Volume 10 Issue 12 (2019) - International Transaction Journal ...

Volume 10 Issue 12 (2019)

ISSN 2228-9860 eISSN 1906-9642

http://TuEngr.com

READINESS FOR ORGANIZATIONAL CHANGE THROUGH DYNAMIC CAPABILITIES AND ROUTINIZATION: A STUDY OF THREE INDUSTRIAL ESTATES

WATER PERMEABILITY OF CONCRETE MIXING ASH AND CRUSHED DUST

A STUDY OF URBAN DESIGN ELEMENTS IN STRUCTURED VILLAGE AT GELUGOR, PENANG

AN ANALYSIS OF RESEARCH AREAS IN PRECISION AGRICULTURE

AN INVESTIGATION ON STAKEHOLDERS' PERCEPTION REGARDING EFFECTIVENESS OF SOCIAL MEDIA IN PAKISTAN'S HIGHER EDUCATION

INFLUENCES OF THE IODINE-POLYMER PREPARATION "MONCLAVIT-1" ON THE HORMONAL, MORPHOLOGICAL AND BIOCHEMICAL STATUS OF THE BLOOD OF LAMBS OF WEST SIBERIAN MEAT BREED

LAND-USE/LAND COVER CLASSIFICATION ANALYSIS USING PIXEL BASED METHODS: CASE OF TAROM CITY, IRAN

ANALYSIS OF RUSSIAN MIGRATION FLOWS WITH SOCIO-ECONOMIC DEVELOPMENT CONSIDERATION

THE INFLUENCE OF MUGHAL ARCHITECTURE ON MASJID ZAHIR: CASE STUDY ON FIVE RURAL MOSQUES IN KEDAH, MALAYSIA

AN APPRAISAL OF POLICIES OF LAND ACQUISITION AND RESETTLEMENT OF INVOLUNTARY DISPLACED PEOPLE IN SHANGHAI (1978-2005)

EFFICIENCY IMPROVEMENT ON FUNCTIONING AND DEVELOPMENT OF PASSENGER MOTOR TRANSPORT SERVICES IN URBAN AGGLOMERATIONS

A COMPETENCY-BASED SUCCESSION PLANNING MODEL WITH RESPECT TO ADJUSTING ROLE OF ORGANIZATIONAL CULTURE IN TELECOMMUNICATION INFRASTRUCTURE COMPANY OF IRAN (TICIR)

RESOURCE-SAVING WASTE-FREE PRODUCTION AS AN INNOVATIVE METHOD OF IMPROVING ENTERPRISES’ BUSINESS PERFORMANCE IN THE MEAT PRODUCTION

PERSONALITY AND POST-PURCHASE CONSUMER REGRET EXPERIENCED AFTER IMPULSE BUYING: A CROSS-THEORETICAL APPROACH WITH INDIVIDUAL DIFFERENCES MODERATOR

DETERMINATION OF SUB-SOIL SHEAR WAVE

VELOCITY (𝑽𝑺𝟑𝟎

) IN LAYERED SOIL WITH FEM IN RELATION TO APPROXIMATED AND ANALYTICAL RESULTS

SOLVING FUZZY FRACTIONAL DIFFERENTIAL EQUATIONS BY ADOMIAN DECOMPOSITION METHOD USED IN OPTIMAL CONTROL THEORY

AN EDUCATIONAL EFFECTIVENESS MODEL DEVELOPMENT BASED ON HUMAN RESOURCE STRATEGIES BY GROUNDED THEORY IN DISTRICT 7 OF IRANIAN GAS TRANSMISSION COMPANY

EFFECTS OF SEED PLANTS ON QUANTITATIVE AND QUALITATIVE YIELDS OF VETCH AND BARLEY IN DIFFERENT MIXING RATIOS

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

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International Editorial Board Editor-in-Chief Ahmad Sanusi Hassan, PhD Professor Universiti Sains Malaysia, MALAYSIA

Executive Editor Boonsap Witchayangkoon, PhD Associate Professor Thammasat University, THAILAND

Editorial Board: Assoc. Prof. Dr. Mohamed Gadi (University of Nottingham, UNITED KINGDOM) Professor Dr.Hitoshi YAMADA (Yokohama National University, JAPAN) Professor Dr. Chuen-Sheng Cheng (Yuan Ze University, TAIWAN ) Professor Dr.Mikio SATOMURA (Shizuoka University, JAPAN) Professor Dr.Chuen-Sheng Cheng (Yuan Ze University, TAIWAN) Emeritus Professor Dr.Mike Jenks (Oxford Brookes University, UNITED KINGDOM ) Professor Dr.I Nyoman Pujawan (Sepuluh Nopember Institute of Technology, INDONESIA) Professor Dr.Toshio YOSHII (EHIME University, JAPAN) Professor Dr.Neven Duić (University of Zagreb, CROATIA) Professor Dr.Dewan Muhammad Nuruzzaman (University Malaysia Pahang MALAYSIA) Professor Dr.Masato SAITOH (Saitama University, JAPAN)

Scientific and Technical Committee & Editorial Review Board on Engineering, Technologies and Applied Sciences: Associate Prof. Dr. Paulo Cesar Lima Segantine (University of São Paulo, BRASIL) Associate Prof. Dr. Kurt B. Wurm (New Mexico State University, USA ) Associate Prof. Dr. Truong V.B.Giang (Vietnam National University, Hanoi, VIETNAM) Associate Prof. Dr. Fatemeh Khozaei (Islamic Azad University Kerman Branch, IRAN) Assistant Prof.Dr. Zoe D. Ziaka (International Hellenic University, GREECE) Associate Prof.Dr. Junji SHIKATA (Yokohama National University, JAPAN) Assistant Prof.Dr. Akeel Noori Abdul Hameed (University of Sharjah, UAE) Assistant Prof.Dr. Rohit Srivastava (Indian Institute of Technology Bombay, INDIA) Assistant Prof. Dr.Muhammad Yar Khan (COMSATS University, Pakistan) Assistant Prof. Dr. David Kuria (Kimathi University College of Technology, KENYA ) Dr. Mazran bin Ismail (Universiti Sains Malaysia, MALAYSIA ) Dr. Salahaddin Yasin Baper (Salahaddin University - Hawler, IRAQ ) Dr. Foong Swee Yeok (Universiti Sains Malaysia, MALAYSIA) Dr.Azusa FUKUSHIMA (Kobe Gakuin University, JAPAN) Dr.Yasser Arab (Ittihad Private University, SYRIA).

2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

i

:: International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

Volume 10 Issue 12 (2019) ISSN 2228-9860 http://TuEngr.com eISSN 1906-9642

FEATURE PEER-REVIEWED ARTICLES READINESS FOR ORGANIZATIONAL CHANGE THROUGH DYNAMIC CAPABILITIES AND ROUTINIZATION: A STUDY OF THREE INDUSTRIAL ESTATES

10A12A

WATER PERMEABILITY OF CONCRETE MIXING ASH AND CRUSHED DUST 10A12B

A STUDY OF URBAN DESIGN ELEMENTS IN STRUCTURED VILLAGE AT GELUGOR, PENANG

10A12C

AN ANALYSIS OF RESEARCH AREAS IN PRECISION AGRICULTURE 10A12D AN INVESTIGATION ON STAKEHOLDERS' PERCEPTION REGARDING EFFECTIVENESS OF SOCIAL MEDIA IN PAKISTAN'S HIGHER EDUCATION

10A12E

INFLUENCES OF THE IODINE-POLYMER PREPARATION "MONCLAVIT-1" ON THE HORMONAL, MORPHOLOGICAL AND BIOCHEMICAL STATUS OF THE BLOOD OF LAMBS OF WEST SIBERIAN MEAT BREED

10A12F

LAND-USE/LAND COVER CLASSIFICATION ANALYSIS USING PIXEL BASED METHODS: CASE OF TAROM CITY, IRAN 10A12G

ANALYSIS OF RUSSIAN MIGRATION FLOWS WITH SOCIO-ECONOMIC DEVELOPMENT CONSIDERATION 10A12H

THE INFLUENCE OF MUGHAL ARCHITECTURE ON MASJID ZAHIR: CASE STUDY ON FIVE RURAL MOSQUES IN KEDAH, MALAYSIA 10A12I

AN APPRAISAL OF POLICIES OF LAND ACQUISITION AND RESETTLEMENT OF INVOLUNTARY DISPLACED PEOPLE IN SHANGHAI (1978-2005)

10A12J

EFFICIENCY IMPROVEMENT ON FUNCTIONING AND DEVELOPMENT OF PASSENGER MOTOR TRANSPORT SERVICES IN URBAN AGGLOMERATIONS

10A12K

A COMPETENCY-BASED SUCCESSION PLANNING MODEL WITH RESPECT TO ADJUSTING ROLE OF ORGANIZATIONAL CULTURE IN TELECOMMUNICATION INFRASTRUCTURE COMPANY OF IRAN (TICIR)

10A12L

©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

http://tuengr.com/

ii

RESOURCE-SAVING WASTE-FREE PRODUCTION AS AN INNOVATIVE METHOD OF IMPROVING ENTERPRISES’ BUSINESS PERFORMANCE IN THE MEAT PRODUCTION

10A12M

PERSONALITY AND POST-PURCHASE CONSUMER REGRET EXPERIENCED AFTER IMPULSE BUYING: A CROSS-THEORETICAL APPROACH WITH INDIVIDUAL DIFFERENCES MODERATOR

10A12N

DETERMINATION OF SUB-SOIL SHEAR WAVE VELOCITY (𝑽𝑽𝑺𝑺𝟑𝟑𝟑𝟑

) IN LAYERED SOIL WITH FEM IN RELATION TO APPROXIMATED AND ANALYTICAL RESULTS

10A12O

Solving Fuzzy Fractional Differential Equations by Adomian Decomposition Method Used In Optimal Control Theory

10A12P

AN EDUCATIONAL EFFECTIVENESS MODEL DEVELOPMENT BASED ON HUMAN RESOURCE STRATEGIES BY GROUNDED THEORY IN DISTRICT 7 OF IRANIAN GAS TRANSMISSION COMPANY

10A12Q

EFFECTS OF SEED PLANTS ON QUANTITATIVE AND QUALITATIVE YIELDS OF VETCH AND BARLEY IN DIFFERENT MIXING RATIOS 10A12R

Contacts: Professor Dr.Ahmad Sanusi Hassan (Editor-in-Chief), School of Housing, Building and Planning, UNIVERSITI SAINS MALAYSIA, 11800 Minden, Penang, MALAYSIA. Tel: +60-4-653-2835 Fax: +60-4-657 6523, [email protected], [email protected] Associate Professor Dr.Boonsap Witchayangkoon (Executive Editor), Faculty of Engineering, THAMMASAT UNIVERSITY, Klong-Luang, Pathumtani, 12120, THAILAND. Tel: +66-2-5643005 Ext 3101. Fax: +66-2-5643022 [email protected]

Managing Office TUENGR Group 88/244 Moo 3, Moo Baan Saransiri, Klong#2, KlongLuang, Pathumtani, 12120, THAILAND. Tel/WhatsApp: +66-995535450.

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mailto:[email protected]



*Corresponding author (Abdul Salam Khuhro). E-mail: [email protected] ©2019 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.11 ISSN 2228-9860 eISSN 1906-9642 CODEN:

ITJEA8 Paper ID:10A12A http://TUENGR.COM/V10A/10A12A.pdf DOI: 10.14456/ITJEMAST.2019.150 1


http://TuEngr.com

PAPER ID: 10A12A

READINESS FOR ORGANIZATIONAL CHANGE THROUGH

DYNAMIC CAPABILITIES AND ROUTINIZATION: A STUDY

OF THREE INDUSTRIAL ESTATES

Abdul Salam Khuhro a*

, Asad Afzal Humayon a

, Muhammad Sajjad a

,

Rafique Ahmed Khuhro b, Muhammad Irfan

a

a

COMSATS University Islamabad, Vehari Campus, PAKISTAN. b University of Haripur, PAKISTAN

A R T I C L E I N F O

A B S T R A C T Article history:

Received 24 May 2019

Received in revised form 19

July 2019 Accepted 26 July 2019

Available online 01 August

2019

Keywords: China Pakistan Economic Corridor (CPEC); Strategic Sense Making Capacity; Timely Decision Making

Capacity; Change Implementation Capacity; Structural Equation Modeling; AMOS.

This empirical study investigates the Pakistani firms’ dynamic

capabilities and routinization in relation with China Pakistan Economic

Corridor (CPEC). Three industrial estates were selected to predict this

unescapable change. These industrial estates are Hattar, and Gadoon

Amazai from KPK province, and Taxila from Punjab province, Pakistan.

The proposed model is based on five variables: three variables of

dynamic capabilities, one of routinization and the fifth for the Readiness

of Organizational Change. This model is analysed through structural

equation modelling technique with AMOS. CFA is conducted to test the

adopted scales relevance with the model. Model fit indicators designates

the standard statistics. Ten hypotheses were developed to test the

suggested model, out of which seven hypotheses were accepted based on

level of significances. The study finds that the firms under observation

are ready for organizational change due to CPEC with reference to

strategic capacities and routinization for strategic level. Routinization

of the strategic level has positively mediated between strategic sense

making capacity and readiness of organizational change; same is with

another change implementation capacity and readiness for

organizational change. However, routinization of the strategic level

failed to mediate the relationship between timely decision-making

capacity and readiness for organizational change.

© 2019 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Pakistan and China both countries have economic and two sided trade cooperation from many

years, as trade routes are crucial for the trade and economic growth, for example silk route which

connect the east and west from china to Europe via Mediterranean Sea (Abid & Ashfaq, 2015;

Ahmed, 2019; Haider, 2005; Rehman et al., 2018; Rippa, 2019). China Pakistan economic corridor

©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

2 Abdul Salam Khuhro, Asad Afzal Humayon, Muhammad Sajjad, Rafique Ahmed Khuhro, Muhammad Irfan

(CPEC) is being considered a game changer for Asia, Middle East and Europe including Pakistan.

For Pakistan, it is a collection of projects which are under construction with estimated cost of $46

billion. It expands the Pakistani infrastructure through road, rail, pipelines and air transportation to

enhance the economic links between Pakistan and China. It will also enhance the free exchange of

growth, regional knowledge sharing, cultural activities, people to people contact and understanding

via academic(Ministry of Planning, 2015). Pakistani officials expect 700,000 direct jobs between

2015 to 2030 from the result of this project and two to two point five percent increases in Pakistan’s

economic growth annually (Sial, 2014).

The study of dynamic capabilities adapts the new environmental requirements and to change the

operations that has been taken in the debate on premeditated management (Teece, 2018; Di Stefano et

al., 2010; Helfat & Peteraf, 2003; Zollo & Winter, 2002; Teece et al., 1997). Another consideration is

that the ability of firm to build and integrate the external and internal competences in order to facing

the rapid change in environments of the firms (Leonard‐Barton, 1992). A growing numbers of

scholars in the last decade have considered the dynamic capabilities as: “value creation, core firm

strategy and competitive advantage (Lin et al., 2016; Eisenhardt & Martin, 2000; Helfat & Martin,

2015; Teece, 2007; Teece et al., 1997; Wohlgemuth & Wenzel, 2016)”.

It is the fact that Chinese firms are more efficient than Pakistani firms, either at strategic or

operational level (Di Stefano et al., 2010; Ahmed Sheikh & Wang, 2011). This study is to analyse the

Pakistani firms which are the first major touch to CPEC. Are they ready for future change or not? The

future change predicts via dynamic capabilities and routinization.

2. THEORETICAL FRAMEWORK AND HYPOTHESES

2.1 STRATEGIC SENSE MAKING CAPACITY Strategic Sense Making Capacity (SSMC) is defined as “it is a process which consist of scanning,

action and then interpretation ” (Thomas et al., 1993). Originally the authors introduced the concept

of SSMC, established the linkage of these phases with sense making and to the performance of firms.

Daft & Weick (1984) discussed about the three phases of learning, interpretation and the scanning

which are connected via a responsive loop. The scanning, action and interpretation are not merely

involved with the outer environment but it also considered the experiences which were enhanced via

action. The feedback relationship exist in-between the action and interpretation which is also

dependent on an interested question that what come first either sense making or the action.

Gioia & Chittipeddi (1991) suggested that change in strategy for a firm was possible only when

sense making was interpreted as an initiator of action. Therefore, sense making is seemed to be a

process of cognition, which take the information from internal learning and the external environment

with purposeful action which ultimately lead to change. Also, their work introduced the concept of

sense making which links the collective and individual level of cognition. Even though it cannot be

said straightway that the solely domain of sense making is the collective or an individual action. It

proposed that the intervention is required to relocate the initial sense making from an individual to a

smaller and then to a larger network. Through this technique firm is capable of to implement the

change. This perspective is focusing on that how inauguration of a purposeful action is taking place

and why firms participate in the initial phase of strategic sense making which takes place in the




beginning. Sense making is a process in which organizations acts and interprets on information which

consists on its environment (Pandza & Thorpe, 2009; Weick, 1995).

In the changing environment it is better to respond and to deploy the resources to enhance the

ability of firms to configure in an effective way (Eisenhardt & Martin, 2000). Ravasi and Schultz

(2006) analysed firm concentrated with sense making process as: It is the re-action to the exterior

change which implied individual’s engagement with the sense making to handle with the

uncertainties and to resolve the causal uncertainty.

2.2 TIMELY DECISION MAKING CAPACITY (TDMC) Timely decision making capacity’ (TDMC) is defined as “It is the phenomenon which readily

formulate, assess and select the strategic orientation for timely adjustment with the environment

fluctuations” (Sharfman & Dean, 1997). For making decisions which should be aligned with the

changing environment, organizations must build suitable and effective information system. This

system may be comprised of tangible or intangible stuff, but it should assist the information

technology for timely decision making. In fact, information technology provide an effective and

efficient platform for making right and adequate decisions (Aydiner et al., 2019; Sher & Lee, 2004).

In the strategic process of decision making, firms should also quickly deal with different

dilemmas to quickly adopt the remedies for the unsatisfactory situations. Eisenhardt (1989a, 1989b)

conducted the research about the decision making speed and the availability of alternate decisions. It

was found the results were positively related with the decision speed while the availability of

alternative decisions boost the cognitive processing. It was also found that the presence of

experienced analysts provided confidence to top management for speeding up the decisions and act

quickly (Cvitanovic et al., 2016; Eisenhardt, 1989a, 1989b).

Timely decisions or faster decisions are made by the experienced boards rather than the

inexperienced because the formers know a little bit more about their organizations and industries and

can more quickly focus on the strategic issues because of their experience. Time is a precious element

in which organizations regulate their decision making process. In practice, some organizations take

too much time and others take very few time for timely decision making (Ariely & Zakay, 2001). But

ultimately those firms have the advantage who consume less or moderate time for decision making.

2.3 CHANGE IMPLEMENTATION CAPACITY Change Implementation Capacity’ (CIC) is defined as “it is the capability to coordinate and

making strategic decisions for bringing change in the firm. This activity involved various

organizational and managerial processes which depends on the required tasks and objectives to be

achieved” (Harreld et al., 2007; Helfat et al., 2009).

Change implementation capacity is front of the managerial as well as academic environment

(Pettigrew, Woodman, & Cameron, 2001). The capacity to implement the change has been increased

and provoked the thoughtfulness of management researchers as a number of articles has grown and

published dramatically in recent years (Buchanan et al., 1999; Schreyögg & Noss, 2000). Though

wider array of confusing, conflicting theories and approaches happen in the literature for change

management and its implementation (Burnes, 2004; Cummings & Worley, 2009; Thames & Webster,

2009).


Doyle (2002) suggested that the current practice breaks the unrestricted assumptions regarding

the organizational change with respect to its nature. Today organizations face the complexity,

increase the stride and unpredictable about the change (Kerber & Buono, 2005; Miller, 2004). The

diverse nature of internal or external factors prompted for change and force the organizations to

change its way of doing day to day operations, structure, size or the shapes (Balogun & Hailey, 2008;

Luecke, 2003). In order to succeed and survive in present contemporary and highly competitive

business environment the change implementation capacity is crucial for the successful management

(Lawrence et al., 2006).

2.4 ROUTINIZATION OF THE STRATEGIC LEVEL Zollo and Winter (2002) defined the Routinization of the Strategic Level (RSL) as “The high

level collection of routine/routines that utilizes the input flows with its implementation together. It

convenes upon organizations management with certain set of options or decisions for obtaining

significant outputs of a specific type”. Wohlgemuth and Wenzel (2016) suggested that for strategic

level routinization has a significant and positive effect on readiness for organizational change and for

dynamic capabilities which supports hypotheses of H4, H5 and H6. Zollo and Winter (2002)

proposed in the literature that these routines are the stable patterns at the strategic level. The literature

of routines reveals that the concept of routines previously fits into the theories of economic change

and the theories of organizational change (Becker, 2004; Wohlgemuth & Wenzel, 2016).

2.5 READINESS FOR ORGANIZATIONAL CHANGE Lewin (1947) explained Readiness for Organizational Change’ (ROC) as “an individual’s

progression through change with the three stages of unfreezing, moving, and refreezing”. Via this

pioneer idea of Lewin researchers have set to further elaborate the organizational change and

contribute in the literature through these stages. Holt et al. (2007) proposed that: change is appropriate

for the organization, and it is also beneficial to organizational members. Armenakis et al. (1993)

proposed “that readiness was a precursor of resistance and adoption behaviours”. The readiness

concept have been initially introduced by Jacobson (1957). The groundwork for readiness as it is a

unique construct which embedded with the different theoretical models that describes the change

(Van de Ven & Poole, 1995).

Figure 1: Hypothesized research model.




2.6 HYPOTHESES OF THIS STUDY

Hypothesis is the conjecture or an intelligent guess that usually involved in proposing a

relationship among independent and dependent variables. It is a precise and testable statement that a

researcher predicts for the outcome of the study (Mcleoad, 2018).

Following are the hypotheses of the study

H1a: Strategic Sense Making Capacity positively effects the Readiness for Organizational Change

H1b: Strategic Sense Making Capacity positively effects the Routinization of the Strategic Level

H2a: Timely Decision Making Capacity has positively affects the Readiness for Organizational

Change

H2b: Timely Decision Making Capacity has positively effects the Routinization of the Strategic

Level

H3a: Change Implementation Capacity has positively effects the Readiness for Organizational

Change

H3b: Change Implementation Capacity has positively effects the Routinization of the Strategic

Level

H4: Routinization of the Strategic Level has positively effects the Readiness for Organizational Change

H5: Routinization of the Strategic Level positively mediates between Strategic Sense Making

Capacity and Readiness for Organizational Change

H6: Routinization of the Strategic Level positively mediates between Timely Decision Making


H7: Routinization of the Strategic Level positively mediates between Change Implementation


3. METHOD

The data for this study was accessed from Pakistani firms. To investigate and find out the

readiness for organizational change through routinization and dynamic capabilities of the strategic

level in the perspective of CPEC, three industrial estates were approached through a survey from the

Gadoon Amazai, Hattar and the Taxila Industrial Estates. From 200 distributed questionnaires,

researchers received 170 filled questionnaires. Out of these 170 responses, 2 questionnaires were

discarded as found ineligible. Hence, the total response rate is 84%. The relationships among

variables or their effects are measured and tested by structural regression modelling using SPSS and

its extension of AMOS.

Convenience sampling was employed and self-administered questionnaires had been used as an

instrument of the study. The questionnaires includes the demographical and proposed model

constructs questions. All are close ended questions however respondents are given open ended area at

the end to write anything they fell about the readiness for change due to CPEC.

Questionnaire consisted of three parts, one is descriptive in nature, second is Likert scale


questions which measure the constructs of the study while third is open ended section for respondents

to give their own opinion on readiness for change due to CPEC. From first part, researchers observed

the profile of the respondents, from second part the model of the study was tested while the third part

was used for the future insight recommendations. The scale is adopted with minor changes as per

environmental and cultural aspects. The construct are Strategic Sense-Making Capacity (SSMC),

Timely Decision-Making Capacity (TDMC), Change Implementation Capacity (CIC) from (Li &

Liu, 2014); Routinization of the Strategic Level RSL from (Wohlgemuth & Wenzel, 2016) and

Readiness for Organizational Change (ROC) from (Cunningham et al., 2002).

4. DATA ANALYSIS AND ITS RESULTS

4.1 CONFIRMATORY FACTOR ANALYSIS (CFA) Exploratory factor analysis was not applies as the scales used in this study are already used in

other research works and have been found reliable in measuring the targeted constructs. Hence,

confirmatory factor analysis (CFA) was preceded (Tabachnick & Fidell, 1996; 2007). There are five

variables presented in the measurement model, SSMC, TDMC, CIC, RSL and Readiness for

Organizational Change due to CPEC. In different studies researchers have been used the various fit

indices for reporting the SEM i.e., structural equation modeling but currently researcher are using the

CFI, CMIN, TLI and RMSEA as suggested by Schreiber et al. (2006). The fit indexes threshold is

like this: CMIN/df (< 0.08 good), TLI (> 0.90 good), CFI (> 0.90 good) and RMSEA (< 3 good).

4.2 MEASUREMENT MODEL FOR CFA In this study the measurement model consists of five variables which are: SSMC, TDMC, CIC,

RSL and ROC. Thus, the CFA was measured altogether and the fit indices were spotted as per

standard. Over all model of the study revealed the good fit indices as shown below in Table 1.

Table 1: Fit indices of Confirmatory Factor Analysis (CFA) Study Model RMSEA TLI CFI CMIN/df

This study model consists of five indicators of SSMC, three

of TDMC, four of CIC, two of RSL and six of ROC 0.051 0.903 0.910 2.083

Table 2: Standard Regression Weights: Factor loading

Estimate Factor loading Estimate

SSMC5 SSMC .597 CIC2 CIC .881

SSMC4 SSMC .803 CIC1 CIC .874

SSMC3 SSMC .744 RSL2 RSL .726

SSMC2 SSMC .840 RSL1 RSL .767

SSMC1 SSMC .841 ROC6 ROC .810

TDMC3 TDMC .558 ROC5 ROC .895



CIC4 CIC .691 ROC2 ROC .650

CIC3 CIC .689 ROC1 ROC .650

Factor loadings of all items, factors and constructs were checked thoroughly. Kline (2011)

suggested that the factor loading for standardized coefficients must be higher than > 0.50. By

following this suggestion, the study has found factor loading of all items more than .05 except the

TDMC 4, which was already removed and CFA was conducted again to see the results. The




standardized factor loading or factor weights of the model is presented in Table 2.

4.3 RELIABILITY AND VALIDITY OF THE MEASUREMENT MODEL Reliability and validity scales were assessed after conducting the confirmatory factor analysis.

Researcher has used the composite reliability (CR), similar to Cronbach's , and has got the standard

values of the constructs which is more than 0.7. Convergent validity is assessed via average variance

extracted (AVE), the standard value would be greater than 0.5. All the constructs have convergent

validity in acceptable range. The discriminant validity of the model can be checked via the

“maximum squared shared variance” denoted by (MSV). The discriminant validity occurs whenever

the AVE’s value is higher than squared shared variance i-e, MSV. In this case all constructs have

standard discriminant validities. The complete picture of results is presented in Table 3.

Table 3: Reliability and validity of the model Variable CR AVE

(Convergent Validity)

MSV

(Discriminant Validity)

RSL 0.716 0.558 0.481

SSMC 0.851 0.655 0.407

TDMC 0.770 0.534 0.311

CIC 0.867 0.623 0.311

ROC 0.901 0.606 0.581

4.4 HYPOTHESES TESTING THROUGH STRUCTURAL REGRESSION MODEL To test the hypotheses in multiple regression analysis majority of the previous studies used the

structural equation modeling (SEM) and opted only for Confirmatory Factor Analysis (CFA) but this

study used the structural regression (SR) technique to test all hypothesis while using SEM. As per

Preacher & Hayes (2008), using SR models in the SEM has the advantage to test all the hypotheses

simultaneously while the latter can only measure the hypotheses separately.

Through the using of 5000 bootstrap technique, authors applied the SR model for all the assumed

relationships as shown in Figure 2. It is observed that SR model of this study had good fit indices for

the observed which is evident in picture of the Model and fitness indexes of SR Model below in figure

3. The symbols e1, e2, … , e23 are the error variable of each item of all five latent variables.

Figure 2: Structural Regression (SR) Model.

The results Table 4 demonstrated that strategic sense making capacity has effect on readiness for

organizational change (ROC) where = 0.534; S.E = 0.204 and p = 0.009. From this, it can be

concluded that strategic sense making capacity has positive effect on Routinization. Therefore, H1a is


supported that Strategic Sense Making Capacity has positive effect on Readiness for Organizational

Change. For routinization of the Strategic Level (RSL) where = 0.683; S.E = 0.155 and p = <0.001,

H1b is supported that Strategic Sense Making Capacity has positive effect on Routinization of the

Strategic Level. The results in Table 4 also explicitly stated that timely decision making capacity

has positive effect on readiness for organizational change for ROC where = 0.472; S.E = 0.206 and

p = 0.022. It has also positive effect for RSL where = 0.046; S.E = 0.183 and p = 0.803. From this,

it can be concluded that H2a is supported while H2b is not supported. Results also disclosed that

Change Implementation Capacity has positive effect on readiness for organizational change (ROC)

where = 0.086; S.E = 0.117 and p = 0.464. While for Routinization of the Strategic Level change

(RSL) = 0.302; S.E = 0.101 and p = 0.003. Therefore, H3a and H3b both are supported. Further, the

mediating variable Routinization of the Strategic Level change has positive effect on dependent

variable readiness for organizational change where = 0.995; S.E = 0.201and p = 0.000. Therefore,

H4 is also supported and it can be said that Routinization of the Strategic Level has positive effect on

Readiness for Organizational Change due to CPEC.

Table 4: Results of Structural Regression (SR) Model RSL ROC

Variables P.E S.E p-value P.E S.E p-value

SSMC .683 .155 <0.001 .534 .204 0.009

TDMC .046 .183 0.803 .472 .206 0.022

CIC .302 .101 0.003 .086 .117 0.464

RSL .995 .201 <0.001 R² 0.492 0.675

Note: P.E = Standardized Point of Estimate (β), S.E = Standard Error, p-value = Probability or significance level, SSMC= Strategic Sense Making Capacity, TDMC = Timely Decision-Making Capacity,

CIC= Change Implementation Capacity, RSL= Routinization of the Strategic Level,

ROC = Readiness for Organizational Change

4.5 ROUTINIZATION OF THE STRATEGIC LEVEL AS AN UNDERLYING MEDIATION TOOL BETWEEN INDEPENDENT VARIABLES (SSMC, TDMC AND CIC) AND DEPENDENT VARIABLE (READINESS FOR ORGANIZATIONAL CHANGE)

Mediation mechanism was tested through AMOS software. It was hypothesized that the

Routinization of the Strategic Level mediates between the independent variables (SSMC, TDMC and

CIC) and dependent variable. Readiness for Organizational Change was tested with 5000 bootstrap

samples. This is the appropriate methodology for calculating the explicit indirect effect of each

mediator separately with the help of AMOS. Table 5 shows the results of analysis of mediation, using

5000 bootstraps, for measuring the indirect effects of strategic sense making capacity (SSMC), t imely

decision making capacity (TDMC) and Change Implementation Capacity (CIC) on readiness for

organizational change via Routinization of the Strategic Level.

Hypothesis (H5) states that Routinization of the Strategic Level positively mediates between

Strategic Sense Making Capacity and Readiness for Organizational Change. For this analysis, authors

used SR model with 5000 bootstrapping’ technique as suggested by (Preacher & Hayes, 2008). In

table 5, the results showed that the Strategic Sense Making Capacity indirectly effect the Readiness

for Organizational Change. This relationship is significant and support the hypothes

S.E = 0.347; p = 0.001) which defines that Routinization of the Strategic Level is playing as a

mediating role between Strategic Sense Making Capacity and Readiness for Organizational Change.




Additionally, the direct effect of Strategic Sense Making Capacity on Readiness for Organizational

Change is insignificant which shows that Routinization of the Strategic Level is performing full

mediating role. Hypothesis H6 stated that Routinization of the Strategic Level positively mediates

between Timely Decision Making Capacity and Readiness for Organizational Change. For testing

this, authors measured SR model with 5000 bootstrapping’ sampling method as suggested by

(Preacher & Hayes, 2008). In table 5, the results showed that the indirect effect of Timely Decision

-0.045; S.E = 0.27 and p =0.919) which states that Routinization of the Strategic Level is not acting

the mediating role between Timely Decision Making Capacity and Readiness for Organizational

Change.

Table 5: Effects of SSMC, TDMC and CIC on ROC (Mediator: RSL)

ROC

Result P.E S.E

BC 95% CI p-value

Lower Upper

SSMC

The Total Effect for path c .145 .160 .193 .456 .374

Supported The Direct Effect for path c .534 .352 1.376 .131 .006

The Indirect Effect via RSL

for paths a & b .679 .347 .278 1.431 .001

TDMC

The Total Effect for path c

.426 .288 -.127 1.000 .122

Not

Supported The Direct Effect for path c .472 .303 -.064 1.132 .080


for paths a & b -.045 .273 -.580 .512 .919

CIC

The Total Effect for path c

.386 .141 .144 .710 .002 Supported

The Direct Effect for path c .086 .165 .219 .410 .514


for paths a & b .301 .153 .057 .626 .016

BC stands for Biased Corrected; CI stands for Confidence Intervals (for 5000 samples of bootstrap) and

P.E. stands for Point of Estimate for level of significance of p < 0.05

The last hypothesis H7 states that Routinization of the Strategic Level positively mediates

between Change Implementation Capacity and Readiness for Organizational Change. To test for this

assumption authors again used structural regression i.e., SR model with 5000 bootstrapping sampling

method as per suggestion of Preacher & Hayes (2008). The results in Table 5 showed the indirect

effect of Change Implementation Capacity on Readiness for Organizational Change is significant as

is acting the mediating role between Change Implementation Capacity and Readiness for

Organizational Change. Therefore, study hypothesis H7 is also supported. Furthermore, the direct

effect of Change Implementation Capacity on Readiness for Organizational Change is insignificant

which shows that Routinization of the Strategic Level is performing full mediating role.

5. CONCLUSION

China Pak Economic Corridor is considered as the game changer for the region. However, there

are some sceptic arguments specially related to native industry. This triggered the attention to get it

confirmed from the Pakistani industry about their readiness for organizational due to CPEC. The


readiness for organizational change could be confirmed through the organizational capabilities and

routinization. Same has been researched and a theoretical model is created after thorough literature

review. With the support of previous research and considering the problem at hand researchers had

developed hypothesis which could disclose the Pakistani industry readiness for organizational

change. Industry was asked to provide the response on the prepared instrument that was through

questionnaire. The questionnaire was prepared to collect the descriptive and scaled data. Scales are

adopted from previous studies and have been modified as per local context and research problem.

Collected data was analysed through multivariate tests. Apart from descriptive statistics,

researchers had used the confirmatory factor analysis and structural equational modelling to test the

hypothesis and the model as a whole. The software used for data analysis was AMOS.

There were seven hypothesis and hypothesis one, two and three were divided in two sub

hypothesis a & b by considering the paths of SEM. The total number of hypothesis in research were

ten, three are not supported while seven are supported. Out of three mediations two are supported

while the mediating effect of RSL between CIC and ROC is not supported.

Referring the model fitness and SEM relationship results, it can be claimed that Pakistani firms

are ready for organizational change due to CPEC. There is positive relationship between SSMC with

RSL and ROC and CIC with RSL. However, there is lack of timely decision making capacity and CIC

effect on ROC which needs to be improved.

This research work has contributed in the literature as the theoretical relations are tested with

mediating effect for the first time. The study also provided the practical implications which are

related with the burning issue of CPEC and local business concerns. Although, there needs to be

further studies which could bring the more depth analysis about the firms’ readiness for

organizational change due to CPEC, however, this research can be used by the policy makers as first

step to understand the firms’ behaviour to forthcoming change.

6. AVAILABILITY OF DATA AND MATERIAL The data used or generated from this study is available upon request to the corresponding author.

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Abdul Salam Khuhro did his MS in Management Sciences from COMSATS University Islamabad, Vehari Campus. His main areas of research interest are strategic management, Dynamic Capabilities, Organizational Change, Routinization and

Blue Ocean Strategies.

Dr.Asad Afzal Humayon is a Principal Research Officer at COMSATS University Islamabad, Vehari Campus. He has a PhD in Management Sciences. His research is related to Management Sciences.

Dr.Muhammad Sajjad is an Assistant Professor at COMSATS University Islamabad, Vehari Campus, Pakistan. He has a PhD

in Management Sciences. His researches are Management, HRM, Technology Adoption, Entrepreneurship.

Rafique Ahmed Khuhro is an Assistant Professor at University of Haripur. Also, he is Director, Office of Research,

Innovation and Commercialization, University of Haripur. He is a Lecturer at COMSATS Institute of Information

Technology. He has an MS (Marketing). His researches are Marketing, Customer Services, Branding, BoP Markets

Dr.Muhammad Irfan is an Assistant Professor at COMSATS University Islamabad, Vehari Campus, Pakistan. He has a PhD

in Economics from Federal Urdu University of Arts Science and Technology Islamabad, Pakistan. He researches are Applied Econometrics, Natural Resource Economics, Ecological Economics, Econometric Analysis, Econometric Modeling,

Non-Market valuation, Climate Change Economics, Climate Change Adaptation, Environmental Resources Management,

Environmental Awareness, Health Economics, Environmental Economics, and Urban Economics.

Trademarks Disclaimer: All products names including trademarks™ or registered® trademarks mentioned

in this article are the property of their respective owners, using for identification purposes only . Use

of them does not imply any endorsement or affiliation.

*Corresponding author (P.Sornchomkaew). E-mail: [email protected]. ©2019 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies . Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN:

ITJEA8 Paper ID:10A12B http://TUENGR.COM/V10A/10A12B.pdf DOI: 10.14456/ITJEMAST.2019.151 1


http://TuEngr.com

PAPER ID: 10A12B

WATER PERMEABILITY OF CONCRETE MIXING ASH AND

CRUSHED DUST

Phongphoom Sornchomkaewa*

, Kritsada Anantakarn b, and

Thongchai Phothong c

a Department of Civil Engineering, Faculty of Engineering, Rajamangala University of Technology Rattanakosin, THAILAND.

b Department of Civil Engineering, Faculty of Engineering, Rajamangala University of Technology Tawan-ok, THAILAND

c Department of Civil Engineering, Faculty of Engineering, King Mongkut’s University of Technology

Thonburi, THAILAND


A B S T R A C T

Article history: Received 19 April 2019


July 2019

Accepted 22 July 2019 Available online 05 August

2019

Keywords: Palm-oil waste ash;

Cement replacement; Natural pozzolan material; Concrete mix design; Pozzolan ash.

The objectives of the research studied the use of pozzolan and

crushed dust as admixtures in general concrete for permeability. The

replacement of Portland cement with palm oil waste ash by 0, 10, 20,

and 30 percent by weight respectively, and replacement sand with

crushed dust at levels of 100, 90, 80, and 70 percent by weight were

determined. After 28 days of curing, the results showed suitable

quantities of replacing cement with pozzolan waste ash is 30 percent

by weight, and 100 percent replacement sand with crushed dust can

improve the physical and mechanical properties of concrete. Ash and

crushed dust can decrease the permeability of concrete by 1.50–3.30

time. Concrete replacement sand with crushed dust 100, 90, 80, and 70

percent by weight can decrease the permeability of concrete by 20

percent. The rate of the permeability in concrete is reduced in

proportion to the increase of pozzolan ash and crushed dust.


1. INTRODUCTION The use of natural rocks in the construction industry must be processed to be suitable to use. The

limestone mountain must be blown, and then the rocks come into the milling process to obtain the

required sizes. This process produces crushed dust which is very small and cannot pass through the

sieve, the crushed dust will be blown out to pile aside as waste dust causing waste and cost keeping it

in the place and carry away. Effects of replacement were studied e.g. by Sornchomkaew et al.

(2018). by replacing natural sand in concrete mixture with rice hull ash, dark husk ash, and crushed

dust.

The residue of palm fruit from agriculture which considered as waste can be used as fuel for


2 Sultan Alsharari, Aznan Che Ahmad, and Saleh Aljohani

steaming of water to generate electricity. This process leaves over the ash which has to carry away as

this ash is dusty and disperse around. The ash may cause air pollution in surrounded environment

area which cost money to solve this problem. Many recent pieces of the research reported that this

dust could be used as a pozzolan in concrete work to replace cement. So this research was purposed

to study the permeability in concrete mixed with bio-ash and crushed dust which encourage the

compressive strength well. The concrete texture which had a mixture of dust, as observed, was

rougher and had more porosity than the normal concrete. Hence, it was possible that this concrete

might resist the water permeability less which is not a good concrete property. This research had

tested by steady flow water passed through the concrete as the water could not pass through the

concrete or could pass through slowly, meant the water had less damage to concrete. Since the fluid

can pass through the concrete less, steel inside the concrete will cause less rusty as well.

Figure 1: Palm-oil ash obtained from the production process

2. MATERIALS

2.1 PALM-OIL ASH The palm-oil ash used in this research study was derived from the burning process for the fuel

production in the palm-oil mill in Chon Buri Province. The result from physical properties analysis

found that the specific gravity of palm-oil ash was 2.25 and the moisture content was 45.31%.

Considering the physical characteristic of the palm-oil ash using high magnification by Scanning

Electron Microscope: SEM of palm-oil shell ash from X-Ray Fluorescence Analysis (XRF) from the

laboratory of the Department of Science Service which magnified of 100 times. It was found that the

particles from palm-oil ash were in uncertain shape, lumpy, non-layered round, and porous. When the

palm-oil shell as was magnified at 1,000 times, it was found the ash appeared as round grains, rugged

surface, and porous.

Table 1: Chemical property of palm-oil ash. Oxide Percent by weight (%)

Palm-oil ash

SiO2 54.05

Al2O3 13.06

Fe2O3 1.02

CaO 7.85

MgO 5.24

SO3 2.32

Other oxides -

LOI. 10.80




From the chemical properties analysis of palm-oil ash in Table 1, whereas the sum of silicon

dioxide SiO2, aluminum oxide AI2O2 and iodide oxide Fe2O3 in palm-oil ash; the amount was 68.1%,

the sulfur trioxide SO3 was 2.32% and the loss on ignition was 10.80%. Considering the chemical

composition of the palm-oil ash according to ASTM C628 standard, it can be classified as Class N

pozzolan which is natural pozzolan material.

Figure 2: Physical appearance of palm-oil ash.

2.2 CRUSHED DUST AND SAND

Crushed dust which was used in this research study had tested properties according to ASTM

C628 standard by testing the grain size analysis of fine aggregate with the sieve analysis which

resulted in values of Cu = 24 and Cc = 3.58. The test of organic impurities in fine aggregate for

organic matter determination by using indicator papers comparing with bottle liquid, from comparing

the color of indicator papers of 3 % concentrated sodium hydroxide over the crushed dust samples

with the standard color, resulting in a lighter color than the standard color. Hence, this crushed dust

was appropriate to use.

Figure 3: Crushed dust.

The sand used in this research had the following chemical properties; SiO2 = 98.8%, AI2O3 =

0.2%, Fe2O3 = 0.07%, Cao = 0.4% and MgO = 0.08%. From the grain size analysis of fine aggregate

by sieve analysis to compare the standard size of fine aggregate and crushed dust was showed the

beginning of the line and the end of the line showed the similar value of the standard and crushed dust.


But the value in the middle hold more space which meant that in the beginning the crushed dust

remained the same as standard value in the sieve and then hold more space in the middle when the

crushed dust had bigger grain sizes, after that it came close to standard value again at the end since

that it had similar percentage value of size as both crushed dust and sand shared the similar quantities.

3. EXPERIMENTAL DETAILS

3.1 CONCRETE MIX DESIGN To test the concrete permeability, the sample concrete was mixed and cast as the trial-and-error

design of water proportion toward palm-oil ash and crushed dust. The designed compressive strength

was 250 Kilogram per square centimeter (ksc) and the concrete slump was from 5cm to 10cm

according to ACI211 standard as shown in Table 2

Table 2: Proportion of Concrete Mixtures

Code Mixture Material (kg/m

3)

Cement Palm-oil ash Sand Crushed Dust Stone Water

C-PC 347 - 842 - 881 215

C-100-0 347 - - 842 881 204

C-100-10 312 35 - 842 881 205

C-100-20 278 69 - 842 881 206.5

C-100-30 243 104 - 842 881 208

C-90-0 347 - 84 758 881 204.5

C-90-10 312 35 84 758 881 205

C-90-20 278 69 84 758 881 206

C-90-30 243 104 84 758 881 208

C-80-0 347 - 168 674 881 205

C-80-10 312 35 168 674 881 206.5

C-80-20 278 69 168 674 881 208

C-80-30 243 104 168 674 881 210

C-70-0 347 - 253 589 881 205.5

C-70-10 312 35 253 589 881 207

C-70-20 278 69 253 589 881 208

C-70-30 243 104 253 589 881 210

3.2 WATER PERMEABILITY OF CONCRETE The testing of concrete permeability in the concrete sample aged 28 days, the cylindrical

concrete sample was cut at a longitudinal center with a thickness of 4 centimeters. The casted epoxy

of 2.5 cm thickness around the side surface of the cut concrete sample and left for 24 hours. After that,

the block shell was assembled underwater with the pressure of 5 bars, then brought to set at the testing

machine as shown in Figures 4, 5, 6.

Figure 4: Assembled Epoxy.




Figure 5: Underwater assembled block shell. Figure 6: Settled block shell at a testing machine

4. DISCUSSION The result of concrete permeability which was the main objective of this research was concluded

in Table 3. It was found that the controlled concrete C-PC code 28 days of curing, the coefficient of

permeability was 1.202 10-2 m/s. Whereas, the concrete which mixed with 0% palm-oil ash and

100, 90, 80, 70 % of crushed dust replacement of sand showed the coefficient of permeability of

concrete 28 days of curing at C-100-0, C-90-0, C-80-0, and C-70-0 code. At 28 days of curing

concrete, the coefficient of permeability was 9.708 10-13

, 9.810 10-13

, 9.903 10-13

and 1.001

10-12

m/s respectively. To explain this result, the permeability was decreased because crushed dust

had more fine particles than the fine aggregate which helped to fill the void in the concrete and

resulting in higher density in concrete mixed by crushed dust as shown in Table 3.

Table 3: Results of permeability testing in concrete with all cement mixture

and with crushed dust mixture instead of sand Code Water Permeability of Concrete at 28 days (m/s)

C-PC 1.202 x 10-12

C-100-0 9.708 x 10-13

C-90-0 9.810 x 10-13

C-80-0 9.903 x 10-13

C-70-0 1.001 x 10-12

In addition, it was found that the concrete using palm-oil ash instead of cement at 0, 10, 20, and

30 mixed with all crushed dust instead of sand could decrease the coefficient permeability at the code

of C-100-0, C-100-10, C-100-20 and C-100-30 was 9.708 10-13

, 6.104 10-13

, 4.583 10-13

, and

3.645 10-13

m/s respectively. Because of the finer particles of palm-oil ash and calcium silicate

hydrate which reacted with pozzolan helped fill the void and resulted in concrete mixed with palm-oil

ash and crushed dust to obtained more density and higher impermeability as shown in Table 4.

Table 4: Result of permeability testing of concrete mixed

with 100 % crushed dust instead of sand

Code Water Permeability of Concrete at 28days (m/s)

C-PC 1.202 10-12

C-100-0 9.708 10-13

C-100-10 6.104 10-13

C-100-20 4.583 10-13

C-100-30 3.645 10-13


5. CONCLUSION The research studies the permeability in concrete that mixed with pozzolan as palm-oil ash

instead of cement and crushed dust instead of sand. The study finds that the replacement of crushed

dust instead of fine aggregate at 100%, 90%, 80%, and 70% by weight in concrete with 28 days of

curing could make less coefficient of permeability than in controlled concrete at 1.20 to 1.24 times.

Also, the replacement of palm-oil ash and crushed dust instead of cement and fine aggregate in

concrete with 28 days of curing could make less coefficient of permeability than in controlled

concrete at 1.50 to 3.30 times. From the laboratory experiment, the best proportion of using palm-oil

ash instead of cement and crushed dust instead of fine aggregate to obtain well impermeability was

30% of palm-oil ash and 100% of crushed dust by weight.

6. DATA AVAILABILITY STATEMENT The used or generated data and the result of this study are available upon request to the

corresponding author.

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of concrete containing palm oil fuel ash and rice husk–bark ash. Construction and Building

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of high-performance metakaolin and silica fume concrete. Construction and building materials,

20(10), 858-865.

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Technologies, 9(1), 43-48.

Phongphoom Sornchomkaew is a Lecturer at Department of Civil Engineering, Faculty of Engineering and

Architecture, Rajamagala University of Technology Rattanakosin Wang Klai Kang Won Campus, Prachaup Kiri Kan, Thailand. He holds a Master of Engineering degree from Thammasat University. His research focuses on technology

applications to facilitate and foster civil engineering study.

Dr. Kritsada Anantakarn is a Lecturer at the Department of Civil Engineering Technology, Faculty of Engineering and

Architectures, Rajamongala University of Technology Tawan-ok, Uthenthawai Campus, Thailand. He earned his

Bachelor of Engineering (Civil Engineering) from Faculty of Engineering Rajamangala Institute of Engineering, and a Master’s degree in of Urban and Environmental Planning from King Mongkut's Institute of Technology Ladkrabang, and

a PhD from Thammasat University. He is interested in GPS/GNSS and spatial technology.

Dr. Thongchai Phothong is a Lecturer at Department of Civil Engineering Department, Faculty of Engineering, King

Mongkut's University of Technology Thonburi (KMUTT). He is at KMUTT. He earned his Bachelor Degree (Civil Engineering) from King Mongkut's University of Technology Thonburi (KMUTT), Thailand, and Master Degree in

Geotechnical Engineering also from KMUTT. He earned his PhD from Thammasat University. He is interested in

spatial technology and applications.

*Corresponding authors 1.(Lee Phei Qie). Tel: +60-11-19119511, [email protected]. 2.(Lai Chi Mun). Tel: +60-17-6774923. [email protected]. ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12C http://TUENGR.COM/V10A/10A12C.pdf DOI: 10.14456/ITJEMAST.2019.152

1


http://TuEngr.com

PAPER ID: 10A12C

A STUDY OF URBAN DESIGN ELEMENTS IN STRUCTURED

VILLAGE AT GELUGOR, PENANG

Lee Phei Qie a*

, Lai Chi Mun a*

, Ahmad Sanusi Hassan a,

Asif Ali a,b

, Boonsap Witchayangkoon c

a School of Housing, Building & Planning, Universiti Sains Malaysia, MALAYSIA b Architecture Section, University Polytechnic of Aligarh Muslim University, INDIA c Department of Civil Engineering, Thammasat School of Engineering, Thammasat University, THAILAND.


A B S T R A C T Article history: Received 19 April 2019


July 2019

Accepted 15 July 2019


2019

Keywords: Town image; Gridiron

layout; Mental mapping;

Structured village; Urban

circulation; Urbanization.

This paper analyses the town image and the mental mapping of the

structured village at Gelugor, Penang, on five urban design elements,

which are the path, edge, district, node, and landmark. Observation,

data collection and fieldwork survey are the methods applied in the

study. The study finds that Taman Tun Sardon and structural village

in Gelugor have a masterplan with gridiron design, which makes the

site systematically arranged. The gridiron concept forms primary road

networks and linkages with vehicular paths, which make the site well

connected. The path becomes the most dominant element in this study.

This study shows that structured village at Gelugor has an urban design

with regular gridiron urban layout, which provides good circulation in

the area. The gridiron pattern then becomes distortion at Taman Tun

Sardon area due to the hilly topography of the site. The paths formed

by the gridiron layout have enabled a clear definition of the district in

the structured village at Gelugor. The path is the most dominant

element in the study area. Besides, the study shows that there is a lack

of quality nodes and landmarks available in the study area.


1. INTRODUCTION This paper analyses and identifies the five major design elements and principles namely paths,

edges, districts, nodes and landmarks which are implemented in the case study area, structured village

at Gelugor, Penang based on understanding on urban design elements within of the local traditional

built environment in Malaysia (Khashim et al., 2017) referring to the theories of Kevin Lynch (1962).

Penang is one of the states in Peninsular Malaysia. It is situated in northwest coast, comprising of

Penang Island, and also Seberang Perai. George Town (Figure 1) is the capital city of Penang, with

Gelugor (Figure 2) as a suburb in its southern part. The urbanisation of Gelugor (Figure 2) started by


2 Lee Phei Qie, Lai Chi Mun, Ahmad Sanusi Hassan, Asif Ali and Boonsap Witchayangkoon

residential development since early of the 1960s. Sumatra fishermen populates Gelugor (Figure 2)

since the late 18th century. The land use in Gelugor then was transformed into agricultural use to

plant rubber and nutmeg by Captain Francis Light’s partner, named David Brown.

Figure 1: Key plan of the study

The urban study area (Figure 3) is structured villages at Gelugor (Figure 2) which comprise of

Taman Tun Sardon and Kampung Sungai Gelugor. The area is situated 7.7km from George Town,

linked by Jalan Sultan Azlan Shah from Batu Uban to Batu Dumbar. It is consisting of residential

area, with some mixture of commercial, governmental, religious and educational zones. Kampung

Sungai Gelugor still maintain its traditional Malay village structure and elements although it is

surrounded by the drastically high rise residential development. It is 68 acres with 5 acres of

government land, located near to the Penang Bridge which is gateway of Penang. The study also

covers 5.5 acres of low cost landed residential neighbourhood of Taman Tun Sardon with a garden

city concept from England (Khashim et al., 2017). Taman Tun Sardon is located 5.7km from

Georgetown. The main road which linked Taman Tun Sardon is Jalan Hilir Pemancar.

2. LITERATURE REVIEW

2.1 IRREGULAR GRIDIRON URBAN LAYOUT The study area covers two parts of Gelugor town, Kampung Sungai Gelugor, and Taman Tun

Sardon. The most significant characteristic is the urban layout of the area. The building blocks are

neatly in a grid formation (Zakaria, 2018). This urban layout design is a basic planning masterplan

embraced by the British colonial administration (Hassan, 2009). During the British’s colonial era,

divide and rule concept has been implemented into the formation of urban pattern to allocate different

ethnic groups into separated settlements (Hassan, 2017). This concept has indirectly affected the

urban circulation and town image of the study area. The urban gridiron layout is designed in the

irregular pattern due to the alignment with the topography of the study area.

2.2 STRUCTURED VILLAGE Part of the study area, Kampung Sungai Gelugor is formed by the structured village concept. The

structured village is to accommodate Bumiputera (indigenous) people. The urban design is based on a

concept of high-density low-rise type residential development (Hassan, 1999; Hassan & Ku Hassan,

2001). It is a planned village that focuses on providing socio-economic livelihood and benefit of

villagers in the urban area, equipped with basic infrastructures and services as one of the decent

examples (Bentley et al., 1985).


3

2.3 URBAN DESIGN ELEMENTS Lynch (1960) discusses urban design by observing the visual and physical form of a city at an

urban scale. The principle composes five urban design elements, which are the path, edge, district,

node, and landmark. With this approach, the urban design elements are to analyse the impact of urban

design of a city to its function, history, name or the meaning (Larice & Macdonald, 2013).

Figure 2: Location plan Figure 3: Layout plan of the study area.

2.4 BACKGROUND OF CASE STUDY This study site (Figure 3) consists of two neighborhood areas, Kampung Sungai Gelugor, and

Taman Tun Sardon. The total of 73.5 acres of site compromises the elements of the structured village

as its traditional arrangement approach (Elmagalta et al., 2010). There are many public facilities and

institutions located in the site, including Taman Tun Sardon Pavilion, Market place dan Gelugor

Community Hall, GIATMARA, Sungai Gelugor Jamek Mosque, State Fishery Department, Sungai

Gelugor Primary School, Sungai Gelugor Hall, Hindu temple, post office, and banks. From 68 acres

of Kampung Sungai Gelugor, 5 acres is government land, while 63 acres of it is originally owned by

Malay citizen, which then sold to a foreigner named Brown, a businessman which manage both

plantations of rubber and nutmeg in Gelugor (Figure 2). The land is being used for agricultural by

Brown when he owns the land, but then he returns the land to the Malay citizens when he decided to

go back to his own country, England (Jawatankuasa, 2007). Relocation of the people from another

place to this residential area name Kampung Sungai Gelugor was developed by the government once

the land use is being converted again to residential after Brown left the place. According to the 2016

local resident interview, Refurbishment Program of Poor People House is being proposed and carried

out by the Penang government to refurbish the house of poor residents in Kampung Sungai Gelugor.

Currently, the land is populated by almost 1020 families, mostly Malay people (Jawatankuasa, 2007).

In 1826, a primary school of Sekolah Rendah Sungai Gelugor was built in Kampung Sungai Gelugor

and becoming the oldest Malay school in Malaysia. Taman Tun Sardon is a low-cost housing

neighbourhood scheme being developed by the Penang government to solve the issues of housing

affordability by the poor people located at Lot 482 in Penang (Pejabat Rancangan Perumahan Taman

Tun Sardon, 1982). The Lot 482 land was owned by 92 Temporary Occupation License (TOL)


holders but then sold to the government by relocated 88 of the 92 TOL holder in Taman Tun Sardon,

while another four holders to longhouse in Paya Terubong (Pejabat Rancangan Perumahan Taman

Tun Sardon, 1982). This development starts in early 1977 and completed in the year 1982. The site

includes in the study only consists the landed housing development which 139 units of double storeys

residential houses are built on the 5.5 acres of land from March 1977 to May 1978 with a cost of RM

4 million (Pejabat Rancangan Perumahan Taman Tun Sardon, 1982). Information from the interview

of the local resident in 2018 notes that currently, most residents had renovated their houses.

3. METHODOLOGY

This research design approach identifies the mental mapping of the selected site by utilising five

urban design elements (Yasin et al., 2017) according to the theory of Kevin Lynch. The urban design

elements are district, path, edge, node, and landmark. Figure-ground plan of the area involved is

drawn in AutoCAD to gain an initial understanding of the case study. Preliminary study on history

and background of the site is conducted to obtain fundamental information of the site. A site survey is

later carried out to gain a more accurate understanding of the site. Detailed information is then

obtained through a visit to Majlis Perbandaran Pulau Penang (MBPP) and Taman Tun Sardon

Housing Planning Office. The quality of the key urban design elements is identified during the site

survey. The data collected from the site is analyzed based on Kevin Lynch’s urban mapping theory.

The scale of measurement of the urban design elements are as follow:

o Paths

The width and length of the paths are under the study to analyse its relation to the function,

importance, accessibility of the paths at the site.

o Edges

The edges are determined based on the physical features and function of the edges that could become

boundary at the site.

o Districts

The background and history, age, size, land use, and dominance are analysed for the district elements.

o Nodes

The function, attraction, and placemaking of the nodes are studied to analyse the importance of the

nodes at the site.

o Landmark

The popularity, scale, and attraction of the landmarks are observed to study their effects onto the site.

4. RESULTS AND ANALYSIS

4.1 PATHS

4.1.1 VEHICULAR PATH

Figure 5, Jalan Sultan Azlan Shah is the Sultan Azlan Shah Boulevard. In Taman Tun Sardon,

Pintasan Pemancar 1 refers to Pemancar Shortcut 1, Lengkok Pemancar refers to Pemancar Arc. Hilir

Pemancar refers to Pemancar Downstream, Tingkat Pemancar refers to Pemancar Level while Jalan

Molek refers to Molek Road. In Kampung Sungai Gelugor, Jalan Akuarium refers to Akuarium Road,

Tingkat Sungai Gelugor is the Sungai Gelugor Level, Persiaran Sungai Gelugor refers to Sungai


5

Gelugor Sight, Jalan Ismail Nagore is Ismail Nagore road while Lengkok Sungai Gelugor refers to

Sungai Gelugor Arc. There are five main entrances on the site. Two entrances linked to Taman Tun

Sardon while the other three linked to Kampung Sungai Gelugor. All the entrances are double way

entrances accepting the flow of traffic from both inlet and outlet.

Figure 5: Vehicular Path plan of the study area.

Traffic lights are spotted at the entrance linking to Jalan Ismail Nagore, which act as a guide of

traffic flow and divert the traffic load for the vehicles that enter or exit the site. There is only one

arterial road in the site, which is Jalan Sultan Azlan Shah. It is a 20 meters’ double way vehicular path

consists of three lanes each side, connecting the site to Batu Urban from the north and also Jelutong

from the south. The road is aligned in between commercial area, separated from the residential area

by the collector roads. Jalan Sultan Azlan Shah is being linked to many collector roads such as

Lengkok Pemancar and Hilir Pemancar from its west, Jalan Akuarium and Jalan Ismail Nagore from

its east. From the vehicular statistics, Figure 6, Jalan Sultan Azlan Shah can be considered as a good

arterial pathway as it serves no traffic jam even at the peak period of 7.00 pm as the traffic flow is

smooth. Thirty collector roads are spotted in the study area, mainly 6 meters in length, with double

way traffic flow one lane each side. In Taman Tun Sardon, collector of Lengkok Pemancar is linked

to another collector road, Jalan Pemancar and interconnected with Hilir Pemancar, while Hilir

Pemancar is connected with Jalan Molek. Most of the collector roads in the site of Kampung Sungai

Gelugor line between the residential units such as Tingkat Sungai Gelugor 1 until Tingkat Sungai

Gelugor 10, Lengkok Sungai Gelugor 1 and Lengkok Sungai Gelugor 2. The local roads are the

4-meter vehicular path which serves the private community. There are 18 local roads on the site. One

of the local roads from Lengkok Pemancar separates Pasar Rakyat Gelugor and Astaka Taman Tun

Sardon, by allowing only one lane traffic flow along the road. The local road from Tingkat Sungai


Gelugor 5 to dead-end covered by residential units, creating a cul-de-sac, while another local road

acts as a back lane of the commercial shophouse units. The local road which linked from Jalan Molek

poses a small loop circulation of a cul-de-sac along with the residential units.

Figure 6: Arterial road of Jalan Sultan Azlan Shah (left)

and collector road of Tingkat Sungai Gelugor 6 (right)

4.1.2 PEDESTRIAN PATH

Figure 7: Pedestrian Path Plan of the study area.

The pedestrian pathways are only found along both of the side of Jalan Sultan Azlan Shah,

mainly interlocking pathway, Figure 7. There are no pedestrian pathways spotted in the residential

area and this leads to less pedestrian in the residential areas. Figure 8, the pathways along Jalan

Sultan Azlan Shah connect two pedestrian link bridge serving across the road, one is linked to the

commercial shop lots from Taman Tun Sardon and Kampung Sungai Gelugor, while another

pedestrian link bridge is used to connect the residential areas from Taman Tun Sardon and School of


7

SK Sungai Gelugor. Two bus stops are situated at site serving two ways of a public transportation

route, one in front of Taman Tun Sardon, another at Kampung Sungai Gelugor.

Figure 8: Pathway along Jalan Sultan Azlan Shah (left) Linkbridge connecting Taman Tun Sardon

and Kampung Sungai Gelugor (right).

Figure 9: Edges of the study area.

4.2 EDGES The dominant edge unites the site is the main road edge by the arterial road of Jalan Sultan Azlan

Shah, it set a barrier in between of two main residential districts of Kampung Sungai Gelugor and also

Taman Tun Sardon which is in the different urban sprawl, Figure 9. Kampung Sungai Gelugor is a

gridiron arrangement of the settlements while Taman Tun Sardon utilizes the Garden City concept.

Another major road edge is Lebuhraya Tun Dr Lim Chong Eu (Tun Dr. Lim Chong Eu Highway),

separating the residential district of Kampung Sungai Gelugor to the reclaimed land residential


development of The Light. A minor road edge at the side of Tingkat Sungai Gelugor 10 sets a

boundary between residential units in Kampung Sungai Gelugor and the government quarters.

The commercial edges are being separated from the residential area by the collector road of

Tingkat Pemancar for Taman Tun Sardon and Tingkat Sungai Gelugor 2 for Kampung Sungai

Gelugor; it is defined as an edge because of its façade style which is different from the residential

units. There is a natural edge which is the river edge that set up by Sungai Gelugor. It distinguishes

the boundary of Kampung Sungai Gelugor.

4.3 DISTRICTS

Figure 10: Districts of the study area.

The most dominant district of the site is residential areas, followed by the commercial area,

then government quarters, educational area and lastly the recreational area, Figure 10. Residential

area all belongs to the landed property including terrace house, semi-detached house, bungalow with

different hierarchy from the single storey until three storeys residential units. Taman Tun Sardon

belongs to Garden City residential district as the housing layout is being organically arranged

according to the different contour of the slope while Kampung Sungai Gelugor is gridiron residential

district as it is developed according to gridiron arrangement. Most of them are relocated under the

housing program for low-cost housing. Some of the houses have been renovated into a modern style

of architecture while some remain their traditional style. There are two main commercial districts,

separated by Jalan Sultan Azlan Shah. One of the commercial districts situated at Taman Tun Sardon,

while another at Kampung Sungai Gelugor, separating the residential district from the arterial road,

setting up the boundaries between private zones and public zones. Both of the commercial districts

comprise of shop lots selling a variety of services or items such as laundry, hotel, restaurants and mini

markets. The government quarters are basically used for the residential and office for members in the

Royal Malaysian Navy (TLDM). Quarters of single-storey terrace units are built on this district for

the occupants. Educational districts are identified in the site of study. The school of SK Sungai


9

Gelugor is situated at the south region of Kampung Sungai Gelugor, serving not only primary

education but also pre-primary school education. Recreational area includes empty land for

multipurpose use such as any sports activities or meeting point. There is a big empty land along Jalan

Ismail Nagore, while a court is situated along Persiaran Sungai Gelugor 2.

Figure 11: Residential District of the study area

4.4 NODES

Figure 12: Nodes of the study area.

The nodes (Figure 12) that can be found on the site are mainly activity areas or amenities

provided in the neighbourhood because there are two residential areas at the site, which are Taman

Tun Sardon and Kampung Sungai Gelugor. Besides, stop of public transport has also become one of

the nodes at the site. The bus stop naturally becomes a node when people are waiting at the bus stop,

especially during peak hour. These nodes are introverted nodes as they give little directional sense.


The principle of the direction is only toward or away from the node itself due to unclear connections

and general directions. SK Sungai Gelugor, Gelugor market and community centre, and Astaka

Taman Tun Sardon are some of the public amenities that can be found at the site. The nodes that are

determined are functional nodes that serve the community of the site. Tanah Lapang Jalan Ismail

Nagore is considered as the dominant node at the site due to its largest land size among the identified

nodes. Gelugor Market and community centre is the second dominant node due to its important

function that is part of the need of the locals’ daily life. The religion nodes that can be found at the site

are the mosque and Hindu temple. All of these nodes are temporal nodes because the activities that

create nodes only happen at a certain period.

4.5 LANDMARKS

Landmarks are usually identified due to its distinctive identity, form, height or usage at the site.

The landmarks (Figure 13) identified are mostly parts of the amenities around that area. They act as

points of references and can be used to identify one’s location. The landmarks recognised are a

mosque, Hindu temple, post office, Gelugor market, Gelugor community centre and school. The

mosque and Hindu temple become distant landmarks due to the uniqueness and distinctive

architectural styles that are different from other buildings. The architectural styles make the

landmarks easy to be spotted from afar. On the other hand, post office, market, community centre and

school are identified as landmarks with their significant and distinctive usage at the site. There are

only one post office and one school at the site, which makes visitors easy to identify their location

when they see these buildings. The mosque and Hindu temple are the dominant landmarks at the site

due to their height and size that could be recognised from far. These landmarks also represent part of

the culture of the site.

Figure 13: Landmarks of the study area.


11

5. DISCUSSION

5.1 PATHS The path is the most dominant urban design element in the site of the study area. Paths in the site

are interconnecting with each other according to its hierarchy, separating the zoning of the site by its

function and privacy (Ewing & Handy, 2009). Vehicular pathway poses high accessibility as the

arterial road is interconnected to the local roads by the collector roads, slowing down and reducing

the traffic loads at the residential area from the commercial area. The relation between the pathways

smoothen the traffic flow and reduce the traffic load at the main arterial road by providing a few

entrances to each of the residential areas. Traffic lights are spotted on-site for controlling the traffic

flow of the main arterial road of Jalan Sultan Azlan Shah. Several cul-de-sacs are spotted in the

residential area, providing loop circulation or dead-end of the local roads to increase the privacy of

the residential units aligned with them. For pedestrian pathway, it poses low accessibility as the paths

are only provided along the main arterial road of Jalan Sultan Azlan Shah, aligned with the

commercial shop lots in front of Taman Tun Sardon and Kampung Sungai Gelugor, but not linked to

the residential area. The pedestrian pathways are linked by the pedestrian link bridges, providing

access across the main arterial road of Jalan Sultan Azlan Shah without stopping the traffic. Bus stops

are provided at both sides of the arterial road for accessibility of public transportation.

5.2 EDGES The main edge linking the whole site is the road edge of Jalan Sultan Azlan Shah, connecting the

two main residential districts of Taman Tun Sardon and Kampung Sungai Gelugor. Another road

edge of Lebuhraya Tun Dr Lim Chong Eu defines the boundary of Kampung Sungai Gelugor,

separating it with another residential district from the east, and provides privacy between the

residential units. There is a river edge of Sungai Gelugor which also separates Kampung Sungai

Gelugor from Markas Rejimen 2 KOR Polis Tentera Diraja situated at its southern region. While

commercial edges are found aligned with the main arterial road of Jalan Sultan Azlan Shah,

separating the road from residential areas, creating a buffer to the private zone from the sound

pollution of traffic at the road.

5.3 DISTRICTS The district is another dominant urban element in the site of study. There are mainly residential

areas, one at Taman Tun Sardon while another at Kampung Sungai Gelugor, each of the districts is

being separated from the main arterial road of Jalan Sultan Azlan Shah by commercial districts. The

commercial districts are located along the arterial road, setting up at the centre region where most

pedestrian and traffic will pass by to attract the flow of customers. There is a government quarters at

the northern region of Kampung Sungai Gelugor which serves as both residential and official

management areas of the government for members in Royal Malaysian Navy (TLDM). The

recreational district is being set on an empty land along Jalan Ismail Nagore for assembly spot and

also some of the recreational activities.

5.4 NODES Node is one of the less dominant elements in the study area. Nodes at the site are mostly open

spaces formed by thematic concentration and breakpoints of public transportation. The nodes (Figure


12) found at the site are facilities of the housing area. We can see that the scale of the land used as

activity areas are larger compared to the surrounding residential lots. With this characteristic, it

becomes a node and able to accommodate people and acts as a gathering point of the locals. These

nodes that formed by the amenities encourage social interaction among the locals. However, the

nodes only form at certain period due to the activities; for example, the religion nodes will form only

at prayer period. Permanent nodes are lacking at the site. There are no nodes at the junction of roads.

This situation is due to fast moving traffic at the site and poor pedestrian connectivity at the site.

Besides, the identified nodes are not vibrant. This situation could be caused by the improper planning

of the activity area. Most of the nodes at the site are introverted nodes because it is difficult to

recognise from far. These nodes can hardly be used as a directional reference to other locations.

5.5 LANDMARKS Landmark is one of the less dominant elements in the study area. Landmark (Figure 13) is very

limited at the site. The landmarks that can be found are mainly neighbourhood facilities due to its

location in the housing area. The site is a lack of directional landmarks that could help in determining

or spotting location. Visual landmarks that are spotted at the site are both religion landmarks. The

mosque and Hindu temple can stand out from the surrounding building due to the architectural styles

that are affected by religion. The styles form a strong contrast with the surrounding building. The

other landmarks are distinctive due to their functions or usage, which are different from housings at

the site. The most dominant landmark in the study area is Mosque due to its unique architectural style

and size at the site, followed by Gelugor Market because it is the daily necessity of the locals.

6. CONCLUSION

The site of the case study is a housing area that involves Taman Tun Sardon and a structural

village in Gelugor, which is Kampung Sungai Gelugor. Most dominant element at the study area is a

path that forms the urban pattern, then follow by district and edge. The landmark and node contribute

less in building up the town image of the study area. The urban planning and layout of the site is a

distorted gridiron layout. This type of urban layout design provides a systematical structure to the

housing area. The layout provides effective circulation of vehicular pathways, which are good for

wayfinding. Efficient coordination of hierarchical paths is formed by the gridiron layout of the

circulation. The edges created by the highway and river have formed a distinctive boundary around

the site. The dominant district at the site is residential district supported by the commercial district,

which is part of the facilities of the housing area. However, landmarks and nodes are limited which

causes lack of point of reference at the site. The site is less community-friendly due to limited

potential space and place that could become landmark and node. These two elements are the main

elements that act as the meeting or gathering point for the community. More nodes should be

introduced to the site to strengthen the sense of community at the site. The site is very unique due to it

has the background of a traditional village. It transformed to suit the current need. With its

background as a traditional village, the Malay culture and identity could easily be observed through

the architectural style and facilities provided at the housing area.


13

7. DATA AVAILABILITY STATEMENT

The used or generated data and the result of this study are available upon request to the

corresponding author.

8. ACKNOWLEDGEMENT

We would like to express our sincere appreciation to Universiti Sains Malaysia for a support to

this study with a Bridging Grant, Number 304.PPBGN.6316521. We also feel thankful to all of the

respondents that took part in this research during the data collection.

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Ewing, R., & Handy, S. (2009). Measuring the unmeasurable: Urban design qualities related to

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Hassan, A.S. & Ku Hassan, K.A. (2001). Konsep Perumahan Tradisional Berkelompok dan Berdensiti

Tinggi di Pantai Barat Semenanjung Malaysia (High Density Traditional Clustered Housing

Concept at Western Coastal Area in Peninsular Malaysia). Penang: USM Press.

Hassan, A.S. (1999). Corak Penempatan Perumahan Tradisional Berkepadatan Tinggi. Journal of

Housing, Building and Planning. Penang: USM Press.

Hassan, A.S. (2009). The British Colonial ‘Divide and Rule’ Concept in Inner City of George Town.

Penang: Its Influence to Irregular Layout of the Transport Access. International Journal of

Transportation, Springer Science + Business Media LLC., 36(3), 309-324.

Hassan, A.S. (2017). Amalan Tebusguna Tanah, Reka Bentuk Bandar dan Seni Bina di Malaysia. Penang:

USM Press.

Jawatankuasa Kerja Kampung Sungai Gelugor (2007), Menelusuri sejarah awal Kampung Sungai

Gelugor, Retrieved on 24 April 2019 at http://jkkksggelugor.tripod. com/id1.html.

Khashim, N. F., Ismail, M., Hassan, A. S., & Al-Ashwal, N. T. (2017). A Study on Kevin Lynch's Urban

Design Elements: Precinct 9 East Putrajaya. International Transaction Journal of Engineering

Management & Applied Sciences & Technologies, 8(3), 153-167.

Khashim, N.F., Ismail, M., Hassan, A.S. & Al-Ashwal, N.T. (2017). A Study on Kevin Lynch’s Urban

Design Elements: Precinct 9 East Putrajaya, International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies, 23 (7): 6140-6143.

Larice, M. & Macdonald, E. (2013). The Urban Design Reader. New York: Routledge.

Lynch, K. (1960). The Image of the City. Massachusetts: The MIT Press.

Pejabat Rancangan Perumahan Taman Tun Sardon. (1982), Taman Tun Sardon (Unpublished Report).

School of Housing, Building and Planning, Universiti Sains Malaysia.

Phei Qie, Lee et al. (2018), Urban Street Study in Gelugor (Unpublished Report). School of Housing,

Building and Planning, Universiti Sains Malaysia.


Yasin, N. M., Hassan, A. S., & Al-Ashwal, N. T. (2017). Investigation of Mental Mapping in Urban

Design: Case of Queensbay, Penang. International Transaction Journal of Engineering

Management & Applied Sciences & Technologies, 8(4), 261-273.

Zakaria, M.H., Ismail, M., Hassan, A.S. & Al-Ashwal, N.T.. (2018). Urban Design Study on Kota Bharu

City Centre, Kelantan, Malaysia . The Arab World Geographer. 21(3). 193-208.

Lee Phei Qie is a postgraduate student of Master of Architecture in Universiti Sains Malaysia. She obtained her degree of Bachelor of Architecture in Science School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, Malaysia. Her current interests involve architectural design development, sustainable housing structure and urban planning design.

Lai Chi Mun is a postgraduate student of Master of Architecture in Universiti Sains Malaysia. She received her Bachelor of Architecture in Science from Taylor's University in 2018. Chi Mun's current interests include housing development design and urban planning design.

Professor Dr.Ahmad Sanusi Hassan is a Professor in Architecture Programme at the School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, Malaysia. He obtained a Bachelor and Master of Architecture degrees from University of Houston, Texas, USA, and Doctor of Philosophy (PhD) degree from University of Nottingham, United Kingdom. His research focuses on Sustainable Architecture and Urban Design Development for Southeast Asia, history and theory of Architecture, Computer Aided Design (CAD) and Computer Animation.

Asif Ali is an Assistant Professor of Architecture in the University Polytechnic of Aligarh Muslim University,India. He received his B.Arch. from Aligarh Muslim University with Honors in 1998. He did his M. Arch.from Aayojan School of Architecture, Jaipur, India. Asif Ali's current interests include Sustainable Development and Islamic Architecture in India. Presently he is pursuing his PhD at School of Housing, Building and Planning, University of Science, Malaysia.

Dr.Boonsap Witchayangkoon is an Associate Professor of Department of Civil Engineering at Thammasat University. He received his B.Eng. from King Mongkut’s University of Technology Thonburi with Honors. He continued his PhD study at University of Maine, USA, where he obtained his PhD in Spatial Information Science & Engineering. Dr. Witchayangkoon current interests involve Applications of Emerging Technologies to Engineering.

*Corresponding author (A.Sadov) E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12D http://TUENGR.COM/V10A/10A12D.pdf DOI: 10.14456/ITJEMAST.2019.131

1


http://TuEngr.com

PAPER ID: 10A12D

AN ANALYSIS OF RESEARCH AREAS

IN PRECISION AGRICULTURE

A.S.Gusev a, G.A.Beznosov a, N.V. Ziablitckaia b, M.V. Kholmanskikh a,

L.A. Novopashin a, L.V. Denyozhko a, A.A. Sadov a* a Federal State Budgetary Educational Institution of Higher Education «Ural State Agrarian University»

(FGBOU VO Uralsky GAU) Ekaterinburg, ul. Karl Liebknecht, 42, RUSSIAN FEDERATION. b South Ural State University, Chelyabinsk, pr.Lenina, 76, RUSSIAN FEDERATION.


A B S T R A C T Article history: Received 01 May 2019


July 2019



2019

Keywords: Agriculture technology;

Web of Science;

Precision farming;

Precision livestock

farming (PLF); Precision

agriculture research.

This article discusses the key research areas in precision farming

and precision agriculture. The bibliographic method is used as a research

tool. The average level of precision farming technologies in the USA is

30-50%, in the Russian Federation 10%. Despite the fact that precision

agriculture technologies are aimed primarily at reducing costs by

increasing the intensity of production and the level of resource output,

the studies show that the resource intensity of agricultural production in

Russia is still too high to speak about success in resource conservation.

The 2014-2018 articles contents in the bibliographic database Web of

Science are analyzed, totaling 4662 articles. In the most highly cited

articles native English speakers (USA, UK, Australia) often use the term

“precision farming”, while other countries scientists (China, India, EU,

Iran, etc.) use the term “precision agriculture”. The considerable leaders

in the total number of publications on the subject are countries with

traditionally developed agriculture, such as the USA (20.0% of the

number of articles reviewed), Brazil (8.8%), China (17.5%), and Spain

(7.3%). The leader among scientific journals with publications on the

problem is “Computers and electronics in agriculture”; it has 4.9% of all

articles. The leading research organizations include the US Department

of Agriculture (USDA), the Chinese academy of Sciences, Consejo

Superior de Investigaciones Cientificas CSIC (Spain). The average

level of introduction of precision farming technologies in the USA is

estimated at 30-50%, while at large farms the level of technology use is

twice the small ones. Its most common elements are: a computer with

high-speed Internet access, an analysis of soil samples (98%); yield

maps, yield monitors, GPS navigation systems (about 80%); differential

fertilization technologies (60%); satellite images and a vegetative index

analysis - (no more than 30%) of farmers. All the listed technologies

should be developed intensively both in the world and in Russia, with

the increased investments in precision agriculture research.



2 A.S.Gusev, G.A.Beznosov, N.V. Ziablitckaia, M.V. Kholmanskikh, L.A. Novopashin, L.V. Denyozhko, A.A. Sadov

INTRODUCTION

Entrepreneurship in the agrarian sector is making significant efforts to reduce the costs of major

resources. One of the solutions based on various technological breakthroughs in the digital industry is

precision agriculture technologies.

There is an opinion that the concept of “precision agriculture” is associated with the concepts of

“precision farming” and “precision livestock farming” (PLF). The scientific literature uses the

following synonyms of the category “precision farming”: coordinate farming, information

technology, GPS technologies, etc. For the first time, there were the elements of the precision farming

system with GPS to determine the position to which any measured parameter of the field should be

linked [1]. Precision farming technologies began to be used in the late 1980s in the United States and

Australia [2,3,4]

The application of the precision farming system became possible due to advances in such

technologies as global positioning systems (GPS), geographic information systems (GIS), remote

sensing and simulation modeling, and robotics. These technological breakthroughs have made

opportunities for assessing and managing spatial and temporal variability using various methods. The

combination of these concepts is traditionally referred to as precision farming (precision agriculture)

or crop and soil management.

Precision animal husbandry can be defined as “the application of principles and methods of

technological design in animal husbandry for automatic monitoring, modeling, and management of

animal husbandry” [5]. These technologies in animal husbandry make the production more

cost-effective [6], socially and environmentally sustainable, and this can be achieved by observing,

interpreting the behavior [8] and, if possible, individual control after animals [9].

METHODOLOGY

The relevance of precision farming has resulted in an increase of publications in recent years.

However, there is no structured analysis of this published material. This study attempts to analyze the

scientific results of research on problems of precision agriculture published in 2014–2018. With the

bibliometric method, mainly based on the use of network analysis tools, it became possible to explore

the main aspects of this research area. This will discover the trends in publications and areas of

research, as well as their geographical distribution. In the Web of Science database, 4,662 scientific

publications were found over a specified period. The number of publications has increased after 2014

significantly, which underlines the relevance of the research topic.

The study aims to determine the directions and prospects for the use of precision agriculture

systems by analyzing the publications on this topic.

The bibliographic method was used as a methodological research tool. At the first stage, the

content of publications on the systems of precision agriculture was analyzed. The review of

publications was carried out on the basis of a system approach. A literature screening was performed

and the text was analyzed to clarify whether the selected articles were relevant to the research

problems. As a result, the most relevant publications in peer-reviewed research journals were chosen.

The rest of the publications were irrelevant to the research problem, as they were related to the


3

precision agriculture indirectly and, thus, were excluded from further analysis. The review concerns a

comparison of the research areas of “precision farming” and “precision agriculture”, the specific

nature and frequency of occurrence of particular research sub-areas in the world scientific literature

according to the Web of Science database.

The results of the study can be used by the executive authorities in the development of programs

on innovative agricultural development and technical modernization of the industry.

RESEARCH RESULT

The concept of “Precision agriculture” can be defined as a characteristic of soil conditions at the

field level for land management [10]. There are other approaches, in particular, “Precision

Agriculture”, that is a management concept based on observation, measurement, and response to

variability within fields in crops [11].

There are three main stages in the precision farming system. Firstly, it is a primary exploratory

analysis, which is collecting information about the economy, field, culture, and region. Secondly,

there is an analysis of the results of monitoring, followed by the adoption of relevant management

decisions. And the third stage is the development of a field treatment strategy for a specific agrarian

operation or in general for the next year, and relevant agro-technological operations [12, 13].

There are various estimates of the level of introduction of precision farming systems into

agricultural production. The average level of introduction of precision farming technologies in the

USA is estimated at the level of 30-50%, while at large farms the level of technology use is 2 times

higher than at small ones. Its most common elements are: a computer with high-speed Internet access,

an analysis of soil samples (98%); yield maps, yield monitors, GPS navigation systems (about 80%);

differential fertilization technologies (60%); satellite images and a vegetative index analysis - (no

more than 30%) of farmers.

The precision livestock farming is a kind of precision agriculture; its essence is the economical

and accurate use of material resources: fuel, seeds, feed, electricity, introduction of the latest

scientific advances in the production of animal origin products using modern technical equipment

with electronics for optimal results with the best cost recovery with the products. Moreover, if in

precision farming, the implementation of the technology requires not only electronics but also spatial

positioning with space navigation systems, in precision livestock farming this task is simplified due to

the use of electronic animal identification systems. The effectiveness of precision animal husbandry

is in the availability of a complex of precision technologies and technical means with electronic

control.

According to scientists’ opinion, a key requirement to precision machine technologies in animal

husbandry is providing the specified parameters for the implementation of technological processes

and living conditions in rooms and in choosing modes of interaction of machines with biological

objects to produce a high-quality product with desired properties. They include such operations as

preparation of balanced feed mixtures, individual feed dosing systems, automatic milking machines

and equipment, means for deep cooling of milk, systems for automatic control of climate parameters

in livestock housings, systems for sorting and packaging finished products.


For this reason, precision agriculture is widespread only in large areas of the United States,

Germany, Denmark, the Netherlands, and the United Kingdom. Such technologies are beginning to

be introduced in Russia.

There is a serious difference in the assessment of the current level of application of precision

farming technologies in Russia. So, according to the Ministry of Agriculture of Russia, the elements

of precision farming are used in 1591 farms of the country on an area of 7521 thousand hectares.

According to the Ministry of Agriculture, the leading regions in terms of the number of farms are the

Lipetsk, Oryol, Samara, Kurgan, Voronezh, and Tyumen regions. The share of coverage with various

communication technologies of agricultural land in 2018 was at the level of 10% [14]. At the same

time, there are assessments of scientists of the Kuban State Agrarian University (Figure 1).

Figure 1: Region of Russia applying precision farming technology.

According to the Ministry of Agriculture, the leading regions by the number of farms are the

Lipetsk, Oryol, Samara, Kurgan, Voronezh, and Tyumen regions. The share of coverage of

agricultural lands with various communication technologies in 2018 is at the level of 10%.

At the same time, the concept of "Scientific and technological development of digital agriculture

"Digital Agriculture", developed under the Ministry of Agriculture of the Russian Federation by such

competent organizations as the Russian Academy of Sciences, Moscow State University by M.V.

Lomonosov, "Higher School of Economics" and others reports that the share of agricultural

enterprises which use the Internet of things, precision farming, digital herd, and smart greenhouses by

the end of 2018 is less than 1%. But the target indicators have an ambitious goal to increase this

number in 20 times by 2021, and 60 times by 2024. Regional Departments and Ministries have

already joined the implementation of these plans, at least through increasing the share of such

enterprises by considering certain technological operations as precision farming technologies, which

can hardly be considered justified. Such work gave a leading position in the application of precision

farming technologies in agriculture to the subsidized Kurgan region, Lipetsk, Oryol, Samara,

Voronezh and Tyumen regions. This proves the absence of a fundamental scientific and regulatory

framework and may result in distortion of the real situation in the development of precision farming

182

77

139 141

68

39

121

27 21 14 21 19 163

64 54 47

163

0

40

80

120

160

200

Nu

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s

Region


5

technologies that are dangerous for the Russia economy as a whole.

Despite the fact that precision agriculture technologies are aimed primarily at reducing costs by

increasing the intensity of production and the level of resource output, the studies show that the

resource intensity of agricultural production in Russia is still too high to speak about success in

resource conservation. Table 1 exhibits resource intensity for the Kurgan region of Russia.

Table 1: Resource intensity of production by the example of agricultural enterprises of grain

specialization in the Kurgan region.

№ Total

resources

Gross Production Resource

intensity

Considering

thousand

rubles Specific

Land

intensity

Labour

intensity

Capital

intensity

Materials

intensity

1 0.533 47091 0.108 4.943 0.849 0.204 2.820 1.071

2 0.138 13563 0.031 4.435 1.369 0.472 1.261 1.334

3 0.095 8298 0.019 4.976 1.779 0.974 0.501 1.722

4 0.364 35564 0.081 4.468 1.190 1.231 1.160 0.887

5 0.029 2235 0.005 5.706 1.641 1.507 1.540 1.018

6 0.979 152546 0.349 2.802 0.756 0.640 0.565 0.841

7 0.221 16929 0.039 5.711 0.974 2.526 0.947 1.263

8 0.154 11483 0.026 5.846 1.684 2.948 0.238 0.977

9 0.124 6941 0.016 7.801 1.799 3.178 1.845 0.979

10 0.126 9300 0.021 5.898 1.352 1.630 1.700 1.217

11 0.182 9860 0.023 8.067 1.588 4.184 0.993 1.302

12 0.046 3479 0.008 5.795 2.057 1.888 0.832 1.019

13 0.280 32032 0.073 3.815 1.228 1.109 0.313 1.165

14 0.124 15447 0.035 3.510 1.055 0.654 0.774 1.028

15 0.138 10425 0.024 5.763 1.248 2.067 1.274 1.173

16 0.074 7693 0.018 4.178 1.170 0.350 1.767 0.891

17 0.185 29298 0.067 2.760 0.577 0.655 0.594 0.934

18 0.130 14777 0.034 3.832 0.793 0.684 1.354 1.001

19 0.079 9674 0.022 3.578 1.254 0.714 0.554 1.056

Total 4.000 436636 1.000 – – – – –

To determine the level of regulatory resource intensity with consideration of the qualitative

characteristics of the soil and intensity of resource use, we use the following formula,

Pnorm = 12.39 – 0.08x1 + 1.39x2 + 0.83x3- 3.63 x4,

where

x1 – soil assessment grade, x2 – the intensity of labour use, thousand-person – hour/ha;

x3 – intensity of fixed production facilities use, thousand rubles/ha;

x4 –intensity of material resources use, thousand rubles/ha.

The coefficient of regulatory resource intensity development shows an average level of resource

use in the analyzed agricultural enterprises of grain specialization depending on the soil quality,

intensity use of labour, fixed capital and material resources (Table 2).

Ranking of the analyzed agricultural enterprises of grain specialization by a degree of

development of the regulatory resource intensity shows that the first nine of them do not develop the

possible level of resource intensity. thus. having large reserves for the production of additional

products (Table 3).

https://www.multitran.com/m.exe?s=gross%20production&l1=1&l2=2


Table 2: The ratio of physical and regulatory resource intensity of production (by the example of

agricultural enterprises of grain specialization in the Kurgan region) Number of

agricultural

organization

in order

Resource intensity A degree of

development of

regulatory resource

intensity

Gross

production.

thousand

rubles

Additional GP.

thousand

rubles Physical Regulatory

1 4.943 4.472 0.905 47091 -4488

2 4.435 3.603 0.812 13563 -2546

3 4.976 3.531 0.710 8298 -2410

4 4.468 5.364 1.201 35564 7138

5 5.706 5.849 1.025 2235 56

6 2.802 3.881 1.385 152546 58756

7 5.711 6.052 1.060 16929 1011

8 5.846 6.196 1.060 11483 687

9 7.801 7.527 0.965 6941 -243

10 5.898 5.571 0.945 9300 -515

11 8.067 7.256 0.900 9860 -991

12 5.795 5.935 1.024 3479 84

13 3.815 3.776 0.990 32032 -324

14 3.510 3.458 0.985 15447 -230

15 5.763 5.635 0.978 10425 -231

16 4.178 4.648 1.112 7693 864

17 2.760 2.828 1.025 29298 718

18 3.832 4.377 1.142 14777 2104

19 3.578 3.925 1.097 9674 938

Table 3: Ranking of agricultural enterprises by a degree of development of the regulatory resource

intensity (by example of the enterprises of grain specialization in the Kurgan region)

Rank N* Resource intensity A degree of development

of regulatory resource

intensity

Gross production.

thousand rubles

Additional GP.

thousand rubles Physical Regulatory

1 3 4.976 3.531 0.710 8298 -2410

2 2 4.435 3.603 0.812 13563 -2546

3 11 8.067 7.256 0.900 9860 -991

4 1 4.943 4.472 0.905 47091 -4488

5 10 5.898 5.571 0.945 9300 -515

6 9 7.801 7.527 0.965 6941 -243

7 15 5.763 5.635 0.978 10425 -231

8 14 3.510 3.458 0.985 15447 -230

9 13 3.815 3.776 0.990 32032 -324

10 12 5.795 5.935 1.024 3479 84

11 5 5.706 5.849 1.025 2235 56

12 17 2.760 2.828 1.025 29298 718

13 7 5.711 6.052 1.060 16929 1011

14 8 5.846 6.196 1.060 11483 687

15 19 3.578 3.925 1.097 9674 938

16 16 4.178 4.648 1.112 7693 864

17 18 3.832 4.377 1.142 14777 2104

18 4 4.468 5.364 1.201 35564 7138

19 6 2.802 3.881 1.385 152546 58756

Note: N* = Number of agricultural organization.

The other enterprises in this ranking make full use of the existing potential. which is due to the

getting of additional gross production thanks to the most efficient use of production resources.

Problems and prospects of using precision agriculture are the subjects of many studies (Figure 2).


7

Figure 2: The number of publications by years

As the figure shows. the greatest interest in these issues arose after 2014. For the studied period,

4662 articles were found. which proves the urgency of the problem.

The analysis of the Web of Science publications over the past 5 years shows that the areas of

animal husbandry, food production, and veterinary medicine are within the precision farming, while

such unique areas as plant science, computer science, and mathematical computational biology are

characteristic for precision agriculture (Figure 3).

Figure 3: The main areas of studies on precision agriculture.

A comparison of publications with the keywords “precision farming” and “precision agriculture”

shows that in the most highly cited articles native English speakers (USA. UK. Australia) often use

the term “precision farming”. while scientists from non-English speaking countries (China. India.

EU. Iran. etc.) in similar cases use the term “precision agriculture”.

A keyword analysis allows identifying key publications on issues of precision agriculture. They

include “Computers and electronics in agriculture”; it is 4.9% of all articles (Figure 4).

Figure 4: Scientific editions with the most number of publications on precision agriculture.

654 7661005 1056

1180

0

500

1000

1500

2014 2015 2016 2017 2018

Nu

mb

er o

f

pu

bli

cati

on

s, p

iece

s

Years

3662

1938

15331465129212861206116910691049

0

500

1000

1500

2000

2500

3000

3500

4000

Nu

mb

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lica

tio

ns,

pie

ces

Research areas

Agriculture

Plant sciences

Science technology other topics

Computer science

Environmental sciences ecology

Engineering

Mathematical computational

biology


“Precision agriculture” takes second place. which has 3.6% of publications in the studied

period.

Many countries study the problems and prospects of the introduction of precision farming and

animal husbandry in agriculture. These are the countries with traditionally developed agriculture.

such as the USA. China. Brazil. Germany. Italy. and Spain (Figure 5).

Figure 5: Countries with the largest number of publications on precision agriculture.

The leaders are the United States (20.0% of articles). Brazil (8.8%). China (17.5%). and Spain

(7.3%).

Many scientific organizations are engaged in the research of precision agriculture technologies.

The leaders are the United States Department of Agriculture (USDA), the Chinese Academy of

Sciences (China), the Consejo Superior de Investigaciones Cientificas (CSIC, Spain), the State

University System of Florida (USA), the China Agricultural University (China) and others (Figure 6).

Figure 6: Scientific organizations with the largest number of publications on precision agriculture

DISCUSSION The article deals with the financing of R&D mainly through foreign funds and scientific

organizations. which take a leading position in the open “grant market”.

The use of advanced technical tools and achievements in precision farming allows predicting

crop yields. determining the level of normalized difference vegetation index (NDVI) plants.

934

814

482410

341 311 308 270 246170

0

200

400

600

800

1000

Nu

mb

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f p

ub

lica

tio

ns,

pie

ces

Country

USA

Peoples r China

China

Brazil

Spain

India

Germany

Italy

Australia

Canada

158

120

99 99

8274 72 72 69 69

0

40

80

120

160

200

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mb

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ub

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tion

s,

pie

ces

Organization

United states department of agriculture

USDAChinese academy of sciences

China agricultural university

Consejo superior de investigaciones

cientificas CSICChinese ACAD SCI

State university system of FLORIDA

Indian council of agricultural research

ICAR


9

performing analysis and considering the variability of the level of moisture supply. which is of great

importance in crop growing. Modern large-scale agricultural production cannot be imagined without

precision farming technologies. which are possible on the basis of the use of indicator systems,

sensors, and lidars, various prediction algorithms and artificial intelligence.

The development of precision farming technologies is associated with ever-increasing demands

for economic efficiency and ecological safety of farming. There is a need to reduce the cost of

expensive fertilizers and plant protection products as well as fuel and lubricants.

CONCLUSION The use of the elements of precision agriculture makes a huge commercial market for the

development of the agro-industrial sector throughout the world. We have been proposed the

coefficient of regulatory resource intensity development shows an average level of resource use in the

analyzed agricultural enterprises of grain specialization depending on the soil quality. intensity use of

labour. fixed capital and material resources. In recent years. the leading countries have invested great

amounts of money and have made great efforts to take advantage of this industry. The leaders in these

studies are the countries with developed agriculture such as the United States, China, Brazil, Spain,

etc. It is obvious that all these technologies should be developed intensively in Russia but this should

be associated with increased investments in research in the field of precise agriculture.

AVAILABILITY OF DATA AND MATERIAL The data used is included in this article. No data is generated from this study.

CONFLICT OF INTERESTS The authors confirm that the revealed information does not contain a conflict of interest.

ACKNOWLEDGMENT The work was carried out with the support (FGBOU VO) the Ural State Agrarian University.

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agrarian robotized tools. The journal of Kabardino-Balkaria scientific centre of RAN. 2017. 3:13–19.

[14] Fedorenko V.F.. Chernoivanov V.I.. Goltyapin V.Y.. Fedorenko I.V. “The world trends in

intellectualization of agriculture: scientific analytical review.” – M.: FGBNU «Rosinformagro». –

232 pp. 2018.

Dr.A.S. Gusev has a Ph.D. in Biological Sciences. His research interests are Land Management, Economic and Mathematical Modeling of Economic Processes and Phenomena in the Precision Farming System, Land Management based on Modern Digital Technologies.

Dr.G.A. Beznosov has a PhD in Economics. His research includes Development of the Economic Mechanism of Resource Conservation, Economic and Mathematical Modeling of Economic Processes and Phenomena in the Precision Farming System, Development of the Organizational and Economic Mechanism of Sustainable Land Management based on Modern Digital Technologies, Profitability of Agricultural Production.

Professor Dr.N.V. Ziablitckaia is Professorat South Ural State University, Chelyabinsk, Russia. She holds the Doctor of Economics degree. Her research interests encompass Business Planning, Competitive Advantages of an Organization, Lean Manufacturing, Development of Petrochemical clusters, Petrochemical Industry.

M.V. Kholmanskikh is a Lecturer. His research is pertaining to Precision Farming Technologies, Lean Manufacturing, Economic and Mathematical Modeling of Economic Processes and Phenomena in the Precision Farming System.

L.A. Novopashin is a Candidate of Technical Sciences, Associate Professor. His scientific interests are problems of starting Transport and Technological Machines, Digitalization of Agriculture, research of Alternative Types of Energy.

L.V. Denyozhko is a Candidate of Technical Sciences, Associate Professor. Her scientific interests are research of Working Processes in Internal Combustion Engines, the use of Digital Technologies in the Study of Processes in Thermoelectric Thermometers, Research of Alternative Types of Energy.

A. A. Sadov is a Post-graduate Student. His research interests are research on renewable alternative types of Energy, Processes of Digitalization of Agriculture, Development of Robotic Complexes for Agricultural Needs.


in this article are the property of their respective owners. using for identification purposes only. Use


*Corresponding author (Muhammad Junaid Siraji) E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12E http://TUENGR.COM/V10A/10A12E.pdf DOI: 10.14456/ITJEMAST.2019.155

1


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PAPER ID: 10A12E

AN INVESTIGATION ON STAKEHOLDERS’ PERCEPTION

REGARDING EFFECTIVENESS OF SOCIAL MEDIA IN

PAKISTAN’S HIGHER EDUCATION

Muhammad Junaid Siraji a*

, Liaquat Hussain a

a

Institute of Education & Research, Gomal University, Dera Ismail Khan, KP, PAKISTAN.


A B S T R A C T Article history: Received 15 April 2019


July 2019



2019

Keywords: Social media

effectiveness; Higher

educational institutions;

Parents’ perception;

Students' perception;

Teachers’ perception.

In the contemporary era, social media is considered as a vital tool

for providing opportunities to different groups of stakeholders to get

them informed about shared interests. It helps stakeholders in sharing

views, organizing demands and managing their interventions. The

effectiveness of social media has become vital phenomenon which needs

further exploration in different context including higher education. The

stakeholders’ perception (students, parents & teachers) about social

media effectiveness has developed the leading and burning issue in the

context of higher education. These concepts have been extracted from

the existing research studies which were transformed into theoretical

framework wherein hypotheses were developed. The perceptions of the

said stakeholders were analyzed by collecting primary data from

students, parents, and teachers hailing from the higher educational

institutions of Khyber Pakhtunkhwa. The results of study provide

significant information in deciding relationships between research

concepts.


INTRODUCTION 1.

In the modern age of globalization, social media has played critical role by sharing information

over digital technologies thereby connecting diverse group of individuals for certain well-defined

motives. The social media is the main channel of communicating information over the advanced

technologies which is helpful in creating and sharing ideas, information and expression around virtual

groups (Greenhow et al., 2006). The social media talk about applications of diverse tools and

techniques by visiting diverse websites over internet that are designed to allow different individuals

to share information more quickly and effectively (Hemmi et al., 2009). Social media played critical

role in developing interactions by linking like-minded people who have similar interests. The

effectiveness and vitality of social media become imperative in each domain and context but its role

in higher education becomes phenomenal due to application and adaptability of the digital

technologies (Sharda et al., 2013).


2 Muhammad Junaid Siraji, Liaquat Hussain

The higher educational institutions being the highest seats of the learning and teaching are

responsible to deliver quality education to students thus producing competent and committed future

workforces to different sectors of economy (Mukhaini et al., 2014). In higher education, different

stakeholders (students, parents & teachers) are frequently held liable in maintaining the mission and

values which are mostly related to the long-lasting objectives and standards of institutions (Gemma &

Marín, 2015). The stakeholders are accountable for the sole educational experiences, so, letting them

offer distinctive social media involvements just seems right. They can play pivotal role by sharing the

institutional standards and values over social media to up-bring the standing along with norms and

values of the concerned institutions (Akhmad et al., 2018). In same line, stakeholders over effective

utilization of social media might overwhelm the situation at pat to international standards.

THEORETICAL DEVELOPMENT 2.

In the contemporary competitive era, the emergent role of social media has become dynamic in

each domain like society, politics, economics, and education (Sharda et al., 2013). Certainly, there

exists some new opportunities with regard to applications of various social media networks like social

networking websites, content communities, shared projects, wikis, blogs and other different forums

which have their momentous impact upon the educational process for all the stakeholders (teachers,

students and parents) (Gemma & Marín, 2015). Social media, with the introduction and application of

advanced technologies, gain continuous admiration in the contemporary era (Christin & Harney,

2017). The effective social media use bring along certain wide-ranging positive values as it is pool of

the diverse connected communications networks committed to community-based ideas, interaction,

content sharing and collaboration (Akhmad et al., 2018). These collaborations might have certain

benefits for stakeholders (students, parents & teachers) when used in context of the teaching and

learning environment especially in the higher institutions.

2.1 STAKEHOLDERS’ PERCEPTION The present study is a response to the widespread use of social media by different stakeholders

for academic-related commitments. This study might highlight social media as effective teaching and

learning instrument in higher education. With respect to the higher education, different stakeholders

are associated with institutions in which students, parent, and teachers are foremost. These are real

shareholders who are ultimate beneficiaries of educational quality and might have wide-ranging

contribution in enriching educational standards. The social media might be sources of academic

interaction among the students which might be helpful in inspiring their potentials towards

shortcomings in their academic activities. Conversely, social media has gained attention of parents as

they are worried about time spent by children on social media regarding negative and positive

consequences. Equally, teachers are only source who through motivation can inspire students and

parents towards the positive usages of social media for educational purposes.

2.1.1 PERCEPTION OF STUDENTS

In the students’ lifetime, the most prominent dynamic forces are learning by studying to gain

certain knowledge to become the individuals of honorable characters. But nowadays, the teaching and

learning process is totally threatened by students fetching captured by maneuvers of social

networking (Isman & Dabaj, 2004). On one hand, students are able to obtain updated knowledge by


3

using the social media networking but on other hand, students ignore their studies by disbursing their

time on different websites of social networking instead of learning academic credentials and

interacting with those people who have ample knowledge in this regard (Hamid et al., 2011).

Consequently, the active and frequent partaking in social media networking might adversely mark

academic successes by hindering their journeys towards future careers (Hamid et al., 2015). Students

have diverse perceptions about social media usages about positive and negative consequences

associated with use of social media networking for diverse drives (social interaction & academic

information) (Akhmad et al., 2018).

2.1.2 PERCEPTION OF PARENTS

The literature revealed that parents have diverse responses around the usage of social media as

social networking is sometimes helpful in accommodating students in academic conversation but

most of time it is considered as time-wasting activities (Greenhow et al., 2006). Most of the parents

perceive that students are using social media for social interaction and not for academic collaboration

which in turn greatly affects their academic performance and achievements (Funk et al., 2009).

Further revealed that issues of social media usage results in rigid conversations among the students

and parents as both of them view social media at both the ends (positive & negative dimensions)

(Allen et al., 2013). Similarly, due to rapid technological changes, the parents frequently fall overdue

their children in understanding the digital technologies' practices (Christin & Harney, 2017). Since

students know often more about different websites of social media rather than their parents, students

are often at risk of learning problematic behaviors by using social media from different websites.

2.1.3 PERCEPTION OF TEACHERS

The teachers’ perception matter a lot with regard to the usages of social media by their students

as the teachers are always of the opinion that the social media has both positive and negative impact

on students’ behaviors, learning activities along with academic performance and successes (Gulbahar

& Hunain, 2008). Networking (social media) can encourage students to effect linguistic problems and

can improve student engagement in their academic curriculum. As the dominance of technologies

(social) is fast-growing, so, teachers must comprehend how it is disturbing the students’ morale so,

there is dire need to educate students about the consequences of social media (Gemma & Marín,

2015). The core aim of research is to explore capabilities of teachers that how effective social media

has established in the cognitive and affective growth of students (Christin & Harney, 2017). In this

regard, diverse social media networking like Twitter, Facebook, LinkedIn, and other applications

might be the best sources of the learning and teaching when used by students under the guidance of

the teachers (Akhmad et al., 2018).

2.2 SOCIAL MEDIA EFFECTIVENESS In past, the sharing of thoughts and information communication among different groups of

individuals was constrained by different dynamics like long-distance, availability of resources,

accessibility of different means and lack of different channels for communication (Greenhow et al.,

2006). There exist solid prospects that effective utilization of social media technologies mechanisms

confirm constant expansion and quality control in higher education. The social media effectiveness is

linked to focused agility and is considered the best source of international and regional merger of


diverse procedures and processes (Hemmi et al., 2009). This, in turn, rises necessity for active

contrivances for professional gratitude of higher education credentials. In education sector, social

media networking offering students prospect to link with other students, alumni and teachers

regarding both within and outside domain (Allen et al., 2013). The social-networking applications

have capacity to attract, encourage and involve students in the extensive communicative practices

(Akhmad et al., 2018).

2.3 THEORETICAL FRAMEWORK Figure 1 shows the theoretical framework used in this study. The correlation and regression

analysis are used to explore the effectiveness of social media.

Figure 1: the theoretical framework regarding social media effectiveness.

2.4 HYPOTHESES OF STUDY Hypotheses are given as

H#1: There is a positive and significant association between stakeholders’ (students, parents &

teachers) perception and social media effectiveness (correlation analysis).

H#2: There is a significant and positive impact of the stakeholders’ (students, parents & teachers)

perception on the social media effectiveness (regression analysis).

RESEARCH METHODOLOGY 3.

The research methodology is the detailed procedures and methods which are used to identify,

select, process and analyze information about research issues. The methodology section permits

readers to critically appraise the whole trajectory of the research study. This section mainly answers

two queries, one relates to how the data will be collected and the second relates to, how the collected

data will be analyzed by using different statistical tools and techniques.

3.1 RESEARCH DESIGN The research design of this study is both descriptive as well as exploratory to explore/examine

phenomenon under considerations more systematically by using the descriptive statistics and the

inferential statistics, according to Creswell & Williams (2012).

3.2 SURVEY APPROACH The survey approach is the best technique as recommended and used by various researchers for

data collection in the form of different questions/statements from the respondents. As compared to

other approaches (experimentation and direct observation) surveys produce a wider range of

information about the research phenomenon (Vehovar & Lozar, 2008). For this purpose, usually the

researchers used questionnaire to ask different questions from different dimensions from the


5

respondents about the research phenomena under consideration (Sekaran & Bougie, 2013). In this

study, the researcher used survey approach by collecting primary data over questionnaire to ask

different questions about the research variables.

3.3 POPULATION & SAMPLE The population in the current study comprises the students, parents, and teachers hailing from

higher educational institutions of Khyber Pakhtunkhwa. From this population, sample was drawn by

using stratified sampling that is usually “used probability method that is superior to random sampling

because it reduces sampling error”. This study used the sampling formula as presented by Black and

Champion (1976), giving a sample of 230 respondents.

3.4 DATA COLLECTION METHODS The data collection is an essential feature of any kind of research in social sciences. The

incomplete and way-out data collection can influence outcomes of study and eventually leads to

worthless outcomes. The data is always collected from different sources likewise the secondary and

primary data collection (Lave & March, 1993). The secondary data was collected from diverse online

databases including the research journals and digital libraries while for primary data, researchers

mostly used diverse tools like observations, interviews, questionnaires and surveys (Lescroël et al.,

2014). The researcher used questionnaire tool for primary data collection.

3.5 TOOLS FOR DATA ANALYSIS After the data collection, both secondary and primary, data analysis is the next phase to evaluate

the data and to obtain the desired results. For data analysis, two tools are most significant which are

widely used in social research studies (Tabachnick & Fidell, 2007). In this regard, a descriptive tool is

used to analyze the data description of variables while the testing of hypotheses relates to examining

relationships among the variables of research. Therefore, the present study will have to use both the

descriptive and inferential tools to analyze the data (Adèr & Mellenbergh, 2008).

3.6 QUESTIONNAIRE DESIGN & MEASUREMENT The questionnaire is a research instrument comprising diverse questions asked from respondents

to collect desired data about research concepts that are used for statistical analysis (Oppenheim,

2000). The use of questionnaires has certain advantages over certain other survey types like it is

inexpensive, less time-consuming tool and has homogenous responses that mark it meek to assemble

the data (Munn & Drever, 2004). The questionnaires are limited sharply with fact that respondents

might “be able to read questions and respond” accordingly (Gillham, 2008).

DATA ANALYSIS & DISCUSSION 4.

This is the main section wherein the results obtained through hypotheses testing by using diverse

statistical procedures thereby reaching conclusion more comprehensively. It comprises two sections

like the descriptive and the inferential analysis. The inferential analysis provided the “data about the

relationships among the research variables” through the statistical procedures. For this purpose, two

tools were used as the correlation and regression.

4.1 CORRELATION ANALYSIS The correlation analysis provided data about association, strength, and direction of relationships


between the predicting variables (stakeholders’ perceptions) and a criterion variable (social media

effectiveness).

Table 1 Correlation Analysis (Hypothesis H#1) (N=224) Students

Perception

Parents

Perception

Teachers

Perception

Students Perception Pearson Correlation 1 0.373**

0.534**

Sig. (2-tailed) <0.001 <0.001

Parents Perception Pearson Correlation 0.373**

1 0.517**

Sig. (2-tailed) <0.001 <0.001

Teachers Perception Pearson Correlation 0.534**

0.517**

1

Sig. (2-tailed) <0.001 <0.001

Social Media Effectiveness Pearson Correlation 0.653**

0.508**

0.751**

Sig. (2-tailed) <0.001 <0.001 <0.001

**. Correlation is significant at the 0.01 level (2-tailed).

To examine the association between stakeholders (students, parents & teachers) perception about

social media effectiveness, the correlation procedure was used so as to examine the strength and

direction of relationship. The correlation shows that all predictors are positively and significantly

correlated (associated) with the criterion variable (social media effectiveness). Likewise, the

correlation between the students perception and criterion variable (R=.653 & P-value =<0.001), the

parents perception and criterion variable (R=.508 & P-value =<0.001) and the teachers perception

and criterion variable (R=.751 & P-value =<0.001). Therefore, from the above results, the hypothesis

# 1 is accepted. These findings are inlined with the findings of previous research studies (Isman &

Dabaj, 2004; Hemmi et al., 2009; Hamid et al., 2011; Hamid et al., 2015). Therefore, the results of

this study have been validated through the results obtained from the previous research studies.

4.2 REGRESSION ANALYSIS The regression analysis provided the data about the cause-and-effect relationships of the

predicting variables (stakeholders’ perceptions) on the criterion variable (social media effectiveness).

Is helps the researchers regarding the predictability of the criterion variables through predictors.

Table 2 Regression Analysis (Hypothesis H#2) (Model Summary) Model R R Square Adjusted R Square Std. Error Estimate F Sig.

1 0.814a 0.663 0.658 0.373 142.97 <0.001

b

Table 2a Regression Analysis (Hypothesis H#2) (Coefficient of Regression) Model Unstandardized

Coefficients

Standardized

Coefficients

t Sig.

B Std. Error Beta

1 (Constant) -0.028 0.170 -0.163 0.871

Students Perception 0.351 0.049 0.336 70.160 0.020

Parents Perception 0.102 0.040 0.189 20.860 0.041

Teachers Perception 0.566 0.056 0.510 100.035 0.017

a. Predictors: Students Perception, Parents Perception, Teachers Perception b. Dependent Variable: Social Media Effectiveness

To examine the predictability of social media effectiveness through predictors (students, parents

& teachers) perceptions, the regression procedure was used. The result in Table 2 showed that the

predictors are responsible to bring about 66% change/variation in criterion variable (social media

effectiveness) supported by p-values significant on all the independent variables. Likewise, the

coefficient of regression in Table 2a shows that all the predictors have significant impact on the


7

criterion variables (students’ perception = 0.020), (parents perception = 0.041) and (teachers

perception = 0.017). Therefore, the students' and teachers' perceptions have strong impact on social

media effectiveness as compared to the parents’ perception. These results also supported the results

obtained from the correlation wherein the correlation between students' and teachers' perceptions is

higher than the parents’ perception. Thus, the hypothesis H#2 is accepted. These results are inlined

“with the results of the previous research studies” (Gemma & Marín, 2015; Hamid et al., 2015;

Christin & Harney, 2017; Akhmad et al., 2018). Therefore, results of this study have been similar to

the results obtained from the previous research studies on similar issues in similar context.

CONCLUDING REMARK 5.

In research, it is common aphorism that results are useless when not communicated properly in

the manner of compacted standard for readers and upcoming researchers. From the results from the

analysis in this study, the following conclusions have emerged:

o The hypothesis H#1 was tested over correlation procedure wherein the results showed that

students' and teachers' perception (0.653 & 0.751 respectively) have high correlation with the

effectiveness of social media as compared to parents' perception (0.508). The main reason

behind is the worriedness of parents about the children (students) continuous usages of social

networking as the students spent most of the time in social interaction on the social media

websites thereby ignoring their curriculum activities. These unintended consequences are the

main causes that why many parents seem to be worried about the usages of social media.

o The hypothesis H#2 was tested through the regression procedure to observe the impact of

predictors (students, parents, and teachers) perceptions on social media effectiveness. The

results revealed that again the student's and teachers' perception has significant impact on the

social media effectiveness (0.020 & 0.017 respectively) while the significance level of parents'

perception was somehow weak (0.041). The possible reason of said significance level might be

the conscious efforts of parents for protecting their children from harmful consequence of

social media as is not surprising that parents are worried about their children activities on the

social media networking sites.

The stakeholders (students, parents & teachers) are direly needed to be aware of the positivity

and negativity of the social media usages. Moreover, students are required to spend their precious

time in curriculum-related activities thereby ignoring the social interaction on the social media

websites which might help them in focusing their academic activities thereby achieving the desired

academic status. Similarly, parents are required to be well abreast towards applications of the social

media tools and their ultimate influences on the attitudes and behaviors of their children. Likewise,

parents are required to motivate children in a friendly environment about positive aspects of social

media usages thereby intimating then about negative dimensions. Finally, the teachers are required to

put more emphasis on the effective usage of social media on the part of the students thereby obtaining

desirous information through social media.

AVAILABILITY OF DATA AND MATERIAL 6.

The used and generated data is available upon request to the corresponding author.


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benefits of online social networking use for teaching and learning. Internet and Higher Education, 26, 1–9.

Hemmi, A., Bayne, S., & Land, R. (2009). The appropriation and repurposing of social technologies in higher education. Journal of Computer Assisted Learning, 25(1), 19–30.

Isman, A., & Dabaj, F. (2004). Attitudes of students towards Internet. Journal of Technology and Teacher Education, 11(4), 549-577.

Lave, C. A., & March, J. G. (1993). An introduction to models in the social sciences. Lanham, Md:

University Press of America.

Lescroël, A., Ballard, G., Authier, M., & Ainley, D. (2014). Data Collection and Analysis by Dr. Roger

Sapsford, Victor Jupp ISBN 0-7619-5046-X.

Mukhaini, E., Qayoudhi, W., & Badi, A. (2014). Adoption of social networking in education: A study of

the use of social networks by higher education students in Oman. Journal of International Education Research, 10(2), 143.

Munn, P., & Drever, E. (2004). Using questionnaires in small-scale research: A beginner's guide. Glasgow, Scotland: Scottish Council for Research in Education.

Oppenheim, A. N. (2000). The questionnaire design, interviewing and attitude measurement (New Ed.). London, UK: Continuum International Publishing Group Ltd.

Sekaran, U., & Bougie, R. (2013). Research Methods for Business: A Skill-Building Approach (6th Ed.). John Wiley and Sons, Inc.


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Sharda, G., Anita, D., & Pragya, G. (2013). Social Media in Quality Enhancement in Higher Education.

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Tabachnick, B. G., & Fidell, L.S. (2007). Using Multivariate Statistics, 5th Edition. Boston: Pearson Education, Inc./Allyn and Bacon,

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The SAGE Handbook of Online Research Methods. London: SAGE. pp. 177–194.

Muhammad Junaid Siraji is a Ph.D. scholar at the Institute of Education & Research, Gomal University, Dera Ismail Khan, Khyber Pakhtunkhwa, Pakistan. He is working as Assistant Director Admissions, Gomal University, Dera Ismail Khan. His research area is Social Media Effectiveness in Higher Education.

Dr. Liaqat Hussain is an Assistant Professor at the Institute of Education & Research, Gomal University, Dera Ismail Khan, Khyber Pakhtunkhwa, Pakistan. He got his Ph.D. Degree from Institute of Education & Research, Gomal University. His research is focused on Computer Literacy in Education.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned

in this article are the property of their respective owners. using for identification purposes only. The

use of them does not imply any endorsement or affiliation.

*Corresponding author (Sarychev Vladislav Andreevich). E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.10 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12F http://TUENGR.COM/V10A/10A12F.pdf DOI: 10.14456/ITJEMAST.2019.156

1


http://TuEngr.com

PAPER ID: 10A12F

INFLUENCES OF THE IODINE-POLYMER PREPARATION

"MONCLAVIT-1" ON THE HORMONAL, MORPHOLOGICAL

AND BIOCHEMICAL STATUS OF THE BLOOD OF LAMBS OF

WEST SIBERIAN MEAT BREED

Afanasyeva Antonina Ivanovna a*

, Sarychev Vladislav Andreevich b

,

Katamanov Sergey Grigorievich c

, Loretts Olga Gennadievna d

, Neverova Olga Petrovna d

a Faculty of Biology and Technology, Altai State Agrarian University, RUSSIA

b Department of General Biology, Physiology, and Morphology of Animals, Altai State Agrarian University,

RUSSIA c Administration of the Rodinsky District of the Altai Territory, RUSSIA

d Ural State Agrarian University RUSSIA


A B S T R A C T Article history: Received 25 March 2019

Received in revised form 18 June 2019


Available online 05 August 2019

Keywords: Protein; carbohydrate,

lipid metabolism of

lambs; blood morphological

parameters; Iodine

deficiency; thyroid

hormones.

To increase the economic efficiency of sheep farming and produce

high-quality mutton, in 2011 in the Altai Territory a West Siberian meat

breed of sheep was created (patent No. 5728, 11.01.2011), characterized

by endurance, precocity, high reproductive qualities, and fertility (160 %).

Sheep are distinguished by a long, thick, white-colored grease coat and

noble crimpiness with wool fineness 21–24 microns. The yield of washed

wool is 57–58%, with wool length 9cm in uterus to 11.5cm in rams. The

slaughter yield reaches more than 50%. Biogeochemical features of their

breeding area are the limiting factor in the breed improvement process. In

particular, the Altai Territory is deficient in iodine. Iodine deficiency leads

to a decrease in the functional activity of the thyroid gland, metabolic

disorders, changes in the morpho-biochemical composition of the blood

and reduced productivity. In connection with this, a scheme of application

has been studied to study the effect of the iodine-polymer preparation

Monklavit-1 on the hormonal, morphological and biochemical status of

the blood of lambs of the West Siberian meat breed. It was established that

the drug contributes to the preservation of the physiological status of

lambs by increasing the level of thyroid hormones (T3 and T4) by 13.1

and 12.3 (P <0.01)%, respectively, as a result of which the

protein-synthetic function of the liver is activated, increases the

concentration of proteins in the blood of plastic values - albumin by 6.9%,

energy metabolism normalizes, which affected the increase in glucose

level by 15.7% (P <0.01) and decrease in cholesterol concentration by

25.0%; groups; the number of erythrocytes and hemoglobin increased by

8.1 and 9.7 (P <0.01), respectively, leukogram stabilized.

©2019 INT TRANS J ENG MANAG SCI TECH.

© 2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

2 Afanasyeva A.I., Sarychev V.A., Katamanov S.G., Loretts O.G., Neverova O.P.

1. INTRODUCTION Modern Russian sheep breeding is traditional for many regions of the country, but due to the

rapid growth in the synthetic fibers production, wool production, on which sheep breeding was

mainly based, has decreased significantly [1]. Therefore, the problem of increasing the economic

efficiency of sheep breeding is solved by increasing the meat productivity of sheep raised in the

regions [2], as well as creating new breeds of sheep of intensive meat productivity [3]. At the Altai

Territory (Western Siberia) in 2011 after long-term breeding work, was bred the West Siberian meat

breed of sheep (patent number 5728, 11.01.2011), well adapted to breeding in harsh climatic

conditions with a long winter, low temperatures, sharply continental climate. Sheep are characterized

by endurance, precocity, high reproductive qualities, and fecundity (160%). Animals have a long,

thick, white-colored grease coat and noble crimpiness with wool of fineness 21–24 microns. The

output of scoured wool is 57–58%, with a hair length of 9 cm in uterus to 11.5 cm in rams, the

slaughter yield reaches more than 50%. The breed is in demand in many regions of the Russian

Federation.

Figure 1: West Siberian Meat Breed.

Despite the high productive indicators of these sheep, the biogeochemical characteristics of

their breeding area are the limiting factor in the process of improving the breed; in particular, the

Altai Territory belongs to the regions deficient in iodine.

In recent years, there has been a decrease in the content of bio elements in the soil and plants

throughout the world, including iodine [4]. Iodine is essential to trace elements that are part of

biologically active substances, it is necessary for the organism of animals and humans [5, 6].

The main role of iodine is its presence in the composition of thyroid hormones, which regulate

the basal metabolism, the consumption of carbohydrates, proteins and fats in the body, the

processes of heat formation, affect growth, development, and the function of reproduction [7].

Neogenesis, metabolic processes, resistance, hemopoiesis, growth and development of young

animals, processes of ruminal digestion are regulated by thyroid hormones [8, 9]. Lack of iodine in

animals leads to severe damage to the thyroid gland and disruption of growth and development, as

well as reduced product quality [10, 11]. In this regard, it is necessary to introduce

iodine-containing preparations and additives into the rations of sheep, however, the most common

inorganic iodine salts are not effective enough because of their instability and easy oxidation in air.


3

That’s why one of the promising areas in meeting the physiological needs for iodine of farm

animals is the use of organic forms of iodine [6], which is the iodine-polymer preparation

“Monklavit-1”.

In this regard, the purpose of our research was to study the effect of the iodine-polymer

preparation “Monklavit-1” on the hormonal, morphological and biochemical status of the blood of

lambs of West Siberian meat breed in the conditions of the Altai Territory.

2. MATERIAL AND RESEARCH METHODS

The research was performed in accordance with the thematic plan-task for the implementation

of research works (No. AAAA-A18-118090300003-7; from 03.09.2018) by order of the Ministry of

Agriculture of Russia. The experimental part of the work was carried out in LLC “Mayak” of the

Rodinsky district of the Altai Territory.

In our experience as an iodinating agent was used a wide spectrum of the iodine-polymer

medicine for animals, Monklovit – 1. It is an aqueous-polymer system based on iodine in the form

of a complex of poly-N-vinylamidecyclosulfoiodide.

The study of the effectiveness of the use of the drug "Monclavit-1" in the raising of lambs was

carried out on 20 rams at the age of 4 months, formed into groups after weaning from ewes: control

and experimental 10 heads each, with an average live weight of 27.1 ± 0.47 kg.

In the control group, lambs received the main ration, and in the experimental group, the main

ration and additionally the iodine-polymer preparation “Monclavit – 1” were added to the feed

immediately before feeding.

The drug was used in a dose of 1 ml per kg of live weight, 1 time per day, during the weaning

period - for 10 days and after 1 month for 10 days. Blood for research was obtained at the age of 4

and 12 months.

The level of thyroid hormones (triiodothyronine, thyroxin) and adrenal cortex (cortisol) in the

blood serum of animals was determined by immunoenzyme method on a Bio-rad photometer for

microplate (Model 680 Microplate Reader) using the “Thyroid IFA – thyroxin 01” using reagent kit

“Syrophi-Iph” 01 ", "SteroidIFA - cortisol 01 ".

A study of the morphological parameters of blood (the number of red blood cells, leukocytes,

and hemoglobin) was conducted on a veterinary hematology analyzer MicroCC-20Plus using

hematological reagents CDS (Clinical Diagnostic Solutions (Russia).

The smears were painted using the combined Popenheim method using May-Grunwald and

Romanovsky-Giemssee dyes. Counting and differentiation of leukocytes using a MICROMED-3

trinocular microscope with a ToupCam video eyepiece.

Blood biochemical parameters (total protein, albumin, glucose, calcium, phosphorus,

cholesterol, triglycerides, alkaline phosphatase) were studied on a BioChemSA analyzer using

“Vital” reagent diagnostic kits.

The determination of serum protein fractions (albumin, globulins, α-globulins β-globulins,


γ-globulins) was carried out using electrophoretic separation of serum proteins on an agarose gel

using the CORMAY-GELPROTEIN 100 kit on a densitometer scanning DM 2120. Densitometry

was performed by control from a PC according to the user manual "Software for automatic

phoregram analysis for the densitometer DM 2120" according to the method

"CORMAY-GELPROTEIN 100 (5F) [8].

Statistical processing of digital data was carried out using the method of variation statistics on a

personal computer using Microsoft Excel, the value of the accuracy criterion was determined

according to the Student-Fisher table [12].

3. RESEARCH RESULTS

The regulation of all physiological functions in the organism of animals depends on the

coordinated work of the nervous and endocrine systems. The full value of their activities is

determined, inter alia, by the presence of all the components that are necessary for the synthesis of

certain biologically active substances. In particular, iodine is an indispensable trace element [6, 13].

Up to 65% of iodine is found in the thyroid hormones – in thyroxine and triiodothyronine [14].

Therefore, according to the content of thyroid hormones in the blood of animals, it is possible to

judge the effect of organic iodine on the functional state of the thyroid gland. In connection with the

above, we studied the concentration of thyroid hormones in the blood serum of lambs from the

control and experimental groups prior to the beginning of the experiment and at its end (at 12

months of age). The results are presented in Table 1.

Table 1: Dynamics of the thyroid hormones concentration in lambs of the West-Siberian meat breed.

Indicator Before the beginning of the experiment At the end of the experiment

Control group Experimental group Control group Experimental group

Thyroxine, nmol / l 3.26±0.71 3.32±0.73 3.24±0.72 3.69±0.81

Triiodothyronine, nmol / l 90.1±5.81 91.6±5.72 89.8±4.32 102.9±5.21**

Coefficient thyroid conversion

(T3 / T4 *100) 3.62 3.63 3.61 3.59

*Р <0,05; **Р <0,01; ***Р<0,001 - the difference is statistically reliable in comparison between groups.

We found that the concentration of thyroxine (T4) and triiodothyronine (T3) before the

administration of the drug corresponded to the physiological norm. At the end of the experiment,

the concentration of T3 and T4 in the blood serum of young animals in the control group did not

change significantly, in the experimental group it increased by 13.1 and 12.3 (P <0.01)%,

respectively.

This may be connected with the fact that iodine contained in the drug is absorbed in the

gastrointestinal tract and enters the blood it increases the protein content of iodine metabolism in

the thyroid gland and protein-bound iodine, able to regulate the production of thyroid-stimulating

hormone [15], which affects all stages of iodine metabolism and activates the production of thyroid

hormones.

It is known that if during the normal functioning of the thyroid gland thyroxin is predominantly

synthesized, then under the conditions of iodine deficiency the ratio in the synthesis of T4 and T3

changes and the thyroid gland switches to a more active synthesis of T3, which has more hormonal

activity, thereby reducing iodine consumption [16,17].


5

In our studies, this was reflected in a higher thyroid conversion rate in the control group of

lambs at the end of the experiment. A higher level of T3 and T4 in the lambs of the experimental

group contributes to the strengthening of metabolic processes.

It is known that thyroid hormones have a significant impact on the processes of hemopoiesis

[18]. In this regard, we analyzed the morphological parameters of the blood of experimental lambs

(Table 2).

Table 2: Dynamics of morphological parameters of the blood of rams of the West-Siberian meat

breed when using the drug "Monklavit-1".

Indicator

Group

Before the beginning of the experiment At the end of the experiment

control experimental control experimental

Erythrocyte, 1012

/l 7.58±0.24 7.68±0.31 7.4± 0.37 8.0±0.35

leukocyte,109/l 11.7± 1.14 11.3±1.09 11.2±1.07 12.3±1.73

Hemoglobin, g/l 103.2±2.33 104.0±2.50 91.0±4.24 100.0±4.62*

Leukogram, %

Basophils - - 0.3±0.01 0.4±0.01

Eosinophils 0.2±0.02 0.2±0.03 0.2±0.03 0.3±0.03

Band neutrophils 1.6±0.7 1.7±0.6 1.5±0.5 1.6±0.8

Segmentonuclear

neutrophils 32.3±1.9 32.4±1.7 35.7±1.8 34.5±2.1

Monocytes 2.6±0.18 2.7±0.19 2.4±0.16 2.2±0.2

Lymphocytes 63.3±1.24 63.1±1.27 58.5±1.7 61.0±1.2

*Р <0,05; **Р <0,01;***Р<0,001 - the difference is statistically reliable in comparison between groups.

The morphological composition of blood in the rams of the control and experimental groups at

the age of 4 months before using the drug corresponded to the physiological norm. At 12 months

age, the red blood cells, hemoglobin, and leukocytes were lower by 2.4; 11.8 and 4.2%,

respectively, than at 4 months of age. In the young stock of the experimental group, an increase in

the number of erythrocytes and leukocytes was found by 4.2 and 8.8%, respectively, and a decrease

in hemoglobin concentration by 3.8%, in comparison with the values established in 4 months old

animals.

The number of erythrocytes, hemoglobin and leukocytes in the 12 months old rams of the

experimental group was higher by 8.1 and 9.7 (P <0.01) and 9.8%, respectively, than in the control

group of analogs, which is probably because of a sufficient level iodine provision, which has a

significant impact on the functional state of the thyroid gland and provides the hormonal profile that

contributes to a more active process of erythropoiesis [19].

Blood leukocytes in the body of animals perform protective, trophic, transport and other

functions, stimulate tissue regeneration and participate in intermediate metabolism. The blood

leukogram reflects the degree of functional stress of the organism, so we determined the number

and ratio of different types of leukocytes in lambs of the control and experimental groups [20].

The leukogram of the rams of the experimental groups had some peculiarities. In the blood of

lambs of the control group, were recorded higher rates of the band and segmentonuclear neutrophils

by 6, 2 and 3 and 4%, monocytes by 8.6 and 15.3%, in comparison with the same indicators

established in the rams of the experimental group. In the experimental group, the values of

eosinophils, basophils, and lymphocytes were higher by 33.4; 25 and 4.1%.


For a more objective assessment of the metabolism level occurring in the organism of rams,

there was determined the biochemical composition of the blood serum of animals from the control

and experimental groups. The research results are presented in Table 3.

Table 3: Dynamics of biochemical parameters of blood serum of lambs of the West-Siberian meat

breed using the drug "Monklavit-1"

Indicator Before the beginning of the experiment At the end of the experiment

Control group Experimental group Control group Experimental group

Total protein, g / l 69.70±2.7 70.2±2.6 62.9±1.8 65.7±1.9

Albumin, g / l 33.40±1.17 33.6±1.12 29.2±1.22 31.5±1.31

Globulin, g / l 35.56±1.21 35.7±1.24 33.7±1.37 34.2±1.42

α-globulin, g / l 9.4±0.73 9.6±0.75 9.6±0.81 9.9±0.71

β-globulin, g / l 10.5±0.98 10.3±0.97 11.3±0.94 11.9±0.91

γ-globulin, g / l 14.4±1.07 15.5±1.05 12.8±0.93 12.6±0.97

albumin/globulin 0.94 0.94 0.86 0.92

Glucose, mmol / l 2.5±0.63 2.4±0.67 1.9±0.45 2.2±0.44**

Са, mmol / l 2.43±0.13 2.45±0.13 2.38±0.12 2.46±0.10

Р, mmol / l 1.64±0.04 1.60±0.05 1.61±0.4 1.61±0.05

Са: Р 1.48 1.53 1.48 1.47

Cholesterol, mmol / l 2.6±0.52 2.5±0.56 2.8±0.78 2.0±0.59*

Triglycerides, mmol / l 0.7±0.12 0.8±0.14 0.27±0.07 0.32±0.08

*Р <0.05; **Р <0.01;***Р<0.001 - the difference is statistically reliable in comparison between

groups.

Researches have shown that an increase in the functional activity of the thyroid gland

contributed to the enhancement of redox processes and the intensity of protein metabolism in the

body of sheep, which received the iodine-containing drug. In the experimental group animals’ blood

the total protein concentration increased by 1.34; proteins with plastic function - albumin by 1.92%,

fractions of α- and β-globulins by 3.0 and 4.0%. The albumin-globulin ratio was 6.9% higher than

that of the control group analogs. At the same time, the level of globulins, in particular, γ-globulins

was higher in rams of the control group by 1.5 and 1.7%.

The use of the drug through thyroid hormones had a positive effect on carbohydrate and lipid

metabolism in the body of rams of the experimental group due to the fact that thyroid hormones can

directly affect some of the hepatocyte genes involved in gluconeogenesis and glycogen metabolism,

in addition, T3 causes an increase in mRNA expression glucose-6-phosphatase, the final enzyme

gluconeogenesis, and glycogenolysis, which catalyzes the hydrolysis of glucose-6-phosphate to

form glucose. Thyroid hormones contribute to the potentiation of the glycogenolytic and

gluconeogenic effects of adrenaline and glucagon [21, 22]. In addition to direct action, thyroid

hormones can also have an indirect effect on carbohydrate metabolism, which occurs through the

paraventricular nucleus of the hypothalamus, leading to an increase in glucose synthesis and an

increase in its release into the blood, regardless of the insulin level and corticosteroids in the blood

[23].

This fact was reflected in the increase of glucose level by 15.7% (P <0.01) and the decrease in

cholesterol concentration by 25.0%, in the blood of lambs of the experimental group in comparison

with analogs of the control group. At the end of the experiment, the rams of the control group

decrease glycogen stores in the liver by low levels of glucose and triglycerides, increasing blood

cholesterol by 28.6% (P <0.05).

It is known that iodine is involved in the metabolism of calcium and phosphorus through


7

thyroid hormones [24; 25]. Thyroid hormones affecting osteoblasts through the signaling system of

nuclear receptors (TR-α1, TR-α2, TR-β1), inducing the expression of the ligand of the nuclear

activator receptor κB with subsequent binding and activation of the RANKL receptor (Receptor

Activator of Nuclear κB factor Ligand) on precursors of osteoclasts, leading to the stimulation of

osteoclastogenesis [26; 27].

In our studies, it was found that the use of the drug did not have a significant effect on the level

of Ca and P in the blood of animals, which coincides with the results of F. Kh. Kamilova et al. [27].

Thus, the use of iodine-polymer drug "Monclavit-1" in growing of the West-Siberian meat

breed sheep contributes to maintaining the physiological status of lambs by increasing the level of

thyroid hormones, as a result of which the protein-synthetic function of the liver is activated, the

concentration of plastic proteins in the blood increases -albumin values, energy metabolism

normalizes; the number of erythrocytes and hemoglobin increases, the leukogram is stabilized.

4. CONCLUSION

The drug contributes to the preservation of the physiological status of lambs by increasing the

level of thyroid hormones (T3 and T4) by 13.1 and 12.3 (P <0.01)%, respectively. This is as a result

of which the protein-synthetic function of the liver is activated, increases the concentration of

proteins in the blood of plastic values - albumin by 6.9%, energy metabolism normalizes, which

affected the increase in glucose level by 15.7% (P <0.01) and decrease in cholesterol concentration by

25.0%; groups; the number of erythrocytes and hemoglobin increased by 8.1 and 9.7 (P <0.01),

respectively, leukogram stabilized.

5. REFERENCES

[1] Selionov M.I. From the history of Russian sheep breeding and its scientific support: Monograph. / M.I. Selonov. - M.; FGBNU VNIIOK, 2017. 238 p.

[2] Amerkhanov Kh.A., A new breed of sheep - Russian meat merino / Kh.A. Amerkhanov, M.V.

Egorov, M.I. Selionova, S.N. Shumaenko, N.I. Efimova // Agricultural Journal.-2018.-T. 1.-№ 11.-p. 50-56.

[3] Kulikova A. Ya., Chemical composition and biological value of the meat of young sheep of different

breeds / A.Ya. Kulikova, A.N. Ulyanov, S.G. Katamanov, Yu.G. Kotomanov // Collection of

scientific works SKNIIZH.-2014.-№3.- P.85-90

[4] Braverman L.E. Iodine and the thyroid: 33 years of study / L.E. Braverman // Thyroid, 1994. - Vol. 4. - P.351-356.

[5] Veldanova M.V., Iodine - familiar and unfamiliar / M.B. Veldanova. A.V Skalny M .: IntelTek., 2004 - 192 p.6.

[6] Ji, Chen. Salt intake and iodine status around the world. University of Warwick Thesis (Ph.D.). 2013.

327p.

[7] Gerasimov G.A., Iodine deficiency diseases in Russia. A simple solution to a complex problem / G.А.

Gerasimov, V.V. Faziev, N.Yu.Siridenko. - Adamant, 2002. - 168 p.

[8] Georgievsky V.I., Mineral nutrition of animals / V. I. Georgievsky, B. N. Annenkov, V. T. Samokhin.

- M .: Kolos, 1979. P. 471


[9] Azimov G.I., Influence of processes in the rumen and in the thyroid gland on the fat content of dairy /

G.I. Azimov, V.V. Arepiev // Livestock. - №6. - 1965. - p. 18-24

[10] Spiridonov A. A., Enrichment of livestock products with iodine. Norms and technologies / Spiridonov A. A., Murashova E. V., Kislova O. F. - St. Petersburg, 2014. - 105 p.

[11] Shirokova V.I., Iodine insufficiency: diagnosis and correction. / V.I. Shirokova, V.I. Golodenko, V.F. Demin // Pediatrics, № 6 - 2005.-P.23-27.

[12] Korosteleva N.I. Biometrics in animal husbandry: textbook / N.I. Korosteleva, I.S. Kondrashkova, N.M. Rudishin, I.A. Camardina. - Barnaul: Publishing house AGAU, 2009. - 210 p.

[13] Delange F. Iodine requirements during pregnancy, lactation and the neonatal period and indicators of optimal iodine nutrition // Public Health Nutr. - 2007 - Vol 10 - P 1571-158

[14] Afanasyev A.I., Hormonal mechanisms of seasonal adaptive changes in goats of the Gorno-Altai

downy breed, Siberian Journal of Agricultural Science. - 2005. - №4. - P. 121-126.

[15] Gromova O.A., Molecular synergists of iodine: new approaches to effective prevention and

treatment of iodine-deficient diseases in pregnant women // OA Gromova, I.Yu. Torshin, N.G. Kosheleva / breast cancer. Mother and child .-2011.-T. 19.-№ 1.-S. 51-58.

[16] Kubasova E.D., Physiological characteristics of the bioelement status and its effect on the thyroid

gland of children in the Arkhangelsk region: Author. dis ... to-that biol. sciences. - Arkhangelsk, 2007-18 p.

[17] Kubasova E.D., Modern ideas about the role of environmental factors and imbalance of bioelements

in the formation of endemic goiter / E.D. Kubasova, R.V. Kubasov // Successes of Modern Biology.-2009. -T. 129.-№2. p. 181-191

[18] Dzhambulatov M., Effect of feeding of sheep by sulphate of copper on the activity of some redox

enzymes / M. Dzhambulatov, S.G. Luganov, Sh.K. Salikhov, G.I. Gireyev // Problems of development of the agro-industrial complex of the region - 2011. No. 6. P.12-16.

[19] Mikhaylenko, A. K., Papshuova, R. D., Chizhova, L. N. The hormonal status of sheep depending on

age and iodine availability // Proceedings of the VNIIOK. 2010. №1. URL:

https://cyberleninka.ru/article/n/gormonalnyy-status-ovets-v-zavisimosti-ot-vozrasta-i-yodnoy-obespechennosti (дата обращения: 04.09.2018).

[20] Spiridonov A. A., Murashova E. V., Kislova O. F. Iodine enrichment of livestock products. Norms and technologies / Spiridonov A. A., Murashova E. V., Kislova O. F. - St. Petersburg, 2014. - 105 p.

[21] Weinberg MB, Utter MF. Effect of thyroid hormone on the turnover of rat liver pyruvate carboxylase and pyruvate dehydrogenase. J Biol Chem 1979;254(19):9492-9499.

[22] Feng X, Jiang Y, Meltzer P, Yen PM. Thyroid hormone regulation of hepatic genes in vivo detected by complementary DNA microarray. Mol Endocrinol 2000;14(7):947-55.

[23] Klieverik LP, Janssen SF, van Riel A, et al. Thyroid hormone modulates glucose production via a

sympathetic pathway from the hypothalamic paraventricular nucleus to the liver. Proc. Natl. Acad. Sci. U. S. A. 2009; 106:5966–5971.

[24] Baldaev, SN, Biochemistry of metabolic disorders in sheep and their prevention / S.N. Baldaev, S.A. Kirilov.- Ulan-Ude: Buryat book publishing house, 1991.- p.160

[25] Baymatov V.N., Changes in clinical and biochemical parameters in cows with iodine deficiency /

V.N. Baimatov, V.E. Adamushkin, A.F. Khannanova // Veterinary Medicine. - 2006. - № 8. - p. 45-47.

[26] NichollsJ.J., Brassill N.J., Williams G.R., BassertJ.H. The skeletal consequences of thyrotoxicosis. J.

Endocrinol. 2012; 213: 209–211. DOI: 10.1530/JOE-12-0059.


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[27] Kamilov F. Kh., Effect of experimental hypothyroidism on bone tissue metabolism and mineral

metabolism / F. Kh. Kamilov, V.N. Kozlov, T.I. Ganeev, R.R. Yunusov // Kazan med.zh .. 2017. №6.

https://cyberleninka.ru/article/n/vliyanie-eksperimentalnogo-gipotireoza-na-metabolizm-kostnoy-tka

ni-i-mineralnyy-obmen (дата обращения: 10.01.2019).

Professor Dr. Antonina Ivanovna Afanasyeva is Professor and Dean of the Faculty of Biology and Technology, Altai State Agrarian University. She has a Doctor of Biological Sciences degree. Her scientific interests pertains to the study of Physiological Adaptation Mechanisms (Hormonal Status, Morphological And Biochemical Blood Parameters, Productive Indicators) of Farm Animals of the Southern Region of Russia and Import Selection to New Natural and Climatic Conditions of the Altai Territory; ability study of the use of Adaptogens, Immunomodulators, Probiotics for the Prevention of the Negative Effects of Stress and Increasing the Quantitative and Qualitative Indicators of Productivity.

Vladislav Andreevich Sarychev is a Candidate of Biological Sciences, Department of General Biology, Physiology, and Morphology of Animals, Altai State Agrarian University, Russia. His scientific interests include the study of the Adaptive Capacity of Imported Livestock (Hormonal Status, Morphological and Biochemical Blood Parameters, Productive Indicators and Reproductive Ability); Ability study of the use of Adaptogens, Immunomodulators, Probiotics for the Prevention of the Negative Effects of Stress and Increasing the Quantitative and Qualitative Indicators of Productivity.

Dr. Sergey Grigorievich Katamanov holds a Doctor of Agricultural Sciences degree. His scientific interests encompass Breeding and Selection of Fine-Wool and Meat-Wool Sheep; Improving the Qualitative and Quantitative Indicators of Wool and Meat Productivity; Reproductive Ability of Sheep.

Professor Dr. Olga Gennadievna Loretts is Professor and Rector of the Ural State Agrarian University, Russia. She got a Doctor of Biological Science sdegree. She also got a degree in Psychology from Ural State Pedagogical University. Her areas of scientific interests are Biotechnology, Selection and Genetics of Farm Animals, Biology, Processing of Agricultural Products.

Olga Petrovna Neverova is a Candidate of Biological Sciences, Ural State Agrarian University RUSSIA. Her scientific interests are related to the Development of Resource-Saving Technologies in Poultry Farming for obtaining Environmentally Friendly Products.

*Corresponding authors (Ali Saremi). Tel.+98-9124212672 E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12G http://TUENGR.COM/V10A/10A12G.pdf DOI: 10.14456/ITJEMAST.2019.157

1


http://TuEngr.com

PAPER ID: 10A12G

LAND-USE/LAND COVER CLASSIFICATION ANALYSIS USING

PIXEL BASED METHODS: CASE OF TAROM CITY, IRAN

Seyyed Behrouz Hosseini a

, Ali Saremi a*

, Mohammad Hossein Noori Gheydari b,

Hossein Sedghi a

, Alireza Firoozfar c

a Department of Water Science and Engineering, Science and Research Branch, Islamic Azad University,

Tehran, IRAN. b Department of Water Engineering, Faculty of engineering and technology, Islamic Azad University, Zanjan

Branch, Zanjan, IRAN c Department of Civil Engineering, University of Zanjan, Zanjan, IRAN


A B S T R A C T Article history



July 2019



2019

Keywords: Atmospheric

Correction; Tarom

basin; Maximum

Likelihood

Classification;

Supervised

Classification

Methods; Land-use

map; Landsat-8.

This research inspects the convenience of Landsat-8 imagery in

generating Land-use Land Cover (LULC) maps based on RGB and NIR

bands dates back to August 8th, 2017, and at the same time to reveal

which type of LULC in Tarom basin can be utilized with maximum

accuracy considering the comparison of results with ground samples.

Besides necessary preprocessing, land-use classification was done after

atmospheric corrections (via FLAASH Algorithm). LULC maps were

generated using three pixel-based supervised classification methods,

Maximum Likelihood (ML), Support Vector Machine (SVM), and

Artificial Neural Networks (ANNs). Results proved that imagery

precision based on Kappa statistics and overall accuracy for ML

classification method were 0.88 and 91.55, respectively. The acquired

outcome indicated that Landsat-8 OLI data, present satisfying LULC

classification in the waterbody, mountain and rock, bare land, vegetation,

and forest classes. In addition, as the results indicated, it can be stated that

all three methods of classification in a region of considerable

heterogeneity in terms of elevation (between 280-3000 m), land-use and

vegetation such as Tarom, can have significant results. In comparison

with the other two methods, classification with the ML method had higher

speed and lower complexity for execution in achieving the required maps.


1. INTRODUCTION A modern country must have sufficient information on a multitude of interrelated complex

aspects of its activities in order to make decisions. A modern country to have an advanced

management system should have proper detailed data on different aspects of socio-economic

activities. One of these cited aspects is known as land-use and land cover (LULC), which has become

important in recent years. These two mentioned terms are often used interchangeably, but it should be

noted that each of them has a unique definition and meaning. Land-use refers to human methods and


2 S.Behrouz Hosseini, A.Saremi, M.H.Noori Gheydari, Hossein Sedghi, Alireza Firoozfar

purposes in utilizing land with different usages and resources. Among which agriculture, wildlife,

and recreation can be outlined. Also, the observed biological, physical, or biophysical envelopment of

the surface of the earth is called land cover (e.g., waterbody, vegetation, soil, and urban infrastructure.

When these terms used together as LULC, it refers to the categorization of natural elements and

human activities on the earth. Regarding this, it can be clearly understood that, on a daily basis,

existing lands will undergo changes in the types of land-use and land covers.

In order to get over the issue of casual development, desertification, erosion, destruction of

wildlife, and marshes, we need accurate data of the pattern of LULC in the study area. LULC is

interdependent, so when people start to use lands for human activities, the cover of those lands

changes and this process influences its properties (De Sherbinin, 2002). In addition, as Young (1998)

believes, the identical section of land can just be used for one objective at a time; so this limitation

leads to competition among diverse activities which depends on the availability of lands. One of the

important data for controlling the development of the region and land-use dependent activities is the

information on the pattern of the existing land-use.

Cultivable lands are becoming a scarce resource due to the increasing hustle of agriculture and

population growth. Hence, possession of adequate data can lead to optimal use and management of

the available resources to meet the essential needs.

With the help of satellite imagery, we can observe the earth from up above, and the effect of our

activities on natural resources and use obtained data to assess the changes and utilize it for future

management purposes. The multi-temporal high-resolution data and the remote sensing (RS)

technology, has been broadly used to gather information on existing LULC and for mapping LULC

over time. To create these maps, the RS data can be obtained from various types of satellites such as

Landsat, Sentinel, and Spot series. Periodic, acquisition of free, fast, rapid, and accurate data is

possible; for example, in the case of Landsat 8, it is every16 days (Topaloglu, et al., 2016).

2. RS AND LULC MAPS

Satellite data can play an effective role in the development of LULC maps due to its specific

characteristics, including the wide coverage, repeatability, diversity of LULC, and continuous uptime

capabilities. As mentioned before, producing LULC maps has gained significance for land

management, convenient planning of resources and climate-related researches in recent years

(Turner, et al., 2001, Mejía and Hochschild, 2012). Owning information about the changes in LULC

over time, grant us precise data on sustainable resource management. (Mejía and Hochschild, 2012).

Remote sensing tech is a robust instrument in order to have constant management of natural resources

and land scout (Cetin, 2009; Van, et al., 2017). Acquired satellite data are converted into a land-use

map by the utilization of this technology. There are various kinds of the algorithm used in the

abovementioned conversion process, which has become much more accurate in time and their

technological advancements.

Landsat-8 OLI is a recently operational new generation earth observation satellite. Therefore, in

the presented research, the OLI and TIRS sensors data (acquired from Landsat-8 satellite) were used

as a data source. It should be mentioned that in addition to Landsat data, there are other satellite

dataset resources such as Sentinel and Spot. Numerous studies have been made to determine which

imagery has better and accurate results in generating the land-use maps (Jia, et al., 2014; Liu, et al.,


3

2015; Elhag and Boteva, 2016; Pirotti, et al., 2016; Marangoz, et al., 2017).

Akar and Güngör (2012) used the Random Forest Algorithm (RFA) to evaluate the classified

land-use maps from multispectral images. To assess the performance of RFA, the results are

compared with the results obtained from other classification methods such as Maximum Likelihood

Classification (MLC) and Support Vector Machine (SVM). Manandhar, et al., (2009), by using a

post-classification enhancement on Landsat images, determined the accuracy of LULC maps. These

researchers applied the MLC method to classify the Landsat imagery for 1985, 1995, and 2005 data.

Their results showed that the MLC, as a widely used classifier, could not yield satisfactory results in

Built-up areas.

Duarte, et al., (2016), made the comparison of three supervised classification methods (MLC,

MD, and ANN) using Unmanned Air Vehicle (UAV) data in Viçosa-MG, Brazil.

They reported that the classification that best delimited the different features present in the image

was the classification by Artificial Neural Networks. In order to prove the classification efficiency

statistically, the validation was carried out through the Kappa index and visual analysis. Zomlot, et

al., (2017), used trajectory analysis to improve LULC maps. They also tried to assess the impact of

LULC changes on the amount of groundwater resupply in the Flanders region, Belgium.

Their results showed that the amount of groundwater recharge decreased by about 35% in this

region due to urbanization. Sekertekin, et al., (2017), studied pixel-based classification analysis of

LULC using two kinds of imagery (Sentinel-2 and Landsat-8) in Zonguldak area, Turkey. Their

findings showed that the LULC images conducted by MSI sensor of Sentinel-2 data are more accurate

than LULC images by OLI sensor of Landsat-8 in sea and waterbody classes.

Increase in the wastewater of the industrial regions in Tarom Basin, growth of the vegetated

regions- which were previously in the form of bare land or grasslands in hillsides- and population

growth have caused socio-economic damages to this region. Due to water transfer from the main river

passing from the area Ghizil-Ozan through stable or mobile water pumps, a significant number of the

abrupt regions and highlands in Tarom province, which were previously utilized as grasslands are

severely affected and have been changed into gardens or have got agronomic uses. Typically, two

types of trees (i.e., olive and pomegranate) in length with the cultivated species (i.e., garlic and

celery) are planted in most parts of this region and are irrigated by Ghizil-Ozan River. However, since

water transfer is done through illegal piping systems and pumps an exact amount of water withdrawal

cannot be provided. In comparison with other fruit trees of the area, olive with extensive

compatibility and 12600 ha has the most amount of area under cultivation. The results of the

temperature compatibility model conducted in 10 hydrometric stations. In olive-growing areas, and a

control station indicated that Tarom is one of the best areas for expansion of growing olive. For the

reasons mentioned above, land-use change from grasslands and bare lands to the olive orchard are

obvious in locations where water can be transferred from the river, and it has got an ascending trend.

Thus, land-use maps should be created annually by means of satellite imageries. Planting fruit trees

on bare land may increase the afforested area, and protect the land against flood or erosion but where,

when, and how much abandonment and tree farming have occurred remains unclear. By using three

pixel-based methods (MLC, ANN, and SVM), OLI sensor data have been transformed into the


land-use map in the current study.

3. STUDY AREA

The study area, is Tarom basin (between 48˚ 19’ and 49˚ 24’ N latitudes and 48˚ 63’ and 49˚ 09’

E longitudes) which covers an area of about 5220 km2 with the annual average precipitation and temp

of 357 mm and 12.05 °C respectively alongside the altitude variation of 280 to 3000 m, conterminous

with Zanjan province from the south and Ardebil province from the north Figure 1). The region is

covered with a great number of vicissitudes and, due to the mountainous structure, most of the areas

have thin soil cover. In addition, in districts where farming or planting is possible, numerous

exploitations and land-use change have occurred. Also, due to propitious weather, cultivation of

different types of olive in the height of 400-1200 m, and the cultivation of pomegranate or other

species in low heights seems possible. Thus, the map projection of LULC appears to be beneficial in

this region.

Figure 1: Study Area Tarom, Iran

It should be mentioned that Tarom province had experienced extreme changes in LULC over the

past ten years, regarding the fact that it is one of the agriculturally strategic lands in the region.

Evaluating the Ecologic Potential for Urban-Rural Development of Tarom's Basin showed that about

14.36 percent of the total area acquires grade one appropriate potential, and approximately 10.12

percent acquires the grade two potential appropriate for urban-rural development (Badroghnezhad, et

al., 2017). Various important factors such as propitious environmental conditions, accessibility of

water-which are derived from Ghizil-Ozan river- and presence of lands wherein cultivation seems

possible (due to land-use change) has made this province a proper case study for assessing the

changes in LULC and compare these changes over the selected time period. Besides these factors,

environmental sensitivity, increasing number of cultivated areas, loss of grasslands and converting

grasslands into olive, pomegranate or in some cases quince or apple orchards are among the reasons

behind choosing this province for detecting land-use changes. On the other hand, Tarom is one of the

propitious regions in cultivating different types of vegetation (e.g., garlic, celery, and potato) which

due to the climate are typically under cultivation during the year.

3.1 DATA In this study, the Landsat-8 OLI data, (pass 166 and row 34 and 35), acquired on August 8th,


5

2017 and were taken from the USGS website (http://earthexplorer.usgs.gov) and used as the data

source. Due to the maximum amount of greenness in plants and harvesting products such as olive, the

proposed date was chosen.

From the downloaded datasets, four common spectrums of Red, Green, Blue, and NIR were

selected to use in the classification process. Full detailed information for enthusiasts are available in

Sekertekin, et al., (2017).

3.2 PRE-PROCESSING OF SATELLITE IMAGES Since the fundamental purpose of RS technology is to recognize and segregate the earthborn

phenomenon, the most significant step in analyzing the data achieved from various estimates is the

process of classification of satellite imageries. Prior to the classification procedure, preprocessing

operations (atmospheric and radiometric corrections) were done on the downloaded data sets (Song,

et al., 2001). Eventually, four mentioned bands (RGB and NIR) gathered in one data set by layer

stacking command. By considering the fact that two simultaneous imageries could cover the area

under investigation, at first, the multispectral bands were mosaicked together and then the same

process was repeated for thermal bands.

Figure 2: Spectral Bands before (a) and after (b) mosaicking.

3.3 MOSAICKING IN ENVI Mosaicking technique combines two aforementioned data sets into a single georeferenced

composite image the covering complete study area. Since the two imageries covered the area under

investigation, the multispectral and thermal bands of the imageries were merged (mosaicking). We

used a seamless Mosaic tool (in ENVI software), for combining multispectral RGB (Figure 2(a) and

2(b)) and thermal Band (NIR) of two images (Figure 3(a), and 3(b)). It should be noted that the red

and green polygons shows the imagery for 166*34, and 166*35 row and paths respectively.

This mosaicked composite image, as shown in Figure 4, stacked and clipped by the study area

boundaries through “Subset data from ROI” tool. Different methods exist for providing land-use

maps that have their pros and cons. In addition, any of these methods have different preprocessing

stages, which makes the results more accurate Zhou, et al., 2018; Zhu, et al., 2016; Song, et al.,

2001). For instance, in land segregation by the ML method, using the FLAASH algorithm for primary

processing is recommended.


Figure 3: Thermal bands before (a) and after (b) mosaicking.

Figure 4: River flow and the place of the bridge between Koohkan and Vaneysar

Although National Aeronautics and Space Administration (NASA) provides level 1

geometrically corrected images (Storey and Choate, 2008; Gutman, et al., 2013), some researchers

have reported the necessity of checking the accuracy of the images to produce optimal results after

classification (Tatem, et al., 2006). To achieve this objective, a number of locations (or points) in the

studied area were examined in terms of geometric accuracy. These locations were typically placed in

intersections of roads and positions of certain buildings for which UTM was available. Analysis of

these locations showed that the imageries of L1 for the studies area (i.e., Tarom) had sufficient

accuracy. For instance, by depicting the bridge connecting Gheytoun and Guilvan in Google earth

and transferring the produced shapefile on the Landsat image, the bridge was presented in its exact

location. In Figure 4, the position of the bridge in the location and in Landsat imagery is shown. It

should also be mentioned that in this picture, the depicted curve for river axis is hypothetical.

The next stage in the procedure of classification is determining the number of land-use classes

through the study area; in this case study, five land-use classes were chosen for collecting the training

samples. These samples for each category (waterbody, agriculture, mountain and rock, forest and

bare land) prepared from the Tarom basin area via land surveying by GPS and also using Google

Earth software to make polygons at different altitudes and slopes (Brandt, et al., 2013).


7

Figure 5: Google Earth capability for getting training data (courtesy of Google Earth)

About 70% of collected polygons, were applied in the classification procedure, and the

remaining 30% utilized to assess the precision of the classification. Fig 6 clearly shows that the

imageries taken from Google Earth in upper zoom can be an appropriate source of creating

educational samples and are also useful for testing purposes. For instance, in these pictures,

agricultural, garden, constructive, and road domains can be accurately segregated.

The general stages of image classification include: designing a proper classification system,

image processing, selecting educational samples (training samples) from existing images and using

local views or high-resolution pictures (such as Google Earth), processing after classification and

evaluating the accuracy of the work. After collecting samples for each category and checking Landsat

image geometric accuracy, at the next step of preprocessing of OLI data, DNs should be converted

into at-satellite radiance using algorithms such as FLAASH (Fast Line-of-sight Atmospheric

Analysis of Spectral Hypercubes). In this study, we used an advanced FLAASH algorithm module for

Atmospheric correction of images in ENVI 5.3, according to Anderson, (2002). Then, three

classifiers, including maximum likelihood classification, support vector machine classification

(SVM), and artificial intelligence technique (artificial neural network or ANN) were used to classify

and prepare land-use map for the year 2017. In the MLC method, ENVI computes the likelihood of

each pixel and determines that it belongs to each category (Elhag and Boteva, 2016). The support

vector machine is a learning technique that is supervised, non-parametric, and statistical (Vapnik and

Chervonenkis, 1979; Cortes and Vapnik, 1995). Detailed definitions of these methods (parameters

and architectures) are provided by different researchers (Petropoulos, et al., 2010; Kynova and

Dobrovolny, 2015; Elhag and Boteva, 2016).

4. PRECISION EVALUATION

The results of the classification procedure in remote sensing technique cannot be trusted until the


accuracy of the generated images or maps is verified. This is a critical step and to ensure the accuracy

of the present study; we need to measure the accuracy of the generated images. In this study, we used

more than half of the samples (70%) for categorization of the pixels, and the remaining 30% for

assessing the precision of generated maps. To achieve this goal, two common parameters which are

known as overall accuracy (OA) and kappa coefficient (KC) derived from error matrix are used

(Brandt, et al., 2013; Schmitt-Harsh, 2013). In a confusion or error matrix, the value of each known

pixel that belongs to reference data goes into the columns of the matrix and the pixel which was

classified, lists in the rows of the matrix. It should be mentioned that the pixels that are precisely

classified, list in the main diagonal of the error matrix (Banko, 1998). The overall accuracy is used to

show the correctly classified pixels (in percent), and the kappa coefficient calculates the percent of

chance-corrected pixels (Rosenfield and Fitzpatrick-Lins, 1986). In this study, OA and KC were used

to determine the best classification method between MLC, SVM, and ANN, pixel-based algorithms.

Also, the land-use map for 2017 was prepared and transferred into ArcGIS to calculate the area of

each land-use category.

5. RESULTS

The multispectral and thermal dataset used in our experiments is the Landsat 8 remote sensing

images of the Tarom area taken on August 8th, 2017. The first step was to make the image

preprocessing and feature extraction. This part is done in the ENVI software environment. The

second step is the realization of the algorithms and the image classification. Three classifiers

including, MLC, SVM, and ANN were used to classifying and preparing land-use maps for the year

2017. The comparison results acquired by the ML, SVM, and ANN methods are shown in Table 1.

Table 1: OA and KC of three classifiers. Statistic (%) ML SVM ANN

Overall Accuracy 91.55 89.45 88.24

Kappa Coefficient 0.88 0.86 0.84

Based on the results of Table 1, it seems clear that the ML method has the best precision in

generating land-use imageries. The comparison of results in Table 1 showed that the ML technique

has better output than the other two methods in classification accuracy and classifies the remote

sensing image more accurately. Classified Landsat-8 image for 2017, is presented in Figure 6.

The area for each class in the classification is provided in Table.2. It should also be mentioned

that in Table. 2, bare land class (path and soil) referred to the places in which no cultivation or

harvesting was seen during the satellite imagery. In addition, dirt and gravel roads were classified

under this category.

Table 2: Area of different classes. Percent Area (km

2) Class

68.37 3527 Mountain and Rock

23.49 1212 Bare land (roads and settlement)

4.36 225 Vegetation

2.74 141.5 Forest (garden)

1.04 53.5 Waterbody

100 5159 Total


9

Figure 6: LULC images for 2017.

As mentioned before, the accuracy assessment for the 2017 classified picture (with three

classifiers) was performed by using the 30% of gathered samples. Table 3 presents the User’s and

producers’ accuracy for the MLC method.

Table 3: Precision evaluation for the generated images. Class Statistic User’s Accuracy Producer’s Accuracy

Waterbody 93.16 94.31

Forest 87.42 95.25

Bare Land 63.72 71.04

Vegetation 75.68 78.59

Mountain and rock 76.37 72.84

Overall Accuracy 91.55

Kappa Coefficient 88

Based on the estimates in Table 3, the model has a considerable capability in the segregation of

the aqueous domain. In addition, the model can be beneficial for the segregation of garden class or

trees in Landsat imageries and also for areas such as Tarom with a huge amount of slope, vicissitudes

and a variety of tree species. Conclusions drawn from previous studies verify the precision of the

methods as mentioned earlier (Akar, 2012; Duarte, et al., 2016). Though highly accurate MLC

method with the kappa coefficient, more than 85% is proved to be a propped classification method.

(Anderson, et al., 1976). Although two other methods-specially ANN method-has been introduced as

the appropriate methods in numerous studies, they are reported to be time-consuming due to low

calculation speed, the necessity of diverging architectures and change in map generation parameters.

6. CONCLUSION Land cover is the physical material at the earth’s surface and an essential variable which links the

physical environment by human activities, and land-use is the description of how we utilize the land

for the socio-economic activities purposes. Population and society growth increases the demand for

food, water, and energy, which causes a prompt change in land cover and pattern of land-use. The

mentioned process depends on social and economic development of the nation.


In order to have appropriate and unrestrictive management of natural resources (water and soil),

it is a necessity to have complete information about the pattern of land-use and its alteration pattern

over time. Thus, it can be concluded that remote sensing is a proper technique to investigate the

land-use changes using satellite imagery. Spatiotemporal analyses of LULC help us to manage the

environmental changes, which are an appropriate tool for decision-makers on water resources’ to

enhance their decisions.

In the presented study, LULC map for Tarom basin, Iran, acquired from OLI sensor data sets

(Landsat-8) by applying three pixel-based classification method (MLC, SVM, and ANN) with the aid

of remote sensing technology. The finding results that are presented in this study proved the

usefulness, effectiveness and also convenience of the MLC technique for generating land-use maps

by using the free archive of Landsat data and processing the digital images through the ENVI

software. Accuracy assessment using OA and KC for MLC algorithm (the best classifier), was

91.55% and 0.88 respectively. But then, the OA for SVM Algorithm was 89.45%, and the calculated

kappa coefficient was 0.86. Finally, for the third classifier (ANN), the OA and KC values were

88.24%, and 0.84, respectively.

Anderson, et al., 1976 have also recited the approval of the USGS kappa coefficient of 85% in

their article as the minimum requirement for land-use classification with Landsat data. However,

some researchers stated lower than standard kappa coefficient in their study, for example, Rozenstein

and Karnieli (2010), reported 53% for MLC method, which is lower than the standard 85% which has

been approved by USGS. Some researchers stated that SVM classification method performs better

than ANN (Halder, et al., 2011; Yousefi, et al., 2015). Obtained data from the study area showed the

dominant coverage of the area is belong to mountain and rock category in Tarom basin covering

about 3527 Km2. The latter considerable type of land cover in this basin was bare land, including bare

lands, roads, and settlement areas (225 Km2).

What matters most in this regard is the accuracy, speed, and quality of land-use maps. In the

present study, it was shown that due to high speed and accuracy in generating land-use maps of

Tarom, ML method, can act as the best classification method in this area. However, it is suggested to

classify the data by using other methods and compare the results with image output provided by

Landsat 8 satellite. In addition, it is also recommended to generate maps for different time periods

(e.g., five years ago) and evaluate land-use change classes in order to have a better understanding of

changes' patterns (Panda, et al., 2018). So at the same time, we are able to provide a number of

strategies to preserve the fields which may result in prevention from detrimental or unstructured

land-use in Tarom. Finally, as some researchers stated, due to altitudinal structure, and a variety in

LULC classes in each study area, a unique guideline for choosing the best classification method

cannot be applied to all areas (Xie, et al., 2010; Schulz, et al., 2010; Zhou, et al., 2018).

7. AVAILABILITY OF DATA AND MATERIAL Data used or generated from this study is available upon request to the corresponding author.

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Hydrology, 554, 558-569.

Seyyed Behrouz Hosseini is a Ph.D. Student at the Department of Water Science and Engineering, Science and Research Branch, Islamic Azad University, Tehran, Iran. His works involve different aspects of Hydrology, Simulation, Water Resources Engineering, Climate Change, and Artificial Neural Networks. His research interests are Hydrology, Remote Sensing, GIS, modeling the weather, Flood Mapping, Drought forecasting, and Trend in climate variables.

Dr. Ali Saremi is an Assistant Professor at the Department of Water Science and Engineering, Science and Research Branch, Islamic Azad University, Tehran, Iran. His research interests are Irrigation and Drainage, Hydrology, Optimization, and Water Resources.

Dr.Mohammad Hossein Noori Gheydari is an Assistant Professor and Head of the Department of Water Engineering, Zanjan Branch, Islamic Azad University, Zanjan, Iran. His research interests are Dams, Irrigation and Drainage, Hydrology, Drought and Flood Forecasting.

Professor Dr.Hossein Sedghi is Professor at the Department of Water Science and Engineering, Science and Research Branch, Islamic Azad University, Tehran, Iran. He was a former Head of the Water Engineering Department. His researches are in the field of Water Resources and Engineering, Irrigation and Drainage, Drought, and Hydrology.

Dr.Alireza Firoozfar is an Assistant Professor at the Department of Civil Engineering, University of Zanjan, Zanjan, Iran. Also, he is the Chancellor of the Zanjan Branch Islamic Azad University. His researches are in the fields of Civil and Hydraulic Engineering, Earthquake, Geotechniques, Dams, Remote Sensing, and Hydrology.

Note: This paper is an extended work of the previous published article entitled “Pixel based classification

analysis of land use land cover in Tarom basin” (in Persian) available from the Journal of Water and

Soil Resources Conservation (ISSN 2251-7480), V8(4), 2019, by Seyed Behrouz Hoseini, Ali Saremi,

Mohammad Hosein Nouri Ghidari, Hasan Sedghi, Alireza Firoozfar, and Jafar Nikbakht.

http://wsrcj.srbiau.ac.ir/article_14507_283bb8ad765d8e02a4b5e7ec019a2261.pdf

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in

this article are the property of their respective owners, using for identification purposes only. The use


http://wsrcj.srbiau.ac.ir/article_14507_283bb8ad765d8e02a4b5e7ec019a2261.pdf

*Corresponding author (Veronika Ramilevna Ganeeva) E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12H http://TUENGR.COM/V10A/10A12H.pdf DOI: 10.14456/ITJEMAST.2019.158

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PAPER ID: 10A12H

ANALYSIS OF RUSSIAN MIGRATION FLOWS WITH

SOCIO-ECONOMIC DEVELOPMENT CONSIDERATION

Veronika Ramilevna Ganeeva a*

, Elena Vladimirovna Makarova a

,

Alexey Igorevich Dudochnikov a

a Kazan Federal University, RUSSIA.





July 2019

Accepted 01 August 2019


2019

Keywords:

Russian migration

policy; Demofigurey;

Labour market;

Foreign labour;

Internal migration.

Migration in the Russian Federation today is considered as one of

the main sources of further population growth. The concept of state

migration policy contains that “migration policy is an auxiliary tool for

solving demofigureic and related economic problems” [1]. In addition

to compensating for the natural population decline, immigrants increase

the supply of labor, labor productivity and ease the pressure on pension

systems in host countries. In this regard, the issues of increasing the

migration attractiveness of the Russian regions to attract qualified

personnel from abroad are of particular importance. Regulation of

internal migration flows is aimed at the development of labor mobility

of the population, its movement from labor-oversupply and

overpopulated areas to regions that experience personnel shortages. The

purpose of regulating external migration flows is the selection of

migrants to match their number and professional characteristics to the

needs of the Russian labor market, as well as to curb illegal migration.

Of particular interest is the study of the qualitative and quantitative

characteristics of external and internal migration flows, which is

necessary for the formation of directions of state migration policy. In

this paper, we analyzed migration flows in the Russian Federation and

their role in the socio-economic development of the regions, analyzed

the impact of internal and external migration gains on the

socio-economic position of the subjects of the Russian Federation, and

also offered practical recommendations for improving state migration

policy in order to fully and effective use of migration as a resource for

the country's economic development. © 2019 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION According to the UN, the scale of world migration has a stable upward trend. In 1980 the number

of international migrants was 102 million (M), in 2017 - 258 M, a substantial number (150.3M

people) of whom are migrant workers (58.3% of the total amount of migrants). Over the past decades,


2 Veronika Ramilevna Ganeeva, Elena Vladimirovna Makarova, Alexey Igorevich Dudochnikov

the proportion of international migrants among all the citizens of the planet also rose from 2,3% in

1980 to 2,8% in 2000 and 3.4% in 2017 [2].

The UN data based on official statistics on the foreign-born, i.e., people born outside of the

country of current residence indicates that the highest number of migrants in 2017 – 49.8M (15.3% of

country’s total population) - lived in USA. Russia ranks fourth – 11.65M migrants (8.1M of Russia’s

total population) lived here [3]. The main Russian difference from the other industrial countries is that

most immigrants get here from former Soviet Republics with which it has been established that no

visa is required.

Experts note that the most developed countries seek to use international migration as an

important factor of national human capital development, growth of the economy and the entire social

sphere, using a selective approach for this. For example, in Canada and some other developed

countries, a points-based system is used for the selection of economic migrants [4]. From 2015,

applicants who already have a job offer (contract with an employer) receive an advantage when

applying for living in Canada. Such a system allows attracting the very specialists that the country's

economy needs [5].

Selective approach allows the country - the recipient of labor to receive a number of significant

advantages: solving the problem of labor shortages in certain sectors of the economy, productivity

growth, balanced regional development by resettling migrants in certain territories, stimulating

domestic demand for goods and services owing to growing number of consumers, development of

human capital and innovative activity of enterprises, etc.

2. METHOD

This study applies the systematization of theoretical and analytical data, statistical analysis,

comparative analysis, figureical analysis, regression analysis, and trend line building. This study

focuses on 12 Russian regions with positive increase in migrations.

3. RESULT AND DISCUSSION

Since 1992, in Russia has been observed extremely low birth rate while the mortality rate was

high, therefore natural growth rate over the 21 years (up to 2012 inclusive) was negative (Figure 1):

Figure 1: Natural population growth (per 1000 population), Russia [6].


3

Under the circumstances, migration became a source of compensating for all population

damages. Traditionally the migration growth rate is positive and significantly higher than the natural

growth rate (Figure 2).

Figure 2: Population growth in Russia, persons [7]

It should be clarified that the Federal State Statistics Service (Rosstat) registers migration for

permanent residence or long-term stay [8]. Consequently, official statistics do not take into account

foreign migrants who do not have registration in Russia or stay for short periods.

According to the realistic scenario of the DemoFigureic forecast until 2035, compiled by Rosstat,

the natural population decrease in 2018-2035 will reach 7.3M people [9]. Thanks to migration, it will

be possible to reduce it: according to the forecast, the migration increase for the same period will be

4.43M people, and by the beginning of 2036 the population will be not 139.6 million, but 144M

people [10]. Accordingly, migration in Russia is considered to be one of the most important sources

of stabilization of the demofigureic situation [11].

Figure 3: Net immigration in Russia in 2017 by countries

The majority of immigrants — in 2017, only 589,033 people arrived in the country — people

from the Commonwealth of Independent States (CIS) countries (89%) [12]. Migration growth was

211,878 people, the share of from the CIS countries in it - 96% (Figure 3). In this regard, the cultural

and linguistic affinity of migrants in Russia becomes meaningful. In 2017, most immigrants (89%)


came from the CIS countries (generally in 589 033 immigrants entered the country) [13]. Net

immigration amounted to 211 878 people, the proportion of immigrants from the CIS countries was

96% (Figure.3): The largest number of migrants was from Ukraine, net migration amounted to

47 691 people, followed by Tajikistan (34 639 people), Kazakhstan (32 736 people) and Uzbekistan

(22 167 people).

Migration flows can improve not only demofigureic situation in certain regions and in the

country in general but also can significantly affect the economy of the host territories. This is due to

the fact that migrants are mainly people of working age and therefore this is an additional workforce

and staff capacity for regional enterprises. In 2017, age structure of net external immigration was

structured as follows (Figure 4). Most of them have secondary vocational education or one of grades

of schooling (Figure 5).

Figure 4: Age structure of external immigrants in Russia, 2017 (data from [14]).

Figure 5: Breakdown of the immigrants aged 14 or older by the level of education in Russia, 2017

(data from [15]).

Net immigration of those aged 14 or older amounted to 184 974, only 38 378 people (20.7%) of

which had higher education. Consequently, the others are eligible to apply working specialties or

occupations which do not require vocational training and qualification.

External immigration in Russia is a vital source of the replenishment of human and labor

resources, owing to worsening demofigureic situation:

1) Since 1992 has been observed natural population decline (exception - 2013-2015), and

migration can be a source to maintain the population.

2) Demofigureic burden on the population of working age increases (Figure 6).

Over the 15 years, the dependency ratio rose from 625 to 785 (by 25.6%), most of which

comprise persons of retirement age. Their share in total ratio increased by 36.7% - from 332 to 454

persons per 1000 persons of working age. Rapid population aging can cause shortage of labour and


5

it necessitates external labor resource mobilization;

3) This is confirmed by the fact that the unemployment load (the number of people officially registered

as not working per job vacancy) was only 0.6 by the end of 2017 for Russia as a whole (Figure 7). It

means the demand for labour exceeds its supply.

Figure 6: The dependency ratio in Russia (by the end of the year) [16].

Figure 7: The number of people officially registered as not working per job vacancy by the end of the

year for Russia as a whole, persons [17]

For comparison, in 1995, this indicator was 8.2, that is the number of those wishing to get a job

was significantly higher than a number of vacancies, and therefore, labour market situation could be

described as crucial. The unemployment rate at the time was 9.5%, the unemployment rate registered

was 3.3%. In 2017, similar indicators amounted to 5.2% and 1%, respectively.

The severest impacts of negative demofigureic trends (fertility decline and decrease of the

working-age population) internal interregional migration are starting to play an increasing role for

Russian regions. Over the last ten years its levels have increased rapidly (Figure 8):

In this case, according to the Rosstat methodology, only internal migration associated with a

change of permanent residence (i.e., with a change of registration) has been taking into account.

Commuting and other temporary mobility is not taken into account.


Figure 8: Internal migration in Russia, persons [6]

Only 12 Russian regions had positive migration increase for the last 10 years (2008-2017):

1) four regions of the Central Federal District - Belgorod, Voronezh and Moscow regions, Moscow;

2) three regions of the North-West Federal District - Kaliningrad and Leningrad regions, St.

Petersburg;

3) two regions of the Southern Federal District - the Republic of Adygea and the Krasnodar

territory;

4) by one subject of the Volga, Ural and Siberian federal districts - the Republic of Tatarstan,

Tyumen (including the Khanty-Mansiysk and Yamal-Nenets Autonomous Districts) and Novosibirsk

regions.

These regions were selected as subjects of our study.

In order to determine on which type of migration - internal or external – the Russian government

should focus in 12 regions. We have conducted regression analysis for forecasting, analyzing time

series, testing hypotheses and revealing hidden relationships in the data. We need to determine

whether there is a relationship between migration and regional socio-economic development. Let us

put forward the hypothesis: “Migration growth has a positive effect on the characteristics of the

socio-economic situation of the Russian regions”.

The indicators “internal migration increase (per 10,000 people)” and “external migration

increase (per 10,000 people)” were chosen as independent variables х𝟏 and х𝟐 . Formulating

separate regression equations for х𝟏 and х𝟐 will make it possible to compare the effects and

strength of the influence of external and internal migration processes on regional development.

The dependent variables will be indicators that reflect some of the main characteristics of the

socio-economic situation of the subjects:

у𝟏 – Gross regional product (GRP) per capita (RUB);

у𝟐 – the number of small and medium enterprises, at the end of the year (units);

у𝟑 – the volume of innovative goods, works and services per capita (rubles);

у𝟒 – the unemployment rate (%);

у𝟓 – the number of registered crimes per 100,000 people.


7

To determine the presence/absence of a relationship between independent and dependent

variables trend lines will be constructed, in our case - based on linear and non-linear pairwise

equations (exponential, logarithmic, polynomial and power) regression, for each of which the

coefficient of determination R2 will be determined: the higher the coefficient of determination, the

better the model. If R2 ≤ 0.5%, then the model has a poor quality level, the analysis cannot be

considered significant and used for subsequent studies. For further forecasting and drawing

conclusion, we will use those models that have R2 ≥ 0.75.

The resulting statistically significant regression equations are presented in Table 1.

Table 1: Regression equations with the coefficient of determination R2 ≥ 0.75. Region independent variable X independent variable Y Regression equation

Kaliningrad

Region

х1 “internal migration

increase (per 10,000 people)” у1 “GRP per capita (RUB)”

y = 189686e0,0157x

R² = 0.7485

Voronezh

region х2 “external migration

increase (per 10,000 people)”

у1 “GRP per capita (RUB)”

y = 403.9x2 - 14697x + 262166

R² = 0.9521

Moscow х1 “internal migration


у2 “the number of small and

medium enterprises, at the end

of the year (units)”

y = 204.21x2 - 23724x + 866884

R² = 0.943

Moscow

х2 “external migration


у2 “the number of small and

medium enterprises, at the end

of the year (units)”

y = 11104x2 - 237720x + 1493855

R² = 0,8972

Kaliningrad

Region

х1 “internal migration


у4 "the unemployment rate

(%)”

y = 0,0036x2 - 0,2829x + 11.284

R² = 0.8286

Kaliningrad

Region х1 “internal migration


у5 "the number of registered

crimes per 100,000 people”

y = 0,6133x2 - 38,847x + 21390.7

R² = 0,7628

St. Petersburg y = 0,2394x

2 - 50,231x + 3673.9

R² = 0.8137

Consider, for example, the Kaliningrad region. By the standards of Russia, it is a rather small

region both in terms of area and population.

A good quality model with R2 = 0.829 has a polynomial regression equation: y = 0.0036х2 −

0.2829x + 11.284 - it can be used to predict changes in the unemployment rate depending on changes

in internal migration flows. Let's continue the trend line for 10 years ahead (Figure 10):

Figure 10: Polynomial trend line for the independent variable х1“internal migration increase (per

10,000 people)” and dependent у4 "the unemployment rate (%)” of the Kaliningrad region.


If internal migration growth increases by 10%, the projected unemployment rate with a

probability of 82.9% will be: 0.0036 ∗ (46.8 ∗ 1.1)2 − 0.2829 ∗ (46.8 ∗ 1.1) + 11.284 = 6.3 ,

which is 20.4% more than the unemployment rate in 2017 by 5.2%.

4. DISCUSSION

The hypothesis about the positive effect of positive migration growth on the socio-economic

situation of the regions was only partially confirmed: the nonlinear regression equations for a number

of subjects showed that a further increase in migration growth could lead to faster growth of GRP (in

the Voronezh and Kaliningrad regions) and small and medium-sized enterprises (in Moscow), and to

the growth of unemployment (in the Kaliningrad region) and crime (in St. Petersburg and the

Kaliningrad regions). Therefore, there is a need to regulate migration processes and their “retention”

in an acceptable framework for the region.

Thus, we conclude that it is necessary to attract labour migrants to Russia as one of the most

important sources for replenishing demofigureic and labor resources and economic development. But

also important are the protection of the national labour market and the maintaining inter-ethnic and

inter-religious peace and harmony in Russian society, which are declared in the Concept of the State

Migration Policy of the Russian Federation for 2019-2025.

Implementing of labour patents in Russia for citizens from “visa-free” countries allows an

unlimited number of migrants to come to Russia to work. Such systems, in our opinion, should work

in all CIS countries: Armenia, Azerbaijan, Belarus, Kazakhstan, Kyrgyzstan, Moldova, Tajikistan,

Turkmenistan, Uzbekistan, and Ukraine. This project will provide the following benefits:

o recruitment of labor adopted in quantitative and qualitative characteristics to the requirements of

the Russian economy;

o formation of “transparent rules of the game” on the Russian labor market — workers who are best

prepared for a specific type of work activity will receive a job;

o quotas distribution for attracting labor by country depending on their cultural and linguistic

similarity with Russia;

o minimizing the number of illegal migrants;

o protection of labor and social rights of migrant workers;

o legal preparedness of migrants;

o minimizing interracial conflicts between labor migrants and the local population.

Therefore, the implementation of the proposed system will become an effective mechanism for

regulating external migration processes.

5. CONCLUSION The article presents an overview of the detailed qualitative and quantitative characterization of

migration flows in the Russian Federation, an analysis of their meaning and degree of influence on

the Russian regions’ socio-economic situation. From this study, the following main problems of

migration management were identified: disproportions in the internal movement of the population -

concentration of “internal” migrants in the central part of Russia and outflow of the population from

its eastern part; lack of skilled labor migrants - only one fifth of migrants have higher education;


9

exceeding the number of labor migrants over the real demand of the Russian economy and the

subsequent increase of unemployment rate among the local population in some regions of the Russian

Federation; high level of illegal migration. Russian regions have a different need to attract foreign

labor, and it must be taken into account when developing migration policy.

The most interesting for Russia are the practices applied in the migration policy of the United

States, Canada, and the EU countries and related to the selective mechanisms in the field of economic

class immigration, which can contribute to the overall progress of the country, using immigration as

one of the development resources.

6. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

7. ACKNOWLEDGEMENT The work is performed according to the Russian Government Program of Competitive Growth of

Kazan Federal University.

8. REFERENCES [1] Migration Policy Concept Framework of the Russian Federation for the period up to 2025. URL:

http://kremlin.ru/events/president/news/58986

[2] Global Migration in InfoFigureics. URL:

https://www.imf.org/external/russian/pubs/ft/fandd/2018/12/pdf/picture.pdf

[3] Top 25 Destinations of International Migration / Migration Policy Institute. URL:

https://www.migrationpolicy.org/programs/data-hub/charts/top-25-destinations-international-migrants.

[4] Grebenjuk, A. (2018). How does labor migration affect the economies of recipient countries?.

Migracija kak instrument sodejstvija torgovle i ustojchivomu razvitiju. Mosty: ICTSD Mezhdunarodnyj centr po torgovle i ustojchivomu razvitiju, 1: p. 9.

[5] Migration policy: diagnostics, challenges, suggestions. CSD. URL: https://www.hse.ru/mirror/pubs/share/218427665

[6] Natural population change. Federal State Statistics Service. URL: http://www.gks.ru/wps/wcm/connect/rosstat_main/rosstat/ru/statistics/population/demoFigurey/#

[7] Population and migration in the Russian Federation. Federal State Statistics Service. URL:

http://www.gks.ru/wps/wcm/connect/rosstat_main/rosstat/ru/statistics/publications/catalog/doc_1140096034906

[8] Methodological notes. Federal State Statistics Service. URL:

http://www.gks.ru/free_doc/new_site/population/demo/metod/met-dem.htm

[9] DemoFigureic forecast until 2035. URL:

http://www.gks.ru/wps/wcm/connect/rosstat_main/rosstat/ru/statistics/population/demoFigurey/

[10] Regions of Russia. Socio-economic indicators. Federal State Statistics Service. URL:


[11] Federal Law "On the Legal Status of Foreign Citizens in the Russian Federation" dated July 25, 2002 No. 115-FZ. URL: http://www.consultant.ru/document/cons_doc_LAW_37868/

http://kremlin.ru/events/president/news/58986

https://www.imf.org/external/russian/pubs/ft/fandd/2018/12/pdf/picture.pdf

https://www.migrationpolicy.org/programs/data-hub/charts/top-25-destinations-international-migrants

https://www.migrationpolicy.org/programs/data-hub/charts/top-25-destinations-international-migrants

https://www.hse.ru/mirror/pubs/share/218427665

http://www.gks.ru/wps/wcm/connect/rosstat_main/rosstat/ru/statistics/population/demography/



http://www.gks.ru/free_doc/new_site/population/demo/metod/met-dem.htm

http://www.gks.ru/wps/wcm/connect/rosstat_main/rosstat/ru/statistics/population/demography/



http://www.consultant.ru/document/cons_doc_LAW_37868/


[12] Comba, M.B., Mangione, M.I., Suárez, A.G., Sarotti, A.M., & Spanevello, R.A. (2018). A

Domino Epoxide Ring-Opening Xanthate Migration Reaction: An Alternative Entry to Thiosugars. European Journal of Organic Chemistry, 48: 6848-6856.

[13] Davitti, D. (2018). Biopolitical Borders and the State of Exception in the European Migration 'Crisis'. European Journal of International Law, 29(4): 1173-1196.

[14] Zoomers, A. (2018). Development at the crossroads of capital flows and migration: Leaving no one behind?. Sustainability (Switzerland), 10(12): 4807.

[15] Pedersen, M.H., & Rytter, M. (2018). Rituals of migration: an introduction. Journal of Ethnic and Migration Studies, 44(16): 2603-2616.

[16] Bhagat, R.B. (2018). Development impacts of migration and urbanization. Economic and Political Weekly, 53(48): 15-19.

[17] Janská, E., & Bernard, J. (2018). Mobility and the assimilation of immigrants: Variationsin

migration patterns of Ukrainians and Vietnamesein the Czech Republic. Moravian GeoFigureical

Reports, 26(4): 244-254.

Veronika Ramilevna Ganeeva is a first-year undergraduate student at Department of State and Municipal Government, Kazan Federal University. She is a student laureate with an academic rating of 89-94. She is interested in Economic, and Policy Management.

Dr. Elena Vladimirovna Makarova is an Associate Professor, Department of Territorial Economics, Institute of Management and Territorial Development, Kazan Federal University, Russia. She has a PhD in Economics. She is also Head of the Department of Scientific Activities of Kazan Federal University (Institute of Management, Economics, and Finance). She is interested in Modern Economic Multifactors Analysis.

Alexey Igorevich Dudochnikov is a Master’s degree student, Department of State and Municipal Management Department, Kazan (Volga region) Federal University. He is interested in Economic and Management.

*Corresponding author (A.Sanusi Hassen) E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12I http://TUENGR.COM/V10A/10A12I.pdf DOI: 10.14456/ITJEMAST.2019.159

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PAPER ID: 10A12I

THE INFLUENCE OF MUGHAL ARCHITECTURE ON MASJID

ZAHIR: CASE STUDY ON FIVE RURAL MOSQUES IN KEDAH,

MALAYSIA

Ahmad Sid Hijaz Md Saaid a,b, Ahmad Sanusi Hassan b*

a Politeknik Sultan Abdul Halim Mu’adzam Shah (POLIMAS), 06000 Jitra, Kedah, MALAYSIA b School of Housing, Building & Planning, Universiti Sains Malaysia, MALAYSIA



Received 06 April 2019


June 2019

Accepted 28 June 2019

Available online 10 July 2019

Keywords:

Architecture history;

Mughal architecture;

Mosque elements;

Mosques in Malaysia;

Mosque renovation;

Masjid Zahir.

Masjid Zahir in Alor Setar is a prominent mosque in Malaysia. Its

architecture is a century years old and arguably one of the most beautiful

mosques in the world. This study looks at the elements of the Zahir

Mosque architecture that are heavily influenced by Mughal architecture

originating in Northern India. A structured observation survey had been

conducted on five rural mosques in Kedah to study the mosque

architectural attributes. These mosques have adapted many elements

such as onion domes, domed-kiosks, pishtaqs and arches. Significantly,

these elements can also be seen on Masjid Zahir. The study found that

the Masjid Zahir has acted as a reference point for the construction of

many other mosques, especially in Kedah, Malaysia. Among the five

mosques, the most elaborated detail elements were highlighted on Masjid

Ar-Rahmah. Meanwhile, Masjid Nurul Ehsan has been chosen as the

mosque with the most identical identity with its parent Masjid Zahir.

However, this mosque is no longer a prestigious mosque due to the

renovation work which has been seen to disturb the true identity of the

mosque. This study can attract the public interest to appreciate

architectural history and mosques architecture in Kedah, Malaysia. © 2019 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION One of the most significant mosques in Malaysian architectural history is undoubtedly Masjid

Zahir, which was built on a riverbank known as Sungai Kedah in Alor Setar, the capital city of Kedah

Darul Aman. According to India TV News (2014), Masjid Zahir was ranked as the fourth in the list

of ten most beautiful mosques in the world. The construction of this mosque was completed on

March 11, 1912. Ten years earlier a similar and identical mosque had been built in Tanjung Pura,

Langkat, Sumatera, Indonesia. It was known as Masjid Azizi.

Both Zahir and Azizi have shown a strong influence of Mughal architecture. Evidently, very


2 Ahmad Sid Hijaz Md Saaid, Ahmad Sanusi Hassan

few academic articles discussed the Indian characters portrayed in the architecture of these two

mosques. These mosques were also known as a royal symbol for Langkat and Kedah Sultanates.

However, the Langkat Sultanate is no longer existed, and the building is only considered as a

historical heritage. The Azizi mosque has passed its golden age. An evident of dissatisfactory can

be seen on its surrounding (Figure 1B). Meanwhile, the Zahir mosque is still intact as a royal mosque

for Kedah State (Figure 1A).

Figure 1A: Masjid Zahir, Alor Setar,

Kedah, Malaysia

Figure 1B: Masjid Azizi, Langkat, Sumatera

Source:

http://visitlangkat.wordpress.com/2014/02/24/jejak

-peninggalan-melayu-langkat

2. LITURATURE REVIEW

Mosque architecture in Malaysia falls into two categories, namely traditional mosque and

colonial mosque. Traditional category mosques are mosques built with regional and local identity.

Whereas the colonial category mosques consist of architectural identities influenced by the Middle

East, Morocco and India (Ahmad, 1999; Basri, 2002). Khazaee et al. (2015) in their study have

categorised Masjid Zahir as a mosque with colonial identity. This study had also observed the

difference between Moorish and Mughal architecture adorned on early Malaysian mosques.

According to Mohamad Rasdi (2007), Islamic architecture found on the mosques was derived

from various forms and terms across the ages. Multiple factors such as climate, technology and

socio-political would decide the architectural characters of the mosques. Although there are plenty

of studies on the mosque as an Islamic institution, however, most of them lack on architectural

aspects. This opinion is recognised by Prof. Mohamad Tajuddin and Dr. Nangkula in their

statement: Islamic architecture in Malaysia such as the National Mosque building is not much studied

from the aspect of thinking and theoretical framework behind its design (Mohamad Rasdi & Utaberta,

2007).

Ali and Hassan (2017) have conducted studies on the elements of Mughal architecture found in

Malaysia through case studies in three mosques namely, Masjid Kapitan Keling in Georgetown,

Penang, Masjid Alwi in Perlis and Masjid Jamek in Kuala Lumpur. This study had also compared

the original elements found in India such as the Jami Mosque of Delhi and Taj Mahal in Agra. The

researchers believed this study was not completed because the Mughal architectural elements

recorded in the local context did not include the Masjid Zahir. A study by Ibrahim and Abdullah


3

(2010) had detailed out the elements found on Masjid Zahir, but this study did not look at its affinity

with other ordinary mosques, especially in Kedah.

Through a case study of mosques, the researchers can also appreciate the dual-layer space that

provides passive cooling effects. This opinion was supported by Asif Ali (2012); his studies had

shown the advantages of passive cooling space inherent in the major buildings of the Mughal dynasty.

For local mosques, passive cooling architecture should have a fanless airflow system and natural

lighting without lights (Mansor & Mokhtar, 2016).

3. METHODOLOGY

As the oldest, a royal mosque and the pride of its people; Masjid Zahir has always been a

reference to the construction of other mosques found everywhere in the State of Kedah. This

research will discuss five mosques that have similar architectural identities with the Zahir Mosque.

These mosques are as follows:

Table 1: The Mosques involved in this study

The researchers will conduct case studies and structured observations on the five mosques.

Then, they will make comparisons on the architectural elements collected from the five mosques and

compare them with the original elements found in the Zahir Mosque. The findings will then be

recorded in the form of facts and collections of pictures. Next, the researchers will construct a

summary table, and it will become as the most important note for this survey. Finally, analysis and

discussion and conclusions will be made by referring to the summary table.

3.1 ARCHITECTURAL ANALYSIS OF MASJID ZAHIR A general explanation of Masjid Zahir just described the construction of this building is similar

to the architecture of the Azizi Mosque in Sumatera. The researchers argue that more detailed studies

need to be made as comparing how this building has embedded architectural elements based on the

characteristics of Mughal architecture, most of which are found in Northern India. The researchers

have analysed the visual architecture of the Masjid Zahir (Figure 2). There are a lot of architectural

elements in this building. The most prominent Mughal element can be seen on the main dome with

inverted lotus-shaped decoration, domed kiosk or chhatri and guldasta, which is a small dome-spear

that adorns every major corner of the mosque.

Masjid Zahir is a state mosque in Alor Setar City. It is also a landmark and symbol of Islamic

architecture in the State of Kedah. This mosque is visited by all walks of life from both inside and

outside the country. To provide more perfection and increase the capacity of the users, the mosque

was renovated twice in 1960 and 1975. However, the renovation of the mosque has occurred 3-4

times. The mosque prayer hall originally only accommodated 600 prayers had been extended to 2200


prayers (Ibrahim & Abdullah, 2010).

Figure 2: An analysis of the architectural elements of Masjid Zahir

Kedah Darul Aman has over 550 mosques throughout the state. Building a new home, for

example, is usually inspired by another home. A process like this in architecture is called a precedent

study. There are many mosques in Kedah that are built by adapting the Masjid Zahir as an exemplary

building or reference model. Although no other mosque has been built by imitating the entire

identity of the original mosque, however, there are several elements in the surveyed mosques that

have identical identity with the architecture of Masjid Zahir. Among the important elements is the

black-onion dome, domed kiosk (chhatri), guldasta spire, entrance way (pishtaq) and arches.

3.2 ARCHITECTURAL CONNECTIONS One of the advantages of Masjid Zahir is that even though many times the building is renovated,

its art remains beautiful and balanced. The beauty of Masjid Zahir has influenced the construction

of other mosques, but not all have succeeded. The researchers believe that the five mosques of this

study are among the local mosques that have the most significant relationship with Masjid Zahir’s

architecture (Figure 3). The main identity shared by these mosques is the onion dome. Each

mosque has a double-layer space, where there is an arcade, or a veranda surrounds the main prayer

hall in the middle of the mosque. The mosque columns located on a structural grid. The colonnade

is adorned with arches. Mostly, there are two types of arches, namely the pointed arches and multi-

foliated arches.

Presently, only two mosques still maintain the original double-layer space, namely the Kampong

Jelutong and the Ghairu Mosque. These mosques continue to use passive ventilation (without air

conditioning), while the other three mosques were renovated and no longer had the passive double-

layer space due to the installation of air conditioning systems. As stated, Masjid Zahir is recognised

as the most beautiful reference mosques in Kedah. The researchers found that the other five mosques

did not fully adapt to the methods of elemental constructions exhibited by this supreme mosque.


5

Figure 3: Five mosques that have connections with the Masjid Zahir

In architectural design, this situation is expected due to the existence of various factors such as

the construction cost and the status of each mosque. For example, a rural mosque with low financial

allocation is unlikely to be beautifully built like the Zahir Mosque. However, there are still some

interesting characters and identities found in the architecture of the surveyed mosques. This finding

can be seen in the comparative and analysis table (Table 2).

3.3 DATA ANALYSIS The following table is provided as a reference of the conclusions from the study and observations

made on the six mosques (including Masjid Zahir). The analysis of the study is described by this

table.

Table 2: Analysis of the architectural elements of study mosques Mosque Zahir Ghairu

Jamek

Ar-Rahmah Rayatul

islam

Kampung

Jelutong

Nurul

Ehsan

Completion/

*officially opened

11.3.1912

*15.10.

1915

1960**

(estimated)

*

30.4.1965

1966

1993

*

08.12.1966

The capacity of prayers in the Main Prayer Hall

365 pax 360 pax 150 pax 162 pax 225 pax 128 pax

Element

Dome 4 1 3 3 2 4

Chhatri 3 0 1 1 0 3

Minaret 1 0 0 0 1 1

Turret 6 0 0 0 0 0

Guldasta 32 12 10 12 28 18

Crenellation yes yes yes yes yes no

Pyramidal Roof 11 0 0 0 0 0

Pishtaq 3(2) 2 1 2 (1) 1 3

Arches (internal) 64 23 11 (44) 6 (21) 34 6 (25)

Spiral Staircase 1 0 1 1 1 1


3.3.1 MAIN PRAYER HALL AREA

As a royal-state mosque, Masjid Zahir is provided with the largest main prayer hall. The whole

space is 289 m2. But this area can only accommodate about 365 congregants, taking into

consideration the space of the pulpit, eight pillars and pentagon-shaped walls. The pentagonal

structure was built to support the mosque's main dome made of concrete. The Zahir Mosque has

twice undergone renovations carried out in 1960 and 1975. The mosque originally had three parts

of the entrance ways (pishtaq). The pishtaq space on the left side of the mosque has now been added

and combined with a larger open prayer hall. There is a concrete dome on the rooftop of this pishtaq

space. Entirely, Masjid Zahir has four domes. Three domes are located above the pishtaq spaces,

and the main dome with a diameter of 13.7 meters is placed on the top-centre of the mosque space.

Masjid Ghairu Jamek is an old mosque for Jitra city. The mosque can accommodate as many

as 360 people in the main prayer hall. Masjid Ghairu had served as the main mosque for residents

in Jitra until 1985. A new mosque named Masjid A'ala that accommodate up to 8000 congregants had

been built to replace the Ghairu Mosque as the main mosque in Jitra.

Meanwhile, Masjid Kampong Jelutong is capable of accommodating 225 congregants in the

main prayer hall. It is the most recent mosque built compared to four other mosques studied by the

researchers. Three more mosques have a lower capacity of only about 150 people. These three

mosques have been through several renovations and enlargements. Although the original forms of

the mosques remain, there is no double layer passive space that promotes arches on the outside of the

mosques. Most of the arches have been covered with glass walls.

A similar problem happens to the entrance way or the pishtaq space. The entrance ways located

at Masjid Rayatulislam and Nurul Ehsan have been covered with glass walls. There is no more

architectural language that this space works as a welcoming space as well as bringing users into the

main prayer hall in the middle of the mosques.

3.3.2 DOME, CHHATRI AND MINARET

As the most magnificent mosque, Masjid Zahir has four concrete domes. This means every

visitor under the domes will be able to see the dome-shaped decorative concrete ceiling. On the

contrary, the other five mosques only use dome made of black zinc sheets. The dome that made of

zinc metal is an artificial architecture. It is just a cosmetic element to reveal a similar identity like

Masjid Zahir. There are decorative concrete vaulted ceilings in the Zahir Mosque; the other five

mosques only use zinc metal dome with flat-type suspended ceilings underneath. Compared to

decorative vaulted ceilings, the flat type suspended ceilings cannot provide architectural appreciation

to the public. Users underneath the flat ceiling may not know that there is a dome on the rooftop.

Masjid Kampong Jelutong and Ghairu Jamek still use natural ventilation as well as fans. The

high ceiling position does not have a positive effect on the three mosques, namely Masjid Ar-Rahmah,

Rayatulislam and Nurul Ehsan as they use mechanical ventilation (air conditioning). Chhatri or

domed kiosk is a unique and attractive element of Indian architecture. Three concrete chhatries at

Masjid Nurul Ehsan are almost equal to the chhatri built at Masjid Zahir (Figure 4) whereas the only

chhatri found at Masjid Al-Rahmah is similar to the chhatri of Masjid Rayatulislam. These chhatries

are covered with glass windows. Both have a spiral staircase inside the mosque that serves as a place


7

of the muezzin calling prayers. These mosques did not have a minaret or azan tower.

The minaret tower is only available at Zahir Mosque, Kampong Jelutong and Nurul Ehsan. There

is no similarity between the three minaret designs. Minaret at Zahir Mosque is thin and tapered like

a minaret influenced by the Turkish architecture. While the minaret at Masjid Kampong Jelutong is

pagoda-shaped with a swordlike finial. A strong influence of Indian architecture can be seen at

Masjid Nurul Ehsan with its relatively low built minaret, only slightly higher than a typical chhatri.

This minaret looks like a stupa but it has a finial on top.

Figure 4: Four mosques with chhatries.

Masjid Nurul Ehsan is the smallest mosque in this survey, but this mosque is the most special

building because it has the closest identity to the Zahir Mosque. It has four domes, three chhatries

and a stupa like minaret. It has a spiral iron staircase mounted inside the mosque like it is in the Ar-

Rahmah and Rayatulislam mosques, but in this mosque, the staircase is installed in the minaret

enclosure not in the chhatri’s chamber. The form of a minaret at Masjid Nurul Ehsan after all is

different from the Zahir Mosque. Most mosques provide a spiral staircase that serves as access to a

muezzin entering the chhatri and minaret chambers. Presently, the spiral staircase, chhatri and

minaret chambers have not been used since these traditional methods have been depreciated. Instead,

mosques are now using a modern speaker system.

3.3.3 TURRET, GULDASTA AND CRENELLATION

The most intriguing architectural elements are found in the Zahir Mosque with six turret towers

and 32 guldastas decorating each corner of the mosque’s rooftop. The Kampong Jelutong Mosque

has 28 guldastas shaped like cabbage flowers. The minaret and guldastas on this mosque are

influenced by Chinese architecture. Generally, this mosque has applied the identity of double layer

designs and uses the grey tones and black dome similar to its predecessor the Masjid Zahir. There

are 18 guldastas on the rooftop of Masjid Nurul Ehsan making the details of guldastas in this mosque

is better than three other mosques namely Ar-Rahmah, Rayatulislam and Ghairu Jamek.

All the surveyed mosques have used crenellation on rooftops except Masjid Nurul Ehsan which

has used a jaali or latticework made of concrete blocks. The Rayatulislam Mosque has exhibited a

beautiful crenellation with a well arranged of merlons blades made of concrete. Masjid Ghairu


Jamek has shown a unique combination of crenellation and jaali on its rooftop. However, the

mosque is currently in a state of ill-health because it has not been properly maintained and no longer

used as the main mosque for the residents of Jitra.

Overall, the best decorations on the building facades have been exhibited by the Masjid Zahir.

In this supreme mosque, there are elements of horizontal decoration consist of crenellation, jaali,

cornice and architrave that have provided a balance against the vertical elements such as columns,

minaret, turrets, guldastas and finial.

3.3.4 PYRAMIDAL ROOF AND DOME

Masjid Zahir has also used another special decoration on its rooftop. There are 11 square

pyramidal roofs flanked on four corners of the mosque. This character is found only on its precedent

mosque the Masjid Azizi of Tanjung Pura, Langkat (Figure 1A and 1B). The researchers found that

neither the surveyed mosques nor mosques elsewhere were using this pyramidal roof element. The

main dome of Masjid Zahir is made of concrete. Hence, visitors can appreciate the beauty of the dome

ceiling decoration when they are praying in the main prayer hall. All of the roofs in the other

mosques were found using painted zinc-metal domes. Therefore, there is no purpose to highlight a

typical steel structure to visitors who are sitting underneath of the domes. All the surveyed mosques

only use asbestos flat ceilings. They did not use any special decoration such as a chandelier or pendant

lamps to highlight the interior of the mosques.

3.3.5 PISHTAQ AND ARCHES

Pishtaq is a welcoming space or porch to enter a mosque. In the pishtaq area, there will be at

least one arch that highlights the decoration style of the mosque. Typically, the pishtaq space also

has an iwan or arch that is projected to the inside of the mosque. This element is also known as a

barrel vault). However, the researchers did not find any iwan because there was no vaulted space

(barrel arches) in all the surveyed mosques. There are many types of arches. The most special

pointed-multi-foliated arch type can be found at Masjid Zahir. Masjid Kampong Jelutong is

furnished with an ogee arch type; meanwhile, the other four mosques are fitted with a multi-foliated

arch.

Figure 5: The pishtaq spaces for the six studied mosques.

There are 64 external aches found at Masjid Zahir. This rank is followed by 34 and 23 external

arches located at Kampong Jelutong and Ghairu Jamek Mosques. Three more mosques have only

less than 12 arches since these mosques have been heavily renovated: Passive double-layer space

has been fitted with glass-windows and serves as an air-conditioned prayer hall for the mosques. The

researchers found all the surveyed mosques are simply unique because even without the iwan

(excluded the Masjid Ghairu Jamek), they have domes on their pishtaq spaces (Figure 5). With


9

blackened domes; Rayatulislam, Nurul Ehsan and Kampong Jelutong Mosques have significantly

highlighted the identity of Masjid Zahir in their architecture.

Masjid Zahir has maintained two out of three pishtaq spaces due to the addition of space on the

left side of the mosque. On the rooftop of the pishtaq spaces there are three medium-large black

onion domes. Masjid Rayatulislam originally had two pishtaq spaces. Presently, one pishtaq space

has been renovated to enlarge the secondary praying area. The other space is left to be fitted with a

glass wall as all the mosque spaces have been air-conditioned. Above these pishtaq spaces, there are

still two medium-large black onion domes. The main dome at the centre of the rooftop is the biggest

dome of this mosque.

Apart from the Masjid Zahir and Kampong Jelutong, the pishtaq spaces of four other mosques

have a similar style. There are rectangular square and multi-foliated arches. However, only two

pishtaqs located at the Ar-Rahmah and Ghairu Jamek Mosques remained in their original forms.

Conversely, the pishtaq arches of Nurul Ehsan and Rayatulislam Mosques have all been enclosed as

these spaces have been renovated into air-conditioned spaces.

3.4 ARCHITECTURAL ANALYSIS: MASJID AR-RAHMAH Here, the researchers presented a detailed example of how the study and analysis of architectural

elements have been carried out on the Ar-Rahmah Mosque, which is one of the five surveyed

mosques. In today's condition, this mosque is considered a small mosque. The main prayer hall of

the mosque can only accommodate about 150 prayers. Hence, like most other mosques, this mosque

had also undergone renovation.

Figure 6: Analysis of architectural elements of Masjid Ar-Rahmah, Manggol Bongor.

Originally, this mosque had a double layer space. Pay attention to the multifoliated arches, they

are the original arches of this mosque, but now they have been closed with walls and installed new

casement windows in the form of pointed ogee (Figure 6). The distinctive quality of this mosque

lies in its original design that reveals the main dome with an inverted lotus decoration.

It is particularly noticeable that this building is influenced by Mughal architecture. Most of the

Mughal buildings used onion domes. For this building, there are three onion domes, one onion dome


is located above the porch of a pishtaq space (Figure 7). The ogee arches used in the renovated space

seem quite frustrating as the details of the constructed arch and column looked very simple. These

new details are odd-looking compared to the details of the existing multifoliated arches and decorative

pillars completed in 1965. An analysis of the architectural elements that have been recorded by the

researchers is shown in Figure 6 and 7. So far, this architectural analysis is the only study that

examined the design of Malaysian local mosques. Such studies have been carried out by many

architectural researchers focusing on prominent Mughal buildings such as the Taj Mahal in Agra,

India.

Figure 7: Analysis of architectural elements of Masjid Ar-Rahmah (Side elevation)

Although the method of this architectural analysis looks simple, the researchers have to conduct

initial research and review to determine the types of elements used in a mosque. This analysis can

provide new knowledge especially to the students of diploma-level architecture in Malaysian

polytechnics. They can understand the history of architecture by examining the architectural

elements used in a building.

4. DISCUSSION

Masjid Zahir is well known as one of the most beautiful mosques in Malaysia. This study also

raised the image of five ordinary mosques in Kedah that have special architectural values. All these

mosques have been well designed, both for internal space and external facades. Originally, each

mosque had a double layer space that functioned as thermal insulation, prevented direct sunlight, and

reduced heat flow into the main prayer hall.

Various changes have taken place in social institutions. Most mosques have now been air-

conditioned. This change is a common requirement to provide comfort to users. Masjid Zahir has a

combined space; its main prayer hall used an air-conditioning system, and its other sections

maintained passive ventilation. Only Ghairu Jamek and Kampong Jelutong mosques are still using

their passive spaces like the original design. Whereas, the passive spaces in the three other mosques

have been significantly renovated. There is no more double-layer space and multifoliated arches.


11

The original mosque buildings have shown some impressive details. Special architectural

elements can be found in all mosques, including small mosques such as Al-Rahmah and Nurul Ehsan.

However, the situation has gone bad once the renovation works have been carried out. The

appearance of the mosque seemed unmanageable. The architectural language of the building facade

has been damaged. The most noticeable example can be seen at Masjid Nurul Ehsan; the mosque

management have done a lot of additional works, but all renovations look inconsistent. The red and

green awning roofs and the installation of rainwater downpipes look very disturbing the facade of the

building (Figure 8).

Figure 8: Arrows show the facade defects caused by improper renovation works

These mosques have no longer exhibit the uniqueness of their multifoliated arches. If any, it is

just an additional arch, such as the ogee arch that is found in Masjid Ar-Rahmah. The arch here is

simple without any details and uninspiring. There are also broken pieces of merlons (crenellation)

and replaced with improper tombstone pieces. The installation of this inappropriate element has

defaced the authenticity of the mosque architecture. At the time of this study, Masjid Rayatulislam

was undergoing renovation and expansion of its left side prayer hall. The researchers found that the

additional work was carried out adequately because it involved contractors, architect and engineers.

When the renovation is completed, it is hoped that the mosque will be more comfortable and will

retain the originality of the existing design.

There are many studies on mosque institutions in Malaysia. However, very few past studies

focused on local mosques architecture. The principle objective of this study is to see the relationship

between Masjid Zahir and other local mosques in Kedah. This study is also important to promote

more research in Malaysia about the appreciation of architectural elements. The five masjids that

have been studied are typical mosques commonly seen in rural areas. But, when the researchers

closely examined their details, these common mosques have some special characters. The surveyed

buildings seemed to be influenced by the Mughal architecture. These buildings appeared similar to

Masjid Zahir regarding elements, designs and colours. Previously, perhaps not many community

members concerned about architectural issues, identity and design of local mosques. This study can

open up new ideas and encourage the public to appreciate the architecture in their surroundings.

5. CONCLUSION

On the detail parts and building finishes, this study found that ordinary mosques built in the past


look better than today’s typical mosques. There are three beautiful mosques namely Masjid Ar-

Rahmah, Rayatulislam and Nurul Ehsan which were built around 1965 respectively. It was a few

years after Malaysia gained their independence. Surely, the country still lacked qualified and

professional expertise in design and construction aspects. However, these mosques have been

successfully built, and since then, they have been used by the villagers as a community centre and for

congregational prayers.

A long-used building needs to be maintained and upgraded. This obligation will ensure the

building to continue functioning adequately. However, the researcher was very disappointed when

seeing most of the extra work carried out was not in line with the theme and the existing designs

found on the mosque buildings. In today's world of information technology, the mosque

management should at least conduct some research to find out about the intricacies of architectural

designs before undertaking any modification work.

This study found that Masjid Nurul Ehsan is a mosque with the closest identity to Masjid Zahir.

As a royal-state mosque, Masjid Zahir is managed by an administrative department. Masjid Nurul

Ehsan on the other hand is just a rural mosque for Kubang Rotan village community. Seeing this

mosque today, a researcher can still admire the original architectural values found in the mosque

building, but the admiration has slightly been scratched as the mosque seems to have lost its identity;

the mosque's facade and architectural style look disarray due to unsystematic modification of the

mosque. In this context, the architectural appreciation of the mosque seems less important compared

to the comfort of prayers who need to pray on the soft carpeted floors. They also want cooler interior

space and air-conditioned prayer hall.

As a conclusion, we must appreciate the architectural history displayed by the existing buildings

in our built environment. Although our country has a much younger architectural history than other

civilisations such as the Mughal Dynasty that provides Taj Mahal as well as nearly 400 monuments

found throughout the Indian subcontinent; every building like a mosque is a national treasure and

future historical documentation. If we as the society fail to appreciate all this? Forever we will not

have a great history.

6. AVAILABILITY OF DATA AND MATERIAL All data involved in this study are already available in this article.

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Kajian, Pendekatan dan Interpretasi Terhadap Seni Bina Islam Moden Di Nusantara: Journal

Design + Built; Seni Bina Islam Moden Nusantara, 4(1), 85-97.

Ahmad Sid Hijaz is a Senior Lecturer at POLIMAS, Malaysia, and has served in several polytechnics in Malaysia and Brunei. He graduated with a diploma (from UTM, Malaysia), a double-degree in architecture and a master of science in architectural design (all from USM, Malaysia). Currently, he is pursuing his PhD study in Islamic Architecture at USM, Malaysia.

Professor Dr.Ahmad Sanusi Hassan is a Professor in Architecture Programme at the School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, Malaysia. He obtained a Bachelor and Master of Architecture degrees from University of Houston, Texas, USA, and Doctor of Philosophy (PhD) degree focusing on sustainable architecture and urban design development for Southeast Asia from University of Nottingham, United Kingdom. His research encompasses to Urban Design, Studio Architecture and History and Theory of Architecture, as well as Computer Aided Design (CAD) and Computer Animation.

*Corresponding author (Mazhar Abbas). E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.11 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12J http://TUENGR.COM/V10A/10A12J.pdf DOI: 10.14456/ITJEMAST.2019.160

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http://TuEngr.com

PAPER ID: 10A12J

AN APPRAISAL OF POLICIES OF LAND ACQUISITION AND

RESETTLEMENT OF INVOLUNTARY DISPLACED PEOPLE

IN SHANGHAI (1978-2005)

Mazhar Abbas a, b*

, Samma Faiz Rasool c, Imran Wakil

b, M. Aftab Madni Memon

d

a

Center for Global Studies and Center for History of Global Development, College of Liberal Arts, Shanghai

University, Shanghai, 200444, CHINA. b

Government College University, Faisalabad, 38000, PAKISTAN. c

Postdoctoral Station of Statistical, School of Innovation and Entrepreneurship, Entrepreneurship Institute,

Guangzhou University, Guangzhou, 510006 CHINA. d

School of Journalism and Communication, Shanghai University, Shanghai, 200444 CHINA.





July 2019



2019

Keywords:

Urbanization;

Rehabilitation Policy;

Forcible dislocation;

Social security policy;

Economic reform;

Cernia model.

In Shanghai, China, large tracts of agricultural land, as a result of

economic reforms of 1978, were transformed into urban territories.

However, it is known less about how Shanghai met those demands. This

paper aims to address this question by taking land acquisition for

urbanization, and resettlement of the involuntarily displaced persons by

taking Pudong New Area Project (1978-2005) as a case study. The data

from primary and secondary sources were analyzed by applying the risks

and reconstruction model. Our analysis shows that the social security

policy institution of Shanghai government successfully addressed all the

issues of the forcibly dislocated people excluding access to common

property resources and marginalization of women.


1. INTRODUCTION The open-door policy which China started in 1978 to boost economic development accelerated

the process of urbanization (Chen, Wigmans and Jonge 2006). Chinese cities faced tremendous

pressure, in the 1980s and 1990s, for building infrastructural facilities including but not limited to

commercial centers, urban spaces, and housing facilities (see Table 1 for detailed distribution of land

usage in major Chinese cities in 1991). Statistics from the National Bureau of Statistics of China

show that the urbanized area of Chinese cities sprawled quickly and reached 40,058 square kilometers

(Xu, Li and Jiao 2016, 1). An analysis of historical data shows that the land use rights system, the land

acquisition policy, and the social security policy system emerged and developed side by side after the

open-door policy and economic reforms (King 1996); and the resettlement framework policy of the

involuntarily displaced people was subsequent outcome of these developments.


2 Mazhar Abbas, Samma Faiz Rasool, Imran Wakil, M. Aftab Madni Memon

Shanghai’s Pudong New Area is one of those regions where land acquisition and development

between 1978 and 2005 wasn’t possible without involuntary displacement of the people. It is

imperative, then to know: How Shanghai Government reacted to these demands? Besides exploring

the land acquisition policy for urbanization in the Pudong New Area, this study aims to analyze the

resettlement policy of the Shanghai government for the relocation of the involuntarily displaced

people through application of the risks and reconstruction model. The subsequent parts of this paper

are built on in-depth analyses of the Constitutions of the People’s Republic of China; regulations

governing land ownership; land use rights and land management system; reports of Shanghai

Municipal Statistics Bureau; and documents of Ministry of Commerce.

Table 1: Land Use in Major Chinese Cities Including Shanghai in 1991 (%). City Residential Industrial Infrastructure Green Space Special Uses

Shanghai 49.63 30.54 7.28 0 12.55

Beijing 39.09 20.11 5.54 0 35.3

Tianjin 26.07 35.04 29.56 4.27 4.27

Guangzhou 35.94 37 17.12 0 9.94

Shenzhen 59.86 22.12 14.09 3.02 0.42

Shenyang 29.56 27.95 23.08 6.89 11.79

Chongqing 34.04 33.41 26.99 3.12 5.44

Wuhan 26.84 30.38 24.96 7 8.75

Zhenzhou 25.51 28.26 37.76 7.89 0.57

Nanjing 36.79 23.08 9.55 1.85 28.73

Hangzhou 36.17 29.89 15.78 14.94 3.21

Kunming 28.69 23.06 38.47 3.08 6.7

Taiyuan 20.96 26.73 32.83 19.47 -

Xi’an 44.51 29.31 25.91 0.08 0.16

Harbin 38.01 26.34 26.61 6.64 1.84

Source: Nanjing University of Geography and Lake Study, 1999 (Ding 2003, 2)

2. AN HISTORICAL EVOLUTION OF LAND MANAGEMENT SYSTEM IN

SHANGHAI

Between 1949 and 1978 appropriation of land from the landlords and its allocation to the peasant

cultivators was mainland China’s, including Shanghai, principle land policy (Ding 2003). The urban

land was allocated to danweis (state-owned business), and farmland was allocated to village

communes for collective farming (Ministry of Commerce 1991). Whenever it was required, the state

was responsible for acquiring collectively owned land by the village communes in rural areas to

transform it into state-owned land (Ding 2003, 110-111). On the other hand, the constitution

prohibited danweis for any transaction in land including leasing out of land to the foreign and

private companies and corporations (Yuan 2004).

Economic reforms, initiated by Deng Xiaoping, accelerated the pace of urbanization in Shanghai,

like other Chinese cities, which required more and better housing, infrastructure, and industry. To

meet the increasing need for land, Shanghai government extensively examined legal framework and

operational procedures and adopted Hong Kong’s land leasehold system as a model. Besides meeting

up the increasing demand for land, Shanghai’s leadership and administration expected that this model


3

would help provide them essential revenues to feed the infrastructural development projects (Chen,

Wigmans and Jonge 2006, 95). Thus, the Shanghai government either introduced new laws or

amended the existing laws related to the land management system, land use rights, and land

acquisition policies. For example, as a result of the approval of ‘the Transfer of Land-use Rights in

Shanghai Regulations’ on November 29, 1987, the procedure to acquire the land use rights and

obligations of the investors to use those rights were yielded. Implementation of the regulations on

January 1, 1988, paved the way for the first successful land lease auction, on Hong Kong’s

footprints, in Shanghai’s Hongqiao district (Chen, Wigmans and Jonge 2006, 95-97). Before

expanding land leasing on a wider scale another pilot project, termed as ‘Pudong New Area’

(Ministry of Commerce 1991), was launched in Pudong district of Shanghai to grant land leasing

procedures to the private investors up to seventy years (Ministry of Commerce 1990).

Not only the private and foreign companies and corporations were allowed to acquire land on the

lease; also, they were allowed to transfer land use rights of the leased land (Chan 1999, 54). Private

lease rights were the recognition of the role of the private sector in the process of the country’s

urban development. Together these developments gave birth to the real estate sector (Sang 1993),

which replaced the traditional land allocation system. On the one hand, it attracted global investment

which further fueled the process of urbanization (Chen, Wigmans and Jonge 2006); on the other hand,

many people were not only deprived of the farmland but also relocated as a result of compulsory land

acquisition (Cernea 1997). Private sector or real estate companies, who get land on lease, after

appropriation by the local or municipal government, were responsible for the resettlement of the

involuntarily displaced people. Thus, land use rights system and land acquisition policy, and real

estate and social security policy—resettlement of the forcibly displaced people, emerged and

developed side by side after the economic reforms (King 1996).

Shanghai city witnessed massive population growth, followed by extensive world-class

reconstruction characterized. The city’s population doubled from 8.61 to 17.06 million between 1991

and 2005, out of which 13.6 million were registered under ‘the Hukou System’—the residents of

Shanghai (Chiu 2008). Note that Hukou is an indigenous residence permit for social welfare

services that allows the hukou holder, indigenously registered person, to have access to social

benefits and social welfare services (including schools, health insurance, housing, job, and retirement

plans) and subsidized agricultural goods. The overall spatial pattern of housing distribution in

Shanghai underwent greater changes in this one-and-a-half decade (see Table 2 for details regarding

the land area, registered population, and housing floor area in Shanghai between 1990 and 2005)

(Bureau 2006). In response to the population growth, a constructed area of urban Shanghai increased

from 699 square kilometers in 1987 to 1815 square kilometers in 2008, which was 29 percent of the

total area of Shanghai in 2008 (in 2008, total area of Shanghai was 6341 square kilometers). However,

cropland decreased from 5043.9 square kilometers in 1987 to 4087.6 square kilometers in 2008 (Chiu

2008). Thus, cropland, forest, and tidal land decreased (see Table 3 for land use dynamic degree

during different periods in Shanghai). Around 84% of the newly urbanized area between 1979 and

2008 came from 67% of the cropland, 9% of the forest and shrubs, and 2% of the tidal land. All these

developments diminished the farming population by 14% (see Table 4 for changes of cropland and

proportion of the population engaged in farming in Shanghai between 1979 and 2008) (Zhang et al.


2011, 1794).

Table 2: Land Area, Registered Population, and Housing Floor Area in Shanghai between 1990

and 2005 District Land Area (Sq.

Km.)

Year-end Registered Population

(1000 Persons)

Housing Floor Area

(1000 Sq. Meter)

1990 2005 1990 2005 1990 2005

Central City

Changing 29 38 565 618 7500 18280

Hongkou 23 23 848 785 8910 17790

Huangpu 20 12 699 599 7560 8210

Nanshi 28 - 798 - 9070 -

ing’an 8 8 461 310 4890 8080

Luwan 8 8 452 317 4510 7160

Putuo 30 55 763 858 8950 28870

Xuhui 47 55 717 887 9680 29020

Yangpu 60 61 1076 1082 1085 26110

Zhabei 43 29 682 705 7180 14450

Subtotal/Average 296 289 6496 6161 - -

Inner Suburbs

Baoshan 425 271 623 808 5460 30550

Jiading 484 459 509 527 - 16540

Minhang 43 372 151 825 2960 44260

Shanghai Xian 378 - 417 - - -

Pudong - 523 - 1848 - 64310

Chuansha 446 - 617 - - -


Outer Suburbs

Chongming 1041 1185 734 701 - 3730

Fengxian 687 687 521 512 - 8510

Jinshan 586 586 549 524 - 8260

Nanhui 688 688 698 719 - 12650

Qingpu 676 767 454 455 - 7080

Songjiang 606 605 499 522 - 26110


Total 6341 6341 12833 13603 - -

Sources: Shanghai Municipal Statistics Bureau (Bureau 2006); Shanghai Municipal Statistics Bureau

(Bureau 1991); and (Chiu 2008).

Table 3: Land Use Dynamic Degree during Different Periods in Shanghai (Unit: Sq. Km.) Class 1979 1987 1997 2008

Urban/Built-up 585.3 698.9 929.2 1815.7

Cropland 5040.1 5043.9 5197 4087.6

Forest and Shrub 582.1 271.5 101.6 196.1

Tidal Land 219.5 408.8 169.9 127.2

Bare Land 28 214 55.2 490.5

Source: Land Use Dynamics of the Fast-Growing Shanghai Metropolis, China (1979–2008) and its

Implications for Land Use and Urban Planning Policy (Zhang et al. 2011)

Table 4: Changes of Cropland and Proportion of Population Engaged in Farming (PPEF) in Shanghai Year Cropland (Square Kilometer) PPEF (%)

1979 5040.1 25.02

1987 5043.9 18.74

1997 5197 17.72

2008 4087.6 11.18

Source: Land Use Dynamics of the Fast-Growing Shanghai Metropolis, China (1979–2008) and its Implications for Land

Use and Urban Planning Policy (Zhang et al., 2011)


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3. ‘PUDONG NEW AREA’: EVOLUTION AND DEVELOPMENT

The East Bank of Huangpu River, which stretches across 2,000 square kilometers and

constitutes around 30% of Shanghai’s territory, is referred to as ‘Pudong New Area’ (Chen 2007,

45). Sun Yat-sen is credited for pressing for the development and modernization of Shanghai,

particularly in the global context, in the 1920s and 1930s. Another notable attempt was made in the

1980s when the population from Puxi, a district in the downtown, was relocated to other areas in

Shanghai. It was done because Puxi was one of the most congested areas of the city and could not

accommodate the amassing population and increasing business center (Zhai 2012, 35-40). Finally,

the People’s Congress officially approved the proposed project of Pudong on April 18, 1990 (Chen

2007, 59) and “Comprehensive plan of the new district of Pudong” was published in 1991

encompassing the extension of the urban territory of Shanghai (for detailed urban structure of

Pudong see Table 5) (Zhai 2012, 71).

Table 5: Designated Area and Population of Five Sub-districts of Pudong New Area (2012) Sr. No. Name of the District Designated Area (Square Kilometer) Population (in Million)

1 Lujiazui-Huamu 30 .5

2 Waigaoqiao-Gaoqiao 62 .3

3 Qingningsi-Jinquao 33 .45

4 Zhoujiadu-Liuli 35 .55

5 Beicai-Zhangjiang 17 .22

4. THE RISKS AND RECONSTRUCTION MODEL

Meeting the investment and labor demands of economic reforms and industrial transformations

require more urbanizations (Zhang et al. 2011) which might result in the involuntary displacement of

people. Amongst the available remedial models of these issues that are confronted by the municipal

and local governments (Chambers and Morris 1973, Nelson 1973, Scudder and Colson 1982, Cernea

1997), Michael Cernia’s ‘the risks and reconstruction model’ seems the most suitable, satisfactory

and effective model or proposed solution for the reconstruction of the involuntarily displaced people,

whose lands are acquired for urbanization. Cernea (1997) argues that involuntarily displaced people

by development projects are more than refugees of wars and natural disasters. This forcible

dislocation causes poverty among dislocated people worldwide and promotes social injustice which,

according to Wolfensohn (1995), “can abolish socio-political and economic advances” (Wolfensohn

1995). Cernia’s model provides the conceptual tools to ensure the rehabilitation of involuntarily

displaced people along with problem diagnostic, predictive, and resolution capacities.

The predictive capacity of the model is based on turning the diagnostic identification into a

forecast for effective and improved planning—model’s this capacity is referred to as

‘predictive-cum-planning capacity.’ By collecting information on the results of many previous

displacements, the model forecasts that future results will occur if its warnings are ignored. This

model predicts possible impoverishment risks and helps planners and managers of the project in

planning and managing a useful policy. For example, this model was attempted by India (Thangaraj

1996) and the Philippines (Cernea 1997) as an instrument for planning and development.

The ability to solve problems rests on the scope of the model and its orientation towards action.


Besides diagnosing, analyzing, and predicting the risks of a social movement, this model can also

propose solutions to the problems. For example, the danger of landlessness is addressed through land

rearrangement policies; unemployment through sustainable re-employment; homelessness through

reconstructing homes; and so on. It also comprises risk vindication but continues to build a new

socio-political and economic base on which the livelihoods of the resettled can be reestablished and

then upgraded in a lasting way.

4.1 IDENTIFICATION OF THE KEY RISKS AND IMPOVERISHMENT PROCESS

This model identifies following key risks and processes of impoverishment in displacement.

4.1.1 Landlessness

Land expropriation deprives people of their capital source of income coupled with other attached

economic and commercial activities. Kiambere Project in Kenya and Rengali Project in India are

typical examples of such expropriation which diminished people’s basic income and increased

overall poverty in these regions (Mburugu 1994, Ota 1996).

4.1.2 Joblessness

The damage of salaried service occurs in both rural and urban movements. Lost jobs include

dispossessed workers, business or service workers, and artisans or small commercial owners. It

causes unemployment and a change of profession. Unlike urban areas, people in rural areas do not

lose their jobs in the industrial and commercial sector, but access to work in the agricultural land—a

capital source of income in rural areas. For example, people lost their jobs as a result of the Coal

Mining Project of Talcher, Orissa and Hydro Project in Manitoba and Churchill-Nelson, Canada

(Cernea, 1997; Pandey, 2000).

4.1.3 Homelessness

Homeless might be temporary and last long as well. Relocation of more than 2,000 families in the

urban area was disrupted in Cameroon-Douala Project (completed in 1989), reported by the World

Bank. Chines government reported that over 20 percent households were homeless as a result of

Danjiangkou Reservoir—Dam Project (Cernea 1997).

4.1.4 Marginalization

The decrease in economic power i.e. “downward mobility” among the affected households

causes marginalization. Subsequently, middle-income households slip to the small landholders’

category, and small income traders and artisans fall below poverty line. The marginalization is also

gauged as a decline in social position and self-confidence of the resettled people in the social fabric,

coupled with a sense of injustice, and unstable behavior. Social and economic relegation in Nepal’s

Kulekhani Hydroelectric Project (Cernea 1997) and Sri Lanka’s Kotmale Project (Søftestad 1990),

and sometimes psychological marginalization (Appell 1985) are best examples to illustrate this kind

of impoverishment.

4.1.5 The Increased Morbidity and Mortality

Another outcome of displacement is losing in citizens’ physical and mental health, increase in

social stress, and expansion in their insecurity. Malaria and schistosomiasis, which are parasitic and


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vector-borne diseases, cause serious declines in health among the involuntarily displaced people.

Vulnerability to epidemics and chronic diseases including diarrhea and dysentery, among involuntary

dislocated people, increases due to polluted water, unhygienic food, and poor sewerage system. For

example, Scudder (1982) claims that indigenous rates of morbidity among displaced people of Nam

Pong Reservoir, Thailand, were comparatively higher. In Akosombo Dam Project of Ghana,

schistosomiasis among both adult and children from 1.8 percent before resettlement rose to 75

percent among adult and 100 percent among children after few years of their rehabilitation near Dam

Lake (Cernea 1997).

4.1.6 Food Insecurity

Along with other impoverishments, forced migration also causes diminishes calorie-protein

intake levels, and engenders undernourishment. It happens due to either non-availability of food or

scarcity of food to the dislocated people. Urbanization is consequential for promoting food insecurity:

more the land for urbanization, the less of it is available for cultivation of food items. For example,

agricultural land among the rehabilitated people, in the Bailiambe Reservoir Project in China,

decreased from 1.3 hectares to 0.4 mu per household after relocation. Subsequently, local food

production decreased. Forum-Gleita irrigation project of Mauritania also caused decrease in

agricultural land per household, and subsequently, undernourishment due to food shortage, among

the relocated (Cernea 1997).

4.1.7 Loss of Common Property Resources Access

Loss of common property means a decrease in income and livelihood of those who are dependent

upon forest lands, water bodies, grazing land, parks, and burial grounds. In the majority of the

government-funded relocation programs, loss or lack of access to the common property resources is

not compensated (Cernea 1997). For example, a thorough study of seven projects of relocation of the

households in Orissa (India), between 1950 and 1994, suggests that there was no compensation for

common properties by the project planners (Pandey et al. 1997).

4.1.8 Social Disarticulation

Last but not least, involuntary displacement deconstructs and destroys arrays of social

organization, interpersonal ties, and kinship bonds by dispersing and fragmenting communities. Loss

of compensation for social disarticulation goes unnoticed despite the fact that this loss has long and

detrimental effects on the dislocated people. Historians of migration conclude that the loss of social

articulation in relocation is much higher than the financial loss: “among the highest costs of all is the

serving of personal ties in familiar surroundings, to face new economic and social uncertainties in a

strange land” (Sowell 1996). A detailed sociological study of various Indian schemes shows several

appearances of social displacement within the kinship scheme, such as the undoing of intimate ties,

growing estrangement, and anomie (Cernea 1997).

Although it is one of the most impeccable and suitable models for the rehabilitation of the

involuntarily displaced people, however, this model fails to focus on or address women

impoverishment, who suffer more as compared to men. Moreover, this model does not highlight and

address children educational loss.


5. LAND USE RIGHTS AND LAND ACQUISITION POLICY IN SHANGHAI—AN

HISTORICAL ANALYSIS

Both individuals and enterprises, similar to the tenants, have limited land use rights in China,

unlike the United States and other Western states. In China, urban land is state-owned, while

agricultural land is owned by the village communes. Thus, individual (private) property ownership

does not exist (China 2004).

In pre-reform China, for land acquisition, in the absence of land markets, municipal governments

were bound to compensate peasants for the loss of jobs, housing, and crops. Besides, the residency

status of farmers was transformed from peasantry to urban, which entitled them to enjoy social

welfare benefits under hukou system (Ding 2003, 110-111). On the other hand, leasing of land to the

private and foreign companies and corporations was not allowed. Transfer of land use rights was

strictly forbidden (China 2004).

What followed economic reforms was the replacement of the traditional allocation system of

land with the market mechanism. Subsequently, the private sector was allowed to play its role

through investment in the real estate market and urban development (Chen, Wigmans and Jonge

2006). Shanghai borrowed leasehold tenure system of land from Hong Kong (Chan 1999). The

rationale behind the introduction of land leasehold was to attract foreign investment to enhance

economic efficiency and to generate maximum revenue from the land.

However, reinforcing new system required Shanghai government to introduce new regulations

besides amending the existing laws about land management and land use rights. The examples of

these new regulations and amendments in the existing regulations were: Land Administration Law

(LAL) of 1986, Constitutional Amendment in Land Administration Law (LAL) in 1998, Republic of

China Assignment and Transfer Use Rights of State-Owned Land in Urban Areas Temporary

Regulation of 1990, Provisional Regulation on the Granting and Transferring of the Land Rights

over State-owned Land in Cities and Towns in 1991, Transfer of Land-use Rights in Shanghai, and

Draft Regulation on Pudong New Area Planning and Construction Administration and the

Regulation on Pudong New Area Land Administration of 1999.

As a result of these regulations, leasing of land up to 50 years in Shanghai (Ministry of

Commerce 1991) and up to seventy years in ‘Pudong New Area’ (Ministry of Commerce 1990) was

allowed through bidding, auction or negotiation process.

Moreover, it was essential to convert non-state-owned land, for example, the village commune

and farmland, into a state-owned one to commence the developmental work because development on

non-state-owned was prohibited (Ding 2007). The actual owner of the land was state. However,

people or organizations were entitled to enjoy land use rights until the withdrawal or cancellation of

those rights by the state—the real owner. This was called zhengdi (the compulsory acquisition of

land). The constitution of 1978 of the People’s Republic of China authorized the state for compulsory

acquisition of land—zhengdi. Land Administration Law (LAL), containing compensation for

compulsory land acquisition and resettlement of involuntarily displaced people, was passed in 1986

but was amended in 1998. Other relevant laws included ‘Real Estate Administration Act,’ and

‘Tentative Provisional Regulation on the Grant and Transfer of Land-use Rights on State-owned


9

Land in Cities and Towns’ (Chen 2007, 126). After the acquisition of land, the local government was

authorized to sell this state-owned land to the developers. These developers were given the right to

sublease, sell, mortgage, or rent the land to the third party. This third party was obligatory to pay land

transfer fee depending upon the leasing period and land use strength. In this two-step system, the

government expropriated land from the farmers at a low cost; however, sold the developers at much

higher prices. In this way, the local government generated a lot of revenue to meet the increasing need

for infrastructure, urban development, and other financial challenges (Ding 2004).

6. COMPENSATION AND RESETTLEMENT POLICY FRAMEWORK: RESULTS

AND DISCUSSION

Rapid urbanization could be gauged from the fact that the urban area of Shanghai increased

five-fold between 1990 and 2000 as compared to ten-fold between 1950 and 1990. Subsequently,

plenty of rural households were relocated for the development of ‘Pudong New Area’. It is

estimated that 178,663 farmers’ households were relocated between 1990 and 2002. Besides,

Shanghai demolished 26 million square meters in urban areas and relocated 0.66 million households

between 1991 and 2000. Thus, the development of ‘Pudong New Area’ required both

commercialization of urban land and the expropriation of rural land (Chen 2007).

As a result of ‘Pudong New Area’ project, increasing numbers of forcibly dislocated people

were a matter of serious concern and alarmed the concerned authorities (Sha et. al 2014); and already

existing social security policy institutions were restructured and strengthened to relocated and resettle

these involuntarily displaced people. For the relocation of the inhabitants, any of the Shanghai Land

Development Company (SLDC) was supposed to develop a project and prepare plans to acquire

time limit for land use rights, in addition to the expropriation of farmland and permission to lease

out state-owned land. After this, a relocation company used to step in as a sub-contractor for the

relocation project. Assessment of the value of the whole area to be redeveloped and estimated

payment for the entire relocation scheme, to the subsidiary company by the SLDC, was done by an

independent auditor. The subsidiary payment was assessed based on number of households and

business relocated and was to be paid by the real estate developer. At the time of expropriation of

farmland, it was the responsibility of the company to chalk out a comprehensive and appropriate

plan for compensation and fresh employment for the expected relocated households. A new

subsidiary company, for job training and providing fresh jobs, was hired by the real estate developer

(Chen 2007, 105-106).

Shanghai’s compensation and resettlement system for the involuntarily displaced people, as a

result of compulsory land acquisition, is unique because along with economic and financial

compensations, it also compensates for social disarticulations. According to Shanghai government’s

policy, people expected to be relocated as a result of compulsory land acquisition are consulted for

compensation and resettlement before their displacement. Forcibly displaced people are compensated

for the land loss, home loss, job loss, food insecurity, morbidity and mortality, marginalization, and

social disarticulation. Displaced people are not only compensated but also, through special

arrangements, rehabilitated and re-established to the equal or higher level before the displacement


(Ding 2004).

Only a few residents of urban Pudong had their own houses. However, the majority was living

as a tenant in houses built by their employers. At the time of their relocation, notices or handout

leaflets were put up to explain the procedure of relocation and expected level of compensation,

followed by consultative meetings to deal with queries. It was up to the household whether to

choose a new house or cash as compensation. A negotiated amount of compensation was paid to the

relocated households in case of non-availability of houses until housing became available. The

compensation was increased in case of delay in housing availability within the prescribed period,

i.e. three to twelve months (Chen 2007, 134).

Since the land was considered their living capital, Chen, Wigmans, and Jonge (2006) argue that

land-for-land was the most preferred compensation for expropriation of farmland for urbanization in

‘Pudong New Area’. Only a few of the dislocated farmers were given farmland in nearly available

places. However, due to non-availability of farmland, the majority of the affected households was

compensated with cash and jobs for the loss of their land. Also, they were compensated for the loss of

young crops and other land attachments as prescribed in the LAL of 1986 and amended in 1998.

Yawei Chen (2007) holds that compensation for the expropriated farmland includes both social and

economic compensation for the relocated households. The LAL stipulated that compensation for

acquired land and subsidies for resettlement were given to village communes. However,

compensation for young crops and land attachments were given to the farmers. Two amendments

were made to LAL in 1998: Frist was about the increase in the compensation of land from 3-6 times to

6-10 times; Second, amount of resettlement was increased from 2-3 times to 4-6 times the average

annual output value of acquired land in the preceding 3 years (however, measures were taken that the

maximum payment per hectare should not cross 15 times the average production value) (Ding 2004).

The local government was directed and authorized to increase the resettlement subsidy if the

relocated households were not able to maintain their original quality of life with the given

resettlement subsidy (Chen 2007, 130-131). The purpose of this increase in resettlement subsidy

was to rehabilitate and re-establish the displaced people, through special arrangements, either to the

equal or higher level before the displacement (Ding 2004).

As mentioned above, forcibly dislocated farmers were compensated with farmland for the loss

of their farmland, if available. Alternatively, these farmers were provided with fresh jobs. They

were trained for jobs at the job training center until they find new jobs. Besides, they were paid a

handsome amount to compensate for the period between the loss of their land and new employment

(Chen 2007, 131-135). Explaining the relocation of farmers in an interview given in October 2002,

Gong Qiuxia, a planner with SLDC opined that the company had to deal with both expropriations of

land and relocation of the farmers. She further added that the company had to find new jobs for the

relocated farmers since they had lost land. To deal with this problem, a job center, to provide a

variety of training programs, was set up. The government gave a special fund to establish new

enterprises to reemploy the relocated peasants. Due to either little or no technical knowledge, these

relocated farmers were given jobs in security companies, cleaning, factories, traffic assistance,

property management, and maintenance of green spaces (Chen 2007, 134-135).

Relocation of the farmers of a single village, as a result of the expropriation of their farmland, to


11

another farmland was the preferred way of compensation. In case of lack or absence of farmland, they

were relocated in urban areas. These areas were specifically built for the resettlement of the relocated

farmers. Free of cost apartment(s) were given to the relocated households. And the size and number

of apartments depended upon both the size of the household and size of the previous farmhouse,

coupled with some other criterion (Xu, Li and Jiao 2016, 4). Although involuntary displacement of

those, whose houses were demolished, met with a severe criticism from various circles including

academia; however, independent observers, Li and Song (2009), claimed that newly rehabilitated

residents were living in houses with better conditions and facilities as compared to other residents of

Shanghai.

Under hukou system, urban residents were offered with several welfare services including health

insurance, job opportunities, education, old-age pensions, and the like. Contrary to this, the rural

residents were denied these social welfare services. However, same services were offered to the

relocated rural farmers after the change of their residency permit from peasantry to urbanites, as a

result of acquisition of their farmland (Chen 2007, 130-131). Change of their registration identity,

from rural peasantry to urban residents, also meant the availability of good food, improved

sewerage system along with new and cleaned apartments, and better educational opportunities for

their children. Resultantly, these forcibly dislocated people did not fall a prey either to food

insecurity or poor sewerage and dirty residences. Thus, undernourishment and morbidity and

mortality did not increase among them, unlike displaced households of other countries like

Thailand, India, and Kenya.

Special measures were taken to avoid social disarticulation among the displaced households. For

example, it was taken into account to relocate the displaced households to the nearby of their

previous residence and that too among the neighbors from the previous residence. Relocated people

were provided with a house of two rooms. These houses were constructed by keeping in mind that

both the rooms should face south so that guests could meet up in the grandparents’ bedrooms. The

previous or original neighborhood was in principal entitled to return in case of demolition and

rebuilding of the residential neighborhood (Chen 2007, 134-135).

There were different mechanisms to address involuntarily displaced people in Shanghai. For

loss of land either with land or job and cash along; for loss of crops and other land attachments with

cash; for loss of job with job to the energetic and young workers, and pensions and retirement to the

old and retired peasants; for loss of house with apartment depending upon the size of households

and size of previous housing; and for loss of rural peasantry registration with urban social security

registration. This kind of better compensation and rehabilitation policy did not pave the way for

marginalization among the dislocated farmers. Even in the majority of the cases, they were living a

better life as compared to their urban counterparts (Chen 2007, Li and Song 2009).

7. CONCLUSION

This paper was aimed at understanding how the Shanghai Government dealt with the post-1978

open-door economic policy reforms that resulted in outgrowth of urban territory and displacement of

people from their land for urbanization. These reforms also brought about several changes in land


management system and land acquisition policy in mainland China in general and Shanghai in

particular.

This paper concludes that Shanghai Government borrowed some provisions from Hong Kong’s

land leasing system and incorporated them in the Constitution and laws governing the leasing system.

The purpose of these adoptions was to attract maximum investment from private as well as foreign

companies. Resultantly, private sector was allowed to participate in the process of urbanization.

These developments attracted not only global investment, which further accelerated the pace of

urbanization but also deprived several households of the farmland through land appropriation. Thus,

rehabilitation of the involuntarily displaced people became a matter of serious concern for the

authorities, which was addressed through the already existing system of social security institutions.

Yet another important conclusion is that Shanghai government successfully addressed the issues

of landlessness, joblessness, homelessness, food insecurity, increased morbidity and mortality,

community disarticulation, and education of children. However, the issues of loss of access to

common property resources and marginalization of women were either ignored or not given proper

attention; thus, remained unaddressed. Despite being under the rule of the one-party system, unlike

democratic and developed Western countries, China is the only country which addresses the issues of

community disarticulation and education of children during the resettlement of involuntarily

displaced people.

The development of ‘Pudong New Area’ would not have been possible in the absence of smooth

handling of land acquisition and rehabilitation of the dislocated households. Had there been

mismanagement of the land acquisition and relocation of the dislocated people, there would have

been resistance at the local level, and subsequent, delay in the development process of ‘Pudong New

Area.’

8. AVAILABILITY OF DATA AND MATERIAL Used or generated data already present in this study.

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Mazhar Abbas is a PhD Candidate in World History at the Center for Global Studies and researcher at the Center for History of Global Development, College of Liberal Arts, Shanghai University, Shanghai, P. R. China. He is working as a Lecturer at the Department of History and Pakistan Studies, Government College University Faisalabad, Pakistan.

Dr. Samma Faiz Rasool is a Post-doctoral fellow at School of Innovation and Entrepreneurship, Entrepreneurship Institute, Guangzhou University, Guangzhou, P.R.China. He has his Master’s degree in Human Resource Management from University of the Punjab, Lahore, Pakistan. He received his PhD degree from School of Management, Shanghai University, P.R.China. His researches are Human Resource Management and Innovation Management.

Imran Wakil is a lecturer and PhD Candidate at the Department of Political Science and International Relations, Government College University Faisalabad, Pakistan.

Muhammad Aftab Madni Memon is a PhD Candidate in Communication Science at School of Journalism and Communication, Shanghai University, Shanghai, P. R. China

*Corresponding author (A.E. Kravchenko). E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12K http://TUENGR.COM/V10A/10A12K.pdf DOI: 10.14456/ITJEMAST.2019.161

1


http://TuEngr.com

PAPER ID: 10A12K

EFFICIENCY IMPROVEMENT ON FUNCTIONING AND

DEVELOPMENT OF PASSENGER MOTOR TRANSPORT

SERVICES IN URBAN AGGLOMERATIONS

A.E. Kravchenko a*, D.A. Gurа b

a Department of Transport Facilities, Krasnodar, Moskovskaya, Kuban State Technological University, RUSSIA. b Department of Cadastre and Geoengineering, Krasnodar, Moskovskaya, Kuban State Technological University,

RUSSIA.




July 2019



Keywords: Market of transportation

services; Passenger

Transportation Services;

Urban crowding;

Passenger trip; Time spent

on a trip, Route

Performance evaluation.

This article reflects the features of the provision of passenger road

transport services in urban areas. It also presents the distribution of

traffic between different types of passenger transport, taking into

account the level of motorization. The comparative indicators of the

time spent by the population on a trip are given by types of passenger

transports. The factors and signs of dividing the consumer market into

segments of passenger traffic are identified. Moreover, the optimal

time spent by the population on a trip for urban agglomerations is

recommended. This study proposes an indicator for evaluating the

effectiveness of the route.


1. INTRODUCTION The general condition of the issue

Underdevelopment of the markets for passenger transportation services (PTS), especially

in urban agglomerations (including resort ones), leads to the territorial social injustice of

residents of peripheral and sleeping neighborhoods, which significantly affects the decline in

quality of their life and residence in the urban environment [1]. Cities and agglomerations

formed on their basis have recently become the most significant elements of the resettlement

system in Russia. They provide the emergence of new growth points, economic coherence of

the territories, and integrated development of transport and service infrastructure and serve to

achieve the main goal, i.e. creating comfortable conditions for life and leisure of Russians [2].

City agglomeration is a combination of municipalities (settlements and urban districts) within

whose territory a number of settlements are compactly located, mainly urban, united in a complex

dynamically developing system with intensive transport, industrial, infrastructural, social and economic

ties, with common use of adjacent territories and development resources [2, 3].


2 A.E. Kravchenko , D.A. Gurа

There are two main types of agglomerations: mono-centric and polycentric. The largest number of

existing and emerging mergers belong to the first type. Polycentric agglomerations are rather the

exception, they unite several cities, each of which is an independent core and absorbs nearby

settlements. Mono-centric agglomerations are formed according to the principle of the dominance of one

main city. There is a core, which during growth includes other settlements in its territory and forms the

direction of their further development in symbiosis with its potential. The largest urban agglomerations

(the vast majority) are created precisely by monotype. An example is the Moscow agglomeration [3,4].

Agglomeration of the municipality of Krasnodar also belongs to the mono-centric type. The city of

Krasnodar is characterized by the presence of all the conditions for the agglomeration of territories

within its zone of influence. It is located on the most important highways connecting the center of Russia

with the ports of the Black and Azov Seas, as well as the resorts of the Black Sea coast of the North

Caucasus. The city has all types of transport: air, road, rail (four directions, three railway stations), water

(transportation of goods by river-sea vessels). The economic situation of Krasnodar is determined by the

concentration of human, investment, financial, intellectual and other resources. Krasnodar is a center of

science and higher education: more than 80% of scientific workers in the region and about 90% of all

students are concentrated in the city [5].

In the Krasnodar city agglomeration, in addition to the city of Krasnodar, they include partly

Dinskoy, Krasnoarmeysky, and Seversky districts.

The area of agglomeration is 2200 km2. On the territory of the agglomeration, there are 60

settlements in which more than 1.1 million people live (according to the latest population census), and

taking into account the estimated data of the Krasnodar administration - more than 1.4 million people.

The effective economic development of the Krasnodar agglomeration is impossible without

creating favorable conditions for high-quality functioning of the markets for passenger road transport

services (PRTS) in terms of a balance of benefits for all stakeholders (Customer - Carrier - Consumer)

[6-9].

2. CHARACTERISTICS OF PASSENGER VEHICLES

Modern principles of management, associated with complete economic independence of

economic organizations, self-government, self-financing, and self-development, have

predetermined a marketing approach to the strategic management of business processes,

designed to ensure effective management in a dynamically changing market environment. No

exception is the scope of passenger vehicles. Passenger road transport is an integral part of the

passenger transport system of regions and cities, is a major factor in the effective development

of the economy, whose role is enhanced in the conditions of market relations. With the direct

participation of passenger transport, markets for motor transport services are being formed.

In a market economy, the main task of transport becomes urgent - the acceleration of the turnover of

material values on the terms of the complete satisfaction of transportation needs of the population, as it

directly affects the economic interests of not only carriers but also consumers. According to the existing

concepts, services include all types of labor that are not directly related to the change and transformation

of forms of matter and natural phenomena and produce a special use value, which is expressed in the


3

socially useful activity of labor itself in various sectors of the public economy. Services also include

those types of labor that do not materialize in a substantively tangible, isolated product of labor

(transport, communication).

Features of the provision of transport services are as follows [9]:

- Services cannot exist outside the process of their provision (i.e. they cannot be accumulated);

- Sale of services is, in fact, the sale of the labor process itself, therefore the quality of services is

determined by the quality of the labor process itself;

- Services represent a specific use-value only at a certain time and in a specific place or direction,

which significantly limits the possibility of their replacement in the market of services;

- Transport services are those which complete and (or) anticipate the process of material production.

Passenger transport services are a sub-activity of public transport, aimed at meeting the needs of

people and characterized by the availability of the necessary technological, economic, informational,

legal and resource support. Consequently, the transport service means not only the transportation of

passengers but any operation that is not part of the transportation process but is associated with its

preparation and implementation. Based on the analysis of domestic and foreign experience, transport

services are classified:

- On the basis of relationship with the main activity of transport enterprises - for transportation (that

is, including in one form or another element of transportation) and not transportation;

- By the type of consumer for whom the service is provided, - to external (provision to non-transport

enterprises and organizations) and internal, i.e. provided to other enterprises and organizations of

transport or other industries. For example, internal services are the provision of rolling stock by a

transport company to carry out transportation on a regular and customized basis;

- By nature of the activity - technological, commercial, informational, legal, etc.

Other services include:

- Activities on planning, organizing and executing the delivery of passengers from places of

residence to destinations and additional services for preparing for and after transportation;

- Registration of the necessary shipping documents;

- Conclusion of a contract for transportation with transport enterprises;

- The calculation for the carriage of passengers;

- Information Support;

- Insurance, financial and customs services using the best methods and methods, subject to the full

satisfaction of the requirements of passengers and others.


3. MOTOR TRANSPORT SERVICES FOR PASSENGERS IN URBAN

AGGLOMERATIONS

Motor transport services are defined as activities related to the process of moving

passengers in space and time, the provision of transportation, storage, and transportation of

baggage, as well as other additional services. Passenger transport services are carried out on

various types of passenger transport services markets in urban agglomerations, which are

characterized by different transportation potential, uneven development of transport

infrastructure, as well as consumer demand.

At the suggestion of the authors, the PTS markets in urban agglomerations are proposed to be

classified and characterized as [10, 11]:

1. A saturated market is a PTS market with a developed service and transport infrastructure, in

which the probability of obtaining planned profit from passenger transportation is 0.90-0.99, which is

caused by stable passenger traffic, greater transport mobility of the population, availability of transport

services, regularity of traffic , greater density of the route network in the city districts, tariff setting, the

possibility of choosing a ground type of passenger transport to move to the target, a higher level

development of transport service, high population density, direct travel, more developed system of

situational control centers for transportation processes, and higher motivational interest of business

entities to the development of transport business due to the small payback period.

2. The developing (emerging) market is PTS, in which the probability of obtaining planned profit

from passenger transportation is 0.61 ... 0.89, which is caused by less stable passenger traffic, lower

density of the route network of villages, insufficient development of transport service, the need to make

transplants on the periphery of the city, lower (in relation to urban) frequency of movement of rolling

stock, lower density of population in relation to the saturated market PTS, higher transport fatigue due to

the greater length of the route and time of correspondence to the object of the target.

3. The PTS market with limited growth potential is a market in which the probability of obtaining

planned profit from passenger transportation is 0.31 ... 0.60, which is determined by the seasonal factor

in the transport activity of the population, the limited development potential of the residential area, and

as a result the route network , lower (in comparison with the developing market) frequency of rolling

stock movement, low population density in relation to the developing market PTS, higher transport

fatigue due to higher the length of the route and the time of correspondence to the target object, the low

level of development of the transport service, the underdeveloped transport infrastructure, the lesser

interest of business entities to the development of the transport business due to high unit production costs

and longer payback periods.

The volume of motor transport services provided in various types of markets PTS depends to a large

extent on the level of automobilization of urban agglomerations (with a different number of inhabitants),

as well as the demand for street passenger public transport (SPPT), as well as express and individual

transport. Table 1 shows their optimal values, which are recommended to be used in real agglomeration

conditions (the authors' research data and Recommendations for the modernization of the urban

transport system were used, according to MDS 30-2.2008, Central Research Institute of Urban Planning,

RAACS, Moscow). The selected type of SPPT (Science, Pollution Prevention and Technology)


5

directly affects the speed of the message and the time spent by passengers on movement to the target

object in the urban agglomeration.

Table 2 reflects their actual and recommended values for the future, which are set on the basis of the

conducted research in comparison with the standards reflected in the “Recommendations for the

modernization of the urban transport system” MDS 30-2.2008, Central Research Institute of Urban

Planning of the Russian Academy of Architecture and Construction Sciences, Moscow.

Table 1: Estimated distribution of passenger traffic between various types of passenger transport (in%,

taking into account the level of motorization of the settlement) Population with

population,

thous.

Level of motorization, auth. / Thousand people

100 150 300 450 200 300 500 200 400 600 900

Street

SPPT

High-speed

SPPT

Individual

transport

up to 50 40 50 5 60 - - - 45 55 65 70

51-100 70 60 50 30 - - - 40 50 70 80

101-300 60 65 45 40 - - - 35 55 60 70

301-500 75 70 60 50 - - - 30 40 50 60

501-1000 70 60 50 40 10 15 20 30 35 40 45

1001-1500 70 60 50 40 15 20 25 25 30 35 40

1501-3000 60 65 55 40 15 20 30 20 25 30 35

Over 3000 65 50 40 35 30 35 40 20 20 25 30

Table 2: Comparative indicators of the time spent by passengers to move to the target with the

use of public passenger transport (weighted average)

Types of public passenger transport to move in the urban agglomeration Message speed

km/h

Travel time

1 km, min.

1. Bus 18.2/20.0 3.34/3.31

2. Trolley bus 17.5/19.1 3.43/3.12

3. Tram 16.9/18.2 3.57/3.29

4. Bus and trolleybus on partially insulated lanes 19.5/20.1 3.08/2.98

5. Bus-espresso 23.5/26.0 2.55/2.98

6. Trolleybus and tram accelerated 22.0/24.5 2.72/2.41

7. Bus and trolleybus on a separate lane 25.0/27.0 2.40/2.21

8. High-speed tram on partially insulated canvas 25.5/27.5 2.35/2.17

9. High-speed bus and trolleybus on an isolated automatic control strip. 28.0/30.1 2.14/1.98

10. High-speed tram on an insulated canvas 31.0/34.0 1.93/1.74

11. Underground 41.6/- 1.44/-

12. Electrified railway 45.0/- 1.33/-

Note: in the numerator - the existing values; denominator - recommended values for the future.

To study the transportation needs of the population, they conduct marketing research of

passenger transport services markets on various grounds: purpose of travel, transport to move,

range of travel, frequency of trips, type of activity, age, gender, average income of consumers,

consumer attitudes to quality and other parameters of transportation service and related

services kits. All these signs can be used to segment the markets for transport services.

A market segment is a part of a market that is allocated in some way and has a certain one or more

similar characteristics. Signs - a way to select a segment. As one of the methods for identifying a

segment, they use the methods of questioning passengers, processing statistical data on types of

transport, cities, and subjects. Consumer segmentation makes it possible to determine the structure,


capacity, sustainability, solvency of consumers, etc. Segmentation of transport service providers allows

them to determine their resource capabilities in the required volumes, price of services, and how they

will affect the development of passenger traffic and competitiveness in the transport market.

As a result, according to the results of passenger traffic survey, various types of SPPT messages

reveal their structure, solvency of the population, as well as key components of a trip to working and

non-working days: convenience of the timetable, time and distance of the trip, convenience of the route,

fare comfort and technical equipment of rolling stock (air-conditioners, Internet) and potential solvency

of discerning passengers, etc. Practical methods of market partitioning transfer service have varied. Most

often they are divided into geographical, demographic and behavioral factors.

4. ORGANIZATIONAL ASPECTS IN ENSURING THE STANDARD TIME OF TRANSPORT SERVICES FOR THE POPULATION USING TRANSPORT INTERCHANGE HUBS

The interaction of various types of passenger transport is manifested primarily in the network and

integrated transport interchange hubs (TPU), which are involved in shaping the structure of route

communications of the SPPT and are a reasonable factor for a particular urban situation (network

density, roadway width, etc.). The transport-planning and spatial organization of the TPU is determined

not only by the number of interacting types of passenger transport, but also by the location of stations,

stopping points, lines, tracks and other transport facilities, various devices and communication elements,

as well as the location of the node on the urban agglomeration plan and its architectural -planned

communication with adjacent buildings. The simplest TPU arise from the interaction of various types of

street urban transport (approaching or crossing bus, trolleybus, and tram routes in different

combinations). Complex TPU arise in the interaction of rail transport.

A complex indicator, reflecting the degree of compactness of the territory, the level of development

of the road and transport network, is the time spent by the population to move from their place of

residence to the place of destination. According to the research, the average time of population to move,

on the example of the Krasnodar urban agglomeration, for the purpose of the trip “home-work” at peak

hours is 60 minutes, which is at least 20 minutes, which exceeds the regulatory requirements reflected in

the joint venture 42.13330.2016 – «Urban planning. Planning and development of urban and rural

settlements».

The document states that only for workers who daily come to work in the city from other

settlements, the time spent is allowed to increase no more than twice. MDS 30-2.2008

“Recommendations for the modernization of the transport system of cities” set even more stringent

requirements for the allowable time spent on moving to the place of destination (Table 3). Compliance

with the recommended time spent on the movement of the population (Table 3) suggests that the regular

route SPPT network is customer-oriented and highly productive, although, in this case, with increased

costs for high-quality transport services to the population, which are offset by a systematic increase in

consumer demand.

Table 3: Recommended time costs for the population to move City, agglomeration,

thousand people

The time spent on movement to

the place of work for 90% of

workers, min

Time spent on car availability of

the center, min

100 30 15


7

250 32 16

500 35 17

1000 40 20

3000 45 25

10000 50 30

15000 60 40

The higher requirements are placed on the level of quality of transport services for the

population, the higher are the costs of its provision and, accordingly, the cost of transportation

services.

Determine the size of the increase in costs (ΔЗ) required to reduce the time of passengers

to move in the regulatory time (tfakt), i.e. when moving to a higher level of transport service

quality, it is proposed using the following developed formula [12]:

)t(t

)t(t)З(З=ΔЗ

fakt

normfakt

min

minmax

(1),

where Зmax, Зmin – accordingly, the maximum and minimum costs necessary for the implementation of

transport services for the population, rubles; tnorm – standard (reduced) time for movement of population,

min.; tmin – minimum time for movement of population, min.

If on a regular route network of various types of rolling stock, for each of its type, you can determine

the coefficient of increasing costs, KVZΔЗ, for compliance with the standard correspondence time

according to the following formula [12]:

min

minmax

tt

ЗЗ=KVZ

fakt

Δз

(2).

The rolling stock that provides the minimum cost of compliance with the standard time for

movement of population in urban agglomerations will be considered more efficient. And precisely, such

rolling stock should be recommended for operation, as the most efficient and competitive.

Economic efficiency from the use of the proposed formulas (1) and (2) is determined primarily by

the possibilities of reducing the time for the movement of passengers and reducing the costs of subjects

of transportation activities for their transport services. This is achieved through the introduction of

flexible transportation technologies (with different modes of transport services by the hour of the day

and days of the week), providing a more rational use (redistribution) of buses on a regular route network,

highlighting priority traffic on buses on the road network, improving driver skills, using dynamic

qualities of buses with various modes of gear shifting, etc.

In large and largest cities with an increase in the distance of trips of the population to the target

objects, incl. As a rule, transplantation is carried out to suburban areas, which affects the standard

correspondence time, which can increase by 30% or more.

Therefore, in the initial stages of designing the route of the route, it is necessary to take into account

such features. For example, research by the authors of the Krasnodar agglomeration, with a population

of more than 1.3 million people, found that up to 25% the total time spent by the population on a trip

accounted for a transfer from one type of transport to another, which is carried out in transport links

nodes (TPU).


Network TPUs play an important role in the design of efficient routes, especially for regular public

bus transport, and are also important infrastructure elements of the urban metropolitan transport system

that determine its sustainable operation and development.

To assess the effectiveness of the designed route for regular public buses, it is proposed to use the

following developed formula [13-18]:

00,19 RМVВESPUNэ ККККKKKKКК

(3),

where кN – coefficient of efficiency of use of stopping points on the route. Defined as the ratio of

actually used stopping points in the forward and reverse directions of the route (Nf) to the total (planned)

number of stopping points on the route in the forward and reverse direction (Nо). The actually used

stopping points in the forward and reverse the direction of the route is the number of stops with the actual

passenger transfer (that is, without taking into account the zero-passenger exchange), where both the

embarkation and the disembarkation of passengers take place.

KU represents the efficiency ratio of the development of passenger traffic by the stated number of

buses. It is defined as the ratio of the actual (based on survey materials) Uf to the planned Upl number of

passengers transported per shift (or the work time on the route of the bus (s)). If the capacity of buses on

the route is used by passengers less than 25% per shift, then this route is closed and combined.

KP is the ratio of the efficiency of transport work on the flight time, which is recommended to

determine from

т

к=

f

p

f

cpi

BA

н

p

r

cpсм

n

AiP tlf

QtlηB=K1 , where к – the number of flights made by all

buses of the i-th type on the route, per shift; n, f – respectively nominal and actual values of

indicators; QBAi – number of passengers carried by all buses of type i per flight; tHр, tf

р –

respectively, the standard (Table 3) and the actual (according to the results of the survey) the

bus journey time on the route, min.; 𝑙𝑐𝑝𝑓

, 𝑙𝑐𝑝𝑟 , respectively, the actual and estimated average

distance of the journey of passengers on the route, km.; ВАi – average nominal capacity of

buses passing the route, Ai

n

=i

iiAi NmA=B 1 (Аi – the number of buses of the i-th type on the route,

units; mi – nominal capacity of buses of i-th type, pass.; NAi – total number of buses on the

route, units.); ηсм – the turnover rate of passengers on a route per flight (determined by the ratio

of the length of the route to the average distance of the journey of passengers or the number of

passengers carried per flight to the nominal capacity of the bus).

KS – coefficient of efficiency of use of the structure of the bus fleet by capacity. Defined as

the ratio of the actual Sf to theoretical St (or regulatory, defined with reference to a group of

cities) capacity of working buses on the route network. When using different types of rolling

stock on the route network of the city (especially small, small, medium, large and very large

capacity), the coefficient of efficiency of use of the bus fleet structure is defined as

n

=i

n

i

n

i

n

=i

f

i

f

iS mNmN=K11 , where Ni – the number of units of rolling stock of the i-th brand

and type (f - actual; n - normative); mi is the nominal capacity of buses of i-th brand and type.


9

KE – coefficient of environmental safety operation of buses on the route network. It is

defined as the ratio of actually working buses corresponding to a certain ecological class of

Euro (based on survey materials) Еf to regulatory Еn environmental requirements for Euro 6

class. When calculating this ratio, in order not to add to the database the values of emission

standards, I propose a scoring system: Euro 6 - 6 points, Euro 5 - 5 points, Euro 4 - 4 points,

Euro 3 - 3 points , Euro 2 - 2 points, Euro 1 - 1 point, Euro 0 - 0.5 point (or zero?). Then the

ratio will look like this: there are 15 buses on the route that meet the Euro 2 environmental

standard, and Euro 5 is required, then this ratio is determined by the ratio 2/5 = 0.4. When using

different types of rolling stock on the route network of the city (especially small, small,

medium, large and very large capacity), with different environmental classes, the coefficient of

environmental safety of bus operation is defined as:

n

b

n

о

n

=i

f

б

f

iЕ КАКA=K 1 ,

where Аfi, А

nо – respectively, the actual and total number of buses on the route network of

the city, corresponding to the scoring; Кfb, К

nb – respectively, the actual and standard value of

the scoring. For example, if out of 15 operating buses on the city’s route network, 5 PS units

meet Euro 6, 4 unit. PS meet Euro 5, 2 units. PS meet Euro 4, 3 units. PS meet Euro 3 and 1

unit. PS meets Euro 2, then the value of KE corresponds to: КЕ = (5*6+4*5=2*4+3*3+1*2) /

15*5 = 0, 92.

KB – passenger safety factor is determined from the relationship:

о

i

n

=i

nj

k

j=

B A)P++P+P+(PA=К1

321

1

...1

, where Аj – the number of rolling stock units

operating on the route network of the city that committed road accidents: fatal, with severe

injuries, moderate injuries, light injuries, luggage damage, etc.; 𝐴𝑖𝑜 – the total (cumulative)

number of i-type buses operating on the route network of the settlement; 𝑃1…𝑃𝑛 – accordingly,

the number of accidents per year committed by the cumulative i-м type of buses on the route

network of the village: fatal, with severe injuries, wounds of moderate severity, wounds of

light severity, damage to baggage, etc.

KV – the coefficient of interaction of passenger transport in the network and integrated

transport hubs. Defined as the ratio of the actual arrival time Тf passenger transport (specific

route) to the junction point (interaction of routes and types of passenger transport) to the

standard (on schedule or with standard deviation from the schedule) arrival time Тn.

KМ – the duplication factor of the route by transportation technologies of adjacent routes of

regular bus transport (no more than 70% of the route duplication is allowed). Determined by

the ratio of the length of the coinciding leg of the route МLs to the total length of the route МLо.

KR – coefficient of bus traffic on the route. Determined by the ratio of actually performed

flights (including with violation of the schedule) Rf to the planned number of them on the route

for the shift Rp.


The developed route efficiency indicator of the route allows a comprehensive approach to

the formation of a regular route network in urban agglomerations, and to determine ways of its

effective functioning and development with the stated level of quality of transport services to

the population.

5. CONCLUSION

In urban agglomerations, quality of life of the local population and the comfortable stay of

vacationers and tourists are closely related to the scope of public passenger transport services

in general and automobile transport in particular, around which a certain infrastructure is

created, marketing communications, financial and credit relations, and a certain format is

formed transport technology services to consumers. The needs of the population in passenger

transport services are related both to the production activities of the local population (trips to

the place of work, business trips, etc.) and cultural and everyday necessities (tourist and

sightseeing trips, trips to sanatoriums and boarding houses, rest houses, to the beach, etc.).

Passenger motor transport is at the same time the most important component of the territorial

structure of the economy and an integral part in the organization of cultural and economic

relations, ensures the process of population movement for production and personal needs,

unites distant cities and large metropolitan areas into a single complex, contributing to their

sustainable social-economic development.

The efficiency of passenger transport also determines the level of quality and culture of transport

services in accordance with modern requirements of consumer demand to their level of quality, taking

into account the territorial and planning features of the development of urban agglomerations, taking

into account the resource potential of transport operators. In market conditions of management, it is

important to take into account the ratio of the cost of transporting passengers and ensuring the stated

level of quality of transport services to the population. And with the annual growth of passenger cars in

cities (agglomerations), which have a significant impact on the above ratio, more attention should be

paid to improving the organization of transport services for the population, traffic, with special lanes for

route vehicles to ensure the standard time of the population to travel to the target objects as well as the

development of alternative types of passenger transportation.

6. CONCLUSION

A new classification of passenger transportation services markets in urban agglomerations is

proposed: a saturated market, an emerging market, a market with limited growth potential. This

classification of markets PTS takes into account the territorial segment and the dynamics of consumer

demand, which have a significant impact on the efficiency of socio-economic development of urban

agglomeration in general and determine the need to optimize the regular route network for public

passenger transport in particular.

It was revealed that the volume of motor transport services provided in various types of markets for

PATS depends to a large extent on the level of automobilization of urban agglomerations (with a

different number of inhabitants), as well as the demand for street passenger public transport (PTOP), as

well as high-speed and individual transport.


11

A formula has been developed that makes it possible to determine the size of the increase in costs

required to reduce the time for passengers to move within the regulatory time frame, i.e. in the transition

to a higher level of transport service quality. If different types of rolling stock are operating on a regular

route network, then for each of its types it is possible to determine the coefficient of increase in costs for

compliance with the standard correspondence time. The rolling stock that provides the minimum cost of

compliance with the standard time for movement of population in urban agglomerations will be

considered more efficient. And precisely, such rolling stock should be recommended for operation, as

the most efficient and competitive.

An indicator has been developed to assess the effectiveness of the route, which allows a

comprehensive approach to the formation of a regular route network for public passenger vehicles in

urban agglomerations, and to determine ways of its effective functioning and development with the

stated level of quality of public transport services.

7. ACKNOWLEDGMENT

The reported study was funded by the Russian Foundation for Basic Research and Administration of

Krasnodar Region of the Russian Federation according to the research project № 19-48-233020

8. REFERENCES

[1] Kravchenko, A. E., Kravchenko, E. A., Osennyaya, A. V. (2018). Geographic information systems in

logistics processes in passenger transport: theory and practice: monograph - Krasnodar: Izd. KubGTU,

228 p.

[2] Kravchenko, E. A., & Kravchenko, A. E. (2011). Quality management of passenger transport service:

theory, methodology, technology: monograph - Krasnodar: Ed. KubGTU, 320 p.

[3] Kravchenko, E. A. (2015). Passenger motor transportation complex of resort areas of the Krasnodar

Territory: methodology of organization, technology, evaluation, management: monograph. - Krasnodar:

Ed. KubGTU, 2015.- 376 p.

[4] Kravchenko, E. A. (2011). Theory of passenger transport systems in road transport in resort areas: a

monograph. - Krasnodar: Izd. KubGTU, 400 p.

[5] Kravchenko, E. A. (2010). Formation of the system of transportation processes by passenger road

transport in resort areas: a monograph. - Krasnodar: Ed. Publishing House - SOUTH, 468 p.

[6] Kravchenko, E. A. (2010). The main directions of sustainable development and functioning of passenger

road transport. Freight and passenger vehicle fleet, 10, 85-90.

[7] Kravchenko, E. A., & Kravchenko, A. E. (2011). Modern problems of transport science, technology, and

technology: studies. allowance - Krasnodar: Ed. House - South, 154 p.

[8] Kravchenko, E. A., & Kravchenko, A. E. (2008). Fundamentals of quality management of transport

services to the public. Part 1. Estimated indicators of the quality of public service passenger transport:

textbook. allowance stamped UMO. Krasnodar: Ed. KubGTU, 103 p.

[9] Kravchenko, E. A., & Kravchenko, A. E. (2008). The main directions for improving the quality of public

services. Problems and achievements of the motor transport complex: materials of scientific and

technical. conf. - Yekaterinburg: USTU-UPI, 133-136.


[10] Kravchenko, E. A. & Schepakin, M. B. Dernovoy, A. Yu. (2018). Functional optimization of bus

transport route network in the city of Krasnodar. Management in Russia and abroad, 6, 48-56.

[11] Kravchenko, E. A. & Schepakin, M. B. Dernovoy, A. Yu. (2018). Integrated approach to the

management of passenger transport services markets in the Krasnodar agglomeration. Management in

Russia and Abroad, 5, 42-50.

[12] Kravchenko, E. A. & Schepakin, M. B. Dernovoy, A. Yu. (2018). Building a logistic model of the

attractiveness of urban transport routes for establishing the passenger demand for services. Vestnik

ASTU. Series: Economy, 4, 113-123.

[13] Kravchenko, E. A., & Shchepakin, M. B. (2016). Formation and development of passenger

transport business infrastructure in resort municipalities. Economy and Entrepreneurship, 10-1 (75-1),

741-747.

[14] Kravchenko, E. A., & Kravchenko, A. E. (2015). The concept of improving the logistics efficiency

of passenger transport in municipalities. 97-104.

[15] Kravchenko, E. A., & Kravchenko, A. E. (2015). The competitiveness of modes of transport in the

resort area based on the logistic theory of the quality of public transport services by bus. International

Journal of Experimental Education, 6, 28-34.

[16] Kravchenko, E. A., & Kravchenko, A. E. (2014). Modernization of the strategy of development of

the system of organization of passenger transportation in municipalities and their management in terms

of seasonality (on the example of the Krasnodar Territory) / Problems of quality and operation of

vehicles: materials VIII int. in absentia scientific and technical conf. - Penza: PGUAS, 2014. P. 57-64

[17] Kravchenko A.E. Gura, D. A. & Dernovoy, A. Yu. (2018). Dernovoy Agglomerations based on

integrated approach. Amazonia investiga, 7(13), 331-350.

[18] Kravchenko, A. E. & Gura, D.A. (2018). Motor transport development agglomerations: theoretical

and methodological aspects. Orbis, 14(41), 35-45.

Dr.Kravchenko Alexey is an Associate Professor at the Department of Transport Constructions, Kuban State Technological University, Krasnodar, Russian Federation. His research is related to the management of the functioning and development of passenger vehicles in the cities of municipalities.

Dr.Gura Dmitry is an Associate Professor at the Cadastre and Geoengineering Department, Kuban State Technological University, Krasnodar City, Russian Federation. His research is related to the fields of spatial data and geographic information technologies in the cadastre and territory management.

*Corresponding author (Masoud Pourkiyani) E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12L http://TUENGR.COM/V10A/10A12L.pdf DOI: 10.14456/ITJEMAST.2019.162

1


http://TuEngr.com

PAPER ID: 10A12L

A COMPETENCY-BASED SUCCESSION PLANNING MODEL

WITH RESPECT TO ADJUSTING ROLE OF ORGANIZATIONAL

CULTURE IN TELECOMMUNICATION INFRASTRUCTURE

COMPANY OF IRAN (TICIR)

Narges Hosseini a, Masoud Pourkiyani a*, Ayob Sheikhi b a Department of Management, Islamic Azad University, Kerman Branch, Kerman, IRAN. b Department of Statistics and Computer, Shahid Bahonar University of Kerman, Kerman, IRAN.


A B S T R A C T Article history: Received 04 June 2019 Received in revised form 09 July 2019 Accepted 20 July 2019 Available online 06 August 2019 Keywords: Succession planning; Competency model; Competency-based management; Organizational culture; Adjusting (variable); Infrastructural communication.

The current research aims to propose a competency-based succession planning model with respect to adjusting role of organizational culture in Telecommunication Infrastructure Company of Iran (TICIR). This study was conducted as an applied research in terms of objective and it was assumed as a descriptive survey by taking approach toward interpretative structural modeling. The statistical population of this study included two groups of experts and directors (Directors general, chairmen of offices, responsible experts and experts of TICIR Company). Primarily, in order to determine sample size for statistical population, 20 of experts were elected using non-randomized and selective sampling method and 340 members of the second statistical population were chosen by means of classified sampling technique including directors general, deputies of directors general, chairmen of offices, responsible experts and other experts of TICIR Company. The findings about succession planning model indicated that the variable of succession planning reached to a level higher than satisfactory rate therefore all of the related elements were placed higher than satisfactory level. Finally variable of organizational culture, as adjusting variable, was also placed at the level higher than satisfactory rate in this study. Hence, all of these variables reached to the level higher than satisfactory rate. © 2019 INT TRANS J ENG MANAG SCI TECH.

INTRODUCTION

The Telecommunication Infrastructure Company of Iran (TICIR) is one of the governmental fields responsible by Ministry of Information Technology and Communication. Structure of organizational manpower possesses a long history and they will reach to the retirement of their career in an early time in the future. With respect to vital role of this organization, management of this organization has put dealing with subject of succession planning for the organizational personnel as


2 Narges Hosseini, Masoud Pourkiyani, Ayob Sheikhi

high on the agenda. On the other hand, some new and young workforces have jointed to the organization where they are assumed as the best and most available capital and resource to meet this vital requirement. Accordingly, it necessitates for design and execution of a process to realize key goal of providing appropriate directors to avoid from cessation in playing this role and realization of organizational objectives which can be drawn within process of succession planning. Advancement in various cultural, political, economic, and social fields and especially technology has made the existing competitive environment as ambiguous, unstable, and extremely variant. Planning may provide suitable conditions for exposure to these uncertain conditions for the organizations. Many organizations employ planning of directors to cope with potential for destruction and ruining in organization and to meet environmental requirements and occurring events. Finally, organizations try to improve their own positions smartly and address development and recognition of administrative talents in their planning and assume them their growth and achievement in systematic and serious planning to manage talents and succession planning (Basiri and Sabegh, 2014).

Succession planning is a program through which appropriate persons are elected for incumbency of high-ranking administrative and major posts among qualified and talented personnel. The human talents in organization are identified for incumbency of major positions and jobs in subsequent years and they are gradually prepared to assume these jobs and tasks (Bidmeshki et al., 2014).

Competency is defined according to this point that how a person is selected, what s/he knows and what s/he does. And some other important factors are knowledge, communication, technical skills, distinct thought, emotion, values and activities which are led to an efficient function (Cross, 2010). In fact, competency describes characteristics of personnel they need to them for doing of their tasks properly (Kotonen et al., 2012). Competency management comprises of a group of merits or a list of tasks for apprentice who needs to acquire or execute them so that to be considered as a superior or competent person in terms of occupational aspect. Creation of competency-based management includes several advantages at individual and organizational level. The value-added advantage for an organization is owed to enhance competitive position of the organization, possession of suitable personnel for different jobs, facilitation of employment process, and constant development of personnel according to their requirements. This, in turn, leads to better performance of personnel, improvement of commitment in personnel, and finally enhancement of performance in personnel (Sanghi, 2007).

According to the conducted studies, competency model is an important member in changing if individual and organizational structure which supports from training empowerment plan, performance management, the plan of jobs description, and succession planning (Ennis, 2008). It has been moved toward international occupational standards or competency models as a result of rising number of retired personnel and it aimed to cover the gap of skill and knowledge, nationalization of workforce, and attraction and maintenance of talented forces (Conner et al., 2014). The competency models are assumed as important in terms of succession planning because regardless of this process it is difficult to do several tasks including creating of relationship among main organizational competencies to occupational competencies, giving a transparent definition about talented personnel, accurate determination of competencies needed for present and future in organization, preparation of a basis for performance management by creation of a favorable workplace that is followed by


3

favorable performance of personnel, creation of clear occupational expectations for the present and future, perfect job evaluation, and development of individual plan to contribute to the personnel to decrease the gap between the needed competencies for achievement (Rothwell, 2005).

There are some organizations which possess powerful directors where they could not survive without such personnel at all; however, these organizations may unwantedly lose these workforces because of several reasons including retirement, resignation, death and or even job promotion. Thus, it is required for prevention from creation of disruption in organizational processes to employ plans to provide competent forces. However, many organizations ignore this issue unfortunately and as they are aware of importance of this subject when it is in vain to do anything and organization is losing the valuable workforces. Therefore, it is necessary for existing of a systematic and purposive method and plan to upgrade scientific awareness to implement succession management and planning to determine key roles by talented and competent personnel. It has been proved those succession plans which are tied with occupational path for personnel, may improve spirit of personnel and their productivity. Those organizations, which support from occupational development by creating of chances for personnel to find new opportunities inside the organization and encouraging them to job motion, will more unlikely share them in developing of their job.

Whereas these personnel more unlikely look for several opportunities in organization if maintenance process is done duly in organization; overall, this is led to increase in job satisfaction among personnel. Nevertheless, there is problem in succession planning models in which despite effect of organizational culture on succession planning, succession planning models have ignored effect of this variable. Thus, designing of a model that can fill this gap may create more suitable structure for the organization and for this reason current research is intended to deal with this important subject. In today world competition, the companies which are active in ICT field especially TICIR Company can remarkably contribute to the country to achieve a position proportional to their valuable level. In this regard, human resources play a crucial role. Alternately, experiences and skills of personnel are considered as a source for which organization spend a lot of costs to acquire them. Nonetheless, organizational directors have forgotten role of these workforces because they think the experienced and skillful personnel always attend in the organization and they may not need to plans for human resource development while exiting of human resources imposes some costs to the organization since organization is required again to spend more time and cost for training of personnel. Hence, presentation of a competency-based succession planning model may provide this opportunity for organizations to train a competent person as future director before retirement of current manager and after retirement of previous manager a person is substituted with him/ her that organization ensures from competency and skill of such a person and thereby organization could continue their proper path. With respect to aforementioned subjects, the current research tends to present a competency-based succession planning model given adjusting role of organizational culture in TICIR Company.

RESEARCH QUESTIONS These questions are raised in this study as follows:

1- What are the indices for succession planning in TICIR Company? 2- Which are parameters of competency in TICIR Company?


Competency

- Personal dimension - Occupational knowledge and information - Skills - Personality characteristics - Attitude and insight - Social dimension - Occupational reputation - Public reputation

Organizational culture - Engagement in work - Empowerment - Team- making - Developing of capabilities - Adaptation - Fundamental values - Agreement - Coordination and continuity - Adaptability - Change creation - Customer- centrism - Organizational learning - Mission - Strategic tendency and direction - Goals and destinations - Outlook

3- How is the condition of succession planning in TICIR Company? 4- How is the status of competency in TICIR Company? 5- How is the condition of organizational culture in TICIR Company? 6- What is the relationship among competency and succession planning in TICIR Company? 7- Is there any relationship among competency and succession planning with respect to

adjusting role of organizational culture in TICIR Company? 8- What are the characteristics of succession planning in TICIR Company and how much the

validity of succession planning model in TICIR Company?

Figure 1: Research conceptual model

METHODOLOGY

This study is an applied research in terms of objective and it is descriptive survey in terms of method and it has been carried out by taking approach toward interpretative structural modeling. The statistical population of this study was composed of two groups: The first group was the experts who quantity was uncertain and dispersed and the second group comprised of all directors general, deputies of directors general, chairmen of offices, responsible experts and also other experts in TICIR Company throughout Iran where they were totally 2217 members. Using of non-randomized selective

Succession planning

- Creation of commitment

- Creation of satisfaction - Attachment - Job identity - Evaluation of requirements of

future work

- Recognition of strong points - Identification of weaknesses - Review on capabilities - Recognition of threat and opportunity - Evaluation of personal

performance - Identification of personnel - Determination of parameters - Recognition of talents - Assessment of individual talents

- Recognition of characteristics of personnel

- Testing of personnel - Ranking of individuals - Training programs for personnel

- Training of talents - Training of personnel - Evaluation of requirements of

current business - Measurement of job - Scoring of job - Using of time - Goal determination - Order preference - Planning and time allocation - Occupational values

- Fulfillment of promises - Expertise - Well-morality


5

sampling method to determine sample size for first statistical population, we elected 20 respondents of experts by considering some criteria such as accessibility, scholar expertise in university and academic centers where they studied, having the relevant educational degrees concerning book or paper. To determine sample size for the second statistical population i.e. directors general, deputy of directors general, chairmen of offices, and responsible experts and other experts of TICIR Company, they were chosen by classified sampling method with 340 members.

3.1 DATA COLLECTION TOOLS The questionnaire items are interpreted by Delphi technique out of focus group (experts) to

determine and prioritization of dimensions and indices of competency-based succession planning in TICIR Company. The quantity of these questionnaires was 5.

1- The first questionnaire was utilized to identify dimensions and indices of succession planning in TICIR Company. This questionnaire is completed by the experts.

2- The second questionnaire will be used for determination of dimensions and variables of competency in TICIR Company. This questionnaire is filled out by experts.

3- Third questionnaire will be utilized for measurement of succession planning status in TICIR Company. This questionnaire is completed by operational directors and corporate experts.

4- The fourth questionnaire will be employed for measurement of competency status in TICIR Company. This questionnaire is completed by operational directors and corporate experts.

5- The fifth questionnaire will be utilized for measurement of status of organizational culture in TICIR Company. This questionnaire is completed by operational directors and corporate experts.

Both content validity and construct validity were employed in this study to determine validity of questionnaires. After reading of books and essays regarding the research subject and study on questionnaires in other papers and researches, the needed items were designed for research variables to determine content validity and the codified questionnaires for research variables were examined by research masters. The exploratory factor analysis and confirmatory factor analysis were employed for review of construct validity of measurement tool (questionnaire) as well as appropriateness of psychometric criteria of questionnaires which were assumed as important defaults in structured equations. In order to determine internal reliability, rate of internal reliability was calculated for questionnaires of succession planning, competency, and organizational culture using Cronbach’s alpha coefficient and given that the Cronbach’s alpha coefficients were higher than (0.7) the internal reliability was confirmed for all three questionnaire. The questionnaires were distributed gathered by attendance and electronically at any phase.

RESEARCH FINDING

SPSS and IMOS software, Pearson’s correlation test, Kolmogorov-Smirnov test, binominal test, frequency tables, Bazargan Standard table, factor analysis, modeling of structured equations with path analysis were utilized for statistical description and analysis and structural relations. Among total 340 participants in this study 69.1% of them were males and 30.9% were females in section of demographic data. The highest numbers for educational degrees in participants, BA degree (51.5%) and high school diploma (47.1%) were the most frequent rates among the participants. Similarly, 35 participants were chairmen of offices, 282 members were experts and responsible experts, and 23 participants included directors general and their deputies out of them 81.5% have been employed by official system and 18.5% of them were as contractual personnel.


Table 1, normality of studied variables was examined before analysis of research hypotheses. Kolmogorov-Smirnov test was employed for determination of assumption of normality of variables.

Table 1: Analysis on normality of research variables Variable Kolmogorov-Smirnov p-value

Succession planning 0.068 0.077 Competency 0.074 0.083 Organizational culture 0.051 0.064

Table 2: Analysis on relationship between variables.

Variable Kolmogorov-Smirnov Value (-p) Succession planning 1 0.860** Competency 0.860** 1

* Significant at level 0.05 (p<0.05); ** Significant at level 0.01 (p<0.01)

Likewise, Pearson’s correlation coefficient was utilized to determine relationship between variables. The resultant findings from correlation test are given in Table 2. Given the Pearson’s correlation coefficient and also this quantity (p-value<=0.001), there is significant and direct relationship among competency and succession planning in TICIR Company at level 0.01.

The multivariate regression was utilized to review relationship between competency factors with succession planning in TICIR Company. The given results from regressive analysis and determination coefficient indicated variables of knowledge and information, skills, personality characteristics, attitude and insight, and public reputation affected significantly succession plan as predictors (p-value <0.05). Similarly, according to parameter of partial correlation coefficient among effective factors of competency on succession planning in TICIR Company, variable of public reputation has the maximum relationship with succession planning.

Table 3: Regression coefficients for effective factors of competency on succession planning

Variable Standardized coefficient t-statistic p-value Partial correlation coefficient Knowledge and information 0.245 6.488 0 0.335 Skills 0.322 8.074 0 0.405 Personality characteristics 0.191 5.620 0 0.294 Attitude and insight -0.109 -2.813 0.005 -0.152 Professional reputation 0.034 0.932 0.352 0.051 Public reputation 0.354 8.618 0 0.427

Table 4: Fitness indices for succession planning model.

Index Favorable statistic value Reported value RMSEA ≤0.08 0.036 Chi2 ratio (x2/df) <3 2.024 GFI ≥0.90 0.921 AGFI ≥0.90 0.945 CFI >0.90 0.910 NFI >0.90 0.987 TLI >0.90 0.941 IFI >0.90 0.956

With respect to adjusting role of organizational factor, goodness of fit indices in succession planning model, competency model, and the model among competency and succession planning is given in Tables 5, 6, and 7. There are several techniques for estimation of general goodness o fit with the observed data. The criteria of Goodness of Fit Index (GFI), Adjusted Goodness of Fit Index (AGFI), Root Mean Square Error of Approximation (RMSEA), Normed Fit Index (NFI), Tucker


7

Lewis index (TLI), Incremental Fit Index (IFI), Non-Normed Fit Index (NNFI), and Comparative Fit Index (CFI) were used for assessment of goodness of fit in all models at this study. Figure 2 show path analysis diagram.

Table 5: Fitness indices for competency model. Index Favorable statistic value Reported value

RMSEA ≤0.08 0.059 Chi2 ratio (x2/df) <3 2.280 GFI ≥0.90 0.898 AGFI ≥0.90 0.923 CFI ≥0.90 0.901 NFI ≥0.90 0.924 TLI ≥0.90 0.996 IFI ≥0.90 0.909

Table 6: Fitness indices for model among competency and succession planning with respect to

adjusting role of organizational culture Index Favorable statistic value Reported value

RMSEA ≤0.08 0.061 Chi2 ratio (x2/df) <3 1.924 GFI ≥0.90 0.942 AGFI ≥0.90 0.980 CFI ≥0.90 0.911 NFI ≥0.90 0.965 TLI ≥0.90 0.897 IFI ≥0.90 0.899

With respect to the given indices, these models are suitable fitted.

Figure 2: Diagram for path analysis of variable of succession planning.


Table 7: Indices of succession planning. Dimension Component Indicator

Commitment

Satisfaction The nature of the work(e1) Consult with staff(e2) Satisfaction with promotion(e3) Increase salary(e4)

Attachment Job attachment(e5) Endure hard work (e6) Job rotation (e7) Doing better (e8)

Job identity Good sense of work (e9) Social site (e10) Introduction to Jobs (e11) Satisfaction with promotion (e12)

Evaluation of current work requirements

Job evaluation Evaluation criteria (e13) Dimensions of competence (e14) Occupation based on expertise (e15) Enterprise Management Post (e16)

Job Scoring Scoring system (e17) Periodic evaluation of jobs (e18) Job score breakdown (e19)

Evaluation of individual performance

Getting to know people Recognize the skill of the staff (e20) Know the talent of the staff (e21) Undertaking posts with recognition (e22)

Indicators Definition of job indicators (e23) Revision of indicators (e24) People's job performance (e25)

Recognizing talents Determining career path (e26) Recruitment tests (e27) Matching jobs (e28)

Evaluation of future work requirements

Recognize strengths Dimensions of competence of each job (e29) Competent Appointment (e30) Identify people's strengths (e31)

Recognizing weaknesses Identifying weaknesses (e32) Evaluation system (e33) Appropriate training (e34)

Exploring abilities Ability to upgrade (e35) Appropriate job position (e36) Ability to hire (e37)

Recognizing threats and opportunities

Ability recognition test (e38) Recognizing job opportunities (e39) Identifying Threats and Opportunities (e40)

Use time

Goal Determination Use experiences in purpose (41) Know the goals (e42) Objective Evaluation (e43) Compatibility between goals (e44)

Prioritization

Prioritize goals (e45) Effective time and resource management (e46) Setting work priorities (e47)

Planning and time allocation Daily Checklist (e48) Preparation of work plan (e49) Daily Schedule (e50)

Employee training programs

Nurturing talents Strengthening staff skills (e51) Educational Planning (e52) Pay attention to nurturing talent (e53) Training course (e54)

Staff training The Role of Training in Promotion (e55) Recognize skills and talents (e56) Specialization course (e57) Staff Skills Training (e58)

Work Values

Fulfilling the covenant Doing the job to the end (e59) Perform assigned tasks (e60) Staff promises (e61) Doing the job best (e62)

specialty Knowledge transfer day (e63) Level of education (e64) Increasing knowledge and experience (e65) Apply appropriate techniques (e66)

Good mood Lack of staff deviance (e67) No militancy (e68) Client tolerance (e69) Staff promises (e70)

Evaluating individual talents

Understanding individual characteristics

Pay attention to individual characteristics (e71) Managers' perception of individual characteristics (e72) Pay special attention to hiring (e73)

Staff Test Test for upgrade (e74) Test for employment (e75) Periodic evaluation of ability (e76) Test for ability recognition (e77)

Ranking of people Ranking of people (e78) Role in promotion (e79) The importance of rank of staff (e80)


9

Likewise, the results given in Table 8 indicate path coefficients, quantity of t-statistic, p-value, and analysis on type of relation.

Table 8: Studied relationship between parameters Studied relationship Path coefficient t-value p-value Type of relationship

Succession planning → (competency * culture)

0.365 11.076** <0.001 Incremental

Succession planning → (individual dimension * culture)

0.475 6.439** <0.001 Incremental

Succession planning → (knowledge * culture)

0.271 8.745** <0.001 Incremental

Succession planning → (skill * culture)

0.424 9.172** <0.001 Incremental

Succession planning → (personality * culture)

0.172 6.7341** <0.001 Incremental

Succession planning → (attitude * culture)

0.663 14.324** <0.001 Incremental

Succession planning → (social dimension * culture)

0.645 7.591** <0.001 Incremental

Succession planning → (professional reputation * culture)

0.491 7.523** <0.001 Incremental

Succession planning → (public reputation * culture) Succession planning

0.465 8.217** <0.001 Incremental

** The values greater than 1.96 are significant at level 0.05.

Figure 3: Diagram of path analysis among succession planning and competency with respect to

adjusting role of organizational culture.

With respect to gram of path analysis in Figure 3 and the given t-value (1096<11.076) in Table 8 and also calculated p-value (0<0.05), null hypothesis is rejected and it can be concluded that there is relationship among competency and succession planning with respect to adjusting role of organizational culture in TICIR Company.

DISCUSSION

According to the findings it can be concluded that variable of succession planning is placed at the


level higher than satisfactory rate. Therefore all elements of this variable are placed at the position higher than satisfactory level, except variable of commitment which is placed at good level. Accordingly, it is suggested about factor of organizational commitment to the directors to provide personnel’s satisfaction by employing improvement and progress in li line with their occupational path because job satisfaction causes organizational commitment. Namely, job satisfaction is assumed as precondition for organizational commitment. Thus, they should pay due attention to way of promotion of personnel and prepare the ground to achieve individual and organizational goal by implementation of accurate management on processes of occupational promotion for personnel logically and precisely.

Based on the results of this study, it can be concluded that variable of competency has been placed at the level higher than satisfactory condition. Therefore, all elements of this variable are in the position higher than satisfactory level. According to the given results about individual dimension, the mean value of this variable is (3.56) which is higher than satisfactory level. Thus, it is suggested to the organization to improve related education and expert trainings for personnel in order to increase their professional knowledge and information for doing of occupational activities. To this end, various training courses should be held with respect to expertise in personnel in organization. Based on the findings from this study, it can be concluded that variable of organizational culture has been also at the level higher than satisfactory position. Therefore, all elements of this variable are placed as high level than satisfactory rate. Variable of mission is placed at level higher than satisfactory position. Thus, it is suggested to leaders to clarify organizational objectives perfectly for this personnel so that organizational personnel to be aware of the tasks which should be done thereby the organization to achieve in the long run. Similarly, organization needs to codify clear strategies for the future so that strategic path of the organization not to be ambiguous to personnel.

CONCLUSION

Finally, given that the presented model in this study enjoys favorable validity and it is aligned with theoretical patterns and scientific bases; accordingly, whereas organizational culture totally forms behavior of organizational members including directors and personnel at different levels thus it can affect organization in creation of change and strategic orientation noticeably and alternately the basis and framework for determination of competent subject is relatively affected by organizational culture to great extent their elements should be improved. Therefore, certain efforts and planning should be taken for upgrading and improvement in each of dimensions and parameters of organizational culture because organizational culture directly and indirectly intervenes in determination of competency level in individual and it plays an important role in creation of consistency in the given behaviors of personnel. The studies have indicated that rather than this point election of personnel for incumbency of future positions is assumed as one of the foremost success factors in succession planning, organizational culture should be also developed and a type of positive attitude should be taken toward able personnel and it should not be only focused on their background. Thus, attention should be more paid to implementation of meritocracy culture in organization so that to prepare suitable platform to train competent personnel in the organization since organizational culture is composed of a system of common values which guide behavior in personnel and acts as an important factor in achievement for execution of succession planning. Moreover, specific legal


11

criteria and methods should be employed in systems of attraction of workforces, appointment and promotion thereby to pave the way needed for establishment of a meritocratic system and developing of meritocracy in organization.

AVAILABILITY OF DATA AND MATERIAL

The used or generated data in this study is available upon request to the corresponding author.

REFERENCES

Basiri, A., Sabegh, Z.A. (2014). Organizational Factors Influencing Succession Planning Managers in Khuzestan Province.

Cross, J. 2010. Engaging the paradox of competence: business and education research, develop a master

of business competence model. Doctoral Thesis. Capella University.

Ennis, M.R. (2008). Competency models: a review of the literature and the role of the employment and

training administration (ETA). U. S. Department of labor.

Kotonen, U., Savonen M-L., Tuominen, U., Lahtinen, H. & Suomrki, A. 2012. Process and methods of competence management and development. In -Kotonen, U. & Suomrki, A. (ed.) Competence development of logistics centers: development of logistics centers in Southern Finland. The publication series of Lahti University of Applied Sciences. 22-28.

Rothwell, W.J. (2005), Effective Succession Planning: Ensuring Leadership Continuity and Building

Talent from Within. American Management Association (AMACOM). New York. 3rd Ed.

Sanghi, S. 2007. The Handbook of Competency Mapping. New Delhi: Vivek Mehra for SAGE Publications India Pvt Ltd.

Zeinolabedin Bidmeshki Zohreh, Adli Fariba, Vaziri Mojdeh (2014). Comparison of status quo of succession planning and talent management with the favorable status in higher education, Journal of research and planning in higher education, series 20, vol. 2 (serial 72): 51-72.

Narges Hosseini is a PhD student at Department of Management, Islamic Azad University,Kerman Branch, Kerman,Iran. She is working at the Telecommunication Infrastructure Company of Iran (TICIR). Her research interest focuses on Succession Planning.

Dr Masoud Pourkiyani is Assistant professor, Department of Management, Islamic Azad University, Kerman Branch,Kerman, Iran. He got his Ph.D. in Government Management. His researches include Strategic and Public Policy Orientation, Succession Planning, and Competency

Dr. Ayob Sheikhi is an Assistant Professor in Statistics Group, Department of Statistics and Computer, Shahid Bahonar University of Kerman,Kerman,Iran. He got his Ph.D. in Statistics. His researches include Statistics and Applied Probability, Descriptive Statistics and Linear measurement models.

Trademarks Disclaimer: All products names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners. using for identification purposes only. Use of them does not imply any endorsement or affiliation.

*Corresponding author (I.P. Bogomolova). Tel: +7 (473) 255-27-10 Email: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12M http://TUENGR.COM/V10A/10A12M.pdf DOI: 10.14456/ITJEMAST.2019.163

1


http://TuEngr.com

PAPER ID: 10A12M

RESOURCE-SAVING WASTE-FREE PRODUCTION AS AN

INNOVATIVE METHOD OF IMPROVING ENTERPRISES’

BUSINESS PERFORMANCE IN THE MEAT PRODUCTION

I.P. Bogomolova a*, A.V. Kotarev b, A.N. Prostenko c, A.I. Dobrunova c, D. Yu. Chugay c a Department of Management, Production Organization and Sectoral Economics, Federal State Budgetary

Educational Institution of Higher Education “Voronezh State University of Engineering Technologies”,

394036, 19, Revolutsii str., Voronezh, RUSSIA b Department of Management and Marketing in the Agro-Industrial Complex, Federal State Budgetary

Educational Institution of Higher Education “Voronezh State Agrarian University named after Emperor

Peter I”, 394087, 1, Michurina st., Voronezh, RUSSIA c Department of Economic Theory and Economics of the Agro-Industrial Complex, Federal State Budgetary

Educational Institution of Higher Education “Belgorod State Agrarian University named after V.Ya. Gorin”,

308503, 1, Vavilova st., Maysky settlement, Belgorod district, Belgorod region, Russia of the Rodinsky

District of the Altai Territory, RUSSIA



Received in revised form 22 July 2019



Keywords: Meat management;

food security; Meat

production subcomplex;

Food industry

resource-saving;

Innovative meat

production; Resource

efficiency management.

This work explores the issues on the development of resource-saving

methods and approaches of meat production, taking into account the

innovation and efficiency factors. Using the synthesis, analysis,

comparisons, as well as logical, process and system approaches, it is found

that many scientists define the "resource-saving" concept often too narrow

and trivial, using limited one-way approach to the interpretation of the

substantive essence of the definitions and explications of this category.

Many scientists consider only the material and financial components,

without taking into account the fact the process of resource management

and the very essence of a lean approach to the production management

system. The resource efficiency management process can improve the

quality management system of finished products and the technological

process, organizing the transport and logistics and storage conditions (raw

materials, food, products), as well as environmental measures. This work

highlights and systematizes the main indicators of enterprise resource

efficiency, and formulates the conditions for improving the resource

efficiency. This study finds that modern enterprises are required to

implement the principles of resource-saving: scientific substantiation,

complexity, and cost-effectiveness. The resource-saving strategy gives a

permanent reduction in resource consumption per unit of the resulting

beneficial effect. Also, this paper elaborates the main areas of

resource-saving in the agro-industrial sector. The most promising areas of

processing and practical use of waste and secondary raw materials of meat

production and international experience are proposed.


© 2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

2 I.P. Bogomolova, A.V. Kotarev, A.N. Prostenko, A.I. Dobrunova, D. Yu. Chugay.

1. INTRODUCTION Under the conditions of a modern market economic system, enterprises of the

agro-industrial complex of the Russian Federation function under restrictions of tough

competition, high cost of material, raw materials and labour resources, as well as their

limitations. At the moment, despite the implemented set of measures in the field of import

substitution, a significant niche in the market of food raw and other materials is occupied by

foreign producers, which reduces the indicator of food security in our country. This is

especially relevant in terms of the technical and technological infrastructure of industrial

enterprises of the agro-industrial complex, providing heavily processed products from food

stock, production of initial components for composite meat, dairy, and grain products, as

well as feed mixtures for the livestock farming.

Taking into account the economic and innovative aspects, we can say that

resource-oriented methods and approaches to the food production management system are

the most effective and efficient from the standpoint of achieving the most sustainable

socio-economic growth and development of the entire domestic AIC at the current moment

and in the future. The introduction of effective resource-saving mechanisms in the food

production industry will reduce waste, successfully carry out product diversification,

reduce direct and indirect costs, including the resource intensity and resource consumption

indicators, and ultimately increase the level of profitability, capitalization and

competitiveness. It is worth noting that the quality and intensity of the technical and

technological development of food industry enterprises, including those of meat

production, are highly determined with many social, economic, financial, environmental

and organizational factors. The success of adaptation and the application effectiveness of

new technical and technological solutions depend not only on the level of their industrial

feasibility but also on the degree of provision with "long" investments that can be justified

only within the framework of the innovative resource-saving strategy. The transition to

market relations at the beginning of the XXI century predetermined the difficult financial

situation of research organizations and enterprises of the food industry, which were earlier

engaged in the development of advanced resource-saving technologies. In the end, the

introduction of developed technologies slowed down and ceased; this currently

characterizes the situation of a significant underrun of domestic science and practice

compared to foreign food industry enterprises in the field of resource-saving and resource

consumption.

Thus, in our opinion, the basis for improving economic efficiency and sustainability

should be a mechanism for enhancing the actual and potential capabilities of a business

entity (labor, financial and economic, organizational and managerial, social and legal,

information technology, research, intellectual) aimed at improving the socio-economic

situation and its competitiveness. One of such important reserves is the careful attitude to

all types of resources used and the deep processing of all by-products and waste of

meat-processing production. As the result of our study, we have established that the loss of

resources depends on endogenous and exogenous factors: inefficient methods of raw

materials transportation and storage; low rates of intra- and inter-sectoral cooperation


3

between enterprises with raw materials and technological ties; the imperfection of

technological processes for processing and reprocessing of raw materials (high energy and

resource intensity); the technical and technological development level does not comply

with the principles and approaches of material, labor, energy-saving; lack of staff

motivation in the implementation of resource-oriented methods of labor organization and

production process (material resources and raw materials saving and prudent attitude to

them); low organization and production culture; the lack of effective methods and

approaches from state authorities aimed at stimulating modern food production to

resource-saving, introducing resource-saving technologies, and also technologies for the

deep processing of raw materials.

Thus, the foregoing proves the high degree of relevance of the subject area under study

and determines the need to solve practical problems aimed at improving the efficiency of

the meat production subcomplex enterprises based on the application of scientifically

grounded methods and approaches to resource-saving.

2. GOALS AND TASKS

The aim of the study is a comprehensive exploration of theoretical and applied

achievements in the field of resource-saving and waste-free production of meat products.

The main conceptual provisions are based on the processing of secondary raw materials and

meat processing resources in the aspect of improving the efficiency and innovativeness of

the business subjects in the sector. The stated goal determined the basis for the objectives: to

conduct a study of the essence and content of the category “resource-saving”, taking into

account domestic and foreign experience of setting and interpreting problematic issues in

the field of resource-saving and resource consumption; to determine the basic aspects of the

resource-saving mechanism formation; to analyze the main problem points that restrain the

innovative development of domestic meat production in the conditions of development,

adaptation and application of low-cost and waste-free technologies within the entire

functional and technological vertical of the meat production subcomplex; to explore the

most promising areas of the integrated raw meat, by-products, and waste use, taking into

account technological, organizational and managerial components.

3. METHOD AND MATERIAL

A theoretical and methodological basis for the scientific research were the theories,

methods, concepts, as well as applied research of domestic and foreign scientists in the field

of efficient management of meat processing production under the conditions of innovative

type resource-oriented approach application. In the process of achieving the goal and

solving the designated tasks, the following methods of understanding the production and

economic processes in the meat processing industry of the agro-industrial complex were

applied: synthesis, analysis, comparisons, and also logical, systemic and process

approaches.


4. RESULTS AND DISCUSSION

In modern economic conditions, the organization of resource-saving has undergone

very significant changes (transformations), and in some cases, the nature and forms of these

changes have extraordinary manifestations. This is due, first of all, to changes in the

production and business process management model, the formative development of the

market environment, changes in principles and approaches to property management and

business, violation of well-established intra- and inter-industry cooperation links. Modern

risks and uncertainties of the market business model (imperfect competition; shortage and

high cost of financial resources and long-term investments; problems associated with

monopolization of industry markets; lack of an effective mechanism for managing product

quality based on the application of safety and utility principles; distribution of profits

between participants in market relations (procurers, producers, consumers, intermediaries,

end-users, suppliers); imperfection of regulatory and legal regulation by supervisory

authorities; problematic issues in the field of fiscal support), set the trend and future need for

the development and application in practice of advanced achievements in resource-saving,

as well as organizational and management decisions aimed at activation of measures to

improve the resource efficiency of industry actors, taking into account the innovation,

permanence and utility factors [16, 21].

At the present stage, there are still discussions in scientific circles and there are

inconsistencies on individual issues regarding the organization, planning, accounting,

control, evaluation and implementation of resource-saving methods and approaches. All

this proves once again the need and relevance of conducting scientific research in the

resource-saving and resource consumption area in the relevant specialized fields and areas

of entrepreneurial activity. At the same time, it must be emphasized that even today many

scientists characterize the “resource-saving” concept often too narrowly and trivially,

applying a limited one-sided approach to interpreting the substantive essence of the

definitions and explications of this category. Many scientists focus only on the material

and financial components, not taking into account that the resource management process

and the very essence of a lean approach to the production management system has a much

deeper meaning and logic of understanding [1, 4, 6, 19, 22].

Material consumption and raw materials consumption indicators for manufactured

products depend on various kinds of factors which are characterized by a high degree of

uncertainty and imitability. The main quantitative and qualitative indicators of resource

efficiency in an enterprise are illustrated in Figure 1.

To increase the resource efficiency level of an enterprise, it is necessary to fulfill the

following requirements: to ensure a high level of qualification of the company's

employees; achieve high intellectual potential of employees; ensure the technical and

technological independence of the enterprise; achieve a high level of competitiveness;

ensure the legal security of the enterprise and the protection of enterprise information

security.


5

Figure 1. The main indicators of resource efficiency at an enterprise [12, 20]

In the process of organizing an economic activity in modern enterprises, it is required

to implement the following resource-saving principles:

o scientific substantiation and provability which imply a balance and proportions

between the various interests of society and the environment;

o a complexity which assumes a variety and multiplicity of directions in terms of rational

use of material and non-material resources on the basis of low-waste and/or

waste-free production;

o permanence which is the process of resource-saving that must be continuous and

constant;

o expediency and flexibility which mean that resource-saving should be reasonable and

logical;

o determinism and ubiquity which mean that resource-saving as a process should be

interconnected with other processes of endogenous and exogenous nature, as well as

cover all major areas of production and economic activity in order to obtain the

maximum synergistic effect throughout the production and technological chain [18].

Thus, summarizing the results of research carried out by domestic and foreign

scientists in the field of formation and ensuring the organization of production on the basis

of resource-saving approaches, we came to the conclusion that the resource-saving strategy

is a set of principles, factors, methods, models, and measures ensuring a permanent

reduction in resource consumption per unit of the resulting beneficial effect.

Turning to the sectoral level, it is worth noting that the issues of resource-saving and

resource consumption are very relevant for agricultural production, including for meat

processing, since most of them do not receive close enough attention in terms of

organizational, economic, production and technological measures aimed at reducing


resource consumption and resource intensity production. This situation has a negative

impact on the stability and balance of the meat production development. In this regard, let

us present the main directions of resource-saving based on the main resource efficiency

principles (table 1).

Table 1. The main directions of resource-saving for the field of agriculture [5, 15] Direction Implementation and effect

The introduction of advanced

technology

Energy-efficient machinery and equipment; reducing raw material losses

and increasing the yield of finished products; reduced resource

consumption; increase the shelf life and sales of food products

Interchangeability of used

resources and production factors

The use of substitute materials, as well as more cost-effective production

factors; the widespread use of alternative energy sources and recycling

energy; improving the quality and safety of raw materials and finished

products

Methods and models of

economic and mathematical

software

Solving problems in the field of linear and dynamic programming:

optimization of the mixtures and multi-component production cycles,

transport and logistics facilities; application of valid models in the process

of rationalization of the natural-economic balance

Processes of control and

rationing of production

indicators

Standard indicators of procurement, transportation, pre-processing,

processing and reprocessing of raw materials and materials: the degree of

resource utilization, conditional consumption, stock, output, price.

Natural resources and

environment conservation

Intensification of the integrated use of raw materials, secondary resources,

waste, intermediate components; loss and waste reduction; reduction of

specific consumption and consumption rates

For a general understanding of the resource-saving process, it can be noted that this

technology orients the production and sales of products (services) process to perform

technological and trade operations with minimal costs at all stages of the life cycle. The

degree of environmental impact should be minimal. It is also important to comply with the

requirements for a full accounting of the primary material and labour components

consumption during the entire production process, transportation and storage, referred to

the unit of the finished product [2].

The analysis shows that the most important areas for improving the activities of meat

production enterprises were and remain the reduction of direct and indirect production

costs; adaptation and active use of resource-saving technologies; increasing the output of

finished products from the unit of processed raw materials; production and product

diversification; improving the quality of raw materials and finished products;

manufacturing of packaged and packed products with high consumer properties and

meeting the safety criteria; increasing the competitiveness of products and business

entities; increasing integration and cooperation processes; formation of own raw material

base; improving the technology of raising and slaughtering livestock; technical and

technological modernization; adaptation and application of modern standards in the field

of product quality management, technological process, and environmental management;

solving problems of the shortage of highly qualified personnel; introduction of modern

software systems for automation and robotization in the field of production, organization,

planning, accounting and control; development of new market niches and expansion of

distribution channels for finished meat products and semi-finished products.

Practical experience shows that the quality of raw materials and finished meat products


7

remains the most problematic issue. The lack of high-quality food at a reasonable price

does not allow for the effective implementation of preventive measures to improve the

quality of life, which is aggravated by the adverse environmental conditions [12, 18, 8, 9,

21].

In these circumstances, modern experts in the food industry, foodservice industry, and

dietetics today are tasked to improve the structure of nutrition, including by improving the

technologies for processing secondary raw materials and main production waste and

creating new products with high nutritional and biological value, dietary and prophylactic

purposes [17].

In our opinion, in solving this problem, especially in obtaining complete protein, much

attention should be focused on the rational use of raw material potential and reserves of

secondary resources, first of all, the reserves of the meat and dairy industry. The solution

to this type of problem depends largely on the degree of development of low- and

non-waste technologies. In this context, new methods of extracting animal protein from

waste and meat-based secondary raw materials and their use in recipes of finished meat

products are becoming highly significant.

The analysis showed that the leading foreign companies in the food industry today

focused on the development of functional products, the use of secondary products, as well

as special and health products based on traditional products. One of the most important

and most valuable products of animal slaughtering is blood. Every year more than 500

thousand tons of this “by-product” is formed at sectoral enterprises. The total amount of

rational use is less than 5%; however, there are a lot of options for using blood due to its

chemical composition and properties [4]. At the same time, abroad, in the meat industry of

the EU countries and the USA, the whole blood of animals, as well as all its components,

are very successful. About 1/3 of the blood is used in the production of food products.

Plasma and serum are mostly used. In particular, serum and plasma are used in the recipe

of boiled sausages, chopped semi-finished products, dietetic products, and liver sausages

[12]. The only problem with blood use is its colour, but today there are a significant

number of ways to bleach it [8]. Thus, foreign meat-oriented enterprises are interested in

the production of this raw material and do not allow the wasteful attitude to such a

valuable by-product as blood [11].

In the context of the rational use of recycled food raw materials and food waste it is

worth noting that on the basis of the All-Russian Scientific Research Institute of the Meat

Industry (VNIIMP) named after V.M. Gorbatov highly efficient biotechnological solutions

in the processing of cattle proventriculus followed obtaining fodder fortifier, dry vegetable

and animal, vegetable and protein, and protein-carbohydrate feed (BUK) were developed.

In continuation of the study, we note that at St. Petersburg University of

Low-Temperature Technologies a unique scheme has been developed for the processing of

hard and soft wastes from meat production based on the use of safe food solvents. Note

that the obtained organic mass can be dried on spray type plants at 200 ° C and get pure


protein in the form of a white dry powder. In the future, this food ingredient can be used in

sausage production without any restrictions and improve the nutritional and biological

value of meat products, which is an important competitive advantage in terms of import

substitution and resource-saving strategies in the food industry [7].

Also in modern meat production, a sufficiently large amount of so-called fat mass is

formed, which is quite widely used as the technical products in the production of technical

products (feed meal).

Currently, VNIIMP has developed a method for utilization of flotation concentrate. As

a result of applying this method, fodder fat of the 2nd or 3rd grade is obtained; all depends

on the time when the processing of raw materials begins (after 10-12 hours, only technical

fat of the 3rd grade can be produced). This method also makes it possible to produce high

nutritional value from solid food waste.

Also, using a flotation cell, about 80% of fat and 75% of suspended solids can be

extracted from wastewater containing fat, which is an important criterion in improving the

environmental friendliness and wastelessness of meat production [3].

Further, we note that AnstaProInternational (USA) has successfully tested the

developed technology for processing whole carcasses of dead and culled animals and

poultry, as well as reprocessing hard and soft food waste based on the dry extrusion

method. The basic initial technological condition for the application of this method is that

the moisture content of the feedstock should not be higher than 40%. This produces a

sterilized and stabilized animal feed. Grain and leguminous crops, oilcake, oilseed, and

industrial oilseed products, and also bran are used as filler ingredients.

Recently, the microbial-enzymatic conversion methods for reprocessing meat waste

generated after wastewater treatment are becoming more and more relevant and

widespread. This method is based on the use of the biological product

MicrozimWeightTrit developed by RSE-Trading LLC [11]. The main advantages of this

technology include the fact that the fermentation process takes place without the formation

of reactive gases and heavy volatile compounds; the mass of processed food waste is

reduced by 50-70%. This preparation can be used for the process of deodorization of

sewage sludge, aero tanks, silt detention ponds, solid waste storage tanks, and composting

sites.

Also, the studies conducted by the State Research Institute "Sintezblok" proved the

real possibility of processing sand and fatty sediments with the help of vermiculture (earth

and manure worms, including California worms) into humus. This type of production can

be organized on the basis of a sectoral enterprise with little or no organizational and

operational costs.

Today, many authors have described scientific ways to improve the nutritional

properties of low-grade raw meat and food waste of meat production based on lactic acid

bacteria. Many other probiotic microorganisms are also used in this method. Among the

most well-known drugs, it is worth highlight the following: "Bifidobakter", "Bacteria",


9

"Enterobiofidin", "Bifilak". These preparations are used for processing meat utilization

waste and obtaining protein components for food, medical and cosmetic purposes [3, 12].

It is proved that anaerobic digestion is a very effective way of processing waste from

meat production. In the course of application of this method, a precipitate is formed with a

large number of nutrients that can be used in agricultural production as a mineral-organic

fertilizer. This method of meat production waste processing is very effective and safe from

the standpoint of hygiene and environmental friendliness, as it provides maximum waste

disinfection.

Thus, the conducted studies have shown that resource-saving in the field of meat

production has great potential, can provide a good incentive for improving the

sustainability, efficiency, and competitiveness of sectoral enterprises and improve the

quality of products. At the present stage, there are many approved scientific and

technological solutions in the field of processing the edible processed raw materials and

meat processing wastes, which require the close attention of the management structures of

meat production enterprises and the support of state bodies and industry-specific

production associations.

Accordingly, we conducted a pilot study in which one company used new and

innovative methods of meat production and the other company used traditional methods of

production. To make this comparison accurate, five indicators were considered: skilled and

up-to-date workforce, new and up-to-date technologies, up-to-date information resources,

up-to-date management and, finally, explicit savings mechanisms in different parts of the

company (Table 2).

Table 2. Comparison of saving meat production with traditional and innovative methods

Indicators Company No.1 Company No.2

Abundance Percentage Abundance Percentage

skilled and up-to-date

workforce 87 82% 17 16%

new and up-to-date

technologies 14 64% 3 9%

up-to-date information

resources 9 93% 2 18%

up-to-date management 12 77% 1 21%

explicit savings mechanisms 32 81% 4 4%

Meat production rate 15436 kg/day 82% 6436 kg/day 82%

Company monthly expenses 65135

USD/month 22%

1965135

USD/month 48%

Corporate income from

by-products

USD43678

dollars/month 42%

1543

USD/month 6%

Table 2 shows that company No.1 has used new methods of meat production but

company number two still continues the traditional way of producing meat. Based on the

results, it shows that the No.1 Company produces almost half a day equal to the number

two company meat. It has also been found that the company's costs are one-third of the

company's number two, using the traditional method. Ultimately, it has been found that


using innovative, innovative meat production methods has boosted the number one

earnings of the byproducts so that 42% of the company's total revenue is from the

byproducts, while the number two is only 6% of its revenue comes from by-products.

5. CONCLUSION

It follows from the above that in the current market conditions the problem of increasing

the resource efficiency level in the food industry and in particular at meat production

enterprises is very important and relevant. Maintaining a focus on the advantages of high

resource provision (availability of cheap labor; significant reserves of natural resources;

lack of obvious competition in the aspect of this system of organization of the production

process; lack of funds and interest of company management; low level of interaction and

cooperation between production systems and scientific organizations; low indicators of

approbation and assimilation of advanced technologies by enterprises in the field of

innovative resource-saving) may have a negative synergistic effect on the stability and

efficiency of functioning of the whole meat production, as well as the entire agro-industrial

complex of the Russian Federation. In the end, all this can lead to significant social,

economic and environmental tensions throughout the national economy. In these

circumstances, a transition to a resource-saving innovative type of development in all

industry segments of the agro-industrial complex is required. This approach should be based

on such tools as scientific developments and knowledge, labour, technical and

technological, innovation and investment, informational, organizational and managerial

resources. All this, ultimately, will activate innovative solutions that are directly related to

the priority role of developing a resource-saving mechanism and solving current social and

economic problems of modern meat production.

6. REFERENCES

[1] Avtonomov, V. Ananyina, O. & Makasheva, N. (2000). Features of the resource-saving system

development: a tutorial. Moscow. : INFRA-M, 784 p.

[2] Alabugin, A., & Topuzov, N. (2008). Principles of the resource saving mechanism formation.

Bulletin of the Chelyabinsk State University, 29,11-13.

[3] Bogomolova, I. P. & Pasynkova, O. M. (2004). Organizational and Economic Aspects of

Sustainable Development of Enterprises Based on Resource Saving. Voronezh: Voronezh State

Technical Academy Publishing House, 175 p.

[4] Bogomolova, I. P. & Pigunova, M. V. (2005). Increasing the efficiency of small enterprises

through the optimization of resource provision (using public catering enterprises as an

example). Voronezh: municipal educational institution “Voronezh Economics and Law

Institute”, 160 p.

[5] Bogomolova, I. P., Kulneva, N. G., & Mantulin, A. M. (2012). Scientific and methodological

approaches to the management of resource saving in the sugar industry: monograph. Voronezh:

Center of Scientific and Technical Information, 185 p.


11

[6] Vorotnikov, I. L., Petrov, K. A., & Kononykhin, V. V. (2010). Resource-Saving Development

of Processing Industries in the Agro-Industrial Complex. Economics of Agricultural and

Processing Enterprises, 10, 21-23

[7] Gizyatov, I. (2011). Resource Saving and Transparency of the Economy in the Context of the

Institutional Paradigm. Problems of the modern economy, 1, 27-28.

[8] Dobrunova, A. I., Oliva, L. V., & Sidorenko, A. A. (2015). From the greening of land use to the

production of environmentally friendly products and to the sustainable development of rural

areas. Kazanskaya nauka, 10, 127-130.

[9] Turyansky, A. V., Uzhik, V. I., Dobrunova, A. I., & Dorofeev, A. F. (2011). Program and

model of development for the natural products sector in the Belgorod region. Guidelines.

Belgorod: Federal State Educational Establishment of Higher Professional Education

“Belgorod State Agricultural Academy”, 112 p.

[10] Shindin S. А. (2011). The efficiency of complex use of secondary raw materials in the meat

processing industry. Economy of agricultural and processing enterprises, 5, 40-42.

[11] Shumak, Zh. G., & Oreshnikova, O. V. (2011). Problems of resource saving in enterprises of

the meat processing industry in the context of their innovative development. Young Scientist,

5, 427-430. - URL: https://moluch.ru/archive/52/6783.

[12] Shugurova, T. B. (2011). Resource-saving technologies in meat processing, Meat technologies,

11. - URL: http://www.meatbranch.com/publ/view/497.html.

[13] Andrizhievskii, A. A., & Volodin, V. I. (2005). Energy saving and energy control. Minsk,

Vysheishaia shkola Publ, 294 p.

[14] Danilov, O. L., & Kostiuchenko, P. A. (2006). Practical manual on selection and development

of energy saving projects. Moscow, ZAO «Tekhnopromstroi», 668 p.

[15] Gorshenin, V. P., Rezanovich, I. V. Management of resource-saving behavior of personnel at

industrial enterprises // Scientific journal Modern problems of science and education.

[Electronic resource]. URL: https://science-education.ru/en/article/view?id=15178.

[16] Iarullina G. R. Control of energy saving at an industrial enterprise. Kazan, 2003. 111 p.

[17] Ashmarina, S., Lubnina, A., Shinkevich, M., Zaitseva, N., Sayfutdinova, G., & Ishmuradova, I.

(2016). Resource saving innovative forms of the industrial enterprises. International Journal of

economics and financial issues, 6(2), 479-483.

[18] Mataras, E. V., & Olekhnovich L. V. (2007). Realization of the basic processes of energy

conservation in the Republic of Belarus. Studencheskii Vestnik, no. 10:

http://www.bru.mogilev.by.

[19] Novikova, L. V. (2012). Methods of assessment of resource-saving potential in the food

industr. Izvestiya Tulgu. Economic and Legal Sciences, 1, 748-754 p.

[20] Zakharchenko, O. V. (2015). Management of resource saving at the enterprise. Ринкова

економіка: сучасна теорія і практика управління, (14, вип. 2), 134-139.

[21] Merenkov, I. N., Turyansky, A. V., Dobrunova, A. I., Prostenko, A. N., & Oliva, L. V. (2018).

State support improvement for ecological land-use in terms of transition to rural territory


sustainable development. Revista Amazonia Investiga, 7(15), 13-19.

[22] Zhizhin, A. A. (2006). Management of investments into new energy-saving technologies in the

industry. Oryol, OrelGTU. 22 p.

Professor Dr.Irina Bogomolova is Professor and Head of the Department of Management, organization of production and industry economy, Voronezh state University of engineering technologies (VSUIT), Russia. She has a Doctor of Economic Sciences degree. She is a Member of the academic Council of VSUIT, a member of the scientific and methodological Council of the University, Chairman of the editorial and publishing economic section, a member of the faculty of Economics and management. She is a co-executor of the grant "inter-Sectoral economic cooperation of enterprises (organizations) of grain products subcomplex in the conditions of modern agro-industrial policy" (NAO "Kazakh National Agrarian University"), the Republic of Kazakhstan.

Alexander Kotarev is an Associate Professor of the Department of Management and marketing in the Agroindustrial Complex, Voronezh State Agrarian University named after Emperor Peter I (Voronezh State Agrarian University), Russia. He is a Candidate of Economic Sciences He is the Head of the Center of Distance Educational Technologies of Voronezh State Agrarian University. His specialization is in International Business.

Dobrunova Alina I. is an Associate Professor at the Department of Economic Theory and Economics of Agriculture, Belgorod State Agricultural University named after V. Gorin. She is a Candidate of Sociological Sciences. She engaged in scientific activities with a focus on Management of Sustainable Rural Development.

Prostenko Alexander N. is an Associate Professor at the Department of Economic Theory and Economics of agriculture, Federal State Budgetary Educational Institution of Higher Education «Belgorod State Agricultural University named after V. Gorin, Russia. He is a Candidate of Economic Sciences. Не holds the position of First Vice-Rector. He is an expert in the field of Economics and Management of Rural Development.

Dmitriy Chugay is an Associate Professor at the Department of Economic Theory and Economics of the Agro-Industrial Complex, Belgorod State Agrarian University named after V.Ya. Gorin, Russian Federation. He is a specialist in Economics and Management and an Expert in the Dairy-Productive Subcomplex.

*Corresponding author (Khalid Mahmood). Tel: +92-3067939087. E-mail: [email protected] ©2019 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12N http://TUENGR.COM/V10A/10A12N.pdf DOI: 10.14456/ITJEMAST.2019.164

1


http://TuEngr.com

PAPER ID: 10A12N

PERSONALITY AND POST-PURCHASE CONSUMER

REGRET EXPERIENCED AFTER IMPULSE BUYING:

A CROSS-THEORETICAL APPROACH WITH

INDIVIDUAL DIFFERENCES MODERATOR

Khalid Mahmood a*, Muhammad Amir Rashid a, Ghulam Hussain a

a COMSATS University Islamabad, Lahore Campus, PAKISTAN.




July 2019



2019

Keywords: Five-factor model;

Impulse buying;

Personality traits;

Neuroticism;

Maximization consumer;

Post-purchase regret;

Consumer buying regret.

This study assessed that how five-factor model (FFM) can assume

an important role in elaborating the relationship between impulse buying

and post-purchase regret by incorporating assumptions from theory of

social learning and imitation, social judgment theory and theory of

collectivistic culture. Consumer literature and marketing categorize

impulse buying behavior (IBB) as fragmented concept which needs to

be mustered cross theoretically at post-purchase phase. The literature

regarding personality, impulse buying behavior and Post-Purchase

Consumer Regret (PPCR) is reviewed and the research revealed

relationship between personality traits, impulse buying behavior and

post- purchase regret. But there is a little evidence for individual

differences variables exploited as moderators between personality traits

and post-purchase consumer regret. The study adopted convenience

sampling and was concluded by suggesting relationship between FFM

and post-purchase consumer regret moderated by maximization.


SYMBOLS AND ABBREVIATIONS Ag Agreeableness,

Cons Conscientiousness,

DD Decision difficulty (Max),

Ex Extraversion,

FFM Five factor model,

HS High standards,

IBB Impulse buying behavior,

Max Maximization, (Max),

Neuro Neuriticism,

Open Openness to experience,

PPCR Post-purchase consumer regret,

PPCRFA Post-purchase consumer regret due to forgone alternatives.


2 Khalid Mahmood, Muhammad Amir Rashid, Ghulam Hussain

1. INTRODUCTION Post-purchase consumer regret (PPCR) is described as psychological discomfort of consumer

based on consequence of purchase decision (Sweeney et al., 2000). Baumeister (2002) found that

post-purchase regret might be induced in the consumers within same day or later after impulse buying

because they were unable to resist the factors which caused impulsive buying behavior. Post-

purchase regret has been of major interest to marketers because they are always keen to know the

influential factors which trigger consumers to buy more(Bui et al., 2011). Regret theory was initially

developed by considering negative emotion theories explaining that the regret is an outcome of

choosing among plenty of available alternatives (Zeelenberg & Pieters, 2004). In fact, regret theory

concentrated on a process of decision making which is marked as irrational (Loomes & Sugden,

1982). Negative problems were observed in 80 percent consumers after impulse buying Rook (1987).

Kalla and Arora (2011) suggested that existing theories in psychology, marketing and economics did

not provide a complete insight about impulse buying behavior and the phenomenon becomes more

complex in South Asia. The scholars were also of the view that it needed to be explored in sub-

continent as most of the studies are conducted in the West. Further, the post-purchase behavioral

phase calls for more work in impulse buying literature to better understand it as predictor, process

and outcome based on inter-disciplinary theoretical perspective. It is a viable initiative which is

required to be expanded and tested in real life situations (Xiao & Nicholson, 2013). Hence, this study

has drawn assumption form theory of social learning and imitation Miller and Dollard (1941), social

judgment theory Sherif and Hovland (1961) and theory of collectivistic culture (Triandis, 1995).

Personality traits have attained much importance in the area of consumer behavior as researchers are

trying to discover the relationship between excessive buying and personality traits (Mueller et al.,

2010; Rose, 2007). Hence, Otero-López and Villardefrancos (2013) has used FFM personality traits

as antecedents of excessive buying based on impulsiveness. Dispositions and personality affect

maximization tendency of an individual and positive or negative life outcomes have been attributed

to personality traits in different previous studies (Purvis et al., 2011). The scholars proposed that

maximization reflected the dimensions of FFM model. Similarly, while determining the predictors of

maximization with reference to personality, it was interesting to note that conscientiousness did not

appear as a valid predictor of maximization as it was supposed to be. Rather, the strongest predictor

was neuroticism along with openness. Moreover, maximizers also suffer emotional cost due to stress

and anxiety induced choices (Purvis et al., 2011; Shiloh et al., 2001). But the question remains that

which personality trait accounts for more poorer life consequences (Dar-Nimrod et al., 2009). This

provided sufficient evidence to state the research objective as to establish maximization as moderator

between personality and post-purchase consumer regret experienced after impulse buying

simultaneously with cross-theoretical underpinning. Beatty and Ferrell (1998) laid down the basic

definition of impulse buying as instant purchasing activity without any planning, irrelevant of

realizing or satisfying a desire. Consequently, this type of regret experienced after an impulsive

purchase needs to be further explored (Ozer & Gultekin, 2015).

But literature of the last decade shows that impulsivity is deeply rooted in personality of the

people (Verplanken & Herabadi, 2001). So, a great attention is being paid to the psychological

constructs in the recent years which may affect impulse buying behavior and a huge research volume

is available in this regard (Dhaundiyal & Coughlan, 2009; Franken et al., 2008; Russo et al., 2008;



3

Wittmann & Paulus, 2008). Studies conducted on impulse buying on the basis of individual

differences have opted five factor model as predictor(Badgaiyan et al., 2016; Bratko et al., 2013;

Otero-López & Villardefrancos, 2013; Ozer & Gultekin, 2015; Thompson & Prendergast, 2015;

Verplanken & Herabadi, 2001; Youn & Faber, 2000).

2. THEORY AND HYPOTHESES

Preceding review establishes that post purchase regret after impulse buying is minimally

associated with product attributes, in fact, it is deeply rooted in individual differences since when

consumers are out of impulse buying episode, the paid price exceeds the derived benefit inducing

regret (Bayley & Nancarrow, 1998; Park & Lennon, 2006). Since its emergence as personality

dimensions taxonomy, FFM has been used as predictor of many negative behavioral patterns like

pathological gambling (Mowen et al., 2009), alcoholism (Kuntsche et al., 2008), workaholism (Clark

et al., 2010) and tobacco dependence (Terracciano & Costa, 2004). This helps to formulate hypothesis

about personality traits and post-purchase consumer regret experienced after impulse buying.

Impulse buying might be attributed to unending individual differences and if it holds true, it is

inferred that impulse buying corresponds to specific values or it may have a correlation with other

lasting individual differences as personality traits and long term objectives (Verplanken & Sato,

2011). Similarly, post-purchase consumer regret is attributed to personality characteristics (Cook et

al., 2017).The present world is marked with availability of abundant choices having positive as well

as negative consequences for consumers. Hence, considering the deeply rooted association of

personality trait neuroticism with IBB, it is expected that;

o H#1. Neuroticism is positively associated with post-purchase consumer regret

experienced after impulse buying

The importance of impulsive behavior as a construct of psychology prevails in personality

systems(Whiteside & Lynam, 2001). Eysenck et al. (1985) presented a personality model having

three dimensions. The scholars argued that extraversion comprised of sensation seeking,

impulsiveness and venturesomeness and associated impulsive behavior with psychoticism also. So,

we expected that;

o H#2. Extraversion is positively associated with post-purchase consumer regret


Abundant choice has triggered the feelings of life control and being empowered(Broniarczyk &

Griffin, 2014; Chernev et al., 2015). But it may also lead to choice paralysis inducing regret. With

reference to a few notable factors just like traits and cognitive style, this blurred side of choices can

be more prominent for some people than others (Iyengar & Lepper, 2000). Shopping is marked as a

prominent leisure activity in Asia(J. A. Lee & Kacen, 2008) and these cultural differences strengthen

the belief that post-purchase regret after an impulse purchase is attributed to individual differences

rather than product functionality (Bayley & Nancarrow, 1998; Cook et al., 2017).Therefore, we

assumed that;

o H#3. Agreeableness is positively associated with post-purchase consumer regret


But, innovative and fast fashion products generate post-purchase regret when their purchase is


attributed to personality rather than need (Cooke et al., 2001). Life stories, personal concerns and

personality traits are labeled as a three- tiered framework of personality and consistencies in social

behavior are attributed to these traits (Baumgartner, 2002; McAdams, 1996). So, personality reveals

attributes of an individual which cause occurrence of specific behavioral patterns in general and a

firm relationship between consumer behavior and personality is vital when consumers choose to react

and approach a purchase experience. The relationship between personality and buyer behavior also

influences the procedures opted by consumers (Horton, 1979). This led to formulate that;

o H#4. Openness to experience is positively associated with post-purchase consumer

regret experienced after impulse buying

Jensen-Campbell et al. (2002) argued that effortful control has significant positive relationship

with conscientiousness and it is negatively correlated with neuroticism. Considering these findings

Gramzow et al. (2004) established the same relationship of these two big five dimensions with self-

regulation and found that association of the constructs with other three dimensions of big five is

inconsistent. Verplanken and Herabadi (2001) concluded that impulse buying stems from

personality traits but their results are equivocal (Bratko et al., 2013). These scholars suggested that

more research was required regarding the impact of FFM on impulse buying. Thompson and

Prendergast (2015) argued that there are inconsistencies in the findings among studies particularly

done to establish the relationship between FFM and impulse buying as almost 90% of consumers are

occasionally involved in impulse buying (Hausman, 2000). Thus, it was assumed that;

o H#5.Conscientiousness is positively associated with post-purchase consumer regret


Interdisciplinary application of psychological theories in marketing is well established but a

limited number of studies were conducted to determine the consumes’ psychological types as means

of predicting their remorse(Fried, 2008). It is of enduring interest to include maximization as

moderator to address the inconsistencies in findings (Cheek & Schwartz, 2016; Dalal et al., 2015;

Richardson et al., 2014; Turner et al., 2012). The area of buyer’s regret and personality as its

predictor, remained under-explored though some predictive capability is yield by personality traits

(Bell, 1967; Fried, 2008). That is why, perhaps, the cognitive style is an influential factor in risk-

reduction after experiencing remorse or dissonance by consumers (Mitchell, 1993). So, we expected

that;

o H#6. Maximization moderates the relationship between FFM traits and post-

purchase consumer regret experienced after impulse buying

3. METHODOLOGY

3.1 THE STUDY FRAMEWORK Figure 1 shows the proposed framework of this study which is derived after literature review.

This study consider FM dimensions including Neuroticism, Extraversion, Openness, Agreeableness,

Conscientiousness. These factors expect to contribute to the buying behaviors.

3.2 TARGET POPULATION AND SAMPLING PROCEDURE Data were collected from universities in district Vehari and its surrounding cities. The

respondents included faculty, students and administration staff and convenience sampling was used.



5

Figure 1: The framework of this study

3.3 DATA COLLECTION METHOD AND RESPONSE The questionnaire was constructed containing items about all constructs. It had three parts

starting with the first one to provide demographic information about respondents. The respondents

were asked to recall previous impulse purchases of Fast Moving Consumer Goods because the study

simultaneously addressed the post-purchase consumer regret which arouse after impulse buying(Ozer

& Gultekin, 2015; Thompson & Prendergast, 2015). The researchers distributed 970 self-

administrated questionnaires containing all the measures out of which 538 were returned assuring a

55 percent receiving rate. This also included 33 incomplete responses which were rejected and 505

were included in the study. Lack of research culture and unawareness about its importance in

Pakistan led to decide on self-administration of survey instead of opting for electronic media although

it is equally good (Hussain et al., 2016).

4. INSTRUMENTATIONS

4.1 FIVE FACTOR MODEL (FFM) FFM dimensions were measured by adapting Gosling et al. (2003) scale. It ensures the cultural

similarity as it has been recently used in India (Badgaiyan et al., 2016). According to scholars, these

scales are developed to ensure time economy in research. It has two items for each trait.

4.2 MAXIMIZATION Maximization is defined in terms of three distinct aspects: experiencing decision difficulty,

expressing high standards and searching alternatives for best possible option (Nenkov et al., 2008).

Short Form of Maximization Scale (MS-S) by Nenkov et al. (2008) consisting of six items was used.

4.3 IMPULSE BUYING BEHAVIOR (IBB) This construct was measured by using Thompson and Prendergast (2015) impulse buying

behavior scale consisting five items. The scholars selected and modified items for cross-cultural

application of the scale. The modification was also meant to assess the impulsive buying behavior for

preceding four to eight weeks purchases. These items were drawn from available scales (Rook &

FFM DIMENSIONS

Neuroticism

Extraversion

Openness

Agreeableness

Conscientiousness

Impulse Buying

Behavior

Post Purchase

Consumer

Regret

Maximization


Fisher, 1995; Verplanken & Herabadi, 2001) and measure directly spontaneous, unreflective and

unplanned impulse buying (Piron, 1991).

4.4 POST-PURCHASE REGRET Post-purchase consumer regret (PPCR) scale was adopted from (S. H. Lee & Cotte, 2009) as it

addresses all the facets of regret. The study was based on pure impulse buying which occurs

spontaneously by ignoring the alternatives although data was collected about all the facets.

(Badgaiyan et al., 2016; Bratko et al., 2013).

5. RESULT

This section presents the result of the study. The researchers employed PLS path-modeling to

assess the measurement model and structural model. Measurement model tests the psychometric

properties of the scales employed. Structural model is employed to test the proposed hypotheses of

the study. Scales reliability and convergent validity was ensured through measurement

model(Esposito Vinzi & Russolillo, 2010). The authors introduced the procedure to assess outer

loading and established that outer loading value must be 0.5 or above. Items having less value needed

to be deleted in ascending order for variance extracted. It was done to increase the data quality.

Although PLS is generally used for small data, its uniqueness of producing results with even two

items encouraged us to apply it. This cannot be achieved with SEM which relies on covariance(Akter

et al., 2011). Partial least square modeling could obviate covariance based SEM limitations like factor

indeterminacy, model identification, measurement level, distributional properties and sample size

(Chin, 1998; Hussain et al., 2016; Wetzels et al., 2009). Result is shown in Table 1.

Table 1 Measurement Model Result. Construct Items Loadings Cronbach Alpha Communality Ave

Extraversion FFM1 0.937 0.814 0.914 0.841

FFM6 0.897

Agreeableness FFM2 0.864 0.665 0.675 0.522

FFM7 0.546

Conscenciousness FFM3 0.978 0.903 0.950 0.905

FFM8 0.924

Neuroticism FFM4 0.948 0.754 0.883 0.792

FFM9 0.829

Openness FFM5 0.939 0.831 0.921 0.854

FFM10 0.910

Post purchase consumer regret PCRFA1 0.788 0.558 0.817 0.691

PCRFA2 0.873

Table 2 Comparison of Square root of average variance extracted score and correlations Ag Cons Ex Neuro Open

Ag 0.722

Cons 0.022 0.951

Ex 0.041 0.844 0.917

Neuro 0.020 -0.062 -0.092 0.890

Open 0.051 0.875 0.836 -0.096 0.924

PPCR 0.166 0.048 0.073 -0.218 0.067

Note: All the values shown in diagonal and bolded represent the square route of average whilst those of the diagonal

represent latent variable correlations



7

5.1 MODEL EVALUATIONS

5.1.1 MEASUREMENT MODEL

Discriminant validity was observed for assurance of external consistency of this model. In this

context, Table 2 shows the latent variable comparison where AVE of variables is computed:

agreeableness (Ag) = 0.722, conscientiousness (Cons) = 0.951, extraversion (Ex) = 0.917,

neuroticism (Neuro)= 0.890, openness (Open)= 0.924.

5.1.2 STRUCTURAL MODEL

Direct relationship of the study constructs is computed in PLS. It reveals analysis of inner

modeling. It tells about relationship dependency in hypothesized model under study(Hair et al., 2006).

Agarwal and Karahanna (2000) suggested that path coefficients were equal to regression and beta

coefficients. Model significance is decided on the premise of t-values and regression beta values and

if it is above 1.64, it is assumed to be significant (Henseler et al., 2014). This value helps in deciding

on suggested hypothesis (Figure 1).

Figure 2: Measurement Model

All the rejected hypothesis contain t-value less than 1.64and accepted hypothesis have a t-value

of above1.64. It is illustrated in Table 3. Figure 2 demonstrates t-values subsequent to bootstrapping.

Table 3: Hypothesis (Direct Effects). Path Coeeficients Standard Error (STERR) T Statistics (|O/STERR|) Decision

Ag -> PPCR 0.168 0.049 3.309 Supported

Cons -> PPCR -0.036 0.116 0.313 Not supported

Ex -> PPCR 0.062 0.083 0.747 Not supported

Neuro -> PPCR -0.217 0.041 5.502 Supported

Open -> PPCR 0.017 0.098 0.173 Not supported


Figure 3: Structural Model.

5.1.3 MODERATING EFFECTS

Smart PLS 2.0 M3 requires to create direct relationship between moderator and criterion variable

which are maximization and post-purchase consumer regret respectively. This led to calculating

both direct effect and moderating effect for improving the study. Beta coefficients were obtained by

running PLS algorithm and results are shown in Table 4. Regarding the hypothesis testing the

researchers applied method of bootstrapping. As depicted in Table 4, out of five interaction

hypothesis two hypothesis are significant at t-value above 1.64 and three hypothesis are insignificant

having t-value below 1.64. Comparison of Figures 2 and 5 reveals that the value of post purchase

consumer regret is increased from 0.134 to 0.155 after induction of maximization as moderator

between FFM personality traits and post-purchase consumer regret. Figure 4 shows interaction term.

Table 4 Hypothesis (Indirect)

Path

Coefficients

Standard Error

(STERR)

T Statistics

(|O/STERR|) Decision

Ag * Max PPCR -0.121 0.176 0.691 Not supported

Cons * Max PPCR -1.142 0.559 2.043 Supported

Ex * Max PPCR 0.280 0.428 0.654 Not supported

Neuro * Max PPCR 0.055 0.118 0.463 Not Supported

Open * Max PPCR 1.205 0.590 2.040 Supported

Figure 4: Interaction Term



9

Figure 5: Bootstrapping Model.

6. DISCUSSION

FFM has particularly been used and proved as an antecedent of excessive buying and other

negative behavioral outcomes (Clark et al., 2010; Kuntsche et al., 2008; Otero-López &

Villardefrancos, 2013).Further, FFM personality traits particularly neuroticism and conscientiousness

and generally the remaining three are predictors of maximization which is negatively associated with

customer satisfaction (Cheek & Schwartz, 2016; Nenkov et al., 2008; Purvis et al., 2011). FFM

successfully predicted the impulse buying when studied with trait affect having positive or negative

dimensions (Stafford et al., 2010). A relationship by simultaneously linking five factor model with

impulse buying behavior and post-purchase consumer regret experienced after it might be influential

as buyers within the same day or long after an impulse purchase may experience post-purchase

regret because they were unable to resist stimuli causing impulse buying. Dispositions and personality

affect maximization tendency of an individual and positive or negative life outcomes have been

attributed to personality traits in different previous studies (Purvis et al., 2011). Among individual

differences factors, maximization (choosing the best) has emerged as important measures associated

with personality in the contemporary era (Cheek & Schwartz, 2016; Schwartz et al., 2002). Recent

studies suggested exploiting individual differences moderators while using FFM as predictor of IBB

and negative behavioral outcomes at post-purchase level considering cross-theoretical perspective.

The theory of social learning and imitation argues that occurrence of observable behavior is not

possible in the absence of certain drives which are categorized as primary or secondary in nature.

During socialization process, imitation drive becomes its base. Hence, it is assumed that response

matching with others gains reward properties in itself and frequency of this reward determines the

intensity of occurrence of behavior. The consistency of the reward strongly maintains the imitation

drive. The theory established that other person’s behavior is a cue which induces internal response

resulting in a drive to act on the basis of previous reward strength. Drive reduction is achieved through

this imitative process(Miller & Dollard, 1941).


Now considering Triandis (1995) definition of collectivism which categorized it as a social

pattern comprising of people who view themselves as bonded with groups, families and coworkers in

society, it is not surprising to note that personal attributes are withheld or repressed in collectivistic

cultures leading to create a weaker attitude–behavior and attitude-intention relationship and it remains

so for impulsivity also (Bagozzi et al., 2000; Kashima et al., 1992). But, individuals living in

collectivistic cultures rapidly change their impulse buying behavior driven by such social patterns as

normative evaluations and high standards (in-group goals and duties) in different situational contexts

(Triandis, 1995). Assumption from social judgment theory Sherif and Hovland (1961) is used here to

support the relationship between FFM and post-purchase consumer regret followed by impulse

buying. The theory assumes that individuals categorize and discriminate among stimuli either these

are attitudinal or neutral in nature. Sherif and Hovland (1961) proposed that “persons who are strongly

committed to positions use fewer categories than less involved persons and highly involved people

place a large number of items in unacceptable category”.

The literature review section supported the assumption by confirming realization of severe post-

purchase regret when there was sudden onset of impulse buying behavior. Thus, the study found

positive relationship between openness to experience and post-purchase consumer regret. This trait

has a comfortable tolerance characteristic accompanied by capability to accommodate information

and being impulsive(Costa & McCrae, 2008). Openness to experience is marked by being emotionally

rich and having a complex life due to deeply rooted sensitivity for beauty and art. These people are

undogmatic in their values and attitudes, they are behaviorally supple and curious in their intellect

(Costa Jr & McCrae, 1995). Their curiosity leads them to experience both positive and negative

emotional states more deeply in comparison with the people low on this dimension and who always

think conventionally (Lakhal et al., 2012; Matzler et al., 2006). They firmly consider the hedonic

values of products being purchased and their decision making styles are indicative of their motivation

and shopping behavior (DeYoung et al., 2005; Zurawicki, 2010). The relationship between

personality trait “openness to experience” and impulsive tendency buying is equivocal,(Badgaiyan

et al., 2016), so its relationship with post-purchase consumer regret was not only induced due to

what was purchased but also corresponded to what could have been purchased(S. H. Lee & Cotte,

2009). Purvis et al. (2011) explored that openness to experience was the strongest predictor of

maximization that is why the direct and interaction hypothesis are proved in the present study.

Following the scholars, maximization was aggregated into a single composite score and it is

positively associated with post- purchase consumer regret.

People high in conscientiousness are diligent and organized (Costa Jr & McCrae, 1995). Instead

of being spontaneous, these people exhibit controlled and planned social behavior and also try to be

perfect. They have the tendency to postpone emotional impulses and do not like to be impulsive

shoppers. But, at moments, these people are also involved in impulse purchases and feeling regret

emotions (Gohary & Hanzaee, 2014; Joshanloo et al., 2012; Zurawicki, 2010). Likely,

conscientiousness was also found positively correlated with post-purchase consumer regret although

consumers with this trait show a greater self-control yet the assumption from collectivistic culture

theory is proved that people in such culture change their impulsive behavior swiftly which results in

remorse(Novliadi et al., 2018).



11

Neuroticism depicts psychiatric conditions of distress. People who score high on this dimension

are emotionally inconsistent and they frequently express worries and anxieties along with aches in

the body also. They also exhibit inappropriate behavior in social situations (Costa & Mccrae, 1992).

Johnson and Attmann (2009) revealed that neuroticism is also characterized by compulsive buying

which was a disturbing behavior. Further, as the level of neuroticism increases, the vulnerability to

impulsiveness and depression also increases leading to inappropriate decision making (Costa Jr &

McCrae, 1995). Thus, people who are oriented towards neuroticism remain preoccupied with the

current situation rather that rationalizing the decisions by considering past experiences or future

consequences (Chetthamrongchai & Davies, 2000). Hence, they are more likely to experience post-

purchase consumer regret but interaction hypothesis is rejected in this study while direct effect is

confirmed. The reason might be it emerged as a strongest predictor of searching alternatives in

literature (Purvis et al., 2011).

People high on agreeableness may form harmonious relations and in doing so they reject the

domineering perspective. They do not be suspicious, in fact they rely on others (Zurawicki, 2010).

People who are on the lower side of this dimension, they doubt unfamiliar things (Wang & Yang,

2008). They also possess tendencies to fall prey to negative emotional states (Ho et al., 2004).

Duijsens and Diekstra (1996) discovered that agreeableness and impulse buying are negatively

correlated but this claim lacks sufficient literature support (Balabanis, 2002; Wang & Yang, 2008).

Hence, its direct relationship with PPCR is supported but indirect relationship is not supported.

Pleasure and enjoyment are the most prominent in traits cluster which explains extraversion

dimension of personality (Costa Jr & McCrae, 1995; Costa & McCrae, 2008). Guido et al. (2007)

concluded that extraversions showed hedonic shopping attributes in their personality resulting in

abrupt decision-making. Extraversion is positively associated with impulsive buying tendency in

most of the studies (Badgaiyan et al., 2016). But surprisingly, Gohary and Hanzaee (2014) discovered

negative correlation between impulse buying and extraversion which needed to be tested in real life

situations. So, both direct as well as indirect relationship with PPCR is not supported.

7. CONCLUSION

Initially observed as exciting and enthusiastic activity providing feelings of happiness and delight

Weinberg and Gottwald (1982), IBB has gradually emerged as an uncontrollable regret inducing

phenomenon (Baumeister, 2002; Ozer & Gultekin, 2015). The focus has also shifted from product

characteristics to personality and individual differences as predictors and antecedents (Peck &

Childers, 2006; Rook & Gardner, 1993; Thompson & Prendergast, 2015; Verplanken et al., 2005).

Moreover, maximizers also suffer emotional cost due to stress and anxiety induced choices (Purvis

et al., 2011; Shiloh et al., 2001). Maximizers experienced more regret and post-decisional anxiety.

Poorer life consequences are attributable to traits (Dar-Nimrod et al., 2009). So, along with personal

fear of invalidity, personal need for structure and need for evaluation at antecedent level Badgaiyan

et al. (2016), it is expected that maximization intervenes as moderator between five factor model

personality traits and post-purchase consumer regret experienced after an impulse purchase. Facets

of maximization may generate matched-dependent behavior. Deep connectivity and social

embededness of consumers in collectivistic culture was witnessed by following high standards (HS)


which are socially learned and consumers are in a state of decision difficulty(DD) by putting a large

number of items in unacceptable category during the purchase situation, and to avoid this difficulty,

drive reduction is achieved by matching the behavior (impulsively buying the product in this case)

which results in post-purchase consumer regret later on.

8. DATA AVAILABILITY AND MATERIAL

Data involved in this study can be requested to the corresponding author.

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Khalid Mahmood is a Lecturer (in Marketing) at Department of Management Sciences,COMSATS University Islamabad, Vehari Campus & a Ph.D fellow at COMSATS University Lahore Campus. He has a decade of corporate sector experience in marketing & sales. His area of interest is Marketing & Psychology

Dr.Muhammad Amir Rashid is an Associate Professor & Head of HR at COMSATS Institue of Information Technology, Lahore, Pakistan. He holds an Master degree in Business Administration from University of the Lyceum, Philippines and a PhD degree in Management from Universiti Teknologi Malaysia. His researches are in the areas of Entrepreneurship, Marketing, Corporate Governance and Leadership.

Dr. Ghulam Hussain is an Assistant Professor at the Department of Management Sciences, COMSATS University Islamabad, Lahore Campus, Pakistan. His research interest includes leadership, entrepreneurship and quantitative analysis. He has published his research in reputed journals. He lectures on research methodology and quantitative analysis.


in this article are the property of their respective owners, using for identification and educational

purposes only. The use of them does not imply any endorsement or affiliation.

*Corresponding author (Masoud Hajialilue Bonab). E-mail: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12O http://TUENGR.COM/V10A/10A12O.pdf DOI: 10.6084/m9.figshare.10011650

1


http://TuEngr.com

PAPER ID: 10A12O

DETERMINATION OF SUB-SOIL SHEAR WAVE VELOCITY

( 𝑽𝑺 30) IN LAYERED SOIL WITH FEM IN RELATION TO

APPROXIMATED AND ANALYTICAL RESULTS

Masoud Motalebian a, Masoud Hajialilue Bonab

b*, Mohammad Davoudi

c

a Department of Civil Engineering, Science and Research Branch, Islamic Azad University, Tehran, IRAN. b Department of Civil Engineering, University of Tabriz, Tabriz, IRAN. c International Institute of Earthquake Engineering and Seismology, Tehran, IRAN.



Received 08 April 2019


July 2019



2019

Keywords:

Iranian Code of

Practice; Standard2800;

Modal Analysis; FEM;

Evolutionary

Polynomial Regression

(EPR); Numerical

geotechnical analysis;

Two-layered soil

profile; Three-layered

soil profile.

Determining the shear wave velocity of subsoil (Vs) is one of the

important parameters in the seismic design of structures. To determine the

equivalent shear wave velocity in layered soil (𝑉��), several approximated

relations and, in some cases, analytical ones have been proposed. The present

study aims to determine the equivalent shear wave velocity in the top 30

meters (𝑉��30) in single layer soil with variable shear modulus, and also in

two- and three-layered soil using numerical analysis. For the numerical

investigation, ABAQUS based on finite element method (FEM) was used

and modal analysis was performed by calculating the eigenvalues. The

obtained values were compared with analytical and other approximated

relations including the presented relation by the Iranian Code of Practice for

Seismic Resistant Design of Buildings (Standard2800). The results show

that, when the upper layers have smaller Vs than that of the lower layers,

Standard2800 relation presents smaller values than that of the numerical

results for the 𝑉��30. Also, when the lower layers have smaller Vs than that of

the upper layers, Standard2800 relation presents larger values. Also, an

absolute agreement was observed between numerical and analytical results

and Standard2800 relation has better consistency with numerical and

analytical results compared with other similar cases. In addition,

Evolutionary Polynomial Regression (EPR) was used to derive an accurate

model expressing 𝑉��30 in terms of dimensionless parameters in two-layered

soil.


1. INTRODUCTION It is obviously recognized that the effect of the site is the most important characteristic of ground

motion and has a well-known influence on the earthquake damage. During an earthquake, the ground

motion traits of the site are specifically affected by the soil deposits (Maheswari et al. 2008, Trifunac et

al. 2016). Shear wave velocity of soil (Vs) is regarded as the main parameter for site classification and


2 Masoud Motalebian, Masoud Hajialilue Bonab, Mohammad Davoudi

evaluation of earthquake hazard because of its great effect on the local ground motion amplification

(Seshunarayana & Sundararajan 2012). Vs has long been known as being a fundamental parameter for

considering the dynamic properties of soil and representing the stiffness of the soil layers and its relation

to the amplification of the ground (Roy and Sahu 2012).

In current engineering practice, consideration of the equivalent shear wave velocity ( ��𝑠 ) is

implemented by using different design spectra for different site classes specified in seismic codes (Street

et al. 1997). A variety of approximated relations have been proposed in order to determine ��𝑠 in

uniformed layered soil with a different height (Hi), shear wave velocity (Vsi), and density (ρi) that

overlying the rigid bedrock according to Figure 1 (Sawafa, 2004).

Figure 1: Soil layers with different height, shear wave velocity, and specific mass (Sawafa, 2004)

One of the recognized but simple relations soil is the identification of 𝑉�� based on the weighted

average of natural periods of different layers by Eq. 1 (Mohamed et al 2013).

1

1

( )

( / )

n

ii

S n

i ii

H

V

H Vs

(1)

This approximated relation has been used to determine 𝑉�� in most of the codes for the seismic

design of buildings including UBC97 (1997), IBC (2006), EuroCode08 (2008), NEHRP (2009), NBCC

(2011), and also Iranian Code of Practice for Seismic Resistant Design of Buildings (Standard2800)

(2014). Based on this relation, the arrangement of soil layers is not important for the calculation of the

𝑉��. In the Iranian Code of Practice for Seismic Resistant Design of Buildings (Standard 2800), based

on 𝑉�� in the top 30 meters of site (𝑉��30), soil can be classified into I, II, III and IV types in regard to

Table 1.

Table 1: Soil types based on 𝑉��30 (Standard2800, 2015)

Soil profile type Vs30

(m/sec)

I Vs30

>750

II 375<Vs30

≤750

III 175<Vs30

≤375

IV Vs30

≤175

Among those approximated relations used for determining ��𝑠, the method of the weighted average

of the shear wave velocity of soil layers (WAV) (Madera, 1971) can be calculated based on


3

1

1

1i

n

S ini

ii

Vs V H

H

(2).

This approximated relation has been used in Building Japanese Code (Estrada, 2004).

Another approximated relation used for determining ��𝑠 is based on the method of the weighted

average of the shear wave velocity of soil layers (WAV) (Vijayendra et al. 2015) can be calculated by

s

s

GVs

(3),

where ��𝑆 and ��𝑆 are the equivalent shear modulus and the equivalent density of soil, which

can be determined by Equations (4) and (5), respectively.

1

1

1 n

S i ini

ii

Gs G H

H

(4).

1

1

1 n

s si ini

ii

H

H

(5).

The term S iGis the shear modulus of each layer.

2. FINITE-ELEMENT MODELING AND BASELINE ANALYSIS MODEL

The present study aims to estimate the numerical value of the 𝑉��30 and compare the values obtained

from the relation proposed by Standard2800 (Eq. 1) for different soil layers. In some cases, some

analytical relations have been presented by researchers, which were also compared in order to give better

validation. Moreover, the results obtained from the approximated methods including WAM and WAV

were compared with the numerical and analytical results. Also, Evolutionary Polynomial Regression

(EPR) is used to derive an equation indicating 𝑉��30 in terms of dimensionless parameters for two-layered

soil.

For numerical investigation of the problem, finite elements software ABAQUS 6.12-3 was used.

The modal analysis was conducted by calculating the eigenvalues. Accordingly, the fundamental period

of the site including different layers (��) can be determined and the required 𝑉�� can be estimated by Eq.

6 (Roser and Gosar, 2010).

4S

HV

T

(6).

Parameter H is the total height of all the layers. In all the investigated cases in this paper, the total

height of the layers is assumed 30m and overlying rigid bedrock.

This research was conducted based on a two-dimensional model (plane strain). According to the

modal analysis, soil behavior was assumed as a linear elastic one. Figure 2a shows the meshed model of

the three-layered soil that is developed for modal analysis and the first vibration mode and the


corresponding frequency (output of FE) are illustrated in Figure 2b.

Figure2 a) A three-layered uniformed soil layer; meshed in ABAQUS (plane strain)

b) First vibration mode (along axis-x) obtained from the modal analysis

In the following different layers, arrangements were illustrated and the numerical and analytical

results were compared with Standard2800 and the other approximated and analytical relations.

3. 𝐕𝐒 30 IN A SINGLE-LAYERED SOIL WITH LINEAR VARIATIONS IN THE

SOIL SHEAR MODULUS

In a soil layer with height H overlying rigid bedrock with linear variations of shear modulus in

which the shear modulus of soil in upper and lower layers are 𝐺0 and 𝐺𝐻, respectively, ��𝑠 is equal to

the shear wave velocity of the soil at the depth of 𝑍𝑒𝑞. Based on Dobry et al. (1976) results, 𝑍𝑒𝑞 can be

calculated by the results of the partial Bessel's equations based on K value or according to Figure 3 (𝐾 =

√𝐺𝑂/𝐺𝐻). K>1.0 represents the decrease, while K<1.0 represents the increase in the shear modulus at

the depth of soil.

Figure 3: Determining the equivalent depth for the soil with linear variations of shear modulus

in depth (after Dobry et al. (1976)).

Although the relation proposed by the Standard2800 does not include in this case, VS of each layer


5

can be calculated and 𝑉�� can be estimated through the stairway classification of soil into several layers.

To this end, the soil with 30m high and linear variable shear modulus consists of 10 layers with 3m high

is considered and 𝑉��30 is estimated based on the Standard2800. The same process is also carried out in

numerical modeling. For different K values, the equivalent depth ratio (Zeq/H) is compared based on the

analytical and numerical methods, Standard2800 relation, WAM and WAV methods in Figure 4.

The results show an appropriate agreement between numerical and analytical results. Minor

differences between the results could be related to the linear variations of the shear modulus in the

analytical method and the stairway variations in the numerical modeling. The proposed relation by

Standard2800 predicts the equivalent depth, particularly due to the increase in the shear modulus at

depth which is not significantly lower than the obtained results of the numerical and analytical methods.

Figure4: Zeq/H with linear variations of shear modulus by different methods.

Figure 5: Soil profile with two different uniformed layers (ρA=ρB).

4. 𝐕𝐒 30 IN TWO-LAYERED SOIL

According to the analytical results the fundamental period (��) for a site consisting of two layers A

and B located on the rigid bedrock (Figure 5), with height and shear wave velocity of HA, HB, and VsA,

VsB respectively, can be calculated by Equation (7) (Oskay and Zeghal, 2011).

B

A

A

BBA

T

T

H

H

T

T

T

T)

2tan()

2tan(

(7),

where 𝑇𝐴 =4𝐻𝐴

𝑉𝐴 and 𝑇𝐵 =

4𝐻𝐵

𝑉𝐵 are respectively the fundamental period of layers A and B, in the

absence of other layers, and �� is the fundamental period of the two-layered soil, respectively. Having

T from the above equation and given Equation (6), 𝑉��30 can be calculated using Equation (8).

30 30

tan( ) tan( )2 2

B

A B A

SA B

S A B S A B S

VVs H Vs H

V H H V H H V

(8),


where HA+HB = H = 30m. Results obtained by the numerical method, analytical methods, the relation

proposed by the Standard2800, and other approximated methods are calculated and compared for a

two-layered soil for the following cases. Finally, Evolutionary Polynomial Regression (EPR) was used

to derive an accurate equation expressing 𝑉��30 in terms of dimensionless parameters. These results are

based on VsA=200m/s and can be generalizable for other dimensionless ratios.

4.1 A WEAK SOIL LAYER ON A STRONG LAYER WITH VARIABLE HEIGHT In this case, two soil layers with different heights with the total height of 30m were considered and

the effect of 𝐻𝐴

𝐻𝐴+𝐻𝐵 on

𝑉𝑆 30

𝑉𝑠𝐴 was investigated. Also, it was assumed that 𝑉𝑠𝐴 = 0.2𝑉𝑠𝐵.

The results (Figure 6) showed Srandard2800 which produced lower values for 𝑉��30, especially for

lower values of the ratio 𝐻𝐴

𝐻𝐴+𝐻𝐵. Moreover, there was an absolute agreement between results of the

numerical finite element method and the results of analytical analysis. The approximated relation in

Standard2800 had better consistency with the analytical results compared to the approximated methods

of WAM and WAV.

Figure 6: 𝑉𝑆 30

𝑉𝑠𝐴 with variable height.

HA=HB=15m and VsB= α×VsA

Results obtained for 𝑉𝑆 30

𝑉𝑠𝐴 showed that for α>1.0 (the weak layer on top), the Standard2800

provided lower values for the ratio of 𝑉��30 than those provided by analytical and numerical results and,

for α<1.0 (the weak layer in the bottom), the Standard2800 would result in higher values than those for

the analytical and numerical results. Also, the numerical results were completely in agreement with the

analytical results and the approximated relation proposed by the standard2800 had better consistency

compared to the approximated methods of WAV and WAM. (Figure 7).

HA=10m, HB=20m and VsB= α×VsA

The findings for 𝑉𝑆 30

𝑉𝑠𝐴 were in line with those of the previous case, however, the difference

between the results of the Standard2800 relation and the numerical analysis as well as analytical results

were more obvious for α >1.0 (Figure 8). In the present case, the approximated relation in the

Standard2800 had better consistency compared to the approximated WAV and WAM methods.


7

Figure 7 VS 30

VsA for HA=HB and different values of α.

Figure 8: VS 30

VsA for HA=0.5HB and different values of α.

Figure 9: VS 30

VsA for different values of α and HA/H

4.2 𝑽𝑺 30 IN TWO LAYERED SOIL WITH EPR MODELLING

Equation (8) is a closed-form equation and 𝑉��30/VA can be determined using Figure 9, directly.

Based on Figure 9, 𝑉𝑆 30

𝑉𝑠𝐴 can be expressed with a relation in terms of two dimensionless variables of α


and HA/H. This relation was derived using the Evolutionary Polynomial Regression (EPR). This

technique uses multi-objective genetic programming to derive regression equations by creating

symbolic models (Giustolisi and Savic, 2006). This technique was originally used for modeling

environmental phenomena, but later found applications in geotechnical engineering for predicting and

evaluating surface settlement (Rezania and Javadi, 2007), soil permeability characteristics and soil

compressibility (Ahangar-Asr et al. 2011) and liquefaction potential of sand (Shahnazari et al, 2013). In

this study, the problem was modeled using a software application with the EPR name, which has been

coded in MATLAB (Giustolisi and Savic, 2006).

When developing the model, two-thirds of the 270 available data instances were randomly chosen to

operate as training data and the remaining one-third was used as test data. This EPR modeling yielded

Equation (9), which expresses 𝑉𝑆 30

𝑉𝑠𝐴 as a function of dimensionless parameters of α and HA/H.

40.78 0.430

( )

1AH

H

A

Vse

Vs

(9)

where e is Euler's number. To examine the performance of the chosen model, statistical measures

including the correlation coefficient (R), the slope of the regression line in the plot of actual against

predicted values (k), and the slope of the regression line in the plot of predicted against actual values (k/)

were investigated. R, k and k/ obtained from Eq. 10 to 12, respectively. These values are presented in

Table 2 for training and test data (Rashed et al 2011).

1

2 2

1 1

( )( )

( ) ( )

N

i ii i

i

N N

i ii i

i i

h h t t

R

h h t t

(10)

1

2

1

( )N

i i

i

N

i

i

h t

k

h

(11)

/ 1

2

1

( )N

i i

i

N

i

i

h t

k

t

(12)

Where hi and ti are, respectively, the numerical and predicted results for data instance i; ih and it are

the mean values of numerical and predicted results, and N is the number of samples. The closer R, k and

k/ the values close to 1, the higher the accuracy of model predictions (Rashed et al 2011) is. Based on a

rational hypothesis, Smith (1986) has suggested that 0.8R

indicates strong proximity between

actual and predicted values. Golbraikh and Tropsha (2002) have suggested that for a model to be

suitable, either k or k/ should be between 0.85 and 1.15. As seen in Table 2, the results obtained for

training and test data show acceptable proximity, which reflects the suitable accuracy of the derived


9

equation.

Table 2: Evaluation of VS 30

VsA estimation model

Data Type Number number k/ k R

Trained 180 1.0462 0.9135 0.9744

Tested 90 1.0587 0.9138 0.9594

All 270 1.0507 0.9136 0.9654

5. 𝑽𝑺 30 IN THREE-LAYERED SOIL

In this case, three layers with the height of 10m were modeled and the shear wave velocity of upper,

middle, and lower layers was assumed to be Vs

α, Vs, and α×Vs, respectively (Figure 10). According to

Figure 11, the results showed that, for α>1.0 (increase in the Vs in the lower layers), the Standard2800

presented lower values for the 𝑉��30 and, for α<1.0 (decrease in the Vs in lower layers), the Standard2800

presented higher values. Based on the Standard2800, an arrangement of the layers had no effect on the

𝑉�� and the values would be equal to α=0.5 and α=2.0. This assumption was not valid for the numerical

results.

Also, the results obtained through WAM and WAV methods had significant and marked differences

compared to those of the numerical results. These results are based on Vs=200m/s and can be

generalizable for other dimensionless ratios.

Figure 10: A three-layered uniformed soil with different shear wave velocity.

Figure 11: 𝑉𝑠 30

𝑉𝑠 for different values of α.

6. 𝑽𝑺 30 IN A WEAK SOIL LAYER BETWEEN A STRONG LAYER

In this case, according to Figure 12, a soil layer with the height of H=30m and shear wave velocity

of VS was assumed in which a weak layer with a height of 2m and shear wave velocity of 0.1Vs was

located. In this condition, the effect of depth of the weak layer (H1) was investigated on the soil.

According to the Standard2800, apart from the depth of this weak layer, the equivalent shear wave


velocity in the top 30 meters was equal to 𝑉��30= 0.625𝑉. It represented 𝑉��

30 = 0.940𝑉 and 𝑉��30 =

0.966𝑉 for WAV and WAM methods, respectively. However, the obtained numerical results revealed

that 𝑉𝑠 30

𝑉𝑠 decreases with an increase in

𝐻1

𝐻 (Figure 13). To put simply, when the weak layer was near

the surface of the ground, the numerical results led to lower values, while in the case in which the weak

layer was at the depth of the soil, the results presented higher values for the 𝑉��30 . Also, WAV and WAM

methods produced higher values for the 𝑉��30. These results are based on Vs=200m/s and can be

generalizable for other dimensionless ratios.

Figure 12: A weak layer in the middle of the strong layer.

Figure 13: 𝑉𝑠 30

𝑉𝑠 for different values of

𝐻1

𝐻.

7. 𝑽𝑺 30 IN THREE-LAYERED SOIL PROFILE WITH DIFFERENT

ARRANGEMENTS

In order to investigate the soil arrangement in 𝑉��30 in regard to Figure 14, three-layered soil profile

with 3 various arrangements a, b, and c was modeled. The only existed difference between these three

cases was an alteration in arrangement of them. Also, the height of each layer was assumed 10m in all

cases. According to standard2800, in each case 𝑉��30 = 284 𝑚/𝑠 and in these three cases, the site is

TYPE III (Table 3). However, based on the findings of numerical analysis, 𝑉��30 was distinct for every

type and presented different site types for each of them. In line with the results obtained from numerical

analysis, to what extent a softer layer was in the depth of soil, 𝑉��30 would provide lower value.


11

Figure 14: Three-layered soil profile with different arrangements.

Table 3. comparing the 𝑉𝑆 30 based on Standard2800 and numerical results.

Numerical Standard2800 (Equation (1)) Case

Ground Type 𝑉𝑆30 (m/s) Ground Type 𝑉𝑆

30 (m/s)

II 378 III 284 a

III 230 III 284 b

IV 173 III 284 c

8. CONCLUSION The numerical investigation of the conducted research for determining 𝑉��

30 based on the finite

element method and the comparison with the proposed relation by Standard2800, analytical results, and

other approximated methods showed that:

o In soil with linear variable shear modulus, comparison of the results obtained from the analytical

method and the proposed relation by most of the building codes including Standard2800 indicated a

significant difference in the 𝑉��30 values, particularly for increasing high linear variations in the shear

modulus.

o For a two- (three-) layered soil where the Vs increased in low layer(s), 𝑉��30 obtained from

Standard2800 was lower than that of the numerical and analytical results. But, by assuming a

decrease in Vs in the lower layers, the proposed relation in Standard2800 presented lower values for

𝑉��30 than that of the numerical and analytical results.

o For the case when a weak soil layer was assumed, according to the Standard2800, the depth of this

layer had no effect on 𝑉��30. But, the numerical results showed that the closer this layer was to the

surface, the higher the 𝑉��30 would be shown and location of this layer at the depth of the ground

would decrease 𝑉��30. A comparison of the numerical results with the values obtained from the

relation in the Standard2800 showed a significant difference in this case.

o Although approximated methods of determining 𝑉��30 using the weighted average of shear wave

velocity (WAV) and modulus (WAM) have relatively simple relations, same as the weighted

average of periods (proposed relation in Standard2800), this relation had better consistency with

numerical and analytical results in above cases.

o In this paper, a complete agreement was observed between the numerical and analytical results. The

only minor difference was observed in the soil with variable shear modulus, which could be

attributed to the linear variations of the shear modulus in the analytical method and the stairway

variations in the numerical method. Obviously, it is possible to achieve a complete agreement

between the numerical and analytical results by increasing the number of layers in this case.

Evolutionary Polynomial Regression (EPR) was used to derive an equation expressing 𝑉��30 in

terms of dimensionless parameters for two-layered soil. The statistical measures showed an acceptable


correlation for the derived model.

9. AVAILABILITY OF DATA AND MATERIAL

Relevant information is available by contacting the corresponding author.

10. REFERENCES

Ahangar-Asr. A., Faramarzi., A. Mottaghifard. and Javadi. A.A. (2011). Modeling of Permeability and

Compaction Characteristics of Soils Using Evolutionary Polynomial Regression. Computers and

Geosciences, 37(11), 1860-1869.

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Soil Profile. Bulletin of the Seismological Society of America, 66(4), 1293-1321.

Estrada, G. (2004). Analysis Of Earthquake Site Response And Site Classification For Seismic Design

Practices. Proceeding of the 5th World Conference on Conference on Recent Advances in

Geotechnical Earthquake Engineering and Soil Dynamics, San Diego.

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Centre; Ispra, Italy.

Giustolisi. O. and Savic. D. (2006). A Symbolic Data-Driven Technique Based on Evolutionary

Polynomial Regression. Journal of Hydroinformatics, 8(3), 207-222.

Golbraikh. A. and Tropsha. A. (2002). Beware of q2!. Journal of Molecular Graphics and Modelling, 20(4),

269–276.

IBC (2006), International Building Code. International Code Council; Illinois, USA.

Madera, G. A. (1971). Fundamental Period and Amplification of Peak Acceleration in Layered Systems.

Report No. R70-37; Department of Civil Engineering, Massachusetts Institute of Technology,

Cambridge, USA.

Maheswari, U., Boominathan, A. and Dodagoudar, G. (2008). Development of Empirical Correlation

Between Shear Wave Velocity and Standard Penetration Resistance in Soils of Chennai City.

Proceeding of the 14th World Conference on Earthquake Engineering, Beijing, China, October.

Mohamed. A., Abuelata, A., Abdelazim. F. and Tahaa. M. (2013). Site-specific shear wave velocity

investigation for geotechnical engineering applications using seismic refraction and 2D

multi-channel analysis of surface waves. NRIAG Journal of Astronomy and Geophysics, 2(1),

88-101.

NBCC. (2011). National Building Code of Canada, National Research Council Canada; Ottawa Canada.

NEHRP. (2009). National Earthquake Hazards Reduction Program, Recommended Seismic Provisions for

Seismic Regulations for New Buildings and Other Structures. Building Seismic Safety Council of

the National Institute of Building Sciences; Washington, USA.

Oskay, C. and Zeghal, M. (2011). A survey of geotechnical system identification techniques. Soil Dynamics

and Earthquake Engineering, 31(4), 568–582.

Rashed, A., Bolouri. B. and Alavi. H. (2011). Nonlinear modeling of soil deformation modulus through

LGP-based interpretation of pressuremeter test results. Engineering Applications of Artificial

Intelligence, 25(2), 1437-1449.

Rezania, M. and Javadi, A. A. (2007). A New Genetic Programming Model for Predicting Settlement of

Shallow Foundations. Canadian Geotechnical Journal, 44(12), 1462-1473.

Roser, J. and Gosar. A., (2010). Determination of VS30 for Seismic Ground Classification in Ljubljana

Area, Slovenia. Geotechnica Slovenia, 1(2), 61-67.


13

Roy, N. and Sahu, R.B. (2012). Site Specific Ground Motion Simulation and Seismic Response Analysis

for Microzonation of Kolkata. Geomechanics and Engineering, 4(1), 1-18.

Sawafa, S. (2004). A Simplified Equation to Approximate Natural Period of Layered Ground on the Elastic

Bedrock for Seismic Design of Structures. Proceeding of the 13th World Conference on

Earthquake Engineering, Vancouver, Canada, August.

Seshunarayana, T. and Sundararajan, N. (2012). Determination of shear wave velocity and depth to

basement using multichannel analysis of surface wave technique. Journal of the Geological Society

of India, 80(4), 499–504.

Shahnazari, H. Shahin and Tutunchian, M. (2013). Evolutionary-based approaches for settlement prediction

of shallow foundations on cohesionless soils. International Journal of Civil engineering, 12(1),

55-64.

Smith, G.N. (1986). Probability and Statistics in Civil Engineering. Collins, London.

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Building and Housing Research Center; Tehran, Iran (In Persian).

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response spectra and seismic coefficients for building code provisions in western Kentucky.

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Earthquake Engineering, 90(1), 88-100.

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Masoud Motalebian is a PhD candidate in Geotechnical Engineering, University of Islamic Azad University, Science and Research Branch, Tehran, Iran. He a researcher in Civil Engineering field. He is interested in Geotechical Engineering.

Professor Dr.Masoud Hajialilue Bonab is Professor at Faculty of Civil Engineering, University of Tabriz, Iran. He holds a PhD degree in Geotechnical Engineering from University of Caen, Laboratoire Centrel des Ponts et Chausses (LCPC), France. His research is Computational Geomechanics, Soil Engineering Behaviors, Soil-Cement, and Applications in Civil Engineering.

Dr.Mohammad Davoudi is an Assistant Professor of Geotechnical Engineering Research Center, International Institute of Earthquake Engineering and Seismology, Iran He has a PhD degree in Geotechnical Earthquake Engineering, International Institute of Earthquake Engineering and Seismology, Iran. He is interested in Foundation Engineering & Geotechnical Structures.

*Corresponding author (Saeid Abbasbandy). Tel: +98-912-1305326 Email: [email protected] ©2019 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12P http://TUENGR.COM/V10A/10A12P.pdf DOI: 10.6084/m9.figshare.11110514

1


http://TuEngr.com

PAPER ID: 10A12P

SOLVING FUZZY FRACTIONAL DIFFERENTIAL

EQUATIONS BY ADOMIAN DECOMPOSITION

METHOD USED IN OPTIMAL CONTROL THEORY

Sahar Askari a

, Tofigh Allahviranloo b

, Saeid Abbasbandy c*

a Department of Mathematics, Science and Research Branch, Islamic Azad University, Hamedan, IRAN.

b Faculty of Engineering and Natural Sciences, Bahcesehir University, Istanbul, TURKEY.

c Department of Mathematics, Faculty of Science, Imam Khomeini International University, Gazvin 34194-288, IRAN.


A B S T R A C T

Article history: Received 20 May 2019 Received in revised form 23

July 2019



Keywords: Fuzzy Caputo fractional

differential equation; Fractional calculus; Convergence theorem; Fuzzy fractional differential equation (FFDE).

In this paper, the Adomian decomposition method (ADM) is used to

solve the fractional differential equations under Caputo derivative. This

study reviews basic definitions of fuzzy set and fractional calculus. This

work studies and discusses Adomian decomposition method under Fuzzy

fractional Caputo derivative. Since the ADM approximates the exact

solution as an infinite series, then the convergence theorem is considered

with successive iterations. For illustration, an example is given to

compare between exact and approximate solutions. The uniformly

convergence of sequence {𝑦𝑖(𝑡)} with various types of differentiability to

the exact solution is proved.


INTRODUCTION 1.Fractional calculus is a benefit branch in mathematics, chemistry, optics, control theory,

engineering and etc that have studied in recent years. Fractional calculus was slowly prepared at first, but

it has been a powerful implement in various applications. Fuzzy fractional differential equations is

casted by Agarwal et al. (2010). They have drafted the Riemann-Liouville differentiability concept

under the Hukuhara differentiability to solve fuzzy fractional differential equations. In Arshad &

Lupulescu (2011) and Allahviranloo (2005), the existence and uniqueness are proved for solutions of

fuzzy fractional differential equations under Riemann-Liouville differentiability. Allahviranloo et al.

(2014) proved the existence and uniqueness results for fuzzy fractional integral and Integra-differential

equations involving Riemann-Liouville differential operators. The famous used method in solving

fractional differential equations is the Caputo fractional derivative. Based on generalized Hukuhara

derivative (2001), the opinion of fractional Caputo derivative is introduced in Armand & Gouyandeh

(2013), afterwards fuzzy fractional differential equations are investigated under this kind of


2 Sahar Askari, Tofigh Allahviranloo, Saeid Abbasbandy

differentiability. Allahviranloo et al. in 2009 proved the existence and uniqueness solution of fuzzy

fractional differential equations (FFDEs) under Caputo’s gH-differentiability.

In the present paper, we attempt an analytical method to solve FFDEs. To this end, we adopted the

Adomian decomposition method (ADM) to solve FFDEs. The Adomian decomposition method (ADM)

can be used to solve various mathematical models or system of equations involving algebraic equations,

differential equations, Integra-differential equations and linear or non-linear equations (Adomian 1988;

Adomian, 1994; Abbaoui & Cherruault, 1994; Wazwaz, 2001; Wazwaz, 2005). In Wazwaz (2001)

ADM has employed for solving non-linear fractional differential equations. Specifically, in

Daftardar-Gejji & Jafari (2005) and Jafari & Daftardar-Gejji (2006) ADM has used for solving systems

of fractional differential equations (linear and nonlinear). Convergence of Adomians method has been

studied in (Abdelrazec & Pelinovsky, 2011; Abbaoui & Cherruault, 1994; Ghanbari & Nuraei, 2014;

Hosseini & Nasabzadeh, 2006).

PRELIMINARIES 2.

In this section we present some definitions and useful concepts of fractional calculus and fuzzy set.

Let us consider ℜ𝐹 be a set of all fuzzy numbers on ℜ.

Definition 2.1. A fuzzy number is a map 𝑢: ℜ → [0,1] which satisfies (Zimmermann, 1991)

i. u is upper semi-continuous.

ii. u is fuzzy convex, i.e., 𝑢(𝜆𝑥 + (1 − 𝜆)𝑦) ≥ 𝑚𝑖𝑛{𝑢(𝑥), 𝑢(𝑦)}for all 𝑥, 𝑦 ∈ ℜ, 𝜆 ∈

[0,1].

iii. u is normal, i.e., ∃𝑥0 ∈ ℜ; 𝑢(𝑥0) = 1.

iv. 𝑠𝑢𝑝𝑝 𝑢 = {𝑥 ℜ|𝑢(𝑥) > 0} is the support of the 𝑢 , and its closer (𝑠𝑢𝑝𝑝 𝑢) is

compact.

The metric structure is given by the Hausdorff distance.

𝐷: ℜ𝐹 × ℜ𝐹 → ℜ+⋃{0},

𝐷(𝑢, 𝑣) = 𝑠𝑢𝑝𝛼∈[0,1]𝑚𝑎𝑥{|𝑢(𝛼) − 𝑣(𝛼)|, |𝑢(𝛼) − 𝑣(𝛼)|}.

(ℜ𝐹, 𝐷) is a complete metric space and the following properties are well known: (Ghanbari &

Nuraei, 2014).

i. 𝐷(𝑢⨁𝑤, 𝑣⨁𝑤) = 𝐷(𝑢, 𝑣) ∀ 𝑢, 𝑣, 𝑤 ∈ ℜ𝐹

ii. 𝐷(𝑢⨁𝑤, 0) = 𝐷(𝑢, 0) + 𝐷 (𝑣, 0 ) ∀𝑢, 𝑣 ∈ ℜ𝐹

iii. 𝐷(𝑢⨁𝑤, 𝑤⨁𝑧) ≤ 𝐷(𝑢, 𝑤) + 𝐷(𝑣, 𝑧) ∀ 𝑢, 𝑣, 𝑤, 𝑧 ∈ ℜ𝐹

iv. 𝐷(𝜆. 𝑢 , 𝜆. 𝑣) = |𝜆|𝐷(𝑢, 𝑣) ∀ 𝑢, 𝑣 ∈ ℜ𝐹 𝜆 ∈ ℜ𝐹

Definition 2.2. The generalized Hukuhara difference of two fuzzy numbers

(gH-difference for short) is defined as follows (Bede & Stefanini, 2013):

𝑢 ⊖𝑔𝐻𝑣=𝑤 ⇔{

(𝑖) 𝑢=𝑣⊕𝑊,(𝑖𝑖) 𝑣=𝑢⨁(−1)𝑤.

Definition 2.3. The generalized Hukuhara derivative of a fuzzy-valued function 𝑓: (𝑎, 𝑏) → ℜ𝐹 at

𝑥0 is defined as (Stefanini & Bede, 2009)

Fvu ,



3

00 lim)()( hgH xf

�)( 0 hxf

⊖)( 0xfgH

ℎ

Also, we say that

i. f is [(𝑖) − 𝑔𝐻] differentiable at 𝑥0 if

(𝑓)𝑔𝐻′ (𝑥0; 𝛼) = [𝑓−

′ (𝑥0, 𝛼), 𝑓+′ (𝑥0, 𝛼)], 0 ≤ 𝛼 ≤ 1.

ii. f is [(𝑖𝑖) − 𝑔𝐻] differentiable at 𝑥0 if

o (𝑓)𝑔𝐻′ (𝑥0; 𝛼) = [𝑓∓

′ (𝑥0, 𝛼), 𝑓−′ (𝑥0, 𝛼)], 0 ≤ 𝛼 ≤ 1.

Definition2.4. Let 𝑃𝑘(ℜ𝐹) denote the family of all nonempty, compact and convex

subsets of and define the addition and scalar multiplication in 𝑃𝑘 (ℜ𝑛) is usual (Armand

& Gouyandeh, 2013). A mapping 𝑓: 𝐼 → ℜ𝑛 is strongly measurable, if for all 𝛼 ∈ [0,1] the

set-valued mapping 𝑓𝑛: 𝐼 → 𝑃𝑘(ℜ𝑛) defined by

𝑓𝛼(𝑡) → [𝑓(𝛼)]𝑡

Is Lebesgue measurable, when 𝑃𝑘 (ℜ𝑛) is endowed with the topology generated by the Hausdorff

metric D.

Definition 2.5. A mapping 𝑓: 𝐼 → ℜ𝑛 is called integrably bounded if there exists an

integrable function h such that ‖𝑥‖ ≤ ℎ(𝑡) for all 𝑥 ∈ 𝑓0(𝑡) (Armand & Gouyandeh, 2013).

Definition 2.6. A strongly measurable and integrably bounded mapping 𝑓: 𝐼 → ℜ𝑛 is said

to be integrable over I if ∫ 𝑓(𝑡)𝑑𝑡 ∈ ℜ𝐹𝑡 (Armand & Gouyandeh, 2013).

Definition 2.7. Let 𝑓: [𝑎, 𝑏] → ℜ𝑛 . The fuzzy fractional Riemann-Liouville integral of

fuzzy-valued function f is defined as follows (Abasbandy et al., 2012)

(𝐽𝑎𝑣𝑓)(𝑥) =

1

Γ(𝑣)∫ (𝑥 − 𝑡)𝑣−1𝑥

𝑎𝑓(𝑡)𝑑𝑡,

for 0 ≤ 𝑉 ≤ 1. For V=1, we set 𝐼𝑎𝑙 = 𝐼, the identity operator.

Let us denote 𝐶𝐹[𝑎, 𝑏] as the space of all continuous fuzzy-valued functions on[𝑎, 𝑏].

Also, we denote the space of all integrable fuzzy-valued functions on interval [𝑎, 𝑏] by

𝐿𝐹[𝑎, 𝑏]Let 𝑓𝑔𝐻(𝑛)

∈ 𝐶𝐹[𝑎, 𝑏] ∩ 𝐿𝐹[𝑎, 𝑏], thus the fuzzy gH -fractional Caputo differentiable of

fuzzy-valued function 𝑓(𝐶𝐹 [𝑔𝐻]-differentiable for short) is defined as following.

Definition 2.8. Consider 𝑓: [𝑎, 𝑏] → ℜ𝑛 . Fractional derivative of under generalized

Hukuhara differentiability in the Caputo sense is defined as (Abasbandy et al., 2012)

(gH𝐷∗𝑣𝑓)(𝑥) =

1

Γ(𝑛−𝑣)∫ (𝑥 − 𝑡)𝑛−𝑣−1𝑓𝑔𝐻

(𝑛)(𝑡)𝑑𝑡, 𝑛 − 𝑖 < 𝑣 ≤ 𝑛, 𝑛 ∈ 𝑁, 𝑥 > 𝑎𝑥

𝑎

Also we say that f is CF

[(𝑖) − 𝑔𝐻]-differentiable at if

(gH𝐷∗𝑣𝑓)(𝑥0; 𝛼) = [(𝐷∗

𝑣𝑓−)(𝑥0; 𝛼), (𝐷∗𝑣𝑓+)(𝑥0; 𝛼)] 0 ≤ 𝛼 ≤ 1 (1)

And so f is CF

[(𝑖𝑖) − 𝑔𝐻]-differentiable at 𝑥0 if

(gH𝐷∗𝑣𝑓)(𝑥0; 𝛼) = [(𝐷∗

𝑣𝑓+)(𝑥0; 𝛼), (𝐷∗𝑣𝑓−)(𝑥0; 𝛼)] 0 ≤ 𝛼 ≤ 1 (2)

In this paper, we only consider CF

[𝑔𝐻]-differentiable of order 0 ≤ 𝑉 ≤ 1 for fuzzy-valued

n

f

0x


function f. Furthermore

(𝐷∗𝑣𝑓−)(𝑥0; 𝛼)=

1

Γ(1−𝑣) ∫

(𝑓−)′(𝑡,𝛼)𝑑𝑡

(𝑥−𝑡)𝑣

𝑥

𝑎

And

(𝐷∗𝑣𝑓+)(𝑥0; 𝛼)=

1

Γ(1−𝑣) ∫

(𝑓+)′(𝑡,𝛼)𝑑𝑡

(𝑥−𝑡)𝑣

𝑥

𝑎

So

(gH𝐷∗𝑣𝑓)(𝑥; 𝛼) =

1

𝛤(1−𝑣)[min {∫


(𝑥−𝑡)𝑣

𝑥

𝑎, ∫


(𝑥−𝑡)𝑣

𝑥

𝑎} , 𝑚𝑎𝑥 {∫


(𝑥−𝑡)𝑣

𝑥

𝑎, ∫


(𝑥−𝑡)𝑣

𝑥

𝑎}]

Lemma 2.1. Suppose that 𝑓: [𝑎, 𝑏] → ℜ𝐹 be a fuzzy-valued function and 𝑓𝑔𝐻′ ∈ 𝐶𝐹[𝑎, 𝑏] ∩

𝐿𝐹[𝑎, 𝑏] Then (Allahviranloo et al., 2013) 𝐽𝑎𝑣(gH𝐷∗

𝑣𝑓(𝑥))(𝑥) = 𝑓(𝑥) ⊝ 𝑔𝐻𝑓(𝑎), 0 ≤ 𝛼 ≤ 1.

ADOMIAN DECOMPOSITION METHOD UNDER FUZZY FRACTIONAL 3.

CAPUTO DERIVATIVE

Consider a fuzzy Caputo fractional differential equation with fuzzy initial value as follows

{( 𝑔𝐻𝐷∗

𝑣𝑦(𝑡)) = 𝐹(𝑡, 𝑦(𝑡)) = 𝐿𝑦(𝑡) + 𝑁𝑦(𝑡)

𝑦(𝑡0) = 𝑦0 ∈ ℜ𝐹

(3)

So that 0 ≤ 𝑉 ≤ 1 and 𝐹: [𝑎, 𝑏] × ℜ𝐹 → ℜ𝐹 is supposed to be continuous. Also gH𝐷∗𝑣

denote the generalized Hukuhara Caputo derivative of y(t) which must be determined. Also

is a linear operator and N represents the nonlinear operator.

The Adomian supposes that the unknown function y(t) can be written by a sum of

components as

𝑦(𝑡) = ∑ 𝑦𝑖 ,∞𝑖=0

And so, the nonlinear operator is represented by an in finite series as

𝑁(𝑡) = 𝐴(𝑡) = ∑ 𝐴𝑖,

∞

𝑖=0

Such that 𝐴𝑖(𝑡) are called Adomian’s polynomials, given as

𝐴𝑖 =1

𝑖!

𝑑𝑖

𝑑𝜆𝑖[𝑁(∑ 𝜆𝑗𝑦𝑗

∞𝑗=0 )]

𝜆=0 𝑖 = 0,1,2, ….

Finally to calculate terms of series∑ 𝑦𝑖∞𝑗=0 , we use the iterated scheme that explain in

theorem 3.1.

Lemma3.1. Let 𝑦𝑖, 𝑖 = 0,1,2, … , 𝑛 be fuzzy continuous functions. Thus

(gH 𝐷∗𝑣 ∑ 𝑦𝑖

𝑛𝑖=0 (𝑡)) = ∑ 𝐷∗

𝑣𝑦𝑖(𝑡).𝑛𝑖=0

Proof: We prove this lemma by mathematical induction and (i) -gH-differentiability.

L

)(tNy

.)()(

)(,)()(,)(

)()(,)()(

)()(,)()()()(

1*0*

11*00*

1*0*1*0*

10*10*10*

tyDtyD

tytyDtytyD

tyDtyDtyDtyD

tytyDtytyDtytyD

v

gH

v

gH

vv

vvvv

vvv

gH



5

Suppose that

Thus

Theorem 3.1. Assume that 𝑦(𝑡) = ∑ 𝑦𝑖∞𝑖=0 in Eq.(3.1), so that terms of series can be in the

various types of differentiability. We consider four cases in this theorem.

Case (I). Let 𝑦𝑖(t), ∀i (i = 0,1, … ) is (i)-gH-differentiable, then

𝑦0(𝑡) = 𝑦0(𝑡0)

𝑦𝑖(𝑡) = 𝐽𝑡0

𝑣 𝐿𝑦𝑖−1(𝑡)⨁ 𝐽𝑡0

𝑣 𝐴𝑖−1(𝑡). 𝑖 = 1,2, … (4)

Case (II). Let 𝑦𝑖(t), ∀i (i = 0,1, … ) is (ii)-gH-differentiable, then

𝑦0(𝑡) = 𝑦0(𝑡0)

𝑦𝑖(𝑡) = 0 ⊖ (−1)𝐽𝑡0

𝑣 𝐿𝑦𝑖−1(𝑡) ⊖ (−1) 𝐽𝑡0

𝑣 𝐴𝑖−1(𝑡). 𝑖 = 1,2, … (5)

Case (III). Let i is even, 𝑦𝑖(𝑡) is (i)-gH-differentiable and j is odd, 𝑦𝑗(𝑡) is

(ii)-gH-differentiable, then

(6)

Proof: Assume that 𝑦𝑖(t) 𝑖 = 0,1,2, … is continues function.

(I) Let 𝑦𝑖(t), ∀i (i = 0,1, … ) is differentiable as in Definition 2.3 (i).Thus

By the Riemann-Liouville integral of two side of above equation we have

).()(

)()(

))(())((

))(,())((

))(())((

00

*

1

0*

*

0,

0

*

0

*

00

0

00

00

00

tAJtLyJ

tNytLyJ

tyDJtyDJ

tytFJtyDJ

tyDJtyDJ

i

i

ti

i

t

t

igHt

i

gHt

tigHt

i

i

i

gHti

i

gHt

Now by Lemma (2.1) we obtain ⊝ ⊝

1

0

*

1

0

* ).()(n

i

i

v

gH

n

i

i

v

gH tyDtyD

n

i

i

v

gH

n

i

ni

v

gH

n

i

i

v

gH tyDtytyDtyD0

*

1

0

*

0

* ).()()()(

))(,()()(00

**

i

i

i

igHgH tytFtyDtyD

)(( 0 ty)([))(

1

00 tyty i

i

)]( 0tyi

),()(00

00tAJtLyJ i

i

ti

i

t


Thus by suppose that we find

𝑦0(𝑡) = 𝑦0(𝑡0)

𝑦𝑖(𝑡) = 0 ⊖ (−1)𝐽𝑡0

𝑣 𝐿𝑦𝑖−1(𝑡) ⊖ (−1) 𝐽𝑡0

𝑣 𝐴𝑖−1(𝑡). 𝑖 = 1,2, …

(II) Suppose that is differentiable as in Definition 2.3(ii).similar to proof

of (i), we have

,

Thus

⊝ ⊝

Therefor

𝑦0(𝑡) = 𝑦0(𝑡0)

𝑦𝑖(𝑡) = 0 ⊖ (−1)𝐽𝑡0

𝑣 𝐿𝑦𝑖−1(𝑡) ⊖ (−1) 𝐽𝑡0

𝑣 𝐴𝑖−1(𝑡). 𝑖 = 1,2, …

(III) Suppose that i is even, 𝑦𝑖 (𝑡) is differentiable according to Definition 2.3(i) and j is odd,

𝑦𝑗(𝑡) is differentiable as in Definition 2.3(ii). Thus

⊝ ⊝ ⊝

𝐽𝑡0

𝑣 ∑ 𝐿𝑦𝑗(𝑡)∞𝑗=0 ⨁𝐽𝑡0

𝑣 ∑ 𝐴𝑗∞𝑗=0 (𝑡).

Now we give

0~

)( ty j ⊝)()1( 10

tLyJ jt

⊝oddisjtAJ jt ).()1( 10

Therefor the proof is completed for even and odd indexes.

ADOMIAN DECOMPOSITION METHOD FOR SOLVING FUZZY CAPUTO’S 4.

FRACTIONAL DIFFERENTIAL EQUATIONS

Convergence of the ADM to the exact solution is established for many kinds of problems. For

instace, Fuzzy initial-value problems, Fuzzy linear systems, Boundary value problems, Partial

differential equations and etc. (Abdelrazec & Pelinovsky, 2011; Adomian, 1988; Adomian, 1994;

Abbaoui & Cherruault, 1994; Agarwal et al., 2010)

In this section we are going to show the uniformly convergence of the successive iterations in

theorem 3.1. into as an application of ADM. To this end, we need some Lemmas.

0~

)( 0 tyi

,...)1,0(,)( iityi

)()())(())(( 0*

1

0* 00tNytLyJtyDJtyDJ tigHt

i

gHt

)()1(( 00 ty)([))()1( 0

1

0 tyty i

i

)]()1( tyi

).()(00

00tAJtLyJ i

i

ti

i

t

)()(...))(())(())((00

2*1*0* 00000tAJtLyJtyDJtyDJtyDJ i

i

ti

i

tgHtgHtgHt

)(( 0 ty )()1(())( 0100 tyty ))()1( 1 ty )(( 2 ty ...))( 02 ty

)(ty

evenisitAJtLyJty

tyty

ititi ,)()(0~

)(

),()(

11

000

00



7

Lemma 4.1. Adomian’s polynomials are bounded. It means , that 𝐷 is Hausdorff

metric.

Proof:

𝑑𝑖

𝑑𝜆𝑖[𝑁(∑ 𝜆𝑗𝑦𝑗

∞𝑗=0 )]

𝜆=0 is a polynomial that for is bounded. Thus the proof is completed.

Remark 4.1. (𝑥 − 𝑠)𝑣−1 in fuzzy Riemann-Liouville integral is continuous and bounded. Thus we

suppose that ∫ |𝑥 − 𝑠|𝑣−1𝑡

𝑡0𝑑𝑠 ≤ 𝑁.

Theorem 4.1. Assume that Eq. (3.1) satisfies the following conditions

(i) In the linear terms for 𝑖 ≥ 1, 𝐷(𝐿𝑦𝑖(𝑡), 𝐿𝑦𝑖−1

(𝑡)) ≤ 𝑃 and 1 < 𝑃 < 𝑁−1 such that N is

explained in Remark 4.1 .

(ii) In the nonlinear terms for 𝑖 ≥ 1, 𝐷(𝐴𝑖(𝑡), 𝐴𝑖−1(𝑡)) ≤ 𝑀, and 1 < 𝑀 < 𝑃−1.

Then the successive iterations in theorem 3.1. are uniformly convergent to 𝑦(𝑡) on [t0, a].

Proof:

We prove the theorem for case (I). The proof of other cases is similar to case (I) that omitted here.

By hypothesis, for case (I) we get

(7).

Thus we get

(8).

With this manner we have

MtAD i )0~

),((

0~

,)(!

1

0~

,)(!

1)0

~),((

00

00

j

j

j

i

i

j

j

j

i

i

i

yNd

dD

i

yNd

d

iDtAD

0

.)(),(sup)(

)()(),()(sup)(

1

)()(),()()(

1

)()()(,)()()()(

1

)))()(()()(

1,))()(()(

)(

1))(),((

1

1

11

11

1

11

11

11

11

1

0

00

0

0

00

tytyDN

dssxtAtLytAtLyD

dssAsLysAsLyDsx

dssAsLysxsAsLysxD

dssAsLysxdssAsLysxDtytyD

nnatt

t

tnnnn

att

nnnn

t

t

nnnn

t

t

nn

t

tnn

t

tnn

)).(),((sup)(

))(),((sup 11

00

tytyDN

tytyD nnatt

nnatt


(9)

For , we get

(10)

From (4.4) and by hypothesis, we obtain

(11)

If we substitute (4.5) to (4.3) we will get

By hypothesis and since and , we can write

So this guarantee that the sequence {yn (t)} is convergence and if we denote 𝑦(𝑡) = lim𝑛→∞ 𝑦𝑛 (𝑡).

Then 𝑦(𝑡) satisfies Equation (3).

By reasoning similar to case (I) the uniformly convergence of sequence {yi (t)} to 𝑦(𝑡) is

established.

EXAMPLE 5.

We consider example has nonlinear part to illustrate the ADM.

Example: Let us consider the nonlinear FFDE

.]2,[)0(

0),()( 225.0

*

F

gH

y

ttttytD

The exact ])[( gHiCF -differentiable solutions is .)( tty

)).(),((sup)(

...))(),((sup)(

))(),((sup)(

))(),((sup

121

1

322

2

211

00

00

tytyDN

tytyDN

tytyDN

tytyD

attn

n

nnatt

nnatt

nnatt

1n

,)(),()(),()(

1

)()()(,)()()()(

1

))()(()()(

1,))()(()(

)(

1))(),((

0101

1

00

1

11

1

00

1

11

1

12

0

0

00

dssAsADsLysLyDsx

dssAsLysxsAsLysxD

dssAsLysxdssAsLysxDtytyD

t

t

t

t

t

t

t

t

.

)())(),((sup 12

0

NMPtytyD

att

).()(

)()())(),((sup

1

1

1

0

MPN

NMPNtytyD

n

n

n

n

nnatt

nPP nMM

,0)(

)()(lim

)()(

lim))(),((suplim 01

0

n

nn

n

nn

n

n

nnatt

n

MPNP

MPN

tytyD



9

From Formula (4), the approximate solutions expressed as

,...62114.14367.1)()5.0(

1)(

,4367.127324.1)()5.0(

1)(

,27324.112838.1)()5.0(

1)(

,12838.1)()5.0(

1)(

25.1

0

5.0

4

5.1

0

5.0

3

5.0

0

5.0

2

5.0

0

5.0

1

tdxxxtty

txdxxtty

tdxxxtty

tdxxtty

t

t

t

t

By ADM we have

0

25.15.0 ...62114.14367.112838.112838.1)()(i

i tttttyty

Figure 1 shows the exact and approximate solutions. With Comparison between them we can see a

good and acceptable converging of ADM.

Figure 1: Comparison between exact and approximate solutions.

CONCLUSION 6.

In this paper, we used the Adomian decomposition method (ADM) to obtain an approximation for

solution of fuzzy Caputo fractional differential equations. This method is so powerful and efficient that it

give approximations of higher accuracy. Also uniformly convergence of sequence {𝑦𝑖(𝑡)} with

various types of differentiability to the exact solution is proved.

REFERENCES 7.

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Allahviranloo, T., Armand, A., & Gouyandeh, Z. (2014). Fuzzy fractional differential equations under generalized fuzzy Caputo derivative. Journal of Intelligent & Fuzzy Systems, 26(3), 1481-1490.

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Daftardar-Gejji, V., & Jafari, H. (2005). Adomian decomposition: a tool for solving a system of fractional differential equations. Journal of Mathematical Analysis and Applications, 301(2), 508-518.

Ghanbari, M., & Nuraei, R. (2014). Convergence of a semi-analytical method on the fuzzy linear systems. Iranian Journal of Fuzzy Systems, 11(4), 45-60.

Goetschel Jr, R., & Voxman, W. (1986). Elementary fuzzy calculus. Fuzzy sets and systems, 18(1), 31-43.

Hosseini, M. M., & Nasabzadeh, H. (2006). On the convergence of Adomian decomposition method. Applied mathematics and computation, 182(1), 536-543.

Jafari, H., & Daftardar-Gejji, V. (2006). Solving linear and nonlinear fractional diffusion and wave equations by Adomian decomposition. Applied Mathematics and Computation, 180(2), 488-497.

Mohammed, O. H., & Khaleel, O. I. (2016). Fractional differential transform method for solving fuzzy integro-differential equations of fractional order. basrah journal of science, 34(2 A), 31-40.

Park, J. Y., & Han, H. K. (1999). Existence and uniqueness theorem for a solution of fuzzy differential equations. International Journal of Mathematics and Mathematical Sciences, 22(2), 271-279.

Park, J. Y., & Jeong, J. U. (1999). A note on fuzzy integral equations. Fuzzy Sets and Systems, 108(2), 193-200.

Puri, M. L., Ralescu, D. A., & Zadeh, L. (1993). Fuzzy random variables. In Readings in Fuzzy Sets for Intelligent

Systems(pp. 265-271). Morgan Kaufmann.

Shawagfeh, N. T. (2002). Analytical approximate solutions for nonlinear fractional differential equations. Applied Mathematics and Computation, 131(2-3), 517-529.

Stefanini, L., & Bede, B. (2009). Generalized Hukuhara differentiability of interval-valued functions and interval

differential equations. Nonlinear Analysis: Theory, Methods & Applications, 71(3-4), 1311-1328.

Wazwaz, A. M. (2001). Exact solutions to nonlinear diffusion equations obtained by the decomposition method. Applied Mathematics and Computation, 123(1), 109-122.

Wazwaz, A. M. (2005). Adomian decomposition method for a reliable treatment of the Emden–Fowler



11

equation. Applied Mathematics and Computation, 161(2), 543-560.

Cong-Xin, W., & Ming, M. (1991). Embedding problem of fuzzy number space: Part I. Fuzzy Sets and Systems, 44(1), 33-38.

Zimmermann, H. J. (1991). Fuzzy set theory–Its application, 2nd Editions. Dordercht: Kluwer Academic

Publishers.

Sahar Askari is a PhD. Student in Mathematics at IAU, Iran, Hamedan. Her recent research interests numerical solution

of Fuzzy Optimal Control.

Dr. Tofigh Allahviranloo is a professor of applied Mathematics at SRB-IAU,.Iran. He got his BS in Pure Mathematics from Tabriz University. He received his MS. And PhD in Computational and Applied Mathematics, from Azad University. His

research is related to Uncertain Mathematics, Uncertain Dynamical Systems, Decision Science, Fuzzy Systems.

Professor Dr. Saeid Abbasbandy is Professor at the Department of Mathematics, Imam Khomeini International University, Gazvin, Iran. He received a Master of Science degree and a PhD from Kharazmi University. His researches

encompasses Numerical Analysis, Homotopy Analysis Method.

*Corresponding author (S. Salajeghe). Email: [email protected] ©2019 International Transaction Journal of


ITJEA8 Paper ID:10A12Q http://TUENGR.COM/V10A/10A12Q.pdf DOI: 10.6084/m9.figshare.10316012 1


http://TuEngr.com

PAPER ID: 10A12Q

AN EDUCATIONAL EFFECTIVENESS MODEL DEVELOPMENT

BASED ON HUMAN RESOURCE STRATEGIES BY GROUNDED

THEORY IN DISTRICT 7 OF IRANIAN GAS TRANSMISSION

COMPANY

Behrooz Bigdeli Mojarad a*

, Sanjar Salajegheh b

a Department of Human Resources Management, Faculty of Public Administration, Kerman Branch, Islamic Azad University, Kerman, IRAN.

b Department of Governmental Management, Kerman Branch, Islamic Azad University, Kerman, IRAN.


A B S T R A C T

Article history:

Received 20 May 2019 Received in revised form 03

June 2019



2019

Keywords:

HRM; HR strategies;

Continuous education;

Educational

effectiveness; Practical

training; Teaching

methods; Grounded

theory.

This study developed an educational effectiveness model based on

human resource strategies by grounded theory in District 7 of the

Iranian Gas Transmission Company. In the qualitative section, 13

experts in District 7 were interviewed to collect data. The statistical

population included 221 employees and managers of District 7 of the

Iranian Gas Transmission Company. The results showed a positive and

significant relationship between organizational communication,

practical training, teaching methods, and continuous education and

educational effectiveness. There was a positive and significant

relationship between HR strategies and organizational communication.

There was a positive and significant relationship between HR strategies

and practical training. There was no significant relationship between

HR strategies and teaching methods. There was a positive and

significant relationship between HR strategies and continuous

education.


1. INTRODUCTION

One of the most important organizational components which can be effective in adapting,

surviving and developing organizations to achieve strategic goals is the training and improvement of

knowledge capital or human resources to provide an acceptable level of cognitive knowledge

(knowledge of what), advanced skills (knowledge of how) and systemic understanding (knowledge of

why) in human resources of the organization to address the problems limiting strategic goals

(Navehebrahim & Eidi, 2006). Training and improvement is a set of programmed efforts of an

organization to facilitate the learning of employees about their job competences in line with strategic


2 Behrooz Bigdeli Mojarad, Sanjar Salajegheh

goals (Noe, 2002). In order to estimate the educational needs and formulate the curriculum, the

questioning approach and an examination of what training people and departments need can be

transformed into the approach to address the problems of people and departments, and this is due to

the fact that people and departments should exactly estimate and suggest teachings based on the

problem. Thus, when need assessment begins with a strategic approach, educational effectiveness can

be determined in solving the problems which are based on training content and course (Bamberger et

al., 2014). Currently, organizations emphasize the provision of learning opportunities for employees

at different organizational levels; with increasing attention to education, expectations and demands

have also been promoted simultaneously. If previously training courses and employee attendance

appeared to be persuasive, currently training is expected to facilitate organizational goals. In addition

to training, therefore, educational system of organizations should consider the effectiveness of these

courses (Snell et al., 2015). In this regard, a curriculum can only explain its worth when it provides

credible and valid evidence of the effect of training in improving the performance of participants.

This refers to an important aspect of education, often referred to as educational effectiveness

(Ghahremani, 2003). In other words, value of education is measured as other organizational activities

through determining it to achieve organizational goals.

Currently, effectiveness is particularly important in administrative and educational

organizations, because in the current fast-paced world, organizations are able to survive which are

effective enough and able to achieve their predetermined goals more than ever. Most experts consider

effectiveness as the degree to which a goal is achieved; that is, in every action that is purposeful and

based on predetermined goals. Whatever it is closer to the predetermined goal and has been able to

achieve the goals, it will have a higher effectiveness than achieving the goals.

Unfortunately, most organizations greatly focus on and invest in educational effectiveness at the

final stage of the course; the greatest attention should be paid when education is considered as a

solution to the identified problem. Is teaching a solution? If the answer is yes, what requirements

should be taken into consideration for the more effective education from the first step? (Abili, 2009).

There are some conditions and factors which can affect the effective reduction or increase of training

courses. These factors include training course duration, training course content, training course

quality, learner experiences, job attitude, desire to learn new things, study skills, learner attitudes, job

counseling, equipment and facilities of training courses. Given the importance and place of education

and effort and desire to invest in the past and future plans, it is logical to present these training when

they are effective; it is essential to consider the effective factors, both positive and negative, to

promote them. It should be noted that the courses are effective when the content of these training

courses is consistent with needs of the organization. Hence, this study tends to develop an educational

effectiveness model based on human resources strategies in order to present and propose a suitable

and comprehensive model.

2. LITERATURE REVIEW

Human resource strategies: HR Strategy is defined as the arrangement and activities of the

planned human resources model for empowering the organization to achieve its goals.

Education: Education is an experience based on learning to make gradual and relatively stable




changes to improve the ability to do things. Typically, education can change the skills, knowledge,

attitudes, and social and organizational behavior.

Grounded theory: grounded theory is the process of theorizing certain observations in the form

of a more comprehensive theory; a theory that is developed in the everyday lives of human beings.

Through this method, a theory of everyday experiences, interactions, documents, literature, and

observations is derived by inductive method by systematic data collection and data analysis of

phenomena, discovered, developed and conditionally and temporarily approved. The grounded

theory involves methods and systematic analytical techniques and enables the researcher to create and

develop a theory with observation, generalizability, repeatability, accuracy, solidity and confirmation

(Corbin & Strauss, 2007). The grounded theory has the following components:

Axial category: is the original event resulting from interactions between different conditions.

Causal conditions: causal conditions are a set of events and conditions which affect the axial

category. Causal conditions are events that are prior to the original phenomenon.

Strategies: Strategies are targeted actions that provide solutions to the considered phenomenon and

result in consequences and outcomes.

Context background: background conditions are a set of conditions that provide the context of the

considered phenomenon and affect behaviors and actions.

Mediating conditions: are structural conditions that belong to the considered phenomenon and

affect the strategies. Mediating conditions limit or facilitate strategies within a particular context.

Outcomes: are the results of strategies and actions associated with the concerned phenomenon.

Outcomes appear wherever an action/reaction is selected in response to a problem or to manage and

maintain a position from an individual or individuals.

The categories extracted from raw data are related theoretically in the form of causal conditions

(causes of the main phenomenon), strategy (action or interaction to control, manage, deal with and

respond to the main phenomenon), context (effective context background in the strategy), mediating

conditions (effective general conditions in strategies), and outcomes (results of strategies) through

paradigmatic model (Figure 1) (Corbin & Strauss, 2007). According to Strauss and Corbin, if this

model is not used, the grounded theory will lack the precision and complexity required.

Figure 1: the grounded theory.

Noruzy et al. (2013) explored the mediating role of organizational learning and knowledge

management in the relationship between transformational leadership and performance in Iranian

Manufacturing organizations. The results of structural equation modeling showed that organizational

Context

Mediating conditions

Actions (strategies) Outcome

Causal

conditions

Axial

category or

phenomenon


learning processes have a direct, significant effect on organizational performance and have a

mediating role in the relationship between transformational leadership and organizational

performance.

3. MATERIALS AND METHODS

In terms of objective, this study can be considered a type of applied research. In the quantitative

section, the statistical population included 570 personnel and managers of the 7th district of the

Iranian Gas Transportation Company. Purposive and snowball sampling were used. In the qualitative

section, the statistical sample included 13 experts in District 7 of the Iran Gas Transportation

Company. The Cochran formula was used to determine the sample size. According to the Cochran

formula and statistical population (570 people), the sample consisted of 230 employees and managers

of 7th

district. A researcher-made questionnaire based on components extracted from the interviews

was used to measure variables of the grounded theory. In this study, α>0.7 was considered as a

suitable level for reliability of the instrument. Due to the application of mixed heuristic methods,

qualitative and quantitative data analyses were used according to requirements of the study. In the

qualitative section, data analysis involved theoretical coding (derived from grounded theory).

Analysis of the data obtained in this study was carried out separately. In other words, qualitative data

were analyzed using open, axial and selective coding and requirements for each of these steps. The

questionnaire was developed and used as a study tool distributing to collect quantitative data. To

analyze quantitative data, confirmatory factor analysis (CFA) was used to determine validity; path

analysis and Structural Equation Modeling (SEM) were used to test the model. In the quantitative

section, data was analyzed by CFA and path analysis using LISREL software as shown in

Chehrehpak et al. (2018). All three types of coding, including open coding based on the extracted

categories, axial coding and selective coding were used. The coding steps used included open coding

based on the categories extracted from the preliminary review of literature, axial coding, and selective

coding.

According to the conceptual model, the hypotheses included:

H1: there is a relationship between educational need assessment and HR strategies.

H2: there is a relationship between learner characteristics and HR strategies.

H3: there is a relationship between planning and HR strategies.

H4: there is a relationship between educational fit and HR strategies.

H5: there is a relationship between talent management and HR strategies.

H6: there is a relationship between job development and HR strategies.

H7: there is a relationship between employee motivation and HR strategies.

H8: there is a relationship between assessment, organizational communication, practical training,

teaching methods and continuous education.

H9: there is a relationship between employee participation and organizational communication,

practical training, teaching methods and continuous education.

H10: there is a relationship between organizational climate and organizational communication,


H11: there is a relationship between education support and organizational communication, practical

training, teaching methods and continuous education.

H12: there is a relationship between benchmarking and organizational communication, practical





H13: there is a relationship between lack of management support and organizational communication,


H14: there is a relationship between HR strategies and organizational communication, practical


H15: there is a relationship between organizational communication and educational effectiveness.

H16: there is a relationship between practical training and educational effectiveness.

H17: there is a relationship between teaching methods and educational effectiveness.

H18: there is a relationship between continuous education and educational effectiveness.

Figure 2: LISREL output for variables of causal conditions

[Educational need assessment (NA); Learner characteristic (SY); Planning (B); Educational fit (TA); Talent management

(ME); Job development (TS); Employee motivation (AK)].


4. RESULTS

4.1 CFA FOR VARIABLES OF CAUSAL CONDITIONS

CFA was used to validate the variables of causal conditions. Figure 2 reports factor loading. The

numbers on the paths are factor loads; all factor loads are greater than 0.3 with p-value<0.01.

According to LISREL output, the calculated χ2/df=1.86; χ

2/df<3 indicates fit of the model. Moreover,

root mean square error approximation (RMSEA) should be less than 0.08; in the presented model,

RMSEA=0.062. GFI, AGFI, CFI, and NFI should be more than 0.9, which are higher than 0.9 in the

model. Therefore, data is well fitted to factor structure of this scale, suggesting consistency of the

questions with variables of causal conditions.

4.2 CFA OF STRATEGIES

CFA was used to validate strategies. All factor loadings (Organizational communication;

Practical training; Teaching methods; Continuous education) was greater than 0.3 with p-value<0.01

(Figure 3). According to LISREL output, the calculated χ2/df=1.72; χ

2/df<3 indicates fit of the model.

Moreover, RMSEA should be less than 0.08; in the presented model, RMSEA=0.057. GFI, AGFI,

CFI, and NFI should be more than 0.9, which are higher than 0.9 in the model. Therefore, data is well

fitted to factor structure of this scale, suggesting consistency of the questions with strategies.

Figure 3: LISREL output for strategies

[Organizational communication (ES); Practical teaching (AM); Teaching methods (RA); Continuous education (AS)].




4.3 CFA OF VARIABLES OF CONTEXT

CFA was used to validate strategies. All factor loads (Assessment; Employee participation;

Education support; Organizational climate) was greater than 0.3 with p-value<0.01 (Figure 4). Fit

indices also were valid. According to LISREL output, the calculated χ2/df=1.79; χ

2/df<3 indicates fit

of the model. Moreover, RMSEA should be less than 0.08; in the presented model, RMSEA=0.060.

GFI, AGFI, CFI, and NFI should be more than 0.9, which are higher than 0.9 in the model. Therefore,

data is well fitted to factor structure of this scale, suggesting consistency of the questions with

variables of context.

Figure 4: LISREL output for variables of context

[Assessment (A); Employee participation (HA); Educational Support (MK); Organizational Climate (JS)].

Figure 5: LISREL output for mediating factors

[Benchmarking (OL); Lack of management support (AHM)].


4.4 CFA OF MEDIATING FACTORS

CFA was used to validate mediating factors. All factor loads (Benchmarking and Lack of

management support) are greater than 0.3 with p-value<0.01 (Figure 5). Findings related to fit indices

of mediating factors indicate that CFI=1, GFI=0.96, NFI=0.99 and RMSEA=0.052 are acceptable.

These indices show that the data is well fitted to factor structure of this scale, suggesting consistency

of the questions with mediating factors.

Figure 6: Standardized coefficients of the tested model (*p<0.05; **p<0.01).

4.5 FINAL MODEL

By validating the measurement instruments to identify the relationship between variables, the

next step is path analysis. Pearson correlation coefficient was used to identify the relationship

between variables in the model. Findings related to the correlation coefficient between the variables

indicate a positive and significant correlation between the variables. Figure 6 shows the tested model

with standardized values on each of the paths. Red numbers indicate insignificance of the paths. The

remaining coefficients are positive and significant.

Table 1 shows path coefficients and variance explained of the variables. As shown in Table 1, the

effect of organizational communication, practical training, teaching methods and continuous

education is positive and significant on educational effectiveness. The effect of educational needs

assessment, planning, educational fit, talent management, job development and employee motivation




is positive and significant on HR strategies. However, the effect of learner characteristics is not

significant on HR strategies. The effect of HR strategies, assessment, organizational climate and

education support is positive and significant on organizational communication.

Table 1: Results of path coefficients and variance explained (* p<0.05; ** p<0.01). Path Hypothesis Direct effect P-value Results Variance explained

On HR strategies vie:

Educational need assessment

Learner characteristics

Planning

Educational fit

Talent management

Job development

Employee motivation

H1

H2

H3

H4

H5 H6

H7

0.37**

0.09

0.21**

0.18*

0.37**

0.38**

0.23**

0.003

0.087

0.002

0.034

0.000

0.002

0.003

Accepted

Rejected

Accepted

Accepted

Accepted

Accepted

Accepted

51%

On organizational communications vie:

Assessment

Employee participation

Organizational climate Education support

Benchmarking

Lack of management support

HR strategies

H8

H8

H10

H11

H12

H13

H14

0.26** 0.19*

0.26**

0.26**

0.15*

-0.15*

-0.23**

0.002 0.044

0.005

0.004

0.001

0.039

0.004

Accepted Accepted

Accepted

Accepted

Accepted

Accepted

Accepted

29%

On educational effectiveness vie:

Organizational communication

Practical training

Teaching methods

Continuous education

H15

H16

H17

H18

0.31**

0.19*

0.40**

0.21**

0.001

0.026

0.001

0.003

Accepted

Accepted

Accepted

Accepted

33%

Table 2: Fit indexes of the fitted model Index Estimate Standard

χ2/df 1.91 <3

RMSEA 0.064 <0.08

GFI 0.93 >0.9

AGFI 0.91 >0.9

CFI 0.97 >0.9

NFI 0.95 >0.9

The effect of benchmarking and lack of management support is negative and significant on

organizational communication. However, the effect of employee participation was not significant on

organizational communication. The effect of HR strategies, assessment, employee participation,

organizational climate and education support is positive and significant on practical training. The

effect of benchmarking is negative and significant in practical training. However, the effect of lack of

management support was not significant in practical training. The effect of assessment and education

support is positive and significant in teaching methods. The effect of HR strategies, employee

participation and organizational climate is not significant on teaching methods. The effect of

benchmarking and lack of management support is negative and significant in organizational

communication. The effect of HR strategies, assessment, organizational climate and education

support is positive and significant on continuous education. The effect of employee participation is

not significant in continuous education. The effect of benchmarking and lack of management support

is negative and significant on continuous education. As shown in Table 1, the model explains 33% of

variance in educational effectiveness, 51% of variance in HR strategies, 29% of variance in


organizational communications, 36% of variance in practical training, 42% of variance in teaching

methods, and 56% of variance in continuing education. Fit indices show that RMSEA=0.064,

CFI=0.97, GFI=0.93, NFI=0.95 and AGFI=0.91 are acceptable and these goodness of fit indices

show that the data is well fit the model (Table 2).

5. HYPOTHESES RESULTS

Hypothesis 1: The results showed a positive and significant relationship between educational

needs assessment and HR strategies (p-value<0.01). Therefore, training needs assessment leads to the

improvement of HR strategies.

Hypothesis 2: The results showed no relationship between recognizing learner characteristics

and HR strategies (p-value>0.05). Therefore, recognizing learner characteristics does not lead to

improved HR strategies.

Hypothesis 3: The results showed a positive and significant relationship between planning and

HR strategies (p-value<0.01). Therefore, planning leads to improved HR strategies. This finding

indicates that educational planning, career path planning, scheduling of training implementation, and

human resource planning lead to improved HR strategies.

Hypothesis 4: The results showed a positive and significant relationship between educational fit

and HR strategies (p-value<0.05). Therefore, educational fit leads to improved HR strategies.

Hypothesis 5: The results showed a positive and significant relationship between talent

management and HR strategies (p-value<0.01). Therefore, talent management leads to improved HR

strategies.

Hypothesis 6: The results showed a positive and significant relationship between job

development and HR strategies (p-value<0.01). Thus, job development results in improved HR

strategies.

Hypothesis 7: The results showed a positive and significant relationship between employee

motivation and HR strategies (p-value<0.01). Employee motivation, therefore, leads to improved HR

strategies.

Hypothesis 8: The results showed a positive and significant relationship between assessment and

organizational communication, practical training, teaching methods and continuing education

(p-value<0.01). Therefore, evaluation leads to improved organizational communication, practical

education, teaching methods and continuing education.

Hypothesis 9: The results showed a positive and significant relationship between employee

participation and practical education (p-value<0.01) but there was no significant relationship between

employee participation and organizational communication, practical education and continuing

education. Therefore, employee participation leads to improved practical education.

Hypothesis 10: The results showed a positive and significant relationship between organizational

climate and organizational communication, practical education and continuing education

(p-value<0.01). Therefore, organizational climate leads to improved organizational communication,

practical education, and continuing education.

Hypothesis 11: The results showed a positive and significant relationship between support for

education and organizational communication, practical education and continuing education

(p-value<0.05). Therefore, support for education leads to improved organizational communication,




practical education, and continuing education.

Hypothesis 12: The results showed a negative and significant relationship between

benchmarking and organizational communication, practical education and continuing education

(p-value<0.01). Therefore, benchmarking leads to reduced organizational communication, practical

education, and continuing education.

Hypothesis 13: The results showed a negative and significant relationship between the lack of

management support and organizational communication and continuing education (p-value<0.01).

Therefore, lack of management support leads to reduced organizational communication and

continuing education.

Hypothesis 14: The results showed a positive and significant relationship between HR strategies

and organizational communication, practical education and continuing education (p-value<0.01).

Therefore, HR strategies lead to improved organizational communication, practical education, and

continuing education.

Hypothesis 15: The results showed a positive and significant relationship between organizational

communication and educational effectiveness (p-value<0.01). Therefore, organizational

communication leads to increased educational effectiveness.

Hypothesis 16: The results showed a positive and significant relationship between practical

training and educational effectiveness (p-value<0.05). Therefore, practical education leads to

increased educational effectiveness.

Hypothesis 17: The results showed a positive and significant relationship between teaching

methods and educational effectiveness (p-value<0.01). Therefore, teaching methods leads to


Hypothesis 18: The results showed a positive and significant relationship between continuous

education and educational effectiveness (p-value<0.01). Therefore, continuous education leads to


6. DISCUSSION

The most important activity of improvement and development of human resources is through

employee training. Therefore, the present study tended to present an educational effectiveness model

based on HR strategies by grounded theory in District 7 of the Iranian Gas Transportation Company.

To achieve this objective, the mixed method was used which consists of two qualitative and

quantitative parts. In the qualitative section, data was collected using interviews with experts; then,

data were analyzed using the grounded theory. The conceptual model was developed by Corbin and

Strauss (2007) approach. This model consists of focal phenomenon, causal conditions, context,

mediating factors, strategies, and outcomes. In response to causal conditions, educational need

assessment, learner characteristics, planning, educational fit, talent management, job development,

and employee motivation were extracted. In response to categories of assessment, employee

participation, organizational climate, and education support were extracted. In response to mediating

factors, benchmarking and lack of management support were extracted. In response to strategies,

organizational communication, practical training, continuous education, and teaching methods were


extracted. In response to outcomes, educational effectiveness was extracted. Then, the hypotheses

were developed based on the model.

In the quantitative section, SEM was used to test and validate the hypotheses and the model by

LISREL software. The model showed that the effect of organizational communication, practical

training, teaching methods, and continuous education is positive and significant on educational

effectiveness. The effect of educational needs assessment, planning, educational fit, talent

management, job development, and employee motivation is positive and significant on HR strategies.

However, the effect of learner characteristics is not significant in HR strategies. The effect of HR

strategies, assessment, organizational climate and education support is positive and significant on

organizational communication. The effect of benchmarking and lack of management support is

negative and significant in organizational communication. However, the effect of employee

participation is not significant in organizational communication. The effect of HR strategies,

assessment, employee participation, organizational climate and education support is positive and

significant on practical training. The effect of benchmarking is negative and significant in practical

training. However, the effect of lack of management support was not significant in practical training.

The effect of assessment and education support is positive and significant in teaching methods. The

effect of HR strategies, employee participation and organizational climate is not significant on

teaching methods. The effect of benchmarking and lack of management support is negative and

significant in organizational communication. The effect of HR strategies, assessment, organizational

climate and education support is positive and significant on continuous education. The effect of

employee participation is not significant in continuous education. The effect of benchmarking and

lack of management support is negative and significant on continuous education. Comparison of the

results with previous studies shows that these findings are consistent with Nassiri et al (2013), Hojjati

et al (2013), Ahanchian and Zohourparandeh (2010), Aragon, James and Walle (2014), Cho, Song,

Yun, and Lee (2013) and Winfred et al (2003).

Finally, the fit indices obtained for evaluating the tested model showed that RMSEA=0.056,

CFI=0.97, GFI=0.93, NFI=0.95 and AGFI=0.91 are acceptable and these goodness of fit indices

show that the data well fit the model and the educational effectiveness model based on HR strategies

can be applied in the District 7 of the Iranian Gas Transportation Company.

Results showed that educational need assessment had a positive and significant effect on HR

strategies. Therefore, officials and managers of District 7 of the Iranian Gas Transmission Company

are suggested to identify the weaknesses in the areas in need of training and examine the training

needs of employees. Moreover, planning has a positive and significant effect on HR strategies.

Therefore, officials and managers are suggested to plan for education, career path, training time and

human resources.

7. CONCLUSION

From this study, it finds that there is a positive and significant relationship between

organizational communication, practical training, teaching methods and continuous education and

educational effectiveness. There is a positive and significant relationship between HR strategies and

organizational communication. There is a positive and significant relationship between HR strategies




and practical training. There is no significant relationship between HR strategies and teaching

methods. There is a positive and significant relationship between HR strategies and continuous

education.

8. AVAILABILITYOF DATAANDMATERIAL

Relevant information is available by contacting the corresponding author.

9. REFERENCES

Abili, K. H. (2009). A Critique of the Experience of Training Effectiveness and its Evaluation in Organizations (Firms and Solutions), First International Conference of Training Managers,

Tehran, Iran.

Chehrehpak, M., Alizadeh, A., & Nazari-Shirkouhi, S. (2018). An empirical study on factors influencing

technology transfer using structural equation modelling. International Journal of Productivity and

Quality Management, 23(3), 273-288.

Corbin, J., & Strauss, A. (2007). Basics of qualitative research: Techniques and procedures for developing

grounded theory. Thousand Oaks.

Ghahremani, M. (2003). Evaluating the Effectiveness of Master's Degree Programs in Operations and

Operations Management, Quarterly Journal of Management and Development, 11(1), 2-14.

Navehebrahim, Abdolrahim and Eidi, Akbar (2006). Measurement, An Approach to Create Learning

Universities. First Conference in Organization Management and Leadership, Tehran, Iran.

Noe, R. A. (2002). Trainee’s attributes and attitudes: Neglected influences on training effectiveness. Academy of management Review, 11, 736–749. www.jstor.org/stable/258393

Noruzy, A., Dalfard, V. M., Azhdari, B., Nazari-Shirkouhi, S., & Rezazadeh, A. (2013). Relations

between transformational leadership, organizational learning, knowledge management,

organizational innovation, and organizational performance: an empirical investigation of manufacturing firms. The International Journal of Advanced Manufacturing Technology, 64(5-8),

1073-1085.

Snell, S., Morris, S., & Bohlander, G. (2015). Managing human resources. Cengage Learning.

Behrooz Bigdeli Mojarad is a Ph.D. student, Faculty of Public Administration, Department of Human Resources

Management, Kerman Branch, Islamic Azad University, Kerman, IRAN. His research includes Human Resources

Management, Education Management, Qualitative Analysis.

Dr.Sanjar Salajegheh is an Associate Professor, Department of Management, IslamicAzad University, Kerman

Branch, Kerman, Iran. His main interest includes Succession Planning System, Government Management,

Compensation System, and related topics

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks

mentioned in this article are the property of their respective owners, using for identification

purposes only. Use of them does not imply any endorsement or affiliation.

*Corresponding author (H. Ajam Norouzi). Email: [email protected] ©2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 10 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:10A12R http://TUENGR.COM/V10A/10A12R.pdf DOI: 10.6084/m9.figshare.11301749

1


http://TuEngr.com

PAPER ID: 10A12R

EFFECTS OF SEED PLANTS ON QUANTITATIVE

AND QUALITATIVE YIELDS OF VETCH AND

BARLEY IN DIFFERENT MIXING RATIOS

Mehrdad Jilani a

, Hossein Ajam Norouzi a*

, Abolfazl Faraji b

a Department of Agronomy and Plant Breeding, Faculty of Agriculture, Gorgan Branch, Islamic Azad University,

Gorgan, IRAN. b Golestan Agricultural and Natural Resources Research and Education Center, Agricultural Research,

Education and Extension Organization (AREEO), Gorgan, IRAN.




July 2019



Keywords: Intercropping; Seed

plant; Forage yield;

Protein yield; Land

equivalent ratio; Forage

protein content; Rice

husk treatment; Traits of

seed plant.

Cereal-legume intercropping is one of the ways to achieve greater

forage production. In order to evaluate the effects of seed plants on

quantitative and qualitative yields of vetch and barley forage, a factorial

experiment was conducted in a completely randomized block design in

paddy fields of Rice Research Institute of Iran (Rasht) during two seasons

of 2013-2015. Experimental factors included application of seed plant in

two levels (control without vetch and rice husk) and seed ratio (vetch

monoculture; barley monoculture; conventional 25% vetch + 75% barley as

replacement intercropping; 20% vetch to barley as additive intercropping;

40% vetch to barley as additive intercropping; and 60% vetch to barley as

additive intercropping). The traits evaluated included qualitative traits

(WSC, ADF and NDF, crude protein, DDM, and RNV) and quantitative

traits (forage yield and forage protein yield). The results indicated that

forage yield was higher in rice husk treatment (mean 10117 kg/ha) than

non-rice husk treatment (9225 kg/ha). The highest forage protein content

was obtained from vetch monoculture treatment. The highest forage and

protein yield was obtained from additive 40% vetch to barley (11189 kg/ha,

1845 kg/ha, respectively). Among treatments, the additive 40% vetch to

barley (mean 1.66) was better in terms of treatment land equivalent ratio.

Overall, it seems that additive 40% vetch to barley and rice husk seed plant

can be recommended due to increase in most qualitative and quantitative

factors in Rasht.


INTRODUCTION 1.Das et al. (2018) in a two-year study of seed plant (none, soil and living mulch) on three forage

plants reported that dry weight of three plants increased in mulch treatment and living mulch gained

more yield due to increased height and better growth. In an experiment of non-seed plants and straw seed


2 Mehrdad Jilani, Hossein Ajam Norouzi, Abolfazl Faraji

plants of three different plants on maize yield, it was found that application of each of the three plants

resulted in higher yield than control (Awopegba et al., 2017). In another experiment in China, seed

plants increased corn forage yield (40-60%) compared to control treatment (Zhou et al., 2018). Other

scientists have shown that additive intercropping and monoculture of forage grain (Guinea grass) and

forage beetle (Sesbania grandiflora) in Indonesian salty and poor soils and mulch (3 ton + 6 ton mulch

straw rice per ha) and without mulch (3 ton/ha) increased plant growth, forage yield and forage quality of

Guinea grass. On the other hand, additive forage guinea treatment on Guinea grass as well as 6 ton per

hectare mulch and without mulch treatment did not affect the quantity and quality of forage (Guinea

grass) in saline soil (Kasmati et al., 2007). Experimental results of two types of leaf seed plants (both

surface and mixed with soil) on barley in Kenya showed that plant height and biomass weight of the

plant increased when using surface seed plants. Mixing mulch increased nitrate release in the soil during

the first 4 weeks, although it decreased sharply by week 6. On the other hand, surface mulch caused

gradual release of soil nitrate during the barley growth period (Kimiti & Gordon, 2013). Further research

has shown that quality and quantity of sorghum forage is affected by the type of sowing (Chattha et al.,

2017). Based on a study on monoculture and additive intercropping of triticale with forage vetch (100 to

30, 100 to 40 and 100 to 50 and 100 to 60 and 100 to 70%) in dryland condition, it was reported that

maximum dry forage yield was obtained from 70% to 100% triticale (5445 kg/ha) and 60% vetch +

100% triticale (5248 kg/ha) treatment. The highest forage crude protein content was obtained from 70 to

100% triticale. The highest percentage of NDF also belonged to the above treatment. They reported that

increasing triticale content in intercropping led to increase in final forage yield. On the other hand,

increased intercropping of two plants decreased digestibility and increased fiber. The highest soil

equivalence ratio was obtained from 60% vetch to 100% triticale (1.61) intercropping (Nasiri et al.,

2015). In an experiment comparing six replacement intercropping treatments with 20% fenugreek/barley

additive ratio, it was shown that the highest forage yield (12.8 ton/ha) and land equivalence ratio (1.15)

was obtained from 20% fenugreek/barley additive treatment (Tarifi, et al., 2018). Results of

intercropping of maize and vetch showed that 25% maize to 75% vetch achieved the highest forage yield

and the land equivalence ratio was 1.16 (Mousavian & Seyed Mohamadi, 2015). Due to the lack of

documented research on the effect of seed plant in paddy field on autumn forage crops, this study tends

to investigate the effect of rice husk seed plant on quantitative and qualitative yield of monoculture and

intercropping of barley and vetch forage in paddy fields of Rasht.

MATERIALS AND METHODS 2.

This factorial experiment was conducted through randomized complete block design with three

replications during 2014-2015 and 2015-2016 in Rice Research Institute of Iran in Rasht (coordinates:

37°16′51″N 49°34′59″E, 7 m above sea level). Rasht has a humid climate and annual rainfall is based on

a 30-year average of 1320 mm. The mean annual rainfall between planting and harvesting was 1014 mm

and the average growth temperature was 11.4°C. Soil texture was clay. Experimental factors at two

levels (control without rice husk and with rice husk seed plant) as the first factor as well as different seed

ratios at six levels: (vetch monoculture, barley monoculture, conventional 25% vetch + 75% barley

replacement intercropping, 20% vetch to barley additive intercropping, 40% vetch to barley additive

intercropping, 60% vetch to barley additive intercropping) were considered. Barley seed ratio in additive

intercropping was 100% and vetch was added to the treatments in additive ratios. Vetch and barley seed


3

ratio was 110 and 170 kg/ha, respectively. The cultivars used were Behrokh (suitable for temperate

regions) for barley and Maragheh for vetch (Vicia sativa L.). Each experimental plot had 8 sowing lines

and the distance between the rows was 20 cm. The amount of rice husk was calculated in 5 ton/ha and

added to the treatments. Forage harvesting was done from the lowest part of the stem to the soil. At

harvest time to determine forage yield per unit area by removing sidelines and one meter above and

below each plot as a marginal effect, six-line forage in the middle and four meters per plot were

harvested and immediately weighed. One kilogram of wet forage was randomly selected to measure

forage yield and samples were dried in an oven at 75°C for 48 h and weighed. For measuring qualitative

traits such as water-soluble carbohydrate (WSC), acid and neutral detergent fiber (ADF and NDF),

digestible dry matter (DDM), relative nutritional value (RNV) and crude protein, near-infrared

spectroscopy (NIR) of Forests and Rangelands Research Organization were used. Forage protein yield

was also calculated by multiplying the forage crude protein by forage yield. To evaluate usefulness of

intercropping, land equivalence ratio (LER) was calculated using the following formula.

LER =𝑌𝑖𝑗

𝑌𝑖𝑖+

𝑌𝑗𝑖

𝑌𝑗𝑗 (1),

where 𝑌𝑖𝑗 is yield of first plant in intercropping; 𝑌𝑖𝑖 is yield of first plant in monoculture; 𝑌𝑗𝑖 is

yield of second plant in intercropping; 𝑌𝑗𝑗 is yield of second plant in monoculture.

SAS software (version 9.1) was used for statistical analysis of data and drawing charts. LSD test

(p<0.05) was also used to compare the mean.

RESULTS AND DISCUSSION 3.

3.1 WATER SOLUBLE CARBOHYDRATES

The results of the two-year composite analysis showed that seed plant × mix ratio interaction was

significant on soluble carbohydrate traits (Table 1). Comparison of means indicated that control

treatment without rice husk seed plant and 40% vetch to barley (21.04%) recorded the highest and the

treatment with rice husk seed plant and vetch monoculture (13.14%) recorded the lowest soluble

carbohydrate (Table 2). Soluble carbohydrates, which constitute a large part of unstructured

carbohydrates, are one of the most important components of forage quality, whose task is to provide

energy to rumen microorganisms and maintain digestive health of livestock (Tufail et al., 2019). In the

study of maize + mungbean intercropping, the researchers reported that the cereal family had more

water-soluble carbohydrates than legumes. Therefore, vetch ratio appears to decrease carbohydrates in

intercropping (Nakhzari Moghadam, et al., 2009). The results of experimental maize and poplar

intercropping showed that intercropping reduces WSCs compared to maize monoculture (Naghizadeh &

Galavi, 2012). Similar results were reported regarding the effects of legumes on forage carbohydrate in

intercropping (Najafabadi, et al., 2017; Fatminic, 2017). In another experiment the highest (71.6%)

soluble carbohydrate content was obtained from barley monoculture and the lowest content (49.7%) was

obtained from fenugreek monoculture (Tarifi, et al., 2018). One study found that intercropping cereals

and legumes increased concentration of soluble carbohydrates compared to monoculture (Fathminick,

2017).


Table 1: Composite analysis of the calculated traits of seed plant and vetch and barley seed ratios in

agricultural farms of Rasht during 2014-2015.

Source of variation Df WSC ADF NDF DDM RNV Crude

protein Forage yield

Forage protein

yield

Year 1 0.43ns 5.55ns 0.48ns 15.7* 199.4** 39.26** 151617ns 454517.6*

Repetition/Year 4 54.76 0.03 52.5 0.94 933.8 6.30 1377456 59088.6

Seed plant 1 104.1** 0.08ns 14.7ns 1.08ns 163.7ns 2.89ns 14311250** 260184.9ns

Seed ratio 5 11.07** 6.37** 37.6** 22.8** 1593.8** 75.33** 62953463** 1088928.2**

seed plant×seed ratio 5 43.73** 4.62* 16.0* 3.44ns 250.4* 4.36ns 1271474ns 70233.2ns

Year×seed plant 1 1.82ns 0.02ns 0.21ns 0.37ns 0.39ns 1.0ns 4966ns 7474.6ns

Year×seed ratio 5 0.21ns 0.02ns 0.20ns 0.24ns 2.36ns 0.46ns 192575ns 25394.6ns

Year×seed plant×seed

ratio 5 0.94ns 0.02ns 0.17ns 0.30ns 8.1ns 1.54ns 270275ns 25669.6ns

Error 44 1.27 1.67 4.79 2.27 106.9 5.50 1157305 10599.2

Coefficient of variation - 6.48 3.11 6.23 2.66 6.84 14.26 11.47 20.91

ns: non-significant; * and ** significant at 5% and 1%.

Table 2: Comparison of mean of effect of seed plant and vetch and barley seed ratios on calculated traits

in agricultural farms of Rasht during 2014-2015

Treatment WSC

(%)

ADF

(%)

NDF

(%)

DDM

(%)

RNV

(%)

Crude

protein (%)

Forage

yield

(kg/ha)

Protein

yield

(kg/ha)

LER

Year

2014-2015 17.32 41.87 35.05 57.05a 152.80a 17.18a 97.17 1633.9a -

2015-2016 17.47 41.31 35.21 56.12b 149.48a 15.70b 9625 1475.0b -

Seed plant

Without seed plant 18.60a 41.56 35.58 56.71 149.64 16.63 9225b 1494.3 1.57

With seed plant 16.19b 41.62 34.68 56.46 152.65 16.24 10117a 1614.5 1.67

Seed ratio

Vetch monoculture 15.93 40.82 32.90 58.94a 168.77 20.97a 5129c 1075.1b -

Barley monoculture 16.60 41.77 36.97 55.15c 139.30 13.29c 9820b 1301.0b -

25% vetch + 75% barley

replacement 17.82 42.23 33.49 57.41b 160.93 16.25b 10275b 1680.8a 1.52

20% vetch added to barley 17.71 42.18 36.03 55.86c 144.62 15.80b 10400ab 1644.1a 1.54

40% vetch added to barley 17.72 42.0 36.96 56.34bc 142.39 16.57b 11189a 1844.6a 1.66

60% vetch added to barley 16.61 40.54 34.44 55.80c 150.96 15.76b 11214a 1781.3a 1.66

In each column, the treatments having at least one letter in common do not have a significant difference in LSD at 5%

probability level.

3.2 ACID AND NEUTRAL DETERGENT FIBER

Composite analysis of soluble fibers showed that the effect of year and seed plant was not

significant. The interaction of seed plants was significant in the mixing ratios (Table 1). The highest

ADF was obtained from rice husk seed plant and mixing ratio of 25% vetch and 75% barley (mean

43.20%), while rice husk seed plant and mixing ratio of 60% vetch to barley (mean 39.95%) recorded the

lowest content of ADF (Table 3). One of the important factors affecting energy or total digestible

nutrients is ADF, the percentage of which is commonly used to estimate digestibility (Tarifi, et al.,

2018). Experimental results showed that monoculture had higher content of ADF (Aqababa Dastjerdi, et

al., 2014). As content of barley increases, forage digestibility decreases, so that pea monoculture often

has the least ADF content and is milder. In the study of replacement and additive intercropping of

fenugreek to barley, it was reported that the highest ADF was obtained in barley monoculture and the

least content was obtained in fenugreek monoculture (Tarifi, et al., 2018).


5

The results indicated that year and seed plant had no significant effect on NDF, while seed

plant×mixing ratio interaction was significant (Table 2). The lowest content (32.90%) of NDF was

recorded from vetch monoculture and the highest content (36.97%) was recorded from barley

monoculture (Table 2). The results were predictable since legumes were lower in cellulose and

hemicellulose than cereals. Comparison of interaction showed that barley monoculture without rice husk

seed plant had the highest (38.60%) and vetch monoculture with rice husk seed plant had the lowest

(32.10%) ADF (Table 3). NDF has been identified as an indicator of plant cell wall expression as well as

an important factor in determining animal feed intake (Aydemir, 2018). In the past, only the percentage

of crude fiber was evaluated for ruminants, while currently it has been found that this criterion does not

fully determine the digestibility in most cases (Aydemir, 2018).

Table 3: comparison of mean of seed plant×seed ratio interaction on the evaluated traits in agricultural

farms of Rasht during 2014-2015 Treatment

WSC

(%)

ADF

(%)

NDF

(%)

DDM

(%)

RNV

(%)

Crude

protein

(%)

Forage

yield

(kg/ha)

Protein

yield

(kg/ha)

LER Seed plant × seed ratio

Wit

ho

ut

seed

pla

nt

Vetch monoculture 18.71b 40.44ae 33.70ca 59.42 165.6a 21.20 4956 1051.8 -

Barley monoculture 18.82d 41.46bcd 38.60a 55.57 134.2d 13.68 9753 1416.0 -

25%vetch +

75%barley

replacement

19.17b 43.35abc 35.53bc 56.58 168.4a 15.70 9494 1668.6 1.44

20%vetch added to

barley 16.75d 41.26cde 31.77d 57.46 141.3cd 17.53 9911 1534.4 1.51

40%vetch added to

barley 17.10cd 42.70ab 36.47ab 55.29 139.8cd 15.46 10322 1665.8 1.57

60%vetch added to

barley 21.04a 41.13cda 37.43ab 55.91 148.5bc 16.26 10917 1710.1 1.66

Wit

h s

eed

pla

nt

Vetch monoculture 13.14f 41.20cde 32.10d 58.46 171.9a 20.74 5303 1098.3 -

Barley monoculture 18.39b 42.07abc 35.33bc 54.73 144.4bcd 12.89 9889 1268.0 -

25%vetch +

75%barley

replacement

14.05ef 43.20a 33.35cd 55.03 153.2b 15.82 11055 1693.0 1.60

20%vetch added to

barley 18.88b 41.64bcd 35.22bc 57.36 148.0bc 14.98 10889 1753.7 1.58

40%vetch added to

barley 18.31bc 41.66bcd 35.60bc 56.43 145.0bcd 16.14 12055 2078.5 1.76

60%vetch added to

barley 14.40e 39.95e 36.48ab 56.76 153.4b 16.88 11511 1964.1 166

In each column, the treatments having at least one letter in common do not have a significant difference in LSD at 5%

probability level.

3.3 DIGESTIBLE DRY MATTER

The results showed that the effect of year was significant on DDM (Table 1). A comparison of

means showed that the first year of the experiment (57.05%) was significantly better than the second

year (56.12%) (Table 2). The effect of seed plant was insignificant on DDM but the effect of seed ratio

was significant (Table 1). Results showed that vetch monoculture had higher (58.94%) DDM than other

treatments and the lowest matter (55.15%) was obtained from barley monoculture (Table 2). Overall,

vetch monoculture without rice husk seed plant recorded the highest (59.42%) and barley monoculture

with rice husk seed plant recorded the lowest (54.73%) DDM (Table 3). A DDM is a part of forage that

is absorbed by the animal at a certain level of its consumption and is useful for the animal if its content is


above 50% (Najafabadi, et al., 2017). According to results of an experiment, the lowest content of DDM

was obtained from forage maize monoculture and increased with increasing vetch ratio, so that the

highest content (53.4%) was obtained from forage maize×vetch (Javanmard, et al., 2014). The above

results indicated higher vetch digestibility and the higher the vetch contribution to forage, the higher

forage digestibility.

3.4 RELATIVE NUTRITIONAL VALUE

Results indicated that seed plant×seed ratio interaction was significant on RNV (Table 1). Overall,

vetch monoculture without rice husk seed plant (171.9%) recorded the highest and barley monoculture

without rice husk seed plant (134.2%) recorded the lowest values (Table 2). The results also showed that

there was no significant statistical difference between most of the intercropping treatments. RNV is one

of the important factors for qualitative evaluation of forage. It was reported that the increase in RNV of

forage in intercropping compared to monoculture was 3 to 22.7% (Wang et al., 2012). In another

experiment, it was noted that forages with RNV>151% had premium quality (Majidi Dizaj, et al., 2014).

Therefore, it can be concluded that most intercropping forage obtained from the above study is of high

quality.

3.5 CRUDE PROTEIN

The results of the composite analysis showed significant effect of crude protein on year and the first

year (17.18%) was better than the second year (15.70%) (Table 2). Among the experimental factors,

only seed ratio had a significant effect (Table 1). Among the tested ratios, vetch monoculture provided

the highest protein content (20.97%) and the lowest crude protein content (13.29%) was obtained from

barley monoculture (Table 2). Given that the leaves were more plentiful and edible and stems were

thinner, increased crude protein content was not unexpected in the vetch monoculture. Crude protein is a

combination of real protein and non-protein nitrogen compounds that are essential for growth and

lactation. Other studies also observed an increase in crude protein in intercropping than monoculture

(Klimek Kopyra et al., 2015). Since crude protein has a direct relationship with nitrogen content of the

plant, more stabilization, and availability of nitrogen may increase nitrogen uptake for barley

intercropping. Reportedly percentage of nitrogen stabilized by legumes was transferred to maize in

intercropping (Khalesi, 2017). Another experiment showed that intercropping legumes and grains such

as wheat and triticale increased forage protein content and ultimately improved feed quality. In their

study, adding lentils to forage composition increased protein content (Wang et al., 2012).

3.6 DRY FORAGE YIELD

Dry forage yield is one of the most important indices in forage cultivation, with many of the results

such as successfulness being measured based on that. Results showed that the effect of year was not

significant on dry matter yield (Table 1). The effect of seed plant was significant on dry forage yield and

dry forage yield was better in rice husk seed plant treatment (10117 kg/ha) compared to the treatment

without rice husk seed plant (9225 kg/ha) (Table 2). There was also a significant difference between seed

ratio treatments; as expected, vetch monoculture with average forage yield of 5129 kg/ha had the lowest

and 40% vetch + 60% barley additive intercropping had the highest dry forage yield (Table 2 ). Overall,

40% vetch added to barley with mulch (12055 kg/ha) obtained the highest and vetch monoculture

without rice husk seed plant (4956 kg/ha) obtained the lowest dry forage yield (Table 3).


7

Increase of dry forage yield in 40% forage vetch + barley additive treatment indicated that

environmental factors such as sunlight were used better in this composition and the light passing through

at early stages of growth from barley canopy because of proper distance between the leaves penetrated

into the vegetation and well used by the clover to spread the canopy. In the study of monoculture and

intercropping of triticale and Vicia villosa, it was also reported that 50% vetch + 50% intercropping had

better forage yield than monoculture in an experiment on maize and clover (Nasiri, et al., 2015). Triticale

had the highest dry matter yield (8850 kg/ha) and protein yield (1412.2 kg/ha) (Shobairi, et al., 2011).

Researchers have attributed the increase in dry forage production in intercropping treatments to

complimentary use of water, nutrients, and light due to differences in morphology and physiology of

these plants such as height, depth of root development, and thin and broadleaf and photosynthesis of the

plants (Moradi, et al., 2015).

3.7 FORAGE PROTEIN YIELD

The results of the composite analysis of data indicated that forage protein yield was not significant

in additive or replacement intercropping, but there was a significant difference between years of

experiment (Table 1). The first year (1633.9 kg/ha) was better than the second year (Table 2). There was

a significant difference between seed ratios (Table 1). Monoculture of vetch and barley had the lowest

forage protein yield due to lack of forage yield and crude protein deficiency, respectively. There was no

significant difference between intercropping treatments. Overall, the highest forage protein yield was

obtained from 40% vetch added to barley with rice husk seed plant (2078.5 kg/ha) and the lowest yield

was obtained from vetch monoculture with control without mulch (1051.8 kg/ha) (Table 3). In another

experiment, the highest forage protein yield was obtained from 30% vetch + 100% triticale additive

intercropping (Nasiri, et al., 2015). A similar report has found a dramatic increase in crude protein yield

due to legume-grass intercropping (Yang et al., 2018). Since forage protein yield is obtained by

multiplying the crude protein by forage yield, the increase in protein yield in intercropping may be

related to their better dry forage yield. Because dry forage yields appear to have a greater contribution in

protein yield. One of the major advantages of legume-grass intercropping is the increase in crude protein

yield over grass monoculture (Najafabadi, et al., 2017). In the experiment of the effect of monoculture

and different ratios of maize-bean intercropping on quantitative and qualitative yield of forage, it was

reported that crude protein yield was better in intercropping than monoculture and the highest dry forage

yield was obtained from 65% vetch + 35% oat (Nazari et al., 2014). It was also reported that the highest

crude protein yield was obtained from 50% barley + 50% fennel intercropping (1528.2 kg/ha) (Kiani, et

al., 2014). Another study also showed that 50% vetch + 50% barley treatment obtained higher protein

yields than monoculture (Molla et al., 2018).

3.8 LAND EQUIVALENCE RATIO

The treatment with mulch (1.67) was also higher than the treatment without mulch (1.5) (Table 2).

Among the intercropping treatments, 40% and 60% additive intercropping (1.66) obtained the highest

and thus it is recommended. Overall, rice husk seed plant and 40% vetch + 60% barley additive

intercropping is better and recommended. The results showed that the land equivalence ratio of dry

matter showed the superiority of two 40% + 60% additive treatments. The results showed ecological

superiority of intercropping and efficient use of growth resources. The superiority due to inter-species


competition is less than intra-species competition. An experiment reported that 75% barley + 25% vetch

intercropping (1.51) achieved the highest land equivalence index (Hervani & Dizaj, 2012). In another

study, the highest land equivalence ratio was obtained from 60% vetch to 100% triticale (1.61)

intercropping (Nasiri, et al., 2015).

CONCLUSION 4.

In the present study, the results showed that seed plants had no effect on most qualitative traits.

Based on the results, higher ratio of vetch improved forage quality due to higher quality traits. Among

seed ratios, 40% vetch + 60% barley recorded the highest land equivalence ratio for the calculated

yields. In the present study, land equivalence ratio was higher in the treatment with rice husk seed plant

due to better seedling establishment. The results also indicated that all intercropping treatments had

higher forage protein yield than monoculture and were divided into separate statistical groups. However,

no significant differences were observed between the intercropping treatments. Since the highest forage

yield was obtained from 40% vetch + barley with rice husk seed plant, this treatment achieved the

highest land equivalence ratio. In addition, 40% vetch + barley with rice husk seed plant can be

introduced as a better treatment due to most quantitative traits. Regarding the importance of sustainable

agriculture and quality of forage source and the importance of availability of forage for livestock feeding

and the importance of comparative indices, additive intercropping and intercropping in rice husk seed

plant is recommended for cultivation in paddy fields of Rasht.

ACKNOWLEDGEMENT 5.

The authors gratefully acknowledge the Rice Research Institute of Iran for their contributions.

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Mehrdad Jilani is a PhD Candidate in Agronomy at the Faculty of Agriculture, Gorgan Branch at Islamic Azad University, Gorgan, Iran. He received his Master’s degree in same major from Takestan Branch at Islamic Azad University, Takestan, Iran. He is interested in Plant and Crop Research.

Dr. Hossein Ajam Norouzi is an Assistant Professor at the Department of Agronomy and Plant Breeding, Gorgan Branch, Faculty of Agriculture, Islamic Azad University Gorgan, IRAN. He is interested in Crop, Plant, and Soil.

Dr.Abolfazl Faraji is a Researcher (Academic) at Golestan Agricultural and Natural Resources Research and Education Center, Agricultural Research, Education and Extension Organization (AREEO). He earned his PhD from the University of the Philippines Los Baños.

Note: This article is extracted from a doctoral dissertation of the first author.

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Volume 10 Issue 12 (2019) - International Transaction Journal ...

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