IJAERS-Nov 2018 Issue-Complete Issue (V5i11)

i
International Journal of
Advanced Engineering
Research and Science
(ISSN: 2349-6495(P)| 2456-1908(O))
DOI: 10.22161/ijaers
Vol-5, Issue-11
November, 2018
Editor in Chief
Dr. Swapnesh Taterh
Copyright © 2018 International Journal of Advanced Engineering Research and Science
Publisher
AI Publication
Email: editor.ijaers@gmail.com ; editor@ijaers.com
Web: www.ijaers.com
ii
FOREWORD
I am pleased to put into the hands of readers Volume-5; Issue-11: 2018 (Nov, 2018) of “International
Journal of Advanced Engineering Research and Science (IJAERS) (ISSN: 2349-6495(P) | 2456-
1908(O)” , an international journal which publishes peer reviewed quality research papers on a wide
variety of topics related to Science, Technology, Management and Humanities. Looking to the keen
interest shown by the authors and readers, the editorial board has decided to release print issue also, but
this decision the journal issue will be available in various library also in print and online version. This
will motivate authors for quick publication of their research papers. Even with these changes our
objective remains the same, that is, to encourage young researchers and academicians to think
innovatively and share their research findings with others for the betterment of mankind. This journal
has DOI (Digital Object Identifier) also, this will improve citation of research papers. Now journal has
also been indexed in Qualis (Interdisciplinary Area) (Brazilian system for the evaluation of
periodicals, maintained by CAPES).
I thank all the authors of the research papers for contributing their scholarly articles. Despite many
challenges, the entire editorial board has worked tirelessly and helped me to bring out this issue of the
journal well in time. They all deserve my heartfelt thanks.
Finally, I hope the readers will make good use of this valuable research material and continue to
contribute their research finding for publication in this journal. Constructive comments and suggestio ns
from our readers are welcome for further improvement of the quality and usefulness of the journal.
With warm regards.
Dr. Swapnesh Taterh

Editor-in-Chief
Date: Dec, 2018
iii
International Editorial/ Reviewer Board
Dr. Shuai Li
Computer Science and Engineering, University of Cambridge, England, Great Britain
Behrouz Takabi
Mechanical Engineering Department 3123 TAMU, College Station, TX, 77843
Dr. Gamal Abd El-Nasser Ahmed Mohamed Said
Computer Lecturer, Department of Computer and Information Technology, Port Training Institute
(PTI), Arab Academy For Science, Technology and Maritime Transport, Egypt
Dr. Ram Karan Singh
BE.(Civil Engineering), M.Tech.(Hydraulics Engineering), PhD(Hydraulics & Water Resources
Engineering),BITS- Pilani, Professor, Department of Civil Engineering,King Khalid University, Saudi
Arabia.
Dr. A. Heidari
Faculty of Chemistry, California South University (CSU), Irvine, California, USA
Dr. Swapnesh Taterh
Ph.d with Specialization in Information System Security, Associate Professor, Department of Computer
Science Engineering, Amity University, INDIA
Dr. Ebrahim Nohani
Ph.D.(hydraulic Structures), Department of hydraulic Structures,Islamic Azad University, Dezful, IRAN.
Dr. Dinh Tran Ngoc Huy
Specialization Banking and Finance, Professor, Department Banking and Finance, Viet Nam
Dr.AhmadadNabihZaki Rashed
Specialization Optical Communication System,Professor,Department of Electronic Engineering,
Menoufia University
Dr. M. Kannan
Specialization in Software Engineering and Data mining
Ph.D, Professor, Computer Science, SCSVMV University, Kanchipuram, India
Dr. Sambit Kumar Mishra
Specialization Database Management Systems, BE, ME, Ph.D, Professor, Computer Science
Engineering
Gandhi Institute for Education and Technology, Baniatangi, Khordha, India
Dr. Rabindra Kayastha
Associate Professor, Department of Natural Sciences, School of Science, Kathmandu University, Nepal
Dr. Hanuman Prasad Agrawal
Specialization in Power Systems Engineering Department of Electrical Engineering, JK Lakshmipat
University, Jaipur, India
Dr. Hou, Cheng-I
Specialization in Software Engineering, Artificial Intelligence, Wisdom Tourism, Leisure Agriculture
and Farm Planning, Associate Professor, Department of Tourism and MICE, Chung Hua University,
Hsinchu Taiwan
iv
Dr. Anil Trimbakrao Gaikwad
Associate Professor at Bharati Vidyapeeth University, Institute of Management , Kolhapur, India
Dr. Ahmed Kadhim Hussein
Department of Mechanical Engineering, College of Engineering, University of Babylon, Republic of
Iraq
M. Hadi Amini
Carnegie Mellon University, USA
Dr. N. S. Mohan
Professor, Department of Mechanical & Manufacturing Engineering, Manipal Institute of Technology,
Manipal Academy of Higher Education. Manipal, India
Dr. Zafer Omer Ozdemir
Energy Systems Engineering KÄ±rklareli, Kirklareli University, Turkey
Bingxu Wang
2721 Patrick Henry St Apt 510, Auburn Hills, Michigan, United States
Dr. Jayashree Patil-Dake
Sr. Assistant Professor, KPB Hinduja College of Commerce, Mumbai, India
Dr. Neel Kamal Purohit
Associate Professor, Accountancy & Business Statistics, S.S. Jain Subodh P.G. College, Rambagh,
Jaipur, India
Mohd Muntjir
Ph.D., Information Technology Department, College of Computers and Information Technology, Taif
University, Kingdom of Saudi Arabia
Xian Ming Meng
Ph.D, Vice-Chief Engineer, Senior Engineer, China Automotive Technology & Research Center No.68,
East Xianfeng Road, Dongli District, Tianjin, China
Herlandí de Souza Andrade
Professor, Business Management, Financial Management and Logistics and in the Specialization
Course in Innovation and Entrepreneurship Management at FATEC Guaratinguetá, Centro Estadual
de Educação Tecnológica Paula Souza – CEETEPS
Dr. Payal Chadha
Adjunct Assistant Professor, Business Management, Accounting, Finance, and Marketing for
Undergraduate Students University Of Maryland University College Europe, Kuwait
Ahmed Moustafa Abd El-hamid Elmahalawy
Computer Science and Engineering Department, Menoufia University, Al Minufya, Egypt
Prof. Mark H. Rümmeli
Professor, School of Energy, Soochow University & Head of the characterisation center, Soochow
Institute for Energy Materials Innovasions (SIEMES), Suzhou, Jiangsu Province, China
José G. Vargas-Hernández
v
Research professor, University Center for economic and Managerial Sciences, University of
Guadalajara Periférico Norte 799 Edif. G201-7, Núcleo Universitario Los Belenes, Zapopan, Jalisco,
45100, México
Dr. Eman Yaser Daraghmi
Assistant Professor, Ptuk, Tulkarm, Palestine (Teaching Artificial intelligence, mobile computing,
advanced programming language (JAVA), Advanced topics in database management systems, parallel
computing, and linear algebra)
Dr. Menderes KAM
Department of Machinery and Metal Technology, Dr. Engin PAK Cumayeri Vocational School, DÜZCE
UNIVERSITY (University in Turkey), Turkey
Dr. Jatin Goyal
Senior Research Fellow, University School of Applied Management, Punjabi University, Patiala,
Punjab, India
International Collaborator of GEITEC / UNIR / CNPq, Brazil
Ahmet İPEKÇİ
Department of Machinery and Metal Technology, Dr. Engin PAK Cumayeri Vocational School, DÜZCE
UNIVERSITY, Turkey
Abdullah Omar Baarimah
Universiti Malaysia Pahang (UMP), Gambang, 26300, Malaysia
Dr. Engin NAS
PAK Cumayeri Vocational School, Department of Machinery and Metal Technology, Duzce University,
Turkey
Sabri UZUNER
Mehmet Akif Street No:71/A Dr. Engin PAK Cumayeri Vocational School Cumayeri/Duzce/Turkey
Ümit AĞBULUT
Department of Mechanical and Manufacturing Engineering, Düzce University, Turkey
Dr. Mustafa ÖZKAN
Trakya University, Faculty of Science, Department of Mathematics, Edirne/ TURKEY
vi
Vol-5, Issue-11, November 2018
Sr
Detail
No.
Comparative Study between Groin and T-Head Groin
Author: Syawaluddin Hutahaean
1
DOI: 10.22161/ijaers.5.11.1
Page No: 001-005
The Effect of Bitumen Stabilized Subgrade on Cost of the Flexible Pavement
Author: Mustafa Çalışıcı
2
DOI: 10.22161/ijaers.5.11.2
Page No: 006-008
Identification of Clusters of the Scientific Production on Business Incubators
Author: Francisco Valdivino Rocha Lima, Fabrício Carvalho da Silva, Gilton José Ferreira da
3 Silva, João Antonio Belmino dos Santos, Ana Eleonora Almeida Paixão
DOI: 10.22161/ijaers.5.11.3
Page No: 009-012
Calculation of the Heat Transfer Surface Area of Heat Exchangers for Waste Heat Recovery
with the Kaline Cycle
4 Author: Felipe Raúl Ponce Arrieta, Josme de Sousa Santos, Wagner Henrique Saldanha
DOI: 10.22161/ijaers.5.11.4
Page No: 013-016
Pigmented Oral Lesion Associated with Root Canal Sealers: A diagnostic Dilemma
Author: Camila Gonçalves Jezini Monteiro, Bruna Lavinas Sayed Picciani, Marilia Fagury
Videira Marceliano-Alves, Fernanda Ximenes Amado Martins, Marcus Vinicius Neumann
5 Brandão de Carvalho, Rosana Ximenes Lins, Abel Silveira Cardoso, Renata Ximenes Lins
DOI: 10.22161/ijaers.5.11.5
Page No: 017-020
Oil and Gas on the Brazilian Coast
Author: Tulio Cremonini Entringer, Ailton da Silva Ferreira, Denise Cristina de Oliveira
6 Nascimento, Luciano Jose de Oliveira, Oscar Lewandowski, Paulo Mauricio Tavares Siqueira
DOI: 10.22161/ijaers.5.11.6
Page No: 021-026
Evaluation of Risk Reduction for Portfolio in Islamic Investment Using Modern Portfolio
Theory
7 Author: Nashirah Abu Bakar, Sofian Rosbi
DOI: 10.22161/ijaers.5.11.7
Page No: 027-034
Remote Sensing Satellites Planning System
Author: Amr Qamar, Essam Eldin S., Khaled M. Badran
8
DOI: 10.22161/ijaers.5.11.8
Page No: 035-038
vii
Proposal of a Reference Model in BPMN Notation for an MRP System
9
Nascimento, Luciano Jose de Oliveira, Oscar Lewandowski, Paulo Mauricio Tavares Siqueira
Page No: 039-051
WEKA for Reducing High -Dimensional Big Text Data
Author: Kotonko Lumanga Manga Tresor, Professor Xu Dhe zi
10
DOI: 10.22161/ijaers.5.11.10
Page No: 052-055
The Crime Scene: Considerations about the State of Rondônia, Brazil
Author: Natália Talita Araújo Nascimento, Fabrício Moraes de Almeida, Paulo Adriano da
11 Silva, Leonardo Severo da Luz Neto, Izan Fabrício Neves Calderaro, Jovanir Lopes Dettoni
DOI: 10.22161/ijaers.5.11.11
Page No: 056-065
Reference Model in BPMN Notation for a Production Scheduling System
DOI: 10.22161/ijaers.5.11.12
Page No: 066-078
Influence of Altitude on the indirect Analysis of α-amylase Content on Wheat Flours
Author: Luiz Cláudio Garcia, Felipe Augusto Rogrigues Vaurof, Alisson Fogaça, Pedro
Henrique Weirich Neto, Carlos Hugo Rocha, Jaime Alberti Gomes, Ivo Mottin Demiate, Polyana
13 Elvira Tobias Pinto Christmann, Janaine Ritter, Sérgio Roberto Piaskowski, Evandra F
DOI: 10.22161/ijaers.5.11.13
Page No: 079-084
Behavioral Finance: A Different View in the State of Rio de Janeiro
DOI: 10.22161/ijaers.5.11.14
Page No: 085-090
Professional Orientation: Proposals for a University of the Brazilian Western Amazon
Author: Luiz Carlos Cavalcanti de Albuquerque, Leonardo Severo da Luz Neto, Hélio Franklin
Rodrigues de Almeida, Rafael Dias de Albuquerque, Lenir Lopes Dettoni, Fabricio Moraes de
15 Almeida
DOI: 10.22161/ijaers.5.11.15
Page No: 091-109
An Integrated Well-Reservoir Steam Injection Modelling for Steam Injection Optimization
Author: Nmegbu Chukwuma Godwin Jacob, Orisa Ebube Favour
16 DOI: 10.22161/ijaers.5.11.16
Page No: 110-124
viii
Comparative Study between Budget and Real Cost Obtained: Case Study at a construction
company in Canaa dos Carajás-PA
Author: Antônio Miranda Coelho Neto, José Djair Casado de Assis Junior, Angelo Ricardo
17 Balduino
DOI: 10.22161/ijaers.5.11.17
Page No: 125-131
Antimicrobial activity of per acetic acid for trans-operative disinfection of endodontic files
Author: Shirley de Souza Pinto, Renata Ximenes Lins, Marilia Fagury Videira Marceliano-
Alves, Aurimar de Oliveira Andrade, Sandra Rivera Fidel, David Williams, Ana Paula Feriani
18 Guarnier, Luciana Moura Sassone, Raphael Hirata Junior
DOI: 10.22161/ijaers.5.11.18
Page No: 132-137
Interfaces between wind energy aspects analysis and Weibull distribution: Evidences from a
bibliometric study
Author: Elias Rocha Gonçalves Júnior, Cláudio Luiz Melo de Souza, Virgínia Siqueira
19 Gonçalves
DOI: 10.22161/ijaers.5.11.19
Page No: 138-143
The security of information and the risks associated with its use, a model for its
implementation
20 Author: Ricardo Ramírez Véliz, Marlon Altamirano Di Luca, Neilys González Benítez
DOI: 10.22161/ijaers.5.11.20
Page No: 144-147
Comparison of the signal characteristics measured by a MEMS and a Piezoelectric
accelerometers
21 Author: Vitor Rodrigues Miranda, JanesLandre Jr.
DOI: 10.22161/ijaers.5.11.21
Page No: 148-152
The Progress of Indonesia’s Administrative Boundaries Mapping after 72 years of
Independence
22 Author: Bambang Riadi, Tri Patmasari
DOI: 10.22161/ijaers.5.11.22
Page No: 153-162
Adjusting the Capital Index (ICS), to the Population of Santarém-Pa, It’s Capacity for
Mobilization and Political Action the Environmental Exposure to Mercury
Author: Enilson da Silva Sousa, Marcelo Augusto Machado Vasconcelos, Denison Lima Correa
, Joaquim Carlos Barbosa Queiroz, Dulcideia da Conceição Palheta
23
DOI: 10.22161/ijaers.5.11.23
Page No: 163-170
ix
Diethyl ether additive effect in the performance of single cylinder D I diesel engine with B20
Biodiesel blend fuel
24 Author: P. Venkateswara Rao, D. Prabhakara Chary
DOI: 10.22161/ijaers.5.11.24
Page No: 171-176
Extraction and Evaluation of Tamarind Kernel Mucilage powder for Hydrocolloidal
Properties
Author: Kirthy Reddy M, Bhanu Teja Goud P, Mighty Priya S, Ravindra Kumar K, Govardhan
25 U V
DOI: 10.22161/ijaers.5.11.25
Page No: 177-182
An Experiment with 3 Layers Development for IoT with NodeMCU12e + Nextion
Author: Antonio Carlos Bento, Norberto dos Santos, José Carmino Gomes Júnior
26
DOI: 10.22161/ijaers.5.11.26
Page No: 183-189
KCS34 evaluation for WHR in cement industry
Author: Mayra Diniz Ponce Arrieta, Felipe Raul Ponce Arrieta
27
DOI: 10.22161/ijaers.5.11.27
Page No: 190-196
Implication of Mining Investment improvement as Effect of Increasing Government
Expenditure in Development of Mineral Industry in Indonesia (2009-2016)
28 Author: Hijir Ismail Adnin Rasyad, Muhammad Yunus Zain, Marsuki, Abdul Rahman Razak
DOI: 10.22161/ijaers.5.11.28
Page No: 197-204
Adsorption of Nitrogen Dioxide (NO2) for Different Gas Concentrations, Temperatures and
Relative Humidities by using Activated Carbon Filter: An Experimental Study
29 Author: Adnan Görgülü, Yıldız Koç, Hüseyin Yağlı, Ali Koç
DOI: 10.22161/ijaers.5.11.29
Page No: 205-211
Studies on Development and Testing of Sensor for Automatic Irrigation System
Author: Ugale Dipak, Bankar Umesh, Shelke Vishal, Prof. Pachore R.A.
30
DOI: 10.22161/ijaers.5.11.30
Page No: 212-216
Multivariate Analysis Applied to Forestry Agricultural Sciences: The Model-Directed Study
Author: Angela Helena Silva Mendes Stival, Gilberto de Souza Iris Oliveira, Jessica Bezerra
Bandeira, Josué Luiz Marinho Junior, Larissa da Silva Cintra, Patricia Cardoso Dias, Debora
31 Portella Biz, Augustus Caeser Franke Portella
DOI: 10.22161/ijaers.5.11.31
Page No: 217-225
x
Analysis of UV-B Absorption by Fiber Plastic/Glass with Various Colors using UV-VIS
Spectrometer
32 Author: Sudarti, Alex Harijanto, Bambang Supriadi, Maryani, Candra Ari Seskawan
DOI: 10.22161/ijaers.5.11.32
Page No: 226-228
An Analysis of the Demand for the Consumptionof Rice Substitutes in Households in the
Province of Maluku
33 Author: William Louhenapessy, Basri Hasanuddin, Madris, Paulus Uppun
DOI: 10.22161/ijaers.5.11.33
Page No: 229-240
A Comparative View of the Main Frameworks in Organizational Modeling Process
Author: Gabriel Riso Oliveira, Ailton da Silva Ferreira
34
DOI: 10.22161/ijaers.5.11.34
Page No: 241-254
IoT Based Industrial Production Monitoring System Using Wireless Sensor Networks
Author: P. Sumithra, R. Nagarajan, M. Padmavathi, M. Malarvizhi
35
DOI: 10.22161/ijaers.5.11.35
Page No: 255-262
A Literature Study of Wind Analysis on High Rise Building
Author: Ashish Sadh, Ankit Pal
36
DOI: 10.22161/ijaers.5.11.36
Page No: 263-265
Optimization of skylight composition for cooling and lighting energy efficiency (Case Study:
G-building ITATS)
37 Author: Dian P.E. Laksmiyanti, Randy P. Salisnanda
DOI: 10.22161/ijaers.5.11.37
Page No: 266-271
Effect of the Substitution of Agricultural Uses by Forest on the Hydrological Processes in a
Tropical Watershed. Analysis through Hydrological Simulation
38 Author: Ronalton E. Machado, Milena S. Lopes, Lubienska Cristina Lucas J. Ribeiro
DOI: 10.22161/ijaers.5.11.38
Page No: 272-286
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International Journal of Advanced Engineering Research and Science (IJAERS) [Vol-5, Issue-11, Nov- 2018]
https://dx.doi.org/10.22161/ijaers.5.11.1 ISSN: 2349-6495(P) | 2456-1908(O)
Comparative Study between Groin and T-Head

Groin
Syawaluddin Hutahaean
Ocean Engineering Program, Faculty of Civil and Environmental Engineering,-Bandung Institute of Technology
(ITB), Bandung 40132, Indonesia
syawaluddin@ocean.itb.ac.id
Abstract— This study conducted a comparative study

between groin and T-groin. The study was done by
developing stable coastline equation between groins and
between T-Head groins. Stable coastline equation is the
follow up of previous research by the same researcher.
Meanwhile, stable equilibrium coastline equation between
T-Head groins is the development of stable coastline
between groins equations.
Comparation study in erosion on the downstream groin Fig.1: Coastal hydrodinamic at the coast between two
and the maximum erosion shows that T-groin provides groins
better coastal protection than groin.
Keywords— stable coastline, groin, T-Head groin.
I. INTRODUCTION
Van Rijn [1] has acquired that as a result of differences in
wave height as a result of a diffraction, there is littoral
Fig.2: T-Head Groin or T-Groin
current toward shadow zone and down drift groin at the
coastline protected by groin (Fig.1). The littoral current
Even though there are not so many researches on T-groin,
carries littoral drift that is deposited at the down drift groin
the result of the research shows that there is sedimentation
that can cause sedimentation at down drift groin; therefore
at the downstream groin (Fig.3). The researches was done
the presence of this littoral drift acts as protector of down
by among others, Bodge [3], Ozolcer [4], Elko [5],
drift groin against erosion, at least reducing erosion.
Ozolcer [6] Hanson [7] Frech, F.F [8], Ishihara [4] and
Vadya[2], show that impact of groin length is less erosion
Sato [9]. Those results of the researches strengthens the
on downdrift groin as the length of groin increases.
assumption that T-groin will provide a better coast
The longer the groin the greater the shadow zone, the
protection than groin.
larger the difference of water surface elevation and the
greater the littoral drift, the greater the sedimentation at the
downstream groin. In addition to extending the groin, the
widening of the shadow zone can be done by constructing
T-head at the groin. Groin with this T-head is called T-
head Groin or T-Groin (Fig.2). With the presence of this
phenomenon, it is estimated that T-Groin will provide
better coastal protection than using groin. Fig.3: Erotion and accretion between T-groins
Hutahaean [10] has developed a method to build stable

coastline equation between groins. In this research, the
method is applied at T-groin to obtain stable coastline
equation between T-groins. Then, a comparison is done to
the phenomenon of erosion and sedimentation that occur at
the formation of stable coastline between the two types of
groin.
www.ijaers.com Page | 1
II. STABLE COASTLINE EQUATION BETWEEN dy
GROINS (REVIEW OF PREVIOUS STUDY) a. 0
dx
Stable coastline between T-groins equation will be
formulated the same way as the formulation of s table c1  2c2 r  0
coastline between groins equation (Hutahaean [10]). c
Therefore, the next section will discuss first the r 1
2c 2
formulation of stable coastline between groins equation.
b. y  q
 q  c 0  c1 r  c 2 r 2
c1
Substitute r
2c 2
2
 c   c 
c0  c1   1   c 2   1   q
 2c 2   2c 2 
Fig.4: A Sketch of stable coastline between groins c12
c0 c 2   qc2  0 ......(3)
4
Stable coastline between groins equation is approximated
using quadratic polynomial equation, i.e.:
yx  c0  c1 x  c2 x 2
4. Approximation for 
r , r  Lg  q tan  
This approximation is a hypothesis, as an effort to
where c 0 , c1 and c2 are determined using conservation
incorporate the role of the length of groin Lg where 
law of mass and stable coastline characteristics as on
Fig.4, i.e.: is a coefficient with a set value, i.e.   1.0 for
increasing the influence of Lg , whereas   1.0 for
1. Conservation Law of Mass :
decreasing the influence of Lg . This value of  can
Conservation Law of Mass in this case is the volume of
erosion is similar to the volume of accretion be obtained by conducting a calibration to the test
result of physical model in the laboratory. In this
By ignoring sand porosity, the conservation law of research   1 is used.
 Lg  q  tan 
mass can be stated as: c1
b 
 yx dx  0
2c2
0
By completing integration and dividing the integration
L g  q tan  
c1
0 ........(4)
2
with groin gap width b, the first equation is obtained,
i.e.: The four equations, i.e. equations (1), (2), (3) and (4) can
c1 c be completed using Newton-Rhapson iteration method
c0  b  2 b2  0 ..........(1)
2 3 for non-linear equations system with c0 , c1 , c2 and q
as the unknown. The initial value for the iteration is
2. Boundary condition at the upstream groin
c0   p , where p is determined randomly with a value
At the upstream groin, where xb the boundary
3 tan 
dy around -1.0 or +1.0, c1   tan  , c 2 
.
condition is done  tan  , 2b
dx
Whereas, the estimation of initial value of q , the
c1  2c2 b  tan  ........(2)
following equations are used,
dy
3. At the minimum point, i.e. at xr, 0
dx
and y  q
c III. STABLE COASTLINE BETWEEN TWO T-
r 1 and GROINS EQUATION
2c 2 Equation for stable coastline between T-groins is
2
 c1   c1  formulated using the same method with the previous

 q  c0  c1    
  c 2   2c  part, by incorporating the role of arm T where the
 2c 2   2  length of half of the arm is t (Fig.7), as follows:
Example of equation result
The equation is done at groins gap b  100 m, length of
groin Lg  30 m with the angle of the incoming wave  :
100 , 200 and 300 . Influence Coefficient Lg , i.e.  = 1.

Table.1: Polynomial Coefficient of Equation Result
0 c0 c1 c2
10 -2.641 -0.009 0.001
20 -4.853 -0.036 0.002
30 --6.718 -0.087 0.003 Fig.7: Sketch of stable coastline between two T-Groin
dy
50 a. Boundary condition of  tan  is done at the
y (m)
0 dx
-50
0 50 x (m)100 150 point with abscissa x  s , therefore (2) becomes,
c1  2c2 s  tan  .........(5)
beta 10 beta 20 b. Equation for s
beta 30 c0  a0   c1  a1 s  c2 s 2  0
Fig.5: Stable coastline between groins, equation result .......(6)
. This is an equation of point intersection between
(Figi 6) presented stable coastline graphs for varied groin non diffracted wave originated at the left arm of
length of L g , i.e. 30 m, 50 m, and 70 m, with groins upstream groin with stable coastline (Fig 7), where
the wave ray equation is:
yx   a0  a1 x ,
spacing 100 m and incoming wave angle 300 . The result of
the equation shows that the longer the length of the groin,
where a1  t a , n
the smaller the erosion groin will be, where for groin with   90    and a0  Lg  a1 b  t  .
a length of 70 m, there is an accretion at the downstream
c. Incorporating the role of arm T downstream at r.
r  Lg  q tan   t
groin. This represents the presence of longshore current
effect toward downstream groin as the result of the study
Van Rijn [1] and agrree with Vadya’s study [2] .
Therefore (4) becomes,
50
L  q tan   t 
c1
0
y (m)
g
0 2
...............(7)
-50 0 50 100 150
x (m) Similar to the equation for groin,  at equation (7)
is a coefficient that is obtained through calibration
Lg = 30 m Lg = 50 m with the result of physical model, where in this
research  = 1 is used.
Lg = 70 m
Fig.6: Stable coastline with varied length of groin L g Using equations (1), (5), (3), (7) and (6), unknowns
c0 , c1 , c2 , q and s are calculated using Newton-
Rhapson’s iteration method.
Table.1: Comparison between groin and T-groin
50
y (m) Groin
0
Lg Erd Ermax
-50 0 50 100 150
x (m) (m) (m) (m)
40 -8,14 -8,19
t = 10 m t = 20 m 50 -7,87 -7,96
60 -7,59 -7,73
t = 30 m
70 -7,3 -7,5
Fig.8: Stable coastline between T-groins, varied t 80 -7 -7,29
T-Groin L  trunk =30 m
(Fig. 8) presented equation result for incoming wave angle t Erd Emax
  15 0
, L g (Trunk) = 30 m, groins gap (distance (m) (m) (m)
10 -7,64 -7,84
between trunk) b  100 m, whereas the length of half
20 -6,47 -7,02
head t varies, 10, 20, and 30 m. The figure shows that the
30 -5,15 -6,27
longer the half head t, the smaller the erosion at the
40 -3,65 -5,62
downstream oin will be, and when the half head long
50 -1,94 -5,07
enough, the downstream groin accreted. Therefore, head
also protect the coast around downstream groin against
erosion, and protect against outflanked (Fig.9). V. CONCLUSION
The method that is developed is quite simple to be applied
and can reproduce the features of stable coastline between
groins or between T-groins, and erosion and
sedimentation that occur. However, a calibration is still
needed to the physical model.
Even though the equation that is produced still requires
physical model test, but considering the same method is
Fig.9: Outflank groin used, it can still be concluded that coastal protection using
T-groin is more effective than using groin.
IV. COMPARISON BETWEEN GROIN AND T-
GROIN REFERENCES
Table (1) show erosion at the downstream (Erd) and [1] Van Rijn, L.C. (2014). A simple general expression for
maximum erosion (Ermax) at groin and T-groin. Angle longshore transport of sand and gravel. Coastal
of incoming wave   150 , groin gap width (trunk to Engineering Vol.90, 23-29.
[2] Vadya, A.M., Kori, Santosh K. And Kudale, M.D.
trunk) 100 m. The length of groin L g varies from 40 m up
(2015). Shoreline Response to Coastal Structures,
to 80 m. The length of trunk ( L g ) at T-groin is 30m with International Conference on Water Resources, Coastal
And Ocean Engineering (ICWRCOE 2015) . Aquatic
the length of half T-head varies, i.e. t = 10 m up to 50m.
Procedia 4 (2015), 333-340. www.sciencedirect.com.
By considering T-groin as L-groin, the same total length
[3]Bodge, K.R. (2003).Design Aspect of Groin and Jetties.
between groin and L-groin, i.e. for groin length of L g , 40 In : Advances in Coastal Structure Design. Ed.R.
m, can be compared with L-groin with the length of trunk Mohan, O. Magoon, M.Pirello. American Society of
30 m + 10 m half T-head , etc. Civil Engineers (ASCE). Reston, VA. ISBN 0-7844-
Table (1) shows that for the same length of structure, Erd 0689-8. Pp. 181-199
and Ermax at T-groin are always smaller than Erd and [4] Ozolcer,I.H, I.K.Birben, A.R. Yusek. O., Karasu,
Ermax groin. And the additional length of head at T- S.,(2006). Effect of T- Shapes of Groins Parameters on
groin is more effective than the additional length of groin Beach Accretion, Journal of Ocean Engineering 33 pp
in reducing Erd and Ermax. 382-403.
[5] Elko, N.A., W.Mann, Douglas P.E. (2007),
Implementation of Geotextile T-Groins in Pinellas
Countiy, Florida. Shore & Beach Vol. 75 no.2 Spring
2007.
[6] Hanson, H., and Kraus, N.C. (2001), Chronic beach
erosion adjacent to inlets and remediation by
composite T-head groins, ERDC/DHL CHETN IV-36
U.S. Army Engineer Research and Development
Center, Vicksburg, MS.
http://chl.wes.army.mil/library/publications/chetn.
[7]Frech, F.F. (1949), Report to the XVIII International
Navigation Congress, S II, C I, 45-62.
[8]Ishihara, T., and Sawaragi, T. (1964), Stability of
beaches using groins, Proceeding 9 th Coastal
Engineering Conference, ASCE, 299-309.
[9] Sato, S., and Tanaka, N. , (1974). Field and model
study on the protection of recreational beach against
wave action. Proceeding 14 th Coastal Engineering
Conference, ASCE,1432-1450.
[10] Hutahaean, S. (2018). Stable Coastline Between Two
Groins Equation. Internationa Journals of Advance
Engineering Research and Science (IJAERS). (Vol.-5,
Issue-8, Aug. 2018). ISSN: 2349-6495 (P)/2456-1908
(O). http://dx.doi.org/10.22161/ijaers.5.8.28.
International Journal of Advanced Engineering Research and Science (IJAERS) [Vol -5, Issue-11, Nov- 2018]
The Effect of Bitumen Stabilized Subgrade on

Cost of the Flexible Pavement
Mustafa Çalışıcı
Department of Civil Engineering, Iskenderun Technical University, Iskenderun/Hatay, TURKEY
Email: mustafa.calisici@iste.edu.tr
Abstract— In countries where freight transportation is Şenol el al. [9] have investigated the effects of high
mostly done by highway, the increasing load carrying volatility of carbon as well as fly ash containing CaO and
capacity of heavy vehicles creates the need for carbon from different plants on the stabilization of soft
strengthening the road pavements. In this study, the soils. They found that CBR value and compressive
effects of stabilized subgrade with asphalt emulsion on strength increased significantly compared to the soil types
flexible pavement thickness and pavement cost were with the increase in the ash content, and the highest
determined. Consequently, the optimum emulsion content increase was in the CL class in the fly ash content.
and the CBR value has been determined. As a result, it Eren and Filiz [10] In their study, they examined the CBR
was seen that the thickness of the asphalt pavement and values of cement and lime added soil in different ratios. In
thus the cost of pavement decreased. the study, it was determined that the lime ratio could
Keywords— Bitumen Emulsion, Stabilization, CBR, increase the CBR value up to a certain value, but also
Flexible pavement, AASHTO 86. found that the lime added soil was more resistant to
swelling.
I. INTRODUCTION
Increased traffic volume, environmental and external II. MATERIAL AND METHODS
factors, and flaws incurring during construction phase In this study, the soil is stabilized by bitumen emulsion
cause early deterioration of the road pavement [1,2,3,4]. and the bearing capacity is increased. The effects on the
Subgrade stability in road pavements significantly affects flexible pavement are determined by using the 2015
the superstructure. Because the subgrade should be able to traffic data for Adana – Mersin highway using the
resist the stresses caused by the traffic loads [5]. Soil AASHTO 86 pavement design method. The viscosity of
improvement can be done by many different methods. the emulsion used in stabilization was 46 sec and the
One of these methods is to ensure the soil stabilization by specific gravity was 1.0125 gr / cm3.
adding additives. Cement, lime, fly ash, bitumen etc. Soil sample used in stabilization was prepared to meet
Additives such as stabilizers are the most preferred Turkish State Highway Specification and AASHTO
stabilization methods to provide soil stabilization. In the specification limits. (Table 1).
literature, there were many studies on the effects of
different materials on the California Bearing Ratio (CBR) Table.1: Sample gradation before and after oven
or superstructure for different soil types. [6-10]. Specification Before
After oven
Kök et al. [6] investigated the relationship between the Sieve No Limits oven
% passing
cost of flexible pavements and the cost of stabilization to % passing % passing
be built on soils with cement stabilization. As a result, for
4 50-100 85.00 89.50
the low, medium and high traffic values, the cost of the
pavement decreased to 15% CBR, then gradually 40 35-100 55.00 56.90
decreased and the stabilization cost increased with the
increase in CBR amount. 200 10-50 20 21.50
Kolias et al. [7] investigated the effectiveness of
stabilization with high calcium-containing fly ash and Modified Proctor Tests was performed on the soil sample
cement on clayey soils. and maximum dry unit weight and optimum water content
Çalışıcı et al. [8] have investigated the effects of CBR on values were found in Figure 1.
the infrastructure on bitumen reinforced soil and found
that there is a significant decrease in the superstructure
thickness.
Table.2: Adana - Mersin highway annual average daily
traffic data for 2015 [11].
Annual Annual
Vehicle Type Average increase
Daily Traffic rate (%)
Truck 3555
3
Trailer 3920
Bus 450
5
Car 26000
Fig. 1: Dry unit volume weight - water content

The M R value used in the design can be calculated with
relationship of soil
the equation in Equation 1 depending on the CBR [12].
M R 1500 CBR (1)
The sample prepared in optimum water content was
mixed with bitumen emulsion at 1,2,3,4% and 5% by The planned route between Adana and Mersin is 4 lanes,
weight and subjected to Marshall Stability Test. As a the pavement width is 13 m and the base width is 20 m.
result of the Marshall stability test, the optimum bitumen Stabilization of the soil was adopted at a thickness of 10
emulsion ratio for stabilization was 4% (Fig. 2) cm. Service capability of road (Pt) = 2.6 and Area factor
R = 1.0
IV. CONCLUSION
In this study, the effects of soil stabilization on the
215.0
thickness of asphalt pavement were investigated. In
M arshall Stability (Kg)
195.8
addition, the cost reduction to be obtained by decreasing
164.8 the pavement thickness is calculated. The layer
thicknesses calculated before and after stabilization are
125.6 given in Table 3 and Table 4.
Table.3: Pavement thickness before stabilization

69.8 5 cm Surface Course
8 cm Binder Course
79 cm
66 cm Base Course
1% 2% 3% 4% 5%
Bitumen Emulsion content (%) Subgrade (CBR %18)
Fig. 2: The Marshall Stability Test Results Table.4: Pavement thickness after stabilization
5 cm Surface Course
As a result of the CBR test performed before stabilization 8 cm Binder Course
to the soil, the CBR value was found to be 18.09, the 65 cm
CBR of the sample stabilized with 4% bitumen emulsion 52 cm Base Course
was 24.05. According to this result, stabilization with
bitumen emulsion resulted in an increase of 33% in the Stabilized Subgrade
10 cm
soil bearing strength. (CBR %24)
Subgrade (CBR %18)
III. RESULTS AND DISCUSSION
The CBR value obtained at the end of the experimental Table 3 and Table 4 showed that the base course after
studies was selected as 24. Considering AASHTO 86 stabilization decreased by 14 cm. With the increasing
flexible pavement design criteria, Mersin and Adana state CBR after stabilization of the soil, the decrease in the
highway traffic data and environmental data values in base layer is an expected result. It can be calculated that
Turkey were used the pavement design. The traffic data the layer thickness of the base course is reduced by about
used in the design is presented in Table 2. 21.2%.
Although the base layer has been reduced in the
calculated pavement for the stabilized subgrade, the [11] KGM, 2016. 2015 Trafik ve Ulaşım Bilgileri, Trafik
economic gain should be calculated by taking into Güvenliği Dairesi Başkanlığı, Ankara
account the 10 cm stabilized subgrade cost. The distance [12] Tunç, A., 2004. Kaplama Mühendisliği ve
between the cities of Adana and Mersin is 86 km. After Uygulamaları, Asil Yayın Dağıtım, Ankara, 279.
the cost calculations, it was calculated that the road
construction cost per kilometer has decreased by 5.3 %
after stabilization.
REFERENCES
[1] Mustafa Çalışıcı, Metin Gürü, M. Kürşat Çubuk,
Ömer Faruk Cansız, Improving the aging resistance
of bitumen by addition of polymer based diethylene
glycol, Construction and Building Materials, Volume
169, 2018, Pages 283-288, ISSN 0950-0618,
https://doi.org/10.1016/j.conbuildmat.2018.03.018.
[2] Mustafa Çalışıcı, (2009), “Bitümün Sentetik Metal ve
Polimer Katkı Maddeleriyle Yaşlanma Direncinin
Arttırılması”, Doktora tezi, Gazi Üniversitesi, Fen
Bilimleri Enstitüsü, Ankara.
[3] Çalışıcı, M., Cansız, Ö.F., Ünsalan, K., Koç, E.,
(2017), “Katyonik Asfalt Emülsiyon Stabilizasyonlu
Zeminin Esnek Üstyapı Maliyetine Etkisi”,
Proceedings of the 3. International Soil-Structure
Interaction Symposium İzmir/Turkey, 676-681
[4] Çalışıcı, M., Cansız, Ö.F., Ünsalan, K., Koç, E.,
(2017), “Zeminin Bitümle Stabilizasyonunun Yol
Üstyapısına Etkisi”, 2. International Congress on
Engineering Architecture and Design, 591-592
[5] Uzuner, B.A., 1995. Temel Mühendisliğine Giriş,
Derya Kitabevi, Trabzon, 139.
[6] Kök, B. V, Yılmaz, M., Geçkil, A., 2012. Çimento
Stabilizasyonlu Zeminin Esnek Üstyapı Maliyetine
Etkisi, Pamukkale Üniversitesi Mühendislik Bilimleri
Dergisi, 165-172.
[7] Kolias, S., Kasselouri-Rigopoulou, V., Karahalios, A.
2005. Stabilisation of Clayey Soils With High
Calcium Fly Ash and Cement. Cement & Concrete
Composites. 27, 301–313.
[8] ÇALIŞICI, M , KOÇ, E , CANSIZ, Ö . (2017).
Katyonik Asfalt Emülsiyon Stabilizasyonlu Zeminin
Esnek Üstyapı Tabaka Kalınlığına Etkisi. Çukurova
Üniversitesi Mühendislik-Mimarlık Fakültesi
Dergisi, 32 (2), 231-238. DOI:
10.21605/cukurovaummfd.358427
[9] Şenol, A., Edil, T.B., Bin-Shafique, M.S., Acosta,
H.A., Benson, C.H. 2006. Soft Subgrades’
Stabilization by Using Various Fly Ashes. Resources,
Conservation and Recycling. 46, 365–376
[10] Eren, S., Filiz, M. 2009. Comparing the Conventional
Soil Stabilization Methods To The Consolid System
Used as an Alternative Admixture Matter in Isparta
Darıdere Material. Construction and Building
Materials. 23, 2473–2480
Identification of Clusters of the Scientific

Production on Business Incubators
Francisco Valdivino Rocha Lima1, Fabrício Carvalho da Silva2, Gilton José
Ferreira da Silva3, João Antonio Belmino dos Santos4, Ana Eleonora Almeida
Paixão5
1 Department of Management and Business , Federal Institute of Piauí, Brazil
Email: valdivinorocha@ifpi.edu.br
2 Federal Institute of Piauí, Campus Uruçuí, Brazil
Email: fabriciocarvalho@ifpi.edu.br
3 Department of Computing, Federal University of Sergipe, Brazil
Email: gilton@dcomp.ufs.br
4 Department of Food Technology, Federal University of Sergipe, Brazil
Email: joaoantonio@ufs.br
5 Post-Graduate in Intellectual Property Science, Federal University of Sergipe, Brazil
Email: aepaixao@gmail.com
Abstract—Business incubators are increasingly The role of incubators in the development, growth and
important institutions in the economic scenario and focus consolidation of companies has attracted the attention of
of countless scientific researches. The objective of this researchers in the field of economics and management in
work was to identify the clusters of the international the last 35 years[3], [4]. For this reason, a significant
scientific production on business incubators, through number of scientific works have been published, at the
bibliometric analysis. We analyzed publications from the international level, on the various particularities that
period 1984 to 2017, through a systematic mapping in involve these institutions.
periodicals and annals of congresses. Four clusters on Most incubator studies are financed by gov ernments,
the subject were identified: (i) implementation and through universities or research centers [5], showing a
management of incubators; (ii) management of proactive position in promoting the ideal conditions for
companies served by incubators; (iii) incubation, regional economic development. In fact, in a knowledge-
knowledge transfer and competitiveness at the regional based economy, universities become the base elements of
level; and, (iv) entrepreneurial education and culture in the innovation process [6].
the context of higher education institutions. The cluster In this context, the objective of the present study was to
construction of scientific publications on business identify the clusters of the international scientific
incubators points to technology scenarios, business production on business incubators, from 1984 to 2017.
models, and innovation strategies. The choice of bibliometric approach is justified by the
Keywords—Business incubation, bibliometrics, fact that an analysis of academic production in a
scientific clusters. longitudinal way allows the incorporation of several
theoretical perspectives and their relations over time,
I. INTRODUCTION constituting a useful format to understand the evolution of
Business incubators are mechanisms developed around a certain area of knowledge.
the world to implement policies to support innovation and
business growth, especially in technology-oriented II. BUSINESS INCUBATORS: ORIGIN AND
companies. They constitute dynamic processes for the DEFINITION
formation of entrepreneurs and enterprises, financed by The United States pioneered enterprise incubation
investments of various natures and supported by the programs because of three simultaneously developed
intellectual and technological assets of training and processes: (i) corporate condos; (ii) various investments
research. Incubator activities involve a variety of services in new technology companies; and, (iii) focus on
and infrastructure that support startup ventures, greatly entrepreneurship programs. These initiatives were
increasing the chances of success [1], [2]. implemented by the National Science Foundation, which,
in partnership with the largest universities in the country, III. METHODOLOGY
developed actions to stimulate the generation of In the present bibliometric analysis, we used data from
innovation in research centers by students and teachers, as the scientific production on Business Incubators based
well as the transfer of knowledge and technologies onarticles published in periodicals and congress annals
produced in the academic field to society [7], [8]. indexed in the Web of Science. The study was carried
The literature on business incubators contains a large out in six stages: (a) definition of the research theme; (b)
number of similar definitions. One of the most commonly choice of database; (c) elaboration of the search
cited definitions of business incubators in scientific work protocol; (d) search performance; (e) identification of
is the definition of the International Business Innovation clusters of scientific production on the subject; and, (f)
Association (InBIA). According to this association, a analysis of identified clusters.
business incubator is a means of business support, which The keywords "Business Incubator" and "Business
effectively accelerates the development of small Incubation" were used, considering only the publication
enterprises, providing entrepreneurs with resources and in which at least one of them was present in the title,
services in the initial period in which they are more abstract and / or keywords of the work. This research
vulnerable [9], that is, is an entity with technical, methodology is especially used in the area of technology
managerial, administrative and infrastructure capacity to and information science.The data were processed using
provide the small entrepreneur with mechanisms for VosViewerSoftware.
growth[10].
Incubators are created with the objective of providing, IV. RESULTS AND DISCUSSION
during the incubation period, the necessary capacities so After the application of the search criteria defined in the
that, after incubation, companies are more likely to adapt methodology, 473 works were identified with the
to the market, generating competitive advantages over keyword Business Incubators and 121 works with the
other companies in the sector, through innovation and keyword Business Incubationin the period from 1984 to
application of technology, supporting local and regional 2017. Subsequently, we excluded duplicate papers,
economic development. In addition, it seeks to support obtaining a total of 534 papers, covering the two
the entrepreneur himself, preparing him for the keywords defined for the study. It was observed that the
management of his business. In this way, the incubation first publications on business incubators occurred in
process results in a key factor so that competences are 1984, as shown in Figure 1.
acquired in an adequate way, fulfilling the objective for
which the incubators were created[11], [12].
Fig. 1: Number of publications on business incubators, 1984-2017
In Figure 2, it is presented a network of occurrence of determines the weight of each of them, in relation to the
common terms in the set of works analyzed, which number of linked works and the number of times these
resulted in the formation of clusters of the main research have been cited. The color determines the cluster to which
areas. In the network visualization, the terms are the term belongs and the lines between them represent
represented by their label and by a circle, whose size links (cocitation). The distance between two terms in the
visualization indicates the relationship between the The first cluster (red) are topics related to the
content of the works to which they are linked, in what management and operation of incubators, such as
concerns cocitation. incubation process, management models etc. The second
For the construction of the network, the following criteria cluster (blue) is related to the management of companies
were established: (a) the terms were extracted from the linked to incubators, with emphasis on terms such as
title and of the summary of each article; and (b) the performance, relationship and managerial effectiveness.
minimum occurrence of each term in the work set should The third cluster (green) includes terms related to regional
be 20. In total, the incidence of 9,181 terms was identified aspects, including the name of countries such as
in the 534 papers analyzed, of which only 138 met the Germany, Russia, etc. Finally, the fourth cluster (yellow)
criteria established above. The network was structured in is related to entrepreneurship in the academic sphere,
four clusters, identified in Figure 1 by the colors red, focusing on topics such as creativity, entrepreneurial
blue, green and yellow. culture, among others.
Fig. 2: Clusters of scientific production on business incubators
` `
In the period from 1984 to 2003 - the first 20 years of the present study.
historical series analyzed - only 58 publications,
developed almost exclusively in the United States and V. CONCLUSION
whose thematic focus was directed to the implantation The analysis of clusters of the scientific production
and management of incubators of companies. From 2004, related to the incubator of companies highlights research
however, there is a gradual increase in the number of related to the management and operationalization of these
published works, with a focus on the dissemination of the institutions, incubation process, management models,
entrepreneurial culture in the academic scope and management of resident companies, transfer of
management of companies resident in incubators. In knowledge and competitiveness in the regional scope
addition, a broader geographic coverage is observed in the (results of governmental policies) and works with focus
research focus, strengthening the growth and on entrepreneurship, specifically related to the creativity
consolidation of the other clusters characterized in the and entrepreneurial culture in the academic scope, the
identification of publications on the subject of business pp. 254–267, May 2007.
incubators on a scientific basis points to possible [12] N. Roth, A. Brem, and N. Kreusel, “European
scenarios of technology, business model and innovation business venturing in times of digitisation - an
strategies. In addition to highlighting the characteristics analysis of for-profit business incubators in a triple
and directions of studies already published, it allows the helix context,” Int. J. Technol. Manag., vol. 76, no.
understanding of the gaps for specific studies, in order to 1/2, p. 104, 2018.
contribute to the definition of a research agenda in the
area.
REFERENCES
[1] J. M. Shepard, “When incubators evolve: new
models to assist innovative entrepreneurs,” Int. J.
Entrep. Innov. Manag., vol. 21, no. 1/2, p. 86, 2017.
[2] H. Zhang, W. Wu, and L. Zhao, “A study of
knowledge supernetworks and network robustness in
different business incubators,” Phys. A Stat. Mech.
its Appl., vol. 447, pp. 545–560, Apr. 2016.
[3] S. Mian, W. Lamine, and A. Fayolle, “Technology
Business Incubation: An overview of the state of
knowledge,” Technovation, vol. 50–51, no. 4, pp. 1–
12, Apr. 2016.
[4] M. Schwartz and C. Hornych, “Cooperation patterns
of incubator firms and the impact of incubator
specialization: Empirical evidence from Germany,”
Technovation, vol. 30, no. 9–10, pp. 485–495, Sep.
2010.
[5] Á. R. Vásquez-Urriago, A. Barge-Gil, and A. M.
Rico, “Which firms benefit more from being located
in a Science and Technology Park? Empirical
evidence for Spain,” Res. Eval., vol. 25, no. 1, pp.
107–117, Jan. 2016.
[6] M. Ranga and H. Etzkowitz, “Triple Helix Systems:
An Analytical Framework for Innovation Policy and
Practice in the Knowledge Society,” Ind. High.
Educ., vol. 27, no. 4, pp. 237–262, Aug. 2013.
[7] N. Mahmood, C. Jianfeng, F. Jamil, J. Karmat, M.
Khan, and Y. Cai, “Business Incubators: Boon or
Boondoggle for SMEs and Economic Development
of Pakistan,” Int. J. u-and e-Service, Sci. Technol.,
vol. 8, no. 4, pp. 147–158, Apr. 2015.
[8] M. P. Rice, “Co-production of business assistance in
business incubators: an exploratory study,” J. Bus.
Ventur., vol. 17, no. 2, pp. 163–187, Mar. 2002.
[9] International Business Innovation Association
(InBIA), “Business Incubation,” 2018. [Online].
Available: https://inbia.org.
[10] D. Săvescu, “Research for Business –a New Concept
and a Case Study,” in 2nd International Conference
on Applied Social Science - ICASS, 2012, pp. 339–
344.
[11] K. Aerts, P. Matthyssens, and K. Vandenbempt,
“Critical role and screening practices of European
business incubators,” Technovation, vol. 27, no. 5,
Calculation of the Heat Transfer Surface Area of

Heat Exchangers for Waste Heat Recovery with
the Kaline Cycle
Felipe Raúl Ponce Arrieta, Josme de Sousa Santos, Wagner Henrique
Saldanha
Department of Mechanical Engineering, Pontifical Catholic University of Minas Gerais, Av. Dom José Gaspar, 500 – CEP
30535-901 – Belo Horizonte – MG – Brazil
Abstract— The purpose is to calculate the heat transfer side, and so determine the overall heat transfer
surface area of the shell and tube heat exchanger aiming coefficient. The determination of the heat transfer surface
recovery to waste heat with Kalina cycles. The procedure area is linked to the overall coefficient of heat transfer
for calculating the area was implemented in software intrinsically. In this context the purpose in the design of
Engineering Equation Solver (EES), where the shell and tube heat exchangers is to calculate the heat
calculation of the LMTD was held with the existing transfer surface area implemented in software
functions in EES for the correction factor calculation, Engineering Equation Solver (EES), aiming recovery to
and additional correlations were implemented in the EES waste heat with Kalina cycles for power generation from
to calculate the thermodynamic properties of NH 3 -H2 O waste heat of cement production process.
mixture and to determine the transport properties of the
phase change regions. As input data for the calculations II. LITERATURE REVIEW AND PROPOSED
were employed geometry (internal and external diameters CYCLE
of the tubes, the exchanger arrangement, geometrical The determination of the heat transfer coefficient for
arrangement of the tubes) and the heat balance of the mixtures is complex, particularly when the process
heat exchanger (temperature, concentration of NH3 -H2 O involves phase change. Rivera and Best [5] found
mixture, etc.) obtained by simulation of the Kalina cycle. experimentally that the heat transfer coefficient in boiling
As an example of the results that were obtained for the NH3 -H2 O mixture is 2 to 3 times higher than that of the
evaporator, the overall heat transfer coefficient was ammonia-lithium nitrate mixture. Khir et al [6] reported
found to be 108,5 W/m2 K and the heat transfer surface that heat and mass flow strongly influences the heat
area of 1170 m2 . This value of the overall heat transfer transfer coefficient in the NH3 -H2 O mixture, but the
coefficient is within the ranges reported in the literature concentration of the mixture does not have great
by other researchers. influence. Araújo et al [7] studied the behavior of the
Keywords—heat exchanger, waste heat recovery, Kalina coefficient of heat transfer of various fluids in the
cycle. evaporation process, and fluid from the studies, R717
(ammonia) presented a more efficient heat transfer. Shah
I. INTRODUCTION [8] modified correlation shape to be applied in mixtures,
The waste heat from production processes are usually at and validated using the comparison with other
low temperature. Hence, it is necessary a good heat correlations in literature.
exchanger design for recovery and produce power in The NH3 -H2 O mixture has a boiling point below than
thermodynamic cycles. The Kalina cycle [1-4] is pure water and boiling temperature variable promoting
excellent choice for waste heat recovery from production the reduction of losses in heat transfer, according Mirolli
process. This cycle has as working fluid an ammonia- [9], this provides an efficient use for waste heat recovery
water (NH3 -H2 O) mixture that offers a better efficient on from exhaust gases in cement process. Kalina et al [10]
other cycles such as Rankine cycle. The use of NH 3 -H2 O found a large ratio between the exchange surface of the
mixture is a complicating factor in determining the evaporator and the power generated by the cycle. And in
convective coefficient of heat transfer, the calculation of thermodynamic cycle for waste heat recovery is known
which has a certain complexity. Empirical correlations are that the heat exchangers are devices that influence over
used to find the convective coefficients the cold and hot the initial investment cost and the amount of power
generated by the system, hence the importance of a proper state involved presented in Table 1 and Table 2. This data
sizing of this equipment second Arrieta et al. [11]. come from the thermodynamic calculation of the cycle
The Kalina cycle proposed by Arrieta et al. [11]. for the performed by Arrieta et al. [11].
recycling of waste gases from a fictitious plant cement
production is presented in Fig. 1. The thermodynamic Table 1: Input data for evaporator
calculation results of this cycle were used as a basis for Evaporator
the development of the employed method of calculation Property
Inlet Outlet
the determination of the convective heat transfer
Temperaure (K) 557. 76 401.94
coefficient for heat exchangers which phase shift
occurring NH3 -H2 O mixture, boiling process in the Residual Pressure (kPa) 101.32 101.32
evaporator and condensation process in the condenser. Gas
Mass flow 47.747 47.747
(Kg/s)
379.68 431.45
Fluid
NH3 -H2 O Pressure (kPa) 6375 6375

mixture
Mass flow 0.8677 0.8677
(Kg/s)
Table 2: Input data for condenser

Condenser
Fluid Property
Inlet Outlet
Temperaure (K) 295.15 303.15
Pressure (kPa) 250.00 250.00
Water
Mass flow 265.034 265.034
(Kg/s)
Temperaure (K) 340.28 300.15
NH3 -H2 O Pressure (kPa) 902.62 902.62
mixture Mass flow 0.8677 0.8677
(Kg/s)
IV. INTERNAL HEAT TRANSFER COEFFICIENT

Fig. 1: Kaline cycle used for heat exchanger sizing The methodology for calculating the convective transfer
coefficient for the process of change of phase mixtures,
In Fig. 1 each number corresponds to an equipment, both boiling as condensation, was presented by Shah [8]
being: and is based on the addition of the two parameters, the
- 1 turbine, nucleate boiling of the heat transfer mechanisms and
- 2 superheater, effects of the forced convection.
- 3 evaporator,
hMIX  hNB  hFC (1)
- 4 economizer,
- 5 high temperature regenerator, hNB  hl FTS (230Bo0.5 ) (2)
- 6 low temperature regenerator,
Where:
- 7 pump,
 k 
- 8 separator, hl  0.023 Re l4 / 5 Prln  l  (3)
- 9 valve,  Din 
- 11 condenser. 1

 h     Bo  
 1   PB" TDP  TBP 1  exp  
 
FTS (4)

III. INPUT DATA IN EES 
 
q     l hlg  

The calculations in EES were started with the input data
related to thermodynamic and transport properties of each
Where in equations 1 to 4 the h MIX is the convective heat VI. CALCULATION OF THE AREA OF THE
transfer coefficient of the mixture; h NB is convective heat HEAT TRANSFER
transfer coefficient of the nucleate boiling; h FC is The LMTD method was applied for specification of the
convective heat transfer coefficient of the forced thermal exchange area to each heat exchanger. The
convection; h l is convective heat transfer coefficient of correction factor is calculated using proper function of the
the liquid phase; FTS correction factor of the Thome and ESS software.
Shakir; Bo is boiling number; Re is Reynolds number; Pr q  U o ATlm F (10)
is Prandtl number; k l is thermal conductivity of the liquid
The overall heat transfer coefficient (Uo ) for smooth or
phase; Din is inside diameter; h PB is heat transfer
finned tubes was used the formulation of Incropera et al.
coefficient of the pool boiling; q ” is heat flux, TDP is dew
[14], which was modified to meet the particularities of the
point temperature of mixture; TBP is bubble point
exchangers studied.
temperature of mixture; ρl is density of the liquid phase; 1
h lg is latent heat of vaporization. 1 R A Ac 
U o    Rd ,c  RW Ac  d ,h c   (11)
The second installment of the convective heat transfer  hin  a Ah  a hout Ah 
coefficient of the mixture on the forced convection is:
Where in equation 11 the Rd,c is resistance to deposition of
1
 Co Y 
0.8 cold fluid; Rw is thermal resistance of the wall, Ac is area
hFC     (5) of the cold side; Rd,h is resistance to deposition of hot
 1.8hl hv  fluid; η a is Fin efficiency; Ah is area of the hot side.
0.5
 v 
0.8
 1    And ΔTlm given by:
Co    (6)
 x 1   l  TI  TII
Tlm  (12)
dTPO  T 
Y  xC p,v (7) ln I 
dH  TII 
Where in equations 5 to 7 the Co is Convection number;
Y is factor in Bell-Ghaly method; h v is convective heat
TI  Th ,in  Tc ,out (13)
transfer coefficient of the vapor phase; x is vapor quality;
ρl is density of the vapor phase; Cp,v specific heat of vapor TII  Th ,out  Tc ,in (14)
at constant pressure; H is specific enthalpy.
Where in equations 10 to 14 the q is heat rate; Uo is
overall heat transfer coefficient; A is area of heat transfer;
V. EXTERNAL HEAT TRANSFER COEFFICIENT
ΔTlm is mean logarithmic temperature difference; F is
The staggered arrangement of circular tubes with fins is
factor correction; Th,in is the inlet temperature of the hot
applied to the evaporator. Thulukkanam [12] proposes the
fluid; Tc,out is the outlet temperature of the cold fluid; Th,out
following correlation for external heat transfer
is the outlet temperature of the hot fluid; Tc,in is the intlet
coefficient:
temperature of the cold fluid.
0.2 0.1134
 sa   sa 
hout  0.134Re D  Pr    
0.681 1/ 3
(8)
 a
VII. RESULTS
 ha   The overall heat transfer coefficient is found within the
For staggered and smooth tubing used in the condenser, range specified by Walas [16], for condenser type shell
Bejan [13] presents a number of correlations for the and tube of the overall coefficient of heat transfer is
definition of convective heat transfer coefficient for the between 283.5 and 1134.9 W/m2 K. In the evaporator, the
outside dependent on the Reynolds number. For Reynolds specified range is 141.75 to 340.47 W/m2 K. Table 3 and
number between 1000 and 20,000, Nusselt number is Table 4 shows the values found for internal heat transfer
calculated as: coefficient, external heat transfer coefficient, overall heat
14
 Pr  transfer coefficient and area of the heat transfer for the
Nu D  0.35Re D  Pr  
0.6 0 , 36
(9) evaporator and condenser, respectively.
 w
Pr
Where in equations 8 and 9 the h out is convective heat Table 3: Results for Evaporator
transfer coefficient of the outside; sa is spacing between Parâmetro Values
fins; h a is fin height; δa is thickness fin; Nu D is Nusselt
Internal heat transfer coefficient (W/m2 K) 584.8
number; Prw is Prandtl number in the wall temperature.
External heat transfer coefficient (W/m2 K) 681.5
Overall heat transfer coefficient (W/m2 K) 108.4
Area of the heat transfer (m2 ) 1170.0 energy systems: analysis of industrial processes , vol.
10, No. 3, pp. 73-77.
Table 4: Results for Condenser [4] Khankari, G., Munda, J., Karmakar, S., (2016).
Parâmetro Values Power generation from condenser waste heat in coal-
943.9 fired thermal power plant using Kalina cycle. Energy
Internal heat transfer coefficient (W/m2 K)
Procedia, vol. 90, pp. 613-624.
External heat transfer coefficient (W/m2 K) 3538.0
[5] Rivera, W.; Best, R., (1999). Boiling heat transfer
Overall heat transfer coefficient (W/m2 K) 660.3 coefficients inside a vertical smooth tube for
Area of the heat transfer (m2 ) 889.2 water/ammonia and ammonia/lithium nitrate.
International Journal of Heat and Mass Transfer, No.
The parametric studies performed in EES show the 42, pp. 905–921.
influence on global heat transfer coefficient, heat transfer [6] Khir, Tahar et al., (2005). Experimental study on
surface area and average convective heat transfer forced convective boiling of ammonia–water
coefficient inside and outside the tubes with the variation mixtures in a vertical smooth tube. Arabian Journal
of the outer diameter (0.0761 ≤ Dout ≤ 0.108 m). Note for Science and Engineering, Jeddah, Vol. 30, No.
that the outer diameter was connected such to the inner 1B, pp. 47–63.
diameter so as to keep constant the thickness of the tube [7] Araújo, J.J. P., Santos, C.A.C., Duarte, J.B.F.,
wall, that is the variation in the outer diameter of the inner Holanda, C.A.M., (2013). Calculation of the
diameter also varies. coefficient of heat transfer for Evaporation
convective in saturated stream for cooling Fluids: R-
VIII. CONCLUSION 12, R-22, R-134a, R-600 and R-717. International
The overall heat transfer coefficient and heat transfer area Congress of Mechanical Engineering, No. 22, pp.
to the evaporator were found 108.4 m2 and 1170.0 8347–8356.
W/m2 K respectively. In the condenser, the overall heat [8] Shah, M.M., (2015). A method for predicting heat
transfer coefficient and area were found to 660.3 W/m2 K transfer during boiling of mixtures in plain tubes.
and 889.2 m2 respectively. For the parametric analysis, it Applied Thermal Engineering, No. 89, pp. 812–821.
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It is suggested as a future study the optimization of the Florence, pp. 2093-2096.
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ACKNOWLEDGEMENTS No. 35.
This study was financed in part by the Coordenação de [12] Thulukkanam, K., (2013). Heat exchanger design
Aperfeiçoamento de Pessoal de Nível Superior – Brasil handbook. CRC press.
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Wiley.
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127, pp. 1049-1061.
Pigmented Oral Lesion Associated with Root

Canal Sealers: A diagnostic Dilemma
Camila Gonçalves Jezini Monteiro 1, Bruna Lavinas Sayed Picciani 2, Marilia
Fagury Videira Marceliano-Alves3 , Fernanda Ximenes Amado Martins4,
Marcus Vinicius Neumann Brandão de Carvalho 5, Rosana Ximenes Lins6,
Abel Silveira Cardoso 7, Renata Ximenes Lins8
1 Master student in Dental Clinic. Postgraduate Program in Dentistry, Health Institute of Nova Friburgo, Fluminense Federal
University, Nova Friburgo, Rio de Janeiro, Brazil. Email: camila.jezini@g mail.co m
2 PhD in Pathology. Postgraduate Program in Oral Pathology, Health Institute of Nova Friburgo, Fluminense Federal
University, Nova Friburgo, Rio de Janeiro, Brazil. Email: brunapicciani@id.uff.br

3 PhD in Endodontics, Department of Endodontics, Estácio de Sá University, Rio de Janeiro, Brazil.
Email: mmarceliano@hotmail.co m
4 Dental student. Health Institute of Nova Friburgo, Fluminense Federal University , Nova Friburgo, Rio de Janeiro, Brazil.
Email: fernandamartins@hotmail.com
5 Msc in Prosthodontics. Private practice, Rio de Janeiro, Brazil. Email: neumann7br@gmail.com
6 Prosthodontics Specialist. Private practice, Rio de Janeiro, Brazil. Email: rosaxlins@gmail.co m
7 PhD in Oral Diagnosis. Dentistry School of the Federal University of Rio de Janeiro, Rio de Janeiro, Brazil. Email:
dr.abel.cardoso@gmail.com
8 PhD in Dentistry. Postgraduate Program in Dentistry, Health Institute of Nova Friburgo, Fluminense Fe deral University,
Nova Friburgo, Rio de Janeiro, Brazil. Email: rxlins@id.uff.br
Abstract— The mucosa exogenous pigmentation may lesions. In addition, endogenous factors like reactive,
occur in consequence of dental materials contact, such as neoplastic, systemic, physiological and idiopathic
amalgam pigmentation. Aim: This paper reports a rare processes can make the diagnosis of these lesions more
case of oral pigmentation due to extrusion of N-Rickert challenging [2].
root canal sealer from a pre-existing fistula associated Oral pigmentations are common and can be either
with a lateral canal in a 47-year-old female patient. focal or diffuse. Melanoma is the most concerning
Subjects and Methods: The clinical presentation was a pigmented lesion and should always be included as a
well-defined grayish macule of about 3 mm located in the differential diagnosis in all cases. The most commo n
attached gingiva close to the maxillary left central incisor. solitary pigmented oral lesion is amalgam tattoo, caused by
Analysis Used and Results: Upon identification of amalgam restorations [3-10]. However, other dental
endodontic treatment and a mesial lateral canal, a CT scan materials can produce tattoos, such as N-Rickert root canal
was requested. According to the endodontist that sealer [11].
performed the prior treatment the tooth was filled with Commonly used in endodontics, N-Rickert sealer
Rickert Pulp Canal SealerTM (Sybron Endo) and there has a high antimicrobial action and excellent flow and
was a material extrusion through a fistula associated with sealing ability. Its composition includes oil of cloves,
the infected lateral canal at the time. Conclusion: The aristol and silver [12]. Silver might cause pigmentation of
knowledge of exogenous pigmentations caused by dental tissues in an exposed mucosal site.
materials is necessary to proper diagnosis. In the literature search, no other case reports of
Keywords— exogenous pigmentation, melanoma, oral oral pigmentation due to extrusion of N-Rickert sealer
mucosa pigmentation, root canal filling materials, root were found. It is likely that dentists dealing with black or
canal sealers. bluish macules in the mucosa without contacting amalg am
restorations would not consider pigmentation caused by the
I. INTRODUCTION root canal sealer and only suspect of a malignant lesion or
Melanin, one of the responsible for oral mucosa other options. It is therefore important to publish cases like
pigmentation, is synthesized by melanocytes present in the this one and disseminated information among clinicians
basal layer of the epithelium and its amount is determined and researchers in order to increase the chances of
genetically. However, exogenous stimuli, such as trauma, establishing an accurate diagnosis .
inflammation, medications, hormones and radiation, may This paper reports a rare case of oral pigmentation
increase melanin production[1], originating pigmented oral due to extrusion of N-Rickert root canal sealer from a pre-
existing fistula associated with a lateral root canal in a III. DISCUSSION
maxillary central incisor. Although it is not a frequent subject in the
literature, it is known oral pigmentation of exogenous
II. CASE REPORT origin can be caused by the deposition of metal from some
A 47-year-old female Asian patient sought care dental materials, such as amalgam [3], silver cones [13] or
with a general dentist complaining of a lesion on her silver-containing root canal sealers [11]. Figueiredo et al.
gingiva that appeared 1 year before. The intraoral [14] compared root canal sealers with and without silver
examination revealed a grayish macule with approximately (N-Ricket and Rickert, respectively) and concluded that
3 mm on the attached gingiva close to the maxillary left the silver present in the chemical composition of the sealer
central incisor (Fig. 1). The patient was referred to an oral could produce oral mucosa tattoos.
diagnosis specialist, who requested a radiograph. Upon However, there is only one clinical report of oral
identification of endodontic treatment and a mesial lateral pigmentation caused by a root canal sealer, AH-26, an
canal (Fig. 1 B and C), the professional recommended epoxy resin-based sealer containing silver [15], which
monitoring the lesion and requested a CT scan (Fig. 2A and reinforces the relevance of our case report. It is important
2B) for diagnostic investigation. It was suggested that the to consider this hypothesis in cases of pigmented lesion
patient returned to the endodontist that performed the close to endodontically treated teeth without history of
treatment for a revaluation. According to the endodontist’s apical surgery. In cases of apicoectomy, amalgam tattoo
records the tooth had been filled with thermoplasticized remains a possibility since the amalgam used to be
gutta-percha and Rickert Pulp Canal SealerTM (Sybron indicated as retrofilling material and could pigment hard
Endo) and there had been extrusion of material through a and soft tissues, especially in mucosal regions distant from
fistula associated with the infected lateral canal at the time . the apical root third [16].
Therefore, a diagnostic hypothesis of an oral pigmented Regarding the prevalence of oral pigmentations,
lesion caused by the silver-containing N-Rickert sealer was Hassona et al. [9] evaluated the oral mucosa of 1,275
formulated. Since the patient did not have esthetic patients and found that 386 (30.2%) of them presented
complaints, a decision was made not to remove the tattoo pigmented oral lesions, 18.9% of which being amalg am
and monitor the lesion closely. The patient has been under tattoo. Although the oral pigmentations were frequent, the
follow-up for 8 years without alteration. authors did not consider silver-containing root canal
sealers as possible etiological agents of these tattoos.
Likewise, in clinical practice, amalgam restorations are the
primary hypothesis when these lesions are identified and,
in the absence of amalgam restorations, dentists usually do
not consider other dental materials, like root canal sealers,
as the source of pigmentation.
Amalgam tattoos are relatively common lesions
Fig. 1: Clinical and radiographic features: A. Grayish
that appear clinically isolated bluish, grayish or black
macule on the attached gingiva above the maxillary left
macules and spots that may occur more frequently in the
central incisor. B. Radiographic image of the maxillary
gingiva or other sites as the buccal mucosa, palate, or
central incisor region. C. Radiographic image of the
tongue 7. They are harmless and asymptomatic lesions 6.
region of the maxillary anterior teeth on the left side.
In lesions with incorporation of large particles, the
diagnosis can also be established radiographically as the
metal particles appear as radiopaque granules inside the
lesion 4. In this case report, the tattoo was located in the
gingiva and there were no amalgam restorations close to
the region, which led us to assume that the silver-
containing endodontic sealer could be the source of the
pigmentation.
The diagnosis is often clinical, but, in non-typical
cases, biopsy is necessary to exclude malignant lesions,
such as melanoma. In the present case, the clinical history
combined with intraoral and radiographic examination was
Fig. 2: Computed tomography scan. A. CT image of the sufficient to confirm the diagnosis, and a biopsy was not
anterior maxilla region B. CT image of the maxillary left necessary.
central incisor 21 (sagittal view). Oral pigmentations should have a differential
diagnosis with malignant lesions (Table 1), including oral
melanoma. Although reports and occurrence are rare, with
a prevalence of 1.3 to 6.3% among all melanomas [17], oral finding, while giant cells are uncommon [4]. Figueiredo et
melanoma is one of the most aggressive malignancies0 [18, al. [23] compared the histopathological response to four
19, 20], and its etiology is still unknown [21, 22]. root canal sealers and found that N-Rickert produced the
Clinically, oral melanomas present as black or brown greatest amount of granulation tissue, followed by
macules or nodules with blackish, brownish, grayish, Fillcanal, Sealer 26 and AH-26 sealers. All materials
reddish tonalities, or as nonpigmented lesions. The alveolar induced the migration of a large number of macrophages
gingiva and the hard palate are the most common locations and giant cells. Only the silver-containing sealers exhibited
[21, 22]. Thus, dentists must be careful with pigmented a visible deposition on the vessel walls. Fillcanal was the
lesions located on the hard palate and gingiva, and a biopsy most aggressive sealer, causing severe irritation, followed
should be done if there is any alteration, even if minimal, by N- Rickert and AH-26, which caused moderate
because these sites are the most frequently affected by nevi irritation, and Sealer 26 which caused only mild irritation .
and oral melanomas [10]. Oral pigmentations produced by root canal sealers seems
to cause a more intense granulomatous chronic
Table.1: Clinical features and etiology of major inflammatory response compared with amalgam tattoos,
pigmented oral lesions found on oral mucosa. which could be attributed to the greater amount of silver in
Etiology Clinical features the sealer.
Well-demarcated Although N-Rickert can cause pigmentation of
Congenital or dark black / brown oral tissues, it has highly desirable properties for an
Melanocytic nevi developmental /blue macule or endodontic sealer, including excellent sealing ability [24],
disorder papule (0.1-3.0 cm and good antimicrobial activity [12], which justifies its
in diameter) widespread use in endodontics.
Single / multiple
Ricket sealer can be considered as an etiological
Racial/smoking/ (lower frequency)
Melanotic macules drug induced/post brownish, well- agent of pigmented oral lesions, especially when there are
inflammatory demarcated macule no amalgam restorations at the lesion region. In addition,
(<1cm in diameter) as a primary rule, any oral pigmented lesion that does not
Pigmented mass fulfill the clinical criteria to establish a diagnosis or present
with irregular alterations over time must be biopsied to exclude other
Melanoma Unknown borders, color lesions, especially oral melanoma. As all dental
variation, and rapid professionals, endodontists must maintain proper patient
growth records and documentation, including the root canal fillin g
Endocrinopathies
material and technique used in each case. In patients that
(Addison’s, Diffuse brown
present with oral pigmentations, having this information is
Nelson’s, Albright, pigmentation on
pregnancy, Graves tongue, lips and essential to make an accurate differential diagnosis with
S ystemic disease Genetic disorders mucosae malignant lesions.
associated (Peutz-leghers, Brown circum-oral
Laughier-Hnuziker, macules, mucosal IV. CONCLUSION
Carney brown partches The presented case emphasizes the need of the
Others (HIV, Brown-blue correct differential diagnosis of exogenous pigmentations
hemochromatosis, pigmented patches of the mucosa caused by dental materials, that due to its
Wilson disease clinical appearance, they may resemble melanocytic and
Oral Reactive process
Dark brown macule, melanocytic lesions.
melanoacanthoma Increased dendritic
usually solitary
or melanoacantosis melanocytes
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66.
Oil and Gas on the Brazilian Coast

Tulio Cremonini Entringer1, Ailton da Silva Ferreira2, Denise Cristina de
Oliveira Nascimento 3, Luciano Jose de Oliveira4, Oscar Lewandowski5 , Paulo
Mauricio Tavares Siqueira6
1 Universidade Estadual do Norte Fluminense Darcy Ribeiro (UENF), Campos dos Goytacazes, Rio de Janeiro, Brasil
Email: tulio_entringer@hotmail.com
2 Universidade Federal Fluminense (UFF), Macaé, Rio de Janeiro, Brasil
Email: ailtonsilvaferreira@yahoo.com.br
Email: denise_cristin@yahoo.com.br
Email: lujoliver@yahoo.com.br
Email: oscarester@terra.com.br
Email: paulomauricio@id.uff.br
Abstract— The study of behavioral finance is Oil exploration is the main economic activity of the
characterized by analyzing the volatility of financial country and the predictions of the scarcity of this resource
markets, however, in a contemporary view, one can also that haunts not only the Brazilian economy but the world
apply it in other fields such as commerce and factories, economy has made the country search for alternative
and its dislike to be able to invest or not its financial ways of exploiting this resource. The recently discovered
capital . The objective of this work is to present foreign Pre-Salt is one of these alternatives and the exploration
reflections on a new branch in financial theory, challenges that have already begun in Brazil made it
Behavioral Finance, which aims to adhere the necessary to evolve both in the technological apparatus of
psychological and sociological aspects of the individuals production and support linked to it and of innovative
in the decision making process at the time of making an models of administration of these resources.
investment, as well as their applications through Exploitation of oil in the Pre-salt zone is not an easy task,
incorporation evidence of the investor's irrationality. This since it is located 300 km off the coast, twice as far as the
new segment aims to review and improve the current Campos Basin, and these wells are drilled more than 7000
economic-financial model. The association with meters deep. This would require more resilient pipelines
behavioral finances provides both the understanding of and pipelines where at that depth the aggressiveness of
the psychological process that motivates the investments, the environment due to pressure and corrosive agents are
helping in the construction of a more adequate decision - more severe [1] [2].
making model, and in the hiring of its managers who must Given these scenarios, the need to overcome
possess adequate technical and psychological skills in technological challenges and find the best way to
order to avoid cognitive bias as overconfidence transport not only oil and gas, but also support materials
Keywords— behavioral finance, cognitive, Rio de for the entire production chain and workers.
Janeiro. The bibliographical research aims at the theoretical basis
for understanding the functioning of logistics in the Pre-
I. INTRODUCTION salt zone. It will be searched books, articles and
The present work begins with a brief history of the dissertations, selection of books, magazines, newspapers,
Brazilian sea exploration related to the activities of oil chapter that address the main factors that influence the
extraction in the high seas in the Brazilian coast exploited main characteristics of the modes of transport used and
in its vast majority by oil operators. From the first the systems of production flow. A case study was also
research for oil exploration in the high seas, through analyzed in the Tupi Oilfield, which will serve as the
exploration in deep waters and arriving to the present day main source of study of this work.
with the discovery of the zone of the Pre-Salt and the The purpose of this article is to analyze the oil logistics in
respective evolution of the logistic support to this activity. the Tupi Oil Field, located in the Pre-salt zone. For this,
the article will contemplate initial concepts about logistics 2.1 MAIN LO GISTICAL CHALLENGES O F PRE-S ALT
and their modalities that will contribute to the study, th us One of the major challenges awaiting Petrobras in oil
permeating the main logistic challenges of the Pre-salt exploration in the pre-salt layer is the logistics area. The
and the oil logistics of the Tupi field. distance from the coast that lies around 300 km is one of
the main factors contributing to the high degree of
II. THE LOGISTICS OF PETROLEUM IN THE difficulty of pre-salt logistics [1].
FIELD OF TUPI The constant flow of people, which today revolves around
In 2006 was discovered the largest oil field is natural gas 40,000 to 60,000 people who are moved from the coast
of the country in the oilfield of Tupi in the basin of towards the platforms should double, since in 2017
Santos. This discovery has revolutionized the national oil Petrobras announced that it wants to build 11 more
industry. It is the beginning of oil exploration in the pre- platforms only in the Holy Spirit in the area of Salt [3].
salt layer [3]. To reach this discovery were years of The naval sector will also need changes due to the volume
geological studies that indicated possible existence of oil of investments applied by Petrobras in the construction of
in these layers, in 2004 initiated the seismic tests, data new platforms and technologies that contribute to the
collection and exploration of exploratory wells for the increasing increase in production. The emergence of new
purpose of estimating the amount of petroleum, analyze naval and Offshore industries, new refineries, change in
the viability of operating costs and production shipments and increase in autonomy, among others will
sustainability. Since the production of oil from the pre- be elements that would bring opportunities for bold and
salt would require a very high cost due to the difficulty of prepared logistics companies, those that are not Will
extracting the oil from that layer, it was necessary to certainly not be able to enjoy this universe.
know the size of these reservoirs, as can be seen in Figure The scenario allied with the acceleration of the area of
1 [3]. infrastructure and pre-salt, will unleash a new cycle of
mergers and acquisitions in the transport chain and
storage of the country, increasing the range of services of
the logistics companies that enter this market.
The individual evolution of the transport modals and the
intermodal relationship should be adopted as a premise
for the main logistics companies able to join airport, port
and storage in solutions without enriching the tariffs.
With the installation of new platforms and the constant
growth of the pre-salt infrastructure, it becomes
increasingly complex and challenging to flow of
production, reuse of surpluses and an effective and
efficient distribution of the pipelines.
Fig. 1: pre-salt Explanatory figure. Source:
PETRONOTÍCIAS (2013) 2.1.1 THE TRANSPORT M ODAL OF TUPI
The Tupi oil field following the premises imposed by the
The scenario is quite positive, if the estimates of the first operator is in the process of establishing its infrastructure.
findings are confirmed, Brazil will make a leap and both Although it is already a commercially productive field of
in the ranking of the countries with the highest reserves, pre-salt, Tupi is still at the beginning of phase 1a,
getting among the first (BERTO, MENDES and beginning in 2013 and forecast of ending in 2017, at that
NOGUEIRA, 2012). The production from pre-salt to stage will be used technologies already dominated or that
2020 is estimated at 47% of the total produced by can be quickly absorbed [3].
Petrobrás in Brazil [3]. Following the strategy adopted by the operator, the field
It is estimated that the total area of the Tupi evaluation of Lula as was baptized, as soon as the commerciality of
plan is 1,974 km2 and is located in waters of about 2,200 the field was disseminated, it is still a test area, study of
m of water blade, with layers of salt of 2,000 m thick [1]. behavior of new installations and behavior of production
The wells initially tested in Tupi indicated potential flows [3].
of 15 to 20000 barrels of oil per day and good quality of The arrival of FPSO (Floating Production Storage and
the oil with API degree from 28th to 30th considered a Offloading) City of Paraty Day 07 June 2013 with a
light oil of better quality and easier to refine than the maximum capacity of 120,000 barrels of oil per day
national average In addition to natural gas [1]. elevates the capacity of the field to 220 mbopd (220 a
thousand barrels of oil a day) [4].
The movement of the modal transport of the Lula field in contracts to enable the incorporation of new technologies
general is of vessels that assist in the construction of the [6].
entire infrastructure of production. Construction of Adaptations are already being made in parts of production
pipelines, drilling wells, auxiliary vessels of such lines and equipment, as well as in pipeline launch craft,
installations as operators of ROVs (Remotely operated with the view that the exploitation of this new oil frontier
underwater vehicle), among others. There is also the requires more resistant materials because of the
presence of relief ships that drain the production of the worsening conditions corrosive, depending on the
present FPSOs Direct to the terminals on terra firma increase in Pressure [7].
which is still the only means of draining the production of On the other hand, the Squid-mussel pipeline put into
the production of the pre-salt, as can be seen in the figure operation since September 19, 2011 is an unprecedented
2 [4]. milestone for Brazilian engineering: with capacity to seep
up to 10 million cubic meters, 216 kilometers long, 18
inches in diameter, is the pipeline wWith greater depth
and length of submarine rigid duct already installed in
Brazil [3] [8].
At the level of drainage through the ducts, the Squid-
mussel pipeline presents high flow Capacity. Due to its
Fig. 2: PLSV – Vessel for launching ducts [4]. extension, it has been found that Petrobras is able to build
The volume of these vessels tends to increase further, the new lines starting from the pre-salt, connecting wells and
development plan of the Lula-Iracema fields includes the platforms until the arrival of the gas to the coast.
installation of eight FPSO Additional to 2018, year in It is part of a water depth of 2,200 meters, where it is
which the total capacity of the fields will reach 1,400 interconnected to the FPSO city of Angra dos Reis, in the
mbopd-thousand barrels per day [4]. field of Lula, until it reaches 180 meters, where it is
connected to the mussel platform, owned by petrobras,
2.1.2 M ODAL PIPELINE situated in shallow waters in the basin of Campos , as can
The transport of petroleum derivatives by pipelines be seen in the Figure 3 [9].
remains timid in the oilfield oil field, the set of flexible
tubes, umbilicals and other installations, in almost its
entirety are concentrated only in the movement of the oil
extracted from the well towards the exploration platforms
(FPSOs), passing through umbilicals and risers [5].
Based on the information disseminated by petrobras, there
are several challenges in this follow-up, it will be
necessary to improve the rise pipe (riser), taking into
account the high pressures arising from the depth, the
high corrosive power due to the high concentration of Fig. 3: Squid-Mussel pipeline line [10].
CO2, are new situations requiring pipes with new rigid
materials and line-type conformations in “s” – lazy wave; This project will also contribute to the disposal of the
It should also improve the thermal insulation of the pipes natural gas of the platforms intended for the development
considering the depth in water slides of 2,200 m. and of the first phase of the pre-salt of the Santos basin, as can
pipes for injection of gas at high pressures [1]. be seen in Figure 4.
From these challenges presented it is concluded that
Petrobras will have to invest in other areas besides
logistics, such as engineering, in order to develop new
materials capable of mitigating the effects of pressure and
corrosion.
Petrobras has established long-term contracts and defined
an early approach to the market as fundamental to the
strategic purchasing Process. In addition, it defined basic
guidelines that include the increase of local content,
support of the increase in Brazilian manufacturing
capacity, equipment s tandardization and easing of these Fig. 4: Detailed view of the Squid-Mussel pipeline line
[11].
The Squid-Mussel pipeline has been linked to the helicopters and vacancies are needed Parking at
following installations of the Petrobras system: to the aerodromes, In addition to facilitating the process of air
mussel field to the gas treatment unit (UTGCA) Monteiro traffic management.
Lobato, which is located in Caraguatatuba (SP), with the
objective of enabling the arrival of the gas to the III. REVOLUTION IN PRE-SALT BUSINESS
Caraguatatuba-state pipeline, which connects the gas LOGISTICS
processed in that unit to the distribution mesh of natural The final phase of consolidation of Brazilian pre-salt,
gas to the national market [12]. phase 1b, to be initiated after 2017, will serve as a field
laboratory for the development of new technologies [3].
2.1.3 M ODAL A IR – THE LOGIST ICS OF PEOP LE IN PRE- In this period, unconventional technological innovations
SALT in High-scale will be incorporated to complete the
Currently in the Campos basin, Petrobras carries an definitive development of pre-salt production areas,
impressive volume of passengers from the mainland to focusing on cost reduction and the optimization of
the platforms, about 40,000 people a month, in more than deposits ' recovery rates, as can be seen in Figure 6 [3].
6,000 flights [3]. This number tends to double with the
development of pre-salt, which would effectively be
unfeasible due to the volume of people who are
transported incompatible with the quantity and current
structures of the existing aerodromes.
Another challenge is the long distance of the pre-salt
installations of the Brazilian coast, which is around 300
km, in some situations the triple in comparison of the
distance that is the basin of Campos of the Brazilian
Coast. This distance is above the limit of flight auton omy
of most aircraft operating in the field basin of Campos
[3]. In addition, transport operations are subject to greater
climatic instability. Fig. 6: Major technological developments in evaluation
“The aircraft need to be large, able to face the harsh [2].
weather conditions on the high seas and have autonomy
to fly for 300 kilometers and return” [13]. It can be seen in Figure 06 the main projects of Petrobras
“The EC225 Super Puma helicopter has transport for the technological development of the Pre-salt. Explain
capacity for up to 19 passengers plus two riders, in this chapter how some of these projects will work when
depending on the configuration, "as can be seen in Figure they are deployed.
5 [14]. One of these proposals for the development of Petrobras
is the construction of floating bases midway between the
coast and the productive fields of the pre-salt of the
Santos basin, seen the difficulty of logistical support due
to the distance already cited in this work. "it would be an
outlet for the logistical problems we will face due to the
distance" [16].
It can be observed that the distribution system present in
the basin of Campos and also today in the basin of Santos
is the direct, where the coast (airports, airfields and ports)
is the central terminal and the platforms located in the
fields in the high seas, the destination" [16].
Fig. 5: EC225 SUPER PUMA helicopter [15]. Hubs are floating bases that will function as distribution
centers for people and loads in the middle of the ocean.
The large aircraft that only a few years ago had higher Workers will be transported in high-capacity passenger
costs than the mid-sized, are now becoming financially craft, between 150 and 300 people up to those bases that
Competitive. Another important advantage of large are installed at a point closer to the coast, from that point
aircraft is the transport management and Aerodrome would set off to the platforms through flights in smaller
capacity, because its use provides a transport of more helicopters, which run shorter distances, reflecting on
passengers with fewer flights and in this way fewer time and fuel economy [17].
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Evaluation of Risk Reduction for Portfolio in

Islamic Investment Using Modern Portfolio
Theory
Nashirah Abu Bakar1, Sofian Rosbi2
1 Islamic Business School, College of Business, Universiti Utara Malaysia, Kedah, Malaysia
Email: nashirah@uum.edu.my
2 School of Mechatronic Engineering, Universiti Malaysia Perlis, Malaysia
Email: sofian@unimap.edu.my
Abstract— Main objective of this study is to maximize generate high return and reduce the level of investment
expected return and in the same time lowering investment risk. Therefore, diversification of investment is looking
risk. The methodology implemented in this study is as one of the alternative in generating high return.
modern portfolio theory through diversification assets Diversification is a portfolio strategy that is designed
that has low or negative correlation factor. This study to reduce the overall risk exposure by combining a variety
tried to discover the portfolio expected risk and portfolios of assets into one basket of portfolio. Small capital stocks
risk for 3 stocks namely Top Glove Corporation Berhad, tend to produce a higher return since these stocks are far
AirAsia X Berhad and Axiata Group Berhad. Data for the less accessible to international investors due to the high
analysis is selected from June 2015 until September 2018 transaction costs associated with their limited liquidity,
involving 40 monthly observations. Result indicates the capital rationing and information availability (Bin and
correlation factor between Top Glove and Airasia X is Yuan, 2016).
negative; meanwhile other correlation is not significant. Recent evidence suggests that diversification of
Therefore, the selection of these three stocks is complying investment can reduce the level of risk. Study by Abu
with the requirement of modern portfolio theory. Result Bakar and Rosbi (2018) regarding Modern Portfolio
indicates there are nine optimal combinations that Theory found the optimal combination of securities was
calculated in this study which are suitable to develop generated maximizes return for any given level of risk.
non-linear line of efficient frontier. Data shows with the In recent years, there has been an increasing interest
increment weightage in Top Glove stock, the expected in shariah-compliant companies industry. Investors are
average return will be increase. This is because the mean not only concerned about what is profitable but also what
average return for share price of Top Glove 3.65%. This makes their investments ethical (Mohd-Sanusi, et, al.,
is the highest return comparing to other two stocks. 2015; Ulrich and Marzban, 2008). Therefore, Malaysia
However the risk of share price of Top Glove is 8.6 %, Stock Exchange was established a shariah board in 1997
which is on the risky side. In addition, this study in order to fulfill the ethical investments in shariah law.
concludes the portfolio can attained lower risk by Since shariah board was established, out of 693
combining three stocks. The important implication of this companies from 901 was shariah-complaint companies
study is it will help investors to develop optimal (Securities Commission Malaysia, 2018). Thus, investors
investment to attain maximum expected return based on a have many choices to choose an optimal investment either
given level of market risk . in shariah-compliant companies or non shariah-
Keywords— Investment, Modern Portfolio Theory, compliant companies.
Three stock combination, Portfolio Risk, Portfolio Thus, this main objective of this study is to discover
Expected Return the relationship between portfolios expected return with
respect to portfolio risk using combination of three stocks
I. INTRODUCTION namely Top Glove Corporation Berhad, AirAsia X
Portfolio optimization is one of the most interesting Berhad and Axiata Group Berhad. This study was
researches in the financial area. It was attracted most evaluating risk reduction for portfolio in Islamic
investors to get high return from the selection of portfolio investment using Modern Portfolio Theory. Modern
at a pre-specified level of risk. In the global economy, Portfolio Theory has become the backbone of finance as it
portfolio optimization has become an important issue in
gives better understanding of the best possible investment diversified portfolio under certain conditions peculiar to
portfolio for financial assets (Mohd Ali, 2006). this market.
II. LITERATURE REVIEW III. RESEARCH METHODOLOGY

A considerable amount of literature has been This study try to discover the relationship between
published on the portfolio optimization (Deng, 2018; portfolios expected return with respect to portfolio risk
Jothimani, et al., 2017; Fabozzi, 2002) and performance using combination of three stocks . The methodology
of shariah-compliant companies (Abu Bakar and Rosbi, implemented in this study involved with data selection
2017; Abu Bakar and Rosbi, 2016). The first serious process, correlation diagnostics and evaluation of
discussions and analyses of diversification of investment Markowitz theory of diversification approach.
emerged during 1952 by Harry Markowitz (Markowitz, 3.1 Data selection process
1952). Before Modern Portfolio Theory was developed, This study involved with share prices from three
most of the investment are followed Theory of Investment companies namely Top Glove Corporation Berhad,
that stated it was enough looking into only one stock AirAsia X Berhad and Axiata Group Berhad. Data of
(Kazan and Uludag, 2014). But, Markowitz suggested the share price is collected in daily basis from database of
benefits of diversification and explores how risk-averse Datastream Thomson Reuters. The collected data is
investors construct portfolios to optimize expected returns starting from 1st June 2015 until 30th September 2018.
against market risks (Bin and Yuan, 2016). Then, this study calculated average monthly value for
Therefore, several studies have used Modern share price.
Portfolio Theory in measuring the performance of stock The calculation for share price is described in
market (Azizan and Sorooshian, 2014; Alrabadi, 2016; Equation (1).
Chen and Pan, 2013). Study that focus on the Modern  SP  SPn 
Portfolio Theory regarding asset allocation found Modern Rei ,n   n 1  100% …………………....
Portfolio Theory are more intuitively appropriate for  SPn 
decision making in international and direct real estate (1)
investing (Ho, et al., 2010). Study regarding the benefits where,
of further diversifying a global portfolio of financial Rei ,n = return for stock i at period n,
assets in New Zealand farm real estate found that the risk
reduction benefits of diversifying with farm real estate are SPn = monthly share price for stock i at period n,
larger than the risk enhancement benefits (Nartea and SPn 1 =monthly share price for stock i at period n+1.
Eves 2010). Giannotti, et al., (2011) provides in-depth
analysis of Markowitz diversification approach and found
3.2 Correlation diagnostics
that the standard geographic and sector diversification
Next, this study performed the calculation for
allow for a good results and more efficient portfolios.
correlation between share price return among three
A large and growing body of literature has
selected companies. This study implemented Pearson
investigated the performance of shariah-compliant
correlation for statistical approach. The type of data in
companies. Bahlous and Mohd. Yusof (2014) investigates
Pearson correlation analysis should be interval or ratio.
the benefits of international diversification among Islamic
funds, suggests that investors can reduce risk even more
Pearson correlation coefficient between two variables
substantially if they hold an internationally diversified
(stocks) is defined as covariance of the two variables
fund as globally diversified portfolios among Islamic
divided by the product of their standard deviations .
funds only. Abu Bakar and Rosbi (2018) develop an
Pearson correlation coefficient is represented as  in
efficient frontier line for investment portfolio in Malaysia
market. Each point on the efficient frontier line represents Equation (2) for population .
an optimal combination of securities that maximizes the cov  X , Y  E  X   X Y  Y  
return for any given level of risk (standard deviation).  X ,Y   …(2)
Numerous studies have attempted to explain the
 XY  XY
performance of Malaysian stock market. Zainal Abidin, et
al., (2004) provide evidence whether international where,
portfolio diversification gain exists in equity investment cov is covariance,
from a Malaysian perspective and it is feasible for X is standard deviation of X,
Malaysian investors to construct a purely domestic
Y is standard deviation of Y,
portfolio which is more superior to an internationally
X is mean of X, Y is mean of Y,  P2   wA A    wB B    wB B 

2 2 2
 2  wA A  wB B   AB
The sample of Pearson correlation coefficient is
represented as r in Equation (3). …………..(5)
n  2  wA A  wC C   AC
 X i  X Yi  Y 
 2  wB B  wC C   BC
rXY  i 1
…….…….(3)
n n
 A is  B is
 X X  Y  Y 
2 2
where, stock A standard deviation, stock B
i i
i 1 i 1
standard deviation,  AB is correlation coefficient between
3.3 Evaluation of Markowitz theory in diversification stock A and B,  AC is correlation coefficient between
approach for investment portfolio. stock A and C, and ,  BC is correlation coefficient
Modern portfolio theory is a theory of finance
between stock B and C.
that attempts to maximize portfolio expected return for a
given amount of risk, or minimize risk for a given level of
IV. RESULT AND DISCUSSION
expected return (Markowitz, 1952). Modern portfolio
The objective of this study is to evaluate the effectiveness
theory is an investment theory based on the idea that risk-
of the investment portfolio using modern portfolio theory.
averse investors can construct portfolios to optimize or
Three stocks are selected in the analysis namely Top
maximize expected return based on a given level of
Glove Corporation Berhad, AirAsia X Berhad and Axiata
market risk, emphasizing that risk is an inherent part of
Group Berhad. All three selected companies are listed in
higher reward (Fabozzi et al., 2002)
main market of Bursa Malaysia in Malaysia.
The Markowitz portfolio theory is based on the risk
4.1 Data selection and analysis
in a portfolio of diverse individual stocks will be less than
The first company that selected in this study is Top
the risk inherent in holding any one of the individual
Glove Corporation Berhad. Figure 1 shows the dynamic
stocks. There are two concepts that underlying for
behavior of share price for Top Glove Corporation
Markowitz portfolio theory:
Berhad. Monthly data is collected using database of
(a) The objective of investor is to develop investment
Datastream Thomson Reuters. The monthly observation
portfolio that contributes maximum return for any
started from June 2015 until September 2017. The total
given level of risk.
observations are 40 months. The initial value of share
(b) Investors are risk-averse and thus have a preference
price in June 2015 is MYR 3.006. The maximum value of
for expected return and dislike for risk.
share is MYR 11.233 in June 2018.
Figure 2 shows the return rate for Top Glove
The expected return for a portfolio consist of three
Corporation Berhad. The maximum value of share price
stocks is represented by Equation (4).
return is 25.5753 % on January 2018. Meanwhile, the
E  rP   wA E  rA   wB E  rB   wC E  rC  ...……(4) minimum value of share price is -15.734 % on February
where 2016.
E  rP  is expected return for portfolio,

The second selected company is AirAsia X Berhad.
Figure 3 shows the dynamic behavior of share price for
E  rA  is expected return for stock A, AirAsia X. The initial share price is MY 0.2318 in June
2015. The maximum value of share price is MYR 0.4743
E  rB  is expected return for stock B, on May 2017. Meanwhile, the minimum value is MYR
E  rC  is expected return for stock C,
0.1810 on August 2015.
Figure 4 shows the return rate for AirAsia X Berhad.
wA is stock A weigthage, wB is stock B weigthage and The maximum value of share price return is 22.25 % on
February 2016. Meanwhile, the minimum value of
wC is stock C weigthage.
AirAsia X share price is -21.14 % on June 2015.
The variance of rate of return for two type of stocks

in a portfolioi is described in Equation (5).
12 30
Top Glove Corporation Berhad AirAsia X Berhad
Rate of return for share price (%)

Share price ( MYR / share)
10 20
8 10
6 0
4 -10
2 -20
1 10 20 30 40 2 10 20 30 40
(June 2015) (March 2016) (Jan 2017) (Nov 2016) (Sept 2017) (July 2015) (March 2016) (Jan 2017) (Nov 2016) (Sept 2017)
Monthly observation periods Monthly observation periods
Fig. 1: Dynamic behavior of share price (Top Glove) Fig. 4: Rate of return for share price (AirAsia X Berhad)
30 The third selected company is Axiata Group Berhad.

Top Glove Corporation Berhad
Figure 5 shows the dynamic behavior of share price for

20 Axiata Group Berhad. The initial share price is MY 6.441
in June 2015. The minimum value of share price is MYR
10 4.225 on July 2018. The value of share price at the end of
the last observation period (September 2018) is MYR
0
4.605. Figure 5 indicates there are decrements of share
price value from the June 2015 until September 2018.
Figure 6 shows the return rate of share price for
-10
Axiata Group Berhad. The maximum value of share price
return is 6.993 % on August 2018. Meanwhile, the
-20
2 10 20 30 40 minimum value of return for Axiata Group Berhad share
(July 2015) (March 2016) (Jan 2017) (Nov 2016) (Sept 2017)
price is -10.996 % on November 2016.
Monthly observation periods
6.5
Fig. 2: Rate of return for share price (Top Glove Axiata Group Berhad
Corporation Berhad)
6.0
0.50
5.5
AirAsia X Berhad
0.45
5.0
0.40
0.35 4.5
0.30
4.0
0.25 1 10 20 30 40
(June 2015) (March 2016) (Jan 2017) (Nov 2016) (Sept 2017)
0.20 Monthly observation periods
Fig. 5: Dynamic behavior of share price (Axiata Group
0.15
1 10 20 30 40 Berhad)
(June 2015) (March 2016) (Jan 2017) (Nov 2016) (Sept 2017)
Monthly observation periods
Fig. 3: Dynamic behavior of share price (AirAsia X
Berhad)
30 Table 1: Statistical test for correlation analysis
Axiata Group Berhad (Top Glove and AirAsia X)
20 Pearson correlation -0.326

Significant level 0.043
10 (two-tailed statistics)
0 Figure 8 shows the correlation diagram between two

share price returns namely Top Glove and Axiata Group.
-10 The red line indicates linear relationship between two
share prices. The analysis shows the slope is near to zero
-20 value.
2 10 20 30 40
(March 2016) (Jan 2017) (Nov 2016) (Sept 2017)
Next, the statistical test performed to validate the
(July 2015)
Monthly observation periods linear relationship between two share price returns of Top
Fig. 6: Rate of return for share price (Axiata Group Glove and Axiata Group. Table 1 shows the value of
Berhad) Pearson correlation value and significant level of
correlation. The Pearson correlation value is 0.002 that
4.2 Pearson product moment correlation analysis indicates there is very weak positive correlation. The
This section describes the correlation analysis significant value is 0.992 which is larger than 0.05. That
between the share price return of selected companies. The indicates this study failed to reject null hypothesis of
analysis carried out using graphical analysis, including Pearson correlation statistical analysis. Therefore, Table
statistical analysis. 2 indicates there is very weak positive correlation
Figure 7 shows the correlation diagram between two between two share price returns and the correlation is not
share price returns namely Top Glove and AirAsia X. The significant (r = 0.002, n = 39, p =0.992).
red line indicates linear relationship between two share 15
Rate of return for share price (Axiata Group)
prices. The analysis shows there is negative slope of liner

Linear Fit Line (Top Glove and Axiata Group)
line. 10
Next, the statistical test performed to validate the
linear relationship between two share price returns of Top 5
Glove and AirAsia X. Table 1 shows the value of Pearson

0
correlation value and significant level of correlation. The
Pearson correlation value is -0.326 that indicates there is
-5
weak negative correlation. The significant value is 0.045
which is less than 0.05. That indicates this study reject -10
null hypothesis of Pearson correlation statistical analysis.
Therefore, Table 1 indicates there is significantly weak -15
-20 -10 0 10 20 30
and negative correlation between two share price returns
Rate of return for share price ( Top Glove)
(r = -0.326, n = 39, p =0.045).
30 Fig. 8: Correlation diagram between share prices
Rate of return for share price (AirAsia X)
Linear Fit Line (Top Glove and AirAsia X) (Top Glove and Axiata Group)
20
Table 2: Statistical test for correlation analysis (Top
Glove and Axiata Group)
10
Pearson correlation 0.002
Significant level 0.992
0
(two-tailed statistics)
-10
Figure 9 shows the correlation diagram between two
share price returns namely AirAsia X and Axiata Group.
-20
-20 -10 0 10 20 30 The red line indicates linear relationship between two
Rate of return for share price ( Top Glove) share prices. The analysis shows the slope is positive
value.
Fig. 7: Correlation diagram between share prices
(Top Glove and AirAsia X)
Next, the statistical test performed to validate the Berhad. The weightage of investment for each of share
linear relationship between two share price returns of price is adjusted to find better portfolio expected return
AirAsia X and Axiata Group. Table 3 shows the value of for given portfolio risk.
Pearson correlation value and significant level of This study adjusted the value of contribution for each
correlation. The Pearson correlation value is 0.126 that of the stocks with reference to Top Glove Corporation
indicates there is very weak negative correlation. The Berhad as the main contributors for portfolio expected
significant value is 0.443 which is larger than 0.05. That return. Figure 10 illustrates red dots that represented the
indicates this study failed to reject null hypothesis of combination of portfolio between three stocks. Figure 10
Pearson correlation statistical analysis. Therefore, Table concludes for a same value portfolio risk (x-axis value),
3 indicates there is very weak positive correlation there a few combination of portfolio that contributes to
between two share price returns ang the correlation is not different value of expected return (y-axis value).
significant (r = 0.126, n = 39, p =0.443). 5
Portfolio expected return (%)

15 Portfolio with 3 shares combination
4
Rate of return for share price (Axiata Group)
Linear Fit Line (AirAsia X and Axiata Group)

10
3
5 2
0 1
0
-5
-1
-10
-2
3 4 5 6 7 8 9 10
-15
-20 -10 0 10 20 30 Portfolio risk (%)
Rate of return for share price ( AirAsia X)
Fig. 10: Correlation between portfolio risk and portfolio
Fig. 9: Correlation diagram between share prices return for investment portfolio consists of 3 share prices
(AirAsia X and Axiata Group)
Next, this study developed the optimal combinations
Table 3: Statistical test for correlation analysis (Airasia X of portfolio investment using efficient frontier analysis.
and Axiata Group) Figure 11 shows the efficient frontier for portfolio
Pearson correlation 0.126 investment of 3 stocks combination namely Top Glove
Significant level 0.443 Corporation Berhad, AirAsia X Berhad and Axiata Group
(two-tailed statistics) Berhad.
There are nine optimal combinations that calculated
in this study to develop non-linear line of efficient
4.3 Evaluation of correlation for portfolio risk and
frontier. Table 4 shows the combinations of 3 stocks for
portfolio return using Modern Portfolio Theory
efficient frontier development. Data shows with the
The main objective of this paper is to evaluate the
increment weightage in Top Glove stock, the expected
risk of portfolio investment with correlation to expected
average return will be increase. This is because the mean
return. Modern Portfolio Theory is an investment theory
average return for share price of Top Glove 3.65%. This
based on the idea that risk-averse investors can construct
is the highest return comparing to other two stocks.
portfolios to optimize or maximize expected return based
However the risk of share price of Top Glove is 8.6 %,
on a given level of market risk, emphasizing that risk is
which is on the risky side. The portfolio can attained
an inherent part of higher reward. It is one of the most
lower risk by combining three stocks.
important and influential economic theories dealing with
finance and investment.
Modern portfolio theory emphasized about the
selected of stocks that is important to reduce risk at
expected return setting by investor.
Figure 10 shows the correlation between portfolio
risk and portfolio return for investment portfolio consists
of combination with three share prices namely Top Glove
Corporation Berhad, AirAsia X Berhad and Axiata Group
5 The correlation value between Top Glove and Axiata

Group is 0.002. Next, the correlation value between
Portfolio expected return (%)
efficient frontier for portfolio

4 AirAsia X and Axiata Group is 0.126.
I
3 H (c) There are nine optimal combinations that calculated in
G
F this study to develop non-linear line of efficient
2 E
frontier. Data shows with the increment weightage in
D
1
C Top Glove stock, the expected average return will be
B
increase. This is because the mean average return for
A
0 share price of Top Glove 3.65%. This is the highest
-1
return comparing to other two stocks. However the
risk of share price of Top Glove is 8.6 %, which is on
-2 the risky side. This study concludes the portfolio can
3 4 5 6 7 8 9 10
attained lower risk by combining three stocks.
Portfolio risk (%)
The significant of this study is it will help investors to
Fig. 11: Efficient frontier for portfolio investment of attain required expected return for a given investment risk
3 stocks combination using diversification of investment portfolio. The
combination of 3 stocks will help investors to achieve
Table 4: The combinations of 3 stocks for efficient higher return on lower risk.
frontier development The further study of this analysis can be extending to
Combination stocks weightage increase of number of assets in order to achieve better
Combination Top AirAsia Axiata expected return with lower risk. In the same time, the
Glove X Group implementation of artificial intelligent is crucial to find
A 0.2 0.2 0.6 optimal weightage of portfolio in developing efficient
B 0.3 0.25 0.45 frontier of optimal investment portfolio.
C 0.4 0.25 0.35
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Remote Sensing Satellites Planning System

Amr Qamar1, Essam Eldin S.2, Khaled M. Badran3
1 Eng.,MID, Egypt
2 Dr., MID, Egypt
3 Dr., MTC, Egypt
Abstract— A Remote Sensing Satellites Planning system used branch and price search algorithm and column generation
(RSSP) for satellite constellations is responsible for managing heuristics. While in 2002 M., Verfaillie, G., Jouhaud, F.,
these satellites by assigning the imaging tasks to each satellite Lachiver, J., & Bataille and N. Lemaitre [2] used single agile
in the constellation such that the loads are balanced and the satellite with the Greedy search algorithm and the simulated
resources are well used. The proposed system can be used annealing. They describe their system for the illuminated half
with heterogeneous constellations that consist of satellites of the track.
whose different specifications, different orbits' types and/or
different payload types. This problem is a combinatorial III. PROBLEM FORMULATION
optimization NP-hard problem modeled in this paper as a The problem model can be partitioned into the following four
Constraint Satisfaction Problem using the Constraint parts:
Programming Technique. The output plan is obtained using 1) Input Data
one of three objective functions (gain maximization, area For the set of input requests R, there exists r ∈ R, whose gain
maximization, and image quality maximization) using four Gr and surface area A r. Let I be the set of images obtained
search algorithms (simulated annealing, hill climbing, tabu from R by the geometric cutting up process . For each image i
search and late acceptance) and different planning horizons ∈ I:
(one track, one day and one month). Ei : earliest shooting time, Li : latest shooting time, Di :
Keywords— Agile satellites, remote sensing, planning, duration of shooting, A i : surface area. For each possible pair
constraint satisfaction problem, heterogeneous constellation. of images (i, j), M ij is defined as the transition time between
shooting the two images consecutively. B is defined as the set
I. INTRODUCTION of pairs of images (i, j) such that i and j are images for the
The output plans from a RSSP system should satisfy the same strip with opposite pitch angles and S be the set of pairs
customers by performing the maximum number of their of stereoscopic images.
requests in addition to optimize the usage of the constellation's 2) Decision Variables
resources taking into consideration all the system and a) Xi … is One if the image i ∈ I is selected, and Zero
operational constraints to assure obtaining a feasible output otherwise.
plan. b) t i … the shooting start time of image i if selected.
The paper introduces the related work in Section(II). Then 3) Constraints
the proposed RSSP system formulation in Section(III) is The following constraints have been implemented in the
discussed. The system architecture is introduced in proposed system:
Section(IV). Section(V) clarify the system performance and a) Observation Time Window Constraint: ∀ 𝐢 ∈ 𝐈 ∶
introduces some comparisons with other systems from CPU (𝐗 𝐢 = 𝟏) ⇒ (𝐄𝐢 ≤ 𝐭 𝐢 ≤ 𝐋𝐢 ) (1)
time point of view. The final Conclusion and b) Transition Time Constraint: ∀ (𝐢, 𝐣) ∈ 𝐈 ∶ (𝐗 𝐢 , 𝐗 𝐣 =
recommendations for future work are introduced in
𝟏) ⇒ (𝐭 𝐢 + 𝐃𝐢 + 𝐌𝐢𝐣 ≤ 𝐭 𝐣 ) (2)
Section(VI).
c) Request End Time Constraint: ∀ 𝐢 ∈ 𝐈, 𝐈 ⊂ 𝐫, 𝐫 ∈
𝐑: (𝐗 𝐢 = 𝟏) ⇒ (𝐭 𝐢 < 𝐞𝐧𝐝𝐫 ) (3)
II. RELATED WORK
d) Mono Image is Shot Once Constraint: ∀ (𝐢, 𝐣) ∈ 𝐁 ∶
The constraint programming technique were used by two
𝐗𝐢 + 𝐗𝐣 ≤ 𝟏 (4)
references, in 2015 Erik Demeulemeester et al [1] used non-
( )
e) Stereo Image Constraint: ∀ 𝐢, 𝐣 ∈ 𝐒 ∶ 𝐗 𝐢 = 𝐗 𝐣
agile earth observing satellites in their system. The used
planning horizons were multiple tracks and one day. They (5 )
f) The Stereo Pair Pitch Angles Constraint: ∀ (𝐢, 𝐣) ∈ 4) Objective Functions
𝐒 ∶ 𝐏𝐢𝐭𝐜𝐡𝐢 = − 𝐏𝐢𝐭𝐜𝐡𝐣 (6) The three objective functions implemented in the proposed
g) The Stereo Pair Roll Angles Constraint: ∀ (𝐢, 𝐣) ∈ 𝐒 ∶ system are defined as follows:
𝐑𝐨𝐥𝐥𝐢 = 𝐑𝐨𝐥𝐥𝐣 (7) a) Gain Maximizat ion function: ∀ i ∈ I ∶ f(x) =
h) The Stereo Pair Satellite Constraint: ∀ 𝐢, 𝐣) ∈ 𝐒 ∶
( max( ∑i Gi ∗ Xi ) (11)
𝐒𝐚𝐭𝐞𝐥𝐥𝐢𝐭𝐞𝐢 = 𝐒𝐚𝐭𝐞𝐥𝐥𝐢𝐭𝐞𝐣 (8) b) Area Maximizat ion function: ∀ i ∈ I ∶ f(x) =
i) Onboard Memory Constraint: ∀ planning horizon, max( ∑i Ai ∗ Xi ) (12)
∀ 𝐢 ∈ 𝐈 ∶ ∑𝐢 𝐗 𝐢 ≤ 𝐍𝐦𝐚𝐱 (9) Where Ai = D i ∗
Where Nmax is the maximu m allowable number of Ws (13) and Ws …is satellite's swath.
selected images for this planning horizon. c) Image Quality Maximizat ion function: ∀ i ∈ I ∶
j) Payload Duty Cycle Constraint: ∀ (𝐢, 𝐣) ∈ 𝐈 ∶ 𝐭 𝐣 − f(x) = max (∑i (R worst − R i ) ∗ Xi ) (14)
R i… is the resolution of image i ∈ I and R worst ...
(𝐭 𝐢 + 𝐃𝐢 + 𝐌𝐢𝐣 ) ≥ 𝐭 𝐏 (10)
resolution at maximu m roll and pitch angles.
Where t P is the payload duty cycle or the so called
technological break.
IV. PROPOSED SYSTEM ARCHITECTURE

The operation through the proposed system architecture in Fig. 1 is explained as follows:
Fig.1: Proposed System Architecture
Requests database will contain the input requests with their opportunities for each image. The Opportunities database will
data. The Geometric cutting up process will produce images in contain all the imaging opportunities for all the images with all
Images database that is fed to the Orbit Propagator with the the satellites. The operation in the RSSP system begins with
satellites in Satellites database and the selected planning modeling the input via the Modeler to be sent to the SOLVER
horizon. The Orbit Propagator outputs the imaging that is configured using a Solver Configurator. To build the
Constraints database and the Objectives database, the V. TESTS AND RESULTS ANALYSIS
Constraint Creator and the Objective Builder is used To determine the system's performance, it is tested for three
respectively. The Score Comparator takes the created case studies with different problem sizes and measure the CPU
constraints and the built objectives as inputs . The SOLVER time (efficiency) and the Normalized Score (quality). The first
searches for solutions in the search space and selects feasible case study consists of (1) satellite, (1) track planning horizon
solutions during the algorithm-running lifetime. Each time, the and (25) targets while the second is (2) satellites, (1) day and
selected solution is score calculated via the Score Calculator. (120) targets and the third one uses (3) satellites, (1) month
This score is compared with the previous scores via the Score planning horizon and (2500) targets . Fig. 2 illustrates the
Comparator until reaching the optimum score. system's behavior in the (3) objectives using the (4) search
algorithms and measures the (2) metrics.
Fig.2: System Performance in the Three Objectives
It is clear from the figure that almost all the results lie in the those published for similar systems according to the problem
left bottom part of the graph which means that these results size.
has high normalized score and low CPU time. This The comparison introduced in TABLE I clarifies that the
emphasizes that the system is qualified and efficient. W e proposed system performs very well compared with the listed
compared our results, from the CPU time point of view, with references.
TABLE I
COMPARISON WITH OTHER SYSTEMS
The Reference Results Proposed System Results
Serial
Sat's
# of Targets/ Imaging CPU Time # of Targets/ CPU Time
#
no. Ref.
Opportunity (seconds) Imaging Opportunity (seconds)
1 1 [3] 30 153.2 25 32 (Max)
2 2, 3 [1] 100 (3 Satellites) 486.12 120 (2 Satellites) 304 (Average)
250 Imaging 86195 Imaging Opportunities

3 3 [4] 2995.5 2532 (Max)
Opportunities (2500 Targets)
VI. CONCLUSION AND FUTURE WORK

RECOMMENDATIONS
The proposed system is implemented and tested to be used
with different target types, different planning horizon s and
different constellation types. The system is designed with
many constraints and four search algorithms. Three different
objectives for creating the output plan are used. The tests
results are relatively good compared with some other similar
systems.
It is recommended for the future work to include more
objectives and use other search algorithms.
REFERENCES
[1] Erik Demeulemeester, Dishan Qiu Jianjiang Wang,
"Proactive scheduling algorithms for multiple earth
observation satellites under uncertainties of clouds," p.
25, Sep 2015.
[2] M., Verfaillie, G., Jouhaud, F., Lachiver, J., & Bataille,
N. Lemaitre, "Selecting and scheduling observations of
agile satellites," Aerospace Science and Technology, vol.
6(5), pp. 367–381, 2002.
[3] Hongfei, Xuzhi Li, Yurong Liu, and Bing Zhou. Wang,
"Summary of intelligent algorithms in planning &
scheduling of Earth observation satellite," in Intelligent
Computing and Intelligent Systems (ICIS), IEEE
International Conference, on. Vol. 3, 2010, pp. 480-483.
[4] Christiaan Vermaak. Oberholzer, Time-window
optimization for a constellation of earth observation
satellite, 2009, PhD diss.
Proposal of a Reference Model in BPMN

Notation for an MRP System
Abstract — Companies are progressively investing in I. INTRODUCTION

practices aimed at improving the quality of management, Organizations are progressively investing in business
with the main purpose of enabling them to operate quality practices such as: reengineering processes,
competitively in the present market. For this, it is adoption of an integrated management system (ERP), ISO
necessary to document the activities and information of certifications, lean production, costing by activities,
the existing business processes in the organization, among others. However, most of the high-investment and
aiming at reducing time and cost in the elaboration of the long-term investment actions, for example, in the
particular model. In this context, the objective of this adoption of ERP (BREMER; LENZA, 2000; CORREA;
work is to develop a reference model of th e SPINOLA, 2015).
Manufacturing Resource Planning (MRP) processes, an Quality management and process management units that
important module of production planning and control are carried out, which are raised and documented Existing
(PPC). The research methodology used in this work was Business Processes in the organization.
divided into the following stages: study of MRP and However, a business process modeling activity is still not
business process modeling, definition of reference model a common issue among organizations (THURER;
processes, choice of methodology and process modeling FILHO, 2012), which is responsible for increasing the
tool, development of reference model and prototype of the cost and time of implementation of the system or projects
software and, finally, analysis of results. The modeling to improve the development of new models related to
notation used was the BPMN, since it is considered a Business Processes (BREMER; LENZA, 2000). As a
standard language in the field of process modeling. The company already had a reference model, this activity
prototype was developed through the Delphi interface in would not be necessary. According to Scheer (2000), case
order to apply the model to support the implementation of studies using reference models can reduce the cost and
business management programs. As results, from a pace of deployment of organizational projects by up to
formal documentation, the model proved to be a useful 30%.
mechanism in the understanding of the processes raised In the business context, Business Processes are important
and appropriate in the support to the implantation of for the expansion process, such as Brazil, where
production management tools. production activities are more pronounced than product
Keywords — Reference Model. Production Planning development, and Production Planning and Control
and Control. Manufacturing Resource Planning. (PPC). This process is done by surveying demand,
BPMN. planning production, planning capacity, producing
materials, scheduling production, etc. (FERNANDES; and business models such as models for production
GODINHO FILHO, 2010; MUKHOPADHYA Y, 2013). management and product development.
The basic exercises of the PPC hierarchy, related to According Vernadat (1996), a reference model must
Material Planning, are the Manufacturing Resource contain a certain degree of generality and be
Planning (MRP). According to Girotti et al. (2016), the customizable. Therefore, it should serve as a basis for
MRP model determines the quantity and timing of the discussion, a formal or semiformal suggestion for the
modules, components and raw materials needed to elaboration of specific models, bringing information
produce a given quantity of final products considering regarding the design of a business process. Keller and
inventory levels and delivery times. Teufel (1998) understand that reference models can be
According to Thurer and Filho (2012), most companies, applied in cases of accumulated experience in a business
especially small and medium-sized companies, have a type, and in business process solutions implemented and
science that their PPC activities can be closed and that executed in business management software.
"processing time" and "work in progress" higher Vojislav and Leon (2000) propose that choosing the right
operating energy. However, the authors, as they simply do reference models helps to minimize possible errors in the
not know how to do this, are a vast majority of research early stages of modeling and deploying management
and solutions for the PPC is focused on large and systems. This allows the design of a process or system to
complex companies. begin with the appropriate choice of requirements and
Therefore, it is important and growing attention, both the also with the establishment of appropriate characteristics
academic environment and not to undertake, there is no given by the reference model.
development of models that support any planning of According to Bremer and Lenza (2000), the objective of
entrepreneurial resources (CORREA; SPINOLA, 2015). the reference model is to provide the company with an
However, these studies were designed to investigate PPC initial solution for its Business Processes, so that, through
models and are mostly focused on industrial purposes and this, the particular model of the company can be specified
that address modules of specific production management and detailed. According to Climent, Mula and Hernández
activities. (2009), reference models are useful in the description and
In order to become companies, especially small and graphical representation of the important aspects of a
medium enterprises, in the development and particular process, distinguishing, for example, people,
implementation of business management actions, the departments and the connection between them.
present work aims to develop a reference model that Additionally, Vergidis, Turner, and Tiwari (2008) models
addresses the related Business Processes as MRP adequately portray and represent processes, emphasizing
activities. those aspects that need to be communicated and
In addition, this work also aims to develop a software addressed.
prototype through the Delphi interface (Object-Pascal Bolloju and Leung (2006) suggest that during the analysis
language), in order to apply the reference model to phase of an information system development, the
support the implementation of business management conceptual model can be used to capture and represent the
systems. development and deployment requirements of such
The article is organized as follows: a section 2 addresses a technologies. For Scheer (2000), the use of reference
literature review on model reference and MRP; a section models can reduce the cost and time of implementation of
3 presents the methodological procedures used in this organizational projects, for example in the adoption of
study; a section 4 presents results obtained; and finally a ERP.
section 5 presents as final endings. In a review elaborated by Hernandez, Mula and Ferriols
(2008), it was proposed that a reference model describe
II. LITERATURE REVIEW the social and physical aspects of the world in order to
2.1 REFERENCE MO DEL understand and communicate. In addition, it was also
Reference modeling is defined as the process of formally described that the reference model should go beyond the
documenting a problematic domain in order to understand terms "specifications" and "requirements" and apply three
and communicate stakeholders (SIAU, 2004; SIAU; linguistic concepts (syntax, semantics and pragmatics) to
ROSSI, 2011). four aspects of modeling: language, domain, model and
The reference models, which can be developed in real participants.
situations or in theoretical studies, document the various In summary, according to Vernadat (2003), the
aspects of a business process (BREMER; LENZA, 2000). advantages of adopting reference models are to reduce
According to Scheer (2000), one can distinguish between time and cost in the development of the particular model;
procedural models or standard software implementation, comparing the activities of the company with the
activities proposed in the model, that is, best practices; Guerra, Schuster and Tondolo (2014) reiterate that
and better support in deploying integrated enterprise through MRP, it is possible for companies to better
management systems. manage and monitor inputs, raw materials, components,
The model to be developed in this work will give greater products under preparation and finished products. Due to
emphasis to the information and activities that compose the great complexity of some products (large number of
the PPC process, because its main objective is support in items, components, parts and accessories), the PPC area
the implementation of organizational improvements, such frequently uses MRP, aiming at reducing inventories,
as business management systems (Figure 1). obtaining greater predictability of receiving materials and
inputs, reducing time of processing of the product, as well
as fulfillment of the deadlines of delivery of the final
product to the clients.
Therefore, the purpose of the MRP is to perform the
material requirements planning activity computationally,
thus enabling the determination of the priorities of the
purchase and manufacturing orders. For Carvalho, Silva
Filho & Fernandes (1998), the main objective of the MRP
is to preset the raw materials (or supplies) according to
the time (or factory capacity), which will be necessary to
produce the order book of a organization.
MRP is based on requirements planning according to the
Fig. 1: Process of elaboration of the reference model Master Production Plan, which is prepared according to
customer demand, Bill of Materials (BOM) (YENISEY,
2.2 MATERIALS REQ UIREMENTS PLANNING 2006), and quantities in inventories of the BOM items
A decision is made on the basis of the information (NEELY; BYRNE, 1992). Figure 2 graphically shows the
available. Many of the material management decisions of inputs required in the MRP system and what outputs such
a company are made with the help of the MRP (Materials a system provides.
Requirements Planning). According to Figure 2, MPS provides for MRP which
The MRP, created in the 1960s, is a logical system of products will be produced within the planning horizon for
calculation that converts demand forecasting into which the resource requirements will be calculated. The
programming of the necessity of its components, being BOM provides the "parent" and "child" items to be
predominant present in PPC systems in manufacturing produced according to the MPS, the gross demand for
processes (MENDES, FILHO, 2017) each item and the production and delivery lead time of the
The MRP model determines the quantity and timing of suppliers. Finally, the stock situation file provides the
the modules, components and raw materials needed to quantity in stock of each item to be subtracted from the
produce a given quantity of final products, as specified in gross need and found the need for material to be produced
the MPS, considering inventory levels and delivery times during the planning horizon adopted (YENISEY, 2006).
(GIROTTI et al. , 2016). The MRP model is characterized as a "pushed"
In addition, according to Favaretto (2012), MRP performs production system, which generates orders of production
detailed production planning, which releases production and purchase according to the master production program,
orders and purchases the product components according material lists and stock levels. From the production and
to expected demand and available inventories. The purchase lead times, the instants in which the orders are to
fulfillment of delivery times and the production costs of be released are determined, applying a programming logic
the companies depend in part on the good result of this to "behind" (GIACON; MESQUITA, 2011).
planning. For the author, the main information used in the Godinho Filho & Fernandes (2006), supported by Gaither
decisions of this planning stage is related to the following & Frazier (2005), highlight the main benefits of MRP are:
variables: demand, inventory levels and spare times. If to improve customer s ervice, with greater attention to
these variables are uncertain, the planning result may deadlines and deliveries; reduce inventory investments;
show errors. and improve the operational efficiency of the
manufacturing organization.
Fig. 2: Outline of MRP implementation

Due to this integration and relative simplicity, MRP
However, Sagbansua (2010) emphasizes that information systems offer managerial flexibility that can be difficult to
accuracy plays a vital role in MRP as the benefits of this obtain in material planning systems based on
system depend heavily on the availability of the use of mathematical programming (MILNE; MAHATMA;
computers that will keep data up to date on the needs of a WANG, 2015).
certain component of production. Errors in the inventory Capacity Requirements Planning (CRP) aims to support
or bill of materials records would result in missing parts, the decisions of the detailed planning of production and
oversupply of some products and lack of others, materials, MRP (MUKHOPADHYAY, 2013). This
deviations from the production schedule, all of which planning, according to Corrêa et al. (2009), has as main
cause poor results, such as poor customer service, objectives the anticipation of resource needs that require a
inefficient use of resources and deliveries to customers. few weeks to mobilize and also the generation of a
Therefore, companies planning to use this system must detailed plan of purchases and production that is viable,
carefully evaluate the benefits and needs of MRP. through adjustments made in the original plan suggested
According to a survey by Jonsson & Mattsson (2006), by MRP, so that it can be released for execution by the
75% of manufacturing companies used MRP as the main factory.
material planning method. As noted by Ornek & Cengiz At this level, it is not necessary that the calculation of
(2006), Pandey, Yenradee & Archariyapruek (2000) and capacity be fast, since assuming that the RCCP (Rough
Taal & Wortmann (1997), the relative simplicity of MRP Cut Capacity Planning) was well done, there should not
systems makes them preferred by many approaches to have been many problems to be analyzed, which must be
mathematical programming. solved by small adjustments in the orders of production.
For Milne, Mahapatra and Wang (2015), users understand In addition, the MRP calculation itself is relatively time-
MRP logic and develop a good understanding of the consuming and does not, as a rule, allow for many
relationships between inputs and outputs of this system. simulations. The important thing is that the calculation is
For authors, this understanding allows users to identify as accurate as possible, assuming, of course, the typical
which input data is in error and which needs to be inaccuracies of the infinite capacity planning logic
improved for best results. Because MRP users understand (CORRÊA; GIANESI; CAON, 2009).
these input/output relationships, they tend to be more The typical planning horizon is a few weeks, and the limit
confident in the results of production plans by MRP than is given by the MPS (Master Production Schedule)
the production plans issued by mathematical programs of horizon, which defines the maximum MRP horizon. Thus,
unknown source codes. the short-term capacity planning period is one week, such
An additional reason to use MRP is that many large as RCCP (CORRÊA; GIANESI; CAON, 2009).
corporations have licenses for software in which MRP
modules are integrated with other corporate functions.
III. RESEARCH METHODOLOGY levels is considered the key step in process modeling,
3.1 DEFINING THE S EARCH METHO D aiming to identify all existing Business Processes in a
The reference model was developed from theoretical particular activity of an organization.
studies. Thus, this research uses the procedures of Figure 3 presents the model of the PPC Process hierarchy
bibliographic research, since it was developed from relating the planning of the capacity of its resources with
previous works such as dissertations, articles and books the planning of the needs of its materials. The hierarchical
on the subject matter. In this way, the future work can be decomposition of the PPC function starts from
based on the conclusions presented in this article, and understanding the basic concepts related to material
elaborate hypotheses aiming to deepen the study on the planning levels, namely: Sales & Operations Planning
subject or related specific aspects. (S&OP) and Aggregate Planning (AP); Master Production
On the other hand, this research can also be classified as Planning (MPS); Material Requirements Planning (MRP)
experimental, since it is based on the creation of a and Production Scheduling (PS) (CORRÊA; CORRÊA,
reference model of a MRP system, modeled through 2012; MUKHOPADHYAY, 2013). This work will be
software. Thus, with the objective of developing a limited in the development of the MRP reference model
reference model and exposing the way it was developed and its respective capacity planning. The modules of the
from the analysis of the activities involved in the Production Planning and Control function related to
processes, allow this work to be classified as a descriptive Capacity Planning are Resource Requirements Planning
research. (RRP), Rough Cut Capacity Planning (RCCP) and
Capacity Requirements Planning (CRP).
3.2 S COPE O F RESEARCH
The phase of process identification and hierarchization
Fig. 3: Hierarchy of production planning and control
3.3 S TAGES O F THE RESEARCH METHO DO LO GY

The methodology used for the elaboration of this work
was divided into eight sequential stages, as shown in
Figure 4.
model, that is, the full understanding of the functions
of a system. The modeling tool selected was Bizagi
Process Modeler version 3.1.0.011;
 Step VI - Development of the reference model: In this
step, based on the language and defined modeling
tools, the reference model of a PPC system was
developed based on BPMN theory and notation;
 Stage VII - Development of application software and
tests: In the seventh stage, once the reference model of
the PPC system was elaborated, a software prototype
was developed with the purpose of applying and
validating the model, from the Delphi version
interface 7.0, which used the Object-Pascal language;
 Step VIII - Analysis of the results obtained and
conclusions drawn: In the last step, the results
presented in the previous phases were analyzed and
discussed, as well as the conclusions obtained and
suggestions for future work
IV. RESULTS AND DISCUSSION

4.1 MRP MO DELING
MRP, in short, is a logical calculation system that
converts demand forecasting into requirements
programming for its components. From the knowledge of
all the components of a given product and the times of
obtaining each of them, one can, based on the future
vision of the needs, calculate how much and when to
Fig. 4: Stages of the research methodology obtain of each item, so that there is no shortage or surplus
in the supply of production needs.
 Step I - Study of Production Planning and Control The input and output information required to prepare the
Functions: In this stage, according to bibliographical reference model of the MRP module are shown in Table
references related to the topic of study, concepts, 1.
activities and information and functions of a typical Table 1: MRP information
production planning hierarchy were raised and Input Output
studied; Bill of Materials (BOM) Gross material requirements
 Step II - Study of the Business Process Modeling area: Short-term planning Projected Stocks of
In the second stage, the concepts and languages period Materials
regarding process modeling, as well as reference Gross demand for Planned Receipts of
models, were studied and analyzed from the scientific materials Materials
literature; Scheduled component Orders released from
 Step III - Definition of the processes and hierarchy of receipts materials
the reference model: In this third step, after the phases Initial Stocks of Material requirements plan
of the bibliographic review, the processes and Components
hierarchy that will make up the reference model of a Levels of safety stocks of
PPC system were defined; components
 Step IV - Choice of the modeling language: In this Component batch sizes
fourth stage, the modeling language used for the Batch sizes rules for
development of the reference model was defined. The components
modeling notation selected was BPMN; The activities related to this module of the MRP are
 Step V - Choice of the modeling tool: In this step, the presented, with their respective theoretical references, in
modeling tool was defined, in order to provide Table 2.
facilities in the understanding and visualization of the
Table 2: Sequence of MRP activities as well as the quantity required to be produced for each
# Activity Theoretical Framework unit of production of the component (gross demand),
Definition of BOMs Girotti et al. (2016), Corrêa according to the master plan of production of the final
for the final products & Corrêa (2012), Moreira products. For each planned level of materials required for
1 from the production (2008), Gaither & Frazier the production of the final product, information on the
master plan. (2005) , Yenisey (2006) and orders released from the lower level materials is required
Neely & Byrne (1992). in order to calculate the required quantity (gross
Definition of the requirement).
2 short-term planning Corrêa & Corrêa (2012). After calculating the gross requirements, the projected
period. inventories are calculated. For this, it is necessary to take
Calculation of gross into consideration, in addition to the gross requirements,
3 inventories from the previous planning period to the
requirements. Girotti et al. (2016), Corrêa
Calculation of & Corrêa (2012), Moreira current, scheduled receipts, if any, and also the level of
4 projected (2008), Gaither & Frazier security stock. If the current planning period has a
inventories. (2005) and Carvalho, Silva production request to be made (planned receipts),
Calculation of Filho & Fernandes (1998). according to the gross requirements, the projected
5 inventory is recalculated.
planned receipts.
Release of planned Girotti et al. (2016), For the calculation of the planned receipts, it must be
orders. Favaretto (2012), Corrêa & verified if the inventory level meets the gross
6 requirements of the planning period, always respecting
Corrêa (2012) and Moreira
(2008). the security stock level established in the previous step. If
Verification of the Girotti et al. (2016), Corrêa the level does not meet the needs, this value is calculated
need to analyze & Corrêa (2012), Gaither & taking into consideration the lot size and lot size. At this
7 another component Frazier (2005), Yenisey stage, the establishment of MPS production levels takes
of the BOM. (2006) and Neely & Byrne into account information from the CRP regarding short-
(1992). term productive capacity.
Issue of the material After setting the planned receipts, the planned order
8 release is established according to the delivery time of
requirement plan.
each material and the assembly time of the planned final
Review the material Corrêa & Corrêa (2012).
9 requirements plan if product.
Once the release of orders for a particular component has
necessary.
been defined, it is verified whether there is a need to
analyze other BOM material, since, as already mentioned,
The reference model of the proposed Material
the bill of materials has planning levels, so that quantities
Requirements Planning initially includes the definition of
of materials (demand) are dependent on others.
BOMs, a structured list of all components of the final
After the completion of the planned order release of all
product to be planned. Information about final products is
items that make up the BOM of the final product, the
taken from the MPS stage, which determines which
material requirement plan is issued. In case of need, it is
products will be made and on which dates.
possible to carry out a review of this plan elaborated.
Next, the definition of the planning period (short term) is
After review, the consolidated MRP plan is issued.
carried out, and this time period must come from the
This information is required for the calculation of the
period that was established in the previous planning stage,
CRP, and also for the analysis and definition of the PS of
that is, in the MPS.
the components and final product.
For the calculation of gross requirements, it is necessary
The reference model, in BPMN notation, for the MRP
to extract information from the BOM regarding the
module is shown in Figure 5.
structure of the components at each level of production,
Fig. 5: Modeling of MRP in BPMN notation
4.2 CRP MO DELING Survey of the
The CRP aims to subsidize the decisions of the detailed production rate of
5
planning of the production and materials. This planning final product
has the objective of calculating resource needs that components.
require a few weeks to mobilize and also the generation Calculation of the
of a detailed production plan that is viable, through necessary
6
adjustments made in the original plan suggested by MRP, production capacity
so that this can be released for execution. of the components. Corrêa and Corrêa (2012).
The input and output information required for the Calculation of
elaboration of the reference model of the CRP module are 7 installed production
shown in Table 3. capacity.
Table 3: CRP information Calculation of the Corrêa & Corrêa (2012) and
8
Input Output loading rate. Vollmann (2005).
List of materials of the Capacity required Elaboration of the
final products short-term
9 Martins & Laugeni (2009).
Short-term planning period Capacity installed production capacity
Working days Charging rate plan.
Daily working day Short-term production Review of the short-
capacity plan term production
10
Amount of labor capacity plan, if
Quantity of subcontracted Mukhopadhyay (2013) and
necessary.
labor Corrêa, Gianesi & Caon
Definition of the
(2009).
Overtime of daily work BOM of the final
Setup times 11
products specified in
The activities related to this module of the PPC planning MRP.
are presented, with their respective theoretical references, In the CRP model, as shown in Figure 6, the short-term
in Table 4. planning time is initially defined, according to what was
Table 4: Sequence of CRP activities established by the MRP.
# Activity Theoretical Framework Next, the total setup time for all BOM materials present
Definition of the Girotti et al. (2016), Corrêa in the production process is calculated.
BOM of the final & Corrêa (2012), Moreira For calculating the required production capacity, account
1 products specified in (2008), Gaither & Frazier is taken of the quantity of materials of the final product to
MRP. (2005), Yenisey (2006) and be planned that are described in the receipts planned in
Neely & Byrne (1992). the material requirements plan. In order to make this
Definition of the calculation, it is necessary to have information on two
2 planning period Corrêa & Corrêa (2012). variables relevant to the production process: the
specified in MRP. production rate of these materials, the amount of labor
Survey of the available (normal and subcontracted), the production plan
following specified in the MRP, and total times calculated in the
information previous step.
3 regarding productive Following the description of this stage of the model, the
capacity: quantity of production capacity is consolidated, which for calculation
labor (normal and should take into account the following variables: working
subcontracted). Corrêa & Corrêa (2012), days, working hours and overtime, the latter if there is .
Survey of the Corrêa, Gianesi & Caon Finally, for the calculation of the loading rate of the
following (2009), and Mukhopadhyay production process related to the MRP, which is
information (2013). performed by the ratio between the total required
regarding production production capacity and the installed production capacity.
4 time: daily working After the completion of this last stage, the short-term
day, overtime and capacity plan, necessary for the consolidation of the
working days of MRP, is issued. In case of need, it is possible to carry out
each planning a review of this plan elaborated. After the review, then,
period. the consolidated plan of the CRP is issued. This
information, as previously seen, is required for MRP The reference model, in BPMN notation, for the MRP
analysis and definition. module is shown in Figure 6.
Fig. 6: Modeling of CRP in BPMN notation
4.3 S O FTWARE PRO TO TYPE the support of implementation and development of
After the elaboration of the production planning system enterprise management tools, a software prototype was
module for MRP and CRP, a software prototype was developed through the Delphi interface.
developed through the Delphi interface, with the intention The first screen of the prototype for MRP and CRP is
of generating a greater consistency between the being shown in Figure 7.
abstraction of the reference model and its application in
Fig. 7: First screen of the computational program of the MRP and CRP module
In order to validate the software prototype, several tests of improvements of the business management. However,
were carried out, with different planning scenarios and most research and solutions for production planning are
production strategies, in order to verify the activities, focused on large and complex organizations, highlighting
information, accuracy and precision of the calculations an academic gap regarding work to support the
used to prepare the final master plan . implementation of management systems, especially for
The results obtained by the computational program were small and medium-sized enterprises. Therefore, the
compared with the results extracted manually and in reference model developed in this work may provide
electronic spreadsheets. Thus, the software prototype these companies with an initial solution for their business
developed from the developed reference model proved to processes, in order to specify and detail the particular
be reliable and apt to be used for the preparation of model with a reduction in cost and implementation time.
production material requirements plans. Thus, this work sought the development of a reference
model, in BPMN notation, that addresses the business
V. CONCLUSION processes related to MRP, as well as to CRP, one of the
Currently, we are seeing increasing attention in the modules inherent in the PPC. In addition, we also aimed
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WEKA for Reducing High -Dimensional Big

Text Data
Kotonko Lumanga Manga Tresor, Professor Xu Dhe zi
Central south university, Department of computer science & Engineering, Address City, Changsha, State ZIP 410000/zone
China
Abstract— In the current era, data usually has a high have made the deployment of mu ltip le models appear
volume, variety, velocity, and veracity, these are known nearly trivial.
as 4 V’s of Big Data. Social media is considered as one of Dimension reduction (DR) is a per processing step for
the main causes of Big Data which get the 4 V’s of Big reducing the original d imensions. The aims of dimension
Data beside that it has high dimensionality. To reduction strategies are to improve t h e speed and
manipulate Big Data efficiently; its dimensionality should precision of data mining. The fourma in strateg ies for DR
be decreased. Reducing dimensionality converts the data are: Supervised-Feature Select ion (SFS), unsupervised
with high dimensionality into an expressive feature selection (UFS), Supervised Feature
representation of data with lower dimensions. This Transformation (SFT),and Unsupervised Feature
research work deals with efficient Dimension Reduction Transformation(UFT). Feature selection emphases on
processes to reduce the original dimension aimed at finding feature subsets that better describes the data, as
improving the speed of data mining. Spam-WEKA dataset; good as the original data set, for supervised or
which entails twitter user information. The modified J48 unsupervised learning tasks[Kaur & Chhabra,
classifier is applied to reduce the dimension of the data (2014)].Unsupervised implies the reisnotrainer, in the
thereby increasing the accuracy of data mining. The data form of class labels. It is important to note that DR is but
mining tool WEKA is used as an API o f MATLAB to a preprocessing stage of classification. In terms of
generate the J48 classifiers.Experimental results performance, having data of high dimensionality is
indicated a significant improvement over the existing problemat ic because (a) it can mean high computational
J48algorithm cost to perform learning and inference and (b) it often
Keywords— Dimension Reduction; J48; WEKA; leads to over fitting when learning a model, wh ich means
MATLAB. that the model will perform well on the train ing data but
poorly on test data. Dimensionality reduction addresses
I. INTRODUCTION both of these problems while trying to p reserving most of
In the current era, data usually has a high volume, variety, the relevant information in the data needed to learn
velocity, and veracity, these are known as 4 V’s of Big accurate, predictive models.
Data. Social media is considered as one of the main
causes of Big Data wh ich get the 4 V’s of Big Data beside II. J48 ALGORITHM
that it has high dimensionality. To manipulate Big Data Classification the process of build ing model of classes
efficiently; its dimensionality should be decreased. fro m asset of records that contra in class labels. Decision
Reducing dimensionality converts the data with high Tree Algorith m is of in doubt the way the attributes-
dimensionality into an expressive representation of data vector be haves for a nu mber of instances .Also on the
with lower dimensions. Reducing high dimensional text is base soft the training instances, the classes for the newly
really hard, problem-specific, and fu ll o f tradeoffs. generated instances are being found. This algorithm
Simp ler text data, simpler models, s maller vocabularies. generates the rules for the prediction of the target
You can always make things more co mplex later to see if variable. With the help of a tree classification algorith m,
it results in better model skill. Machine learning is the critical distribution of the data is easily
frequently characterized by a singular focus on model understandable.
selection. Be it logistic regression, random forests, J48 is an extension of ID3.The addit ional features of
Bayesian methods, or artificial neural networks, machine J48are accounting for missing values, decision trees
learning pract itioners are often quick to expres s their pruning, continuous attribute value ranges, derivation of
preference. The reason for this is mostly historical. rules, etc. In the WEKA data mining tool, J48 is an open
Though modern third-party mach ine learning libraries source Java implementation of theC4.5algorith ms.The
WEKA tool provides a nu mber of options associated with are not helping gin reaching the leaf nodes.
tree pruning. In case of potential lover fitting, pruning
canbeusedas a tool for précising. In other algorithms the III. RELATED WORK
classification is performed recursively until every single Decision tree classifiers are widely used supervised
leafs pure, that is the classification of the data should beas learning approaches for data explorat ion, resembling or
perfectas possible. This algorith m generates the rules approximation of a function by piecewise constant
fro m wh ich particular dentity of that data is generated. regions, also does not necessitate preceding information
The objective is progressively generalization of a decision of the data distribution[Mitra & Acharya, (2003)].
tree until it gains equilibrium of flexibility and accuracy. Decision trees models are usually used in data mining to
The following shows the basic steps in the algorithm test the data and induce the tree and its rules that will be
 In case the instances belong to the same class the used to make predict ions [Two Crows Corporation,
tree represents a leaf so the leaf is returned by Labeling (2005)]. The actual purpose of the decision trees is to
with the same class. categorize the data into distinctive g roups that generate
 The potential in formation is calculated for every the strongest of separations in the values of the reliant
attribute, given by a test on the attribute. Then the gain in variables [Parr Rud (2001)], being superior at identifying
informat ion is calculated that would result fro m a test on segments with the desiredcompart ment such as activation
the attribute. or response, hence providing an easily interpretable
 Then the best attribute is found on the basis of solution.
the present selection criterion and that attribute selected The concept of decision trees was advanced and refined
for branching. over many years by J. Ross Quinlan starting with ID3
2.1 Counting Gain [Interactive Dichotomize 3 (2001)]. A method based on
This procedure uses the “ENTROPY” which is a measure this approach uses an evidence theoretic measure, such as
of the data disorder. Entropy of 𝑦 ⃗⃗⃗ is calculated as entropy, for assessing the discriminatory power of every
|𝑦 𝑖 | |𝑦 | attribute [Mitra & Acharya (2003)]. Major decision tree
𝐸𝑛𝑡𝑟𝑜𝑝𝑦 (𝑦
⃗⃗⃗ ) = − ∑𝑛𝑗=1 log ( | 𝑖| ) (1)
𝑦⃗ 𝑦⃗ algorith ms are clustered as [Mitra & Acharya (2003)]: (a)
classifiers fro m the machine learning co mmunity: IDS,
| 𝑦 𝑖| |𝑦 |
𝐸𝑛𝑡𝑟𝑜𝑝𝑦 (𝑗|𝑦
⃗⃗⃗ ) = − ∑𝑛𝑗=1 log ( | 𝑖| ) (2) C4.5, CA RT; and (b) classifiers for large databases:
𝑦⃗ 𝑦⃗
SLIQ, SPRINT, SONAR, Rain Forest.
Making Gain Weka is a very effect ive assemblage of machine learning
𝐺𝑎𝑖𝑛 (𝑦,
⃗⃗ 𝑗) = 𝐸𝑛𝑡𝑟𝑜𝑝𝑦 (𝑦 − 𝐸𝑛𝑡𝑟𝑜𝑝𝑦 (𝑗| 𝑦 ⃗⃗⃗ )) algorith ms to ease data mining tasks. It holds tools for
(3) data preparation, regression, classification, clustering,
2.2 Pruning association rules min ing, as well as visualizat ion. Weka is
The outliers make this a very significant step to the result. used in this research to implements the most common
Some occurrences are present all data sets which are not decision tree construction algorithm: C4.5 known as J48
well defined and also differ fro m the occurrences nits in weka. it is one of the more famous Logic Programming
neighborhood. The classificat ion is done on the instances methods, developed by Quinlan [Qu inlan JR (1986)], an
of the training set and tree is formed. The pruning is done attribute-based machine learn ing algorith m fo r creat ing a
for decreasing errors in classification wh ich are produced decision tree on a training set of data and an entropy
by specialization in the training set. Pruning is achieved measure to build the leaves of the tree. C4.5 algorith ms
for the generality of the tree. are based on the ID3, with supplementary programming
2.3 Features of the Algorithm to address ID3 problems.
 Both discrete and continuous attributes are
IV. PROPOSED TECHNIQUE AND
handled by this algorithm. A threshold value is decided
by C4.5 for manag ing continuous tributes. This value FRAMEWORK
The WEKA tool has emerged with innovatory and
splits the data list in to the se who have their attribute
effective as well as relatively easiest data mining and
value below the threshold and the sheaving more the no r
mach ine learn ing solutions. Since 1994, this tool was
equal to it.
developed by the WEKA team. W EKA contains many
 This algorithm also takes care o fth missing
inbuilt algorithms for data min ing and machine learn ing.
values in the training data.
It is an open source and freely available p latform. People
 After thetree isfullybuilt,this algorith m does the
with litt le knowledge of data mining can also use this
pruning of thetree.C4.5afterits build ing drives back
software very easily since it provides flexib le abilit ies for
through the tree and challenges to eliminate branches that
scripting experiments. As new algorith ms appear in the
research literature, these are updated in the software.
WEKA has also gained some reputation which makes it
one of the favorite tool for data mining research and
assisted to progress it by making nu merous powerful
features available to all.
4.1 The following are steps performed for data mi ning
in WEKA:
 Data pre-processing and visualization
 Attribute selection
 Classification (Decision trees)
 Prediction (Nearest Neighbor)
 Model evaluation Fig.2: Data representation by class in Weka environment
 Clustering (Cobweb, K-means)
 Association rules Table 1, indicates the output of classification represented
4.2 J48 Improvement in the following confusion matrix for spammers and non -
spammers.
Table.1: Confusion matrix
a b classified as
2316 2684 a=spammer
720 94280 b=non-spammer
Table 2 shows the results of various algorithms against

the performance of the proposed improved technique.
Table.2: Performance comparison of other algorithms
Algorithm Accuracy % Error
%
Naive Bayes 54.46 45.54
Fig.1: Flow Chart and Set-Up Multi Class Classifier 94.999 5.001
Random Tree 94.98 5.02
V. EXPERIMENTATION REP Tree 96.347 3.653
This section shows results and how performance was Random Forest 96.962 3.038
evaluated; the J48 algorith m is also compared to other
J48 96.596 3.404
algorithms.
Improved J48 98.607 1.393
The formula employed for calculating the accuracy is
(𝑇𝑃+𝑇𝑁)
𝑇𝐴 = (4)
𝑇𝑃+𝑇𝑁+𝐹𝑃+𝐹𝑁
(𝑇𝑃+𝐹𝑃)∗ ( 𝑇𝑁+𝐹𝑁)∗(𝐹𝑁+𝑇𝑃) ∗(𝐹𝑃+𝑇𝑃)
𝑅𝐴 = (5) Improved J48
(𝑇𝑜𝑡𝑎𝑙∗𝑇𝑜𝑡𝑎𝑙)
In the equation (4)TA = Total Accuracy ,TP=True
J48
Positive, TN=True Negative ,FP = False Positive and
FN= False Negative. Inequation(5) RA represents Random Forest
Random Accuracy.
REPTree
Fig 2, shows the tested negative and positive values of
spammers with respect to the various attributes. It shows Random Tree
the total number of classified spammers and non-
spammers per the dataset in WEKA environment. MultiClassClassifier
NaiveBayes
0 20 40 60 80 100 120
Error Accuracy
Fig.3: Results of algorithms in percentage
Fig 3 shows the comparison graph of the various Proceedings of the Conference of the Association for
algorith ms on accuracy and error rate. It clearly shows Computational Linguistics(ACL),vol.128, pp 16-22.
how the improved technique performs better than the [10] Karami, A.; Gangopadhyay, A; Zhou,B. and
others with its accuracy rate of 98.607 %. H.Kharrazi,“Flat m: A fu zzy logic approach topic
model for med ical documents,” in Proceed- ings of
VI. CONCLUSIONS AND FUTURE TREND the Annual Meeting of the North A merican Fuzzy
This research proposes an approach for efficient Information Processing Society(NAFIPS).
prediction of spammers fro m records of Twitter users. It IEEE,2015.
is able to correctly predict spammers and no-spammers [11] Karami, A.; Yazdani, H.; Beiryaie, R.; Hosseinzadeh,
with u to 98.607% accuracy rate. The improved technique N. ( 2010) . A riskbased model foris out sourcing
makes use of the data mining tool WEKA, which is used vendor selection, in Proceedings of the IEEE
together with MATLAB for generating an improved J48 International Conference on Information and
classifier. The experiment results speak for itself. Financial Engineering(ICIFE). IEEE,pp.250–254.
In the near future, some more datasets will be used to
validate the proposed algorith m. On ly 100000 instances
were used for this research work, a larger and more
dynamic dataset should be considered in other to test the
effectiveness of this algorithm.
ACKNOWLEDGMENT
With deep appreciation, the author would like to thank
Eng. Terry mudumbi and Pro fessor Xu Dezhi for her
support to this publication.
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The Crime Scene: Considerations about the

State of Rondônia, Brazil
Natália Talita Araújo Nascimento 1, Fabrício Moraes de Almeida2, Paulo
Adriano da Silva3, Leonardo Severo da Luz Neto 4, Izan Fabrício Neves
Calderaro5 and Jovanir Lopes Dettoni6
1 PhD student in Regional Development and Environment – PGDRA, Federal University of Rondônia, Brazil. E-mail:
natalia.kimpos163@hotmail.co m
2 PhD in Physics (UFC), with post-doctorate in Scientific Regional Development (DCR/CNPq). Researcher of the Doctoral
and Master Program in Regional Development and Environment (PGDRA/UNIR). Leader of line 2 ― Technological and
Systemic Development, and Researcher of GEITEC ― Federal University of Rondônia, Brazil. E-mail:
dr.fabriciomoraes001@g mail.co m
3 Graduated in Law from the Faculty of Human Sciences, Exams and Letters of Rondônia (2009). Postgraduate in Public
Management and Social Projects. Prosecutor of the State of Rondônia.

4 Master in Education - Autonomous University of Barcelona, Spain. Master in Psychology - University of São Paulo. Master
in Religious Studies - Faculty of Theological Education Logos of São Paulo. Bachelor of Nusring. Professional Physical
Education. Bachelor in Theology. Professor at the Federal University of Rondonia, Brazil - Department of Collective Health,
Researcher at the GEITEC and Researcher of GEISC of the Federal University of Rondonia, Brazil. Email: lluz@unir.br
5 Master in Regional Development and Environment (PGDRA/UFRO). TI Analyst of Federal University of Rondônia
Foundation, Porto Velho, Rondônia (Brazil). Member of GEITEC/UNIR/ CNPq. Brazil. E-mail: izancalderaro@gmail.co m
6 Graduated in Law from the Federal University of Rondônia, Master in History, Human Rights, Territory and Culture at
Universidad Pablo de Olavide and Master in Psychology from the Federal University of Rondônia. He is an assistant
professor at the Federal University of Rondônia. Experience in Law with emphasis on: legal hermeneutics, human rights,
prisionization and public administration. E.Mail: jovanir@unir.br
Abstract— This article presents the crime scenario in the those who broke the law and caused damage of all
state of Rondônia using as the time frame of 2010 to kinds. Gentler yet, would discuss this punitive capacity
2016. The overall objective of the research is to analyze and compare it with the ideals of justice, which, due to its
the levels of crime in the state of Rondonia (Brazil), subjectivity generate contrary discussions and often
comparing it with other federal units have similar prison unsolvable. It is too inconclusive to define if it's just the
population. As a research problem seeks to answer: application of a shame, since the place where it is fulfilled
Investments in public safety have reflected in decreasing not only generates the deprivation of liberty, but in many
rates of crime and violence? The research has to cases also the deprivation of fundamental rights.
approach nature with quantitative and qualitative use of This article presents the crime scenario in the state of
secondary data through bibliographical and documentary Rondônia using as the time frame of 2010 to 2016. The
studies. The research results it was found that Rondônia overall objective of the research is to analyze the levels of
is among Brazilian states, one that dedicates part of their crime in the state of Rondônia, comparing it with other
income to totalitarian public safety segment. federal units that have prison population similar. The
Keywords— Crime. Resocialization. Rondônia. study also adopts the variable comparison of investments
Development. in public safety in the Brazilian states in order to answer
the following question: Investments in public safety have
I. INTRODUCTION reflected in decreasing rates of crime and violence? The
It is very current state that the prison system crisis is a answer to this question is relevant to allow the
concern that affects our country. In narrower scenario, the construction of strategies for rehabilitation, watching as a
North is in evidence because of this conflict, motivated by tool for fighting crime.
numerous echoes issues in riots and massacres that
highlight the interference of a delicate area of II. THEORETICAL
Brazil. Delicate because it deals with the ability to punish 2.1 Crime and crime
According to Pastore (2011, p. 41) the crime "is human individual who broke the law, given the nature of the
behavior that violates the law and subject the author to crime, should be separated from society, suffering so,
penalties of deprivation of liberty, suspension or punishment and retribution for the offense committed,
interdiction of rights, alternative social provis ion and and also that system, the function of re-socialize the
fine." According to the author, in Brazil there are the offending individual (IBAIXE JR, 2010).
"death sentences, in perpetuity, forced labor, banishment As for crime prevention, Pebble (2009) distinguishes
or cruel." About this statement to raise two main issues: three types of interventions, which were the primary,
the first is the end of the sentence, that is, regardless of secondary and tertiary. At first the author explains that
which system the condemnation is given, the criminal, prevention is oriented to the root of the problem, working
which no longer will be so designated, will return to to create conditions that allow citizens to solve social
social life; the other issue is humanitarian bias, where he conflicts without the adoption of violent conduct. This is
discusses how cruel is worth, given that Brazil is achieved through the provision of education, quality of
characterized by the prison system crisis, overpopulation life, work and social welfare.
in prisons and subhuman conditions, considering basic In secondary prevention action is aimed at areas that have
rights such as health, the highest rates of violence, such as poor communities
Decree-Law No. 3,914 / 41 establishes that crime is a occupied by drug trafficking. Such action is guided by a
criminal offense in which the law confers in isolation, penal policy and focused police action, taking place at the
cumulative or alternative to imprisonment or detention moment in which violence manifests itself and where it
with a fine. This is the legal concept of crime (BRAZIL, outsources. Already tertiary prevention, heavily criticized
1941st). by the author in the face of their inefficiency, involves
At the crime field of study has criminology which is late initiatives that seek to reduce criminal recidivism
regarded as the science that investigates and seeks to rates. Such policies are expressed by the rehabilitation of
explain the legal violation, as well as the means by which shares tendered during and post-prison (CALHAU, 2009).
society deals with crime, care for the victim and the focus Although the fact resocializing policy does not present
on the criminal (SHECAIRA, 2012, p. 35). Means the high efficiency and effectiveness, it is necessary,
criminal offense as a genre that makes up the species therefore, discuss it and improve it. This is because the
crime and misdemeanor. The concept of crime is already complexity and financial costs demanded by primary
clear on the punishment by imprisonment and detention, prevention in conjunction with the difficulties of the
and such imprisonment be cumulated with a fine. Already country to provide welfare to its citizens, exposes how
the misdemeanor is understood as the fact that less delicate and difficult is the resolution of the problem. Not
potential offensive to society, assuming maximum simple stated, however, that primary prevention is not the best
imprisonment and may provide application only fine solution, but it is argued that even if it is fully
(BRAZIL, 1941b). functioning, the prison reality needs to be worked for the
Silva (2014, p. 16) to the handle on the inability of the social reintegration of that already outsourced violence
penal state with the growing crime says that "the issue of socially.
combating the crime by coercion is intertwined with 2.2 Types of crime
authoritarianism characteristic that has always been Criminal typologies presented in this research consider
voiced by the elites." The author explains that this model the crimes listed in official reports on crime in the
generates an expansive conflict, where the state punishes country, the main one being the Brazilian Yearbook of
the violence that consequently generates more violence Public Security issued by the Brazilian Forum on Public
through crime. Security (FBSP, 2013, 2015 and 2017). In the
The prison system is the meeting of administrative actions classification are mentioned crimes against life, sexual
and equipment used for the execution of custodial freedom, equity and personal injury, as descriptive of
sentences. Its existence is related to the fact that the Table 1.
Table.1: Types of crime

TYPE RANKING STANDARD LEGAL DEFINITION
Crime against life; Art. 121
MURDER You can integrate the Decree-Law No. Kill someone;
list of heinous crimes 2,848 / 1940
Crime against Art. 157 § 3 Variant of crime theft; It occurs when
ROBBERY property; Decree-Law No. the violence used to the consummation
Integrates the list of 2,848 / 1940 of theft because the victim's death.
heinous crimes
Art. 121 combined Variant of homicide crime; occurs
ASSASSINATION with Art. 14 when after started running crime, this
Crime against life
ATTEMPT Decree-Law No. will not be consumed by others to the
2,848 / 1940 criminal.
Crime injury; Art. 129
BODILY INJURY You can integrate the Decree-Law No. Offend the body or health of others.
list of heinous crimes 2,848 / 1940
Art. 155
Crime against
THEFT Decree-Law No. Subtract mobile alien thing
property
2,848 / 1940
Art. 155
THEFT OF Crime against
Decree-Law No. Subtract mobile alien thing
VEHICLE property
2,848 / 1940
Art. 157
Crime against Subtract thing others through violence
THEFT Decree-Law No.
property or serious threat to the victim
2,848 / 1940
Variant of crime theft; if the stolen
Art. 157 § 2 IV
VEHICLE Crime against property is transported to another state
Decree-Law No.
THEFT property or country will be increased penalty of
2,848 / 1940
one third to one half.
Crime against sexual Embarrass someone by violence or
Art. 213
freedom; serious threat to have sexual
RAPE Decree-Law No.
Integrates the list of intercourse or engaging in any other
2,848 / 1940
heinous crimes; lewd acts.
Carry, facilitate the transport, produce,
trafficking crime; Art. 33 market, having in possession and
DRUG
Equated to heinous Law No. 11.343 / supply, even for free, unauthorized
TRAFFICKING
crimes 2006. substances capable of causing
addiction.
Source: BRAZIL (1940, 2006).
Some of the crimes listed in Table 1 are or may be directly typifies as a crime of this nature, as you do with
classified as heinous crimes, which are those that cause the crimes of robbery and rape. However in art. 2 of the
high censorship by society and commotion for hurting said legal regulation is indicated that, as the crimes
human dignity. Listed by Law No. 8,072 / 1990 such considered heinous, the practice of torture, terrorism and
criminal acts are not susceptible of amnesty, grace, illicit trafficking in narcotics and similar drugs are not
pardon or bail, whether were tempted or consummated amenable to forgiveness (grace, amnesty and pardon) and
crimes (CNJ, 2018). surety (BRAZIL, 1990 ).
The crime of murder is considered heinous crime when 2.3 Resocialization
committed: (a) with the use of torture; (B) a futile Falconi (1998, p. 122) in his studies conceptualizes social
motivation; (C) to ensure that go unpunished another reintegration as an institute of criminal law, which "falls
crime or (d) for extermination group (BRAZIL, within the own space of Criminal Policy (post-prison),
1990). Law No. 13,142 / 2015 added to the list of heinous facing the reintroduction of former believes in the social
crimes very grave bodily injury and / or killing of context, aiming to create a modus vivendi between it and
members of the prison system and the National Public society. " The cited author adds that social reintegration is
Security Force or against your spouse, partner or relative "the crowning achievement of good work to be held in re-
within the third degree consanguineous (BRAZIL, education or rehabilitation."
2015). It is also cast as crime heinous femicide, which is In the absence of a life sentence in Brazil for to highlight
the murder of women by their gender. the role of rehabilitation that is taken by Julian (2012, p.
Trafficking in narcotics is considered a crime equivalent 57) as socializing again, a concept used primarily within
to heinous. This is because the Law No. 8,072 / 1990 not the prison system, which means "the idea that the internal
return to society willing to accept and follow social norms For the research were also carried out bibliographical and
and rules." The rehabilitation is the set of attributes able documentary research. In the quantitative analysis we
to create opportunities to humans become useful to used the MsExcel program. The comparative analysis
yourself, your family and society. In this regard, penalties occurred in two scenarios, the first considered the period
should offer conditions for individuals to be effectively from 2010 to 2016 in years; the second aiming to translate
reintegrated into the social environment, through actions latest context used for comparing the first half of 2016
that can reduce recidivism levels and contribute to the and 2017, since the study was conducted in August 2017.
recovery of the detainee, his education, vocational As a criterion of demarcation of the research, were
training and psychological and social awareness selected for comparative design states with prison
(Figueiredo Neto et al., 2009). Silva (2014, p. population similar to that of Rondônia, allowing the
analysis of investments in public safety, size and
III. METHODOLOGY population of these states.
The research has quantitative and qualitative approach
with use of secondary data obtained from the article IV. RESULTS
published by Lessa and Silva (2015) that characterized 4.1 Characterization of the crime in the state of
the crime in the state of Rondônia in the period 2010 to Rondônia
2014. The data for 2015 were collected the Brazilian In the survey was conducted survey on the number of
Yearbook of Public Security (FBSP, 2017) and those criminal incidents in the state of Rondônia. Table 1 shows
relating to the years 2016 and 2017 are statistical the classification of the crime and the number of
publications held by the State Security Department, occurrences per year in the period 2010 to 2016.
Defense and Citizenship - SESDEC (RONDÔNIA, 2017).
Table.1: Crime in the State of Rondônia 2010-2016

PERIOD
RONDÔNIA TOTAL
2010 2011 2012 2013 2014 2015 2016
Murder 550 427 484 470 530 503 545 3.509
Robbery 27 16 11 7 17 15 35 128
Assassination Attempt 782 916 866 925 881 908 867 6.145
Bodily injury 10.998 11.524 10.875 11.477 10.640 10.354 10.054 75.922
Theft 30.894 32.654 35.221 44.643 40.655 - 44.231 228.298
Theft of vehicle 1.576 1.782 1.984 2.681 2.571 3.304 3.555 17.453
Theft 6.951 7.210 9.405 14.501 16.844 - 26.418 81.329
vehicle theft 862 948 1.251 1.242 1.150 1.795 1.908 9.156
Rape 675 731 806 822 753 692 790 5.269
Narcotics trafficking 1405 1.475 1.180 1.051 1.041 1.004 1.019 8.175
TOTAL 54.720 57.683 62.083 77.819 75.082 18.575 89.422 435.384
Source: FBSP (2017); RONDÔNIA (2017); LESSA and Silva (2015).
2015 data were collected in the Brazilian Yearbook of the year 2015 are not mentioned in Table 1. For the
Public Security that does not use in his classification the perception of crime rate of evolution elaborated the Table
occurrence of theft and robbery, as occurs in the data 2 presents the annual and total growth for the period by
published by the Rondonia organs. Given this distinction, type of crime.
the information on the occurrence of theft and robbery for
Table.2: Evolution rate calculation crime 2010-2016

PERIOD
RONDÔNIA
10/11 11/12 12/13 13/14 14/15 15/16 10/16
Murder -22,36% 13,35% -2,89% 12,77% -5,09 8,35 -0,91%
Robbery -40,74% -31,35% -36,35% 142,86% -11,76% 133,33% 29,63%
Assassination Attempt 17,14% -5,46% 6,81% -4,76% 3,06% -4,52% 10,87%
Bodily injury 4,78% -5,63% 5,54% -7,29% -2,69% -2,90% -8,58%
Theft 5,70% 7,86% 26,75% -8,93% (*) (*) 43,17%
Theft of vehicle 13,07% 11,34% 35,13% -4,10% 28,51% 7,60% 125,57%
Theft 3,73% 30,44% 54,18% 16,16% (*) (*) 280,06%
vehicle theft 9,98% 31,96% -0,72% -7,41% 56,09% 6,30% 121,35%
Rape 8,30% 10,26% 1,99% -8,39% -8,10% 14,16% 17,04%
Narcotics trafficking 4,98% -20,00% -10,93% -0,95% -3,55% 1,49% -27,47%
(*) Amounts not calculated due to the lack of data for the year 2015.
Source: FBSP (2017); RONDÔNIA (2017); LESSA and Silva (2015).
Of the 11 criminal types analyzed, only the crimes of reach a maximum of 27.47% (drug trafficking), while the
murder (-0.91%), bodily injury (-8.58%) and drug percentage of increase in crime as well as represent most
trafficking (-27.47%) had a reduction in the crime rate types grow at least 10.87% (attempted murder) and reach
between 2010 and 2016. in contrast stands the significant alarming 280.06% (theft).
increase in theft crimes (280.06%), vehicle theft For the preparation of the latest study, we compared the
(125.57%), vehicle theft (121.35%), drug trafficking occurrence number of the first and second half of the
(63.42%) and theft ( 43.17%). Disturbing to realize that in years 2016 and 2017, obtaining the results shown in
analyzing the crime rate presents a shy decrease in Figure 1 and described in Table 3.
contrast to the high growth, now that the reduced numbers
Chart.1:- Comparison of occurrences in the State of Rondônia

Legends: Murder, Robbery, Attempt to Murder, Bodily injur
y,
Theft, Theft of Vehicle, Theft, Vehicle theft, Rape, Narcotics trafficking
Source: Prepared based on RONDÔNIA (2017).
Table.3: Criminality in the State of Rondônia - January to June 2016/2017

Período: 1º semestre
RONDÔNIA % TOTAL
2016 2017
Murder 287 248 -13,6 535
Robbery 12 7 -41,7 19
Attempt to Murder 434 369 -15,0 803
Bodily injury 4.747 4.741 -0,1 9.488
Theft 22.422 22.392 -0,1 44.818
Theft of Vehicle 1.892 1.383 -26,9 3.275
Theft 13.737 12.678 -7,7 26.415
Vehicle theft 1.104 882 -20,1 1.986
Rape 382 433 13,4 815
Narcotics trafficking 539 569 5,6 1.108
TOTAL 45.556 43.702 -4,1 89.258
Source: Prepared based on RONDÔNIA (2017).
According to the data presented in Figure 1 and Table 3 it the prison population were collected from the National
can be seen the reduction in most types of crimes, Survey of Penitentiary Information (BRAZIL, 2014).
however this is the increase in rape crimes and drug Based on the prison population of 27 units, Rondônia
trafficking. The main highlights are as reductions for occupies the 17th position with 7,631 inmates (BRAZIL,
robbery crimes, car theft, vehicle theft, attempted murder 2014). The states with similar prison population include
and murder. the Amazon (7,455 inmates), Rio Grande do Norte (7081)
It conducted further survey of the general population, and Maranhão (6098). Table 4 identifies the relationship
estimated and prison in order to compare the percentage between prison and general population of the federated
of incarcerated for state of the federation. Data from units that occupy the top positions in the national ranking
general and estimated population were obtained from the and those with close prison population of the State of
latest census conducted in 2010 by the Brazilian Institute Rondonia.
of Geography and Statistics (IBGE) and those relating to
Table.4: Ranking of the prison population

Prison State's Estimated % %
Position / population - population - population – Population 2016
Federative Unit 2014 2010 2016 in 2010 1 Population2
1º São Paulo 219.053 41.262.199 44.749.699 0,53% 0,49%
2º Minas Gerais 61.286 19.597.330 20.997.560 0,31% 0,29%
3º Rio de Janeiro 39.321 15.989.929 16.635.996 0,25% 0,24%
[...]3 - - - - -
15º Mato Grosso 10.357 3.035.122 3.305.531 0,34% 0,31%
16º Paraíba 9.596 3.766.528 3.999.415 0,25% 0,24%
17º Rondônia 7.631 1.562.409 1.787.279 0,49% 0,43%
18º Amazonas 7.455 3.483.985 4.001.667 0,21% 0,19%
19º Rio Gr. do Norte 7.081 3.168.027 3.474.998 0,22% 0,20%
20º Maranhão 6.098 6.574.789 6.954.036 0,09% 0,09%
21º Alagoas 5.785 3.120.494 3.358.963 0,19% 0,17%
22º Sergipe 4.307 733.559 816.687 0,48% 0,43%
23º Acre 3.486 2.068.017 2.265.779 0,21% 0,19%
24º Tocantins 3.233 1.383.445 1.532.902 0,23% 0,21%
25º Piauí 3.224 3.118.360 3.212.180 0,10% 0,10%
26º Amapá 2.654 669.526 782.295 0,40% 0,34%
27º Roraima 1.610 450.479 514.229 0,36% 0,31%
1 Percentage of the prison population compared with the general population in 2010
2 Percentege of prison population with respect to population of 2016;
3 Data hidden by not showing significant for analysis of the state of Rondônia.
Source: Prepared based on BRAZIL (2014); IBGE (2017).
It is relevant to point out, as recorded in Table 4, when federal units that occupy the top ranking. In the same
observed the population recorded in the 2010 census, analysis, when considering the estimated population for
Rondônia has the second highest percentage of prisoners 2016, Rondonia state still has the second highest
with regard to their general population, surpassing even
percentage of imprisoned, sharing the lead with the state more than double the rondonian population; Alagoas and
of Sergipe. Piauí come close twice and Sergipe is 24% more
We note also that the 10 states having lower prison populous. To understand the spatial dimension of the
population that Rondônia 6 have the general population states with lower prison population Rondônia was
and higher estimated, and the state of Maranhao 4 times prepared an infographic (Figure 1).
more populous; Amazon and Rio Grande do Norte have
Fig.1: States with prison population less than Rondônia

Source: Prepared based on BRAZIL (2014).
Advancing research, data were collected on costs of these function compared to the total expenses of each state. For
federal units (Table 4) for public safety function. We this classification was taken as basis the period from 2010
conducted a survey of expenditures for public safety to 2015, obtaining the results presented in Table 5.
Table.5: Percentage of share of costs incurred for the public safety function in the total expenditure of the federal unit
LINK Excel.Sheet.12
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%20Marta%20e%20Moret%20-%20Dinâmicas /Ocorrências%202010%20a%202016.xls x "" Sheet2 L2C10: L13C17 "to 5 h
* MERGEFORMATX
Position1 /
2010 2011 2012 2013 2014 2015 Avarage
Federative Unit
1º São Paulo 5,5 7,7 5,6 5,2 4,9 5,8 5,8
2º Minas Gerais 13,4 (1º) 13,6 (1º) 9,1 9,4 13,3 (2º) 17,7 (1º) 12,8 (3º)
3º Rio de Janeiro 8 8,4 9,3 10,3 10,2 14 (3º) 10,0
[...]2 - - - - - - -
15º Mato Grosso 9,4 9,8 8 9 8,2 11,2 9,3
16º Paraíba 9,9 10,6 10,4 10,5 9,2 10 10,1
17º Rondônia 13,2 (2º) 13,3 (2º) 13,6 (1º) 13,1 (2º) 13,8 (1º) 16,1 (2º) 13,9 (1º)
18º Amazonas 7,2 7,6 8,7 7,8 8,7 9,7 8,3
19º Rio Grande do Norte 7,9 8,2 9,6 7,7 7,4 7,8 8,1
20º Maranhãoas 8,9 7,3 7,6 6,4 8 8,3 7,8
21º Alagoas 13,4 (1º) 12,4 (3º) 12,3 (2º) 14,1 (1º) 13 (3º) 13,5 13,1 (2º)
22º Sergipe 11,7 12,2 11,9 (3º) 10,8 (3º) 10 11,3 11,3
23º Acre 7,3 7,7 7,7 7,7 7,8 8,7 7,8
24º Tocantins 9,4 10,8 10,1 9,5 7,8 9,1 9,5
25º Piauí 5,2 4,1 3,8 1,4 0,8 3,2 3,1
26º Amapá 9,5 10,6 1 1,2 1,3 11,7 5,9
27º Roraima 6,9 5,9 5,6 4,7 8,8 9,9 7,0
1 Position in the ranking of the prison population of 27 units.
2 hidden data not prove significant for analysis of the state of Rondônia.
Source: Prepared based on FBSP (2015) (2017);
In Table 5 was highlighted in orange color the highest held in the years 2012 and 2014 the first position and in
percentage recorded each year during the period. it makes the years 2010, 2011, 2013 and 2015 the second
clear that the hidden data does not hurt the study, since all position. Another significant fact is that the national
temporal interval, Rondonia, Alagoas and Minas Gerais average for the period (2010-2015) rondonian the state is
disputed the lead with the largest holdings of government the leader in this comparative scale with 13.9% of
revenue dedicated to public safety in this regard have revenue dedicated public safety function, followed by
been identified at the top of the data three highest Alagoas occupying the second position (13.1 %) and
percentages per year and the three highest averages at end Minas Gerais (12.8%). Further integrating the research,
of period (1, 2 and 3). had classified the type of spending within the public
It also points out that the overall assessment made by the safety function, as shown in Chart 2.
analysis of 27 units in the period 2010 to 2015, Rondônia
Chart.2:- Expenditure incurred with public safety function in the state of Rondônia by subfun ctions
Legends: Policing. Civil defense. Information and Intelligence. Other subfunctions

Source: Prepared based on FSBP (2013) (2015) (2017 ).
For this issue for the highlights the lack of revenue to investment in intelligence actions justify the high
information and intelligence as well as the gradual percentage of resources devoted to public security of the
increase of investment for the policing sub-function. In state, now that the strengthening of information provision
this scenario one has to question whether the lack of and intelligence is a strategy for the reduction of crime,
enabling deconstitution criminal organizations. This Code. Brasilia. Available in
practice is also essential for the police action as it will www.planalto.gov.br/legislacao.
allow the public security manager to decide how, where [2] _________. Presidency. (1941). Decree-Law No.
and what tools need to promote the protection of 3914 of 09 December 1941 introduction of the
society. So we have an inverted spiral where rising crime Penal Code (Decree-Law No. 2,848 / 40) and the
requires more investment Law of Criminal Offenses (Decree-Law No. 3,688 /
One has to question even if the decrease in criminal 41). Brasilia, 1941st. Available in
typology trafficking of drugs is not associated with lack www.planalto.gov.br/legislacao.
of investment in intelligence and information actions, [3] _________. Presidency. (1941). Decree-Law No.
now that generally trafficking is combated with strategic 3,688, of October 03, 1941. Law of Misdemeanor
actions since they are organized networks that have Criminal. Brasilia, 1941b. Available in
financial capital, personnel and military in large www.planalto.gov.br/legislacao.
proportions. [4] _________. Presidency. (1990). Law No. 8072 of
25 July 1990. Provides for the heinous crimes under
V. FINAL CONSIDERATIONS art. 5, item XLIII of the Federal Constitution, and
The research allowed to draw picture of crime in the state addresses other matters. Brasilia. Available in
of Rondônia, also realizing factors such as investment and www.planalto.gov.br/legislacao.
population in the analysis. It was found that Rondônia is [5] _________. Presidency. (2006). Law No. 11.343, of
among Brazilian states, one that dedicates part of their 23 August 2006. Creates the National System of
income to totalitarian public safety segment. In general, Public Policies on Drugs - SISNAD; prescribes
the Rondonia state invested increasingly in the public measures to prevent abuse, attention and social
security and such application of resources not reflected in reintegration of drug users and dependents; It sets
the reduction of crime. Add the significant increase in standards for crackdown on unauthorized production
crimes of theft and robbery, characterizing the state as and illicit drug trafficking; defines crimes and other
insecure and prevalent in property damage, a fact that measures. Brasilia. Available in
disseminates the impediment of power have yet to be www.planalto.gov.br/legislacao.
allowed to have, it prevents you enjoy. Regarding the [6] _________. Justice ministry. National Penitentiary
relationship of the prison and general population, Department - Depen. (2014). National Survey of
Rondônia again occupies the top as second state more Information Penitentiary -
imprisoned population. InfoPen. Brasilia. Available in
The study showed relevant to detail the crime of the State www.planalto.gov.br/legislacao.
of Rondônia, as in the national ranking holds the 17th [7] _________. Presidency. (2015). Law No. 13,142, of
position on the prison population, a factor that first July 6, 2015. Changes the arts. 121 and 129 of
investigation would show little significant, considering Decree-Law No 2848 of 7 December 1940 (Penal
states with most populous prison systems. As suggestions Code), and art. 1 of Law No. 8,072, of July 25, 1990
to the development of new studies, it is cited (Law of Heinous Crimes). Brasilia. Available in
rehabilitation as an alternative to fighting crime, this www.planalto.gov.br/legislacao.
because it acts on the reintegration of the convict into [8] CALHAU, Lélio Braga. (2009). Summary of
society through education, work and citizenship. Criminology. 4. Ed Rio de Janeiro: Impetus.
Integrated rehabilitation for development projects and [9] CNJ, National Council of Justice. (2018). CNJ
contribute to the reduction of crime, can generate benefits Service: What are heinous crimes? Available at:
for the implementation of the labor force and productive <http://www.cnj.jus.br/noticias/cnj/86048-cnj-
in the face of reduced government costs. In this servico-o-que-sao-crimes-hediondos>. Accessed on
perspective, the cost savings would occur by reducing 20 March 2018.
recidivism rates, labor integration prisoner in providing [10] FALCONI, Romeu. (1998). Prison system: social
useful services to society and also by the use of goods and reintegration? Sao Paulo: Icone.
services arising from production systems in prisons. [11] FBSP, Brazilian Forum on Public
Security. (2013). Brazilian Yearbook of Public
REFERENCES Security in 2012. Sao Paulo: FBSP.
[1] BRAZIL. Presidency. (1940). Decree-Law No. [12] _________. (2015). Brazilian Yearbook of Public
2848 of December 7, 1940. Criminal Security in 2014. Sao Paulo: FBSP.
[13] _________. (2017). Brazilian Yearbook of Public
Security in 2016. Sao Paulo: FBSP.
[14] IBAIXE JR, João. (2010). Prison system: some
concepts to understand the statistics. In.: Revised
Final Appeal. Posted: 15 January 2010. Available
at:
<http://ultimainstancia.uol.com.br/conteudo/colunas/
2765/sistema+prisional+alguns+conceitos+para+co
mpreender+estatisticas.shtml>. Accessed on 15
January 2017.
[15] IBGE. Brazilian Institute of Geography and
Statistics. (2017). States@. Available at:
<http://www.ibge.gov.br/estadosat/perfil.php?sigla=
rn>. Access: 18 July 2017.
[16] JULIÃO, Elionardo Fernandes. (2012). Brazilian
penitentiary system: criminal enforcement
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Faperj.
[17] LESSA, Sávio Antiógenes Borges; SILVA, Layde
Lana Borges da. (2015). Public Safety agencies of
the State of Rondônia and combating transnational
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September 2015.
[18] PASTORE, José. (2011). Work for ex-
offenders. São Paulo: Saraiva.
[19] RONDÔNIA. Secretary of State for Security,
Defense and Citizenship. (2017). Quantitative
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<http://www.rondonia.ro.gov.br/sesdec/publicacoes/
estatisticas/>. Access: 19 July 2017.
[20] SILVA, André Luiz Augusto da. (2014).
Retribution and history: for a critique of the
Brazilian penitentiary system. Rio de Janeiro:
Lumen Juris.
Reference Model in BPMN Notation for a

Production Scheduling System
Abstract — Companies are progressively investing in I. INTRODUCTION

practices aimed at improving the quality of management, Organizations are progressively investing in business
with the main purpose of enabling them to operate quality practices such as reengineering processes,
competitively in the present market. For this, it is adoption of an integrated management system (ERP), ISO
necessary to document the activities and information of certifications, lean production, costing by activities,
the existing business processes in the organization, among others. However, most of the high-investment and
aiming at reducing time and cost in the elaboration of the long-term investment actions, for example, in the
particular model. In this context, the objective of this adoption of ERP (BREMER; LENZA, 2000; CORREA;
work is to develop a reference model of the Production SPINOLA, 2015).
Scheduling (PS) processes, an important module of Quality management and process management units that
production planning and control (PPC). The research are carried out, which are raised and documented Existing
methodology used in this work was divided into th e Business Processes in the organization.
following stages: study of PS and business process However, a business process modeling activity is still not
modeling, definition of reference model processes, choice a common issue among organizations (THURER;
of methodology and process modeling tool, development FILHO, 2012), which is responsible for increasing the
of reference model and prototype of the software and, cost and time of implementation of the system or projects
finally, analysis of results. The modeling notation used to improve the development of new models related to
was the BPMN, since it is considered a standard Business Processes (BREMER; LENZA, 2000). As a
language in the field of process modeling. The prototype company already had a reference model, this activity
was developed through the Delphi interface in order to would not be necessary. According to Scheer (2000), case
apply the model to support the implementation of business studies using reference models can reduce the cost and
management programs. As results, from a formal pace of deployment of organizational projects by up to
documentation, the model proved to be a useful 30%.
mechanism in the understanding of the processes raised In the business context, Bus iness Processes are important
and appropriate in the support to the implantation of for the expansion process, such as Brazil, where
production management tools. production activities are more pronounced than product
Keywords — Reference Model. Production Planning development, and Production Planning and Control
and Control. Production Scheduling. BPMN. (PPC). This process is done by surveying demand,
planning production, planning capacity, producing
materials, scheduling production, etc. (FERNANDES; and business models such as models for production
GODINHO FILHO, 2010; MUKHOPADHYA Y, 2013). management and product development.
The basic exercises of the PPC hierarchy, related to According Vernadat (1996), a reference model must
Material Planning, are the Production Scheduling (PS). contain a certain degree of generality and be
PS is an important decision-making process in a PPC customizable. Therefore, it should serve as a basis for
system, widely used in industrial production, management discussion, a formal or semiformal suggestion for the
and computing (SETHY; BEHERA, 2017). The PS aims elaboration of specific models, bringing information
to distribute the tasks to the resources over time, in order regarding the design of a business process. Keller &
to meet all agreed deadlines at an acceptable cost Teufel (1998) understand that reference models can be
(SILVA; MORABITO; YAMASHITA, 2014). applied in cases of accumulated experience in a business
According to Thurer & Filho (2012), most companies, type, and in business process solutions implemented and
especially small and medium-sized companies, have a executed in business management software.
science that their PPC activities can be closed and that Vojislav & Leon (2000) propose that choosing the right
"processing time" and "work in progress" higher reference models helps to minimize possible errors in the
operating energy. However, the authors, as they simply do early stages of modeling and deploying management
not know how to do this, are a vast majority of research systems. This allows the design of a process or system to
and solutions for the PPC is focused on large and begin with the appropriate choice of requirements and
complex companies. with the establishment of appropriate characteristics given
Therefore, it is important and growing attention, both the by the reference model.
academic environment and not to undertake, there is no According to Bremer & Lenza (2000), the objective of the
development of models that support any planning of reference model is to provide the company with an initial
entrepreneurial resources (CORREA; SPINOLA, 2015). solution for its Business Processes, so that, through this,
However, these studies were designed to investigate PPC the particular model of the company can be specified and
models and are mostly focused on industrial purposes and detailed. According to Climent, Mula & Hernández
that address modules of s pecific production management (2009), reference models are useful in the description and
activities. graphical representation of the important aspects of a
In order to become companies, especially small and particular process, distinguishing, for example, people,
medium enterprises, in the development and departments and the connection between them.
implementation of business management actions, the Additionally, Vergidis, Turner, & Tiwari (2008) models
present work aims to develop a reference model that adequately portray and represent processes, emphasizing
addresses the related Business Processes as PS activities. those aspects that need to be communicated and
In addition, this work also aims to develop a software addressed.
prototype through the Delphi interface (Object-Pascal Bolloju & Leung (2006) suggest that during the analysis
language), in order to apply the reference model to phase of an information system development, the
support the implementation of business management conceptual model can be used to capture and represent the
systems. development and deployment requirements of such
The article is organized as follows: a section 2 addresses a technologies. For Scheer (2000), the use of reference
literature review on model reference and PS; a section 3 models can reduce the cost and time of implementation of
presents the methodological procedures used in this organizational projects, for example in the adoption of
study; a section 4 presents results obtained; and finally a ERP.
section 5 presents as final endings. In a review elaborated by Hernandez, Mula & Ferriols
(2008), it was proposed that a reference model describe
II. LITERATURE REVIEW the social and physical aspects of the world in order to
2.1 REFERENCE MO DEL understand and communicate. In addition, it was also
Reference modeling is defined as the process of formally described that the reference model should go beyond the
documenting a problematic domain in order to understand terms "specifications" and "requirements" and apply three
and communicate stakeholders (SIAU, 2004; SIAU; linguistic concepts (syntax, semantics and pragmatics) to
ROSSI, 2011). four aspects of modeling: language, domain, model and
The reference models, which can be developed in real participants.
situations or in theoretical studies, document the various In summary, according to Vernadat (2003), the
aspects of a business process (BREMER; LENZA, 2000). advantages of adopting reference models are to reduce
According to Scheer (2000), one can distinguish between time and cost in the development of the particular model;
procedural models or standard software implementation, comparing the activities of the company with the
activities proposed in the model, that is, best practices; viii. Maximize operational efficiency.
and better support in deploying integrated enterprise For Sethy & Behera (2017), PS is a typically operational
management systems. activity, which can reduce costs and material handling
The model to be developed in this work will give greater time by optimizing the procedure. Its scope is restricted in
emphasis to the information and activities that compose the time horizon, contemplating from hours to a few
the PPC process, because its main objective is support in weeks, due to the dynamism in the production
the implementation of organizational improvements, such environment (LUSTOSA; MESQUITA; OLIVEIRA,
as business management systems (Figure 1). 2008). Thus, developing good programming for particular
production order sets can help the organization to
effectively control workflows and provide solutions for
job sequencing (SETHY, BEHERA, 2017).
Several classic formulations and different approximate
methods have been used to address the problems of
production scheduling in various industrial contexts, such
as in the beverage industry (FERREIRA; ALMADA -
LOBO; MORABITO, 2013); in the animal nutrition
industry (AUGUSTO; ALEM; TOSO, 2016); in the
packaging industry (MARTÍNEZ et al., 2016); in the
metalworking industry (LOEBLEIN et al., 2013); in the
textile industry (RAYMUNDO; GONÇALVES;
RIBEIRO, 2015); among others.
Fig. 1: Process of elaboration of the reference model Silva, Morabito & Yamashita (2014) carried out a study
of a practical case of production scheduling in the
2.2 PRO DUCTIO N SCHEDULING aeronautical industry. The computational experiments
Production Scheduling is an important decision-making showed that there is potential for productivity gains when
process in a PPC system, widely used in industrial using these models to optimize the assembly schedule.
production, management and computing (SETHY; Compared with company practice, the results indicate that
BEHERA, 2017). This process seeks to define (PLITSOS it is possible to reduce labor costs by up to 30%, without
et al., 2017): significantly jeopardizing compliance with the established
i. What productive tasks to perform (or orders / work deadlines
instructions); It is worth noting that, depending on the complexity of
ii. Where to process the production tasks and in what the production system, the area of production
sequence; and management or operation management will have greater
iii. When to carry out productive activities. difficulty in managing it (FUCHIGAMI et al., 2015).
Usually, these decisions are strongly coupled and, ideally, Thus, the internal performance of an industry, in turn,
are taken simultaneously (HARJUNKOSKI et al., 2014). conditions the external performance of the company (that
The PS aims to distribute the tasks to the resources over perceived by the customer).
time, in order to meet all agreed deadlines at an Plitsos et al., (2017) point out that due to the complexity
acceptable cost (SILVA; MORABITO; YAMASHITA, and the increase in production volumes, decisions taken
2014). Its level of aggregation of information is about from PS can not be approached without automated
product components and its planning horizon is very short optimization support. This functionality is generally
term, usually in weeks, in productive environments with a considered part of a Manufacturing Execution System
great mix of products and many alternatives of roadmaps (MES) and is usually supported by an ERP system
(GIACON; MESQUITA, 2011). In this scenario, (HARJUNKOSKI et al., 2014), usually of high cost
companies, through tools that can assist them in this task, mainly for small and medium enterprises.
seek to increase productivity, reduce inventories, reduce Novas & Henning (2010), in a review of existing
costs and achieve greater flexibility. knowledge-based techniques for Production Scheduling,
In addition, Muthiah & Rajkumar (2017) affirm that the have found that the inherent presence of uncertainties on
objectives of the Production Schedule are: the shop floor creates the need to constantly adjust
iv. Deliver the products on the agreed date; schedules through operational control.
v. Minimize stock in process; Thus, Framinan & Ruiz (2010), to address this problem,
vi. Decrease delivery time; affirm that these systems should include support for a
vii. Minimize the use of resources; and series of activities, such as: monitoring and execution of
planned schedules; accurate representation of the shop environments. Moreover, such rules are easy to code in
floor model, including all of its restrictions; use of modern programming languages and their calculations are
adequate techniques to solve the problem of generation of quite fast (Fuchigami et al., 2015). For some specific
schedule, that is, the algorithm; assessment of the problems, these rules generate optimal solutions, but in
proposed solution, which should satisfy all possible general, they are heuristic methods that in their simplicity
constraints; ability to be reactive and respond to events do not guarantee the complete optimization of the PS
that could prevent the completion or feasibility of the problem (LUSTOSA; MESQUITA; OLIVEIRA, 2008)
schedule; capacity analysis; and ability to integrate with The need to define a sequence of tasks is most evident in
various existing information systems within the company pushed production systems, where predetermined criteria
Therefore, PS is in practice a dynamic activity in which are used to issue purchase, manufacturing and assembly
information gathering and constant monitoring occur orders. In the pull systems, kanbans are usually
before and during the generation and execution of the implemented to manage production (FUCHIGAMI et al.,
schedule (ROMERO-SILVA; SANTOS; HURTADO, 2015). For these reasons, research with priority rules for
2015). such complex production scheduling problems is an
Priority rules, also known as sequencing rules, are important topic and requires careful attention.
extremely important procedures in practice. They are Table 1 presents some of the more usual rules. It is worth
technically simple, easy to understand and require little remembering that in the attempt to obtain better results
effort to be applied. Generally, the use of priority rules is inside the factory floor, it is possible to apply more than
sufficient for programming in multiple production one rule simultaneously.
Table 1: Common rules for task sequencing.

Initial Specification Description Priority of Production Orders
First in first out On the same order of arrival Priority to orders that will arrive first. It seeks to
FIFO on the machine. minimize the variance of the machine's dwell time.
Last in first out In the reverse order of arrival Priority to orders that will arrive last. It seeks to
LIFO of the machine. minimize the variance of the machine's dwell time.
Lower In increasing order of Priority to orders of shorter time, leading to
LPT manufacturing/ processing time in the reduced queues and increased flow.
processing time resource.
Lowest delivery In ascending order in Priority to the most urgent orders, aiming to reduce
LDD date promised delivery period. arrears.
Less time off In ascending order of Priority to the most urgent orders, aiming to reduce
LTO clearances (promised date less arrears.
total processing time).
It should be noted that the Gantt Chart is widely used for bibliographic research, since it was developed from
the graphical representation of a schedule of tasks to be previous works such as dissertations, articles and books
performed in a previously established period of time. It is on the subject matter. In this way, the future work can be
used to represent several types of tasks, such as a based on the conclusions presented in this article, and
production program, an event planning or the stages of a elaborate hypotheses aiming to deepen the study on the
project (LORENZI et al., 2015). subject or related specific aspects.
This graph consists of a graph where the rows represent On the other hand, this research can also be classified as
the tasks to be performed and the columns the execution experimental, since it is based on the creation of a
time of the tasks. They usually also provide other reference model of a PS system, modeled through
information such as: who or where each operation will be software. Thus, with the objective of developing a
performed, total and partial operation time, critical reference model and exposing the way it was developed
process points, follow-up lines, etc. from the analysis of the activities involved in the
processes, allow this work to be classified as a descriptive
III. RESEARCH METHODOLOGY research.
3.1 DEFINING THE S EARCH METHO D
The reference model was developed from theoretical 3.2 S COPE O F RESEARCH
studies. Thus, this research uses the procedures of The phase of process identification and hierarchization
levels is considered the key step in process modeling, Planning (MPS); Material Requirements Planning (MRP)
aiming to identify all existing Business Processes in a and Production Scheduling (PS) (CORRÊA; CORRÊA,
particular activity of an organization. 2012; MUKHOPADHYAY, 2013). This work will be
Figure 2 presents the model of the PPC Process limited in the development of the PS reference model and
hierarchy relating the planning of the capacity of its its respective capacity planning. The modules of the
resources with the planning of the needs of its materials. Production Planning and Control function related to
The hierarchical decomposition of the PPC function starts Capacity Planning are Resource Requirements Planning
from understanding the basic concepts related to material (RRP), Rough Cut Capacity Planning (RCCP) and
planning levels, namely: Sales & Operations Planning Capacity Requirements Planning (CRP).
(S&OP) and Aggregate Planning (AP); Master Production
Fig..2: Hierarchy of production planning and control
3.3 S TAGES O F THE RESEARCH METHO DO LO GY

The methodology used for the elaboration of this work
was divided into eight sequential stages, as shown in
Figure 3.
modeling tool was defined, in order to provide
facilities in the understanding and visualization of the
model, that is, the full understanding of the functions
of a system. The modeling tool selected was Bizagi
Process Modeler version 3.1.0.011;
 Step VI - Development of the reference model: In this
step, based on the language and defined modeling
tools, the reference model of a PPC system was
developed based on BPMN theory and notation;
 Stage VII - Development of application software and
tests: In the seventh stage, once the reference model of
the PPC system was elaborated, a software prototype
was developed with the purpose of applying and
validating the model, from the Delphi version
interface 7.0, which used the Object-Pascal language;
 Step VIII - Analysis of the results obtained and
conclusions drawn: In the last step, the results
presented in the previous phases were analyzed and
discussed, as well as the conclusions obtained and
suggestions for future work

4.1 PS MO DELING
PS is a typically operational activity that aims to reduce
material handling time by optimizing the procedure, and
consequently reduces costs. In this way, it seeks to deliver
the final product at the right time, minimizing delivery
delays to the maximum. Its scope is restricted in the
horizon of very short time, contemplating from hours to
Fig. 3: Stages of the research methodology few weeks, due to the dynamism in the production
environment. As the orders arrive at the same time in the
 Step I - Study of Production Planning and Control work centers, decisions about the sequence in which they
Functions: In this stage, according to bibliographical will be executed become very important. The input and
references related to the topic of study, concepts, output information needed to construct the reference
activities and information and functions of a typical model of the PS module are shown in Table 2.
production planning hierarchy were raised and
studied; Table 2: PS information
 Step II - Study of the Business Process Modeling area: Input Output
In the second stage, the concepts and languages Material Requirements Production Sequencing
regarding process modeling, as well as reference Plan
models, were studied and analyzed from the scientific Very short-term planning End time of production
literature; period Production delay time
 Step III - Definition of the processes and hierarchy of Production time of
the reference model: In this third step, after the phases components
of the bibliographic review, the processes and Delivery time of Gantt Chart
hierarchy that will make up the reference model of a components
PPC system were defined; Production sequencing Production scheduling
 Step IV - Choice of the modeling language: In this rules
fourth stage, the modeling language used for the
development of the reference model was defined. The The activities related to this module of the PS are
modeling notation selected was BPMN; presented, with their respective theoretical references, in
 Step V - Choice of the modeling tool: In this step, the Table 3.
Table 3: Sequence of PS activities The reference model for the Production Scheduling
# Activity Theoretical Framework module proposed firstly identifies the components of the
Product definition final products specified in the MRP stage.
and production Then, according to the proposed model, the definition of
1 scheduling Corrêa e Corrêa (2012). the planning period (very short term) is carried out, and
component, as this period must come from the period that was
specified in MRP. established in the material requirements plan.
Definition of the Corrêa e Corrêa (2012), From the computation of the necessary capacity
short-term planning Giacon e Mesquita (2011) e calculated in the planning stage prior to this, the
2
period of production Lustosa, Mesquita e Oliveira production time of each of the components relating to a
scheduling. (2008). final product is calculated, which includes the final
Calculation of the assembly of the product. Likewise, from the installed
production time of capacity specified in MRP, the final delivery time of these
each component or components is defined.
3 product, according Once the production and delivery time of each of the
to the required components is defined, possible production schedules are
Muthiah e Rajkumar (2017) performed according to each sequencing rule adopted by
capacity specified in
e Tubino (2007). the organization. In this model, the following rules were
the MRP.
Definition of the specified: FIFO, LIFO, LPT, LDD and LTO. For the
delivery time of definition of the LDD sequencing, it is necessary to
4 calculate the clearance times before this step.
each component or
product. For each production sequence established according to the
Sequencing the rules, the final production time and the total production
components or delay time are calculated, with the purpose of supporting
Framinan e Ruiz (2010), the decision making of the best production-sequencing
products in the
5 Lustosa, Mesquita e Oliveira rule to be adopted by the organization.
production line
(2008) e Tubino (2007). After selecting the sequencing method, the Gantt chart is
according to the
adopted rule. drawn. Then the production schedule is issued, thus
Calculation of the finalizing this last stage of the planning.
final production The reference model, in BPMN notation, referring to the
6 PS module is shown in Figure 4.
times for each Muthiah e Rajkumar (2017),
sequencing rule. Sethy e Behera (2017) e
Calculation of Silva, Morabito e Yamashita 4.2 S O FTWARE PRO TO TYPE
production delays (2014). After the elaboration of the production planning system
7 module for PS, a software prototype was developed
for each sequencing
rule. through the Delphi interface, with the intention of
Select the Lustosa, Mesquita e Oliveira generating a greater consistency between the abstraction
sequencing method (2008), Tubino (2007) e of the reference model and its application in the support
8 of implementation and development of enterprise
according to Metaxiotis, Psarras e
company objectives. Ergazakis (2003). management tools, a software prototype was developed
Elaboration of the Plitsos et al. (2017), Sethy e through the Delphi interface.
The first screen of the prototype for PS is being shown in
Gantt chart and Behera (2017), Lorenzi et al.
Figure 5.
9 emission of the (2015), Silva, Morabito e
production schedule. Yamashita (2014) e
Framinan e Ruiz (2010).
Fig. 5: Modeling of MRP in BPMN notation
Fig. 5: First screen of PPC software prototype of PS module.
In the developed software, one must choose the week of form table, as in the previous screen, the calculations of
production scheduling (very short term planning) of the the total manufacturing time and delivery delay are also
components and the final product that was selected in the exposed.
MRP stage. As a limitation in the development of the In the fourth and last screen of the prototype PPC
software prototype, in order to facilitate programming, software for the PS module is shown in Figure 8. For the
only 1 production line was pre-established. sequencing of the production orders of the components
In the first screen (Figure 6), the production orders, for the LTO rule, it is necessary to calculate the time off,
identified by numbers and component names, are also in hours, in order to order them more and more.
shown, as well as the production duration and delivery In order to assist the user in choosing the best sequencing
time in hours. rule for production scheduling, a graph comparing total
When you click on forward, the calculations of the total manufacturing times and total delays is presented in the
manufacturing time and delivery delay for each of the fourth screen of the PPC prototype of the PS module.
sequencing rules are started. With this, the user must select the desired sequencing,
In the second screen the results of the calculation of the according to the company's goals and strategies, to create
total manufacturing time and delivery delay for the FIFO the Gantt chart for a better visualization of the schedule.
and LIFO sequencing rules are displayed. Figure 9 shows the prototype screen of the PPC software
In the third screen (Figure 7) the results of the calculation with the Gantt chart for the PS module.
of the total manufacturing time and delivery delay for the
LPT e LDD sequencing rules are displayed. From the
Fig. 6: Second screen of PPC software prototype of PS module.
Fig. 7: Third screen of PPC software prototype of PS module.
Fig. 7: Fourth screen of PPC software prototype of PS module.
Fig. 8: Screen of the PCP software prototype with the Gantt chart for the PS module.
In order to validate the software prototype, several tests compared with the results extracted manually and in
were carried out, with different planning scenarios and electronic spreadsheets. Thus, the software prototype
production strategies, in order to verify the activities, developed from the developed reference model proved to
information, accuracy and precision of the calculations be reliable and apt to be used for the preparation of
used to prepare the final master plan. production material requirements plans.
The results obtained by the computational program were
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Influence of Altitude on the indirect Analysis of

α-amylase Content on Wheat Flours
Luiz Cláudio Garcia1*, Felipe Augusto Rogrigues Vaurof 1, Alisson Fogaça1,
Pedro Henrique Weirich Neto 1, Carlos Hugo Rocha1, Jaime Alberti Gomes1,
Ivo Mottin Demiate1, Polyana Elvira Tobias Pinto Christmann1, Janaine
Ritter1, Sérgio Roberto Piaskowski 2, Evandra Fátima Webber2
1Department of Soil Science and Agricultural Engineering, State University of Ponta Grossa, Campus Uvaranas - Av.
General Carlos Cavalcanti, 4748 – CEP 84030-900, Ponta Grossa (PR) Brazil. E-mail: lcgarcia@uepg.br,
felipevaurof@gmail.com, alifogaca@hotmail.com, lama1@uepg.br, chrocha@uepg.br, jagmtp@gmail.com,
demiate@yahoo.com, polyanaelvira@gmail.com, janaineritter@hotmail.com.
2 CONAB - Companhia Nacional de Abastecimento, Rod BR-376, km 510, Colônia Dona Luíza - CEP: 84046-000, Ponta
Grossa, PR, Brazil. srp@netpar.com.br; evandra.webber@conab.gov.br.
Abstract— The objective of this study was to verify the attributes has been increasingly consideredby the
influence of altitude on the indirect analysis of α-amylase consumer markets when buying wheat and wheat flour.
content on wheat flours. The experimental designused Therefore, reaching the required quality is a key-factor for
was completely randomized, with eight treatments and the success of planting, commercializing and processing
three repetitions. The treatments consisted of the analysis wheat (Pinnow et al., 2013; Finck et al., 2015).
of the falling number from flours of four wheat classes In Brazil, the classification of wheat is ruled by the
(basic, domestic, bread and improver) on the elevations Normative Instruction n.º 38, from November 30,2010.
zero, 412, 540, 761, 934, 975, 1,040 and 1,095 meters. The wheat group II(destined to milling, and other ends) is
After the trial results, under the correction of the divided into five classes according to the values obtained
averages above 600 meters of elevation, it was verified of gluten strength, stability and falling number. To be
that there was a significant difference between the results classified in the “Improver”, “Bread”, “Domestic”,
of distinct altitudes, for the four wheat classes. When a “Basic, and Others Uses classes the falling number must
polynomial regression is applied, for the values without present the minimum values of 250, 220, 220 and 200 s,
correction, it was obtained that aquadratic regression respectively. For the “Other Uses” class, the falling
equation correlates the falling number values with number minimum value is not established (BRASIL,
altitude; however, the coefficient of determination was 2010).
very low, highlighting the major influence of the different Falling number is based on the α-amylase capacity
equipments that were used to measure the falling number to hydrolyze the starch gel. The intensity of the activity of
instead of the different altitudes. the α-amylase enzyme in the wheat grain and in the wheat
Keywords— falling number, food analysis, food flour is estimated indirectly using the equipment called
composition, flours, wheat classes. Falling Number®, which measures the starchypaste (like a
porridge) liquefaction of the grinded wheat grain
I. INTRODUCTION suspension warmed in a boiling water bath, with the result
Wheat (Triticum aestivum) is a major cereal being expressed in seconds (AACC, 2010; Mohler et al.,
cropworldwide. Wheat flour is the basic ingredient to 2014; Ral et al., 2015).
produce many foods, including breads, pasta, Starting from the assumption that at low
biscuits/cookies, cakes, among others . Even though,with atmospheric pressures the boiling temperature in the
the estimated production of 4.6 millionmetric tons of water bath will decrease, Lorenz and Wolt (1981) proved
wheat(2018harvest season), Brazil is unable to supply its that the falling number determination method suffers from
demand, standing as a huge importer country (CONAB, influence of altitude. Thus, the falling number values
2018). increase with the elevation of altitude; because of a lower
Wheat flour is qualified by its physical, chemical, temperature, the sample in the test tube will be cooler and
rheological, and nutritional characteristics , considering its the activity of the α-amylase enzyme will be lower,
large use inbakeries. The exigence on technological therefore, increasing the falling number.
As the determination equipment of the falling protected from light, until the analysis date. All analyses
number reproduces the method, the same suffers influence were carried on the same day.
of the altitude. Thus, when the analysis is done from 600 To perform the analyses, 7.0 g of each sample was
m above the sea level, the operator programs the put into the properFN test tube and 25 mL of distilled
equipment to automatically perform the correction of the water was added, then the tube was sealed with a stopper
result (PERTEN INSTRUMENTS, 2016). and shaken vigorously until a homogeneous mix was
Examining the precision level of the replication of achieved. The stopperwas removed, and replaced by
the procedure to determine the falling number, under aclean and dry viscometer stirrerthat was plunged into the
controlled laboratory conditions, Delwiche et al. (2014) tube. After this process the viscometer stirrer and the tube
analyzed 24 wheat samples and found falling number connected tothe equipment to start the analysis. All the
values ranging from 168 to 404 s. The authors concluded procedures, from stirring up until putting the tubes in the
that there was a variation of the values up to 16 s, equipment, has not takenmore than 60 seconds.
between elevation at sea level and 800 m, with linear All laboratories were oriented to manipulate the
regression as best adjustment of data. equipment and prepare the samples the same way, in
Due to the scarcity in the literature of experiments order to avoid possible differences on the results. In
on altitude interference in the falling number, the accordance with the manufacturer’s recommendation of
objective of the present study was to verify the influence the equipment, it was applied a correction to values above
of altitude on the indirect analysis of α-amylase content 600 meters altitude using the the following formula:
on wheat flours.
Log10 (NQnm) = 1.0 x log 10 (NQalt), wherein
II. MATERIALS AND METHODS
The experimental design utilized was completely NQ represents the falling number, nm represents the sea
random, with eight treatments and three repetitions. The level and alt represents altitude.
treatments consisted of the analysis of the falling number
on different altitudes related to the sea level, The corrected results from altitude were submitted
inselectedBrazilian cities: Fortaleza –CE, sea level; to Hartley tests, to verify the homoscedasticity of
Medianeira – PR, 412 meters; Campinas – SP, 540 variances, and Kolmogorov-Smirnov to examine the
meters; Campo Mourão – PR, 761 meters; Curitiba – PR, normality of the data. The analysis of variance used the F
934 meters; Ponta Grossa – PR, 975 meters; Castro – PR, test, andScott-Knott test was used for mean comparison,
1,040 meters; and Guarapuava – PR, 1,095 meters. The with a confidence interval above 95% of probability.
analyses were carried out on different equipments from Thus, it was intended to verify the formula of correction
Perten ®models FN 1500, FN 1700 and FN 1900. All the between the results on the different altitudes.
equipmentswere certified and were used for wheat flour Without correcting data with the formulafor
analysis in public agencies and private companies. altitudes above 600 meters, it was applied the Hartley test,
Samples from four wheat classes were considered: Kolmogorov-Smirnov, ANOVA, and polynomial
“Basic”, “Domestic”, “Bread” and “Improver”. The regression. With the above tests,we aimed to verify the
wheat samples were granted by CONAB, Ponta Grosse – influence of altitude on the determination of the falling
PR unity and classified according to the Normative number, with defined equations , both linear or quadratic
Instruction n 0 38, from November 30, 2010. They were regression.
used on the experiment with available samples that had
falling number values that were the most discrepant. III. RESULTS AND DISCUSSION
The procedure to prepare the sample and to All the analyses had homoscedasticity and
determine the falling numberwas the method ICC n 0 normality of variance, dispensing the transformation of
107/1 – Approved in 1968 / Revised in 1995; and AACC data. When the wheat flours of different classes were
n 0 56-81B – Approved in 1972 / Revised in 1999 (AACC, analyzed, and the FN values were corrected for altitude
2010). The wheat was milled, and then collected 300 g to above 600 meters, significant differences were found,
make the three repetitions on all the localsabove with confidence interval above 95% of probability (Table
mentioned. 1).
The samples were codified to keep the experiment Therefore, Lorenz and Wolt (1981) observations
secrecy, and then, sent the samples properly milled and were confirmed, that altitude influences the falling
sealed in plastic bags,avoiding external moisture in the number analysis. However, the correction factor was not
bags. After the delivery of the samples to their proper sufficient to correct the different results with the altitudes,
research sitesthey stayed stored in a cool dry placeand
contradicting the instructions of PERTEN Lorenz and Wolt (1981) used the equipment
INSTRUMENTS (2016). FN® 1400, and the method AACC 56-81A (AACC 1969),
Therefore, it is possible to observe that wheat of both outdated. However, equipment models FN ® 1500,
the“Basic” class has not presented statistic difference FN® 1700, FN® 1800, FN® 1900, and method AACC 56-
between altitude zero and 540 m. This tendency, 81B (AACC 2010) were used in the present study.
however,did not repeat on the others wheat classes. On all Different equipments may be the cause of results
the wheat analyses there was a significant difference variation.
between altitudes, however it was not established as a However, Delwiche et al. (2014) utilized the same
standard error for altitude. method to define the falling number (AACC, 2010), and
When the falling number factor is analyzed by the equipment (FN® 1700) that was used in this
itself, through the Normative Instruction n.º 38 (BRASIL, experiment; with discrepant results. That fact deserves
2010), the “Domestic”, “Bread” and “Improver” wheat attention to the equipment being certified and used on the
classes fit on the “Improver” class on all altitudes. This commercial analysis of wheat flour.
demonstrates that, even though the significant
discrepancy of the results and lack of standard error, the IV. CONCLUSIONS
classification of wheat should not be affected by the After performing all the analyses, with the
variable under analysis. correction of the average values above 600 meters of
However, it stands that the difference between altitude, it was verified that there was a significant
values of altitudes were always higher than the parameters difference between the results of distinct altitudes; for the
established to distinguish the wheat classes, which is the four wheat classes.
maximum of 30 seconds. The discrepancies of classes When applied the polynomial regression, to the
obtained were: “Basic” with 43, “Domestic” with 103, values without correction, it was obtained that the
“Bread” with 166 and “Improver”, distancing 148 seconds quadratic equations correlated the falling number values
between the lowest and highest values. The values with altitude; however, the coefficient of determination
obtained in the presentstudy have more than doubledthose was very low, emphasizing the major influence of
determined by Delwiche et al. (2014), between the different equipment utilized to determine the falling
altitudes on the sea level and 800 m. number than the distinct altitudes.
Considering the analyses performed without
correction, the data obtained by the equation of REFERENCES
polynomial regression demonstrated that the different [1] AACC - American Association of Cereal Chemists,
altitudes have interfered on the falling number, for the 1969. Approved Methods of the AACC. Method 22-
distinct wheat flour classes. In the case of the “Basic”, 10, approved May 1960, and Method 56-81 A,
“Domestic”, “Bread” and “Improver” wheat classes, the approved 1969. St. Paul: AACC International.
polynomial regression was significant, with confidence [2] AACC - American Association of Cereal Chemists ,
interval above 95% of probability, for the quadratic 2010. Approved Methods of Analysis. 11th ed. St.
equation. Thus, it is confirmed that the recommendations Paul: AACC International. Available in:
of PERTEN INSTRUMENTS (2016) and Lorenz & Wolt <http://methods.aaccnet.org/toc.aspx>. Accessed on:
(1981), that the altitude significantly influences the falling May 13, 2017.
number analysis. However, the results are not in [3] BRASIL - Ministério da Agricultura, Pecuária e
conformity with the formula purposed by PERTEN Abastecimento, 2010. Instrução Normativa n 0 38, de
INSTRUMENTS (2016) and the linear regression 30 de novembro de 2010. Brasília, Diário Oficial da
indicated by Delwiche et al. (2014) to explain the relation República Federativa do Brasil, pp.2-4.
between the falling number and altitude. [4] CONAB - Companhia Nacional de Abastecimento,
Nevertheless, the dispersion of data that varies in 2018. Acompanhamento da safra brasileira de grãos.
function of altitude had the phenomenon explained by Conab, Brasília, Brasil. p. 129.
44% of the curve adjustmentfor the “Basic” wheat class [5] Delwiche, S.R., Vinyard B.T., Bettge A.D., 2014.
(Fig. 1), 29%for the “Domestic” wheat class (Fig. 2), only Repeatability precision of the falling number
10% for the “Bread” wheat class (Fig. 3), and 31% for the procedure under standard and modified
“Improver” wheat class (Fig. 4). Therefore, due to the methodologies. Cereal Chemistry. 92, 177-
lack of a standard error, it is not advisable to use the 184.https://doi.org/10.1094/CCHEM-07-14-0156-R
equation of curves found on each class to correlate the https://doi.org/10.1094/CCHEM-07-14-0156-R.
influence of altitude on the falling number. [6] Fink, C., Santana, C., Oliveira, E.B., Weirich Neto
P.H., Garcia, L.C., 2015. Expurgo de grãos de trigo
em câmara de lona. Ciência Rural. 45, 2157- Number/Models-and-Accessories/FN-1500/>.
2160.http://dx.doi.org/10.1590/0103- Accessed on: Nov 17, 2017.
8478cr20141150. [10] Pinnow, C., Benin, G., Viola, R., Silva, C.L.,
[7] Lorenz, K., Wolt, M., 1981. Effect of altitude on Gutkoski, L.C., Cassol, L.C., 2013. Qualidade
falling number values of flours. Cereal Chemistry. industrial do trigo em resposta à adubação verde e
58, 80-82. ISSN : 0009-0352 doses de nitrogênio. Bragantia. 72,20-
[8] Mohler, V., Albrecht, T., Mrva, K., Schweizer, G., 28.http://dx.doi.org/10.1590/S0006-
Hartl, L., 2014. Genetic analysis of falling number 87052013005000019.
in three bi-parental common winter wheat [11] Ral, J.P., Whan, A., Larroque, O., Leyne, E.,
populations. Plant Breeding. 133, 448- Pritchard, J., Dielen, A.S., Howitt, C.A., Morell,
453.https://doi.org/ 10.1111/pbr.12177. M.K., Newberry, M., 2015. Engineering high α-
[9] PERTEN INSTRUMENTS, 2016. Falling number amylase levels in wheat grain lowers falling number
FN 1500. Available in: but improves baking properties. Plant Biotechnology
<http://www.perten.com/Products/Falling- Journal. 14, 364-
376.http://dx.doi.org/10.1111/pbi.12390.
Table.1: Falling number (seconds) on different altitudes of wheat classes1 (Triticumaestivum), with correlation values above
600 meters2 .
Wheat classes
Altitude (m)
Basic Domestic Bread Improver
Zero 214 b 3 276 c 461 b 517 b
412 217 b 354 a 526 a 545 a
540 212 b 304 b 437 d 517 b
761 203 c 282 b 453 c 489 c
934 197 d 269 c 386 f 416 e
975 231 a 251 d 360 g 369 f
1,040 206 c 280 b 426 e 471 d
1,095 188 d 272 c 439 d 408 e
CV (%) 1.2 1.4 1.1 1.6

(1)Classified o
according to Normative Instruction n. 38, from November 30 of 2010.
(2) Log10 (NQnm) = 1.0 x log10 (NQalt).
(3) Means with the same letter in the column do not differ significativly by Scott-Knott (p>0.05).
300
250
falling number (s)
200
y = 2E-05x2 + 0.0048x + 211.67
150
R² = 0.44
100
p < 0.01
50
0
0 200 400 600 800 1000 1200
altitude (m)
Fig.1: Falling number under different altitudes, without correction ( “Basic” class wheat sample).
400
350
300
falling number (s)
250
200 y = -9E-05x2 + 0.1174x + 284.25
R² = 0.29
150
p < 0.05
100
50
0
0 200 400 600 800 1000 1200
altitude (m)
Fig. 2: Falling number under different altitudes, without correction (“Domestic” class wheat sample).
600
500
falling number (s)
400
y = -9E-06x2 + 0.0012x + 473.53
300
R² = 0.10
200 p < 0.01
100
0
0 200 400 600 800 1000 1200
altitude (m)
Fig. 3: Falling number under different altitudes, without correction ( “Bread” class wheat sample).
600
500
falling number (s)
400
y = -0.0001x2 + 0.0681x + 521.31

300
R² = 0.31
200
p < 0.01
100
0
0 200 400 600 800 1000 1200
altitude (m)
Fig. 4: Falling number under different altitudes, without correction (“Improver” class wheat sample).
Behavioral Finance: A Different View in the

State of Rio de Janeiro
Abstract — The objective of this work is to present the I. INTRODUCTION

consolidation of foreign reflections of a new branch in the Most of the traditional finance theories were built o n
financial theory, behavioral finance, that it aims at to pillars of neoclassical micro economy whose main
adhere to the psychological aspects and the sociological paradigm is the rationality of economic agents. In them,
ones of the individuals in the process of taking of decision through the Expected Utility Theory (EUT), it is argued
at the moment to carry through an investment, as well as that individuals make totally rational decisions, are risk
its applications through the incorporation of evidences on averse and aim to maximize utility. However, s everal
the irrationality of the investor. This new segment has as empirical evidence produced in recent decades reveals
objective the revision and the improvement of the that these theories alone are not able to explain the
economic-financial model used currently. Through this various phenomena observed in the financial markets [1].
study it was verified presence of the effect of super According to Barbedo & Silva [2], intelligent people
valuation of the assets and the effect disposal, as well as make decisions seeking the maximization of utility that is
of aversion to the risk, since in the occurred economic the usefulness that something can produce of benefit.
crisis in 2008 middle a bigger index in the closing of Even so, at all times, people lose money, whether in the
companies was evidenced, and a minor in the opening of stock market, in games, in sloppy purchases, in personal
companies in the state of Rio De Janeiro. The association endeavors, and in activities involving decisions.
to the behavioral finance in such a way provides the Behavioral finances are based on the combination of
agreement of the psychological process that motivates the concepts from economics, finance, and psychology, with
investments, assisting in the construction of a model of the aim of generating a specific and judicious model of
more adequate taking of decision, how much in the act of human behavior in the financial markets, assuming that
contract of its administrators who will have to possess the Human agents are subject to behavioral determinants
abilities adequate psychological techniques and in that, in many cases, push them away from a decision
intention to prevent cognitive bias as reliable excess. The centered on rationality [3].
regression for being static got errors in its forecast high It is also worth mentioning the importance of authors
thus was not an incisive method, being able to be applied Daniel Kahneman and Amos Tversky [4][5], israeli
the forecast of demand of products, not obtaining success psychologists and founders of this new study on finance,
thus in this model. which in 1979 developed the theory of the prospectus in
Keywords — Behavioral Finance, Forecast of demand, counterpoint to EUT. In their theory, risk aversion occurs
Model. only in the field of gains, because in the losses the
individual tends to be prone to risk, unlike what happens capable of maximizing the expected utility and optimally
in the EUT. From this, these authors identified three analyzing all the information that is Available. In this
distinct effects: the certainty, in which the individuals in way, it is stated that the markets are driven by economic
the comparison between a certain event and a probable agents that act under an unlimited rationality, making
prefer the right, even if the probable is better; the decisions in the perspective of the expected utility theory,
reflection, which will demonstrate the search for people formulating expectations often precipitated.
for safer gains and riskier losses; and isolation, which is However, with the advent of rational expectations theory,
linked to the ability to evaluate, presenting the difficulty developed in the work of Milanez [9], individuals began
of individuals to assume mistakes made. to use all available information to improve their
Thus the study of behavioral finances arises as a way of predictions, and to make more reasonable decisions. From
predicting and modeling the said "irrational", but also this, it was found that these conditions imply the same
systematic, of men and women in decision making, result of the perfect market models, in which the price
through their understanding, inducing them to a better history of an asset does not influence its future price,
decision, which will lead to the Reduction of money loss because what has occurred in the past is not correlated
in simple everyday situations, consequently in a greater with the future changes.
gain [6]. In this way, according to EMH, whenever the economic
The objective of this article is to analyze the behavior of agents check some new information about a particular
investors when trying to start a business in the state of asset, they immediately adjust the asset prices given the
Rio de Janeiro, on the optics of behavioral finance, new information available. In addition, a possible
glimpsing the motivations focused on entrepreneurship, irrational behavior of a given agent, characterized as
using comparative analysis Static of a prediction through random, would be compensated by another individual, not
a linear regression and compared with the facts happened impacting on the prices [10] [11].
with the opening and closing of companies in the State. It Modern finance theory has its emphasis in the 80 with
is expected, through this presentation, to outline the globalization, but in the 90 the expected utility theory had
process of analysis and to incite the study of financial its rise with the analysis of emerging countries.
behavior through theories from this alternative approach, 2.3 BEHAVIO RAL FINANCE
emphasizing its usefulness for the understanding of In this new area of study concerning finance, the themes
important phenomena observed to this practice in the Rio of psychology and economics were incorporated in order
de Janeiro market. to clarify the decision-making process in this new
scenario. Following this line of thought, the behavioral
II. THEORETICAL REFERENCE finances are based on the study of human action and their
2.1 MO DERN FINANCE weaknesses and failures. These, in turn, are linked to the
For a long period, finance studies were basically related decision-making process, in which most of the decisions
to financial instruments and their respective uses by are influenced by the behaviors described by Barbedo &
economic agents, which aimed to control and minimize Silva [2] where there are effects on the certainty and
financial risks. However, as nothing in the financial uncertainty of investments tied to behavioral finance,
market is static, financial theories have been influenced analyzed and stated to follow.
by political, economic and social facts, adapting to the This effect is characterized by the tendency of individuals
conditions of the time [7] [8]. to value more possibilities with greater likelihood of
The traditional finance theory was pioneering, considered occurring. That is, people prefer events that give them
the market irrational and judged that it was not always absolute certainty of gain by the simple fact that they do
correct. In it, investors were based on past information to not understand the meaning of the probable results and
design the future [7]. This assumption, however, the notion of expected value [7] [12].
contradicts the principle of temporal discontinuity which According to Ferreira et al. [7], this effect deals with the
states that companies -corporations and markets -do not fact that individuals remember, most of the time, of
behave in the future in the same way they have behaved events that occur more often, or those that have a greater
in the past. [7]. From this, the theory of modern finances likelihood of occurring. In this way, their respective
has as the main characteristic the Efficient Market behaviors would be influenced by the availability of
Hypothesis (EMH) founded on the EUT and rational events, as well as by the association of these to visibility,
expectations [8]. exposure and overhang.
2.2 OPPO RTUNITY FO R EFFICIENT MARKETS In addition, Barbedo & Silva [2] it states that people are
An opportunity for efficient markets , according to more dissatisfied with losses than they are satisfied with
Milanez [9], it is characterized by neoclassical economic earnings. In this way, the investor tends to risk more in a
tradition, and admits that human behavior is rational, loss situation in an attempt to minimize it, or even
eliminate it, recovering at least his initial investment However, there is not yet a single model that explains all
initial. This attitude can lead to more drastic losses, to the the anomalies generated by human behavior, but for each
point of not being able to bear it anymore and being one in particular. The following will describe some
forced to abandon the investment. theories.
According to Bazerman [13] the rational decision-making Tversky and Kahneman [4] conducted research at
model is based on elements that define the way in which Stanford University and Columbia. In it they have found
the decision must be made, not as it really is. In this line evidence that changing from a perspective to a specific
of thinking, considering that managers process many situation can influence and bias the choice of alternatives.
decisions, many of them routine - requiring little mental From this, it has been found that people, within certain
effort - and other, however, strategic - require a special gain events, are risk averse, while in choices involving
sensitivity, dealing with several aspects such as new losses, they are risk prone. Through the theory in question
directions, setting, winning the competition, and above of two basic concepts are analyzed: loss aversion, and
everything, to obtain profit - it is essential for the excessive self-confidence.
projection of the company that the latter are well defined. 2.3.1 LOSS A VERSION
[14]. For this, we study some biases that are intrinsic to This is a concept considered one of the pillars of
the individuals, so that the decision making is not biased. Behavioral Finance, and states that the investor ponders
Some of these behaviors will be analyzed for a better both gains and losses, but from different perspectives.
understanding. According to Tversky and Kahneman [4] investors feel
This status expression is defined by Samuelson and much more the pain of loss than the satisfaction gained by
Zeckhauser [15] to demonstrate the tendency of people to an equivalent gain. According to Rogers et. al [8], it is
cling to old rules or conditions. That is, when new observed that the fear of loss leads people to make
relationships are presented to individuals, they tended to irrational decisions, creating cognitive frames that make it
prefer pre-defined options. This phenomenon is tied to the difficult to analyze historical data and mainly statistical
idea of loss aversion relative to the reference point, that probabilities.
is, most people define and set a benchmark to follow, This theory contradicts the Theory of Utility, a precept
even if they offer better opportunities. One way of integral to the Modern Model of Finance. Figure 1
breaking this paradigm and following more patterns that assumes that the investor assesses the risk of an
are rational is the very knowledge of this bias. investment according to the change it provides to its level
According to Yoshinaga [1], people tend to make of wealth, the other in Figure 2 states that the investor
judgments from previously formed models. From this, assesses the risk from a will measure gains and losses.
individuals estimating a probability disregard sample size,
taking into account only one representation for the entire
population, selecting information that is more convenient
to them than the relevant ones.
This behavior is known in the literature as the belief that
there is a tendency to regress to the mean of the results. It
occurs because of the inability of people to statistically
analyze independent events - the occurrence of one does
not statistically influence the occurrence of the other. One
of the cases that can be cited is the multiple-choice test
with 5 alternatives for each question, when you have a
sequence of questions with the same alternative,
consequently, individuals begin to doubt if that is really Fig. 1: Theory of Utility
the correct template. This behavior is biased, because
each question is an event independent of each other, that
is, for each of them you would have a 20% chance of
success [16].
The great challenge in the field of finance is in proving
the predictability of behavioral anomalies, and whether
these can actually determine changes in the market. The
theory of perspectives based on the grounds of loss
aversion and excessive self-confidence was one of the
ways in which some of the types of behaviors were
identified by the researchers Tversky and Kahneman [4].
In 2008 and 2009 there is another increase in the opening
of companies in a few months, as shown in Figure 4, this
can be noticed with greater emphasis as of May 2009,
when the government initiated the reduction of IPI
(Products Tax Industrialized).
Fig. 2: The Prospectus Theory
Another characteristic of this behavior is the fear of

repentance. It is worth remembering that it is quite painful
for an investor to make mistakes, and with this attitude, Fig. 4: Comparative Statistics of Companies Opening
his profit is not maximized, contradicting once again the from 2008 to 2009. Source: Rio de Janeiro Trade Board,
Theory of Utility. 2008.
Figure 5 shows the relation between the closures of
2.3.2 EXCESSIVE SELF-CONFIDENCE companies from 2007 to 2008, as well as an increase in
According to Milanez [9] overconfidence is a hallmark of the second half.
most of the world's population. With investors, it is no
different, since most consider themselves to be above
average. This behavior makes sure that your information
is better and more reliable than that of others who operate
in the same market. Consequently, due to the incorrect
understanding of reality, there is a tendency to achieve an
excessive turnover, with a marked risk.
III. COMPARATIVE ANALYSIS BETWEEN THE

FINANCIAL MARKET AND A STATISTICAL
FORECAS TING METHOD
We then return to the discussion about the opening of Fig. 5: Comparative Statistics of Closing Companies from
companies in the state of Rio de Janeiro in 2007, being of 2007 to 2008. Source: Rio de Janeiro Trade Board, 2008.
great relevance in the study of behavioral finances in the
line of temporal analysis, as shown in Figure 3 (relation Figure 6 shows the relation between the closures of
from 2007 to 2008). According to Barbedo & Silva [2], companies from 2008 to 2009, as well as a comparative
there was emphatic entrepreneurial motivation in increase in all related months, due to the beginning of the
microsystems in the state of Rio de Janeiro in investments world crisis.
in entrepreneurial ventures.
Fig. 6: Comparative Statistics of Companies Closing from

Fig. 3: Comparative Statistics of Companies Opening 2008 to 2009. Source: Rio de Janeiro Commercial Board,
from 2007 to 2008. Source: Rio de Janeiro Trade Board, 2009.
2008.
The analysis from the behavioral finance perspective of 7 3391 2839,03 4019 141,56
the relationship between opening and closing companies, 8 3039 2842,73 126,85
3606
according to Barbedo & Silva [2], is a consequence of the
9 3119 2846,43 3399 119,41
involvement of the emotions in the financial market as the
tendency to exaggerate in front of new information. 10 3135 2850,13 3588 125,89
According to the Efficient Markets Hypothesis, new 11 2678 2853,83 3259 114,20
information should be reflected instantly in the asset 12 2424 2857,53 2888 101,07
price. Based on this, it can be correlated that during the
78 33469 34046,16 37709 110,76
crisis there was an increase in the closure of companies
due to the fear it received in mid-2008.
Good news should raise the price of the asset, and it The correlation of the forecast and the opening of
should not fall if no new information is given. The reality, companies show that there is a margin of error above 10%
however, tends to contradict the theory, since based on that can be explained by the static forecast and by the
the theory of challenge and risk of it can be incited that variable behavior of the financial market. The forecast
even at the beginning of the crisis in 2008 people invested and behavior in Closing Companies.
in the opening of companies for their entrepreneurial
Table 3: Linear Regression
spirit. Sometimes financial market participants act
exaggeratedly on new information, creating an asset X 2008 – Y 2009 – X.Y X2
overvaluation effect. According to the availability theory, 1 750 750 1
people tend to give more weight to the latest information 2 585 1170 4
for decision-making. This happens all the time in our 3 670 2010 9
daily lives. For an analysis relating the behavior in the 4 588 2352 16
opening of companies applying the linear regression 5 617 3085 25
analysis and verifying the prediction and the real behavior 6 706 4236 36
simulating the year of 2008 and forecast for 2009 (Table 7 939 6573 49
1 and Table 2). 8 909 7272 64
9 912 8208 81
Table 1: Linear Regression 10 883 8830 100
X 2008 – Y 2009 – X.Y X2 11 825 9075 121
1 2548 2548 1 12 943 11316 144
2 2173 4346 4 78 9327 64877 650
3 2621 7863 9 For an analysis relating the behavior in the closing of
4 2576 10304 16 companies applying the linear regression analysis and
5 2816 14080 25 verifying the prediction and the real behavior simulating
6 2949 17694 36 the year of 2008 and forecast for 2009.
7 3391 23737 49 Table 4: Forecast and correlation of the deviation
8 3039 24312 64 X 2008 Forecast 2009 Real Deviation
9 3119 28071 81 1 750 1000,23 660 65,99
10 3135 31350 100
2 585 1029,96 630 61,17
11 2678 29458 121
12 2424 29088 144 3 670 1059,69 774 73,04
78 33469 222851 650 4 588 1089,42 599 54,98
5 617 1119,15 799 71,39
Table 2: Forecast and correlation of the deviation.
6 706 1148,88 815 70,94
X 2008 Forecast 2009 Real Deviation
7 939 1178,61 998 84,68
1 2548 2816,83 2292 81,37
8 909 1208,34 923 76,39
2 2173 2820,53 2328 82,54
9 912 1238,07 872 70,43
3 2621 2824,23 3007 106,47
10 883 1267,80 937 73,91
4 2576 2827,93 2705 95,65
11 825 1297,53 792 61,04
5 2816 2831,63 3403 120,18
12 943 1327,26 1013 76,32
6 2949 2835,33 3215 113,39
78 33469 13964,88 9812 70,26
The correlation of the forecast and the closure of comportamental do investidor e do propenso investidor.
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IV. CONCLUSION
de Economia e Administração da Universidade de São
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point of view, the factors that drive and influence tomada de decisão dos Investidores no mercado de
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of asset overvaluation and the disposition effect, Barbedo estudo comparativo. São Paulo: Faculdade de Economia
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o Brasil baseadas em Finanças Comportamentais. Rio
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Finanças Comportamentais: um estudo sobre o perfil
Professional Orientation: Proposals for a

University of the Brazilian Western Amazon
Luiz Carlos Cavalcanti de Albuquerque1, Leonardo Severo da Luz Neto2,
Hélio Franklin Rodrigues de Almeida3, Rafael Dias de Albuquerque4, Lenir
Lopes Dettoni5 and Fabricio Moraes de Almeida6
1 PhD in Psychopedagogy from the University of Coruña, Spain. Bachelor in Psychology. Professor of Professional
Orientation and General Psychology discipline and Researcher in OBSAT and GEISCof the Federal University of Rondônia,
Brazil. E-mail: carlos_lula@hotmail.com
2 Master in Education - Autonomous University of Barcelona, Master in Psychology - University of São Paulo. Master in
Religious Studies – FAETEL,São Paulo. Bachelor of Nusring. Professional Physical Education. Bachelor in Theology.
Researcher at the OBSAT, Researcher of GEITEC, Researcher of GEISC and Professor of the Department of Collective
Health at the Federal University of Rondonia, Brazil. Email: lluz@unir.br
3 PhD in Physiology from the University of A Coruña, Spain Revalidation University of Brasília, Brazil, Master of Exercise
Physiology - Federal University of Santa Maria, Brazil, Graduated in Physical Education – State University of Pará, Brazil.
Professor of the Department of Collective Health, Researcher at the OBSATand Researcher of GEISCof the Federal
University of Rondonia, Brazil.Email: helio@unir.br
4 Graduated in Law and Specialist in Civil Procedure from the Catholic University of Pernambuco, Brazil. Email:
raffaeldias@hotmail.com
5 PhD in Education - UPAP, Asuncion, Paraguay, Master in Philosophy at PUC in Campinas, Brazil and Graduate in
Literature and Pedagogy at the Faculty of Philosophy of Cornélio Procópio, Brazil. Professor of the Department of
Philosophy and member of the Group of Interdisciplinary Studies in Collective Health - GEISC of the Federal University of
Rondônia, Brazil.
6 PhD in Physics (UFC), with post-doctorate in Scientific Regional Development (DCR/CNPq). Researcher of the Doctoral
and Master Program in Regional Development and Environment (PGDRA/UNIR). Leader of line 2 ― Technological and
Systemic Development, and Researcher of GEITEC ― Federal University of Rondônia, Brazil. E-mail:
dr.fabriciomoraes001@g mail.co m
Abstract— This article deals with proposals on orientation received and required in secondary education,
professional orientation for a Brazilian Western Amazon (2) professional orientation received and needed in
university based on a doctoral thesis entitled "Needs of university education, and (3) discrepancies between
vocational guidance of students at the Federal University orientation received and needs to receive. This study
of Rondônia." The objectives: (1) to know some shows that the need for guidance in university education
characteristics of professional guidance received before is considered very important by most students. Moreover,
your entry into the university and during your stay at the it provided a greater theoretical and practical knowledge
university; (2) identify the professional orientation on the subject of guidance and led to innovative
received by the students of the Federal University of reflections on instigating issues, opens new possib ilities
Rondônia; (3) identify the professional orientation needs for research and interest to continue studying this theme,
of the students of the same university and (4) suggest not only about the objectives proposed in this work, but
proposals for the attention to the needs detected and also the inferences extracted with more general
adapted the characteristics of the university. In character, which we formulate as proposals to improve
accordance with the investigated problem and the light, the situation analyzed. These are suggestions considered
particularly, of the conducting objectives of the study, a fundamental, that can serve as reference for effective
line of descriptive inquiry was adopted. In additio n to implementation of a program of action with the High
being one of the most used in educational research, it School (PROEM); the introduction of new content on the
presents itself as the most suitable for the objectives that UFRO – Federal University of Rondonia website; a
are proposed especially to describe the nature of the manual for the student and a tutorial plan at the
existing conditions. The conclusions are structured university.
around three objectives: (1) characterization of the
Keywords— Professional Orientation. High school. The passing of the university is a formative period with
University orientation proposals. Plan of Action important consequences for social, personal and
Tutorial. professional development. In the university course, the
student faces changes of stage and new situations of
I. INTRODUCTION integration of university life and of academic,
One of the objectives of the research was the professional and work decisions. Vocational guidance
characterization of the professional orientation received in will provide them with knowledge, skills and attitudes
High School. According to the data obtained, the that will help them to respond appropriately to new
orientation received presents the traits or characteristics situations. Thus, vocational guidance in Higher Education
that are described in the continuation. Vocational acquires a significant importance in the formation of
guidance was little present in high school. In all the areas students, enabling assistance for integration in university
and in all the contents that are integrated in them, the life, for academic decision making and for insertion in the
received orientation is little valued with the category, job market. In the same way, it was detected that the
which means the lower level of presence. In addition, in study done on the institutionalization of the orientation,
many of the themes of the different areas, the majority of shows that its institutional development is still incipient;
the student stated that they had not received guidance. the analysis of the data presented below will allow us to
Within the low presence of professional orientation, the know the characteristics of the professional orientation
differences found radiate an essentially informative received and the needs of its most direct beneficiaries: the
professional orientation, focused on the area of academic student of the six Federal University of Rondônia - UFRO
and professional information. The greater attention given campuses. In the continuation, the characterization of
to academic information also allows us to conclude that both high school and university education is presented at
the orientation towards academic insertion has priority the Federal University of Rondônia.
over the orientation towards labor insertion. In addition to
the differences indicated between the areas studied, it II. CHARACTERIZATION OF MIDDLE
should be noted, on the one hand, that the awareness SCHOOL
about the influence of gender in academic and Vocational guidance in High School is especially
professional choices, one of the contents that we call important here. At the end of this educational stage the
orientation for transformation, is where the student student has to make a decision about his academic and
appears to have received more guidance. The two main professional future. During high school, the student must
agents of orientation were the teaching staff and the receive the professional guidance that facilitates this
family. Orientation professionals (educational counselor moment and avoid future dissatisfaction with the
and psychologist) have played a more limited role, academic choice and also some abandonment or even an
especially the educational counselor who is the one who exchange of university studies. Despite the importance
has contributed least to the orientation of the student. This and educational need of vocational guidance, its
data abounds in the characterization and situation of the institutional development is rather precarious. In this item
institutionalization of vocational guidance in secondary we present some of the data analyzed throughout this,
education. Vocational guidance is a one-off activity that which are presented below and allowed to know
takes place primarily at the end of high school. It lacks, indirectly the situation of their institutionalization, in the
therefore, the continuous character that defends itself at opinion of their most direct beneficiaries: the former
the conceptual level. Of the activities of professional secondary school student who is currently a university
orientation in which the student has participated more student, besides of having made possible to know the
widely, was the consultation of sources of academic and orientation received and the necessary orientation in the
professional information. The differences in ownership by following dimensions: Self-knowledge; Academic and
schools that have studied high school indicate that the professional information; Guidance for transition to the
pupil who studied in private schools has generally been labor market; Orientation for transformation and
given more guidance, in addition to being more professional project and individual counseling.
continuous and to be carried out to a greater extent by the 2.1 Self-knowledge
psychologist. The student arrives at the university with Self-knowledge refers to the possibility of the individual
little knowledge of the studies he will carry out, his knowing himself in those aspects related to academic and
demands and his domains of professional performance. professional decision-making. Self-knowledge seeks a
Failure to provide guidance that integrates the different dual purpose. On the one hand, to make available to the
areas of intervention may lead to abandonment, locking or student a series of elements of reflection that give them a
failure. better knowledge of themselves. On the other hand,
stimulate and improve those aspects that are required
through some planned intervention strategies (Álvarez of their training and their occupational skills (Romero
and Isús, 1998). Self-knowledge needs to be worked on in Rodríguez, 1996). In graph 1 will be presented the
order to identify the subject's personal history, in which variables that approached contents, necessary for
the necessary reflections on his personality traits are university students, in the Self-knowledge dimension.
made, which must be analyzed with the purpose of Comparison between the orientation received and the
helping him to define his professional project, awareness orientation you need.
Graph.1: Self-knowledge. Orientation received and what you need.
Legends: 17.self-knowledge; 18.Skills for self-knowledge; 19.Consciousness of the difficulties and limits ;
20.Development of positive self-esteem;
2.2 Academic and professional information making. From the perspective of the orienting as an active
Information is one of the essential components of career person it is very important that they know the sources
guidance. Its main contribution is to increase the where to obtain this information and that they acquire the
knowledge of the academic options, the professions and necessary skills to know how to seek and use this
the knowledge of the labor market. That is, diversify the information. Graph 2 will present the variables that
knowledge of the educational, professional and labor addressed contents, necessary for university students, in
world so that they can make a very informed decision the dimension of academic and professional information.
Graph.2: Academic and professional information. Orientation received and guidance you need.
Legends: 21. Knowing the professions ; 22. Knowing the characteristics of university education; 23. Source of information
on university studies and professions ; 24. Techniques and skills. Research Information University Studies and Professions;
25. Possibility of scholarship and educational credit; 26. Possibility of university housing; 27. Professional characteristics
related to the university course
2.3 Orientation for transition to the labor market those contents or thematic ones that are of help to
The High School is an educational stage of transition to integrate itself in the labor market. Graph 3 will present
the labor market for a good part of the student. Not every the variables that addressed contents, necessary for
student goes to college. Faced with this reality, the university students, in the orientation dimension for
professional orientation takes on a special importance, transition to the labor market.
Graph.3: Orientation for transition to the labor market. Guidance received and guidance you needed.
Legends: 28. Development of Social Skills; 29. Techniques and strategies for job search;
30. Use of sources of information in the search for employment; 31. Knowledge of labor legislation
2.4 Orientation for transformation about identifying and raising awareness about the gender
Vocational guidance should contribute to the formation of factors that condition access to education and the world of
critical citizens aware of the socio-labor situation and its work. The other is related to the formation of
social meanings. It also has to promote decision making knowledgeable and critical citizens of the socio-labor
that is not influenced by gender. From this vision of situation. In graph 4 will be presented those variables that
professional orientation two questions are incorporated approached contents, necessary for the university student,
into the Guidance for transformation dimension. One is in the dimension Orientation for transformation.
Graph.4: Orientation for transformation. Orientation received and what you need.
Legends: 32. Awareness-raising about social discrimination;

33. To train critical and conscientious citizens of the socio-labor situation
2.5 Professional project and individual counseling phases or stages sequenced and with the help of
At this point we analyze the professional project and the motivating or encouraging strategies that serve as a lesson
individual advice. The professional project is one of the for this development. (RODRÍGUEZ MORENO, 2003).
key contents, in which the changes operated in the design Individual counseling is the help provided by the
and guiding procedures converge, in which the person specialist and which characterizes the counseling
assumes the fundamental protagonism of the guiding intervention model. In Graph 5 we also present these
process. The elaboration of the professional project itself variables that addressed contents, necessary for university
allows us to anticipate situations and provide them with students, in the dimension Professional project and
intentionality in future actions. Its planning for the student individual counseling.
is fundamental and should be developed gradually, in
Graph.5: Professional project and individual counseling. Orientation received and guidance you need
Legends: 34. Planning your own professional project

35. Individual counseling on professional options and training
III. CHARACTERIZATION OF academic, professional and work decisions. Vocational
PROFESSIONAL ORIENTATION guidance will provide them with knowledge, skills and
RECEIVED AT UNIVERS ITY attitudes that will help them to respond appropriately to
In this point the conclusions regarding one of the research new situations. Thus, vocational guidance in Higher
objectives are indicated: characterize the orientation Education acquires a significant importance in the
received during university teaching. As in high school, formation of students, enabling assistance for integration
the orientation received is characterized by its scarce in university life, for academic decision making and for
presence. In this trend, it should be remembered that in insertion in the job market. The analysis of the data
almost all subjects, the majority of the students stated that presented below will allow us to know the characteristics
they received no guidance and that the received of the professional orientation received and the needs of
orientation was evaluated as the category indicating their its most direct beneficiaries: the one of the six UFRO
lowest level of achievement. Another of the campuses in five dimensions: academic and professional
characteristics refers to the origin of the orientation information; self-knowledge; professional design and
received. The orientation comes mainly from outside the individual advice; techniques and strategies for job search
university institution. The family is the main guiding and job information.
agent, followed by friendships and the media (internet, 3.1 Academic and professional information
newspapers, TV). The professorship is the one that gave Information is one of the essential components of career
less guidance. The unequal presence of the areas and their guidance. Its main contribution is to increase the
contents is another characteristic that is identified in the knowledge of the academic options, the professions and
orientation received. In this line, it is worth pointing out the knowledge of the labor market. That is, diversify the
the following traits: The orientation received is knowledge of the educational, professional and labor
fundamentally informative. The informative contents on world so that they can make more informed decisions.
academic issues (characteristic of the course that studies Higher education also requires information that allows the
complementary training and postgraduate training) were knowledge of the university institution and the existing
the most attended. The passing of the university is a resources, facilitating the integration of students in
formative period with important consequences for social, university life. Next, in Graph 6 will be presented the
personal and professional development. In the university variables that approached different informative contents,
course, the student faces changes of stage and new necessary for the university student, in the dimension
situations of integration of university life and of academic and professional information.
Graph.6: Academic and professional information. Received and needed
Legends:48. Course Characteristics; 49. Postgraduate Courses; 50. Curricula related to the studies
51. Exchange programs; 52. Scholarships; 53. Administrative procedure; 54. Organization of the University;
55. University policy; 56. Choose the new course; 57. Academic information; 58. Search and selection of information
3.2 Self-knowledge. Received and needed 3.3 Professional project and individual counseling.
Self-knowledge refers to the possibility of the individual Received and needed
knowing himself, in those aspects related to professional This item analyzes the elaboration of the professional
choice and professional insertion. It is about knowing if it project and the advice in the decision making. The
has information about its potentialities and limitations and planning of the professional project can be considered the
how to overcome them. Besides, it provides the person to goal synthesis synthesis: to achieve that at the end of the
acquire the skills that favor this self-knowledge. The guiding process the person defines his short and long term
individual's options have to be very close to their personal goals of the future and the plan of action for his
preferences and professional life project. The achievement. Counseling is one of the functions of
characteristics of this knowledge within the university counseling, understood as an individualized help
context must be dynamic and interrelated with the relationship. In Graph 7 will be presented the variables
different sources of information, helping the individual to that approached different content, necessary for the
evaluate information not known in their process of self- university student, in the dimension Professional project
knowledge, as well as those stereotypes that may interfere and individual counseling.
in some way training itinerary.
Graph.7: Professional project and individual advice received and needed
Legends: 63. Professional Project Planning; 64. Counseling for decision making
3.4 Techniques and strategies for finding employment. can facilitate the process of professional insertion.
Orientation received and needs Traditionally called job search strategies and techniques
The university studies constitute a stage of professional are part of the vocational guidance oriented to the
qualification, that in principle, allows the access to the transition to the labor market. Figure 8 will present the
labor market. In a complementary way, the professional variables that addressed contents, necessary for university
orientation provides knowledge, attitudes and skills that students, in the Techniques and strategies of job search.
Graph.8: Techniques and strategies for seeking employment received and needed
Legends: 65. Planning for job search; 66. Cover letter; 67. Curriculum vitae;
68. Selection interview; 69. Job search training; 70. Telephone calls
3.5 Labor information. Orientation received and needs in the professional scope and elaboration of an auto
At this point, the results were analyzed the following employment project; Professional skills required by the
contents of the specific information for the labor labor market. In Graph 9 will be presented the variables
insertion: Sources of information on employment, Career that approached contents, necessary for the university
opportunities and job offers related to the course you are student, in the dimension Labor information.
doing; Labor legislation; Possibilities of self employment
Graph.9: Labor information received and needed
Legends: 71. Sources of information on employment; 72. Career opportunities and job offer;
73. Labor legislation; 74. Self-employment; 75. Skills required by the labor market
IV. DISCREPANCIES BETWEEN THE vocational guidance in university education affects all
GUIDANCE RECEIVED AND GUIDANCE THAT dimensions investigated (academic and professional
YOU WOULD LIKE TO RECEIVE information, self-knowledge, professional design and
In this section, we present the conclusions related to the advice for decision-making, techniques and strategies for
objectives of the research, which aimed to identify the job search and job information). There is general
needs of vocational guidance, felt by students in high dissatisfaction with the guidance received. The totality or
school and university education. The information is almost the totality of the pupil manifested needs of
organized into two sub-items, one for high school and orientation in all the areas. Particularly necessary are
another for higher education. One of the evidences areas and content related to the transition to the labor
obtained with our study is the mismatch between the market. Thus, among the most felt needs are the majority
orientation received and the orientation they would like to of the labor information topics (knowledge of job skills
have received. In this sense, starting from the concept of required by the labor market, professional exits and jobs
necessity, such as the discrepancy between a starting related to the course), most of the techniques and
situation and that which is considered desirable or strategies of job search (interview, curriculum vitae). In
convenient, the distance between the orientation received self-knowledge the most valued aspect is the one that
and that which it would like to have received is taken as most relates to the professional insertion, the
an indicator of the needs perceived by the group of identification of the own professional competences and
students. Both in high school and university education, the contrast with those that demand the labor market;
there were discrepancies between the orientation received Among the most important needs are also advice for
and the orientation they would like to have received. decision-making and, within the area of academic
Thus, a first general conclusion is the existence of information, knowledge of the organization and
orientation needs in all areas of vocational guidance functioning of the university and knowledge of
studied. The orientation provided did not respond to the administrative procedures (registration, locking, transfer,
needs felt by the student, neither in high school nor in etc.); The less felt needs correspond to different areas.
university education. The majority of the topics in the area of academic and
4.1 Vocational guidance needs in high school professional information are the least valued: the abilities
In High School did not meet the needs of professional for the search and selection of information, information
guidance of the student. The student expressed a general about further training, postgraduate training, university
dissatisfaction with the orientation received in this politics, scholarships and sources academic and
previous stage of joining the University. In the professional information); The planning of job search and
continuation, the main conclusions are summarized in phone calls in the area of job search strategies and
relation to the needs felt by the pupil in high school. strategies and the integration of the gender perspective in
a) Needs affect all dimensions or areas studied self-knowledge are other topics that lie between the less
(academic and professional information, self- felt period needs and the sex do not associate with larger
knowledge, professional design and advice for needs. Significant differences in groupings with these
decision-making, labor information and variables affect the few orientation themes. In this line
techniques and job search strategies). they manifest the following characteristics: The student
b) The most felt needs are not linked to a single from the beginning has more need in the area of self-
area. The following contents are relevant: knowledge and information, specifically in the
sources of employment information, information information for choosing a new course, on administrative
on scholarships and educational credit, procedures and on exchange programs; At the end of the
development of social skills and knowledge of course, the information on complementary training and
the influence of gender, academic and those related to the future professional insertion are
professional decision making, and knowledge of prioritized, namely, the identification of professional
the professional spheres of work. course. skills and the knowledge of the professional skills
c) The "less valued" needs cover some topics in the required by the labor market; Advice on academic and
areas of academic information (characteristics of professional decision-making, information on
university education and skills to search for postgraduate training and on labor legislation are the most
information), labor information (labor felt needs of the student in the middle period; the students
legislation) and self-knowledge. prioritize the knowledge of the characteristics of the
4.2. Vocational guidance needs in university education course, the planning of the professional project and the
As in high school, there is also general dissatisfaction selection interview; The student adds value to information
with the orientation received and the demand for more for self employment and scholarships.
guidance in all areas of vocational guidance. The need for
V. METHODOLOGY VI. OBJECTIVES
This proposal of professional orientation arises from our Develop a tutorial action plan; To bring together a first-
research on the needs of professional orientation of the rate information tool such as the web; Create A program
students of the Federal University of Rondônia that of action with High School; Provide elaboration of
culminated in doctoral thesis. In view of the problem manual edited in paper format and in its electronic
investigated, and in light of, particularly, the main version.
objectives of our study, we adopted a line of descriptive
inquiry type survey. This, besides being one of the most VII. PROPOSALS
used in educational research, presents itself as the most The results of the research concerning the characteristics
adequate to the objectives that we propose in this of the professional orientation received and the lack of
investigation. Particularly to describe the nature of the orientation perceived by the student require the UFRO to
existing conditions (Cohen and Manion, 1980). The assume the progressive implementation of professional
methodological option of our study is justified by several orientation. Thus, it is necessary to articulate realistic
reasons: It makes possible a wide population range; It actions, adapted to the institution and that meet the
allows a broad descriptive study, based on information demands of orientation of the student. In the continuation,
collected and treated, of a significant number of the using as reference the data of the investigation, four
population universe. It is the first study of this nature in measures are suggested to integrate the professional
the State of Rondônia. So far, there are no basic orientation in the offer that the UFRO offers to its pupil as
information that could support this research. This requires well as the one that studies high school:
an extensive collection of quantitative information that, 1. A program of action with High School, for which we
while guiding and sustaining the ultimate goal of describe the objectives and activities;
research, can serve as a starting point for future 2. The incorporation of new contents in the web of UFRO
educational research in this geographical area. The in order to make accessible to the information that the
instrument used to obtain the data related to the student needs;
vocational guidance needs of UFRO students was a 3. A tutorial action plan in which different activities and
questionnaire, applied in those courses where there were guiding agents are integrated and
university students in the beginning, middle and end 4. A UFRO manual addressed to the new student;
periods, as previously mentioned.Data analysis once the 7.1 Some initial considerations
questionnaires were in place, they were coded and Before the presentation of the four proposals, we describe
prepared for further analysis. These were performed using the characteristics of the professional orientation that
the statistical software SPSS (Software Statistical underlies our proposals and guide the guiding action. It
Package for the Social Sciences) version 12.0 for also details some necessary conditions for its realization
Windows. Given the descriptive purpose of this and operation.
investigation, the analyzes carried out were of four types: 7.2 Assumptions for guiding action
frequencies and percentages, graphic analysis through The proposed actions we present are guided by the
Box-Plot, Anova de Friedman; and proof of Wilcoxon's following assumptions that we consider to be basic and
significance. The graphical analysis through Box-Plot was guide the guiding actions:
carried out for each one of the variables that should be a) Professional orientation is understood as a preventive,
answered based on the double appreciation of the educational, procedural activity and for all students. In
orientation received and the orientation that it would like this sense, he must accompany the student from his
to receive. Its use enabled us to compare the two entrance until his leaving the university. Their task is to
perspectives. Considering that the valuations performed acquire the knowledge, attitudes and skills that allow
on each of the items are of an ordinal type, the type of them to fully integrate university, build their training
chart called the box or Box-plot seems to us the most itinerary, configure their professional project and face the
adequate to inform about the distribution of such future professional insertion.
variables. It is a graph based on measures of position, b) Structuring the orientation along a continuum, with
which gives a summary of the most relevant information moments differentiated mainly by the themes that
of the distribution: the median, the 25th percentile (1st prioritize. Within this continuum we identified four
quartile) and 75 (3rd quartile). Since this type of moments: before entering university, beginning of
representation is little used, its characteristics were briefly university studies, during and the end of the course. Th e
described. The data revealing the professional orientation information has a cumulative character, that is, that can
needs felt by the students served as a basis for designing a provide at different times different levels of deepening.
set of actions designed to meet the needs diagnosed and Prior to joining the university, information on the access
directed to the high school student and the UFRO. and registration systems (procedure and characteristics of

the tests, registration procedures), scholarships and 7.3 Institutional support
educational credit, housing and on the courses: entrance The implementation of some of the proposed actions
profile (interests, attitudes, disciplinary knowledge), shares the characteristics of an innovation process and
curricular matrix (specializations, internships, menus) and requires changes at different levels that require the
professional field. This orientation is necessary since high commitment and implication of the agents in charge of
school, but UFRO should make this information the guiding function and of the institution itself, which,
available. At the beginning of university studies, above all, has to take the direction of the proposals and
integration and adaptation to university life, it is a priority the provision of resources and support to ensure the
to deepen the knowledge of the course and the knowledge minimum conditions necessary for its implementation.
of the university and the resources that it can have. The conditions it refers to are the following: Awareness
During and at the end of the studies, priority is given to: of the need and importance of professional guidance in
the configuration of the training itinerary during the the promotion of quality education and in the
course (choice of optional subjects and specializations, improvement of the educational offer of UFRO;
complementary training) and completion of the course Providing the necessary human and economic resources;
(postgraduate studies), mobility possibilities to other Recognition of orientation in the General Regiment of the
Brazilian universities and labor information and the University; Provide them with means to facilitate their
acquisition of job search strategies and strategies. achievement by promoting the broader participation of a
c) One of the objectives to be assumed by UFRO is the range of functions and fields of intervention in close
creation of a global integrated guiding system organized collaboration and cooperation with other teachers and
at different levels of competence and responsibility. especially with tutors; Ensure the agents involved in the
Tutoring and specialized guidance services would perception of the direction of change through training,
configure the two basic intervention levels of the system. facilitation of resources, facilitate the exercise of the
The implementation of guidance services on campuses functions that are called to assume and through the
should be established as a medium-term goal. This service sequence and evaluation of experience. The proposal of
would extend its activities to other areas of orientation, actions must be applicable and realistic based on the
that is, it would not focus exclusively on professional needs of the student and the resources and possibilities.
guidance, even if it is its priority field of action. Among He is also a finalist in that he marks the way forward. It
its functions, the following should be highlighted: does not imply that all actions take place at the same time
Recompiling, selecting, creating and disseminating and from the beginning. It is a proposal in which o ne
academic, professional and computerized information, must work, in the face of a long road to be traveled. It
favoring a quick and effective consultation, and at the should also be an element of reflection on the possible
same time facilitating the processes of self-affirmation, ways to meet the demands of guidance of the student, in
self-exploration and realistic vocational decision-making; order to assist in the decision-making of those responsible
Provide individual or group counseling in decision for university policy.
making and professional project planning; Outline and - University orientation program for high school
develop the actions to train the student in the skills for the (PROEM)
preparation of the professional project and for the job The program that is proposed for the high school student
search; Inform and advise for self employment; Evaluate is composed of several actions. Its main purpose is to
the orientation needs of the student and analyze their provide academic and professional information. It also
evolution; To strengthen the university's links with the aims to strengthen the collaboration between the
world of work (companies and public bodies related to university and the secondary schools. It is a program that
labor insertion); Collaborate and support the guiding by its characteristics and, in principle, would be under the
function performed by the tutor teaching staff and the responsibility of the Departments of Education and
activities that take place in the nuclei and departments. Psychology and the guardianship of some of its
d) The diversity of agents involved: teachers, guidance professors. The actions included in the program are as
professionals and students. Some of the themes of follows:
professional orientation take place in the disciplines and a) UFRO manual for high school students.
specialized functions of the teaching profession, such as Its purpose is to provide information on the following
tutoring. In the way that the disciplines are developed, the topics:
professional stage must be valued and used as a - About UFRO (a little of its history, the campuses and its
significant means to increase the professional information offer of courses) - Structure and organization of
of the student, incorporating objectives in this direction. university education. The objective is for the student to
e) The actions must cover all areas of professional know the levels that are organized (graduation, post -
guidance, you can not limit the information area. graduation stricto sensu, post-graduation lato sensu,

improvement and/or update) and its characteristics more complete information is provided, through the
(duration, degree obtained), Glossary that collects the connection to their Departments, specifically those of
specific terminology of the university studies and the Physics, Electrical Engineering, Biological Sciences and
organization of the university. Environmental Engineering. The information is not
- University access system: administrative procedures, homogeneous, neither in the presentation, nor in the
characteristics of the tests and advice to tackle them accessibility, nor in the issues that it treats. Only two
successfully; Courses offered with information on courses have more complete information: course
admission profile (interests, attitudes, disciplinary objectives, professional profile, curriculum matrix
knowledge) the curricular matrix, type of subjects, (distribution of subjects by periods, credits, contents and
internships, monograph, egress profile (skills and bibliography for each subject), academic calendar and
competences that need to be acquired) and fields or fields schedule, simplified extract of the Political Pedagogical
of professional activity. University housing. Scholarships Project. This document collects information on multiple
and educational credit. With information about the type of topics: course profile (justification, objectives), faculty,
scholarships, the recipients, the prerequisites, selection curricular structure (distribution of subjects by periods,
criteria, duration, the period of application, the benefit credits, contents and bibliography), course activities,
and the commitment of the scholarship holder. training profile (percentage of different subjects and
Enrollment: place, period and documents that have to activities in the training - practical activity, internships,
accompany and Frequently asked questions. completion work, basic nuclei and vocational and specific
The guide can not be a simple informational manual. A nuclei), egress profile (skills and competences), form of
proposal for activating actions, which promote the search, course access, course and process design evaluation
selection and use of information for decision making, system teaching and learning. In no case is there any
would complete the guide. It will also support the work of information about the field of professional activity. At the
teachers, educational counselors and psychologists in University, in the item teaching, information is also added
secondary schools. The information has to be presented in from the courses offered at UFRO's seven campuses. It
a clear and synthetic way. The guide has an add-on on the offers information on fifteen courses, eleven more than on
web. the graduation item. The information provided is different
b) Days of Open Doors. depending on the course and, in general, is much lower
This activity offers the possibility of visiting the different and of less quality than in the case of the courses
faculties of the university and receive first-hand commented in advance. In most cases, it is limited to the
information about the characteristics of the studies and timetable, the academic calendar, the academic year and
their professional exits. The responsibility of its the curricular matrix (distribution of the subjects by
organization would be of the Departments, with the periods and contents and credits of the subjects). Only
support of the nuclei. one course includes information about the professional
c) Information sessions in the secondary schools. profile and the fields of professional activity. In the
This activity consists of teachers and UFRO students Postgraduate item, present a list of masters and
participating in visits and informative meetings in the doctorates. In most cases, it refers to the master's and
centers about access and the courses offered at UFRO. doctoral web. The type of information provided is not
- New content on the web of UFRO homogeneous for all masters. The information they can
The web is an informative tool of first magnitude. It is collect focuses on the program (objectives, disciplines,
different from other traditional information media, it has areas and lines of expertise and research), the selection
the advantage of speed and ease in updating the and registration process, evaluation, calendar and research
information. The main problem stems from the limitations groups. Some master's degrees include information on
of Internet access and its quality. Since the survey data teacher and student exchange agreements. In Guidance, a
was collected, the UFRO website (http://www.unir.br) guide is presented to the Student. Its items summarize
improved its structure and content and introduced themes information on different issues: Presentation of the UFRO
related to some of the student's needs. The analysis of (what it does, headquarters and location), government
UFRO's website (October 2012), from the perspective of bodies, academic bodies, functions of other bodies and
the needs of the student's professional orientation, reveals services, student representations, glossary of terms,
important shortcomings and a waste of their informative frequently asked questions and attention calls on
potential. The information of interest for the student of administrative procedures (enrollment, consequences of
high school and university are in three items of the absences, doubts about academic control standards,
academic portal: Graduation, Post-graduation and reasons for loss of ties with UFRO) library and restaurant
Orientation. In the item of Graduation, it is informed of service. The information on the access system to UFRO is
the offer of courses by campus. Only, for five courses, contained in the portal of selective processes

(competitions and vestibular). It offers information on the planning) and the new means associated with web 2.0;
administrative procedures of enrollment and registration, Sources of employment information: job portals, National
the necessary forms and the vacancies offered by courses. Employment Service (SINE), institutional websites
A clear description of the access system and the offering information on public employment, etc .; Career
characteristics of the evidence is lacking. Part of this opportunities and jobs for each course; Self-employment:
information is scattered in the edicts. The information business project, administrative procedures, aids and
focuses on administrative procedures, the facilitation of credits for the creation of the company.
forms and the novelties in relation to the process. From 4) Scholarships and educational credit. In this item
the UFRO web analysis, it is concluded that, despite the information about the scholarships for which the
improvements introduced in recent years, there are requirements and the dates on which the call notice is
important shortcomings related to the lack of information published are collected. It would have an item of news in
and the quality of the information offered. The which they would publish the scholarships that are in term
shortcomings make reference to different areas and of candidacy and that would allow, through RSS, the
contents of the professional orientation on which the sending or enlisted student.
demanded orientation. In the first place, the areas most 5) Housing. This item associated with the creation of an
demanded by the student are absent: the labor information advertising desk about accommodation, apartments and
and the techniques and strategies of the job search. In houses available in the city of Porto Velho.
addition to the issues identified in the analysis of the web 6) Schedule of administrative procedures (enrollment,
(characteristics of the university access system, structure transfer of students, request for use of disciplines, request
and characteristics of university education), information for inclusion of subjects, reintegration of special
on scholarships and educational credit and mobility is not enrollment, request for locking, etc.). It is more than a
also provided to other universities. Our proposal des cribes simple calendar, details each of the procedures.
below and focuses on improving some information that 7) Seek exchange with other universities. It collects
already exists on the web and incorporating new content. information on the possibilities of studying stays in other
It is a question of adapting the information to the needs of Brazilian and foreign universities and on the
both university and high s chool students, as shown below: requirements, selection criteria and procedure to be
1) Homogenize the information of the courses and followed.
incorporate questions about the professional fields and the - Tutorial Action Plan - TAP
entry and exit profiles. As previously mentioned, in In Brazil, the tutoring understood as the guiding activity
addition to providing very restricted information, few of teachers' responsibility has had a scarce development.
courses offered information and only one course provided Some tutelage actions only happen very timidly in some
information on the field of professional practice. institutions, usually through isolated initiatives of a few
2) Creation of a Portal for the high school student that teachers, who spend a few moments of their meager time
responds to their information needs. The categories to to meet certain students in their various types of needs.
include, would be the following: university studies, However, they are totally voluntary actions with little or
access, courses, scholarships and educational credit and no planning and without the proper support of the
university housing. Especially important is the Courses institution. The tutoring linked to teaching in the subjects
section. Its objective is to contribute with information taught by the teacher does not have the proper
about the curriculum, about the entrance profile recognition. The teacher does not have a specific time to
(knowledge, competences, interests and related attitudes), attend to the student. Unlike Brazil, in Spain tutoring has
about the professional field of the course and about the recently achieved a prominent role, expanding its
egress profile. According to the data of our research, the typology and functions and implementing specific
student arrives at university education with little programs, tutorial action plans. The tutorial action plan is
knowledge about these issues and demanded more another of the proposals that we suggest to meet some of
information about them. In the current web page does not the professional orientation needs that we detect among
appear this item and the information on these questions the student. The characterization and outline of our
does not exist or are partial. proposal inspired the authors and the experiences that
3) Create another new portal of the University on the have developed in recent years in Spanish universities,
Labor Market. Its objective is to respond to the needs especially in the experience carried out at the University
most felt by the student, those related to the professional of Coruña (Arza, 2007). In spite of the distances and
insertion. We propose the following items: Techniques contextual differences between the Brazilian and Spanish
and strategies of job search. It would contribute university systems, we consider that this experience is
information and advice on the most traditional ones perfectly transferable to UFRO, as long as it favors some
(curriculum vitae, interview, cover letter, job search necessary conditions for its implantation and

consolidation. In the continuation, the characteristics that taking into account the material and personal resources
describe the tutorial action plan are presented, in which available. Flexibility in the construction process. That is,
conception and modality of tutoring is supported, what susceptible of amplifying the needs and problems that it
aims it attends and how it is organized. attends and in turn submitted to a continuous revision and
- Characteristics, design and types of tutoring on improvement; The implementation of tutorial action plans
which it is based. should begin as an experimental and voluntary project for
We characterize the TAP (Tutorial Action Plan) with the the nuclei, for the departments and for the courses and
following traits: It is a program that has its scope of action should have the proper support and support of the
in the course. Each course has to outline and develop its institution. In this line, it is essential to recognize this
own tutorial action plan; It is an institutional plan, function and to allocate the necessary resources for its
establishes objectives, organization and tutorial actions; development: assignment of specific time, materials
And a formative offer, complementary to that realized in (planning guide, activity guide, assessment tools) and
the teaching of the subjects and that integrates a different advice. Conception and tutoring modalities in which the
type of performances; Its purpose is to cover the needs of TAP is supported The modality of tutoring that is
the student's orientation that corresponds to different proposed is based on the figure of the teacher-tutor who
moments of their stay in the university and that were has assigned a group of students and who can be
detected in our research. The guiding agent is the teacher. supported in his work by the tutor. In this context,
The tutorial / guidance function becomes part of the tutoring is defined as an aid relationship, generated in an
teaching responsibility. The exercise of this function individual or group meeting with the student, planned in
implies a more personalized interaction between the advance or the demand, which is concretized in the
teacher and the students with the objective of reaching the advisory, information exchange and analysis of issues or
highest level of academic and professional development; issues relevant to development academic, professional
The tutorial action developed by the teaching staff should and personal experience of the student. The idea of
be complemented by the professional orientation services. tutoring that defends itself is that of an integral tutoring
The tutorial action plan would form part of an orientation and of course. It is an integral tutor, since it focuses on
system in which different levels of intervention are the development of university students in their
differentiated: the orientation service and the tutorial intellectual, academic, professional and personal
action plan. The faculty is not an expert in professional dimension. One of its fields of action is the professional
guidance. Its function in this area is determined by the orientation, although its action extends to other areas of
knowledge it has of the university institution, the course educational guidance. It is course tutoring in that it is
in which it teaches and the professional market of the carried out during the duration of undergraduate studies.
course; The TAP includes a set of activities of different Their temporal coverage has to be decided according to
types: the individual and group that the tutoring teacher is the needs, the priorities of the course and the number of
responsible for. the Jornadas, lectures and workshops. the teaching staff. In this way, and initially, it can be
These modalities are the most pertinent to address some established that the TAP is limited to the first year of the
needs that may exceed the competencies of the tutoring course, later, that extends to the intermediate periods of
teacher. We are referring to: the topics related to self the course and to all the periods. Our proposal includes
employment, the techniques and strategies of job search, three tutorial figures: The tutor who is in charge of a
with job information. These themes can be approached in restricted group of students; The tutor specializing in the
this format by different agents (among others, labor market or post-graduate training; The ally mentor
professionals in the field of courses, professional who collaborates with the other two figures.
advisers); TAP should be governed by the following three - Student needs and objectives
principles: (a) Contextualization: the objectives are From the results of our study, we conclude that the needs
defined based on the student's needs analysis and priority. of the student extended to all areas of professional
Realism and applicability.Objectives and actions must be orientation. The TAP is one of the means that we can
achievable and achievable, planning what can be done, serve to serve them. Table 1 summarizes these needs.
Table.1: Vocational guidance needs of the UFRO student

• Knowledge of training options at the end of the studies (post -graduation, professional specialization)
• Knowledge of academic information sources.
• Knowledge of the professional market (professional fields, jobs, self employment, etc.)
• Knowledge of sources of labor information.
• Acquisition of techniques and strategies for job search.
• Acquisition of techniques and strategies for job search.

• Individualized advice for decision-making.
• Professional project planning.
• Selfknowledge.
• Knowledge of the university as an institution (governing bodies and academic management, services and
extension and research programs)
• Knowledge of university policy (rights and duties of the student, participation of the student in the choice of
leaders and councils, etc.)
• Knowledge of administrative procedures.
• Knowledge of the course (curriculum, prerequisites, professional internships, optional subjects.)
• Knowledge of scholarships and educational credit.
• Knowledge of the possibilities of complementary training (courses of improvement, extension, internships,
congresses, seminars, language learning).
There are two types of objectives: those related to the support the teams of tutors (motivating, training and
learning that the student must acquire and those related to providing resources); Name the tutor; Participate in the
the professional orientation needs detected and those not drafting, follow-up and evaluation of the TAP; Prepare
less important, which can be derived from the tutorial the corresponding evaluation reports; To channel to those
activities as in the continuation: who correspond to the needs and problems detected and,
a) Objectives in relation to the student - To acquire if applicable, also the possible alternatives of action; Give
information and resources that facilitate the transition and an account before the community and before the
integration in the university and the course - To know the institutional leaders of the operation of the TAP. The
services, the programs, the complementary training work of planning, continuity, evaluation of the TAP and
activities and the resources that UFRO places available to coordination between the TAPs of the core courses will
the student. - Acquire the necessary information for the be carried out within the framework of two committees:
configuration of the academic itinerary and professional the TAP course committee and the core TAP committee.
specialization. - Acquire the information and skills The first is the task of outlining, continuing and
necessary to face labor insertion. - Acquire a better evaluating the course TAP, they are part of it, the tutor
knowledge of itself - Plan the professional project - teaching staff and the course tutor student. The Core TAP
Receive personalized advice. Commission is responsible for coordination and exchange
b) Objectives in relation to the process In addition to the of experiences between core courses. This committee
objectives linked to the needs of the student, the TAP can includes the TAP coordinators of the courses and the core
also achieve the following objectives: Detect and support director.
the student in situation of abandonment of studies or - The tutor teacher: designation, advisable profile,
change of courses; To obtain information on the functions and activities.
adaptation, integration and progress of the students and a) Procedures for choosing and appointing tutors
promote actions to improve academic performance; To It is suggested that all teachers who teach in the course
detect other specific support needs and to collaborate in and who voluntarily assume this task may be tutored.
conflict prevention, school failure or dropping out of Priority will be given to exercising the tutorial function of
studies, and to promote coordination networks among the those teachers who share professional and/or compulsory
professors of a course that contribute to evaluate and subjects in front of the electives, among those that have
improve the quality of the educational offer. more credits and / or more students. The number of tutors
- Organizational and functional issues will be what is necessary to attend the totality of the
Here we describe some organizational issues and the roles students. The average student/teacher will be determined
of tutors and coordinators. according to the number of tutors. It would be desirable
- Coordination and commissions: In each course a for this average not to exceed 10 students per tutor.
coordination of the TAP will be named. It will be chosen b) Recommended profile to be tutor teacher:
from the teaching staff that will take on the tutorial For the performance of the role of tutor is desirable what
function. At least three times a year, the coordinators will is presented in the continuation: Have a favorable attitude
meet with the tutors to outline, continue and evaluate the to the performance of the tutorial function; Knowledge
TAP. The TAP coordinator is responsible for the course's and mastery of its purposes; Availability and dedication
tutorial action program. Its main functions are as follows: to attend the student, for the training itself and for the
Inform course teachers about the characteristics of the coordination tasks; Knowledge and resources to carry out
tutorial action plan; Promote the participation of teachers the tutorial action; Profile of human qualities (empathy,
in the TAP; Inform the committee; Encourage and maturity, respect for others), social and communication

skills, democratic leader, etc .; Knowledge of university, supervision of the teacher or teachers who have appointed
core and course; Knowledge of the professional scope of him. Its functions are as follows: Collaborate with tutors;
the degree. The characteristics described describe the Provide support and information (course dynamics,
advisable profile that a tutor should have and that to a characteristics of the subjects, syllabus, activities that
great extent can be developed through specific training. offer the nucleus and the university, organization and
However, their application does not mean that they have functioning of the university); To detect problems that
to be used as selection or exclusion criteria. The interfere in academic achievement and channel it to the
underlined characteristics should guide all the tutor that tutor; Encourage student participation in training, cultural
should be progressively enhanced. and extension activities; Collaborate in the activities of
c) Functions: Participate in the preparation, development the program destined for the secondary school student.
and evaluation of the tutorial plan; To make known the - Measures of support and support
academic norms, the services of the university and the In the development of this project it is fundamental the
sources of information that may be useful for a greater support and institutional support. Due to its relationship
and better use of the resources of the university; To with the purposes of the TAP, the Pro-rector of culture,
inform about the characteristics of the course and to guide extension and student affairs (PROCEA) would be
it in the configuration of the academic itinerary; responsible for its execution, with the collaboration of the
Encourage participation in activities related to their Departments of Education and Psychology. Support
training; Inform the possibilities that have in the measures should include teacher training and mentoring,
completion of the studies as much of formation as of recognition of the tutorial role within the teaching
professional exits; Follow-up of the academic functions, technical support and supervision, and
achievement of the student; Identify aspects that interfere development of resources for the outline, development
with the student's academic performance; Contribute to and evaluation of the TAP. In the following we
the teaching quality of the course, insofar as it can detect materialize these measures:
dysfunctions and deficiencies and propose possible a) Theoretical-practical seminar for the teacher that will
solutions; The informative functions of the tutor should assume the tutorial functions. The topics to be addressed
be understood not as simple transmitters of information, are the following: Tutoring at the university: conceptual
but as introducers of this information and its importance. characteristics, typology, functions and spheres of action;
In this sense, the tutor more than informant is a channel of The professional orientation as scope of action of the
information and sources where it can be obtained, and tutoring; Analysis of TAP experiments; Presentation of
also a promoter of the motivation of the student to be the UFRO Tutorial Action Plan; Guidelines for the
informed. In order to carry out many of these functions, it planning and evaluation of the tutorial action plan;
is essential that the information is available and that it Strategies for tutorial action; Presentation of the dossier
meets the needs of the student. Specialized tutors can also of activities and instruments for the draft and evaluation
be incorporated. There are two fields of specialization: the of TAP and the dossier of activities; TAP outline for the
professional market of the course and the complementary courses.
and postgraduate training. These new tutorial figures b) Elaboration and diffusion of materials (proposal of
would be the closest institutional referent to which the activities, instruments of assessment of the TAP, specific
student can request help. Its functions would be: To bibliography, compilation of experiences, etc.);
organize lectures and seminars on postgraduate training c) Creation of a web item specific to the TAP;
and on the professional market; Participate in the d) Advice, continuation and support in the development
elaboration of information on the themes of his tutorial of the TAP, through periodic meetings in the nuclei that
specialization; Organize and participate in workshops on implant this experience;
techniques and strategies for job search and self e) Recognition of the task accomplished through the
employment; Inform about the themes of your tutorial certification of their participation and the accounting in
specialization; Attend the consultations and advise on the the teaching time of the activities performed as tutor.
themes of their responsibility. f) Incorporation of the TAP in the Pedagogical Project of
d) Activities: The activities carried out by the tutor the course.
teacher are of two types: Activities with the group of g) Journals for the exchange of experiences and for the
students who tutor; Individual tutoring activities, sued by evaluation of the developed projects and web publication
the student or planned in advance in the TAP. of the TAPs developed. For the student tutor will also be
- Functions of the students mentors offered a seminar with the following contents: The
In the outline of the TAP, the participation of the tutor university orientation and professional orientation; The
student can be agreed. The student mentor will be a tutoring of equals: scopes of action and functions of the
student of the past periods and will act under the tutor student; Communication techniques and group

dynamics for guiding action; Student tutor program informational reference. Facilitate resources for the
planning; Strategies and resources for university tutoring. development of the Tutorial Action Plan. The tutor as an
With the implementation and optimal functioning of the information plumber needs resources of this type.
courses tutorial action plans, the student will have
personalized help to adapt and integrate in the university, VIII. FINAL CONSIDERATIONS
to configure their academic-professional path, to improve One of the reasons for this study was the need to deepen
their academic performance and to the labor market. All what the experience of the researcher as a teacher of the
these issues are relevant elements in the achievement of a vocational guidance discipline had detected, that is, the
quality university education and are related to the needs immense difficulties faced by the students in various
that the student has to face at different times of his moments of their formative itinerary, among others:
university career. With everything, the tutorial action abandonment, changes and course lockouts. The results of
must be complemented from the professional orientation the research confirm the dissatisfaction with the
services. Mentoring can not, and does not have the orientation received, both in the previous stage of
capacity to take on the whole, the development of career admission to the university and during the stay in UFRO,
guidance. The faculty is not an expert in professional and the existence of deficiencies that affect all areas of
guidance. Their role in this area is determined by their professional orientation and group of students of all
knowledge of the university institution, the course in courses. The data revealing the professional orientation
which they teach and the professional market of the needs felt by the students served as a basis for designing a
course. set of actions designed to meet the needs diagnosed and
7.4. UFRO Guide for the student of the Federal directed to the high school student and the UFRO.
University of Rondônia Moving these actions to practice implies taking the first
The Manual of the UFRO for the student of the Federal steps towards the institutionalization of vocational
University of Rondônia is the fourth action that we guidance in UFRO and recognizing their contribution to
suggest. As already mentioned in the analysis and the achievement of higher quality education. This is one
proposal of new contents for the web, UFRO does not of the great challenges to face. The study has also
provide the academic and professional information that provided us with a greater theoretical and practical
meets the needs of the student. This information, when it knowledge of vocational guidance and has given rise to
is offered, is scattered and incomplete. In this scenario, innovative reflections on instigating issues, opening up
we think that the elaboration of a Guide is another new possibilities for research and interest so that further
instrument to meet the informational needs of the s tudent study can be carried out. The implantation and evaluation
and a resource for the action of the tutoring teacher. This of the proposed actions, the training of the professionals
is mainly intended for the student of new entry. The responsible for the orientation in the secondary education
manual is edited in paper format and in its electronic and the analysis of the situation of the professional
version on the UFRO website. The objectives of the orientation in university education refer these new lines of
manual are: Provide basic and synthetic information and a study. It is believed that the development of research in
clear and direct language. The contents focus on some of these themes can contribute to the necessary process of
the informative topics in which the student manifested institutionalizing vocational guidance at different lev els
lack of information (organization and functioning of the of education, which still lacks a long way to go.
University, university policy, student participation,
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An Integrated Well-Reservoir Steam Injection

Modelling for Steam Injection Optimization
Nmegbu Chukwuma Godwin Jacob1, Orisa Ebube Favour2
Department of Petroleum Engineering, Rivers State University of Science and Technology, Port Harcourt, Nigeria.
1 gnmegbu@gmail.com
2 ebubeorisa@yahoo.com
Abstract— The limitation of Steam Injection to depths has I. INTRODUCTION

been a subject of concern in the application of Steam The global rise in oil price and the increasing worldwide
Injection for heavy and extra heavy oil recovery. This is energy demand are clear indications that many proved
usually as a result of the complex mechanism of heat loses undeveloped hydrocarbon reserves has to be developed
occurring in the wellbore and consequently the heat loss using available technology. These reserves have been
distribution in the reservoir. A conventional approach to identified as either conventional or unconventional based
the optimization of steam injection has been based on on its source. The OPEC Annual Statistics (2017) reported
isolated analysis of the well system aimed at maintaining the world’s total proven reserves as of 2016 to be
adequate steam quality at the sandface at optimal injection 1,492,164Mbbl. According to PetroWiki (2017)
rate, pressure, temperature and overall heat transfer classification, the unconventional sources of hydrocarbons
coefficient. This often results to total neglect of the effect of include heavy oil, extra-heavy oil and Bitumen amounting
the interaction between the well system and the reservoir to a total of 9 trillion barrels of oil (from both conventional
system in the Model results. This research presents an and unconventional sources), accounting for about 83.42%
integrated approach in the modelling of steam injection of the world’s total proven reserves. The efficient operation
project that incorporates both the well system and the of steam injection requires the injection of steam of
reservoir system. In this study, a three case-study wells sufficient quality at sufficient rates. However, the cost of
were analyzed which are located at INJ1 (1, 1), PROD1 (5, generating steam is quite high making up about a half of the
5) and PROD2 (9, 1) respectively. The results of the overall cost of running the whole operation. Hence, the
findings reveals that the conventional practice of optimized use of the injected steam has been the industrial
maintaining sufficient SQ at the sandface is not the last practice (Hong, 1994). For optimal application of steam,
optimization strategy in real field scenario. This is because the reservoir depth must be duly considered as this poses a
the efficiency of the heavy oil displacement by the steam is a constraint to the efficiency of the operation.
co-function of the effective SQ at the sandface, the The limitation of steam injection thermal EOR to depths
FHLR/FHLT and the relative distance of the injector(s) not more than 5,000ft is due to s ignificant heat losses in the
from the producer(s) which are characterized by the wellbore, the formation and consequently, steam quality
thermal properties of the reservoirs. As part of the reduction. The development of models/ simulators is an
objectives of this study, a novel numerical approach using important optimization tool in a more modern industrial
PROSPER wellbore simulator is presented for analysing society today. Thus, this enables the utilization of computer
the impact of reservoir back pressure on the estimated SQ. assisted numerical methods for the optimization of the
The results as presented in the work shows that wrong parameter of interest over any possible number of ranges
estimations of downhole SQ can result from the total for convergence. Hence, an integrated model that can
neglect of Reservoir Pressure especially in relatively deeper compensate for injection/reservoir pressure effect, choice of
wells. completion design and the reservoir response to steam will
Keywords— Integrated, Modeling, Optimization, certainly be highly invaluable in the design and
Reservoir, Steam. optimization of steam injection. This research provides an
integrated ECLIPSE-PROSPER Steam Injection Model for

steam measurements along the injection as well as the 1.5B/D cold water equivalent(CWE) per acre foot of the
reservoir response to steam thermal energy. reservoir and a steam quality of 40% at the sandface
Thermal processes are generally classified as those EOR (Bursell et al, 1975; Farouq Ali,1979 and Doscher et
methods that involve the introduction of external heat al,1979).
energy into the reservoir to heat up the high viscous crude The first paper ever presented on steam injection was done
in the reservoir and as such make it more mobile. The by Ramey, (1962) in which he developed equations for the
temperature dependence of viscosity is of empirical basis. estimation temperature profile as a function of depth and
This forms the basics of every thermal recovery procedures time for a single phase flow. The modelled generated was
since the entire aim is to raise the reservoir temperature for improved by (Satter, 1965)by considering the changes in
viscosity reduction. The viscosity of liquids as a function of steam quality, Overall heat transfer coefficient and the fluid
temperature can be estimated using any of the following properties which were not accounted by Ramey (1962). He
correlations: thus presented better equations that compared the per cent
 The Andrade’s exponential correlation of heat loss for superheated steam, saturated steam and
µ = 𝐴𝑒 (𝐵 ⁄𝑇) (1.1) understated steam.
Where; (Hoist & Flock, 1966) was able to account for the effect of
µ= dynamic viscousity, cp frictional loss and kinetic energy changes by dividing the
T= absolute temperature, K entire injection system into three- (a) flowing fluid, (b)
A and B = constants which varies from liquid to liquid. wellbore, and (c) formation with each part being treated
 The Braden’s correlation for oil separately and assuming they were interconnected only by
𝑇 heat transfer. This study shows that steam quality can be
log(ν2 +𝐶) = ( 1)𝐷 log(𝜈1 + 𝐶) (1.2)
𝑇2 greatly affected by friction losses.
Where; As an important steam optimization parameter, (Willhite,
T1 and T2 = absolute temperature at the original condition 1969) presented an iterative method for predicting the
and the final conditions (when temperature is raised) overall heat transfer coefficient by considering the various
respectively heat transfer mechanisms and thus presenting a method for
𝞶1 and 𝞶2 = kinematic viscosity,cSt the calculation of heat transfer coefficient for radiation
C= constant (equal to o.6 for 𝞶>1.5 cSt) through the annulus (hr) and the heat transfer coefficient
D= constant of the order 3.5 to 4 (Latil, 1980) for natural convection and conduction in the annulus (hc).
Generally, hot fluid injection can be classified as hot water Earlougher (1969) applied a depth-step technique similar to
injection, cyclic steam injection (also known as ‘huff and Satter's for calculating heat losses and downhole
puff’) and direct steam injection (also known as conditions. He extended Satter's approach by including the
steamflooding), (Latil, 1980). For the scope of this study, effects of pressure changes in the injection tubing and the
the attention is going to be concentrated on steam. The effect of casing cement on heat transfer and studied the
cyclic steam injection also known as steam stimulation or effects of various well completion schemes. He was able to
the huff ‘n’ puff is a practice that uses a single well demonstrate the importance of including the static pressure
alternately as injector and producer for a more efficient term in the pressure change. He also showed that by using
utilization of the heat injected. It basically involves three insulated tubing heat loss could be reduced significantly.
phases of operation for a given cycle: Earlougher concluded that the bottomhole properties of
 The steam injection phase( which is similar in steam are a function of injection conditions and well
operation with normal direct steam injection i.e. completion, and also emphasized that the pressure change
steamflooding) cannot be neglected in heat transfer calculation of steam
 The soak period and injection. Pacheco &Farouq (1972) presented an analysis of
 The production phase.(Latil 1980) wellbore heat losses and pressure drop for steam injection
In the assessment of the efficiency of the steam injection assuming the steam to be a perfectly homogeneous two-
design, the major optimization criteria are to maintain phase flow. Their studies showed that an increase of
optimum steam quality at a sufficient injection rate using injection rate reduced heat loss and illustrated that frictional
the ‘rule of thumb (Hong, 1994). However, such rate must losses are important in determining downhole steam
economically be considerable to compensate for the high pressure, quality and temperature. This study was followed
cost of steam generation. For most practical consideration, by Farouq Ali (1981) developed a comprehensive
the ‘the rule of thumb’ is to maintain an injection rate of mathematical model to simulate the vertical upward and
downward flow of wet steam in a well. This model is a Equation (2.3) describes a general energy equation for the
combination of the Paceco&Farouq(1972) model and the energy balance of the steam-hot water mixture in the
pressure/flow regime correlations of Gould et al (1974), system. For a general concern, it is often desired to express
Chierici et al (1974), and Duns and Ros (1961). the energy equation as a gradient of the depth for the
Farouq Ali (1986) used the Duns and Ros flow pattern map injection well optimization. Hence we can have,
to determine flow regime for wet steam flow. His study 𝑑ℎ 𝑚 𝑔 1 𝑉𝑚 𝑑𝑉𝑚 𝑑𝑄
+ . + − =0 (2.4)
𝑑𝑧 𝑔𝑐 𝐽 𝑔𝑐 𝐽 𝑑𝑧 𝑑𝑧
showed it is necessary to include slip and flow regime in
calculating the pressure change. Furthermore, using the Injection axis
Duns and Ros flow regime map, the flow regime was found control volume
Vm, p , hm
M
to be predominantly in the Slug-Froth flow. Still on flow dz

m
regime map, Sylvester (1984) has shown that the Taitelet al

(1980) flow regime map is superior to the Duns and Ros
map since it predicted the annular-mist flow at much lower
superficial gas velocities especially at higher pressures.
annulus
As an improvement to Pacheco &Farouq (1972), Heat flux to the
Fontanilla& Aziz (1982) developed a mathematical model adjacent formation
Adjacent formation
Z
for wellbore heat loss that incorporated empirical two-
phase flow correlations using Beggs& Brill (1973), Aziz et tubing
al (1972) and Yamazaki & Yamaguchi (1979) correlations.
Yao and Sylvester (1987) have shown that the Beggs and
Brill correlation is unsatisfactory for vertical annular-mist Reservoir
flow.
Another innovative study on steam injection was done by
Jiansheet al (2010). Their approach was able to account for Fig.1: A Steam Injection Well Model
the effect of the reservoir back pressure on the injection rate
and consequently the steam quality by using a Nomograph Sometimes, it is more convenient to express the steam
developed for the Mukhaizna Field as against the mixture velocity, Vm in terms of the superficial velocity or
conventional classical models that neglect the impact of the the mass flux rate and specific volume of the individual
reservoir back pressure. components of the steam stream. By definition,
Most of the various classical models above has been used to 𝑉𝑚 = 𝑉𝑠𝑙 + 𝑉𝑠𝑔 = 𝐺𝑙 𝜈𝑙 + 𝐺𝑔 𝜈𝑔 (2.5)
develop the algorithm used by many steam injection 𝑑𝑉𝑚 = 𝐺𝑙 𝑑𝜈𝑙 + 𝐺𝑔 𝑑𝜈𝑔 (2.6)
softwares but the most common approach has been the
Where;
independent analysis of the injection well and the reservoir.
𝑉𝑠𝑙 = Liquid (hot water) superficial velocity, ft/hr
𝑉𝑠𝑙 = gas (vapour) superficial velocity, ft/hr
II. MODEL FORMULATIONS
𝐺𝑙 = liquid mass flux rate, lb/hr-ft 2
Considering a steam injection well model as shown in
𝐺𝑔 = gas mass flux rate, lb/hr-ft2
Figure (1) transferring a steam-hot water mixture through a
𝜈𝑙 =liquid specific volume, ft 3 /lb
control mass, ∆M, the general energy equation for the
𝜈𝑔 = gas specific volume, ft 3 /lb
system at any two unique conditions (points) can be written
as: Putting (2.4) and (2.5) into (2.6), we have the following
result;
𝑑ℎ 𝑚 𝑔 1 1 𝑑𝜈𝑙 𝑑𝜈𝑔 𝑑𝜈𝑙
𝑔 𝑍1 2
𝑉𝑚1 𝑔 𝑍2 2
𝑉𝑚2 + . + [𝜈𝑙 𝐺𝑙2 + 𝜈𝑙 𝐺𝑙 𝐺𝑔 + 𝜈𝑔 𝐺𝑔 𝐺𝑙 +
ℎ𝑚1 + . + = ℎ𝑚2 + . + (2.1) 𝑑𝑧 𝑔𝑐 𝐽 𝑔𝑐 𝐽 𝑑𝑧 𝑑𝑧 𝑑𝑧
𝑔𝑐 𝐽 2𝑔𝑐 𝐽 𝑔𝑐 𝐽 2𝑔𝑐 𝐽 𝑑𝜈𝑔 𝑑𝑄
In differential form, Equation (3.1) becomes 𝜈𝑔 𝐺𝑔2 ]− (2.7)
𝑑𝑧 𝑑𝑧
𝑔 𝑑𝑍 𝑉𝑚 𝑑𝑉𝑚
𝑑ℎ𝑚 + . + =0 (2.2) Some of the essential properties of the steam that is of
𝑔𝑐 𝐽 2𝑔𝑐 𝐽
primary interest to this study are the mixture enthalpy, gas
If we include the heat loss term and assuming no work done
specific volume and liquid specific volume defined as;
by or on the steam, we have; 𝒅𝒉
𝑔 𝑑𝑍 𝑉𝑚 𝑑𝑉𝑚 ℎ𝑚 = 𝑓 (𝑋, 𝑃) , hence, 𝒎 can be evaluated as follows;
𝑑ℎ𝑚 + . + − 𝑑𝑄=0 (2.3) 𝒅𝒛
𝑔𝑐 𝐽 2𝑔𝑐 𝐽 𝑑ℎ 𝑚 𝜕ℎ 𝑚 𝑑𝑋 𝜕ℎ 𝑚 𝑑𝑃
= . + . (2.8a)
𝑑𝑧 𝜕𝑋 𝑑𝑧 𝜕𝑃 𝑑𝑧

More so, unchanged at the wellhead, the total pressure of the
𝑑𝜈𝑔 𝜕𝜈𝑔 𝑑𝑃
= . (2.8b) injection well system at a constant injection rate can be
𝑑𝑧 𝜕𝑃 𝑑𝑧
𝑑𝜈𝑙 𝜕𝜈𝑙 𝑑𝑃
established thus;
= . (2.8c) 𝑃𝑖𝑛𝑗 + ( 𝑃𝑟𝑒𝑠 − 0.052𝜌𝑜 𝑑ℎ) = 𝑃 (2.13)
𝑑𝑧 𝜕𝑃 𝑑𝑧
Substituting Equations (3.8a-c), and solving for steam Where;
quality gradient, we can have the following result; P= Actual Downhole Steam Pressure (which is equivalent
𝒅𝑿 𝟏 𝝏𝒉 𝒎 𝒅𝑷 𝒈 𝟏 𝟏 𝒅𝑷 𝝏𝝂𝒍
= 𝝏𝒉𝒎 [− + . − . ( 𝝂𝒍 𝑮𝟐𝒍 + to the total pressure of the system under injection
𝒅𝒛 [ ] 𝝏𝑷 𝒅𝒛 𝒈𝒄 𝑱 𝒈𝒄 𝑱 𝒅𝒛 𝝏𝑷
𝝏𝑿 conditions), Psi
𝝏𝝂𝒈 𝝏𝝂𝒍 𝝏𝝂𝒈 𝒅𝑸
𝝂𝒍 𝑮𝒍 𝑮𝒈 + 𝝂𝒈 𝑮𝒈 𝑮𝒍 + 𝝂𝑮 𝑮𝟐𝒈 )− ] (2.9) 𝜌𝑜 = Oil density, ppg
𝝏𝑷 𝝏𝑷 𝝏𝑷 𝒅𝒛
The Equation (2.9) above is a first order differential 𝑃𝑖𝑛𝑗 = Injection Pressure at depth dz, psi
equation that can be used to estimate the steam quality Steam in
gradient analytically.
𝑑𝑃
To estimate the pressure drop term, , we establish the
𝑑𝑧
momentum balance equation in terms of the mechanical
energy balance of the system. This is also sometimes
conventionally expressed as the pressure drop equation for
dZ Z
fluid flow through a pipe section. Hence we can write that;
𝑑𝑃 𝑔 𝑉𝑚 𝑑𝑉𝑚
− 𝑑𝑧 + + 𝑑𝑊𝑠 + 𝑑𝑊𝑓 = 0 (2.10a)
𝜌𝑚 𝑔𝑐 𝑔𝑐
Where:
𝑑𝑃= total Pressure differential, lb/ft 2 (Psf)
Oil column
𝑑𝑊𝑠 = Work done by or on the fluid, lb-ft/lb dh
𝑑𝑊𝑓 = Frictional work, lb-ft/lb

For 𝑑𝑃in Psi, we can rewrite (3.10a) as;
144𝑑𝑃 𝑔 𝑉𝑚 𝑑𝑉𝑚
− 𝑑𝑧 + + 𝑑𝑊𝑠 + 𝑑𝑊𝑓 = 0 (2.10b)
𝜌𝑚 𝑔𝑐 𝑔𝑐
Since there is no Work done on or by the steam stream
𝑑𝑊𝑠
(expansion or compression of the fluid (steam)), → 0 such
that Equation (3.10b) becomes,
144𝑑𝑃 𝜌𝑚𝑔 𝑉𝑚 𝑑𝑉𝑚 𝑑𝑊𝑓 Fig.2: A well Model for Reservoir Back Pressure Effect
− + + 𝜌𝑚 =0 (2.11)
𝑑𝑧 𝑔𝑐 𝑔𝑐𝑑𝑧 𝑑𝑧
As usual by solving for the total pressure gradient, we can It is worth noting that this pressure (𝑃𝑖𝑛𝑗 ) at the sandface
establish this equation below; (dz=Z) can be greater or less than the injection constraint at
𝒈 𝒅𝑷
−( )
𝝆𝒎 the wellhead (dz=0) depending on the dominating factor
𝒅𝑷 𝒈𝒄 𝒅𝒛 𝒇𝒓𝒊𝒄𝒕𝒊𝒐𝒏𝒍𝒐𝒔𝒔𝒆𝒔
= 𝝆𝒎 𝝏𝝂 𝒍 𝝏𝝂 𝒈 𝝏𝝂 𝝏𝝂 𝒈 (2.12)
𝒅𝒛 𝟏𝟒𝟒+ [ 𝝂𝑮 𝟐 + 𝝂𝑳 𝑮𝒍𝑮𝒈 + 𝝂𝒈 𝑮𝒈 𝑮𝒍 𝒍+ 𝝂𝑮𝑮𝟐
𝒈 𝝏𝑷 ] during the steam transfer to the downhole. If gravity
𝒈𝒄 𝒍 𝒍 𝝏𝑷 𝝏𝑷 𝝏𝑷
In this study, the steam properties and the injection well dominates flow, [𝑃𝑖𝑛𝑗 ] > [𝑃𝑖𝑛𝑗 ] but when frictional
𝑑𝑧=𝑍 𝑑𝑧=0
conditions will be generated using PROSPER and a drag dominates the steam flow, [𝑃𝑖𝑛𝑗 ] < [𝑃𝑖𝑛𝑗 ] . It
𝑑𝑧=𝑍 𝑑𝑧=0
sensitivity test will be run using critical parameters as only becomes unchanged when both the gravity losses and
presented in the next chapter. the friction losses have approximate equal impacts on the
1. The Reservoir Back-Pressure Effect injection system.
It is a common experience that the reservoir pres sure causes As ‘dh’ approaches zero TVD, the influence of the
a significant constraint during steam injection. Therefore, a reservoir pressure due to the capillary column of the rising
total neglect of this phenomenon will limit the accuracy of becomes less significant.
the predicted steam properties. The back-pressure In practice, the injection well is totally filled with the steam
phenomenon can be modeled using the figure below column such that dzapproaches Z. This is certainly the case
(Figure 2). for heavy oil wells which do not readily flow by natural
By capillary effect, the in-situ fluid tends to rise through the effect and also as a result of external constraint of the
vertical column of the injector. For this set up, if we assume injection pressure. Therefore, we can rewrite Equation
that the steam generator discharge pressure remains (2.13) as,

𝑃𝑖𝑛𝑗 + 𝑃𝑟𝑒𝑠 = 𝑃 (2.14) The implication of the above Equation (2.16) is that a less
In other words; accurate steam quality (overestimation) will be made by
𝑃𝑟𝑒𝑠 ignoring the reservoir back pressure especially for
𝑃𝑖𝑛𝑗 (1 + ) = 𝑃𝑖𝑛 𝑗 (1 + 𝜓𝑃 ) = 𝑃 (2.15)
𝑃𝑖𝑛𝑗 relatively high pressure reservoirs as this tends to constrain
Where 𝜓𝑃 is defined as the pressure ratio of the reservoir to the injection pressure and consequently the injection rate of
the Steam injection pressure.The term (1 + 𝜓𝑃 ) is defined the steam. For convenience sake, this equation will be used
as the reservoir back pressure (RBP) correction factor to establish a table of values of 𝜉𝑃 for different pressure
denoted in this study as ‘𝜉𝑃 ’. Therefore, the corrected ranges as presented in the appendix section. The effect of
pressure of the steam system can be expressed as, reservoir back pressure on the steam properties and the
𝑃 = 𝑃𝑖𝑛𝑗 . 𝜉𝑃 (2.16) injection well system was analyzed numerically using
PROSPER simulator and the result presented in the next
Start chapter. To achieve this, the reservoir pressure was set at
the corrected pressure based on Equation (3.16) using the
following algorithm.
Select Desired Injection Pressure

2. The Wellbore Heat Loss Calculations
In the literature review of this study as presented in the
preceding chapter, it is clearly identified that the most
influencing factor for the optimization of steam injection is
the choice of completion. This is because the completion
Set Reservoir Pressure = Injection design directly affects the heat losses that occur in the
Pressure injection well. A typical model for this is given in the
figure below (Figure 4)
annulus Tci Tco

Estimate Downhole Steam Pressure (with annular fluids)
tubing insulator rci rco

Set Estimated Downhole
Pressure = Injection Constraint
casing Adjacent formation Te
r
h
Set Reservoir Pressure =

Corrected Steam Pressure
Fig.4: A Steam Injector Heat Loss Schematic Based on
Tubing-Inserted-in-Tubing Model
Using the figure above, the heat transfer mechanism by

Estimate Steam Properties conduction, convention and radiation can be modeled based
on the following considerations/assumptions.
 Heat transfer in the injection well system is at
No Yes pseudo-steady state
Output Seam  The tubing and the casing are symmetrically
Desired Result? End
Properies vertically placed
 There is no annular refluxing
Fig.3: Algorithm for Reservoir Back Pressure Analysis  The overall heat transfer coefficient is independent
on depth
If we proceed with these assumptions, the following heat 𝑂𝑣𝑒𝑟𝑎𝑙𝑙𝑡𝑒𝑚𝑝𝑒𝑟𝑎𝑡𝑢𝑟𝑒𝑑𝑖𝑓𝑓𝑒𝑟𝑒𝑛𝑐𝑒 = 𝑇𝑓 − 𝑇𝑒 (3.21)
transfer summary can be written for the Model above in Hence, the final equation for the overall heat transfer of the
Figure (4). steam injection system becomes;
 The heat transfer to the inner tubing wall due to 𝑑𝑞
= 2𝜋 𝑟𝑡𝑜 𝑈𝑡𝑜 (𝑇𝑓 − 𝑇𝑒 ) (3.22)
𝑑𝑧
steam motion is by convention
This Equation can be equated to the Ramey’s premier heat
 The heat transfer between the inner tubing wall
loss per unit length of injection path given as;
and the outer tubing wall is by conduction 𝑑𝑞𝑙 1
= 2𝜋𝑟𝑡𝑜 . (𝑇𝑓 − 𝑇𝑒 ) . (3.23)
 The heat transfer between the outer tubing wall 𝑑𝑧 𝑅𝑡𝑜
and the solid insulation (for insulated tubing) is by Where;

conduction 𝑅𝑡𝑜 = overall thermal resistance
 The heat transfer between the insulator and the During steam injection, the compensation for heat los ses is
annular space is by the annular fluid convention and basically by reducing 𝑈𝑡𝑜 as low as possible by both tubing
conduction (if there is annular fluid) and the insulator and annular insulation. If we therefore solve for 𝑈𝑡𝑜, using
radiation Equations (3.20a-f) through (3.23) it will give;
 The heat transfer between the annulus and the 𝑈𝑡𝑜 =
1
inner casing wall is by conduction 𝑟 𝑟 𝑟 𝑟 (3.24)
𝑟 𝑡𝑜 ln 𝑟𝑡𝑜 𝑟 𝑡𝑜 ln 𝑖𝑛𝑠 𝑟 𝑡𝑜 ln 𝑟𝑐𝑜 𝑟𝑡𝑜 ln ℎ
 The heat transfer between the inner casing wall 𝑟
[ 𝑡𝑜 +
𝑟 𝑡𝑖ℎ𝑓 𝑘𝑡
𝑡𝑖 +
𝑘𝑖𝑛𝑠
𝑟 𝑡𝑜
+
1
(ℎ𝑐+ℎ𝑟)
+
𝑘𝑐
𝑐𝑖 +
𝑘𝑐𝑒𝑚
𝑟 𝑐𝑜
]
and the outer casing wall is by conduction

 The heat transfer between the outer casing wall For a steel casing and tubing (or any other high conductive
metals),
and the cement bond is by conduction
𝑘𝑡 = 𝑘𝑐 ≫ 𝑘𝑖𝑛𝑠 , 𝑘𝑐𝑒𝑚 , ℎ𝑐𝑎𝑛𝑑ℎ𝑟 . Therefore, Equation
 The heat transfer between the cement bond and the
(3.24) can be simplified to the following;
adjacent formation is by conduction 1
From Equations (2.4), (2.5) and (2.6), the 1-D heat transfer 𝑈𝑡𝑜 = 𝑟 𝑟
𝑟 𝑡𝑜 ln 𝑟𝑖𝑛𝑠 𝑟 𝑡𝑜 ln𝑟 ℎ
𝑟 1
[ 𝑡𝑜 + 𝑡𝑜
+ + 𝑐𝑜 ]
Model through a hollow cylinder can be written thus; 𝑟 𝑡𝑖ℎ𝑓 𝑘𝑖𝑛𝑠 (ℎ𝑐+ℎ𝑟) 𝑘𝑐𝑒𝑚
𝑑𝑞 2𝜋𝑘
= 𝑟
( 𝑇𝑖 − 𝑇𝑜 ){𝑓𝑜𝑟ℎ𝑒𝑎𝑡𝑐𝑜𝑛𝑑𝑢𝑐𝑡𝑖𝑜𝑛 } (2.17) (3.24.a)
𝑑𝑧 𝐼𝑛( 𝑜)
𝑟𝑖
𝑑𝑞
If no insulation of the tubing , 𝑈𝑡𝑜 =
= 2𝜋𝑟𝑖 ℎ( 𝑇𝑖 − 𝑇𝑜 ){𝑓𝑜𝑟ℎ𝑒𝑎𝑡𝑐𝑜𝑛𝑣𝑒𝑛𝑡𝑖𝑜𝑛 } (2.18) 1
𝑑𝑧 𝑟 (3.24.b)
𝑑𝑞 𝑟 𝑡𝑜 1 𝑟 𝑡𝑜 ln𝑟 ℎ
= 2𝜋𝑟𝑖 ℎ𝑟 ( 𝑇𝑖 − 𝑇𝑜 ){𝑓𝑜𝑟ℎ𝑒𝑎𝑡𝑟𝑎𝑑𝑖𝑎𝑡𝑖𝑜𝑛 } (2.19) [ +
𝑟 𝑡𝑖ℎ𝑓 (ℎ𝑐+ℎ𝑟)
+
𝑘𝑐𝑒𝑚
𝑐𝑜 ]
𝑑𝑧
From the heat transfer summary, we can solve for
For no annular insulation and tubing insulation,𝑈𝑡𝑜 =
temperature differences as follows so as to define the 1
𝑟 (3.24.c)
overall heat transfer coefficient 𝑟 𝑡𝑜 ln ℎ
𝑟 1 𝑟 𝑐𝑜
[ 𝑡𝑜 + + ]
𝑑𝑞 𝑟 𝑡𝑖ℎ𝑓 ℎ𝑟 𝑘𝑐𝑒𝑚
( )
𝑇𝑓 − 𝑇𝑡𝑖 = 𝑑𝑧 ⁄2𝜋𝑟 ℎ (3.20a) The terms, ℎ𝑐 and ℎ𝑟 can be evaluated independently based
𝑡𝑖 𝑠
𝑑𝑞
( ) on empirical correlations/ charts for the different choice of
𝑑𝑧 ⁄ 𝑟𝑡𝑜
𝑇𝑡𝑖 − 𝑇𝑡𝑜 = ( 2𝜋 𝑘𝑡 ) . 𝐼𝑛 [ 𝑟𝑡𝑖] (3.20b) insulation material as presented in Fidan (2011) studies.
Also using PROSPER wellbore simulator by selecting
𝑑𝑞
( ) 𝑟 Enthalpy Balancing Model, the overall heat transfer of the
𝑇𝑡𝑜 − 𝑇𝑖𝑛𝑠 = ( 𝑑𝑧 ⁄2𝜋𝑘 ) . 𝐼𝑛 [ 𝑖𝑛𝑠] (For insulated
𝑖𝑛𝑠 𝑟𝑡𝑜 injection well can be calculated if there is adequate data for
tubing) (3.20c) formation lithology and the completion status .
( )
𝑑𝑞 For the purpose of this study, in order to numerically
𝑇𝑖𝑛𝑠 − 𝑇𝑐𝑖 = 𝑑𝑧 ⁄2𝜋𝑟 (ℎ + ℎ ) (3.20d) analyze the impact of injection well completion, a
𝑖𝑛 𝑠 𝑐 𝑟
𝑑𝑞
sensitivity test was run for known values of overall heat
( ) 𝑟𝑐𝑜 transfer coefficient.
𝑑𝑧 ⁄
𝑇𝑐𝑖 − 𝑇𝑐𝑜 = ( 2𝜋𝑘𝑐 ) . 𝐼𝑛 [𝑟𝑐𝑖 ] (3.20e)
𝑑𝑞
( ) 𝑟
𝑇𝑐𝑜 − 𝑇𝑒 = ( 𝑑𝑧 ⁄2𝜋 𝑘 ) . 𝐼𝑛 [ ℎ ] (3.20f)
𝑐𝑒𝑚 𝑟𝑐𝑜
Using the Equations (3.26a-f), the overall temperature

difference becomes
0 0
Uto=5Btu/hr/squft/F,T=700F Uto=5Btu/hr/squft/F,T=600F
-200 Uto=8Btu/hr/squft/F,T=700F -200 Uto=8Btu/hr/squft/F,T=600F
3. Study Simulation Methodology -400 -400
-600 -600
Input Steam/ Injection Well
Data
Ft
Ft
-800 -800
Depth,
Depth,
-1000 -1000
PROSPER
(Wellbore Simulator)
-1200 -1200
-1400 -1400
Output Steam Properties at -1600 -1600

Solution Node = Bottomhole
-1800 -1800
82 84 86 88 90 92 94 96 98 100 70 75 80 85 90 95 100
Steam Quality, SQ Steam Quality, SQ
Input Solution Node Data Input Other (a) Injection Temp=700 0 F (b) Injection Temp=600 0 F
= Injection Well Control Reservoir Data Figure 6: Steam Quality Gradient at Different Injection
Temperature and Uto
0 0
Uto=5Btu/hr/squft/F,T=700F Uto=5Btu/hr/squft/F,T=600F
ECLIPSE -200 Uto=8Btu/hr/squft/F,T=700F -200 Uto=8Btu/hr/squft/F,T=600F
(Reservoir Simulator)
-400 -400
-600 -600
Depth, Ft
-800 -800
No
Yes -1000 -1000
Desired Output Result? Output Results
-1200 -1200
Fig. 5: Simulation Flow Chart -1400 -1400
-1600 -1600
III. MODEL RESULTS AND DISCUSSIONS
The analysis of steam injection starts with the specification -1800 -1800
550 600 650 700 540 560 580 600
of the input steam data and then the injection well
Temperature, degF
configuration. A special consideration was made for
injecting at the same tempeerature and different overall heat (a) Injection Temp=700 0 F (b) Injection Temp=700 0 F
transfer coefficient and injecting at the same overall heat Fig.7: Steam Temperature Gradient at Different Injection
transfer coefficient and different temperatures. Temperature and Uto
Based on the specified data of the input steam and the
injection well configuration used in this study, the steam From the figuers above, it can be noted that though
data generated at a pressure of 1100psiwas presented in Fig temperature of 7000 F gave a good SQ but in as much as a
6 and Fig 7. sufficient steam quality can be generated, it will be more

economical to consider injecting at 6000 F. The differences
in the Overall heat transfer coefficeint was used to analyse Table.1: SQ Vs Depth at Different Reservoir Pressure (RBP
the possible necessity of insulating the wellbore or Sensitivity Analysis)
improving the insulation efficiency. Using this as a design SQ
SQ @ SQ @ SQ @
guide shows that an overall heat transfer coefficient of DEPTH SQ @ @
𝝃𝑷 𝝃𝑷 𝝃𝑷
8Btu/hr/Ft2/ 0 F can be adequate for this operation since it (ft) 𝝃𝑷 = 𝟏 𝝃
= 𝟏. 𝟏𝟒𝟐𝟗 = 𝟏. 𝟐𝟖𝟓𝟕 = 𝟏. 𝟒𝟐𝟖𝟔 𝑷
= 𝟏. 𝟓𝟕𝟏𝟒
gave a sufficient SQ used to specify the Injection well
0 100 100 100 100 100
control of the ECLIPSE programme.
250 100 100 100 100 100
Steam Pressure profile for Uto=5Btu/hr/ft2/F,T=700F
Steam Enthalpy for Uto=5Btu/hr/ft2/F,T=700F
Steam Pressure profile for Uto=5Btu/hr/squft/F,T=600F 500 100 100 100 100 100
Steam Enthalpy for Uto=5Btu/hr/squft/F,T=600F
Steam Pressure profile for Uto=8Btu/hr/ft2/F,T=700F
Steam Pressure profile for Uto=8Btu/hr/squft/F,T=600F
750 100 100 100 100 100
Steam Enthalpy for Uto=8Btu/hr/ft2/F,T=700F
0
0
Steam Enthalpy for Uto=8Btu/hr/squft/F,T=600F 1000 100 100 100 100 100
1250 100 100 100 98.22 94.96
-200
-200 1500 100 99.3 97.07 94.14 90.22
-400
1750 98.22 96.14 93.51 90.07 85.51
-400
2000 95.37 92.98 89.96 86.02 80.8
-600
-600
2233.3 92.75 90.08 86.69 82.3 76.42
2466.7 90.22 87.25 83.5 78.65 72.1
-800 -800 2700 87.75 84.5 80.4 75.05 67.82
Depth, ft
2933.3 85.35 81.81 77.36 71.5 63.6

-1000 -1000
3166.6 83.02 79.22 74.37 67.99 59.41
-1200 -1200
3400 80.75 76.68 71.41 64.51 55.26
3633.3 78.57 74.18 68.5 61.09 51.14
-1400 -1400 3866.6 76.43 71.72 65.62 57.7 47.05
4100 74.33 69.3 62.78 54.34 42.99
-1600 -1600
4333.3 72.28 66.91 59.98 51.01 38.96
-1800 -1800
4566.6 70.26 64.56 57.21 47.71 34.94
1050 1100 1150 1200 1250 1300 1040 1060 1080 1100 1120 1140 1160 1180 1200 1220
Pressure, psi and Enthalpy, Btu/hr 4800 68.27 62.24 54.48 44.4 30.94
4900 65.91 59.5 51.28 40.66 26.38
(a) Injection Temp=700 0 F (b) Injection 5000 63.57 56.79 48.11 36.9 21.8
0
Temp=600 F
Fig.8: Steam Pressure and Enthalpy Gradients Liqui
NOTE d
Well Liquid Liquid Liquid Liquid Rate
1.
Reservoir Back Pressure (RBP) Sensitivity head Rate Rate Rate Rate
Analysis Constrain @RBP @RBP= @RBP= @RBP= @RB
A major limitation to classical wellbore SQ analysis is total ts =0Psig 200Psig 400Psig 600Psig P=
neglect of the effect of reservoir back pressure on the steam =1400Psi 800P
injection rate and consequently the SQ. The result in Table g, 7000F sig
(1) is a sensitivity study performed with a 5000ft steam and 1217.
Uto=5Bt 1996.4 1801.7 1607.1 1412.4 8
injector where the impact of reservoir back pressure is more
u/hr/ft2/F S TB/d S TB/d S TB/d S TB/d S TB/
pronounced. Hence, it was observed that the reservoir back
pressure causes a significant constraint to the injection rate d
with a resultant significant SQ drop. Therefore, an optimal
performance of steam injection design will require a
negligible reservoir pressure. The phenomenon of RBP is
also graphically illustrated in Figure (9) using a simple
MATLAB multiple plot tool.

0
RBP=0psi
RBP=200psi
-500 RBP=400psi
RBP=600psi
RBP=800psi
-1000
-1500
-2000
Depth, Ft
-2500
-3000
-3500
-4000
-4500
-5000
20 30 40 50 60 70 80 90 100 Fig.11: Field Presure History for the 10yrs injection
Steam Quality,SQ
Period
Fig.9: Reservoir Back Pressure Sensitivity
3. Field Pressure Response
The Figure 11 above displays the pressure response of the
2. Reservoir Grid Definition
steam injection from an initial datum depth pressure of
Reservoir X is a 9x5x4 reservoir with active cells specified
75psi to a stablized pressure of about 1090psi which shows
in X-Y plane. There are Three wells - an injector at (1,1)
that steam does not just add thermal energy to the reservoir,
and two producers at (5,5) and (9,1) respectively with
hence, it also provides a water drive to the reservoir thereby
different transmissibities at each Z-layer. An injection
aiding the area sweep efficiency.
design was specified for 10 years injection and a timestep
4. Field Heat Loss Rate (FHLR) and Heat Loss
of 365 days for selected for analysis.
Total (FHLT)
When steam is finally introduced into the reservoir at a
particular SQ, the efficiency of the heavy oil displacement
will be characterized by the rate of heat loss throughout the
injection-period.
Figure 12-(a): Field Heat Loss Rate
Figure 12-(b): Field Heat Loss Total.
Figure 1(a) shows the simulated field rate of heat loss

behavoiur. It can be clearly seen that the FHLR increses at
the initial period of injection of about 2years (700days) of
injection before a decline in the FHLR. This is because at
earlier stage of injection, the rate of heat conduction to the
overlaying formation is high and it is propagated similarily
as a pressure transient. Hence, more heat is needed to warm
up the reservoir than to keep it at a stablized temperature.
This is more clearly illustrated in Figure 12(b) which shows
Fig.10: Reservoir Grid Layerout in 3-D that at a later stage of the injection, FHLT becomes near
constant. The resulting field temperature profile during the
periods of injection is shown in Figures 13(a) to 13(c).

Fig,13(a): Field Temperature Profile Before Steam

Injection (125 0 F)
Fig 13(b) shows that after 1yr of injection both PROD1 and
PROD2 has not been adequately heated up while after 2yrs,
PROD1 has been well affected by the steam injection while
PROD2 remains slighly affected as shown in Fig 13(c).
Fig.13: (b) Field Temp. Profile after 1 yr (c) Field Temp.
This is because PROD1 is closer to the INJ1 since heat
Profile after 2 yrs
distribution is both time and space dependent.
5. Field WaterProduction and Field Oil Production
Analysis
A comon experience with steam injection project is the
increased water cut as the water-oil front changes with time
and space and therefore tends to the producers. As a result
of excessive turbulence in the reservoir caus ed by the
injection, the condensed steam in the hot water zone are
produced along with the heated oil bank. Henec, water
production/water cut increases with time. A good advantage
of this process is that it results to a secondary water drive
mechanism that effects the sweeping of the heated oil bank.
Figures 14(a) to 14(c) shows the field water production
profile and the individual contibutions of the two
producers-PROD1 and PROD2.
Fig.14(a): Field Water Production Rates

Fig.14(b): Field Water Production Rate (PROD1)

Fig.14(c): (PROD2) (a) PROD1 (b) PROD2
Fig.15: Well Water Cut History
A similar analysis of Field Water cut is shown in Figures
15(a) to 15(c). It is observed that PROD1 responds faster to A comparative Analysis of Field Oil Production Rate-Field
water cut than PROD2 which responds slower. This can be Water Production Rate and Field Oil Production Total-
attribited to the differences in the location of the Producers Field Water Production Total are given in Figures 16(a) and
with respect to the Injectors. The steam front during 16(b). The plots shows that as water production rate
injection reaches PROD1 earleir than PROD2. The increases, oil production Rate decreases. The Figure 16(b)
implication of this as illustrated in the simulation results is precisely displays a saturation rate growth model and a near
that subsequently at a much later period, the PROD1will be linear relationship for the oil production and water
dominated by hot water zone. productions Total(s) of the injection period respectively.
Fig.15(a): Field Water Cut History
Fig.16(a): (i) Field Oil Production Rate

(ii) Field Water Production Rate

producers. The counter result of this process is the increase
in water saturation. Figure 17(a) shows the oil saturation
history of the reservoir for 1year (365 days), 5years (1825
days) and 3years (3650days) of injection respectively.
In the literature review, it was clearly stated that steam
injection activates solution gas drive in the reservoir system
and also improves the quality of the produced oil by
thermal distillation. Hence, steam injection increases the
gas saturation as the input thermal energy of the steam
helps to liberate the light gas molecules in solution. The
economic benefit of this is that recovery by thermal
methods upgrades the API gravity of the in-situ oil. Figure
(17) shows the oil saturation history while the
corresponding gas saturation history of the reservoir is
shown in Figure (18).
Fig.16(b): (i) Field Oil Production Total

(ii) Field Water Production Total
6. Effect of Steam Injection on Oil and Gas

Saturations
Steam injection like water injection causes the in-situ oil
saturation to vary with both time and space as the steam
front propagates along the reservoir grid cells towards the
365 Days 1825 Days 3650 Days
(a) (b) (c)

Fig.17: Field Oil Saturation History

365 Days 1825 Days 3650 Days
(a) (b) (c)

Fig.18: Field Gas Saturation History
IV. CONCLUSION 1. Recommendati ons

This study presents an integrated steam injection Model The efficiency of steam injection is basically dependent on
needed for the complete optimization of the steam injection the effective SQ generated. To generate a high SQ
project. The study frame work incorporates a well computer especially in relatively deep wells, the only option has been
simulator known as PROSPER (An IPM Suit Product) and to effectively thermally insulate the tubing and the annulus
a reservoir simulator known as ECLIPSE (Eclispse300) for which will make the steam injection project a non-attractive
the analysis. Thus, the optimal use of the injected fluid was venture because of the increased cost of insulatio n. To
archived since a semi-iterative procedure can be used for compensate for this, a consideration can be made for
data convergence as shown in simulation flow chart. sourcing the insulation materials locally using the materials
The steam properties predicted with this study shows that in the table below:
higher SQ will be generated at higher injection Pressure Table.2: The Thermal Conductivities of Some Locally
and Temperature and at lower overall heat transfer Sourced Insulation Materials
coefficient. Material Thermal Thermal
By adequately reviewing, formulating and analysing the Conductivity Conductivity
basic analytics behind the steam injection mechanism, the (W/m k) (Btu/Ft 0 F)
impact of reservoir back pressure on the SQ and Shredded 0.17 0.1115
consequently the injection rate was numerically quantified Asbestos
using a 5000ft case study well at a constant injection well Sheets
head constraint. The results showed that a most efficient Dry Ash 0.12 0.078744
steam injection will be achieved at the lowest reservoir Cork, Felt 0.05-0.10 0.0328 -
initial pressure. 0.0.06562
The various sensitivity results generated with ECLIPSE Freon 0.0083 0.0054465
showed that production well spacing relative to the injector
have a critical effect on the area sweep efficiency of the Moreover, the difficulty involved in integrating two unique
injected steam especially in the early stage of injection and simulators made the study more tedious. Based on this, the
hence optimal well spacing should also form the basic study only forms a framework of a future integrated steam
development criteria for a given field. injection simulator which can be more efficient. Hence, this

research work welcomes any idea on the development of a [11] Farouq, S. M. (1981). A Comprehensive Wellbore
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35.

Comparative Study between Budget and Real

Cost Obtained: Case Study at a construction
company in Canaa dos Carajás-PA
Antônio Miranda Coelho Neto 1, José Djair Casado de Assis Junior 2, Angelo
Ricardo Balduino 3.
1 Department of Civil and Environmental Enginnering, Tocantinense Institute President Antonio Carlos, Porto Nacional, BRA
Email: mirandacanaa@hotmail.com
2 Department of Architecture of Urbanismo, Tocantinense Institute President A ntonio Carlos, Porto Nacional, BRA Email:
djairjunior@gmail.co m
3 Department of Environmental Sciences, Federal Institute of Tocantins, Porto Nacional, BRA Email: angelo@ifto.edu.br
Abstract— The budget is a tool of extreme importance in expenses, investments, as well as compare the expected
construction. It is from this that a cost forecast is results with those actually carried out and mainly, should
obtained. In this way, this work had as objective to determine the operations that will be performed. It should
compare analytical budget with real cost obtained in the also establish and coordinate objectives so that all areas
construction of a public nursery school held Construtora of the work are covered, addressing all its dimensions
Monteiro & Pereira Ltda. For its development, it was (ROCHA, 2013).
used as methodology the analysis of budgetary Cardoso (2013) presents some basic and obligatory
worksheets and descriptive memorials that referred to the characteristics of the budget, where these characteristics
budgeting of the construction of a public nursery school. are expressed in Law Nº 8.661 / 93, these being: The
The results showed that the budget developed by the indication of the global cost of the work - shown in an
developer clearly showed the services and their estimation spreadsheet must describe all values of the
respective costs, where they were detailed in a clear and direct and indirect costs, and profit. Presentation of the
precise way. At the end it was concluded that although composition of the unit costs that comprise the final price
the result was satisfactory, it was verified that there was - the unit costs should be presented which must
an increase in the real cost of the work because the fixed correspond to the prices available on the market. From the
costs incur changes in values, as the employees were adequacy of the spreadsheet quantitative to the basic
admitted and / or fired. project - where all the work to be executed must be
Keywords— Analytical Budget, Real cost, Reliability. indicated, discriminating it, quantifying and valuing the
budget spreadsheets.
I. INTRODUCTION The elaboration of the budget, according to Mattos
This study proposed to analyze the budget spreadsheet (2014), comprises three stages, being these: study of the
developed by a construction company located in the city conditioners, composition of costs and determination of
of Canaã dos Carajás-PA in order to make a comparative the price.
analysis between budget and actual cost obtained. The study of the constraint helps in the identification of
The budget is a business planning tool that has the conditions of the work through the study of the project
information on estimated revenues and estimated that is carried by floor plans, cuts s een, clarifying notes,
expenses that aims to control the necessary activities for among others. In the study of the constraints, the budget
the services provided by the company, where its should also analyze the qualitative description of the
elaboration starts before the beginning of the work, and materials, finishing pattern, dimensional tolerances of the
its preparation must follow certain criteria regarding the structural elements and pipes, among others (TISAKA,
composition of costs so that there are no uncertain 2006).
considerations that affect the efficient decision of the In the composition of the costs it is important to have
company (SANTOS, SILVA and OLIVEIRA, 2012). knowledge of the materials, labor, social charges and the
The budget should encompass all activities of the BDI1. For the composition of the costs it is necessary first
company, establish relationships between revenues, costs, to identify all the services pertinent to the work,

quantifying each service. It is through the composition of the pavement of a kindergarten school built of masonry,
the costs that the profitability is analyzed, as well as it is reinforced concrete, mortar coating, metallic cover, fiber
possible to establish the selling price and the BDI cement tile.
(BACKER; JACOBSEN, 2012). In accordance with this analysis of the spreadsheets, a
In social and labor costs, the same is defined by the bibliographic review was also carried out in order to
percentage applied in the labor force, involving taxes that obtain a theoretical and substantial basis for the results
affect the hour worked and the benefits that workers are obtained and consequently the discussion of these results.
entitled to that are paid by the employer (GOLDMAN,
2014). III. RESULTS AND DISCUSSIONS
The BDI is the percentage related to all indirect expenses, The work, object of this study, is characterized in Table
which will reach the direct costs, where, in the budget, it 01. Its conclusion and delivery took place on April 17,
is determined that unit sales prices are linked to all the 2017.
charges that bind the services that will be executed. Table.1: Characterization of the work
Among the various projects that can be carried out, the Total construction 979,02 M²
indirect cost is altered by the fact that it varies according area
to its location, the requirements that the work requires, as Nº Floors 01
well as the type of work to be performed Place of work Canaã dos Carajás-PA
(DIEFENTHÄLER, 2016). Structure Structure Reinforced
Thus, the present study aimed to develop a research concrete
focused on the budget study and the real cost obtained, Walls Solid ceramic bricks
since from forecasts, the budget generates estimates used 5,7x9x19cm
in the enterprise to meet the demands necessary for its Roofing Metallic structure and tile
execution, giving conditions for the evaluate the results E=8mm
that can be achieved. Installations Hydrosanitary facilities;
In this way a problematic guided the present study, where Electrical installations
it was based on knowing how the budget of the work of a Purpose of Construction of a
kindergarten in the public network was realized and how construction children's school
this budget worked the cost to realize the work? Contractor City Hall
To target better the study, it was aimed to compare Value of the Bid R$: 2.044.712,15
analytical budget with real cost obtained in the Start Date May de 2016
construction of a public school nursery conducted by End date 17 de April de 2017
Construction company X.
The analytical structure of the analyzed construction’s
II. MATERIAL AND METHODS budget was elaborated in the execution and control of the
This study used as a methodology the analysis of budget activities. The activities are open in the same manner both
spreadsheets and descriptive memorials that referred to for planning and budget. Chart 1 shows how was divided
the budgeting of the construction of a public kindergarten the budget of the analyzed construction, as well as
school. presenting an average percentage representatively of each
The sample of the study was composed of the budget budget group, where this budget is defined as basis in the
spreadsheets referring to a work that is a construction of average of budgeted costs.

Chart.1: Analytical structure of the budget
In this demonstration is possible to visualize only the spreadsheet. The demonstration above shows the manner
analytical structure of the “construction cost”. It is which these services and their respective costs were
important to emphasize that the technical documents described in a detailed way. With this regard, Soares
extracted on Monteiro & Pereira Construction Company (2016) states that the budget for civil construction works
were considered, among those: spreadsheet of and the survey of service quantities, their respective unit
quantitative and prices, physical-financial schedule, prices and the global price of the investment must be well
spreadsheets of cash flow, spreadsheet of payment detailed with the following specifications in the
receipts, spreadsheet of payments made for suppliers and spreadsheet: description of the services with their
service providers. respective units of measurements and quantities,
It was observed that the budget spreadsheet was divided composition of unit prices involving staff and material,
between construction steps. Hermani; Daré (2014, p.2) unit price of each service and preferentially the total price
predict: “Generally, the detailed budget is subdivided in by item, and, finally, the global price of the construction
services, or groups of services, facilitating the partial work.
costs determination”. Chart 2 shows a part of the services It was specified the planned budget, percentage between
specifications, with the execution steps and the respective the cost of the construction work without the BDI and the
costs. cost with the BDI, as illustrated in the chart below.
It is important to emphasize that every service process
with their respective costs were placed in the Excel

Table.2: Description of the services specifications in steps and its respective costs
Graph.1: Difference between the construction work cost without the BDI and the Construction Cost with the BDI.
When analyzing the chart below, it is possible to verify that the unit sale prices are interconnected to every cost
that that BDI is responsible for 17% of the total value of related to the services about to be executed”.
the construction work, which means that the value was R$ It is verified that the researched construction company
420.764,89. For Diefenthaler (2016, p.23) the BDI is the follows the parameters indicated for the elaboration of the
“percentage related to indirect expenses, which will lead budget spreadsheet of the construction work, where this
to the direct costs, because in the budget it is determined spreadsheet makes possible the execution of the services,

minimizing the risks of executing a work that is not in construction work to be finished in 210 days, as shown in
agreement with what was budgeted. the figure below.
As for the physical financial schedule of the construction
work, it was elaborated with an execution planning for the
Table.3: Physical Financial Schedule of the construction work of a public kindergarten school.
It is observed that the construction company, in Regarding the physical financial schedule, Tisaka (2011:
accomplishing the physical financial schedule of the 53) states that: "Graphic representation of the
work, performed the monitoring of the costs each month, development of the services to be executed over the
based on the physical planning of the work. In preparing duration of the work, demonstrating in each period the
the physical financial schedule, the construction company physical percentage to be executed and the respective
ensures that the actions established are performed in order financial value involved ".
to meet the execution goals of each service. As can be Although the construction company was able to comply
seen, the schedule shows the stages of execution of the with the pre-established deadlines, it was verified that the
work and the estimate of the term from the beginning final budget was lower than the real cost of the
established through the order of service until completion construction work, as shown in the chart below.
and final delivery.

Graph.2: Demonstration the budgeted value with the real cost obtained in the execution of the construction work.
According to the precepts of the NPC - 17 of NPC - elaborated by the construction company, it was concluded
Accounting Standards and Procedures of IBRACON - that the objective was to carry out the survey of the costs
Brazilian Institute of Accounting, costs of production are that were used for the execution of the work, where it was
considered all the expenses included in the process of demonstrated, through a preliminary study, the estimation
obtaining goods and services in contracts for construction of the values that correlate with the quantities of materials
works. and processes necessary for the execution of the work,
The Normative Instruction IN-003/05 from the INSS which in this case was a kindergarten school of one
considers as cost all expenses incurred in a contract for pavement.
construction works and services launched at the "Center For the development of the budget, the construction
of Costs" of the work in the general accounting of the company carried out a price survey of all the in puts,
company, according to previous registration in the "CEI - characterizing the composition of the costs, which
Specific register of the INSS”. provided an analytical and detailed budget, where the
Thus, in order to produce a scale of magnitude, according construction company managed to reduce the degree of
to figures obtained with the company, the analytical uncertainty for the decision making and execution of the
structure related only to the cost of construction project.
represents approximately 40% of all costs involved in the During the analysis of all the material made available by
business. It is an estimative, because as the total cost the construction company to carry out the present study, it
involves fixed costs of the central administration, these was possible to conclude that the analytical budget
costs are constantly changing, as employees are admitted developed resulted in the reliability of the presented
or fired. value, since the construction company considered all the
As previously stated, the completion of the construction resources and variables measured by direct cost and
work was done on April 17, 2017. When analyzing the indirect costs plus BDI, thus forming the final price of the
budget spreadsheets developed by the construction work, which demonstrated a satisfactory result. Although
company, it was verified that the work is related to the the result was satisfactory, it was verified that there was
physical schedule and the contractual deadline, where the an increase in the real cost of the work because the fixed
company was able to fulfill all the steps as planned and costs incur changes in values, as employees were
deliver the work within the specified time, but with an admitted and/or fired.
increase in the real cost of 5% of the budgeted amount.
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the civil construction as instrument for participation
in bidding process. Universitário @ - Scientific
Journal of Unisalesiano - Lins - SP, year 3., n.7, jul /
dez 2012. Available at: http://www.salesianolins.br
/university/artigos/no7/artigo25.pdf. Accessed on: 05
Sep. 2018
[9] SOARES, Douglas Leonardi. Analysis of cost
variations between budgeted and executed in civil
construction works of a company of Porto Alegre.
Monography (Undergraduate) presented to the
Federal University of Rio Grande do Sul. 2016.
Available at:
https://lume.ufrgs.br/handle/10183/148661. Accessed
on: Oct 16, 2018
[10] TISAKA, Maçahiko. Budget in Civil Construction:
Consulting, Project and Execution. 1. ed. São Paulo:
Pini, 2006 ____________. Budget in civil
construction: Consulting, project and execution, 2.
ed. São Paulo: Pini, 2011

Antimicrobial activity of per acetic acid for

trans-operative disinfection of endodontic files
Shirley de Souza Pinto 1, Renata Ximenes Lins2,Marilia Fagury Videira
Marceliano-Alves3, Aurimar de Oliveira Andrade4,Sandra Rivera
Fidel5,David Williams6,Ana Paula Feriani Guarnier7,Luciana Moura
Sassone8,Raphael Hirata Junior9
1 PhD in Endodontics, School of Dentistry, Federal Fluminense University, Niterói, Brazil. Emal:shirleysp30@g mail.co m
2 PhD in Endodontics, Postgraduate Program in Dentistry, Health Institute of Nova Friburgo, Fluminense Federal University,
Nova Friburgo, Rio de Janeiro, Brazil. Email: rxlins@hotmail.co m
3 PhD in Endodontics, Department of Endodontics , Estácio de Sá University, Rio de Janeiro, Brazil. Email:
mmarceliano@hotmail.co m
4 PhD in Endodontics, São JoséUniversity, Rio de Janeiro, Brazil. Emal:aurimarandrade@globo.com
5 PhD in Endodontics, ProclinDepartment, Rio de Janeiro StateUniversity, Rio de Janeiro,
Brazil.Emal:sandrafidel@g mail.co m
6 School of Dentistry, Cardiff University, Cardiff, United Kingdom.Emal:Williamsdd@cardiff.ac.u k
7 Department of Microbiology, Immunology and Parasitology, School of Medical Science, Rio de Janeiro State University,
Rio de Janeiro, Brazil.Emal:apfguarnier@g mail.co m

8 PhD in Endodontics,ProclinDepartment, Rio de Janeiro StateUniversity, Rio de Janeiro,
Brazil.Emal:lucianasassone@gmail.com
9 PhD in Microbiology, Department of Microbiology, Immunology and Parasitology, School of Medical Science, Rio de
Janeiro State University, Rio de Janeiro, Brazil.Emal:rhiratajunior@g mail.co m
Abstract— Reducing the accumulation of microorganisms exposure to acetone. Testing disinfection of endodontic K-
on an endodontic file during endodontic treatment is files, previously coated with dental debris containing E.
important to limit recontamination of the root canal and faecalis, it was found that PA (2%) completely killed E.
increase likelihood of successful treatment outcome. faecalis after 15 s exposure. However, even after 30 s
Objective: To compare the antimicrobial activity of exposure, isopropyl alcohol (80%) and acetone (80%)
peracetic acid (PA), isopropyl alcohol and acetone had limited disinfecting activity. Conclusion:
against a range of bacteria and also for disinfection of Extrapolation of these results to clinical practice would
contaminated endodontic K-files. Material and Methods: suggest that PA would be the most effective agent for
Antimicrobial activities of PA, isopropyl alcohol and trans-operative disinfection of endodontic K-files during
acetone were compared against Staphylococcus aureus, treatment of a single patient.
Enterococcus faecalis, Escherichia coli, Pseudomonas Keywords— Antimicrobial activity, biofilms, dental
aeruginosa, vancomycin resistant E. faecalis (VRE) and therapy, disinfectants, peracetic acid.
meticillin resistant S. aureus (MRSA), using minimum
bactericidal concentration (MBC) and time-kill assays. I. INTRODUCTION
Test solutions at different exposure times (15 s and 30 s) It is well established that bacteria and their by-products
were assessed for treatment of endodontic files acting as are important factors in the development of pulp and
carriers of E. faecalis-contaminated dental debris. periradicular pathogenesis [1]. Therefore, an essential
Results: All bacteria were susceptible to PA (MBC range component of endodontic treatment is the elimination of
0.25-1%), acetone (MBC range 50-60%) and isopropyl bacteria from the root canal system. This can be achieved
alcohol (30-40%). Using a time-kill assay of the by using chemical or mechanical procedures [2-4]
antimicrobials at the determined MBC, all test Appliances used in endodontic treatment are either ‘single
microorganisms, with the exception of E. faecalis (VRE) use’ or can be reused following sterilization by
7766 were killed after 15 s exposure. In the case of E. autoclaving (actual approaches used differ between
faecalis 7766, viable cells remained detectable after 120 s countries)[5, 6]. As such, cross infection between patients

is not possible from the appliances used. However, during water) were then added to the bacterial suspensions for
the single treatment of an individual patient, inadvertent 120s. Sterile water was included in place of an
reinfection of the root canal over this treatment may occur antimicrobial as a negative control. A 100-µL volume of
from the instrument being used7. During endodontic double strength tryptone sodium chloride (TSC; 1g/L
therapy, 2% chlorhexidine and 5% sodium hypochlorite Tryptone (Difco), sodium chloride (Merck) 8.5g/L) was
(NaOCl) are frequently used irrigants to kill the then added as a neutralizingagent, bacterial viability was
microbiota present in the root canal system3. However, then determined by plating 10 µL portions of serial
the cleansing and disinfection of instruments during decimally diluted preparations in TSC on to an
single endodontic sessions, remains a matter of appropriate agar media and incubating for 24-48 h at
concern,[5,6,8-10] as many of the approaches used are 37oC.
ineffective for removal of biological debris6. During The bacteria were cultured on Trypticase Soy Agar (TSA;
single endodontic therapy, residual material can Difco Laboratories) at 37°C for 24 h according to a
accumulate on the working surface of an endodontic method of the British Standards Institution (BS EN
instrument and maintenance of effective instrument 1276)[14]. Antimicrobial efficacy of isopropyl alcohol,
disinfection during the treatment session is an important acetone and PA (at the previously determined MBC) was
consideration[8,9]. measured after 15, 60 and 120 s exposure at room
Peracetic acid (PA) is a recognized disinfectant that temperature (~25oC). Briefly, 1 mL of bacterial
exhibits antibacterial, sporicidal, antifungal and antiviral suspension (at an OD660nm=0.5) was centrifuged in
properties. PA also lacks persistent toxic properties and microtubes and the pellet resuspended in 1 mL of test
does not generate mutagenic residuals or by-products disinfectant or sterile water (control). After appropriate
[10]. Having a broad-spectrum activity, even in the contact time (15 s, 60 s or 120 s), 20 μL aliquots of the
presence of heterogeneous organic matter, PA has suspension were transferred to 1.98 mL of TSC, which
previously been suggested for use as a sanitizing agent for served as a neutralizing agent. After serial dilution in
gutta-percha cone disinfection[11], for endodontic TSC, microbial suspensions were plated on to TSA and
irrigation[12], and also for smear layer removal in the incubated at 37°C for 24 h. The number of CFU/mL was
root canal [13]. then determined for the test microorganisms.
The primary aim of this study was to evaluate and The antimicrobial activity of isopropyl alcohol, acetone
compare the antimicrobial activity of PA, isopropyl and peracetic acid on K-files contaminated with E.
alcohol (isopropanol) and acetone (propanone) against a faecalis biofilms: Antimicrobial activities of test solutions
range of bacteria and also for the disinfection of (80% acetone, 80% isopropyl alcohol, and 2% PA) at
contaminated endodontic K-files. different exposure times (15 and 30 s) were examined for
endodontic files acting as carriers of E. faecalis-
II. MATERIAL AND METHODS contaminated dental debris. Briefly, in vitro coronal
Test solutions used were 2% peracetic acid (PA) access was performed to expose the root canal system of
(SekuseptTMAktiv - Henkel AG & Co. KGaA, healthy teeth that had previously been extracted for
Düsseldorf, DE), acetone (>97%) and isopropyl orthodontic purpose (the study protocol was approved by
alcohol/isopropanol (>98%). Acetone and isopropyl the Institutional Ethics Committee from Rio de Janeiro
alcohol were obtained from Merck (Darmstadt, DE). State University – Brazil – Authorization 051-2009). The
The microorganisms tested included Staphylococcus exposed tooth chamber was then placed inside a test tube
aureus (ATCC 25923), Enterococcus faecalis (ATCC containing 3 mL of TSB, and the preparation sterilized by
29212), Escherichia coli (ATCC 25922), Pseudomonas autoclaving. Enterococcus faecalis ATCC 29212
aeruginosa (ATCC 27853) and vancomycin resistant E. (OD660nm=0.5, 100-µL) was inoculated into the test
faecalis (VRE) 7766, E. faecalis (VRE) 7767, meticillin tubes to generate a biofilm on the dentinal surfaces [15].
resistant S. aureus (MRSA) 5963 and MRSA 6784. Non- The preparation was incubated for 14 days with changes
ATCC strains originated from clinical samples. of TSB medium every 24 h to maintain biofilm growth.
The Minimal bactericidal concentration (MBC) of The teeth were then removed from the broths and the pulp
isopropyl alcohol, acetone and PA was initially chamber sealed with ColtosolTM
determined. Briefly, standardized bacterial suspensions (Coltene/WhaledentTM, New Jersey, USA). Teeth were
(OD680nm=0.1; 107 to 108 cell/mL) were generated in immersed in a 5.25% NaOCl solution for 2 min to
Trypticase Soy Broth (TSB) and 5 µL of these eliminate external contamination. The NaOCl was then
preparations transferred to sterile tubes. Aliquots (100 neutralized using 10% sterile sodium thiosulphate
µL) of isopropyl alcohol (concentration range 20% to solution for 2 min. The temporary coronal filling material
90% in water), acetone (concentration range 20% to 90% was removed and K-endodontic files (#30K-type files, 21
in water), or PA (concentration range 0.125% to 2% in mm long) were introduced into the contaminated root
canals with a filing motion until the flutes were visibly Table.2: Disinfectant activity (time kill assay) after
filled with dental debris. One group of K-files (n=30), exposure to acetone (97%), isopropyl alcohol (98%) and
with freshly removed biofilm (wet group) were peracetic acid (2%).
immediately exposed to test antimicrobials in petri dishes
(n=10 for each chemical test solution). For each chemical,
the K-files were further divided into two groups of 5,
being exposed to the agent at either 15 s or 30s. A second
group (dehydrated) of K-files (n=30) were tested in the
same manner, but these files were initially dried within a
laminar flow chamber for 10 min prior to exposure to
chemical agents. All files were transferred to test tubes
containing Enterococcosel broth (BBL, Becton &
Dickinson, Oxford, UK) and incubated for 48 h at 37oC,
after which, bacterial growth was evident as a black
precipitate within the medium. Controls were
contaminated files exposed to saline and sterile files
immediately immersed into test tubes containing
Enterococcosel broth.
III. RESULTS
The MBCs for isopropyl alcohol, acetone and peracetic Experiments using sessile E. faecalis grown on dentinal
acid are presented in Table 1. Antimicrobial susceptibility surfaces and transferred to the flutes of K-endodontic files
to the chemical agents varied for the bacterial species. were undertaken to establish the antimicrobial activity of
Enterococci were more resistant to acetone than other the test chemicals under conditions closer to those
groups of microorganisms, with P. aeruginosa ATCC encountered in the clinical environment. These studies
27853 and MRSA 6784 found to be the most susceptible showed that 15 s or 30 s exposure to both isopropyl
to isopropyl alcohol, and VRE 7767 and MRSA 5963 the alcohol and acetone (at 80%) did not eliminate bacterial
most susceptible to PA. All strains were sensitive to PA contamination, especially when the files had previously
concentrations ≥1%. been dried prior to exposure to the solutions (Table 3). In
Table.1: Disinfectant activity evaluated by Minimal the case of contaminated and non-dried K-files exposed
Bactericidal Concentration. 15 s to 80% isopropyl alcohol, viable bacteria were not
detected in 1 of 5 (20%) tested K-files. With longer
exposure (30 s), 3 of 5 K-files (60%) were found to be
free of contamination. Antimicrobial effects were also
evident for freshly contaminated files following expos ure
to acetone for both test periods (Table 2). In these
experiments, exposure to isopropyl alcohol for 30 s was
more effective than for acetone (p<0.05, chi-square test).
Experiments performed with concentrated isopropyl
alcohol or acetone failed to completely eliminate bacterial
biofilms after 30 s exposure times.PA demonstrated the
greatest antimicrobial activity being able to eliminate
viability of both freshly and dried sessile E. faecalis cells
The antimicrobial activities of isopropyl alcohol, acetone on all K-endodontic files after exposure for 15 s (100%).
and PA, were evaluated for several bacterial species at
different contact times (Table 2). Contact with acetone,
isopropyl alcohol, or 2% PA resulted in a total kill
(<3.3×102 CFU/ml; minimum level of detection of viable
cells in this assay) after 15 s exposure. However, VRE
7766 remained detectable (2.3×104 CFU/mL) even after
120 s exposure to acetone.

Table.3. Antimicrobial activity of Isopropyl Alcohol to microbial growth pattern (sessile or planktonic).
(80%), Acetone (80%) and Peracetic acid (2%) on K-files Bacteria growing as biofilms have distinctive features
(carrier test) contaminated with E. faecalis grown in compared with the same bacteria growing planktonically
biofilms on dentin matrix (percentage of elimination). (free floating). For example, biofilm cells are frequently
more tolerant to antimicrobial agents, conditions of stress
and host defenses, compared with their planktonic
equivalents. This recalcitrance of biofilms makes them
extremely difficult to treat[23].
In our results, microorganisms grown planktonically were
highly susceptibility to all disinfectant agents after
evaluation by a time-kill assay. A reduction in bacterial
viability higher than 105 CFU/ml was observed for all test
solutions, indicating that the chemicals had adequate
disinfecting activity for planktonically grown Gram-
negative and Gram-positive bacteria after exposure for 15
s. The only exception was VRE 7766 which, by time kill
assay, demonstrated a residual number of viable cells
IV. DISCUSSION (2.3× 104 CFU/mL) after exposure of ~1011 CFU/ml to
Microorganisms can remain viable on the surfaces of concentrated acetone[16,17,22,23].
endodontic instruments for varying lengths of time and as Determination of the MBC for all microbial strains also
such they may act as reservoirs of re-contaminating reinforced the susceptibility of planktonic
organisms during a single treatment period[16]. microorganisms. The MBC, determined by exposure for 2
Concern over reducing microbial load on the surfaces of min to different concentrations of the tested chemical
dental instruments during the same treatment period has agents, demonstrated that all strains were sensitive to PA
arisen in recent years. This is largely due to previous concentrations ≥1%, and isopropyl alcohol was more
cross-contamination of individuals through non- active than acetone in reducing viability of bacteria
autoclavable instruments such as bronchoscopes, (~105-106 CFU), including the VRE 7766. Therefore, as
endoscopes [17] and other apparatus like dental chairs isopropyl alcohol had a lower MBC concentration (40%)
waterlines[18,19]. than acetone (60%), it should theoretically be more
Of additional concern has been the potential acquisition effective in clinical use[23,24].
of microbial resistance[20] to frequently used Whilst isopropyl alcohol and acetone are ineffective at
disinfectants and antiseptic agents [21]. Therefore, killing bacterial spores, maintenance of decontamination
continuous monitoring of resistance profiles to of instruments by vegetative organisms should be
disinfectant agents is highly important to ensure safety achievable by these agents [24]. Importantly,
within clinical practice. microorganisms exhibiting resistance to antibiotics or
Although stated as disinfectants [22], to our knowledge, antimicrobial agents often also have higher tolerance to
relatively few reports have tested the sensitivity of disinfectants[25]. This study therefore also evaluated
bacteria to both isopropyl alcohol and acetone, motivating activity of acetone, isopropyl alcohol and PA to both
inclusion of these agents in comparable tests with PA. MRSA and VRE strains, and the test agents were shown
The approaches used to clean endodontic instruments are to inhibit the viability of planktonic forms of these
generally ineffective for the removal of biological debris, microorganisms. In contrast, the effectiveness of
and therefore, single use instruments are advocated to disinfectants against microorganisms grown in biofilms
avoid cross-infection occurring between patients 6. was relatively limited. In this study, sessile E. faecalis
However, for a single patient, the same endodontic file removed from dentine walls by K-files used in the carrier
may be used throughout the treatment process and it is test, exhibited resistance to acetone and isopropyl alcohol
possible that this instrument may, in effect, ‘re-infect’ the after 30 s exposure. This was particularly evident when
root canal during the treatment. Since one of the key contaminated K-files were dried prior to exposure to the
objectives of endodontic therapy is eradication of disinfectant, even at higher concentrations. The volatility
bacteria, effective disinfection of instruments during such of both isopropyl alcohol and acetone might lead to
a single treatment procedure would be variations in their concentrations within clinical
beneficial[16,22,23]. situations[26,27]. As a result, our experiments using K-
In the present study, differences in antimicrobial files in carrier tests were conducted with acetone and
susceptibility of microorganisms were detected in relation isopropyl alcohol diluted to 80%. This finding suggests
that biofilm growth in dentine matrices is an important
factor for microbial resistance to acetone or isopropyl [4] Yap B, Zilm PS, Briggs N, Rogers AH, Cathro PC.
alcohol. Furthermore, in skin surface experiments, The effect of sodium hypochlorite on Enterococcus
microorganisms are usually sensitive to alcohol-based faecalis when grown on dentine as a single- and
antiseptics, with studies showing that the most effective multi-species biofilm. Aust Endod J, 2014; 40:101-
antimicrobial activity occurs with 2% chlorhexidine 10.
digluconate in 70% isopropyl alcohol[26]. Moreover, [5] Van Eldik DA, Zilm PS, Rogers AH, Marin PD.
isopropyl alcohol-based hand antiseptics have Microbiological evaluation of endodontic files after
demonstrated higher activity against E. coli, Micrococcus cleaning and steam sterilization procedures. Aust
luteus, and S. aureus than ethanol-based disinfectants in Dent J. 2004; 49: 122-27.
experiments on skin surfaces [27]. [6] Aasim SA, Mellor AC, Qualtrough AJE. The effect
Overall, 2% PA was deemed to be the best disinfectant, as of pre-soaking and time in the ultrasonic cleaner on
it was able to eliminate all microbial isolates, regardless the cleanliness of sterilized endodontic files.
of their growth form, or test method used. Significantly, IntEndod J. 2006; 39: 143- 49.
total elimination of microbial viability occurred with [7] Podgórska M, Jakimiak B, Röhm-Rodowald E,
sessile cells derived from dentinal matrices for all K-file Chojecka A. Assessment of disinfection and
carriers (100%) after 15 s exposure[25-27].PA is an sterilization processes in dental practice as an
oxidizing agent used in the decontamination of a wide important factors in prevention of infections.
range of medical equipment as well as in food and water PrzeglEpidemio l. 2009; 63: 545-50.
treatment processes10. PA disinfection is rapid and [8] Popovic J, Gasic J, Zivkovic S, Petrovic A,
effective against bacteria, fungi, viruses and spores [10-12, Radicevic G. Evaluation of biological debris on
28-30]. endodontic instruments after cleaning and
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that enabled the assessment of disinfectant efficacy 41.
against biofilm microorganisms in the presence of dentine [9] Bulem UK, Kececi AD, Guldas HE. Experimental
debris. The method was relatively easy to perform, and evaluation of cyclic fatigue resistance of four
simulated conditions observed in clinical practice, in different nickel-titanium instruments after
which the files may present a dense biofilm immersion in sodium hypochlorite and/or
contamination. sterilization. J. Appl. Oral Sci. [online]. 2013; 21:
505-10.
V. CONCLUSION [10] Mehmet K. Disinfection of wastewater with
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endodontic instruments during use in a single treatment CY, Oliveira SHG. Effectiveness of 2% peracetic
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stand’, to allow all instruments being used in the canal Oral R.2011; 25: 23-7.
treatment be kept at hand in the order of their use and [12] Kühlfluck I, Klammt J. Suitability of peracetic acid
disinfection. for root canal disinfection. Stomatol DDR 1980; 30:
558-63.
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Interfaces between wind energy aspects analysis

and Weibull distribution: Evidences from a
bibliometric study
Elias Rocha Gonçalves Júnior1, Cláudio Luiz Melo de Souza2, Virgínia
Siqueira Gonçalves3
1 Centro de Pesquisa Candido Mendes, Universidade Candido Mendes, Brazil
Email: eliasrgjunior1@gmail.co m
Email: claudiomelo.edu@gmail.com
Email: virginiasiqueiragoncalves @gmail.com
Abstract—This paper aims to address and understand the In response to an enhanced awareness of the negative
knowledge application of Weibull distribution to analyze impacts of large-scale, fossil-fuel intensive energy
wind energy aspects, which is related to technical, generations, as well as the realization that the earth’s
sustainable and economic assessment, along with wind resources are finite, governments, organizations and
characteristics. It is structured under bibliometric individuals are showing increasing interest in small-scale,
analysis and reveals a panorama of 177 papers from decentralized and low-carbon energy sources [4]. As a
2007 to 2017 that presents where and how these result, policy makers, business leaders, consumers and
relationships between wind energy aspects and Weibull researchers have increasingly turned their attention to the
distribution occur. This study presents six different alternative energy sources such as solar, wind, and
analyses to understand these possibilities: papers by year, biomass [5].
wordlcoud, papers by author, papers by topic, papers by Among the available renewable energy sources, wind
affiliation, papers by journal and its subjects. Main energy is currently regarded as one of the most
findings of this research show that the leading areas significant, fastest growing, and commercially attractive
where these interfaces occur in academic research are sources to generate electricity because of the mature and
energy, engineering and environment science. Another cost-effective wind energy technologies [6]–[7].
relevant result is that the intersection of wind energy and The success of the determination of the wind energy
the Weibull distribution has been figured as a core potential depends on accurate wind speed modeling and
research topic to individual or a group of researchers the statistical properties of wind speed are important to
around the world. The main contribution of this paper to predict the output energy of a wind conversion system
the academic community is the pioneering on presenting [8]. Wind characteristics and power potential of various
a view on the size and on the main characteristics of this locations have been studied in many countries worldwide,
interface through bibliometric analysis. in order to fully describe the mathematical procedures
Keywords— Renewable energy, Wind energy, Weibull useful to perform analysis in sites with the potential for
distribution, Bibliometrics. wind farm installation [9].
The Weibull function is one of the most used
I. INTRODUCTION distribution functions for different purposes such as
The demand for energy is expected to expand modeling, reliability analysis, life time data analysis, and
continuously, more than tripled by the end of the century many applied science areas such as mechanic, bio system,
[1]. According to Pereira et al. [2], the world is mainly nuclear, and energy system engineering [10]. In studies, it
consuming fossil fuel energy and, in the case of final is seen that two-parameter Weibull distribution is used for
energy consumption, this corresponds to 79% of the the determination of wind energy potential in the different
world energy matrix. In this context, the conventional regions in the world [11]–[12]. Therefore, much
processes of electric power generation are among the consideration has been given to the Weibull two -
main responsible for emissions of greenhouse gases [3]. parameter – k, shape parameter and c, scale parameter –

function because it has been found to fit a wide collection in industrial plants, but also in public investments,
of wind data [13]. domestic use, discussions on renewable energy and
According to Archambault et al. [14], the increased sustainability.
availability of data such as bibliographic impact returns to About the Weibull distribution function, the first
more importance as a publication activity and citations strategy was to use the word ‘Weibull’ to better assimilate
can be included as part of a more holistic review of the the results about the matter. However, it had felt it should
literature. Zupic and Cater [15] pointed out that make some more filters to the results. Hence, the terms
bibliometric methods employ a quantitative approach to a ‘‘Weibull distribution function’’, ‘‘Weibull function’’ and
description and evaluation of published research. Indeed, ‘‘Weibull parameters’’ were used.
bibliometric techniques have become an indispensable The next step was the definition of the temporal cut of
instrument to measure the scientific progress in various research and it was decided to work with works published
fields [16]. from 2007 to 2017, to clarify the evolution of the
This paper aims to quantitatively and qualitatively publications in the period of a decade. The structure of
map the scientific research about the studies on wind our search terms as well as the preliminary results for
energy that used the Weibull Distribution as an analysis setting our papers database are 609 registers, and it’s
method. Using bibliometric method, various publication listed on the Table 1.
characteristics will be obtained such as publication year,
authors, institution affiliation, knowledge topics, main Table.1: Search keys used
journals and its subjects as well as a database content Search Results
analysis by wordcloud, to measure the its consistency.
TITLE-ABS-KEY ("wind power"
These results not only provide a better understanding
AND "Weibull distribution function") 104
of global hotspots in the research related to the wind
AND (PUBYEAR > 2006)
energy analysis, but may also influence researchers’
future research directions. TITLE-ABS-KEY ("wind
power" AND "Weibull function") 58
II. METHODOLOGY AND (PUBYEAR > 2006)
This paper is structured under bibliographic analysis.
It intends to analyze quantitative data about papers and TITLE-ABS-KEY ("wind power"
allocating them in categories in order to make a good AND "Weibull parameters") AND 181
comprehension about the interface between wind energy (PUBYEA R > 2006)
and the Weibull statistical distribution.
TITLE-ABS-KEY ("wind energy"
This type of analysis facilitates a cross -referencing, AND "Weibull distribution function") 71
resulting in a previous study composed by the works that AND (PUBYEAR > 2006)
will integrate the so-called starting nucleus, where the
TITLE-ABS-KEY ("wind energy"
researcher will have sufficient background for the
AND "Weibull function") AND 43
bibliographic study. For this, bibliometric techniques are
(PUBYEA R > 2006)
used, which employ quantitative methods in the search for
an objective evaluation of scientific production. TITLE-ABS-KEY ("wind energy"
The researches carried out in the Scopus database AND "Weibull parameters") AND 152
were carried out in order to find papers related to the (PUBYEA R > 2006)
Weibull function and wind energy source. In addition, no Total of registers 609
exclusion filters were used in order to avoid the reduction
of results, choosing a return with the widest possible Due to the many results found, a restriction was
In order to better track the scientific papers that relate applied in the types of works. These were restricted to
the Weibull function to wind as an energy source, the only articles published in journals, excluding conference
search terms should be defined. Due to some different papers, theses and reports, reducing that set to 177
approaches, the same subject has evaluated with various records.
expressions in researches. So, in some papers this energy
source is known as wind power and, in other, it is known III. RESULTS AND DISCUSSION
as wind energy. It is possible to say that wind power is Initially, it was analyzed the papers distribution by
more directly applied to problems related with the power year, represented in Fig. 1. This graph can be separated in
plants issues. Wind energy is a more diversified term and two distinct moments: the first moment is from 2007 to
is related to power generation processes, which can occur 2013, when there is a tendency of publish oscillation. The

other moment is from 2014 to 2017, which represent just line. So, considering the data universe, we can assume the
over half of the papers analyzed, there is also a certain amount of published papers for the next period may
constancy, or low variation, in the number of publications continue increasing, according to the trend from 2014 to
about the matter. 2017.
Next, the authors and affiliation with the highest
number of publications on the matter were highlighted in
30
Fig. 3 and Fig. 4, respectively. Only those authors and
25
affiliations with four or more records were considered,
20
due to the considerable amount of these with only three or
15
less related publications.
10
5
0 10
8
6
4
Fig. 1: Papers identified by year 2
0
The next step, as we have set the database, is to realize
an analysis through the tool of word clouding that also
works as a uniformity analysis. In order to carry out this
wordcloud, it have been used the website Wordle, using
the abstracts of the 177 papers, and the results of this
analysis are shown in Fig. 2. Fig. 3: Authors with the highest number of records
University of Niš
Universiteit van Pretoria
Panepistimion…
Isfahan University of…
Centre de…
University of Malaya
Fig. 2: Wordcloud of database abstracts
King Fahd University…
0 2 4 6 8 10
Firstly we can see that this wordcloud shows us we
have a very consistent database covering the terms we Fig. 4: Affiliations with the highest number of records
intend to find, like ‘‘wind’’, “power”, “energy” and
‘‘weibull’’. We can also see in the cloud words like As we can see in Fig.3, it can be said that Rehman, S.,
“data”, ‘‘speed’’, ‘‘distribution’’ and ‘‘parameters’’ that from Saudi Arabia, and Chang, T.P., from Taiwan, are the
consists in our core of the results we will discuss more in authors in the leadership of scientific production about the
the following analysis. More than the analysis of each of matter.
the words, by its grouping to the often words appear in In Fig. 4, we can notice two institutions with great
the texts, this cloud is important for us to ensure the data relevance in number of publications, King Fahd
consistency. University of Petroleum and Minerals, from Saudi
A good approach to improve comprehension about Arabia, and Nan Kai University of Technology, from
database is to evaluate the average amount of journal Taiwan.
papers published. In this sense, the value for the average When the two analysis indicators get related, it can be
of 17.45 published papers by year indicates the matter has observed that the most prominent authors on the subject
a good acceptance and relevance for the research belong to the affiliations that have the largest number of
worldwide, granting more than one article by month on publications. Hence, there is two rising groups of
indexed journals since 2007. scientific paper production that are called the references
Despite this first impression, the figure also let us know on the topic.
that, if we consider the whole amount of articles from About the cover topics for the matter, all the 178
2007 to 2017, it´s what was not possible to trace a trend papers were related and allocated into the topics

according to the scientific database, with special emphasis and Akdaǧ and Güler [12], which presented a novel
on Energy, representing 50% of the registers, Engineering method, considered by them better than standard methods,
and Environmental Science (Fig. 5). to estimate Weibull parameters, being compared with
another eight methods, including the Power Density
Agricultural and… method , presented by one of this paper’s authors in 2009.
Mathematics We can have some other analysis by looking to the
Chemical Engineering journals that lead the ranking of papers related to our
search terms. Fig. 6 shows the papers arranged by
Computer Science
journals. For a better viewing, we have put on this graph
Environmental Science
only journals that count on four papers or more.
Energy
0.0%10.0%
20.0%
30.0%
40.0%
50.0%
International Journal…
Fig. 5: Papers by topics in the database Wind Engineering
Renewable and…
For the most part, the papers are listed in the topic Applied Energy
Energy, so there is an agreement with the terms used in Energy Conversion…
the search keys and indicate the prominence of 0 5 10 15 20 25
investigation lines related to the topic under discussion.
Nonetheless, it has been observed that the amount of Fig. 6: Papers by journal
articles that refers to more than one topic is relevant. We
can cite as examples Costa Rocha et al. [17], allocated in First of all, we can note that the leader journal is
Energy and Engineering, Hulio et al. [18] refers to Energy ‘‘Energy Conversion and Management’’. The focus of
and Social Science, Fazelpour et al. [19] appointed as this journal is the research on all important energy
Environmental Science and Energy, and Gani et al. [20], aspects, including energy generation, utilization,
allocated in three cover topics: Chemical Engineering, conversion, storage, transmission, conservation,
Energy and Environmental Science. This fact management and sustainability. The far leadership of this
corroborates the comprehensiveness and relevance of this journal is in line with the previous results we have got
research. analyzing the graphic of papers by topic. Most of the
Another aspect noted is that the article with the highest papers published by this journal are associated with
number of citations is allocated only in the Energy topic. Energy. So, this journal is an important scientific vehicle
Akdaǧ and Dinler [21], cited by 202 papers, developed a to spread knowledge on energy in which concern the
method to estimate Weibull distribution parameters for intersection between renewable resources, such as wind
wind energy applications, called power density (PD) energy and the processes, operation and performance
method. To demonstrate the accuracy of this method, they prospects, like the Weibull function.
had made comparisons based on power density and mean The second one, ‘‘Renewable Energy’’, is a journal
wind estimation results of previous studies. Results of this that has the purpose of discussing various topics and
study indicate that PD method is adequate method technologies of renewable energy systems and
estimate Weibull parameters and it might have better components. It includes discussion about the wind energy
suitability than other methods. The analysis showed some and to apply alternative energy solutions to current
superiority of the PD method, because it has simple practices. On the set of journals plotted in this graphic, we
formulation, it does not require binning and solving linear can identify two groups of journals. The first one, which
least square problem or iterative procedure. According to encompasses ‘‘Energy Conversion and Management’’,
them, it is very simple to estimate Weibull parameters, if ‘‘Applied Energy”, “Energy” and ‘‘Energies’’, is
power density and mean wind speed are available. associated with all of energy types, including wind
Some of papers following this line are Azad et al. [22], energy.
which analyzed seven different methods, including the Another group consists of journals with a more concise
Power Density method, to determine the best one to range of subjects like ‘‘Renewable Energy’’, ‘‘Renewable
estimate the Weibull parameters, however, the results and Sustainable Energy Reviews’’, ‘‘International Journal
found did not indicate the said method as the most of Green Energy’’, ‘‘International Journal of Renewable
efficient one, Zhou and Smith [23], that estimated global Energy’’ and “Energy Sources, Part A: Recovery,
variation in wind parameters, by using the PD method, as Utilization and Environmental Effects”. At this group,
fitted to a Weibull density function using NCEP/climate kinds of papers we will find vary and can have many
forecast system reanalysis (CFSR) data over land areas, different approaches and points of view about renewable

energy and sustainability. ACKNOWLEDGEMENTS
Besides that, we can highlight the journal “Wind The authors thank the Coordination of Improvement of
Engineering”, as the one more focused on a lot of wind Higher Level Personnel (Coordenação de
aspects, such as the aerodynamics of rotors and blades, Aperfeiçoamento de Pessoal de Nível Superior – CAPES)
machine subsystems and components, power generation for the financial support to this research
and transmission, measuring and recording techniques,
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The security of information and the risks

associated with its use, a model for its
implementation
Ricardo Ramírez Véliz1, Marlon Altamirano Di Luca2, Neilys González
Benítez3
1 Department of Computer Security, Guayaquil University, Guayaquil - Ecuador
Email: ricardo.ramirezv@ug.edu.ec
2 Department of Computer Security, Santa Elena University, Santa Elena - Ecuador
Email: maltamirano@ncsa.ec
3 Scientific group of the Meteorological Center of Pinar del Río, Pinard el Río Meteorological Center, Pinar del Río - Cuba
Email: neilysgonzalezbenitez@gmail.co m
Abstract— To assess whether the management of • Confidentiality: it is guaranteed that the

information security and the risks associated with its use, information is accessible only by authorized
through computer networks, at the Peninsula State persons.
University of Santa Elena, is effective, it is proposed to • Integrity: safeguard the accuracy and completeness
implement a model that establishes the goals to achieve to of the information and processing methods.
advance through the different levels that make up the • Availability: it is guaranteed that authorized users
rating scale. have access to the information and resources
To evaluate the management of information security and related to it, whenever they require it.
the risks associated with its use, it is necessary to have a • Traceability: make the IS auditable through a
maturity model that not only allows evaluating the history that allows knowing the location and
processes involved in the management of information trajectory of a resource.
security, but also those associated with the management From these fundamental objectives of safety derive others
of the risks linked to the processing of information in all such as:
its phases, since an adequate information security plan • Authenticity: seeks to ensure the validity of
depends on it. information in time, form and distribution.
Based on the aforementioned, the objective of this paper Likewise, the origin of the information is
is to propose a model for the management of information guaranteed, validating the issuer to avoid identity
security and the risks associated with its use, in computer theft.
networks. • Non-repudiation: avoid that an entity that has sent
Keywords— Information security management, or received information alleges to third parties that
information processing, risks associated with the use of it did not do so.
information, computer networks In order to regulate aspects related to security in
information systems (IS), standards have been developed
I. INTRODUCTION that propose a set of policies and good practices, which
The information systems that in educational institutions help to strengthen the security of information. Computer
are manipulated, sometimes, are directed towards the security is commonly associated with a small group of
mission of the organization which usually have a hostile technical measures such as antivirus and firewalls, the
environment, that is why the security of information is a controls to be established are many and varied
discipline that integrates a set of policies, processes, (Montesino, 2009).
procedures, organizational structures and software and Computer security as a concept has been evolving over
hardware functions to help protect the confidentiality, time. Initially it was a discipline dominated by the elite of
integrity, availability and traceability of resources professionals specialized in the subject, but since the
managed by IS in organizations (Achiary, 2005). beginning of this century a more encompassing vision of
information security has been proposed, which formally

links elements such as technology, the individual and the the main international guidelines and standards (ISO /
organization, emphasizing in the study of these and their IEC 27002 and NIST SP 800-53), implemented in the
relationships, to rethink computer security beyond the Peninsular State University of Santa Elena in Ecuador.
traditional technological experience (Cano, 2005). For the management of information security and the risks
According to Solms (2006), computer security has gone associated with its use in computer networks, the model
through history through four stages. The first stage was shown in Figure 1 is proposed.
characterized by the technical aspect, the second was
related to the management approach, where aspects such
as policies and processes began to be considered. The
third stage became standardized and documents of good
practices and certifications began to appear.
Topics such as computer security culture, evaluation and
monitoring began to be important. The fourth stage has
been driven by regulations, where computer security has
become a key aspect for the managers of the
organizations and therefore is addressed from the first
level of management.
The process of information security management is
described in the ISO / IEC 27001 standard, which is an
Fig. 1: Model for the management of information security
internationally certifiable standard. This standard offers a
and the risks associated with its use in computer
model for the establishment, implementation, operation,
networks. Source: self-made.
monitoring, review, maintenance and improvement of an
information security management system (ISMS) (ISO /
The model is based on the following principles:
IEC, 2005).
1. Maximum automation: all automatable computer
The standard proposes a process approach where
security controls must be considered.
information security is not a state that is reached in a
2. Integration: the management of computer security
certain moment of time and remains unchanged, but is a
controls must be done from a centralized system that
continuous process that needs to be managed. Several
allows the monitoring and review of them.
actions are proposed that form a closed cycle for the
3. Synthesis: an adequate process of grouping and
continuous improvement of the system.
synthesis of the automatable controls must be carried
The ISM3 consortium, made up of several companies and
out to manage a relatively small number of controls.
organizations, has developed the Maturity Model of
4. Objective measurement: the effectiveness of the
Information Security Management (ISM3). This model
controls must be evaluated and measured by means of
aims to extend the quality principles established in ISO
objective indicators obtained automatically from the
9001 to an ISMS. Instead of being oriented to controls, it
data provided by the different IT security tools .
focuses on computer security processes that may be
5. Continuous improvement: the management of controls
common to all organizations (Aceituno, 2007).
must be seen as a dynamic process consisting of several
Five basic configurations for an ISMS are described,
actions, which form a closed cycle for the continuous
equivalent to levels of maturity, which allows
improvement of computer security controls.
organizations to scale up levels depending on their needs.
6. Generality: the model must be applicable to a wide
There are three categories of management: strategic,
variety of organizations.
tactical and operational, for which 45 processes are
Based on the description of the principles of the model,
defined that must be considered.
which is proposed for the management of information
In ISM3 the processes related to computer security are
security and the risks associated with its use in the
described in detail, establishing objectives and metrics
computer networks of the Peninsula State University of
that allow establishing a quality s ystem. The practical and
Santa Elena, Ecuador, the automation for the automatable
measurement approach, as well as the orientation towards
controls identified, defining the main computer security
the business objectives of the organization, is what
controls that must be automated for the protection of
differentiates this model from the rest of the related
information security and the risks associated with their
standards.
use through the computer networks of the Península de
Santa Elena State University, Ecuador.
II. MATERIALS AND METHODS
Automated computer security controls represent a
In this research, an integrative analysis is carried out,
grouping and synthes is of the automatable controls
considering all computer security controls proposed by
identified in the ISO / IEC 27002 and NIST SP 800-53
standards. Automation is applied to the actions of corrective actions on the security controls implemented.
operation, monitoring and review of computer security
automation controls for the protection of information III. RESULTS
security and the risks associated with their use through Through a survey applied to managers and specialists of
the computer networks of Santa Peninsula State the Santa Elena Peninsula State University, which aimed
University Elena, Ecuador. to evaluate the factors that contribute to increase the
The central component of the model allows the effectiveness of the controls and to reduce the complexity
integration of different IT security tools, the correlation of of the computer security management, the positive effect
information and the generation of security reports in an of automation and integrated management of controls,
automated way. Computer security controls are while recognizing the importance of other factors that are
implemented and operated by different tools, but their also key in the management of information security in
monitoring is done centrally in the central component of computer networks. With respect to the use of some
the model. system of indicators to evaluate the effectiveness of
The central component of the model receives the computer security controls, 75% of the respondents
information through the traces generated by the different answered affirmatively their use.
systems, for which it is necessary to define connectors It is also noted that the application of the model achieves
that allow interpreting the different formats of existing maximum automation in the operation of the controls, and
traces. The review of the controls is done through a group also automates the processes of monitoring and review
of computer security metrics, also defined as part of the thereof, which translates into greater effectiveness of
model, which are calculated and reported in an automated computer security controls on the management of
way. information security and the risks associated with its use
The model developed for the management of information in computer networks.
security and the risks associated with its use in computer
networks of the Peninsula de Santa Elena State IV. CONCLUSION
University, offers a comprehensive vision of the After having assessed the controls proposed by the main
automation of computer security controls, considering all international standards, it can be concluded that around
the automatable controls and defining the actions to be 40% of computer security controls are automatable. For
carried out automatically in each of the cases. the automated and integrated management of computer
The model also proposes an automation of the actions of security controls, we propose the model for the
operation, monitoring and review of computer security management of information security and the risks
automation controls for the protection of information associated with its use in computer networks at the
security and the risks associated with its use through Peninsula de Santa Elena State University, a model that
computer networks, which is intended for Trace has the following general characteristics:
management and security event detection. This  Computer security controls are defined which
presupposes that a deep process of personalization and represent a grouping and synthesis of the automatable
adaptation of the operation, monitoring and revision controls identified.
actions must be carried out to apply the proposed model,  Automation is applied to the actions of operation,
through the definition of connectors, policies, correlation monitoring and review of controls.
rules and computer security reports.  The correlation of information and the generation of
It is important to note that through the application of the security reports in an automated way is the central
model the operation, monitoring and review of a group of component of the model, allowing the integrated
computer security controls is automated, which represents management of computer security controls.
an important part of the process of managing computer  The controls are reviewed through a group of
security in its entirety. However, it should not be computer security metrics, also defined as part of the
interpreted that the model solves all problems in an model, which are calculated and reported
automated way. For an adequate management of automatically.
information security, it is necessary to implement the rest The model developed offers a comprehensive vision of
of the controls proposed by the existing standards and the automation of computer security controls, considering
regulations, which are not contemplated in this model. all the automatable controls and defining the actions to be
In addition, the model addresses the automation of the do carried out automatically in each case.
and verify phases, so it is necessary to complete the The implementation of the model is carried out through
management cycle even for automated controls. The the installation, configuration and personalization of
automatically calculated indicators should be adequately existing IT security applications, as well as the
reviewed by computer security specialists to take complementation of them through small developments

that enable their adaptation to the proposed model. [14] MINHAP (2012). MAGERIT – versión 3.0.
Metodología de Análisis y Gestión de Riesgos de los
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Nacional de Tecnologías de Información (ONTI). la Información, La Habana, Cuba.
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[4] Alberts, C., Dorofee, A., Stevens, J. y Woody, C. Library (ITIL v3). Office of Government Commerce
(2003). Introduction to the OCTAVE® Approach. UK (OGC).
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Federal Office for Security in Information information. IA newsletter, vol. 13, no. 1, 2010.
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[8] DSD (2012). Australian Government Information
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for cyber security assessment and testing. Joint
Research Centre of the European Commission, Aug-
2010.

Comparison of the signal characteristics

measured by a MEMS and a Piezoelectric
accelerometers
Vitor Rodrigues Miranda1, JanesLandre Jr.2
1 Department ofMechanicalengineering, Pontifícia Universidade Católica de Minas Gerais , Belo Horizonte, Brazil
Email: miranda.vitor@yahoo.com.br
2 Department ofMechanicalengineering, Pontifícia Universidade Católica de Minas Gerais, Belo Horizonte, Brazil
Email: janes@pucminas.br
Abstract—This study is dedicated to verifying the Starting of the past decade, the advancement of
performance of a MEMS accelerometer when used for nanotechnologies enabled a new type of sensor that would
machine condition monitoring based on vibration tackle both problems at the same time, the cost and
analysis. The performance of the MEMS accelerometer energy consumption. The MEMS accelerometer appeared
was compared to that of a piezoelectric sensor, as a promise of a low-cost, low power consumption, high
traditionally used in this type of analysis. This goal was manufacturing volume sensor, which could potentially be
reached by measuring the RMS, Kurtosis and Crest levels used for large-scale machine vibration monitoring. The
of the signal obtained by the MEMS sensor against those question that needs to be answered is if these sensors
obtained by the piezoelectric sensor under the same deliver the required performance in terms of dynamic
excitation parameters. Both the piezoelectric sensor and range and frequency response, two factors that are key to
the MEMS circuit board were mounted on a special vibration anomalies detection, especially when dealing
device attached to a shaker. The sensors were submitted with bearings. Other researchers on this matter, have
to vibrations of 0.5g, 1g and 2g RMS on a frequency already done some work. Back in 2008, the first papers on
ranging from 1Hz up to 2500Hz on steps of 20Hz. The this subject where published [1]. Albabar&Mekid
results show that the readings of the MEMS sensor compared the performance of three different MEMS
present a maximum deviation of 6.6% when compared to sensors with piezoelectric and got good results , though
the piezoelectric sensor. It was possible to conclude that a some of the chosen models pres ented a higher level of
great portion of the deviation encountered was due to the noise than expected. In [2], the author concluded that the
dynamic characteristics of the mounting device and the tested low-cost MEMS accelerometer presented
fixation conditions of the MEMS sensor on this device compatible diagnose performance that of a high -end
Keywords—Accelerometer, MEMS,Vibration, model.
This paper proposes a deeper look into the performance of
I. INTRODUCTION the ADXL203 MEMS accelerometer and evaluate
In today´s economy, being competitive is the key to whether its amplitude and frequency responses are
success. Industries that have an advantage are the ones adequate for machine condition monitoring. To achieve
that manage to produce more with fewer resources. As this goal, three ADXL203 subjects are compared against a
factories, face the challenge of getting smarter and more piezoelectric accelerometer. A software written in
efficient, the need for process monitoring tools increase. LabView controlled a shaker that swept the frequency
One of the obstacles to efficiency is machine downtime. span of this accelerometer while recording the results for
A great way to reduce this issue is the use of machine further analysis.
vibration monitoring systems. Up until very recently, the
only suitable sensor to acquire condition monitoring II. MATERIALS AND METHODS
grade vibration was the piezoelectric accelerometers. 2.1 Sensor encapsulation
These sensors are great for the task, as they have a great The tested MEMS sensor comes in a LCC encapsulation,
frequency response and low noise. The drawback is thus, requires to be mounted on a PCB. As exposed
that,these sensors are costly and require a reasonable PCBsare rather fragile to be mounted on a machine, a
amount of power to operate, which limit is the use of such special stainless steel encapsulation was used to contain
sensors on battery-operated systems.

the circuitry and the connectors.Fig. 1 shows the internal
structure of the steal body.
Fig. 3: Mounting device
To compare the response of the piezoelectric and the

MEMS sensors, it is vital to excite them with the same
source of vibration, in a controlled environment. It is
desirable to capture it´s signals simultaneously, as it
provides means for comparing the phase of the signals. In
Fig. 1: Sensor encapsulation order to achieve these two requirements, a special mount
was built (Fig. 3) and both sensors were connected to
adata acquisition card that ensures simultaneous sampling
between all the channels. The purpose of the mount is to
provide a rigid base to hold the piezoelectric and the
MEMS sensor and connect them to the shaker. Fig.
2shows the piezoelectric sensor and the MEMS sensor
attached to the mount on the shaker. The piezoelectric
reference sensor is mounted under the base while the
subject MEMS accelerometer was mounted on top.
2.2 Control Software
A LabView software was written to provide control and
data acquisition capabilities to the test stand. A NI9264
signal-generating card was used to control a BKSV 4808
shaker with a BKSV 2719 amplifier. A NI9234 24-bit
ADC card was used to read the piezoelectric and the
MEMS accelerometer using the same time base, which
enables phase comparing.
Fig. 2: Sensor mounted on shaker
Fig. 4: Test stand schematics

The software implements a PID control and uses the index is higher than three, the signal is “spiky” and if it is
signal provided by the piezoelectric accelerometer as the lower than three, it means that the signal is flatter.
feedback signal. The signal-generating card is controlled
𝑁
by the software to provide the input signal for the 1
shaker´s amplifier, according to the response of the PID 𝑅𝑘𝑢 = 4
∑ 𝑌𝑖4 (1)
𝑁𝑅
𝑖 =1
algorithm. The goal is to control the amplitude and
frequency of the shaker so it can meet all the set points
defined for the test. The test stand schematics is shown in The form factors were chosen in order to identify any
Fig. 4 form distortions in the signal produced by the MEMS
The controlled variable in the PID loop was the RMS sensor in relation to the piezoelectric sensor, throughout
level of the vibration. The piezoelectric sensor provided the given frequency range. In the same way, the RMS
the reference signal. There was no need to control the value comparison was chosen in order to check both
frequency in a closed loop, once there was no relevant signals for
variance between the frequency being commanded to the
shaker by the software and the measured frequency in the
observed conditions. For the test, the used values for each
one of the coefficients were P = 0.2, I = 0.01 and D =
0,005. This method is rather similar to that used in [1],
though theauthors did not mention explicitly weather they
used a PID loop to control the excitation. Fig. 5shows the
control loop used.
Fig. 6: Kurtosis characteristics

any difference in energy level through the frequency
range. The intention was to verify if the MEMS sensor
behaves in a similar way to the piezoelectric in deferent
Fig. 5: Control loop
operation conditions.
2.3.Test conditions
III. RESULTS AND DISCUTION
Three parameters were chosen to analyze the obtained
3.1.Obtained data
data; the RMS value, Crest and Kurtosis form indexes.
To investigate the behavior of the sensors in different
The RMS or Root Mean Square, indicates the vibration
conditions of excitation, three prototypes were prepared.
energy in the signal. It is defined according to(1).
The frequency was increased in steps of 5Hz. Table 1
𝑁−1
1 shows the test conditions
𝑦𝑟𝑚𝑠 = √ ∑ 𝑥𝑛2 (1)
𝑁 Table.1: Test conditions
𝑛=0
Excitation Excitation
Test
Prototype amplitude (g frequency
The Crest index is used to measure the amplitude of Number
RMS)) (Hz)
the highest peak in the signal in relation to the RMS value
1 660075 0,5gRMS 1 a 2500
of the signal. If the Crest value is high, it means that the
signal presents pronounced peaks, which indicates that 2 660075 1,0g RMS 1 a 2500
the signal is not smooth. It is defined by (2). 3 660075 2,0gRMS 1 a 2500
4 660078 0,5gRMS 1 a 2500
𝑃𝑙 5 660078 1,0g RMS 1 a 2500
𝐶= (2)
𝑅𝑀𝑆 6 660078 2,0gRMS 1 a 2500
7 660080 0,5gRMS 1 a 2500
The Kurtosis index translates in a numeric value, the 8 660080 1,0g RMS 1 a 2500
“spikiness” of a signal. It represents a measure of the 9 660080 2,0gRMS 1 a 2500
flattening of the density probability function near the
average value [3] [4]. In other words, if the value of this

In the graphs below, the RMS level is maintained steady
in the setpointsdescribed in Table 1, by the PID
algorithm. Fig. 7Fig. 1presents the RMS levels measured
by the reference transducer. It shows the three levels of
excitation imposed on the MEMS sensors on each of the
three passes.
Fig. 9: Crest levels
Fig. 7: Piezoelectric RMS level
Fig. 8shows the obtained results for the RMS value of the
three tested sensors. Fig. 9and Fig. 10shows the obtained
results for Crest and Kurtosis values measured along the
frequency range. Each graph containsthe three tested
prototypes on the three different amplitude setpoints.
Fig. 10: Kurtosis levels
After finding these discontinuities in the measured signals

during the post-processing procedure, the focus was on
the mounting device used to secure both sensors on the
shaker. Further observations suggested that the first ditch
could be caused by the natural frequency of the device.
The differences in the level of the signal could be
explained by a not so firm mounting of the MEMS sensor
on the mounting devices . As it can be seen on Fig. 2, a
latter analysis proved that the MEMS sensor was not
Fig. 8: MEMS RMS level scrolled all the way, which could have caused the
deviation observed,especially on frequencies above
3.2.Data analysis 2000Hz. Each of the three sensors showed a different
As seen on Fig. 7, the excitation levels were steady deviation level, what suggests that they were fixed using
through the test. It means that the PID loop was effective different torque levels on the mounting scroll. An analysis
on maintaining the reference signal constant, laying firm on the mounting device revealed that the thread that held
ground for the conclusions to be taken from the test. Fig. the MEMS sensor had an imperfection, whichkept the
8 shows that the three prototypes presented a constant sensor from being scrolled all the way down.
measured level in almost the entire frequency span for all The Crest graph on Fig. 9, shows that the three tested
three excitation levels tested, except for the regions subjects have a very similar response in all the three test
around 700Hz and above 2000Hz. conditions along the entire frequency range. There is a

total nine curves in this graph, with each different color rotativas. Pontifícia Universidade Católica de Minas
representing a different test subject. The Crest value Gerais.
measured for the 0,5gRMS excitation is around 1.42. For [5] Miljkovic, D. (2015). Brief Review of Vibration
the 1gRMS and 2gRMS this value is around 1.46 and 1.5 Based Machine. Hrvatskaelektroprivreda, Zagrebe.
respectively. As the acceleration level increases, the peak [6] Siliang Lu, P. Z. (2018). Condition monitoring and
level measured in relation to the RMS value if the signal fault diagnosis of motor bearings using undersampled
also increases. However, it is not possible to conclude,by vibration signals from a wireless sensor network.
this data alone, that this rise in the peak level is due to a Journal ofSoundandVibration.
deviation in the measurement by the MEMS sensor or [7] Khadersab, D. S. (2018). Vibration Analysis
caused by the shaker itself. Techniques for Rotating Machinery and its effect on
Fig. 10shows the Kurtosis response for all the three test Bearing Faults. Elsevier.
subjects in the three levels of excitation are very similar.
The shape of the measured waveform is uniform along the
tested amplitude and frequency range. There is a little
distortion in the kurtosis level in the frequency around
1200Hz in all the tested subjects and all the conditions.
This means that, in this frequency, the measured signal
got a little more “spiky”. Again, it is not possible to
determine, by this data alone, what might have caused this
change. This is a matter for further investigation.
IV. CONCLUSION
This work showed that the MEMS sensor has traceable
and consistent signal characteristics. The RMS levels,
Crest and Kurtosis values of the sensors are consistent
with whatcan be obtained by a piezoelectric sensor. The
differences found in the measured signal among the three
tested sensors, especially in the highest frequencies ,
showed the importance of ensuring the correct fixing
conditions of the sensor on the device in which the
vibration is measured. The shape and level of the
acceleration signal obtained by the MEMS sensor is
uniform along it´s frequency and amplitude span. Further
studies, such as a modal analysis in the mounting
device,have to be conducted in order to investigate the
cause of the discontinuity in the RMS level graph in the
frequency around 700Hz. The same affirmative is valid
for the slight increase in the kurtosis index measured
around the 1200Hz frequency.
REFERENCES
[1] Albarbar, A., Mekid, S., Starr, A.,&Pietruszkiewicz,
R. (2008). Suitability of MEMS Accelerometers for
Condition Monitoring: An experimental study.
[2] Almeida, R. G., Vicente, S. A., &Padovese, L. R.
(2002). New technique for evaluation of global
vibration levels in rolling bearings. Shock and
Vibration.
[3] Lotfi, S., jaouher, B. A., Mohamed, B., &Bechhoefer,
E. (2016). The use of SESK as atrendparameter for
localizedbearingfault. ISA Transactions,
[4] Miranda, V. R. (2018). O uso de acelerometros
MEMS no monitoramento de vibrações em máquinas

The Progress of Indonesia’s Administrative

Boundaries Mapping after 72 years of
Independence
Bambang Riadi1, Tri Patmasari2
1
Research Division of Geospatial Information Agency, Indonesia
Email: briadi_jasinfo@yahoo.com
2
Training Division of Geospatial Information Agency, Indonesia
Email: aryomassari@yahoo.com
Abstract—Administrative boundaries are belong to the I. INTRODUCTION

fundamental dataset of national base map. These Administrative boundaries are belong to the fundamental
information have an affect to the management of home geospatial datasets to support development agenda for
affairs such as natural resources, tax, land each countries in the world e.g. Ukraine, US, Colombia,
administration, natural disasters. Indonesia proclaimed Mexico, Nigeria, Western Australia, South Africa,
its independence in 1945. It means, Indonesia is 72 years Bostwana, etc [1]. United Nation (UN) through UN-
old in 2017. Now, One Map Policy becomes one of hot GGIM (Global Geospatial Information Management)
issues in Indonesia especially for geospatial society. leads the standardization process of fundamental
Every region needs definitive administrative boundaries geospatial datasets among countries in order to can
for their activity but not available yet for all region. This support Sustainable Development Goals (SDGs)[2].
paper aim is to explain the development or trend of Administrative boundaries are important and have an
Indonesia’s administrative boundaries mapping after affect to the management of home affairs such as natural
1945 in order to get the information of Indonesian resources, tax, land administration, natural
government performance in the “national boundary disasters[3].Indonesia’s independence has been
making”. The method of this research is comparing the proclaimed by Soekarno with Hatta standing by his side
spatial and numerical data of Indonesia’s administrative on 17 August 1945 [5]. Proclamation is the historical
boundaries which are limited to the province and milestone of Indonesia’s independence. A day after
regency/city boundaries. The result of this research shows proclamation, the committee of Indonesia’s independence
that there are 3 significant periods which are affect declared the 1945 Constitution of the Republic of
Indonesia’s administrative boundary mapping i.e. 1998- Indonesia [6].
2005, 2006-2012, and 2013 to this day. The conclusion of The Republic of Indonesia is one of archipelagic country
this study is the definitive boundaries of The Republic of in the world[4].The territory of Indonesia was divided
Indonesia in 72 years after independence reached 472 into provinces, regencies and city. Both regencies and city
segments or 48.31% of total 977 segments. were technically the same level of government. In 2017,
Keywords—administrative boundaries, segment, trend. the Republic of Indonesia is 72 years after independence
and it has 34province which are widely distributed from
6°N – 11°S to 95°E – 141°E. The province number rose
significantly from 8 in 1945[7] to 34 in 2018[8] (see
Table 1 for the details).
Table.1: The province number in 1945 – 2017 [9]

Number of
Year Remark
Province
1945 8 Sumatera, Jawa Barat, Jawa Tengah, Jawa Timur, Nusa Tenggara (Sunda Kecil), Maluku,
Sulawesi, and Kalimantan
1950 11 - Sumatera was divided into: Sumatera Utara, Sumatera Tengah, and Sumatera Selatan
- Jawa Tengah was divided into: Jawa Tengah and Daerah Istimewa Yogyakarta

Number of
Year Remark
Province
1956 15 - Sumatera Utara was divided into: Sumatera Utara and Daerah Isimewa Aceh
- Jawa Barat was divided into: Jawa Barat and Daerah Khusus Ibukota Jakarta
- Kalimantan was divided into: Kalimantan Barat, Kalimantan Timur, and Kalimantan Selatan
1957 17 - Sumatera Tengah was divided into: Sumatera Barat, Riau, and Jambi
- Kalimantan Selatan was divided into: Kalimantan Selatan and Kalimantan Tengah
1958 20 - Nusa Tenggara was divided into: Bali, Nusa Tenggara Barat, and Nusa Tenggara Timur
- Riau was divided into: Riau and Jambi
1959 21 - Sumatera Selatan was divided into: Sumatera Selatan and Lampung
1960 22 - Sulawesi was divided into: Sulawesi Utara& Tengah and Sulawesi Selatan& Tenggara
1964 24 - Sulawesi Utara & Tengah was divided into: Sulawesi Utara and Sulawesi Tengah
- Sulawesi Selatan & Tenggara was divided into: Sulawesi Selatan and Sulawesi Tenggara
1967 25 - Sumatera Selatan was divided into: Sumatera Selatan and Bengkulu
1969 26 - Irian Jaya was formally incorporated into Indonesia
1976 27 - Nusa Tenggara Timur was divided into: Nusa Tenggara Timur and Timor-timor
1999 26 - Referendum made Timor-timor as a new country called Timor Leste
- Maluku was divided into: Maluku and Maluku Utara
- Irian Jaya was divided into: Irian Jaya Timur, Irian Jaya Tengah, and Irian Jaya Barat
2000 32 - Sumatera Selatan was divided into: Sumatera Selatan and Bangka Belitung
- Jawa Barat was divided into: Jawa Barat and Banten
- Sulawesi Utara was divided into: Sulawesi Utara and Gorontalo
2001 31 - Irian Jaya Timur and Irian Jaya Tengah have been merged into Papua
2002 32 - Riau was divided into: Riau and Kepulauan Riau
2004 33 - Sulawesi Selatan was divided into: Sulawesi Selatan and Sulawesi Barat
2012 34 - Kalamintan Timur was divided into: Kaliantan Timur and Kalimantan Utara
2018 34 There is no change in number of province
The province number rose in 1945 – 1998 period was 2016 must be finished at 2019. It shows the positive
caused by the geographic reason such as too large area of action in reducing the spatial conflict problems [11]. The
each existed province. Different reason caused the target of that policy was to reintegrate all map themes in
growth of the number of province in 1999 – 2018. The Indonesia into one map (single reference, single standard,
regional autonomy/decentralization age was one of the single database, and single geoportal). Boundary dataset
reason why much more province were established in was the one of these themes. The One Map Policy is a
recent years. Each region (province and city/regency) has catalyst for speeding up administrative boundaries.
authorities to manage their own region i.e. government Regional boundary disputes are generally caused by the
affairs, public interest, natural resources, etc. Some of quality of the map which is an attachment to the new
new region establishment were bottom-up process regional expansion law (such as the attachment of the
through community aspirations [10]. New Region Establishment Law)[13].
Different maps covering the same thing i.e. Indonesia’s Definition of boundaries as imaginary lines that represent
forest cover became one of the reason why “One Map” natural and man-made features based on aspects of
has been mandated as a national target on mapping sector culture such as language, religion or etymology, known as
by president of the Republic of Indonesia in anthropomorphic[14]. Boundary making in the
2010[11].Then, it was followed by Presidential implementation of regional boundary mapping has been
Instruction No 10 year 2011 and Geospatial Information implemented in the international boundary mapping.
Agency establishment by the Law of Geospatial There were three significant contributors on the
Information No 11 year 2011[12]. Then, 5 years after the development of international boundary making theory i.e.
ratification of the Law of Geospatial Information, the Lapradelle (1928), Jones (1945), and Nichols
Presidential Regulation No 9 year 2016 has been (1983)[15].Based on the analysis result of Donaldson, the
legalized as the implementation of One Map Policy boundary making theory of Stephen B. Jones (1945) is the
although only cover 1:50,000 of scale. The target of “One most comprehensive and still relevant for 21 century
Map Policy” based on Presidential Regulation No 9 year [16][13]. The Jones’s boundary making has four main

stages namely: 1) allocation; 2) delimitation; 3) the Guidelines for Affirmation of Regional Boundaries.
demarcation of boundaries in the field; and 4) boundary There were 4 general steps of Indonesia’s regional
administration. Sumaryo used that theory as the base boundary making namely: 1) document preparation; 2)
theory for his dissertation. His dissertation focused on boundary tracking; 3) the demarcation of boundaries in
regional context (province and regency/city in Indonesia) the field; and 4) boundary map creation.
of boundary making and boundary dispute [15]. Each province and regency/city has different
Sumaryo argued that the regulation of regional boundary characteristic of boundary making process. Some case
making must refer to the present theory i.e. Jones’s need more than 20 years but the other case just need 2-5
theory. That regulation is related to “the Law of Local years of boundary making process. It depends on the
Government”. Before independence, Indonesia has three factors that caused the boundary dispute such as interest
dominant regulation about home affairs i.e. (natural resource, finance), structural (unequal
Decentralisatiewet1930, Wet op de Bestuurshervorming power/authority), data (different interpretation), values
(Stb 1922/216) and Osamuseirei No. 27 year 1942. Then, (belief systems), and relationships (negative experience in
after independence, Indonesia has eight regulation about the past) [13].
“Local Government” namely: 1) Law No 1 year 1945; 2) This paper aim is to explain the development or trend of
Law No 22 year 1948; 3) Law No 1 year 1957; 4) Law Indonesia’s administrative boundaries mapping after 1945
No 18 year 1965; 5) Law No 5 year 1974; 6) Law No 22 in order to get the information of Indonesian government
year 1999; 7) Law No 32 year 2004; and 8) Law No 23 performance in the “national boundary making”.
year 2014 [17].The regulation for regional boundary
making in Indonesia has been three times changed/revised II. MATERIAL AND METHODS
i.e. Ministerial Regulation of Home Affairs No 1 year The study was conducted in The Republic of Indonesia,
2006, Ministerial Regulation of Home Affairs No 76 year located in between from 6°N – 11°S to 95°E – 141°E.
2012, and recent valid regulation called Ministerial Location of the study is shown in Figure 1.
Regulation of Home Affairs No 141 year 2017 on
Fig.1: Research location map
This research used various data such as updated quantity obtained at successive times, often with equal
Indonesia’s regional boundary datasets, Indonesia’s intervals between them” based on oxford dict. Time-series
regional segments database, and legal documents. This is time-ordered sequence of observations. The examples
research used the latest spatial boundary datasets which of such data which is categorized as time-series data are
were updated on December 2017 due to the limitation of quarterly crime rates, annual birth rates, monthly
updated data. Using vary data sources such as Geospatial unemployment figures, etc. Time-series may be
Information Agency, Ministry of Home Affairs, and quantified discretely or continuously [18]. Statistical
Ministry of Law and Human Right. These data were method for analyzing time series is called time-series
analyzed by using statistic methods i.e. time-series analysis [19].That method is usually used to investigate
analysis. Literally, time-series term is “a series of a the phenomena which dealing with time-ordered data.

Matalas argued that time-series analysis may also be used data were clustered by use the periods based on the
to investigate the phenomena that vary in space especially regulation of boundary affirmation i.e. 1945 – 2005, 2006
in hydrologic study [20]. – 2012, and 2013 – 2017. Thirdly, all data were analyzed
This research used three general steps. Figure 2 shows the using time-series analysis method (ARIMA model)
research stages. Firstly, spatial and non-spatial boundary through SPSS software (trial version).
datasets were extracted as numerical data. Secondly, these
Fig.2: Research stages
III. RESULT AND DISCUSSION can be seen in Table 2 and spatially are presented in
Administrative Boundaries Affirmation in 1945 – 2005 Figure 3.
In the period 1945 - 2005, there were several regulations In 2003, precisely on December 22, Minister of Home
relating to regional government. At that time, there were Affairs Decree No 130 of 2003 on the Organization and
no specific guidelines regarding the confirmation of Work Procedure of the Ministry of Home Affairs was
regional boundaries. In 1945-2003 there was absolutely officially issued with one of the objectives to support the
no affirmation of regional boundaries for both regency / implementation of orderly government administration.
city and provincial segments. Basically, regional The Ministry of Home Affairs is a government
boundaries are an important component of the implementing element in the field of domestic
development law for the regions and several laws state governance including one of them is related to the
that definite boundaries are made by the Minister in this formulation and implementation of technical policies in
case the Minister of Home Affairs. Then, the numbers the field of general government. The author identifies that
differed in 2004 and 2005. There were affirmations of 5 with the existence of the Minister of Home Affairs
regional boundary segments in 2004 and 12 regional Regulation, implications for confirming boundaries in
boundary segments in 2005. In 2004, two Ministerial several regions. This is evidenced by several
Decrees were made by the Minister of Home Affairs on considerations of the issuance of the Minister of Home
regency boundaries: namely: 1) Minister of Home Affairs Affairs Decree concerning the boundaries of an area that
Decree No 163 of 2004 on Determination of the is related to orderly administration and the resolution of
Boundary of the Mimika and Paniai Regency and Puncak problems of natural resources. Both Minister of Home
Jaya Regency on Mount Grasberg and its surroundings Affairs Decree No 163 of 2004 and Minister of Home
(consist of 2 segments); and Affairs Decree No 246 of 2004used several legal bases,
Minister of Home Affairs Decree No. 246 of 2004 on the such as Minister of Home Affairs Decree No 130 of 2003
Boundary of the Cirebon Regency Region of West Java concerning the Organization and Work Procedure of the
Province (consist of 3 segments). Therefore a total of 5 Ministry of Home Affairs.
segments were obtained in 2004. The number of segments

Table.2: Definitive boundaries in 1945-2005

Definitive boundaries per Aggregate of the definitive
Year
year (segments) boundaries (segments)
1945 - 2003 0 0
2004 5 5
2005 12 17
Fig.3: Definitive boundaries in 1945 – 2005
Administrative Boundaries Affirmation in 2006 – 2012 determined respectively by the Minister of Home Affairs,
In contrast to the previous period, in the period of 2006- Governors and Regents / Mayors. Decisions on regional
2012 there was only one regulation concerning regional boundaries affirmation are determined by the Minister of
governance, namely Law No. 32 of 2004. Article 152 of Home Affairs based on the results of verification of the
Law No. 32 of 2004 explained that in regional central Regional Boundary Affirmation Team and
development planning it was based on accurate and includes maps of regional boundaries. In addition, in 2007
reliable data and information. One of the data and a Government Regulation No. 78 of 2007 was issued on
information is basic territorial information including the Procedures for Establishment, Elimination and
regional boundaries. Then, in 2006, on January 12, the Merger of Regions. The Government Regulation also
Minister of Home Affairs Regulation No. 1 of 2006 was stipulates that the regency / city and province boundaries
issued on Guidelines for Affirmation of Regional must be resolved / affirmed no later than 5 (five) years
Boundaries. The Minister of Home Affairs emphasizes after the establishment of the relevant provinces and
efforts to realize clear and definite regional boundaries regencies / cities. That affirmation of boundaries was
both from juridical and physical aspects in the field. The carried out in the field and should determined / legalized
affirmation of regional boundaries refers to regional by the Minister of Home Affairs. If it is not fulfilled
boundaries that have been stipulated in the law on according to the 5 (five) year deadline, then the
regional establishment. Stages of affirmation of land affirmation of regional boundaries is carried out by the
regional boundaries, namely: 1) document review; 2) Minister of Home Affairs.
border tracking; 3) installation of boundary pillars; 4) With the existence of written rules as a guideline, it turns
measurement and positioning of boundary pillars; and 5) out that it can increase the quantity of affirmation of
making boundary maps. The affirmation of regional regional boundaries from the previous 17 segments in the
boundaries in accordance with Minister of Home Affairs period 1945 - 2005 to 144 segments in 2012. There was
Regulation No. 1 of 2006 is carried out by Regional an addition of around 747% in 2012 from the
Boundary Affirmation Teams consisting of successive achievement in 2005 despite volatile realization. The
central, provincial and regency / city which were overall trend from 2006 to 2012 can be seen in Table 3.


Definitive boundaries Aggregate of the definitive
Year
per year (segments) boundaries (segments)
2006 11 28
2007 25 53
2008 15 68
2009 24 92
2010 13 105
2011 7 112
2012 32 144
One of the factors that influenced this was related to financing because in accordance with Minister of Home Affairs
Regulation No. 1 of 2006, the implementation of regional boundary enforcement activities was financed through the National
Income and Expenditure Budget and supported through the Regional Revenue and Expenditure Budget. The affirmation of
regional boundaries in the period 2006 - 2012 is still concentrated in Java, although there are several segments in Sumatra,
Kalimantan and Sulawesi (distribution can be seen in Figure 4).
Administrative Boundaries Affirmation in 2013 – 2017 problems, for example due to natural disasters, it can be
During this period, there were 2 (two) laws concerning reconstructed with the basic map. The Geospatial
regional government which were made as a basis. The Information Agency of Indonesia as an institution
first is Law No. 32 of 2004 up to September 29/2014 authorized to organize base maps has provided a base
because of September 30/2015, Law No. 23 of 2014 map of a scale of 1: 50,000 for the entire territory of
began to take effect on Regional Government. The Indonesia and a scale of ≥ 1: 25,000 in some region of
fundamental difference regarding the regional boundaries Indonesia.
of the two laws is that Law No. 23 of 2014 clearly states On December 12/2012, Minister of Home Affairs
that regional boundaries become one of the basic Regulation No. 1 of 2006 was replaced by Minister of
requirements of the territoriality that must be proven by Home Affairs Regulation No 76 of 2012 on Guidelines
coordinate points on a base map before an area can be for Affirmation of Regional Boundaries. Stages of
divided. One of the reasons for using the basic map is that confirming regional boundaries on land, namely: 1)
the boundary mapping uses one version of data that can document preparation; 2) border tracking; 3)
be accounted for. If in the future there are boundary measurement and positioning of boundaries; and 4)

making boundary maps. The basic issue is that Minister cartometric method as one method in tracking regional
of Home Affairs Regulation No. 76 of 2012 allows the boundaries was followed by the addition of realization of
implementation of the cartometric method for border affirmation of regional boundaries. It was recorded that
tracking and measurement and determination of until 2017, the definitive regional boundary was 472
boundaries. The cartometric method according to segments or around 227% from 144 in 2012. As in the
Minister of Home Affairs Regulation No. 76 of 2012 is previous period, the realization of the regional boundary
the search / withdrawal of boundaries on work maps and affirmation in the period 2013-2017 experienced
measurement / calculation of point position, distance and fluctuations. The overall trend for 2013 - 2017 can be
area coverage by using basic maps and other maps as a seen in Table 4. In this period, the distribution of the
complement. According to Maling, the cartometric definitive boundary has been fairly evenly distributed on
method is a method of measuring and calculating the the islands of Sumatra, Kalimantan and Sulawesi (can be
numerical value of a map [21]. The stipulation of the seen in Figure 5).

Definitive boundaries per year Aggregate of the definitive boundaries
Year
(segments) (segments)
2013 74 218
2014 70 288
2015 49 337
2016 55 392
2017 80 472
The cartometric method can be said to accelerate the number of affirmations is in 2017, namely 80 segments,
realization of boundary affirmation. In addition, indirectly while the lowest number is in 1945-2003, namely 0
the One Map Policy is also indicated to be one that segments. During this period, regional boundaries were
contributes in accelerating the realization of boundary not a priority because there had not been a regional
affirmation. The Presidential Regulation concerning the boundary dispute. Disputes began to occur because of the
Acceleration of the One Map Policy was promulgated in factors of decentralization where there were conflicts of
2016. According to the data in 2016 - 2017, the number interest between regions. Significant increase in
of definitive segments significantly increased by 45.45%. realization of boundary reinforcement was in 2012
towards 2013, from 32 segments to 74 segments. The
Administrative Boundaries Affirmation in 1945 – 2017 trend of realization of boundary assertions in the period
The period of 1945 – 2017 showed some extreme points 1945 - 2017 has fluctuated according to Figure 6. The
of realization of boundary affirmation. The highest definitive regional boundary distribution based on

aggregate per 2017 can be seen in Figure 7. Based on the 8). For 72 years after independence, the definitive
distribution map in Figure 7, the most definitive regional segments of Indonesia are still low i.e. 48.31% of all
boundary segments are still concentrated on Java. In administrative boundary segments.
aggregate, every year the definitive limit in Indonesia
always experiences an increase or an increase (see Figure
Fig.6: The realization of administrative boundaries affirmation per year in 1945 – 2017
Then time-series analysis was carried out on the definitive suitable to be used as a short-time forecast in the future
aggregate value from 1945 to 2017. Model statistics and because all coefficients are significant (<0.05) except
Model parameters which were resulted by time-series intercept (constant) and Error White Noise by using (1):
analysis can be seen respectively in Figure 9 and Figure 𝑌𝑡 = 249.236 + 1.978𝑌𝑡−1 − 0.978𝑌𝑡−2 + 0.832𝑒𝑡−1 . (1)
10. Based on Ljung-Box result, ARIMA model (1,0,1) is
Fig.7: All boundaries status based on December 2017 datasets

Fig.8: The aggregate of the definitive boundaries in 1945 – 2017
Fig.9: Model statistics
Fig.10: ARIMA Model parameters
IV. CONCLUSION there were 5 (five) boundary setting and confirmation

In the period of 1945-2003 the affirmation of territorial segments and in 2005 12 regional boundary segments
boundaries had not yet received priority. Changes in a were completed. Issued a boundary regulation in 2006
centralized government system to decentralization of increasing the quantity of affirmation of regional
boundary determination and confirmation activities began boundaries, the period of 2006-2012 has been resolved
to get priority. Regional boundary disputes due to 127 segments of regional boundaries. In 2017, the
economic potential and inter-regional interests. In 2004 definitive boundaries of The Republic of Indonesia in 72

years after independence reached 472 segments or Polit. Ed., vol. 21, pp. 122–235, 2010.
48.31% of total 977 segments. [11] Humas Sekretariat Kabinet Republik Indonesia,
“Menuju Satu Peta (One Map): Penetapan Peraturan
ACKNOWLEDGEMENTS Presiden Nomor 9 Tahun 2016 tentang Percepatan
The authors very pleased and gratefully acknowledge The Pelaksanaan Kebijakan Satu Peta,” setkab.go.id,
Centre of Boundary Mapping - Geospatial Information 2016. [Online]. Available:
Agency of Indonesia and The Directorate of Toponym http://setkab.go.id/menuju-satu-peta-one-map-
and Administrative Boundary - The Ministry of Home penetapan-peraturan-presiden-nomor-9-tahun-2016-
Affairs for data support. The authors also acknowledge tentang-percepatan-pelaksanaan-kebijakan-satu-
Centre of Research, Promotion and Cooperation - peta/.
Geospatial Information Agency for the financial support [12] Nurwajedi, Suprajaka, and T. W. Dheny,
in the process of this research. “Implementation of One Map Policy for Building
National Land Cover Map in Indonesia,” in From
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Adjusting the Capital Index (ICS), to the

Population of Santarém-Pa, It’s Capacity for
Mobilization and Political Action the
Environmental Exposure to Mercury
Enilson da Silva Sousa¹, Marcelo Augusto Machado Vasconcelos 2 , Denison
Lima Correa³ , Joaquim Carlos Barbosa Queiroz4 , Dulcideia da Conceição
Palheta5
1 University Federal of Para, BRAZIL
Email: prof.enilson@gmail.com
Email: Vasconcelos@ufpa.br
Email: denison.lima.correa@g mail.com

Email: joaquim@ufpa.br
Email: deiapalheta@hotmail.com
Abstract— Until the mid-1980s, the scientific literature contamination and actions taken by the State to prevent
focused on the environmental issue, particularly in the this type of accident.
Brazilian Amazon, attributed the mercurial Keywords— Contamination, Amazon, Participation,
contamination, the anthropic action, especially the Economy.
mining activities. The region of Santarém, in the state of
Pará, was chosen to conduct this research because it is at I. INTRODUCTION
the center of the discursions of mercury contamination in The Social Capital Index (ICS), defined first by Pierre
the Amazon. The objective of this study is to analyze the Bourdieu as "the aggregate of actual or potential
perception of risk to mercury contamination in the resources linked to the possession of a durable network of
population of Santarém, with the application of more or less institutionalized relations of knowledge or
Integrated Questionnaires to Measure the Social Capital mutual recognition" (Bourdieu, 1958 ), apud PORTES
Index - QI-MCS proposed by the World Bank. The (1998)), will be analyzed in this work, where its
methodological procedures were based on the application assessment to the population of Santarém, state of Pará,
of structured questionnaires in open and closed questions, Amazonia Brazil, was evaluated to measure the
through individual interviews, which addressed several mobilization capacity and political action, when exposed
aspects related to groups and networks; trust and to an environmental risk, in the case the mercurial
solidarity; collective action and cooperation; information contamination.
and communication; cohesion and social inclusion; For Bourdieu, this idea arises in an attempt to overcome
authority or capacity building and political action; the focus of traditional economic theory that fixes its eyes
mercury contamination. In order to determine the ICS, and attention only on economic and human capital,
variables that express interpersonal relationships among disregarding other forms of social exchanges, citing
community members were considered as well as their (HIGGINS, 2005). FIALHO (2004), affirms that every
participation in participatory and cooperative individual action makes possible the mobilization of the
associations. It is concluded that the risk is social structure, making possible an individual and
underestimated by the local population, since it does not collective gain. This would be a resource available only to
have enough information regarding the mercurial the privileged classes, while the lower classes would be

deprived of this power within the corporate structure. relationships, and is an individual attribute that allows
However this fact can be inferred because of its position access to resources differentiated not only from nature but
in the social pyramid, says Bourdieu. also those referring to social status - symbolic capital -
Capital emphasizes the fact that non-monetary forms and and cultural goods - cultural capital. (VENEROUS,
relations can be important sources of power and 2014).
influence, even when current literature shows that, The objective of this research is to test the proposal to
because the concept is understood and evaluated in measure the social capital index from the Integrated
different ways, many criticisms have been made about its Questionnaire to Measure the Social Capital Index - QI-
use (PATTUSSI, 2006). It is difficult to gauge, because it MCS, proposed by the Working Group on Social Capital
is lodged in the relations between individuals and of the World Bank in 2008. Applying this methodology
individual groups. From the ideological point of view, may be the tip of the lance and an alternative to measure
social capital can be the empowerment of citizenship, the social capital of a population, with this, to detect the
pluralism and democratization. organizational capacity and mobilization in the face of
Within this perspective, we will adopt the point of view extreme events that could compromise their corporate
of COLEMAN (1990), where social capital manifests organizations, collective welfare, measure their
itself through cooperation networks and norms of mobilization and action power environmental exposure to
collective reciprocity, in order to propose public policies mercury.
aimed at meeting demands of the local population
regarding access to information, prevention and control of II. MATERIAL AND METHO D
possible mercury contamination in the research area. This The municipality of Santarém, is located in the region of
situation is only possible because the individual is the mouth of the Tapajós river, confluences with the
immersed in a network of dense social relations, Amazon river, mesoregion of the Lower Amazon and the
according to this author. microregion Santarém in the western portion of the state,
However, most of the time, the concept of social capital is coordinates 02o 25 '30 "S and 54o 42' 50" W Gr, (IDESP
used as an analytical category that seeks to explain how / SEPOF-Pa, 2011) (Fig. 1), in Fl. SA.21, RADAM
individuals and collectivities have access to differentiated Project, 1976. According to IBGE, for the year 2010,
resources in society. More specifically, it seeks to Santarém has a population of 294,580 inhabitants, an area
understand how different networks of relationships are of 22,887 km2 and a population density of 12.8
articulated, which can bring individual or collective inhabitants per km².
benefits, even though it originates in a network of
Fig 1. Map of the location of the Tapajós river basin and the area of the municipality of Santarém.

Methodol ogical approaches feedback of these relationships. The Network would be
The following steps describe the methodological the various daily friendship relationships of the individual
procedures that aim to establish a sequence of activities or organizations, usually known as the network.
aimed at deepening and analyzing the presence of social 2) Trust and solidarity - this item seeks to elicit data on
capital in the municipality of Santarém-Pa., Which trust in individual relationships between extrafamilial
included a bibliographic review; fieldwork and elements, service providers and their variations over time.
application of Integrated Questionnaires to Measure 3) Collective action and cooperation - this category
Social Capital - IQ-MCS, of the World Bank; statistical investigates the working relationships of household
approaches and data analysis. members and the community in joint projects and / or
Calculation of the Capital Stock Index (ICS) joint responses to a crisis and consequences of non -
In the calculation of this index, the responses of 139 compliance with the expectations generated by such
individuals interviewed in the communities of Cucurunã, participation. In this case, we will consider environmental
São Brás, Alter do Chão, Arapixunas and Santarém urban contamination by Hg, a central theme in our research.
area from July 18 to 28, 2014 were considered. In order to 4) Information and communication - access to
measure social capital, questionnaires with 34 questions information as a central theme to help impoverished
with the following variables: Groups and Networks; communities to have an active voice in matters related to
Confidence and Solidarity; Collective Action and their well-being (World Bank, 2002, apud Grootaert,
Cooperation; Information and Communication; Cohesion 2009). Especially information on markets and public
and Social Inclusion; Empowerment and Policy Action services.
and Hg Research Register. 5) Cohesion and social inclusion - seeks to identify social
The Mercury Register was not originally included in the relations between co-opted individuals and their everyday
World Bank's IQ-MCS, however, it was added by the relationships within and outside their social niche. Which
authors to try to visualize how the respondents' perception groups are excluded from essential public services, taking
in this regard is. Seven questions were proposed: 1) In into account their social interactions.
your opinion, which environmental problem is most 6) Authority or empowerment and political action - here
relevant in your city? 2) How did you become aware of the empowerment, or empowerment of the cooperative
mercury contamination? 3) What activity do you consider and capacity to act together is observed and quantified.
responsible for the mercury contamination in the area? 4) These variables served as indicators to form the ICS in
Do you have confidence in the governing bodies the Tapajós bay environment, all applied in the five
responsible for the management of contaminated areas? 5) communities at random and based on previous surveys of
Have you ever had a miscarriage during your fertile life? social capital, and contributions of the authors to
(Applicable to women of childbearing age); 6) What is observations of issues related to this problem .
your main source of protein? 7) How many days of the Location of IQ-MCS application points
week do you consume this type of food? All proposed The choice of places to be applied the IQ-MCS was not
questions were idealized and based on a theoretical by chance, the urban area of Santarém, was chosen
framework on the subject of mercury. From that point on, because it is the municipality directly associated with
quantitative data were generated on the various faces of contamination by this metal; the Alter do Chão Village,
the social capital evaluated. functions as an important tourist pole, in the scenario,
The six dimensions of IQ-MCS (Integrated Questionnaire state and national, therefore, an area directly impacted
to Measure Social Capital - WB) with possible dissemination of environmental
Based on the World Bank's Thematic Group on Social contamination by Hg; the community of Arapixunas,
Capital, GROOTAERT (2009), the six dimensions of the located in the same hole, has its protein base in fish
World Bank's IQ-MCS were measured and analyzed to consumption, besides receiving seasonal influences from
measure social capital, which can be summarized as the waters of the Amazonas and Tapajós rivers, as well as
follows: communities along the Everaldo Martins Highway
1) Groups and networks - considers social participation in (Santarém-Alter do Chão), an area known as the Eixo
social organizations, formal and informal networks and Forte.

Fig. 2: Location of the points of application of the questionnaires i n Santarém.
The Social Capital Index (ICS) considers variables that i = 1, ..., m: number of indicators
express interpersonal relationships among members of the j = 1, ..., n: number of individuals interviewed
locality, as well as their participation in participatory and The value of the Capital Stock Index ranges from zero to
cooperative associations. The Social Capital Index is one, with 1 being the highest level of social capital
mathematically defined as (Pinheiro and Mendonça, accumulation, while zero represents the lowest level:
2008) and Moreira, (2009): - 0 <ICS ≤ 0,5 means low level of capital accumulation;
1 𝑖 =1 ∑𝑚 𝐸𝑖𝑗 - 0.5 <ICS ≤ 0.8 means average level of capital
𝐼𝐶𝑆 = ∑𝑛𝑗=1 [∑𝑚 ] (1)
𝑛 𝑖 =1 𝐸𝑚𝑎𝑥𝑖 accumulation; and
- 0.8 <ICS ≤ 1.0 means high level of social capital
The contribution of each variable (or indicator) accumulation.
in ICS is given by,
∑𝑛𝑖 =1 𝐸 𝑖𝑗
𝐶𝑖 = (2) III. RESULTS OBTAINED
∑𝑖 =1 ∑𝑛
𝑚
𝑗=1 𝐸 𝑚𝑎𝑥,𝑖 The calculated Capital Stock Index was 0.810 which
ICS: Capital Stock Index corresponds to a high level of social capital according to
Eij: score of the i-th indicator obtained by the j-th the scale that classifies the level of accumulation and
interviewee described above. Table 1 shows the participation of the
Emax, i: maximu m score of the i-th indicator indicators in the constitution of the ICS.
Ci: contribution of the "i" indicator in the Social Capital
Index
Table.1: Absolute and relative participation of ICS social capital indicators.

QUESTION / INDICATOR Ci Ci (%)
1. 7. Provision of other people to offer money on loan 0,025543 1,683
2. 9_A. People willing to help 0.032943 1,683
3. 9_B. Chance of someone taking advantage 0,038195 2,783
4. 10_A. Trust in local government members 0,064693 4,644
5. 10_B. Trust in Central Government Members 0,066842 6,568
6. 10_C. Trust in members of the state government 0,068274 8,533
7. 14. Cooperation in water supply problems 0,027333 9,320
8. 17. Differences between the characteristics of people 0,047267 10,68

9. 23. Feeling about crime and violence 0,035450 11,70
10. 24. Feeling of happiness 0,029124 12,54
11. 25. Ability to change life 0,066126 14,44
12. 26. Number of times people asked for the community 0,341370 15,42
ICS 0.810 100.00
Those responsible for the lowest level of social capital The values not stated in the percentage of each category,
accumulation of the items presented were the willingness then, refer to individuals who did not know or did not
of others to lend money, people willing to help, chance of answer the questions in each item analyzed. In these
someone taking advantage of third party, and trust in local results are presented only the most significant categories
government members. On the other hand, the indicators for conclusion of the research, as we will see next.
that contributed the most to increasing social capital In the Groups and Networks category, most respondents
accumulation were the number of times people asked for reported that they belonged to the same social group, 61,
community, the ability to change lives, feelings of 87% of the community, against 25.17%, who state
happiness and feelings about crime and violence. This otherwise. However, in the item religion, only 39.56%,
indicates people willing to strive for collective well-being say they belong to the same religious denomination,
(altruism to be taken into account), great capacity to face against 49.64%. Attention was drawn to the responses
changes in their lives, high satisfaction and happiness, related to identification by ethnic-racial groups, none,
and people with a personal capacity and a high degree of declared of the Black race, according to the IBGE
sociability of people living in the community in localities. denomination, (2008), while 43% declared themselves
Descriptive analyzes of IQ-MCS dimensions Pardos and 35.25%, Indigenous and other 17 , 9%, are
presented without declaration (Table 2).
Table.2: Table of the category Groups and Networks, representing the thinking of the members of the groups related to
Identification by Race / Ethnicity.
Thinking about the members of this group, most of them are from the same group
Identification of responses (ETHNIC GROUP) N. ABSOLUTE %
01 White 03 2,15
02 Black 00 0,0
03 Yellow 02 1,43
04 Brown 60 43
05 Indigenous 49 35,25
06 No declaration 26 17,9
Regarding the occupation, the interviewees belong to the Another 62.58% said that if they needed a s mall amount
same occupational branch, 64.74%, against 24.17%, and of money, these members would be willing to provide
the same social class. The schooling presents a significant them.
difference, 40.60%, stating that they do not have the same In Confidence and Solidarity, when asked about the level
level of schooling as the other members of the family of trust among group members, they say they trust
group. This statement may be related to the increase in themselves, but 79.85% say they can never be too careful.
social achievements reached by the lower class This item questions the degree of relationship and trust
population, including access to formal education between individual members, directly related community
Among those surveyed they occasionally work outside and
their communities, being this their main space where they In this category, participation and trust in local, state and
develop their economic activities, 55.39%. This situation central (federal) government members were also
corroborates, for the degree of confidence among evaluated and in both cases the evaluation was not v ery
members, who occasionally declare (33.81%), talk to receptive. Regarding the local government the trust index,
each other about particular matters or when they need I totally trust or trust very much, they were below 10%,
help; another 41.44%, say they often use this habit. They while I trust very little, with 47.48%, almost half of those
even declare that they have one to five people of interviewed
confidence in their range of action 51.79% of the ears.

In relation to the members of the state government, the consider yourself? Part of the population considers
indexes are worse, 0,0% and 5,03% of the respondents themselves Very happy, 40.28% and Moderately happy,
declare to totally trust or to trust in the government. On 46.76%, while only 0.71, declare Very unhappy. This
the other hand, 53.95% are very close to the actions of the group also has the power to make decisions that can
state government. Representing a high rate of population change the course of their lives, 42.44%, are generally
rejection and approval able to change their lives. In the past 12 months they have
The central government evaluations are also not the best, come together to jointly file a petition to a member of
being very close to the rejection rates of the state government or political leaders asking for something for
government, with 0.0% and 7.19%, for I totally trust and the benefit of the community, showing a capacity to
trust a lot, respectively 49.64%, I very much trust little mobilize the group when called upon or pressured by
In Collective Action and Cooperation, the response of the events that may affect their relationships.
communities, their participation in collective activities,
aimed at the common good, were evaluated, as if they In the last part of the IQ-MCS, the Hg Research Register
would be willing to work on solutions to a possible was introduced, in order to quantify and evaluate the
problem of water supply, even if it did not reach it. The population's response capacity, to a possible
responses were very satisfactory, with a rate of 61.14%, environmental contamination by heavy metals (Hg),
two respondents stating that very likely, would help solve assisted by IQ-MCS. Initially the interviewee is asked
the problem. what their opinion about the most relevant environmental
In Information and Communication, the number of problem in the city under their point of view. The
telephone calls received by individuals and the main and following were suggested: Burned; Extinction of species
most important sources of information about what of flora and fauna; Deforestation; Contamination of soils
governments are doing for the common good of the and water by mercury; and Waste and waste generated.
population were considered. Television and radio are still Garbage and human waste generated, deforestation and
the main means of communication, which socialize the mercury contamination are the environmental problems
actions of governments to society, with 22.06% and that most concern the population, with 30.93%, 28.77%
20.62%, respectively, even when it is opportune to choose and 25.89%, respectively.
more than one vehicle in the total of three sources of When questioned about how he became aware of the
information. mercury contamination, 46.04% reported, Newspapers,
Cohesion and Social Inclusion, in this modality the Magazines and / or Television; 36.69%, from different
interviewee is given the opportunity to evaluate the sources. While 0.0% say that they did not have any kind
differences in characteristics between people living in the of information coming from the Secretaries of
same neighborhood or locality. For example, differences Environment or Health of the governments. The
in income, social position, ethnic origin, race, caste, or campaigns of education and environmental awareness,
tribe. They were also able to take into account differences total 3.59%, while 13.66%, from informal conversations
in religious beliefs, politics, age and sex. In this respect, with friends or acquaintances.
significant differences that could generate some Also in the Hg Search Registry item, when asked: What
disturbance in the collective were not identified by the activity do you consider responsible for the mercury
groups. Among the questions proposed in the contamination in the area? The majority attributed th e
questionnaires are: difference in education, land tenure, activity of Garimpos (41%), Deforestation (15.82%),
wealth / material possession, social position, between Mining (9.35%), Agriculture (5.75%), and 28.05%, other
men and women, generations, new and old residents, sources.
political affiliation and religious belief. There is a balance The level of trust in government agencies responsible for
from the point of view of the interviewee. the management of contaminated areas was another item
When asked how they feel about crime and violence when disapproved in the survey, with 85.61% of those
they are alone at home? The results go beyond the interviewed who do not trust these bodies, against 11.51%
standards of large urban centers, as 38.13% of saying they trust.
respondents said they felt very safe and 35.25%, The questionnaire on spontaneous abortion, applied to
Moderately safe, only 7.91% were very insecure. women of childbearing age (15 to 65 years old -
Showing the relationship of trust between members of suggested), was introduced to close the questionnaire,
social groups and their families. even though it was not intended to investigate the clinical
In the category Authority or Capitation (Empowement) aspects of the interviewees. history, and try to observe
and Political Action, pointed to a population with high possible metabolic changes related to Hg contamination,
levels of personal satisfaction. When asked: How do you SANTOS (1999). A question was elaborated with this

theme, they answered if they had some spontaneous Congresso Internacional Interdisciplinar em Sociais
abortion during their fertile life, 12.23% said yes, and e Humanidades, Niterói, RJ: ANINTER-SH/
58.99%, no, other 28.77% did not know or did not PPGSD-UFF, 2012.
respond. The main source of protein consumed daily in [7] LIMA, j. c., A teoria do capital social na análise de
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IV. CONCLUSION http://www.biblionline.ufpb.br/ (Acesso em
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Diethyl ether additive effect in the performance

of single cylinder D I diesel engine with B20
Biodiesel blend fuel
P. Venkateswara Rao 1, D. Prabhakara Chary2
1 Professor,Department of Mechanical Engineering, Kakatiya Institute of Technology & Science, Warangal-506015,
Telangana, India
pvrao.kits@gmail.com
2 Asst. Professor in Chemistry, Department of Physical Sciences , Kakatiya Institute of Technology & Science, Warangal-
506015, Telangana, India

dpcnkd@gmail.com
Abstract—The present work involves in production of may change when different feed stocks are used. In
methyl ester (Biodiesel) from inedible oils like Jatropa oil comparison of biodiesel properties with diesel fuel, it has
and application of its B20 blend fuel with diethyl ether higher viscosity, density and cetane number. But the
(DEE) as an alternative fuel in D I diesel engine to energy content in biodiesel is about 10-12 % less than that
investigate the performance and properties of test fuel. of conventional diesel fuel on the basis of mass [2].
The methyl ester was obtained by base catalyzed Biodiesel properties are similar to diesel fuel; hence there
transesterification process and 20% of biodiesel blended is no need to modify the diesel engine when it is fueled
with 80% of diesel to form B20. The use of oxygenative with biodiesel or biodiesel blends with diesel fuel.
additive in blend fuel reduces the ignition delay and Additive is a chemical material added in base fuel to
combustion period of a diesel engine. This lowers the improve desirable chemical properties and also functions
sulfur and nitrogen oxide emissions with less combustion as a detergent or dispersed. Oxygenated additives like
period by the additive. The results show that the brake triacetin, diethyl ether etc. solve problems occur prior to
thermal efficiency increases with increase in load. The burning and promote complete combustion of fuel in the
maximum brake thermal efficiency is obtained for diesel, combustion chamber which reduces engine deposits,
B20 and B20DEE3 respectively at full load. The brake smoke and other emissions [3], [4].
specific fuel consumption decreases and minimum fuel Additives can be considered to improve combustion, fuel
consumption occurred for B20DEE6 fuel at full load. The economy, to decrease the emissions and to make biodiesel
exhaust gas temperature increases linearly with load and quality equivalent to diesel. The metal based additives,
is minimum for B20DEE3. The test fuel property results cetane number additives, antioxidant additives and
show that significant improvement in flash point, fire oxygenated additives help in improving the quality of the
point, viscosity and density, whereas increase in energy biodiesel [5]. Alcohols lower the flash point slightly and
content is observed with addition of DEE in B20 blend reduce the viscosity and density of blend fuel marginally .
fuel. With this fuel, ignition can start at lower temperature and
Keywords—Performance, Emissions, Blend fuels, able to burn completely to extract total energy content.
Viscosity, Biodiesel, Additive, Diethyl ether, Properties. The combustion rate of fuel is increased due to more
oxygen availability in alcohol, that results in reducing the
I. INTRODUCTION levels of pollutants in exhaust gases [6]. Additives
Mostly for transportation sector future energy significantly improve the quality of biodiesel and its
requirements can be replaced by alternative fuels like blends; enhance biodiesel properties , reduction from fuel
biodiesels derived from edible and inedible oils. Biodiesel system cleanliness with optimized performance and
is becoming a significant, renewable, future alternative economy of fuel [7].
fuel, lubricant and also as an additive to the existing DEE has the required properties to use in dies el engines,
petroleum fuels. Biodiesel is a biodegradable, non-toxic such as miscibility in diesel and biodiesel with high
and mostly renewable and alternative fuel. It can be oxygen content, low ignition temperature and high cetane
produced from various edible and inedible oils, waste number. The effect of DEE addition in mahua oil methyl
cooking oil or animal fats [1]. The properties of biodiesel ester (MOME) is revealed that carbon monoxide and

smoke were reduced more than 50% [8]. Diethyl ether has emissions at higher loads and increase at lower loads.
been identified as a potential renewable bio-based fuel Increase of maximum heat release rate and maximum
and oxygenated additive. Tests on diesel engine with neat pressure for the blends at higher loads and decreases at
Karanja oil methyl ester as a base fuel and blends of 5, lower load. Brake thermal efficiency of the blends is
10, 15 and 20% of DEE by volume basis improves, the similar to that of diesel fuel [19]. In this work diethyl
fuel properties like combustion characteristics, viscosity ether additive was uesd to conduct the experiments with
and cold starting problems [9]. With the experiments Jatropa oil methyl ester (JOME), the main advantage of
conducted on a single cylinder D I diesel engine fuelled this additive is easily soluble in biodiesel, suppress the
biodiesel with various percentage of DEE addition (5%, knocking of engine, improve efficiency and reduce
10%, 15%), concluded that 5% DEE addition lowered the emissions. DEE additive at 3, 6, 9 and 12% with B20 test
CO and smoke emissions with increased HC and NOx fuels were used to study the properties and performance
formation [10]. of engine to replace it as an alternative to diesel fuel.
The experimental studies were carried out to evaluate the
effect of Triacetin (T) as an additive with biodiesel on D I II. MATERIAL AND METHODS
diesel engine performance and combustion 2.1 Preparation of Biodiesel: Jatropha oil methyl ester
characteristics. By adding triacetin additive to biodiesel, (Biodiesel) blends B20 with oxygenated additive DEE is
the results showed that the engine knocking problem can considered to study the properties. Raw jatropha oil is
be alleviated to some extent and the tail pipe emissions filtered and heated up to 1050 C temperature in order to
were reduced. Experiments were conducted to compare remove solid particles and water content. In acid
the results with Petro-diesel, biodiesel and triacetin treatment methanol of 120ml and 2ml of concentrated
additive blends of biodiesel on the engine. Coconut oil highly pure H2 SO4 per liter of oil is added and heated with
methyl ester (COME) was used with an additive at magnetic stirrer at 620 C for about half an hour in a closed
various percentages by volume for all load ranges of the conical flask. The mixture is allowed to settle down in a
engine from zero up to full load. The results showed that decanter. The settled glycerin is separated at bottom of
performance is better compared with neat diesel in respect decanter from methyl ester. Sodium Methoxide was
of engine efficiency and exhaust emissions. Among the prepared by mixing thoroughly 200ml of methanol (20%
all blend fuels tried, 10% Triacetin combination with by vol.) with 6.5 grams of NaOH per liter of oil. This
biodiesel shows encouraging results [11], [12]. solution is added to the oil obtained from acid treatment,
The results with oxygenated additives indicate that smoke then stirred continuously at 620 C for one hour in the base
and particulate emissions are reduced without sacrificing treatment and allowed to settle down in decanter. The
other emission characteristics and thermal efficiency due collected Jatropha oil methyl ester (JOME) is bubble
to the high oxygen content in the fuels [13]. Addition of washed with pure water in order to remove soap contents,
10% DEE improved the BTE, lowered the smoke and CO acid and methanol. The sequence of biodiesel making,
emissions without affecting NOx emissions [14]. The reaction takes place and prepared biodiesel are shown in
report with 5% addition of DEE resulted in higher BTE figures 1 to 3 respectively. The washed JOME is heated
with lower CO and smoke emissions compared to diesel. further above 1000 C for some time to remove water
At higher percentages of DEE (20% and 25%), decreases content. This biodiesel is used to prepare B20 (20%
BTE, with increase in CO and smoke emissions as JOME + 80% diesel by volume) blend fuels and then test
compared to diesel. This is due to phase separation of fuels from B20 with DEE additive.
DEE, injector nozzle cavitations and improper fuel
droplet injection in cylinder chamber [15]. The
performance with diesel-biodiesel-ethanol blends in CI
engine show that, BSFC increased at lower loads with
reducing BTE (21.7%). CO emissions decreased with
increasing CO2 and NOx emissions. HC emissions
reduced in all engine load conditions [16]. Triacetin being
antiknock fuel, with 10% blend emanated as a best blend
fuel with coconut oil methyl ester to reduce HC, NO,
CO2 , CO and smoke emissions with high performance
and no cylinder vibration in vertical direction of the
engine [17], [18] .
The results with ethanol in biodiesel decreases oxides of Fig.1:Stages of Biodiesel (JOME) preparations
nitrogen, smoke, carbon monoxide and hydrocarbon

Table.1: Blend fuels for Test
S. Type of Percentages in Blend
No Fuel Fuel
1 Diesel 100% Diesel
2 B20 20% Biodiesel (BD)
+ 80% Diesel
3 B20DEE3 97%B20+ 3%DEE
4 B20DEE6 94%B20+ 6%DEE
5 B20DEE9 91%B20+ 9%DEE
6 B20DEE12 88%B20+ 12%DEE
Fig.2: Reaction in formation of Biodiesel (JOME) III. RESULTS AND DISCUSSIONS

The properties of biodiesel blend fuels B20 with diethyl
ether additive at different percentages provide important
data to further investigate and analyze the operation of DI
diesel engine in terms of performance and compare the
results with diesel fuel.
3.1 Fuel properties: The following general properties of
B20 blend fuel with diethyl ether results are summarized:
i) Viscosity: High viscosity of biodiesel causes poor
atomization in fuel spray system and inaccurate fuel
injectors operation causes improper combustion in the
engine cylinder, results increased exhaust smoke and
emissions as compared to diesel fuel. Biodiesel can be
used as a substitute to diesel fuel at lower viscosity with
minimum environmental pollution. Under low
temperatures viscosity has a greater impact on fuel to
Fig.3: Biodiesel (JOME) flow smoothly from the storage tank into the engine
cylinder. From the figure 4 it is observed that the
2.2 Methodology Used viscosity of B20 is 28.57% more than diesel fuel due to
The required test fuels were prepared with B20 and at concentration of free fatty acid (FFA) in biodiesel. Due to
different percentages of diethyl ether (DEE) as shown in the low viscosity of DEE additive in blend fuels (B20)
table 1 with their percentages to study the properties and viscosity decreases as the increase in percentage of
performance of the engine. Diethyl ether and B20 blend additive. On the other hand, viscosity of B20 blend fuel
fuel are easily miscible homogenously. decreases by 11.12%, 13.89%, 22.24% and 27.49% with
The properties like flash point, fire point, viscosity, the addition of 3%, 6%, 9%, and 12% of DEE as
density and heat value were measured as per the ASTM compared to B20 blend fuel.
ii) Flash and Fire point: Flash and fire points of B20
standard procedures recommended by manufacturers.
These tests were conducted in a controlled room biodiesel blends with diethyl ether at various percentages
temperature, pressure and relative humidity to ensure that were tested are shown in figure 5. Biodiesels are non
the result will not be influenced with change in volatile due to higher molecular weight and produce
environment and compared the same with B20 blend fuel. sufficient vapours at higher temperatures to form a
Performance experiments were carried out on single combustible mixture with air, hence flash and fire points
cylinder diesel engine with the test fuels at different load of biodiesel and B20 blend with diethyl ether are much
conditions 0, 25, 50, 75 and 100 in percentage. Engine higher than diesel fuel. The flash and fire points of test
performance parameters such as mechanical efficiency, fuels gradually decreases with increase in percentage of
brake thermal efficiency, brake specific fuel consumption diethyl ether in B20 blend fuel. For the test fuels B20
with 3, 6, 9 and 12% of DEE the flash point decreases by
and exhaust gas temperatures results were compared with
B20 blend fuel. 3.07, 7.46, 9.7, 13.43% and fire point decreases by 5.97,
8.45, 7.74, and 10.56% when compared with B20 blend
fuel. The decrease flash and fire points of test fuels
makes it as a convenient fuel to use it in diesel engines.

iii) Heating value: The amount of heat energy released by
combustion of one unit fuel is known as heat value. The
heat value of fuel varies with the amount of moisture
content in fuel. In the biodiesel standards (ASTM D6751)
heat value is not specified but is prescribed in EN 14213
(for heating purpose of biodiesel) with a minimum of 35
MJ/kg. Figure 6 shows that the heat values of neat diesel,
B20 and B20 with DEE additive blends at 3, 6, 9, and
12% by volume are gradually increasing. Heat value
increases as the percentage of DEE increases in the blend
fuel because the heat value of DEE additive is much
higher than biodiesel. The maximum heat value obtained
for 12% of DEE additive with biodiesel blend Fig.5: Flash & Fire point values of B20 with DEE
(B20DEE12) was 41.7MJ/kg, which is 7.48% higher than
the heat value of B20 used for testing. The heat values of
all blend fuels are within the requirement of standards as
compared to diesel fuel.
Fig.6: Heat values of B20 with DEE
Fig.4: Viscosity values of B20 with DEE
iv) Density: Biodiesel density is higher than the diesel

fuel and this can be improved with the addition of
additives for better combustion and high output of the
diesel engine. Density is measured by using Portable
Density/Gravity Meter. High viscosity of fuel leads to
problem in pumping and spray characteristics such as
atomization, penetration and combustion etc. The
improper mixing of fuel with air contributes to
incomplete combustion that leads to low power output
and with high exhaust pollutants. Figure 7 shows the Fig.7: Density values of B20 with DEE
density of diesel; B20 and B20 with DEE blend fuels. It is
observed that the density of B20 is higher at 0.889 kg/m3 3.2 Performance:
and the density of diesel is lower at 0.842 kg/m3 . The i) Brake Thermal Efficiency (BTE): Brake thermal
addition of diethyl ether additive in B20 decreases the efficiency variation with respect to load is shown in fig. 7
density by 1, 1.7, 2.24 and 3.15% for 3, 6, 9 and 12% of for B20 blend fuel at different percentages of DEE
DEE as compared to B20 blend fuel. additive. The BTE of DEE blends with B20 and B20 are
higher as compared to JOME biodiesel. This is because of
DEE addition decreases the viscosity of mixture and
improves the atomization of fuel; hence combustion is
better to release more heat that improves the efficiency.

ii) Brake specific fuel consumption: The consumption of
blend fuel variation with the addition of DEE is shown in
the fig 8. The fuel consumption is less in case of B20 and
3, 6% of DEE, whereas for 9 and 12% are higher with
B20 when compared to diesel fuel. Addition of DEE with
B20 leads to decrease in BSFC, but further increase in the
concentration of additive, it is clearly observed that the
value of BSFC tends to increase. The BSFC is higher due
to its lower heating value, greater density and high bulk
modulus at higher percentages of additive. The minimum
BSFC is less than diesel fuel for 6% DEE additive with
B20 and is at 3.32%, whereas it is 9.27, 18.3% more than
diesel fuel for 9 and 12% addition of DEE additive with Fig.9: BSFC variation with Load
B20 blend fuel.
iii) Exhaust Gas Temperature (EGT): Fig. 9 shows
temperature of exhaust gas with respect to the load on
engine. Blend fuels EGT increases with increase in load
on engine because more fuel is drawn at higher loads.
EGT of diesel fuel is observed higher than all blend fuels
tested. In case of biodiesel, EGT is lesser due to lower
calorific value than diesel fuel. EGT increased as the
percentage of DEE increases, this may be due to higher
cetane number which reduces the ignition delay period
that changes the burning rate of blend fuel. The exhaust
gas temperature of 9 and 12% of DEE additive blend
fuels with B20 are 6 and 2.1% below the temperature of
diesel fuel at full load on engine because of improvement Fig.10: Temperature variation with Load
in the process of combustion.
IV. CONCLUSIONS
From the experiments conducted the following
conclusions are drawn:
 The minimum BSFC is for 6% DEE with B20
blend and 3.32% less than diesel fuel. Brake
thermal efficiency of engine increases by
addition of DEE additive which provides
complete combustion to release heat and reduce
carbon emissions.
 Exhaust gas temperature of 9 and 12% of DEE
additive with B20 blend fuels are 6 and 2.1%
below the temperature of diesel fuel at full load
Fig.8: Thermal Efficiency variation with Load on engine because of improved rate of
combustion.
 The addition of DEE additive in B20 decreases
the viscosity and density of blend fuel, which
leads to better performance.
 A maximum heat value is obtained for 12% of
DEE additive with B20 blend fuel was
41.7MJ/kg, which is 7.48% higher heat value
than B20 blend fuel used for testing.
 Higher cetane rating of DEE and oxygen content
are also advantageous for obtaining lower smoke
emission.

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“Potential of Diethyl Ether as a Blended biodiesel on performance, combustion and emission
Supplementary Oxygenated Fuel with Biodiesel to characteristics in C I engine”, Alexandria
Improve Combustion and Emission Characteristics engineering Journal, 57(1), pp. 383-389, 2018.
of Diesel Engines”, SAE Paper No. 2008-01-1805,
2008.
[10] Sivalakshmi S, Balusamy T., “Effect of biodiesel
and its blends with diethyl ether on the combustion,
performance and emissions from a diesel engine”,
Fuel, 106, pp. 106–110, 2013.

Extraction and Evaluation of Tamarind Kernel

Mucilage powder for Hydrocolloidal Properties
Kirthy Reddy M1, Bhanu Teja Goud P2, Mighty Priya S3, Ravindra Kumar K4,
Govardhan U V5
1 Assistant Professor, Department of Food Processing Technology, College of Food Science and Technology, Bapatla
Email: kirthy88@gmail.co m
2 College of Food Science and Technology, Andhra Pradesh, Bapatla
Email: bhanuteja023@gmail.com
Abstract— Hydrocolloids are commonly used as dietary emulsifying agent, stabilizing agent, gelling agent. They
fibers, thickeners, gelling agents, emulsifiers, stabilizer, also possess characteristics of sustainable release in to the
fat replacers, clarifying agents, flocculating agents, product when added. (Gandhi et al, 2012)
clouding agents and whipping agents. The development of Mucilages extracted from seeds are sources of
applicable hydrocolloids from crops and food disposals natural hydrocolloids with low-cost offering a low-calorie
allow the recovery, recycling and sustainability of high intake turning it in an ideal product for the
value-added ingredients in the food chain. development/improvement of health products with
Tamarind seeds are subjected to various beneficial properties to human consumption, making
methods (soaking, drying, parching) for removal of seed them a potential option for application in the food.
coat. Finally parching at 80c for 20min resulted in 72% Tamarind seed polysaccharide is a natural
seed coat removal. The kernels were then milled through polysaccharide. Tamarind seed polysaccharide contains
355µm mesh using hammer mill. TKM is isolated from monomers of galactose, xylose and glucose sugars with
powder by hydrating TKP and dried with spray dryer each other by covalent bonds. Polymers are used present
which yielded 40% of TKMP. Physical and bio chemical in a molar ratio of 3:1:2, which constitutes 65% of the
parameters are studied for the kernel powder and seed components. Xylose is very crucial sugar of
mucilage powder. Functional properties such as tamarind seed, which can be used for xylitol production,
solubility, water holding capacity, oil holding capacity, Tamarind seed polysaccharide is mainly water soluble
swelling index, emulsifying ability and foaming capacity polysaccharide. (Malviya et al, 2012)
were analyzed. The tamarind seed mucilage dispersed in water
Solubility, WHC, OHC increased with increase has the ability of forming viscous solutions, with high
in temperature, foaming and emulsifying capacity thermal and chemical stability, edible, biodegradable,
increased with increased weight to volume ratio of non-carcinogenic, biocompatible and nontoxic properties
mucilage powder. The efficiency of using TKMP as (Sharma et al., 2014). Tamarind mucilage contains high
coating agent was studied by dipping potato wedges in amount of many essential amino acids, like isoleucine,
different aqueous 0.5% solutions of CMC, xanthan gum leucine, lysine, methionine, phenylalanine and valine
and TKMP. The percent coat pick up of TKMP was (Panigrahi et al., 1989), making the mucilage affordable
recorded as 6% which is higher than CMC. The percent as food additive.
frying yield of potato wedges dipped in TKMP solutions Due to high water activity of mucilage (a w >0.90)
recorded 68.4% which is higher than the potato wedge and carbohydrate composition, the shelf life is limited to
dipped in CMC solution (60.97%). These results show hours at room temperature, so it is necessary to use a
that TKMP can be effectively used as coating material for conservation process to preserve most of the active
increasing frying yield of the samples. ingredients and increasing its life span. One of the most
Keywords— Tamarind seeds, hydrocolloids, TKP, TKM, common technologies for this purpose is drying;
TKMP, emulsifying ability, foaming capacity. particularly spray drying which allows the properties of
the product such as color, flavor and nutrients to be
I. INTRODUCTION retained in high percentages (León-Martínez et al., 2010).
Mucilage is mainly water soluble As tamarind seed is a byproduct from pulp
polysaccharide. Plant mucilage are most widely used as industry and the hydrocolloids which are in food uses are
thickening agent, binding agent, suspending agent, expensive. So, an attempt was made to extract the

mucilage from tamarind kernel. As the mucilage doesn’t
possess any shelf life properties it is spray dried to II. MATERIALS AND METHODS
evaluate for hydrocolloid properties . Tamarind seeds were procured from the local markets
Therefore, the aim of the present study was to of Bapatla. Physical properties like length, thickness are
extract and evaluate the functional properties and measured using vernier calipers. Density, Sphericity and
physicochemical characteristics of tamarind seed number of seeds/100g were performed for both tamarind
mucilage powder with the following objectives: seeds and kernels. Tamarind seeds are subjected to
a. Extraction of tamarind seed mucilage and spray drying various treatments for efficient seed coat removal (Fig 1)
b. Evaluation of spray dried mucilage for its functional
and physico chemical properties.
Fig 1: Flowchart of treatments for seed coat removal
Percent seed coat removal was calculated using the basis (w.b.) was calculated by using the following
following formula equation,
% removal of seed coat = (w2 − w3)
Wt of the seeds taken −Wt of the seeds without seed coat
Moisture content (%w. b. ) = ∗ 100
∗ 100 (w2 − w1)
Total weight of the seeds taken
where, w1 = weight of empty box, g,
After every treatment tamarind seeds without seed coat
w2 = weight of box + weight of sample, and
were milled through 355 µm mesh by using hammer mill.
w3 = weight of box + weight of bone dry material, g.
The percentage of extraction yield of kernel powder was
The protein content is measured by using Micro kjeldahl
calculated by following equation,
method, The Total Carbohydrate content can be measured
% Extraction yield
by Phenol Sulphuric Acid method, The fat content of the
Wt of the kernel powder
= samples is estimated by Soxhlet method. Swelling index
Total weight of the seeds taken
of tamarind seed polysaccharide was determined by using
∗ 100
the formula
The moisture content of tamarind kernel seed powder was
Swelling Index
determined by air oven drying method by placing about 2 Increase in the height of graduated cylinder
g of sample for 24 h in an air oven maintained at 103 ± 1 =
Height at intial addition
°C (AOAC, 2000). The moisture content (m.c.) on wet
Tamarind kernel Mucilage (TKM) extraction was done
using the following procedure

Fig 2: Flowchart for extraction of TKM
Spray Drying: Spray drying of mucilage: The percentage of extraction yield of powder
In general, fruits and vegetable juices are being from mucilage after spray drying was calculated by
spray dried after adjusting the total soluble solids (TSS) following equation,
of the juices to 5% by incorporating maltodextrin. It % Extraction yield
increases the spray drying ability. It acts as an additive. Wt of the mucilage powder
=
It was tried in the present study to decrease the Total weight of the mucilage taken
addition of maltodextrin to increase the TSS level through ∗ 100
trial and error experimentation and achieved spraying Solubility:
capability for tamarind kernel mucilage. The mucilage Dispersions were prepared with 1.0 g of dry
(100 mL) was spray dried with a laboratory scale spray tamarind seed mucilage in 10 mL of bi distilled water at
dryer (LabPlant SD-05, England) with a concurrent air different conditions of temperature (15°, 25°, 45°, 55°,
flow at different inlet drying air temperature 135 ± 5°c 65°, 75° and 85° C) for 30 min with continuous stirring at
and the outlet temperature of 80 ± 5°c. The realistic 400 rpm. The dispersions were then centrifuged with a
values for spray dryer operational parameters were cooling centrifuge for 15 min at 5500rpm. Supernatant
obtained from Lab Plant SD-05 manual. were dried in a hot air oven at 100 C for 12 h.Percent
solubility was calculated by following equation,
Dried weight of supernatant
% solubility = ∗ 100
Total weight of the sample taken
Water holding capacity (WHC):
The WHC and OHC were evaluated at different
conditions of temperature (15°, 25°, 45°, 55°, 65°, 75°
and 85° C). For WHC, dispersions of 1% (w/v) of
mucilage powder were prepared and placed in centrifuge
tubes previously weighted containing a magnetic stirrer.
Put in an agitation water bath for 30 min at the prescribed
temperature. Then, the dispersions were centrifuged for
15 min at 5500 rpm. The supernatant was decanted, and
the sample was reweighed.
Dried weight of supernatant
Fig 3: Spray Dryer WHC g/g =
Total weight of the sample taken
3.7.3. Oil holding capacity (OHC)

For the OHC at 15°, 25°, 45°, 55°, 65°, 75° and Among all the combinations of the treatments
85° C at 1% dilution of powder mucilage with corn oil parching for 22 min resulted in higher percentage of seed
(w/v) was prepared in a previously weighted centrifuge coat removal (72%) when compared with other
tube containing a magnetic stirrer. And put in an agitation treatments. 25% concentration of soaking in NaoH
water bath for 30 min at the prescribed temperature. The resulted higher percentage in seed coat removal (25%).
dilution was centrifuged the supernatant was decanted and 30% concentration of NaoH resulted in leaching of
the swollen granules were weighted. mucilage and also more absorption of moisture which
Weight of oil absorbed sample resulted in higher drying time. Among drying samples,
OHC g/g =
Total weight of the sample taken drying for 75 min resulted in 52% of removal of seed
Emulsifying ability coat. More prolonged time of drying resulted in increase
Homogenized mixtures prepared (0.2, 0.4, 0.6, 0.8 of volume of tamarind seeds and explosion of the seeds
and 1.0 %) from mucilage powder and 10 mL corn oil have been observed.
were homogenized at 6400 rpm. The homogenized Parching for 25 min still resulted for higher
mixture was centrifuged at 5500 rpm for 10 minutes. percentage (76%), but the color of the kernel inside has
Emulsion volume been changed to dark brown due to the effect of
Emulsifying ability = ∗ 100
Total volume temperature charring and dextrinisation. So, comparing
Foaming capacity between combinations of all the treatments parching for
Mucilage powder dispersions (0.2, 0.4, 0.6, 0.8 and 22 min i.e., 72% removal of seed coat was considered as
1.0 %) were prepared and whipped. Foaming capacity of best option. After parching, tamarind seeds are crushed to
the powder was calculated by the following equation remove the seed coat and were milled through 355 µm
Foam volume mesh by using hammer mill. 78.84% kernel powder was
Emulsifying ability = ∗ 100
Total suspension volume obtained after milling.
Percent coat pick up and frying yield
The percent coat pick up was calculated after
dipping the sample (Potato wedges) in various prepared
hydro colloidal solutions for 1 minute. Percent coat pick
by the sample was calculated by the following equation
Percent coat pick up =
Wt of sample after dipping−Wt before dipping
∗ 100 Frying
Intial weight of the sample before dipping
yield
Frying yield of the sample treated with different
hydrocolloids after tray drying at 800 C for 25min was Fig.4: Tamarind Kernels and Powder
calculated by deep fat frying the sample in edible oil at
1800 C for 1 minute. Table.2: Parameters of Tamarind Kernel Powder (TKP)
Frying yield Properties/parameters Readings
Weight of the sample after frying Bulk density 0.508g/cc
= ∗ 100
Intial weight of the sampletaken for frying Tap density 0.526g/cc
Carr’s index 3.422
III. RESULTS AND DISCUSSION Moisture content 2%
Table.1: Physical properties of seeds and Kernel Protein 20.02g/100g
Properties Tamarind Tamarind Total Carbohydrates 74.50g/100g
seeds kernel Fat 20g/100g
Length 15.04mm 14.25mm
Thickness 6.41mm 5.26mm Protein content in kernel powder is about
Density 1.43g/cc 3 1.12g/cc3 20.02g/100g which is higher than the protein content of
Sphericity 0.74 0.72 wheat flour. The protein content of the tamarind kernel
No of seeds/100g 32 25 powder has nutritional significance, and as such intake of
the powder by substitution or replacement in different
As the seed coat is removed all the physical product formulations will greatly increase the total dietary
property values are less for kernel. The percentage of seed intake of consumers. Total carbohydrates present in
coat is 20% and the kernel which is also called as kernel powder (74.50g) are almost close to the
endosperm is about 80% weight of the total seed weight. carbohydrate values of other starchy grains/seeds. Due to
its higher carbohydrate content and higher fat content

(20g/100g) it can be used as mucoadhesive and also as This was attributed due to the presence of good protein
thickening agent in different food products. content along with the polysaccharides .
The swelling index of the TKP is 2.75.Water
retention capacity was found to be 5mL/g of the sample.
Extraction of Tamarind Kernel Mucilage (TKM):

Table.3: Combination of kernel powder to water ratio for mucilage extraction
Seed powder water ratio Amount of Total seed Mucilage
used for stirring water addition powder : remained after
for heating water ratio condensing, mL
20g:50mL 800mL 1:42.5 170 mL
(1:2.5) (1:40)
20g:100mL 800mL 1:45 200 mL
(1:5) (1:40)
20g:150mL 800mL 1:47.5 220 mL
(1:7.5) (1:40)
20g:200mL 800mL 1:50 250. mL
(1:10) (1:40)
Among all the combinations used for extraction due to high temperature and this type of insolubility
of mucilage from TKP 1:50 (Total seed: Water) ration might be due to the removal of water of imbibitions from
found to be effective and the mucilage leached into water the protein particles, since such an explanation would
is about 250mL after condensation. About 250 ml of TSM account for the effect of hot water in restoring the
is subjected to spray drying by adding 1% of malto solubility of the protein.
dextrin with an Inlet temperature: 135 ± 5°c, Outlet Water holding capacity (WHC) is an important
temperature: 80 ± 5°c and Pressure of compressed air: 4 property in food technology from a viewpoint of stability,
bar. The extraction yield after spray drying is 40% (8g of yield, texture and sensory evaluation. WHC represents the
TSMP). amount of water held and absorbed by the hydrated
Table.4: Physical and bio chemical Parameters of TKMP sample afterward an external force is applied. WHC for
Parameters Readings tamarind seed mucilage particles is showed in Table 4.7,
Bulk density 0.367g/cc this value increased as temperature was increased. This
Tap density 0.372g/cc may be explained because an increment on temperature
Carr’s index 2.4 results in an increment on molecular mobility of
Moisture content 2% molecules promoting the water absorption till 650 C (0.6
Protein 14.78±0.45% ± 0.024g/g). Decreasing trend was observed after
Total CHO 69.76±0.72% increasing of temperature above 650 C. At the temperature
Fat 4.76±0.36% of 750 C the WHC recorded was 0.54 ± 0.056g/g.
Ash 0.702±0.12% As the temperature increased OHC of the TSMP
has increased till 650 C (4.0 ± 0.04g/g) and OHC showed
a decline trend when further heated to 750 C (3.33 ±
Results presented in table 4 of various
0.07g/g). Similar values of OHC were observed in durian
parameters of Tamarind Seed Mucilage Powder. As the
seed gum (Amid and Mirhosseini, 2012) in guar and
difference between bulk and tapped density values are
xanthan gum (Segura-Campos et al., 2014). These values
close which indicates that the powder has lesser inter
particle interactions. Carr index value of the TSMP is 2.4 of OHC shows that tamarind seed mucilage powder could
play an important role in food processing, since fat acts
indicates that the powder has good flow ability. The
on flavor retainers and increases the mouth feel of foods.
Carr’s index of TSMP is lesser than TKP.
Functional properties of mucilage powder Emulsifying ability increased when the weight of
spray dried tamarind seed mucilage/volume of oil ratio
Solubility of tamarind seed mucilage particles
was increased. This fact can be explained from the
showed that the solubility increased with increase in
temperature. There was a drastic increase in the solubility increase in the fraction of mucilage and a subsequent
increase of the chains of the branched structure among the
percent till a temperature of 450 C (76.4 ± 0.31%), from
this point for every 100 C raise in the temperature the surface active to absorb oil molecules that lower the
surface tension. TSMP’s emulsifying ability was done
increase in the solubility percent was minimum. Heating
using 0.2, 0.4, 0.6, 0.8 and 1% concentrations of powder.
above 750 C (88.14 ± 0.50%) showed solidifying effect

Highest emulsifying ability was recorded at 1% REFERENCES
concentration (92.4±0.005%). [1] Gandhi , K.K.J., Deshmane, S.V. and Biyani, K.R.
Good foaming properties are linked with flexible 2012. Release Matrix Tablets Prepared by Wet
mucilage structure that can reduce surface tension. This Granulation Polymers in Pharmaceutical Drug
Delivery System: a review. International Journal of
effect is attributed to the increased amount of mucilage,
Pharmaceutical Sciences Reviews and Research.
which is transported to the interface to form visco elastic 14(2): 57-63.
films that improve the foam formation. As the [2] Malviya, R., shukla, P., Srivatava, R. and kulkarni,
concentration increased foaming capacity also increased. GT. 2012. Preparation and chacterisation of mango
Highest foaming capacity was recorded at 1% peel pectin as disintegrated polysaccharides.
concentration (3.70±0.04%). MEdycyne .42(3), 185-190.
Among all the treatments sample treated with [3] Sharma, M., Mondal, D., Mukesh, C. and Prasad, K.
2014. Preparation of tamarind gum based soft ion gels
xanthan gum has the highest coat pick up (34%), this is
having thixotropic properties. Carbohydrate Polymer.
due to the viscosity of the xanthan gum is more among 102 (1): 467-471.
the three treatments at particular concentration. The [4] Panigrahi, S., Bland, B. and Carlaw, P.M. 1989.
percent coat pick up of TKMP was recorder as 6% which The nutritive value of tamarind seeds for broiler
is higher than CMC. The percent frying yield of potato chicks. Animal Feed Sci. Technol. 22 (4): 285-293.
wedges dipped in TKMP solutions recorded 68.4% which
is higher than the potato wedge dipped in CMC solution
(60.97%). Highest yield was observed in potato wedges
dipped in xanthan gum solution (75.6%). These results
show that TKMP can be effectively used as coating
material for increasing frying yield of the samples.
IV. SUMMARY AND CONCLUSIONS

Carr index value of the TSMP is 2.4 indicates that the
powder has good flowability. The Carr’s index of TSMP
is lesser than TKP.
There was a drastic increase in the solubility percent
till a temperature of 450 C (76.4 ± 0.31%), from this point
for every 100 C raise in the temperature the increase in the
solubility percent was minimum. Decreasing trend was
observed after increasing of temperature above 650 C. At
the temperature of 750 C the WHC recorded was 0.54 ±
0.056g/g. As the temperature increased OHC of the
TSMP has increased till 650 C (4.0 ± 0.04g/g) TSMP’s
emulsifying ability was done using 0.2, 0.4, 0.6, 0.8 and
1% concentrations of powder. Highest emulsifying ability
was recorded at 1% concentration (92.4±0.005%).
Highest foaming capacity was recorded at 1%
concentration (3.70±0.04%).The percent coat pick up of
TKMP was recorder as 6% which is higher than CMC.
The percent frying yield of potato wedges dipped in
TKMP solutions recorded 68.4% which is higher than the
potato wedge dipped in CMC solution (60.97%). These
results show that TKMP can be effectively used as
coating material for increasing frying yield of the
samples.
Apart from coating agent TKMP can also be
considered as effective stabilizing, emulsifying and
foaming agents in food formulations instead of artificial
(synthetic) extracted sources.

An Experiment with 3 Layers Development for

IoT with NodeMCU12e + Nextion
Antonio Carlos Bento 1, Norberto dos Santos2, José Carmino Gomes Júnior3
1 Department of Informatics, Universidade Nove de Julho, Brazil
Email: acb01@hotmail.com
Email: projetosns@gmail.com
Email: mat.jose.carmino@gmail.co m
Abstract—This paper presents the results of an such as the elderly, people who are injured, children, or
experimental research with the development of a 3 layer even people who are bedridden, for some temporary
solution for the Internet of Things using the period.
NodeMCU12e controller and the Nextion touchscreen There are many technical materials, but few have
display to provide monitoring projects for individuals characteristics and content aimed at developing a solution
who require remote monitoring and special care, for the Internet of Things, especially with the object of
involving the health area, monitoring of patients, children scientific research, for this fact this work intends to
or people who are in medical treatment who need a contribute to the development and improvement of
remote monitoring. The results demonstrated the solutions that can serve as a basis for academic and
possibilities for creating solutions that could serve as a scientific studies.
basis for new projects with greater amplitude, The concept of Internet of Things is mainly used when
contributing to more robust solutions that can meet thinking about creating solutions for residential and
different types of products that can collaborate with the industrial automation, a few materials deal with the
health of the population in general. application of the Internet of Things to the health area,
Keywords—IoT; NodeMCU12e; Nextion; development; because it is a study that involves different areas such as
layer. electronics, computing, software development, database
and internet, the creation of projects to address this type
I. INTRODUCTION of solution, is characterized as very complex.
Due to the increase in the development of new This project presents the technical results obtained
solutions for the creation of products for the Internet of with the creation of a solution for the application of
Things, this work has as main objective to present the software development technologies in the period of 2018,
results obtained with the development of experiments in which the knowledge about the studies carried out was
with the use of programming in 3 layers, using devices applied, proposing a model that could be used in different
for monitoring of individuals requiring special care, types of projects , allowing a coupling or extension of its
which can be monitored remotely using devices resources in new models that use 3 layers of development.
developed for the Internet of Things or IoT.
As specific objectives, a solution should be presented II. BIBLIOGRAPHY REVIEW
using the C ++ programming language, usually used with The materials available in the IEEE Xplore library,
development of solutions for the Arduino controller, the IEEE Latinamerica, were used as a study base, which did
PHP development language, for building the business not present significant contents which could contribute to
layer, the AppInventor tool for building the interface on a the development of this project, presenting a gap for the
Smartphone device, a database developed with MySQL contribution of academic material that can collaborate
The motivation for the development of this project with the development of solutions more robust, with
came from the observation during the participation o n similar characteristics, or even to complete other studies
health projects, in which the absence of solutions and to be developed.
academic materials was identified, which could Based on studies of the Internet of Things, as
collaborate to create solutions in which there is a need for explained by CERN and ITU-IT, it is considered the use
distance monitoring of patients, who need special needs, of devices that can be connected between different

objects, such as those used in residences, companies, research base, providing an understanding of the
among other places. The connection between these processes required to create the solution.
objects, or things, allows the individual to control the As tools were used the Windows 10 operating system;
different objects remotely, or even controlled according to the IDE to build the screen for the Nextion display; the
their profile. Arduino IDE for the construction of the algorithm for the
When using three-tier development, it is possible to controller; the 000WebHost webpage server includes the
create a database infrastructure, a layer to control the construction of pages in the PHP language, also for the
business rules, this being the programming code itself, on creation of the MySQL database; the AppInventor MIT
the other hand, there is the creation of graphical tool for creating the interface used with a smartphone.
interfaces, so that the platform can be accessed in The devices used are: a Compaq Presario notebook
different places, with different devices. with Windows 10 64 bits; a NodeMCU12e device as
The studies about IoT (Internet of Things) were controller and WiFi network access; a Nextion
developted about authors as: Kargin et al. [3]; touchscreen display device; a Samsung Galaxy
Rajalakshmi & Shahnasser [4]; CERP [7]; Minchev & SmartPhone with Android; a WiFi network for remote
Dimitrov [8]; Hejazi et al. [10]; Miladinovic et al. [11]; data transmission and replay.
ITU-T [15]; Raj & Sankar [16]; Özgür et al. [17];
Poongothai et al. [18]; Srinivas et al. [20]; Singh et al. IV. RESULTS AND ANALISYS
[12]; Hlaing et al. [25]. With the three-layer design, there is the structure of a
For the devices operations were used technical three-way communication, such as a layer for interface, in
materials, as documents, manuals, technical references this layer solutions are developed for access to the
from manufactorers, and others as: Arduino [6]; Škraba et business layer, this being the second layer, used for
al. [5]; Bento [1]; Bento [2]; Oliveira et al. [9]; Singh et treatment of the business rules created with the necessary
al. [12]; Itead [13]; IteadlibNextion [14]; Srivastava et al. algorithms for the validation of the data, being this the
[21]; Saha & Majumdar [24]; Pakalapati et al. [23]; Barai third layer, for storage and access to the data.
et al. [22].
During the research, the IEEE Xplore databases, IEEE
LatinAmerica, the Scopus database, were used as the
information base. During the research, the key words that
involved this study were used during the research, but few
references were found on the subject addressed,
references on the devices for the Internet of Things, were
Fig. 1. Three layer development model.
found in few quantities in these bases, the few that were
located, were used during this study, thus this lack of
The NodeMCU12e controller was selected for its low
research papers, provided an opportunity for the
cost, compared to other devices available in the national
development of this study.
and international market, due to its s pecific
characteristics, in which it already has an integrated WiFi
III. METHODS AND MATERIALS
devices, considering its high capacity of storage,
As a methodology, the experimental research was
processing and size , these being its main advantages
used, in which experiments were developed with the
compared to other devices like the Arduino Uno.
selected devices and tools, considering the hypothesis for
Considering the studies developed by Bento [1].
the creation of a solution that can be used in different
The Nextion touchscreen display was used in this
environments, serving as the basis for the development of
project because it has advantages in comparisons with
more complex projects, the which can be adapted with
other devices, such as a proprietary IDE, has a reduced
different types of resources. Usually used for solutions
number of connection cables, with reduced size, storage
that meet the needs of individuals who need to control or
and processing capacity, superior to other models,
monitor objects in different locations, or even people.
considering the model ILI9341, comparative results of a
After the studies on the devices and tools, the
study developed by Bento [2].
experiments were applied considering the connection and
data transmission during the testing phase, prototypes
were created considering the technical documentation and
operations manuals provided by the manufacturers. In
addition to other scientific materials that were used as a

client.println();}}
A. First layer (the interface)

With the algorithm in the NodeMCU12e devices, it
was possible to send data, such as for pulse control,
humidity, heart rate, then send the device code so that it
can be used to create reports in future consultations ,
allowing the presentation by graphics, images, or even in
reports with filters, all this information is stored in the
layer of data, which receives the data sent through the
internet, using the algorithms of the business layer.
Fig. 2. Connection scheme with the devices NodeMCU12e

and the Nextion touchscreen display.
The following is part of the code used for accessing

the WiFi network by the NodeMCU12e device, firstly the
configuration of the email and password for accessing the
WiFi network is performed, soon after the attempt is
made to access the network, as demonstrated in the
algorithm. After access the data is transferred to the data
layer.
int loop_wifi_get(String v_dev, String v_sensor, String Fig. 3. ITEAD editor for Nextion display screen project
v_radio, String v_dtrec) created for the solution, to validate the WiFi access.
{ if (WiFi.status() != WL_CONNECTED) {
Serial.println(F("Error during connection...\r\n")); The following screens were created to allow access to
Serial.println(esid.c_str()); the settings for the WiFi network, allowing the entry of
Serial.println(epass.c_str());} Login ID and access Password for the WiFi devices, in
Else { this way it is possible to start the data for tests. This data
WiFiClient client; was used for reading at the business and data layer with
// Attempt to make a connection to the remote the Smartphone.
server
if ( !client.connect(HOST_NAME, HOST_PORT)
){
Serial.println(F("Not success...")); }
Serial.println(F("Tentando enviar GET..."));
// Make an HTTP GET request
//cod_sensor val_sensor val_reg event_date
event_message cod_patient
v_dtrec=Formata_relogio("");
Serial.println("GET
/_action.php?txt_v_dev="+String(v_dev)+"&txt_v_senso
r="+String(v_sensor)+"&txt_v_radio="+String(v_radio)+ Fig. 4. The main screen for entry login acces and
"&txt_v_dtrec="+v_dtrec+" HTTP/1.1"); password, created with ITEAD editor for Nextion display.
client.println("GET
/_action.php?txt_v_dev="+String(v_dev)+"&txt_v_senso This interface layer was created to facilitate the
r="+String(v_sensor)+"&txt_v_radio="+String(v_radio)+ configuration of the NodeMCU12e device, enabling the
"&txt_v_dtrec="+v_dtrec+" HTTP/1.1"); validation of access and transmission of collected data
client.print("Host: " during a patient monitoring process, served as a
client.println(HOST_NAME); communication medium for the internet transmission to
client.println("Connection: close"); the business layer, the which should receive the

transmitted data, at this point the data is validated by the the access by QRCode, another way, is to send the
router of the residence, the data on the WiFi network and package by email, soon after this should be installed on
password should be recorded in the device NodeMCU12e the smartphone.
for future access.
Another layer of interface was created to allow the
user access that should monitor the data remotely, using a
smartphone device with the Android operating system, so
it is possible that even the distance monitoring is possible,
for the development of the solution was used the platform
of IT AppInventor, developed for programming in blocks,
facilitating the understanding of the process.
Fig. 7. The smartphone interface screen for user and

password validation.
After confirmation of access to the user and password

registered in the system, the user should be directed to a
Fig. 5. Appinventor screen for user and password monitoring screen, in which should be alerted if there is
authentication. any occurrence of the type increase in temperature or of
the patient's heart rate, in this way who is monitoring can
In the screen of the appinventor that is used in the mobile monitor the events immediately and take some action to
phone, only the user and password information that is check if the patient needs any special care.
registered in the main system are validated, after the At this point the smartphone performs the internet access,
validation of the user the other screens should be possible, sending the user data and password, from the other page
allowing the visualization of the reports. the page server which has the codes in PHP, perform the
The appinventor works with the development of validation of the username and password, giving the
algorithms in the form of blocks, allowing to drag the interface a message, informing if the access was
components to compose a rule of validation of the steps to successful or not, if it has been successfully completed
be used during the process. Some of the main rules that the system in smatphone should release access to pass
were used during the project are presented. next pages.
B. Second layer (the algoritm)
The second layer was developed with the PHP
development language, for the application was created an
algorithm to verify the user's email and password,
registered in a database with the MySQL Database
Management System, this being the storage used in the
third layer, which should be presented next. The
algorithm in the second layer allows access using an
internet network, in which data is sent by the Post or Get
Fig. 6. Part of the algoritm created with the AppInventor methods, depending on the model adopted.
for user and password validation. <?php
$db = "dbname";
During the creation of the screens with the appinventor, it $dbuser = "dbuser";
is necessary to carry out the construction of the solution $dbpass = "dbpassword";
using the tools menu, after the creation of the project $connection =
package, which should have the .APK file extension, the mysqli_connect("dbservernameorlocalhost", $dbuser,
created file can be sent by email, or directly to the cell $dbpass) or print (mysqli_error());
phone via USB cable, or even through the internet with

mysqli_select_db($connection,$db) or
print(mysqli_error($connection));
$vemail=$_POST['femail'];
$vpass=$_POST['fpass'];
$sql = "SELECT * FROM user_regs WHERE
user_email='$vemail' and
aes_decrypt(user_pass,'passencript')='$vpass'";
$result=mysqli_query($conection, $sql) or die
(mysqli_error());
$row=mysqli_num_rows($result);
if ($row>0) {
while($cons = mysqli_fetch_array($result)) { }
echo "<center>Success</center>"; }
else { echo "<center>Error</center>"; }
mysqli_close($connection);
?> Fig. 8. The database phpMyAdmin login screen, for
second layer creation..
The algorithm was made available in a web
environment, in the case 000WebHost, a web hosting Access to create the database structure was developed
service, also had a MySql database system integrated to using the phpMyAdmin graphical interface, after
the environment, which facilitated the construction of the selecting the database and the creation screen for queries,
solution. The algorithm makes the call on the database the development environment for the project was created.
server, the access settings must be entered correctly
during access.
After access is sent a message on the page informing
if the connection and the access data are correct, returning
the message Sucess, in case of success and Error in case
of failure during the validation of the email and password.
The second layer must be available in a web
environment, to facilitate access in different devices,
providing portability and accessibility in different
locations and devices, in the case of this project an
application developed with AppInventor is who should
perform the interface between the algorithm and the
database that is in the third layer. Fig. 9. Query construction with the phpMyAdmin.
C. Third layer (the database) //Creating the database with user, email and pas sword
The creation of the third layer was done using the web encrypted
access environment, by the db4free site, which allows the CREATE TABLE user_regs ( cod_reg int(11) NOT
creation of database structures in MySQL for testing and NULL PRIMARY KEY AUTO_INCREM ENT,
validation of programs, another alternative is the use of user_name varchar(60),
the environment 000WebHost, which also allows the user_email varchar(40) UNIQUE KEY,
creation of environments for testing, the steps for the user_pass varbinary(256) NOT NULL) ;
creation are the same, changing only the access address //Inserting records with user, email and encrypted
for the servers, username, password and database name. password
The following algorithms demonstrate how to create INSERT INTO user_regs (user_name, user_email,
the database, insert records and construct the inserted user_pass) values ('Antonio','teste@teste.com.br',
data, allowing access remotely, using internet resources , aes_encrypt('123', 'uni9'));
this same environment can be used for larger and complex //Verifying all records in the database
projects, serving as a basis for the creation of more robust SELECT * FROM user_regs;
solutions. // Testing the password decryption
SELECT user_name, user_email,
aes_decrypt(user_pass,'uni9') FROM user_regs;

As shown in figure 7, the project developed in the Computer Science and Management Studies, v. 6, p.
AppInventor, makes the access by sending the data typed 46-56, 2018.
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Network and cloud based dashboard with real time

KCS34 evaluation for WHR in cement industry

Mayra Diniz Ponce Arrieta1, Felipe Raul Ponce Arrieta2, 3
1 Federal Center of Technological Education in Minas Gerais, CEFET-M G, Brazil

Email: mayradiniz.eng@gmail.co m
2 Pontifical Catholic University of Minas Gerais, PUC Minas, Brazil
3 Ibmec BH, Brazil
Email: felipe.ponce@pucminas.br
Abstract—The simple Kalina cycle system 34 (KCS34) - processes, the possibility of using thermodynamic cycles,
has been studied to perform energy cogeneration from the especially the Kalina cycle in the utilization of waste heat
waste heat recovery (WHR) in preheater cement during the cement production process for the cogeneration
industries. The preheater available energy was of electric energy [2]. The KCS34has been studied to
considered from a 5000 tc/day cement production perform energy cogeneration from the waste heat
capacity. Thermodynamic and simplified exergoeconomic recovery in cyclonic preheater of the cement industries
models were developed in the Engineering Equation with dry production process. The preheater available
Solver (EES) software. Several cycle thermodynamic energy was considered from a daily capacity of 5000 ton
parameters as ammonia-water mixture concentration and of clink.
turbine operating pressure were wide-ranging in order to
maximize the cycle thermal efficiency aiming to minimize II. LITERATURE REVIEW
the electricity generation cost. The temperature-entropy Since the 1980s, when it was patented, the Kalina cycle
KCS34schematics were shown for different best results has been an efficiency promising. The expected
aiming to understand which set of parameters targets the conversion efficiency is as high as 45%[3]. An
maximum KCS34performance. The produced power, the optimization procedure for heat recovery boilers in
thermal cycle efficiency, the exergetic efficiency and the combined power noticed higher exergetic efficiency with
exergoeconomic electricity specific cost were plotted for fluid ammonia-water compared with the use of pure fluids
the different ranges of the independent parameters. The [4]. A Kalina cycle for electricity generation from the
optimum results for a range specific investment price exhaust gases of a gas turbine combined cycle have
were presented. The main conclusions indicate that in the attested that the Kalina cycle was found to be 10-20 %
range of the studied parameters the turbine operating more efficient than the Rankine [5]. Other paper indicates
pressure caused a generated power variation greater that Kalina cycle has 3% higher performance than
than the ammonia-water mixture concentration in the Rankine cycle in Husavick plant [6].In order to compute
KCS34performance. It was also possible to conclude that and locate the irreversibilities in a Kalina cycle, the
the KCS34is competitive with the existing electricity exergetic efficiency values reached 55% for an input of
prices. In this case the KC proved to be applicable for the turbine steam temperature of 525°C and an ammonia
WHR in the cement industry. fraction of 75% in the working fluid [7]. The exergy
Keywords—Kalina Cycle, Waste heat recovery, cement analysis of a cogeneration plant formed by a Kalina cycle
industry, CHP, cost. and a four-stage desalination plant was performed with
the purpose of the cogeneration plant was to generate
I. INTRODUCTION electricity with the simultaneous production of fresh
Currently, the industrial sector is a pioneer in energy water from geothermal energy [8]. A detailed description
consumption. In Brazil there is a total of 88 cement plants of the Kalina cycle terminology for waste heat recovery in
according to the Cement Industry Union [1], which fueled the cement industry has been presented by several
an apparent cement consumption of 353 kg/person/year in authors. The advantages of using ammonia-water mixture
2013, showing an increase of 1.4% over the previous as working fluid and points out the major design
year. Brazil is one of the world's largest cement producers challenges for the application of waste heat recovery in
placing fifth in the rank [1]. This way, the cement the cement industry, which focus on the design of heat
industry is in a large scale, a great investment option for exchangers that recovers energy from gases and the
energy recovery. Consequently, new technologies applied design of the components of distillation and condensation
to this sector is a point to be thought out, discussed and system [9, 10]. Different Rankine cycle configurations
worked mainly aim for improvements in industrial were comparedfor waste heat recovery in the cement

industry [11]. The authors also mention that if you want condenser (11), the heat exchanges operating fluid in the
to improve or increase the generation rate per ton of clink low temperature regenerator - LTR (6). In the pump (7)
should choice to use the Kalina cycle because with it has the fluid is pressurized to the operating pressure at the
a higher waste heat recovery in the cement industry. A turbine inlet. In LTR and high temperature regenerator -
Kalina cycle was optimized for waste heat recovery HTR (5) the working fluid is preheated before it enters
application [12]. A computer code was developed in the waste heat recovery boiler. The boiler is made up of
Matlab to simulate the cycle. In the ammonia the economizer - ECON (4), the evaporator - EVAP (3)
concentration range, between 0.8 and 1.0, at the turbine and the super heater - SA (5). After passing the working
inlet, it was observed that a higher temperature in the fluid through the EVAP and ECON, the fluid enters SEP
separator and turbine inlet, which leads to increased where it reaches the desired concentration of ammonia in
efficiency, and that the maximum efficiency was obtained the saturated vapor state ‘11’. The operating temperature
with a concentration of 0.9. An overview about the state at the turbine inlet is achieved by passing the fluid
of the art power generation technology from thermal through SA.
sources temperature range with non-aqueous fluids shows
the advantage of the Kalina cycle due to the evaporation Table 1: Available energy for WHR [14]
process in the boiler at a variable temperature [13]. Composition % Mol
CO2 28.0
III. METHODOLOGY N2 69.0
The study of waste heat recovery in the cement industry O2 3.0
has been developed in the steps mentioned below: Parameter Value
- Thermal schematic definition for waste heat recovery. Temperature (K) 623.15
The focus of this work is the cement plants that have Pressure (kPa) 101.32
satellite clinker coolers. In these plants the only available Volumetric flow (m³/h) 269,526
source of heat is the exhaust gas from the cyclonic
preheaters;
- Thermal cycle modeling. The modeling included the
mass, energy, entropy and exergy balances. The estimated
calculation of the cost of electricity generated was
included into the model;
- Heat recovery optimization. Different process variables
taking place in the thermal cycle were found to maximize
the generation of electricity and/or minimize the cost of
the generated power.
3.1 Thermal schematic definition

Considering the thermal source in focus, was selected a
KCS34 for the waste heat recovery. The schematic of the
cycle is shown in Fig 1. Table 1 shows the data of the
preheater available energy that was considered from a
daily capacity of 5000 ton of clink. These data are at state
‘17’ in Fig. 1.
The Kalina cycle can be considered simply to have a
small number of components. In the state ‘1’ it is
specified the steam at the turbine inlet conditions ‘1’,
specifically ammonia concentration, the pressure and
temperature of the working fluid. The fluid has a rich
concentration of ammonia at the turbine inlet in state ‘1’. Fig. 1: The KCS34
After expansion, in the state ‘2’, the fluid is mixed with a
poor solution coming from the ammonia separator - EPS 3.2 Thermal cycle modelling
(8). For mixing was employed a valve (9) to equalize the The modeling of the thermal cycle was performed in the
pressure of the mixture at the turbine exhaust. The leaner Engineering Equation Solver (EES) software. The
mixture to ammonia in state ‘3’ can be condensed at a modeling included the mass, exergy, entropy and exergy
lower temperature and pressure, thus allowing greater balances as well as the calculation of exergetic Fuels and
power generation in the cycle. Before entering the exergetic Products and exergetic efficiencies for each

component and thermal cycle as a whole. In equations 1 isentropic efficiencies. The values that were presented in
to 6 we present the model for the Kalina cycle as a whole. a range were used for optimization.
In these equations, the different states correspond to those
shown in the thermal cycle of Fig. 1. The different Table 2. Input data for modeling
quantities and terms in these equations are: 𝑄̇𝑖𝑛 , heat Parameter Unit Value
added to the Kalina cycle, in kW, 𝑄̇𝑜𝑢𝑡 heat rejected from 𝑥1 - 0.96
the Kalina cycle, in kW, 𝑊̇ , Net generated power in the 𝑃15 kPa 250
Kalina cycle, in kW, ṁ, mass flow, in kg/s; h, specific ∆𝑇𝑠𝑎𝑡 _9 K 5
enthalpy, in kJ/kg; ex, specific exergy (considering ∆𝑇5_15 K 5
physical plus chemical, as explained later), in kJ/kg Ḟ, ∆𝑇3_7 K 5
exergetic fuel, in kW; Ṗ , exergetic product, in kW; ηex , ∆𝑇4_16 K 10
exergetic efficiency and η, thermal efficiency. ∆𝑇𝑠 K 20
𝑄̇𝑖𝑛 = 𝑚̇ 8 ∙ ( ℎ10 − ℎ8 ) + 𝑚̇ 11 ∙ ( ℎ1 − ℎ11 ) ∆𝑇15_16 K 8 (1)
𝑄̇𝑜𝑢𝑡 = 𝑚̇ 4 ∙ (ℎ4 − ℎ3 ) ∆𝑇12_13 K 44.78(2)
𝑊̇ = 𝑚̇ 1 ∙ (ℎ1 − ℎ2 ) − 𝑚̇ 5 ∙ ( ℎ6 − ℎ5 ) 𝜂𝐵 - 0.85(3)
𝑊̇ 𝜂𝑇 - 0.85
𝜂= (4)
𝑄̇ 𝑒𝑛𝑡 𝑃𝑎𝑟𝑎𝑚𝑒𝑡𝑒𝑟 Unit Range
𝑃̇ 𝑊̇
𝜂𝑒𝑥 = = 𝑃1 kPa 5,700 – 8,000
(5)
𝐹̇ 𝑚̇ 17∙( 𝑒𝑥17 −𝑒𝑥20)
1 𝑞10 - 0.66 – 0.82
𝑘∗ = (6)
𝜂𝑒𝑥 𝑥10 - 0.869 – 0.925
∆𝑇19_9 K 11 - 25
For the purposes of the calculation, we used the
calculation subroutines gas mixtures properties presented The estimation of the power generated cost is done with
by [15]. With these subroutines the properties in the states equation (10) and data from Table 3:
‘17’ to ‘20’ are calculated. Specific exergy for the FA
Cger = CR ∙ ( Cinv ∙ + CO&𝑀 )
working fluid (states ‘1’ to ‘14’) considers both the HO
physical and the chemical portions according to equations

7 to 9. where
IC 1985 C 0,6
Cinv = ∙ Cinvref ∙ ( )
IC 2013 C ref
ex = exf + exq (7)
exf = h − h0 − T0 ∙ (s − s 0 ) i∙( 1+i)n
(8)
exq = x ∙ exq −NH3 + (1 − x) ∙ exq −H2O FA= (1+i)n −1 (9)
In the last equations we considered 𝑇0 = 295𝐾 e 𝑃0 =
101.32 𝑘𝑃𝑎 to compute the values of ℎ0 e 𝑠0 , 𝑥 is the Table 3. Input data for cost calculation
ammonia fraction in the working fluid. We considered Parameter Unit Value Reference
341,250 kJ/kmol, 3,120 kJ/kmol and 11,710 kJ/kmol for 𝐶𝑅 - 2.34 [17]
the specific chemical exergy of the ammonia, the liquid 𝐻𝑂 h/year 6000
water and the vapor water, respectively [16]. For the
𝑖 % year 5
states ‘15’ to ‘20’ only the physical exergy was
considered. Additionally, for modeling the data presented 𝑛 year 20
in Table 2 were assumed. In this table the temperature 𝐼𝐶1985 - 175 [18]
differentials presented refer to the state of higher 𝐼𝐶2013 - 100 [18]
temperature in the thermal cycle with respect to the state 𝑐𝑟𝑒𝑓 kW 6000 [19]
of lowest temperature, so the values are positive. In the
𝐶𝑖𝑛𝑣𝑟𝑒𝑓 US$/MW 973,000 [19]
case of ∆𝑇𝑠𝑎𝑡 _9 it is referred to the subcooling degrees
𝐶𝑂&𝑀 US$/MWh 0.096 [19]
under the saturation temperature at the turbine operating
pressure. This guarantees that the working fluid will
always be subcooled at the economizer outlet. The value The financial values were actualized and referenced for
of ∆𝑇𝑠 represents the temperature difference between December 2013. In equations 10 to 12𝐶𝑔𝑒𝑟 is the cost of
stages ‘17’ and ‘1’. The other fixed values are the cooling the generated power, R$/MWh, 𝐶𝑅 is the change rate, in
water inlet pressure (𝑃15 ), the ammonia concentration at R$/US$, 𝐶𝑖𝑛𝑣 is the investment cost in US$/MW, 𝐹𝐴 is
the turbine inlet (𝑥 1), and the pump (𝜂𝐵 ) and turbine (𝜂𝑇 ) the amortization factor, 𝐻𝑂 is the operation time per year,
𝐶𝑂&𝑀 is the operation and maintenance cost, in US$/kWh,

𝑖 is the interest rate, 𝑛 is the life time, 𝐼𝐶 is the cost index the breakthrough that results using KCS34 for generating
for a given year, 𝐶𝑖𝑛𝑣𝑟𝑒𝑓 is the investment cost at the electricity from waste heat in the cement industry.
reference capacity in US$/MW, 𝑐 is the calculated Table 4. Values for the optimal condition
generation capacity of the Kalina cycle, in kW, e 𝑐𝑟𝑒𝑓 is Parameter Unit Value
𝑃1 kPa 7,941
the reference generation capacity, in kW.
𝑞10 - 0.6667
3.3 Heat recovery otimization 𝑥10 - 0.849
The optimal region was located using the optimization 𝑥1 - 0.960
procedure by genetic algorithms available in the EES. ∆𝑇12_13 K 47.48
This optimization method was chosen because it is ∆𝑇19_9 K 11.73
mathematically robust and running error-free with large ∆𝑇𝑠 K 23.5
number of variables and constraints. In order not to incur The pressure of the working fluid in the turbine inlet has a
large calculation time was set to 3 the number of strong influence on the net generated power. As we can
individuals, in 4 the number of generations, and in 2 the see in Fig. 2 (A), as increases the pressure at the inlet to
mutation rate. Mathematically the optimization problem the turbine rise the net generated power. The net power
was formulated by the Eq. (13). The values of the also increases with increasing concentration of ammonia
restrictions are higher than the values in Tab. 2 in some in the working fluid in the evaporator. Note that for the
cases. The latter constraints are practical or conceptual, in maximum concentration of ammonia that was studied in
the case of 𝑇20 , it is the minimum temperature of the this simulation below the pressure of 6211 kPa at the
gases in the exhaust to atmosphere and in the case of the turbine inlet the system cannot operate because violates
generation entropy, 𝜎̇𝑔𝑒𝑟𝑖 , which requires that in each of the thermodynamics’ laws. The increase in the net
the system components meet the second law of generated power by the pressure is explained by the
thermodynamics. increase of the steam enthalpy at the turbine inlet. With
increasing ammonia concentration at the evaporator outlet
𝑀𝑎𝑥𝑖𝑚𝑖𝑧𝑒 𝑊̇ the generated steam flow increases. This happens because
𝑠𝑢𝑏𝑗𝑒𝑐𝑡 𝑡𝑜: with more ammonia in the mixture the working fluid
5,700 𝑘𝑃𝑎 ≤ 𝑃1 ≤ 8,000 𝑘𝑃𝑎 becomes zeotropic causing a uniform temperature profile
0.40 ≤ 𝑞10 ≤ 0.90 in the evaporator, which reduces the destruction of exergy
0.20 ≤ 𝑥10 ≤ 0.85 and allows you to generate more steam. Note that(13) with the
0.90 ≤ 𝑥 1 ≤ 0.96 combination of these two parameters the net power varied
𝑠2𝑠 ≥ 0.0 𝑘𝐽 ⁄𝑘𝑔𝐾 hundreds of kW values in the ranges studied.
𝑇20 ≥ 340 𝐾 In Fig. 2 (B) it is noted that with increased pressure at the
{𝜎̇𝑔𝑒𝑟𝑖 ≥ 0.0 𝑘𝑊 ⁄𝐾 𝑖 = 1, 2, … , 11 turbine inlet, the thermal efficiency and exergy efficiency
also increase. This increase is due to the increased
IV. RESULTS AND DISCUSION enthalpy of the working fluid at the turbine inlet with
Note that in Tab. 3 for most parameters the values found increasing pressure. Note further that the influence of
are close to one of their extreme limits. In the cases of 𝑃1 , pressure on the efficiency is enhanced causing variation
𝑥 10, 𝑥1 , and ∆𝑇12_13 the values were close to the in several percentage points.
maximum. In the case of ∆𝑇19_9 and ∆𝑇𝑠 the values were Reducing the temperature difference between the
close to the minimum. In the case of 𝑞10 the value was evaporator outlet gas (state ‘19’) and the working fluid at
close to the middle of the range. Further simulations the evaporator inlet (state ‘9’), i.e. the ∆𝑇19 _9 , increases
showed that the variation of ∆𝑇12_13 and 𝑞10 do cause the generation of net power in simple cycle Kalina to
variation in the generated power and the efficiencies of increase the generation of steam to the turbine. Note in
the Kalina cycle. In the case of 𝑞10 a very little increase in Fig. 3 (A) that the largest power values were achieved
the generate power was noted at 0.74. On the other hand, with the highest concentration of ammonia in the working
the value of the ∆𝑇𝑠 must be in the minimum to obtain the fluid, reinforcing what was already explained before. It is
maximum power. At the optimal condition the net also observed that although varied in the same proportion,
generated power was 2,725 kW, the thermal efficiency the effect of increased ammonia concentration exceeds
was 0.218, the exergetic efficiency was 0.552, a very high the reduction of the title at the evaporator outlet (which
value which is explained by the input source of exergy to should reduce the generated steam flow). The ammonia
the system has a low exergy potential to be a residual gas concentration is therefore one of the most influential
stream of low temperature. At this condition the cost of variables in the generation of net power in cycle. The
the generated power was 278,03 R$/MWh, corroborating temperature difference between the evaporator gas output

and the working fluid in the evaporator inlet ∆𝑇19 _9 has a
strong effect in the calculation cycle of the investment
cost. This variable is directly bonded to the surface of the
evaporator heat exchange, and thus to the cost. Thus,
operating in the minimum level of ∆𝑇19 _9 , will not
necessarily lead to lower cost of generation.
(A)
(A)
(B)
Fig.3. The influence of the o ∆𝑇19 _9 on the KCS34
performance
(B) The effect of varying the pressure at the inlet to the

Fig.2 The influence of the turbine inlet pressure on the turbine on the generating cost can be seen in Fig. 4 (A).
KCS34 performance According to this figure the cost of electricity generated
increases with pressure, which has a practical sense,
The influence of the temperature difference between the because to adopt higher working pressures requires
evaporator outlet and the gas working fluid at the greater material thickness and higher cost. But the right
evaporator inlet (∆𝑇19 _9 ) on the thermal efficiency and the explanation for this behavior is the cost modelthat was
exergetic efficiency can be observed in Fig. 3 (B). The adopted. As it was said before, the value of the cost of the
electricity generated is associated to the generation
thermal efficiency remains unchanged with the variation
of this parameter because it depends mainly on the amount and the same has been observed which increases
with the pressure at the turbine inlet.
enthalpy at the inlet and outlet of the boiler and turbin e,
which is not altered by the ∆𝑇19 _9. On the other hand, the Figure 4 (B) shows the effect of temperature variation in
the evaporator difference (∆𝑇19_9 ) on the generation cost.
exergetic efficiency becomes sensitive to this parameter
(∆𝑇19 _9), which once changed, impacts on exergy The cost of electricity generated decreases with increasing
temperature difference in evaporator following the same
destruction in the evaporator, which is the largest in the
trend behavior power according to the adopted cost
cycle.
calculation model. The trend shows that the cost model is

assertive in order to reflect that a greater temperature Gerais- CEMIG for the industrial sector in May 2014 was
difference in the evaporator will reduce the purchased 296.38 R$/MWh.
cost with thisequipment and thus causinga lower total cost
of the cycle and in the generated electricity. V. CONCLUSION
The study about the waste heat recovery in the cement
industry with KCS34 lets you express the following
conclusions:
- The amount of electricity generated can reach 2,725 kW,
with a thermal efficiency of 0.218, an exergetic efficiency
of 0.552 and a generation cost of 278.03 R$/MWh;
- The pressure of the working fluid in the turbine inlet has
a strong influence on the net power generated. With
greater pressure at the turbine inlet, the generated power,
the thermal efficiency and the exergetic efficiency
increase;
- The net power generated also increases with increasing
concentration of ammonia in the working fluid in the
evaporator. The ammonia concentration is therefore the
most influential variables in the generation of net power
(A) in the cycle;
- With the combination of the pressure values at the
turbine inlet and the ammonia concentration in the
evaporator that were studied, the net power ranged
hundreds of kW;
- The influence of pressure on the efficiency is enhanced,
causing variation in various percentage points;
- Reducing the temperature difference,∆T19_9 , increases
net power generation in KCS34. On the other hand, the
exergetic efficiency becomes sensitive to this parameter
since it impacts on exergy destruction in the evaporator;
- The cost of the generated electricity increases with
pressure and decreases with increasing temperature
difference in evaporator following the same trend of the
generated power;
(B) - The cost model is assertive to reflect that a greater
Fig.4. The influence of the turbine inlet pressure and o temperature difference in the evaporator will reduce the
∆𝑇19 _9 on the KCS34 generation cost purchased cost with this equipment and thus caus ing a
lower total cost of the cycle and in the generated
From the information shown in Fig. 4 the generated electricity;
power range between 2,500 and 2,850 kW with - In the great region calculated the generation of values
generation costs values ranging from 262.00 and 286.00 may vary in the range between 2,500 and 2,850 kW with
R $/MWh. The optimization performed with genetic generation costs ranging between 262.00 and 286.00
algorithms finds a middle ground in the region with R$/MWh. This cost range is competitive in the Brazilian
power values and costs of 2,725 kW and 278.03 market due to the value of the average supply tariff
R$/MWh, respectively. These results allow us to state that applied by CEMIG, which for the industrial sector in May
depending on the context of this great region it is possible 2014 was 296.38 R$/MWh.
to opt for a solution that leads to a minimum generation
cost, with less generation of power, or a solution leading ACKNOWLEDGEMENTS
to a generation of maximum electricity but with a greater The authors thank FAPEMIG, FAPEMIG/CEMIG APQ-
generation cost. In any case, the cost of generated power 03422-12 research project, ANNEL Research and
is competitive in the Brazilian market. According to the Developed program (P&D) research project GT0554 and
Ministry of Mines and Energy [20] the average tariff Pontifical Catholic University of Minas Gerais – PUC
value supply practiced by CompanhiaEnergética de Minas Minas for the financial support to this work.

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nts/issue25/winners_papers_Issue25/18_RASharma.p
df

Implication of Mining Investment improvement

as Effect of Increasing Government Expenditure
in Development of Mineral Industry in Indonesia
(2009-2016)
Hijir Ismail Adnin Rasyad1, Muhammad Yunus Zain2, Marsuki3, Abdul
Rahman Razak4
1 PhD Candidate, Graduate School of Economics, Hasanuddin University, Makassar, South Sulawesi, Indonesia
2 Professor, PhD, Graduate School of Economics , Hasanuddin University, Makassar, South Sulawesi, Indonesia
3 Professor, PhD, Graduate School of Economics , Hasanuddin University, Makassar, South Sulawesi, Indonesia
4 PhD, Graduate School of Economics , Hasanuddin University, Makassar, South Sulawesi, Indonesia
Abstract— Increasing mining investment as an effect of African GDP (HLA VOVA, 2015) and Pakistan (Awolusi,
government spending in the development of the mineral 2016; Saadat, 2016).
industry in Indonesia, aims to obtain mineral value added The foregoing occurs because of the high export of
in the long run according to Law No. 4 of 2009 raw minerals, followed by imports of concentrate and
concerning Mineral and Coal Mining, can be realized metal, which are also high to meet the needs of industrial
with mineral industry clusters in a mining business area raw materials, construction materials, energy,
(WUP). The method used is Simultaneous Equation telecommun ications and so on, so that mineral value
Model (SEM). added (value added of minerals) does not contribute
The increase in mining investment has a significant significantly to GDP (Keyness, 1936).
effect on increasing mineral value added, which has The phenomenon as above, also occurred in
positive implications for people's welfare which is Indonesia before the enactment of Law No. 4 of 2009
manifested in the form of increasing contribution to the concerning Mineral and Coal M ining, where mineral
mining and quarrying business sector of the Regency exports in various commod ities are very intensive,
GRDP, increasing employment opportunities and especially nickel, iron ore, copper and bauxite
industrial CSR towards local communities. commodit ies, but mineral value added from the
The increase in mineral reserves that have a production side is not significant (Rodenno, 2004; Ho ller
significant effect on increasing mineral value added as an and Stolwy, 1995 ; Hayami, 1987; Smith, 1977).
effect of government spending and mining investment has In other parts, the need for industrial raw materials in
positive implications for the longer duration of mineral the form of concentrate and in the form of metal to fulfill
production and industrial activities in a mining business construction, telecommunicat ions and energy needs, can
area (WUP), so that economic and social transformation only be fulfilled through imports. Iron steel impo rts
can be realized well. (Prasetio, 2010), alu mina imports (Agustinus, 2016), and
Keywords— Mining investment, government copper cathodes (Ministry of Industry, 2017) are still
expenditure and implications, value added, mineral quite high, causing mineral value added fro m the
industry cluster. expenditure side to be low (Keynes, 1936).
The study conducted by Lei, Na Cui and Dongyan
I. INTRODUCTION pan (2013) and Kniv ila (2007), found that the
The abundance of natural resources in a country, is a development of the mineral industry in Ch ina, Korea and
gift fro m A llah SWT, but does not always mean that its Taiwan had a significant effect on increasing value added.
added value contributes significantly to a country's Gross This, among others, led to the issue of increasing value
Do mestic Product (GDP), so that it can have positive added of minerals in Indonesia, through industrial
implications for people's welfare. Africa and Pakistan are development (Pangestu, 1999 in Suyanto, 2011; Solow,
countries with abundant natural resources, but the 1956; Kuznets, 1956) to be important to study, so that it
contribution of their added value is not significant to can have positive implications for welfare of the people.

Transformation of the mineral industry policy fro m The problem of the availability of reserves and
upstream to downstream according to Law No. 4 of 2009 investments above can actually be reflected by the
aims to generate value added for economic growth in the development of industrial clusters (Bodley, 2013; Porter,
long run (Adam, 2014), an appropriate step to increase 2001; 2000; 1998; Sch mit z, 1992; Marsall, 1890), which
mineral value added in Indonesia, among others through is a collaboration between several mining business units
the implementation of a ban on raw mineral exp o rts, in a mining business area (WUP) due to the similarity of
prioritizing the use of minerals in the country before geographical position, similarity to mineral t raps,
export, and the obligation for every mining business to similarities in output and similarit ies in geological
process the processing and refining of minerals in the concentration. This will form a geographic and central
country before export. corporate agglomeration (Sch mitz, 1992), special
Even though the purpose of the above policy industrial concentration in certain regions (Menzel and
transformation is correct, the policy up to now has not Pomah l, 2009; Marsall, 1890) and can only be realized
been able to be imp lemented maximally, part ly due to the with Govern ment support (UNIDO, 2001; UNCTAD,
problem of the availability of feasible mineral reserves 1998) , so that it can produce significant mineral value
(Wellmer, et al, 2015) in relat ion to investment and its added to the Regency GDP and GRDP, which has
profitability (Alayi , 2005; Gy lfason, 2004) and the need positive implications for improving people's welfare.
for government support (Wright and Czelusta, 2004).
Table.1: Value Added Mining and Excavation Business Fields against Regency GRDP in Indonesia
No. commodity Regency GRDP
Mining Business Area
in Indonesia (Million Rupiah)
2011 2013 2015
1 Kolaka Nickel 5,101,045.19 7,261,880.40 7,357,716.
2 South Konawe Nickel 980,751.37 1,285,068.99 1,545,704.18
3 East Luwu Iron 7,029,085.57 7,706,179.57 8,831,737.22
4 Solok Iron 360,217.30 416,374.68 452,713.80
5 Toli-Toli Copper 58,511.40 71,180.40 91,089.30
6 Pacitan Copper 746,654.40 497,298.50 536,233.40
7 Ketapang Bauksit 1,765,134.40 1,707,475.53 1,569,210.94
8 East Kotawaringin Bauksit 501,523.46 898,691.92 719,109.19
Source: Central Statistics Agency , 2010, 2014, 2016
II. THEORETICAL REVIEW al, 1987).

Industry is an economic activ ity that can create an However, Rudenno (2004) actually states that the
added value (Hasibuan, 2004), and value added itself can economic value of minerals will vary depending on the
be interpreted as a value added from a co mbination of type of mineral. Nickel in 1 ton is only 2%, but through
production factors and raw materials in the production the metallurgical process nickel in ferronickel can reach
process, and formu lated as production value (output) 10% - 30%. Th is, in line with article 1 paragraph 20 of
deducted between fees (Central Stat istics Agency). In Law No. 4 of 2009), where mineral processing and
fact, Gross Domestic Product (GDP) can be interpreted as refining activ ities are activit ies to imp rove the quality of
the amount of added value produced by all business units minerals and / or coal and to utilize and obtain associated
in a part icular country, and is the sum of the value of final minerals.
goods and services produced by all economic units. In fact, the Ministry of Industry (2010) also defines
Smith (1977), also states that added value is the industrial clusters as core industries that are concentrated
difference between the final product and the sacrifice that regionally and globally, dynamically interact with each
has been made. And, as the growth of the value of a other, both related industries, supporting industries and
product (commodity) with processing in a production, so supporting services, economic in frastructure and related
that it is a function of production capacity, the amount of institutions in increasing efficiency, creating assets
raw materials, the number o f labor, labor wages, output collectively and encourage the creation of competitive
prices, raw material prices and other inputs (Hayami , et advantage.

Furthermore, for the develop ment of the mineral human capital and 24 % by technological advancements.
industry with industrial clusters, one of them is by Then, Lubis et al (2015) also stated that the min ing sector
applying the Porter's Diamond Model which consists of investment is generally dominated by foreign investment,
the availability of natural resources, availability of capital, which has a positive and significant effect on GDP,
availability of hu man resources and availability of particularly in the mining and quarry ing business (Salebu,
infrastructure, which are interrelated with company 2014).Furthermore, in order to realize the increase in
strategy and competition, demand conditions , factor mineral value above and its implications for improving
conditions and related industries and supporters. In people's welfare, the increase in govern ment expenditure
addition, there are t wo addit ional factors that have an that affects investment increases (Keynes, 1936), and
influence, namely chance and government factors, so that increasing mineral reserves is one of the alternative
the six factors together form a system that is different pathways for developing the mineral industry in
fro m one location to another (Potter, 2000). Even so, Indonesia.
some industries can succeed in a location because not all
factors must be optimal in ensuring the success of an b. Availability of Mineral Reserves
industry. Reserve of minera ls is mineral deposits that have been
Furthermore, in order to realize the increase in mineral known for their size, shape, distribution, quantity and
value above and its implications for imp roving people's quality, and economically, technically, legally,
welfare, the increase in government expenditure environmentally and socially can be mined when
(government advenditure) that affects investment calculating (BSN, 1998). And, is a raw material that is
increases (Keynes, 1935) and increasing mineral reserves ready to be produced and mined economically (Bankes,
is one of the alternative pathways for developing the 2014; BP Statistical Review of World Energy, 2008).
mineral industry in Indonesia. Reserves consist of probable reserves and proven
reserves, where proven reserves are measurable mineral
a. Availability of Mining Investment resources based on a feasibility study that all related
Availability of capital or investment is very important factors have been fulfilled, so that min ing can be carried
for the operation of a mineral industry cluster. Jogianto out economically. Conceptually, reserves consist of the
(2008), states that investment is an investment in certain ultimate reserve, wh ich is the amount of reserves in an
assets to obtain more value in the future. Mobilizing area of unknown size, and identified reserve whose
resources for income in the future (Makmum, 2000). magnitude can be estimated by the technology that is
Investment is considered as a capital formation, which available at that time, which can increase in size through
means that the function of profit in the economy, where exploration activities and reduced due to production.
the government is not an important investor or participant, Availab ility of natural resources is the availability of
and foreign investment can be considered as the mineral resource inputs, as natural resources that cannot
formation of capital by a co mpany to a foreign country be renewed (Djo johadikusumo, 1994), whose formation
(Smith, 1776), no only important for the develop ment of takes thousands of years, such as minerals and rocks
the mineral industry, but also can encourage economic (Barlo w in Suparmo ko, 2006), which decreases
growth (Napier, 1981; Sollow, 1956). (depletion) in the presence production activities, so that
However, Keynes (1936) also states that demand for one day they will beco me goods that step, will increase
investment is inversely proportional to the interest rate. If with a new finding fro m explo ration activit ies
the interest rate is h igh, people will save money in the (Suparmoko, 2006; Arsegianto, 2000; Vogely, 1981), and
bank rather than investing it, because the expected return become very urgent in the development of the mineral
that will be obtained fro m bank interest is greater than the industry, because it determines technical feasibility and
investment, consequently the demand for investment will feasibility its economy (Stermole, 2000).
decrease. The high interest rate reflects the high cost of
credit, thus reducing the desire for investment amon g c. Government Expenditures
entrepreneurs. Keynes (1936), also stated that government Gu ritno (1999), states that government expenditure is a
expenditure has a positive effect on investment, and government policy, where the theory of government
investment has a positive impact on economic growth expenditure by economists divides into Wagner's legal
(Tambunan, 2003). model and the model of Peacock and Wiseman's theory.
An empirical study conducted by Jorgenson, et al Wagner (19th century), even stated that in an economy, if
(1987), states that the United States economy in the per capita income increases, then government spending
period 1948-1979, 46% of econo mic gro wth was caused will relatively increase, main ly because the government
by capital formation, 31% due to the growth of labor and must regulate relations that arise between society,

industry, externalities and market failures . one period to another have serious imp licat ions for
Bird (1971) in Guritno (1999), states that during the emp loyment opportunities, unemploy ment and price
occurrence of social disturbances, there is a diversion of levels, where govern ment spending and increased
government activities fro m expenditure before disruption investment can increase economic growth.
to expenditures related to the disorder. This will be Furthermore, Freebairn (2012) states that government
followed by an increase in the percentage of government spending in Australia to support infrastructure for
spending on GDP. And, after the disruption, the transportation expansion, physical infrastructure, s ocial
percentage of government expenditure on GDP will infrastructure in remote mining areas during the mining
gradually decrease back to its original state. The transfer boom has provided an increase in government revenues of
effect is a sympto m in the short term, but does not occur 6%. This means that government spending on
in the long term. infrastructure improvements indirectly affects the increase
Rostow and Musgrave (1999), state the development in added value.
model of government expenditure with three stages of Ismail (2011), an analysis of econo mic develop ment and
economic development. The initial stage is an important fiscal policy with Wagner's theory and Keynesian law
and strategic stage for the government, where large using the econometric model, and found that Indonesia's
government investment is due to the provis ion of economic growth is in fluenced by government spending,
infrastructure, such as to build min ing infrastructure. in the fo rm of work expenditure. Then, Uchenna And
These government expenditures intend to encourage Osabuchien (2012) states that macroeconomic po licies in
economic growth with the support of private financing, Nigeria, with instruments of Govern ment expenditure
which is even greater at a later stage. policies, have responded to fiscal decentralization
Musgrave (1999) also states that in a developmen t policies, political instability and economic g rowth. This,
process, private investment in the percentage of GDP is shows the effect of government spending in encouraging
getting bigger, and the percentage of government added value.
investment in the percentage of GNP will be smaller. At a An empirical study of fiscal policy in several developing
further economic level, Rostow stated that economic countries, the impact of distribution is the analysis of
development, where government activ ities shifted fro m certain co mponents of government expenditure such as
providing infrastructure to spending on social act ivities, basic, secondary, tertiary education programs,
included education and public health services. expenditures to support agricultural infrastructure to be
Furthermore, the development theory of the role of able to produce, the government has obtained from tax
government is a view that arises from observing revenues distributed (Siddiqui and Malik, 2011).
economic develop ment by many countries, but is not Then, the copper min ing emp irical study in Chile which
based on a particular theory (Musgrave and Rostow, has contributed to the development of the State as a
1999). In fact, Su kirno (2000) states that government consequence of the Ch ilean Govern ment wh ich has
spending is a govern ment action that regulates the allocated government expenditure for the development of
economy in order to create economic stability, expand export-oriented do mestic transportation infrastructure,
emp loyment opportunities, enhance economic growth and encouraging mining to beco me mo re modern, efficient
justice in inco me distribution. Therefore, an increase in and competitive (Arellano, 2012) . Th is means that
government spending affects the increase in investment government spending on improving infrastructure has an
and mineral reserves and added value. effect on the efficiency of mining, so that it will benefit
Furthermore, Nangarumba (2016) stated that fiscal policy fro m efficiency and generate added value for d istrict-level
is one of the macro polic ies whose main authority is in the mining and quarrying businesses.
hands of the government, and represented by the Ministry Furthermore, emp irical studies of the effects of extraction
of Finance, according to Law No. 17 of 2003 concerning of natural resources both locally and regionally, where
State Finance. Fiscal policies generally present the government spending has encouraged the management of
government's choices in determining the amount of natural resources for welfare, the co mmun ity (Cust and
expenditure and the amount of income that is explicitly Poelhekke, 2015), and the operation of government fiscal
used to influence the economy. policies significantly affect the direction of economic
Govern ment interference is still very much needed if the resource work (Keyness, 1936).
economy is fully regulated in free market activ ities, not
only does the economy not always reach the level of full d. Linkage of Government Expenditures to
emp loyment, but also the stability of economic activit ies Investment, Mineral Reserves and Value Added of
cannot be realized. In fact, Keynes in Sukirno (2000) Mineral
states that wide fluctuations in economic act ivity fro m Govern ment expenditures through increasing aggregate

expenditure for the purchase of goods and services and direction of economic resource work (Keyness, 1936).
increasing investment (Keynes, 1936), and follo wed by an Furthermore, Partowidagdo (1999) in Wiriosudarmo
increase in private investment (Musgrave, 1999), so that (2000) states that government spending for the
government spending is positively related to the increase construction of min ing infrastructure and industry has an
in private investment in a business area mining (WUP). effect on the development of the mineral industry, gaining
Then, Keynes in Sukirno (2000), also states that significant added value for Regency GRDP and has
fluctuations in economic activ ity that are wide fro m one positive implications for improving people's welfare.
period to another have serious imp lications for
emp loyment opportunities, unemploy ment and price III. RESEARCH METHODOLOGY
levels, where govern ment spending and increased Research on the effect of government expenditure in the
investment can influence economic growth, including development of the mineral industry (mineral industry
increasing min ing infrastructure (Freebairn, 2012), which cluster pattern) to increase mineral value added in
can provide increased value added (Uchenna and Indonesia, using quantitative methods with structural
Osabuchien, 2012). equational modeling analysis tools (Kusnadi, 2008) with
Furthermore, the effects of local and regional extraction reference to the relationship between dependent variables
of natural resources, where government spending has (y 3 ), interpening variables (y 1 and y 2 ) which is an
encouraged natural resource management for welfare, the endogenous variable and an independent variable (x)
community (Cust and Poelhekke, 2015), and the operation which is an exogenous variable (graphically shown in
of government fiscal policies significantly influence the figure 1).
Fig.3.1: The research model influences government spending in developing the mineral industry and value added of mineral
in Indonesia
𝛼
The conceptual framework of the study as an explanation 𝑌1 = 𝑒 𝛼0 𝑋 1 𝑒 𝑈1 (4)
of the relationship between the above variab les, can be 𝛽0 𝛽1 𝛽2 𝑈2
𝑌2 = 𝑒 𝑋 𝑦1 𝑒 (5)
expressed in the simultaneous equation for estimation of 𝛾0 𝛾1 𝛾 𝛾
𝑌3 = 𝑒 𝑋 𝑌1 2 𝑌2 3 𝑒 𝑈3 (6)
linear regression with the following functions:
Where α0 , β0 , γ0 are constants, α, β 1 , γ1 - γ3 each is a
y 1 = f (x, u 1 ) (1)
parameter which will be estimated and U1 - U3 is an error
y 2 = f(y 1 ; x, u 2 ) (2)
term. The functional equations for reduced form in the
y 3 =. f(y 1, y 2 ;x,u 3 ) (3)
simultaneous equation model (SEM) are as follows:
Where :
𝑌1 = 𝛼0 + 𝛼1 𝑋 + 𝜇 1
Y3 : District-level mining and quarry ing business value
(7)
added, measured in millions of Rupiah
𝑌2 = (𝛽0 + 𝛽2 𝛼0 ) + (𝛽1 + 𝛽2 𝛼1 )𝑋 + (𝜇 2 + β2U1 )
y 2 : Mineral reserves, measured in tons
y 1 : Mining investment, measured in millions of rupiah (8)
Then, from equation 1 - 3 above, for non linear equation 𝑌3 = (𝜆 0 + 𝜆 0 𝛼0 ) +
formulations (CobbDouglass) can be expressed by the 𝜆 3 (𝛽0 + 𝛽2 𝛼0 ) + (𝜆 1 + 𝜆 2 𝛼1 + 𝛽1 + 𝛽2 𝛼1 )𝑋 + (𝜇 3 +
equation as follows: 𝜆 2 𝜇1 + 𝜇 2 + 𝛽2 𝜇1) (9)

𝑌1 = 𝛼10 + 𝛼11 𝑋 + 𝜇 11 analysis, so there was no difference between theoretical
𝑌2 = 𝛽0 + 𝛽1 𝑋 + 𝜇 12 models and empirical data, where an increase in
𝑌3 = 𝜆 0 + 𝜆 0 𝑋 + 𝜇 13 government expenditure (x) direct ly had a positive effect
Where: on improvement mineral value added (y 3 ) with an
𝛼0 = 𝛼0 ; 𝛼1 = 𝛼1 ; 𝜇 11 = 𝑈1 estimated value of 0.0966.
𝛽0 = 𝛽0 + 𝛽2 𝛼0 ; 𝛽11 = 𝛽1 + 𝛽2 𝛼1 𝜇 12 = 𝑈2 + 𝜇 1 Then, ind irectly an increase in govern ment spending
𝜆10 = (𝜆 0 + 𝜆 2 𝛼0 ) + 𝜆 3 (𝛽0 + 𝛽2 𝛼0 ) has a significant effect on increasing min ing investment
𝜆11 = 𝜆1 + 𝜆 2 𝛼1 + 𝛽1 + 𝛽2𝛼1 (y 1 ) of ***, and has a positive effect on increasing
mineral reserves (y 2 ) by 0.1039. Ho wever, an increase in
𝜇 13 = (𝑈3 + 𝜆 1𝑈1 ) + (𝑈2 + 𝛽2 𝑈1 )
mining investment (y 1 ) has a positive and significant
effect on increasing mineral value added by ***. And, an
increase in min ing investment (y 1 ) has a positive effect on
To analy ze the effect of govern ment spending in the
increasing mineral reserves (y 2 ) with an estimate of 0.735.
form of cap ital expenditure in the develop ment of the
Furthermore, an increase in mineral reserves (y 2 ) has a
mineral industry and mineral value added in Indonesia, a
significant effect on increasing mineral value added (y 3 )
linear regression analysis was carried out simultaneously,
of 0.0026 (shown in Fig.2). The findings above indicate
which estimated the magnitude of direct and indirect
that an increase in government spending directly does not
effects.
have significant implications related to its effect on
The results of the study with linear regression
increasing mineral value added.
analysis simultaneously, showed a model match test with
p> 0.05, meaning that the model was suitable in the
Fig.2: Showing a result of estimate simultaneous of equations model analysis
However, an increase in mining investment as an effect of positive imp licat ions for increasing Regency GRDP, so
increased government spending, indirectly has a that regional economies and people's welfare where the
significant effect on increasing mineral value added. This, industrial clusters are located will also increase.
has imp lications for the increase in emp loyment Furthermore, an increase in government spending and
opportunities, both in mining co mpanies that supply the an increase in mining investment have a positive and not
needs of the mineral minerals (input) of the mineral significant effect on increasing mineral reserves.
industry as well as the mineral industry itself. However, increasing mineral reserves has a positive and
The increase in investment will require a rapid return significant effect on increasing mineral value added. This
of investment and profit for industrial clusters in a region, has implications for the longer lifespan of mine
positively implicating in imp roving corporate social production in an industrial cluster and the longer period of
responsibility (CSR), so that the guidance and assistance mineral industry production, which produces concentrate
of co mpanies to move the people's econo my, improve and metal, so that it has further imp licat ions for achieving
public facilit ies and infrastructure and improve local the objectives of economic and social transformat ion of
community education communities around the mining business area (WUP).
In addit ion, an increase in mining investment that has
a significant effect on increasing mineral value added has V. CONCLUSION

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Adsorption of Nitrogen Dioxide (NO2) for

Different Gas Concentrations, Temperatures
and Relative Humidities by using Activated
Carbon Filter: An Experimental Study
Adnan Görgülü 1, Yıldız Koç2, Hüseyin Yağlı2, Ali Koç2*
1 Siemens
AG, Duisburg, Germany
2 Iskenderun
Technical University, Hatay, Turkey
* Corresponding author: Ali KOÇ, Iskenderun Technical University, Faculty of Engineering and Natural Sciences,
Department of Mechanical Engineering, 31200 Iskenderun, Hatay, Turkey. Tel: +90 326 613 5600- 2416
E-mail addresses: adnan.goerguelue@siemens.com, yildiz.koc@iste.edu.tr, huseyin.yagli@iste.edu.tr, ali.koc@iste.edu.tr
Abstract— Noxious gases can be reduced through out of the break-up of NOx gas. This process necessitates
activated carbon; nevertheless, this process is very a quite high temperature. Nitrogen dioxide (NO2) is a
complex due to the changing parameters. Nitrogen corrosive, irritant gas that harms the mucous membrane
dioxides take place in the so-called reactive gases. The tissue in the all upper respiratory tract and also irritates
nitrogen dioxide concentration existing in the the eyes. The indirect effect of NO2 on human health is its
environment can be harmful, in particular for asthmatics quality as a precursor chemical to fine dust. Constant
and it also has the potential to bring about other serious increased fine dust pollution leads to cardiovascular
diseases. For instance, interior diseases are often caused diseases and illnesses in the respiratory tract and shortens
by nitrogen oxide gases. Through this study, we have the expectancy of life.
observed the nitrogen dioxide adsorption on the active Nitrogen oxides are generated as a result of
carbon for varying air temperatures, gas concentrations combustion processes -either man-made or naturally-
and air relative humidities. In this context, it has been occurring from gasiform nitrogen and oxygen supplied by
examined the effect of all three parameters. While combustion air. But also, chemically bonded nitrogen in
conducting this project, we have used parameters self-combustible things such as coal, oil, garbage is
between 1ppm and 30ppm (for NO2 concentration), 23°C transformed into its oxides with oxygen from the
and 33°C (for air temperature), 30% and 90% (for air combustion air. Table 1 justifies that almost all the
relative humidity). In order to understand this process, Nitrogen Oxide (NO) originates from human-driven
breakthrough curves of NO2 evaluated from experiments events like the burning of coal, the usage of gasoline and
have been used in the present study. Results show that the oil in various forms such as transportation, industries,
humidity has not a remarkable effect on the adsorption of households, agricultural activities and so on. It follows
NO2 ; however, increasing relative humidity causes to a that the better the combustion it is, the higher the
decrease in the capacity of the activated carbon for NO 2 temperature and formation of NOX it is. In catalytically
adsorption. Additionally, NO2 adsorption is exothermic, non-affected combustion processes, NO develops as a
therefore it increases the air temperature. main product with a percentage of between 90-95% of
Keywords— adsorption of NO2 , filtration, activated NOX [1].
carbon, air pollution, NO2 . Table.1: Nitrogen oxide emissions according to the
sectors (for EEA member countries) [2]
I. INTRODUCTION Sources of NOx Proportion
Our environment is polluted by many different Road transport 42%
noxious gases owing to the production of -among others-
Energy production and distribution 20%
the corrosive exhaust gases NOX, NO+NO2 . These gases
have been created through power plants and burning of Energy use in industry 13%
coals and so on. There are two gases inside NOx: one of Commercial institutional and households 14%
them is Nitrogen monoxide (NO) and the other one is Non-Road Transport 7%
Nitrogen Dioxide (NO2 ). Besides, N2 gas is also arisen

Industrial processes 2% Dantaset al. (2009) presented the adsorption behaviours
Agriculture 2% of Carbon dioxide (CO2 ) on activated carbon and
activated carbon enriched with nitrogen. In this study,
adsorption behaviour in a fixed-bed column was analysed.
NO2 amount around the world poses a great
In another study, the experimental parameters were
danger to human health and environment. According to a
selected between 301K and 428K and total pressure was
study about NO2 and other waste gases’ effect on human
1.01 bar. The result showed different adsorption
health by Chaloulakou et al. (2008), it is ascertained that
characters. The nitrogen-enriched activated carbon
the regions where the NO2 rates diminished in Athens, a
presented lower bed surface than the original activated
2.6% decrease in the people going to hospital has been
carbon [9].Bazan et al. (2016) studied on the elimination
observed in these regions [3]. Al-Ahmadi et al. (2013)
of NO2 with carbonaceous adsorbents acquired with
have shown in their studies that the ratio of NO 2 has a
supercritical extraction of marigold residue. Also, the
triggering effect on cancer [4]. Moreover, Murphy et al.
results of this study showed that a right carbon and
(1964) have seen that NO2 gas has nonrecoverable
activation process is important in the adsorbents together
damages on animals along with serious harms to human
with inorganic pollutants [10].
health [5].
Gao et al. (2011) researched the adsorption of
It is important to remove the reasons behind the
NO2 on activated carbon by adjusting low temperature.
NO2 production so as to eliminate these damages.
The experiment temperature was determined as 50°C. As
However, current technological developments and
a result, they analysed that it had not much effect at a low
modern lives of people preclude from the usage of
temperature [11].Another study presented the NO2
technological devices producing NO2 . For this reason,
adsorption and reduction on pitch-based activated carbon
minimising the emission of NO2 and set its ratios back to
fibres. The experiment parameters were determined as
the levels that does not influence humanity has a vital role
250-1000 ppm concentrations; O2 was 0-10% and
in terms of human health and environment since the
temperature was between 30 °C and 70°C. Pitch-based
production processes of NO2 is impossible to eliminate.
activated carbon fibres led to soar up of NO quickly;
The reduction of NO2 gas in the available
however, the adsorption of NO2 remained the same up to
systems is provided with adsorbed filtration systems. The
the breakthrough time at 30 °C temperature. Meanwhile,
adsorption term denotes to the cleaning of air from NO 2
it was also experienced a decrease in the adsorption and
and other gases with various elements like activated
breakthrough time of NO2 at 70 °C temperature
carbon (The adsorption term will be explained briefly).
[12].Nowicki et al. (2013) investigated the activated
Several studies and experiments have been conducted
carbon character and adsorption properties. NO2 gases
with regard to the adsorption of NOX gases in different
were determined as adsorptive. Activated carbon surface
variations. Before addressing such processes, a more
area range was between 5 to 2,076 m2/g and pore volume
general explanation of adsorption has to be made.
is between 0.03 and 1.25 cm3/g. The outcomes of their
Adsorption means the accretion of fluid substances on a
studies have also pointed out that a proper selection of
solid surface. The components adsorbed are called
pyrolysis and activation process in the wastes of coffee
adsorptive in a free and flexible state while in a bounded
sector pave the way for high amount of NO2 production
state the components are called adsorbents. The solid
indicating 44.5 mg NO2 in dry states and 84.1mg NO2 in
matter functioning as adjuvant is called adsorbent. In the
wet states [13].Lee et al. (2003), studied on impregnated
physical adsorption the bound of the adsorbing molecules
activated carbon with KOH (KOH-AC) and examined the
are carried out by electrostatic attractive forces, the so -
ratio of adsorption of NOX and SO2 . The result indicated
called van [6]. Because of the small range of those forces,
that the adsorption capacity of NOX gas was much more
the absorbents and adsorptive components enter a loose
than the capacity of SO2 gas [14]. Long et al. (2008) made
bond which can be dispensed easily. Adsorption is a
a study of the ammonia adsorption on activated carbon. In
thermic separating process. It is mainly used for
here, it was concentrated on two parameters: these are to
separating specific gas components that are only
bring out the effects of temperature and concentration
contained in a very small amount [7].
over the adsorption of ammonia. The experimental results
Zhang et al. (2008) analysed the adsorption
depicted that the adsorption rate of ammonia over
behaviour of NO2 on activated carbon with different
activated carbon was tended to rise with the increasing
temperatures. Additionally, they also examined the ranges
concentration in these studies.
of activated carbon particles and as a result, it was seen
The adsorption rate is also tended to rise with the
that the adsorption of NO2 includes the reduction of NO2
increasing temperature. Long et al. (2008) analysed the
to NO actuated via the carbon surface oxidation [8].
change over the carbon surface with dimethylamine on

the adsorption of NOX [15]. The wood-based activated outcomes also justified that the appropriate pyrolysis and
carbon was tried with dimethylamine aqueous solution. In activation process enables the adsorbents’ production
order to get it together with the nitrogen groups, it is within this scope [21]. Sager et al. (2016) presented that
modified in this way. This modification was considered as NO2 gas reduction with the help of activated carbon can
NO2 adsorbents. In this context, breakthrough time and be advanced via metal oxide nanoparticles infiltration into
concentration was observed. While examining the sorbents at ambient temperatures. The adsorption of
nitrogen adsorption, it was also made element and NO2 was reduced in a catalytic way to physiological
temperature test together with potentiometric titration and neutral substances through metal oxides after adsorbed by
the modifications were handled after exposing to NO 2 . As activated carbon. The amount of reduction was quite slow
a result, it was seen that the adsorption rate of NO 2 at usual ambient temperatures [22].
increased; on the other hand, NO release decreased [16]. As it was shown in the research above, several
Toops et al. (2006) analysed the adsorption of NOX over experiments and examinations of NOX adsorption have
Pt/K/Al2 O3 with different period of times and been made; however, they are generally studying the NOX
temperatures. While the adsorption of NOX is 6.4 adsorption for limited parameters. In this study,
μmol/m2 at 150 °C, the adsorption is observed as 1.8 adsorption capacity of NO2 by activated carbon is
μmol/m2 at 400 °C in their study [17]. Zhu et al. (2000) determined. During the experiment, the NO2
investigated the adsorption behaviour of NO on activated concentration is varied from 5ppm to 50ppm while
carbon at low temperatures (between 30°C and 250 °C), temperature and relative humidity are varied from 10°C to
and NO showed a decrease with the increasing 20°C and from 30% to 70%, respectively.
temperature in these temperature ranges. Here, the
activated carbon was treated with NH3 [18]. Hofmann and II. TESTING SYSTEM
Pietrzak (2011) used waste tires as adsorbents in their In this experimental setup, different parameters
experiments and put them through a chemical process and materials are used. The aim of the study is to observe
between 550 °C and 800 °C. Besides, it was also the adsorption behaviour of activated carbon while
researched the pyrolysis based on the performances of changing the concentration of NO2 , air temperature and
waste tiresas adsorbents through the effects of relative humidity. NO2 gas supplied to the experimental
modification such as chemical and physical activation in setup as toxics gas. DIN 71460 standard, which describes
addition to the room temperatures and dry states. As a the cabin air filtration standard, is used in this experiment.
consequence, it was understood that the surface of the Schematic view of the experimental setup is given in
adsorbent has the indicative feature in the adsorption Figure 1.Normally, NO2 is always found in a fluid phase
capacity and also it affected the NO2 adsorption [19]. at room temperature. In order to achieve its gas phase,
Zhang et al. (2008) studied the reduction of NO gas on NO2 was heated prior to dosage in filters. We used 0.79
activated carbons having porous structures and they µg activated carbon, which complies with the average
realized it under 100 °C. In this sense, it can be described amount of filtered carbon as equivalent. An activ ated
that there is not any NO reduction without any existence carbon layer was built into the trial lane. Together with
of oxygen [20]. Kazmierczak-Razna et al. (2016), in their filtered air, the dosage introduced from outside the trial
study, tested the pyrolysis analysis, the surface structure lane. The measurements were conducted via using
and adsorption characteristics on activated carbon. The measurement device type AC 31M.
Fig.1: Schematic view of the experimental setup

The adsorption behaviour of the Nitrogen the gas outlet is called as clean gas. The point where the
Dioxide (NO2 ) on activated carbon is examined at gas inlet and outlet become equal is called as
different concentrations and relative humidity as a result breakthrough point, that is the adsorption is not going
of the research. Initially, the experimental parameters, ahead and activated carbon reaches at saturation point.
that can be seen in the experimental setup in Figure 1,
was set and then the instruments are calibrated and III. RESULTS AND DISCUSSION
requested amount of NO2 gas concentration is injected The results of the experiments are investigated in
into the system after reaching the requested ratios of detail and given in figures. The results of the experiments
temperature and relative humidity. After filling of are investigated in detail and given in figures. The x-axis
activated carbon, the adsorption test starts with of the diagram shows the time duration of an experiment
transmitting of gas concentration in the experiment on the in minutes, the y-axis of the diagram shows the change in
activated carbon. The gas inlet is called as raw gas while the raw gas and clean gas concentration range.
Fig.2: The comparison of the breakthrough curves for air temperatures of 18 °C, 23°C and 33°C at N=30ppm NO2 gas
concentration, F=50% air relative humidity
The figure above shows the breakthrough curves While the figure is reaching a 88% saturation point at 23
for 18 °C, 23°C and 33°C at a 30 ppm NO2 gas °C, it reaches 91% saturation point at 33 °C. A noticable
concentration and a constant relative humidity (50%). The change in the increase or decrease of temperature can not
experiment here has maintained until 230 minutes, and 18 be seen at 30 ppm.
°C curve has reached the saturation point at about 85 %.
Fig.3: The comparison of the breakthrough curves for air temperatures of 18 °C, 23°C and 33°C at N=20ppm NO 2 gas
concentration, F=50% air relative humidity

Figure 3 shows the breakthrough curves for 18 The experiment has maintained until 80 minutes and a
°C, 23°C and 33°C NO2 gas concentration at a 20 ppm noticable change in the increase or decrease of
gas concentration and a constant 50% relative humidity. temperature can not be seen at 20 ppm like in the 30 ppm.
Fig.4: The comparison of the breakthrough curves for varying NO2 gas concentrations of 1ppm, 5ppm, 10ppm, 20ppm,
30ppm at air temperatures of 23°C and air relative humidity of F=50%
As above it is shown in Figure 4, it is examined 37% saturation point in 1 ppm of NO2 at the end of the
adsorption behaviour of NO2 with changing 300 minutes, it reaches 84% saturation point in 20 ppm of
concentrations and the same temperature and relative NO2 . And, it reaches 92% saturation point in 30 ppm of
humidity. In here, while temperature is taken as 23 °C and NO2 at the end of 300 minutes. That is to say, it can be
relative humidity is 50%, the ratios of the concentration seen that the breakthrough point shortens when the gas
can be seen as 1 ppm, 5ppm, 10 ppm, 20 ppm, 30 ppm. concentrations are increased.
The experiment time is 300 minutes. While it reaches
Fig.5: The comparison of the breakthrough curves for a varying air relative humidity from 20% to 90% at NO 2 gas
concentrations of 30ppm and air temperatures of 23°C
As in the shown Figure 5, it is examined the reaches 60% saturation point at 20% relative humidity,
adsorption behaviour of NO2 gas at constant constant temperature and concentration. While it is
concentrations and constant temperature, but at different attained 70% saturation point at 30%, it successes 92%
relative humidity. And, in this way, we can see the effect saturation point at 90% relative humidity. With the
of different relative humditiy on adsorption. W hen it is increasing relative humidity, the time to reach the
observed at the end of the 185 minutes experiment, it saturation point shortens and the adsorption is realized

quicker than before.This diagram also shows that if we temperature and relative humidity and concentration
have higher concentration range, then it is faster than range between 5ppm and 30 ppm.
lower concentration at the NO2 adsorption at same
Fig.6: The comparison of the breakthrough curves for a varying air relative humidity from 30% to 50% at NO 2 gas
concentrations of 1ppm and air temperatures of 23°C
Figure 6 indicates the adsorption behaviour of REFERENCES

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Studies on Development and Testing of Sensor

for Automatic Irrigation System
Ugale Dipak1, Bankar Umesh2, Shelke Vishal3, Prof. Pachore R.A.4
1,2,3 Research Scholar, K. K. Wagh College of Agril. Engg. And Technology Nashik, Maharashtra, India
4 Assistance Professor, Department of Agril. Engg. And Technology, Nashik, Maharashtra, India
Abstract— In India, agriculture is the main sector for obtained as to the rate at which moisture is being used by
increasing the food production. In India, agriculture the crops at different depths. This provides the practical
depends on the monsoons which is not sufficient source of purpose, irrigation should be applied when moisture
water. So the irrigation is used in agriculture field. Every content is base for determining when to irrigate and how
type of plant requires different amount of water to grow. much water to be applied. For depleted below 50 percent
To reduce the wastage of water and apply the optimum of available moisture.
amount of water to the plants irrigation scheduling is
needed. For irrigation scheduling it requires to determine II. METHODS TO DETERMINE SOIL
the moisture content present in the soil. So to determine MOISTURE
the moisture content the methods are very time consuming 2.1. Direct method
and less accurate. This project is an attempt to reduce the 2.1.1. Gravimetric methods:
time consumption to determine the moisture content and In gravimetric method, basic measurement of
to mak e it automatic and easy to use. We developed a soil moisture is made on soil samples of known weight or
moisture sensing kit and compared its reading with the volume. Soil sample from the particular depths are
gravimetric method. Also we design the automatic motor collected with a soil auger. Soil sample are taken from
operating irrigation system on the basis of that moisture particular depth at several locations of each soil type.
sensor reading. That is the motor is on when moisture is They are collected in the air tight aluminium containers.
less than 50% and continues up to 80%.If moisture is The soil samples are weighed and they are dried in air
greater than 80% then motor will automatically stopped. oven at 105 o C for about 24 hours until all the moisture is
Also we provide GSM system with that microcontroller. If driven off. After removing from oven, kept them for cool
moisture is less than 50% then message will be to room temperature and weighed again. The difference in
automatically receive on the mobile. The aim of our their weight is amount of moisture in the s oil. The
project is to provide new agriculture technology by moisture content in soil is calculated by the following
programming. formula:-
Keywords— Moisture sensor, Gravimetric method, M2 − M3
Moisture Content (%) = ∗ 100
Motor, GSM Sim module. M3 − M1
Where,
I. INTRODUCTION M 1 =Weight of sample box (gm)
When the population increases, the basic need M 2=Weight of wet soil + lid (gm)
such as food and water is increasing day by day. Thus M 3 =Weight of dry soil + lid (gm)
there is a need of saving water resources and utilize them 2.1.2. Volumetric Methods:
in an efficient manner. Hence, water is one of the most Soil sample is taken with the core sampler or
important elements in our daily life, thus we must use with a tube auger whose volume is known. The amount of
efficient ways to utilize water and save it for future water present in soil sample is calculated by drying it in
generations. For that efficient irrigation management is the oven and calculating by following formula.
needed. Irrigation water management practices could Moisture content = Moisture content in weight x Bulk
greatly benefit by the knowing of moisture in the soil. Densityin volume.
To determine the soil moisture content in the soil 2.1.3.Using Methyl Alcohol:
many methods are being used but these methods are time Soil sample is mixed with a known volume of
consuming and less accurate. To do the operation in the methyl alcohol and then measure the change in specific
least time consuming way electronics components should gravity of alcohol with a hydrometer. This is a shot
be used. Soil moisture content is the water present in the procedure but it is in common use.
soil. By measuring soil moisture at regular interval and at 2.1.4. Using calcium chloride:
different depths within the root zones, information can be

Soil sample is mixed with the known amount of 2.2.4. Neutron probe:
calcium chloride. Generally calcium chloride reacts with Soil moisture can be estimated quickly and
water and removes it in the form of acetylene gas . continuously another with the neutron moisture meter
2.2. Indirect method without disturbing the soil. Another advantage is that soil
In these methods, no water content in the soil is moisture can be estimated from the large volume of soil.
directly measured but the water potential or stress or Diameter around the neutron probe in wet soil and 50 cm
tension under which the water is held by the soil is in the dry soil.Itincludes the probe and a scalar or rate
measured. The most common instrument used for meter. The probe contains fast neutron source, which may
estimating soil moisture by indirect method are of be a mixture of radium and beryllium and beryllium.
following- Access tubes are aluminium tubes of 50 to 100 cm length
2.2.1.Tensiometer: and are placed in the field where moisture to be estimated.
Tensiometers provide a direct measure of tenacity with To determine the soil moisture by the methods
which water is held by soil. It consist of 7.5 cm porous listed above requires extensive amount of time, so the
ceramic cup, a protective metallic tube, a vacuum gauge alternative for this is to use the electronic Instruments like
and a hollow metallic tube holding all parts together. At the instrument called soil moisture sensor. The soil
the time of installation, the tensiometeris filled with water moisture sensor is used to measure volumetric water
from the opening at the top and rubber corked it is used content from the soil.
when set up in the soil. Moisture from cup moves out
with the drying of soil, creating a vacuum in the tube III. MATERIAL AND METHODS
which is measured with the gauge. Care shouldtaken to In this study, we are using two methods of determining
install tensiometer in the active root zone of the crop . moisture content-
When desired tension is reached, soil is irrigated. The 3.1. Automatic moisture sensing method
vacuum gauge is graduated to indicate tension values up 3.2. Gravimetric method
to one atmosphere and is divided in to fifty divisions each Then,
of 0.2 atm value. The tensiometer works satisfactory up to 3.1. Automatic moisture sensing method
the 0.85 bars of atmosphere. 3.1.1.Material: For the moisture sensing method
2.2.2.Gypsum block: Following material is used,
Gypsum blocks resistance units are used for 3.1.1.1.Moisture Sensor:
measurement of soil moisture in situ. These were Moisture sensor is a two-probe sensor which is
discovrred by Bouycos and Mick in 1940. The blocks are made up of pure nickel. Nickel has fair conductive
made of various materials like gypsum, nylon fiber, glass properties and also strength to get buried in the soil for
material, plaster of Paris or combination of these long time. It will not get corroded in soil. The length of
materials. The blocks are generally rectangular in shape. the nickel probes is 9.5 cm and width of each probe is
A pair of electrode is usually made of 20 mesh stainless 0.7cm.The distance between the two probes is 0.5cm the
steel wire screen soldered to copper lead wire. The tips of sensor probes are designed in the shape of triangle
common dimensions of screen electrodes are 33.75 cm so that can beeasilyburied in the soil.
long and 0.25 cm in wide. The usual spacing between
electrodes is 2 cm. A similar block dimension is 5.5 cm
long, 3.75 cm wide and 2 cm thick.
2.2.3.Pressure plate and pressure membrane
apparatus:
Pressure membrane and pressure plate apparatus Plate No. 3.1: Moisture sensor
is used to estimate field capacity, permanent wilting point
and moisture content at different pressures. The apparatus 3.1.1.2. Microcontroller (Arduino Mega):
consists of air tight chamber in which porous ceramic The Arduino Mega is a microcontroller based on
pressure plate is placed. The pressure plate and soil the ATmega2560.It has 54 digital input pins/output pins
samples are saturated and they are placed in the metallic (of which 14 can be used as PWM outputs), 16 analog
chamber. The required pressure, say 0.33 or 15 bars is inputs, 4 UARTs, a 16 MHz crystal oscillator, a USB
applied through a compressor. The water from soil sample connection, the power jack, an ICSP header and a reset
which is held at less than the pressure, applied trickles out button. It contains everything needed to support the
of the outlet till equilibrium against applied pressure is microcontroller; simply connect it to a computer with the
achieved after that, soil samples are taken out from oven USB cable or power it with a AC-to-DC adapter or
for determining the moisture content. battery to get started.

Plate No. 3.5: Jumper Wires

Plate No. 3.2: Microcontroller (Arduino Mega)
3.1.1.3.LCD screen: 3.1.1.6.Relay:
LCD screen is an electronic display module. A A relay is an electrical switch which opens and
16x2 cm LCD display is very basic module and is very closes under the control of another electrical circuit. In the
commonly used in various devices and circuits. general, the switch is operated by an electromagnet to
open or close one or many sets of contacts. A relay is able
to control and output circuit of higher power than the
input circuit.
Plate No. 3.3:LCD Screen

Plate No. 3.6: Relay
3.1.1.4.Breadboard:
A breadboard is thesolderless device for 3.1.1.7.GSM module:
temporary prototype with electronics and test circuit It is a specialised type of modem which accepts a
designs. Most electronic components in electronic circuits SIM cards, and operates over a subscription to a mobile
can be interconnected by inserting their terminals into the operator, just like a mobile phone. GSM networks
holes and then making connections through wires where operates in a number of different carrier frequency range,
appropriate. The breadboard has strips of metal with most 2G GSM network operating in the 900 MHz
underneath the board and connects the holes on the top of bands. A GSM modem exposes an interface. The mobile
board. Note that the top and bottom rows of holes are operate charges for this message sending and receiving as
connected horizontally internally and split in the middle if it was performed directly on a mobile phone.
while the remaining holes are connected vertically.
Plate No. 3.4: Breadbord Plate No. 3.7: GSM module
3.1.1.5.Jumper wires: 3.1.1.8.M ot o rs:

Jumper wires are simple wires that have This system requires the 12V DC permanent
connector pins at each end, allowing them to be used to magnet motor.
connect two points to each other without soldering.
Jumper wires are used withbreadboards and other
prototyping tools in order to make it easy to change a
circuit as needed.

3.1.3.Software used:
The software called Arduino is used. The
software requires computer program to do all the
operation. The microcontroller analyses all the data
collected by the soil moisture sensor with the help of the
program dumped in it and it displays the output on LCD
screen.
Plate No. 3.8: Motors

3.2.Gravimetric Method:
3.2.1.Materials:
3.1.2. Methodol ogy:
1. Aluminum container
1.Join the circuit as shownin the circuit diagram
2. Air oven
(Plate No.9).
3. Trowel
2.Figure(Plate No.10) shows the proper placement of the
4. Weighing machine
Soil Moisture Sensor. The prongs must be oriented
horizontally, but rotated onto their side like a knife poised
3.2.2.Methodol ogy:
to cut food - so that water does not pool on the flat surface
The soil moisture content may be expressed by
of the prongs. The horizontal orientation of the sensor
weight as the ratio of the mass of water to the dry weight
ensures the measurement is made at particular soil depth.
of the soil sample. To determine any of these ratios for
The entire sensor can be placed in vertical, but because
specific soil sample, the water mass should be determined
soil moisture often varies by depth, this is not usually the
by drying the soil to constant weight and measuring the
desired orientation. To position the sensor, use a thin
soil sample weight after and before drying. The water
implement such as a trenching shovel to make pilot hole
mass is the difference between the weights of the wetsoil
in the soil. Place the sensor into the hole,checking with
sample and oven dry samples. The criterion for a dry soil
the entire length of the sensor is covered. Press the soil
sample is the soil sample that has been dried to constant
along either side of the sensor with your fingers. Pressing
weight in oven at temperature between 100-110 °C (105
will be continuing until you have made at least five passes
°C is typical). It seems that this range of temperature has
along the sensor. This step is important, as the s oil around
been based on water boiling temperature and does not
the sensor surface has the strongest influence on the
consider the soil physical and chemical characteristics.
sensor reading.
3.2.3.Procedure:
1. Weighaluminum tin and record this weight.
2. Place a soil sample of about 10gm in the tin and record
this weight.
3.Place the sample in the oven 105°C and dry for 24
hours or overnight.
4.Weigh the sample and record this weight.
5.Return the sample to the oven and then dry for several
hours, and determine the weight.
6.Repeat above 5 step until there is no difference between
any two consecutive measurements of the weight.
3.2.4.Computation:
M2 − M3
Moisture Content = ∗ 100
M3 − M1
Plate No. 3.9:Circuit Diagram M 1 =Weight of sample box (gm)
3.Take the reading displayed on the LCD screen. M 2=Weight of wet soil + lid (gm)
M 3 =Weight of dry soil + lid (gm)
IV. RESULTS
The moisture sensor is a fork like plate having
aluminium inside. The two terminals are connected to
microcontroller. Microcontroller is small PCB designed
operate the electronic devices by commanding them with
the help of programming language. The moisture sensor
Plate No. 3.10: Moisture Sensor under the soil needs minimum 5v power supply to operate.
4.1. Moisture Sensor Method:
The following values of moisture content in soil constant.
are taken from the college campus from 3 Oct 2018. 4) Moisture sensor kit operation is user friendly.
Table No. 4.1: Moisture contents by moisture sensor
Soil type Dry Medium Wet REFERENCES
Reading 11 49 95 [1] Abouatallaha A., Salghia R., Hammoutib B. and
(% ) Fadlc A. (2011)-“Plant stress measurement of young
The moisture sensor readings in the dry soil is citrus orchard”. Der PharmaChemica, 3 (6): 341-359.
11%, second reading in the medium wet soil is which is [2] Baoping F., Wang Z. and Zhang J. (2001)-“Theory
49% and for third readings of moisture sensor in the wet and experiment on temperatureeffect in soil.”
soil is 95%. Northwest Water Resources & Water Engineering,
12(4), pp. 6-11.
4.2. Gravimetric method [3] Bhanarkar M. and Korake P. (2016)-“Soil salinity
The soil sample is taken from the different and moisture measurement systemfor grapes field by
moisture medium of soil (dry,medium, wet) and at the wireless sensornetwork.” Cogent Engineering, 3:
same time as the moisture sensor reading were taken. The 1164021
samples are collected in the sample box. [4] Costa E.( 2017)- “A self-powered and autonomous
fringing field capacitive sensorintegrated into a micro
Table No. 4.2: Moisture contents by gravimetric sprinkler spinner to measure soil water content,”
method Sensors, vol.17, p. 575 .
Sr. Weight of Weight of Weight of Moisture [5] Gunturi R. (2013)- “automatic irrigation
No. sample box wet soil + dry soil content systembased on the soil moisture”,International
(M1) lead +lead journal of advancements in research and technology ,
(gm) (M2) (M3) (% ) Volume 2, issue 4.
(gm) (gm) [6] Guneet M., Arora M.(2004)- “Design of Capacitive
1 36 74 70 11 Sensor for Monitoring MoistureContent of Soil and
Analysis of Analog Voltage with Variability in
2 35 70 60 40
Moisture, in Proc.” RAECS UIET Panjab University
3 35 71 55 80
Chandigarh.
The first soil sample of was taken from same
[7] Helmer R. (1997)- “Water sensor feedback control
place from where the first moisture sensor readings
system for surface irrigation”,American Society of
was taken. The resulting moisture content is 11%. The
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remaining soil samples were taken from the respective
[8] Johnson A., Reddy U., Singh J., Chowdhury S.,
places as the moisture sensor readings and soil samples
(1961)- “A Lowanst PortableTemperature
for gravimetric method were taken. the resulting
Moisture Sensing Unit With ArticialNeural Network
moisture content is 40%, 80% respectively.
Based Signal Conditioning for Smart Irrigation
Application”, International Journal on Smart Sensing
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50 Moisture Sensing Unit for SmartIrrigation
0 Application.” International Conference on Emerging
sensor
Technology Trends on Advanced Engineering
Gravimetric Research (ICETT’12).
Soil samples
Figure No. 4.1: Comparison Graph
V. CONCLUSION
From this project we conclude that:
1) Gravimetric method is time consuming method but the
moisture sensor gives the reading within 3 to 5 seconds.
2) The comparison of these two methods shows that the
moisture sensor reading differ from the gravimetric
method readings by approximately 10%.
3) The readings given by moisture sensor do not differ

Multivariate Analysis Applied to Forestry

Agricultural Sciences: The Model-Directed
Study
Angela Helena Silva Mendes Stival 1, Gilberto de Souza Iris Oliveira1, Jessica
Bezerra Bandeira1, Josué Luiz Marinho Junior1, Larissa da Silva Cintra1,
Patricia Cardoso Dias1, Debora Portella Biz2, Augustus Caeser Franke
Portella3
1 Studying Master in the Post Graduate Program in Forestry and Environmental Sciences - Federal University of Tocantins.
2 .Professional Mastersin Urban Environment and Industrial of the Federal University of Paraná (UFPR) -Curitiba-Paraná.
3.Bioprocess Engineering and Biotechnology Division - Federal University of Tocantins (UFT) - Campus of Gurupi, Gurupi-
TO, Brazil. Corresponding author: portella@uft.edu.br

.
Abstract— This is a literature review that aimed to find 2004).According to Hair et al., (2009) multivariate
articles that exemplify and describe the use of techniques are popular because they allow organizations
multivariate analysis in different fields of Forest to create knowledge, thereby improving their decision -
Agricultural Sciences, considering effective practices making. Multivariate analysis refers to all the statistical
using multivariate statistical techniques for the techniques that simultaneously analyze multiple
simultaneous processing of data. For data collection were measurements on individuals or objects under
selected for the meta-analysis of 70 technical articles of investigation.
which 54 were employed in the study directed to the use of For Gerhardt, et al., 2001 multivariate analysis
multivariate techniques applied in the areas of comes to data through a set of statistical techniques
agricultural sciences. The results showed thatstudies considering measures many variables simultaneously.
directed to certain areas within the Forest Agricultural And to obtain such results some multivariate methods are
Sciences exhibit some regularity in the use of multivariate applied to data depending on the research objectives,since
analysis, and most application analyzes were more usual it is known that an exploratory data analysis, aims to
as the Cluster Analysis (AA) and Principal Component generate hypotheses that is exactly the goal of the
Analysis (PCA). Thus the use of multivariate analysis multivariate analysis (VICINI, 2005).
studies and evaluations of experiments in Agricultural Multivariate analysis is a vast field in which
Sciences proved to great value to allow greater clarity even experienced statistical move carefully, because this
and better interpretation of dealing with complex is a new area of science, much is yet to be discovered.
phenomena. The art of the use of multivariate analysis is the choice of
Keywords— Multivariate Analysis, Multivariate the most appropriate options to detect the standards
Methods, Forest Agricultural Sciences. expected in the data (MAGNUSSON, 2003).
The purpose of their application may be to
I. INTRODUCTION reduce data or structural simplification, sort and group, to
Statistically data analysis is classified into investigate the dependency between variables, prediction
univariate or multivariate, i.e., it variables alone or jointly and develop hypotheses and test them (JOHNSON;
respectively. According VICINI, 2005 until the advent of WICHERN, 1992).
computers the data were treated only in isolation, and Multivariate techniques can meet the specific
when a phenomenon depends on many variables such interests of a forestry company or a research institution,
analysis became unfeasible. aiming at a particular interest, apart from a property or set
Multivariate analysis corresponds to a large of properties. Thus, this study aims to quantify and clarify
number of methods and techniques that utilize, what and how the main tools of multivariate analysis
simultaneously, all variables in the theoretical applied in various areas of study of forest agricultural
interpretation of the set of obtained data (Neto, sciences are used, reviewing a number of literature

articles updated where various techniques of multivariate that the inverse correlation matrix approaches the
analysis are used. diagonal matrix, therefore compares the correlations
between observed variables Solomon et al., (2012).
II. REVIEW According VICINI, 2005 KMO can be obtained
The application of multivariate analysis is a by the following equation:
combination of multiple information entered in the
experimental unit, so that the selection is based on a
complete set of important variables that discriminate
between materials that are more promising (Maeda et al.,
(2)
2001). Since the multivariate techniques have numerous
The ratio of the sum of the squares of the
applications, one needs to know about the main of them
correlations of all variables is divided by itself, plus the
being applied in the areas of Forest Agricultural Sciences,
sum of the squares of the partial correlations of all
its functions and objectives. We as the main examples of
variables.
multivariate techniques, multivariate normal distribution,
At where:
matrix and vectors, quadratic forms, eigenvalues and
= r ij is the correlation coefficient between the observed
eigenvectors, analysis of multivariate variance -
variables i and j.
MANOVA, the multivariate linear regression models,
= ij is the partial correlation coefficient between the same
simultaneous tests on several variables, multivariate
variables. The aij should be close to zero, because the
distances, component analysis , factors analysis, cluster
factors are orthogonal to each other.
analysis and discriminant, canonical correlation analysis.
So that the data can fit the factor analysis should
Factor analysis
be noted the following regarding the value found in
Factor Analysis (FA) aim to reduce the number
Kaiser's equation:
of initial analysis with the least possible waste of
Table.1: Relationship between the KMO and the use of
information, taking advantage of a set statistical
Factor Analysis
techniques (VICINI, 2005). CARVALHO, 2013 says that
whenever there is a strong correlation with variables is KMO Recommendati on AF
conceivable to group them into a group, since different ≥ 0.9 Great
variable groups have weak correlation. ≥ 0.8 and <0.9 Good
Factor analysis is applied when there is a large ≥ 0.7 and <0.8 Average
number of variables and correlated, includes principal ≥ 0.6 and <0.7 Acceptable
component analysis and analysis of common factors, in ≥ 0.5 and <0.6 weak
order to identify a smaller number of new alternatives ≤ 0.5 Unacceptable
variables, uncorrelated and that somehow , summarize the Source: CARVALHO, 2013
main information of the original variables finding factors
or latent variables (Mingoti, 2005). Sphericity test Bartlett
According to Carvalho, 2013 generic formula for Another test used widely in the factor analysis is
applying a factor analysis is defined by: to Bartlett sphericity test (BTS), which tests the following
X - = μ + ΛF ɛ (1) hypothesis: the correlation matrix is an identity matrix, ie
the values of the main diagonal are equal to 1 and the
Whereas X = [X1 X2. . . Xp] T as a real random other figures be zero, concluding that its determinant is
vector of dimension P, with mean vector μ = [μ1 μ2. . . equal to 1. This means that the variables have no
μp] T and covariance matrix Σ variance-defined positive. correlation and the null hypothesis can be rejected if the
The model of factorial analysis each observable variable adopted α is equal to 0.05 or 5% and the value found is
Xi expressed as a linear function of m random variables less than the value of α. (Pereira, 2001).
F1, F2,. . . , Fm (m <p), called common factors , and one Bartlett's test evaluates the overall significance of
factor or error, Ɛi, i = 1, 2,. . . , P. Which it is also a the correlation matrix, i.e. tests the null hypothesis that
random variable that explains the part of the respective the correlation matrix is an identity matrix Solomon et al.,
variable variance not explained by common factors. (2012).
Already Λ would be the matrix (PXM), the common Principal Component Analysis
factors m and p only factors are not observable. The goal of the principal component analysis
Method Kaiser-Meyer-Olkin (KMO) (PCA) is to address issues such as the generation,
Using factor analysis there is an adequacy of selection and interpretation of the investigated
data that is very important proposal by Kaiser-Meyer- components. Intending thereby determine the most
Olkin (KMO). The KMO test is based on the principle

influential variables in the formation of each component to form groups with homogeneous properties of large
(VICINI, 2005). heterogeneous samples. Should be sought more
According to Castro et al., 2013 by the ACP, a homogeneous groups possible and that the differences
random vector can be explained by the variance and between them are as large as possible (Hair et al., 2005).
covariance structure (composed of random variables p) by The AA encompasses a variety of techniques and
constructing linear combinations of the original variables. algorithms, and the goal is to find and separate similar
Through data covariance matrix becomes a data in the same group and are distinct from the data of
major component estimated. For the application of the other groups (VICINI, 2005).
analysis it is necessary to standardize the data so that the According Ruhoff et al., 2009 AA seeks to group
whole series will have the same magnitude of values. data elements that are more like each other. The groups
After obtain the eigenvectors that are values representing are determined so as to obtain homogeneity between the
the weights of each component in each variable and range elements of the groups and heterogeneity between them.
of (-1 to 1) and function as correlation coefficients that Dendrogram
represents the contribution of each component to explain As a result of AA we get the dendrogram or phenograms
the total variation of the dataRuhoff et al., (2009). also known as graphic tree that is graphic with a summary
Clusters analysis of the groups obtained by the analysis.
The Cluster Analysis or Cluster (AA) in
multivariate data identifies groups of objects. The goal is
Fig.1: Grouping according to the quality of wood for the production of charcoal, obtained by simple connection method to
use the Euclidean distance.
Source: CASTRO et al, 2013.
It is observed in Figure 1 that the genetic to form the first group. So then come variables 10:09, and
material of 11:08 have the greatest similarity dendrogram, after 1 and 5, and so on, the variables are grouped in
by having the smallest Euclidean distance being such as descending similarity order, ie 12 variable formed the last

group of the dendrogram, which remained If different The multivariate analysis of variance and
from the other groups formed, because this variable has covariance is also known as MANOVA (multivariate
little resemblance to the others. analysis of variance) and MANCOVA (multivariate
Distance Euclidean analysis of covariance), aim to verify the similarity
In Cluster Analysis some distance measurement between multivariate groups simultaneously exploring the
coefficients are important, and among them is the relationship between several independent variables and
Euclidean distance also known as dissimilarity measure. two or more variables dependent metrics (Hair et al,
According PARENTS; SILVA; Ferreira (2012) 2005).
considering two points A and B, the Euclidean distance
can be calculated with the following formula: III. RESULTS AND DISCUSSIONS
Distance between A and B = DAB = √Σpj = 1 In this study we selected 54 subjects who treat
(xja - XJB) ² (3) articles that are inserted in the area of Agricultural
In matrix form, this distance is given by: Sciences Forest with the application of multiple
DAB = √ (xa - xb) '. (Xa - xb) (4) multivariate statistical methods. The articles selected were
published between 1990 and 2018 and in this range in
Mahalanobis distance 2015 has been the year with most publications, 8 in total,
The similarity between samples (treatment, followed by 2003 and 2012 with 6 each publications. In
individuals, populations) correlated to a set of contrast the years 1990, 2002, 2005, 2011, 2016 and 2017
characteristics and the distance between any pairs of contributed one article.
sampling units, the degree of dependence between Dealing with multivariate analyzes, among the
variables must be considered. To quantify distance most used in the selected works we can mention among
between two populations when there is data repetition, it the most important the grouping or cluster analysis used
is recommended to use the Mahalanobis distance (d²) 25 times, followed by Component Analysis Principal 20
(VICINI, 2005). times, the factor analysis 10 times, a Canonical
Canonical Correlation Analysis Correspondence Analysis which was used 9 times and 8
The Canonical Correlation Analysis (CCA) has as times Discriminant Analysis.
its main objective the study of existing linear relationship Since the case of the multivariate analysis used
between two sets of variables. Applying this analysis in each study, we observed a pattern between the
summarizes the information of each response variables set multivariate method used and certain lines of research in
in linear combinations seeking to maximize the the area has been established. Knowing this we sought to
correlation between the two sets (Mingoti, 2005).The verify this pattern lines separating the search by subject
ACC is a type of statistical technique in the multivariate and quantifying which types of multivariate method used
analysis which aims according to Protasio et al., 2012 to was more.
check associations between groups with different Multivariate analysis ins studies involving
characteristics. managements soil
This multivariate analysis model allows to Of the 11 works found in this area can be seen in
discover the relationship between two groups or sets of studies Freitas et al. (2015b) and Mantovanelli et
variables, increasing the correlation between the vectors al.(2015) using the same multivariate Cluster Analysis
of independent and dependent variables Burt, (2015). (AA), Principal Component Analysis (PCA) and
Multiple Regression Analysis MANOVA the applicant ACP and the most jobs found in
Multiple regression provides the changes in the this area as it is noted in studies SILVA; et al., (2010a)
dependent variable in accordance with changes in the SILVA; et al., (2010b), Oliveira; et al., (2015) (JORDAN,
independent variables. The method is suitable when there 2018) SILVA et al., (2009), BARRETO et al., (2006). In
is a single analysis dependent variable metric related to addition to the AA already applicant, it was also used
two or more independent variables (Hair et al., 2005). multivariate techniques such as discriminant analysis
(DA), Canonical Correspondence Analysis (CCA) and
Discriminant analysis factor analysis as noted in the articles ofGerhardt; et al.
The multiple discriminant analysis consists of a set (2001), Baretta;Baretta; Cardoso(2008) and BENITES et
of tools and methods used to distinguish populations al., (2010).
groups and classifying new observations in certain groups Multivariate Analysis in environmental studies
and used when groups are known a priori (Mingoti, This area of study other 12 works were selected
2005). of which can be seen the use of factor analysis the most
recurrent among multivariate methods as noted in the
MANOVA / MANCOVA study Scatena, (2005), Campos et al., (2015), Cunha et

al., (2008) Parents; Silva; Ferreira (2012), Pinto; Col., evaluate which clones of eucalyptus is the production for
(2014), Silva; Feather; Souza (2015). Other analyzes energy purposes.
Multivariate as Regression Analysis Calijuri et al. (2009), In plant stratification 3 selected studies make use
Discriminant Analysis Braga et al. (2009), Clustered of the same methodology for the processing AA and AD
SILVA Analysis, (2003) were also used to a lesser extent as can be seen in the articles of SOUZA et al., (2003b),
in this area of study. Souza et al. (2006) and Souza et al. (2012) and
Articles of BERTOSSI, (2013), BERTOSSI et multivariate classification of the forest classes of
al., (2013), HUGO et al., (2012), applying multivariate volumetric stocks proved to be an efficient method for
analysis data indicators of water quality, it is noted that all laminating homogeneous areas in the three types of forest,
studies Valley ACP main multivariate analysis to analyze which can be constituted by extracts, compartments, site
the data. classes and annual production units .
Technical analysis of multivariate in experiments Reforestation of mined areas CUNHA et al.
involving forests and Forest products of origin (2003) and / or degraded LOSCHI et al., (2011) there was
In this part of 31 studies not fit this line of a similarity in the use of multivariate ACC that despite
research which were separated in sub-items for better distinct areas there was a similarity in the results
visualization of multivariate analysis applied in the presented by the same analysis. Oliveira et al. (2016)
aforementioned area of study. made use of the ACP which showed efficient use of
Considering the application of multivariate multivariate analysis in response to a high variance data,
analysis of floristic data analysis 7 items fall into this is used as a tool for annual use, may best reference
issue where there was no standard in the use of ecological standards of the area, can be used to identify
multivariate methods getting use well distributed in this indicators of forest restoration.
type of study, it was noted that HIGUGHI et al., (2012 ) In studies aimed at planting was unanimous the
and Higuchi et al., (2013) took advantage of the ACP and use of AA as noted in Article developed by Grigolo et al.
the AA to analyze your data and dealing with similar (2018). In four studies selected 3 of them also used the
themes applied in different areas in areas of Santa ACP to complement the study as noted in studies of
Catarina methods have adapted perfectly to the proposed NETO et al., (2018) andRuhoff et al. (2009). The use of
studies. In PEIXOTO work (2004) in Rio de Janeiro and principal components showed that higher yields are
Narvaes; LONGHI; BRENA, (2008) in Rio Grande do correlated with proper growth of the shoot, in conditions
Sul, also because it is similar studies in different areas of of lower bulk density, providing high dry matter
the same multivariate technique can be applied to both production of roots (FREDDI; FERRAUDO;
studies and AA managed to separate the similar data in CENTURION, 2008).
different groups where using the dendrogram and In studies involving forests of the 11 selected
Euclidean distance data were easily spotted. Still treating articles met similarity in the use of multivariate analysis
the flora analysis Souza et al., (2003a) andBERTANI in studies Rovedder et al., (2014) and LÚCIO et al.
(2001) took advantage of the ACC to analyze the floristic (2006)They used the ACP to reduce the maximum
diversity in riparian forests. LastlySOLOMON; JUNIOR; number of variables that could represent possible and
SANTANA, (2012) used the factor analysis to carry out most of the variance found. However, studies Almeida et
the floristic analysis of primary forest for restoration of a al. (2015) and CANUTO et al., (2015) used the AA to
mined area. separate the samples that have greater similarity in
In studies dealing with the quality of wood for different groups and thus can make a better analysis of the
energy purposes, each author made use of different sampled data. In the study by MACHADO (2004)
multivariate statistics for the analysis of data as can be Rectified Correspondence Analysis,LONGHIL et al.,
seen in Protasio et al., (2012) with only the ACC could (2009) Regression Analysis, Silva et al., (2012) Factor
verify the associations between the group formed by the Analysis, MARTINS; SAUCER; OLIVEIRA, (2002) and
characteristics of Eucalyptus clones with the MANOVA Canonical Correspondence Analysis (ACC),
characteristics of the group formed by her charcoal TRUGILHO; LIME; MORI (2003) ACC Oliveira et al.
obtained. Already Castro et al., (2013) used three (2017) Discriminant analysis (DA), Souza et al. (1990)
multivariate analysis they being the ACC ACP and AA AD and Cluster Analysis, We can not show a pattern in
that through them it can be concluded that the properties the use of multivariate analysis where each author made
of charcoal are strongly correlated to the wood, especially use of a different method to analyze your data.
the apparent density of charcoal and the gravimetric yield.
GADELHA et al. (2015) has focused his study of this IV. CONCLUSION
same area MANOVA multivariate method used to Presented results it is seen that studies directed to
certain areas within the Forest Agricultural Sciences have

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Analysis of UV-B Absorption by Fiber

Plastic/Glass with Various Colors using UV-VIS
Spectrometer
Sudarti*, Alex Harijanto, Bambang Supriadi, Maryani, Candra Ari Seskawan
Physics Education Study Program, University of Jember, Indonesia
*Email: sudarti.fkip@unej.ac.id
Abstract — Sunlight is the main source of light for living conveyed by Kataria et al. (2014: 2) that the disruptive
things on earth. Sunlight contains various spectra of effects of UV-B radiation on photosynthesis and its
electromagnetic waves including ultraviolet and visible production level in plants are well aware.
light. Various effects of UV B radiation are already This study is to describe the UV-B absorption to
known. This study aims to determine the absorption some transparent materials with various colors.
characteristics of UV-B of several transparent materials.
The transparent materials used in this study are fiber II. METHOD OF RESEARCH
plastic and mica film plastic in blue, green and natural.  Research Variables
To find out the absorption spectrum of the transparent  Free variables: type of material, color of
material, the researcher used a UV-Vis spectrometer. material, brand of sample
Measurement data shows that glass fiber and the blue  Dependent variable: absorbance of the
mica film POP-1 materials have very strong UV-B material.
absorption which is more than 90%. While other mica  Control variable: light intensity from the
film materials have various UV-B absorption at the spectrometer light source.
beginning and at the end of the various UV-B spectrum  Tools and materials
with 70% values. Blue Mica film POP-1 material has  Spectrometer
absorption of about 94%. Green NIPON mica film  Transparent material of fiber glass:
material has 86% absorption at the beginning of the CHLADIANPLAST and Square brand with 3
spectrum and about 82% at the end. The absorption of kinds of colors, dark blue, dark green, and
materials towards UV-B radiation is not linear with the natural.
increased wavelength.  Transparent material for plastic mica film:
Keywords— UV-Vis Spectrometer Absorption, Fiber
POP-1 and NIPON brands in blue, green and
Plastic, Mica Film plastic.
natural.
 Research Flow
I. INTRODUCTION Figure 1. Research Flow
Sun is the biggest main source of universe that will
Preparation
never run out (Rahman dan Prajitno, 2013: 1).
The fact about the depletion of the ozone layer in
Experiment
the atmosphere (Madronich et al., In Haapala et al., 2010:
370; Herman et al., In Flint and Caldwell, 1995: 107;) has
Data Discussion
an impact on increasing levels of ultraviolet exposure that
reaches the earth's surface which has been widely
Data Analysis Conclusion
conveyed in research in recent decades (McKenzie at al.,
in Holzinger and Lütz, 2006: 191; Seidlitz et al., in
Holzinger and Lütz, 2006: 191). The concentration of the
ozone layer is most influential in the UV-B region which
includes ultraviolet whose energy is high enough
(Caldwell et al. In Hollósy, 2002: 179). UV-B can cause
 Research Step
cancer through mutations in DNA cells (Panchuau and
Research steps are as follows:
Tiwari, 2008: 128-136). The same thing was also

a. Prepare the tools and materials the UV-B spectrum and then propagates down to close to
Things to do before conduction research are: the 2.7 absorbance scales in the range of UV-B spectrum
1. The spectrometer should be in calibrated already which eventually returns up to close to the 3 absorbance
2. Prepare the transparent materials with 2 cm x 2 scales in the end of the UV-B spectrum. In contrast to
cm of size natural CHLADIANPLAST fiber glass material which
b. Research has a slightly steep absorption characteristic that has
After the tools and materials are prepared, the research value of 1.7 absorbance at the beginning of the UV-B
can be done by measuring the absorbance of each color spectrum and drops to close to 1.3 at a wavelength of 288
and material. nm then decreases again until it approaches the value of 1
c. Data Analysis absorbance scale at the end of the UV-B spectrum.
The data obtained from the spectrometer is In mica film materials, the absorption character
analyzed and calculated in Excel of MS. office tends to decrease along the UV-B spectrum. At the
then the data is processed and presented in beginning of the UV-B spectrum, the values range from
graphical form so that it is easy to discuss. 0.59 to 0.45 absorbance scale are green POP-1 brand mica
d. Discussion film material with a value of 0.59 absorbance scale,
After analyzing the data, the researcher knows natural color POP-1 mica film material with a value of
the characteristics of the material and can discuss 0.45 absorbance scale, blue NIPON brand mica film
the characteristics in accordance with the material with 0.57 absorbance scale, and natural color
theories that have existed before or produce NIPON brand mica film material with a value of 0.4
something different. absorbance scale. Up to the end of the spectrum UV-B
e. Conclusion shows varies values which are slightly between 0.45-0.15,
Later, the researcher concludes the finding of the they are green POP-1 mica film brand material with a
research value of 0.4 absorbance scale, natural color POP-1 mica
 Data presentation Technique film material with value of 0, 2 absorbance scales, blue
Data measurement of spectrometer is presented NIPON brand mica film material 0.3 absorbance scale,
in the form of graphic as follows: and natural color NIPON brand mica film material with a
Figure 2. Graphic of absorption measurement value of 1.4 absorbance scale. A somewhat different thing
data is found in the blue POP-1 mica film material and the
green NIPON mica film. The blue Mica film POP-1
III. FINDINGS AND DISCUSSION material has a value of almost 1.2 at the beginning of the
Measurement of data in this study is carried out in UV-B spectrum and then decreases gently in the middle
June 2017 at the Analytical Chemistry Laboratory of the of the UV-B spectrum to close to 1 in the absorbance
Chemical Program of the FMIPA Bandung Institute of scale and rises again to 1.2 in the absorbance scale.
Technology. From the measurement data that has been Meanwhile the green NIPON mica film has a value of 0.8
processed in Microsoft Excel software and presented in at the beginning of the UV-B spectrum and tends to
graphical form as shown in Figure 3. decrease until the end of the UV-B spectrum with a value
Based on the graph in Figure 3, we can know the of 0.7 absorbance scale.
absorption characteristics of each transparent material in In all types of materials, all natural color
the UV-B spectrum range. Fiber Glass Square material ingredients have a lower absorption than those similar
shows the absorption character that goes up and down materials with other colors. This is due to the presence of
around the value of 4 to 3.5 absorbance scale except in dyes which influence the absorption of the colored
the natural fiber glass square material which has value materials. All ingredients can be said to have absorption
absorption about 2 absorbance scales. It can be said that characteristic of the UV-B spectrum which is relatively
these ingredients have a fairly uniform absorption even though each ingredient has different fluctuations,
throughout the UV-B spectrum. can tend to decrease or go up and down indefinitely.
Meanwhile the fiber glass CHLADIANPLAST However, each ingredient has absorption with different
material has absorption characteristic with various values. values.
The characteristic of the blue CHLADIANPLAST fiber All brand and color fiber glass material examined
glass material is almost similar to the color fiber glass in this study have very strong UV-B absorption with a
Square material that has going up and down valu e value of more than 1, which means that these materials
between 4 up to 3.5 absorbance scale. Meanwhile the absorb more than 90% of UV-B radiation. The same thing
green CHLADIANPLAST fiber glass material has is in the blue POP-1 mica film material which has more
absorption with a value of around 3 at the beginning of than 90% UV-B absorption. Almost all fiber glass

materials but natural CHLADIANPLAST fiber glass have along UV-B spectrum. Materials that have natural colors
UV-B absorption up to around 99%. Meanwhile mica have a lower absorption than similar materials that have
film materials have absorption values of around 0.5 or other colors.
below which means that this material only has UV-B This study uses several brands that are available on
absorption of about 70% while the remaining 30% or the market from different factories with the way they are
more is transmitted. 30% can be very large if you see the that differs the samples that cannot be avoided such as the
nature of UV-B which has high energy and can be unequal thickness, dyes that can be different, and
dangerous. For the blue POP-1mica film material and differences in surface texture. In order to deepen
green NIPON mica film material have higher absorption knowledge about this topic, further research needs to
value than the majority of other mica film materials. Blue consider the influence of the surface texture of the
POP-1 mica film material has a value of almost 1.2 at the transparent material and try samples that have the same
beginning of the UV-B spectrum which is equivalent to thickness and coloring.
UV-B absorption of 94% and then sloping downward in
the middle of the UV-B spectrum to close to the value of REFERENCES
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1.2 absorbance scale at the end of the UV-B spectrum. Ultraviolet Spectral Responses from Laboratory
Meanwhile the green NIPON mica film has a value of 0.8 Action Spectra to Field Spectral Weighting Factors. J.
at the beginning of the UV-B spectrum which is Plant Physiol. Vol. 148: 107-114.
equivalent to UV-B absorption of more than 86% and [2] Haapala, Morsky, Saarnio, Suokanerva, dan Kyro.
tends to decrease until the end of the UV-B spectrum 2010. Long-Term Effect of Elevated UV-B Radiation
which has UV-B absorption of 82% or has 0.7 value of on Phtosynthesis and Ultrastructure of Eriophorum
absorbance scale. Russeolum and Warnstorfia Exannulata. Science of
From the graph, we can find that for materials with Total Environment. Vol. 409: 370-377.
different types of thickness cannot be used as a definite [3] Hollósy. F. 2002. Effects of Ultraviolet Radiation on
measurement that materials with smaller thickness will Plant Cells. Micron. Vol. 179-197.
have smaller absorption as well. This can be seen in blue [4] Holzinger, A. Dan Lütz, C. 2006. Algae and UV
POP-1 mica film plastic material and natural color Irradiation: Effects on Ultrastructure and Related
CLADIANPLAST fiber plastic material where both of Metabolic Funtion. Micron. Vol 37: 190-207.
these materials have almost the same absorption even at [5] Kataria, S., Jajoo, A., Guruprasad, K. N. 2014. Impact
the end of the UV-B spectrum of thinner POP-1 mica film of Increasing Ultraviolet-B (UV-B) Radiation on
which has greater absorption than absorption of natural Photosynthetic Proseses. Journal of Photochemistry
fiber glass CHLADIANPLAST. and Photobiology B. Biology. At elsevier: 1-46.
The absorption characteristic material towards [6] Panchuau, Z. dan Tiwari, R. C. 2008 Ultraviolet
UV-B radiation is non-linear with the increase of Light-it’s Effects and Applications. Science Vision.
wavelength along the UV-B spectrum range. In all types Vol. 8 (4): 128-136.
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fluctuations. Pemberian Space (Bantalan) Untuk Mendapatkan
Kestabilan Arus dan Tegangan Prototipe DSSC
IV. CONCLUSION AND SUGGESTION dengan Ekstraksi Kulit Buah Manggis (Garcinia
Based on the above discussion, it can be concluded Mangostana L.) Sebagai Dye Sensitizer. Jurnal Sains
that the UV-B absorption of all blue fiber glass and mica dan Seni POMITS. Vol. 1 (2): 1-7.
film POP-1 materials are very strong of more than 90%.
Whereas other mica film materials have UV-B absorption
which are varies at the beginning and at the end of the
UV-B varied spectrum with value of about 70%. Blue
POP-1 mica film material has absorption of about 94%.
Green NIPON mica film material has absorption of
around 86% at the beginning of the spectrum and around
82% at the end.
The absorption characteristic of material towards
UV-B radiation is non-linear with the increased
wavelength that has unique and special fluctuations.
However, it can be said to have a uniform absorption

An Analysis of the Demand for the

Consumptionof Rice Substitutes in Households
in the Province of Maluku
William Louhenapessy1 , Basri Hasanuddin2, Madris3, Paulus Uppun4
1 Pattimura University Ambon, Indonesia
willy_louhenapessy@yahoo.co.uk
2 Hasanuddin University, Indonesia
basrihasanuddin@yahoo.com
madriskandar@gmail.co m
upnpaul@gmail.com
Abstract— The aim of this Research is to analyse the the population and the quality of life of the people causes
partial relationships between the variables of the price of the demand for food to conitinuosly increase. Robert
rice substitutes, the price of rice, income per household Maltus (in Abdurachim, 1973 and Hafsah, 2006) explained
and the number of household members against the that the increase in population was not in proportion to the
variables of household food availability and household growth of world food supply, where food materials will
food consumption patterns in Maluku Province. This increase according to arithmetical progression while the
research was carried out in Maluku Province using a population will increase according to geometrical
sample of 200people. Data used in this research is the progression, which causes scarcity in the supply of food in
primary data based on questionnaires and interviews with the world. Therefore, the need for food for all the people
respondants and using secondary data taken from of Indonesia has to become one of the priorities innational
SUSENAS data covering a research period from 1995 development.
through to 2014. The analysis used to test the hypothesis is The definition of food security since the world food
the regression analysis using the SPSS application. The conference in 1971 until the 90’scontinued to experience
results of this research demonstarte that the variables of change starting from global and nationallevels, to the
the price of rice substitutes, the price of rice, household householdand individualscales that can be seen from the
income and the number of household members has a food first perspective to the livelihood perspectiveandfrom
significant influence on the variables of the household objectiveindicatorstosubjective perception (Maxwell and
food availability and the pattern of household food Frankenberger, 1992).
consumption in Maluku Province. Indonesia is a country with a large population andcovers a
Keywords— The Price of Rice Substitutes, The Price of vast area so that the problem of food security is an
Rice, Income Per Household, Number of Household important agenda in the development of the economy.
Members, Household Food Availability, Pattern of Data demonstrates that food security situation in Indonesia
Household Food Consumption, Maluku. at this time is still weak. This can be seen from the
following conditions: (a) the number of population
I. INTRODUCTION experiencing food insecurity (consumptionlevel of less
At this moment the world is facing two great crises, that is than 90 percent of the recommended 2,000 cal/cap/day )
the food crisisand the energy crisis . The food crisishas andextreme food insecurity (consumptionlevel of less than
been triggered by the phenomena of global warming and 70 percent of the recommendation) is still quite large, that
the uneven distributionof food. While the energy crisishas is 36.85 million and 15.48 million people in 2002; (b) the
been triggered by the great reduction of reserves of fossil number of toddlers who are experiencing malnutrition is
fuel energy (Louhenapessy, 2010). Food is a basice need still quite large, i.e. 5.02 million and 5.12 million toddlers
of the people that has to be fulfilled so that it is a in 2002 and 2003 (Khomsan, 2003). Data from Susenas
humanright for all people to obtain food. The increase in (2010) also shows that consumptionlevel of rice of the

population of Indonesia in 2009 was the highest in the food. However, Girsang (2014) states that the
world, i.e. 102.2 kilogram/capita/year or almost twice the consumptionof sagoand other local food in Maluku
average consumptionof rice of world population which is Provincehas started to decrease while the
only 60 kilogram/capita/year. This data shows that consumptionricehas increased significantly in the last
endeavours to create food security in Indonesia need to be decade.Data from Susenas (2009) shows that these has
carried out. been a shift in the consumption patterns of the people of
In Indonesia, food is associated with rice because rice is Maluku Provincewho used to consume local food to
the main staple food. Based on the writer’s research, data consuming rice, where in 2005 the total of number of
shows that rice is the staple food of more than 95 percent riceconsumption was 68,52 kg/cap/year and has continued
of the population in Indonesia. This situation makes their to increase in 2009 to 85kg/cap/year.
consumptionpattern dominated by rice commodities . In Maluku Province, there are approximately 52,000 ha of
Therefore, the government is always endeavouring to sagoforests which have the potential to produce more than
increase the availability of the main food especally rice. 268 kg of carbohidrateper capita per year for 1.55 million
This can be seen from the government policies related to population of Maluku. Factors that influence the food
food are still focused on the commodity of rice. Besides consumption patterns in one region are the availability of
that, the government also carries out strict control the local food commodities. The availability of local foods
concerning the availability of rice and is not unwilling to has become the main important factorbecause it is one of
import rice. The consumptiondependence of the people of the three mainpillarsfood security. The availability of food
Indonesia on rice needs to be quickly overcome in order to is linked to the supply of food to fulfill the needs of the
increase food security. Therefore, alternative food sources, whole community, both from the point of quantity, quality,
such as local foods can become the solution to overcome variety, andsafety. The distribution factorfunctions to
the problem of food security in Indonesia which is a create a distributionsystem that is effective and efficient in
country that possesses various other types of food such order to guarantee that the community can procure food in
assago, corn and various other types of tubers that can the reasoanable quanitity, quality and continuity with
become the source of food for the people. Food besides prices that are affordable. The consumptionfactorfunctions
rice has local historical and cultural roots so that the so that the pattern of the national utilisation of food fulfills
majority of the people of Indonesia, especially ln Eastern kaidah quality, variety, nutritional value, safety and halal
Indonesiaare used to consuming local food such as tubers, norms (Rossi, 2010).
cornand sago. This indicates really that alternative food The food consumption patterns of the community
sources can become a consumption alternativefor the generally are influenced by social and cultural factors,
people of Eastern Indonesia andrice can be focused to demography and lifestyle factors,including the relationship
supply the needs in Java. to the risk of certain degenerative illnesses. The food
The policy of implementing food security by making use consumption patterns of the community also are
of local foods is the right step, because of the availability significantly related to the food insecurity or food
of local foods in each area and the ease by which they can securityconditions of the community.Evaluating food
be developed. For example, the people of Papua and consumption patterns is one method that can be used to
Maluku are able to consume sweet potatoes as the staple understand the food and nutrition situation of a
food to replace rice. Nusa Tenggara Timur and North community. One method used to evaluate the qualitive
Sulawesi as the main producers of corn can consume corn nature of food consumption patternspangan can be
as the staple food to replace rice. Anther commoditywhich reflected in and demonstrate the sufficiency of individual
also hasthe possibility as a staple food to replace rice is dietary intake by evaluating the variety and quality of the
sago which is widely available in Eastern Indonesia and nutritional value of the food. Rice is the main source of
Sumatera (Nainggolan, 2004). energy that is consumed in Indonesia, while the main
Bustaman and Susanto (2007) explain that the farming of source of energy of rice substitues is obtained from
sago in Maluku Provincecan be utilised as a food source cassava (Yudaningrum, 2011). The main difference in
and has been proven to be the solution to the local food food consumptionis obtained from the consumptionlevels
problem in this area. The people in the Maluku of the community, which show that the consumptionof
Provincegenrally consumesago and other local foods as a ricein the vllages is much higher that theconsumptionof
source of staple foods in the past. According to ricein the cities.
Louhenapessy (2007), in the 1980’s, 33% of the people of
Maluku Provincestill used sagoas the staple food, 50%
used sago and tubers and only 17% used rice as the staple

II. LITERATURE REVIEW the householddoes not have access to to the food although
Conceptual and TheoreticReview Concerning Demand it is readily available in the market. Therefore,
The theoryof consumer demand is based on the theory of householdfood availablity is more determined by the
consumerbehaviour. Consumer behaviouris the direct ability of the householdto control their food needs . The
behaviour that is involved in the procuring, ability to control is more influenced by the ability of the
consumptionand the finishing off of the product and householdin their own ability to produce food and their
services, including the decision making process before and ability to purchase food in the market. Therefore, ability to
after the action reveals consumer behaviourin determining buy food becomes the source of household food security,
the consumptionof goods. While the level of personel which is more depenant on householdpurchasing power
demand is the desire of the consumerto purchase certain (Pakpahan, et al., 1993). In order to achieve food
goods at various price levels over a certain period of time. securityfood availability is needed in sufficient numbers
Therefore, the demand for a number of goods hasa great and quality, distributed with affordable prices andsafe to
influence on the price of those goods . The higher the price be consumed by every citizen to support daily activities all
of the goods means that the demand for certain goods will the time.(Saliem et al., 2002).
decresase, and the reverse is also true.General demand The Price of Rice Substitutes
theory describes how a consumerconsumes a certain Sago, corn and tubers are rice substitutesthat are utilized in
number of goods at a certain price level. If the price is Indonesia. The use of rice substitutesis based on the
high, then the quanity of goods consumed decreases on the availability of food in a region originates from the
other hand if the price is low, then the quanity of goods producelocal family farmers and then developed into
consumed risesciteris paribus.In the consumption process alocal food habit or regional household consumption
the consumer uses the income that he has obtaied from the patternsat a low cost. In fact diverse household food
productionprocess. The problem is how does a consumption patternshave been in existence for a long
consumerallocate his income to procure a certain number time, but as a result of excessively dominant and intensive
of goods so that theconsumerwill achieve maximum government policies in the field of rapid rice production,
satisfaction.This is because the main aim of the covering all aspects of the industry resulting in a shift from
consumerin the consumptionprocess is to achieve consuming rice substitutesto consuming rice (Ariani,
maximu m satisfaction. 2010).This has occurred in Maluku where sagoand other
Household Consumptionof Rice SubstitutesExpenses local food consumption patterns have decreased, while the
The consumption patterns of the community describes the consumptionof imported ricehas increased significantly.
allocation and compositionor form of consumptionthat is Besides the community consumption patterns, another
generally valid for members of the community. factor that also has influenced this situation is the price of
Consumptioncan be defined as an activity in satisfying the rice substitutes. The results of research Ilham et al. (2006)
needs or desires at this time in order to increase prosperity. show that the definite price of rice substituteswill
Thus, the allocation of consumptionis very dependant on encourage the community or householdto have alternative
the definition and perception of the community concerning foodconsumptionin order to protect the stability and
needs and the obstacles they face. The life of urban availability of food at the community level.
communities demands a consumptionlifestyle that is The Price of Rice
totally fast and instant. The consumptionbehaviour that is The price of food is an important point for the
of urban communities no longer considers the function or householdwhen deciding which types of food to be
use of goods that are purchased rather they take into consumed. In this case, the majority of the population of
account the social status attached to the particular Indonesia consume rice because the price is subsidized by
goods.Urban household consumption patternsare caused central government. The normal price of riceis Rp 10,000
by the busy lifestyle of each member of the household per kg (USD 1 per kg), but the central government
especially when the mother goes to work, then subsidized the price of rice up till 80 percent so that the
householdconsumption patterns that are applied when the cost for each household is around Rp 2,000 per kg.
members of the household get together in one place and However, subsidized rice has been allocated by village
order various types of fastfood, without waiting long and officials to all rural households and has failed to solve the
also saves time on eating. problem of the target group of poor households. Therefore
Household Food Availability every household receives around 5 kg per month.
Food availability for the community does not guarantee Household Income
food securityhousehold, this is because the purchasing Generally, household needs can be divided into two large
power of the community is not able to afford the food or categories, that is food and non food needs . Thus at certain

income levels, households will allocate their income to the family, and the reverse is true. So that in a family
fulfill these two needs untuk. Naturally the amount of food whose household members are many then the needs that
needed by an individual or a household akan will reach have to be fulfilled will also be greater (Adiana dan
saturation point while non food needs including the quality Karmini, 2012). Further it is said that the greater the
of food is not limited in the same way. Thus, the size of financial responsibilities of a family is one of the factors
income (that which is produced and total expenses)which that influences the household consumption patterns . The
are spent for food of a householdcan be used as an more the members of a household, then the consumption
indicator of householdprosperity (Tri Bastutiand Mewa patterns will be more diverse because each member of the
Ariani, 2007).The size of income will determine the types householdmay not have the same taste in food. The
of food consumed by a household. The types of food number of family members is liked to the
consumed by the household will determine household householdincome that eventually influences household
consumption patterns (Sumarwan dan Sukandar, 1998). consumption patterns.
Income becomes an important factorin determining
household expenses, including food consumption patterns. III. RESEARCH METHODS
If income increase then householdconsumption patterns The location of theresearchis in Maluku Province, with
will be more diverse so that consumptionof foodwith high samples taken in Ambon, Central Maluku Regency, West
levels of nutrition will increase (Yudaningrum, 2011)so Seram Regency andEast Seram Regency. Samples were
householdfood availability will be stable. taken from 200 respondentstswith the same number of
Number Members in a Household respondentsts taken in each Regency. This Researchis
The amount of financial reponsibilities is a quantitative and qualitative in nature. The types of data
characteristicrelated to the increase in income yang used in this research are secondary data from the
berhubungan, including expenses and household food nationalsocio-economicsurvey (SUSENAS), several
consumption, the more the number of householdmembers publications of the Central Bureau of Statistics (BPS),
then the costs will increase thus expenses reports and publications from the Ministry of Agriculture
andconsumptionwill increase (Arida dan Fadhiela, 2015). of the Republic of Indonesia, and publications from the
At the family level the smaller the number of family National Food SecurityBoard andthe Maluku Province
members, the smaller the needs that have to be fulfilled by RegionalFood Security Board.
Fig.1: Conceptual Model Design

Primary data was obtained from questionnaires that were total households. While the allocation of income ≥ Rp.
distributed to respondentsts and interviews. The number of 50,000 are 51 householdsor 25.5% of the total
population of the area of research is 539,254 people, householdrespondents.
spread through three regencies and one municipality, West Information from Table-5.1 can be analysed further that if
Seram Regency, Central Maluku Regency, East Seram 40% of householdsin the researcharea allocate income in
Regency and the City of Ambon as the capital city of order to consumerice substitutes, because this has a closely
Maluku Province.200 people were used as the Samplein related to household consumption patterns of
this research, each regency and city represented by 50 respondentsin Maluku who tend to consumerice
respondentsts. Variables used in this substitutesbesides rice. It was also discovered that the
researchanalysismodel were (a).Household Food choice of such incomeallocationwas because the rice
Availability; (b). Household Consumption Patterns; (c). substituteswere cheaper than the price of ricebesides the
The Price of Rice substitutes; (d). The Price of Rice; (e). factorof the availability of rice substituteswere much more
HouseholdIncome; (f). Number of Household Members. easily accessed both in urban and rural areas .
Other phenomena that can be analysed is the households
IV. RESULTS AND DISCUSSION that allocateincome rice substitutesconsumption ≥ Rp.
The price of rice substitutesis one of the variables used in 50,000 was 25.5% which is second. This was not
this researchanalysis model, this is because it is believed according to what had been hoped theoretically that every
that the price of rice substitutescalculated in rupiah can increase in the price of rice substitutes should be followed
give an overview of the readiness andability of a by a reduction in the householddemand for rice substitute
householdto prepare food stocks in a month. Thus the price productsthat should influence the availability of household
of rice substitutesvariable in this researchcan be defined as rice substitutes. But the results of correlation and facts in
the value of money from the types of ricesubstitutes that the area of researchdemonstrate a parallel comparison,
can be calculated in rupiah. with the understanding that if there is a rise in the price of
The price of ricesubstitutes is a price substitution forthe rice substitutesthen it is followed by an increase in the
price of rice. This is because if the price of riceis high then consumptionof rice substitutesin order to add to the
householdrespondentstscan make a substitutionin the availability of household rice substitutesin the area of
consumptionprocess that is to consume other types of food research.
besides rice, such as sago, tubers, nuts and other types of According to micro economic theory it is known that the
food. law of demand states that if the prices of a product rises,
Table.5.1: Allocation ofHousehold Income of Repondents then the number of products consumed with tend to
for theConsumptionof Rice Substitutes In the Area of fall(citeris paribus).But the facts in the field show a
Research 2017 different situationthat is a deviation of behavior of
Household Income Total Percentage householdrespondentsin carrying out consumption activity.
≤ 30,000 80 40 According to the opinion of the researchers a form of
paradox occurs in Maluku, this is in fact is in accordance
31,000 – 40,000 25 12.5
with the findings of Sir Robert Giffen in Northern Ireland
41,000 – 50,000 44 22
that in micro economic theory is calledthe Giffenparadox.
≥ 50,000 51 25.5 The priceis the value associated with certain goods or
Total 200 100 products that is used as a calculation tool in the
Source: Processed Primary Data economictransactionprocess. Based on this understanding
Table-5.1shows the householdincome groups for rice then the price of ricein this researchdefined as the value in
substituteconsumption in a month in the area of rupiah that is associated with riceproducts that function as
research.From the data above it is known that households a calculation tool in the transactionprocess. The price of
that allocate less than ≤ Rp. 30,000as 80 householdsor riceis one important variable in this research, because
40% of the total respondents. Households that riceis one of the strategic foods in Maluku besides rice
allocateincome between Rp. 31,000 – Rp. 40,000 and substitutes, because in various studies and
between Rp. 41,000 – 50,000 for rice analysesconcerning food then ricealways becomes the
substituteconsumptionare 25 households 12.5% of the total material of research, study and analysis.
householdrespondentsand 22 householdsor 22% of the

Table.5.2: Income allocationHouseholdRespondents For Besides income allocationof household respondents,
Rice Consumptionin the Research Area 2017 (Price per consumption of ricecan be seen from the price per sack (25
Sack and Price per Kg) kg). Thus it is known that householdsin the research
Price per Sack HouseholdRespondents Percentage areathat consumericewith a price per sack level (25 kg) at
≤ Rp. 250,000 92 46 ≥ Rp. 250.000 amounted to 108 householdsor 54% of the
≥ Rp. 250.000 108 54 total household respondents. While household respondents
that consumericeat the price level per sack (25 kg) ≤ Rp.
< Rp. 10,000 55 27.5
250.000 only amounted to 46% of the total household
≥ Rp. 10.000 145 72.5
respondentsor 92 household respondents. From the
Source: Processed Primary Data information fromthe table above it can be concluded that
this occurs because of the awareness of the household
Table-5.2 clearly shows the actual situation in the area of respondents concerning consumption and theincome
researchthat householdrespondentswho consumericeat the factoras explained above.
price level of rice/kg ≥ Rp. 10,000 is 72.5% or 145 Household income,wages andsalaries based on the work
households greater than the number of hours that have been completed, overtime, all bonuses
householdrespondentswho consumerice at the price level andallowances, calculation of time when off work, bonus
of ≤ Rp. 10,000 which was only 27.5% 55 households. It is that is not a regular payment, rewards; and the value of
known that the perception of householdsin this paymentsin kind. There aretwo components, that is: (1)for
researcharea tend to consumericeof a better quality with usual work hours or for work that has been completed,
certain brand names compared to cheaper riceat a lower and(2)for overtime. All other income components were
price. This means it can be concluded that added together on aggregate.The income indicator used
householdrespondentsboth rural and urban possess an was rupiah (Rp). The source of incomeof the
awareness concerning the consumption ofricethat is respondentscame from farming and nonfarming
healthier and bof better quality to maintain carbohydrate jobs.According to research results, the majority of income
nutrition rates to fulifill their needs . Another reason of householdrespondentsin Maluku comes from basic work
households in the research area consumebetter quality rice as farmers. Besides farmers, householdrespondents also
although a higher price has to be paid is because the obtained income incomeas fishermen and breeders. Other
relatively high purchasing power of the forms of work includedunskilled labourers , construction
householdrespondentsso that income allocationcan be labourers, own business andcarpenters. In the following
directed to consumegood quality rice. tablethe size of the average income of
householdrespondentsin a month can be seen.
ofhouseholdrespondentsthat originates from farming and
Table.5.3: Income of Household Respondents non-farming work. This is because the great variety in the
InResearchArea in Maluku, 2017 characteristics of the householdmembers in these
Total Income for Total Percentage fourRegencies / City of the samplearea.
Household Members The diminishing availability of rice substitutesfor the
1,000,000 – 4,999,999 54 27 householdrespondentscertainly implications that are not
5,000.000 – 9,999.999 55 28 good for the consumptionactivities of householdmembers
≥ 10,000,000 91 45 in a month. The understanding being that the total number
of rice substitutes that are consumed have diminished
Total 200 100
meaning that the nutrition factorthat originates from these
Source: Processed Primary Data rice substituteswill also diminish and long term will
greatly influence the quality of the health of the members
Table-5.3 provides information thathouseholds54 of the household in the research area. However on the
household atau 27% of total householdrespondents have an other hand there is another phenomena that has been
income at a level between Rp. 1,000,000 – Rp. 4,999,999. discovered in this research area, that is, when the income
While 55 householdsor 28% of the total of the householdrespondentsrises, it does not have a
respondentsSedangkan householdhave an income level of significant influence on on the household consumption
between Rp. 5,000,000 – Rp. 9,999,999 and 91 patterns, this is because the additional income is not
householdsor 45% of the total householdrespondentswho followed by an increase in consumption ofrice
have an income level in one month more than Rp. substitutesrelated to endeavours to increase the availability
10,000,000.Incomeas shown in table-5.1 is the income of rice substitutesof householdsin the research area.

From the observationresultsit is known that a rise in or 58% of the total householdrespondents and29
incomefor the householdrespondentsoften changes their households consisting of more than6 householdmembers
householdconsumptionexpenses where decisions on or atau 14%.
consumptionhabits shift from consumption of rice or The information in table-5.4 explains that the average
theconsumptionof rice substitutes such as the use of money household in theresearch areaincluded 4 - 6 members
to pay bills to a third party, he purchasing of electronic consisting of husband, wife, child and other family
goods, andalso other third party needs This of course has a members that were the financial responsibility of the head
close relationship to the change in the of the family. Of course the number of householdmembers
consumptionbehavior of householdrespondentsaccording has great implicationson the household food availability in
to the needs of each household in theresearch area. This theresearch area.
situation is also caused by the rise in income of
householdsin the research areathat are not always followed Table.5.4: Number of Members of Household Respondents
with an increase in the consumptionof rice substitutesin In theResearch area in Maluku, 2017
order to add to the availability of rice substitutesfor the No Number of Total Percentage
householdrespondents. . Household
Other findings in the four Regencies/City in Maluku as the Members
research area are that besides farming and laboring that 1 1–3 54 27
jobs beside the main occupation of 2 4-6 117 58
householdrespondentsare very sparse which causes the 3 6+ 29 14
income of the majority of householdrespondents to be low.
Total 200 100
Low household income can affect the level of food
consumptionof the household. But households with high Source: Processed PrimaryData
income also do not guarantee food availability in decent
amounts in each householdor does not meet the minimum This is because the head of the household has to
standard. This situation can be caused by household allocatehis income for the consumption ofriceandrice
consumptionhabits in the consumptionprocess, or it can be substitutesas previously described. Differences occurred in
caused by the low level of education of the head of the the proportionof riceandrice substitutesconsumptionin
householdso that knowledge and insightconcerning how to theresearch area both in urban and rural area which was
carry out the consumptionprocess that fulfills the actually influenced by on three main factors, that is the
standardnutrition requirements correctly and accurately habits in the food consumption patterns , the level of
according to the needs of the memebrs of the householdin income andthe number of household members in
a month. Although not every head of household gets householdsof the respondents.
income from non-farming work, but income from non-
farming work is needed to fulfill the needs of the The Results of Analysis of the Relationship between
household. While the housewife, who does not have any Variables
job except organize the housework, is expected to help the In describing the results of the researchcarried out by
head of the householdin working. providing an overview of the results of
The total of financial responsibilities is a characteristic that quantitativecalculations according to the model that was
is related to an increase in income, including expenses used in this research.In analysingthe data to discover the
andhouseholdfood consumption. The more the number of influence of the price of rice substitutes (X1),the price of
members of the householdneed costs are greater so that rice (X2),household income (X3), householdmembers
expenses and consumptionwill be greater. Members of a (X4) have a real statistical relationship (significant)
householdconsist of the husband (head of the household), towards thedependent variable of food availability
wife and child. The greater the numbers of members of the (Y1),thus a basic mathematical function is formed where
household, then the expenses and food needs will also be Y1 is the food availability in Maluku, X1t the price of rice
greater. The results ofthis researchconcerning the members substitutes,X2t ,the price of riceX3t household
of the householdthat was carried out in four Regencies / income,andX4t household members, according to the time
period of when theresearch was carried out. α0 is the
City in Maluku can be seen in Table-5.4 below, that
explains that 54 householdsconsisting of between 3 – 4 constantor intercept, is the coefficient regression that is
householdmembers is 27% of the total sought, andeshows the variable error,andabove
householdrespondents, while there were117 estimationmodel used the OLS(Ordinary Least
householdsconsisting of between 4 - 6 householdmembers Square)approach.

Table.5.5: The Results of theLinear RegressionEquation Y1
Unstandardized
Results Analysis
Dependent Independent Param Coefficients Comments
Variable Variable eter t-
B Std. Error Sig.
Statistic
KPRT PRS (X1) α1 -1.134 .926 -1.225 0.222 Not Significant
PR (X2) α2 -2.847 1.005 -2.832 0.005 Significant
HI (X3) α3 .011 001 15.390 0.000 Significant
HM (X4) α4 2466.559 1195.718 -2.063 0.040 Significant
Constant = 69,323.971
R square = 0.560
F-statistic = 61.987
Sig. F-statistic= 0.000
In the results of the analysis the regression equationas (X4)together influence the food availability in Maluku
seen above was obtained so an interpretation can be made variable(Y1)by 56 percent, and the remaining44 percent
as follows. The above equation provides information that is determined by other variablesoutside of this
the price level of rice substitutes (X1), the price of rice estimationmodel.
(X2), household income (X3), household members (X4) In order to find out the relation between the variables of
have a positive relationship to food availabilityin Maluku household food availability (Y1), price of rice substitutes
(Y1). When the price of rice substitutes (X1), the price of (X1), the price of rice (X2), household income of
rice (X2), household income (X3), consumer (X3), and the number ofhousehold members
householdmembers(X4)= 0, or experiences no change in (X4), towards householdfood consumption patterns of the
the householdthen the value of food availability in community (Y2), therefore a second model was formed
Maluku (Y1) = C = 69,323.971.Thus the results of the with a basic mathematical function of = ƒ(X1 , X2 , X3 , X4 ,
data analysis (based on appendix 2): Y1 = 69,323.97 – Y1 ).
1,134 X1 – 2,847 X2 + 0.011 X3 – 2466.59 X4. Every From this mathematical function a double linear
single rupiah rise/reduction of therice substitutes (X1) has regressionequation as a basic model to form the following
a positive effect 69,323.971 towards the constant value equations, where Y2 rice
(α0). The implication being the higher the price of rice substituteshouseholdconsumption expenses , Y1 food
substitutes (X1) the higher the value of food availability availability in Maluku, X1price of rice substitutes,X2,the
in Maluku (Y1). price of rice, X3 household income, andX4household
The constant 69,323.971 demonstrates that if there is no members, according to the time period of when
increase in the value/price ofrice substitutes (X1), the theresearchwas carried out. β0 the constant or intercept,
price of rice (X2), householdincome (X3),andhousehold β1….β5 the coefficient regression that is being sought,
members (X4) the value of food availability in Maluku andeshows the variable error,and the above estimation
(Y1) amounts to 69,323.971. The coefficient regression model used the OLS (Ordinary Least Square)approach.
being–1,134 for X1, – 2,847 for X2, 0.011 for X3 and– The estimation resuts of the equation on the following
2466.59 X4 demonstrates that every additional value unit page, can provide information that the level of foo d
(price or person) X1, X2, X3 and X4, will produce a rise availability in Maluku (Y1), the price of rice substitutes
of -1,134-2,847, 0.011, and-2466.59 across the board. (X1),the price of rice (X2),household income (X3),
Based on an analysis of the results it is known that the householdmembers (X4) have a positive relation to the
coeficient determination is 0.560 that demonstrates that dengan rice substitutesconsumptionexpenses in Maluku
the variables of price rice substitutes (X1), the price of (Y2).
rice (X2), household income (X3),andhouseholdmembers

Table.5.6: Results of Linear Regression Equation Y2
Unstandardized
Dependen Independe Coefficients Analysis Results
Param Comment
t nt t- Sig.
eter
Variable Variable B Std. Error Statistic
PKRT PRS β1 .496 .061 8.149 0.000 Significant

PR β2 1.271 0.205 Not
1.003 .789
Significant
HI β3 -1.076 0.283 Not
-.937 .871
Significant
HE β4 .005 .001 5.288 0.000 Significant
MH β5 3641.467 1026.384 3.548 0.000 Significant
Constant = -225.193
R square = 0.647
F-statistic = 71.036
Sig. F-statistic = 0.000
When food availability in Maluku (Y1), the price ofrice was expected that every increase inhousehold income
substitutes (X1), the price of rice (X2),household income (X3), is always followed by an increase in householdrice
(X3), householdmembers (X4) = 0, then the value of maka substitutesconsumptionexpenses in Maluku (Y2). This
nilai consumptionrice substitutes expensesin Maluku (Y2) phenomenais also in accordance with with data findings in
= C = -225.93. Every increase /decrease in food the field during the period of researchwhich describes the
availability in Maluku (Y1) produces a positive effect of rise in householdincome (X3) that is always followed by a
.496 towards the constant value (α0). The implication greater amount or increase in the total household rice
being, the higher the level of food availability in Maluku substitutesconsumptionexpenses in Maluku (Y2).
(Y1) then the value of consumption patterns di Maluku Fifthly when the number of householdmembers (X4)= 1
(Y2) will become greater. This phenomenais in accordance person, then household rice substitutesconsumption
with the data findings in the field during the period of expensesin Maluku (Y2) = Rp. 3,641,467.When
researchthat describes the increase in food availability in thehouseholdmembers (X4)= 2 people the food
Maluku (Y1), which is always followed by a greater consumption pattern in Maluku (Y2) = Rp.7,282,934and
amount or rise in the total householdrice so on. This condition is in accordance with the
substitutesconsumptionexpenses in Maluku (Y2). expectations that the increase in the householdmembers
Secondly, every single rupiah rise or fallof the price of rice (X4)always follows with a greater increase in household
substitutes (X1) does not have an effect on the constant rice substitutesconsumption expenses in Maluku (Y2) This
value (α0). The implication being that the higher the price phenomena is also in accordance with data findings in the
of rice substitutes (X1) then the household rice field during in the period ofresearchdescribes the increase
substitutesconsumptionexpenses in Maluku (Y2) is not in householdmembers (X4) of one person is always
effected.So that it can be concluded that the price of rice followed by a graeter amount/ increase in the total
substitutescannot be used to measure household rice household rice substitutesconsumptionexpenses in Maluku
substitutesconsumption expenses. (Y2).
Thirdly, every one rupiah rise /fall in the price of rice (X2) Constant-225,193 states that if there is no increase in the
has no effect on the constant value (α0). The implication values of food availability in Maluku (Y1), the price of
being, the higher the price of rice (X1) then the value of rice substitutes (X1), the price of rice (X2), household
household rice substitutesconsumptionexpense in Maluku income (X3),andhouseholdmembers (X4) then the value of
(Y2) is not effected. So that it can be concluded that the household consumption patterns in Maluku (Y2) will be
price of ricecannot be used to measure householdrice adalah -225,193. The coeffcient regression of 496for Y1,
substitutesconsumption expenses. 1.003for X1, -937 for X2, 005for X3 and X4 3,641,467
Fourthly,whenhousehold income (X3) = Rp.1, then rice states that each additional unit value (price or person) Y1,
householdsubstitutesconsumptionexpenses in Maluku (Y2) X1, X2, X3 dan X4, will have an effect of 496, 1,003, -
= Rp. 005 and so on.This condition is according to what 937, 005 and3,641,467put together.

Based on the results analysis it is known that the maka REFERENCES
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A Comparative View of the Main Frameworks in

Organizational Modeling Process
Gabriel Riso Oliveira1, Ailton da Silva Ferreira2
1 Universidade Estadual do Norte Fluminense (UENF), Campos dos Goytacazes – RJ, Brasil
Email: gabriel.riso@gmail.com
2 Universidade Federal Fluminense (UFF), Rio das Ostras – RJ, Brasil
E-mail: ailtonsilvaferreira@yahoo.com.br
Abstract—In the perspective of organizational context, the There is a large number of researches in the
present paper deals with the different types of architecture scientific literature on business process modeling
of BPM (Business Process Modeling). As objectives, it is architectures. In the view of Rosa, Van Der Aalst, Dumas
proposed to formulate a conceptual comparative view of and Milani (2017), this theme has become a mature
the main architectures present in the scientific literature. discipline, exhibiting a well defined set principles,
As for the methodology, bibliographical and methods and tools that combine knowledge of information
webibliomining research are employed in a qualitative and technology, management sciences and industrial
quantitative approach to the subject. As a resu lt, the engineering with the aim of continuously improving
comparative view of the UML, BPMN, CIMOSA, IDEF, business processes.
ARIS, IEM, GRAI, GERAM and EKD architectures is Exploring the concepts, we can identify several
developed, in terms of temporal aspects, socio-technical methodologies and architectures that characterize the
characteristics, visualization and analysis, among other different applications of the process modeling theme such
factors which offers substantial argument to decide what as: BPMN (Business Process Model and Notation); UML
framework is better in each scenario. (Unified Modeling Language); ARIS (Architecture of
Keywords— Business Process Modeling; Organizational Integrated Information Systems); CIMOSA (Computer
Modeling Techniques; Reference Architectures. Integrated Manufacturing Open System Architecture);
IDEF (Integration DEFinition); among others. Such a
I. INTRODUCTION variety engenders an aspect of complexity in choice by a
Corporate modeling, or modeling of organizational method that is efficient to promote the goal of process
processes, or still business processes, have become improvement in organizations.
extremely relevant tools for the management of modern The objective of this paper is to propose a
organizations, which are inserted in a competitive market comparative and conceptual analysis, using webiblioming,
with increasingly demanding clients. that provides an overview of the state of the art of the
In this context, identifying and assimilating the literature about the main reference architectures in BPM in
workflow of organizational environments is a necessary the scientific environment, seeking a better understand ing
condition for the development of processes improvement, of its performance regarding organizational processes and
which, in turn, generate benefits such as efficiency gains, organizational management environment.
quality and flexibility; as well as other aspects conducive In addition to the webibliomining data, the
to sustainable competitive advantages. systematic quantitative and qualitative approach of
In the definition of Conforti, Dumas, García- scientific research and recent empirical studies of relevant
Bañuelos and Rosa (2016), a process encompasses authors of literature is based on the proposal of a
elements of work (action) and resources (people, conceptual comparative analysis adapted from the work
equipment, information) in order to achieve a result for a developed by the authors Barat, Kulkarni, Clark and Barn
specific consumer. (2016).
In this context, business process modeling is the Therefore, this paper is organized as follows:
practice of science to verify how this work and resources Section 2 provides the Theoretical Framework that serves
are arranged in an organization to identify opportunities as an elementary basis for sustaining the development of
for improvement and, consequently, positive results. This the theme throughout the article; In section 3, the
resource disposition refers to the way in which modeling is Methodological Resources are presented with the intention
organized, that is, its architecture. of engendering scientific ballast and listing the stages of
the research in a coherent way; Section 4 encompasses the

Webibliomining Analysis performed on the subject of discussed in the following methodologies: IEM (Integrated
modeling architectures. Section 5 presents the duly Enterprise Modeling); GERAM (Generalized Enterprise
grounded Conclusion of the topic discussed; finally, the Reference Architecture and Methodology); EKD
bibliographic references are presented at the end of the (Enterprise Knowledge Development); e GRAI (Graphs
paper. with Results and Actions Inter-related).
II. LITERATURE REVIEW 2.1. BPMN

The theoretical reference of the present paper is centered BPMN is considered a highly efficient generic modeling
in ascertaining the main aspects and characteristics of the architecture for modeling business processes across
architectures of modeling of business processes more multiple domains of interest, relying on a considerable
common to the scientific literature, obtained with the aid amount of tools and techniques that facilitate process
of extensive systematized bibliographical research. In this management activities. As for its symbology, or flow
context, the modeling techniques will be emphasized: architecture, we have the elements: start event; end event;
BPMN; UML; ARIS; CIMOSA; and IDEF. c) task; gateways, decision structures; and flow arrow of
As secondary approaches, due to the lower the model. An example of the application of this
popularity in the literature, the following sub-topic entitled symbology is given in figure 01.
"Other business process modeling architectures" is briefly
Fig.1: Example of BPMN

Source: Braghetto, Ferreira & Vincent (2011)
In the study promoted by Yan et al. (2018) about the incident management, e-mail voting systems, travel
compliance levels of procedures used for the redesign of booking procedures, and more.
clinical processes, one can verify the flexible semantics of Mendling, Recker, Reijers, and Leopold (2018)
the BPMN architecture, which facilitates the analysis of explain that BPMN covers the areas of process
complex protocols. In this same work, the flexibility aspect documentation and scenario improvement (process
of BPMN is also exalted when adapting matrices of time X optimization) using technical process modeling
tasks (very commonly used in the clinical sector) to a applications such as workflow engineering, simulation, or
BPMN model of heuristic characteristic. service composition web. Such techniques consist of a
Another proof of BPMN's flexibility in its core of major graphics and a set of additional
application to different domains of interest is set forth in "configurations".
the research by Chinosi & Trombetta (2012), which Since the same authors define that the graphic set
affirms BPMN as the standard to graphically represent is sufficient to describe the essence of business processes,
processes that occur in virtually all types ranging from since it aims to generate intuitive models; While the
cooking recipes to the Nobel Prize-awarding process, additional set provides constructs to support advanced
process modeling concepts (which require more detail by

their complexity), such as orchestration and process notations, supported by a base that helps in the description
choreography, workflow specification, event-based of the domain of interest and in the design of software
decision making, and exception handling . systems, those that are built using the object-oriented style;
Haisjackl, Soffer, and Lime Weber (2018) have Larman (2002) can be defined as a diagram notation used
shown that individuals are more likely to use the overview to specify, construct, and document the artifacts of
strategy to understand and assimilate BPMN models, thus systems.
confirming the fact of efficient graphical representation in The authors Karim, Liawatimena, Trisetyarso,
this modeling technique, once that the data and the Abbas and Suparta (2017) support the concept that the
relationships between data are presented in an agile way, UML architecture is based on structural, behavioral and
one can have a quick view of the whole system. interaction elements that provide a standard notation for
Thus, in the BPMN architecture, processes are the preparation of architecture plans for systems projects
modeled by information flows. This is due to the fact that a information, including conceptual aspects such as business
flow of information transits between departments and is processes and system functions.
controlled by different stakeholders involved in the According to its creators Booch, Rumbaugh and
company, rather than being tied to a specific system. Jacobson (2006), there was a clear purpose to encourage
Therefore, the flexible and dynamic nature of the the standardization of language to aid in the development
BPMN models applied to the real processes and their clear and modeling of software project structures through UML
relation with the concept of "horizontalization" in matrix diagrams.
management in a company, or simply, process Ambler (2004) and Larman (2002) establish the class
management, is perceived.- diagram as the most relevant diagram to represent a system
model. if the classes (components of the system), their
2.2. UML attributes (characteristics) and their methods (actions) are
In a brief introductory definition of UML, Fowler (2014) described, the relations of interaction between objects in
explains the modeling technique as being a set of graphical the class diagram are also evident (figure 02).
Fig.2: UML Class Diagram

Source: Moura Borges & Mota (2003)
Pessini, Santander, Silva, Andrade and Schemberger efficient in which information has to be debated and
(2017), explaining the aspects of agility and simplicity in adapted to the guidelines given by different professionals
modeling, explain that the methodology used in UML with different degrees of intelligence in software and
logic and its visual resources make discussions at a systems programming. Figure 03 shows a diagram of
strategic organizational level about a given project more UML use cases.

Fig.3: UML Use Case Diagram

Source: Yu, Gu, Liu, Sun, Qian & Guo (2017)
2.3. ARIS used, their basic elements being data, process and
The Event Driven Process Chain (EPC), a simplified part functions, as shown in the schematic representation of
of the ARIS methodology, displays flowcharts developed Figure 04.
to model business processes that are easily understood and
Fig.4: ARIS Architecture Framework

Source: Tbaishat (2017)
Panayiotou, Stavrou & Gayialis (2017), in their work of proposal for simplification in the face of increasing
applying the ARIS architecture to design supply chain complexity in process modeling of business, due to the
processes in small and medium enterprises, affirm that this increase in the number of business process modeling
technique of process modeling originated from as a methods available.

The same authors also highlight the different The authors Latiffianti, Siswanto, Wiratno and Saputra
perspectives that can be applied to the ARIS architecture, (2017), who promoted a business process mapping with
which in the specific case study covered different views of CIMOSA in companies with the objective of effective
the supply chain as: processes and activities, organization, management of their value chains, explain that this
information systems, risk management and decision modeling technique was initially designed for companies
making. Therefore, the dynamism aspect is assumed as based in the Computer Manufacturing Integrated (CIM)
inherent to this modeling technique. system but is also suitable for other types of manufacturing
Rosa et al. (2017) explain that the architecture systems (as proven in its case study).
used by ARIS explains the flow of control of a process in The same authors divide CIMOSA architecture
terms of logical and temporal dependence of activities and into two parts: a particular architecture, which is defined as
this makes its graphical modeling intuitive. Such language a set of models documenting the business environment;
is focused on the capture and understanding of processes and a reference architecture used to assist users in the
for scope of projects and to discuss business requirements process of constructing their own particular architecture
and process improvement initiatives with specialists in the with a set of models describing the various aspects of the
domains of interest. company at different levels of modeling. The general
aspects of the CIMOSA architecture can be checked in
2.4. CIMOSA figure 05.
Fig 05. CIMOSA Architecture Perspectives

Source: Anis, Spadoni and Vernadat. (2004)
In CIMOSA, modeling aspects are based on the identification of opportunities for improvement in the
organization's events. According to Weichhart, Stary and process.
Vernadat (2017) the purpose of this modeling method is to Bevilacqua, Mazzuto and Paciarotti (2014)
describe the functions that are carried out in the company explain that the notation allows a complex analysis of the
and its attributes at the level of detail desired by the user, processes, considering their inputs, outputs, constraints
thus differentiating themselves from the traditional and interactions. In this way, it is possible to structure a
business process modeling methods; which are basically real-world logic model representing the behavior of the
guided by the functional decomposition, that is, the client and the way in which the client executes its actions
division of the functions of the system modeled into sub in the system.
functions.--. The IDEF modeling architecture is designed for
business processes and sequences of a system, providing
2.5. IDEF two perspectives, the process schema and the object
Likewise other architectures, IDEF presents diagrams and schema. The concept of diagramming present in IDEF
process flows in an organized way, allowing the consists of two elementary aspects: a set of boxes

(representatives of functions / activities); and arrows not lead to information flows, only data or objects to
(representatives of driving data or objects). perform the functions and activities related to them. The
The arrows are input, control and output (Input, structure of the IDEF architecture is given in figure 06.
Control, Output) mechanisms. However, such arrows do
Fig.6: IDEF Architecture

Source: Šerifi, Dašić & Dašić (2008)
Sychenko, Mironov and Białoń (2017) present a case study of parts or organizational charts) can be shown as
where IDEF is used in a domain of interest related to the relational characteristics of classes.
repair of maintenance equipment of an electricity supply As for the EKD modeling architecture, the
substation and define the modeling architecture as grouped authors Bubenko, Persson and Stirna (2001) define it as a
methods for the representation of requirements necessary methodology that aims to support both organizational
for the development of information systems, and can be change efforts and the development of information
used to develop tools, techniques and processes for systems that effectively support the development of the
industrial integration. organization.
The same authors emphasize in their case study Stirna & Persson (2009) complement the EKD
the fact that IDEF allows the user to represent in a architecture as a supplier in a systematic and controlled
simplified way the main functions of input, output and way to analyze, understand, develop and document an
mechanisms for the elaboration of activities and the organization and its components using organizational
controls that must be followed using the process diagram. modeling.
Briefly discussing GRAI's methodology (or
2.6. Other Modeling Architectures method of engineering), we can see its presence in
The IEM framework, or integrated enterprise modeling Business Process Modeling centered on the product
architecture, uses an object-oriented approach and adapts it manufacturing cycle, primarily involving the design part,
to the corporate description. An oriented division of all the emphasizing design, performance and functional aspects.
elements of a company forms the core of the IEM in the Lakhoua & Rahmouni (2011) explain the GRAI
generic classes of the object: "product", "resource" and architecture as a systemic, collaborative and participatory
"order". approach that is adapted to the engineering design
Jin & Jäkel (2018) state that such classes can department modeling in order to support the structuring of
gradually receive complete and specified data both coordination decisions and design activity.
(encouraging modeling), making it possible to show both According to Bernus, Noran & Molina (2015),
the typical business line and the subclasses of company - GERAM architecture, the last one addressed in the
specific products, orders and resources. Structures (eg lists referential of this article, aims to generalize the

contributions of several existing and emerging corporate d) 'CIMOSA' AND 'Architecture'
modeling techniques, establishing the completeness and e) 'IDEF' AND 'Architecture'
adequacy of these to form the basis for developing process f) 'IEM' AND 'Architecture'
improvement (since management can choose to combine g) 'EKD' AND 'Architecture'
the elements of more than one modeling technique and us e h) 'GRAI' AND 'Architecture'
them in combination). i) 'GERAM' AND 'Architecture'
According to Romero & Vernadat (2016),
GERAM was developed to foster the use of all business It was used the search feature by topics, where we
reference architectures together (generalization). generated results that contained the terms searched in the
Therefore, it is assumed that they must have comparable title, keywords and abstract. The temporal filter was
characteristics and features. applied until 2017 aiming to collect only complete annual
Although there are other business process metrics. The results were also filtered to only detect
modeling architectures with relevant aspects for the articles from peer-reviewed journals. The results are
development of the literature of the subject, it is believed displayed in section 4.
to have chosen the most popular and diverse
methodologies to compose this theoretical framework in IV. WEBIBLIOMINING ANALYSIS
order to promote a comprehensive and enriching Analyzing the general aspects about the business process
discussion about the characteristics and process modeling modeling architectures addressed in this article, one can
elements to be addressed. promote the first classification in the proposed
comparative view. Dividing these techniques into the
III. METHODOLOGICAL ASPECTS classes of information systems: BPMN; UML; ARIS;
In this paper, a qualitative research was carried out. The IDEF; CIMOSA; EKD; and EMI. And in manufacturing
principle of representativeness presented by Bardin (2011) support systems: GRAI; and GERAM.
(quoted by Santos, 2012) was obeyed, where a However, all the reference architectures in
representative sample of relevant content from a consulted process modeling considered in this article are treated in
bibliographic universe was extracted rigorously. The an equal degree of comparability seeking a better
quantitative approach also characterizes this work in the understanding of the performance of such architectures
webibliomining review where the Web of Science regarding organizational processes and organizational
database, an important source of scientific studies of management environment. Through the results analysis of
international relevance, was used. the Web of Science database, it was promoted the
For the theoretical framework formulation, it has acquisition of the webibliomining data components of the
been prioritized the most recent publications in the reference architectures in process modeling treated in this
literature, focusing on published works from the year of article.
2015. Such chronological limit was broken for topics A total of 369 articles were detected, with more
where no relevant publications were found or even where than half of them (57%) dealing with the UML
there were no publications of said subjects in the architecture. The BPMN and CIMOSA architectures
predetermined range. An example of this was some represented their popularity in the scientific literature with
modeling architectures such as GERAM and IEM that 12% of articles, both. The percentage relation of the
have lost significant relevance in recent years. articles referring to the architectures can be checked in
Elementary quotations that offered a concise basis figure 07.
of understanding for the themes also had greater freedom
outside the chronological limit because they represent
information of high relevance and therefore enriching the
body of the present article.
3.1. Webibliomining development

For the systematic webibliomining scheme
formulation, the CAPES journal platform was used
through the consultation in the renowned Web of Science
database. It was done research using the following terms:
a) 'BPMN' AND 'Architecture'
b) 'UML' AND 'Architecture'
c) 'ARIS' AND 'Architecture'

Fig.7: Percentage ratio of archival articles found in
webibliomining
Table 01 shows the quantitative in descending order of

such articles detected in webibliomining, followed by the
predominant study area in which the studies of the
modeling architecture in question are concentrated. The
indicators of the authors and countries that published the
most, as well as the percentage of articles in the English
language make up the data analysis.
From the analysis of table 01, the UML, BPMN
and CIMOSA architectures can be clearly noticed as the
three most numerous publications about the researched
subject. Conversely, GRAI, GERAM, IEM and EKD
display low numbers of detected articles.
Table.1: Classification of the modeling techniques regarding the aspects
Country with
Papers Cited
Architecture
Author with
publications
Study Field
publication
Modeling
Paper in
English
most
most
UML 211 Computer Science Trujillo, J. USA 98,6%
Chiotti, O.
BPMN 45 Computer Science Germany 97,8%
Lorre, J. P.
CIMOSA 44 Computer Science West, A. England 100%
ARIS 24 Computer Science Scheer, A. W. Germany 95,8%
IDEF 28 Engineering Venkateswaran, USA 95%
GRAI 12 Computer Science Doumeingts, G. France 100%
GERAM 8 Computer Science Bernus, P. Australia 100%
IEM 4 Engineering X Germany 100%
EKD 3 Engineering X USA 100%
Caption: X = Insufficient Data
The predominant area of study, in which the architectures Germany and USA being the most frequent
are inserted, is that of Computer Science, with the representatives.
exception of IDEF, IEM and EKD, which are
predominantly inserted in the field of engineering. This 4.1. Temporal aspects
fact can be explained by the fact that the approach of these In the evolutionary aspect of the webibliomining analysis
architectures is more focused on the operational of the publications of the modeling architectures treated in
environment, while other architectures such as UML and this article, the three modeling architectures with the
CIMOSA are more focused on software engineering. highest number of published articles were observed with
There is no surprise about the dominance of the more attention: BPMN, UML and CIMOSA. Their graphs
English language in publications. However, the countries relating to publication histories are given in figure 08, 09
with the largest publication are diverse and varied, with and 10.

Fig.8: BPMN: Publications beetwen (2005 – 2017)
As can be seen in figure 08, publications related to the terms 'architecture' and 'BPMN' show a certain variability
reaching its peak in 2016, with 10 published papers, and the lowest value in 2005 with only one article, find papers in the
years 2008, 2007 and 2006.
Fig.9: UML: Publications beetwen (1999 – 2017)
The publications on the terms 'architecture' and 'UML' ( figure 09) show a larger quantitative with the first article
dating from 1999. There is still a variable trend in the graph and its peak in 2017 with 19 published articles.
Fig.10: CIMOSA: Publications between (1993 – 2017)
The interpretation of the graph of figure 10 suggests some The architectures ARIS and IDEF, with 24 and 18
decadence of the themes related to the CIMOSA modeling published articles, respectively, exhibit low number of
architecture in the scientific literature because there are publications per year and can be classified as secondary
no articles published in the Web of Science database in the architectures. Regarding IEM architectures; EKD; GRAI
years 2014, 2015, 2016 and 2017. The peak of and GERAM, the publication gaps are significant during
publications is in the year 2002, where 7 articles were the period considered, suggesting a strong unpopularity in
published. the scientific academic environment.

4.2. Comparati ve analysis of modeling architectures Regarding the comparative evaluation of the modeling
In this topic, a systematic mapping study is promoted, architectures in the aspects of the model, the authors
relating the most relevant business process modeling considered the following interpretation of the factors: Why
techniques of the scientific literature. This study provided (purpose of the model); What (model structuring); As
a comparative view of these architectures in relation to the (behavioral specification of the model); and Who
aspects of the model, socio-technical characteristics and (specification of stakeholders, actors of the process). In
visualization and analysis elements of the model. table 02, the evaluation in question can be observed.
Table.2: Classification of modeling architectures regarding aspects

Modeling Model Aspects
Architecture Why? What? How? Who?
BPMN N I I OK
UML I OK OK OK
ARIS I OK OK OK
CIMOSA I OK OK OK
IDEF I OK OK I
IEM N OK OK OK
EKD OK I OK OK
GRAI N I OK OK
GERAM OK OK OK OK
Caption: Ok = Adequate; I = Insufficient; Ñ = Not Appropri ate
GERAM is perceived as the modeling architecture that attention is paid to the real motivation and modeling
fulfills all the requirements of the model according to the objectives (process improvement).
authors with excellence. However, as stated by Bernus, In tables 03 and 04, the analysis is enriched when
Noran & Molina (2015) and Romero & Vernadat (2016), considering the socio-technical characteristics of the
the creation of this reference architecture was an effort by modeling architectures, in which the following factors are
developers of business process modeling to generalize considered: Modularity (each unit of the model must
contributions from other underlying architectures. Even encapsulate a specific objective, structure and behavior);
the part of languages (and notation) UML and BPMN can Decomposition (referring to the capacity of the model to
be implemented in GERAM to represent systems. be broken down into parts); Responsiveness (ability to
As for the BPMN, one can see its incongruity in respond adequately to your environment); Autonomy
the question "Why", where the motivation to be promoting (ability to react an external stimulus on its own); Intention
the modeling is not clearly structured to the participants of (develop according to your goal); Adaptability (ability to
the process. This is corroborated by Van Der Aalst (2011), adapt to a particular context or specific situation);
who says that the BPMN architecture focuses mainly on Uncertainty (providing means for developing the model in
the information provided by process participants, through an unknown context); Temporal (indefinite delay time
workshops or interviews, in order to trace the flow of the between an action and its response).
process. In this way, the flowchart is focused, and little
Table.3: Classification of modeling architectures regarding socio -technical characteristics

Model Aspects
Modeling
ulari
Deco
Resp
Auto
Mod
nom
mpo
sitio
onsi
vity
Architecture
y
ty
BPMN OK (How?) OK (How?) OK I

UML OK OK N N
ARIS OK OK OK OK
CIMOSA I Ñ Ñ Ñ
IDEF OK I Ñ Ñ
IEM Ñ Ñ Ñ Ñ
EKD OK Ñ Ñ Ñ

GRAI I Ñ Ñ Ñ
GERAM I Ñ Ñ Ñ
Table.4: Classification of modeling architectures regarding socio -technical characteristics (continuation)

Model Aspects
Modeling
Intentio
Adapta
Tempo
Uncert
bility
anty
ral
Architecture
n
BPMN N N N N
UML N N N N
ARIS I N N N
CIMOSA I Ñ Ñ Ñ
IDEF I Ñ Ñ Ñ
IEM Ñ Ñ Ñ Ñ
EKD OK Ñ Ñ Ñ
GRAI Ñ Ñ Ñ Ñ
GERAM OK Ñ Ñ Ñ
Once again one can notice the BPMN having its corporate development, which presents an additional
"How" aspect addressed in the characteristics of challenge to decision makers.
modularity and decomposition. UML diagramming In the last analysis, we have the comparison of
notation, as defined by Larman (2002), shows a better the business process modeling architectures in the light of
degree of modularity and decomposition by being able to the aspects: Visualization (support for visualization of the
abstract (represent in a model) reality in different parts, model); Executability (machine interpretability, support
which are its set of diagrams in the case. Similar to UML, for simulation / execution); Quantitative analysis;
the ARIS architecture is able to represent the system in Qualitative Analysis. The comparative relation of these
different component parts of its model. characteristics is given in table 05.
The GRAI reference architecture, which does not Observing the executable aspects of modeling in
show significant popularity in the scientific literature, can relation to the UML architecture, Zur Muehlen & Recker
be interpreted as simplistic and lagged when analyzed of (2013) affirm that in its diagrammatic part, there is not
its socio-technical characteristics compared to other more enough expressivity to describe executable computational
traditional modeling techniques. functions, because its semantics is not defined as it would
According to Oertwig, Jochem and Knothe be necessary for that purpose. This fact becomes intuitive
(2017), IEM does not offer sufficient adaptability to new when one observes the purpose of the UML to be a
industry requirements as a business modeling technique. notation of aid to the modeling. Differently from this
These authors cite the example of materials management, concept one observes the exposed executability of the
information and cash flows, the pursuit of sustainable BPMN in relation to its unique module "How".
Table.5: Classification of modeling architectures regarding their visualization and analysis

Analysis
Executability
Visualization
Quantitative
Qualitative
Analysis
Analysis
Modeling
Architecture
BPMN OK OK (How?) OK (How?) OK (How?)

UML Ok Ñ Ñ Ñ
ARIS Ok Ok (How?) Ñ Ok (How?)
CIMOSA Ok Ñ Ñ Ñ

IDEF Ok Ñ Ñ Ñ
IEM I Ñ Ñ Ñ
EKD Ok Ñ Ñ Ñ
GRAI Ok Ñ Ñ Ñ
GERAM Ok Ñ Ñ Ñ
As for the qualitative and quantitative analyzes, we have process models. The focus was directed to the analysis of
the authors Yilmaz & Stirna (2015), who affirm that the the aspects, characteristics and functionalities of the
syntax and semantics of EKD are not well defined models and their direct relation with the organizational
formally and rigorously, being able to generate models processes.
ambiguous and difficult to interpret, mainly in systems, Finally, as a limitation to the research, it is cited the use of
and it is not possible to verify the consistency and only one database, Web of Science, which despite
completeness of the model. presenting dense and relevant content, may have left out of
ARIS architecture, according to Ghatrei (2015), this paper articles that would be enriching the subject.
supports the analysis (qualitative) when exposing the .
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IoT Based Industrial Production Monitoring

System Using Wireless Sensor Networks
P. Sumithra1, R. Nagarajan2, M. Padmavathi3 , M. Malarvizhi4
1 PG
Scholar, 2 Professor, 3 Assistant Professor, 4 Professor,
Department of Electrical and Electronics Engineering, Gnanamani College of Technology, Namakkal, Tamilnadu, India
Email:krnaga71@yahoo.com
Abstract— The objective of the work is to monitoring the module card in a handset suitable for the network on the
production lines in industry using wireless sensor visited system [2].
networks. This work presents the benefits of an automated The short message service allows text messages to be
data collection and display system for production lines. It sent and received to and from mobile telephones. The text
involves wireless sensor networks for monitoring the can comprise words or numbers or an alphanumeric
productions in industry. Condition monitoring reduces combination. Because simple person to person messaging
human inspection requirements through automated is such an important component of total SMS traffic
monitoring, reduces maintenance through detecting faults volumes, anything that simplifies message generation as
before they escalate and improves safety and reliability. well as extended utility of the SMS being sent is an
This work can monitor productions using temperature, important enabler of short message service. Such
voltage and current sensors with support of extended utility of SMS fulfills certain important
microcontroller. The relay is acts like a switch to monitor requirements. This system is developed to control the
the production lines. In this work, Global System for functions of a device from a remote area through the SMS
Mobile communication technique is used to transferring of a mobile phone using Microcontroller [3], [4].
the collected data. The collection of data, it is transferred The monitoring systems equipped with sensors and
into computerize spreadsheet in the remote office by wireless communication can reduce the costs to a small
authorized personnel for reporting purpose. The system percentage of conventional monitoring systems, and will
will generate an automated report which stays in place increase its field of application. Due to the detailed
and the management only needs to act base on the results. information of the structural behavior of bridges obtained
This work is cost effective automatic data collection is the from the monitoring system, maintenance costs could also
alternative to manual data collection. It significantly be reduced, since inspection methods can be applied more
improves the accuracy of the valuable reports for the efficiently [5]. Only after certain changes in the structural
management. It also reduces the time for identifying the behavior have been identified, will inspection be
fault using this technique necessary, and proper repair could be done immediately
Keywords—Global System, Microcontroller, Wireless after the occurrence of the defect. This reduces the risk of
Sensor Networks. further damage. The analysis of measured data and the
knowledge of continuous changes of structural behavior
I. INTRODUCTION will improve the life time prognosis of civil structures,
In this modern world multinational business companies and reduce the overall maintenance costs of buildings and
were increasing rapidly. The Single businessman wants to transport networks. The data has to be continuously
monitor all the production Status in each industry with transmitted to the supervisor. Each sensor device which is
manual presence. In this work the business man can itself a complete, small measurement and communication
monitors all the production status through PC or Mobile system has to be powered and cost optimized. Using
in the corporate office itself. Mobile phones have become multi-hop techniques, the data of the sensor network can
a widespread means of communication. It becomes a part be transmitted over short distances of some 10 m from
of everyday life with ever more people enjoying the each hop to a base station on site. At the base station the
service and extra freedom they provide. It works on the data items are collected and stored in a database for
basis of Global System for Mobile Communication [1]. A subsequent analysis. This data can then be accessed by a
subscriber from any systems can access remote user. If the central unit detects a hazardous
telecommunication services by using a subscriber identity condition by analyzing the data, it raises an alarm
message [6], [7].

The central unit also allows for wireless The AC voltage typically 230v RMS is connected to a
administration, calibration and reprogramming of the transformer which steps that AC voltage down to the
sensor nodes in order to keep the whole system flexible. level of the desired AC voltage [11], [12].
Each mote is composed of one or more sensors, a data The diode rectifier then provides a bridge rectified
acquisition and processing unit, a wireless transceiver and voltage that is initially filtered by a simple capacitor filter
a battery power supply. The acquisition and processing to produce a DC voltage. This resulting DC voltage
unit usually is equipped with a low power microcontroller usually has some ripple or Ac voltage variations. The
offering an integrated analogue to digital converter and regulator circuit can use this DC input to provide DC
sufficient data memory to store the measurements. This voltage that not only has much less ripple voltage but also
unit also incorporates signal conditioning circuitry remains the same DC value even the DC voltage varies
interfacing the sensors to the ADC [8]. somewhat the load connected to the output DC voltages
The advancement in wireless communications and changes. The Dc level obtained from a sinusoidal input
electronics has enabled the development of low-cost can be improved 100% using a process called full wave
sensor networks. The sensor networks can be used for rectification. It uses 4 diodes in a bridge configuration.
various application areas. For different application areas; From the basic bridge configuration the two diodes (say
there are different technical issues that researchers are D2 & D3) are conducting while the other two diodes (D1
currently resolving. The current state of art-sensor & D4) are in “off” state during the period t = 0 to T/2.
networks is captured in this article, where solutions are Accordingly for the negative of the input the conducting
discussed under their related protocol stack layer sections. diodes are D1&D4. Thus the polarity across the load is
This article also points out the open research issues and the same. The Figure1 shows the proposed system circuit
intends to spark new interests and developments in this diagram.
field [9]. The filter circuit used here is the capacitor filter circuit
where a capacitor is connected at the rectifier output, and
II. PROPOSED SYSTEM a DC is obtained across it .The filtered waveform is
The electronic system need low voltage DC power essentially a DC voltage with negligible ripples, which is
supply in different electronic circuits operated in different ultimately fed to the load. The output voltage from the
power supplies, the ratings depending upon load current capacitor is more filtered and finally regulated. The
and voltage. The load current depending on load voltage regulator is a device, which maintains the output
resistance i.e load current is inversely proportional to load voltage constant irrespective of the changes in supply
resistance. So the matched designation of power supply is variations, load variation and temperature changes. Here
very important to every electronic circuit [10]. In this we use one fixed voltage regulator namely LM7805.The
circuits need two power supplies .All ICs are worked on IC 7805 is a+5 voltage regulator [13].
regulated DC power 5v with GND. The relay derive This powerful 200 nanosecond instruction execution
worked on dc 12v with GND .This unit consist of yet easy-to-program only 35 single word instructions
transformer, rectifier, filter and regulator. CMOS FLASH-based 8-bit microcontroller packs
Microchip's powerful PIC architecture into a 40 package
and is upwards compatible with the PIC16C5X,
PIC12CXXX and PIC16C7X devices. The PIC16F877A
features 256 bytes of EEPROM data memory, self
programming, an ICD, 2Comparators, 8channels of10-bit
Analog-to-Digital converter, 2 capture/compare/PWM
functions, the synchronous serial port can be configured
as either 3-wire Serial Peripheral Interface or the 2-wire
Inter-Integrated Circuit bus and a Universal
Asynchronous Receiver Transmitter [14].
The program memory contains the programs that are
written by the user. The program counter executes these
stored commands one by one. Usually PIC16F877
devices have a 13 bit wide program counter that is
capable of addressing 8K×14 bit program memory space.
This memory is primarily used for storing the programs
Fig.1: Proposed System Circuit Diagram
that are written to be used by the PIC. These devices also
have 8K*14 bits of flash memory that can be electrically

erasable/reprogrammed. Each time write a new program fixed contact. When the current to the coil is switched off,
to the controller, we must delete the old one at that time. the armature is returned by a force approximately half as
The banked arrangement is necessary because there are long as the magnetic force to its relaxed position. Usually
only 7 bits are available in the instruction word for the this is a spring, but gravity is also used commonly in
addressing of a register, which gives only 128 addresses industrial motor starters. Most relays are manufactured to
[15]. operate quickly. In a low voltage application, this is to
reduce noise [19].
In a high voltage or high current application, this is to
reduce arcing. If the coil is energized with DC, a diode is
frequently installed across the coil, to dissipate the energy
from the collapsing magnetic field at deactivation, which
would otherwise generate a spike of voltage and might
cause damage to circuit components. If the coil is
designed to be energized with AC, a small copper ring
Fig.2: Voltage Regulator
can be crimped to the end of the solenoid. This "shading
ring" creates a small out-of-phase current, which
The selection of the banks are determined by control
increases the minimum pull on the armature during the
bits RP1, RP0 in the STATUS registers Together the
AC cycle [20], [21].
RP1, RP0 and the specified 7 bits effectively form a 9 bit
address. The first 32 locations of Banks 1 and 2, and the
III. SOFTWARE IMPLEMENTATION
first 16 locations of Banks 2 and 3 are reserved for the
MPLAB is a Windows program package that makes
mapping of the Special Function Registers. The
writing and developing a program easier. It could best be
EEPROM data memory allows single-byte read and
described as developing environment for some standard
writes. The Flash program memory allows single-word
program language that is intended for programming a PC
reads and four-word block writes. Program memory write
computer. Some operations which were done from the
operations automatically perform an erase-before write on
instruction line with a large number of parameters until
blocks of four words. A byte write in data EEPROM
the discovery of IDE "Integrated Development
memory automatically erases the location and writes the
Environment" are now made easier by using the MPLAB
new data. The write time is controlled by an on -chip
[22[. [23]. Still, our tastes differ, so even today some
timer. The write/erase voltages are generated by an on -
programmers prefer the standard editors and compilers
chip charge pump, rated to operate over the voltage range
from instruction line. In any case, the written program is
of the device for byte or word operations [16]. Figure 2
legible, and well documented help is also available.
shows voltage regulator.
The LM341 and LM78MXX series of three-terminal  Grouping the projects files into one project (Project
positive voltage regulators employ built-in current Manager)
limiting, thermal shutdown, and safe-operating area  Generating and processing a program (Text Editor)
protection which make them virtually immune to damage  Simulator of the written program used for simulating
from output overloads. With adequate heat sinking, they program
can deliver in excess of 0.5A output current. Typical Requirements
applications would include local (on-card) regulators  PC compatible computer 486 or higher
which can eliminate the noise and degraded performance  Microsoft Windows 3.1x or Windows 95 and new
associated with single-point regulation [17]. versions of the Windows
The relay is an electrical switch that opens and closes  Operating system.
under control of another electrical circuit. In the original  VGA graphic card
form, the switch is operated by an electromagnet to open  8MB memory (32MB recommended).
or close one or many sets of contacts. It was invented by  20MB space on hard disc
Joseph Henry in 1835. Because a relay is able to control  Mouse
an output circuit of higher power than the input circuit, it Hitech c
can be considered, in a broad sense, to be a form of The HI-TECH C Compiler is a set of software, which
electrical amplifier [18]. When a current flows through translates programs written in the C language to
the coil, the resulting magnetic field attracts an armature executable machine code programs. Versions are
that is mechanically linked to a moving contact. The available which compile programs for operation under the
movement either makes or breaks a connection with a host operating system, or which produce programs for

execution in embedded systems without an operating were originally developed by ETSI. ETSI is the
system [24]. abbreviation for European Telecommunications Standards
Features Institute [27], [28].
1. A single batch file or command file will compile, Now the 3GPP (Third Generation Partnership
assemble and link entire programs. Project) is responsible for the development and
2. The compiler performs strong type checking and maintenance of the GSM and SMS standards.As
issues warnings about various constructs which suggested by the name "Short Message Service", the data
may represent programming errors. that can be held by an SMS message is very limited. One
3. The generated code is extremely small and fast SMS message can contain at most 140 bytes (1120 bits)
in execution. of data, so one SMS message can contain up to:160
4. A full run-time library is provided implementing characters if 7-bit character encoding is used. (7-bit
all standard C input/output and other functions. character encoding is suitable for encoding Latin
5. The source code for all run-time routines is characters like English alphabets.)70 characters if 16-bit
provided. Unicode UCS2 character encoding is used. (SMS text
6. A powerful general purpose macro assembler messages containing non-Latin characters like Chinese
is included. Programs may be generated to characters should use 16-bit character encoding.) SMS
execute under the host operating system, or text messaging supports languages internationally. The
customized for installation in ROM. burden in a CT metering circuit is essentially the amount
Security systems: of impedance (largely resistive) present [29].
Cameras can be installed at various locations in the Typical burden ratings for IEC CTs are 1.5VA, 3VA,
shopping center with each camera covering a specific 5VA, 10VA, 15VA, 20VA, 30VA, 45VA & 60VA with
range of area and with the help of the GSM remote ANSI/IEEE B-0.1, B-0.2, B-0.5, B-1.0, B-2.0 and B-4.0.
control the entire shopping center can be monitored from This means a CT with a burden rating of B-0.2 can
one location. The range of vision can be changed by tolerate up to 0.2 Ω of impedance in the metering circuit
controlling the angle of camera by the remote control. before its output current is no longer a fixed ratio to the
Such type of security system can also be used to provide primary current. Items that contribute to the burden of a
security in homes, banks, research labs etc [25]. current measurement circuit are switch blocks meters and
Temperature Monitoring: intermediate conductors. The most common source of
In hospitals, it is very important to maintain an excess burden in a current measurement circuit is the
optimum temperature in the Operation Theater, the I.C.U conductor between the meter and the CT. Often,
and the morgue. In such cases, Internet remote control can substation meters are located significant distances from
be used to adjust the air conditioner settings and thus the meter cabinets and the excessive length of small
continuously monitor the temperature from any location. gauge conductor creates a large resistance. This problem
Such remote temperature monitoring is also useful in the can be solved by using CT with 1 ampere secondary’s
case of sterilizing medical equipment, as also for food which will produce less voltage drop between a CT and
preservation, in blood banks etc [26]. its metering devices (used for remote measurement) [30].
Process Control: Rating factor is a factor by which the nominal full load
In large Aquaculture centers, the GSM controlled current of a CT can be multiplied to determine its
system has been used to monitor and control important absolute maximum measurable primary current.
parameters such as temperature of water, pH and oxygen Conversely, the minimum primary current a CT can
content, using different types of sensors. This can be accurately measure is "light load," or 10% of the nominal
expanded to processes which require careful monitoring current (there are, however, special CTs designed to
like those for extracting medicines, fluids using measure accurately currents as small as 2% of the
microorganisms, etc.In industries and offices, this remote nominal current). The rating factor of a CT is largely
control system can be used to control various machines or dependent upon ambient temperature. Most CTs have
appliances from any location and thus helps in automation rating factors for 35 degrees Celsius and 55 degrees
of the system.SMS stands for Short Message Service. It is Celsius. It works fine with all languages supported by
a technology that enables the sending and receiving of Unicode, including Arabic, Chinese, Japanese and
messages between mobile phones. SMS first appeared in Korean. .Besides text, SMS messages can also carry
Europe in 1992. It was included in the GSM (Global binary data.
System for Mobile Communications) standards right at It is possible to send ringtones, pictures, operator
the beginning. Later it was ported to wireless technologies logos, wallpapers, animations, business cards (e.g.
like CDMA and TDMA. The GSM and SMS standards VCards) and WAP configurations to a mobile phone with

SMS messages. One major advantage of SMS is that it is environments and connect to the service provider’s
supported by 100% GSM mobile phones. Almost all network via a broadband internet connection. Umbrella
subscription plans provided by wireless carriers include cells are used to cover shadowed regions of smaller cells
inexpensive SMS messaging service. Unlike SMS, mobile and fill in gaps in coverage between those cells [32].
technologies such as WAP and mobile Java are not The cell horizontal radius varies depending on antenna
supported on many old mobile phone models. GSM-900 height, antenna gain and propagation conditions from a
uses 890–915 MHz to send information from the mobile couple of hundred meters to several tens of kilometers.
station to the base station (uplink) and 935–960 MHz for The longest distance the GSM specification supports in
the other direction (downlink), providing 124 RF practical use is 35 kilometers (22 mi). There are also
channels (channel numbers 1 to 124) spaced at 200 kHz. several implementations of the concept of an extended
Duplex spacing of 45 MHz is used. In some countries the cell, where the cell radius could be double or even more,
GSM-900 band has been extended to cover a larger depending on the antenna system, the type of terrain and
frequency range. This 'extended GSM', E-GSM, uses the timing advance. Indoor coverage is also supported by
880–915 MHz (uplink) and 925–960 MHz (downlink), GSM and may be achieved by using an indoor picocell
adding 50 channels (channel numbers 975 to 1023 and 0) base station, or an indoor repeater with distributed indoor
to the original GSM-900 band. Time division antennas fed through power splitters, to deliver the radio
multiplexing is used to allow eight full-rate or sixteen signals from an antenna outdoors to the separate indoor
half-rate speech channels per radio frequency channel. distributed antenna system. These are typically deployed
There are eight radio timeslots (giving eight burst when a lot of call capacity is needed indoors, for example
periods) grouped into what is called a TDMA frame. Half in shopping centers or airports. However, this is not a
rate channels use alternate frames in the same timeslot. prerequisite, since indoor coverage is also provided by in -
The channel data rate for all 8 channels is 270.833 kbit/s, building penetration of the radio signals from nearby
and the frame duration is 4.615 ms.The transmission cells. The modulation used in GSM is Gaussian
power in the handset is limited to a maximum of 2 watts minimum-shift keying (GMSK), a kind of continuous -
in GSM850/900 and 1 watt in GSM1800/1900 [31]. phase frequency shift keying. In GMSK, the signal to be
The GSM has used a variety of voice codecs to squeeze modulated onto the carrier is first smoothed with a
3.1 kHz audio into between 5.6 and 13 kbit/s. Originally, Gaussian low-pass filter prior to being fed to a frequency
two codecs, named after the types of data channel they modulator, which greatly reduces the interference to
were allocated, were used, called Half Rate (5.6 kbit/s) neighboring channels (adjacent channel interference)
and Full Rate (13 kbit/s). These used a system based upon [33], [34].
linear predictive coding (LPC). In addition to being
efficient with bitrates, these codecs also made it easier to IV. NETWORK STRUCTURE
identify more important parts of the audio, allowing the The network behind the GSM system seen by the
air interface layer to prioritize and better protect these customer is large and complicated in order to provide all
parts of the signal.GSM was further enhanced in 1997[12] of the services which are required. It is divided into a
with the Enhanced Full Rate (EFR) codec, a 12.2 kbit/s number of sections and these are each covered in separate
codec that uses a full rate channel. Finally, with the articles.
development of UMTS, EFR was refactored into a  The Base Station Subsystem (the base stations
variable-rate codec called AMR-Narrowband, which is and their controllers)
high quality and robust against interference when used on  The Network and Switching Subsystem (the part
full rate channels, and less robust but still relatively high of the network most similar to a fixed network).
quality when used in good radio conditions on half-rate This is sometimes also just called the core
channels. There are five different cell sizes in a GSM network.
network—macro, micro, pico, femto and umbrella cells.  The GPRS Core Network (the optional part
The coverage area of each cell varies according to the which allows packet based Internet connections).
implementation environment. Macro cells can be regarded  All of the elements in the system combine to
as cells where the base station antenna is installed on a produce many GSM services such as voice calls
mast or a building above average roof top level. Micro and SMS.
cells are cells whose antenna height is under average roof The circuit is designed to control the buzzer. The buzzer
top level; they are typically used in urban areas. Picocells ON and OFF is controlled by the pair of switching
are small cells whose coverage diameter is a few dozen transistors (BC 547). The buzzer is connected in the Q2
meters; they are mainly used indoors. Femtocells are cells transistor collector terminal. When high pulse signal is
designed for use in residential or small business given to base of the Q1 transistors, the transistor is

conducting and close the collector and emitter terminal so pasted outside the two glass panels. These polarisers
zero signals is given to base of the Q2 transistor. Hence would rotate the light rays passing through them to a
Q2 transistor and buzzer is turned OFF state. When low definite angle, in a particular direction When the LCD is
pulse is given to base of transistor Q1 transistor, the in the off state, light rays are rotated by the two polarisers
transistor is turned OFF. Now 12v is given to base of Q2 and the liquid crystal, such that the light rays come out of
transistor so the transistor is conducting and buzzer is the LCD without any orientation, and hence the LCD
energized and produces the sound signal [35], [36]. appears transparent. When sufficient voltage is applied to
One of the SMS technology is that one SMS message can the electrodes, the liquid crystal molecules would be
only carry a very limited amount of data. To overcome this aligned in a specific direction. The light rays passing
drawback, an extension called concatenated SMS (also through the LCD would be rotated by the polarisers,
known as long SMS) was developed. A concatenated SMS which would result in activating / highlighting the desired
text message can contain more than 160 English characters. characters.
Concatenated SMS works like this: The sender's mobile The LCD's are lightweight with only a few millimetres
phone breaks down a long message into smaller parts and thickness. Since the LCD's consume less power, they are
sends each of them as a single SMS message. When these compatible with low power electronic circuits, and can be
SMS messages reach the destination, the recipient mobile powered for long durations. The LCD's don't generate
phone will combine them back to one long message. The light and so light is needed to read the display. By using
drawback of concatenated SMS is that it is less widely backlighting, reading is possible in the dark. The LCD's
supported than SMS on wireless devices [37]-[39]. have long life and a wide operating temperature range.
Changing the display size or the layout size is relatively
V. RESULTS AND DISCUSSION simple which makes the LCD's more customer friendly.
IOT Output The LCDs used exclusively in watches, calculators and
measuring in uments are the simple seven-segment
displays, having a limited amount of numeric data. The
recent advances in technology have resulted in better
legibility, more information displaying capability and a
wider temperature range. These have resulted in the LCDs
being extensively used in telecommunications and
entertainment electronics. The LCDs have even started
replacing the cathode ray tubes (CRTs) used for the
Fig.3: Login Screen display of text and graphics, and also in small TV
applications.
VI. CONCLUSION
The Production monitoring system developed is an
essential production tool in industries for both the
management and the production team. The Production
monitoring system captures and distributes unadulterated
production information at all levels along the production
process without human intervention. The data collected is
crucial and this could be collected by using a real time
production monitoring system. With the collected data,
Fig.4: Monitor Screen realistic production goals can be achieved when proper
analysis is done and implementation is practiced. Events
The Figure 3 shows login screen. An LCD consists of occurring can also be displayed with the help of a
two glass panels, with the liquid crystal material sand Production monitoring system. Production faults can be
witched in between them. The inner surface of the glass rectified instantly. A Production monitoring system
plates are coated with transparent electrodes which define enables the production team to operate efficiently
the character, symbols or patterns to be displayed optimizing all available resources towards a better
polymeric layers are present in between the electrodes production in the above sequence that it is clearly
and the liquid crystal, which makes the liquid crystal Production monitoring system along the production of the
molecules to maintain a defined orientation angle. The human intervention data information of real time
Figure 4 shows monitor screen. One each polarisers are production hardware modules collected data

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A Literature Study of Wind Analysis on High

Rise Building
Ashish Sadh1, Ankit Pal2
1 M. Tech Scholar Department of Civil Engineering, Oriental University, Indore, India
Email: ashishsadh001@gmail.com
2 Assistant Professor Department of Civil Engineering, Oriental University, Indore, India
Email: ankit.5792@gmail.co m
Abstract— Recently modern architecture means helpful which is to produce power and gives relief in hot
something regularity and irregularity in geometry. and humid environment and second one is parasitic which
Everyone wants to win the race of designing beautiful and comes out to be factor believe for engineers. As a
complex structures and with issue of scarcity of land it is designer engineer wants to be safe his structure This wind
today’s necessity to go higher and higher vertical a nd effect will cause and produce wind induce movement in
construct high rise structures. But as we go higher wind the structure. As high rise buildings move onward the
excitation becomes one of the most precarious force envelope to larger heights, the structural designers are not
acting on the surface of the structure and if the plan only faced with difficulty to choosing a structural
geometry is irregular it can induce torsion which can be elements to take the lateral load such as wind load and
life-threatening to the structure, so it is essential to earthquake load but also insuring the design criteria that
analyze and understand such forces during designing. In meets reliability and serviceability requirement under
this study the behavior of high rise building against the difficult wind environment.Wind load take action as
wind force in wind zone 2nd, L shape is studied and lateral weight on buildings which is act as along and
analyzed for specific heights.Also direction of wind plays across wind. In IS Code 875 (Part3)-1987, the basic wind
very vital role in behavior of structure. speed are specified in map and categorized by zones. The
Keywords— Wind pressure, High rise Structure, L shape and size of building is very significant in wind
shape geometry, Residential Building, Stress. analysis, because the wind pressure is mainly depends on
the exposed area of building in opposition to wind speed .
I. INTRODUCTION
In India residents are increasing gradually and the II. LITERATURE SURVEY
necessary land for living. It is a key requirement to Arvind Y. Vyavahare1, Godbole. P.N2, Trupti
survive anywhwere.For that reason multi story building Nikose3, 2012, As author study that Tall buildings are
are best choice for construction in Metro cities where a slender flexible structures in nature and require to be
smaller amount of property is presented. As designer examine to settle on the significance of wind speed
knows multi story structure provides large floor area in induced excitation along and across the path of wind in
small area and it is beneficial also . hence, it is required specific zone . The Indian codal provision of practice for
to assemble high rise structure. If high rise structures are wind load on any buildings and structures (code IS-875
constructed than many structural troubles come to pass, Part-3 1987) gives a procedure to determine along wind
such as lateral load effect, lateral displacement and response of tall structures, while the across wind response
stiffness etc. Normally for high rise structure wind and and intervention effect are not included in the code at
earth quake load effects are prevailing. Therefore for high present. A article ‘Review of Indian Wind Code IS 875
rise structure it is essential to have knowledge of different (Part 3) 1987’ has been set by IIT Kanpur under GSDMA
loads and its effect on structure. There is many type of project gives recommendations to gain across wind
effect worked on structure and causes for failure.The reaction of tall buildings and structure as per process
effect of lateral load is very important to consider such as given in Australian/New Zealand standard ‘Structural
earthquake and wind loads. In some cases the wind load is Design Actions – Part 2 Wind Action (AS/NZS 1170-2 :
important than earthquake load which depends on place 2002) In the Australian codal provision to obtain the cross
and zone factor distinct by codes. Wind load or wind wind response it is necessary to compute the coefficient
effect is as dangerous as earthquake as previous study (Cfs) for which figures and expressions are specified for
say. Defining wind there are two aspects first one is selected (h:b:d) ratios. In this paper use of Artificial

Neural Network (ANN) has been made to generalize the to successfully design a tall building which is not only
above process from the limited available data, so that stable, safe and strong under wind loads but also performs
across wind response can be obtained for a building with excellently providing usable and highly functional design.
given (h:b:d) ratio. Umakant Arya1, Aslam Hussain2, Waseem Khan3.
Shaikh Muffassir ¹,L.G. Kalurkar ², 2016, This study (2014),
shows The high rise structure or building is the necessity In this study paper, the investigative result of wind speed
of metro cities. The multi story high rise RC building are and structural response of building frame on sloping
more large and less elastic in nature as judge against to ground has been studied and analyze. Considering various
compound structures. This study investigates the frame geometries and slope of grounds. Combination of
similarity or comparison between RCC and composite static and wind loads are considered. There is many type
structure under the effect of wind, additional to it of sloping ground. For combination, 60 cases in different
compound structure also includes unlike plan wind zones and three different heights of building frames
configurations. this study has total 15 number of building are analyzed. STAAD-Pro software has been used for
model are arranged and analysis for wind load by using analysis purpose. Results are collected in terms of Storey-
ETABS 2015software. The various software are work on wise drift ,Shear force, moment, axial force, support
wind and earthquake analysis but we goes for software reaction, and Displacement which are critically analyzed
ETABS 2015.The wind analysis is performed for unlike to count the effects of a variety of slope of ground.
heights such 20m, 50m and 80m respectively. In adding K.R.C. Reddy1 (2015) In different type of high rise
together, the comparative study concludes that the structure chimney has its own importance. Along wind
compound structure are bigger elas tic in nature and more analysis of tall reinforced concrete chimneys by casual
at risk as compare to RCC structure and the compound vibration approach and Codal methods of India (IS 4998
option is better than RCC for multi story structure. Whole (part 1)), America (ACI 307) and Australia (AS/NZS
study is observed in software analysis.In addition, the 1170.2) are offered in this paper. For the analysis based
comparison of unlike plan configuration shows that the on casual vibration approach, the RC chimney is model as
response of parameter such as story displacement, story multi-degree-of freedom system subjected to static load
stiffness, base reaction and time period under effect of due to mean constituent of wind pace and dynamic load
wind. The reason of this analysis is to conclude the most due to changeable component of speed. The changeable
efficient shape of construction in horizontal zone. component of wind speed at a point is careful as temporal
N. Lakshmanan, S. Gomathinayagam*, P. random process. subsequently, the codal procedures for
Harikrishna, A. Abraham and S. Chitra Ganapathi, along-wind analysis of tall RC chimneys from Indian,
2009, Long-term data on hourly wind speed from 70 American and Australian codes are reviewed. Four RC
meteorological centres of India Meteorological chimneys are analyzed using these methods to achieve
Department have been collected. The daily gust wind data their responses. It is found that the codal methods of
have been processed for annual upper limit wind speed (in along-wind analysis are basic, are not prepared to
kmph) for each site. Using the Gumbel probability paper estimation the deflection of the chimneys and producing
approach the intense value quantiles have been derived. A mixed results. The simplifying assumptions used in these
design basis wind speed for each site for a return period codes are discussed.
of 50 years has also been evaluated. The sitespecific
changes in the design wind speeds in the contemporary III. EXPECTED OUTCOMES AND NEED OF THE
wind zone map for the design of buildings/structures are STUDY
highlighted and revision to the map issuggested.. The wind analysis on multi-storey building in wind zone
Tharaka Gunawardena1*, Shiromal Fernando 2, second, the structures situated in indore (m.p.).The main
Priyan Mendis 1, Bhathiya Waduge 2, Dilina purpose of this study is to analyse the highest multistory
Hettiarachchi 2, 2017, Urban habitats around the world building in Indore.
are becoming more congested with rising populations and  Analyzing different building with their different
the need for tall buildings is as high as ever. Sri Lanka is height for wind analysis
experiencing this reality at present as Colombo’s skyline  To determine various results for high rise
expands rapidly with a large number of upcoming building after the wind forces applied.
complex high-rise buildings. The response of tall  The comparative study of different number of
buildings to wind forces is a critical design criterion and it RCC and composite structures.
requires both conventional force based designs as well as
performance based solutions. This paper discusses these
challenges and the engineering solutions that they require

IV. PROBLEM FORMULATION AND OBJECTIVE Journal of Academia and Industrial Research (JAIR)
The performance of RC structures before and after the ISSN: 2278-5213.
application of wind forces.. In this study we are [6] Ravinder Ahlawat and Ashok K. Ahuja, (2015),
introducing new and the highest building of the indore for “Wind loads on ‘Y’ plan shape tall building”.
get better performance of building during the wind.the International Journal Of Engineering and Applied
study to be done in wind zone second and the highest Sciences (IJEAS) ISSN: 2394-3661.
building in the region is the uniqueness of the study. [7] Md. Rashedul Kabir, Debasish Sen, Md. Mashfiqul
The specific aims and objectives of the project can thus be Islam, (2015), “Response of multi-storey regular and
mentioned as: irregular buildings of identical weight under static
a. Analysis of wind on G+19 storied RC and dynamic loading in context of Bangladesh”.
Residential building as per IS codal provided International Journal Of Civil and Structural
with different shapes . Engineering, ISSN 0976 – 4399
b. Analysis of wind G+19 storied RC Residential [8] Jawad Ahmed, H S Vidyadhar,“Wind Analysis and
building with different stories. Design of Multi Bay Multi Storey 3D RC Frame”,
c. Analysis of wind G+19 storied RC Residential International Journal of Engineering Research &
building story drift , base reaction and Technology (IJERT), ISSN: 2278-0181.
displacement [9] Hossein Moravej, Mahdi Hatami, Reza
Naghshbandi, Yaser Mousavi Siamakani , “W ind
V. CONCLUSION load analysis of buildings in hill-shape zone”, Int.
On performing the extensive survey of the literature available Journal of Applied Sciences and Engineering
n building structure it can be concluded that due to a wide Research, Vol. 4, Issue 1, 2015.
variety of buildings, the in depth understanding in the field of [10] Indian standard codal 875: part 2,3,5- 1987, “Code
wind Analysis and design of building structures is inadequate. of practice for Design loads (other than earthquake)
The IS codes has provided certain guideline on the basis of for buildings and structures.”
which the building structures can be designed when subjected [11] Indian standard codal 456: 2000, “Indian Standard
to wind loads. The literature survey in the performance and code of practice for general structural use of plain
behavior of building structures when subjected to wind loads and reinforced
suggests that the requirement of establishing a methodology [12] D.R. Panchal and P.M. Marathe, Comparative Study
for studying the response of building structure to winded loads of RCC, steel and composite (G+30 storey) building,
has become essential. Many researchers has performed work Institute Of Technology, Nirmal University,
over various types of building. on the different types of Ahmadabad, December,
buildings and find out the important parameter which is useful [13] Abhay Guleria, Structural Analysis of a Multi story
for understanding the behavior of wind forces. buildings using ETABS for Different plan
configuration, International journal of engineering
REFERENCES research and technology.
[1] Syed Fahad Ali and S.A. Bhalchandra, Study on [14] Mahesh Suresh Kumawat and L.G.Kalurkar,
seismic Analysis of RCC and steel-concrete Analysis and design of multi story building using
composite structure and cost comparison with composite structure, International Journal of
different support condition, International journal for Research in Engineering and Technology,3(2),
scientific research and development, [15] Codal provision IS: 875(Part 3)-1987, Indian
[2] Sanhik Kar Majumder and Priyabrata Guha, Standard Code of Practice for Design loads (other
Comparison between wind and seismic load on than Earthquake) for Buildings and Structures,
different types of structures,International journal of Bureau of Indian Standards, New Delhi..
engineering science invention [16] Ming Gu,“Study on wind loads and responses of tall
[3] U.Y.Jeong, Advance in tall building design under buildings and structures”The Seventh Asia-Pacific
strong winds, Structural congress ASCE, 2015 Conference on Wind Engineering, Nov.
[4] Code IS: 456(2000), Indian Standard Code of 2009,Taipei, Taiwan.
Practice for Plan and Reinforcement concrete [17] J. A. Amin and A. K. Ahuja (2008), “Experimental
(Fourth Revisions), Bureau of Indian Standards study of wind pressures on irregular plan shape
(BIS), New Delhi. buildings”. BBAA
[5] Ravinder Ahlawat and Ashok K. Ahuja, (2015), [18] International Colloquium on: Bluff Bodies
“Wind loads on ‘T’ plan shape tall buildings”. Aerodynamics & Applications Milano, Italy.

Optimization of skylight composition for cooling

and lighting energy efficiency (Case Study: G-
building ITATS)
Dian P.E. Laksmiyanti1, Randy P. Salisnanda2
1 Department of Architecture, Institute Technology Adhi Tama Surabaya, Indonesia
Email: dianpramita@itats.ac.id
2 Department of Architecture, Institute Technology Adhi Tama Surabaya, Indonesia
Email: ren.salisnanda87@gmail.com
Abstract — The increasing concern on sustainable and façade, it means there’ll be significant saving of energy
environmentally friendly design over the past three use when architect design the building façade carefully.
decades has encouraged architects to look back at their Climate should be considered when the architect’s design
own tradition in creating built environments. They realize any building [1].
that building should bear connection with place. In the Energy consumption of building can be cut by a good
tropics, buildings should respond to the climate. High design, compact massing and landscaping, perfect façade
solar radiation and temperature are particularly critical material choice, and climate must be a factor to determine
from the point of view of architecture design. Multi-storey all of that. Tropical climate especially warm humid area,
buildings are especially vurnarable as far as heat is has a lot advantages and challenges for the architect [1&2].
concerned. Greater area of the facade is exposed and will Indonesia for example, it’s tropical country with warm
be the main source of heat input, which in turns will have humid character. Sun is shining all year in this country , it
an impact on energy use and comfort. Careful can be an unlimited energy for us, and at the same
considerations on the design of envelope and roof are moment can be source of heat gain in the building which
proved to be of advantage in terms of energy is make the cooling load higher and make the energy
performance. consumption of air conditioning increase. Overheating
This research aims to find the optimum external façade can be happen because of wrong choice of
composition of skylight and opaque roof for atrium of façade material. Architect supposed to be careful when
middle-rise wide span buildings, especially in relation to design great opening in façade or atrium because poor
cooling energy and daylighting. Sample of middle-rise thermal performance of fenestration wall or roof [3]. Most
office buildings in Surabaya were taken random. of fenestration envelope material such as clear glass, fiber
Simulation was conducted to predict energy performance glass, or poly carbonate has huge u-value and little
for cooling energy and daylight distribution of the decrement factor. It means the material accept a lot of
building. Energy performance of the buildings were found heat and transfer it a lot in to the building. This is not
to bear some relations to the percentage of fenestration good.
roof in atrium. Previous research said octagonal building consume less
Keywords— Atrium, Cooling Energy, Daylight, Energy energy compared by another building form in the same
Efficient, Middle-rise, Tropics. volume [4]. Another research tell more compact the design
of the building cooling energy consumption will be less
I. INTRODUCTION too [5]. Bulky building consumes less cooling energy than
Indonesia is a develop country with high density of multiple building in same volume.
population. In Indonesia, the biggest energy uses comes Day lighting can be another problem in bulky building
from commercial sector such as mall, hotel, and office design. Usually day light transmit only in to the perimeter
building. Commercial building consumes about 52% area, need more strategies to enter the sun light into the
energy of total energy use and 60 % of the energy use building such as light shelf, atrium, high area of opening,
allocated for air conditioning system. High temperature, light pipe, and so on. The common and simplest solution
humidity and solar irradiance are the problem of thermal to enrich the penetration of sun light of the building is
comfort in warm humid country like Indonesia. About creating atrium and skylight. Roof is one of building
55% of heat gain in the building comes from building envelope which is transfer a great heat into the building

https://dx.doi.org/10.22161/ijaers ISSN: 2349-6495(P) | 2456-1908(O)
so it’s being important to design carefully and consider
[6],
about material composition for atrium roof.
II. METHODOLOGY
This research aims to analyze composition of roof
material especially for atrium in wide span middle-rise
building to optimization cooling energy on it. This
research use experimental method with simulation to test
the correlation between percentage of fenestration roof
and cooling energy consumption. Calculation of cooling
load in the building and simulation of each type of heat
gain of the building is used to evaluate thermal energy
performance of the building
This research will compare some models of atrium roof
based on sample has been chosen before. In this
experiment there is a base case (the existing model) and
modification on percentage of fenestration roof in that
atrium. This simulation use software Ecotect 2011. Base
case of this experiment is existing model of G building
ITATS, atrium with 50% of fenestration roof. Previous
research [6] test the building performance with 10%, 20%,
30% and 40% WWR (Windows to wall ratio). This
research will use that percentage for fenestration roof.
III. RESULT AND DISCUSSION

G buiding of ITATS is a building used for collage such as
office department, Architecture studio and classroom.
This building has 4 storey and 4 department ue this Fig. 1: Plan and elevation of G building of ITATS
building for educational process: department of
architecture, civil engineering, product design, and 1st floor of this building used as classrooms. Level of
environmental engineering. This building is bulky, it has daylight for this room approximately 400 lux, and for
31 m wide (fig.1). There are A lot of opening on its thermal comfort temperature supposed to be in 24-27o C
envelope so a lot of day light enter the building. and 40-60% Relative humidity. 2nd floor of this building
Ground floor of this building used as office of the used for architecture studio. This room needs more
departments, and communal area. Space under the atrium daylight for better performance. It needs about 600 lux.
used as hall. This hall is multifunction, regularly student There some classrooms and laboratories In this floor
held exhibition of their work in this hall. Band which require different amount of daylight. Unfortunately
competition, sport, and fresh student orientation usually opening design for each room are same. 3rd floor of this
held on this place. Fig 2 shows interior and exterior of the building used as product design studio, library, and
G building of ITATS. Varies daylight needed in each laboratory. This is the top floor of the building and
function of rooms in this floor. Canteen needs perimeter room doesn’t have any ceiling. On top of the
approximately 300 lux of daylight. Office departments perimeter use concrete roof without any insulation. It
need about 400 lux of daylight. Workshop which need makes this floor has the worst thermal performance.
high detail work needs 900 lux for lighting

the fewer barriers or obstruction around the building can
block light from entering the building.
On the ground floor besides being blocked by
surrounding buildings, there are also some trees planted
not far from the windows so that it reduces the number of
daylight. Generally, daylight which enter the rooms in
ground floor has fulfill the standard (fig. 3). Lighting at
workshops that entered around 600 lux, quite a lot
actually, it's just that it is less than the standard
requirement for workshops so additional lighting is
needed in this room. It is better to add a few light points
to help the glassware when needed to assemble goods
(add task lighting, not general lighting).
Fig. 2: Interior and façade of the case study
3.1 Composition of Skylight and Daylight Performance

Generally the amount of daylight which is enter the
building decrease proportionally by the decrease of the Fig 3: Daylight Factor (DF) in each model
percentage of fenestration roof on the atrium, but the total
of daylight are not really different (table 1). This happen
because the WWR of each room are wide enough so each In Hall, the amount of natural lighting entering is still
room have a good daylight distribution. very high even though the use of skylights in the atrium
Table.1: Daylight Factor on G building has been reduced, this is caused by:
Standar Daylight Factor (%) 1. The atrium roof uses a skylight type, so that the
Floor Room
DF (%) BC Mod.1 Mod.2 Mod.3 Mod.4 incoming sunlight is mostly a direct beam that is strong
Canteen 4 4.8 4.8 4.8 4.8 4.8 enough. So even though the amount of small translucent
Office roof still allows more direct light to enter
GF Dept 4 4.7 4.8 4.5 4.3 4.3 2. The use of white and glossy ceramics also affects the
Workshop 9 6.7 6.7 6.7 6.7 6.7 reflectance of light that has entered. White and shiny
Hall 4 10.7 10.7 9.0 8.7 7.0 layers cause more sunlight to be reflected in the room so
1st Class room 4 9.0 8.9 8.5 8.4 8.0 that the potential for glare in the room is greater.
Class room 4 8.7 8.5 8.5 8.3 8.0 3. Open space around the hall (Fig.1) allows the amount
2nd LAB 9 8.5 8.8 8.8 8.0 8.0 of light from the north side and more buildings to enter,
Studio 6 9.0 9.3 9.3 9.0 9.0 moreover other buildings are only on the south and east
Class room 4 9.0 8.9 8.5 8.4 8.0
sides of the building. The north and west sides do not
3rd have any obstruction, allowing more sunlight to enter the
Library 4 9.0 9.8 9.8 9.7 9.5
hall.
Workshop 9 8.7 9.5 9.5 9.3 9.0
Classrooms on 1st , 2nd , and 3rd floor do not experience
Average 8.1 8.3 8.0 7.8 7.5
many changes with a reduction in the percentage of
translucent roofs in the atrium. The amount of incoming
The data obtained in the base case is the result of field
lighting is almost double the required standard. The good
measurements, it does not show too much difference with
thing is that the lighting distribution on the 2nd floor is
the simulation results. The lighting on the ground floor
evenly distributed so it does not have the potential to
looks less than another floor. The higher the floor, the
cause glare in the room if the building user looks at the
more amount of natural lighting that enters the room. This
window (figure 4). The excessive amount of lighting in
is reasonable because the higher the floor of the building,
this class causes users to have difficulty seeing the
presentation on the LCD screen. On the other hand, this 1. The amount of WWR in a building that is large enough
classroom is sure to not use lights during the day when to allow light to enter from the translucent wall. Skylights
the weather is sunny. are not the only source of light in the room in building G
2. Skylights help equalize the amount of light entering the
room so that the quality of natural lighting in buildings is
also better
3.2 Skylight Composition and Thermal

The cooling energy in building G is far above the
standard (Fig.7). To be low energy building, commercial
buildings must consume maximum cooling energy of
47kWh / m2 / Year or maximum total operational energy
of 200kWh / m2 / Year. Building G consumes 10x
Fig 4: Daylighting distribution on 2 nd floor cooling energy higher than the standard it should. It can
be concluded that the energy performance of cooling in
this building is very poor.
Fig. 5: Daylighting distribution in LAB on the 3 rd floor
Fig 7. Energy consumption on each case

Laboratory and Workshops on the 3rd and 4th floors have
sufficient amount of lighting. The distribution of natural
lighting is fairly evenly distributed in the room (Figure 5 The amount of cooling energy in this building is caused
& 6), most of the side near the window, both the outer by large heat propagation into the building. Most of the
and near the atrium windows have sufficient lighting. The heat entering the building is transferred through the
central area of this room is darker than the surroundings. conduction stream (Fig.8). sQc is conduction heat flow,
the heat flow flows from the building envelope that
occurs 24 hours. To minimize sQc we have to design the
walls and roof carefully. Too many windows on the wall,
translucent roofs that are too large in the atrium, high u -
value walls and roofs can cause a rise in conduction heat.
Fig 6: Daylighting distribution in workshop on 3 rd floor
From the picture of the distribution of indoor lighting and

the simulation results in the graph in Figure 4.3 it can be
concluded that the reduction in the number of translucent
roofs at the atrium does not have a large effect on the Fig.8: Gain breakdown in base case
building's perimeter, but gives a significant influence on
the room just below the atrium . This happens because:
sQi is the second highest heat flow from Fig.8. sQi means flow. This building uses air conditioning in total, so the
internal heat gain, heat from electricity and activity in the ventilation gain of the building is quite low.
building. Electricity in this building is divided into three Reducing the extent of translucent roofs turns out to have
groups: Lighting, Air Conditioning, and electrical little impact on conduction and radiation heat flow
equipment. Thus the operational hours are long, the directly into the building (Fig.9). internal heat and
increase in the internal heat of this building increases. conduction heat do not change because the volume of the
Incorrect window design is also the next factor to improve room and user activity do not change.
sQi. Actually, there are no windows in this building, only Although the amount of cooling load is very high because
translucent walls. There is no window which means there there are too many transparent fields on the wall, energy
is no air flow, and the wide area of the translucent wall must still be used as much as possible on the building
makes the heat penetrating into the building still occurs without sacrificing thermal or visual comfort in the
and continues to increase again because there is no air building. Figure 10 shows a comparison of the inner
flow to dissipate the heat. The only way to create thermal chamber temperature that can be created by each case for
comfort in a windowless building is to use an air the same outer space temperature. Skylight buildings up
conditioning system. This means increased power to 20% are able to provide lower indoor temperatures than
consumption and internal heat gain. outdoor temperature.
The third highest type of heat in this building is radiation -
induced heat. Irradiance Heat Gain is divided into two: 32.0
1. Direct Irradiance Gain (sQg) is radiation that comes
31.0
Temperatur (°C)
and enters the building directly. Us ually this type of heat 50%
flow occurs on transparent walls and roofs. 30.0 (BC)
2. Indirect irradiance gain (sQs) is the radiation heat gain
through an opaque surface. Sun radiation hits an opaque 29.0
surface, and there are some that are reflected and 40%
28.0
absorbed. The heat absorbed will be transmitted to the
27.0
building in a few moments depending on the material lag
1 4 7 10 13 16 19 22
time
In this building sQg is much higher than sQs. There is a Jam
lot of solar radiation coming into this building from
Fig 10: Indoor air temperature G building of ITATS in
translucent surfaces. This atrium has a skylight of 50%, each case
making the amount of direct irradiance that enters the
building even higher. To be lower, the composition of IV. CONCLUSION
transparent surfaces must be reduced. The amount of The natural lighting performance in the G building of
radiation that hits the surface of the building on the ITATS is quite good, but the thermal performance of the
horizontal side is also relatively large. building is very bad. Many transparent fields on the wall
make this building include too much heat. Clear glass
used in windows also has poor quality for thermal so that
the energy needed for the building is very large. Reducing
the number of transparent roofs at the atrium up to 20%
can help reduce cooling loads without reducing visual
comfort in the building.
The use of blinds or curtains on the window is highly
recommended, especially in classrooms because the
lighting needs there are not too high while the amount of
light entering is quite large. Although the percentage of
small skylights that enter the class is still very large due
Fig.9: Gain breakdown on each model to the large number of openings in the wall.
sQv is heat that enters due to ventilation, or heat entering REFERENCES
the building through the building's air flow (convection). [1] Yeang Ken (1996), Bioclimatic Skyscraper. London:
This building does not have a window does not mean it Artemis London Limited
has no air flow at all. All rooms use AC which usually [2] Baker Nick dan Koen Steemers, (2005), Energy and
has an exchange value of 2 ACH, so the ventilation Environmental in Architecture, Taylor & Francis
obtained by this building comes from this AC system Group, New York

[3] Knowles, R.L. (2003), “The Solar Envelope: Its
Meaning for Energy and Buildings”, Journal of
Energy and Buildings
[4] Laksmiyanti Dian (2016), Kinerja Bentuk Bangunan
Perkantoran Bertingkat Menengah Di Surabaya
Terhadap Efisiensi Energi Pendinginan, Jurnal
IPTEK ITATS vol:20 no 1.
[5] Crawford Robert H, Czerniakowski Isabella, Fuller
Robert J (2010), A comprehensive framework for
assessing the life cycle energy of building
construction assemblies, Journal Science Direct,
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[6] Heerwagen Dean (2004), Passive and Active
Environmental Controls Informing The Schematic
Design of Building, Mc Graw Hill, New York
[7] Markus T.A, Morris E.N (1980), Buildings, Climate
and Energy, Pitman Publishing Limited, London
[8] Olgyay, V (1972). Design with Climate- Bioclimatic
approach to architectural regionalism, Princeton
University Press, New Jersey
[9] Lenchner Norbert (2007), Heating, Cooling and
Lighting, PT. Raja Grafindo Persda, Jakarta
[10] Szokolay, S.V. (1987), Thermal Design of Buildings.
RAIA Education Division, Canberra, Australia.

Effect of the Substitution of Agricultural Uses by

Forest on the Hydrological Processes in a
Tropical Watershed. Analysis through
Hydrological Simulation
Ronalton E. Machado 1, Milena S. Lopes1, Lubienska Cristina Lucas J.
Ribeiro1
1 Unicamp
(University of Campinas) - School of Technology, Brazil.
Email: machado@ft.unicamp.br; lopes.mylena@hotmail.com; lubi@ft.unicamp.br
Abstract — Forests play an important role in watershed In this line of research, a large collection of data in the
hydrology, regulating the transfer of water within the scientific literature, resulting from the systematic
system. Their role in maintaining the hydrological regime monitoring of catchments all over the world. Catchment
of watersheds is still a controversial issue. Due to the studies may be grouped broadly into three main types
uncertainty, our first objective was to identify, through GIS (Bosch & Hewlett, 1982): (a) correlation studies in which
techniques, “Environmentally Sensitive Areas” (ESAs) in the streamflow is compared between different catchments,
the Pinhal watershed, subsequently, to simulate land use (b) single catchment studies and of which (c) paired
scenarios with the Soil and Water Assessment Tool model. catchment experimental studies stands out (Bosch &
In one of these scenarios, we considered these areas as Hewlett, 1982; Cosandey, 1995; Brown, 2005, Bart &
protected by forest cover. This scenario we compared to Hope, 2010; Webb & Jarrett, 2013; Rodríguez-Martínez &
the current scenario regarding watershed sediment yield Santiago, 2017). Some works with paired catchment
and hydrological processes. The results showed a showed the effect of forest cover on water yield, where
reduction in sediment yield of 54% between the two natural vegetation has been removed and/or replaced by
scenarios, whereas watershed water yield was reduced by planted forests (Bosch & Hewlett, 1982; Bruijnzeel, 1990,
19.3%. 2004; Buytaert et al., 2006). The paired catchment
Keywords— hydrologic modelling; land use change; technique would be arguably the best methodology to
reforestation; SWAT, surface runoff; water yield. evaluate the hydrological functions normally assigned to
forests, applicable to basins with very similar
I. INTRODUCTION characteristics (Bosch & Hewlett, 1982; Brown, 2005). It
Abandonment of former agricultural and pasture land is always preferable that paired catchment should be as
has led to spontaneous regeneration and active planting of near as possible, to have similar physical aspects, climate,
new forests (Molin, 2014). Forests has many diverse vegetation and use and occupation (Best et al., 2003).
environmental functions and knowledge on how forests Despite the advantages of using paired catchment to study
affect the various aspects of water is essential to assess the the impact of vegetation changes on water yield, this kind
role of forest cover on watersheds’ hydrological regime of study takes time, since a watershed’s hydrological
(Lima, 2012). Forests are often regarded as effective to response to tree cutting or reforestation is a medium to
stabilize and maintain the river flow rates and this is one of long-term process. It is also impossible to test other
the reasons why revegetation is repeatedly recommended configurations of land management and use, and according
to recover watersheds (Wei & Zhang, 2010). Some of the to Zhang et al. Zhang et al (2017), the results from small
hydrological functions usually ascribed to forests, catchment (e.g. paired catchment studies) cannot always be
however, such as increase rivers water availability, are extrapolated to large basins.
disputable and lack a technical and scientific basis. We Another option to predict the impact of land -use
observe, however, that this is still a worldwid e changes on the quantity and quality of water in a
controversy, especially regarding the establishment of watershed, e.g., vegetation replacement, is the use of
water conservation and sustainable use of natural resources hydrological models. According to Sun et al. (2006),
policies. mathematical models are probably the best tools to analyze

complex non-linear relationships between the water yield possibility of creating different scenarios that are difficult
of forests and major environmental factors. to test at watershed level, this paper’s objective is first to
The large number of existing models applied to identify “Environmentally Sensitive Areas” (ESAs) in the
watersheds shows the advancement of this technology. watershed under study and, subsequently, to simulate land
There are many hydrological models that simulate the use scenarios comparing them regarding sediment yield
quality and quantity of streamflow, each one with strengths and hydrological processes. The Pinhal watershed is
and weaknesses that must be considered according to the important as supply of drinking water for the Limeira city
user’s needs and the characteristics of the study area. As an and it is in state of environmental degradation (e.g.,
example, the Soil and Water Assessment Tool (SWAT) improper land use, areas severely eroded and soil loss). The
model allows great flexibility when configuring results of this study will provide valuable information for
watersheds (Abbaspour et al., 2015). The model was future implementing the Payments for Ecosystem Services
developed to predict the effect of different management (PES) in the watershed.
scenarios in the quality and quantity of water, sediment
yield and pollutant loads in agricultural watersheds II. METHODOLOGY
(Srinivasan & Arnold, 1994; Peterson & Hamlett, 1998) . 2.1. Study Area
SWAT discretize watersheds in subbasins based on relief, Pinhal watershed is located in State of São Paulo,
soil and land use, preserving thus spatially distributed Brazil. It consists of approximately 300 square kilometers
parameters of the entire watershed and homogeneous (Fig. 1). It has a humid subtropical climate – Cwa,
characteristics within the watershed (Srinivasan & Arnold, according to the Köeppen classification, with a hot and
1994). humid summer and cold and dry winter, and average
The SWAT model is internationally recognized as a annual temperature of 25°C. Average annual precipitation
solid interdisciplinary watershed-modeling tool, as is approximately 1400 mm.
demonstrated in annual international conferences and Sugarcane cultivation occupies most of the watershed
papers submitted to scientific journals (Kuwajima et al., area (42.3%), whereas citrus cultivation occupies
2011). SWAT’s many uses have shown promising results, approximately 30% of the area. Much of the original forest
e.g., hydrological assessments, impacts of climate change, vegetation has been destroyed in the process of land use
evaluation of best management practices, estimation of and occupation, now scattered along the streams (9%). The
pollutant load, determining of the effects of land -use urban area occupies 6.7%, located at the western side of
change, sediment yield, etc (Machado & Vettorazzi, 2003; Pinhal watershed. The predominant soils in watershed are
Machado et. al. 2003; Koch et al., 2012; Lessa et al., 2014; ferralsols (72%) and cambisols (19%).
Abbaspour et al., 2015; Dechmi & Skhiri, 2013; Liu et al., The Pinhal watershed is important as supply of
2015; Zhang et al., 2014; Rocha et al., 2015; Lin et al., drinking water and due to it is state of environmental
2015, Tuo et al., 2018; Wang et al., 2018; Mutenyo el al., degradation. In addition, the initiative taken by City
2013; Sajikumar & Remya, 2015; Giri el al., 2018). Council of Limeira to reverse the degradation of forest and
Due to the uncertainty of forests’ role in the quantity the adverse effect of land use changes is implementing the
and quality (sediment loading) of water resource and the Payments for Ecosystem Services (PES).
Fig. 1. Locations of the Pinhal watershed and gauging stations.

2.2. The SWAT model and input data Land use properties were obtained directly from the SWAT
SWAT, version 2012, was used in the simulation of model database and the physical-hydrological soil
the Pinhal watershed’s scenarios. The model requires as parameters of Agronomic Institute of Campinas (IAC).
input data daily precipitation, maximu m and minimum air Table 1 summarizes the input data used for the current
temperatures, solar radiation, wind speed and relative study. Inputting data into SWAT is made via an interface
humidity. These data were obtained from UNICAMP’s developed between SWAT and GIS ArcGis (Arnold et al.,
School of Technology’s weather station, located in 2012). The interface divides the watershed in subbasins
Limeira, state of São Paulo, at UTM coordinates 251,145 from the DEM. We discretized the Pinhal watershed in 25
m (W) and 7,503,161 (S). Rainfall data were obtained from subbasins up to the hydrologic station localized at UTM
two other rainfall stations (Fig. 1). Other data include coordinates 266,175 m (W) and 7,496,308 (S) (Fig. 1).
Digital Elevation Model (DEM), land use and soil maps.
Table.1: Data sources for the Pinhal watersheds and input data for SWAT model.
Input data Data description scale Data sources
Land use Secretary of the Environment of the State of São
Land-use classification -
Paulo, 2013
agricultural land, forest, pasture, 25,000
(http://www2.ambiente.sp.gov.br/cpla/mapa-de-
urban and water
uso-e-ocupacao-da-terra-ugrhi-5-pcj/)
Soil São Paulo Forest Institute
(http://iflorestal.sp.gov.br/2017/09/26/mapa-
Soil types and physical properties 100,000
pedologico-do-estado-de-sao-paulo-revisado-e-
ampliado/)
Topography Geographic and Cartographic Institute of São
Digital Elevation Model (DEM) 10,000
Paulo (IGC)
Hydrological and ANA
precipitation, minimum and
Meteorological (http://www.snirh.gov.br/hidroweb/publico/mapa
maximu m temperature, solar Daily
_hidroweb.jsf) UNICAMP
radiation, wind speed
(https://www.ft.unicamp.br/dadosmeteorologicos)
2.3. Model evaluation Equation 1) was used to evaluate the simulation’s results.
The warm-up, calibration, validation and uncertainty NSE can range from -∞ to 1, where 1 is the optimal value.
analyses of the SWAT model was done in the period 2010 Values above 0.75 can be considered very well (Moriasi et
to 2014 in the SWAT-CUP 2012 program with the SUFI- al., 2007. The PBIAS (Equation 2) also was used to
2 (Sequential Uncertainty Fitting) calibration algorithm. evaluate the simulation’s results (Gupta et al., 1999).
∑𝑛
𝑖=1 (𝑄𝑂𝐵𝑆𝑖 −𝑄𝑆𝐼𝑀𝑖 )
2
The SUFI-2 algorithm has the capability to account for all 𝑁𝑆𝐸 = 1 − (1)
∑𝑛
𝑖=1 (𝑄𝑂𝐵𝑆𝑖 −𝑄
2
sources of uncertainty within the parameter ranges such as 𝑂𝐵𝑆)
uncertainty in driving variables (e.g. rainfall), conceptual

∑𝑛
𝑖=1 (𝑄𝑂𝐵𝑆𝑖 −𝑄𝑆𝐼𝑀𝑖 )
model, parameters, and measured data (Abbaspour et al., 𝑃𝐵𝐼𝐴𝑆 [ % ] = ( ∑𝑛
) ∗ 100 (2)
𝑖 =1 (𝑄𝑂𝐵𝑆𝑖 )
2007). Based on the relevant literature, parameters related
Where, 𝑄𝑂𝐵𝑆𝑖 and 𝑄𝑆𝐼𝑀𝑖 correspond to the observed
to management/soil [CN2 (dimensionless), SOL_ K
and simulated streamflow, respectively, on day i (m3 /s),
(mm/h), SOL_AWC (mm/mm), SOL_A LB
(dimensionless)]; groundwater parameters [ALFHA_BF and 𝑄𝑂𝐵𝑆 corresponds to the observed average streamflow,
(1/day), GW_DELAY (day), GWQMIN (mm), SURLA G in (m3 /s), and n corresponds to the number of events. The
(dimensionless), GW_REVAP (dimensionless), calibrated SWAT model was used to simulate monthly
REVAPMN (mm)]; subbasins/HRU parameters [ESCO average hydrological processes under land use change
(dimensionless), EPCO (dimensionless), SURLAG (days), scenarios.
SLSUBBSN (m), CANMX (mm H2O)] and main channel 2.4. Identification of Environmentally Sensitive
parameters [CH_N2 (dimensionless), CH_K2 (mm/hr)], Areas (ESAs)
were submitted to the sensitivity analysis to parameterize The concept of “Environmentally Sensitive Areas”
the most sensitive and make necessary adjustments in their (ESAs) was created approximately 30 years ago due to
values. This step was performed iteratively, according to increased soil and water degradation and the degree of
the calibration procedure (Abbaspour et al., 2015). The severity of degradation (Rubio, 1995). ESAs are areas that
Nash-Sutcliffe model’s efficiency coefficient (NSE - contain natural or cultural features important for a

functioning ecosystem (Ndubisi et al., 1995; Gourlay, economic instruments and compensation provided by the
1998). current legislation. Thus, we reclassified ORA 1, 2 and
To identify ESAs in the Pinhal watershed within the ERA 1, 2 as Critical ESAs; AS 2, 3 in Fragile ESAs and AS
context of environmental degradation, we reclassified the 1 in Potential ESAs.
results from Adami et al. (2012) and identified three types 2.5. Scenario simulation
of ESAs: Critical, Fragile and Potential according to Rubio We made two scenario simulations using the SWAT
(1995). Adami et al. (2012) made an agroenvironmental model interfaced with GIS ArcGis, aiming to verify the
analysis of the Pinhal watershed via a Geographic effect of land use change on sediment yield (sediment
Information System (GIS). They used indicators of relief transported from subbasins to the main channel over time,
(slope, which was sliced into categories and fragility ton/ha) and the hydrological processes (surface runoff
degrees), soil (ranking of soil classes according to their (mm), evapotranspiration (mm), soil water content (mm),
fragility) and land use and cover (reclassified according to water yield (mm). Where the water yield (WYLD) is the
their protection degree, with higher grades given to classes net amount of water that leaves the sub-basin and
with greater soil cover) to determine the capacity of natural contributes to streamflow in the reach during the time step
resources and environmental fragility. The empirical (WYLD= SURQ + LATQ + GW_Q – TLOSS – pond
analysis was used to identify areas that require more abstractions). SURQ is the surface runoff contribution to
attention for improving environmental conditions. The streamflow during time step (mm H2O). LATQ is the
results of the procedures employed by the authors in their lateral flow contribution to streamflow during time step
study are shown in Fig. 2. Additional information in Adami (mm H2O). GW_Q is the groundwater contribution to
et al. (2012). streamflow (mm). Water from the shallow aquifer that
returns to the reach during the time step. TLOSS is the
average daily rate of water loss from reach by transmission
through the streambed during time step (m3 /s) (Arnold et
al., 2012).
In a scenario, we did Critical and Fragile ESAs with
forest cover and overlapping on the land use map. This
scenario was compared to the baseline scenario. Thus,
these simulations illustrate the application and integration
of hydrological and water quality models with GIS to
evaluate watershed management scenarios, modifying only
land use layer and management practices.
We used the change of the analysed events as
statistical criterion to evaluate sediment yield and compare
the hydrological behavior of the watershed in different
scenarios, Equation 3:
∑𝑛
𝑖 =1 (𝑆𝐸𝑆𝐴−𝑆𝐶𝑈 )
𝐶ℎ𝑎𝑛𝑔𝑒 [ % ] = ( ∑𝑛
) ∗ 100 (3)
Fig. 2. Map of the agroenvironmental zoning of the Pinhal 𝑖=1 (𝑆𝐶𝑈 )
watershed by Adami et al. (2012). Where, 𝑆𝐸𝑆𝐴 the results of the alternative scenario
(Critical and Fragile ESAs with forest cover) and 𝑆𝐶𝑈
Definitions: AS: Agricultural subareas - these subareas represents current scenario events (baseline) in the period.
are all sites identified and mapped with agricultural For this method, the higher the value of change (+ or -), the
activities, as long as they are compatible with the greater the difference in sediment yield and changes in
conditions of protection of the water resources. ERA: hydrological processes between scenarios.
Environmental Recuperation Area - are areas with usage
or occupations that are compromising the quantity and III. RESULTS AND DISCUSSION
quality of water, requiring urgent corrective interventions. 3.1. Model evaluation
ORA: Occupation Restriction Area - they are those defined The purpose of the model calibration is to better
as permanent preservation according to the Federal, State parameterize a model to a given set of local conditions,
and Municipal legislation, within the limits of the thus to improve the simulation accuracy. Model validation
Protection and Recuperation Area of Water Resources is to check whether the model can predict flow for another
(PRAWR). These areas should be considered of private range of time periods or conditions than those for which
preservation of fauna and flora remaining in the the model was calibrated (Li et al., 2015).
watershed. Priorities should be given for the production of From the definition of the parameters to be calibrated
water, through investments and the application of and validated, SWAT-CUP defines the parameters most
sensitive. It required 4 iterations of 500 simulations each to Parameter definitions: SOL_AWC: Available water
achieve the final optimization. The most sensitive capacity of the soil layer; CN2: Initial SCS runoff curve
parameters were SOL_AWC, CN2, SOL_K and number for moisture condition II; SOL_K: Saturated
ALPHA_BF (Table 2). Unlike studies of Strauch et al. hydraulic conductivity of soil layer; ALPHA_ B F:
(2012, 2013) for another Brazilian watershed, CN2 was not Baseflow alpha factor; EPCO: Plant uptake compensation
the most sensitive parameter. In the Pinhal watershed factor; GW_DELAY: Groundwater delay; ESCO: Soil
predominates Oxisol soil (72%) that has high permeabilit y evaporation compensation factor; CH_K2: Effective
and, therefore, the sensitive parameters were those related hydraulic conductivity in main channel alluvium;
to soil (SOL_AWC, SOL_K, ESCO) and groundwater SOL_ALB: Moist soil albedo of soil layer; SLSUBBSN:
(ALPHA_BF, GW_DELAY). These fitted values were Average slope length; CH_N2: Manning's "n" value for the
used to adjust the model inputs for the scenario’s main channel; GWQMN: Thres hold depth of water in the
simulation. shallow aquifer for return flow to occur; REVAPMN :
The Fig. 3 shows the monthly streamflow simulated Groundwater "revap" coefficient; GW_REVAP :
and observed data in the calibration (2012-2013) and Groundwater "revap" coefficient; SURLAG: Surface
validation (2014) period. The graphic shows a pattern of runoff lag time; CANMX: Maximum canopy storage.
variation similar between simulated e observed. The peak R__: the parameter was adjusted by multiplying by the
streamflow reflected the greatest precipitation events, but existing value; V__: existing parameter value was replaced
the base streamflow simulated were underestimated when by the new value.
the rainfall volume decreased. The NSE was 0.90 for
calibration and 0.88 for validation period. Validation at the
Pinhal watershed also indicates a good performance of the
model. NSE values between 0.7 and 1 indicate a very good
performance of the model Moriasi et al (2007).
As for the PBIAS result for the flow values, the model
underestimated the flows by 3.1% in the calibration and
3.8% in the validation. PBIAS ≤ ± 10 indicates a very good Fig. 3. Comparison of the observed and simulated
accuracy of the model (Van Liew et al., 2007). These streamflow in the Pinhal watershed. The calibration
results show that the model after calibration and validation period was done in the years of the 2012-2013 and
can accurately simulate the sediment yield and validation was done in the year of 2014.
hydrological processes in the Pinhal watershed for two
scenarios. 3.2. Environmentally Sensitive Areas (ESAs)
Table 2. Parameters used in the sensitivity analysis. ESAs identified in the Pinhal watershed are shown in
Sensitivity P- Fitted Fig. 4. 16% of the watershed area is degraded due to
Parameters t-Stat improper land use. These areas are severely eroded and
Value Value
1 -0.01 have high rates of surface runoff and soil loss (Adami et
R__SOL_AWC 8.35 0.00
al., 2012). In this case, there may be higher peak
R__CN2 2 6.45 0.00 0.03
streamflow and sedimentation of water bodies (Critical
R__SOL_K 3 -3.45 0.00 -0.10 ESAs). In 25% of the area, we have identified regions
V__ALPHA_BF 4 1.74 0.08 1.00 where any change in the delicate balance between the
V__EPCO 5 -1.20 0.23 0.81 environment and human activities may result in
6 47.06 environmental degradation of the ecosystem (Fragile
V__GW_DELA Y -1.06 0.29
ESAs). 54% of the total watershed area is classified as
V__ESCO 7 -1.00 0.32 0.12
Potential ESAs. Agricultural activities in these areas
V__CH_K2 8 -0.90 0.37 110.94 although following land use capability standards and
R__SOL_ALB 9 0.73 0.46 0.14 requiring simple soil conservation practices to control
R__SLSUBBSN 10 -0.72 0.47 0.35 erosion, care in the use of pesticides in sugarcane and citrus
crops.
V__CH_N2 11 0.63 0.53 0.13
V__GWQMN 12 -0.60 0.55 4816.90
V__REVAPMN 13 0.45 0.65 295.98
V__GW_REVAP 14 -0.44 0.66 0.05
V__SURLAG 15 -0.20 0.84 0.38
V__CANMX 16 0.03 0.98 8.14

Other uses
3337 11.2 1915 6.4 -1422 -42.61
We present in Fig. 6 the variation of land use change

in subbasins scale between the two scenarios. The decrease
in pasture and sugarcane areas, where soils are exposed to
erosion during soil management, and the increase of forest
vegetation area, which would exert significant impacts in
the sediment yield and on water yield in watershed.
Fig. 4. ESAs (Environmentally Sensitive Areas) Map in the

Pinhal watershed. 16% of the watershed area is critical
ESAs and 25% is Fragile ESAs.
3.3. Land use change between scenarios
In this study, two different land use change scenarios,
current and ESAs’ scenarios were established to assess the
impacts of the land use/cover change in the sediment yield
and on hydrological processes.
Fig. 5 presents the land use map for the two scenarios
and Table 3, the total and relative areas of occupation of
each land cover in the Pinhal watershed for the current use
scenario (baseline) and for the scenario of ESAs
recomposed with forest vegetation. From the current
scenario to the ESAs’ scenario, there is a reduction of areas
occupied with sugarcane, citrus and pasture and,
consequently, an increase of areas occupied with forest
vegetation. Sugarcane occupied the largest area in the
watershed and in the ESAs’ scenario; there was a reduction
of 46.30% in this area. Orange occupies the second largest
area in the current use scenario and in the new scenario, it
was reduced by 18.8%, whereas pasture was reduced by
44.43%. The area for other uses has been reduced by
42.61%. Some subbasins increased forest cover compared
to others: subbasins number 11, 12, 13, 14, 15 and 16.
Table 3. Land use and occupation change between the two

scenarios (current use and ESAs) in the Pinhal watershed.
Fig. 5. Land use map: (a) current scenario and (b) ESAs’
Land-use Current use ESAs scenario Change
scenario - Critical and Fragile ESAs with forest cover
Area (%) Area (%) Area (%) overlapping current land use on the Pinhal watershed.
(ha) (ha) (ha)
Sugarcane
12566 42.2 6748 22.7 -5818 -46.30
Orange
8866 29.8 7199 24.2 -1667 -18.80
Pasture
2341 7.9 1301 4.4 -1040 -44.43
Forest
2662 8.9 12609 42.4 9947 373.67

(a) (d)
(b) (e)
Fig. 6. Spatial variations of land use types at subbasins
scale between two scenarios. (a) sugarcane; (b) orange;
(c) pasture; (d) other uses; (e) forest.
3.4. . Sediment Yield

The results of the monthly sediment yield presented in
Fig. 7 represent the erosion and sedimentation processes
occurring throughout Pinhal watershed during the
simulation period (2012 to 2014). With the scenario
change, reduction in sediment yield was -54% (PBIAS)
compared to the current use scenario. This reduction
occurred mostly in subbasins located in leptosols and
cambisols (Fig. 8). These are not deep soils. Cambisols in
the watershed area occur in undulate relief. These are
poorly developed soils, with incipient B horizon. One of
cambisols’ main features is their shallowness and often
(c) high content of gravel. High silt content and low depth are
responsible for this low soil permeability (Teramoto,
1995). The biggest issue, however, is erosion risk.
Cambisols have restrictions of agricultural use, for their

high erodibility, high risk of degradation and poor
trafficability. These soils occupy 19% of the watershed’s
total area. In the current use scenario, 22.4% of this soil
area is being occupied with forest vegetation. In the ESAs’
scenario, this percentage increased to 68.3% (Table 4).
Leptosols occupy approximately 4% of the watershed’s
total area and are located in areas of greater declivity. They Fig. 7. Monthly Sediment yield between the two scenarios
are in a geomorphologically unstable zone in which on the Pinhal watershed in the 2012-2014 period.
erosion affects soil development, and they are constantly
renewed through superficial erosion (Teramoto, 1995;
Oliveira, 1999). Extensive areas are occupied with
sugarcane, pasture and orange (62.3%) cultivation on these
soils. In the current scenario, 24.3% of the leptosols is
covered with forest vegetation. In the ESAs’ scenario, this
percentage is 95.7% (Table 4).
The climatological regime has significant importance
in the sediment yield in area cultivated with sugarcane in
southeast Brazil. It is harvested from May to November
and its growth period (December and January) coincides
with the beginning of the rainfall season. The pastures in
Brazil are generally poorly managed and degraded.
Increased forest vegetation on both soils explains the 54%
reduction (PBIAS) in sediment yield in the watershed,
when we compare the two scenarios. The spatial location
of agricultural areas in relation to relief, soil and climate is
important to control erosion in watersheds (Grunwald & Fig. 8. Pinhal watershed’s soil map (Source: Oliveira,
Frede, 1999). 1999). Legend accord to WRB (World Reference Base for
Soils Resources).
Table 4: Cross tab between scenarios and soils in the Pinhal watershed.
Cambisols Leptosols
Land use type Current use ESAs scenario Current use ESAs scenario
Area (ha) Area (% ) Area (ha) Area (% ) Area (ha) Area (% ) Area (ha) Area (% )
Forest 1278 22.4 3894 68.3 275 24.3 1089 95.7
Pasture 947 16.6 399 7.0 169 14.9 10 0.9
Sugarcane 997 17.5 142 2.5 350 30.9 8 0.7
Other uses 2476 43.5 1263 22.2 339 29.9 31 2.7
Total 5698 100 5698 100 1138 100 1138 100
Spatially analysis of sediment yield for 25 subbasins for leptosol. According to Fig. 5, the lowest rates of
in the current use scenario showed a maximu m of 80.2 t/ha, sediment yield occurred in subbasins with greater forest
with an average of 14.6 t/ha (Fig. 9). Maximum sediment cover. As the SWAT model simulates many processes in
yield occurred in the upper Pinhal watershed, a more the watershed, some parameters may affect several
degraded area, whereas in the subbasins in the lower Pinhal processes (Arnold et al., 2012). With reduction of surface
watershed aggradation occurs, with lower sediment yield runoff in -45.8% (PBIAS) between scenarios (Table 5) due
values. In the ESAs’ scenario, replacement with forest to greater soil protection, sediment yield has also been
vegetation in Environmentally Sensitive Areas lead to an directly affected. Sediment yield change between the two
average sediment yield of 5.2 t/ha per year, with a scenarios is presented in Fig. 10. This difference is greater
maximu m of 14.2 t/ha. Average soil loss in subbasins was in upstream subbasins and in those with greater forest
near tolerable soil loss rates, which according to Leinz & cover (subbasins 11, 14, 15 and 16), according to Fig. 5b.
Leonardos (1977) is 7.9 ton/ha for alisols and 4.2 tons/ha

3.5. Hydrological processes
It is widely reported that land use and cover changes
can affect the quantity and quality of water resources of a
watershed. We analyzed the surface runoff (mm), water
yield (mm), evapotranspiration (mm) and soil water
content (mm) data to evaluate the impact of these changes
on the watershed’s hydrological processes. The results
showed that the effects of land use/cover change on
hydrological processes varied with the seasons and
precipitation, and the variation trend was similar to that of
the precipitation (Fig. 11).
Monthly values for the 2012-2014 period were then
compared between the two scenarios and the results
showed increased forest cover in the watershed (+
373.67%), decreased surface runoff (SR), soil water
content (SW), water yield (WY) and increased
evapotranspiration (ET) (Table 5). As shown in Fig. 11b,
surface runoff reduced most significantly in wet season
(October to March), when the precipitation is much more
intensive. As both surface runoff and baseflow are the main
components that contribute to water yield, we expected
greater infiltration rate in the ESAs’ scenario. Higher
infiltration rate will increase baseflow, because in this
scenario, areas previously occupied with other land uses
were now occupied with forest. Infiltration rate in forest
areas is greater than in other land covers, e.g., sugarcane
and pasture areas (Liu et al., 2013). On the other hand,
forest evapotranspiration will consume more water (Zhang
et al., 2016; Morán-Tejeda et al., 2012) (change of
evapotranspiration equal to +3.5%), because it is known
that the forest is the surface with highest rates of
evapotranspiration, higher than all the other vegetation
types and also higher than a liquid’s surface (Birkinshaw
Fig. 9. Spatial distribution of average annual sediment
et al., 2011). Roots, especially of larger trees, increase
yield at subbasins scale for the two scenarios: current
water absorption from the baseflow and, consequently,
and ESAs.
decrease water yield in the watershed, as the water content
in the soil decreased in the studied period (-14.1%). Studies
conducted by Huang et al. (2003), Zhang et al. (2008), Cui
et al. (2012) showed that the increased forest cover in
watersheds decreased water yield. Differently, with the
scenario change, this type of land cover provides greater
resistance to surface runoff and, consequently, this
component had a lower contribution to water yield in the
watershed (-19.3%).
Fig. 10. Percent changes ((SESA-Scu)/Scu×100) of

average annual sediment yield at subbasins scale between
the two scenarios.
Table 5. Change of hydrological variables analyzed between the two scenarios (current use and ESAs) in the Pinhal
watershed (2012-2014).
Variable Current use ESAs scenario Change Change wet Change dry
(%) season (%) season (%)
Surface runoff (mm) 570.4 309.1 -45.8 -44.0 -52.3
Evapotranspiration (mm) 1993.2 2062.3 +3.5 +1.3 +8.2
Soil water content (mm) 8279.8 7113.5 -14.1 -13.3 -14.9
Water yield (mm) 1471.4 1187.9 -19.3 -22.3 -14.7
We too analyzed the influence of land use change in

the hydrological processes in the wet and dry seasons.
Comparing evapotranspiration demand in the wet season
(October to March) and dry period (April to September),
the change between the two scenarios is even greater
(Table 5, Fig. 12). The change was +1.3% (wet season). In
the wet season, the available water in the soil (Table 5, Fig.
13a) compensates the increased evapotranspiration
demand of vegetation, even with increased forest cover
(ESAs’ scenario). In the dry period, when soil water
content is lower, change between scenarios was bigger (-
14.9%) (Table 5, Fig. 13b). Change between scenarios for (b)
the evapotranspiration too was bigger (+8.2%, Table 5).
Forest vegetation access more easily underground water
than small-sized vegetation, having, therefore, greater
evapotranspiration demand and reducing water yield in the
watershed. Based on results obtained from more than 90
experimental catchment in different parts of the world,
Bosch & Hewlett (1982) asserted that deforestation
decreases evapotranspiration, which results in more water
available in the soil and in streamflow. On the other hand,
reforestation decreases streamflow at watershed scale. It is
worth mentioning, however, that these results vary from
Fig. 12. Percent changes ((S ESA -S cu )/S cu ×100) of
place to place and are often unpredictable (Brown et al.,
evapotranspiration in the wet season (a) (ETWet -
2005).
October to March) and dry season (b) (ETDry - April to
(a)
September) for land use change scenarios in the 2012-
2014 period.
(a)
(b)
Fig. 11. Comparison of hydrologic processes between the

two scenarios in the Pinhal watershed. (a) surface runoff; (b)
(b) water yield.
(a)

Fig. 13. Percent changes ((S ESA -S cu )/S cu ×100) in the soil
water content between wet season (a) (SOILWATERwet -
October to March) and dry season (b) (SOILWATERdry -
April to September) for land use change scenarios in the
2012-2014 period.
(a)
Fig. 14 shows the change in mean annual hydrological
processes (surface runoff, evapotranspiration, soil water
content and water yields) at subbasins scale between
scenarios. The percentage changes caused by land use
changes range from -481% to 43%, from -9% to 83%, from
-200% to -1% and from -412% to -8%, respectively. The
influence of land-use change (Fig. 5) on the hydrological
process is more visible in some of the subbasins than
others. The dominant hydrological processes and
associated drivers are variable across spatial scales (Zhang
et al., 2017). Bigger variations occurred in subbasins with
greater forest cover when compared the current scenario
with the ESAs’ scenario. The subbasins 11, 13, 14, 15 and
16, undergoes more pronounced hydrological processes
variations than the other. In these subbasins undergoes
more significant changes in land use between scenarios. At
(b)
subbasin 12, change of land use was biggest (Fig. 5).
Consequently, evapotranspiration change between
scenarios was also higher (Fig. 14b). In this subbasin
prevails leptosol soil (Fig. 8). It’s shallow soil, with low
water storage capacity. Therefore, the change in soil water
content was not as pronounced as in the other subbasins
with more significant changes in land use between
scenarios (Fig. 14c).
According to Andreassian (2004), watersheds’
hydrological processes is the result of complex interactions
between climate (wet versus dry years), plants’
physiological properties (e.g., leaf area and successional
stages) and soil type. These and other factors together
make hydrological effects of forests a markedly different
scenario Singh & Mishra (2012).
(c)

Acknowledgments: UNICAMP Writing Space -
project/General Coordination for the English translation of
this article.
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Dr. Swapnesh Taterh

Copyright © 2018 International Journal of Advanced Engineering Research and Science

With warm regards.

Dr. Swapnesh Taterh

Comparative Study between Groin and T-Head

Abstract— This study conducted a comparative study

Hutahaean [10] has developed a method to build stable

100 , 200 and 300 . Influence Coefficient Lg , i.e.  = 1.

The Effect of Bitumen Stabilized Subgrade on

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Table.3: Pavement thickness before stabilization

Identification of Clusters of the Scientific

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Calculation of the Heat Transfer Surface Area of

NH3 -H2 O Pressure (kPa) 6375 6375

Table 2: Input data for condenser

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Pigmented Oral Lesion Associated with Root

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E  rP  is expected return for portfolio,

The variance of rate of return for two type of stocks

Rate of return for share price (%)

30 The third selected company is Axiata Group Berhad.

Figure 5 shows the dynamic behavior of share price for

20 Pearson correlation -0.326

0 Figure 8 shows the correlation diagram between two

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Glove and AirAsia X. Table 1 shows the value of Pearson

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Linear Fit Line (AirAsia X and Axiata Group)

5 The correlation value between Top Glove and Axiata

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1 1 [3] 30 153.2 25 32 (Max)

2 2, 3 [1] 100 (3 Satellites) 486.12 120 (2 Satellites) 304 (Average)

250 Imaging 86195 Imaging Opportunities

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