glasses, flower vases, light globes
and laboratory glass, can contaminate a load of recyclable glass and render it useless.

Box 5. Responsibilities of Producers (Consumer Industries) Towards Waste Recycling
1.

2.

3.

Producer industries MUST produce / manufacture consumer goods that are‘potentially recyclable’. 2. Producers should have a policy to ‘take back’ their own
products to recycle them;Producers should provide necessary information to its prospective buyers on thematter of using, handling, conservation, disposal and recycling potentialities of its
products.
In designing new products, the industry must assess its potential and even suspected
adverse impact on its consumers health and the environment.

10. WASTE RECYCLING : A GROWING GLOBAL BUSINESS WHERE‘WASTE’ (TRASH) IS TURNED INTO ‘RESOURCE’ (TREASURE)
Waste is no longer considered as a discarded product to be disposed off from the human
ecosystem. Wastes are in fact now considered as a ‘misplaced resource’ to be brought backinto the human ecosystem through the reuse and recycling technologies. Recycling means that
otherwise wasted items are returned back to the country’s economy to make either the same
product again, another product or other products. This saves cost on landfill disposal, savelandfill space, and prolongs the life of the primary resources used to make the product.
(Fairlie, 1992).
Recycling can involve mechanical / biological / chemical / thermal processing of waste
using some energy, water and chemicals to effectively and efficiently reconvert the waste into
‘secondary raw materials’ to manufacture new products or recover ‘energy’ from them in theform of fuel gas or heat. Several of the items of domestic, industrial (non-hazardous) andcommercial wastes viz. paper, leather, rubber, cotton rags, metals and glasses, wood andplastics can be recycled in the material recovery and reprocessing industries to get valuable
new products.

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171

Science and technology has provided a tool in the hands of mankind to renew all those‘non-renewable resources’ on earth which otherwise cannot be ‘renewed’ by nature’s
mechanism. This would also save tremendous energy, preserve forest, prevent soil erosion
and pollution and above all arrest emissions of greenhouse gases (GHG’s) and reduce global
warming.
Some economies in the developed nations of Europe and America, and also in Australia,
is retrieving back 80 to 85 % of the materials from the waste as useful products for societal
consumption or to be reused in developmental activities and only less than 20 % are going to
the landfills for final disposal. (Goldoftas, 1989).

10.1. Global Trade and Exchange for Recycling
The old saying ‘one persons trash is another person’s treasure’ is becoming true as‘waste trade and exchange’ between nations for recycling is entering into new era both
economically, ecologically and politically. Japan, Germany, France, Hong Kong, U.K., U.S.
and also Australia is recycling their wastes on large scales. Japan recycles 65 % of its MSW
into usable products and 40% of its waste paper into high quality paper.
A computerized ‘waste exchange register’ has been prepared to link ‘waste producers’
with potential ‘waste users’ and diverse waste items like discarded aluminum cans, paper andcard-boards, wooden crates and off-cuts, steel plate off-cuts, plastic products, saw dust, eggshells, caustic soda and chemicals have been listed in this register. The OECD countries haveestablished a central system for moving the non-hazardous ‘recyclable wastes’ acrossinternational borders under the rules of normal trade goods listed in the ‘green list’ of Basle
Convention (1989). In these countries several C and F agents have come up with list of ‘waste
available’ and ‘waste wanted’. The buyers benefit by the reduced cost of raw materials, while
the sellers benefit by the reduced cost of treatment and disposal of wastes.
Trade in waste between two countries is economically and politically justified if it isbased on ethics. Faced with rising cost of safe waste disposal and recycling at home, manyindustrialized nations prefer to pass their hazardous wastes along with the ‘recyclable wastes’
on to the poor Third World countries where there are facilities, cheaper manpower andinfrastructure for waste recycling. This has happened greatly in case of hazardous electronics
wastes. U.S. has dumped huge pile of e-waste in China and India for recycling.

Trade-in Program for Recycling Electronic Waste
Recycling is a good option for the extremely old generation computers such as the PrePentium generation, or the computers (specially the monitors) which are broken. According to
the International Association of Electronics Recyclers (IAER) more than 1.5 billion pounds ofelectronics equipment are recycled annually and is likely to grow by a factor of 4 or 5 by theend of this decade. Eleven countries currently have ‘mandatory’ electronics recovery laws on
the books. These are Denmark, The Netherlands, Norway, Sweden, Switzerland, Japan,
Belgium, Taiwan, Portugal and South Korea. Some EU nations have very strong system for ewaste collection, such as the SWICO system in Switzerland and the Netherlands Association
for Disposal of Metalectro Products (NVMP). NVMP collect 80 % of e-waste. About 77 % of
TVs and 64 % of other small brown goods are recovered for reuse and recycling. (Cui and
Forssberg, 2003)

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Most major computer manufacturers in world e.g. Dell, Hewlett-Packard (HP), Compaq,
Gateway have begun to address e-waste problems with their own end-of-life management
programs which offers a combination of trade-in, take-back and recycling programs. Dell and
Gateway lease out their products thereby ensuring they get them back to further upgrade andlease out again. Dell offers both reuse and recycling programs. Dell purchases it computers
for a nominal $15 fee. They will recycle both Dell and non-Dell computers, but for corporate
customers only. Dell Europe, however, recycles individual consumer’s computers. Gateway
provides $25-50 cash refund for new PC and donate the customer’s used computers. HP andCompaq’s trade-in program provides a refund cheque for the value of the used computer if it
is traded-in on the purchase of a new HP/Compaq computer. HP has been very active inrecycling programs. Since 1987, it has recycled over 500 million pounds of materials from thee-waste and pledge to achieve 1 billion pounds by 2007. HP entered into a joint venture with
Micro Metallics in 1996 to recycle materials recovered internally and to recover parts fromproducts returned by customers and reported US $ 72.3 billion as revenue from the recycling
program. IBM accepts any type of PC (even other brands) but would charge $ 29.99 to take itback. (Cui and Forssberg, 2003).

10.2. Economics of Recycling : Value Addition When Garbage Becomes GoldAny waste has negative economic and environmental value and is a big techno-economic
problem for the local government and involves an economic and environmental cost in safe
disposal. But if the same waste is converted into an useful ‘new material’ its economic andenvironmental value goes to the positive. (Sinha, 1994).The Brisbane City Council in
Queensland, Australia process over 60,000 tones of recyclable materials every year and add $20 million to their economy. (BCC, 2002).
What was the value of flyash before technology founds its use to reconvert it into
building material ? It was an environmental a hazard. What is the value of food scraps and thehuman excreta ? It is a human waste to be safely disposed off every day and involves cost.
Composting technology can convert them into a high value end product i.e. compost (anutritive organic fertilizer for the farms). Biogas technology can now retrieve ‘methane’- aclean burning fuel for power generation. (Sinha, 1994; Goldstein, 1995). Recycling also
reduces the cost of construction and siting of new ‘landfills’ and closing it after use. It
reduces the economic and environmental cost of incineration of several categories of wastes.
Recycling economy is a closed loop in which consumers, manufacturers and waste
collectors and haulers, all have a critical sustaining role to play. Many waste articles in thesociety are ‘potentially recyclable’, but they may not actually be recycled unless there is apractical way to do so and there is a demand / market for the ‘recycled goods’. The waste
haulers would be encouraged to collect the recyclable wastes if there is a demand by therecycling industries, and the recycling industries will buy these wastes (as secondary raw
materials for processing) only if it is less expensive (economically cheaper) than the primary(virgin) raw material. The consumers will buy recycled items only if it is as good as the
product made from virgin materials and still less expensive. None of them are bothered about
the high ‘environmental cost’ of the procurement of the primary raw materials from earth or
the products made from them.

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When recycled materials have a high ‘social and economic value’ despite the cost ofcollecting and processing, they find a ready market. Much of the gold, silver and otherprecious metals that were ever mined and extracted from their primary ores centuries ago isstill circulating (recycling) in our economy (human ecosystem). Materials with low social andeconomic value relative to the cost of collecting and processing do not find a ready market.
The grocery and kitchen wastes, agriculture, dairy and slaughter house wastes and the
sewage sludge, with greater organic contents can be biologically recycled to get ‘fuel (biogas)
and fertilizer’ (compost). Even the ‘human hair’ which are protein materials can be recycled
for getting ‘amino acids’ and making newer and cheaper proteins. It is like getting ‘gold fromthe garbage’ and ‘silver from the sewage’.
Recycling of hazardous industrial wastes also minimizes the cost and risk of transporting,storing, treating and disposing of hazardous wastes to distant places. US and Japan recycles agreat part of its hazardous wastes. Several recyclable hazardous wastes are ‘exchanged’
among nations under strict rules of Basel Convention (1989). The recycling potential ofwastes from the pharmaceutical industries is 95 %, paints and allied products 40 %, organic
chemicals 25 %, petroleum refinery 10 % and small industrial machinery 20 %. Used anddiscarded products from the automobiles e.g. the lead-acid batteries (LABs), the waste oil andthe auto tires are also recycled.
In some cases the waste may have to undergo some modifications, such as ‘dewatering’,
in order to become recyclable and salable product. An aluminum die-casting firm developed amarket for a by-product of their production process- the ‘fumed amorphous silica’. Aftermuch researches into uses for the product it was found to be a valuable additive to concrete.
The firm marketed the waste and now sells all the fumed amorphous silica it generates tocement plants. This is bringing an income of US $ 1 million every year for the company andalso saves the enormous cost of disposal. (Noll et. al., 1985).
An x-ray film manufacturer in U.S. generates a salable waste product. The company
installed equipment that flakes and bales waste polyester –coated film stock which is sold as
raw material input to another firm. Over 9 million kg of film stock is exchanged each year.
This saves US $ 200,000 annually which would have incurred in collection, transport, anddisposal cost. Above that, there is annual profit of US $ 150,000 to the x-ray film
manufacturing firm from the sale of the recyclable materials. (Noll et. al., 1985).

10.3. The Environmental Significance of Recycling
Nature possess tremendous capacity of recycling of several categories of wastes by‘biodegradation’ (biological recycling) aided by the decomposer organisms on earth. The
earth provides all the necessary ‘resources’ for development of mankind and also ‘assimilate’
all the wastes generated by them in the process of those developmental activities. This isdefined as the ‘carrying capacity’ of Earth. Unfortunately, due to the growing consumerism of
resources and the consequent increase in the quantity and concentration of human wastes on
earth, this carrying capacity is threatened to be jeopardized with dangerous consequences forthe global ecological balance and grave risk of poisoning of the life support systems on earth.
The addition of ‘non-biodegradable technological wastes’ has aggravated the problem. They
can remain in the human environment for centuries as nature has not evolved the mechanism
to degrade and recycle these new man-made materials.

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Rajiv K. Sinha, Sunil Hurat, Gokul Bharambe et al.
Table 10. Environmental Benefits of Recycling of Papers, Metals and Glasses

Waste
RecyledEnergySavings

Pollution
Control

Reduction in
Solid Waste

Water
Savings

ForestProtection

1. Iron & Steel Scraps
2. Aluminum Cans
3. Papers Wastes
4. Glass Wastes

60-70 %
90-95 %
60-65 %
30-32 %

30 %
95 %
95 %
20 %

95 %
100 %
100 %
60 %

40 %
46 %
58 %
50 %

100 %
100 %
100 %
-

Source: WWI (1984) ‘State of the World’.

By resorting to ‘recycling technologies’ we can actually ‘renew and sustain’ the natural‘carrying capacity’ of earth ecosystems and not only the natural human wastes can bereconverted into a resource, but also the ‘ man-made synthetic and hazardous wastes’.
Recycling of some municipal and industrial wastes such as papers, metals, glasses can accrue
several environmental benefits by way of water and energy saving (consequent reduction ofgreenhouse gas emission), control of air pollution and forest protection.

Figure 2. Explaining the Economic and Environmental Significance of Recycling.

10.4. Need for Appropriate Recycling Technologies
Several municipal as well as industrial solid wastes have potential to be recycled. They
only need appropriate technologies for recycling. New recycling techniques are being
developed constantly to maximize recovery of useful materials and minimize the amount ofwaste going to the landfills. Essentially two types of recycling technologies are being
developed for waste processing to get valuable end products – mechanical and biological.
Mechanical technology involves thermal and chemical processing of waste (both organic andinorganic fractions), while biological technology involves biological processing of waste

Human Waste - A Potential Resource

175(organic fraction only) by microbes and earthworms. While mechanical technologies incur
expenditure of energy, the biological technologies may generate energy.

10.5. Biological Recycling of Wet Organic Wastes into Fertilizer and Fuel :Diverting the Major Part ( 70- 80 %) of MSW from Landfills
Biological recycling involves processing of wet and dry organics such as the food wastefrom homes and commercial institutions, green garden and farm wastes, cattle and farmyard
wastes and the waste organics from the food processing industries). The traditional
composting methods are essentially a biological recycling technology which is being revived
and improved with new knowledge in microbiology and environmental biotechnology. Other
biological recycling methods developed are technology to retrieve ‘biogas’ and ‘bio-alcohol’(cleaner energy sources) from organic wastes.
MSW contain 70-80 % by weight of organic materials and the waste biomass is rich incarbon (C) and nitrogen (N) with other valuable minerals like phosphorus (P) and potassium(K) and have potential to be biologically recycled to recover fertilizer and fuel (energy).
However, waste with high organic components should preferably be recycled to produce
fertilizers (composts) and not fuel. (White, 1996).
Table 11. Useful Materials Recovered from Waste by Recycling Technologies
Recyclable Materials from MSW

Useful Materials Recovered / Typical UsesWET RECYCLABLES
Organic Fraction of MSW (70-80 %)Food waste, yard & garden waste etc.

Recovery of fertilizer (compost) and
fuel (methane and ethanol) ;DRY RECYCLABLES
Paper
Old Newspaper
Corrugated Cardboard
High-grade Paper
Plastics
Polyethylene Terephthalate (PET)High-density Polyethylene (HDPE)
Polyvinyl Chloride (PVC)
Low-density Polyethylene (LDPE)
Polypropylene (PP)Polystyrene (PS)Newsstand and home-delivered newspaper
Bulk packaging, fiberboard & roofing material
Computer paper, white ledger paper
Soft drink bottles, salad dressing and vegetable oil
Bottles; photographic film
Milk jugs, water containers, detergent and cooking
oil bottles.
Home landscaping, irrigation pipes, some foodpackaging, and bottles
Thin-film packaging and wraps; dry cleaning film
bags; other film material
Closures and labels for bottles and containers,
battery casings, bread and cheese wraps, cereal
box liners
Packaging for electronic and electrical component,

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Table 11 – Continued

Multilayer and other mixed plastics
Glass
MetalsFerrous Metals (Iron & Steel)Non-ferrous Metals
TextilesConstruction & Demolition Wastes

foam cups, fast-food containers, tableware andmicrowave plates;
Packaging, ketchup and mustard bottles
Clear, green and brown glass bottles & containers;
Tin cans, white goods, reinforcing bars
Aluminum cans, copper and lead products
Wiping rags
Soil, asphalt, concrete, wood, drywall, shingles

HAZARDOUS WASTES
Auto Tires
Household Batteries
Automobile Batteries
Incinerator Residues
Engine Oil and LubricantsRoad building materials, paving and tire-derived
fuel;
Recovery of zinc, mercury and silver
Recovery of acid, plastic and lead
Concrete, road construction material
Refined Oil

Fertilizer Production : Retrieving Nutrients from Organic Wastesi) Compost from Waste (Getting Gold from Garbage)
There is always greater economic as well as ecological wisdom in converting as much
‘waste into compost’ (a nutritive fertilizer for farms), so that less and less waste (the noncompostable and non-recyclable residues) finally go to the landfills. The organic fraction of
MSW (70-80 %) is rich in nitrogen, potash and phosphorus (NKP) and all macro andmicronutrients. This can be easily recycled through microbial biodegradation – process called
composting, to retrieve the nutrients from them. If residents all over the world, practice ‘home
composting’ and ‘backyard composting’ of their ‘kitchen and garden wastes’, this will
significantly reduce burden on the councils and very little MSW will be left for the landfills.
Even councils should practice composting of waste on commercial scale instead of sending
them to the landfills, earn money by selling them to the farmers, rather than spending moneyon their landfill disposal.
The components that constitute the organic fraction of MSW are food wastes, paper,
cardboard, plastics, textiles, rubber, leather, yard wastes, and wood. Yard waste may containeven higher percentage of organic matter. All of these waste materials can be recycled, either
separately or as a commingled waste. Certain industrial wastes such as those from the ‘foodprocessing’, ‘agricultural’ and ‘paper-pulp industries’ are mostly organic in composition andcan also be composted. Controlling the environmental conditions i.e. the biological, physicaland the chemical factors can significantly improve and enhance the composting process
without the emission of foul odor and pollution of the environment and without the loss ofessential nutrients from the compost. (Epstein, 1997).
The conventional composting technology has now been significantly improved with ourmodern scientific knowledge in ‘microbiology’ and ‘biotechnology’ to ‘biodegrade’ all kindsof organic wastes including the ‘municipal solid wastes (MSW)’containing sufficient organic

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components under a completely controlled environmental conditions. We have innovatedsome new, cost-effective and more efficient methods of converting organic waste into
compost which besides providing the macro and micronutrients also provide ‘beneficial soil
microorganisms’ to the soil and work as ‘soil conditioner’ to prevent soil erosion. (Haug,
1993; Epstein, 1997).
The relative ease with which an organic material is biodegraded (composted) depends onthe ‘genetic makeup’ of the microorganisms present and the ‘chemical makeup’ of theorganic molecules. Carbons in sugars, lipids and proteins are easily decomposed than the
carbon in lignin. A small portion of the carbon is converted to new microbial cells, while asignificant portion is converted to carbon dioxide and lost to the atmosphere. The new cells
that are produced become part of the active biomass (decomposer microbes), to further
enhance and multiply the biodegradation and composting process and on death ultimately
become part of the compost.
European cities and societies are developing and adopting ambitious technologies forrecycling and composting of wastes to divert them from landfills. Some cities have installed
sophisticated equipments for composting and resource recovery. Austrian, French and Swiss
cities have taken the lead in installing waste recycling and composting systems. Twenty seven(27) composting plants with a combined annual capacity of 60,000 tones of compost fromcity trashes are currently under construction in German towns and cities (UNEP, 2004).

Vermicomposting: Using Waste Eater Earthworms for Rapid and Odorless Compostingof Municipal and Industrial Organic Wastes
Vermicomposting is rapid and odorless process triggered by earthworms throughenzymatic breakdown of waste organics and also enhancing the microbial degradation by
proliferating the microbial population in the waste biomass. Vermicompost is completely freeof pathogens but rich in beneficial decomposer microbes including nitrogen fixing bacteria,
mycorrhizal fungi and actinomycetes. It is rich in NKP, trace elements, enzymes, growthpromoting hormones (gibberlins and auxins) and readily works as ‘soil conditioner’.
Long-term researches into vermiculture have indicated that the Tiger Worm (Elsenia
fetida), Red Tiger Worm (E. andrei), the Indian Blue Worm (Perionyx excavatus),the African
Night Crawler (Eudrilus euginae),and the Red Worm (Lumbricus rubellus) are best suited forvermi-composting of variety of organic wastes including some of the hazardous wastes likethe ‘sewage sludge’ (biosolids) from the sewage treatment plants and the ‘fly-ash’ from thecoal power plants.
Vermiculture was started in the middle of 20th century for management of municipal /industrial organic wastes in Holland in 1970, and subsequently in England, and Canada. Latervermiculture were followed in USA, Italy, Philippines, Thailand, China, Korea, Japan, Brazil,
France, Australia and Israel. However, the farmers all over the world have been using worms
for composting their farm waste and improving farm soil fertility since long time. In UK,
large 1000 mt vermi-composting plants have been erected in Wales. The American
Earthworm Technology Company started a 'vermi-composting farm' in 1978-79 with 500 t/month of vermicompost production. Japan imported 3000 mt of earthworms from the USA
during the period 1985-87 for cellulose waste degradation. The Aoka Sangyo Co. Ltd., has
three 1000 t /month plants processing waste from paper pulp and the food industry. This
produces 400 ton of vermicompost and 10 ton of live earthworms per month.

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The Toyhira Seiden Kogyo Co. of Japan is using rice straw, municipal sludge, sawdust
and paper waste for vermicomposting involving 20 plants which in total produces 2-3
thousands tons of vermicompost per month. In Italy, vermiculture is used to biodegrade
municipal and paper mill sludge. Aerobic and anaerobic sludge are mixed and aerated formore than 15 days and in 5000 cum of sludge 5 kg of earthworms are added. In about 8months the hazardous sludge is converted into nutritive vermicompost. In France, 20 tons of
mixed household wastes are being vermi-composted everyday using 1000 to 2000 million red
tiger worms (Elsenia andrei) in earthworm tanks. Rideau Regional Hospital in Ontario,
Canada, vermi-compost 375 - 400 kg of wet organics mainly food waste everyday. In Wilson,
North Carolina, U.S., more than 5 tons of pig manure (excreta) is being vermi-composted
every week. (Edward, 1998; Frederickson, 2000; Fraser-Quick, 2002; Sinha et. al., 2005 b).

ii) Fertilizer Pellets from Sludge Cake (Getting Silver from Sewage)
A technology has been developed in U.S. by Massachusetts Water Resources Authority
to recycle the dewatered ‘sewage sludge’ into ‘fertilizer pellets’. The sludge is shipped fromsewage treatment plant and pumped directly from barges into the storage tank and thentransferred to belt-filter press where water is mechanically squeezed out. The sludge cake is
moved through the conveyer belts to rotating heat dryers and heated to convert into small
hard pellets. This also destroys the foul smell and harmful bacteria. The pellets are low-grade
fertilizers, but if blended with other synthetic nutrients can form a complete fertilizer. Cities
all over the US is operating sludge processing plant like MWRA.
Fuel Production : Retrieving Cleaner Sources of Energy from Organic Waste
The organic municipal solid wastes enriched with biomass and materials with highcalorific value (combustible) can be recycled to yield either gaseous fuel ‘methane’ (biogas)
or liquid fuel ‘ethanol’ by fermentation. The wastes can be directly incinerated and the heat
liberated is used for steam generation and electricity production. The new idea is to use thewastes a source of fuel in ‘cement kilns’ in cement industries to replace the costly fossil fuels.
The emission problems accompanying incineration is also minimized to a great extent. But
only wastes with high calorific value is useful for energy recovery. (Parker and Roberts,
1985; Porter and Roberts, 1985).
i) Biogas
There is always greater ecological wisdom in generating ‘biofuel’ (biogas andbioethanol) from the MSW rather than generating ‘thermal energy’ from them by combustion
technology, with accompanying release of toxic gases especially ‘dioxins’ and residual‘ashes’ which needs landfill disposal.
The biogas technology by the use of anaerobic ‘metanobacteria’ utilizes the organic
wastes rich in cellulosic materials with high carbon and nitrogen (C/N) ratio. It produces both
fuel and fertilizer. Each ton of organic waste by dry weight yields about 36 cum of biogas and
350 kg of biomanure. Methane is a clean burning substance and on combustion yields 550
BTU of heat per cft of its volume. Even the sewage sludge rich in organic matter and highC/N ratio is efficiently recycled to yield methane.

Human Waste - A Potential Resource

179ii) Bio-diesel
Bio-diesel is emerging as an alternative cleaner fuel for diesel engines brewed from waste
organic feed-stocks, such as animals waste fats (tallows), lard and waste cooking oils. This isbeing produced in Australia and other countries on commercial scales. Bio-diesel is also
being produced from offal at a turkey-processing plant in the U.S. Any vegetable oil can form
the feedstock to produce bio-diesel. It can produced by recycling the waste oil from fast-foodrestaurants and the deep friers of French fries which generate huge amount of waste vegetableoils.It can now be produced from household waste and used auto tires.
Bio-diesel is completely non-toxic and biodegradable, almost free of sulfur andaromatics, and have lower CO2 emissions than the mineral oil derived diesel. It can be used inexisting fuel engines without any modifications. The emissions from bio-diesel are 100 %lower in sulfur, 96 % lower in total hydrocarbons (HC), 80 % lower in polycyclichydrocarbon (PAH), 45 % lower in carbon monoxide (CO) and 28 % lower in suspended
particulate matters (SPM). (UNEP, 2006).
iii) Bio-alcohol (Ethanol)
Waste biomass rich in starch and cellulosic materials provides good raw material forethanol production by enzymatic fermentation carried out by organisms ‘yeast’ and somebacteria. Bagasse, the waste from sugarcane industry is most appropriate raw material. 6000
kg of bagasse upon fermentation yields 1000 litres of ethanol of 95 % strength. It is a cleaner
auto-fuel and Brazil is already using it as an ‘auto-fuel’ since 1975.
New bioconversion technologies could open the gate to the cost-effective use of a wide
variety of feed-stocks including agricultural waste products like corn stalks, rice and wheat
straws and perennial grasses to produce bio-fuel ethanoliv) Coal Briquetts
Technology to recycle the agricultural wastes into a non-polluting fuel has beendeveloped. The dried biomass is crushed and pre-heated to a temperature of 100-120 °C andthen compacted.
v) Fuel Pellets
A technology has been developed for converting garbage into non-polluting fuel pellets.
The garbage is first shredded and blown dry in rotary kiln. It is then blended with combustible
wastes like saw dust and is then pelletized. The pellets have calorific value around 4,000 kcal
/kg and there is no harmful emission upon combustion.

10.6. Mechanical Recycling of Dry Recyclables into Original or New
Products
Mechanical recycling involves processing of dry organic and inorganic recyclables suchas papers and cardboards, plastic cans and bottles, metal cans, glass jars and bottles.
Mechanical methods include thermal and chemical processing of waste materials and also
consumes considerable amounts of water and energy. Now new mechanical technologies isbeing developed to recycle even hazardous industrial wastes.

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Metals, glasses, papers and plastics, wood and rubbers are some common domestic andcommercial wastes which have high recycling potential to recover goods of massconsumption through mechanical technologies. (WWI, 1984).

Recycling Potential of Metallic Wastes
Iron, aluminum, lead, tin and copper are metals of mass consumption by the society.
Their production from their virgin ores by mining activities requires huge amount of energy
and water and also cause blatant environmental pollution, solid waste generation (as tailings)
and deforestation. Metals like iron and aluminum can be effectively recycled for ever withleast impact on environment while conserving huge amount of energy. (AEN, 2000).
a) Ferrous Metals (Iron and Steel)
The ferrous scraps include autos, household appliances, equipment, bridges, cans andother iron and steel products. The largest amount of recycled steel has traditionally comefrom large items like road unworthy cars and appliances. It can be reclaimed from theautomobile bodies and engines, disused household or industrial equipment and building
materials. The shipyards, railyards and the automobile junkyards offer vast amount of waste
metallic products to be recycled. They can alone meet more than 50 % of the world’s metal
requirements. Marine ship break is a continuous process throughout the world as the ships
lose sea worthiness in 25 to 30 years.
Recycling of steel cans is also becoming very popular. They can easily be separated fromthe mixed recyclables or MSW using large magnets. To protect them from corrosion, all steel
cans are coated with a thin layer of ‘tin’ that must be removed in the recycling process.
Immersing the sheets of steel in alkaline bath and transmitting an electric current completes
the ‘detinning’ process.
Iron and steel has high recycling potential and can be recycled again and again without
reducing the quality of the end products. Nearly half of the iron and steel which has alreadyentered into the human ecosystem is now being used through recycling. World steel
production alone consumes as much energy annually as Saudi Arabia produces. Making steel
from recycled materials uses only a quarter of the energy needed to make steel from iron ores.
(AEN, 2000). Iron scraps costs little more than iron ore but can be converted into steel withmuch lower economic and environmental cost. Using coke for iron ore reduction produce
copious particulate matters including carcinogenic benzopyrene. Recycling of iron reduces
this emission by 11 kg/metric tons of steel produced and also cuts iron ore waste and coalmining wastes by 1100 kg/metric tons recycled. Iron and steel scraps are baled into bricks at
the material recycling facility (MRF) and melted at 1700 °C in the smelters to produce ingots.
b) Non-ferrous Metals
Non-ferrous scrap metals include aluminum, copper, lead, tin, and precious metals.
Recyclable nonferrous metals are recovered from common household items (outdoor
furniture, kitchen cookware and appliances, aluminum cans, ladders, tools, hardware); fromconstruction and demolition projects (copper wire, pipe and plumbing supplies, light fixtures,
aluminum siding, gutters and downspouts, doors, windows); and from large consumer,commercial and industrial products (appliances, automobiles, boats, trucks, aircraft,machinery)Human Waste - A Potential Resource

181

Aluminum: It has high recycling potential. The amount of aluminum which has alreadyentered into the human ecosystem is sufficient to cater the needs of the society throughrecycling and there is no need to process it from the virgin ores. Aluminum cans are baled
into bricks and melted at 700 °C in rotary furnaces. The molten aluminum is cast into ingots
and remade into cans or processed into other aluminum products like saucepans and homewares.
Copper: It can be recycled from the boilers of hot water systems, old car radiators andcopper pipes. Electric cabling and wiring contains copper and aluminum which can berecycled.
Lead: Lead can be recycled from old car batteries and old lead pipes. Lead is recycled inhigh rate because it is highly toxic and processing from its ore is highly damaging to both
man and environment.
Silver can also be recovered from silver-plating industries through recycling. A ‘silverplating plant’ in the US spends about US $ 120,000 a year on waste treatment, of which US $60,000 is returned as credit for ‘silver’ recovered from the waste. Silver and even gold isrecovered from electrical industries.

Table 12. Metal Consumption Procured through Recycling in USA(1). Lead(4). Aluminum(7). Tungsten

73 %
45 %
29 %

(2). Copper 60 %(5). Zinc
43 %(8). Nickel 26 %( 3). Iron & Steel(6.) Tin(9). Chromium

56 %
38 %
21 %

Source : WWI, Washington D.C. ‘State of the World’ (1989).

Environmental and Economic Benefits of Recycling Metallic Wastes
World steel production alone consumes as much energy annually as Saudi Arabia
produces. Making steel from recycled materials uses only a quarter of the energy needed tomake steel from iron ores. Iron scraps costs little more than iron ore but can be converted into
steel with much lower economic and environmental cost. Using coke for iron ore reduction
produce copious particulate matters including carcinogenic benzopyrene. Recycling of iron
reduces this emission by 11 kg/metric tons of steel produced and also cuts iron ore waste andcoal mining wastes by 1100 kg/metric tons recycled.
Recycling aluminum uses only 5 % of the energy needed to produce new aluminum fromits ore ‘bauxite’. Recycling one aluminum beverage can, saves energy enough to run TV for 3
hours. The energy needed to make 1 ton of virgin aluminum from bauxite could be sufficient
to recycle 20 tons of aluminum from its scrap. It takes about 4 tons of bauxite to produce 1
ton of finished aluminum. Recycling aluminum reduces air pollution including the toxic‘fluoride’ by 95 %, and cut millions of tones of greenhouse gases (mainly CO2). (AEN,
2000).
Recycling Potential of Paper and Cardboard Wastes
About 30 % of the paper products which we use today are made from recycled papers andcardboards. Three common grades of paper recycled are corrugated cardboard, high grade
office paper and old newsprint. Waste papers and card boards make excellent pulp for making
different grades of paper to be used for stationary, magazine and newspapers, game boards,

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ticket stubbs, cereal and cake mix boxes, grocery bags, tissue papers, paper towels, egg boxes,
cards and packaging materials. If cotton rags are mixed with them they make excellent pulp
for making other kinds of papers too. Office papers are recycled to manufacture computer
papers, writing and printing papers.
However, infinite recycling of paper is not possible because the fibers become shorterand shorter and the quality of papers declines. Also the tissue papers and the wax coatedpapers cannot be recycled. The printed papers also need to be de-inked before recycling as it
may contaminate the entire fibre stock.

Environmental and Economic Benefits of Recycling Paper Wastes
Recycling of waste papers saves green trees, large amount of energy and water andprevent the use of chemicals. Recycling 1 ton of waste paper saves 13 trees, 2.5 barrels of oil,
4100 kWh of electricity and 31,780 litres of water. About 64 % less energy and 58 % lesswater is needed to make papers from recycled fibers than to make from virgin pulp obtained
from the plants. Recycling half of the papers used in the world today would meet almost 75 %of the demand for the new paper and would liberate 8 mha of forest from clear-felling forplantation for paper production. According to one estimate the energy required to produce one
ton of paper from the virgin wood pulp is 16, 320 kWh, while only 6000 kWh is needed toobtain the same amount of paper through recycling from paper waste. Reduction in energyuse (oil or electricity generated from fossil fuels) proportionately reduce the emissions ofgreenhouse gas CO2 and other pollutants which would have occurred otherwise. (UNEP,
2004).
Recycling of Paper Industry Waste
All paper mills recycle and recover their intermediate and untreated effluents called‘white water’ (water passing through a wire screen upon which paper is formed) and thus
reduces the volume of spray and wash water it uses. Other wastes like ‘sulfite waste-liquor’
by-product have been found to have multiple uses. Their complete evaporation produces fueland other salable by-product used in making core binder, road-binder, road bank stabilizer,
cattle fodder, fertilizer, insecticides and fungicides, linoleum cement, ceramic hardener,
insulating compounds, boiler-water additives, flotation agents, and in the production of
alcohol and artificial ‘vanillin’. The liquor may be ‘fermented’ to produce ethyl alcohol.
About 40 liters of alcohol can be produced per ton of dry solids. Acetone and butyl alcohol
can also be produced from the liquor waste. Another product of fermenting the liquor is yeast
for cattle feed.
The ‘spent cooking liquor’ produced in the sulfate process (kraft mills) containrecoverable quantities of sodium salts, resins and fatty acids. Caustic soda (Na2CO3) isrecovered from them. The resin and fatty acids are further refined and have a variety of
applications in industry. In chemical precipitation with lime as coagulant, ‘lignin’ isprecipitated which is used both as a fuel and in the manufacture of plastics, production oftannins, as an anti-scale or antifoam agent in boilers. Wastewater from the paper mills havealso been found to be good for ‘irrigation’ of number of crops.

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Recycling Potential of Glasses
Glasses are 100 % recyclable and can be effectively recycled for ever. The recyclable
glasses in MSW are container glass (the clear, green and brown bottles and jars for food andbeverages), flat glass (e.g. window panes), and pressed amber or green glass. Glasses to berecycled is often separated by color into categories of clear, green and amber. Broken glasses
are known as ‘cullet’ which are valuable raw material in the production of new glasses.
Manufacturer adds about 40 tons of cullet to every 100 tons of raw materials silica sand to
produce glass.
However, several vitreous materials may look and shatter like glasses, but are NOT
recyclable. They do not melt like glass. Even a minute amount of these materials cancontaminate the whole load of recyclable glasses and render them useless. These are ceramicmugs and plates, cups and crockery such as pyrex and corning ware, mirror, broken drinking
glass and flower vase, light globes and laboratory glass. Contamination as little as 5 grams
per ton is harmful. One tiny fragment of ceramic material in a load of glass ‘cullet’ can causea weakness in the new glass which may crack or even explode when the bottle is filled or
opened.
Recycled glasses are being used as raw material in cement production. (Wong, 2000). A
British firm is building an industry to recycle the used wine bottles into ‘green sand’ to be
used for filtering drinking water and purify sewage. When the recycling plant is fully
developed it can save the quarrying of high quality sand and use all the waste wine bottles.
The European Union and the UK Department of Environment, Food and Rural Affairs are
funding the project. (www.drydenaqua.com).
Environmental and Economic Benefits of Recycling Glass Wastes
The cullet (broken glass materials) melt at low temperature than the primary raw
materials and hence require 25-30 % less energy on addition and also extends the life ofmelting furnaces. Every ton of cullet used saves the equivalent of 30 gallons of oil andreplaces 1.2 tons of virgin raw materials and proportionately reduce the emissions ofgreenhouse gas CO2 and other pollutants which would have occurred upon use of oil andother energy sources in the extraction of virgin materials from nature.
Recycling Potential of Plastic Wastes
Recycling of plastic wastes is not really a good option and is rather a hazard for thehuman health and the environment. It gives out ‘toxic’ fumes like ‘dioxins’ during melting.
Technologies are not available for recycling of all categories of plastics. Plastics are recycled
by codes. Currently only plastic bottles made of PET (Code 1: soft drink, juice and waterbottles and some plastic jars); HDPE (Code 2: milk bottles, cream containers and juice
bottles); PVC (Code 3: detergent, shampoo and cordial bottles); PP (Code 5: ice creamcontainers, takeaway food containers flower pots etc.); PS (Code 6: polystyrene cups, glasses
and meat trays), and bottles with ‘R’ or ‘please recycle’ symbols are accepted for recycling.
Two types of plastics most commonly recycled in world are PET (Polyethylene
Terephthalate) and HDPE (High Density Polyethylene). PET is recycled to make soft drink
bottles, deli and bakery trays, carpets, fibrefill and geotextile liners for the waste landfills.
HDPE is recycled to manufacture plastic milk, disinfectant and detergent bottles, recyclingbins, sleeping bags and pillow stuffing, roadside guide posts, irrigation pipes, eskies, water

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meter boxes, air-conditioning and recycled layer in new PET plastic bottles, agricultural water
pipes, bags and motor oil bottles. LDPE (Low Density Polyethylene) is recycled to make newplastic bags and films. PVC (Poly Vinyl Chloride) is recycled to manufacture drainage pipes,
non-food bottles and fencing posts. Recycled polypropylene (PP) is used in auto-parts, carpetsand geo-textiles. Recycled polystyrene (PS) is used to manufacture wide range of officeaccessories, video-cassettes and cases.
Plastic grocery bags made of LDPE or very thin HDPE cannot be recycled as they clog
the system. Some supermarkets take back plastic shopping bags, recycling them into binliners, and hospital waste bags. Other plastics like motor oil containers, plastic takeaway foodcontainers and disposable nappies also cannot be recycled. Also different plastics cannot
always be recycled together. The recycled plastic is often hard and brittle. To overcome thisproblem a ‘compatibilser’ molecule that sticks together the different plastic molecules havebeen developed. Such commingled plastic with much gloss and sturdiness as the originals canbe used to make ‘car bumpers’ and fence posts.

Environmental and Economic Benefits of Recycling Plastic Wastes
Recycling of plastics at least diverts thousands of tons of plastic materials from ending up
in landfills every year and besides saving landfill space also arrest emissions of some very
toxic gases and leachate discharge from the landfills.
Recycling Potential of Waste Wood
It is a waste from the timber industries, forestry and agricultural activities and frombuilding construction and demolitions. Technology found its use in the manufacture of‘plywood’ and ‘medium density fiber board’ (MDF). They have properties like natural woodwith additional advantage of not being flammable and absorbing moisture, resistant to pest
attack and low cost. They are also shredded and processed as wood chips for fuel orlandscaping cover.
Recycling Potential of Construction and Demolition (CD) Wastes
CD wastes results from construction, renovation, and demolition of buildings; roadrepaving; bridge repairs; and the cleanup after natural disasters. Typically they are made ofabout 40-50 % rubbish (concrete, asphalt, bricks, blocks, and dirt), 20-30 % wood and related
products (pallets, stumps, branches, forming and framing lumber, treated lumber, andshingles), and 20-30 % miscellaneous wastes (painted or contaminated lumber, metals, tarbased products, plaster, glass, white goods, asbestos and other insulation materials, plumbing,heating and electrical parts).
The principal materials that are now recovered from the CD wastes are asphalt, concrete,
wood, drywall, asphalt shingles, and ferrous and non-ferrous metals. Reinforcing steel used infoundations, slabs, and pavements are usually recovered and sold as scraps for recycling.
Concrete and asphalt are processed for road base, aggregate in asphalt pavement, and as
substitute for gravel aggregate in new concrete. Many landfills use the rubbles for roadbuilding and as ‘daily cover’ material for the compacted waste in the landfill. (Hamilton,
2000).

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10.7. Recycling Potentials of Some Hazardous Industrial Wastes (IHW)
Technologies have been developed to recycle several categories of hazardous industrial
wastes. Several hazardous industrial wastes are now finding new use and applications inconstruction industries through recycling. (Noll et. al., 1985).

New Use of Phosphogypsum from Phosphatic Fertilizer Industry
Radioactively contaminated calcium sulphate slurry called ‘phosphogypsum’(CaSO4.2H2O) is a waste byproduct of these industries. For every ton of phosphoric acidproduced, 5 tons of phosphogypsum (PG) must be removed. It is now being recovered andreused to manufacture partition panel, ceiling tiles/boards, walling blocks etc. They save
cement and steel and minimize the use of timber. Direct reuse of PG, however, presents thepotential problem of incorporating radioactivity into building or road products.
Several firms in the US and UK is processing the PG into useful cement or plaster. The
quality of cement compares favourably with limestone-based cement and is used in all classesof building construction and civil engineering. It possess a ‘compressive strength’ 3 to 4 times
that of Portland cement (1100 kg / cm2 as compared to 300-400 for Portland cement).
Moreover the cost of cement production from PG was US $10 / ton as compared to $ 30- $ 40
/ ton for Portland cement. The PG is chemically processed into ‘hemihydrate powder’ to use
in cement manufacture. Some South African fertilizer plants disposes about 25 % of its PG assoil conditioner, cement clinker and as cement retarder. (Noll et. al., 1985).
Any recovery and reuse of phosphogypsum (PG) would also free up reclaimable land
resources for productive purposes by the industry or privately.
New Use of Fly-ash from Waste Slurry in Coal-fired Power Plants
Fly-ash is a waste byproduct of coal combustion in coal-fired power plants generally
consisting of very fine particles. It pollutes water bodies. The wastewater usually contain
6750 gm / liter of fly-ash. A common method of fly-ash removal from the steam power-plant
flue gases is by the use of ‘wet scrubbers’, ‘electrostatic precipitators’, or ‘cyclone
separators’. Major chemical component of fly-ash are silica (30-50 % by weight as SiO2) andalumina (20-30 % by weight as Al2O). Other materials are sulfur trioxide (SO3), carbon (C)and boron (B). It is now being reused to manufacture clay bonded bricks / blocks, fly-ash
ceramics, aerated light weight cellular blocks and slabs, precast blocks for footpath,butiminous concrete for road surfacing and cement concrete etc. Fly-ash bricks have replaced
baked earthen bricks and have saved million tones of fertile soil from getting eroded.
Technology has found several new uses for fly-ash:
1)
2)
3)
4)
5)
6)
7)
8)

As a pozzolana ingredient in Portland cement;
As a pozzolana in soil stabilization;
As a soil conditioner in agriculture;
As a grout in oil wells;
In asphalt roofing and siding materials;
As a cement replacement in concrete;
As a mineral filler in asphalt pavement;
As a coagulant in sewage treatment.

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New Use of Red Mud from Aluminum Industry‘Red Mud’ is a waste from the aluminum industry being generated in million tones every
year. It is a bauxite residue and clay like silt consisting of undissolved minerologicalcomponents. It is being reused in cement industries both as component of cement raw mix aswell as additives. Red mud light roofing sheets has been developed as an alternative to thedangerous ‘asbestos’ roofs.
New Use of Metallic Slag from Iron and Steel Industries It is a waste from the Iron andSteel industries and an excellent secondary raw material for cement production.

10.8. Thermal Recycling of Hazardous Wastes to Retrieve Thermal Energy
Several hazardous industrial wastes such as paint thinners, degreasing solvents, solventsfrom ink and printing industries, dry-cleaning fluids, chemical by-products frompharmaceutical industries, waste papers, waste oils and waste auto tires, sewage sludge andmunicipal solid waste can be used as fuel in industries.
Cement Kiln Using Hazardous Industrial Wastes as Fuel and Replacing Fossil Fuels The
manufacture of cement from limestone require high kiln temperatures (about 1500 º C) andlong residency times. This create an excellent opportunity for hazardous waste to be used asfuel and also get destroyed in the process. As much as 40 % of the fuel requirement of a welloperated cement kiln is saved by the use of hazardous wastes.. It is like ‘killing two birds in
one shot’. Further, as the environment inside the kiln is alkaline due to the presence of lime,
the acidic gases and the hydrogen chloride generated from the chlorinated wastes (which isposes problem in conventional incinerators) are neutralized. Combustion of wastes in acommercial incinerator also produces ‘ash’ which needs to be disposed off. Here there is noash and the only by-product is the ‘dust’ which is recycled. Any incombustible material suchas metals in the waste, becomes vaporized and incorporated in the product. Up to 95-99 % of
the chloride and over 99 % of the lead entering the kiln are retained by the process solids.
When the kilns are operating properly ‘dioxins’ and ‘furans’ and the particulate matters(which are emitted in the conventional incinerators) are significantly cut down and there is norisk to human health and the environment. U.S. uses about 1 million tons of hazardous wastes
as a fuel in cement kilns every year. Reduction in use of fossil fuels as the source of energy incement plants proportionately reduce the emissions of greenhouse gas CO2 and otherpollutants which would have occurred otherwise. (Jones and Herat, 1984).

10.9. Recycling Potential of Some Hazardous Consumer Wastes (CHW)
Appropriate technologies are now available to recycle several categories of hazardous
wastes including the hazardous electronics wastes (e-waste) generated by society.

Recycling of E-Waste – A Hazardous and Costly Process : Reuse – A Better Option
Millions of tones of e-waste all over the world are ending up in landfills. According to
the Silicon Valley Toxics Coalition in the U.S. cost of recycling obsolete and discarded
computers is estimated to be at US $ 10 to $ 60 per unit. And if poorly handled during theHuman Waste - A Potential Resource

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clean-up cost of toxic materials from the e-waste, it could go higher. SVTC estimates theminimum costs for recycling and proper disposal of the remaining non-recyclable e-waste in
US will reach US $ 10.8 billion by 2015 (Schneiderman, 2004). This could be theapproximate cost of recycling of e-waste in all developed nations including the European
Union, Canada and Australia where labor cost is high. Local governments and councils inthese nations have neither the technical ability nor the financial resources to tackle thisgigantic techno-economic problem at their own.
‘Reuse’ is a better option for several categories of e-waste. The term ‘reuse’ would meanusing any old and obsolete electronic product or equipment with or without minor repair andreasonable upgrading, if possible. The best way of reuse is that computers can be sold to theemployees of the organizations or the students of institutions at very reasonable price or
donated to charitable organizations, schools, orphanage centers, old people homes, women
asylums etc. Institutions and organizations in the rich developed nations (where computermodels are changing fast) should develop a system based on ethics for donating their old
computers to the needy organizations in the developing countries.
The term ‘recycling’ of e-waste would mean to dismantle the equipment or a product andretrieve the valuable components / materials from it for their reuse in other equipment or remanufacture a new equipment / product. The difficulty with electronic waste and many otherend of life electronic products is that they are made from a huge range of component
materials that are useless for further manufacture until the product is dismantled and thecomponent materials are separated – often a very difficult and expensive process.
Recycling may be a good option for the extremely old generation computers such as the
Pre-Pentium generation, or the computers (specially the monitors) which are broken.
According to the International Association of Electronics Recyclers (IAER) more than 1.5
billion pounds of electronics equipment are recycled annually and is likely to grow by a factorof 4 or 5 by the end of this decade. Eleven countries currently have ‘mandatory’ electronics
recovery laws on the books. These are Denmark, The Netherlands, Norway, Sweden,
Switzerland, Japan, Belgium, Taiwan, Portugal and South Korea. Some EU nations have verystrong system for e-waste collection, such as the SWICO system in Switzerland and theNetherlands Association for Disposal of Metalectro Products (NVMP). NVMP collect 80 %of e-waste. About 77 % of TVs and 64 % of other small brown goods are recovered for reuse
and recycling. (Monchamp, 2000; Cui and Forssberg, 2003; Mathew et. al., 2004)

Recycling Potential of Lead-Acid Car BatteriesBillions of lead-acid car batteries are used and replaced every year across the world, 70 to
80 millions in US alone. The average battery contains about 18 pounds of recoverable leadand the worldwide recycling rate is now 90 %. Batteries are crushed and then the lead, plastic,
and sulfuric acid are separated. In an innovative recycling process developed in Italy in the
1980s, batteries are crushed in a hammer mill and the components are separated on a
vibrating screen. The acid / lead – paste slurry is neutralized, the lead oxide is separated, andthe reusable sodium hydroxide and sulfuric acid are recovered from the solution byelectrodialysis. Lead oxides are reduced by electrolysis and combined with metallic
components, then melted at 400-500 °C and cast into ingots. (Vaysgant, et. al., 1995).

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Recycling Potential of Household BatteriesBillions of household dry-cell batteries are used and discarded worldwide, 2.5 billion in
the US alone. These batteries are discarded with the general household waste. These batteries
contain mercury, cadmium, lead, and other metals, which become toxic contaminants in thelandfill leachate or in the air emissions if MSW are incinerated. Study reveals that household
batteries are the source of more than 50 % of the mercury and cadmium in the MSW.
Recycling of these batteries are difficult. Cylindrical 6-volt and 9-volt alkaline and carbonzinc batteries are not recyclable. Only nickel-cadmium cylindrical cells or mercuric oxide andsilver oxide button cells can be recycled. Mixed button batteries are difficult to sort out andmay present a storage hazard in the MSW waste bin due to mercury vapor emissions.
Recycling Potential of Auto Tires
Several millions of auto tires are rejected every year all over the world which turn ashazardous wastes. Earlier they were reused after ‘retreading’, but with the advent of steelbelted radials and cheaper new tires most are discarded as waste. They cannot be landfilled asthey occupy large volume and tend to come to the surface.
Auto tires present problem for safe recycling as they are made of ‘hazardous materials’.
The best option is to reuse them as ‘fuel’ resource in cement kilns. About 70 % of the waste
auto tires in the US is being used as source of energy in cement kilns thus also reducing useof coal and emission of greenhouse gases. Power plants, paper and pulp mills and the cementkilns commonly use the shredded tires as fuel. Whole tires are also used to create ‘artificial
reefs’ for erosion control and as highway crash barriers. Split and punched tires are used tomake muffler hangers, belts, gaskets, and floor mats.
Recycling Potential of Waste Oils and Lubricants from Automobiles Industries
Billions of gallons of petroleum-derived waste oil are produced worldwide mostly fromthe automobiles and some from the industries. Automotive oils include crancase oil, diesel
engine oil, transmission, brake and power steering fluids. Waste oil often contains metals likearsenic, cadmium, barium, chromium, and zinc; chlorinated solvents and organic compounds
like benzene and naphthalene.
Used lubricants can be recycled in two ways- by reprocessing and by re-refining.
Reprocessing is done by water and bottom sediment removal of suspended material and ash
by gravity settling or chemical treatment to produce partially cleaned fuel oil. Heat issometimes used to decrease viscosity and improve gravity settling. Distillation is also done toevaporate light fuel fractions. Re-refining produces a clean oil but it is very expensive affair.
This is done by solvent treatment / vacuum distillation / hydrotreatment; by acid clay,
chemical cleaning / demetalling etc.
Recycled lubricating oils are used as transformer oil, equipment oil, motor oil, cutting oil,soluble oil, diesel oil, gasoline, antifreeze, brake fluids and hydraulic oils. Waste oils aremainly recycled to be used as fuel in cement kilns, in commercial, industrial, and marine
boilers, and for space heating. Waste oils can also be used as fuel in cement kilns, incommercial, industrial, and marine boilers, and for space heating.

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11. SOME POLICY MEASURES ON WASTE MANAGEMENT BY
GLOBAL SOCIETY
Considerations of environmental sanitation, health and hygiene, contributing to safety
and security of society are key factors which has prompted to enact suitable legislation for
management of all kinds of waste by the global society. Safe waste management is not only atechnological pursuit, but also require legal and administrative, economic and ecologicalplanning.
Governments can develop policies to encourage and support the manufacture of ‘durable’and ‘recyclable’ goods as well as ‘take-back programs’ by producers to recycle their products.
If required to ‘take-back’ and recycle their products, manufactures will be compelled to
produce durable and recyclable items, thus reducing waste for consumers.

11.1. The European Union’s Packaging and Packaging Waste (PPW)
Directive (1994)
On average each EU citizen is currently responsible, directly or indirectly, for thegeneration of some 172 kg of ‘packaging waste’ every year. (UNEP, 2006). As early as in1994 it issued this directive to ‘prevent’ packaging waste. Yet, the packaging waste (PW)
generation increased by 10 % in the EU-15 between 1997 and 2002, in close line with the12.6 % growth in GDP. Per capita consumption of plastics increased by almost 50 % from 64
kg / year in 1990 to 95 kg / year in 2002. Only UK managed to actually reduce, and Austria
stabilize the generation of PW since 1997.
The review of the EU-15 PPW in 2005 however, showed that the both the producers(companies) and the consumers (society) made good progress in recycling PW. The EU targetof recycling 25 % of packaging waste in 2001 significantly increased to 54 % in 2002 in the
15 member countries then. (UNEP, 2006).

11.2. EU Directives on ‘Extended Producer / Manufacturer Responsibility’(EPR) for Reducing Electronic Waste (2001)
In Europe, e-waste is projected to reach 12 million metric tones by 2010 (Schneiderman,
2004). In 2001, the European Union adopted a system called ‘Extended Producer /Manufacturer Responsibility’ that requires the electronics manufacturers to ‘take-back’ theirused products and assume full responsibility for the production of cleaner electronics items,
phasing out of hazardous materials in production process, and also dismantling the e-waste
products more easily for recycling at the end of their useful life by trading-in the products forrecycling.
In January 2003, the EU parliament enacted two directives. The first - ‘Waste Electricaland Electronics Equipment’ (WEE) is based on the concept of Extended Producer
Responsibility (EPR) which requires the industries to ‘take-back’ all their used and obsolete
electronic products for safe recycling. The second directive ‘Restriction on Hazardous
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electronics items by July 2006 (with a number of exemptions) to reduce hazardous waste
when they are discarded. This has now come into effect. (Adam, 2005).

11.3. The International Legal Instruments for Combating the Problem ofHazardous Wastes at Global Level
The United Nations General Assembly initiated to review the international environmental
laws in 1981 at Montevideo. The laws were to cover among other things, the transport,
handling and disposal of toxic and hazardous wastes. Real negotiations to impose curb on the
production, storage and transport of hazardous chemicals and wastes began soon after the
Basel Disaster (Switzerland) in 1986 which resulted into the adoption of ‘Basel Convention’in 1989.

The Basel Convention on the Control of Transboundary Movement of Hazardous
Wastes and Their Safe Disposal (1989)
The Convention was adopted in 1989 unanimously by 116 States in the Swiss city ofBasel, to reduce the global generation of hazardous wastes and chemicals to a minimum andto prohibit / regularize the illegal traffic in hazardous wastes and to fix the responsibilities ofthe parties involved. It entered into force on 5 May, 1992 and now have 131 Parties to theConvention except the U.S. It outlines the general obligations of the hazardous waste
generating nations for moving their wastes across their boundaries either for disposal or for
exchange for recycling. It also outlines the principles of international co-operation to improveand achieve environmentally sound management of all kinds of hazardous wastes.
Trade in hazardous waste that does not comply with the terms of the Basel Convention orits control system is illegal, and considered to be criminal. Parties are obliged to enact
stringent national laws to prevent and punish the illegal trafficators in hazardous waste. The
Convention also cooperates with the Interpol over illegal traffic. The first 10 years of theConvention (1989 – 1999) concentrated on consolidating its control system, legal frameworkand operation through improving the classification of wastes and refining the work on theirhazard characterization.
Cooperation to Developing Countries
Under the Convention international cooperation is to be extended to developing countriesin:
1. Transferring technology and management systems for hazardous waste;
2. Developing and implementing new environmentally sound low-waste technologies,
and improving existing ones to eliminate the generation of waste, as far aspracticable, and studying the economic, social and environmental effects of adopting
the new technologies;
3. Developing and promoting environmentally sound management of hazardous andother wastes;
4. Promoting public awareness about hazardous waste.

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12. SOME INNOVATIVE IDEAS TOWARDS SUSTAINABLE WASTE
MANAGEMENT
12.1. The Australian Innovations on Landfill Gas Utilization for Energy
Generation While Reducing Emission of Greenhouse Gases
An innovative technology to convert the MSW landfills into a bioreactor is being
experimented in Australia. In the traditional landfills the ‘anaerobic decomposition’ of waste
is highly retarded and rather inhibited, as the waste has very little moisture. Daily coveringand heavy compaction of waste exclude the moisture content. Normal waste typicallycontains 10-30 % moisture. The rate of waste biodegradation is a function of moisture
content. Bioreactor technology significantly reduces the decomposition time and the
production of gas begins soon.
Bioreactor is a large ‘anaerobic digester’, in a specially designed void in landfills which
receives municipal solid wastes and the also the biosolid (sludge) from the sewage treatment
plants. In the landfill bioreactor, the waste is not heavily compacted and sufficient moisture
content (45 – 60 %) is maintained through extensive networks of pipes that re-circulate thenutrient rich leachate and inject additional water such as the stormwater and the run-off.
Additional microbial inoculum is added to promote rapid anaerobic microbial decomposition
and biogas (60 % methane and 40 % carbon dioxide) production is augmented with 98 %collection efficiency and conversion to energy. Each kilogram of waste can generate up to
220 liters of methane. In case there is more paper content in the waste, the methane
production is 365 litre / kg. A typical 4000,000 tones per year ‘landfill bioreactor’ willproduce about 7,500 cum of methane per hour, with a generating capacity of 25 MW. This
will also save greenhouse gas equivalent to taking 175,000 cars off the road.
When biogas generation in the bio-cell declines, the residual partially degraded organic
materials can be excavated and used as a ‘soil conditioner’ or feedstock for composting.
Besides, generating biofuel and biofertilizer, the recycling technology will reduce theemission of greenhouse gas (methane) from the landfills. Fugitive emissions of VOCs isdecreased to as low as 0.7 %. It would also reduce the environmental risk period of landfills
to 5-10 years from 30-50 years.

Power Generation from Landfill Gas
The ReOrganic Energy Swanbank in Ipswich, Brisbane, Australia is generating electricity
from the landfill biogas. Natural biodegradation processes in the landfills are enhanced in a
special configuration to accelerate the production of biogas (methane). This is supplied to the
Swanbank Power Plant for electricity generation displacing coal. By end of April 2002, some
20,000 cubic meters per day of biogas was produced and utilized and over 2,300 MWh ofelectricity generated. It is envisaged that over this period beginning from 2002 to 2016, some
90,000 cubic meters of biogas per day will be utilized, 500,000 MWh of electricity will be
generated, while some 250,000 tones of coal will be displaced and approximately 3 million
tones of carbon dioxide equivalent greenhouse gas (methane and carbon dioxide) will bearrested from going to the atmosphere. The $ 4 million project took some 20 months tocomplete.

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After successful utilization of landfill gases for power generation at Ipswich, another $ 5
million landfill gas power generating facility was launched at Rochedale Landfill site in
Brisbane in 2004, generating 3 MW of power. This is expected to reduce greenhouse gases by
20,000 tones a year and also supply electricity to 5000 homes. Since the closure of the landfill
at Roghan Road, Fitzgibbon in March 2000, BCC has also started generating 2 MW
electricity from the methane produced in the old landfill. New waste landfills in Brisbane are
now purpose designed to be used as ‘bioreactors’ for biogas generation and electricity
production, killing two birds in one shot (www.thiess-services.com.au).

12.2. Molok Waste Bins: Odor Free, Less Space, Holds More Waste andEmptied Less Often : An Australian Innovation
The Molok Pty. Ltd. Of NSW in Australia has invented a new waste collection bin (40 x
120 L size) 60 % of which lies underground and only 40 % is visible. It is installed to a depthof 1.5 meter in ground and takes 80 % less surface area than the conventional waste bins. It
comes in 300 L, 1300 L, 3000 L and 5000 L sizes suiting to all locations in residential andcommercial areas. The containers are water tight and the waste drop hole opening isapproximately 1.1 m above ground level. Within the PVC container is suspended the lifting
waste bag made of double layered textile material. While emptying the bag is simply lifted by
the hydraulic lifting arm and hoisted into the truck container. Emptying 5000 L Molok bintakes about 3 mins and is one man job.
The key advantage of the vertical bin is that gravity forces the old waste to compact as
the new waste is added, and the oldest waste materials at the bottom of the container is kept
cool because the earth underground is naturally cool due to evaporation. The lowering oftemperature at the bottom reduces microbial activity arresting any odor problem. It is also
likely that there will be lesser emission of greenhouse gas methane.(www.molok.com.au).

12.3. The Innovative ‘Bio-Bin’ System of Cleanway for Kerbside Compostingof Green Waste
Cleanaway’ is an enterprise of Brambles Industries Limited established in 1970. It
operates across Australia and around the world. It provides services in waste recycling, safe
hazardous waste disposal, site remediation, and landfill operations. It operates 8 waste
recycling plants in four Australian states. It’s co-mingled bin recycling system services over
770,000 Australian households and has participation rate over 85 %. ‘Cleanaway’ hasintroduced a new and innovative concept of ‘Bio-insert’ system. The ‘Bio-Bins’ break down
‘green organic waste’ on the kerbside and reduces the weight of the waste. It promotes
oxygen-flow around and through the organic waste, triggering the aerobic decomposition
process. Problems like odor, leachate production and greenwaste sticking to the bottom of thebin are eliminated because of oxygenation. The contents of the bio-bins are less compacted,
drier, lighter and more uniform than those in the standard bins. It forms good feed-stock
material for the ‘compost facility operators’. A collection frequency of 4 weeks is
recommended for green organics, while 2 weeks for the food organics. It is also inexpensiveHuman Waste - A Potential Resource

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to integrate the bio-bin system into the existing waste management services and would savethe city councils considerable expenses in collection and landfill costs. Bio-Bins are widely in
use in Europe and North America for the past ten years. A trial of bio-bins is being conductedin the City of Mooney Valley, Melbourne, Victoria with very encouraging results.

12.4. The Innovative DiCOM ‘Aerobic-Anaerobic-Aerobic’ Hybrid System of
Bioconversion of MSW into Clean Biofuel and Biofertilizer
A new and innovative hybrid biological system for composting of MSW was developedin Australia in 2000 by AnaeCo which process the MSW and produces a finished product inless than half the time required for normal aerobic process of microbial composting without
any odor problem. The end products are ‘green energy’ (biogas methane) and ‘compost’. Thishas been termed as DiCOM bioconversion process.
The facility was installed at the cost of $ 5 million and is situated in Perth, Western
Australia. It receives commingled municipal solid wastes (MSW) from the local councils,
removes the non-compostable inert materials (the dry recyclable) such as the metals, glasses
and plastics from the waste and then subject the organic materials to a ‘Three (3) Stage
Processing’ that involves an ‘Anaerobic Digestion Phase’ in between the initial and final‘Aerobic Composting’ period. The methane (CH4) gas generated from the anaerobic digestion
phase is captured and used as biogas fuel for electricity generation at the facility. The
separated recyclable materials are sent to MRF. (www.anaeco.com).
The company has patented this technology. The initial bioconversion capacity was
17,000 tons of MSW per annum which increased to 55,000 tons per annum by 2005. The
whole plant has small ‘ecological foot print’ requiring small operational area and withpotential for decentralization of waste treatment to multiple sites close to the sources ofcommunity waste generation, thus significantly reducing the cost of waste transportation andpollution.

12.5. The Innovative Total Waste Management System’ (TWMS) in
Australia: No Waste to Landfills
Berrybank Piggery in Victoria Shows the Way Charles Integrated Farming Enterprises
Private Limited company in Victoria developed an innovative concept of ‘Total Waste
Management System’ (TWMS) for its Berrybank Piggery. in Victoria, Australia. The piggery
produces on an average 275,000 L of effluents (sewage) a day with ‘solid contents’approximately 2 %. The company found that the ‘traditional farming philosophy’ of ‘wastingnothing’ and ‘waste from one part of a farm is the input in another’ makes a good businesssense. On regular inventory program the management of piggery found that half of the feed
consumed by the animals is actually utilized, and the remaining half goes as waste. The
company considered this generation of waste as ‘poor return on investment’.
The TWMS is a seven-stage process which salvages all the waste byproducts in the formof fuel, fertilizer and flush water. Since the introduction of TWMS, the Berrybank Piggery
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Seven (7) tones of waste solids which are utilized as ‘fertilizer’ for farms;
100,000 L of flush water (recycled water) to be used for flushing toilets;
100,000 L of mineralized water rich in essential micro and macro-nutrients which isutilized as ‘liquid fertilizer’ for farm irrigation; and1,700 cum of biogas fuel (methane) which is used for power generation on farm withdaily output of 2,900 kW of electricity.

The capital cost of the Berrybank Farm project was approximately AU $ 2 million which
was paid back in about 6 years by way of fuel, fertilizer and usable water. From a $ 2 minvestment made in the TWMS for the Berrybank Piggery, the Charles IFE brings in AU $435,000 return every year. Other environmental benefits was that the odor problem and therisk of groundwater contamination (due to sewage) was completely eliminated and it
dramatically reduced the consumption of freshwater(www.environment.gov.au/settlement/industry/corporate/eecp/casestudies/charlesife.html)

12.6. The Indian Innovation on Dumpsite Composting of Commingled MSW:
A Cheaper and Safer Alternative to Costly Landfills?
An innovative technology to compost the un-segregated municipal solid waste (MSW)
biomass on ordinary waste dump-site was developed in India in the 1990’s and is giving
excellent results for managing the solid wastes. No prior segregation of commingled waste isrequired. Segregation of commingled wastes at source or before composting imposes thebiggest obstacle in any composting technology because it is highly labour intensive job tosegregate the often sticky and wet biodegradable (compostable) matters from the dry nonbiodegradable ones. It becomes much easier after composting.
The technology was developed by Ms. Excel Industries, Mumbai, India and can suit to all
countries and is also flexible for 150-700 MT of waste per day. The largest plant with an
installed capacity to bioprocess 500 tones /day of MSW is operating in Mumbai. The process
can recycle all organic wastes from the households, restaurants and hotels, dairy, agriculture
and agro-processing industries, brewing industries and slaughter houses. (Ranjwani,
1996;.Sinha and Herat, 2002 b).

The Bioconversion Process and the Composting Mechanism
The dump site is leveled and either cemented or paved with bricks on the bottom toprevent leachate and for easy movement of waste carrying vehicles. Long windrows, about 5
meters wide and 2-3 meters high (deep) are erected and the MSW is then stacked and heapedin the windrows. A ‘microbial consortium’ slurry containing active decomposer bacteria andenzymes are then added to the windrows to initiate rapid aerobic decomposition of the waste
biomass. The slurry is spread on the surface of the garbage and inside the heaps in thewindrows with help of probes, so that it reaches deep and in every pocket of the heap.
Microbial culture of active decomposer bacteria is prepared from the ‘sewage sludge’ whichcontains active decomposer bacteria in millions/gram of the sludge. (Ranjwani, 1996).

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The microbial culture is known as ‘Celrich Substrate DF BC-01. It is prepared after
analyzing the composition of the waste and identifying the predominant materials such as
celluloses, hemicelluloses, lignins, proteins and fats etc. The microbes produce enzymes suchas cellulase, lipase, amylase, protease, pectinase and phospholipase to breakdown the long
chain complexes of the substrates. About 1 kg of the consortium in the colloidal emulsion
form is mixed with 20 litres of water to be used for spraying on about 3 cubic meter of solid
waste and for one ton of waste 200 litres of water is needed. Recycled water can also be used.
The waste heaps are turned around once in 7 to 10 days for proper aeration and the inoculant
slurry is sprayed in each turning to enhance decomposition and maintain the proper moisturelevel which is usually 45 - 55 %. The process is ‘exothermic’ and the windrows reach atemperature of 70°-75 °C within 24-36 hours, killing the harmful pathogens and repelling all
birds, stray animals, flies and mosquitoes from the dump site. (Ranjwani, 1996).

Recovery of Compost
The entire process of aerobic decomposition of garbage is completed within 4-6 weeks
and as the decomposition is complete the temperature comes down to normal. It recovers over
90 % of the organic matter in the form of compost which may be 25-30 % of the raw waste on
dry weight basis. Recovery of compost depends upon the presence of organic matter in the
garbage. There will be greater recovery of compost in developed countries as much higher
amount of organic wastes reaches the dump-sites (tips) in every city.
Retrieving the Dry Recyclables
The decomposed waste biomass is passed through rotary and vibratory screens to sieveout the compost. The soft decomposed powdery materials gets easily separated from theplastics, metals, stones and pebbles. About 20-25 % are dry recyclable materials and the rest
about 20-25 % are inert materials which are disposed in ordinary land-fills.
Same Land for Dumpsite Can be Reused and No Need of Engineered Landfill
The same dump-sites can be used again and again after excavating the biodegraded mass
(compost) and there is no need of additional land for making more dump-sites. Also the needfor ‘engineered land-fills’ are greatly reduced because very little is left to be disposed off
after retrieving the compost and the recyclable materials.
Low Emission of Greenhouse Gas Methane
The problem of emission of landfill gas methane (CH4) is significantly minimized as thewaste is turned constantly and the waste biomass is thoroughly aerated throughout thecomposting period.
Foul Odor at Waste Dumpsite Disappear Soon Giving Relief to Waste Workers
Emission of ammonia and hydrogen sulfide which are mainly responsible for foul odor at
the waste dump-site (tips), and the leachate discharge is also greatly reduced. The foul odor at
the waste dump-site disappear within 2-3 days of sanitization by the microbial culture giving
great relief to the waste workers and the local residents.

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13. CONCLUSION AND RECOMMENDATIONS
An assessment of waste generation not only involves the production and distribution ofcommodities and services but also its actual history of use/reuse/recycling. How people act asconsumers, re-users and recyclers is as important as how a thing is made and sold toconsumers.
Any government policy, any waste reducing and recycling technology and strategy
cannot succeed unless every member of society is aware and behave responsibly. Sometimes
policing becomes essential to change societal behavior. Random check of waste bins bycouncils and ‘refusal’ to pick up waste not disposed according to council directives, can force
people to behave. The strategy has worked well in some Canadian cities. Economic
instruments also seem to affect human behavior. ‘Landfill taxes’ in Denmark, Austria,
Ireland, Italy and the UK, and charging people for plastic bags in supermarkets in Denmarkand Ireland (and in France from late 2005 onward) have changed the human behavior in thesenations. Manufacturers of consumer goods hold great responsibility in reducing waste inmodern consumerist society. Governments of nations need to come out with a policy of‘durable and recyclable goods’ by manufacturers, and also ‘take back policy’ of their products
for recycling. It will also be a ‘disincentive’ for them to change their product versions too
frequently to lure people.
Society has to play very critical role in all waste management programs. The traditionalsocieties were basically ‘recycling societies’. They made best use and reuse of all materials
several times before discarding them. The modern society is basically a ‘throwaway society’
which discard most materials after short use. Modern human societies have to revive some ofthe ‘traditional cultures’ of resource conservation, resource recycling and their ethical use.
Waste recycling is essential for economic stability, ecological sustainability, environmental
safety and survival of the global human society.
Human society has to begin the process of recycling at the source – the home, office, or
factory- so that fewer materials will become part of the disposable solid wastes of acommunity. A ‘consumer education’ program is needed to educate the society about thehidden ‘environmental value’ (the energy and water it has saved, the pollution anddeforestation it has prevented) of the recycled goods. All recycled goods should have‘recycled tag’ telling about the origin and life history of the goods (from which waste it was
produced) and how it has saved the environment. It would develop a sense of ‘civic pride’
among the consumers that he / she is helping the environment. There is always greater
economic and ecological wisdom in reducing waste at source, and diverting more and more of
the waste to the ‘mechanical recycling, ‘biological recycling’ (composting) and ‘thermal
recycling’ (combustion) processes to recover some useful materials and energy from themand reduce their volume, so that less and less waste is left for final disposal in landfills.
Government, industries, science and society all have to join hands in fighting the menaceof mounting wastes. Industries producing consumer goods have to play more responsible rolein waste management program because they have potential to generate waste twice in the lifecycle of the goods produced. First at the ‘production level’ when they process the virgin raw
materials and generate ‘industrial wastes’. Second at the ‘consumption level’ when the goods
produced by them are used and discarded by the society as ‘municipal solid waste’ (MSW).
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reduce waste. Industrialists also owe moral obligation to provide necessary information to its
prospective buyers on the matter of using, handling, conservation, disposal and recycling
potentialities of its products. In designing new products, the industry must assess its potentialand even suspected adverse impact on its consumers health and the environment.
We need more and more waste to be converted into resource (by recycling) to sustain our
growing population as the several natural resources are either on decline or becoming scarceor are unavailable and beyond our capability to exploit them sustainabily with present
technology and within the ecological limits. Government must encourage and promote therecycling industries using waste as raw materials by way of reduced taxation, reduced cost ofwater and electricity supply etc. Given current technology, not all the municipal or industrial
wastes can be readily recycled. Nor do all the waste materials have qualities that currently
make them a valuable commodity in the recycling marketplace.
Hazardous waste is growing in U.S. industries and very little is being done to reduce orrecycle them at source. Most hazardous wastes are being exported to poor developing
countries either for dumping or for recycling. (Duke, 1994). Wrong policy decisions of the
U.S. government has aggravated the problem. Study made by an environmental organizationin the U.S. indicates that subsidies given to the timber, mining, oil, energy, and waste disposal
industries undermine and discourage waste recycling industries. These subsidies lower thecost of products made from new and virgin materials, giving them a competitive advantage
over those made from recyclable materials. Fifteen government subsidies given to theseindustries in the U.S. amounted to as much as US $ 13 billion over the next 5 years. It was agreat setback for the waste recycling industries in the U.S. They include indirect subsidies
such as cheap water and energy supply to these industries.(UNEP, 2006).
Life-cycle assessments is also important to determine the recycling potential of a waste
product. A number of life-cycle assessments have found that fully recycled paper is notalways the most environmentally friendly choice. In some countries paper produced fromlocal agricultural wastes, such as rice straw, may be environmentally more sustainable thanthat produced from recyclable paper wastes shipped from overseas or transported from distantlocations in the same country. One study in Australia found that if the recyclable paper waste
is transported more than about 20 km by road, the energy balance (fuel used and pollution
generated during transport) is not in favor of recycling.
Safe disposal of the radioactive wastes which are accumulating exponentially in thehuman environment cannot be guaranteed at all even after huge expenditure. A huge pile ofradioactive wastes (most in the U.S., France and Japan) remains to be disposed safely. It was
just 84,000 tones in 1990 and must have crossed 100,000 tones limit by now. According to
the celebrated geologist Konrad – ‘No scientist or engineer can give an absolute guaranteethat radioactive waste will not some day leak in dangerous quantities from even the best of
repositories’. The word ‘safe’ seems to be incompatible with radioactive wastes.
However, ‘waste prevention’ through ‘cleaner production’ is considered to be even more
wiser and sustainable idea of waste management so that any treatment or recycling is not at
all needed and tremendous cost can be saved. Waste prevention would also reduce the cost of
construction and maintenance of secured landfills because some residual wastes are always
left after treatment or recycling which has to be safely dumped in the landfills.
Educating the ‘environmentally illiterate’ society is a big challenge. People need tounderstand the importance of their activities in the context of global consequences, forinstance, the ‘links between waste generation, greenhouse gas emission and climate change’.

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Waste education needs to take place in a continuous way through schools and universities,
through mass and diffuse media and community education programs run by governments at
all levels as well as non-government organizations, businesses and industries.
Waste education of society should become an integral part of all waste management
programs. We have to mend our ways, change our behavior and attitude of life, re-order ourpriorities, simplify our life-style, and then only the gigantic problem of mounting solid waste,
which literally threatens to bury the mankind alive, can be overcome. Only a ‘resource
conserving, waste reducing and waste recycling’ society would be the ‘sustainable humansocieties’ of the future and the ‘throwaway wasteful societies’ would perish.

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Human Waste - A Potential Resource
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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

EFFECTIVE REMOVAL OF LOW CONCENTRATIONS OF
ARSENIC AND LEAD AND THE MONITORING OF
MOLECULAR REMOVAL MECHANISM AT SURFACE
Yasuo Izumi∗
Department of Chemistry, Graduate School of Science, Chiba University
Yayoi 1-33, Inage-ku, Chiba 263-8522, Japan

ABSTRACTNew sorbents were investigated for the effective removal of low concentrations ofarsenic and lead to adjust to modern worldwide environmental regulation of drinking
water (10 ppb). Mesoporous Fe oxyhydroxide synthesized using dodecylsulfate was mosteffective for initial 200 ppb of As removal, especially for more hazardous arsenite forhuman's health. Hydrotalcite-like layered double hydroxide consisted of Fe and Mg wasmost effective for initial 55 ppb of Pb removal.
The molecular removal mechanism is critical for environmental problem andprotection because valence state change upon removal of e.g. As on sorbent surface fromenvironmental water may detoxify arsenite to less harmful arsenate. It is also because theevaluation of desorption rates is important to judge the efficiency of reuse of sorbents. To
monitor the low concentrations of arsenic and lead on sorbent surface, selective X-ray
absorption fine structure (XAFS) spectroscopy was applied for arsenic and lead species
adsorbed, free from the interference of high concentrations of Fe sites contained in thesorbents and to selectively detect toxic AsIII among the mixture of AsIII and AsV species
in sample.
Oxidative adsorption mechanism was demonstrated on Fe-montmorillonite andmesoporous Fe oxyhydroxide starting from AsIII species in aqueous solution to AsV bymaking complex with unsaturated FeOx(OH)y sites at sorbent surface. Coagulation
mechanism was demonstrated on double hydroxide consisted of Fe and Mg from theinitial 1 ppm of Pb2+ aqueous solution whereas the mechanism was simple ion exchange
reaction when the initial Pb2+ concentrations were as low as 100 ppb.

INTRODUCTION
Recently, global environment induces even serious debate, e.g. the Novel Prize 2007 for
Piece to "An Inconvenient Truth" by Al Gore [1]. The environmental problem is not only the∗

yizumi@faculty.chiba-u.jp

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Yasuo Izumi

global warming as the major claim in this movie/book by Gore. Contamination of water andsoil is one of traditional, major environmental problems and directly affects the human health,e.g. carcinogenic risk via drinking water [2 – 4]. Cadmium contaminated in rice [5], copper
contaminated in environmental water from mine, mercury contaminated in fish [6 – 8], andarsenic contaminated in powdered milk are most notorious environmental tragedies occurredin Japan between 1890 and 1960. These accidents are all related to contamination of water
derived from human activity (industry) [2].
The health risk of poisonous elements in water has been studied and is becoming clear.
Recent environmental regulation sets the minimum level of Mn, Cu, Cd, Pb, Cr, As, and Hg
to 400, 125, 5, 10, 50, 10, and 0.5 ppb, respectively. Among these elements, lead is lessfocused and less intensively studied to adjust to the regulation. Arsenic can be contaminatedin ground water not only anthropogenically but from the earth naturally [2 – 4].
Unfortunately, mines containing As mainly distribute in contact with the ground water indeveloping countries, e.g. Bangladesh, East Bengal, Argentina, Chile, and Vietnam [9].
Especially in Bangladesh, the shallow ground water with arsenic concentrations up to 1 ppm
is often used pumped from tube wells without adequate treatment for drinking and thus
leading to serious health problem. The arsenic release into ground water is related tomicrobial metabolism of organic matter [10]. The high capital and maintenance costs of pipedwater supply are still not acceptable in Bangladesh, especially most affluent villages
compared to present individual tube wells [10]. Lead was used as gasoline additive andautomobile tail pipes and may be included in drinking water from water supply pipes made oflead, soil contamination, and toys/tools made in developing countries [11, 12].
This chapter reviews recent development of sorbents for low concentrations of Pb and As
to adjust to modern environmental regulation for drinking water and monitoring of themolecular removal process by selective spectroscopy in water [13]. The monitoring of surface
uptake of Pb [14] and As includes local coordination structure and electronic structurechanges in the inner sphere reaction.

METHODSThis chapter focuses on the removal of Pb and As by sorption because sorption is
economic process to be applicable in developing countries and the reuse is possible bydesorption. The concentrations of Pb and As in test aqueous solutions were set between 55
ppb and 32 ppm in this chapter. Various sorbents were evaluated to maintain theconcentrations of Pb or As less than 10 ppb or not.
Fe-montmorillonite was prepared by mixing 0.43 M ferric nitrate solution with Namontmorillonite (Kunipia F; Na1.5Ca0.096Al5.1Mg1.0Fe0.33Si12O27.6(OH)6.4) [15]. A 0.75 M
sodium hydroxide solution was added dropwise to the mixture until the molar ratio Fe3+
added and hydroxide reached 1:2. Iron cations and/or FeOx(OH)y nanoparticles were inserted
between negatively-charged montmorillonite clay layers. Recently, some chemical forms of
FeIII species formed between montomorillonite layers were spectroscopically analyzed [16].
Monomeric and/or dimeric FeIII species was active in oxidative dehydrogenation of propane.
In contrast, polymeric FeOx(OH)y nanoparticles were effective for arsenic sorption andunselective propane combustion.

Effective Removal of Low Concentrations of Arsenic and Lead…

207

FeOx(OH)y porous material was prepared by mixing 0.10 M ferrous chloride with 0.070
M sodium dodecylsulfate followed by the addition of 0.25 M H2O2 [17]. Obtained FeOx(OH)ymaterial was mixed with 0.050 M sodium acetate in ethanol for anion exchange or with pureethanol for washing. The micro/mesoporous FeOx(OH)y material was characterized by X ray
diffraction (XRD), specific surface area measurements and pore volume determination by N2
adsorption/desorption, high-resolution transmission electron microscope (TEM), Fouriertransformed infrared absorption (FT-IR), inductively coupled plasma (ICP) combined with
optical emission spectroscopy (OES), electron probe microanalysis (EPMA), thermogravimetric differential thermal analysis (TG-DTA), and Fe K-edge X-ray absorption finestructure (XAFS). Based on these analyses, detailed structural transformation was clarified
for the sorbents as depicted in Figure 8 of Ref [17].
Hydrotalcite-like (pyroaurite) layered double hydroxide Mg6Fe2(OH)16(CO3)•3H2O wassynthesized via the procedure described in Ref 18. The carbonate anions are sandwiched
between positively-charged [Mg3Fe(OH)8]+ layers.
To monitor low concentrations of Pb and As, XAFS spectroscopy is most appropriatetechnique. For several spectroscopic techniques of structural analysis in the application to
nanotechnology, the advantage and drawback were summarized in Table 1 [19]. For noncrystalline or hybrid samples, EXAFS (extended X-ray absorption fine structure) gives direct
structural information for X-ray absorbing local element sites. XANES (X-ray absorption
near-edge structure) is a part of EXAFS spectrum near the X-ray absorption edge region
ranging up to 100 eV and gives electronic and (indirectly) structural information [20].
Table 1. Various Analytical Methods for Nano Structure Classified Based on Directnessof the Information and the Target to Be Analyzed
MethodDirectness

TargetTEM (Transmission electron microscope)

DirectLocal

XRD (X-ray diffraction)

DirectLocal

EXAFS (Extended X-ray absorption fine structure)

DirectBulk

XANES (X-ray absorption near-edge structure)

Indirect

Bulk

Raman

Indirect

Bulk

Small angle scattering

IndirectBulk

NMR (Nuclear magnetic resonance)

Indirect

Local

Mössbauer

IndirectLocal

SPM (Scanning probe microscope)

Indirect

Local (surface)

Reflectivity

Indirect

Local (surface)208

Yasuo Izumi

Thus, XAFS spectroscopy (EXAFS, XANES) is essentially single technique for local
structure analysis accompanied with valence and coordination symmetry information of
nanoparticles and micro/mesoporous materials. The Pb and As adsorbed from low
concentrations of aqueous solutions in this chapter are typical examples of nanoparticles andmicro/mesoporous material samples.
Further, this chapter combines X-ray fluorescence (XRF) spectrometry with the XAFS
spectroscopy [21 – 24]. Simply, XRF spectra support valence state information deduced from
XAFS. Essentially, high-energy-resolution XRF spectrometry is able to discriminate valence
state of Pb and As. In this chapter, the XRF signals originating from PbII, AsIII, and AsV weremonitored independently in the XAFS measurements to obtain each coordination structure of
PbII, AsIII, and AsV (state-selective XAFS). The experimental setup and measurement
conditions for state-selective XAFS were depicted and described in Refs 21, 23, and 24. In
brief, XRF spectra and state-selective XAFS spectra measurements were performed at
Undulator beamline 10XU of SPring-8 (Sayo, Japan) by utilizing a homemade high-energyresolution Rowland-type fluorescence spectrometer equipped with a Johansson-type Ge(555)
crystal (Saint-Gobain) and NaI(Tl) scintillation counter (Oken). The monochromator of
beamline used Si(111) double crystal and the X-ray beam intensity in front of sample wasmonitored using ion chamber (Oken) purged with N2 gas.

RESULTS AND DISCUSSION
Arsenic Problem. Adsorption isotherms of arsenite and arsenate at 290 K for 12 h on Femontmorillonite in batch setup are depicted in Figure 1. The Fe-montmorillonite was superior
to α-FeO(OH) (göthite > 95%) both for arsenite and arsenate sorptions. Fe-montmorillonite
consisted of 2-dimensionally distributed Fe3+ ions and FeOx(OH)y nanoparticles between clay
layers [16].

Figure 1. Adsorption isotherms of arsenite (A) and arsenate (B) at 290 K on Fe-montmorillonite (14.0
wt% Fe) (circles) and α-FeO(OH) (triangles). Batch tests for 12h. Observed data were plotted as points
and the fits to first-order Langmuir equations were drawn as lines.

Effective Removal of Low Concentrations of Arsenic and Lead…

209

The saturated amount of As adsorbed was evaluated to 8.0 and 76 mgAs gsorbent–1 forarsenite and arsenate, respectively, on Fe-montmorillonite. The equilibrium adsorption
constant was 1.4×106 ml gAs–1 for arsenite on Fe-montmorillonite. Even better adsorption
capacity was found on acetate-exchanged microporous FeOx(OH)y as depicted in Figure 2 forarsenite. The saturated amount and the equilibrium adsorption constant of As adsorbed were
evaluated to 21 mgAs gsorbent–1 and 1.0×107 ml gAs–1, respectively. The high specific surface
area of microporous FeOx(OH)y (230 m2 g–1) was advantageous compared to Femontmorillonite (100 m2 g–1) with as much as 14 wt% of Fe. Utilizing template synthesis
technique for microporous and mesoporous materials, lower coordination FeOx sites wereeffectively exposed to surface to complex with AsIII(OH)3 [17, 26]. The acetate-exchanged
and ethanol-washed FeOx(OH)y consist of 3-dimensionally distributed wormholes exposedwith coordinatively unsaturated FeO(OH) sites.
The surface uptake mechanism of most toxic arsenite was monitored by XRF and XAFS
spectroscopy. Arsenic was adsorbed on Fe-montmorillonite from 200 ppb test aqueous
solution of arsenite. The As Kα1 emission spectrum was depicted in Figure 3. The peakenergy position suggested that the adsorbed As state changed to V, not remained at III,
compared to the data for KH2AsVO4 and AsIII2O3 [15].
As K-edge XANES spectra for standard inorganic compounds of As0, AsIII, and AsV
consist of broad peak feature (Figure 4a – c) and it is complicating to evaluate each valence
contribution to a spectrum for sample of mixed valence. In order to demonstrate directly theoxidative adsorption of arsenite suggested above, the author of this chapter observed theuptake of low concentrations of arsenite on Fe-montmorillonite by means of state-selective
XAFS. Note that the energy resolution of fluorescence spectrometer (1.3 eV; Figure 3) was
smaller than the core-hole lifetime width of As K level (2.14 eV) [27].

Figure 2. Adsorption isotherms of arsenite at 290 K on acetate-exchanged FeOx(OH)y previously heatedat 423 K (circles), ethanol-washed FeOx(OH)y previously heated at 423 K (squares), Fe-montmorillonite

210

Yasuo Izumi(14.0 wt% Fe; diamonds), and α-FeO(OH) (triangles) [25]. Batch tests for 12h. Observed data wereplotted as points and the fits to first-order Langmuir equations were drawn as lines.

Figure 3. Arsenic Kα1 emission spectrum for As adsorbed on Fe-montmorillonite (14.0 wt% Fe) from
200 ppb test solution of arsenite (points). A fit to data with pseudo-Voigt function (solid line) and theenergy resolution of fluorescence spectrometer (dotted line) were also drawn. The intensity ratio of theLorentzian and Gaussian components was fixed to 1:1 for the pseudo-Voigt function.

Figure 4. XANES spectra measured at 290 K in transmission mode for As metal (a), AsIII2O3 (b), andKH2AsVO4 (c). Arsenic Kα1-selecting As K-edge XANES spectra measured at 290 K for As adsorbed
on Fe-montmorillonite (14.0 wt% Fe) (d – f) from aqueous test solutions of 16 ppm of KH2AsVO4 (d),Effective Removal of Low Concentrations of Arsenic and Lead…

211

16 ppm of AsIII2O3 (e), and 200 ppb of AsIII2O3 (f). Tune energy of fluorescence spectrometer was
10544.3 eV for spectra d – f.

Based on the theory discussed in the Appendix section of Ref 24, the As Kα1-selecting
As K-edge XANES spectrum with the energy resolution of 1.3 eV would be shaper and more
resolved. The energy values of K absorption edge and first strong peak after the edge were
essentially identical for As adsorbed on Fe-montmorillonite from 200 ppb – 16 ppm of AsIII
solutions (Figure 4e, f) and from 16 ppm of AsV solution (d). Thus, oxidative adsorption of
200 ppb – 16 ppm of arsenite on Fe-montmorillonite was confirmed based on As Kα1selecting XANES and As Kα1 emission spectrum. Proposed molecular surface uptake
mechanism was illustrated in Figure 5 over acetate-exchanged microporous FeOx(OH)y. The
reaction formula was AsIII(OH)3 + FeO(OH) £ (FeO)2AsV(OH)2 + H2O.
In summary, oxidative adsorption of low concentrations (200 ppb – 16 ppm) of arsenite
was found on coordinatively unsaturated FeOx(OH)y nanoparticles or micro/mesoporous
FeOx(OH)y partially covered with acetate anions. The oxidation to arsenate seems to be due tolower coordination of surface FeOx(OH)y species. The lower coordination was also the reason
to make the equilibrium sorption constant greater for acetate-exchanged FeOx(OH)y and Femontmorillonite [15, 17].
Lead Problem. Sorption tests for low concentrations (55 ppb) of lead in flow setup weredepicted in Figure 6 [18]. The superiority of Mg6Fe2(OH)16(CO3)•3H2O was clearly
demonstrated to maintain the Pb2+ concentration less than modern environmental regulation(10 ppb) compared to commercially available activated carbon.
Lead Lα1 emission spectrum for Pb adsorbed on Mg6Fe2(OH)16(CO3)•3H2O from 100
ppb Pb2+ test solution was depicted in Figure 7. The peak energy was identical to that forstandard PbII compounds. The energy resolution of fluorescence spectrometer in thismeasurement condition was 5.0 – 10.1 eV dependent on the measurement conditions offluorescence spectrometer (Figure 7) [24, 28]. Because the core-hole lifetime widths are 5.81
and 2.48 eV for Pb L3 and M5 levels, respectively [27], the width for Lα1 is 8.29 eV
comparable to the energy resolution of fluorescence spectrometer. Thus, sharper, more
resolved spectral feature was expected in Pb Lα1-selecting Pb L3-edge XANES spectrum if
the energy resolution of fluorescence spectrometer was smaller than 5.81 eV, similar to thecase of As Kα1-selecting XANES in previous section.

Figure 5. Proposed adsorption mechanism of low concentrations of arsenite on acetate-exchanged
FeOx(OH)y previously heated at 423 K.

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Yasuo Izumi

Figure 6. Results of sorption on Mg6Fe2(OH)16(CO3)•3H2O and on activated carbon from 55 ppb of
Pb2+ aqueous test solution. The space velocity was 150 min–1.

Figure 7. Lead Lα1 emission spectrum for 0.12 wt% of Pb adsorbed on Mg6Fe2(OH)16(CO3)•3H2O. The
solid line is the experimental data, and (wider) dotted line is a fit with a pseudo-Voigt function. The
intensity of the Lorentzian and Gaussian components was fixed to 1:1. The narrower dotted line is theenergy resolution of fluorescence spectrometer (10.1 eV).

Effective Removal of Low Concentrations of Arsenic and Lead…

213

Pb Lα1-selecting XANES spectra are shown in Figure 8a – c. The spectral pattern of band c resembled each other. The two samples contained 0.30 – 0.12 wt% of lead adsorbed
from 100 ppb test aqueous Pb2+ solution. The Pb contents in samples were determined by
ICP. Compared to XANES spectra for standard inorganic Pb compounds (Figure 8d – i) andsupported Pb species on zeolite [29] or on Fe2O3 [30], the spectra b and c resembled mostspectrum d measured for ion-exchanged PbY zeolite (d). Thus, surface uptake mechanism via
ion exchange reaction was proposed on Mg6Fe2(OH)16(CO3)•3H2O from relatively low
concentration of 100 ppb divalent lead solutions (Figure 9). The reaction formula is[Mg3Fe(OH)8]+ + Pb2+ £ [Mg3Fe(OH)7(OPb)]2+ + H+.
Pb Lα1-selecting XANES spectrum for Pb adsorbed from 1.0 ppm test Pb2+ solution isdepicted in Figure 8a. Compared to XANES spectra for standard inorganic Pb compounds(Figure 8d – i), the spectrum a resembled most spectrum g measured for 2PbCO3•Pb(OH)2.
Thus, coagulation uptake mechanism was proposed on Mg6Fe2(OH)16(CO3)•3H2O from
relatively high concentration of 1 ppm Pb2+ test solution. Thus-identified reaction formula
was Pb2+ + nCO32– + 2(1 – n)OH– ⇄ nPbCO3•(1 – n)Pb(OH)2.

Figure 8. Lead Lα1-selecting Pb L3-edge XANES spectra measured at 290 K for Pb adsorbed on
Mg6Fe2(OH)16(CO3)•3H2O (a – c). Tune energy of fluorescence spectrometer was 10551.5 eV. The Pb
content was 1.0 wt% adsorbed from 1.0 ppm Pb2+ aqueous test solution (a) and 0.30 (b) and 0.12 wt%(c) from 100 ppb Pb2+ test solution. XANES spectra measured in transmission mode (d – i) for PbY
zeolite (d), PbO (e), Pb(NO3)2 (f), 2PbCO3•Pb(OH)2 (g), Pb6O4(OH)4 (h), and PbCO3 (i).

With closer look of Figure 8a – c, a shoulder feature appeared at 13049 eV. Similar
shoulder feature can be found in spectra for PbO, 2PbCO3•Pb(OH)2, and Pb6O4(OH)4 (spectra

214

Yasuo Izumi

e, g, and h, respectively). However, intense peak at 13060.1 – 13060.5 eV for PbO or
Pb6O4(OH)4 did not appear in spectra a – c. Thus, minor coagulation uptake mechanism wassuggested from 100 ppb Pb2+ solutions in addition to major ion exchange process (Figure 9).

Figure 9. Pb2+ adsorption mechanism on Mg6Fe2(OH)16(CO3)•3H2O from Pb2+ 1.0 ppm and 100 ppb
aqueous solutions.

In summary, Pb2+ uptake mechanism on Mg6Fe2(OH)16(CO3)•3H2O exhibited a switchover from coagulation to (major) ion exchange reactions as the Pb2+ concentration decreased
from 1.0 ppm to more environmentally plausible 100 ppb [28].

CONCLUDING REMARKS AND FUTURE PROSPECTS
This chapter focused on the removal of low concentrations (55 – 200 ppb) of arsenite andlead by utilizing Fe-montmorillonite, micro/mesoporous FeOx(OH)y effectively porous due tocarboxyl-exchange method, and layered double hydroxide consisted of Fe and Mg(pyroaurite). It is still open to discuss the systematic survey of the removal process of otherdilute toxic elements, e.g. Cr, Cu, Zn, Cd, or Hg. It is important to formulate the efficiency of
surface uptake with respect to critical factors, i.e. pH, chemical species of toxic elements(naked cations, oxyanions, or oxyhydroxyl anions), initial concentrations (10 – 100 ppb) andspace velocity of aqueous solutions to be processed, and chemical combination of surface
versus chemical species (e.g. FeIIIO(OH) versus As(OH)3 and OH–(clay surface)/CO32–(between layers) versus Pb2+).
In the analytical point of view to monitor the destiny of low concentrations of toxic
elements, selective XAFS technique, with which the author of this chapter has also

Effective Removal of Low Concentrations of Arsenic and Lead…

215

investigated surface catalytic sites of gold, platinum, tin, and vanadium [31 – 35], needs to be
combined with other technique with nanoscale spacial resolution. Spectroscopy withnanoscale spacial resolution is under investigation, but not established to be applicable tonanotechnology (Table 2).
At present, spacial resolution of X-ray microscopy is 1 μm [36]. Several types of X-ray
microscopy/imaging are under investigation, e.g. microbeam XAFS, photoemission electron
microscope (PEEM), or phase contrast imaging [37, 38]. The spacial resolution of TEM isalready smaller than 1 nm if the sample nanoscopic condition matches to the high-resolution
measurement. To monitor the sorption between 2-dimensinal layers (e.g. montmorillonite,hematite), in 2-dimensional mesopores (e.g. FSM-16, MCM-41), and in 3-dimensional
micro/mesopores (e.g. ZSM-5, acetate-exchanged FeOx(OH)y [17]), 3-dimensional TEM
images would be very helpful by taking series of TEM snapshots from various angles tosample and organizing 3-dimensional image on computer [39].
Scanning probe microscope (SPM), especially scanning tunneling microscopy (STM) andatomic force microscope (AFM), has an advantage of atomic resolution for well-definedsurface [40]. To utilize SPM technique to monitor the sorption from low concentrations of
toxic elements, the combination with element specific spectroscopy, e.g. XPS, XAFS, isessential to describe the surface chemical mechanism. The author of this chapter isdeveloping this combination (AFM and XPS) based on temporal electron trap phenomena inthe metal nano-dots in the front of the AFM tip [41, 42].
Table 2. Spectroscopy Needed to Be Developed to Give Direct Spacial Information ofSurface Uptake Mechanism from Low Concentrations (10 – 100 ppb) of Toxic Metal
Elements
Probe

MethodFactor to be developed for this application

Refs

X-ray Microscope

Smaller X-ray beam (< 10 nm)[36 – 38]

Electron Microscope

3-dimensional information[39]

Tip Microscope

Scanning probe microscope to discriminate[41, 42]the kind of element
X-ray Diffraction

Surface-sensitivity between nano-layers or[43]

in micro/mesospace
X-ray XAFS/XRF

On-site analysis in the field[44, 45]

Surface-sensitive XRD may be applicable to monitor the application of water purification[43]. The breakthrough is selectivity to internal surface of layered and micro/mesoporous
materials used as sorbents. Portable XRF/XAFS apparatus that has been investigated forspace science [44, 45] will be applicable to environmental on-site monitoring of the fate of
toxic elements in the field.

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Yasuo Izumi

ACKNOWLEDGMENTS
This article is part 26 in the series of state-sensitive XAFS. The X-ray experiments were
performed under the approvals of the SPring-8 Program Review Committee and of the Photon
Factory Proposal Review Committee. The works included in this chapter were financially
supported by grants from the Grant-in-aid for Encouragement of Young Scientists(B14740401, A12740376) and the Grant-in-aid for Basic Scientific Research (B13555230,
C17550073) from the Ministry of Education, Culture, Sports, Science, and Technology,
Yamada Science Foundation (2000), Toray Science Foundation (98-3901), and Research
Foundation for Opto-Science and Technology (2005 – 2006).

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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

AEROBICALLY BIODEGRADED FISH-MEAL
WASTEWATER AS A FERTILIZER
Joong Kyun Kim1 and Geon Lee2
1

Department of Biotechnology and Bioengineering,
Pukyong National University, Busan, Korea
2
Research Department, Samrim Corporation,
Kimhae, Kyongnam, Korea

ABSTRACT
Reutilization of fish-meal wastewater (FMW) as a fertilizer was attempted, andaerobic biodegradation of the FMW were successfully achieved by microbial consortiumin a 1-ton bioreactor. During the large-scale biodegradation of FMW, the level of DO wasmaintained over 1.25 mg·l-1, and a strong unpleasant smell remarkably disappeared in theend. Although the level of total amino acids and the concentrations of N, P and K in thebiodegraded FMW were relatively lower than those in two commercial fertilizers, theconcentrations of noxious components in the biodegraded FMW were much lower than
the standard concentrations. The phytotoxicity of the biodegraded FMW was almost
equal to that of the commercial fertilizers. The fastest growth in hydroponic cultures of
red bean and barley was achieved at 100-fold and 500-fold dilution, respectively, thegrowth of which was comparable to those of 1,000-fold diluted commercial-fertilizers.
From all above results, it was concluded that a large-scale biodegradation of FMW was
successful and the properties of FMW were acceptable. This is the first study todemonstrate aerobic production of liquid-fertilizer from FMW.

Keywords: fish-meal wastewater, fertilizer, microbial consortium, large-scalebiodegradation, phytotoxicity, hydroponic culture.

INTRODUCTION
The amount of fisheries waste generated in Korea is expected to increase with a steadyincrease in population to enjoy taste of slices of raw fish. The fisheries waste is reduced andreutilized through the fish meal production. The process, which uses fish wastes such asheads, bones or other residues, is the commonest used in the Korean industries. The first stepof the fish-meal manufacturing processes is the compression and crushing of the raw material,
which is then cooked with steam, and the liquid effluent is filtered off in a filter press. The

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Joong Kyun Kim and Geon Lee

liquid stream contains oils and a high content of organic suspended solids. After oil
separation, the fish-meal wastewater (FMW) is generated and shipped to wastewater
treatment place. FMW has been customarily disposed of by dumping into the sea, since directdischarge of FMW can cause serious environmental problems. Besides, bad smell, which is
produced during fish-meal manufacturing processes, causes civil petition. Stricter regulations
for this problem also come into force every year in Korea. Therefore, there is an urge to seek
for an effective treatment to remove the organic load from the FMW; otherwise the fish meal
factories will be forced to shut down.
Biological treatment technologies of fish-processing wastewater have been studied to
improve effluent quality (Battistoni and Fava, 1995; Park et al., 2001). The common featureof the wastewaters from fish processing is their diluted protein content, which afterconcentration by a suitable method would enable the recovery and reuse of this valuable raw
material, either by direct recycling to the process or subsequent use in animal feed, humanfood, seasoning, etc. (Afonso and Borquez, 2002). It has been also reported that the organic
wastes contain compounds, which are capable of promoting plant growth (Day andKatterman, 1992), and seafood processing wastewaters do not contain known toxic or
carcinogenic materials unlike other types of municipal and industrial effluents (Afonso andBorquez, 2002). Although these studies imply that FMW could be a valuable resource for
agriculture, potential utilization of this fish wastes has been limited because of its bad smell(Martin, 1999). There is an increasing need to find ecologically acceptable alternatives toovercome this problem.
Aerobic biodegradation has been widely used in treatment of wastewaters, and recently
references to the use of meso- and thermophilic microorganisms have become increasingly
frequent (Cibis et al., 2006). During the biodegradation, the organic matter is biodegradedmainly through exothermic aerobic reactions, producing carbon dioxide, water, mineral salts,
and a stable and humified organic material (Ferrer et al., 2001). There have been few reportsthat presented the reutilization of biodegraded waste products as liquid-fertilizer: a waste
product of alcoholic fermentation of sugar beet (Agaur and Kadioglu, 1992), diluted manurestreams after biological treatment (Kalyuzhnyi et al., 1999), and biodegraded fish-meal
wastewater in our previous studies (Kim et al, 2007; Kim and Lee, 2008). Therefore, aerobic
biodegradation is considered to be the most suitable alternative to treat FMW and realize amarket for such a waste as a fertilizer.
The growth of plants and their quality are mainly a function of the quantity of fertilizer
and water. So it is very important to improve the utilization of water resources and fertilizer
nutrients. The influence of organic matter on soil biological and physical fertility is wellknown. Organic matter affects crop growth and yield either directly by supplying nutrients orindirectly by modifying soil physical properties such as stability of aggregates and porositythat can improve the root environment and stimulate plant growth (Darwish et al., 1995).
Incorporation of organic matter has been shown to improve soil properties such as
aggregation, water-holding capacity, hydraulic conductivity, bulk density, the degree ofcompaction, fertility and resistance to water and wind erosion (Carter and Stewart, 1996;
Franzluebbers, 2002; Zebarth et al., 1999). Combined use of organic and inorganic sources ofnutrients is essential to maintain soil health and to augment the efficiency of nutrients (Lian,
1994).
Three primary nutrients in fertilizers are nitrogen, phosphate, and potassium. According
to Perrenoud’s report (1990), most authors agree that N generally increases crop susceptibility

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

221

to pests and diseases, and P and K tend to improve plant health. It has been reported thattomato is a heavy feeder of NPK (Hebbar et al., 2004) and total nitrogen content is high inleaves in plants having a high occurrence of bitter fruits (Kano et al., 2001). Phosphorus isone of the most essential macronutrients (N, P, K, Ca, Mg, S) required for the growth ofplants, and the deficiency of phosphorus will restrict plant growth in soil (Son et al., 2006).
However, the excessive fertilization with chemically synthesized phosphate fertilizers hascaused severe accumulation of insoluble phosphate compounds in farming soil (Omar, 1998),
which gradually deteriorates the quality as well as the pH of soil. Different fertilization
treatments of a long-term field experiment can cause soil macronutrients and their available
concentrations to change, which in turn affects soil micronutrient (Cu, Fe, Mn, Zn) levels.
Application of appropriate rates of N, P and K fertilizers has been reported to be able toincrease soil Cu, Zn and Mn availabilities and the concentrations of Cu, Zn, Fe and Mn inwheat (Li, et al., 2007).
It has been also reported that higher rates of fertilizers suppress microbial respiration(Thirukkumaran and Parkinson, 2000) and dehydrogenase activity (Simek et al., 1999).
Recently, greater emphasis has been placed on the proper handling and application ofagricultural fertilizers in order to increase crop yield, reduce costs and minimize
environmental pollution (Allaire and Parent, 2004; Tomaszewska and Jarosiewicz, 2006).
Hydroponics is a plant culture technique, which enables plant growth in a nutrient
solution with the mechanical support of inert substrata (Nhut et al., 2006). Hydroponic culture
systems provide a convenient means of studying plant uptake of nutrients free of confounding
and uncontrollable changes in soil nutrient supply to the roots. Thus, it is fit for test offertilizing ability of liquid fertilizers. The technique was developed from experiments carriedout to determine what substances make plants grow and plant composition (Howard, 1993).
Water culture was one of the earliest methods of hydroponics used both in laboratory
experiments and in commercial crop production. Nowadays, hydroponics is considered as apromising technique not only for plant physiology experiments but also for commercial
production (Nhut et al., 2004; Resh, 1993). The technique has been also adapted to many
situations, from field and indoor greenhouse culture to highly specialized culture in atomic
submarines to grow fresh vegetables for the crew (Nhut et al., 2004). Hydroponics provides
numerous advantages: no need for soil sterilization, high yields, good quality, precise andcomplete control of nutrition and diseases, shorter length of cultivation time, safety for theenvironment and special utility in non-arable regions. Application of this culture technique
can be considered as an alternative approach for large-scale production of some desired andvaluable crops.
In this study, a large-scale biodegradation was successfully carried out for three days in a
1-ton reactor using the FMW generated from fish-meal manufacturing processes, and theproperties of the biodegraded FMW, such as phytotoxicity, amino-acid composition,
concentrations of major and noxious components, and fertilizing ability on hydroponic culture
plants were determined to examine the suitability of the biodegraded FMW as a fertilizer.

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Joong Kyun Kim and Geon Lee

MATERIALS AND METHODS
Microorganisms and MediaThe mixed microorganisms used in this study comprised seven microorganisms: Bacillus
subtilis, Bacillus licheniformis, Brevibacillus agri, Bacillus coagulans, Bacillus circulans,
Bacillus anthracis and Bacillus fusiformis. They were potential aerobically-degrading
bacteria, which were isolated from commercial good-quality humus and from compost andleachate collected at three different sites of composting plants (Kim et al., 2007). There wasno potential bacterial antagonist among them. Each pure culture was maintained on 1.5%
Nutrient agar plate at 4 until used, and transferred to a fresh agar plate every month. At thesame time, the potential degrading ability of each pure culture was also checked on 1% skim
milk agar, 3.215% spirit blue agar, starch hydrolysis agar (5 g·l-1 of beef extract, 20 g·l-1 ofsoluble starch, 10 g·l-1 of tryptose, 5 g·l-1 of NaCl, and 15 g·l-1 of agar, pH 7.4) and cellulose
agar (10 g·l-1 of cellulose powder, 1 g·l-1 of yeast extract, 0.1 g·l-1 of NaCl, 2.5 g·l-1 of (NH4)-1-1-1
2SO4, 0.25 g·l of K2HPO4, 0.125 g·l of MgSO4·7H2O, 0.0025 g·l of FeSO4·7H2O, 0.025-1-1g·l of MnSO4·4H2O, and 15 g·l of agar, pH 7.2), respectively. All agar plates wereincubated at 450C until change of color or a clear zone around each colony appeared.

Liquid-Fertilization of FMW
A large-scale biodegradation of the original FMW was carried out in a 1-ton reactor for
its liquid-fertilization. The inside of the reactor was sterilized by hot steam for 30 min, andthen 600 l of the FMW obtained from a fish-meal factory was added into the reactor by aperistaltic pump under the steaming. The FMW was characterized as: 115,000±13,000 mg·l-1
of chemical oxygen demand- dichromate (CODCr), 15,400±1,300 mg·l-1 of total nitrogen(TN), 68,900±7,600 mg·l-1 of five days biological oxygen demand (BOD5), 2,800±600 mg·l-1
of NH4+-N, 0 mg·l-1 of NO3--N and 0 mg·l-1 of NO2--N. The salt concentration and pH of the
FMW were 0.6±0.1% and 6.5±0.2, respectively. After the steaming was quit, the reactor wasplaced until temperature dropped down to 450C. Then, 30-l liquid broth of sevenmicroorganisms (on the same ratio of cell mass) grown in exponential phase of growth wereseeded into the reactor. For faster biodegradation, the inoculated cells were previously
acclimated for two days in the original FMW under an aerobic condition. The bioreactor was
operated at 42+40C, and air was supplied from two blowers (6.4 m3·min-1 of capacity) into thereactor through ceramic disk-typed diffusers. The aeration rate was 1,280 l·min-1. Ten-folddiluted ‘Antifoam 204’ was used when severe foams occurred during biodegradation.
Samples from the reactor were collected periodically. The concentrations of dissolved oxygen(DO), CODCr and TN were measured with oxidation-reduction potential (ORP) and pH.

Seed Germination Test
According to the method of Wong et al.(2001), seed germination tests for 50-, 100-, 250-,
500-, and 1,000-fold diluted final broths, which were taken from the biodegradation of

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

223

original FMW in a 1-ton reactor, were carried out against control in order to evaluate thephytotoxicity of the biodegraded FMW. Two commercial fertilizers, C-1 (A-company,
Incheon, Korea) and C-2 (N-company, Kimhae, Korea), frequently used in Korea were also
tested for the comparison of their phytotoxicity. Five milliliters of each sample were pipetted
into a sterile petri dish lined with Whatman #1 filter paper. Ten cress (Lepidium sativum)
seeds were evenly placed in each dish. The plates were incubated at 25 ºC in the dark at 75%
of humidity. Distilled water was used as a control. Seed germination and root length in eachplate were measured at 72 h. The percentages of relative seed germination (RSG), relativeroot growth (RRG) and germination index (GI) after expose to the sample were calculated as
the following formula (Zucconi et al., 1981; Hoekstra et al., 2002):

RSG (%) =Number of seeds germinated in thebiodegraded FMW
Number of seeds germinated in control

RRG (%) =Mean root length in thebiodegraded FMW
Mean root length in control

GI (%) =

× 100

× 100

RSG
× RRG
100

Hydroponic Culture
To test the fertilizing ability of the biodegraded FMW produced in a 1-ton reactor, ahydroponic culture system was applied to cultivate red bean and barley in a mini-hydroponic
culture pot (5×12×8 cm3) against control. Tests were carried out on the biodegraded FMW atvarious dilutions (50, 100, 250, 500 and 1,000-fold). The tests were also carried out on 1,000fold diluted commercial-fertilizers in order to compare with the fertilizing ability of thebiodegraded FMW. The hydroponic culture pot was composed of a glass vessel and a plastic
screen inside. In each pot, ten seeds of red bean or twenty-five seeds of barley were put on topof the plastic screen, respectively, and approximately 300-ml solution of the biodegraded
FMW at various dilution ratios was filled underneath the plastic screen. After set-up of thehydroponic culture system, each pot was initially covered with aluminum foil to keep seeds indark before seed germination. After seed germination, the pot placed by the window all day
long to provide the necessary sunlight for plant’s growth. Day and night temperatures of air
were maintained at 22±20C and 18±2℃ by natural ventilation and heating. Water temperature
was 15±30C, and the relative humidity in the room was 60% on the average. The fertilizer
solution was refreshed every four days, and the seeds were soaked all the time. After seedgermination, roots grew through the pore of the plastic screen. The growth of plants wasobserved periodically, and height, thickness of stem, number of leaf, and length of leaf ofeach plant were measured.

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Joong Kyun Kim and Geon Lee

Analyses
The concentrations of cations (NH4+) and anions (NO2- and NO3-) were estimated by IC(Metrohm 792 Basic IC, Switzerland). The columns used in these analyses were Metrosep
C2-150 and Metrosep Supp 5-150 for cation and anion, respectively. The concentrations of
CODCr and TN concentrations were analyzed by the Water-quality Analyzer (Humas, Korea).
The concentration of BOD5 was analyzed by the OxiDirect BOD-System (Lovibond,
Germany). The composition of amino acids, and concentrations of major and noxious
components in biodegraded FMW and commercial liquid-fertilizers were analyzed at Science
Lab Center Co., Ltd (Daejeon, Korea) by our request.

RESULTS AND DISCUSSION
Liquid-Fertilization of FMW
To industrialize the biodegraded FMW as liquid-fertilizer, data obtained in laboratory
equipment should be transferred to industrial production. Problems of scale-up in a bioreactor
are associated with the behavior of liquid in the bioreactor and the metabolic reactions of theorganisms. Transport limitation is considered as one of the major factors responsible forphenomena observed at large-scale. For this reason, a large-scale FMW biodegradation wereattempted in a 1-ton bioreactor, and the result is shown in Figure 1. As shown in Figure 1, DO
level in the reactor started to decrease after 5 h. This implies that active biodegradation of
FMW took placed after a lag phase by the mixed microorganisms used in this study, since
oxygen consumption has been known to be a general index of microbial metabolism (Tomati
et al., 1996). During two days biodegradation, the DO level was maintained over 2 mg·l-1, but
it decreased further thereafter. The final DO level was 1.25 mg·l-1. In aerobic processes,
oxygen is a key substrate and a continuous transfer of oxygen from the gas phase to the liquid
phase is decisive for maintaining the oxidative metabolism of the cells because of its low
solubility in aqueous solutions. Generally, it has known that DO level in a bioreactor should
be maintained over 1 mg·l-1 for aerobic fermentation (Tohyama et al., 2000). Therefore, itwould seem that the supply of oxygen into the 1-ton reactor met the demand of oxygen by the
microorganisms during the biodegradation.
The pH was 6.99 at the beginning and decreased down to 6.15 after 20 h. Then the pH
was recovered slowly and its final value was 6.86. In our previous study (Kim et al., 2008),
pH had a tendency to increase during the biodegradation because of insufficient supply ofoxygen. These results imply that microorganisms had different metabolism, which wasdependent on the availability of dissolved oxygen. The value of ORP started at 18.2 mV. The
value of ORP decreased rapidly after 45 h and the final value reached to 0.6 mV. The
decrease in the ORP value resulted from the decrease in DO level. During the biodegradation,
the values of ORP maintained positive, and a strong unpleasant smell (mainly a fishy smell)remarkably disappeared in the end. It seemed that a complete aerobic biodegradation mighttake place to a certain extent with maintenance of ORP in a positive range, since unpleasantodor can be easily produced under incomplete aerobic biodegradation (Zhang et al., 2004).

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

225
40

8.5

4

20

2

1

7.5

-20

7.0

-40

ORP (mV)

0

3

pH

DO (mg.l-1)

8.0

-60

6.5

-80
6.0
120000

18000

. -1

CODcr (mg.l-1)

14000

TN (mg l )16000

100000

80000

12000
10000

60000
8000
6000

40000

4000
0

10

20

30

40

50

60

Time (h)Figure 1. Changes of ORP(
in a 1-ton reactor.

), DO( ▲ ), pH( ● ), CODcr() and TN( ▼ ) during the biodegradation

From all the results, maintenance of DO level during biodegradation was found to bevery important and ORP could be a key parameter to operate biodegradation of FMW in alarge-scale. The ORP was reported to be used as a controlling parameter for regulation of
sulfide oxidation in anaerobic treatment of high-sulfate wastewater (Khanal and Huang,
2003), and on-line monitoring of ORP has been proved to be a practical and useful techniquefor process control of wastewater treatment systems (Guo et al., 2007; Yu et al., 1997). As aresult, process optimization is required in a large-scale operation, especially aeration rate inthis case. After 52 h of biodegradation, the concentrations of CODCr and TN in original FMW
reduced to 25,100 and 4,790 mg·l-1, respectively. The removal percentages of CODCr and TN
were 79.4 and 73.4%, respectively, with slight decrease of CODCr/TN ratio from 6.8 to 5.2. It
has been known that the COD/N ratio may influence biomass activity, and therefore on themetabolic pathways of organic matter utilization (Ruiz et al., 2006). Based on this226

Joong Kyun Kim and Geon Lee

information, the cell activity and metabolic pathways of the mixed microorganisms might bemaintained somewhat with their mutualism during the biodegradation.

Properties of Biodegraded FMW as Fertilizer
Since the FMW contains various compounds potentially useful for diverse plants, anattractive application is its use as a fertilizer; however, this could have limitations due to sometoxic characteristics of the waste. For this reason, it is necessary to prove the non-toxic
properties and fertilizing ability of the final biodegraded FMW.

Phytotoxicity of Biodegraded FMW
Organic matters hold great promise due to their local availability as a source of multiple
nutrients and ability to improve soil characteristics. Sufficient aeration promotes theconversion of the organic matters into nonobjectionable, stable end products such as CO2,
SO42-, NO3-, etc. However, an incomplete aeration may result in accumulation of organic acid,
thus giving trouble to plant growth if the fertilizer is incorporated into the soil (Jakobsen,
1995). The phytotoxicity of the biodegraded FMW produced in a 1-ton reactor was examinedat various dilution ratios, and compared with those of two commercial fertilizers (Figure 2).

Figure 2. Percentages of germination index (GI) at various dilution ratios of the biodegraded FMW
produced in a 1-ton reactor. The results are compared to those of 1,000-fold diluted commercial
fertilizers, C-1 and C-2.

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

227

As shown in Figure 2, the values of GI had a tendency to increase with increase ofdilution ratio of the biodegraded FMW. The GI values of the biodegraded FMW were lessthan 20% at 50- and 100-fold dilution with low root elongation. The reduction in values of GI
indicates that some characteristics existed had an adverse effect on root growth. This may be
attributed to the release of high concentrations of ammonia and low molecular weight organic
acids (Fang and Wong, 1999; Wong, 1985), since cress (Lepidium sativum) used in this study
is known to be sensitive to the toxic effect of these compounds (Fuentes et al., 2004). At 250fold dilution, the GI value of the biodegraded FMW was close to 50%. A GI value of 50% has
been used as an indication of phytotoxin-free compost (Zucconi et al., 1985). According tothis GI criterion, the biodegraded FMW required more than 250-fold dilution to reachstabilization of the organic matter to maintain the long-term fertility in soil. At 1,000-folddilution, the GI value was found to be close to 90%. This GI value was compared with thoseof two commercial fertilizers at the same dilution, since 1,000-fold diluted liquid fertilizer
was used in horticulture for general purpose. The GI value of the biodegradative FMW wasmuch better than that of C-1 and comparable to that of C-2. This result implies that thebiodegradation of FMW in a 1-ton reactor was successfully carried out, and thus thedevelopment of a liquid-fertilizer from the FMW was feasible.

Composition of Amino Acids of Biodegraded FMW
Amino acids are an essential part of the active fraction of organic matter in a fertilizer.
The growth of plants depends ultimately upon the availability of a suitable balance of aminoacids, and their composition might also be used as a means of assessing biodegradation. The
success of the scale-up process for the production of liquid fertilizer from the FMW can beverified by determining the composition of amino acids. From this point of view, it isnecessary to analyze the amino-acid composition of the biodegraded FMW produced in a 1ton bioreactor. The analytical result was tabulated in Table 1 with those of two commercial
fertilizers. The level of total amino acids was 5.60 g·100g sample-1, which was a little bit
better than that produced in our previous study (Kim and Lee, 2008). The higher content ofamino acids is probably due to the higher degree of mineralization of FMW, which indicatesrelease of more nutrients available for plants. However, the level of total amino acids in thebiodegraded FMW was lower, compared with those in two commercial fertilizers. Thisimplies that mineralization of FMW in a 1-ton reactor was not as great as that in a lab-scale
reactor (Bylund et al., 1998; Xu et al., 1999). Especially, the levels of aspartic acid, alanine
and lysine were low, whereas those of proline and glycine were relatively high. The
difference may be due to the composition of the original FMW, since it was found to be
dependent on the nature of the raw material processed in the factory (Kim et al., 2007).
Moreover, the composition of sulfur-containing amino acids, cysteine and methionine, wasrelatively high in the biodegraded FMW. It has been reported that the sulfur-containing aminoacid, methionine is a nutritionally important essential amino acid and is the precursor ofseveral metabolites that regulate plant growth (Amir et al., 2002).

228

Joong Kyun Kim and Geon Lee

Table 1. Comparison of amino-acids composition of the biodegraded FMW with those ofcommercial fertilizersa
Amino acid

Source of liquid fertilizer
Biodegraded FMWbCommercial C-1

Commercial C-2

Aspartic acid

0.49

0.90

0.58

Threonine
Serine

0.18
0.21

0.23
0.21

0.21
0.23

Glutamic acid

0.78

2.96

0.89

ProlineGlycine
Alanine

0.50
1.06
0.60

0.09
0.31
1.00

0.61
1.25
0.98

Valine

0.15

0.39

0.24

Isoleucine

0.14

0.28

0.13

LeucineTyrosine

0.24
0.07

0.42
0.17

0.26
0.05

Phenylalanine

0.19

0.22

0.18

Histidine

0.20

0.28

0.25

Lysine

0.29

1.54

0.53

Arginine

0.31

0.23

0.35

Cystine

0.04

n.d.c

0.04

Metionine

0.13

n.d.

0.01

Tryptophan

0.02

n.d.

0.02

Total

5.60

9.23

6.81

a

composition of amino acids was based on dry weight (g•100g sample-1).
produced in a 1-ton reactor.
cn.d. means ‘not detected’.
bConcentrations of Major and Noxious Components in Biodegraded FMW
It is very important to improve the utilization of fertilizer nutrients, since the growth ofplants and their quality are mainly a function of the quantity of fertilizer. Organic matter
affects crop growth and yield directly by supplying nutrients (Darwish et al., 1995).
Combined use of organic and inorganic sources of nutrients is essential to augment theefficiency of nutrients (Lian, 1994). For this reason, concentrations of three primary nutrients(N, P, and K) in the biodegraded FMW were anaylized together with noxious components,
and compared with those in commercial fertilizers. The results were tabulated in Table 2. The
concentrations of N, P and K in the biodegraded FMW were 1.49, 0.28 and 0.41%,
respectively, and were much lower than those in commercial fertilizers.

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

229

Table 2. Comparison of concentrations of major and noxious components present in thebiodegraded FMW with those present in commercial fertilizers
Source of liquid fertilizer

Measurement

N, P, K(%)

Noxious
Compounds(mg·kg-1)

Biodegraded FMWa

Commercial C-1

Commercial C-2

N

1.49

4.83

3.80

P2O5

0.28

2.86

2.83

K2O

0.41

2.10

3.04

Pb

n.d.b

0.63

0.31

As

n.d.

0.88

0.36

Cd

n.d.

0.08

0.03

Hg

0.01

n.d.

n.d.

Cr

0.20

3.52

3.44

Cu

n.d.

3.24

2.24

Ni

n.d.

1.54

2.32

Zn

1.61

4.39

3.51

a

produced in a 1-ton reactor.
n.d. means ‘not detected’.

bHowever, the concentrations of noxious components in the biodegraded FMW weremuch lower than those in commercial fertilizers. The noxious components, Pb, As, Cd, Cu
and Ni were not detected, and the other components were much less than the standard
concentrations provided by the law.

Hydroponic Culture on Biodegraded FMW
The fertilizing ability of the biodegraded FMW at various dilution ratios was tested in ahydroponic culture system, which was applied to cultivate red bean and barley. The tests werealso carried out on 1,000-fold diluted commercial-fertilizers simultaneously. Results ofhydroponic culture of red bean on diluted biodegraded-FMW and commercial fertilizers weretabulated in Table 3. As seen in Table 3, elongation of root was slow after seed germinationin all diluted FMW. However, roots elongated soon after development of root. The fastest
growth was achieved at 100-fold dilution, the growth of which was comparable to that of
1,000-fold diluted commercial-fertilizers. This result was somewhat surprising because the GI
test on the 100-fold diluted FMW showed low root elongation (Figure 2). The toxic effect of
the 100-fold diluted FMW might be not severe on red bean, although it was sensitive on
cress.

230

Joong Kyun Kim and Geon Lee

Table 3. Results of hydroponic culture of red bean on diluted biodegraded-FMW andcommercial fertilizers
Dilution of biodegraded FMW

Control (Water)
Measurement

Time (day)50-fold

100-fold

250-foldTime (day)Time (day)Time (day)

2

5

8

12 14 258

12 14 25

12 14 25

8Height (cm)--

1.5 3.0 6.0 ---1.0 2.0 -2.0 4.0 6.0 9.0 --1.0 3.0 4.5

Thickness ofstem (cm)--0.2 0.3 0.5 ---0.2 0.2 -0.2 0.3 0.4 0.5 --0.2 0.3 0.3

Number of leaf

-

-

-

-

2

-

-

-

1

-

-

-

2

-

-

-

1

Length of leaf (cm) -

-

-

-

3.0 -

-

-

1.0 2.0 ---1.5 4.0 ---1.0 1.5

1

8

Dilution of biodegraded FMW
Measurement

500-foldTime (day)
12 14 28

1,000-fold, C-1

1,000-fold, C-2

Time (day)Time (day)

2

5

8

Height (cm)Thickness ofstem (cm)Number of leaf
Length of leaf (cm) --1.0 3.0 4.0 -1.0 2.0 4.0 5.5 1.0 4.0 4.5 5.0 8.0 -2.0 3.0 4.0 6.0-

0.2 0.3 0.4 -0.2 0.2 0.3 0.4 0.2 0.3 0.3 0.4 0.5 -0.2 0.3 0.4 0.5

-

-

-

-

1 2 1.0 1.5 -52Commercial fertilizer

1,000-foldTime (day)

2

12 14

-

12 14 21 2 1.0 2.0 -

5

-

8

12 14 2-2 2 1.5 4.5 -

5

8

-

12 14

2 2
1.0 3.0

Table 4. Results of hydroponic culture of barley on diluted biodegraded-FMW andcommercial fertilizers
Dilution of biodegraded FMW

Control (Water)
Measurement

50-fold

Time (day)Time (day)-1.7 5.8 8.3 8.5 -1.2 2.6 4.4 5.2 -2.1 4.1 6.5 7.5 -2.4 4.3 6.7 7.6

Thickness ofstem (cm)-0.1 0.2 0.2 0.2 -0.1 0.2 0.2 0.2 -0.1 0.2 0.2 0.2 -0.1 0.2 0.2 0.2

Number of leaf

-

1

1

1

1

2

-

1.2 4.6 6.5 6.8 -82

12 14 22

2-

0.7 1.3 3.1 3.5 -58Time (day)Height (cm)25Time (day)52

12 14 2250-fold2

Length of leaf (cm) -8100-fold2

Height (cm)Thickness ofstem (cm)Number of leaf
Length of leaf (cm)

2

2

-

1.6 3.0 5.0 5.5 -Dilution of biodegraded FMW
Measurement

12 14 2

5

8

2

12 14

2

1.9 3.0 5.0 5.6

Commercial fertilizer

500-fold

1,000-fold

1,000-fold, C-1

1,000-fold, C-2

Time (day)Time (day)Time (day)Time (day)8

12 14 2

5

8

2

2

5

-

2.9 5.5 7.8 8.1 -1.5 3.9 5.6 6.3 -12 14 2

2.8 5.6 7.1 7.7 -58

12 14 2

1.8 4.8 8.6 9.0-

0.1 0.2 0.2 0.2 -0.1 0.2 0.2 0.2 -0.1 0.2 0.2 0.2 -0.1 0.2 0.2 0.2-

1 2 2 2 2.4 4.2 5.7 6.1 -1 2 2 2 0.9 2.7 3.8 4.2 -12

1 2 2 2
1.3 3.8 6.6 7.0

2 2 2 4.3 5.3 5.7 -

5

8

12 14

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

231

In Figure 3, the change of red bean’s growth from the seed at 100-fold dilution is shown
against control. Germination from the seed was observed at day 8 with the 100-fold diluted
FMW, whereas the germination was observed at day 12 in control. After 14 days cultivation,much better growth of red bean was observed with the 100-fold diluted FMW, compared withthat in control. At the same dilution of 1,000-fold, growth of red bean cultivated on thebiodegraded FMW was not as good as that cultivated on commercial fertilizers. A decreasingorder of growth in the culture of red bean was C-1 > C-2 > biodegraded FMW. According to
Perrenoud’s report (1990), N, P and K are primary nutrients and considered to improve plant
health. The deficiency of phosphorus restricts plant growth in soil (Son et al., 2006), although
the excessive fertilization with chemically synthesized phosphate fertilizers has caused severe
accumulation of insoluble phosphate compounds (Omar, 1998). Therefore, relatively lower
growth of red bean on the biodegraded FMW might be due to the shortage of NPK
components (Table 2).
(

Figure 3. Results of hydroponic culture of red bean in control (A) and 100-fold diluted FMW (B). Eachfigure shows the growth of red bean from the seed along the cultivation time. (1) day 1; (2) day 2; (3)day 5; (4) day 8; (5) day 12; (6) day 14 and (7) roots on day 14.

Growth indexes of barley during hydroponic culture were measured on the biodegraded
FMW at various dilution ratios, and the measurements were compared with those of

232

Joong Kyun Kim and Geon Leecommercial fertilizers (Table 4). Even though the growth in root and stem of barley at 50-folddilution was lower than that of control, it had a tendency to improve with increase of dilution
ratio of the biodegraded FMW. The best growth was achieved at 500-fold dilution in which
the growth was seen evenly in root and stem of barley (Figure 4).

Figure 4. Results of hydroponic culture of barley in control (A) and 500-fold diluted FMW (B). Eachfigure shows the growth of barley from the seed along the cultivation time. (1) day 1; (2) day 2; (3) day
5; (4) day 8; (5) day 12; (6) roots on day 12 and (7) day 14.

From the GI test, the biodegraded FMW at 500-fold dilution was found to be phytotoxinfree (Figure 2). With the 500-fold diluted FMW, germination from the seed was observed atday 5, and the same result was observed in control. After 14 days cultivation, however, faster
growth of barley was observed with the 500-fold diluted FMW, compared with that incontrol. This growth of barley with the 500-fold diluted FMW was comparable to thatcultivated on 1,000-fold diluted commercial-fertilizers. However, the effect of dilution onbarley was not as sensitive as that on red bean.

Aerobically Biodegraded Fish-Meal Wastewater as a Fertilizer

233

CONCLUSION
Seven thermophilic microorganisms, which had proteolytic, lipolytic and carbohydratedegrading functions, were used in order to reutilize fish-meal wastewater (FMW). With
coexistence of the seven microorganisms, a lab-scale aerobic biodegradation of FMW weresuccessfully achieved, and its data were transferred to a 1-ton bioreactor. Although the levelof DO was decreased during the large-scale biodegradation of FMW, it was maintained over
1.25 mg·l-1. The decrease in the level of DO resulted in decrease in ORP value. However, theORP values were maintained positive, and a strong unpleasant smell remarkably disappearedin the end. After 52 h of biodegradation, the concentrations of CODCr and TN in original
FMW reduced to 25,100 and 4,790 mg·l-1, respectively with slight decrease of CODCr/TN
ratio.
Properties of the biodegraded FMW were determined to examine the suitability of thebiodegraded FMW as a fertilizer. The result of the phytotoxicity test showed that thebiodegraded FMW required more than 250-fold dilution to reach stabilization of the organic
matter to maintain the long-term fertility in soil. At 1,000-fold dilution, the GI value wasfound to be close to 90%, which was comparable to those of commercial fertilizers. The levelof total amino acids in the biodegraded FMW was 5.60 g·100g sample-1, which was lower
than those in two commercial fertilizers. Especially, the levels of aspartic acid, alanine andlysine were low, whereas those of proline and glycine were relatively high. Moreover, thecomposition of sulfur-containing amino acids, cysteine and methionine, were relatively highin the biodegraded FMW. The concentrations of N, P and K in the biodegraded FMW were1.49, 0.28 and 0.41%, respectively, which were lower than those in commercial fertilizers.
However, the concentrations of noxious components in the biodegraded FMW were much
lower than the standard concentrations. The fertilizing ability of the biodegraded FMW atvarious dilution ratios was tested in a hydroponic culture system. The fastest growth inculture of red bean was achieved at 100-fold dilution, the growth of which was comparable tothose of 1,000-fold diluted commercial-fertilizers.
In the hydroponic culture of barley, the best growth was achieved at 500-fold dilution inwhich its growth was seen evenly in root and stem. This growth of barley with the 500-folddiluted FMW was comparable to that cultivated on 1,000-fold diluted commercial-fertilizers.
From all above results, it was concluded that a large-scale biodegradation of FMW was
successful and the properties of FMW were acceptable as a fertilizer. Consequently, FMW
could be a potential industrial resource for liquid-fertilizer production.

ACKNOWLEDGEMENTS
This research was supported by a grant (B-2004-12) from Marine Bioprocess ResearchCenter of the Marine Bio21 Center funded by the Ministry of land, Transport and Maritime
Affairs, Republic of Korea.

234

Joong Kyun Kim and Geon Lee

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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

EQUITY OF ACCESS TO PUBLIC PARKS IN
BIRMINGHAM, ENGLAND
Andrew P. Jones∗, Julii Brainard, Ian J. Bateman and
Andrew A. Lovett
Centre for Social and Economic Research on the Global Environment,
The School of Environmental Sciences,
University of East Anglia, Norwich, Norfolk, UK.

ABSTRACT
Provision of public parks has long been advocated as an equalising measure between
different elements of society. This study assesses equity of park provision for different
ethnic and income-status populations in the urban area of Birmingham in central
England. Parks in Birmingham were categorized into a two group typology of green areas
suited for more solitary and passive activities (amenity parks) or open spaces designed
more for informal sports or other physical and group activities (recreational parks). Usinga geographical information system, measures of access to these green spaces werecomputed for populations of different ethnicities and levels of material deprivation,
derived from data from the 2001 UK Census and the 2004 Index of Multiple Deprivation.
Distance-weighted access scores were calculated and compared for five populationgroups ranked by relative deprivation, and for five ethnic groups; Bangladeshis, blacks,
Indians, Pakistanis and whites. Statistical analysis found that there were strong disparities
in access with respect to deprivation whereby the most income-deprived groups were also
the most deprived with regard to access to public parks. There was little evidence of
unequal access between ethnic groups. The implications of these findings are discussed.

Keywords: Environmental equity, accessibility, deprivation, ethnicity, urban parks.

INTRODUCTION
The establishment of urban public parks has its origins in the social ideal of providing
pleasant open space that is free at the point of access, and as such these places have always
been intended to be equally accessible for different social groups. Public urban parks were∗

Author for correspondence: Dr Andrew P Jones, School of Environmental Sciences, University of East Anglia,
Norwich, Norfolk, NR4 7TJ. Email: a.p.jones@uea.ac.uk Tel: 01603 593127, Fax: 01603 591327.

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Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

originally established, in part, to provide a place where rich and poor could meet on an equal
footing (Young 1996). It is therefore somewhat surprising that relatively few studies
concerned with environmental social justice have examined the provision and accessibility ofopen public space for different social groups.
The exact definition of ‘equity of access’ is difficult to make, and often context specific.
Extended discussion of the general concept of equity is given by Harding and Holdren (1993).
Crompton and Wicks (1988), Marsh and Schilling (1994) and Wicks and Backman (1994)
discuss different approaches to defining or ensuring equity in a planning context. Cromptonand Lue (1992) and Nicholls (2001) consider how equity may be defined with relation tourban park usage, and which definitions are likely to be practicable and preferred by the
public. We define equity simply as equal opportunity between social groups.

Figure 1. Amenity and recreational parks in the study area, with visitor survey parks marked(SF=Summerfield, PHPF=Perry Hall Playing Fields, KHRG=Kinghurst Recreation Grounds).

Equity of Access to Public Parks in Birmingham, England

239

Previous research on equity of access to public parks is limited (see Wolch et al. 2005;
Estabrooks et al. 2003; Nichols 2001; Talen 1997), and we are not aware of any studies for
either a large city or for places outside the USA. Some research from the USA (Payne et al.
2002; Tinsley et al. 2002) reported that ethnic minorities tend to travel further to surveyedparks, but did not question why this might be. In the UK, DTLR (2001) note that ethnic
minorities tend to visit urban parks less often than white people. The question arises as towhether this is partly because non-white communities find it more difficult to travel to urban
parks. It is also important to consider whether access to parks is reduced for economically orsocially deprived populations.
The Greater London Authority acknowledge that socially deprived areas in London often
have relatively poor access to green spaces (GLA, 2001), and areas with less green space
seemed to have more benefit claimants and overcrowded households (GLA, 2003).
The relative dearth of work in the UK on the issue of access to urban parks is perhaps
surprising when it is considered how much they are a very visible and publicly-owned
environmental good. The work reported here focuses on differential access between ethnic
minorities and socio-economic groups with respect to urban parks. Our study area is the cityof Birmingham, where we had detailed information on parks, demographic statistics and thetransport network. Birmingham is located in central England (see Figure 1) and is the second
largest city in the UK with just under 1 million residents in the 2001 Census. Approximately
28% of the city population are non-white. In this research we examine equity of access interms of neighbourhood ethnicity and socio-economic deprivation.

MATERIALS AND METHODS
Data Sources
Our analysis focused on urban rather than regional parks provision, and hence theboundaries of the city of Birmingham in central England defined the study area. There were
977,087 residents in the city at the time of the 2001 Census.
The project benefited from data derived from a wide variety of sources. These included
the 2001 UK Census, and an existing database of Ordnance Survey (OS) digital data
encompassing the city of Birmingham and the areas immediately beyond the city boundaries.
The Ordnance Survey dataset included property boundary features (OS Landline) and adetailed road network (OSCAR).
This was augmented with information on the location and type of parks and green spacesthat we obtained from a number of sources. Social surveys were also undertaken to collectinformation on park usage. This information was used to model the relationship between
frequency of visits and distance to park entrances.
Our analysis made use of the ArcGIS Geographical Information System (GIS) package.
The application of these various data sources in the research is discussed below.

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Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

Birmingham Road Network
We presumed that people would travel to parks via the city road network, either on foot,by bicycle, or in a vehicle. The Ordnance Survey OSCAR digital map database was used to
extract road centrelines for the entire city and immediately adjacent areas. The data were
produced in early 2000, and hence coincide well with the 2001 Census.

Parks in Birmingham
What qualifies as a “park” is a subjective judgement. Examples of different typologies ofgreen and public open spaces are found in Kit Campbell Associates (2001) and DTLR (2002aand 2002b). These typologies tend to include such open spaces as allotments, canal banks or
public squares. In our analysis we have consider only spaces that would be used for aparticular set of purposes, namely casual recreation. Parks and other green spaces within
Birmingham and up to 500m outside of the city boundaries were located with the use of a city
atlas (Geographers’ A-Z Map Co., 2000). Precise boundaries for each park area were locatedand extracted from the Ordnance Survey digital Landline database. Following the labelling in
the A-Z atlas, four categories of park or green space were distinguished:
·

·

·
·

Amenity parks refers to leisure gardens, country parks, wildlife centres, woods, fish
ponds, public greens and commons, areas labelled as simply as ‘park’, and green
spaces not allocated for other specific undeveloped purposes (such as canal banks,
paved public squares or allotments).
Recreational parks are those designated as ‘recreation grounds’, ‘playgrounds’,‘sports grounds’ and ‘playing fields’ not attached to any specific school or
institution.
Specialist sports grounds denotes areas labelled as used for a specific sport, such as
tennis courts, hockey pitches, cricket grounds and golf courses.
Other facilities included cemeteries, school grounds and college or university
grounds.

We consulted both the Birmingham Open Spaces Forum and Birmingham City Council
in devising this typology and both organisations agreed with the manner by which we hadclassified parks. Table 1 provides summary statistics for each type of park. Amenity andrecreational parks provide the majority of park provision in the city. Specialist sports groundsand ‘other’ parks were found to not be generally of open access to nearby communities. We
therefore focus the rest of our analysis on the former two types of green space. Figure 1
shows amenity and recreational parks in the study area.
The large scale of the OS data made it necessary to locate park entrances precisely, andhence the locations of access points were identified for each park included in our analysis,
and these were digitised into the GIS. The A-Z map and the Landline database were jointly
consulted for this purpose. These sources indicate where parks border roads and where breaks
in surrounding buildings exist to apparently allow pedestrian access to the parks, but they do
not depict the presence of fencing. Moreover, we had no easy way of detecting informal
access routes and points (i.e., cut-throughs over rough ground, or holes in fencing).

Equity of Access to Public Parks in Birmingham, England

241

Table 1. Main types of park included in each typological category
General Category
Amenity

Including:Public open space/commons/greens
Ponds and reservoirs
Nature reserves/woods
Country parks
Park farms
Leisure gardens
Public playgrounds
School rough
Other parks not labelled as sporting areas

Number
59
50
31
5
3
2
2
1
89
2821 haRecreation grounds
Playing fields
Sports grounds
Paddling pool

105
98
36
1
1308 haGolf courses
Bowling greens/pavilions
Cricket grounds
StadiaTennis courts
Football grounds
Rugby grounds
Hockey pitch
Leisure centre

24
20
13
8
7
4
3
1
1
1175 haTotal area
General Recreation

Total area
Specialist Recreation

Total area
Census area boundaries and 2001 population.

The Office of National Statistics (ONS) supplied data on population totals, populationadjusted geographical centroids (centre points), and geographical boundaries of Output Areas(OAs). These are the smallest geographical units in the 2001 Census. There were 3127 OAs
within Birmingham city boundaries, containing an average of 312 persons and 125
households each. Output Area centroids and population totals for them were input to theSurfaceBuilder computer programme (Martin 1996). SurfaceBuilder generates a surface
depicting the estimated number of persons resident in regularly spaced square areas, or cells.
A cell resolution of 20x20m was used. Because the resulting surface is partially a function oforiginal centroid locations, the resultant cell values are an imperfect measure of actual
population locations. Furthermore, the fine scale does not necessarily provide an accurate
measure of the number of residents in each individual cell. However, the production of thesurface enabled the easy estimation of accessibility measures that were weighted by relative
population sizes, and it was employed here in the estimation of population accessibility toparks.

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Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

Deprivation and Ethnicity
Information on material deprivation and ethnicity was collected at the scale of Lower
Layer Super Output Areas (LSOAs). These contain small groups (typically 4-6 in number) of
contiguous OAs with similar social profiles. There are 641 LSOAs in Birmingham. The
LSOA level is appealing because of the availability of the Index of Multiple Deprivation(IMD2004; ODPM 2004) for this geographical scale. The IMD2004 comprises of sevendomains describing different types of deprivation including income, access to housing andservices, education, employment, health and disability, skills and training, living
environment, and crime. For this research only the income domain of the IMD2004(subsequently abbreviated to Inc-IMD2004) was used. The income domain relates to datacollected in 2001 and 2002 on the proportion of the population receiving various types ofmeans-tested income support, including benefits and tax credits. Hence areas scoring more
highly on Inc-IMD2004 are more materially deprived.
From 2001 Census data, statistics were derived on the percentage population compositionof various ethnic groups. The ethnic categorisations that we used (white, Bangladeshi,
Pakistani, Indian, and black,) were identical to those reported in the Census, and are based on
self-report. For the latter category we combined persons of Caribbean and African heritage
who identified themselves as “black” in the 2001 Census with persons of mixed white andblack heritage.

Quantification of the Effect of Distance on Accessibility
A number of factors will impact upon the decision to visit a park. Purpose of visit islikely to shape decisions regarding which park a person might visit, and both seasonality andtime of day can also influence visit patterns (DTLR, 2002a; Scott, 1997). However, theprincipal consideration for many is likely to be travel distance. Hence, in order to adequately
measure accessibility, information on the relationship between distance and park usage was
required.
We were unable to find previous research that provided information on distances thatusers in Britain travel to visit urban parks. We therefore conducted our own survey. Visitors
to three parks in Birmingham were interviewed during the summer of 2001. Survey parks
were chosen by considering deprivation levels in the area around each. Census wards werecategorised according to their levels of deprivation into the 33% most deprived, 33% leastdeprived, and the remaining 33%. One medium-size park was selected for survey in an area
dominated by each deprivation tercile: Summerfield Park (most deprived), Perry Hall Playing
Fields (least deprived) and Kingshurst Recreation Grounds (middle).
In total, 117 individuals were interviewed (a minimum of 35 at each park) and asked fortheir mode of travel, the full postcode of their outset point, estimated one-way travel time toreach the park, the number of persons in their visitor party, and reasons for being in the parkthat day. Five respondents had to be excluded from subsequent analysis due to themproviding incomplete information (such as an invalid postcode). The outset origin postcode
supplied by each respondent was related to a 100m resolution reference (on the national grid
system) using the Central Postcode Directory held at Manchester University. The roadEquity of Access to Public Parks in Birmingham, England243

network distance between this origin and the nearest entrance to the park was then calculated
within the GIS.
Table 2 summarises the characteristics of each park and its visitors. Included are socioeconomic statistics for the origin areas from which visitors came. A trend is apparent where
Summerfield visitors tend to come from the most deprived areas, and Perry Hall park users
tend to originate from the least deprived areas. Otherwise, the most striking features are themuch higher proportion of visitors from predominantly white neighbourhoods to Kinghurst
Park, and an inverse association between the proportion of visitors travelling by car and thedeprivation levels surrounding each park.
Table 2. Summary statistics for the visitor survey locations

Deprivation tercile
Origin Inc-IMD2004 score, 10th–90th %ile
(median)Park size, haMedian (mean) party size
Mode of travel:
Number of motorists (%)
Number of cyclists (%)
Number of pedestrians (%)
Travel distance:
Median (mean) road distance in metres,
all visitors
Median (mean) road distance in metres,
pedestrians only
Maximum stated travel time amongst nonmotorists (mins)
Maximum modelled travel distance amongst
non motorists (km)Ethnic composition of neighbourhood% White, 10th–90th %ile (median)% Bangladeshi, 10th–90th %ile (median)% Indian, 10th–90th %ile (median)% Pakistani, 10th–90th %ile (median)% Black, 10th–90th %ile (median)Summerfield

Kinghurst

Perry Hall

Most deprived
0.23-0.45 (0.39)

Middle0.14-0.40 (0.27)

Least deprived
0.08-0.47 (0.13)

15.7
2 (3.37)116
1 (2.26)

62.9
2 (2.36)

7 (20%)
0 (0%)
28 (80%)11 (34%)2 (5%)
25 (66%)15 (38%)3 (8%)
21 (54%)311 (705)420 (1232)

1420 (2194)

225 (395)

288 (814)

717 (923)

22

150

53

1.1

9.6

3.1

17.9-51.7 (42.0)
0-2.3 (1.1)
9.9-32.2 (19.2)
2.7-35.0 (13.9)
10.8-28.5 (18.6)

83.2-97.4 (94.1)
0-0 (0)0-2.2 (0)0-3.12 (0.5)
1.1-9.4 (4.5)

11.5-95.7 (36.7)
0-10.2 (1.01)
0-39.5 (16.7)
0-42.3 (6.5)
3.2-30.8 (12.1)

The survey data were used to model the relationship between travel distances andfrequency of visits. A model of the decay relationship between proximity and visit frequency
was developed for all parks. This was used to generate data indicating the level of park
accessibility from any single origin point in Birmingham. There are many possible ways toderive an accessibility index for an environmental amenity and facility such as public parks.
Haynes et al. (2003) argued the case for a function to measure relative accessibility taking the
form:

244

Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

P = C * exp (Decay_coefficient * Impedance)

{1}

where
P=Potential or accessibility index
C=Constant
Decay_coefficient = the rate at which accessibility declines per unit of impedance
Impedance = difficulty, usually measured in terms of travel time or distance
A common way to calculate P would be to predict the number of visitor parties fromorigin zones as a per capita visitor rate. Unfortunately we did not know what percentage ofthe total number of visitors we surveyed at each park. In the absence of this information weused the number of visits reported by respondents during the preceding four weeks. This has
the advantage of not requiring information about the total number of visitors to the park in
any given period, yet visit frequency can be expected to decline with decreasing distance, andto reflect, in large part, ease of access.
A distance decay relationship between journey origins and parks in Birmingham wasderived by comparing reported frequency with calculated travel distance in the GIS. The
relationship was generalised by grouping visitors into seven distance bands: 0-250m, 251500m, 501-750m, 751-1000m, 1001-1500m, 1500-2500m and 2500-3500m. Survey
respondents who were only in a park because they were en-route to another location were
excluded from this and further analysis. The average number of visits amongst respondents ineach distance band is plotted against the average calculated travel distance in Figure 2. Astrong and consistent decline is apparent in average visit frequency with increasing average
distance.

No. visits in last 4 weeks

40

Average Number Of Visits in preceding four weeks

35
30
25
20
15
10
5
0
0

500

1000

1500

2000

2500

3000

3500

Distance (m)Figure 2. Average number of visits in preceding four weeks plotted against average distance bands.

Using the functional form depicted in Equation 1, the average number of visits was
regressed against travel distance for Birmingham parks visitors, to produce;

Equity of Access to Public Parks in Birmingham, England
P = 32.0085 * exp(-0.0006398 * distance)

245
{2}

The high R2 value obtained of 0.922 indicates a strong link between grouped visit
frequency and distance between home origin and the nearest park entrance, and thisrelationship was used to model the way by which accessibility will decline with distance.
Based on the results of the above modelling, three accessibility 'potential' surfaces weregenerated for recreational, amenity, and combined park areas. This process required theidentification of both designated outset and destination points. Potential population journeyorigins were generated at 1420 road junctions throughout Birmingham. Destination points
were taken to be park entrances. Visits are known to increase with park size, but therelationship between visit frequency and park size may not be linear. In a study of 516 urban
parks in Perth, Australia, Giles-Corti et al. (2005) found that visit frequency was best
predicted when they weighted their distance decay function by the natural logarithm of park
size (in ha) raised to the power of 0.85, orAttractiveness=Distance_Decay_Function * log(size0.85){3}“Attractiveness” as Giles-Corti et al. defined it equates to visit frequency in this work.
We therefore allocated to each entrance a supply weighting equal to the area (in ha) of thatpark, raised to a power of 0.85 and then transformed by natural logarithm. For instance,
Phoenix Park to the south of the city centre measures 1.58 hectares and is classified as
entirely amenity park area. Phoenix has two entrances, each of which was given a supply
weighting of 0.388811 (=log(1.580.85)). Very small parks less than 1 ha were given a supply
weighting of 0.01 to prevent negative values being calculated. Only the nearest entrance foreach origin was considered as an access point, and all of the supply weighting was applied tothat.
Within the GIS the distance in metres between each pair of origin and destination points
was calculated. Distances below 110 m were reset to a value of 110, to prevent spuriously
high potential being predicted very close to parks. 110m was chosen because of a natural
break in the original survey data at that point. Next, an interaction score between each origin
and destination was generated using the formula;
SCORE = [32.0085 – exp(-0.0006398 * DISTANCE)] * log(HECTARES0.85){4}Subsequently, scores were summed by origin, to yield a single value indicative of park
accessibility for that origin.
A triangulated irregular network (TIN) (Peuker et al. 1976) was generated to estimate
access scores for locations between origin points. The TIN data were sampled on a regular 20
x 20m grid to create potential surfaces. To facilitate interpretation, the potential values wereconverted to Z-scores with a mean of zero and a standard deviation of one. The greater theindex value, the better the access to parks for persons travelling from that location. The
resulting values are mapped in Figure 3 for amenity and recreational parks, and Figure 4 forboth park types combined. Figure 3 shows that the northern-central area and the southwest of
the city are well-endowed with amenity type parks. There is a ring of high provision ofrecreational type parks around the city centre, whilst the city centre itself and the furthest
suburbs, especially in the north, are relatively poorly provided with this type of park.

246

Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

Figure 3. Calculated access scores for amenity (left) and recreational (right) parks in Birmingham.

Figure 4. Calculated access scores for amenity and recreational parks combined.

Equity of Access to Public Parks in Birmingham, England

247

Combing the two types of park (Figure 4) the north eastern suburbs and the city centre
itself are most disadvantaged.
The next step was to overlay these surfaces with LSOA boundaries and the population
surface. This enabled us to calculate a population-weighted park access score for eachindividual LSOA.

RESULTS
Equality of access to parks for different communities in Birmingham was examined withrespect to both income deprivation and ethnic composition. In order to determine how theestimates of access were distributed across different populations, tests that compared the
distributions of access scores were undertaken, as discussed below.

Ethnicity and Equity of Access to Public Parks
The population of Birmingham was 70.35% white, 20.16% Asian/mixed Asian and7.87% black/mixed black in the 2001 Census. To compare park access between these
populations, the percentage of the total Birmingham population in each ethnic group wasdetermined for each LSOA. For example, the LSOA labelled E01009276 had 166 persons
recorded as black. This equates to 0.216% of the total 76,930 black persons residing inside
the Birmingham city boundaries in 2001. Calculating this percentage of the total for each
LSOA allowed us to determine what proportion of each ethnic group had particular parks
access scores.
Table 3 shows the median access scores for each ethnic group. There are no striking
differences between ethnic groups for amenity parks access, although Pakistani populations
have the best access.
Median scores differ little. However, with respect to recreational or combined parks
access, whites seem to have more advantage over other groups, especially Bangladeshis.
The detailed distributions of park access scores for different ethnic groups were examinedby plotting cumulative frequency distributions against access scores. The resulting plot foraccess to amenity parks is shown in Figure 5. The plots for access to recreational parks andboth types combined were similar and are not reproduced here. Park access scores for LSOAs
were divided into fifty categories. Each contains two percent of Birmingham’s total
population. The horizontal axis shows the upper limit of amenity or recreational access scoresin each category.
Table 3. Median parks access indices for ethnic groups in Birmingham.

Amenity
Recreational
Combined

IndianPakistaniBlack

Bangladeshi

White-0.052
0.069
0.145

0.107
0.109
0.193

-0.0710.131
0.165-0.101-0.027
0.045

0.024
0.218
0.247

248

Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

90
80
70
60
50
40
30

Cumulative frequency (%) .

100

White
IndianPakistani
Bangladeshi

20

Black

10

Amenity park access index

-1
.4
6
-1
.1
1
-0
.8
8
-0
.6
5
-0
.4
6
-0
.3
3
-0
.2
0
-0
.0
8
0.
00
0.
15
0.
32
0.
46
0.
63
0.
80
1.
02
1.
24
1.
81

0

Figure 5. Cumulative probability distributions for specified ethnic groups and access to amenity parks.

The vertical axis plots cumulative percentages. A perfectly straight diagonal line on theplots would indicate that the given range of potential scores occurred equally often across that
ethnic group. This is because each category contains an equal proportion of the city
population and the horizontal axis is non-linear. Lines that deviate from a perfect diagonalsuggest a population displacement towards higher or lower access scores. Percentile lines
bulging to the left of a perfect diagonal indicate a population group with relatively lower than
average access, whilst lines pushed to the right suggest superior access. The greater thevertical gaps between the cumulative percentile lines, the more likely it is that an inequality is
occurring between groups.
A robust way to test for differences in the data in cumulative distribution plots is to use
the Kolmogorov-Smirnov (KS) test (Connover, 1999). This test assesses the significance ofthe relative distance between the cumulative frequency lines. A two-sample KS test was used
to examine the differences in population distribution between the various subgroups. Table 4
provides the resultant KS values, with the critical values at p=0.1, 0.05 and 0.01 levels.
Table 4. Kolmogorov-Smirnov statistics for two-sample tests comparing cumulative
probability distributions for ethnic groups and parks accessAmenityWhite
IndianPakistani
Black

Indian0.0776

Pakistani
0.0776
0.0996Black
0.07040.04480.1230

Bangladeshi
0.12960.07750.15720.0884

Equity of Access to Public Parks in Birmingham, England

249

Table 4 – Continued
Recreational
Indian0.0701

White
IndianPakistani
Black

Combined Amenity and Recreational
IndianWhite
0.0610IndianPakistani
Black

Pakistani
0.08230.0353Black
0.08700.05350.0508Bangladeshi
0.13750.09490.1153
0.0986

Pakistani
0.05140.0527Black
0.07390.06940.0334

Bangladeshi
0.13810.09010.10100.1113

Critical KS values for p=0.1, 0.05 and 0.01 are 0.1725, 0.1923 and 0.2305 respectively.

The KS statistics confirmed the visual impression from the figures that there is no
significant inequity between ethnic groups and their relative access to different categories ofpark type. The greatest differences occur between white and Bangladeshi populations, butthese do not reach statistical significance.

Deprivation and Equity of Access to Public Parks
Table 5 gives the median park access score for five deprivation groups (Inc-IMD2004
quartile groups and the most deprived decile) and by type of park. Figures 6 to 8 plot the
cumulative percentiles of population in each Inc-IMD2004 quartile (plus the top decile)against amenity/recreational/combined parks access scores. Table 6 presents KS statistics forthe data in the figures.
The table and figures show that, for Amenity parks, there is some indication of disparities
in access between the different deprivation groups, with the poorest population cohorts
having worse access compared to other deprivation groups (p<0.01). For recreational parks,
and both park types combined these disparities are much stronger with the most deprived
population groups having significantly poorer access than the others. The middle two
deprivation quartiles tended to have better accessibility than the other groups, with the mostaffluent quartile having comparatively average park access.
Table 5. Median access scores for each income deprivation group, by park type

Amenity
Recreational
Combined

Quartile 1(leastdeprived)-0.0300.027
0.248

Quartile 2

Quartile 3

0.268
0.422
0.423

0
0.3
0.270

Quartile 4(mostdeprived)-0.079-0.220-0.043

Decile 10(10% mostdeprived)-0.148-0.505-0.268

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Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

Table 6. Kolmogorov-Smirnov statistics for two-sample tests comparing cumulative
probability distributions for Inc-IMD2004 and park accessAmenity

Quartile 1 (least deprived)
Quartile 2
Quartile 3
Quartile 4 (most deprived)

Quartile 2

Quartile 3

Quartile 40.15090.12140.1878*0.1778*0.2349***0.1086

Quartile 2

Quartile 3

Quartile 4

0.2573***0.2261**
0.09680.2111**0.4073***0.3239***Quartile 2

Quartile 3

Quartile 40.2416***

0.1960**0.14700.2347***0.3478***0.2438***

Decile 10(10% most deprived)
0.2037**0.2589***0.15450.0568

Recreational

Quartile 1 (least deprived)
Quartile 2
Quartile 3
Quartile 4 (most deprived)

Decile 10(10% most deprived)
0.4101***0.6574***
0.5961***0.2853***

Combined Amenity and Recreational

Quartile 1 (least deprived)
Quartile 2
Quartile 3
Quartile 4 (most deprived)

Decile 10(10% most deprived)
0.4302***0.5806***0.5048***0.2610***Amenity park access index

Quartile1
Quartile2
Quartile3
Quartile4
Decile10

-1
.4
6
-1
.0
4
-0
.7
1
-0
.4
6
-0
.2
8
-0
.1
2
0.
00
0.
20
0.
43
0.
63
0.
86
1.
17
1.
81

100
90
80
70
60
50
40
30
20
10
0

Cumulative frequency (%)

Critical KS values for p=0.1, 0.05 and 0.01 are respectively 0.1725 (*), 0.1923 (**) and 0.2305 (***).

Figure 6. Cumulative probability distributions for specified deprivation groups and access to amenity
parks.

Equity of Access to Public Parks in Birmingham, England

Cumulative frequency (%)

100
90
80
70
60
50
40
30
20
10
0

Quartile1
Quartile2
Quartile3
Quartile4
Decile10

0.
00
0.
18
0.
32
0.
50
0.
66
0.
90
1.
28
2.
06

.1
7

-0

-0

.3
5

.5
3

-0

-0

.8
2

Recreational park access index

.5
6
-1

251

Figure 7. Cumulative probability distributions for specified deprivation groups and access torecreational parks.

Cumulative frequency (%)

100
90
80
70
60
50
40
30
20
10
0

Quartile2
Quartile3
Quartile4
Decile10

0.
05
0.
23
0.
34
0.
48
0.
61
0.
82
1.
10
1.
76

.0
5

-0

.2
3

-0

.4
5

-0

-0

.6
8

Combined park access index

.5
6
-1

Quartile1

Figure 8. Cumulative probability distributions for specified deprivation groups and amenity andrecreational parks combined.

252

Andrew P. Jones, Julii Brainard, Ian J. Bateman et al.

DISCUSSION
Relatively little previous research has addressed the question of the differential access togreen spaces amongst diverse communities residing in urban areas. Using a case study of thecity of Birmingham England, this study has sought to go some way to rectify this deficiency
by assessing the distribution of access to urban parks amongst a diverse urban population.
Our analysis found only weak evidence of disparities in access between different ethnic
groups in the population. However, we found very statistically significant indications ofunequal access to public parks with regard to income deprivation, whereby the most deprived
population had the poorest access to parks. Of course this cross sectional observation does
not, in itself, provide an insight into the reasons why these disparities may exist.
Pearce (2003) contended that environmental equity studies are often flawed because theyignore a fundamental aspect of capitalism, that the rich have the ability to pay for a nicer
place to live. He took an economic perspective, arguing that equity could only be properly
assessed with respect to how much each community paid for a benefit (or to avoid adisamenity), and whether their benefits or costs were commensurate with those payments.
Pearce’s arguments are supported by many North American studies (see Been and Gupta
1997; Lambert and Boerner 1997; Mitchell et al. 1999; Szasz and Meuser 2000; Yandle andBurton 1996), which concluded that apparently unfair pollution burdens usually result from
economic not racist factors, particularly from a move-in of minority and poor social groups,
due to lower house prices for instance, after an environmental nuisance was created. Indeed, it
is quite possible that the residents of poorer communities in our study may receive otherbenefits which compensate for their poorer access to urban parks. It is also noteworthy thatthe most affluent populations did not have the best access, again suggesting thatcompensatory mechanisms, possibly associated with the availability of private land, were
present. Nevertheless, it is important to note that the concept of equal access for all was oneof the principles upon which the public parks movement was founded.
It could be argued that, due to economic forces, improvements in park provision may
only achieve temporary gains for otherwise disadvantaged populations. As the environment inan area improves, wealthier social groups may be attracted to it, making it difficult for theoriginal disadvantaged social group to remain in the now improved area. These exclusionary
processes may operate, for example, via rising housing costs or more general issues of social
prejudice. This perspective ignores, however, the value of short and medium term gains inenvironmental quality in the lives of the original area inhabitants. Furthermore, house pricerises due to improved environmental conditions may enable existing home-owners in the area
to pass on more wealth to their children which is a permanent improvement for the next
generation.
As with any study, our results will in part be influenced by aspects of our study locationand chosen methodology. Our findings are based on a detailed analysis undertaken in asocially and environmentally diverse, yet singular, urban area. We chose to study
Birmingham due to the interest generated by this diversity, coupled with availability of very
high quality data in the city. From our analysis it is not possible to determine whether similar
associations would be apparent elsewhere. However, our research has demonstrated theapplication of a methodological framework that could be readily applied in other contexts.
We also assume that the distribution of households, with respect to deprivation and ethnicity,Equity of Access to Public Parks in Birmingham, England253

within each LSOA is uniform. In reality, this will not be the case, although we chose to study
LSOAs because of their small size and hence relatively homogeneous nature. In ourdevelopment of a park typology, we attempted to select locations that would be available andattractive for recreational use amongst the general population. However, any such typologicalclassification will be, at least in part, subjective. It is possible for example that in some areas,
patches or waste land or other types of green space may compensate for poor availability ofparks or enhance current levels of provision by providing some of the same functions.
In our study we have measured access in terms of road distances, and our only measureof ‘quality’ has been the size of the parks. In reality, of course, quality is multifaceted andwill be associated with a range of factors surrounding facility provision and standards ofmaintenance. Research suggests that there is a national trend for deprived areas to containparks with relatively poorer maintenance, and since the 1960s, support for provision of open
spaces in urban areas has declined (ILAM Services and Harding 2000, Urban Parks Forum,2001). The focus of investment and facility development has shifted instead to suburban andrural country parks (Reeves, 2000). This tendency to suffer from under-investment has led toa loss of perceived amenity value, most noticeably in inner city locations. Given that thepoorest populations and members of ethnic minorities in Birmingham (and most big cities)
tend to reside in inner city areas, this means that levels of disadvantage may be greater thanthose apparent from the comparisons we have made if more subtle aspects of quality ofprovision are considered.
The findings of this study reveal reduced access to a public environmental amenity
among certain social groups, in particular those living in the most deprived communities. The
lack of open-air sports facilities may well have consequences for general health levels in each
population, given that public open spaces are increasingly recognised as important places forphysical exercise (see Bedimo-Rung et al. 2005; Foster et al. 2005; Giles-Corti et al. 2005;
Hillsdon et al. 2006; Jones et al. 2007). Therefore, although our findings relate directly tosocial inequities, they may have public health implications as well.

ACKNOWLEDGMENTS
This research was supported by the Programme in Environmental Decision Making at
CSERGE which is funded by the Economic and Social Research Council. We are grateful toto Professor David Martin (University of Southampton) who assisted with the SurfaceBuilder
computer program and to Emma Woolf (BOSF) and Valerie Edwards (BCC) for providing
feedback on our typology scheme.

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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

AN IDEA FOR PHENOMENOLOGICAL THEORY OF
LIVING SYSTEMS
Svetla E. Teodorova
Institute for Nuclear Research and Nuclear Energy,
Bulgarian Academy of Sciences, 72 Tzarigradsko chaussee,
1784 Sofia, Bulgaria

ABSTRACT
An idea for developing of new science field, biodynamics, as biophysicalmacroscopic theory is propounded. The functioning of living organism as an organizedentirety is the main specificity of the life. Hence it is quite reasonable to describe
behaviour of biological systems in terms of own theoretical basis. In this article a newstate variable vitality as integral characteristic of biological object and measure unit bion
are stated. A quantity biological energy is introduced as energy form related to biologicalselfregulation. Quantity synergy is suggested as measure of selfregulation quality.
Biological principle for maximum synergy in healthy living systems is stated. On thebasis of variational principle an equation describing recovery process of a biologicalobject after disturbance is obtained. The quantity optimal vitality, related to homeostasis,
decreases in lifespan scale and its evolution is described by ordinary differential equation.
The potential lifespan maximum of several species at different life conditions may be
calculated at different parameters of the equation. A wide range of environmental
influences on the living organism could be promptly and easily assessed in the termsof the biodynamics approach. Such an approach could be used for a simple estimation ofa patients’ health status.

INTRODUCTION
XX century brought colossal discoveries in the field of molecular biology. In the sametime unified theory of living mater on phenomenological level is not created. Such a theory
could help study the behaviour of the native biological object (BO) in its entirety. This may
be a new step in exploration of living systems in the context of environmental conditionchanges, diseases etc. The great complexity and different organization levels of BOs
embarrass a direct application of physical theories to biological systems. Notwithstanding,serious attempts have been made to describe quantitatively different aspects of the life
phenomena on the basis of physical theories – thermodynamics, electromagnetism,hydrodynamics, quantum mechanics etc. Shrödinger (1944) suggested that the essence of the258

Svetla E. Teodorova

life is that living organisms consume negative entropy (negentropy). Goodwin (1963) tried tocreate a biological statistical mechanics and thermodynamics on the basis of kinetics ofsynchronized biochemical oscillators. Rosen (1967) formulated optimal principles in biology.
Szent-Györgyi (1968) elucidated some mechanisms of cell regulation in the terms ofbioelectronics. Prigogine and Nicolis (1978) developed theory of dissipative structures, as anextended irreversible thermodynamics, to explain self-organization processes innonequilibrium systems. Davidov (1979) gave a quantum-mechanical interpretation of somebiological phenomena. Thermodynamic approach was applied to the structure and functionsof macromolecules (Di Cera 2001). Kleidon and Lorenz (2005) presented a coherent study ofgeosphere-biosphere couplings in the context of maximum entropy production principle.
Kurzynski (2005) proposed a thermodynamic approach combined with describing ofmolecular machines. Many authors emphasized the great importance of information in thefunctioning of BO. Quastler (1964) represented the problems of the emergence of biologicalorganization on the basis of biological aspect of information. Trincher (1965) tried to extend
thermodynamics via introducing of a concept of structural information in BO. Eigen (1971)
explained the evolution of macromolecular structures taking into account laws of informationexchange. Volkenstein (1994) considered life evolution in its informational aspects.
The great significance of all these considerations, however, does not abolish the need of ageneral phenomenological approach to BOs. Phenomena as thermal conductivity, diffusion,
electric current etc. are not describable in the terms of mechanics and thus new fields asthermodynamics and electrodynamics with their concepts and laws were created. On
thermodynamic level it is not possible to underline the essence of life. All attempts toconstruct an extended thermodynamics of irreversible processes, including living matter,remain artificial and not quite adequate. Blümenfeld (1967; 1974) noted that the true way to a
general life theory is not a creation of biological thermodynamics.
Really, the thermodynamic and electrodynamic laws are valid for different aspects of BO
functioning but they do not explain the essence of life – selfregulation and behaviour of BO in
its entirety. A new science field – BIODYNAMICS is needed.
Indeed, the biological regulation has been regarded in details in cybernetic aspect. Ourview is, however, that the biological selfregulation should be an object also of physics.
Although the life activity is based on biophysical and biochemical processes the perfectco-ordination of these processes forms already a new quality of matter organization. Thus, it
is advisably to put in correspondence of BO behaviour new type quantities as integral
characteristics of BO on macroscopic level. Here we introduce the quantity “vitality” as abasic biodynamic quantity. Thus, the following juxtaposition can be stated:
Classic dynamics – mass
Electrodynamics – charge, field intensity
Chromodynamics – colour charge
Thermodynamics – temperature, pressure, concentrations etc.
Biodynamics – vitality
Naturally new type of measurements should be expected. The author presumes a creationof a new device and believes that by means of such a device one will be able directly tomeasure vitality in the future.

An Idea for Phenomenological Theory of Living Systems

259

Such an approach will avoid the great complexity in the quantitative description of living
systems via thermodynamics, chemical kinetics etc.
The attention in this article is drawn on recovery processes of BO after disturbances
running in time intervals much shorter compared to BO lifespan. On the other hand, theevolution of optimal vitality during the lifespan of BO is studied.

A POSSIBLE THEORETICAL BASIS OF BIODYNAMICS
We think BO as a macroscopic object, which saves its features and character only in its
integrity. The living system demonstrates a new level of material organization non-described
previously in physics.
We introduce a new quantity, vitality (V) uniquely determining the state of a given BO.
Thus V is an integral characteristic of BO functioning in its entirety. In thermodynamics thetemperature is a measure of kinetic energy of the molecules. In biodynamics the vitality
should be a measure of the health status of BO. Obviously, vitality is related to theinformational aspect of BO functioning. We propose the respective measurement unit of thevitality in SI system to be called bion (b).
We assume that V could be in principle measured by a new type device – vitalimeter.
Such an instrument should measure some electromagnetic wave emitting by BO, a wave (orwave complex) being an integral characteristic of BO functioning. Electromagnetic waves ofdifferent frequencies, generated by human, animal and plant organisms in their metabolic
activity were measured yet many years ago (Presman 1968). The explorations in this way
were continued (Godik and Guljaev 1991; Elizarov 1997). The recent development ofadvanced technologies have been gone rather far and this fact promises well success insearching of some device, reflecting resultant information about BO. A new constructed
apparatus, being able to detect some wave as integral BO characteristic, could be calibrated ina manner that to show V in bions. For instance, one bion may be defined so that the excellent
standard of human’s health corresponds to vitality of 100 bions.
Not only the frequency/length of the wave but also the wave amplitude gives informationfor BO status. Thus, at least two new quantities should be defined. However, here forsimplicity we shall take into account only one quantity (understanding, for instance, thewavelength). Here we are not interested in the incidence of the wave in the space. The very
value of the vitality at a certain moment is important.
We introduce also a quantity optimal vitality (W). That is the optimal vitality value,corresponding to state of excellent health of BO and reflecting homeostasis characteristics
evolutionarily established for the respective species. W is genetically determined and in timeintervals much shorter compared to lifespan it may be regarded as a constant. During the life,
however, W decreases due to aging processes. After different transitory disturbances in BO
status V temporarily can deflect from optimal vitality, i. e. V ≠ W. Then a transitional process
is running and V → W. That is a recovery process.
The total energy E of a natural system is sum of the mechanical energy EM, and internalenergy EI (Gyarmati 1970):
E = EM + EI

260

Svetla E. Teodorova

The internal energy contains heat energy, chemical energy etc. (Prigogine and Defay
1954):
dEI = dQ – pdv + Σμidni
It is reasonable to establish in biodynamics a respective specific energy. We shall cal it
biological energy (B). We could suppose that it is a function of V (t) and V (t) (where V isthe rate of change of the vitality in time):
B = B (V, V )The biological energy should be a part of internal energy:
dEI = dQ – pdv + Σμidni + dB
B is the energy providing biological selfregulation (on the basis of enzyme synthesis,
resonance energy transfer between biological macromolecules, electric charge transfer,
immune response etc.). All these energies in macroscopic aspect could be denoted as
biological energy B.
We introduce also a state function synergy G (V), which uniquely determines the state ofa given BO:

dG =

dB
V

(1)

as a measure of the quality of the BO selfregulation (therefore, of the biological organization).
G reflects the degree of coordination and synchronization of the regulatory links in BO. It
could be an indicator of BO health and youth. G is genetically determined. G increases inorganism growth as well as in training processes. In aging processes, in severe and chronic
diseases G decreases. In a mature and healthy BO the synergy G as almost constant G(V) =G(W).

RECOVERY PROCESS AFTER DISTURBANCE
When a BO is disturbed (acute disease, trauma, intoxication, environmental influenceetc.) and its normal life parameters are violated, i. e. W – V(t) ≠ 0, the genetic information
potential switches feedback control (repair, immune system reaction, enzyme synthesis etc.)
to restore BO to its physiological homeostasis. A recovery process starts. We assume that incase of damages V(t) < W. Here we consider recovery processes, running in time intervalmuch shorter compared to the lifespan of BO.
Now we try to define the balance of biological energy in phenomenological aspect.
We assume the genome energy as composite of two parts: potential genome energy UW
and recovery energy UV:
U = UW + UV

(2)

An Idea for Phenomenological Theory of Living Systems

261

The quantity UW = const is characteristic for a given species. The recovery energy UV, should
be proportional to the difference W – V(t), i. e. UV = k (W – V). UV should be a positive
function; hence we may present it as a positive determined quadratic form:

UV =1
K (W − V ) 2
2(3)

where K ([K] = [kg m2 b–2 s–2]) is the genome inductivity, representing the integral feedback
control strength. It is clear that UV has minimum at V(t) = W. Therefore, in a non-disturbed
state BO does not spend recovery energy.
We assume that the power of immune response P, expressed on phenomenological level,
should be proportional to the rate of change of the vitality. To be a positive function P should
be constructed as follows:

P = MV 2(4)

where M ([M] = [kg m2 b–2 s–1]) is coefficient of immune memory.
The immune response has a cumulative effect. The state of a BO at a given moment
depends not only on the synthesis of immune factors at that moment but on the summary
effect of immune response in all prior moments. Therefore the immune reaction energy Z in
the recovery process should have the form:
t

t

t0

t0

Z (t ) = ∫ Pdτ = ∫ MV 2 dτ

(5)Because BO behavior is considered on phenomenological level, we are interested in the
total effect of immune response and here we do not differentiate cell and humoral immunity.
We assume that the constant M characterizes the total immune potential of BO.
The accomplishment of the recovery process may be embarrassed due to waste productsof metabolism (non-fully oxidized substances, macromolecules damaged by free radicals) andtoxicants (heavy metals, bacterial and virus toxins etc.) occurring in cell and decreasing theefficiency of metabolic processes and cell selfregulation. Therefore, the total biologicalenergy B could decrease at expense of energy of metabolic resistance R. It is reasonable tosuppose that R is proportional to the rate of change of the vitality. To be a positive function R
could be defined in the form:

R=

1 2
AV
2

where A ([A] = [kg m2 b–2]) is coefficient of metabolic resistance.
One can write the following equation for the balance of biological energy B:

(6)

262

Svetla E. Teodorova

dB = dU + dZ – dR

(7)

We defineΦU = −dU= K (W − V )
dV

and

ΦZ =

dP
= 2 MVdV

(8)

as biological force of feedback control and force of immune reactivity, respectively. Theirdimension is: [ΦU] = [ΦZ] = [kg m2 b–1 s–2].
We define also

L=

dR
= AV
dV

(9)

as impulse of metabolic resistance. Its dimension is [L] = [kg m2 b–1 s–1].
We assume that the functioning of the healthy living systems is based on the following
biological principle:
G(W) = max G(V)(10)

It means that in its optimal, undisturbed state BO has a synergy maximum. G(W)corresponds to excellent health. For recovery processes it follows from (10):dG > 0(11)

Taking into account (1), (2), (3), (4), (5), (6), (7), (8), (9) and (11) we can write:dG =(Φ dV − LdV )
>0
V

(12)

where Φ is the total recovery forceΦ = ΦU +

1
ΦZ
2

(13)

It follows from (12) that the expression

Φ dV − LdV > 0(14)

is a condition for fully BO recovery.
One of the most profound concepts in theoretical physics is that the equations of motion
in different fields of physics can be obtained on the basis of integral variational principles.

An Idea for Phenomenological Theory of Living Systems

263

The well known variational principle of Hamilton allows a common treatment of dynamic
problems in mechanics, electrodynamics, optics, thermodynamics, quantum mechanics etc.
By means of appropriately chosen Lagrangeans the basic equations in physics can be
introduced. This approach has a great heuristic concern. The presence of variation principles
in all physics fields clearly shows that a basic nature law takes place. This promises that infields, where no other approaches exist, a variational principle from the Hamilton type could
help to obtain adequate equations, describing the characteristic processes.
We propose the following integral principle:TΓ = ∫ (U + Z − R )dt = max

(15)

t0

choosing the Lagrangean: L = L (V (t), V (t), t) = U + Z –R,
where U, Z and R are determined by the equations (2), (3), (5) and (6).
After variation of (15)Γ′(ε ) ε =0 = 0(16)

where ε is an arbitrary parameter, the following biodynamic equation is obtained:

V +

2M
K
KW
V +
V=
A − 2 M (T − t )A − 2 M (T − t )A − 2 M (T − t )(17)under initial conditions:

V (t0 ) = V0andV (t0 ) = V0(18)

V0 is the state of disturbed BO from where the recovery process starts and V0 is the start rateof time change of V. T is the time period of the recovery process. The equation (17) has aphysical sense and aperiodic solutions when the following conditions are valid:
A > 2MT(19)

M2 > (A – 2MT) K(20)

Obviously, at a given value of M, in greater contamination of the organism (higher A
value) the time T of the recovery process will be longer.
The stationary solution of equation (17) is a stable knot.
Equation (17) is solved numerically. Some solutions at different values of the parameters
are displayed in Figure 1. The value of T = 10 days was arbitrary assumed for the recovery
process after some disturbance (for instance: influenza, poisoning, burn etc.). We stated that

264

Svetla E. Teodorova

the normal state of BO corresponds to W = 100 bions. We chose an arbitrary value for thestart of recovery process: V0 = 60 bions. In principle, on the basis of many empirical data one
can determine the real average recovery time periods for different diseases and damages andreal W for different species and ages. Using them the characteristic parameters in equation(17) can be calculated.

Figure 1. Time courses of the quantity vitality during the recovery period as numerical solutions ofequation (17). The time interval of 10 days for the recovery period after some disturbance was arbitrary
chosen (T = 10). A value of 100 bions for optimal vitality was assumed (W = 100). The initial condition
was V0 = 60 bions. The displayed time courses were calculated at different values of characteristic
constants: A = 9, M = 0.4, K = 0.93 (over-shoot curve); A = 11, M = 0.5, K = 0.17; A = 12, M = 0.5, K =0.13.

Time courses of several biological parameters, similar to these shown in Figure 1, arevery typical for different transitory processes in biological systems.

SINERGY AND ENTROPY CHANGES DURING THE LIFESPAN OF A
BIOLOGICAL OBJECT
In lifespan scale the following cases could be distinguished regarding the synergy G andentropy S changes:
During development and growthdG > 0dS > 0dG > dS

Near completion of development and growth
G = max

dS > 03) At mature age

An Idea for Phenomenological Theory of Living SystemsdG ≤ 0dS > 0dG < dS

dS > 0dG ≤ dS

2654) At aging
dG < 05) Death
G=0

S = max

What means the inequality dG < dS at mature age? G can remain almost constant during
many years (maximum comfort conditions for BO) or decrease weakly (dG ≤ 0). But thisdecrease is less compared to entropy increase (i. e. notwithstanding that the entropy increase
leads to age changes in macromolecules and structures, the integrity of the regulatory links
remains or changes slower than structure aging). The synergy is not reciprocal to entropy. The
inequality dG < dS shows the stability of BO selfregulation. For instance, the genetic
functions demonstrate a relative resistance against to the chronic action of damaging agents,
particularly heavy metals (Topashka-Ancheva et al. 2003). The difference in changes ofentropy and synergy once more indicates that via thermodynamics (in spite of its adjustment
to biological systems) one does not attain adequate description of the life processes.

EVOLUTION OF OPTIMAL VITALITY (W) DURING THE LIFESPAN OF A
BIOLOGICAL OBJECT
Up to now we considered the optimal vitality W as a constant quantity because ourattention was drawn only on processes much shorter compared to the lifespan. The optimalvitality W, however, decreases in lifespan scale due to aging processes (genetic mutations,alterations in the regulatory links of genetic apparatus and hence quantitative and qualitativechanges of proteins and attenuation of their self-renewal (Frolkis 1969). The simplest
quantitative assumption about W evolution during the life is that the rate of W change is
proportional to the time:dW= − qtdt(21)

where q ([q] = [b s–2]) is a parameter reducing the optimal vitality. We call it aging factor.
The parameter q should be a time function. The temp of the aging is most intensive after
the age of 25 years (in human) and then it decreases with time (Strehler 1962). Quantitatively
this could be expressed by the following differential equation:dq= − αq
dt

(22)

266

Svetla E. Teodorova

under initial condition
q0 = q(t0),t0 = 25 years(23)

where q0 ([q0] = [b s–2]) and α ([α] = [s–1]). The constant α can be called aging correction,
because at higher values of α the parameter q decreases faster with time and hence, as
follows from (21), the rate of aging decreases. Respectively, when q decreases slowly the
aging processes go faster.
The analytical solution of (22) isq = q0 e− α(t − t0 )(24)

Taking into account (24) the equation (21) can be written asdW− α(t − t0 )= − q0 e
t
dt

(25)

The analytical solution of (25) is

W = W0 −q0qq( αt0 + 1) + 0 te −α ( t −t0 ) + 02 e −α ( t −t0 )
2
α
α
α

(26)

The constant α may be determined from the solution (24) after taking a logarithm:
ln q = ln q0 – α (t – t0)(27)

The equation (27) is an equation of a straight line with angular coefficient α. Using thevalues of q, a plot of ln (q – q0) as a function of t – t0 could be constructed and α determined.
The q-values could be calculated in the following way. Human individuals in perfect(accordingly to the respective age) health could be selected in different age groups ranging by
five years (25–30, 30–35, 35–40 etc.). Within these groups q may be consideredapproximately constant. Then the analytical solution of equation (21) has the form:

W = W0 −

1 2
qt
2

(28)

and respectively:q=2(W0 − W )
t2

(29)

W-values for the different age groups could be empirically measured (of course under areliable statistics) and on the basis of (29) values of q, specific for the respective age periods,

An Idea for Phenomenological Theory of Living Systems

267

could be calculated. The value of q0 may be determined in individuals of 24–26 years old. If
the constants q0 and α were known W(t) would be drawn. Thus, we shall have a picture of anormal aging, i. e. aging in individuals, who are not burden with chronic diseases. The sameprocedure could be applied in people with certain chronic diseases, in smokers, etc. It is seenfrom (29) that at a greather difference W0 – W the parameter q has a higher walue. For
instance, at age 60 years W of a sick man will be less than W of a healthy man (Wsick <Whealthy) and respectively W0 – Wsick > W0 – Whealthy. Therefore, qsick > qhealthy. This indicates afaster aging process in the sick. In illness at young age the value of q0 may be higher than thenormal and this could reflect on the further life and aging pace.
In most cases the life mode can play a significant role for q modification. The healthfulnutrition, going in for sports, natural regimen etc. could increase α-constant in large extent.
Consequently the rate of q decrease increases and hence the duration of the individual life
could increase.

Figure 2. Evolution of the optimal vitality W during the lifespan. The maximum value of optimalvitality W is assumed of 100 bions. In human context it should correspond to the age of 25 years. A
value of 30 bions is assumed as Wcr. Three analytical solutions (26) of W (t) are drawn, calculated at
different values of the parameters (q0 = 0.01, α = 0.0061; q0 = 0.01, α = 0.0012; q0 = 0.015, α = 0.0012).
The respective curves cross the dotted line Wcr in points corresponding to 150, 125, and 102 years.
These points could be considered as possible potential maximums of life duration at different
conditions.

In Figure 2 analitical solutions of equation (26) are presented. They are calculated under
initial conditions W0 = W(t0) = 100 bions and t0 = 25 years and at different values of theparameters q0 and α. The value Wcr corresponds to that value of vitality, under that theselfregulation falls and life recovery processes are impossible. The values of X-axis,
corresponding to the points of the dotted line, indicate the lifespan of Homo sapiens indifferent conditions. The points TWcr correspond to the absolutely life potential in therespective conditions, not to the real end of the individual life. Usually the concrete lifespan is(much) shorter than TWcr (often due to different fortuitous factors). In principle TWcr may be268

Svetla E. Teodorova

considered as genetically determined possible lifespan maximum for a given species but it
could vary in a wide range depending on diseases, life conditions, and life mode.

CONCLUSION
It is impossible to deduce macro-characteristics of living systems on the basis of thenumerous processes on molecular level. Because of that it will be a great benefit to have ameasurable (one or a few) macro-characteristic(s) uniquely determining the status of BO as
an entire unit. Thus, the behaviour of BO would be explored and predicted. In exemplificationof this idea here we considered the simplest case of only one integral variable – vitality V.
Such an approach is very important not only for practical purposes. It is also of great
theoretical significance. Biological selfregulation provides a new quality of matter. It is quite
reasonable to evaluate the state of living matter in terms of specific energy form. No kind ofenergy known in physics can be put in correspondence to biological selfregulation in order toexplain its integrity. The health of BO essentially depends on selfregulation quality and it
seems to be very tempting to assess BO via adequate quantities. Thus, the creating of newscience field, biodynamics, could be a substantial step to a more profound study of living
matter.
The general responses of BO to environmental, therapeutic, and other influences as wellas to diseases could be effectively studied. Biodynamics approach will be of a great
importance in medicine for diagnosis and therapy. A simple and prompt assess of the healthy
status of the patients could be made and in patient’s files abreast of the other data could be
added data as vitality V , optimal vitality, and synergy G as important integral biomarkers.
Valuable evaluations could be carrid out about the aging rate and life duration via studing of
optimal vitality W evolution. Many empirical investigations could provide reliable data for
determining the characteristic lifespan TWcr for several species. Essential correlations could beestablished between environmental conditions specificity and mean human lifespan.
Satisfactory values of the parameters introduced here (K, M, A, q0, and α) may be
determined via experiments, but it is also of essential interest to attempt to express these
constants as functions of some parameters of BO on molecular level. For this purpose manytargeted empirical research are needed.
Naturally, new device is needed to measure such quantities. The author is optimist
regarding the further technical development and the possibility to study the vital status of BO
via integral characteristics. The author hopes that the idea shared here may stimulate thescientific thought for further efforts toward development of a phenomenological life theory.

REFERENCES
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biological organization 5-6. Moskow: Mir Publishing house.
Bljumenfeld, L. A. (1974). Problems of Biological Physics. Moskow: Naouka Publishing
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Davidiv, A. (1979). Biology and Quantum Mechanics Kiev: Naukova Dumka Publishing
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Di Cera, E. (ed) (2001). Thermodynamics in Biology. Oxford-New York: Oxford University
Press.
Eigen, M. (1971). Molekulare Selbstorganistion und Evolution (Self organization of matterand the evolution of biological macro molecules). Naturwisswnschaften 58 (10), 465-523.
Elizarov, A. A. (1997). Instrumental methods for investigating physical fields of biologicalobjects. Measurement Techniques (Springer) 40 (7), 700-707.
Frolkis, V. V. (1969) The Nature of Aging. Moskow: Naouka Publishing House.
Godik, E. E. and Guljaev, Yu. V. (1991). The human being through “Eyes of Radiophysics”.
J. Radio Engineering (Russian) 8, 51-62.
Goodwin, B. C. (1963). Temporal Organization in Cells. London: Academic Press Inc. Ltd.
Gyarmati, I. (1970). Non-equilibrium thermodynamics: Field theory and variational
principles. Berlin-Heidelberg-New York: Springer-Verlag.
Kleidon, A and Lorenz, R. D. (2005). Non-Equilibrium Thermodynamics and the Productionof Entropy. Life, Eearth, and Beyond. Berlin-Heiderlberg-New York: Springer.
Kurzynski, M. (2005). The Thrrmodynamic Machinery of Life. Berlin-Heiderlberg-New
York: Springer.
Nicolis, G. and Prigogine, I. (1978). Self-organization in Nonequilibrium Systems. From
Dissipative Structures to Order through Fluctuations. New York-London-SydneyToronto: John Wiley and Sons.
Presman, A. S. (1968) Electromagnetic fields and living nature. Moskow: Naouka Publishing
House.
Prigogine, I. and Defay, R. (1954). Chemical thermodynamics. London-New York-Toronto:
Longmans Green and Co.
Quastler, H. (1964). The Emergence of Biological Organization. New Haven and London:
Yale University Press.
Rosen, R. (1967). Optimality Principles in Biology. London: Butterworths.
Shrödinger, E. (1944). What is Life? Cambridge: University Press.
Strehler, B. L. (1962). Time, cells, and aging. New York and London: Academic press.
Szent-Györgyi, A. (1968). Bioelectronics. A Study in Cellular Regulation, Defense, andCancer. New York-London: Academic press.
Topashka-Ancheva, M., Metcheva, R., Teodorova, S. E. (2003). Bioaccumulation anddamaging action of polymetal industrial dust on laboratory mice Mus musculus alba II.
Genetic, cell, and metabolic disturbances. Environmental Research 54, 152-160.
Trincher, K. S. (1965). Biology and Information. Moskow: Naouka Publishing House.
Volkenstein, M. V. 1994). Physical Approaches to Biological Evolution. Berlin-Heidelberg:
Springer Verlag.

In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

A NEW TRAIT OF GENTOO PENGUIN:POSSIBLE RELATION TO ANTARCTICA
ENVIRONMENTAL STATE?
Roumiana Metcheva1, Vladimir Bezrukov2, Svetla E.
Teodorova3, and Yordan Yankov4
1

Institute of Zoology, Bulgarian Academy of Sciences, 1,
Bd.Tzar Osvoboditel, 1000 Sofia, Bulgaria
2
Department of General and Molecular Genetics,
Taras Shevchenko National University of Kyiv,
64 Volodymyrska Str., Kyiv, 01033, Ukraine
3
Institute for Nuclear Research and Nuclear Energy,
Bulgarian Academy of Sciences, 72, Tzarigradsko shaussee,
1784 Sofia, Bulgaria
4
Bulgarian Antarctic Institute, 15, Bd.Tzar Osvoboditel,1000 Sofia, Bulgaria

ABSTRACT
Some morphological traits of Antarctic animals could be considered in the context ofa trend to more direct relation between environmental conditions and possible adaptive
mechanisms of animal’s organism. Penguins are excellent object for biomonitoring. Herea preliminarily report is presented regarding a new trait, a spot-like coloration (“yellow
spot”) of the bill, observed on the upper mandible of Gentoo penguin (subspecies
Pygoscelis papua ellsworthii). The spot varied in size and colour. It was recorded amongchicks over two months old and adult birds (normal and molting). The trait had no
significant relationship to the animal' s sex. Among all inspected females 31% and among
all inspected males 27% exhibited beak spot. Three breeding colonies were investigatedat three different geographical locations at the Antarctic Peninsula – Livingston Island,South Shetlands (62°38′ S), Wiencke Island (64o52′ S), and Petermann Island (65°10′ S).
Yellow spot was found with different frequencies at these three locations: 20%, 36%, and30%, respectively. All spotted penguins from the three colonies were 32% whencompared to all non-spotted. The possible reasons for the spot-like coloration are
discussed. The trait could be a phenotypic characteristic. It could play some role in themate choice. A possible connection to carotenoid pigments content does not be
eliminated in the context of Gentoo diet. A probable cause for the beak spot appearance
seems to be the increasing of ozone depletion above Antarctica. The ultraviolet radiation
enhances free radical production. Other studies reported an increase of the flux of272

Roumiana Metcheva, Vladimir Bezrukov, Svetla E. Teodorova et al.
transsulfuration pathway as a defense reaction, resulting in elevated level of cysteine.
When cysteine concentration is raised, an attaching of cysteine to melanin synthesis
pathway occurs and this results in formation of reddish pigments.

INTRODUCTION
Antarctica environment is closely related to the global change of our planet and hence it
is a topic of increasing importance. Climatic features, atmospheric regime, and temperature
and water balance depend on the state of Antarctic continent. The investigation whether
Antarctica is influenced by anthropogenic pollution is of great interest. In this context thebiomonitoring could provide valuable data. Results reported by Metcheva et al. (2006)
suggest that due to annually molting penguin feathers are an excellent monitoring tool of
Antarctica environmental state, being precise indicator for detection of metal levels. This
allows assess possible contamination trends.
During the morphological investigations on Gentoo penguin (Pygoscelis papua
ellsworthii) a spot-like coloration (“yellow spot”) was observed at the base of the uppermandible of some individuals. It varied from clear yellow-orange to reddish. Colour patternsof terrestrial birds have been well studied, but there is little research on seabird coloration(Jones and Hunter 1993; Jouventin et al. 2005).
Among the six genera belonging to family Spheniscidae, the genus Pygoscelis is the mostwidely distributed (Del Hoyo et al. 1992). Three species belong to Pygoscelis: Chinstrap (P.
antarctica), Gentoo (P. papua) and Adelie (P. adeliae). Gentoo penguins breed onsubantarctic islands and on the Antarctic Peninsula (Stonehouse 1970). There are two
subspecies of Gentoo – P. p. papua, J. R. Forster, 1781 and P. p. ellsworthii, Murphy, 1947.
The subspecies P. p. papua is distributed in sub Antarctic up to 60° S; P. p. ellsworthii
inhabits the Antarctic from 60° S up to 65° S (Del Hoyo et al. 1992). The subspecies P. p.
ellsworthii is of smaller size and bill proportion compared to P. p. papua (Martinez 1992).
Gentoo penguin populations inhabiting the Antarctic Peninsula have been studied withrespect to foraging behavior (Trivelpiece et al. 1986), morphometry (Stonehouse 1970), UV
reflectance (Jouventin et al. 2005) etc. However, this trait (“yellow spot”) observed has notbeen described in the literature before.
Some authors (Stevenson and Anderson 1994; Siefferson and Hill 2005) that study
different particular colorations in birds tend to explain the function of these phenomena interms of health, mate choice behavior or intraspecific signaling. Saks et al. (2003) haveestablished that brighter yellow breast feathers in male greenfinches signals
immunocompetence and health status. Thus, females prefer more ornamental males, able toprovide parasite resistance genes for the offspring. Some of the colour patches are at the sametime also ultraviolet markings. Jouventin et al. (2005) have reported UV beak spots in King
penguin (Aptenodytes patagonicus) and Emperor penguin (Aptenodytes forsteri). They havefound UV peaks of reflectance, overlapping with spots of colour on both sides of the lower
mandible, which have appeared orange (with variations among individuals from yellow tored). The authors suggested that UV beak spot could be an indicator of sexual maturity having
a possible role in pairing. UV reflective patches are of concern in the context of UV vision inbirds, which may be used also for foraging (Sűtari et al. 2002) and hunting (Koivula et al.
1997; Koivula et al. 1999).

A New Trait of Gentoo Penguin

273

Other interesting problems are whether such kind of markings (colour only or colour andUV reflectivity) might appear as consequence of environmental changes or it depends on thediet, biochemical disturbances and parasite infection. Most probably a complex reason mighttake place. Similar traits could also be used for comparative population studies.
In the present study the distribution of spotted P. p. ellsworthii in three Antarctic
locations – Livingston Island, South Shetlands (62°38′ S), Wiencke Island (64o52′ S), andPetermann Island (65°10′ S) is reported and probable reasons for the beak spot appearance are
discussed. Particularly, a possible reason related to the specific Antarctic environment isoutlined.

MATERIALS AND METHODS
Populations Studied
Field measurements were carried out on adult, nonmoulting and molting Gentoo penguins(P. p. ellsworthii), inhabiting Livingston Island (62º38´ S, 60º24´ W, South Shetland Islands),
Wiencke Island (64o52′ S, 63º30´ W, Palmer Archipelago), and Petermann Island (65°10′ S,
64º10´ W). The birds were tested during the Antarctic summer seasons, from January to
March, – at Livingston Island in years 2002 – 2005; at Petermann Island in 2002-2003, and at
Wiencke Island in 2003-2004. At Livingston Island the studied colony varied from 84 to 110
couples. At Petermann and Wiencke Islands the colonies were larger, about 1000 nests per
island. Additionally, at Livingston Island twelve marked couples of P. p. ellsworthii as wellas the offspring in the crèche were observed in December 2005 - January 2006.
The penguins were captured using a hand net. After inspection the morphological traits
were measured according to the Commission for the Conservation of Antarctic Marine Living
Resources – Ecological Monitoring Programme (CCAMLR EMP) recommendations(CCAMLR 2004).
All the penguins were marked with glass-encapsulated TROVAN identificationelectronic transponders. These transponders, implanted subcutaneously, have demonstrated to
be a reliable means to identify individual penguins. The TROVAN system enables long
lasting marking, automatic detection of birds and quick identification (Clarke an Kerry 1998).
The penguins were checked for the appearance of spot on the beak when they were marked.

Blood Samples for DNA Analysis
Blood sampling for sex identification and DNA analyses were performed by two different
ways according to the CCAMLR EMP Standard Methods Recommendations. Approximately
1 ml of blood was drawn from the cubital vein with a syringe and placed into tubes with
K3·EDTA or into heparinzed tubes. DNA was extracted using a standard phenol-chloroform
method as described by Sambrook et al. (1989). Sex determination was performed by PCR as
described by Itoh et al. (2001).

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Roumiana Metcheva, Vladimir Bezrukov, Svetla E. Teodorova et al.

Discriminant Analysis
Sex determination of Gentoo from the Petermann Island was carried out withdiscriminant analysis, as described EMP Standard methods, Hobart (CCAMLR 2004) withlittle modification. The equation was Z = 0.922*L + 3.885*H were L and H are the length andhigh of the bill, respectively. The discriminate value was D = 103.302 instead of thedescribed 112.608, because the localization of the minimum at the male-female distribution of
D was at the 103.302 point. Data were verified with the values of body mass differences (onlyfor registered nesting couples) – males were usually heavier than females. The results wereconfirmed with PCR assay according Savov et al. (2004).

Statistical Treatment
The percentages of spotted individuals from Livingston Island, Wiencke Island, andPetermann Island were compared and statistically analyzed for their significance.
Differences in the trait distribution between males and females were tested using the χ2criterion for table 2 x 2. Trait distribution in the penguins at different locations was tested
with exact Fisher’s test (for two-tailed probability of the II type error) (Sokal and Rohlf 1995;
Dubrova 2000).

RESULTS
Gentoo penguins from Antarctic Peninsula (Figure 1) were tested for presence/absence ofbeak spot (Figures 2 and 3) as follows: 157 individuals at Livingston Island (or about 81% of
the breeding colony), 114 – at Wiencke Island (11% of the colony), and 201 – at Petermann
Island (20% of the colony). The spot is located on the upper mandible of the bird (Figure 2).
It begins at the flashy core and extends onto the hardened part of the beak. In different
individuals the spot size ranges from very small (1 – 2 mm) to quite large (20 – 25 mm). The
largest spots spread over almost all the upper surface of the bill. We named the observed newtrait “yellow spot” because of its typical colour. However, the colour of the spot varied fromyellowish to red with yellow, orange, and pink intermediate forms in different birds. The
scheme in Figure 4 gives a picture regarding size and colour variations of the spot.
Other visible peculiarities in body or feather coloration of beak-spotted Gentoo penguins
were not recorded.
The trait was observed year-round, not only during molt. Over the time of exploration the
spots did not change their appearance.
The “yellow spot” was observed also in adults and chicks inspected. Among adult birds
the frequency of this trait was approximately two times higher than among chicks.
To prove preliminarily a possible heritable basis and to estimate the age-related processof spot appearance, commencing with the hatching, we observed additionally 3 pairs withspots (both of parents), 2 pairs without spots and 7 mixed pairs (with spot in only one of theparents) at Livingston Island in December 2005 – January 2006. From the beginning of
hatching to about 3 weeks of age no beak spot was found in the offspring (Figure 5).

A New Trait of Gentoo Penguin

275

Figure 1. Gentoo penguin distribution map: the white dots indicate the breeding areas of the subspecies
Pygoscelis papua papua and the black dots – the breeding areas of the subspecies Pygoscelis papua
ellsworthii. 1 – Livingston island; 2 – Wienke island; 3 – Petermann island.

Figure 2. Adult Gentoo penguin (Pygoscelis papua ellsworthii) with spot on the upper mandible.

Figure 3. Adult Gentoo penguin (Pygoscelis papua ellsworthii) without spot on the upper mandible.

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Roumiana Metcheva, Vladimir Bezrukov, Svetla E. Teodorova et al.

Figure 4. A scheme of the “Yellow spot”, observed on the upper mandible of Gentoo penguins(Pygoscelis papua ellsworthii): place of the spot on the mandible and spot size variations.

Figure 5. One-month Gentoo penguin (Pygoscelis papua ellsworthii) without spot on the uppermandible.

Similar data were obtained at the other locations (Petermann and Wiencke Islands),
where recently hatched chicks with beak spot were not found. Spots were observed, however,in two-month chicks (Livingston colony), when they have formed crèche (Figure 6). Among
75 juveniles, 3 two-month chicks (4%) exhibited a small spot in the base of the uppermandible.

A New Trait of Gentoo Penguin

277

Figure 6. Two-month Gentoo penguin (Pygoscelis papua ellsworthii) with an about 2 mm “Yellow
spot” on the base of the upper mandible.

The spot distribution among males and females is presented in Table 1. The DNA
analysis was carried out on 93 individuals in the Livingston colony and on 185 individuals inPetermann colony. The analyses revealed that at Livingston Island 37 of the samples werefemales and the rest 56 were males. Respectively, at Petermann Island 94 penguins werefemales and 91 – males. Among all inspected females 31% exhibited beak spot and among all
inspected males colour spot on the beak was observed in 27% of individuals. There was no
statistically significant difference in the frequency of spot appearance in both sexes (Table 1).
Table 1. Distribution of the “yellow spot” between male and female individuals of
Pygoscelis papua ellsworthi

Location

Livingston
IslandPetermann
IslandAll groupsSexn (allinspected)

With beak spot

Without beak spotnFrequency in %

n

χ2

P

Male

56

15

27

41

Frequency
in %73

Female
Total
Male

37
93
91

9
24
25

24
26
27

28
69
66

76
74
73

0,069

0.98

FemaleTotal
Male
Female
Total

94
185
147
131
278

31
56
40
40
80

33
30
27
31
29

63
129
107
91
198

67
70
73
69
71

0,66

0.78

0,37

0.93

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Roumiana Metcheva, Vladimir Bezrukov, Svetla E. Teodorova et al.

The distribution of the trait in the three Gentoo colonies (at Livingston, Wiencke, andPetermann islands) for the penguins investigated during 2002 – 2005 (without those observedin the summer season 2005/2006) is presented in Table 2.
Table 2. Distribution of the “yellow spot” in the three colonies of Pygoscelis papua
ellsworthi, inhabiting different Antarctic geographical areas. Frequencies (%) of spotted
individuals and Fisher’s test data are given

Population

Livingston
IslandWiencke Island
Petermann
IslandAll

Location

62º38´ S
60º24´ W
64o52′ S
63º30´ W
65°10′ S
64º10´ W

Total%
SpottednWithbeak spot

Without
beak spot

157

31

126

19.7

114

58

56

50.9

201

61

140

30.3

472

150

322

31.8

Statistical significance(exact Fisher’s test)
Comparison
Twobetween
Tailedpopulations
probability
Livingston 0.0014
PetermanPeterman 0.0004
Wiencke
Livingston 0.00012
Wiencke

All inspected birds were divided into two categories – “with spot” and “without spot”.
The average frequency of all spotted individuals is 31.7%. The differences in the percentageof spotted individuals among all the three colonies are statistically significant. The highest
frequency of the trait was found in the colony of Wiencke Island followed by the colonies ofPetermann and Livingston (Table 2).

DISCUSSION
On the basis of the result that the distribution of the revealed beak spot in males andfemales P. p. ellsworthii does not differ significantly (Table 1) one could safely state that the“yellow spot” is not related to the sex of Gentoo penguin.
The “yellow spot” is a characterization both of non-molting and molting penguins.
This trait may be a polymorphic characteristic. In such case it will be of interest to study
its genetic architecture. The problem of Gentoo population analysis is important today
because Gentoo is one of the indicator species of Antarctic ecosystem (Zhu et al. 2005) and acomparison of populations by trait frequencies could be useful for population studies andmonitoring programs of Gentoo penguin.
At the present stage of the study we have not yet collected data supporting an assumption
regarding a heritable basis of the trait. The fact that no spot was recorded in Gentoo chicks
bellow two months of age suggests a possible correlation between the spot appearance andage, i. e. the spot appears in growing up offspring to play some role related to mature birds.
Such an assumption is reasonable taking into account that in the crèche only 4% of the twomonth chicks exhibited a small spot and that in adult birds the frequency of the spot was
about five times higher than in juveniles.

A New Trait of Gentoo Penguin

279

Much attention has been paid to the significance of colour and UV phenomena in avian
intrasexual competition or intrasexual selection. Jouventin et al. (2005) have established thatrecently paired King Penguins (Aptenodytes patagonicus) had shown higher UV reflectancethan courting ones. So, these authors consider the UV ornaments as a factor, which plays arole in pairing of breeding males and females and could serve as an indicator of sexual
maturity. Also Mougeot and Arroyo (2006) have noted that UV signals play key roles insocial and sexual signaling in birds. European starlings (Sturnus vulgaris) (Benett et al.
1997), Blue tits (Parus caeruleus) (Anderson et al. 1998; Hunt et al. 1998), and Bluethroats(Luscinia s. svecica) (Anderson and Amundsen 1997) use UV-reflecting plumage cues inmate choice. On the other hand, there are studies indicating that UV vision in birds plays anessential role in their foraging and hunting behaviour. So black grouses prefer UV-reflecting
berries (Sűtari and al. 2002), kestrels are attracted to the vole urine and faces marks thatreflect UV light (Viitala et al 1995; Koivula et al. 1999; Zampiga et al. 2006). The hunting
success of nocturnal owls is best during clear nights due to the visibility of the scent markings
in UV light (Koivula et al. 1997).
Endoparasitism is viewing as a cause for the coloration variety (McGraw and Hill, 2000).
It was found (Saks et al. 2003) that coccidian infection reduces the expression of plumage
coloration in greenfinches (Carduelis chloris) by creating a deficiency of carotenoids
available for deposition in ornamental feathers. Golemanski (2002) first described intestinal
coccidiosis in P. papua (Livingston Island).
One could suppose some relationship between spot and carotenoid pigments. Red, orange
and yellow coloration is usually related to these pigments. Saks et al. (2003) have establishedthat the plumage coloration in male greenfinches, signalizing their immunocompetence andhealth status, is carotenoid-based. The combination of carotenoid pigments with proteins
generates many colors, from the brilliant yellow to red, in crustaceans, fish, and birds. The
general distribution and metabolic pathways of carotenoids have been investigated in details(Katayama et al. 1971; Goodwin 1984; Davis 1985; Matsuno and Hirao 1989). We have notanalyzed biochemically Gentoo beak but it seems reasonable to suppose at least partial
carotenoid contribution in beak coloration because of Gentoo diet. It consists of about 50 –80% crustaceans, mainly krill, which are a rich source of carotenoids (Berrow at all. 1999).
However, there are reports regarding the potential for melanins to produce yellow colors inbirds’ plumage (McGraw et al. 2004). These authors have not detected carotenoid pigments
in feathers of five avian species, including King Penguins (Aptenodytes patagonicus) andMacaroni Penguins (Eudyptes chrysolophus). More over McGraw et al. (2004) suggested thatthe yellow appearance of penguin and domestic chick feathers might be attributed to a newform of plumage pigment, never before described from bird feathers.
A probable reason for appearance of the beak spot may be related to some aspects of thechanges in Antarctic environment and especially to the increased ozone depletion above
Antarctica. As known ozone layer protects the earth surface from the ultraviolet radiation.
Evidence is provided that UV radiation generates H2O2 (Peus et al. 1998). In presence of
H2O2 and under UV rays reactive oxygen species (ROS) are formed. What kind of way mightlead from ozone depletion and ROS to “yellow spot”?
The pigment melanin causes the black colour. It is an essential component in the bill
structure. Incorporation of melanin granules into the bill keratin increases the hardness of thebill (Bonser and Witter 1993). Attaching of cysteine to DOPA-quinone after oxidative
cyclization and polymerization results in the formation of reddish pigments (Angelov et al.

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Roumiana Metcheva, Vladimir Bezrukov, Svetla E. Teodorova et al.

1995). DOPA-quinone is the third step of the melanin synthesis pathway beginning fromtyrosine. Such a reaction is possible to occur in case of an increase of the concentration ofcysteine, taking part in desintoxication and antioxidant processes.
The low-molecular-weight thiols cysteine and especially glutathione are importantantioxidants acting in cells. In the biochemical anabolic pathway the cysteine is a precursor ofglutathione. Reduced glutathione (L-gamma-glutamyl-L-cysteinyl-glycine, GSH) is formed ina two-step enzymatic process including, first, the formation of gamma-glutamylcysteine fromglutamate and cysteine, and second, the formation of GSH from gamma-glutamylcysteine andglycine (Nikolov 1971; Franco et al. 2007). The production of GSH mainly depends on theamount of available cysteine (van der Crabben et al. 2008).
The cysteine synthesis is involved in the transsulfuration pathway. The first step of thispathway, from homocysteine to cystathionine, is catalyzed by cystathionine beta-synthase(CBS). The enzyme transsulfurase (cystathionase) converts cystathionine to cysteine. Persa etal. (2004), exploring some biochemical reactions in eye, showed that a transsulfuration
pathway is present in the lens and that oxidative stress of H2O2 could increase the flux of thispathway activating the CBS enzyme. Thus, a lens under oxidative stress accumulates free andprotein-bound cysteine. They reported also that oxidative stress transiently up-regulates thegene expression of CBS both in human lens epithelial cells and in pig lens.
It seems reasonable to suppose that transsulfuration pathway exists in the penguin’s billand likely the accumulation of ROS in the cells as a result of the enhanced UV radiation cooperate to an increase of CBS synthesis and CBS activity. The increase of cysteine production
and hence the GSH level may be considered as adequate adaptive reaction to the change ofenvironmental conditions. On the other hand, the elevated cysteine level plays a role for
involving of cysteine in melanin synthesis pathway via attaching to DOPA-quinine. The
formation of reddish pigments could reflect in beak spot coloration.
The frequency of the spot appearance in the three investigated geographical points did
not unambiguously show a cline in the trait distribution (Table 2). Still the lowest frequency(19.7%) was found in the colony of the most north point (Livingston Island). The highest
percentage of spotted penguins was found at Wiencke Island, situated between Livingston
and Petermann Islands. Wiencke Island is by 2o14′ southly from Livingston Island. The ozone
depletion increases in south direction, to the pole.
Longer studies and targeted investigations are required to determine precisely the mostprobable cause (or cause complex) for the appearance of this trait and to clarify its possiblefunction.

ACKNOWLEDGMENTS
This work was supported by the grant INTAS-2001–0517 and grant of Ukrainian
Antarctic Center 04DF036-01(H/4-2004) and by grant B- 1615/2006 from the Bulgarian
National Scientific Fund.

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281

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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

ASSESSING POPULATION VIABILITY OF FOCALSPECIES TARGETS IN THE WESTERN FORESTCOMPLEX, THAILAND
Yongyut Trisurat∗1 and Anak Pattanavibool2
1

Faculty of Forestry, Kasetsart University,
Bangkok 10900, Thailand
2
Wildlife Conservation Society Thailand Program,
Nonthaburi 11120, Thailand

ABSTRACTThe Western Forest Complex (WEFCOM) in Thailand covers approximately 19,000
km2. This protected area complex comprises 11 national parks and 6 wildlife sanctuaries.
During 1999-2004, the Danish Government provided financial support to the Royal
Forest Department to manage this forest complex through the ecosystem management
approach. The WEFCOM Project employed rapid ecological assessment (REA) to
determine the current distribution statuses of wildlife species, develop a Geographic
Information System (GIS), and define habitat uses of wildlife. This paper is based upon
the achievements of the WEFCOM Project. It aims to define suitable habitats of selected
key wildlife species in the WEFCOM and to assess the current and desired statuses undera population viability estimate for those species. The focal wildlife species were sambar(Cervus unicolor), gaur (Bos gaurus), banteng (Bos javanicus), Asian elephant (Elephas
maximus), and tiger (Panthera tigris. We used logistic multiple regression to determine
habitat uses of wildlife and employed minimum dynamic area and landscape matrix
surrounding suitable habitats as criteria to assess population viability. The results indicate
the current suitable habitat mainly remains in Huai Kha Khaeng and Thung Yai wildlife
sanctuaries. In addition, the current viability condition is good for sambar, fair for gaur,elephant and tiger; and poor for banteng. However, landscape matrices outside thesuitable habitats for all species range from moderate to high connection of native
vegetation. If the project aims to upgrade the viabilities to the next level in the next 10
years, park rangers and multi-stakeholders have to increase the amount of suitable
habitats for all species from 12,630 km2 or 67% of the WEFCOM to 16,750 km2 or 89%.
By doing this, the number of suitable patches would significantly decrease and the mean
patch size would increase substantially, thereby indicating less fragmentation.

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Yongyut Trisurat and Anak Pattanavibool

Keywords: Western Forest Complex (WEFCOM); population viability; habitat
suitability; landscape indices; GIS.

1. INTRODUCTION
The World Conservation Union (IUCN) defines a protected area as “an area of land
and/or sea especially dedicated to the protection and maintenance of biological diversity, andof natural and associated cultural resources, and managed through legal or other effectivemeans” (IUCN, 1984). In Thailand, there were 282 protected areas, covering about 18% of
the country’s land area in 2004 (Trisurat, 2006).
Management of protected areas previously was limited to the boundary legally declaredin the National Gazette. Cooperation with park officials beyond the park boundary for
effective protection and management was relatively low and multi-stakeholders besides the
responsible agency have been rarely involved in management although the New Constitutionof Thailand of 1997 clearly defined their roles and responsibility in natural resourcesmanagement (DARUDEC, 1999). In the past four decades, protected areas have been selected
on a site-by-site basis in an ad-hoc way, and often based on the opportunity to preserve
remaining forest, as well as to promote tourism. These management practices are unlikely toensure the long-term protection of biodiversity and the ecological processes upon which
biodiversity depends as defined in protected areas’ management objectives (IUCN, 1984).
Therefore, the Royal Forest Department (RFD) and Danish Cooperation for Environment andDevelopment (DANCED) implemented the Western Forest Complex (WEFCOM) Project
during 1999-2004. The overall objective for this initiative was to maintain the health of theecological systems by using the “Ecosystem Management Approach” with community
participation.
The ecosystem approach is a strategy for management of land, water and living resourcesthat promotes conservation and sustainable use in an equitable way, which was adopted at theSecond Conference of the Parties of the Convention on Biological Diversity (Smith andMaltby, 2003). This approach has recognized the need to incorporate ecological processes,
disturbances and biological population viability into the planning processes. By conserving
viable samples of the whole ecosystem, it is anticipated that all of the species contained
within them will, at least, have a fighting chance to survive in the long-term.
Viable population is defined as the minimum number in populations (MVP) of species
that can persist for long periods of time (Wielgus, 2002). There are many methods forassessing population viability, ranging from the quantitative and data-gathering approaches tomore expert-driven and qualitative methods (Beissinger and McCullough, 2002). In practice,there are relatively few species for which population viability analysis has been performed
because this technique is available only for a data-rich species. Thus, many scientists use the50/500 rule of thumb as an effective population size over the short-term (Soule, 1987). For
instance, the British Columbia Ministry of Environment established a benchmark populationof grizzly bears ranging from 100-250 animals and determined the reserve sizes that canaccommodate these populations (Wielgus, 2002). More recent analyses suggest that aneffective population size of about 1,000 is needed to allow continued evolution and prevent∗

Email: fforyyt@ku.ac.th; Tel: 662-579-0176; Fax: 662-942-8107

Assessing Population Viability of Focal Species Targets…

287

the accumulation of harmful mutation (Allendorf and Ryman, 2002). Based on MVP-related
research over the past 30 years, Traill et al. (2007) found that the median MVP for mammals
was 3,876 individuals. For practical implementation, there are increasingly fewer populations,especially of large mammals, that would meet the effective population size of 1,000 or more.
Thus, a promising approach to maintaining MVP is to increase connectivity amongfragmented habitats. The common qualitative technique or expert opinion to assess population
viability is based on the criteria of species occurrence, habitat condition and landscapecontext surrounding the occurrence (Groves, 2003). Recently, the methods for assessing theviability of species that combine static habitat models to accommodate the minimum viable
population with population viability analyses has become a promising approach in regional
conservation plans, especially when digital data are available (Brito and Figueredo, 2003;
Leroux et al., 2007). This approach is named minimum dynamic area (MDA), which
describes the smallest area with natural disturbance regime, which maintains internal
recolonization sources, and hence minimizes extinction risk (Pickett and Thompson, 1978).
This paper is based on the achievements of the WEFCOM project. It aims to define
suitable habitats of selected key wildlife species in the WEFCOM and to assess the current
and desired status of population viability for these species.

2. STUDY AREA
The Western Forest Complex (WEFCOM) is situated along the Thailand-Myanmar
border. It comprises 17 contiguous protected areas, including six wildlife sanctuaries, nine
national parks and two proposed national parks (Figure 1). The toal land area of WEFCOM isapproximately 19,000 km2 or approximately 4% of the country’s land area. Among these 17
areas, Huai Kha Khaeng Wildlife Sanctuary is the largest protected area, covering 2,780 km2.
Salakpra Wildlife Sanctuary is the oldest protected area in this complex having been declared
as the first wildlife sanctuary in 1965. There are 162 ranger stations scattered in the
WEFCOM landscape mainly situated in the eastern buffer zone of the complex.
The WEFCOM is the largest intact forest area in Thailand and also within mainland
Southeast Asia. It is situated in six provinces in western Thailand. between latitudes 14° 08′ 16° 37′ North and longitudes 98° 11′ - 99° 32′ East. The WEFCOM is part of the Tenassarim
Range extending southward along the Myanmar border. The landscape in the north and thewest is rugged highlands. The area slopes gently towards the south and is drained by the Huai
Kha Khaeng, which is the main perennial stream in this complex (WEFCOM, 2004).
Based on Landsat image interpretations and field assessments in 2000, approximately
90% of the total land area is under forest cover. Mixed deciduous forest is dominant in thecomplex covering the highest percentage of the WEFCOM area (6,172 km2 or 32%).
Approximately 36% of the WEFCOM is comprised of various evergreen forests. Roughly one
third can be considered as relatively intact and undisturbed forest. Large tracts of intact andhealthy forest still occur in Thung Yai Naresuan and Huai Kha Khaeng Wildlife Sanctuaries
but the forest becomes more scattered and fragmented in other areas (WEFCOM, 2003,
2004). Remaining forest cover along the boundary and surrounding enclave communities isthreatened by agricultural encroachment. A socio-economic survey revealed that there were
112 communities situated inside the WEFCOM harboring approximately 5,400 households

288

Yongyut Trisurat and Anak Pattanavibooland 27,700 individuals. Besides this, there were another 103 villages located within a 3-km
distance of the WEFCOM, mainly found along the eastern border (WEFCOM, 2002).

Map 1. Protected area system of the Western Forest Complex in Thailand.

Assessing Population Viability of Focal Species Targets…

289

The WEFCOM has been nationally and internationally recognized as the key area ofterrestrial biodiversity in mainland Southeast Asia. It is located at the crossroads of threeplant geographies: Indo-Burma, Indo-China and Indo-Malaya; and two zoo-geographies:
India Indo-China and Sundaic Sub-region (Nakhasathien and Stewart, 1990; Smitinand,1987). Based on Wikramanayake et al. (2000), the WEFCOM encompasses two importantecoregions, namely the Kayah-Karen montane rain forests ecoregion and Tenasserim-South
Thailand semi-evergreen rain forests. This bio-geographical overlap provides a uniqueassemblage of Asian species. Therefore, UNESCO designated Huai Kha Khaeng and Thung
Yai Naresuan Wildlife Sanctuaries, two of the largest protected area units in the core area ofthe WEFCOM, as a Natural World Heritage Site in 1991. Some endangered species are tiger(Panthera tigris), Asian elephant (Elephas maximus), gaur (Bos gaurus), banteng (Bosjavanicus), tapir (Tapirus indicus), great hornbill (Buceros bicornis), rufous-necked hornbill(Aceros nipalensis), green peafowl (Pavo mulicus), and giant frog (Rana blythii).

3. METHODS
The general processes consisted of four steps, namely: 1) identify species conservation
targets; 2) estimate habitat suitability for selected species; 3) assess the current and desirable
condition of targets’ viability; and 4) delineate the congregation locations of target species in
the WEFCOM landscape. Activities for each step are summarized as follows:

3.1. Identify Species Conservation Targets
Conservation targets are those features or elements of biodiversity (ecosystem, species
and genetics) that planners seek to conserve within a system of conservation areas (Groves,
2003). In this study, they are those species that make the WEFCOM a globally importantconservation site. Wildlife specialists and the planning team comprising protected area staff,
scientists and NGO representatives, set four criteria to select the species targets, namely,
wide-range distribution, endangered status or ecosystem indicator, specialist availability andpublic interest.

3.2. Develop Habitat Suitability Maps for Selected Species
The WEFCOM Project employed ecological rapid assessment (REA) (Sayre et al., 2000)
to gather wildlife occurrences in the study area. Wildlife signs and visual sightings wererecorded by park rangers who had been trained in map reading, Global Positioning System(GPS) and identification of wildlife tracks and signs prior to actual survey. In addition, weapplied the logistic multiple regression model to generate the suitable habitats for selected
species (Trisurat 2003). The present and pseudo-absent data (chosen outside 1 km buffer frompresent locations) were treated as dependent variables in the habitat suitability model.
The independent variables included biophysical and human disturbance factors. The
biophysical factors were vegetation type, distance to river and stream, slope, elevation and290

Yongyut Trisurat and Anak Pattanavibool

aspect, while the human factors consisted of distance to ranger station and distance tovillages. The raster-based modeling in GIS ArcView 3.2 (ESRI, 1992) of 100 m resolution
was used to perform all spatial analysis functions. Seventy-five percent of wildlife
observations were used to develop the model and the remaining 25% were used to test themodel accuracy. According to Petdee (2000) and Prommakul (2003), sambar, banteng andgaur are primary prey for tiger, therefore the suitability maps of these ungulate species were
aggregated to derive a prey coverage as an additional layer for tiger habitat.
The logistic multiple regression model is written as:
Zi

Prob event =

e
1+ e

Zi

where Z i is the linear combination model of species i
The output maps produced from the predicted models were continuous probability values
ranking from 0.0 – 1.0. Later these probability values were categorized into 4 classes todetermine habitat suitability as follows:
Prob. Value 0.0 – 0.2
Prob. Value 0.2 – 0.4
Prob. Value 0.4 – 0.6
Prob. Value 0.6 – 1.0

=
=
=
=

UnlikelyLess Likely
LikelyMost Likely

3.3. Assess the Status of Species Targets’ Viability
We used the Five-S Framework developed by the Nature Conservancy (2000) to evaluate
the long-term viability of a focal conservation target’s occurrence in the WEFCOM
landscape. In fact, this framework provides three criteria for assessing the persistence of focal
species: size, condition and landscape context. For the size criterion, we used the extent ofsuitable habitats (likely and most likely) to support MVP or minimum dynamic area (MDA)
as a proxy indicator. In addition, we used habitat fragmentation (the percentage of native
vegetation surrounding the suitable habitats (2-km buffer) as a landscape context criterion.
Condition attributes of wildlife population (e.g. species composition, structure and biotic
interactions) were not taken into account due to limited population data.
The MVP size of each species was estimated according to the 50/500 rule, carrying
capacity and the recommendation of Thai wildlife experts. The MDA is simply derived bymultiplying the MVP and the home range of species. For instance, the home ranges of tiger in
the Thung Yai are between 50 and 200 km2 and its average coverage is 80 km2 (Prommakul,
2000) and the optimum MVP of tiger in the WEFCOM is 100 individuals. Therefore, theestimated MDA is 8,000 km2. Meanwhile, a simple grading scale (very good, good, fair orpoor) was used to assess the current and desired conditions in the next 10 years. Table 1
elaborates the context of each viability class.

Assessing Population Viability of Focal Species Targets…

291

Table 1. Criteria for assessing viability of species conservation targets in the WEFCOM
Ranking 1/
Very good: functioningat an ecologically desirable
status, and requires little
human intervention
Good: functioning
within its range ofacceptable variation; it may
require some humanintervention
Fair: lies outside its
range of acceptable variation
and requires humanintervention
Poor: restoration or
preventing extirpation
practically impossible

Ecological indicators
Size 2/The extent of likely or most
likely suitable habitats canaccommodate >80% of viable
population size.
The extent of likely or most
likely suitable habitats canaccommodate 60-80% of viable
population size.
The extent of likely or most
likely suitable habitats canaccommodate 40-60% of viable
population size.
The extent of likely or most
likely suitable habitats canaccommodate <40% of viable
population size.

Landscape context 2/
Highly connected, thesuitable habitats (patch > 2 km2)
are surrounded by intact naturalvegetation ( >60% of intact forest
within 2 km).
Moderately connected, thesuitable habitats (patch > 2 km2)
are surrounded by moderately
intact natural vegetation (> 4060% of intact forest within 2 km).
Moderately fragmented, thesuitable habitats (patch > 2 km2)
are surrounded by alteredvegetation (> 20-40% of intact
forest within 2 km).
Highly fragmented, thesuitable habitats (patch > 2 km2)
are entirely or almost entirely
surrounded by altered vegetationand human-induced land use (<20% of intact forest within 2 km).

Remarks: 1/ described by TNC (2000); 2/ defined by the planning team and wildlife experts

3.4. Delineate the Congregation Areas of Target Species
The current congregation areas were simply derived from combining the likely and most
likely suitable habitats of all target species. The output grid map shows the current location ofsuitable habitats of focal conservation target species. On the other hand, the extend of suitable
habitats for each species to desired level of population viability was obtained from expanding
the existing suitable habitat to meet the expected size based on the probability values as
defined in the previous step. Later, all desired suitability maps were aggregated as done forthe current status.

4. RESULTS AND DISCUSSION
4.1. Selected Target Wildlife Species
Five wildlife species were selected by wildlife scientists and a planning team as theconservation targets. These species were tiger, Asian elephant, gaur, banteng, and sambar
based on the selection criteria and appropriate observations to run a logistic model(Pattanavibool et al., 2003; Vanichbancha, 2001). The observations for elephant, sambar,
gaur, tiger, and banteng were 960, 700, 641, 224, and 131 points, respectively.

292

Yongyut Trisurat and Anak Pattanavibool

Tiger, elephant and banteng are classified as endangered species by IUCN (2000).
According to Lekakul and McNeely (1977), tigers are found in a very wide range of habitat
types; they only require sufficient prey species, water and shelter from the sun and occupy alarge home range (50-200 km2), the average size of which in Thung Yai is approximately 80
km2 (Prommakul, 2003). They also require good protection from tiger and prey poachingpressures (Karanth et al., 2004). In addition, Simcharoen et al. (2007) used photographic
capture-recapture sampling to estimate tiger density in the core area of Huai Kha Khaeng.
The sample area yielded a density estimate of 3.98 tigers per 100 km2. Elephant is a top
herbivore and found in a variety of forested areas. The home range sizes of elephant herds are
between 105 and 320 km2 (Sukumar, 1989). Similarly, banteng lives in loose herds of 2-20
individuals. Prayurasiddhi (1997) reported that the annual home range size was 44 km2 forbanteng herds in Huai Kha Khaeng. Gaur is classified as a vulnerable species by IUCN
(2000). Gaur live in herds of 3-40 individuals and the home ranges of gaur herds are between
29.9 and 52.1 km2 (Conry, 1989). Sambar still exist in many protected areas in Thailand andmake a significant contribution to the long-term integrity and conservation values of the
WEFCOM. It is a preferred prey species of several carnivores, including tiger.

4.2. Suitable Habitat Models
The results of logistic multiple regressions indicated that three physical factors and twoanthropogenic factors were significantly related to the distributions of elephant, sambar, gaur,
tiger, and banteng. The environmental factors were elevation, slope, distance to stream,
distance to village, and distance to ranger station. The logistic regression models and overall
accuracy at cut-off of 0.5 are shown below.
Z sambar =1.5191 – 0.0009Alt -0.0002Rst - 0.0136Slp –0.0003Str+0.0003Vil; overall accuracy 68.06%
Z banteng =-1.3795 - 0.0018Alt -0.0008Rst - 0.0939Slp –0.0005Str + 0.0020Vil; overall accuracy 91.97%
Z gaur

=-3.3434 - 0.0042Alt -0.0001Rst - 0.0946Slp –0.0002Str + 0.0003Vil; overall accuracy 83.13%
Z elephant =1.4603 - 0.0013Alt -0.0001Rst -0.1109Slp –0.0003Str +0.0002Vil; overall accuracy 83.32%
Z tiger=

1.1335 + 0.0024Alt -0.0003Rst - 0.1327Slp –0.0003Str + 0.0003Vil; overall accuracy 84.18%
where

Alt = altitude (m);Rst = distance to ranger station (m);Assessing Population Viability of Focal Species Targets…

293

Slp = slope (%); Str = distance to stream (m);Vil = distance to village (m).
The GIS habitat models indicated that most species prefer to inhabit low altitude, close toranger stations, low slope, close to streams and far from villages. These areas are safe fromillegal poaching and other human disturbances with near year-round water sources. The
overall accuracies for all species except sambar, were greater than 83%, being especially highfor banteng because its habitat is concentrated in small patches. For sambar, the model
indicates low accuracy because it uses various vegetation types. In addition, the pseudoabsent data may contain occurrence locations. Figure 2 shows the likelihood of habitat uses ofthe five focal species in the WEFCOM, while Table 2 presents the coverage of each suitableclass. The distributions of each species are detailed below.
Suitable habitats of sambar (likely and most likely) are found in deciduous forest andopen areas in the core area and in the southern part of the WEFCOM, covering approximately
8,032 km2 or 43% (Figure 2a). Sambar is unlikely to be present in densely populated areas
and the steep terrain mainly in the northern and western parts of WEFCOM. Banteng or wild
ox is now restricted to small and fragmented populations congregated along Huai Kha
Khaeng stream. Other possible patches are in Khao Laem and Salakpra (Figure 2b). The
suitable habitats cover less than 4% of the complex. The main threats to this species arepoaching, habitat destruction and human encroachment, and overgrazing by domestic cattle(Prayurasiddhi, 1997). Besides, the habitats of banteng have been degraded in recent years
due to the RFD and Department of national Park, Wildlife and Plant Conservation (DNP)
have implemented the policy of 100% forest fire prevention nationwide, especially inprotected areas. This misunderstood concept influenced vegetation community dynamics anddependent fauna. Parts of open deciduous forests and grassland which are favorable habitats
for ungulate species have been invaded by pioneer species such as Cratoxylum spp. andEupatorium odoratum.
Table 2. Predicted suitable habitats for selected wildlife species in the WEFCOM

Species
SambarBanteng
Gaur
Elephant
Tiger
1/

Unlikely
37.9
7,099
89.4
16,731
41.1
7,699
26.6
4,951
63.6
11,922

Extent of Suitability Class (%/km2)
Less
Most
LikelyLikely Likely
19.2
14.6
28.3
3,596
2,736
5,296
7.3
2.6
0.7
1,362
492
140
17.1
12.8
29.0
3,211
2,390
5,427
21.7
18.3
33.6
4,058
3,425
6,292
16.7
9.3
10.4
3,126
1,736
1,944

= Likely suitability + most likely suitability.

Suitable
habitat 1/
42.9
8,032
3.4
632
41.7
7,817
51.9
9,717
19.7
3,680

Figure 2. Current suitable habitats of selected species in the WEFCOM based on probability values.

Figure 3. Comparison of congregation areas of suitable habitats for all species in current condition and desired condition.

Table 3. Assessing population viability in WEFCOM

1SpeciestargetSambarCategorySize

Landscapecontext

2

BantengSizeKey
attribute
Minimum
dynamic area tosupport viable
population(MVP = 3,000;
HR4/ = 1.7-4.0
km2 (Sankar1994);
MDA =7,500 km2)
Habitatfragmentation

Minimum
dynamic area tosupport viable
population(MVP = 500;
HR4/ = 44km2//herd(Prayurasiddhi,
1997);MDA =4,400 km2)

Indicator

Poor

Viability Assessment 1/
Fair
Good

2/

good
The
extent oflikely or most
likely suitable
habitats in
km2<3,000% intact
forestsurrounding 2km buffer ofsuitable
habitats
The
extent oflikely or most
likely suitable
habitats in
km2

<20%

<1,7003,0004,500

4,5006,000

20-

40-

40%

60%

1,7002,600

2,6003,500

Current
RatingVery
6,0007,500

DesiredRating
3/

Very
good

Very
good

Very

NA 5/

Poor

Fair

> 60%
good

3,5004,400

Table 3 – Continued
Viability Assessment 1/

Curr
ent

SpecieCategorysKeyattribute

Indicator

Poor

Fair

Good

Desi
red

Very
good

ng 2/
Very
good

Rati

Rati
ng 3/

target3

Gaur

Landscape context

Habitatfragmentation

Size

Minimum
dynamic area
to support
viablepopulation(MVP = 2,000;
HR4/ = 29.9 –52.1 km2/herd(Conry, 1989);
MDA =13,300 km2)
Habitatfragmentation

Landscape context% intact
forestsurrounding 2km buffer ofsuitable
habitats
The extent
of likely or
most likely
suitable
habitats in km2% intact
forestsurrounding 2km buffer ofsuitable
habitats

<20%

2040%

4060%

>
60%

<5,32

5,320
-7,9807,98010,640

10,64
0-13,300

2040%

4060%

>
60%

0

<20%

NA

Fair

Goo
d

Goo
d

NA

Table 3 – Continued
Viability Assessment 1/

Curr
ent

SpecieCategorystargetElepha

4

Size

nt

Landscape context

Keyattribute
Minimum
dynamic area
to support
viablepopulation(MVP = 500;
HR4/ = 105320 km2/herd(Sukumar,1989);MDA =20,000 km2)
Habitatfragmentation

Indicator

The extent
of likely or
most likely
suitable
habitats in km2% intact
forestsurrounding 2km buffer ofsuitable
habitats

Poor

<8,00
0

<20%

Fair

Good

Very
good

8,000
-12,000

12,000-16,000

16,00
0-20,000

2040%

4060%

>
60%

Desi
red
Rati

Rati
ng 2/

ng 3/
Fair

Goo
d

Very
good

NA

Table 3 – Continued
Viability Assessment 1/

Curr
ent

SpecieCategorys
5targetTiger

Size

Landscape context

Keyattribute
Minimum
dynamic area
to support
viablepopulation(MVP = 100;
HR4/ = 50-200
km2(Prommakul,
2003);
MDA =8,000 km2)
Habitatfragmentation

Indicator

The extent
of likely or
most likely
suitable
habitats in km2% intact
forestsurrounding 2km buffer ofsuitable
habitats

Poor

<3,20
0

<20%

Fair

Good

Very
good

3,200
-4,8004,8006,400

6,400-8,000

2040%

4060%

>
60%

Desi
red
Rati

Rati
ng 2/

ng 3/
Fair

Goo
d

Goo

NA

d

1/ Viability assessment is based on measurable size and landscape context criteria; 2/ at present time; 3/ in the next 10 years; 4/ home range; 5/ Not applicable.

300

Assessing Population Viability of Focal Species Targets…

Figure 2c reveals that the distribution of gaur is more limited than that of elephant(Figure 2d) because it is more sensitive to human pressure. The suitable habitats cover
approximately 42% of the WEFCOM area and it is most likely found in the core area. On theother hand, the chance to observe gaur in other protected areas is minimal. In fact, elephantcan be found in a variety of habitats (Sukumar, 1989) but the GIS habitat suitability map
shows that the current suitable habitats are basically situated in the core area of WEFCOM
and areas along the Myanmar border (Figure 2d), covering approximately 9,717 km2. Areas in
the west, east, north and parts of southern landscapes are not suitable for elephant because
there are a lot of human settlements and they are easy accessible. Figure 2e shows that themost suitable habitats for tiger can be found in Huai Kha Khaeng followed by Thung Yai East
and Thung Yai West. The total suitable areas cover approximately 20% of the WEFCOM.
The results are consistent with the studies of Prommakul (2003) and Simcharoen et al. (2007)
which revealed that the home range of tigers in Huai Khai Khaeng is smaller than in Thung
Yai due to higher abundance of prey species.

4.3. Current and Desired Conditions of Population Viability
The existing suitable habitats of sambar encompass approximately 8,000 km2, thus they
have potential to hold more than 3,000 individuals. On the other hand, the suitable habitat ofbanteng is minimal and ranked as poor condition (Table 3). It can accommodate less than
40% of a viable population size (500 individuals). However, the largest suitable habitat patch
is located in the core area of Huai Kha Khaeng and surrounded by dry diptercarp forest andwell protected by park rangers. Even though the actual population size of gaur is not known,
the existing suitable habitats (7,800 km2) are assumed to accommodate approximately 1,0001,200 individuals (40-60% of viable population). In addition, the adjacent area within a 2 km
buffer is highly intact. Thus, the size criterion is classified as fairly viable, while landscapecontext is in good condition.
The existing suitable habitat of elephant covers about 9,700 km2 and could holdapproximately 240-250 individuals. The size criterion is ranked as fair. However, thelandscape matrix is highly connected and has very high potential to facilitate elephantmovement in the WEFCOM landscape. The suitable habitats of tiger encompass approximate
3,700 km2. Based on the average home range size reported by Prommakul (2003), the current
suitable habitats are likely to accommodate approximately 40-50 tigers, thus, they are in fairviability status but the landscape context outside occurrence patches is moderately intact withnatural vegetation.
The project aims to upgrade the viabilities of all species (except sambar) to the next levelin the next 10 years. In order to achieve this target, park rangers and multi-stakeholders haveto increase the amount of suitable habitats for banteng, gaur, elephant and tiger to an area
between 1,700-2,600 km2, 7,980-10,640 km2, 16,000-20,000 km2, and 6,400-8,000 km2,
respectively (Table 3).

Assessing Population Viability of Focal Species Targets…

301

4.4. Location of Congregation Areas of Population Viability
We overlaid the current suitable habitats of all five species using GIS method to derive
current congregation areas, and the desired suitable habitats to derive desired condition to
support viable populations. The results showed that the total area of current congregation
habitats cover approximately 12,630 km2 or 67% of the WEFCOM (Figure 3a).
Concentrations of five focal species are clustered in three places. The largest patch is locatedin Huai Kha Khaeng and adjoining Thung Yai Naresuan. On the ground, the survey teams
observed that there are a number of migratory routes of the landscape species e.g. tiger,
elephant, gaur found in these areas. The second dominant area is located in the western part of
WEFCOM extending along the Myanmar border. The smallest patch can be found in thenorth.
Meanwhile, the desired congregation habitats cover nearly 16,750 km2 or 89% (Figure3b). Basically, these areas cover the whole of Huai Kha Khaeng, 80% of Thung Yai East andWest and extend to the Myanmar border. In the north, the size of small and fragmented
patches increases significantly. The desired areas could hold more wildlife population, in
addition to connect fragmented and patchy suitable habitats. However, areas along thewestern boundary and in the south close to villages are still not feasible to support viable
populations.

CONCLUSION
The WEFCOM project aims to maintain the health of the ecological systems by using
species conservation targets. Five species were selected, namely sambar deer, banteng, gaur,elephant and tiger. Their habitat suitability areas were determined using logistic multiple
regression method. The results of GIS habitat models indicated that most species prefer toinhabit low altitude, close to ranger station, low slope, close to stream and far from village
locations. The suitable habitats (likely and most likely) of sambar deer, banteng, gaur,elephant and tiger covered approximately, 43%, 3%, 42%, 52% and 20% of the WEFCOM
landscape, respectively.
The MVP of sambar, banteng, gaur, elephant and tiger in the WEFCOM defined by theplanning team and wildlife experts were 3,000, 500, 2,000, 500 and 100 individuals,
respectively. We used the MDA or suitable habitats to accommodate MVP population andhabitat fragmentation surrounding the suitable to assess the viability of target species. We
compared the MDA and predicted suitable habitat derived from the GIS habitat modeling andfound that the viability of sambar is in very good condition, while the viability status of gaur,elephant and tiger is in fair condition. More importantly, the current viability status forbanteng is extremely poor. However, landscape matrices outside the suitable habitats are ingood or very good condition for all species. The planning team of WEFCOM would like toupgrade the level of viabilities of these species to next level in the next 10 years. In order toachieve these targets, park rangers and multi-stakeholders have to increase the congregation
habitats from 12,630 km2 or 67% of the WEFCOM to 16,750 km2 or 89%. By doing this, thefragmented suitable patches would become more aggregated.

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Yongyut Trisurat and Anak Pattanavibool

The results of GIS modeling may include omission errors (false negative) andcommission errors (false positive) derived from pseudo absence data and the grid-based
habitat suitability models. In addition, the predicted MDA may overestimate the actual
species extent. Nevertheless, the results of this initiative are of value and the approach canbecome effective tool to implement ecosystem approach when demographic data is limited todo perform traditional population viability analysis.

ACKNOWLEDGMENTS
We would like to thank the Danish Government for funding the Western Forest Complex
for Ecosystem Management (WEFCOM) Project. In addition, we are grateful to theSuperintendents and the staff of the WEFCOM Project for providing information and The
Nature Conservancy (TNC) for training on the Five-S Framework. Adrian Hillman is
acknowledged for his contribution to edit the manuscript.

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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

PROTECTION OF RIPARIAN LANDSCAPES IN ISRAEL
Tseira Maruani and Irit Amit-Cohen
Department of Geography and Environment,
Bar-Ilan University, Ramat-Gan, Isral

ABSTRACT
Riparian landscapes are natural habitats of unique ecological and scenic values,
which are highly sensitive to human intervention and impact. Yet, due to their qualities,
and especially the presence of water, they are also usually attractive for recreation
purposes. This is more so in arid and semi-arid zones like Israel. Nevertheless, in thepast, the importance of riparian landscapes in Israel did not receive adequate attention inpolicy and planning. As a result, over the years they were exposed to various negative
impacts, including pollution by industrial and agricultural effluents, exploitation of water
for agricultural and other purposes, and land use conflicts. Although in recent years withthe growing awareness of their ecological and recreational potential, considerable efforts
are being invested in the rehabilitation of deteriorated riparian landscapes, theirprotection is still deficient.
This chapter reviews and examines policy tools used for the protection of riparianlandscapes in Israel, based mainly on regulations, reports and existing literature. It
concludes by offering some lessons for policy-making in general and suggestions for
improving the protection of riparian landscapes in Israel in particular.

Keywords: environmental policy, river corridors, conservation, open spaces.

INTRODUCTION
Riparian landscapes are natural habitats of unique ecological and scenic values, which arehighly sensitive to human intervention and impact (Goren, 2000). Yet, due to their qualities,
and especially the presence of water, they are also usually attractive for development as well
as for recreation purposes. This is more so in arid and semi-arid zones like Israel (Burmil,
1999; Patten, 1998). Nevertheless, in the past, the values of riparian landscapes in Israel did
not receive adequate attention in policy and physical planning. As a result, they were exposedover the years to various negative impacts, including pollution by industrial and agricultural
effluents and household sewage, exploitation of water for agricultural and other purposes,
political disputes and land use conflicts (Amir-Shapira and Feldman, 1999; Gabbay, 1998). In

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Tseira Maruani and Irit Amit-Cohen

recent years, mainly since the year 2000, with the growing awareness of their ecological andrecreational potential, considerable efforts are being invested in the rehabilitation ofdeteriorated riparian landscapes. Nonetheless, according to a recent report most of the rivers
in Israel and their surroundings still suffer from pollution and other negative impacts (AmirShapira, 2007).
This chapter reviews the protection of riparian landscapes in Israel. It presents the policy
tools used for protection of riparian landscapes up to the year 2000, examines their effectivity
and reveals embedded deficiencies. The methodology is based on the review and content
analysis of various sources, mainly laws, reports and literature. The first part of the chapter
introduces the importance of riparian landscapes in general, covering among others
ecological, environmental and scenic aspects. It than presents the subject of riparianlandscapes in Israel and the factors that affected policy and priorities concerning the use ofwater in general and protection of riparian landscapes in particular. The second part reviewsand examines protection tools, focusing on legislation, institutional structure and physicalplanning. The third and last part of the chapter discusses the deficiencies and weaknesses thatwere revealed and proposes improvements to the existing state.

THE IMPORTANCE OF RIPARIAN LANDSCAPES
According to Naiman and Décamps (1997) a riparian zone encompasses the stream
channel and that adjacent portion of the terrestrial landscape from the high water mark toward
the uplands, where vegetation might be influenced by elevated water tables or flooding. The
width of a riparian zone and the diversity of its functional attributes are related to the size ofthe stream, its position within the drainage network, the hydrologic regime and the local
geomorphology (Gregory et al., 1991; Naiman and Décamps, 1997). In other words, ariparian zone may be regarded as a linear physical landscape entity composed of aquatic andterrestrial components and the interface between them. Riparian landscapes are uniqueecosystems, highly important ecologically and environmentally, and they constitute a visuallyand functionally outstanding component of the open space system. They form complex
habitats, richer than the average with species of plants, animals and microorganisms, thus
contributing to overall biodiversity (Gregory et al., 1991; Naiman et al., 1993). These habitats
and the richness of species they sustain are especially sensitive to various impacts andinterferences, including seasonal or other changes in water physical qualities (liketemperature, salinity or electric mobility) or quantities (Allan, 2004; Goren, 2000; Karr, 1994;
Naiman and Décamps, 1997; Pollock et al., 1998; Shandas, 2007; Stauffer and Best, 1980).
They are considered the most diverse, dynamic and complex habitats (Goren, 2000; Gregory
et al., 1991; Naiman and Décamps, 1997).
Riparian ecosystems perform a variety of environmental and ecological services (Allan,
2004; Brauman et al., 2007; Hale and Adams, 2007; Naiman and Décamps, 1997; Patten,
1998). Many of these are considered life-supporting systems (De Groot, 1992; Naveh, 1997),
although they are difficult to evaluate in economic terms (Chavas, 2000; Constanza, 2000).
Due to their linear nature, riparian landscapes are natural ecological corridors, allowing
connectivity between habitats and patches in the landscape (Beier and Noss, 1998; Bentrup
and Kellerman, 2004; Jongman, 1995; Machtans et al., 1996; Naiman et al., 1993; Ndubisi etProtection of Riparian Landscapes in Israel

307al., 1995; Shkedi and Sadot, 2000; Taylor et al., 1995; Walmsley, 2006; Weber et al., 2006).
This is especially important in populated areas, where riparian landscapes may be the lastremnants of an open natural space within a built-up area. Another function that is especially
important in populated areas is their potential as catchement basins for floods, thus avoiding
damage to property and lives (Brody et al., 2007; McHarg, 1969; State Comptroller, 1993).
They are also attractive for recreation and leisure activities, and due to their linear form arenatural candidates for greenway planning, combining opportunities for recreation withconservation of nature, landscape and heritage values (Ahern, 1995; Baschak and Brown,
1995; Bryant, 2006; Fábos, 2004, 1995; Jim and Chen, 2003; Lewis, 1964; Li et al., 2005;
Little, 1990). Open lands along rivers and streams are also often used for agriculture, becauseof their fertility, due to embedded sediments, and relatively level plains (Bentrup and
Kellerman, 2004; Karr, 1994).
Riparian landscapes are extremely vulnerable to human impact. Surface water from allover the drainage basin might carry with it soil particles and various pollutants, including
pesticides, fertilizers and agricultural wastes into the stream. Their potential for conservation,
recreation or agriculture is diminished by conflicts and liabilities from various sources.
Pollution by industrial and agricultural effluents and overflow of sewage from treatment plans
harms the landscape, disqualifies water for irrigation, prevents recreational water-related
activities (e.g. swimming and boating) and repels potential users in general. Exploiting riverwater for irrigation decreases the availability of water for natural system functions. Thoughriparian landscapes are attractive for development and recreation, they may be contradictory
to certain types of agricultural uses. Moreover, floods may cause damage to agriculture andother uses within the flooded area.
Nevertheless, the presence of water is a potentially dominant factor that attracts
development. Unfortunately, often the resulting development ends up with the construction ofbuildings and infrastructure too close to the water line, thus interfering with the ecological
functions of the riparian system.
Considering their uniqueness and attractiveness on the one hand and their vulnerability tovarious impacts on the other, riparian landscapes are in need of effective protection frominappropriate uses. In Israel, a hot and dry land, such landscapes are especially important. The
next section describes the factors that affect rivers and riparian landscapes in Israel.

THE RIVERS IN ISRAEL
The priorities concerning water and riparian landscapes in Israel stem from physicalconditions – mainly geomorphology and climate – combined with ideological andgeopolitical factors.
Israel is situated on the eastern side of the Mediterranean basin, with geomorphology andclimate changing both along the north-south axis and the east-west one. The north and centerof the country lie within the Mediterranean climate zone, characterized by a short rainy winterand a long, hot and dry summer while the south of the country is more desert-like. The
mountainous northern areas are the rainiest with an average of 800-1000 millimeters per year,
decreasing in the central zone the a yearly average of 500-600 millimeters. Eastward andsouthward the average decreases to 100 millimeters and less. These quantities may fluctuate

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Tseira Maruani and Irit Amit-Cohenfrom year to year, and, in addition, there is high occurrence of droughts. All these factors add
up to a continual condition of water shortage (Menahem, 1999).
The area of the State of Israel is intersected longitudinally by a series of mountain ranges
that divide it into an eastern basin, where rivers flow towards the Jordan River, the Sea ofGalilee and the Dead Sea, along the natural eastern borders, and a western basin, where rivers
flow into the Mediterranean Sea. The western basin’s climate is milder and relatively rainy,
while the eastern basin’s is hot and dry. Due to the limited rain quantities, many river sections
are in fact seasonal streams, flowing during winter and spring, and drying out in the summer
until the next rainy season. In the dry south, the streams are characterized by short strong
flows following rain events, which dry out quickly. Only a few rivers that are fed by yearround springs have water flowing in all seasons.
Seasonal streams are exceptionally sensitive because of the fluctuations in water
availability for habitat performance in addition to the fact that some of them do not enjoy astrong flow even in the rainy season. These characteristics affect their public conceptual
image as landscapes fit for conservation or suitable for recreation purposes. River sections
that run through areas declared as nature reserves or national parks are protected, along withthe whole area, under the National Parks and Nature Reserves Law of 1963. However, a riveror stream crossing an area that is not characterized by special scenic or nature values wereusually not grasped as deserving protection. Consequently, they are under pressures fordevelopment, especially in areas of level topography, such as the inner and the coastal plains.
The most important rivers, considering water discharge amounts and landscape impact
are in Israel’s western basin, crossing the coastal plain where the majority of the population(about 80%) is concentrated. These also have the highest potential for recreation. However,their proximity to densely settled areas has resulted in their deterioration due to various
negative impacts, such as: trapping riparian waters for agricultural use and other purposes,
pollution by agricultural and industrial effluents, overflow of sewage from treatment
facilities, construction or agricultural cultivation close to the water line, neglect and garbage
disposal (Amir-Shapira and Feldman, 1999).
In addition to this, because of the scarcity of water resources and frequent droughts, thenational water policy focused on keeping control over all water sources and prioritizing theuse of water for agriculture and other uses. For example, since the mid 1950s, most of thewater from the Yarkon springs was captured and transported to agricultural fields in the
Negev (the southern region of the land) through the Yarkon-Negev pipeline; as a result, theYarkon River, the main river in the core, densely-populated area of Israel - once a wide deep
stream that the British soldiers had to cross by boats when conquering the land from theTurks in the year 1917 – deteriorated into a narrow and shallow stream, where most of theflow consisted of industrial effluents and initially-treated sewage. The negative impacts on
riparian landscapes call for examination of existing protection and management tools andtheir effectivity.

PROTECTION OF RIPARIAN LANDSCAPES IN ISRAELI LEGISLATION
The protection of landscapes by legislation is a universally accepted model for theconservation of outstanding scenic or natural values (Maruani and Amit-Cohen, 2007).

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Legislation is a source of authority and constitutes a strongly effective policy tool. Yet thistool has its drawbacks, among them low flexibility, requiring a long, complicatedbureaucratic process whenever a change in legislation is desired. This is also a source of
conflict between conservationists and developers and landowners. On the other hand,protection based on a statutory declaration is stronger than any other protection tool, andprovides the relevant authorities with enforcement measures.
In Israel, legislation concerning water resources, including rivers, is complex, involving a
multitude of laws and regulations as well as a multitude of authorities and organizations thatare meant to enforce them (Kaplan, 2004). This section presents three laws that are the most
relevant to the protection of riparian landscapes, as follows: the Water Law, the Drainage
Law and the Rivers Authorities Law.

The Water Law
The Water Law, enacted in 1959, should be understood in the context of the generalscarcity of water resources in Israel, the relative average low rainfall and the frequent
droughts, on the one hand, and the centralistic governance style and intensive involvement of
the State, on the other (Menahem, 1999). The main objectives of the law were to secure theState’s sovereignty over all water sources and ensure their utilization for the benefit of Israeli
society. The law determines that “… the water sources in the State are owned by the public,
controlled by the State and designated for its population and development needs. The water
sources for that matter are the springs, the streams, the rivers…” etc. (Water Law, sec.1-2).
The law regulates the management of water sources, including allocation for users andpreservation of water quality. For these purposes, the law created several institutions, among
them a National Water Board, headed by the Water Commissioner. The law gave priority to
the agricultural sector, which at the time was regarded not only as a leading sector in thenational economy but also as the ideological and political elite of Israeli society (Menahem,
1999; Schiffman, 1999). This was reflected in various attributes of the law, among them its
subordination to the Minister of Agriculture, including the power to appoint the Water
Commissioner, who was to lead the design and implementation of water policy in Israel.
Thus, it is no wonder that the first seven elected commissioners were from the agricultural
sector, as were also most of the National Water Board members (Menahem, 1999). Only forty
years later, in the 1990s, following ideological, political and social change processes in Israeli
society, including the decrease in the economic and ideological importance of agriculture andthe acceleration of development (Maruani, 2005; Schiffman, 1999), the Water Law wastransferred to the authority of the Minister of National Infrastructures and some of its powers
were split among several other institutional structures. Laster (2004) claims that this split inauthorities is the reason for the decrease in water quality, in contrast to Western Europe wherea centralistic approach was adopted.
The Water Commissioner, among others, used his powers collect water from springs andrivers, and allocate it to consumers, thus reducing the natural flow, ignoring the ecologicalconsequences, which, in turn, also had a negative impact on the attractiveness and availabilityof the surrounding area for recreation (Laster, 1995).
The only reference in the Water Law to the protection of land near water sources is theavailable option to define buffer strips for purposes such as “…protection of water, of water

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Tseira Maruani and Irit Amit-Cohensource …”, that are wide “… no more than is necessary for the purpose of the buffer strip…”(sec.14-15). No references are made to purposes involved in the protection of landscape orother values embedded in the terrestrial area outside the water itself.
The Water Law reflects a utilitarian approach towards water resources, and almost
completely ignores other values. Some years ago the law was amended, and to the list of uses
for water allocation was added the “…protection and rehabilitation of nature and landscapevalues, including springs, rivers and wetland habitats” (sec.6). However, there is no otherreference to such a goal anywhere else in the law, and its implementation is totally dependent
on the awareness and the good will on the part of the decision makers. It should also be notedthat the interests of the Head of the Water Authority (who replaced the original Water
Commissioner, following an amendment in 2006) and the Ministry of National Infrastructures
do not coincide with the interests of landscape conservation. This was even truer in the past,when the main interest of the Water Commissioner and the Ministry of Agriculture was the
supply of water to the agricultural sector.

The Drainage Law
The Drainage Law (or in its full name: the Drainage and Flood Protection Law) was
legislated in 1957, after floods in the mid 1950s covered vast areas, mainly agricultural fields,
causing severe economic damage. The objective of the law was to prevent the recurrence offloods by forming suitable institutions to manage drainage. This law, too, was subordinated to
the Minister of Agriculture – and still is - since agricultural lands were conceived as being
most threatened by potential floods. The priority given to agriculture is expressed in the firstsection of the law, which defines “drainage” as “…any operation intended to concentrate, tostore, to carry or to remove surface or any other water which harm or may harm agriculture,public health…” etc.
The Drainage Law states that the “…Minister of Agriculture may… establish a drainage
authority…” (Drainage Law, sec.11), but the establishment of such an authority is not
obligatory. The law also specifies the duties and powers of such an authority, including
regulating drainage and initiating drainage projects within its jurisdiction. The roles of adrainage authority as they are specified and defined in the law do not refer to the protection of
the relevant riparian landscapes in any other way. In addition to drainage authorities, the law
determines the establishment of a National Drainage Board to advise the Minister on mattersof drainage, such as the declaration of drainage zones or the approval of drainage projects(sec.2). This is an obligatory body, complementing the relevant institutional structure forregulating drainage and preventing floods.
The Drainage Law defines some relevant terms for its purposes including “channel” and“buffer strip.” A Channel is defined as “…river, stream… and any other water route… wherewater is flowing or standing always or occasionally.” A buffer strip is defined as “strips ofland along both sides of a channel (sec.1). The law prohibits agricultural cultivation orconstruction within a buffer strip. However, according to the law, the overall width of buffer
strips on both sides should not exceed half the channel’s width, and no more than 5 meters
each (sec.5-6). It is needless to say that the potential protection of the riparian habitat is very
limited given such conditions.

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The Drainage Law, like the Water Law, expresses the priority given to agriculture. Most
drainage projects during the 1960s and 1970s were intended to solve drainage problems inagricultural and open areas, although in populated areas potential damage from floods toproperty and persons is much higher. Moreover, since the legislation of the Drainage Law in1957, the scope of development for residential, occupational and infrastructure uses increased
greatly, much of it was at the expense of open and agricultural lands where rains could havepreviously penetrated the soil. As a result, the amounts and intensity of surface flow towards
rivers increased considerably, and with them the risk of floods. In spite of that, the Drainage
Law was not updated to include instructions regarding measures for the control of drainage innew development plans. This neglect resulted in recurrent flood events in various areas,causing millions dollars worth of damage (Laster, 2004; State Comptroller, 1993, 1999b).

The Rivers Authorities Law
The Rivers Authorities Law (RA Law: the full name being “Rivers and Springs
Authorities Law”) from 1965 complements the Water Law and the Drainage Law by referring
not only to the protection of the water but also to the land adjacent to it, thus expressing thevalues of riparian landscapes for the first time in Israeli legislation. This expression is also
reflected in the ministerial subordination; when legislated, the RA Law was subordinated toboth the Ministry of Interior and the Ministry of Agriculture; however, it was transferred to
the Ministry of Environment after it was created in 1989.
The RA Law states that the “…Minister may… establish an authority for a certain riveror part of it… or impose on a drainage authority powers of a river authority…” (RA Law,
sec.2). That is to say, a river authority – like a drainage authority – is not obligatory. Amongthe duties of a river authority, the law counts “protection of the landscape and nature values
along the river on both sides…” but also regulation of the river’s water flow and drainage
within its jurisdiction (sec.3). This means that there is an overlap between the duties of a
Drainage Authority and that of a River Authority, albeit they are related to different
ministries. Laster (2004) claims that the law was intended to manage the rivers on awatershed approach basis, but actually it did not enable that, since it demanded subordination
to the Water Law and the Water Commissioner. Moreover, the jurisdiction of a River
Authority does not necessarily cover a whole watershed. For example, the jurisdiction of the
Yarkon River Authority was limited to 20 meters on each side of the river.
The RA Law was implemented for the first time in the year 1988 – 23 years after its
legislation – with the establishment of the Yarkon River Authority. It took six more years toestablish the Kishon River Authority, in 1994, which was the second, and, up–to-now thelatest authority based on this law. Laster (2004) comments that the reason it took so long to
implement the law was the original subordination to two ministers. Another criticism of thelaw relates to the absence of a national body, something like the National Drainage Board. In
other words, the RA Law represents a particularistic approach, referring to each river
separately and lacking a broad vision on a national scale.

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INSTITUTIONAL STRUCTURE
While legislation is a source of regulative powers, there is a need for institutions to use
these powers and enforce the regulations. In Israel, there are several institutions that have to
do with management and protection of riparian landscapes, the most important of them being
the Drainage Authorities, the River Authorities and the Rivers Administration. They differ by
their status, composition, main objectives, powers and budgeting.

Drainage Authorities
Drainage Authorities (DAs) may be established by the Minister of Agriculture, as alreadymentioned, subject to the consent of the Minister of Interior and the relevant local
municipalities, which are also represented in its composition. The DA is responsible formanaging drainage zones within its jurisdiction, including initiating, developing andmaintaining drainage projects. The powers of a DA may contribute greatly to the protectionof the relevant riparian landscapes, since managing drainage requires, among other things,
restrictions on development along the water route.
Following the legislation of the Drainage Law, the Minister of Agriculture issued an
ordinance in 1960 establishing 26 DAs. The ordinance specified the jurisdiction allocated foreach DA, generally consisting of low-elevated plains, mainly agricultural lands (State
Comptroller, 1993). Laster (1995, 2004) comments that the large number of DAs was due topolitical pressures rather than hydrological needs. Most of them actually operated as organs of
the relevant Regional Councils - which are the local municipalities in the rural zones – andwere dominated by representatives of the agricultural sector, thus reinforcing its control overwater sources.
The recurrence of severe flood events implies the existence of shortcomings anddeficiencies in the Drainage Law’s implementation in general and in DAs’ operation inparticular. Especially memorable are the floods of winter 1991-2, when river overflows
flooded large areas all around Israel, disrupting the course of everyday life: people had to be
temporarily evacuated from their homes, roads became impassable, large agricultural areas
were under water and there were even some fatal casualties. The overall direct and indirect
damage to households, businesses, public property and agriculture amounted to tens of
millions of dollars. Following those events, the State Comptroller (1993) issued a report thatpointed out various faults in the DAs’ functioning, stating among others that the drainage
infrastructure had been neglected over the years and the sums required for proper planning,
regulating and maintenance of many rivers were not allocated and invested as should havebeen done.
In 1996, after studying the State Comptroller’s report, the Minister of Agriculture issued
an ordinance reorganizing the DA system. Their number was decreased from 26 to 11, eachcovering a jurisdiction overlapping a natural drainage basin, and together covering the wholecountry. Each DA is directed independently of the Regional Council system, intended toapply a whole watershed approach rather than serve local interests (Laster, 2004). Although
since this reorganization floods have reccurred, it seems that - especially since 2000 - DAs aretaking more active measures to prevent flooding, revealing a more environmentally-oriented

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approach, including the conservation of landscape and ecological values in the riparian zones,in collaboration with other institutions and organizations, such as the Ministry ofEnvironment, the Nature and Parks Authority and the Society for the Protection of Nature(Carmel Drainage Authority 2004).

Rivers Authorities
A River Authority (RA), with powers to limit and control development along the river, isa potentially effective tool in the protection of riparian landscapes. However, this potential
cannot be fully realized, partly due to constraints imposed by the RA Law, such as the limited
size of the area under the RA’s jurisdiction. The RA’s effectivity is also limited by its
obligation to comply with the Water Authority (RA Law, sec.4), even in cases when theirinterests are contradictory. An RA’s composition is more complex than a DA’s, including
several government officials. Thus, conflicts between government officials and local
municipalities’ representatives may also hamper the RA’s functioning. Another potential
source of conflict is the existence of a DA in the same jurisdiction since the duties andresponsibilities according to the Drainage Law and the RA Law partly overlap.
The RA Law states that an RA is appointed to manage a particular river and is supposedto operate independently, following its management’s objectives and policies. However, thereis lack of a master organization on a national scale to design and lead a comprehensive policy
towards the protection of riparian zones. With the absence of national policy, the influence of
local interests increases, thus allowing development and infrastructure on or adjacent toriverbanks that should have been preserved.
Nevertheless, an RA is still the only institutional structure that is essentially specified forriparian nature and landscape protection in Israel. This may be exemplified by the Yarkon
River Authority (YRA), which since its establishment in 1988 has initiated a master plan for
the Yarkon River, seeking, among other goals, to restore the riparian ecosystem andcontribute to environmental quality, aesthetic values and climate amelioration (Rachmimov1996). The YRA develops bicycle trails and areas for recreation along the river and iscurrently monitoring water quality etc. The YRA was, in fact, a pioneer and a model in riverrestoration in Israel. Regretfully, however, only one more RA was established till now: theKishon River Authority (in 1994). Both the Yarkon and the Kishon are large rivers, passing
through densely populated areas - the Yarkon in the Tel Aviv metropolis, in the center of theState, and the Kishon in the northern Haifa metropolis - that were in a severely deteriorated
state due to pollution from multiple sources, water trapping, etc. However, several other large
rivers in a similar condition could have profited from a similar specified institutional structure
to manage and restore them.

The Rivers Administration
The Rivers Administration (RAD) was established in 1993 as a mutual initiative of the
Ministry of Environment and the Jewish National Fund (JNF), the latter being a historical
non-governmental organization that is currently intensively involved in forestry and outdoor
recreation. Other institutions and organizations that take part in the RAD are the Nature and314

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Parks Authority, the Ministry of Interior, the Ministry of Agriculture, the Water Authority,
the Israel Government Tourist Corporation and the Society for the Protection of Nature which
is a non-governmental organization (Amir-Shapira and Feldman, 1999; Gabbay 1998). The
declared goals of RAD include: conservation of high-quality open spaces along river
channels, controlled development of recreation and tourism foci within riparian zones andrehabilitation of rivers to a state enabling sustainability of unique habitats and landscapevalues (Amir-Shapira and Feldman, 1999). RAD initiates and promotes plans for the
restoration of rivers, issues guidelines for existing and future River Authorities, supports theestablishment of local river administrations and is actually involved in many restoration
projects that are in progress, especially since 2000. For instance, the RAD takes part in thesteering committee of the successful restoration project for the Alexander River – a large
coastal river in the Sharon region, and one of the first to enter a restoration program alongwith the Yarkon River. This is done in collaboration with many other bodies, including theAlexander Drainage Authority, the Emek Hefer Regional Council, the Emek Hefer Streams
Society, the Water Authority, the JNF, the Israel Government Tourist Corporation, the Nature
Conservation Research Institute, the Ministry of Environment, the Hadera Environmental
Association, the Nature and Parks Authority, the Society for the Protection of Nature, theDistrict Planning Commission, the Ministry of Interior and the Israel Lands Administration(Cohen-Shoel 2003). It is clear that when so many organizations are involved, conflicts andclashes of interest are unavoidable and may hamper conservation efforts. For example, theIsrael Lands Administration is supposed to manage all public lands, which in Israel amount to
93% of the area of the State. However, since the 1990s, it actually acts as the State’s maindeveloper, initiating large intensive development plans wherever possible, driven by
economic interests (Maruani, 2005). Such a development-oriented organization is bound to
confront conservation-oriented bodies like the Nature and Parks Authority and the Society forProtection of Nature. The RAD, which is guided by a statewide vision regarding rivers andriparian landscapes, can bridge such controversies and promote restoration and conservation
efforts.
Nevertheless, the protection offered by the RAD is limited since this is not a statutory
body, and consequently lacks regulative and enforcement powers. Whenever action against
polluters or other offenders of the riparian landscape is needed, it is the Ministry ofEnvironment that is supposed to interfere and take steps towards enforcement. Also, due tolack of obligatory organizational procedures, RAD’s operations are spatially and temporally
not consistent in essence, scope and timing. Therefore, in many cases, riparian landscapes in
Israel are still subject to the arbitrariness of local authorities, and are not consistently regarded
as worthy of protection. In addition, the RAD’s potential effectiveness is reduced by budget
limitations, since budget allocated for riparian management is divided among too manyorganizations, including DAs and RAs (Laster, 2004).
The lack of a statutory basis is a source of instability for the RAD, since it may bedismantled by a ministerial decision as quickly as it was established. Nonetheless, since its
establishment in 1993, the RAD is a dominant factor in river restoration in Israel.

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315

PHYSICAL PLANNING AS A PROTECTION TOOL
Riparian landscapes are integral parts of the land. As such, physical planning of land uses
at national, regional and local levels is a potentially strong tool for their protection. In Israel,land uses are determined by a statutory planning system, according to the Planning andBuilding Law (PBL) of 1965 (which replaced former British mandatory legislation from
1936). The system is three-tiered, with Planning and Building Commissions at national,
district and local levels, each having the power to control lower-tier decisions. All planningcommissions may initiate outline plans within their jurisdiction.

National Planning
The Sharon Plan: The Sharon Plan was the first comprehensive national master plan
prepared after the declaration of statehood in 1948. The plan was initiated and preparedwithin the (then) Planning Department of the Ministry of Labor and Construction, by a teamheaded by architect Arie Sharon, and published in 1951. This plan was not statutory;
nevertheless it had significant long-range effects on spatial planning in Israel. The plan refers
to five main facets of planning: agriculture, industry, transportation, parks and new cities. The
agricultural plan is based on a national water policy that wishes to divert water out ofrelatively rich sources – among them rivers in the north and the Yarkon in the center of theState – and carry them to the dry south, thus enabling agricultural settlements that are
regarded in the plan as a key factor in development and economic independence (Sharon,
1951). In other words, the Sharon Plan again reflects the economic and ideological values
attached to agriculture, and grasps the water of the rivers as input for agriculture and not as alandscape component to be protected.
The plan for the parks in the Sharon Plan proposed conservation of certain areas ofoutstanding nature and landscape values. Four out of those were to be established
immediately as national parks, among them two mountainous landscapes: Mount Carmel andMount Jarmak in the Upper Galilee, and two riparian ones: the Falik Park proposed aroundthe Yarkon and Ayalon rivers in the Tel Aviv metropolis, and a park west of Jerusalem basedon the Sorek River (Sharon, 1951). However, although the Sharon Plan as well as the actual
implementation of the Carmel and the Jarmak parks significantly affected spatial planning foryears to come, the parks proposed around the rivers were ignored as was also the call forusing river corridors as buffers between built-up areas. The Sorek corridor area, for example,
was reduced over the years due to development (Amit-Cohen et al. 2005).
NOP 31: statutory planning in Israel at the national level is delineated in the National
Outline Plans (NOPs). Out of almost 40 NOPs prepared up to date, only two represent
comprehensive national planning. The first of the two was NOP 31, the Combined National
Outline Plan for Construction, Development and Immigration Absorption. NOP 31 was
prepared and approved in the early 1990s, when Israel was facing a crisis stemming from asudden unanticipated increase in population due to mass immigration waves from the former
USSR (Alterman, 1995). This was the first comprehensive national statutory plan toincorporate environmental considerations on a large scale, stating objectives like:
conservation of nature and landscape resources, preservation of surface water quality,

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Tseira Maruani and Irit Amit-Cohen

nurturing open spaces – among them riparian landscapes - for recreation, and balancing
between development and conservation (Feitelson, 1993). The plan enhanced intensificationof metropolitan regions in order to preserve open spaces in the rural zone. Despite these goodintentions, it has been claimed that they triggered heavy development pressures in themetropolitan core of Israel, even in areas designated for conservation (Maruani, 2005).
NOP 35: the Combined National Outline Plan for Construction, Development andConservation NOP 35 was approved in 2005, substituting NOP 31, which became obsolete in1998. This plan, too, aspires to balance between development and conservation, taking this astep further by dividing the whole country into zones defined as development-oriented orconservation-oriented in varying degrees. Theplan specifically refers to river strips –including the water route and the banks 100 meters on each side – and requires every
statutory plan to issue instructions concerning conservation of the river and its habitats,protection of its drainage functions, bank stabilization and free access to the public. This
seems promising indeed, but it will take a number of years before its achievements can beassessed. However, past experience teaches us that NOP’s instructions are not always kept.
One example is the National Outline Plan for the Mediterranean coast, NOP 13, which
prohibited construction within 100 meters of the water line. That instruction did not always
stand up development pressures (State Comptroller, 1999a).
Sectorial NOPs: most national outline plans are sectorial, each dedicated to a specificsubject (e.g. roads, power plants, landfills, etc.). None of the plans that have been prepared
until now is designated for the protection of rivers and riparian landscapes, although in somecases, there may be a reference to rivers where this is relevant to the main plan’s design. Suchis the case of the National Outline Plan for Nature Reserves and National Parks, NOP 8,
which offers protection to sections of riparian landscapes that are found within areas
designated and declared as a nature reserve or a national park. Yet, the plan does not ensure
protection along the whole water route. The National Outline Plan for Forests andAfforestation proposes plantings along riverbanks (Kaplan, 1993), but only in small limitedareas, most of them outside of metropolitan zones where demand for recreation is especiallyhigh. The National Outline Plan for Tourism, NOP 12, offers another example. It designates
some rivers as recreational spaces, among them the Sorek River (Amit-Cohen et al. 2005).
Yet, development attractive for tourism is usually intensive and could harm existing riparian
ecological and environmental values.

Regional Planning
District Outline Plans (DOPs), like NOPs, are essentially guiding plans, relating to the
district under the jurisdiction of a relevant District Commission or part of it. Israel is divided
into six administrational districts. Almost all of them had valid DOPs that by the early 1990s
were mostly out-of-date, and none of them conceived riparian landscapes as objectives forconservation. An example for the disregard of riparian functions is the Ayalon Highway,
crossing Tel Aviv through the route that once was the Ayalon River, leaving a rather narrow
channel for winter water flow. Planning of this highway started in the early 1970s and it was
opened for use at the beginning of the 1990s. In the winter of 1991/2, parts of it flooded, morethan 140 cars were trapped in the flood, and transportation along the highway had to beProtection of Riparian Landscapes in Israel

317

stopped for some time (State Comptroller, 1993). This has since recurred several times, also
causing some casualties.
The Planning Administration in the Ministry of Interior promoted preparation of new
DOPs, some of which have already been approved since 2000. The new plans are much moreenvironmentally oriented than the old ones, including special references and instructions forprotection and conservation of rivers and riparian landscapes. For example, the new DOP
3/21 for the Central Area District designates “river and its surroundings” for conservation.
Still, there are considerable variations between DOPs in their definitions and conservation
instructions; some are guiding while others are obligatory, etc. (Maruani, 2005). In otherwords, the protection offered by DOPs is not consistent in scope and intensity. Moreover,since most current DOPs are relatively new, it will be some more time before theireffectiveness in riparian protection can be evaluated.

Local Planning
While national and district outline plans offer general guidelines, Local Outline Plans(LOPs) are more detailed and serve as platform for issuing building permits. The permits areapproved and issued by Local Commissions, which are in fact organs of the relevant local
municipality, composed of the elected political representatives who constitute the municipal
board. Thus, Local Commissions are interested in the promotion of local economic
development, even when it is contradictory to conservation needs, and they tend to ignore abroader regional vision. District Commission’s control is supposed to minimize the influenceof local economic and political interests on land use decisions. However, since riparianlandscapes are attractive for housing, it is no wonder that initiatives for development withinriparian areas recur, assisted by interested Local Commissions which regardless of their
negative impact and potential flood risk (see for instance: Shechori, 1999; Shmul, 2000;
Vaserman-Amir, 1999). Development decisions are a major causal factor where floods areconcerned (Brody et al., 2007; State Comptroller, 1993). The recurrent flood events in Israel,
and their negative impacts and costs indicate that local development interests were not
restricted by the District Commissions.

DISCUSSION
The examination of legislative, organizational and planning tools used for protection of
riparian landscapes in Israel revealed various faults and deficiencies that may explain the still
distressing state of these landscapes. Despite restoration efforts undertaken, mainly since
2000, almost all rivers are still polluted and ecologically deteriorated with only limited
sections available and accessible for recreational uses.
Table 1 that presents a comparative assessment of protection tools shows that no one tool
can be highly rated on all parameters. In addition, no parameter shows a consistently highrating for all tools. One fundamental problem is that no tool – with the possible exception of
RAD - is dedicated to the objective of protecting ecological, environmental and scenic values
embedded in riparian landscapes.

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Tseira Maruani and Irit Amit-Cohen
Table 1. Comparison of protection tools

Protection tool

Designation

Relevance

Power

Scale

Implementation

Water Law

Low

MediumHigh

National

Low

Drainage Law

High

High

High

National

Low to medium

River
High
Authorities Law

High

High

National

Low to medium

Drainage
Authorities

MediumHigh

MediumRegional

Low

River
Authorities

High

High

Low tomediumRegional

Low to medium

RiversAdministration

Very highVery highLow

National

MediumPhysicalSharon plan

Low

Low

Low

National

Lowplanning

NOP 31

Low

Low

Mediumto high

National

Low

NOP 35Low

Low

Mediumto high

National?

Sectorial NOPs

Low

Low tomediumMediumto high

National

Low

DOPs

Low

Low

Mediumto high

Regional

Low

LOPs

Varies withplan

Varies with
plan

High

Local

Varies with plan

Legislation

Institutional
structure

For example, each of the laws examined makes a partial contribution to this objective
although they differ in aims and scope. However, none of them regards the protection of
riparian landscapes as its main aim. In addition, none of these laws reflects a watershed
approach, theoretically or practically, albeit activities taking place anywhere in the watershed
area, especially development and various pollution generators, eventually affect the river andthe landscape along it. Moreover, partial overlap between the aims and directives of theDrainage law and those of RA Law are a constant source of ambiguity and fuzziness as toduties and responsibilities, on one hand, and inter-organizational and inter-personal frictions
and conflicts, on the other. This situation stands in the way of the conservation interest.
The different tools are interconnected. Legislation determines the structure,
responsibilities and operational procedures of the organization intended to implement it.
Subjects not covered by the law are left to the discretion of organizational decision makers.
Hence, awareness of riparian values on the part of decision makers is an important factor in
effective protection. Statutory physical planning, too, relies on legislative power, andtherefore inter-relations between laws may affect organizational actions. For example, theDrainage Law does not refer to statutory physical planning, while on the other hand thePlanning and Building Law does not require a preliminary examination of possible impacts
on drainage before the approval of a new development plan. The State Comptroller (1993)

Protection of Riparian Landscapes in Israel

319

pointed out that the planning system allowed development too close to water routes andapproved plans on large areas without ensuring suitable measures for infiltration of rains
within their boundaries. He argues that the severe floods that were the cause for his report
could have been prevented, had suitable instructions been embedded in the Planning andBuilding Law, thus preventing construction within flood retention areas and conditioning plan
approval with proper infiltration and drainage solutions.
The protection of riparian landscapes as was formulated and implemented in Israel
expresses a particularistic approach, where each river is conceived as a discrete entity, with aseparate DA or RA. For comparison, nature and landscape values within areas that have been
declared as nature reserves or national parks all over the state are protected centrally andmanaged by the Nature and Parks Authority, which is a national statutory institution,
established by the National Parks and Nature Reserves Law. It seems that centralistic
approach was efficient even when development pressures in Israel increased considerably
towards the end of the 20th century. The establishment of the RAD indicates a conceptualchange towards rivers as well but its lack of statutory position and the multitude of otherrelevant organizations reduce its effectivity.
The protection of riparian landscapes also reflects the evolution of environmental
awareness in Israel (see also: Fletcher, 2000; Vogel, 1999). For example, the Water Law from1959 almost completely ignores the environmental functions of water sources, including
rivers, while the RA Law from 1965 already regards the protection of riparian environmental
values as one of its main aims. The legislation also reflects the prevailing priorities in Israeli
society at the time, affected greatly by ideological and national security considerations. In thepast, agriculture and development were given priority; agriculture was conceived as a maineconomic basis and development of spatially dispersed small agricultural settlements also
grasped as a tool for dominating national space while environmental needs were overlooked(Hershcovich, 2006; Schiffman 1999). It should be noted that all three laws examined wereenacted before the global environmental revolution of the late 1960s. Moreover, as aconsequence of the Stockholm Convention in 1972 Israel was one of the first nations toestablish an environmentally designated institution in the form of the Environmental Service
that was established in 1973 within the Prime Minister’s office, and later on as part of the
Ministry of Interior. However, the assimilation of environmental awareness was slow,
especially among decision makers, until the 1990s when development pressures increased
considerably, following a sudden increase of population due to large immigration waves,threatening nature and landscape values, especially in the coastal area and in vicinity of water
bodies. This also was one of the triggers for initiation of RAD.
It should also be noted that split authoritative powers, multiplicities and deficiencies thatcharacterize the protection of riparian landscapes in Israel, tend to be typically characteristicof environmental issues, which are naturally complex, interdisciplinary and bound up witheconomic and social conflicts. In addition, since its independence in 1948, Israel has been
facing enormous challenges more than any other developed state, including an unstablegeopolitical situation and recurrent wars, absorption of mass immigration waves and serious
social conflicts (Alterman, 1995; Fletcher, 2000; Vogel, 1999). Nevertheless, all this still does
not explain why former protection frameworks have not been reconstructed in spite of theadvances in environmental management and administration in general. For instance, theDrainage Law that was mainly intended to prevent floods is still under the authority of the
Ministry of Agriculture although severe damage caused by floods in recent years was mainly

320

Tseira Maruani and Irit Amit-Cohenin urban areas and not in agricultural fields (State Comptroller, 1993). There is no doubt thatthe present state of affairs calls for improvement.

CONCLUSION
Riparian landscapes constitute extremely vulnerable ecosystems. They need protection topreserve the unique aquatic habitats with their biodiversity richness and ecological processes
as well as their value for scenic and recreational purposes. In spite of that, their protection in
Israel is defective, lacking comprehensive suitable legislation, a statutory institutional
structure on a national scale and a sectorially designated NOP. The existing state of affairs ischaracterized by a complex array of authoritative powers, some split and others overlap, andby deficiencies in formulation and implementation of policies. Only limited segments ofspecific riparian landscapes may, in fact, be regarded as functional healthy ecosystems.
Several lessons can be drawn from the above discussion. We wish to focus here on thosethat seem the most important and practical for the State of Israel in the immediate future.
First, there is need for a revision of present legislation, integrating together existing laws –mainly Drainage Law and RA Law – rephrasing their aims and directives, and rearranging theinstitutional structure and its powers according to updated environmental and other needs.
This should be done considering a whole watershed approach as has already been suggested
by Laster (1995).
Second, the prevailing, rather particularistic, approach should be replaced by acomprehensive centralized one, based on a vision and needs on a national scale. This ought tobe reflected in all types of protection tools but especially in the institutional structure, as byestablishing a national statutory designated organization (similar to the Nature and Parks
Authority) or, alternatively, empowering the existing RAD by adequate legislation, including
broader definition of its powers and duties.
Third, increasing environmental awareness in general, and awareness of riparianlandscapes’ ecological, environmental and scenic aspects in particular, are a key element inpromoting protection and conservation of such landscapes. This is true for the general public,
as has already been claimed by Lowry (1998), but is even more important where decision
makers are concerned. Therefore, educational activities, formal and informal, carry greatsignificance for improving and intensifying riparian protection efforts.
Finally, there is hope for riparian landscapes, even when severely deteriorated, providing
suitable protection, restoration tools and a plan of action (see for instance: Harnik 2007, Kirk
2005, Tjallingii 2000). This is especially important in a small, densely populated and dry land
like Israel.

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In: Environmental Research Journal
Volume 3, Issue 2/3

ISSN 1935-3049© 2009 Nova Science Publishers, Inc.

HYDRAULIC CHARACTERIZATION OF AQUIFER(S)AND PUMP TEST DATA ANALYSIS OF DEEP AQUIFER
IN THE ARSENIC AFFECTED MEGHNA RIVER
FLOODPLAIN OF BANGLADESH
Anwar Zahid∗1,2, M. Qumrul Hassan1, Jeff L. Imes andDavid W. Clark3
1

Department of Geology, University of Dhaka, Dhaka, Bangladesh
2Bangladesh Water Development Board, Dhaka, Bangladesh
3
United States Geological Survey, National Drilling Company-USGS GroundWater Research Program, P.O. Box: 15287, Al Ain, UAE

ABSTRACTTo determine the hydraulic characteristics of aquifers and development potential ofdeep aquifer for sustainable long-term use, study was undertaken by assessing waterlevels of different aquifer formations and conducting pumping test in deep aquifer underMeghna floodplain area of southeastern Bangladesh. Because of arsenic contamination inshallow groundwater, characterization of deeper aquifers and assess their hydraulicconnectivity is now an important issue in Bangladesh. Study shows that groundwater
pumping for irrigation and other uses cause large seasonal water level fluctuations that is
between 2 and 4.5m, 6.5 and 11m and 6.5m in the shallow, main and deep aquifers,
respectively. The trend of groundwater level fluctuations supports the hydraulicconnectivity of these aquifers. Aquitards separating aquifers are not continuous
regionally. This implies that uncontrolled development of deep aquifers may cause
leakage of arsenic from contaminated shallow depths to aquifers below. Water levels
dropping below sea level for over withdrawal may also cause saline water intrusion as
well. However, during the constant-discharge pumping test for deep aquifer, water levelsin observation wells open to the shallow and main aquifers showed no noticeable effectfrom pumping i.e. under conditions of moderate groundwater use for public supply,
arsenic-rich groundwater in the shallow aquifer are not likely to be drawn into the deep
aquifer. The transmissivity values of the aquifer is generally favorable for groundwater
development and ranged from about 1,070 m2/day to 2,948 m2/day at a distance of 44 mfrom the pumped well. Transmissivity ranged between 1,570 m2/day and 2,956 m2/day at
a distance of 120m. Transmissivity was calculated as 2,385 m2/day using recovery data.
Estimated storage coefficient values ranged between 0.0000375 and 0.00268, indicatesthat the aquifer is confined to leaky-confined or semi-confined in nature.
∗E-mail: anwarzahid_b@yahoo.com, Tel-+880-2-7287176; +880-1819 105 871

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Keywords: Arsenic contamination, groundwater level, irrigation abstraction, fluctuation,aquifer test, transmissivity, storage coefficient.

NOTATION
c
L
Q
r
s
S
S'
sm

D'/K': hydraulic resistance of the semi-pervious layer (day)√Tc: leakage factor (meter)
constant discharge rate at the well (meter3/day)radial distance from the pumping well (meter)
drawdown at the well (meter)
aquifer storage coefficientis the residual drawdown (meter)maximum drawdown (meter) in a piezometer at distance r (meter) from the pumped
wellΔs the drawdown per log cycle of time (meter)
T transmissivity of the aquifer (meter2/day)t time from the start of pumping (minutes)
t' time from the cessation of pumping (minutes)
t0 time, where the straight line intersects the zero-drawdown axis (minutes)

INTRODUCTION
Groundwater is the main source for drinking and irrigation water in the lower floodplain
areas of south-eastern Bangladesh and mainly withdrawn from shallow aquifer. The upper
aquifer system of the area can yield large quantities of water, however, is not completely
suitable for sustainable development because of quality problems. The arsenic contaminationof shallow (generally up to 50m depth) groundwater has changed the potentiality of it’s use.
Besides, high concentration of iron, manganese and salinity at different depth levels of mainaquifer makes it unsuitable for drinking use. Considering the increasing demand formunicipal and rural water supplies, agricultural, industrial and other uses and quality
problems in shallow and main aquifers, development of deep aquifer has already been started
in some areas. However, before large scale withdrawal of groundwater from deep aquifers,
understanding the natural distribution of groundwater for long term sustainability is very
important. Sustainable yield from aquifers, effective use of the water stored in aquifers,
preservation of water quality, and movement of water between different aquifer formations
into a comprehensive management system needs to be studied carefully. Rapid anduncontrolled development of the deep aquifer could severely limit the usefulness and the
productive duration of the aquifer.
Groundwater levels of different aquifers were monitored throughout Kachua upazilla(sub-district) area under Chandpur district and an aquifer test was conducted for the deep
aquifer at Sreerampur village of Kachua to determine the aquifer hydraulic characteristics,
potability of the aquifer system, and the response of the deep aquifer pumping to upper
aquifers and to development stresses. In particular, it is essential to understand whether

Hydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

327

pumping stresses can induce arsenic contaminated water from the shallow aquifer or highsalinity water from depth or the shallow aquifer to migrate into the aquifer. The electric
conductivity (EC) of water pumped from the production well was also monitored during thetest to determine if higher salinity water was being captured by the well during the test. The
long-term constant-discharge pumping test was performed as the aquifer properties
determined from the analysis of constant-discharge pumping test represent the regional
hydraulic properties (Nury et al, 1998) in alluvial aquifers like Bengal Delta.

STUDY AREA
Most of Bangladesh including the study area lies within Bengal basin which began
forming during the Late Mesozoic as the continental landmass of Gondwana fragmented andcontinued to form during the Tertiary when the Indian plate collided with the Eurasian plate
resulted in the formation of the Himalayan ranges. The Bengal basin contains a 15-km to 22km thick sequence of Cretaceous to Recent sediments and occupies some 100,000 km2 oflowland floodplain and delta (DPHE-BGS 2001). Alluvial deposit carried by the GangesBramaputra-Meghna (GBM) river systems have gradually built up the delta and Meghna
estuary (Brammer 1996). Physiographically, the study area lies within Meghna estuarine
floodplain under Tippera surface (Morgan et al. 1959) that is bounded by the Meghna river inthe west, Lalmai hills in the east and Old Meghna estuary at its south. The total discharge ofthe lower Meghna river was contributed from the eastern territory and the huge discharge hit
the western bank and caused erosion in the western bank and subsequent deposition in theeastern bank towards the study area (Hussain and Huq 1998). The surface of the sequence,composed of silt, silty clay, silty loam and grayish clay, has been assigned to the Chandina
Formation (Bakr 1977), while the status of the underlying medium sand aquifer is not wellknown. The Geological Survey of Bangladesh (GSB) has dated the surface of the Chandina
deltaic plain as between 3,000 and 6,000 years. The underlying sands locally contain brackish
water and may belong to the Dupi Tila Formation.
Based on elevation and morphological features the area is divided into three units(BWDB-USGS 2005). Southeastern part of the upazilla has been defined as Chandina
Alluvium High that always remains above normal flood level. The sediments mainly consistof clayey silt, silty clay and very fine sand. Below this oxidized zone grey colored fresh sandy
silt and fine sand are present. The northwestern and southwestern part have been defined as
Chandina Alluvium Medium. This part normally remains under water for about 3 to 4
months. Maximum and minimum elevation of this unit is 6.0 and 4.6 m above mean sea level(AMSL) respectively. The northeastern and central-western part of the area is defined as
Chandina Alluvium Low. The surface remains under water for longer periods than the otherunits. In part of the southeast Bangladesh, multi-layered aquifer conditions exist. On aregional basis BWDB-UNDP (1982) described three aquifers between Holocene and PlioPleistocene formations. In Kachua area aquifers may be classified as; (Figure 1), (a) theshallow (1st) aquifer, extends down to 40 to 80m, below the 3 to 6 m thick upper clay and silt
unit.

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

Figure 1. Aquifer system under Kachua Upazila area (Zahid et al 2007).

The aquifer sediments are composed of sand with lenses of clay. Water of this unit isseverely contaminated by arsenic, (b) the main (2nd) aquifer, extends down to 250 to 350m
and is generally underlain and overlain by silty clay bed, and composed mainly of fine tomedium sand, grey to light brown in color, occasionally inter-bedded with clay lenses. It iseither semi-confined/leaky or consists of stratified interconnected, unconfined water-bearingzones. Irrigation water in drawn predominantly from these strata, and (3) the deep (3rd)aquifer, encountered to depths of 400m below a 10 to 15m thick silty clay bed. This aquifer iscomposed mainly of grey to dark grey fine to medium sand that in places alternates with thinsandy shale/clay lenses. This deeper water bearing unit is separated from the overlying mainaquifer by one or more clay layers of varied thickness.

METHODOLOGY OF THE STUDY
Observation of Water Levels in Different Aquifers
1998 to 2003 groundwater level data of 4 Bangladesh Water Development Board(BWDB) monitoring wells (20-30m deep) installed in the shallow aquifer (Table 1), 2004-05
to 2005-06 data of 13 selected Department of Public Health Engineering (DPHE) handtubewells (180-225m deep) installed in the main aquifer (Table 2) and 2003 to 2004 data of 2
BWDB deep monitoring wells (336-352m deep) installed in the deep aquifer (Table 3) wereused to asses the response of groundwater level above or below mean sea-level (MSL)
considering recharge and withdrawal for different uses. Locations of monitoring wells areshown in Figure 2.

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329

Figure 2. Location of groundwater level monitoring wells.

Table 1. Information on BWDB observation wells screened in shallow aquifer
Location
Jagatpur
Machimpur
SacherMuradpur

Latitude(North)231555.0231897.7232649.6232000.0

Longitude(East)
910000.0905532.1
905051.2
905000.0

Depth (m)
19.20
27.44
27.44
28.66

Measuring point (m)Above MSL
12.70
6.48
5.36
6.53

Table 2. Tube wells selected for monitoring groundwater movement in main aquifer
Location
Nalua, Karaia
Sahedapur, Karaia
North Dumuria, Karaia
Hossainpur, Kachua South
Ghagra, Kachua South
Tetaia, Kachua North
Ujani, Kachua North
Hasimpur, Gohat North
Gobindapur, Gohat South
Singua, Sahadevpur West
Khilmeheb, Sahadevpur West
Kadla, Kadla
Chaumuhari, Kadla

Latitude(North)231827.3
231833.6231906.1
232123.7
232134.5232249.4
232219.0232006.9231724.1
232303.3232342.0231852.7231946.9

Longitude(East)
905440.7905456.4
905240.9905515.9905222.8905331.4905522.0905651.1905638.8904953.9904942.8
905128.9904946.6

Depth
(m)
215
215
220
220
218
213
211
191
218
223
220
210
225

measuring point
Above MSL (m)
6.288
6.376
5.848
7.016
6.335
6.317
6.28
6.342
6.649
5.992
6.236
5.987
7.188

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Setting of Pumping Well and Observation Wells
For a well performance test, yield and drawdown are recorded to calculate the specificcapacity of the well. The aquifer test at Sreerampur village was conducted mainly to provide
data from which the principal factors of aquifer performance [transmissivity (T) and storage
coefficient (s)] can be calculated. An aquifer test with the setup of a 365-m deep pumping
well with a constant discharge of 708 gpm (gallons per minute), and 5 (five) observation
wells installed at different depth levels from 25 to 352 m (Figure 3, Table 3), were performed
to obtain a picture of the general hydraulic properties of the aquifer and also to predict theeffect of withdrawals on the aquifer system, the drawdown in the tested well with time, anddifferent discharges and the radius of the zone of influence for individual or multiple wells. In
a uniform and homogeneous aquifer the piezometer should be installed at about the same
depth as the middle of the well screen in the pumped well. Amongst observation wells, twohave been installed in the pumped aquifer and others are above the confining layer that
separates the two aquifer systems. The test continued for 98.5 hours and water levels were
measured in both the pumped well and five piezometers. The constant-discharge pumping test
was followed by recovery test. Important water quality parameters were also monitored andsamples were collected at different time intervals during the test.

Figure 3. (a) Location and (b) position of pumping well and observation well screens.

Table 3. Major features of pumping and observation wells
Well
ID
PW
P-1
P-2
P-3
P-4
P-5

Aquifer
Deep
Main
Deep
Deep
Shallow
Main

Depth
(m)
365
281
336
352
25
183

Screen length (m)
From
To
326
362
269
278
324
333
333
349
20
23
171
180

Diameterof well (m)
0.35
0.076
0.076
0.076
0.076
0.076

Distance from
PW (m)
0
14.5
44.1
105
7.5
9.25

measuring point(m) Above MSL
6.84
6.3
6.94
6.28
6.72
6.54

The flow rate of 3,860 m3/day was determined using standard tables for the discharge
pipe diameter considering a water height of 8.33 m in a manometer attached to the side of theHydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

331

pumping-well discharge tube. The rate at which the discharge water stream dropped from thehorizontal was also measured. A flow rate of 3880 m3/day was determined using standard
tables that relate the rate of fall to discharge. The two methods were in good agreement andan average value of 3870 m3/day flow was used to analyze the aquifer-test data.
The constant-rate test for the time duration of 98.5 hours was conducted at Sreerampur.
The pumping rate was estimated and monitored using two different methods. The circularorifice weir was used to measure and monitor the discharge rate of the pump. The height of
the water column, the static water level just before the test started, time since the pumpstarted, pumping rate, dynamic groundwater levels at various intervals during the pumping
period, and time the pump stopped were recorded. Measurement of water levels after thepump stopped (recovery data) were also measured as these are extremely valuable to verify
the aquifer storage coefficient calculated during the pumping phase of the test. The test wasstarted on November 13, 2003 at 12:00 noon. Before the test began, water level transducers
were placed in the pumping and observation wells. Drawdown was also recorded manually bymeasuring tapes. To obtain better and more reliable results pumping continued till thedepression cone had reached a stabilized position. The depression cone continues to expand
until the recharge of the aquifer equals the pumping rate.

Best Fit Analytical Methods for Pump Test Data
Amongst different analytical methods, it is important to select a numerical solution which
is more appropriate to actual field conditions. Two analytical solutions were studied in detailto determine the most appropriate solution to the deep observation well aquifer-test data. The
Papadopolous-Cooper (1967) solution for a confined aquifer with well-bore storage and theHantush-Jacob (1955) solution for a leaky confined aquifer were determined to be the best
choices. Besides, Jacob (1950) straight line plot was drawn manually and Jacob (1950), Chow
(1952) and Theis recovery methods were applied using computer programs developed by
Abdin (2004) for manually measured drawdown data.
The following assumptions and conditions were considered for analyzing aquifer-test
data using different methods valid for confined or leaky-confined aquifer.
···

All geologic formations are horizontal and the aquifer has a seemingly infinite areal
extent. In reality, hydrogeologic settings rarely have aquifers that can be consideredof infinite areal extent, rather they change laterally in grain size, shape or lithologythat affect the shape of a time-drawdown curve. Although such aquifers do not exist
in lower delta, many aquifers are of such wide extent that all practical purposes they
can be considered infinite.
The aquifer is homogeneous, isotropic and of uniform thickness over the area
influenced by the pumping test. Homogenous aquifers seldom occur in lower delta of
Bengal basin and most aquifers are stratified to some degree. As a result of thisstratification the drawdown observed at a certain distance from the pumped well may
be different at various depths within the aquifer, because of differences in hydraulicconductivity in vertical and horizontal direction. These differences in drawdown
diminish with increased pumping itme.
Groundwater has a constant density and viscosity.

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.
····

Prior to pumping, the piezometric surface were nearly horizontal over the area
influenced by the pumping test.
The aquifer was pumped at a constant discharge rate of about 3870 m3/day,
All changes in the position of the potentiometric surface were due to the effect of thepumping well alone,
Pumping well was 100% efficient

Another important assumption is that the pumped well fully penetrations the aquifer andthus receives water from the entire thickness of the aquifer by horizontal flow. If the wellonly partially penetrates the aquifer, like Sreerampur study, the flow paths have a verticalcomponent to them. The flow paths are, therefore, longer and converge on a shorter wellscreen, resulting in an increase in head loss (Driscill 1986). However, observation wells forpumping tests were placed far enough away from the pumping well to avoid partial
penetration effects. If the observation well is partially penetrating and more than
1.5b( K h / K y )0.5 away from the pumping well, the effects are negligible (Hantush 1964)(b is the saturated thickness, Kh and Kv are the horizontal and vertical hydraulicconductivities). This condition is valid for Sreerampur aquifer. If this condition is notsatisfied, there will be an upward inflection in the response, similar to that obtained in the
leaky method or for some sort of recharge boundary (Domenico and Schwartz 1997).

Theis Method for Predicting Drawdown in a Confined Aquifer
A major advance was made by Theis (1935), who was the first to develop a nonsteadystate formula which introduces the time factor and the storage coefficient. Theis developed
the analytical solution for flow to a well in a confined aquifer. This is generally the base ofother methods applied to similar conditions. Theis noted that when a well penetrating an
extensive confined aquifer, is pumped at a constant rate, the influence of the discharge
extends outward with time. The rate of decline of head, multiplied by the storage coefficientand summed over the area of influence, equals the discharge. Because the water must comefrom a reduction of storage within the aquifer, the head will continue to decline as long as theaquifer is effectively infinite. Since all sources of recharge are moving through a semiconfining unit, the flatness of the recharge effect on a Theis curve will continue in ahorizontal manner (Lohman 1979). However, when the semi-confining layer is saturated andhas a head higher than the head in the aquifer being pumped, this head differential may cause
the aquitard to release water from storage in an attempt to reach equilibrium (Weight andSonderegger 2000). As in the semi-confining scenario, the initial drawdown tends to follow
the confined Theis curve. As the aquifer becomes stresses and the head lowers in the pumping
well, the head change stimulates leakage from above and below to act as recharge to thesystem. The result is a flattening of the curve rather than following the Theis curve.
Besides the assumptions mentioned above the following assumptions are also considered
for Theis solution.
·

Aquifer is fully confined and discharge is derived exclusively from storage in theaquifer.

Hydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…
·
·
·

333

The flow to the well is in unsteady state, i.e. the drawdown differences with time are
not negligible nor is the hydraulic gradient constant with time.
The water removed from storage is discharged instantaneously with decline of head.
The storage in the well can be neglected.

The nonsteady-state or Theis equation which was derived from the analogy between theflow of groundwater and the conduction of heat for predicting drawdown (s) at the well is asfollows:αs=Q
Q e − y dyQ
W (u )=W (u ) and, consequently T =∫4πs
4πT u y4πT
The well function W (u ) is the infinite series part of the analytical solution to thenonsteady, radial groundwater flow equation that is approximated by:

W (u ) = −0.577216 − ln u + u −where, u =

u2
u3
u4
+
−
+ ...
2 • 2! 3 • 3! 4 • 4!

4Ttu
r 2S
and, consequently S =4Tt
r2u determines the radius of a cone of depression (Theis 1940). The radius not only increases
with increasing time but, for a given time, is larger for decreasing values of storativity andincreasing values of transmissivity. Theis’ type curve u versus W(u) is unique only because it
pertains to a particular set of conditions at the pumped well and in the aquifer (Stallman
1976).

RESULTS AND DISCUSSION
Water Level Fluctuations in Different Aquifers
Long-term groundwater hydrograph of four of BWDB wells, installed in the shallow
aquifer, show maximum depth to water table in dry season and in the monsoon it regains(Figure 4). No permanent declining is observed. The average maximum and minimum waterlevel was observed as 6 and 0.5m above MSL respectively (Table 4). Seasonal groundwatertable fluctuation ranges in between 2 and 4.5m in the Upazila area. Generally, groundwater
withdrawal from shallow aquifer for domestic purposes and during dry period by shallow
irrigation wells is balanced with the vertical percolation of rain water and inflow fromsurrounding aquifers in monsoon.

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

Table 4. Average groundwater levels above or below mean sea-level in different aquifers
Aquifer Formation

Nos. of
Wells
04
13
02

Shallow (1st)Main (2nd)
Deep (3rd)

Depth ofWells (m)20-30
180-225336-352

Groundwater Level (m)Maximum Minimum
6
0.5
4
-8
4.5
-2

CM014

CM020

7
Groundwater Elevation (m)Groundwater Elevation (m)

6
5
4
3
2
1
0

6
5
4
3
2

Jan-00

2003Aug-01

1998

1/0/00200310/26/00

1998

Year

Year
CM032

CM043

5

6
Groundwater Elevation (m)Groundwater Elevation (m)Fluctuation (m)Maximum Minimum
4.5
2
11
6.5
6.5
6.5

4

3

2

1

5
4
3
2
1

1/0/0010/26/00
2003

1998

Year

1/0/009/6/00

1998

2003

Year

Figure 4. Groundwater level hydrograph of four BWDB wells screened in shallow aquifer at Kachua
sub-district.

There is a clear difference between the amount of water that can potentially recharge theaquifer system and the actual quantity. Actual recharge is the quantity of water when the
groundwater table has risen to the ground surface and no more water can enter the aquifer
system. Its quantity depends on the degree of depletion of this reservoir during the dry season.

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335

Potential recharge is the maximum amount of recharge that can occur if enough storage
reservoir in the aquifer system is available. Any surplus rainfall is then rejected andcontributes to surface flooding. The ultimate limit on groundwater development is controlled
by the long-term average amount of potential recharge. Assessment done by WARPO (2000)
indicates that when the clay is relatively thin, but exhibits low vertical permeability, thepiezometric level may drop below the base of the clay. In this case the total gross quantity ofgroundwater abstracted from the aquifer is balanced by infiltration through the upper clay.
When the upper clay varies in thickness, the piezometric level in the aquifer may locally drop
below the base of the clay, creating local unconfined conditions within the aquifer andgroundwater abstraction is partially balanced by leakage through the clay and partially byunconfined storage change in the aquifer. The recharge to the aquifer, which is the leakage
during the period of no abstraction, may be less than the potential recharge, particularly whenthe vertical permeability is low.
During the peak irrigation season in March and April, the hydrograph is fairly smoothfrom year to year and steepest rise in the hydrograph is observed immediately after theirrigation pumps are switched off (mid-April to mid-May) rather than at the start of themonsoon (late June) as might be expected. During the monsoon, the hydrographs rise steadily
until the levels are within about 1-2m of the surface which indicates that a dynamic
equilibrium is established between the water table, deep rooted vegetation and surface water
bodies (Ravenscroft 2003). The aquifer full condition i.e. no more storage capacity is
attributed before the end of June.
A shallow aquitard is common in this region at depth about 75m. Below this aquitard all
deep irrigation wells are installed in the upper part while DPHE domestic and community
hand tubewells are screened in the deeper part of main aquifer. Groundwater pumping for
irrigation by deep irrigation wells causes large seasonal water level fluctuations (Figure 5),ranges from 6.5 to maximum of 11m (Table 4).
The average maximum and minimum water level was observed as 4 and -8m above andbelow MSL respectively. Withdrawal by shallow irrigation wells may also influence on huge
fluctuation of water level in the main aquifer. However, these levels in the deeper part get
recovered rapidly when seasonal pumping stops. This rapid recovery, parallel to water levels
in shallow aquifer, reveals that shallow and main aquifers are hydraulically connected andrainfall also contributes recharge to main aquifer through shallow aquifer. However, withintensive abstraction, groundwater levels may fall towards a permanent new equilibrium state.
At Sreerampur village a deep confining layer is encountered at 302 to 320m depth, whichis also common in surrounding areas of Meghna floodplain. Only two monitoring wells are
installed at entire Kachua area in this deep aquifer. The average maximum and minimum
water level of one hydrologic year was observed as 4.5 and -2m above and below MSL
respectively (Figure 6a).
Hence the seasonal fluctuation is 6.5m that is less compare to average water level
fluctuation of main aquifer (Figure 6b), but still high though the development stress in deep
aquifer is almost nil. This huge fluctuation indicates the influence of irrigation withdrawal inupper aquifers.

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.
Hydrographs for wells (2nd Aquifer) in Northern Kachua

Water levels (elevation) in meter

6
4
2
0
-2
KH-28
KH-40
KH-44
KH-45
KH-46
KH-63

-4
-6
-8

Mar-06
Feb-06
Jan-06
Dec-05
Nov-05
Oct-05
Sep-05Aug-05Jul-05
Jun-05
May-05
Apr-05Mar-05
Feb-05Jan-05
Dec-04
Nov-04
Oct-04
Sep-04Aug-04
Jul-04
Jun-04
May-04
Apr-04Mar-04Feb-04aHydrographs for wells (2nd Aquifer) in southern Kachua

Water level (elevation) in meter

6
4
2
0
-2

KH-22
KH-25
KH-34
KH-36
KH-55
KH-56
KH-60

-4
-6
-8

Mar-06
Feb-06
Jan-06
Dec-05
Nov-05
Oct-05
Sep-05Aug-05Jul-05
Jun-05
May-05
Apr-05Mar-05
Feb-05Jan-05
Dec-04
Nov-04
Oct-04
Sep-04Aug-04
Jul-04
Jun-04
May-04
Apr-04Mar-04Feb-04b
Figure 5. Groundwater level hydrographs of hand tubewells screened in the deeper part of main aquifer.

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337

Water level (elevation) in meter

Hydrographs for wells (3rd Aquifer) at Srirampur
6
5
4
3
2
1
0
-1
Well (3rd Aquifer) 335 m-2Well (3rd Aquifer) 350 m-3

Nov-04
Oct-04
Sep-04Aug-04
Jul-04
Jun-04
May-04
Apr-04Mar-04Feb-04Jan-04
Dec-03
Nov-03Oct-03
Sep-03Aug-03
Jul-03Jun-03May-03
Water level (elevation) in metera
Hydrographs for wells (3 Aquifers) at Srirampur
6
4
2
0
-2
-4
-6
-8

Well (2nd Aquifer) 280 m
Well (3rd Aquifer) 335 m
Well (3rd Aquifer) 350 m
Well (1st Aquifer) 25 m
Well (2nd Aquifer) 180 m

Nov-04
Oct-04
Sep-04Aug-04
Jul-04
Jun-04
May-04
Apr-04Mar-04Feb-04Jan-04
Dec-03
Nov-03Oct-03
Sep-03Aug-03
Jul-03Jun-03May-03b
Figure 6. (a) Groundwater level hydrograph of observation wells screened in the deep aquifer; (b)Response of irrigation pumping on water level of different aquifers

In Figure 6b, water level hydrographs of five wells installed in all three aquifers within
500m2 area are drawn for comparison study. It is clear that maximum water level i.e. static
water level is almost same (about 4.5m above MSL) for three aquifers and during irrigation
period, all five wells response similarly with different declining intensity. Because ofcontinuous percolation of rain water through unsaturated zone, lowering of water level in338

Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

shallow aquifer is very low (about 1.0m) that is about 10.5m for main aquifer and about 6.5
for deep aquifer. As most of the irrigation wells are installed in the main aquifer, lowering ofwater level is highest in this aquifer. However, the trend of water level fluctuations indifferent aquifers support the hydraulic connectivity of these aquifer i.e. the aquitards
separating aquifers are not continuous regionally rather locally extended. This implies that
uncontrolled development of deep aquifers may cause both qualitative and quantitative
degradation of groundwater. Water levels dropping below sea level for over withdrawal in dry
season may eventually cause saline water intrusion as well as leakage of arsenic from shallow
aquifer to upper part of main aquifer.

Response of Groundwater Levels to Pumping
The water level in the pumping (deep) aquifer declined abruptly during the first 3 minutesof pumping, then stabilized at about 12.5 to 13.0m drawdown for the duration of the test
(Figure 7a). The pumping phase of the aquifer test was terminated after 5,911 minutes (98.5
hours), and data was collected during the recovery phase of the test until 7,168 minutes (119.5
hours) after the test had begun. During the pumping test, water levels in observation wells
open to the shallow and main aquifers showed no noticeable effect from pumping in the deep
aquifer (Figure 7b).
The overall fluctuation of water levels (as caused by factors other than long-term declines
or barometric pressure changes) measured in P-1, P-4, and P-5 was less than about 0.04m
during the test. This indicates that the 12 to15m confining unit that separates the main anddeep aquifer retards the movement of ground water between the aquifers. Therefore, underconditions of moderate groundwater use for public supply, arsenic-rich, iron-rich, and saline
ground water in the shallow aquifer are not likely to be drawn into the deep aquifer.
Groundwater levels in the deep aquifer observation wells responded to the withdrawal ofwater from the pumping well. Water levels in P-2 (44 m from the pumping well) declined
about 1.1 m in response to pumping (Figure 7a). Water levels in P-3 (120m from the pumpingwell) declined about 0.68m in response to pumping. Small fluctuations in the measured waterlevels may be partly caused by variations in the pumping rate during the test as voltage in the
power supply fluctuated.
Water levels in both observation wells rose rapidly at the end of the aquifer test, and had
returned to within 0.05m of the pre-test water levels when data collection was stopped.
Comparison of water level altitudes in the shallow and deep observation wells shows thatwater levels in the deeper aquifer were lower than water levels in the shallower aquifer in anarea about 100m radius centered on the pumping well after about 3,600 (60 hours) minutes
into the test.

Analysis of Drawdown Data
Gunther Theim (1962) published the first formula on the response equation for steadyradial flow (Ferris et al. 1962), based on the work of Darcy and Dupuit, and computed thehydraulic characteristics of a water-bearing formation by pumping a well and observing theeffect of this pumping in a number of other wells. Now, most of the more or less complicatedHydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

339

flow problems can be solved by applying proper mathematical methods. Aquifer test analyses
may provide unrealistic estimates of hydraulic properties (Halford and Kuniansky. 2002).
However, it makes no difference in performing a test whether response curves are obtained as
analytical solutions or by other methods, e.g. flow nets, digital computers, etc (Stallman
1976).

P-3

P-2

a

P-1, P-4 and P-5

b
Figure 7. Monitoring of water level (drawdown) during aquifer test (a) Observation wells in deep (3rd)pumping aquifer below aquitard; (b) Observation wells in upper aquifers.

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

The investigated deep aquifer under Sreerampur village may be considered as a confined
aquifer as it is overlain by a 10 m to 12 m thick nearly-impervious silty clay layer, 295m
below the surface. The lower boundary of the aquifer was not encountered above theinvestigated depth of 362 m; however, from the depositional history of the region it may be
assumed that another impermeable formation can exist beneath the tested depth. A confined
aquifer is a completely saturated aquifer whose upper and lower boundaries are impervious
layers. However, completely impervious layers (aquatard) rarely exist in nature. A semiconfined or leaky aquifer, is a completely saturated aquifer that is bounded above by a semipervious layer and below by a layer that is either impervious or semi-pervious. Physically,
there is induced recharge during an aquifer test through the semi-pervious layer. The rate ofleakance is determined by the hydraulic conductivity of the aquitard and head difference
across the aquitard. In a semi-confining scenario, confining units may pinch out laterally andpart of the aquifer may become unconfined. This may true for the studied aquifer, too.

Hantush-Jacob Leaky Aquifer Model
For all practical purposes, the time-drawdown behavior before the inflection represents a
withdrawal of water from storage from the aquifer, no part of which was contributed fromother sources. This part of the curve, along with its straight line extension, may be analyzed
with methods discussed for time-drawdown behavior. There are several ways in which thiscondition may be compromised in field conditions: direct recharge from streams, recharge
across bounding low permeable materials etc. The problem of leakage has been extensively
investigated by Hantush and Jacob (1955) and Hantush (1956, 1960, 1964). In a leaky
aquifer, the drawdown curve initially follows the nonleaky curve. However after a finite timeinterval, the lowered hydraulic head in the aquifer induces leakage from the confining layer.
If there is storage in the confining layer, the rate of drawdown is slower than that in the casewhere there is no storage in the confining layer (Hantush 1960).
In many aquifer tests, water is contributed from the less permeable confining units, inaddition to the aquifer that is pumped (Halford and Kuniansky 2002). Hantush and Jacob(1955) presented a solution for drawdown in a pumped aquifer that has an impermeable baseand a leaky confining unit above. Conceptually, this would be a four layer system, from top tobottom, a water table aquifer, a leaky confining unit, a confined aquifer, and an extremely low
permeability bed rock. During the early time of pumpage, water is coming out of storage fromthe pumped aquifer and the leaky confining unit. Eventually, the discharge comes into
equilibrium with the leakage through the confining unit from the unstressed water-tableaquifer and the system is at steady-state.
The additional assumptions for the analysis are:
·
·
·
·
·

Aquifer is leaky, horizontal flow stressed aquifer, vertical flow through confining
unit.
Drawdown in the water table or unstressed aquifer is negligible.
Well storage can be neglected.
Water instantaneously comes out of storage in the aquifer.
Confining unit storage is negligible.

Hydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

341

The equation is based on the drawdown of a well pumped at a constant discharge rate in aleaky aquifer (Hantush and Jacob 1955).

s=Q
W (u , r )B
4πT

where, u =r 2Sis dimensionless time,
4Tt

K Z b'
T

1=
B

KZ/b' is the leakance (1/T), where KZ is vertical hydraulic conductivity of the confining unit
(L/T) and b' is thickness of the confining unit (L).
Early drawdown data from the field curve match the non-leaky part of the curve, but theysoon deviate and follow one of the leaky r/B curves. The match point method yields values ofw(u, r/B), 1/u, t and s. In addition, the r/B curve followed by the field data is noted. T and S
are readily determined from

T=

Q
r
4uTt
W (u, ) and S = 2
4πs
Br

Unaware of the work done many years earlier by De Glee (1930, 1951), Hantush andJacob also derived the same equation, which expresses the steady-state distribution ofdrawdown in the vicinity of a pumped well in a semi-confined aquifer in which leakage takes
place in proportion to the drawdown. Hantush (1956, 1964) noted that if r/L is small(r/L≤0.05), the equation may, for practical purposes, be approximated by

sm ≈

2.30Q
L
(log1.12 )2πTrThus a plot of sm against r on semi-logarithmic paper, with r on the logarithmic scale,shows a straight-line relationship in the range where r/l is small. The slope of the straight
portion of the curve, i.e. the drawdown difference Δsm per log cycle of r, is expressed byΔs m =

2.30Q
2.30Q, consequently T =2πT
2πΔs mThe Hantush-Jacob leaky aquifer solution was chosen to analyze the aquifer test data
because of the possibility that there was some induced leakage of ground water across theconfining unit during the test. With the advent of computer programs to analyze aquifer test

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

data, manually plot graphs and calculate aquifer parameters by hand is generally no longer inuse. This makes it much easier to analyze the data, but makes much less aware of theassumptions behind the analytical solutions. Drawdown data for the individual deep
observation wells can be matched well to about 500 minutes using the Hantush-Jacob
solution. Drawdown from about 200 to 500 minutes becomes nearly constant at about 1 m for
P-2 and nearly constant at about 0.6 m for P-3. This response may be caused by equilibrium
between leakage across the confining unit and drawdown from well pumpage. After about
500 minutes, drawdown in both observation wells begins to increase in an approximately
linear manner, at a rate of about 0.00001 m/minute in P-2 and about 0.00002 m/minute in P-3.
This may indicate decreased leakage through the confining unit, draining of stored water in apermeable sand lens, or the presence of a lateral barrier. Of the three possibilities, a lateralbarrier seems unlikely considering the geological setting.
The best fit curve match (Figure 8a) to P-2 yielded an aquifer storage of 0.0013, aquifertransmissivity of 2,300 m2/day, vertical to lateral aquifer hydraulic conductivity ratio of
0.0044 (Kz/Kr), and a confining unit vertical hydraulic conductivity of 0.33 m/day (r/B =0.1533). The best fit curve match (Figure 8b) to P-3 yielded an aquifer storage of 0.0022,
aquifer transmissivity of 2,956 m2/day, vertical to lateral aquifer hydraulic conductivity ratioof 0.0044, and a confining unit vertical hydraulic conductivity of 0.43 m/day (r/B = 0.365).
Because the aquifer values are similar for the individual observation well data curve
matches, both sets of data can be approximately fit to a single set of values (Figure 8c). The
best fit curve match to both observation wells taken together yielded an aquifer storage of
0.0017, aquifer transmissivity of 2,386 m2/day, vertical to lateral aquifer hydraulicconductivity ratio of 0.0044, and a confining unit vertical hydraulic conductivity of 0.35
m/day (1/B = 0.0035).
The parameter 1/B in the Hantush-Jacob solution is related to the confining unit verticalhydraulic conductivity by the relation Kv' = (T*b')/2B, where T is the deep aquifertransmissivity and b' is the confining unit thickness. The lateral hydraulic conductivity of the
deep aquifer is estimated as 23 m/day using Kh=T/b, where b is the aquifer thickness. The
vertical hydraulic conductivity of the deep aquifer as determined from the solution derived
ratio of the aquifer vertical hydraulic conductivity to aquifer lateral hydraulic conductivity(Kz/Kr = 0.0044) is about 0.10 m/day, about 200 times smaller than the lateral hydraulicconductivity of the deep aquifer. This may indicate that the cumulative hydraulic effect ofdisseminated clay and silt in the aquifer is similar to the clay-rich confining unit.
During the long-term monitoring period from May 2003 to November 2003 water levels
in P-2 (deep aquifer) were from 0.15 m to 0.60 m higher than water levels in P-1. Therefore,
under natural flow conditions experienced during the summer months, the groundwater
gradient is upward from the deep aquifer to the shallow aquifer, and the specific discharge
through the confining unit is estimated to be from about 0.004 m/day to about 0.017 m/day.
Assuming a porosity of 0.30, the average velocity of water through the 12.2 m thick confining
unit is 0.014 m/day to 0.057 m/day. The time for groundwater to move through the confining
unit under these gradients at the estimated average velocities range from about 200 days toabout 850 days.

Hydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

a

343

b

c
Figure 8. Best fit Hantush-Jacob solution to drawdow.n data in semilog scale collected from (a) P-2; (b)P-3; (c) Average drawdown data for P-2 and P-3.

Papadopulos-Cooper Solution to Drawdown Data
A solution for drawdown in large diameter wells that takes into consideration the storage
within the well, which is assumed to be negligible in the Theis method, has been presented by344

Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

Papadopulous and Cooper (1967). Besides the general assumptions mentioned earlier, theadded conditions are···

Storage in the well cannot be neglected as well diameter is relatively large.
The aquifer is confined.
The well losses are negligible.

The general flow equation inside a large diameter well is (Kruseman and Ridder, 1983),

sw =QF (u w, β )4πTwhere F (u w, β ) is a function for which numerical values are given.
2

2

r S
r S
uw = wand β = w 2
4Tt
rc
The index w stands for ‘at the pumped well’ and rc is the radius of the unscreened part of
the well.
The best visual fit to the complete data sets, using each observation well individually, is
the Papadopolous-Cooper solution (Figures 9a and 9b). However, the best match for each setof observation well data required aquifer properties and well bore diameters that were notreasonable.

aHydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

345

b

c
Figure 9. Best fit Papadopulos-Cooper solution to drawdown data in semilog scale collected from (a) P2; (b) P-3; (c) Average drawdown data collected from both P-2 and P-3.

Aquifer storage values were extremely small (on the order of 10-9). The size of the wellbore needed to match the delayed drawdown response was much larger than the actual bore of
the pumping well for both data sets. Both observation well P-2 and P-3 have an actual casing

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

radius of 0.175 m. The predicted casing radius for P-2 was 1.735 m, and for P-3 that was
3.372 m. Also, the transmissivity value predicted from the data for P-2 (6921 m2/day) differedconsiderably from the value predicted from the data for P-3 (8401 m2/day). Because thetransmissivity and well-bore radius values predicted from the individual observation wellcurve matches differed considerably, the drawdown data cannot be matched simultaneously
for both observation well P-2 and P-3 using average transmissivity values (Figure 9c).

Jacob’s Straight-Line Plot
The Cooper-Jacob (1946) method of time-drawdown and Jacob (1950) method of
distance-drawdown are a modification of the Theis equation and assume that u is small.
However, the conditions for its application are more restricted than for the Theis and Chowmethod. Cooper-Jacob and Jacob methods are valid where the time (t) is sufficiently large orradial distance (r) is sufficiently small. The Cooper-Jacob time-drawdown approach ismodified to plot drawdowns at various radial distances from the pumping well. By graphingdrawdown on a linear scale versus distance on a logarithmic scale, a straight line fit results(Jacob 1950). Estimates of the hydraulic properties can also be made, if the assumption of u
being sufficiently small (0.02) is valid. The intercept where the straight-line fit crosses thezero drawdown represents the range of influence of the cone of depression (Weight andSonderegger 2000).
The same assumptions apply to the Cooper-Jacob analytical solution as the Theis
solution, but the well function W(u) is calculated for u<0.01 in order to neglect all but thefirst two terms of the infinite series of the well function. A straight-line approximation ofW(u) is adequate for most applications even where u is as great as 0.1 (Halford andKuniansky 2002).
In the Theis formula, the exponential integral can be expanded in a convergent series, sothat the drawdown (s) may be written as (Kruseman and Ridder 1983)

Q
u2
u2
s=
+
(−0.5772 − ln u −")4πT
2.2! 3.3!
From u =r 2S
it will be seen that u decreases as the time of pumping t increases.
4Tt

Accordingly, for large values of t and/or small values of r the terms beyond ln u in the seriesof the equation become negligible. So for small values of u (<0.01) the drawdown can be
expressed as

s=

Q
r 2S
(−0.5772 − ln
)
4πT
4Tt
After rewriting and changing into decimal logarithms this equation reduces toHydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

s=

347

2.30Q
2.25Tt
log 2
4πT
r S

Therefore, a plot of drawdown versus the logarithm of t forms a straight line. If this line
is extended till it intercepts time-axis where s=0, the interception point will have thecoordinates s=0 and t=t0. Substitution of these values into the drawdown equation gives

0=

2.25Tt 0
2.30Q
,
log
4πT
r 2S

and because

2.25Tt 0
2.25Tt 02.30Q≠ 0 , it follows that
= 1 or S =
2
4πT
r S
r2

If t/t0=10 and hence log t/t0 =1, s can be replaced by Δs, i.e. by the drawdown difference
per log cycle of time, and it follows that

T=

2.30Q
.
4πΔs

Jacob straight-line plot was applied to interpret the time-drawdown data for Sreerampur
test as time was sufficiently large and radial distance is small. Drawdown recorded manuallyat selected intervals was used to create the hand-drawn data graph in Figure 10.

Figure 10. (Continued).

348

Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

Figure 10. Jacob straight-line time-drawdown method for a confined aquifer plotted on semilog papersfor (a) P-2 and (b) P-3.

In this method, the field data are plotted on semi-logarithmic paper and a straight line isdrawn through the field data points and extended backward to the zero drawdown axis. This is
the distance at which the well is not affecting the water level. It may intercept the axis atsome positive value of time (t0). The value of drawdown per log cycle (ΔS) is obtained fromthe slope of the graph.
Drawdown of the observation wells installed in the deep aquifer were used to calculatetransmissivity and storativity values of the deeper formation. The rate of drawdown after
1000 minutes is negligible because the water table was nearly in the steady condition.
For P-2 two straight lines were drawn and transmissivity and storativity values were
calculated as 1,070.784 m2/day and 0.00095 (first cycle) and 2,078.496 m2/day and 0.00268(third cycle) respectively. The average values are 1,574.64 m2/day and 0.001815 respectively
for transmissivity and storativity.
These values are more appropriate as this well (P-2) is within a reasonable distance fromthe pumped well. Two straight lines were also drawn for P-3 and transmissivity andstorativity values were calculated as 1,570.464 m2/day and 0.00068 (second cycle) and
2,944.656 m2/day and 0.00010 (third cycle) respectively. The average values are 2,257.56
m2/day and 0.00039 respectively for transmissivity and storativity. Using computer program,transmissivity and storativity were estimated as 2,468 m2/day and 0.000546 respectively(Figure 11).

Hydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

349

Figure 11. Jacob straight-line time-drawdown method for a fully confined aquifer using computer
program for P-2.

Chow’s Method
Chow (1952) developed a method which has the advantage of avoiding the curve fittingof the Theis method and not being restricted to small values of r and large values of t as is theJacob method (Kruseman and Ridder 1983). The same assumptions and conditions are
generally satisfied as for the Theis method because this method is directly based on the Theisequation.

s=Q
W (u )
4πT

To find the values of W(u) and u corresponding with the drawdown s measured at a
certain moment t, Chow introduced the function

W (u )e u
F (u ) =2.30
F(u) can be calculated from the drawdown (s) versus the corresponding time (t) on single
logarithmic paper (t on logarithmic scale).
Using a computer program, transmissivity and storativity were estimated as 2,948 m2/day
and 0.0000357 respectively (Figure 12).

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

Figure 12. Analysis of data with the Chow method for P-2.

Theis Recovery Data Analysis for Confined Aquifer
The analysis of recovery data involves the measurement of the rise in water levels, also
referred to as residual drawdowns, following the cessation of a period of pumping at aconstant rate. The field procedure requires a drawdown measurement at the end of thepumping period (t) and recovery measurements during the recovery period (t'). The residual
drawdown is plotted on a linear axis and the value of t/t' on the logarithmic axis. The
analytical method is based on the Theis theory and applies to confined aquifers with fully
penetrating wells. The method relies on the theory of superposition in that the water level riseafter the test is assumed to be the combined response to an imaginary well recharging theaquifer and continued pumping. Imaginary recharge occurs at an identical rate to the constantdischarge during the pumping test. The equation for residual drawdown after a pumping testwith constant discharge is:

s' =

Q
{
W (u ) − W (u ' )}4πT

where, u =

r 2S
r 2S
'
and u =
4Tt
4Tt 'If u and u' are small, less than 0.01, then the above equation can be simplified to:

s' =

2.3Q
⎛t⎞
log10 ⎜ ' ⎟
4πT
⎝t ⎠

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351

A semilog plot of s' versus t/t' will yield a straight line. The slope of which is:Δs ' =

2.3Q
4πT

where, Δs' is the change in residual drawdown in one log cycle of t/t'. The same assumptions
as for the Cooper-Jacob, straight-line method must be met, and the flow to the well is in an
unsteady state when t'>(25 r2S)T and u<0.01.
Using computer program, transmissivity was estimated as 2,385 m2/day (Figure 13).

Figure 13. Analysis of recovery data with the Theis recovery method for P-2.

Comparison of Results for Different Methods
The results of the pumping test and recovery data analysis using different methods arepresented in table 5. The estimated transmissivity of the aquifer using drawdown datacollected at P-2 varied between 1,070 m2/day for first cycle analysis using Jacob’s straightline method and 2,948 m2/day applying Chow’s method from constant-discharge test, to 6921
m2/day for Papadopulous-Cooper method. For P-3, the estimated transmissivity ranged
between 1,570 m2/day using Jacob’s straight line method from second cycle analysis and2,956 m2/day using Hantush-Jacob solution, to 8,401 m2/day using Papadopulous-Cooper
method. Because of solution match difficulties, the Papadopolous-Cooper solution was notconsidered as the appropriate solution to the aquifer-test data.
Transmissivity was calculated as 2,385 m2/day using recovery data analyzed by the Theis
recovery method. As these are graphical methods of solution, there is often slight variation in
the results, depending upon the accuracy of the graph construction and subjective judgments
in matching field data to type curves (Fetter 1994).

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

Table 5. Aquifer properties determined from constant-discharge pumping test datausing different methods
MethodPapadopulous-Cooper
Hantush-Jacob
Jacob (Hand Drawn)
1st Cycle
2nd Cycle
3rd Cycle
Jacob
Chow
Theis Recovery

Transmissivity (m2/day)
P-2
P-3
6,921
8,401
2,300
2,956

Storage Coefficient
P-2
P-3
0.00130.0022

1,071
2,078
2,468
2,948
2,385

0.00095
0.002680.000546
0.0000357
-

1,570
2,945
-

0.000680.00010-

The accuracy of the numerical values of the hydraulic characteristics of water-bearing
layers and less permeable strata determined during the graphical analyses and the accuracy of
the assumed boundary conditions play an important role in the reliability of the results
obtained by these methods.The transmissivity values estimated from the Theis curve method
and the Cooper-Jacob method are generally are comparable (Weight and Sonderegger 2000),
and the resulting answers are almost the same. Well losses and partial penetration have aminimal effect on transmissivity values that are estimated using the Cooper-Jacob method.
Additional drawdown at later times is due to declining heads in the aquifer and the rate of
decline is controlled mostly by the transmissivity of the aquifer. Analyzing the change indrawdown at later times negates the effect of a fixed offset due to well losses and partialpenetration on the determination of transmissiviy (Halford and Kuniansky 2002).
Estimated storage coefficient values ranged from 0.0000375 to 0.00268 for P-2 and from
0.00010 to 0.0022 for P-3. The estimated storage coefficients indicate that the aquifer isconfined to leaky-confined or semi-confined in nature. Bouwer (1978) and Fetter (1994)
suggest that storage coefficients for confined aquifer can vary from 0.00001 to 0.001, andWeight and Sonderegger (2000) suggest that storage coefficients for leaky-confined or semiconfined aquifers can vary from 0.001 to 0.03.
The sorting of unconsolidated sediments largely controls the expected range of hydraulicconductivity. Well-sorted sediment has a much larger hydraulic conductivity than poorlysorted sediment, because finer material fills the voids between coarser grains in poorly-sorted
sediment. The hydraulic conductivity of unconsolidated sediment can be estimatedempirically from the grain-size distribution (Vukovic and Soro 1992). Hydraulic conductivity
estimates from grain-size distributions typically have a greater uncertainty than estimatesfrom aquifer tests (Halford and Kuniansky 2002). Using the Hantush-Jacob solution, thevertical to lateral aquifer hydraulic conductivity ratio was estimated at 0.0044, and theconfining unit vertical hydraulic conductivity was estimated at 0.35 m/day. Drawdown inboth observation wells becomes constant in the interval from about 200 to 500 minutes.
During the aquifer test, water levels in P-1 were about 0.4 m higher than water levels in
P-2. Therefore, under pumping stresses similar to those induced during the aquifer test, theground-water gradient is downward from the main aquifer to the deep aquifer, and thegroundwater flux through the confining unit is estimated at about 0.011 m/day. Assuming aHydraulic Characterization of Aquifer(s) and Pump Test Data Analysis…

353

porosity of 0.30, the average velocity of water through the confining unit is 0.037 m/day. The
time for ground water to move through the confining unit under this gradient at the estimatedaverage velocity is about 330 days.

CONCLUSION
Three distinct aquifer units have been classified in the studied Meghna floodplain areas toan investigated depth of about 400m. However, there is a complex aerial variability of thehydrogeologic characteristics as a consequence of the floodplain depositional history of theformations. Groundwater level in the shallow and main aquifers varies in places due to localscale lithologic variations, leakage, the impact of irrigation abstraction and partially byunconfined storage change in the aquifer. During the dry irrigation period pumping water
mainly from the lower part of the shallow and upper part of the main aquifers, water levels inall three aquifers response to the pumping stress. The trend of water level fluctuations indifferent aquifer units supports the hydraulic connectivity of aquifer formations. The
aquitards separating aquifers are not continuous regionally but locally extended. During thepumping test, water levels in observation wells open to the shallow and main aquifers showedno noticeable effect from pumping in the deep aquifer that indicates at least local hydraulicseparation of aquifers and under conditions of moderate groundwater use for domestic andmunicipal supply, arsenic and/or chloride-rich groundwater in the upper aquifers are not
likely to be drawn into the deep aquifer.
Aquifer test results as well as aquifer properties and characteristics of the deep aquifer
show that the deep aquifer can yield significant amounts of potable water. As differenthydrogeologic factors control the aquifer parameters and the graphical methods of solution
depend upon the accuracy of the graph construction and subjective judgments in matching
field data to type curves, solution results have varied for different method of analysis.
However, all results indicate that the aquifer is confined to leaky-confined or semi-confinedin nature. Slight deviations are not prohibitive to the application of different methods. When
greater deviations from the above assumptions occur, special flow problems may raise. So, it
is useful to evaluate data using as many methods as possible. Each may help to provide a
different perspective and aid in a better interpretation. The Hantush-Jacob solution for a leaky
confined aquifer was chosen as the most representative of the physical situation and this gives
better results considering field condition in the deltaic floodplain aquifers.

ACKNOWLEDGMENT
The authors are grateful to the respective officials of Ground Water Hydrology (GWH) of
Bangladesh Water Development Board (BWDB) and Bangladesh Arsenic Mitigation Water
Supply Project (BAMWSP) for undertaking such an extensive aquifer pumping test
component at Sreerampur. Gratitude goes to Mr. Alamgir Hossain, MA Karim, Satish C Das GWH, BWDB for supporting authors to participate during the pump test, Mr. M Zainal Abdin
to support data analysis using computer programs developed by him and to all field personnelof BWDB participated in performing pump test.

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Anwar Zahid, M. Qumrul Hassan, Jeff L. Imes et al.

REFERENCES
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