ITJEMAST V11(12) @ 2020

Volume 11 Issue 12 (2020) ISSN 2228-9860 eISSN 1906-9642

http://TuEngr.com SUSTAINABLE URBAN PLANNING TO COPE WITH PULSAR EFFECTS OF DESTRUCTIVE EVENTS: A CONCEPTUAL FRAMEWORK

PRODUCTION TECHNOLOGY FOR SMOKED SAUSAGES USING PROTEIN-FAT EMULSION IMPACTS OF INTELLECTUAL STIMULATION ON EMPLOYEES' INNOVATIVE BEHAVIORS: THE MEDIATING ROLE OF CONTINGENT REWARDS STRUCTURAL AND FUNCTIONAL MODEL OF TERMINOLOGY PHRASING IN RUSSIAN AND ENGLISH FOR SYNTHETIC RESIN PRODUCTION

AN INTRODUCTION OF PRODUCT QUALITY COSTS INTO AN ENTERPRISE ACCOUNTING SYSTEM

SYNCHRONIZATION OF DELAYED INTEGER ORDER AND DELAYED FRACTIONAL ORDER RECURRENT NEURAL NETWORKS SYSTEM WITH ACTIVE SLIDING MODE CONTROL

QUALITY OF WORK LIFE OF EMPLOYEES IN CORPORATE SECTOR OF INDIA

PROBIOTIC POTENTIAL OF MICROORGANISMS OBTAINED FROM THE INTESTINES OF WILD BIRDS

HOW CHINESE MEDIA COVER THE INDOPAK ANTAGONISM OVER KASHMIR ISSUE: CASE STUDY OF PEACE AND WAR JOURNALISM PRACTICE AND ITS NEXUS WITH FOREIGN POLICY

DYNAMIC CONNECTEDNESS AMONG BOND MARKETS OF PAKISTAN AND ITS MAJOR TRADING PARTNERS

ARCHITECTURAL HERITAGE FRAGMENTS AS CATALYST FOR MEANING TRANSFORMATION: CASE OF THE TRADITIONAL CENTER OF BAGHDAD METHOD OF BOUNDARY STATES IN PROBLEMS OF INTERACTIONS OF TWO CAVITIES COST BREAKDOWN OF RUSSIAN STATE DEFENSE ORDER PROCESSES FOR R&D WORKS A STRATEGY FOR ECO-FASHION DESIGN BASED ON THE CLOTHING LIFE CYCLE

MULTIDIMENSIONAL POVERTY INDEX (MPI) FOR URBAN AND RURAL REGIONS OF PAKISTAN ROLES OF COMMUNITIES OF PRACTICE IN INTRAORGANIZATIONAL COORDINATION OF PRODUCTIVE KNOWLEDGE MENTAL MAPPING ASSESSMENT OF LOKE YEWPUDU AREA, KUALA LUMPUR GROUP COHESION: A THERAPY AGAINST ABUSIVE SUPERVISION BIOLOGICAL PROPERTIES OF MICROORGANISMS ISOLATED FROM DRONE MILK OF HONEYBEES INVESTMENT POLICY EFFICIENCY AND POINTS OF ECONOMIC GROWTH: CASE OF REPUBLIC OF CRIMEA IMPACTS OF CORPORATE SOCIAL RESPONSIBILITY ON FIRM PERFORMANCE MEDIATING ROLE OF INVESTMENT INEFFICIENCY

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

International Editorial Board

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

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

Editorial Board:

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

Scientific and Technical Committee & Editorial Review Board on Engineering, Technologies and Applied Sciences:

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

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

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

Volume 11 Issue 12 (2020) http://TuEngr.com

ISSN 2228-9860 eISSN 1906-9642

FEATURE PEER-REVIEWED ARTICLES

PRODUCTION TECHNOLOGY FOR SMOKED SAUSAGES USING PROTEIN-FAT EMULSION

11A12A

IMPACTS OF INTELLECTUAL STIMULATION ON EMPLOYEES' INNOVATIVE BEHAVIORS: THE MEDIATING ROLE OF CONTINGENT REWARDS

11A12B

STRUCTURAL AND FUNCTIONAL MODEL OF TERMINOLOGY PHRASING IN RUSSIAN AND ENGLISH FOR SYNTHETIC RESIN PRODUCTION

11A12C

SYNCHRONIZATION OF DELAYED INTEGER ORDER AND DELAYED FRACTIONAL ORDER RECURRENT NEURAL NETWORKS SYSTEM WITH ACTIVE SLIDING MODE CONTROL

11A12D

PROBIOTIC POTENTIAL OF MICROORGANISMS OBTAINED FROM THE INTESTINES OF WILD BIRDS

11A12E

DYNAMIC CONNECTEDNESS AMONG BOND MARKETS OF PAKISTAN AND ITS MAJOR TRADING PARTNERS

11A12F

MULTIDIMENSIONAL POVERTY INDEX (MPI) FOR URBAN AND RURAL REGIONS OF PAKISTAN

11A12G

ROLES OF COMMUNITIES OF PRACTICE IN INTRA-ORGANIZATIONAL COORDINATION OF PRODUCTIVE KNOWLEDGE

11A12H

MENTAL MAPPING ASSESSMENT OF LOKE YEW-PUDU AREA, KUALA LUMPUR

11A12I

GROUP COHESION: A THERAPY AGAINST ABUSIVE SUPERVISION

11A12J

BIOLOGICAL PROPERTIES OF MICROORGANISMS ISOLATED FROM DRONE MILK OF HONEYBEES INVESTMENT POLICY EFFICIENCY AND POINTS OF ECONOMIC GROWTH: CASE OF REPUBLIC OF CRIMEA

11A12K 11A12L

i

IMPACTS OF CORPORATE SOCIAL RESPONSIBILITY ON FIRM PERFORMANCE MEDIATING ROLE OF INVESTMENT INEFFICIENCY

11A12M

SUSTAINABLE URBAN PLANNING TO COPE WITH PULSAR EFFECTS OF DESTRUCTIVE EVENTS: A CONCEPTUAL FRAMEWORK

11A12N

AN INTRODUCTION OF PRODUCT QUALITY COSTS INTO AN ENTERPRISE ACCOUNTING SYSTEM

11A12O

QUALITY OF WORK LIFE OF EMPLOYEES IN CORPORATE SECTOR OF INDIA

11A12P

HOW CHINESE MEDIA COVER THE INDO-PAK ANTAGONISM OVER KASHMIR ISSUE: CASE STUDY OF PEACE AND WAR JOURNALISM PRACTICE AND ITS NEXUS WITH FOREIGN POLICY

11A12Q

ARCHITECTURAL HERITAGE FRAGMENTS AS CATALYST FOR MEANING TRANSFORMATION: CASE OF THE TRADITIONAL CENTER OF BAGHDAD

11A12R

METHOD OF BOUNDARY STATES IN PROBLEMS OF INTERACTIONS OF TWO CAVITIES

11A12S

COST BREAKDOWN OF RUSSIAN STATE DEFENSE ORDER PROCESSES FOR R&D WORKS

11A12T

A STRATEGY FOR ECO-FASHION DESIGN BASED ON THE CLOTHING LIFE CYCLE

11A12U

Contacts: Professor Dr.Ahmad Sanusi Hassan (Editor-in-Chief), School of Housing, Building and Planning, UNIVERSITI SAINS MALAYSIA, 11800 Minden, Penang, MALAYSIA. Tel: +60-4-653-2835 Fax: +60-4-657 6523, Sanusi@usm.my, Editor@TuEngr.com Associate Professor Dr.Boonsap Witchayangkoon (Executive Editor), Thammasat School of Engineering, THAMMASAT UNIVERSITY, Klong-Luang, Pathumtani, 12120, THAILAND. Tel: +66-2-5643005 Ext 3101. Fax: +66-25643022 DrBoonsap@gmail.com, Editor@TuEngr.com Managing Office TUENGR Group, 88/244 Moo 3, Moo Baan Saransiri, Klong#2, KlongLuang, Pathumtani, 12120, THAILAND. Tel/WhatsApp: +66-995535450.

Postal Paid in MALAYSIA/THAILAND.

Side images are natural gold bars.

ii

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12A

PRODUCTION TECHNOLOGY FOR SMOKED SAUSAGES USING PROTEIN-FAT EMULSION 1*

1

2

Anton Nesterenko , Nadezhda Kenijz , Maksim Rebezov , 3 3 Ruslan Omarov , Sergei Shlykov 1

Department of technology for storage and processing of livestock products, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. 2 V.M. Gorbatov Federal Research Center for Food Systems of Russian Academy of Sciences, RUSSIA. 3 Department of Technology for the Production and Processing of Agricultural Products, Stavropol State Agrarian University, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 14 February 2020 Received in revised form 25 May 2020 Accepted 02 June 2020 Available online 09 June 2020

This article presents the results of the development of technology for the use of protein-fat emulsion (PFE) based on wheat grain proteins in smoked sausage recipes. The main technological stages with a description of the methods for preparing a protein-fat emulsion and sausage meat are presented. The analysis of the quality and compliance of the finished product with the relevant regulatory and technical documentation. The results of organoleptic and physico-chemical studies of the finished product are presented. According to the research results, the use of protein-fatty emulsion as a substitute for part of meat and fatty raw materials in sausage production technology in an amount of up to 20% is justified.

Keywords: Meat raw materials; Protein-fat emulsion (PFE); Sausage proteins; Fatty raw materials; Organoleptic indicators; Sausage digestibility analysis.

Disciplinary: Food Science and Technology. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Over the past decade, the demand for prescription compositions with a partial replacement of raw meat with vegetables has grown significantly. This technology is used to reduce the cost of finished products, improve the functional and technological properties of minced meat, and introduce additional easily digestible proteins into the formulation [5, 9, 13]. However, the use of a large number of vegetable proteins can have a negative effect on the organoleptic properties of the finished product. With an increasing amount of flour, starch, a strong distortion of the taste and structure of the finished product is observed. In such sausages, the formation of an “empty” or “bread taste” is observed [11, 12].

One of the methods for introducing vegetable proteins into the recipe for sausages is the *Corresponding author (A.Nesterenko). Tel: +7-905-4014934. Email: nesterenko-aa@mail.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12A http://TUENGR.COM/V11A/11A12A.pdf DOI: 10.14456/ITJEMAST.2020.226

1

preparation of a protein-fat emulsion. Most manufacturers use soy protein as a plant protein.

Oversaturation of sausages with soy, causes a negative reaction among consumers [4, 10, 11].

In this regard, it is necessary to search for additional promising plant proteins that have good functional and technological properties. At the same time, it is necessary to take into account the economic efficiency of the implemented technology.

At the Department of Technology for Storage and Processing of Livestock Products of the Kuban State Agrarian University, the authors developed a technology and a prescription composition for producing a protein-fat emulsion for a cooked group of sausages. The functional and technological properties and chemical composition of the protein-fat emulsion were studied. Studies have been carried out on the partial replacement of raw meat with a protein-fat emulsion, an analysis of the finished product. However, the authors considered the application of the obtained development only in the production of a cooked group of sausages [7, 8].

This studied purpose is to learn the possibility of partial replacement of fatty meat raw materials in the technology of production of smoked sausages, to analyze the quality of the finished product.

2. METHOD Mass changes were determined by weighing on a balance and in a ratio, in percentage to the mass of the feedstock. For each study, reliability is carried out in triplicate.

The mass fraction of moisture was determined in accordance with GOST 9793-74 by drying the sample to constant weight at a temperature of 105°C [3].

Mass fraction of fat was determined in accordance with GOST 23042-86 [2].

The mass fraction of sodium nitrite was determined in accordance with the research methods presented in the source [1]. In vitro protein digestibility analysis was evaluated by the ability of digestive enzymes to hydrolyze sausage proteins (by the method of Pokrovsky and Ertanov) [1].

The remaining research methods were taken from a specialized source [1] with a full explanation of the experiment and mathematical processing of the research results.

3. RESULT AND DISCUSSION Smoked sausage was chosen as the object of study, in accordance with TU 9213-019-87170676-10. Since part of the fat (15 kg of the total amount of fat) goes to create a picture, a decision was made to partially replace it. The rest of the protein-fat emulsion is sent to replace pork fat. The composition of the main raw materials is presented in Table 1.

Table 1: The main raw materials for the model minced smoked sausage "Original" Raw materials Beef (grade 1) Beef (grade 2) Fat pork Bacon PFE

2

Control 40 15 23 22 0

For 100 kg of minced meat Experience #1 40 15 15 15 15

Anton Nesterenko, Nadezhda Kenijz, Maksim Rebezov, Ruslan Omarov, Sergei Shlykov

Experience #2 40 15 10 15 20

To prepare the minced meat, the main and additional raw materials were prepared in accordance with the recommendations of TU 9213-019-87170676-10. The protein-fat emulsion was prepared according to the presented scheme (Figure 1).

Gluten pre-cooling at temperature 10-15 °С

Pre-cooling of fatty raw materials to a temperature of 4-8 °C

Preparation of a protein-fat emulsion on a cutter to a temperature of 27 ± 2 °C

Cooling a protein-fat emulsion to a temperature of 4 ± 2 ° C Figure 1: Diagram of the preparation and production of protein-fat emulsion on the cutter

To prepare a protein-fat emulsion, pre-cool the fatty raw materials in the refrigerator or freezer and bring it to a temperature in the center of the product to 4-8°C. Gluten of wheat grain after its production has a temperature of 26-30°C. In this regard, if it is prepared directly at the meat processing enterprise, it must be kept for 24 hours and brought to a temperature in the center of the product of 10-15 °C, after which gluten is fed to the production for cutting.

Figure 2: Protein-fat emulsion after formulation and cooling.

The preparation of the protein-fat emulsion occurs in the cutter with the following feed loading scheme. First of all, they introduce chilled gluten and grind it with a knife speed of at least 3000 rpm, and a bowl of 12 rpm. After three turns of the bowl, the entire volume of water with a temperature of at least 20°C is introduced. When the overall temperature in the cutter reaches 20°C, fatty raw materials are introduced into the cutter and they continue to cut at a blade rotation speed of at least 3000 rpm until the total temperature of the mixture reaches 28°C. After that, the mixture is unloaded into wheelbarrows with a layer thickness of not more than 40 cm and sent for cooling to a temperature in the center of the product of 4±1°C. Sausage production was carried out based on the «Agrobiotechpererabotka» educational-scientific-production complex of the Faculty of Processing *Corresponding author (A.Nesterenko). Tel: +7-905-4014934. Email: nesterenko-aa@mail.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12A http://TUENGR.COM/V11A/11A12A.pdf DOI: 10.14456/ITJEMAST.2020.226

3

Technologies of the I.T. Trubilin Kuban State Agrarian University. Protein-fat emulsion is shown in Figure 2.

The preparation of smoked sausage stuffing is carried out according to the standard scheme, the introduction of protein-fatty emulsion is carried out at the final stage of chopping before introducing salted pork fat into the figure. The remaining technological operations were carried out without change. Finished products are presented in Figure 3.

(A) (B) Figure 3: Finished products with protein-fat emulsion: A - sausages after precipitation, B - finished sausages after heat treatment Finished products were subjected to organoleptic evaluation according to GOST 9959-91 in accordance with a nine-point assessment. The tasters included employees of the Research Institute of Biotechnology and Food Certification.

Appearance, sectional view fully complies with the requirements of TU 9213-019-87170676-10.

The output of finished products was, for control 66%, Experience #1 69%, Experience #2 72%.

Preparation for the organoleptic evaluation of finished products is presented in Figure 4.

Control

Experience #1

Experience #2

Figure 4: Preparation for organoleptic assessment.

The results of the main organoleptic indicators of the finished product are presented in Figure 5.

4

Anton Nesterenko, Nadezhda Kenijz, Maksim Rebezov, Ruslan Omarov, Sergei Shlykov

Figure 5: Organoleptic characteristics of the finished product Figure 5, the control lags behind the experimental parties in almost all respects. The average indicator for all samples was distributed as follows: control 7.8, Experience #1 8.8 and Experience #2 8.4 points. Experience #1 and Experience #2 do not differ significantly from each other. The main differences are observed in the greater juiciness of Experiment #2. This is due to the best moisture and fat-holding abilities of the protein-fat emulsion. This is confirmed by the increased yield of finished products. According to other indicators, Experiment #2 loses to Experiment #1 by one point.

An important indicator for sausage products is the texture that affects the general opinion of the products [6, 10]. To analyze the texture mechanically, we experimented to analyze the shear force.

The results of the experiment are presented in Figure 6.

Figure 6: Results of a shear stress study An increase in the proportion of protein-fat emulsion in the prescription composition leads to an increase in the softness of the finished product. Plant proteins have good moisture-binding and fat-holding ability. But unlike animal proteins, they have a weaker matrix and, after heat treatment, have a lower density [14, 15].

For a comparative analysis of the chemical composition of the experimental batches following TU 9213-019-87170676-10, sausages were subjected to a study on the total moisture content (norm *Corresponding author (A.Nesterenko). Tel: +7-905-4014934. Email: nesterenko-aa@mail.ru Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12A http://TUENGR.COM/V11A/11A12A.pdf DOI: 10.14456/ITJEMAST.2020.226

5

no more than 65%), protein (not less than 11.5%), fat (not more than 26.8%) in% and mass fraction of residual sodium nitrite in mg% (not more than 0.005 mg%). The results of the study are presented in Figure 7.

Figure 7: Results of the analysis of the chemical composition of sausages.

As can be seen from the presented figure, the total amount of moisture in experiment 2 exceeds the norm by 0.95%, which may be a mistake in the experiment. For other indicators, all types of products comply with the standards and requirements of TU 9213-019-87170676-10. The increase in the amount of fat in Experiment #2 was expected since the protein-fatty emulsion replaces not only salted pork but also fatty pork in the formulation. In this regard, we can observe a decrease in total protein and an increase in the fat component.

The increase in the share of total moisture is due to the additional water-holding ability of the protein-fat emulsion introduced. It also justifies an increase in the yield of finished products. The amount of moisture is normalized by regulatory and technical documents for the production of this type of sausage. Exceeding the norm leads to additional drying times for sausages, which in turn affects the duration of the production cycle and additional costs for drying sausages [16, 17].

The introduction of an additional amount of the fat component may affect the deterioration of the digestibility of the finished product by the human gastrointestinal tract. Using an analysis of the digestibility of proteins by proteolytic enzymes, one can judge the degree of assimilation of sausage proteins. The research results are presented in Table 2.

Table 2: Sausage digestibility analysis Sausage Samples Control Experience #1 Experience #2

Digestibility in vitro mg tyrosine / g protein Pepsin Trypsin Amount 10.03±0.48 10.72±0.51 21.00±0.50 11.09±0.59 11.72±0.45 22.81±0.52 12.07±0.59 12.14±0.56 24.21±0.58

Analyzing the data obtained, we can speak of a more complete hydrolysis in Experiment #2 by 13.3% in relation to control and 5.8% in relation to Experiment #1. We assume that more complete

6

Anton Nesterenko, Nadezhda Kenijz, Maksim Rebezov, Ruslan Omarov, Sergei Shlykov

hydrolysis in experimental batches occurs due to partial replacement of animal protein to vegetable, which in turn is easier to digest.

4. CONCLUSION The result of the partial replacement of fatty meat raw materials with protein-fatty emulsion in the production technology of smoked sausages, positive results were obtained with 15 and 20% replacement. The average indicator of organoleptic evaluation for all samples was distributed as follows: Control 7.8, Experiment #1 8.8, and Experiment #2 8.4 points. With the introduction of a 20% protein-fat emulsion in the prescription composition, an excess of the total moisture level in the finished product by 0.95% of the norm is observed, which may be a mistake in the experiment. For other indicators, Experience #1 and Experience #2 fully comply with the requirements of TU 9213-019-87170676-10. The results of the analysis of protein digestibility by enzymes of the gastrointestinal tract indicate a more complete hydrolysis in Experiment #2. The complex of studies indicates the possibility of replacing part of the fat and meat raw materials with a protein-fat emulsion based on gluten of wheat grain without loss of quality of the finished product.

5. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

6. REFERENCES [1] Antipova, L.V., Glotova I.A., Rogov I.A. (2001). Research methods for meat and meat products.

Moscow, Russia, 376 p.

[2] GOST 23042-86 Meat and meat products. Methods for determining fat. (2010). Moscow, Russia, 6 p.

[3] GOST 9793-74 Meat products. Moisture determination methods. (1990). Moscow, Russia, 4 p.

[4] Slozhenkina, M.I., Kuznetsova E.A., Starodubova Yu.V., Chepelenko M.N. (2015). The feasibility of using vegetable protein texture in the production of ham products. News of the Lower Volga Agro-University Complex: Science and higher professional education. 1(37), 161–164.

[5] Khramova, V.N., Dolgova V.A., Selezneva E.A., Khramova Y.I. (2014). Creation of functional meat products using prebiotics and regional vegetable raw materials. News of the Lower Volga Agricultural University: science and higher professional education. 4(36), 81.

[6] Aaslyng M.D., Bejerholm C., Ertbjerg P., Bertram H.C., and Andersen H.J. (2003). Cooking loss and juiciness of pork in relation to raw meat quality and cooking procedure. Food Quality and Preference, 4, 277–88.

[7] Nesterenko A. A., Koshchaev A. G., Zabashta N. N., Omarov R. S., Shlykov S. N. (2019). Basics of the production of protein-fat emulsions based on vegetable raw materials. Indo American Pharmaceutical Sciences, 6(3), 6337-6346.

[8] Nesterenko A., Koshchaev A., Kenijz N., Akopyan K., Rebezov M., Okuskhanova E. (2018).

Biomodification of meat for improving functional-technological properties of minced meat. Research Journal of Pharmaceutical, Biological and Chemical Sciences, 9(6), 95-105.

[9] Okuskhanova E., Smolnikova F., Kassymov S., Zinin, O., Mustafayeva A., Rebezov M., Rebezov Y., Tazeddinova D., Galieva Z., Maksimiuk N. (2017). Development of minced meatball composition for the population from unfavorable ecological regions. Annual Research and Review in Biology, 13 (3).

[10] Perez-Santaescolastica C, Goemaere O, Hanskens J, Lorenzo, JM, Fraeye I. (2020). Effect of stabilization classes (animal proteins, vegetable proteins, starches, hydrocolloids and dietary fiber) on *Corresponding author (A.Nesterenko). Tel: +7-905-4014934. Email: nesterenko-aa@mail.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12A http://TUENGR.COM/V11A/11A12A.pdf DOI: 10.14456/ITJEMAST.2020.226

7

the physicochemical properties of a model lean meat product. International Journal of Food Science and Technology. 55(3), 970-977.

[11] Li X, Chen W, Jiang J, Feng Y, Yin Y, Liu Y. (2020). Functionality of dairy proteins and vegetable proteins in nutritional supplement powders: a review. International Food Research Journal.

26(6), 1651-1664.

[12] Kadane V.V. Vegetable proteins in cooked and / or fermented sausages. (1979). Journal of the American Oil Chemists ’Society. 56, 330-333.

[13] Koshchaev, A.G., Nesterenko, A.A., Shhalahov, D.S., Lysenko, A.A., Shabunin, S.V., Lorets, O.G., Goushchin, V.V. (2019). Model minced poultry meat biomodification with starter cultures.

International Journal of Engineering and Advanced Technology. 9(1), 4987-4992.

[14] Pietrasik Z., Jarmoluk A. and Shand P.J. (2007). Effect of nonmeat proteins on hydration and textural properties of pork meat gels enhanced with microbial transglutaminase LWT. Food Science Technology. 5, 915–20.

[15] Solovieva A.A., Zinina O.V. (2016). Effect of Biotechnological Processing on the Microstructure of Smoked Poultry Sausages. Bulletin of the South Ural State University. Ser. Food and Biotechnology. 4(4), 45–53.

[16] Okuskhanova E., Rebezov M., Yessimbekov Z., Suychinov A., Semenova N., Rebezov Y., Gorelik O., Zinina, O. (2017). Study of water binding capacity, pH, chemical composition and microstructure of livestock meat and poultry. Annual Research and Review in Biology. 14(3).

[17] Sydykova M., Nurymkhan G., Gaptar S., Rebezov Y., Khayrullin M., Nesterenko A., Gazeev I. (2019). Using of lactic-acid bacteria in the production of sausage products: modern conditions and perspectives. International Journal of Pharmaceutical Research. 11(1), 1073-1083.

Anton Nesterenko is an Associate Professor of the Department of Technology for Storage and Processing of Livestock Products, Kuban State Agrarian University named after I.T. Trubilin, Russia.

He is a Candidate of Technical Sciences. He is interested in Processed Foods and Food Production Technology.

Nadezhda Kenijz is an Associate Professor of the Department of Technology for Storage and Processing of Crop Products, Kuban State Agrarian University named after I.T. Trubilin, Russia. She is a Candidate of Technical Sciences.

Professor Dr.Maksim Rebezov is Professor, V.M. Gorbatov Federal Research Center for Food Systems of Russian Academy of Sciences, Russia. He holds a Doctor of Agricultural Sciences.

Ruslan Omarov is an Associate Professor at the Department of Technology for the Production and Processing of Agricultural Products of Stavropol State Agrarian University, Russia. He is a Candidate of Technical Sciences.

Professor Dr. Sergei Shlykov is Professor, the Department of Technology for the Production and Processing of Agricultural Products of Stavropol State Agrarian University, Russia. He holds a Doctor of Biological Sciences.

8

Anton Nesterenko, Nadezhda Kenijz, Maksim Rebezov, Ruslan Omarov, Sergei Shlykov

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12B

IMPACTS OF INTELLECTUAL STIMULATION ON EMPLOYEES' INNOVATIVE BEHAVIORS: THE MEDIATING ROLE OF CONTINGENT REWARDS Irfan Ullah Khan 1

2

1*

2

1

, Saqib Khan , Haroon Rehan , Hamid Khan

2

Department of Public Administration, Gomal University, Dera Ismail Khan, KP, PAKISTAN. Department of Business Administration, Gomal University, Dera Ismail Khan, KP, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 03 March 2020 Received in revised form 20 May 2020 Accepted 01 June 2020 Available online 10 June 2020

In organizational behavior, the workforces’ innovative behavior is a widely researched issue due to its meaningful relationship with various organizational outcomes. In the same way, effective behavior is an outcome of various dynamic issues among which the leadership behavior is worth mentioning. The leaders, over the intellectual stimulation, motivate and inspire their workforces to show their efforts and potentials by adapting innovative ways to achieve organizational objectives. The concerned workforces might be able to realize the said objective more effectively when they have justifiable insight about the provision of fair rewards. In this connection, this article aimed at exploring relationships among variables understudy in the context of higher educational institutions, KP, Pakistan. Applying the statistical procedures, this study provides significant evidence about the relationships among research variables which might be helpful for the institutional management in introducing suitable policies, programs, and practices for promoting the workforces’ innovative behavior in higher institutions.

Keywords: Intellectual stimulation; Contingent incentives; Organizational behavior; Transactional leaders; Leadership practices; Employee’s innovative performance; Stimulated behaviors; Fair rewards.

Disciplinary: Management Science (Organizational Behavior).

2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION In the organizational context, leadership behavior is considered as a dynamic factor towards organizational success. However, in an educational context, leadership effective behavior together with employees’ innovative performance are critical success factors towards socio-academic and socio-economic development (Adalberto & Ruben, 2002). Similarly, in a higher educational context, such behaviors are phenomenal as these institutions are solely responsible for providing competent and skilled workforces to different sectors of economies (Diane & Oliver, 2004). The leaders over their artistic attribute like intellectual stimulation, inspire and encourage their *Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

1

employees to utilize their utmost efforts, potential, and performance in achieving institutional tasks (Bass & Riggio, 2006). Through leadership effectiveness, workforces in turn, “show their commitment” and performance by using innovative techniques to achieve “desired tasks” and thus bringing the desired change in institutions (Gilley et al., 2008). Still, certain factors are responsible for bringing variation in the relationship between leadership behavior (intellectual stimulation) and employee behavior (innovativeness) among which a fair reward system (contingent rewards) is the most suggested phenomenon.

The intellectual stimulation is the affective attribute of leadership wherein leaders motivate the workforces to realize the assigned tasks thereby following the institutional norms and values, which in turn, helps in developing employees’ positive behavior (Ismail et al., 2010). Through intellectual stimulation, leaders persistently inspire employees to think and act through innovative and supportive manners to achieve the desired tasks in a challenging environment (Aryee et al., 2012).

The leader tries to enhance the employees’ interests, responsiveness, and abilities to problemsolving in effective manners. The leader over intellectually stimulating behavior encourages innovation, creativity, information exchanges, and critical thinking in institutions (Gong et al., 2013). Resultantly, employees’ innovative behavior helps in generating, promoting, and realizing novel ideas and practices towards the attainment of institutional objectives (Strauss & Parker, 2014). Thus, the leadership effective behavior and employees’ innovative work performance are the building blocks for institutional credibility and performance, however, these conceptions are expected to be more strengthen when concerned leaders use contingent rewards in cultured behaviors.

The contingent rewards are an effective attribute of leadership wherein rewards are conditional with the employees’ performance level in institutions. The leader uses rewards as incentives to motivate employees to think innovatively and perform effectively to achieve the desired goals (Brahim et al., 2015). The leader provides rewards to those employees who meet the desired standard of performance while punishing those employees who are unable to meet the standards or deviate from standards (Muhammad & Kuchin, 2016). Likewise, fairness in providing performancebased rewards is vigorous in shaping employees' behavior positively. Likewise, the innovative behavior together with the knowledge and skills of employees are critical in promoting creativity and innovation in institutions (Sethibe & Steyn, 2017). Similarly, fair rewards on the part of leading towards their employees are also vital in shaping the innovative behavior of the concerned employees. The employees’ perception of fairness in procedures is vital in encouraging innovation in the institutions (Majumdar & Ray, 2018). Thus, the leader's stimulating behavior, the employees’ innovative thinking, and the rewards system are dynamic factors for the institutions to achieve their desired reputation and ranking.

2. LITERATURE REVIEW The employees’ innovative behavior is the outcome of many institutional efforts and practices which are instrumental in promoting “creativity and innovation” in the higher education context.

The leaders stimulating behavior, the employees’ responsiveness, and the fairness in contingent rewards are dynamic forces that can increase or decrease the performance, productivity, and success of the institutions. Leadership behavior remained the nucleus for various institutional outcomes like innovation and creativity, performance and productivity, and credibility and success. Thus, this

2

Irfan Ullah Khan, Saqib Khan, Haroon Rehan & Hamid Khan

study aimed to propose and test the model that comprises different variables like intellectual stimulation (transformational leadership) (Bass & Avolio, 2004), contingent rewards (transactional leadership) (Bass, 1998), and employees’ innovative behavior (Scott & Bruce, 1994). This section provides comprehensive data about an understanding of research variables together with their interrelationships intending to test the same model in the higher education context.

2.1 INTELLECTUAL SIMULATION The leader, through intellectual stimulation, inspires workforces to be innovative and creative by making their own decisions in challenging situations. The transformational leaders, over the intellectual stimulation, mainly adopt the inspiring behavior towards the employees to motivate and direct them towards institutional vision (Bass & Avolio, 2004). It provides resources for moral and social support through which employees are inspired to think creatively, participate actively, and solve problems efficiently. It helps in creating an environment wherein employees participate independently, share ideas without restrictions, and perform effectively to achieve institutional tasks efficiently (Bass & Riggio, 2006). Through intellectual stimulation, the leader attempts to nurture employees’ intellectual capabilities and self-confidence thus help in showing their utmost efforts and wholehearted performance (Walumbwa et al., 2008). Innovation and creativity are the main kinematics of intellectual stimulation wherein a leader attempts to nurture the employees’ innovative behavior that further helps in developing their abilities to perform innovatively (Pieterse & Knippenberg, 2010).

Through intellectual stimulation, leaders share the vision and mission of the institution and try to utilize the employees’ intellectual capabilities to realize the said vision. The leaders' inspiring behavior helps the employees to perform through innovative techniques to achieve the assigned tasks (Odumeru et al., 2013). The leaders’ intellectually stimulating feature and employees’ innovative behavior are dynamic forces that promote professionalism, increase productivity, and encourages creativity and innovation (Jaiswal & Dhar, 2015). The leaders’ characteristics like intellectual stimulation, personal recognition, fairness, and polite behavior help in strengthening and sustaining the relationship between employees and leaders that results in inspiring employees by shaping their positive work behavior (Ali et al., 2017). Thus, it helps in promoting creative behavior and innovative culture in institutions. The intellectual stimulation coupled with an innovative culture and supportive environment helps foster the employees' trust in leadership and managing their confidence that results in positive and “innovative work behavior” of concerned “employees in institutions” (Muzafary et al., 2019).

2.2 EMPLOYEES INNOVATIVE BEHAVIOR The workforces’ innovative behavior at the workplace results in various institutional outcomes like innovative culture, social and contextual influences, instrumental interaction, and employee potential to solve prevailing issues over innovative techniques (Ramamoorthy et al., 2005).

Resultantly, institutional credibility gets enhanced which further helps in chasing institutional objectives and success. The innovative behavior is mainly concerned with generating new ideas, developing new techniques, and implementing these ideas through different practices to achieve the vision and mission of the institution (Jong & Hartog, 2008). In this connection, the emotionally intelligent and psychologically empowered employees are expected to have proactive and innovative behavior to attain institutional tasks. Thus, creativity and innovativeness are the precious *Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

3

assets of employees which resultantly become the valuable assets of institutions (Jong & Hartog, 2010). The employees who have creative behavior and advanced knowledge are considered as dynamic forces of the institutions which help them in achieving the desired institutional standards and ranking (Aryee et al., 2012).

In the contemporary era, institutions need only those employees who have advanced knowledge and creative behavior, so that, the institutions might be able to survive and to compete in a highly competitive environment (Wang et al., 2015). The institutions are required to realize the innovative behavior of workforces by strengthening and supporting them when new ideas are created/produced. Thus, workforces’ stimulation means in implementing new ideas coupled with norms and values of the institution (Bosnehles & Venendal, 2017). The researchers argued that innovation and creativity are two separate concepts while others argued these are used interchangeably. The literature reveals that rewards are also playing a significant role in promoting the employees' innovative behavior in institutions (Hansen & Thingvad, 2018). Thus, employees’ perception of fairness in providing rewards and recognition is critical in shaping their attitude and behavior. In this connection, perceptional fairness, just procedures, fair interaction, impartial distribution of resources, and autonomy at the workplaces are the vital predictors for the employees’ innovative behavior in institutions (Muzafary et al., 2019).

2.3 CONTINGENT REWARDS The contingent rewards are an effective attribute of transactional leadership which is used by leaders as “motivational tools to inspire their employees” to show their efforts and potential in achieving assigned tasks and desired objectives (Judge & Piccolo, 2004). The leaders provide rewards contingent on the performance and effort of the concerned employees. Therefore, leaders’ intellectual stimulating behavior and provision of fair rewards are vital aspects in shaping the attitude and behavior of the employees (Limsila & Ogunlana, 2008). This behavior thus helps employees in bringing positive change in their behavior concerning innovation and creativity (Turunc et al., 2010). The employees are always concerned with the intrinsic and extrinsic rewards for efforts which include recognition, economic incentives, promotion, bonuses, and other perks and privileges (Byron & Khazanchi, 2012). Similarly, the contingent rewards hold emotional exchange that involves stimulating behaviors of the leader towards their employees in the form of personal recognition. These rewards, in turn, have an encouraging influence on employees’ self-confidence, trust, commitment, and innovative behavior (Zhang & Zhou, 2014).

The leaders offer different rewards to their employees in response to the services they provide in pursuing institutional tasks. These rewards are used as incentives for motivating the employees to show their efforts, engagement, and innovative behavior to achieve assigned tasks effectively (Jiang & Yang, 2015). The leaders also offer diverse nature of punishments to employees when tasks are not met as per desired standards (Harari et al., 2016). Therefore, the assurance of performancebased fair rewards helps shape the innovative behavior of the employees (Mumford & McIntosh, 2017). Different studies found a direct connection between contingent rewards and employees' innovative behavior in a different context, however, limited research focused the said connection in higher education context in developing countries (Hughes et al., 2018). Similarly, through contingent rewards, transactional leaders ensure direct participation and convincing involvement of employees in institutional tasks thereby using all the motivational techniques to improve their innovative behavior and to develop their commitment and performance (Qi et al., 2019).

4

Irfan Ullah Khan, Saqib Khan, Haroon Rehan & Hamid Khan

2.4 INTELLECTUAL STIMULATION, CONTINGENT REWARDS & INNOVATIVE BEHAVIOR The innovation ensures the applicability of best ideas into practice which helps in producing the series of innovative eventualities (Rank et al., 2004). Innovation and creativity not only help in searching the best options for improving organizational performance and success but also helps in nurturing the employees’ innovative capabilities (Shalley & Zhou, 2008). The intellectually inspired employees are expected to show high commitment, greater performance, and established innovative behavior (Turunc et al., 2010). Thus, leaders who are effective in disseminating creativity are measured as successful in promoting innovative dynamics (Aryee et al., 2012). The creative and innovative potentials as well as efforts enable leaders and employees to identify and resolve the institutional issues through creative capabilities (Zhang & Zhou, 2014). The intellectually inspired employees show a higher degree of innovative behavior which can be more strengthen when a fair reward system is used in the institutions (Malik et al., 2015). The contingent rewards act as a dynamic force in stimulating employees towards institutional tasks (Mumford & McIntosh, 2017).

Therefore, intellectual stimulation and contingent rewards are dynamic factors towards the employees’ innovative behavior (Hansen & Thingvad, 2018).

2.5 THEORETICAL FRAMEWORK AND HYPOTHESIS The employees’ innovative behavior is an amalgamation of various dynamic concerns which are playing an important role in shaping their attitude and behavior. Thus, based on the literature reviewed, a conceptual model/theoretical framework is proposed comprises two dimensions of leadership behaviors (intellectual stimulation) and (contingent rewards) and one dimension of employees' behavior (innovative behavior). Thus, leadership behavior is aimed to examine their direct effect (intellectual stimulation) and indirect effect (contingent rewards) on the employees’ innovative behavior.

Figure 1 Theoretical Framework H#1: There is a significant and positive association between predicting and criterion variables.

H#2: The mediator significantly criterion variables.

mediates

the

relationship

between

predictor

and

3. RESEARCH DESIGN This study research design comprises descriptive (what is going on) and explanatory (why is it going on). Thus, it provides an entire procedure like the data collection and analysis methods, population (participants), and instrument (measurement) used in conducting the research. *Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

5

3.1 PROCEDURE AND PARTICIPANTS The survey approach is used to access the population. The questionnaire approach is used to collect primary data from the respondents (sample from a population). The population comprises 1148 employees working in selected higher institutions four universities of Khyber Pakhtunkhwa, Pakistan. A 296 sample-size has been selected via statistical formula (Yamane, 1967). Thus, 296 questionnaires were distributed among which 270 were recollected with a response rate of 91%.

The data has already been used in PhD dissertation.

3.2 INSTRUMENT AND MEASUREMENT An adapted version of the questionnaire is used to collect first-hand data from respondents to measure the research variables. Likewise, intellectual stimulation was assessed through six items from the transformational leadership scale (Rafferty & Griffin, 2004). The contingent rewards were assessed over six items from the transactional leadership scale (Avolio et al., 1999). While, the employees’ innovative behavior was also assessed through six recommended items (Scott & Bruce, 1994). To measure research variables in the instrument, a 7-point Likert scale was used ranging from 1 for “strongly disagree”, 7 for “strongly agree”, with 4 signifying neutral.

3.3 RELIABILITY AND VALIDITY The reliability (internal consistency) of the instrument was done through Cronbach Alpha against eighteen items containing six for each variable. However, the validity of items in the questionnaire was done through KMO and Bartlett tests which provide information about sample adequacy and variances which are equal for all samples (Tables 1 to 3).

Table 1 Reliability Statistics S.No 1 2 3 4

Research Variables Intellectual Stimulation Contingent Rewards Employees Innovative Behavior Questionnaire

Items 06 06 06 18

Cronbach Alpha .777 .804 .728 .868

Table 2 Validity Statistics (KMO & Bartlett's Test) S.No. 1 2 3

Research Variable

KMO

Intellectual Stimulation Contingent Rewards Employees Innovative Behavior

704 .819 744

Chi-Square 229.64 247.64 239.35

Bartlett's Test df 16 14 13

Sig. <0.001 <0.001 <0.001

Table 3 Validity Statistics (Matrix & Items Loading) S.No. 1 2 3

Research Variable Intellectual Stimulation Contingent Rewards Innovative Behavior

Item 1 .471 .595 .404

Item 2 .582 .725 .660

Item 3 .544 .614 .530

Item 4 .461 .448 .757

Item 5 .543 .572 .522

Item 6 .611 .524 .619

Table 1 shows that computed values for Cronbach Alpha regarding all variables are above the required value (.7). Therefore, from statistics, it is determined that the variables in the instrument have acceptable reliability in terms of internal consistency. Table 2 shows the validity examination regarding all research variables wherein the “KMO values for all variables are above” the required value (.7). Thus, it is concluded that the variables in the instrument have acceptable validity in terms of sample adequacy. While Bartlett tests show the significance of all variables (<0.001) in

6

Irfan Ullah Khan, Saqib Khan, Haroon Rehan & Hamid Khan

terms of the correlation matrix for structure detection. Table 3 shows the factor loadings for items used in the instrument wherein the required loading is 0.4, thus all the items in instruments have loading values above 0.4 meaning that the items have an acceptable association.

4. DATA ANALYSIS The statistical results obtained through hypotheses testing regarding the relationships among the research variables have been presented in data analysis. The correlation procedure is used for examining the association among research variables while hierarchical regression is used to test the “direct impact” (independent on dependent) and the “indirect impact” (independent on dependent through a mediator).

H#1:: There is a significant and positive association between predicting and criterion variables.

Table 4 Correlation Analysis (N = 270).

Variable Intellectual Stimulation Contingent Rewards Employees Innovative Behavior

Pearson Correlation Sig. (2-tailed) Pearson Correlation Sig. (2-tailed) Pearson Correlation Sig. (2-tailed)

Intellectual Stimulation 1

Contingent Rewards .622** <0.001 1

.622** <0.001 .713** <0.001

.841** <0.001

The correlation procedure was run to examine the association “among research variables”. The results from regression (Table 4) provide significant information about the positive association among the “research variables” likewise, intellectual stimulation and contingent rewards are positively associated (R=.622 & P-value = <0.001), contingent rewards and employees innovative behavior (R=.841 & P-value = <0.001) and intellectual stimulation and the employees' innovative behavior (R=.713 & P-value = <0.001). Therefore, from correlation results, it is concluded that “there is significant” association among research variables meaning that both intellectual stimulation and contingent rewards are vital for improving the employees’ innovative behavior and thus hypothesis H#1 is accepted.

H#2: The mediator significantly mediates the relationship between predictor and criterion variables.

Table 5: Regression Analysis (Computing a) Model 1

R .622a

Adjusted R2 .384

R2 .386

SE Estimate .68245

F 168.80

Sig. .000b

Table 5a: Coefficient of Regression Analysis (Computing a) Model

1

Unstandardized Coefficients

B Std. Error (Constant) .968 .239 Intellectual Stimulation .646 .050 a. Predictor: (Constant), Intellectual Stimulation b. Dependent Variable: Contingent Rewards

Standardized Coefficients Beta .622

t

Sig.

4.060 12.993

<0.001 <0.001

*Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

7

The mediation is a statistical procedure which comprises certain steps (a, b, c & ĉ) with certain conditions likewise (a) must be significant, (b) must be significant, (c) must be signed and (ĉ) may or may not be significant (Barren & Kenny, 1986). In this regard, Tables 5 & 5a provide information about the indirect relationship between predictor and mediator (a). The results show (38.6%) variance in the mediator (contingent rewards) due to predicting variables (intellectual stimulation). Likewise, the coefficient of regression shows the significant impact of predictor on the criterion variable (β = .646 & p = <0.001). Therefore, the first step of mediation fulfills the first condition of the mediation process.

Model

1 2

R

.713a .875b

R

Table 6: Regression Analysis (Computing c, ĉ & b)

2

.508 .766

Adjusted R2

SE Estimate

.506 .764

.76815 .53125

2

R Change .508 .257

Change Statistics df1 df2 F 1 1

268 267

277.062 436.290

Sig. <0.001b <0.001c

Table 6a Regression Analysis (Computing c, ĉ & b)

Coefficient of Regression Unstandardized Standardized Coefficients Coefficients B Std. Error Beta 1 (Constant) -.068 .268 Intellectual Stimulation .932 .056 .713 2 (Constant) -.856 .191 Intellectual Stimulation .406 .049 .310 Contingent Rewards .814 .048 .648 a. Predictor: (Constant): Intellectual Stimulation b. Mediator: Contingent Rewards c. Dependent Variable: Employees Innovative Behavior Model

t

Sig.

-.253 16.645 -4.477 8.205 17.126

0.801 <0.001 <0.001 <0.001 <0.001

Tables 6 & 6a provide information about the remaining conditions of mediation (c, ĉ & b) with significant results through two different regression models. Model 1 provides information about the direct effect by showing (50.8%) variance in the employees’ innovative behavior due to the intellectual stimulation together with significant statistical results (β = 0.932 & p = <0.001). The second regression model shows (76.6%) variance in employees’ innovative behavior due to the intellectual stimulation and contingent rewards with diverse statistical outcomes. Likewise, the intellectual stimulation shows the statistical significance (β = .406 & p = <0.001) while contingent rewards (β = .814 & p = .000). Therefore, the hierarchical provide significant data about all the conditions in deciding the mediation. Likewise, the change in R2 (50.8% to 76.6%), change in β values for intellectual stimulation (.932 to .406) while the p-value remained significant in all conditions. Thus, the change in R2 and change in β values provide confirmation that contingent rewards partially mediated the relationship between intellectual stimulation and employees’ innovative behavior. Hence, from results, the hypothesis H#2 is partially accepted.

5. DISCUSSION The leadership through different traits inspire their employees to show their efforts and potential by using innovative behaviors to achieve the vision and mission of the institution (Jung et

8

Irfan Ullah Khan, Saqib Khan, Haroon Rehan & Hamid Khan

al., 2003). In this connection, on the leadership continuum, two leadership styles (transformational & transactional) are considered as most effective in inspiring employees’ behavior through their different artistic attributes (Harland et al., 2005). In this regard, the transformational over intellectual stimulation, stimulate employees to show their innovative, creative, and affirmative behavior in achieving leaders’ vision and institutional tasks (Jong & Hartog, 2007). The leadership behavior (intellectual stimulation) in dynamic in influencing employees’ attitudes and behavior in performing institutional activities effectively as well as helps in promoting the innovation in institutions (Oke et al., 2009). The intellectually stimulated employees are concerned more with assigned tasks and perform their responsibilities innovatively to achieve the assigned tasks with desired standards (Aryee et al., 2012).

The leaders over transactional traits offer different incentives like contingent punishments and rewards to motivate employees to perform professionally. These rewards are dependent upon the performance standards of the concerned employees (Maryam et al., 2013). The researchers argued that without effective leadership and effective inspirations, leadership will not be able to bring along the desired change (Atkinson & Mackenzie, 2015). The leaders through transactional behavior offer different exchanges (rewards) for the efforts and performances that the employees show by adopting innovative techniques in following leaders’ vision and the institutional long-term objectives (Ryan & Herman, 2017). The researchers recommend the association between creativity and rewards by auguring that creativity-contingent rewards enhance employees’ creative performances depending upon the nature and choice of rewards (Hughes et al., 2018). Thus, the leaders’ inclusive behavior towards sharing institutional resources is critical for employees’ innovative behavior (Qi et al., 2019).

The empirical results provide significant information about the relationships among research variables that have been previously examined by various researchers in different contexts. Likewise, different studies examined the positive association between intellectual stimulation and employees’ innovative behavior and performance (Elkins & Keller, 2003; Gumusluoglu & Ilsev, 2009; Ryan et al., 2012; Ganga et al., 2017). This study results revealed the significant association and impact of the contingent rewards on employees’ creative and innovative behavior which were previously examined by various research studies (Kahai et al., 2003; Damanpour & Schneider, 2009; Khan et al., 2012; Hansen & Thingvad, 2018). This study confirmed statistically the facilitating role of contingent rewards as motivation in relations between intellectual stimulation and employees’ innovative behavior that were previously examined by various researchers with diverse results (Kahai et al., 2003; Turunc et al., 2010; Sethibe & Steyn, 2017; Faraz et al., 2018).

6. CONCLUSION This study aimed at examining the impact of intellectual stimulation on employees’ innovative behavior through the facilitating role of contingent rewards by collecting the primary data from employees working in selected higher educational institutions. For this purpose, a theoretical framework was developed from existing research thereby emerging the research hypotheses. The hypotheses were analyzed by using different statistical tools likewise correlation confirmed the significant association between the predictors and criterion variables (R=.622 & P-value = <.001), (R=.841 & P-value = <0.001), and (R=.713 & P-value =.000) respectively. Similarly, the *Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

9

hierarchical regression “confirmed mediating role” (partial mediation) of contingent rewards in the relationship between intellectual stimulation and employees’ innovative behavior thereby bringing some variations in R2 (50.8% to 76.6%) and β values (.932 to .406). Thus, this study offers significant theoretical and empirical contributions to the existing database of knowledge about the prevailing issues like intellectual stimulation, contingent rewards, and the employees’ innovative behavior. However, some recommendations and practical implications have emerged from the results which might be helpful for the management, employees, and future researchers.

7. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

8. REFERENCES Adalberto, A., & Ruben, M. (2002). Leadership practices and diversity in higher education. The Journal of Leadership Studies, 8 (3), 53-62.

Ali, J., Ullah, S., & Javed, B. (2017). Effect of leadership styles on employees’ innovative behavior: The mediating role of employees’ creativity. European Journal of Business and Management, 9 (28), 27-37.

Aryee, F., Walumbwa, Z., & Hartnell, C. (2012). The transformational leadership, innovative behavior, and task performance: Test of mediation & moderation processes. Human Performance, 25 (1), 1-25.

Atkinson, P., & Mackenzie, R. (2015). Without leadership there is no change. Management Services, 59 (2), 42-47.

Avolio, B. J., Bass, B. M., & Jung, D. I. (1999). Re-examining the components of transformational & transactional leadership using multifactor leadership questionnaire. Journal of Occupational and Organizational Psychology. 2 (4), 441 – 462.

Bass, B. M., & Avolio, B. J. (2004). Multifactor leadership questionnaire: manual and simpler set, 3rd ed., Mind-garden, Inc., Redwood City, CA. Bass, B. M., & Riggio, R. E. (2006). Transformational leadership. Mahwah, New Jersey 07430: Lawrence Erlbaum Associates, Inc. Bosnehles, A., & Venendal, A. (2017). Perceptions of HR practices and innovative work behavior: The moderating effect of an innovative climate. International Journal of Human Resource Management, (1), 1–23.

Brahim, A., Riđić, O., & Tomislav, J. (2015). The effect of transactional leadership on employees’ performance. Journal of Economics and Business, 13 (2), 7-20.

Byron, K., & Khazanchi, S. (2012). Rewards and creative performance: A meta-analytic test of theoretically derived hypotheses. Psychological Bulletin, 138, 809–830.

Damanpour, F., & Schneider, M. (2009). Characteristics of innovation and innovation adoption in public organizations: Assessing the role of managers. Journal of Public Administration Research and Theory, 19, 495–522.

Diane, E., & Oliver, D. (2004). Higher Education Challenges in Developing Countries. International Journal of Educational Policy. Research and practice, 5 (2), 3-18.

Elkins, T., & Keller, R. T. (2003). Leadership in research and development organizations: A literature review and conceptual framework. The Leadership Quarterly, 14 (1), 587–606.

10

Irfan Ullah Khan, Saqib Khan, Haroon Rehan & Hamid Khan

Faraz, N., Yanxia, C., Ahmed, F., & Raza, A. (2018). The influence of transactional leadership on innovative work behavior-a mediation model. European Journal of Business and Social Sciences, 7 (1).

Ganga, M., Sikalieh, D., & Linge, T. (2017). The influence of intellectual stimulation leadership behavior on employee performance. International Journal of Business and Social Science, 8 (3), 89-100.

Gilley, A., Dixon, P., & Gilley, J. W. (2008). Characteristics of leadership effectiveness: Implementing change and driving innovation in organizations. Human Resource Development Quarterly, 19 (2), 153-169.

Gong, Y., Kim, T., & Lee, D. (2013). A Multilevel Model of Team Goal Orientation, Information Exchange, and Creativity the Hong Kong University of Science and Technology. Strategic Management Journal, 56 (3), 827–851.

Gumusluoglu, L., & Ilsev, A., (2009). Transformational leadership, creativity, and organizational innovation. Journal of Business Research, 62, 461–473.

Hansen, J., & Thingvad, S. (2018). Managing employee innovative behavior through transformational and transactional leadership Styles.

Public Management Review, DOI: 10.1080/14719037.2018.1544272.

Harari, M. B., Reaves, A. C., & Viswesvaran, C. (2016). Creative and innovative performance: A metaanalysis of relationships with task, citizenship and counterproductive job performance dimensions. European Journal of Work and Organizational Psychology, 25, 495–511.

Harland, L., Harrison, W., Jones, J., & Reiter Palmon, R. (2005), Leadership behaviors and subordinate resilience. Journal of Leadership and Organizational Studies, 11: 2-14.

Hughes, D., Lee, A., Tian, W., Newman, A., & Legood, A. (2018). Leadership, creativity, and innovation: A critical review and practical recommendations. The Leadership Quarterly, DOI:10.1016/j.leaqua.2018.03.001.

Ismail, A., Mohamad, M., Mohamed, H., & Zhen, K. (2010). Transformational and transactional leadership styles as a predictor of individual outcomes. Theoretical & Applied Economics, 17(6), 89-104.

Jaiswal, N., & Dhar, L. (2015). Transformational leadership, innovation climate, creative self-efficacy, and employee creativity: A multilevel study. International Journal of Hospital Management, 51: 30-41.

Jiang, J., & Yang, B. (2015). Roles of creative process engagement and leader-member exchange in critical thinking and employee creativity. Social Behavior and Personality: An International Journal, 43, 1217–1231.

Jong, J. P., & Hartog, D. N. (2007). How leaders influence employees' innovative behavior. European Journal of innovation management, 10(1), 41-64.

Jong, J. P., & Hartog, D. N. (2008). Innovative work behavior: Measurement and validation. EIM Business and Policy Research, 1-27.

Jong, J., & Hartog, D. (2010). Measuring innovative work behavior. Creativity and Innovation Management, 19 (1), 23-36.

Jung, D. I., Chow, C., & Wu, A. (2003). The Role of Transformational Leadership in Enhancing Organizational Innovation: Hypotheses and Some Preliminary Findings. Leadership Quarterly, 14, 525-44.

*Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

11

Kahai, S. S., Sosik, J. J., & Avolio, B. J. (2003). Effects of leadership style, anonymity, and rewards on creativity-relevant processes and outcomes in an electronic meeting system context. The Leadership Quarterly, 14 (4), 499-524.

Khan, M. J., Aslam, N., & Riaz, M. (2012). Leadership Styles as Predictors of Innovative Work Behavior. Pakistan Journal of Social and Clinical Psychology, 9 (2), 17–22.

Limsila, K. S., & Ogunlana, O. (2008). Performance and leadership outcome correlates of leadership styles and subordinate commitment. Engineering, Construction, and Architectural Management, 15 (2), 164 – 184.

Majumdar, B., & Ray, A. (2018). Transformational Leadership and Innovative Work Behavior. Journal of the Indian Academy of Applied Psychology, 37 (1), 140–148.

Malik, M. R., Butt, A. N., & Choi, J. N. (2015). Rewards and employee creative performance: Moderating effects of creative self-efficacy, reward importance, and locus of control. Journal of Organizational Behavior, 36 (1), 59–74.

Maryam, M., Suandi, T., Silong, D., & Omar, Z. (2013). Transformational and transactional leadership styles and job performance of academic leaders. International Education Studies, 6 (11), 29-34.

Muhammad, A., & Kuchin, P. (2016). Impact of leadership styles on employees' attitude towards their leader and performance. Future Business Journal, 54–64.

Mumford, M. D., & McIntosh, T. (2017). Creative thinking processes: The past and the future. The Journal of Creative Behavior, 51(4), 317–322.

Muzafary, S., Chen, Z., Wafayar, Z., & Wahdat, N. (2019). The Influence of Transformational Leadership on Employees Innovative Work Behavior. International Journal of Academic Management Science Research, 3 (1), 22-28.

Odumeru, A., & Ogbonna, I. (2013). Transformational vs. Transactional Leadership Theories: Evidence in Literature. International Review of Management and Business Research, 2 (2).

Oke, A., Munshi, N., & Walumbwa, F. O. (2009). The influence of leadership on innovation processes and activities. Organizational Dynamics, 38 (1), 64-72.

Pieterse, A., & Knippenberg, N. (2010). Transformational and transactional leadership and innovative behavior: The moderating role of psychological empowerment. Journal of Organizational Behavior, 623 (1), 609–623.

Qi, L., Liu, B., Wei, X., & Hu, Y. (2019). Impact of inclusive leadership on employee innovative behavior: Perceived organizational support as a mediator. PLoS ONE 14(2): e0212091. https://doi. org/10.1371/journal.pone.0212091.

Rafferty, A. E., & Griffin, M. A. (2004). Dimensions of transformational leadership: Conceptual and empirical extensions. The Leadership Quarterly, 15 (3), 329-354.

Ramamoorthy, N., Flood, P., Slattery, T., & Sardessai, R. (2005). Determinants of innovative work behavior: Development and test of an integrated model. Creativity and Innovation Management, 14 (2), 142-150.

Rank, J., Pace, V., & Frese, M. (2004). Three avenues for future research on creativity, innovation, and initiative. Applied Psychology, 53 (4), 518–528.

Ryan, J. C., Awais, S., & Tipu, A. (2012). Transformational Leadership in Pakistan: An Examination of the Relationship of Transformational Leadership to Organizational Culture and Innovation Propensity. Journal of Management & Organization, 10 (2), 1–29.

Ryan, K., & Herman, A. (2017). Leadership behaviors and follower performance: Deductive and inductive examination of theoretical rationales and underlying mechanisms. Journal of Organizational Behavior, 38, 558–591.

12

Irfan Ullah Khan, Saqib Khan, Haroon Rehan & Hamid Khan

Scott, S. U., & Bruce, R. A. (1994) Determinants of Innovative Behavior: A Path Model of Individual Innovation in the Workplace. Academy of Management Journal, 37, 580–607.

Sethibe, T., & Steyn, R. (2017). The impact of leadership styles and the components of leadership styles on innovative behavior. International Journal of Innovation Management, 21 (2).

Shalley, C. E., & Zhou, J. (2008). Organizational creativity research: A historical overview. In J. Zhou, & C. E. Shalley (Eds.). Handbook of organizational creativity (pp. 95– 123). New York: Taylor and Francis.

Strauss, K., & Parker, S. (2014). Effective and Sustained Proactivity in the Workplace: A SelfDetermination Theory Perspective. Current Directions in Psychological Science, 66 (6), 158– 185.

Turunc, O., Celik, M., Tabak, A., & Kabak, M. (2010). The impact of transformational leadership and contingent reward leadership styles on innovative behavior: Mediating role of leader-member exchange quality. International Journal of Business and Management Studies, 2, (1), 69–79.

Walumbwa, F. O., Wu, C., & Orwa, B. (2008). Contingent reward transactional leadership, work attitudes, and organizational citizenship behavior. Leadership Quarterly, 19 (3), 251-265.

Wang, F., Fang, Y., Qureshi, I., & Janssen O. (2015). Understanding employee innovative behavior: Integrating the social network and leader-member exchange perspectives. Journal of Organizational Behavior, 36 (3), 403–420.

Yamane, T. (1967). Statistics: An Introductory Analysis. 2nd Ed., New York: Harper and Row. Zhang, X., & Zhou, J. (2014). Empowering leadership, uncertainty avoidance, trust, and employee creativity: Interaction effects and mediating mechanism. Organizational Behavior and Human Decision Processes, 124, 150-164.

Dr. Irfan Ullah Khan is an Assistant Professor at Department of Public Administration, Gomal University, Dera Ismail Khan, Khyber Pakhtunkhwa, Pakistan. He did his PhD from Gomal University in Management Studies. His research area of interest is Organizational behavior.

Myhammad Saqib Khan is a PhD Scholar at Department of Management Sciences, Khushal Khan Khattak University Karak. He is a Lecturer at the Department of Business Administration, Gomal University, Dera Islmail Khan. His research areas of interest are HRM, Organizational Behavior. He can be reached at saqiblecturer @ gmail.com

Muhammad Haroon Rehan is a PhD Scholar at Department of Public Administration, Gomal University, Dera Ismail Khan, Khyber Pakhtunkhwa, Pakistan. He is serving as Vice President in Meezan Bank, Khyber Pakhtunkhwa, Pakistan. His research area of interest is Organizational Behavior, HRM. He can be reached at haroonbaluch @ gmail.com

Dr. Hamid Khan is a Lecturer at Department of Business Administration, Gomal University, Dera Islmail Khan, Khyber Pakhtunkhwa, Pakistan. He did his PhD from Gomal University in Management Studies. His research area of interest is Human Resource Management & Organizational behavior. He can be reached at hamidnido @ gmail.com

*Corresponding author (I.U.Khan). Email: irfanullah@gu.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12B http://TUENGR.COM/V11A/11A12B.pdf DOI: 10.14456/ITJEMAST.2020.227

13

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12C

STRUCTURAL AND FUNCTIONAL MODEL OF TERMINOLOGY PHRASING IN RUSSIAN AND ENGLISH FOR SYNTHETIC RESIN PRODUCTION L.M. Shatilova

1*

1

, O. A. Kasatkina , Yu.V. Mushkina

1

1

Department of Romano-Germanic Philology, State University of Humanities and Technology, 22, Zelenaya St., Orekhovo-Zuevo, Moscow, 142611, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 03 March 2020 Received in revised form 20 May 2020 Accepted 01 June 2020 Available online 10 June 2020

Terminology smoothes out interdisciplinary barriers and provides a deep connection between often radically divergent branches of science.

The purpose of this article is to identify a productive way of term formation in the chemical industry in Russian and English under the terminology system "Synthetic Resins Production" framework. The authors obtained noticeable clarification of nature, functioning, and preferable choice of the special term. The conventional linguistic methodology was used to assess the terminological systems attributed to the chosen part of chemistry science, determine their distinguishing patterns, and substantiate the identified differences and advantages.

After the self-contained range of terms, which constitutes the special vocabulary at the local chemical production site, and also materials from open source publishing platforms have been collected and rendered it is argued that such term form as collocation is the most common and reliable for meaning transfer in the context under study.

The results of this comparative linguistic research have social significance because they prevent the isolation of terms used in narrow production specializations.

Keywords: Terminological systems; collocation; Special communication; Synthetic resins production in the chemical industry; Term formation.

Disciplinary: Languages Integrated Science/Technology Learning, Philology.

2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Scientific and technological progress, as well as cross-cultural communication, has a significant influence on people’s lives. They also shape languages. Neologisms that have no equivalents in other languages continually appear and, conversely, there are often several different ways to describe the same phenomenon. In the modern world, new terminology develops rapidly in response to current conditions.

Processes of knowledge integration in modern science facilitate the rapid development of *Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

1

terminology. Contemporary learning-oriented on problem-solving is saturated by the ideas and research techniques prior generated in one field of science and further transferred to an entirely different field. Thus technical and engineering investigations very often cross with scientific pursuit models taken from linguistics and formal logic. Issues of fundamental linguistics in their application to natural science are of growing interest in international scholarsâ&#x20AC;&#x2122; community. The point of application turns out to be the notorious linguistic component that serves in the theory of terminology a tool to determine the bonds between term and notion. Linguistic dimension in science is vitalized both by terminology - the essence of which rests on natural spontaneity of lexical units clusters; and by terminological systems - where natural spontaneity of lexical units is governed and arranged to receive clear hierarchy of terms.

This study looks at how Russian and English terminology function within "The Production of Chemical Resins and Formalin."

The choice of this subject matter is not accidental, as the members of the scientific community in the University represented by the authors are committed to the principles of interdisciplinary scientific research while each Chair sector boundaries are by all means observed.

In the core European languages, terminological systems and their components contain a sufficient number of both similar and different elements. Because of this, terminological systems are supplemented with new elements or are used as a basis for new terminological systems.

The terminological system relating to the chemical industry, namely "Production of synthetic resins and formalin", is appropriately formulated in the languages that we have taken as the basis of the study. However, in the Russian and English languages, this terminological system is functioning in a specific way. Besides, extralinguistic situational stimuli (Quine, 1960) for the determinants of acceptance or non-acceptance of the term in Russian and English can be different. Comparative identification of these distinctive features of the terminological system "Production of synthetic resins and formalin" based on the selected for research languages is very important from integrated interdisciplinary knowledge.

Consideration of a specific structural and functional model of terminological collocation in the field of synthetic resins production on the material of Russian and English is of scientific novelty in the sense that the authors reveal the potential and peculiarities of term manifestations in the designated context, thus make a practical step in the search for means of reducing the degree of translation uncertainty, and therefore improving the essence of a physical object or process transfer in a term. Given that it is hardly possible to state which terminological system â&#x20AC;&#x201C; expressed in English or Russian â&#x20AC;&#x201C; is absolutely correct, the authors have found the pragmatic factor due to which the Russian version of this terminological system should still be preferred.

This factor in a broad sense is represented by a collocation (a phrase), as the most used in both languages method of term creation for a chemical process. The Russian version is distinguished by linguistic simplicity in the accuracy of the process meaning transfer, which means that this option has a semantic advantage. Thus, the authors demonstrated that the plane of content is the same in English and Russian languages, but the plane of expression in the Russian language, in this case, is more relevant. Thus, in the conditions of the English language domination in the world, in this article, there is a new approach to estimate the potential of real objects exact reference by structural means of other languages excepting English.

It is common knowledge that the English language is now playing the "lingua franca" role in

2

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

the world. In the European Union, successful projects in English such as Terminology Without Borders have been developed to coordinate all translation activities and research into linguistics.

The relevance of terminological studies is ongoing, as, according to the head of the TCU Rodolfo Maslias, "language activity is the continuous transfer of perception and thoughts into expression.

The human brain constantly converts concepts into terms" (Maslias, 2019).

It should be stated however that universality as a recognized property of the English language does not exclude the phenomenon of the so-called untranslatability in relation to term systems. The term cannot be considered neither fully translatable nor absolutely untranslatable lexical units. The concept meaning can virtually always be translated, if not always technically accurate.

Given the above, this study targeted to prove that verbalized in English chemical terminological systems linguistic advantage is very relative, whereas, in the same context, the Russian-language terms doublet has a greater degree of accuracy to convey the shades of the properties of the real chemical object.

2. LITERATURE REVIEW The globalization of the English language stimulated a paradigm shift in the forms and methods by which a non-native speaker acquires its linguistic wealth. Thus, there is a departure from the anchor to the native speaker model. This is considered an important multilingual approach (May, 2014) involving methods of cultural linguistics (Novikova et al., 2018; Shatilova et al., 2018).

Several publications devoted to criticizing the clarity of the traditional developed within Saussure’s structuralism terminology, discuss the paradigm shift. Thus, Temmerman (1997) proposes an alternative to the structural approach, and the findings can be used to develop socio-cognitive terminology. She writes that in languages for specific purposes (LSP - languages for specific purposes), the structure of concepts in the natural sciences terminological systems reflects their epistemological function. For prototypically structured categories, unambiguity cannot be the goal since polysemy, synonymy, and the figurativeness of language are part of the history of their naming scheme. According to Larissa Manerko, whose research interests include Cognitive Universals in languages, the description of terminological systems, social and cultural features in the cognitive sociolinguistic sphere of languages, such works expand the human perception of the world, as well as terms and human consciousness. This perception includes the understanding of concepts and categories as units of human knowledge. In the fourth cognitive-communicative stage of development of the science of terminology, modern terminology should describe characteristics of special communication, rather than languages for special purposes (Manerko & Sharapkov, 2015). The nature of language as a social construct manifests itself in the study of conceptual structures (Valenzuela et al., 2016).

Thus, a study of terminological systems must begin with an area of knowledge that represents the interests of both the public and science. In general, study works devoted to of such specialized terminology systems as the following are the most relevant at the present stage: medicine; indeed, some foreign authors insist that medical linguistics should be distinguished (Džuganová, 2019) as a special area of humanitarian knowledge; jurisprudence (Udina et al., 2018; Stepanova et al., 2018); nanotechnologies (Razduev, 2015); and sports terminology (Cocca et al, 2016; Yafarov, 2016).

Chemistry terminology is of special attention as well, since the role played by chemistry for *Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

3

tackling sustainable development challenges is hard to overestimate. The influence of English as scientific lingua franca on the Russian chemical terminology in a broad sense is studied by Mullyadzhanova and Proshina (2014) by “focusing on both traditional forms in which the impact of the English language is manifested, such as direct borrowings and calques, as well as less evident forms of indirect borrowings from Latin and Greek, classic languages of science”. Unlike these authors, we used a different approach to solve this seems very much alike problem. In this article, the investigation context is reduced to a specific part in chemistry – namely of synthetic resins industrial production. Moreover, our intention defines practical means to overcome translation uncertainty in terminology.

The concept of "terminology" and the “terminological system” are interconnected; indeed, one comes from the other. One of the first definitions, which was taken as the basis of our study, originated with the well-known linguist Lotte: “the system of terms that express the totality of specific concepts covered in a specific area". “Terminology" and "the terminological system" also serve as synonyms. Over time, we have seen the lines between these concepts grow fuzzier. Today, linguists describe the concept of "terminology" as chaotic and spontaneous, i.e., there is no evidence of a systemic approach to developing the terms included in the terminology of any field of knowledge. Lotte emphasizes the consistency of terminology, if three conditions are met: (1) The terminology system should be based on the classification of concepts; 2) signs and concepts that are turned into terms based on classification schemes must be allocated; (3) words must reflect the commonality between terminological concepts and their specificity (Lotte, 1961). As to the notion of "the terminological system,” which may be shortened to “term system,” Manerko gives the following definition: “a term system is consciously constructed with a set of terms, and it is revealed through categorized and conceptualized information based on conceptual logic, cognitivelinguistic, discursive, and, terminological requirements" (Manerko, 2009). In this definition, the author conveys all features inherent in the term system, thereby highlighting the "term system" as a separate and independent object of research.

Key concepts in terminology studies such as "term", "nomens," and "professional slang" in Russian and English are also highlighted. These concepts are still being studied and their definitions are being revised. All of these concepts relate to language for special purposes, but their place in terminology and the terminology system has not been defined. It has only been proven that the terms are part of terminology and the terminology system. The word "term" has more than 30 definitions. While it was being studied, the signs, functions, and models of a term were also highlighted. According to Grinyov-Grinevich, "in each historical period, lexemes typical for the next stage begin to appear: in the proto-human period, the first words; in the prescientific period,proto-terminology (craft terms); in the proto-scientific period, the first terms and terminology; and in the postscientific period, the first systems of “nomens” (Grinyov-Grinevich & Sorokin, 2014). In his tutorials on term studies, Grinyov-Grinevichhighlights those signs inherent to terms that allow them to be distinguished from common vocabulary: identification of concepts, belonging to a special field of knowledge, definition, knowledge accuracy, contextual independence, conventionality and purposeful appearance, stability and repeatability in speech, nominality, and stylistic neutrality. The main requirements concerning the functions of a term are its common acceptance and use, internationalization, modernity, and euphony. The forms of terms can be simple or complex; they can be derivative terms or terminological collocations, or abbreviations,

4

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

which are characteristic of the English language to a greater degree.

Thus, a term is a lexical unit with a special function belonging to a certain area of knowledge and adhering to the rules and regulations of the language in which it originated. And its form and contents also demonstrate that the "term" is the result of an intellectual process and holds special information.

Nomens, in addition to terms, are the lexical units of a specific natural language. They are used to categorize a visible object without correlating it with other items and may not be included in any classification. Nomenscan have an alphabetic, digital, or mixed form that is not related to their meaning, i.e. they do not have the semantic load.

Professional slang is used in the oral speech of a particular field. It can form in response to the complex formal structure of a term, such as a multi-terminological phrase or because a term is difficult to pronounce. The quick and intuitive nomination of an object, process, or phenomenon is the main reason for the appearance of "jargon.â&#x20AC;?

In modern linguistics, one can find linguistic research dedicated to exploring the terminology of a particular field in chronological order. In studies conducted in each period, research was done in those fields of knowledge that were in demand in science, society, and industry. For example, in the second half of the 20th century, the greatest preference was given to mechanical engineering, and special attention was paid to internationalism, genetics, and agriculture. Then, in the period of technological growth and electronics development, new directions for the field, including "digitalization" and "automation of the production process," took place. In addition to the study of new machines and aggregates, contemporary terminology studies have examined humanitarian fields of knowledge such as management, the fight against drug use, and other pressing social problems.

A term system is a classification that clearly expresses the logical-conceptual structure of a subject area. We also agree with the definition of the notion of "terminology", established in linguistics in the wake of Grinyov-Grinevich, who understood it as the totality of the terms used in a specific area of knowledge. Terms, nomens, and professional slang are most often used in professional vocabulary and literature. They are an integral part of both the lexical structure of the language and the production process, which is based on scientific knowledge. Today, terminology researchers still face many tasks, and they are still many questions about the concepts of"term," "terminology," and "the term system," etc. At each stage in the development of humankind, there are new discoveries and fields of study. Time moves forward, and new things appear, or perhaps old concepts were not completely studied. And all of this together represents a field for new scientific research in the field of linguistics.

The production of synthetic resins began at the beginning of the last century in Russia, but the investigation of this industry terminological basis is very far from being complete. Streamlining the terms in the terminological system created by "The Production of Synthetic Resins" may be useful for several audiences. Students in universities may use it to more rapidly assimilate the materials and terms of this field and employees at chemical companies that produce synthetic resins may find it useful for reducing distortions in both spoken and written language.

*Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

5

3. MATERIALS AND METHODS The research was organized around the activities of the city-forming chemical plant, one of the Metafrax Corporation, and held in its production site in 2018. Technical specialists lexicon connected to synthetic resins production were carefully selected, recorded, and analyzed. Likewise, the corporate newspaper “Chemistry Without Borders” for the same period of the year 2018 was thoroughly examined with a focus on synthetic resins and formaldehyde production. This newspaper is issued in German (Chemie Ohne Grenzen) and Russian, no English version, so our limitation was to select only Russian publications. Technical documentation which was allowed by the plant specialists to be at our disposal was under our scrutiny as well. Training manuals on polymers and formalin production, research notes – the courtesy of University Chemistry Chair, explanatory dictionaries, thesauruses, polytechnic, and chemical bilingual Russian-English vocabularies, materials from open source communities and publishing platforms served a helpful supplement.

In this study, the following methods were used: synchronic analysis which renders a structure or system at a given point in time under certain context; elements of diachrony were employed to evaluate the inter-language influence and the resulting change; qualitative and quantitative analysis were used concurrently as two fundamental methods for data collection and interpretation. The accuracy of meaning transfer by both English and Russian terms-collocations under a given model fragment of chemical production was measured by simulation methods. Representation of predicted outcomes was done using conceptual logic. This study was conducted in the context of both semasiology and onomasiology, using the apparatus of comparative linguistics. Semasiology implies the use of the componential analysis of terms meaning by disintegrating it into semes ‘elementary senses’. Lexical context or field was examined by onomasiological means to determine the principles of the lexical field organization and to expose the bonds between terms in term systems. Conventionally, the words are placed either in the center of the field or on its periphery. In the center are the words which represent the conceptual category most vividly. On the periphery, are the words that refer both to this category and other categories, i.e. the constituents of their meanings are distributed between two or more categories which thus overlap. To expose these constituents, the method of componential analysis is applied. Our appeal to the Belgian author Levshina (2015), who explores almost all of the major methods of analysis used in the linguistic literature, including descriptive statistics, regression analysis, and modeling the semantic vector space has become exceptional facilitation in methodology choice for this research purposes.

4. RESULTS To represent the technological chain and then further verbalize the terminological systems we used the internet publication “Handbook of chemistry 21. Chemistry and chemical technology” (Chem21, 2018) for the Russian part and the 2 nd Edition of “Modern Technology of Synthetic Resins & Their Applications” (NIIR Board of Consultants & Engineers, 2018) for the English part.

Both are reliable sources in the industrial sphere for offering relevant information and consultancy services.

Synthetic resin is typically manufactured using a chemical polymerization process. To understand the terminological system of the chemical production of synthetic resins in both Russian and English, we can break down the system into the following lexical thematic groups:

6

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

1.

2.

3.

4.

5.

Technological systems; Machines and devices; Raw materials used in the production of synthetic resins; Chemicals and reactions; Finished products and applications for synthetic resins (see Figure 1.).

Chemical production of synthetic resins

Technological systems

Machines and devices

Raw materials

Finished products and applications for synthetic resins

Chemicals and reactions

Figure 1: The terminological system of "The Production of Synthetic Resins" in Russian and English.

The technological process of producing synthetic resins occurs in several stages: the reception of original raw materials in warehouses and sending them to resin production, resin output through polycondensation with acid and alkali catalysts, storage of synthetic resins in warehouses, and cleaning of gas emissions from resin production units via absorption and thermo-catalytic oxidation.

Thus, we get the following lexical thematic group "Technological Systems for Producing Synthetic Resins,” which includes, for example, the raw materials feed; the preparation unit of sodium hydroxide and ammonium sulfate solutions; the sodium hydroxide and ammonium sulfate solutions feed; the feed system for synthetic resins; the compressed air system; and the gas emissions cleaning system.

The terminological nomination of this lexical thematic group is expressed, to a greater extent, in the syntactical method of term formation, i.e., terminological phrasings or collocations are used.

“Collocation” has the following definition in Cambridge Dictionary: “the combination of words formed when two or more words are often used together in a way that sounds correct” (Cambridge dictionary, 2018).

In the structure of these terms, there are logical connections between the concepts. For example, the preparation unit of sodium hydroxide and ammonium sulfate solutions connects the object and its function and also contain the terms sodium hydroxide and ammonium sulfate, the structure of which is based on a generic connection.

In this group, there are two types of terminological collocations:  noun + noun + noun  noun + noun + adjective + noun.

The noun + noun + noun structure is the most common way of forming terminological combinations and terminological collocations, because, first of all, it has a nominative function, which perfectly expresses the noun with a verbal derivative noun and noun in the indirect case.

In the English language, we will examine the “Systems” lexical thematic group, or as it is *Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

7

translated in Russian, Системы (Systemy). It contains all kinds of terms and terminological formations, besides abbreviations. For example, the Ecology Control system, the system of cooling water, the system of a boiler feed water and steam, the system of pipeline steam tracers, the compressed air system of instrumentation, and conveyor system. There are logical connections in the structure of these terms, object-function connections, as well as instrument connections; such as the compressed air system of instrumentation. This group is dominated by terminological collocations that constitute 47% of the terminological units.

According to this analysis, this lexical thematic group includes various types of terminological collocations. Noun + noun + noun terminological collocations dominate the group:  noun + noun + noun: 32%;  noun + noun + noun + noun: 13%;  noun + noun + noun + noun + noun: 13%.

In the lexical thematic group "Machines and devices," we can also observe the predominance of collocations. For example, absorber, emergency tank, ureahopper, vacuum pump with water separator, fresh air fan, coolant water tank, methanol evaporators, urea hopper agitator, catalyst feed pump, triethylamine heater, and sampler. In the structure of these terms, one can observe logical connections and action-function connections, such as methanol evaporators and emergency container.

The following are types of terminological collocations in the lexical thematic group "Machines and devices":  Adj. + n.  N. + adj.  N. + n.  Adj. + n. + n.  N. + adj. + n.  N. + adj. + adj.  N. + n. + n.  Adj. + n. + adj. + n.  N. + n. + adj. + n.  N. + n. + n. + n.  N. + adj. + n. + adj. + n.  N. + n. + n. + adj. + n.  Adj. + n. + n. + adj. + n. + n.

The following terminological collocations are dominant:  Noun + noun: 17%  Noun + adjective +noun: 21%  Noun + noun + noun: 28% In the lexical thematic group “Equipment,” in the English language, or translated into Russian as Машины и аппараты (Оборудование) (Mashiny I apparati [Oborudovaniye]), all kinds of terms and terminological formations also function. For example, heat transfer fluid in shell, multipoint thermo elements, HTF condenser, absorption tower, packed beds, valves trays, bubble cup trays, cooling coils, demister, collector, distributors, oxygen valves, and shell and tube preheater. There are logical connections and action-function connections in the structure of these

8

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

terms, such as heat transfer fluid in the shell and multipoint thermos-elements. There are also terminological collocations with generic connections, such as oxygen valves and cooling coils. As in many other lexical thematic groups, terminological collocations stand out (61%).

From this analysis, this lexical thematic group stands out for its diversity of types of terminological collocations used in oral and written forms. Noun + noun terminological collocations are dominant:  noun + noun: 38%;  adjective + noun: 18%;  noun + noun + noun: 17%.

Next consider lexical thematic group, “Raw materials for synthetic resin production,” in both Russian and English.

Any manufacturing process requires raw materials to obtain the final product, and source material, or raw material, is also required for the production of synthetic resins.

In this lexical thematic group, the following types of terminological collocations are dominant: simple terms and terminological collocations. They make up 46%. Thus, simple terms expressed as a noun dominate this group, for example, nitrogen, urea, melamine, and alkali. There are also twoword collocations consisting of an adjective and a noun, for example, ammonia water, caustic soda, and compressed air. In the structure of these terms, there are generic connections, such as ammonia water and caustic soda.

The lexical thematic group “Raw Materials” in English, or translated in Russian as Сырье (Syryo), is different from other lexical thematic subgroups because it is dominated by simple terms.

It contains all kinds of terms and terminological formations, such as urea, melamine, phenol, mixture with formaldehyde, formaldehyde, additives, air, and methanol. But simple and complex terms take up most of the lexical stock:  simple terms: 46%;  complex terms: 25%;  collocations: 13%.

In light of their scarcity, only a few types of collocations are found, among which there is no dominant type:  adjective + noun: 25%;  noun + noun: 25%;  adjective + noun + adjective + noun: 25%;  noun + adjective + noun: 25%.

The lexical thematic group "Finished products and applications for synthetic resins" includes the following terms: urea-formaldehyde resins, which are widely used as a binder for wood materials and mostly used in the production of interior products, such as furniture; melamineureaformaldehyde resins, which are designed for use in interior and exterior wet conditions; melamineformaldehyde resins, which are used in paper impregnation; phenol-formaldehyde resins, which are used in the production of plywood, mineral insulation, laminates, and abrasive materials; novolac resins, which are used in machinery manufacturing industries; and powdered resin or pulverized bakelite, which is used in the abrasive industry to make highly resistant grinding wheels. In the structure of these terms, there are generic connections, such novolac resin and powdered resin, and *Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

9

also object-function connections, such as paper impregnation and abrasive materials. Moreover, in considering the terminological elements of these concepts, we can note that the make-up of the terminological collocations includes terms consisting of two elements, one of which is complex and consists of two bases.

Based on these terms and the application of these concepts, we can see that the usage percentage of simple terms is 22%, while for collocations it is 78%.

Noun + adjective + noun are the most popular forms of collocations; in fact, they represent half of the lexical stock:  N. + adj. + n.: 50%;  N.+n. +adj. +n.: 19%;  N. + adj. + adj. + n.: 12%;  N. + n.: 12%;  Adj. +n.: 7%.

To consider the next lexical thematic group, known as “Products” in English, or translated into Russian, Готовая продукция (Gotovaya produktsiya), this group is distinct for having low variation in types of terms and terminological formations. There are only complex terms, terminological collocations, and abbreviations. For example, UF resins, MF resins, PF resins, Powder resins, Novolac resins, and UFC. Collocations dominate this group at 42%. Their most common form is adjective +adjective + noun: 28%.

This lexical thematic group can be divided into the subgroups “Range of Products,” or translated into Russian, Ассортимент продукции (Assortimentт produktsy), and “Application,” or translated into Russian, Область применения (Oblast primeneniya). This subgroup contains complex terms and a small number of derivative terms and collocations, which make up the main part of the lexical composition of this sub-group. For example, impregnation resins, paper impregnation resins, thermosets, insulation resins, and plywood resins. In the structure of these terms, there are object-function connections, such as paper impregnation resins and insulation resins. These collocations make up 57% of the lexical stock of this lexical thematic subgroup.

The lexical thematic subgroup “Application” contains all kinds of terms and terminological formations, besides abbreviations. For example, pre-impregnated paper, edge banding material, and paper-based finish foil. As in the lexical thematic subgroup “Equipment,” terminological collocations are dominant, and derivatives and simple terms make up a significant percentage of usage:  Collocations: 34%;  derivative terms: 33% According to the analysis of this lexical thematic subgroup, there are several types of terminological collocations. Participle + noun collocations are dominant:  participle + noun: 50%;  noun + participle + noun: 25%;  noun + participle + noun + noun: 25%.

The lexical thematic group "Chemical substances and reactions" contains the following terms in Russian: высокотемпературная жидкость (vysokotemperaturnaya zhidkost), диметиловыйэфир (demetilovyefir), кислород (kislorod), метанол (metanol), муравьиная кислота (muravinaya kislota), пар (par), параформальдегид (paraformaldagid), соляная

10

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

кислота (solyanaya kislota), технологическая вода (tekhnologicheskaya voda). In the structure of these terms, we see generic connections, in both the Russian and the English, such as муравьиная кислота, formic acidandсоляная кислота, hydrochloric acid.

40% of all the terms are terminological collocations.

Collocations with the form "adjective + noun" dominate this group: 78%.

In English, in the lexical thematic group “Chemistry,” there are simple and complex terms, as well as collocations. This group is dominated by complex terms:  complex terms: 75%;  collocations: 5%.

The collocations are of the same type: adjective + noun.

This is due to the origin of the terms which we have included in the lexical thematic group “Chemistry,” or translated into Russian, Химия (Khimia). Like many terms from the fields of chemistry and physics, these terms come from Latin and Greek, which is the reason for their complex structure within the semantics of one lexical unit. Here is a list of terms that are in this subgroup: aminoplasts, phenoplasts, duroplasts, monomer, polymers, monomethylolmelamine, etc.

In relation to the predominance of complex terms in this lexical thematic group, we will do a component analysis of these terms. In most cases, the complex terms are divided into twocomponent, three-component, and multi-component terns. We did not distinguish four-component and n-component terms due to their small number. The most common term form is one consisting of two components, such as aminoplasts, phenoplasts, and polymers:  two-component terms: 60%.

Using the diagrams, you can clearly see the significant prevalence of collocations in the "The Production of Synthetic Resins" terminological system. This proves the fact that the most productive method of term formation is combining terminological elements from one or several fields of knowledge using both semantic and syntactic methods (See Figures 2 and 3).

Figure 2. The use of collocations in the lexical thematic subgroups of the term system of “The Production of Synthetic Resins" in Russian Using the data in Figure 2., we see that in such Russian lexical thematic sub-groups as "Technological systems for producing synthetic resins,” “machines and devices used to produce synthetic resins,” and “finished products and applications for synthetic resins," terminological collocations occupy more than 50% of all the lexical units of other forms.

*Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

11

Chemistry Raw materials Equipment Systems Range of Products Application 0%

10%

20%

30%

40%

50%

60%

70%

Figure 3: The use of collocations in the lexical thematic subgroups of the term system of â&#x20AC;&#x153;The Production of Synthetic Resins" in English.

Based on the data in diagram 2, we see that in such English lexical thematic subgroups as "Equipment", "Systems" and "Range of Products" terminological collocations occupy more than 40% of all the lexical units of other forms.

5. DISCUSSION By comparing the Russian and English term systems, we argue that the term formation method in chemical manufacturing using terminological collocations is the most developed one and plays an important role in science. In English, we observe borrowings from other languages, including Latin and Greek, in which such term formation methods are used as word combinations or the morphological method of forming a new word or term using affixes.

According to this research (Table 1.), we found out that the most common forms of terminological collocations in the Russian term system is noun + noun + noun (Table 1.). In English, we can identify two common forms of terminological collocations: 1. noun + noun; 2. adjective + noun (see Table 2).

Table 1: The most common types of collocations in each lexical thematic subgroup in Russian Technological systems for producing synthetic resins Machines and devices Raw materials Industrial safety Applications for synthetic resins

Noun + noun + noun Noun + noun + noun Adjective + Noun Adjective + Noun Noun + adjective + noun

40% 28% 47% 36% 50%

Table 2: The most common types of collocations in each lexical thematic subgroup in English Raw Materials Equipment Systems Range of Products Application Chemistry

12

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

Adjective + noun Noun + noun Noun + noun Noun + noun + noun Adjective + adjective + noun Participle + noun adjective noun.

25% 25% 38% 32% 28% 50% 100%

Therefore, based on these results, we can conclude that terminological collocations are more active in the Russian term system for “The Production of Synthetic Resins" than in the English system. This phenomenon can be explained by the degree of motivation of the terms in Russian and English. In English, the form of lexical units is capacious and limited, moreover, there is a lot of borrowing from other languages, such as Latin and Greek, in which the system of affixation within one lexical unit is well developed. In Russian, concepts are expressed, to a greater extent, with a whole host of terminological elements, as these terms are motivated by this set of terminological elements. Despite foreign etymology, the form of borrowed terms in Russian differs significantly from the original because Russian is a synthetic language, and English is analytical. That is why the following type of phrase stands out in the Russian term system: noun + noun + noun. This type of phrase allows you to adequately convey the essence of a concept or phenomenon thanks to its connection with terminological elements that correspond with an object and its function or action and its instrument. In most cases, it is used to designate equipment or a technological system.

In English, there are two types of terminological collocations, noun + noun, and adjective + noun that reflect the more concise, brief terms in English both in terms of their form and in terms of meaning.

6. CONCLUSION It has been no more than a decade ago when collocations in terminology attracted particular interest for lexicology scholars. It was recognized that terminological word compounds represent an essential category for their wide further use in specialized glossaries. When a chemical production terminological domain is being formed, borrowings of various terminological units from different languages are inevitable. In this article, borrowed terms in the Russian language have greater distinctions from the original. So when organizing and presenting terms for specialized purposes, namely for describing “The Production of Synthetic Resins" process, the components of the Russian terminological systems reveal greater mobility and motivation. Since a term is an element of language system, it has a property known as motivation which defines the character of its correlation with other lexical units. Results presented in Tables 1 and 2 demonstrate that the set of the Russian terminological system comprised of noun collocations is denser and more compact and much better reflects the underlying concepts chain than that of the English one. Presented in this article, multilingual comparative research into characteristics and linguistic capacity of terminological systems is another step towards recognition of terminology science autonomous status with respect to linguistics. The authors have conducted a survey focused on cultural, etymological, social implications rather unlike purely cognitive research into specialized terminology within the frame theory concepts. Investigations into specialized collocations are still scarce and there is a need to develop sound theoretical-methodological foundations for not prescriptive but descriptive terminology science.

7. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

*Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

13

8. REFERENCES Cambridge Dictionary. (2018). Collocation. Cambridge Advanced Learner's Dictionary & Thesaurus. http://dictionary.cambridge.org/ru/словарь/английский/collocation Retrieved October 2018.

Chem21. (2018). Chemist's Handbook 21: CHEMISTRY AND CHEMICAL TECHNOLOGY. http://chem21.info/tabmap/. Retrieved October 10.11.2018 Cocca, M., Kendzora, T. J., Řeřicha, V., & Alvarado Martínez, E. (2016). Terminological synonyms in Czech and English sports terminologies.

Džuganová, B. (2019). Medical language–a unique linguistic phenomenon. JAHR, 10(1), 129-145.

Grinyov Grinevich, S. V., & Sorokin, E. A. (2014). Language as a means of study of cognition and the evolution of man. Herald МГОУ. Series: Linguistics. 5, 12-25.

Levshina, N. (2015). How to do linguistics with R: Data exploration and statistical analysis. John Benjamins Publishing Company.

Lotte, D. S. (1961). Foundations of Constructing Scientific and Technical Terminology. Problems of Theory and Techniques (Лотте ДС Основы построения научно-технической терминологии. Вопросы теории и методики.–М.: Изд-во АН СССР, 159-205.

Manerko, L. A. (2009). The concept of the term system in modern terminology studies. Modern trends in lexicology, terminology studies and the theory of the LSP a collection of scientific works. Dedicated to the 80th anniversary of Vladimir Moisevich Leichik. 207-221.

Manerko, V. A., & Sharapkov, A. N. (2015). European terminology studies: from the [вюстерианского] understanding of a term to the comprehension of cognition and communications. Herald Of The Moscow Region State University. Series: Linguistics, 5, 24-32.

Maslias, R. (2019). Plain Terminology. http://termcoord.eu/2019/03/plain-terminology Retrieved July 2019.

May, S. (2014). The multilingual turn: Implications for the SLA and the TESOL and bilingual education.

New York: Routledge. 240 p.

Mullyadzhanova, N., & Proshina, Z. (2014).bInfluence of the English Language on Russian Chemical Terminology. NSU Vestnik. Series: Linguistics and Intercultural Communication, 12(2), 27–31.

NIIR Board of Consultants & Engineers. (2018). Modern Technology of Synthetic Resins & Their Applications (2nd Revised Edition). Asia Pacific Business Press Inc., 592 pp.

Novikova, I. N., Popova, L. G., Shatilova, L. M., Biryukova, E. V., Guseva, A. E., & Khukhuni, G. T. (2018). Lexical and semantic representation of the linguistic and cultural concept “Rest” in the English, German, and Russian languages. Opción, 34(85-2), 237-256.

Quine, W. V. O. (1960). Word and object (Studies in Communication). New York and London: Technology Press of MIT. Razduev, A. V. (2015). The modern English terminology of nanotechnologies in The anthropocentric aspect.

Issues of Cognitive Linguistics, 1(42), 143-149.

Shatilova, L. M., Borisova, V. V., & Kasatkina, O. A. (2018). Representation of the linguistic and cultural concept “lie” in the French and Russian language picture of the world. Opción, 34(85-2), 257-276.

Stepanova, V. V., Meshkova, I. N., & Sheremetieva, O. A. (2018). Interference in legal translation: Addressing challenges. XLinguae, 11(1), 294-301.

Temmerman, R. (1997). Questioning the univocity ideal. The difference between socio-cognitive Terminology and traditional Terminology. HERMES-Journal of Language and Communication in Business, (18), 51-90.

Udina, N. N., Kostromin, A. D., Chilingaryan, K. P., Kalashnikova, E. P., & Obstaravacia, S. V. (2018).

Intertextual relations in the judgment of the court of appeal. XLinguae.

14

L.M. Shatilova, O. A. Kasatkina, Yu.V. Mushkina

Valenzuela, J., Hilferty, J., & Vilarroya, O. (2016). Why are embodied experiments relevant to cognitive linguistics?. Belgian Journal of Linguistics, 30(1), 265-286.

Yafarov, A. D. (2016). Variability in the German terminology of winter sports. philological science. The questions of theory and practice. Online: Publishing: Certificate, 5(3), 181-187.

Professor Dr. SHATILOVA Lyubov Mikhailovna is Professor of the Department of Romano-Germanic Philology, State University for the Humanities and Technology. She holds a Doctor of Philology. Her research is GermanRussian Speech, Words, Phases in the framwork of Philology. Her work can be found at https://orcid.org/00000001-6250-0957 and her Scopus Author ID is 57204196977.

Professor Dr.KASATKINA Olga Alekseevna is an Associate Professor and Head of the Department of RomanoGermanic Philology. She holds a Ph.D.. Her research interests are Modern Trends in Linguistics (Discourse, Cognitive Linguistics, Sociolinguistics, Linguistic Terminology).

MUSHKINA Julia Vyacheslavovna is a Researcher. She completed a postgraduate study in ComparativeHistorical, Typological and Comparative Linguistics from the State Humanitarian and Technological University (GGTU).

*Corresponding author (L.M. Shatilova). Email: ShatilovaLM@mgpu.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12C http://TUENGR.COM/V11A/11A12C.pdf DOI: 10.14456/ITJEMAST.2020.228

15

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies .

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12D

SYNCHRONIZATION OF DELAYED INTEGER ORDER AND DELAYED FRACTIONAL ORDER RECURRENT NEURAL NETWORKS SYSTEM WITH ACTIVE SLIDING MODE CONTROL 1*

Fatin Nabila Abd Latiff 1

, Wan Ainun Mior Othman

1*

, N. Kumaresan

1

Institute of Mathematical Sciences, Faculty of Science, University of Malaya, Kuala Lumpur, 50603, MALAYSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 10 February 2020 Received in revised form 14 May 2020 Accepted 05 June 2020 Available online 11 June 2020

Chaotic Neural Networks (CNNs) has been gaining a lot of attention and have become a hot topic from researchers with good expectation. To resolve the synchronization’s problem of delayed integer order recurrent neural networks (IoDRNNASM) and delayed fractional-order recurrent neural networks (FoDRNNASM), an active Keywords: sliding mode control (ASMC) scheme is introduced. Factional Chaotic synchronization; Lyapunov direct methodology (FLDM) is designed and is enforced to Double encryption; Chaotic Neural Networks ASMC of the systems to keep the stability of the systems. To (CNNs); Sliding surface; investigate the characteristics of IoDRNNASM and FoDRNNASM, we tend to enforce the method of numerical simulation by utilizing RSA encryption; MATLAB programming to demonstrate the performance and efficiency Cybersecurity; Cryptography of the results. Based on this study, the results show that the technology. synchronization between integer-order and fractional-order will significantly occur once the recommended ASMC is introduced. This main result can provide a great advantage within the area of network security of secure communication by implement double encryption by conducting RSA encryption. We do believe that this idea can improve security and provides strong protection in secure communications.

Disciplinary: Security).

Mathematics,

Computer

Science

(Network/Cyber

2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Fractional calculus is a mathematical theory that has been studied and applied in different fields for the past 300 years. It can trace back to Leibniz, Liouville, Letnikov, Grunwald, and Riemann [1]. Earlier, the dearth of effective techniques was the main reason for not using fractional-order calculus, but now the main reason for its exploitation is because it may be simply *Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

1

employed in a variety of fields. Various fractional-order calculus has been discovered because of its implementation in emerging engineering vary from cryptography, secure communication to electrically couple neuron system [2]. So recently, the application of their significant and various type of recurrent neural networks (RNNs) have been widely studied by numerous researchers.

Chaotic systems synchronization has to obtain a load of recognition between analyzers and scientists from completely different sorts of research fields [3]. Since it was proposed by [4], investigation of chaotic systems has been studied intensively because of its striking possible implementation in a variety of fields like secure communication [5, 6], chemical and biological systems [7], and cryptography [5] due to sensitivity of initial condition and prediction difficulty of chaos. By now, a great deal of different chaotic synchronization methods was introduced to perform a chaos synchronization. They are PC method [4], active control [8], adaptive control [9], impulsive control [10], sliding mode control (SMC) [11], adaptive fuzzy control [12], etc.

Additionally, a range of fractional-order neural networks (FoNNs) synchronization is found by researchers like Mittag-Leffler synchronization [10], Cohen-Grossberg synchronization [13], complete synchronization [14], lag synchronization [15], adaptive synchronization [13], memristive synchronization [16] and etc.

Previously, Bai and Lonngren [17] used a technique like active control to synchronize two Lorenz systems. A similar method has been employed by several researchers to synchronize different fractional-order chaotic systems [18, 19]. This is because of its inherent advantages, as it is a powerful control technique in synchronization chaotic systems [20, 21]. While delayed sliding mode control (DSMC) method has various benefits, as well as poor vulnerability to the intrusion and also the parameter perturbation, implementation restraint, and rapid response. This approach may be a discontinuous control (DC) strategy requiring the selection of a switching surface [SWS] for the defined dynamics systems as well as the creation of a DC law [22-24]. There are two stages required to design a delayed sliding mode controller (DSMC). The first move is to decide on the most effective active controller (ACC) to assist the designing of the series of ASMC series.

Another step is by developing a delayed active sliding mode controller (DASMC) to achieve synchronization.

The synchronization of FoNNs with integer-order neural networks [IoNNs] is widely alleged to be efficiently practical in encryption which can increase the key area. A lot of finding has been obtained from the synchronization of FoNNs [13, 25]. Nevertheless, to the finest of the authorâ&#x20AC;&#x2122;s information, the results on the synchronization of FDRNNASM systems and IDRNNASM systems are limited and we do believe that the idea never been employed in any research. But other researchers have developed chaotic systems for the synchronization of integral order with fractional-order chaotic systems [11, 26]. From a functional point of view, it is necessary to realize that the cause of FoNN's synchronization can produce hybrid unstable transient signals that are produced before the final states. This feature will help improve communication protection, as the FoNNs have many modifiable variables compared with the IoNNs. By using this idea in secure communication, the security can be improved as it is unbreakable.

Motivated by all the analysis and literature surveys, in this paper we introduce the steps needed for the synchronization between IoDRNNASM systems with FoDRNNASM. Based on the ASMC that we build to support the existence of sliding motion, the synchronization of

2

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

IoDRNNASM systems and FoDRNNASM systems is achieved. The delayed sliding surface [DSS] and DSMC play a major role in this research to help the synchronization process.

This work, section 2 briefly summarizes the structure of the neural network. In Section 3, based on the FLDM theory, DASMC and tracking control are built to ensure the synchronization of the proposed model and the idea of synchronization between FoDRNNASM and IoDRNNASM are introduced. In Section 4, numerical simulation of the proposed model of synchronization of FoDRNNASM with IoDRNNASM is done to demonstrate the suitability and efficiency of the gained results, and some discussion is drawn with the idea for double encryption using RSA (Rivest-Shamir-Adleman) encryption. Finally, the conclusion is drawn based on our study of the proposed system.

2 PRELIMINARIES The master system of FoDRNNASM is denoted by đ?&#x2018;?đ?&#x2018;? đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x153;&#x2019;đ?&#x153;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;Ąđ?&#x2018;Ą) = â&#x2C6;&#x2019;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x153;&#x2019;đ?&#x153;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;Ąđ?&#x2018;Ą) + â&#x2C6;&#x2018;đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;=1 â&#x2C6;&#x2018;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;=1 đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; (đ?&#x2018;Ąđ?&#x2018;Ą)ďż˝

Or the vector form

đ?&#x2018;?đ?&#x2018;? + â&#x2C6;&#x2018;đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;=1 â&#x2C6;&#x2018;đ?&#x2018;?đ?&#x2018;?=đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; đ?&#x2018;Łđ?&#x2018;Łđ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; (đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + Î&#x201C;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

(1).

đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą) = â&#x2C6;&#x2019;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x2018;Ąđ?&#x2018;Ą) + đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) + đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)) + Î&#x201C;

(2),

đ?&#x153;&#x2019;đ?&#x153;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;) = đ?&#x153;&#x2018;đ?&#x153;&#x2018;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;), đ?&#x2018;&#x;đ?&#x2018;&#x; â&#x2C6;&#x2C6; [â&#x2C6;&#x2019;đ?&#x153;?đ?&#x153;?, 0], đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = 1 , 2 ,¡ ¡ ¡ , đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;

(3),

where đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź denotes an đ?&#x203A;źđ?&#x203A;ź fractional derivative of Caputo, where 0 < Îą < 1. State vector denoted by đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą) â&#x2C6;&#x2C6; đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; , the activation function is denoted by đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;( ¡ ). While đ??śđ??ś, đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;, and đ?&#x2018;&#x2030;đ?&#x2018;&#x2030; represent the constant matrices, the external vector is indicated as Î&#x201C;. The primary states of (1) are represented by where đ?&#x153;&#x2018;đ?&#x153;&#x2018;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;) â&#x2C6;&#x2C6; đ??śđ??ś ([ â&#x2C6;&#x2019;đ?&#x153;?đ?&#x153;?, 0], đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; ), and the norm, ||đ?&#x153;&#x2018;đ?&#x153;&#x2018;|| = sup â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1 đ?&#x153;&#x2018;đ?&#x153;&#x2018;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;) . The output of the system đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;[â&#x2C6;&#x2019;đ?&#x153;?đ?&#x153;?,0]

(2) is denoted by Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) â&#x2C6;ś= đ?&#x203A;Żđ?&#x203A;Ż1 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą) + đ?&#x203A;Żđ?&#x203A;Ż2 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?), where Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) â&#x2C6;&#x2C6; đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; đ?&#x2018;&#x161;đ?&#x2018;&#x161; is the output state vector and đ?&#x203A;Żđ?&#x203A;Ż1 , đ?&#x203A;Żđ?&#x203A;Ż2 â&#x2C6;&#x2C6; đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; đ?&#x2018;&#x161;đ?&#x2018;&#x161;Ă&#x2014;đ?&#x2018;?đ?&#x2018;? are the constant matrices. The equivalent system for slaves is defined as đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą) = â&#x2C6;&#x2019;đ??¸đ??¸đ?&#x201C;?đ?&#x201C;?(đ?&#x2018;Ąđ?&#x2018;Ą) + đ??ľđ??ľđ??ľđ??ľďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą)ďż˝ + đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + đ??˝đ??˝ + Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) (4)

where đ?&#x201C;?đ?&#x201C;?( đ?&#x2018;Ąđ?&#x2018;Ą) â&#x2C6;&#x2C6; đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; denotes the state vector, while the constant matrices represented by đ??¸đ??¸, đ??ľđ??ľ, and đ??ťđ??ť.

The SMC that we want to design is represented as Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)). The primary states of (4) are represented as đ?&#x201C;?đ?&#x201C;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;) = đ?&#x153;&#x201C;đ?&#x153;&#x201C;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;), đ?&#x2018;&#x;đ?&#x2018;&#x; â&#x2C6;&#x2C6; [â&#x2C6;&#x2019;đ?&#x153;?đ?&#x153;?, 0], đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = 1 , 2 , . . . , đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; ,

where ||đ?&#x153;&#x201C;đ?&#x153;&#x201C;|| = đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1 đ?&#x153;&#x201C;đ?&#x153;&#x201C;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;&#x;đ?&#x2018;&#x;). đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;[â&#x2C6;&#x2019;đ?&#x153;?đ?&#x153;?,0]

Definition 1. {Li, 2010 #28}The basis of the system (1) is unchanging if đ?&#x153;&#x17D;đ?&#x153;&#x17D;

ďż˝|đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)|ďż˝ = ďż˝â&#x201E;&#x153;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą0 )ďż˝đ??¸đ??¸đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; (â&#x2C6;&#x2019;đ?&#x203A;żđ?&#x203A;ż(đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2019; đ?&#x2018;Ąđ?&#x2018;Ą0 )đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; )ďż˝ .

*Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

(5)

3

Lemma 1. (27) â&#x20AC;&#x153;Assume that the upper right-hand derivative of function đ?&#x201C;&#x2039;đ?&#x201C;&#x2039; in Caputoâ&#x20AC;&#x2122;s sense of order đ?&#x203A;źđ?&#x203A;ź(0 < đ?&#x203A;źđ?&#x203A;ź < 1) with respect to time variable is such that for đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2C6; [ đ?&#x2018;Ąđ?&#x2018;Ą0 , â&#x2C6;&#x17E; ), đ?&#x153;&#x2018;đ?&#x153;&#x2018; â&#x2C6;&#x2C6; đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;[ â&#x2C6;&#x2019;đ?&#x153;?đ?&#x153;?, 0] , đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; ] , đ?&#x153;?đ?&#x153;? â&#x2C6;&#x2C6; đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; is a constant, and the following inequality đ??ˇđ??ˇ+đ?&#x203A;źđ?&#x203A;ź đ?&#x201C;&#x2039;đ?&#x201C;&#x2039;ďż˝đ?&#x2018;Ąđ?&#x2018;Ą, â&#x2C6;&#x2026;(đ?&#x2018;Ąđ?&#x2018;Ą)ďż˝ â&#x2030;¤ đ?&#x153;?đ?&#x153;?đ?&#x201C;&#x2039;đ?&#x201C;&#x2039;ďż˝đ?&#x2018;Ąđ?&#x2018;Ą, â&#x2C6;&#x2026;(0)ďż˝,

where đ?&#x2018;Ąđ?&#x2018;Ą0 denotes the initial instant, đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; â&#x2C6;&#x2C6; (0, 1), đ?&#x203A;żđ?&#x203A;ż > 0, đ?&#x153;&#x17D;đ?&#x153;&#x17D; > 0, â&#x201E;&#x153;(0) = 0 , â&#x201E;&#x153;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;) â&#x2030;Ľ 0, and â&#x201E;&#x153;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;) is locally Lipschitz on đ?&#x2018;Ľđ?&#x2018;Ľ â&#x2C6;&#x2C6; đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; with respect to Lipschitz constant â&#x201E;&#x153;0 .â&#x20AC;?

Lemma 2. (28) â&#x20AC;&#x153;If đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x2018;Ąđ?&#x2018;Ą) â&#x2C6;&#x2C6; đ??śđ??ś 1 [ đ?&#x2018;Ąđ?&#x2018;Ą0 , đ?&#x2018;?đ?&#x2018;? ], then

(1) đ??ˇđ??ˇâ&#x2C6;&#x2019;đ?&#x203A;źđ?&#x203A;ź đ??ˇđ??ˇâ&#x2C6;&#x2019;đ?&#x203A;˝đ?&#x203A;˝ đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą) = đ??ˇđ??ˇâ&#x2C6;&#x2019;đ?&#x203A;źđ?&#x203A;źâ&#x2C6;&#x2019;đ?&#x203A;˝đ?&#x203A;˝ đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x203A;źđ?&#x203A;ź, đ?&#x203A;˝đ?&#x203A;˝ â&#x2030;Ľ 0 ; (2) đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ??ˇđ??ˇ â&#x2C6;&#x2019;đ?&#x203A;źđ?&#x203A;ź đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą) = đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x203A;źđ?&#x203A;ź â&#x2030;Ľ 0 ; đ?&#x2018;Ąđ?&#x2018;Ą đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;

â&#x2C6;&#x2019;1 đ?&#x2018;&#x201C;đ?&#x2018;&#x201C; đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; (0) , đ?&#x203A;źđ?&#x203A;ź â&#x2030;Ľ 0.

(3) đ??ˇđ??ˇâ&#x2C6;&#x2019;đ?&#x203A;źđ?&#x203A;ź đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą) = đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą) â&#x2C6;&#x2019; â&#x2C6;&#x2018;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; =0 đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; !

(4) đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź (đ?&#x2018;Łđ?&#x2018;Ł1 đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą) + đ?&#x2018;Łđ?&#x2018;Ł2 đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x2018;Ąđ?&#x2018;Ą)) = đ?&#x2018;Łđ?&#x2018;Ł1 đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ąđ?&#x2018;Ą) + đ?&#x2018;Łđ?&#x2018;Ł2 đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x2018;Ąđ?&#x2018;Ą), đ?&#x2018;Łđ?&#x2018;Ł1 and đ?&#x2018;Łđ?&#x2018;Ł2 are any constants.

(5) đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x2018;?đ?&#x2018;? = 0 , đ?&#x2018;?đ?&#x2018;? is any constant.â&#x20AC;?

3 METHODOLOGY/MATERIALS

Method to procedure ASMC is introduced which is the merging of SMC with ACC. Then we will discuss the proposed method's stability problem.

3.1 METHOD IN ASMC A chaotic system by a nonlinear differential equation defined as follows: đ?&#x153;&#x2019;đ?&#x153;&#x2019;Ě&#x2021; = đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;1 đ?&#x153;&#x2019;đ?&#x153;&#x2019; + đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;1 (đ?&#x153;&#x2019;đ?&#x153;&#x2019;)

(6),

đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą) = đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 đ?&#x201D;ˇđ?&#x201D;ˇ + đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;2 (đ?&#x201D;ˇđ?&#x201D;ˇ) + Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;))

(7),

Î&#x2DC;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ = đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;))

(8)

where đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x2018;Ąđ?&#x2018;Ą) is the state vector, đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;1 (đ?&#x153;&#x2019;đ?&#x153;&#x2019;) is the nonlinear function and đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;1 represents a self-connection weight matrix. Equation (1) is the master system. The controller Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) and Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) are substituted into the slave system (4), such that: where đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x2018;Ąđ?&#x2018;Ą) is the slave system state vector, đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 represents a self-connection weight matrix and đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;2 (đ?&#x201D;ˇđ?&#x201D;ˇ) is the nonlinear function. ÎŚ(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) is the tracking controller, and we design the tracking controller as

The problem in the synchronization procedure is to design the controller Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) and Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) that will synchronize both system (1) and (4). We expressed the dynamics synchronization error đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 đ?&#x201D;ˇđ?&#x201D;ˇ + đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;2 (đ?&#x201D;ˇđ?&#x201D;ˇ) â&#x2C6;&#x2019; đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;1 đ?&#x2018;Ľđ?&#x2018;Ľ + đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;1 (đ?&#x153;&#x2019;đ?&#x153;&#x2019;) + Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) where

4

= đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 â&#x201E;° + đ??šđ??š(đ?&#x153;&#x2019;đ?&#x153;&#x2019;, đ?&#x201D;ˇđ?&#x201D;ˇ) + Î&#x2DC;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;))

â&#x201E;°(đ?&#x2018;Ąđ?&#x2018;Ą) = đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

(9),

đ??šđ??š(đ?&#x153;&#x2019;đ?&#x153;&#x2019;, đ?&#x201D;ˇđ?&#x201D;ˇ) = đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;2 (đ?&#x201D;ˇđ?&#x201D;ˇ) â&#x2C6;&#x2019; đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;1 (đ?&#x153;&#x2019;đ?&#x153;&#x2019;) + (đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 â&#x2C6;&#x2019; đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;1 )đ?&#x153;&#x2019;đ?&#x153;&#x2019;

The objective is to design controller Î&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) such that limđ?&#x2018;Ąđ?&#x2018;Ąâ&#x2020;&#x2019;â&#x2C6;&#x17E; ďż˝|â&#x201E;°(đ?&#x2018;Ąđ?&#x2018;Ą)|ďż˝ = 0

Based on the design technique of ACC [11, 13, 14], to remove the nonlinear part of error dynamic we used a control input of Î&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)). The new input vector is Î&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) = đ??ťđ??ť(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ??šđ??š(đ?&#x153;&#x2019;đ?&#x153;&#x2019;, đ?&#x201D;ˇđ?&#x201D;ˇ).

The error system (4) is then rewritten as đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź = đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 â&#x201E;° + đ??ťđ??ť(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

(10).

đ??ťđ??ť(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = đ??žđ??žÎ&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

(11),

Equation (10) is the newly defined control input đ??ťđ??ť(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) of the dynamics error. For the control input đ??ťđ??ť(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), there are various possibilities to choose from. Finally, we choose SMC law as where đ??žđ??ž = [đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;1 , đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;2 , đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;3 ]đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; is a constant gain vector and Î&#x2DC;(đ?&#x2018;Ąđ?&#x2018;Ą) is the control input that fulfills: Î&#x2DC;+ (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) â&#x2030;Ľ 0 Î&#x2DC;(đ?&#x2018;Ąđ?&#x2018;Ą) = ďż˝ â&#x2C6;&#x2019; Î&#x2DC; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) < 0

Then đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6; = đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) is the SWS which indicates the error. Then the dynamics error is đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź â&#x201E;° = đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;2 â&#x201E;° + đ??žđ??žÎ&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

(12).

(13).

Then the suitable SMC will be drawn based on the SMC theory: 3.1.1 SLIDING SURFACE The sliding surface is determined as đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) = đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;â&#x201E;°

(14),

đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; (â&#x201E;°) = 0

(15)

where đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; = [đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;1 , đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;2 , đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;3 ] is a constant vector.

We know that đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; (â&#x201E;°) = 0 is an essential state for remaining on the SWS where đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) = 0 is the state trajectory. So, another identical control is created and the controlled system must follow these two states đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) = 0 By using (13), (14) and (15), we obtain đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; (â&#x201E;°) =

đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(â&#x201E;°) đ?&#x153;&#x2022;đ?&#x153;&#x2022;â&#x201E;Ż

â&#x201E;°Ě&#x2021; = đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;[đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;â&#x201E;° + đ??žđ??žÎ&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)] = 0

Solving (16) for Î&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) results in the identical control Î&#x2DC;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) Î&#x2DC;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;(đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;)â&#x2C6;&#x2019;1 đ??śđ??śđ??śđ??śâ&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

(16)

(17),

*Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

5

where the necessary condition is the existence of (đ??śđ??śđ??śđ??ś)â&#x2C6;&#x2019;1.

Substituting for Î&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) in (13) from Î&#x2DC;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) of (12). Then, the sliding mode state equation is đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź â&#x201E;° = [đ??źđ??ź â&#x2C6;&#x2019; đ??žđ??ž(đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;)â&#x2C6;&#x2019;1 đ??śđ??ś]đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;â&#x201E;°

(18).

It is asymptotically stable if the system (13) has negative real parts for all eigenvalues.

3.1.2 SMC It is assumed that the constant plus proportional rate reaching law (15-17) is used. And we can choose the reaching law as đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; = â&#x2C6;&#x2019;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; (đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;) â&#x2C6;&#x2019; đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;

(19)

đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; = đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;[đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;â&#x201E;° + đ??žđ??žÎ&#x2DC;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)]

(20).

Î&#x2DC;(đ?&#x2018;Ąđ?&#x2018;Ą) = â&#x2C6;&#x2019;(đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;)â&#x2C6;&#x2019;1 [đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x; + đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;)â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; (đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;)]

(21).

where đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; (. ) is the sign function. The sliding condition is decided from the value of đ?&#x2018;&#x;đ?&#x2018;&#x; and đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;, where đ?&#x2018;&#x;đ?&#x2018;&#x; > 0 and đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; > 0, then the sliding mode motion (SMM) occurred.

From (13) and (14), it is discovered that

Now, the control input is constructed from (19) and (20) as

3.2 SMC WITH TIME DELAY We let the master system as

đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)) + Î&#x201C;

and, we rewrite the slave system equation (4) as

đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;đ??¸đ??¸đ?&#x201C;?đ?&#x201C;?(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ??ľđ??ľđ??ľđ??ľďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + đ??˝đ??˝ + đ??ˇđ??ˇ đ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;))

(22),

where đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ = â&#x2C6;&#x2019;đ??¸đ??¸đ??¸đ??¸(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ??ľđ??ľđ??ľđ??ľďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝.

The error in synchronization is denoted as â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;). Combining the master system (2) and the slave system (4) determines the synchronization error. And from the calculation, this is expressed as đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;đ??¸đ??¸ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ??ľđ??ľđ??ľđ??ľďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?) â&#x2C6;&#x2019; đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ â&#x2C6;&#x2019; đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + ( đ??˝đ??˝ â&#x2C6;&#x2019; Î&#x201C;) +

Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;))

(23),

where ÎŚ(â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)): = đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) â&#x2C6;&#x2019; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)), ÎŚ(â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)): = đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x201D;ˇđ?&#x201D;ˇ (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)) â&#x2C6;&#x2019; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)).

By applying Lemma 2, we have â&#x201E;°(đ?&#x2018;Ąđ?&#x2018;Ą) = â&#x201E;°(0) + đ??ˇđ??ˇâ&#x2C6;&#x2019;đ?&#x203A;źđ?&#x203A;ź ďż˝â&#x2C6;&#x2019;đ??¸đ??¸â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ??ľđ??ľđ??ľđ??ľďż˝â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + đ??ˇđ??ˇ đ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ â&#x2C6;&#x2019; đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + ( đ??˝đ??˝ â&#x2C6;&#x2019; Î&#x201C;) + Ψ�đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)��

(24)

Based on the synchronization error (24), the delayed active sliding surface (DASS) is represented as

6

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

𝓈𝓈(𝓉𝓉) = ℰ(𝓉𝓉) + 𝐷𝐷−𝛼𝛼 [Π(𝛯𝛯1 ℰ(𝓉𝓉) + 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) − Ψ(𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉))] −𝐷𝐷−𝛼𝛼 �−𝑄𝑄ℰ(𝓉𝓉) + 𝐵𝐵𝐵𝐵�ℰ(𝓉𝓉)� + 𝑇𝑇𝑇𝑇�ℰ(𝓉𝓉 − 𝜏𝜏)��

(25),

where 𝛱𝛱 ∈ 𝑅𝑅 𝑞𝑞×𝑚𝑚 is a gain matrix.

The combination of (24) with (25) will produce new DASS such as 𝓈𝓈(𝓉𝓉) = ℰ(0) + 𝐷𝐷−𝛼𝛼 �(𝑄𝑄 − 𝐸𝐸 + 𝛱𝛱𝛯𝛯1 )ℰ(𝓉𝓉) + 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) + 𝐷𝐷𝛼𝛼0 𝜒𝜒(𝓉𝓉) + 𝑄𝑄𝑄𝑄(𝓉𝓉) −

Then, from (26)

𝑈𝑈𝑈𝑈�𝜒𝜒(𝓉𝓉)� − 𝑉𝑉𝑉𝑉�𝜒𝜒(𝓉𝓉 − 𝜏𝜏)� + (𝐽𝐽 − Γ) + Ψ(𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉))�

(26).

𝐷𝐷𝛼𝛼 𝓈𝓈(𝓉𝓉) = 𝐷𝐷𝛼𝛼 ℰ(0) + 𝐷𝐷𝛼𝛼 𝐷𝐷 −𝛼𝛼 �(𝑄𝑄 − 𝐸𝐸 + 𝛱𝛱𝛯𝛯1 )ℰ(𝓉𝓉) + 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) + 𝐷𝐷𝛼𝛼0 𝜒𝜒(𝓉𝓉) + 𝑄𝑄𝑄𝑄(𝓉𝓉) − 𝑈𝑈𝑈𝑈�𝜒𝜒(𝓉𝓉)� − 𝑉𝑉𝑉𝑉�𝜒𝜒(𝓉𝓉 − 𝜏𝜏)� + (𝐽𝐽 − Γ) + Ψ(𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉))�

= (𝑄𝑄 − 𝐸𝐸 + 𝛱𝛱𝛯𝛯1 )ℰ(𝑡𝑡) + 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) + 𝐷𝐷𝛼𝛼0 𝜒𝜒(𝓉𝓉) + 𝑄𝑄𝑄𝑄(𝓉𝓉) − 𝑈𝑈𝑈𝑈�𝜒𝜒(𝓉𝓉)� − 𝑉𝑉𝑉𝑉�𝜒𝜒(𝓉𝓉 − 𝜏𝜏)� + (𝐽𝐽 − Γ) + Ψ(𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉))

(27)

From the DASS, the theory of DASMC and its derivative must fulfill the fact that 𝓈𝓈(𝓉𝓉) = 0 and 𝓈𝓈̇ (𝓉𝓉) = 0 . Besides, by utilizing Lemma 2, we can gain 𝑠𝑠̇ (𝑡𝑡) = 𝐷𝐷𝛼𝛼 𝐷𝐷−𝛼𝛼 𝓈𝓈(𝓉𝓉). So, 𝑠𝑠̇ (𝓉𝓉) = 0 is equivalent to 𝐷𝐷𝛼𝛼 𝓈𝓈(𝓉𝓉) = 0. Thus, we can define DSMC law by Ψ1 �𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉)� = −(𝑄𝑄 − 𝐸𝐸 + 𝛱𝛱𝛯𝛯1 )ℰ(𝓉𝓉) − 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) − 𝐷𝐷𝛼𝛼0 𝜒𝜒(𝓉𝓉) − 𝑄𝑄𝑄𝑄(𝓉𝓉) + 𝑈𝑈𝑈𝑈�𝜒𝜒(𝓉𝓉)� + 𝑉𝑉𝑉𝑉�𝜒𝜒(𝓉𝓉 − 𝜏𝜏)� − 𝐽𝐽 + Γ

(28).

Then, we solved (23) and (28), then we defined delayed sliding mode dynamics (DSMD) as 𝐷𝐷𝛼𝛼 ℰ(𝓉𝓉) = −(𝑄𝑄 + 𝛱𝛱𝛯𝛯1 )ℰ(𝓉𝓉) − 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) + 𝐵𝐵𝐵𝐵�ℰ(𝓉𝓉)� + 𝑇𝑇𝑇𝑇�ℰ(𝓉𝓉 − 𝜏𝜏)�

(29).

Ψ2 �𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉)� = −𝐾𝐾[𝑠𝑠𝑠𝑠𝑠𝑠(𝓈𝓈(𝑡𝑡)]

(30),

Consequently, we can conclude that DSMD (29) is the equilibrium point of ℰ = 0. From the DSMC theory, an approaching law is defined such that

where 𝓈𝓈(𝓉𝓉) = [𝜁𝜁1 (𝓉𝓉), 𝜁𝜁2 (𝓉𝓉), … , 𝜁𝜁𝑛𝑛 (𝓉𝓉)]𝑇𝑇 and 𝑘𝑘 > 0 is the switching gain. −1, 𝜁𝜁𝑖𝑖 (𝓉𝓉) < 0 𝑠𝑠𝑠𝑠𝑠𝑠(𝜁𝜁𝑖𝑖 (𝓉𝓉)) = � 0, 𝜁𝜁𝑖𝑖 (𝓉𝓉) = 0 1, 𝜁𝜁𝑖𝑖 (𝑡𝑡𝓉𝓉) > 0

Finally, we denote the DSMC Ψ(𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉)) by

Ψ�𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉)� = Ψ1 �𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉)� + Ψ2 �𝔷𝔷(𝓉𝓉), 𝜒𝜒(𝓉𝓉)�

= −(𝑄𝑄 − 𝐸𝐸 + 𝛱𝛱𝛯𝛯1 )ℰ(𝓉𝓉) − 𝛯𝛯2 ℰ(𝓉𝓉 − 𝜏𝜏) − 𝐷𝐷𝛼𝛼0 𝜒𝜒(𝓉𝓉) − 𝑄𝑄𝑄𝑄(𝓉𝓉) + 𝑈𝑈𝑈𝑈�𝜒𝜒(𝓉𝓉)� + 𝑉𝑉𝑉𝑉�𝜒𝜒(𝓉𝓉 − 𝜏𝜏)� − 𝐽𝐽 + Γ − 𝐾𝐾[𝑠𝑠𝑠𝑠𝑠𝑠(𝓈𝓈(𝓉𝓉)]

(31).

In the DSMC (31) there is a discontinuous function 𝑠𝑠𝑠𝑠𝑠𝑠(·) that may generate some harmful chattering. Then, to reduce the problems, we replace the discontinuous function 𝑠𝑠𝑠𝑠𝑠𝑠(·) by

*Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

7

applying a continuous function đ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąâ&#x201E;&#x17D;(¡). Hence, the modified delayed sliding mode control (31) is denoted as Ψ�đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ = Ψ1 ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + Ψ2 ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝

= â&#x2C6;&#x2019;(đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; â&#x2C6;&#x2019; đ??¸đ??¸ + đ?&#x203A;ąđ?&#x203A;ąđ?&#x203A;Żđ?&#x203A;Ż1 )â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x203A;Żđ?&#x203A;Ż2 â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?) â&#x2C6;&#x2019; đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ â&#x2C6;&#x2019; đ??˝đ??˝ + Î&#x201C; â&#x2C6;&#x2019; đ??žđ??ž[đ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąâ&#x201E;&#x17D;(đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)]

(32).

At present, the law of exponential convergence is alternatively practical as đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; (đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) â&#x2C6;&#x2019; đ?&#x153;&#x201D;đ?&#x153;&#x201D;đ?&#x153;&#x201D;đ?&#x153;&#x201D;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;).

The system has the advantages which are short transition time if we are using a smaller value of đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; and larger value of đ?&#x153;&#x201D;đ?&#x153;&#x201D;.

Theorem 1. (10)â&#x20AC;&#x153;Suppose that the delayed sliding switching surface defined by (25) holds, based on the delayed sliding mode control (31), the trajectories of the synchronization error (21) can be asymptotically reached against the delayed sliding switching surface đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = 0.â&#x20AC;?

Proof. We represent the Lyapunov quadratic function as 1

đ?&#x201C;&#x2039;đ?&#x201C;&#x2039;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = 2 đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

(33).

From the Lemma 1, by computing the Caputo fractional derivative of đ?&#x201C;&#x2039;đ?&#x201C;&#x2039;( đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) relative to đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;, time along the trajectories of DASS (25), one detects that đ?&#x201C;&#x2039;đ?&#x201C;&#x2039;Ě&#x2021; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;Ě&#x2021; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)

= đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝(đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; â&#x2C6;&#x2019; đ??¸đ??¸ + đ?&#x203A;ąđ?&#x203A;ąđ?&#x203A;Żđ?&#x203A;Ż1 )â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x203A;Żđ?&#x203A;Ż2 â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?) + đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ â&#x2C6;&#x2019; đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;ďż˝đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + (đ??˝đ??˝ â&#x2C6;&#x2019; Î&#x201C;) + Ψ�đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)��

= đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝â&#x2C6;&#x2019;đ??žđ??ž[đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; (đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)]ďż˝ = â&#x2C6;&#x2019;đ??žđ??ž â&#x2C6;&#x2122; |đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)|

(34).

The system must converge asymptotically to đ?&#x201C;&#x2C6;đ?&#x201C;&#x2C6;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = 0 when đ??žđ??ž > 0. This indicates that the synchronization error (24) onto the delayed active sliding SWS is reached globally. This completes the verification.

Theorem 2: (10)â&#x20AC;&#x153;Suppose that (đ??ťđ??ť) holds. Assume that there exist positive constants đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; and li such that đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;{|đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2C6;&#x2019; |, |đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;+ |}, đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;{|đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2C6;&#x2019; |, |đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;+ |}, and constant matrices đ?&#x203A;ąđ?&#x203A;ą, đ?&#x203A;Żđ?&#x203A;Ż1 and đ?&#x203A;Żđ?&#x203A;Ż2 such that đ?&#x203A;ąđ?&#x203A;ą = (đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; )đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;Ă&#x2014;đ?&#x2018;&#x161;đ?&#x2018;&#x161; , đ?&#x203A;Żđ?&#x203A;Ż1 = (đ?&#x153;&#x2018;đ?&#x153;&#x2018;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122; )đ?&#x2018;&#x161;đ?&#x2018;&#x161;Ă&#x2014;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; , đ?&#x203A;Żđ?&#x203A;Ż2 = (đ?&#x153;&#x2014;đ?&#x153;&#x2014;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122; )đ?&#x2018;&#x161;đ?&#x2018;&#x161;Ă&#x2014;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; and â&#x20AC;&#x153; ďż˝

đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;?đ?&#x2018;? đ?&#x2018;?đ?&#x2018;? đ?&#x203A;žđ?&#x203A;ž1 â&#x2C6;ś= min1â&#x2030;¤đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2030;¤đ?&#x2018;?đ?&#x2018;? ďż˝đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x2C6;&#x2019; â&#x2C6;&#x2018;đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;=1ďż˝â&#x2C6;&#x2018;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;=1ďż˝|đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x2018;đ?&#x153;&#x2018;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122; |�� â&#x2C6;&#x2019; â&#x2C6;&#x2018;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;=1 â&#x2C6;&#x2018;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;=1��đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; ďż˝đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; �� > 0 đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;?đ?&#x2018;? đ?&#x2018;?đ?&#x2018;? đ?&#x203A;žđ?&#x203A;ž2 â&#x2C6;ś= max1â&#x2030;¤đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2030;¤đ?&#x2018;?đ?&#x2018;? ďż˝â&#x2C6;&#x2018;đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;=1ďż˝â&#x2C6;&#x2018;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;=1ďż˝|đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x2014;đ?&#x153;&#x2014;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122; |�� + â&#x2C6;&#x2018;đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;=1 â&#x2C6;&#x2018;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;=1��â&#x201E;&#x17D;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; ďż˝đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; �� > 0 đ?&#x203A;žđ?&#x203A;ž1 â&#x2C6;&#x2019; đ?&#x203A;žđ?&#x203A;ž2 > 0

Then the original equation of (29) is stable.

Proof. We transformed the delayed synchronization error system of (28) as

8

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

(35).

𝑚𝑚 𝑐𝑐 𝑐𝑐 𝐷𝐷𝛼𝛼 ℰ(𝓉𝓉) = −𝑞𝑞𝑖𝑖 𝑥𝑥𝑖𝑖 (𝓉𝓉) + ∑𝑚𝑚 𝑙𝑙=1 ∑𝑎𝑎=1�𝜋𝜋𝑗𝑗𝑗𝑗 𝜑𝜑𝑙𝑙𝑙𝑙 �ℰ𝑗𝑗 (𝓉𝓉) + ∑𝑙𝑙=1 ∑𝑎𝑎=1�𝜋𝜋𝑗𝑗𝑗𝑗 𝜗𝜗𝑙𝑙𝑙𝑙 �ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏) + 𝑚𝑚 𝑐𝑐 𝑐𝑐 ∑𝑚𝑚 𝑙𝑙=1 ∑𝑎𝑎=1 𝑏𝑏𝑖𝑖𝑖𝑖𝑖𝑖 Φℰ𝑗𝑗 (𝓉𝓉) + ∑𝑙𝑙=1 ∑𝑎𝑎=1 ℎ𝑖𝑖𝑖𝑖𝑖𝑖 Φℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)

(36).

We defined the Lyapunov function candidate by

𝐷𝐷𝛼𝛼 𝓋𝓋�𝓉𝓉, ℰ(𝓉𝓉)� = ∑𝑐𝑐𝑖𝑖=1 𝐷𝐷+𝛼𝛼 |ℰ𝑖𝑖 (𝓉𝓉)| ≤ ∑𝑐𝑐𝑖𝑖=1 𝑠𝑠𝑠𝑠𝑠𝑠(ℰ𝑖𝑖 (𝓉𝓉))𝐷𝐷+𝛼𝛼 ℰ𝑖𝑖 (𝓉𝓉) ≤

𝑐𝑐 − ∑𝑐𝑐𝑖𝑖=1 𝑄𝑄𝑖𝑖 |ℰ𝑖𝑖 (𝓉𝓉)| + ∑𝑐𝑐𝑖𝑖=1�∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1 𝜋𝜋𝑗𝑗𝑗𝑗 𝜑𝜑𝑙𝑙𝑙𝑙 � �ℰ𝑗𝑗 (𝓉𝓉)�� +

𝑐𝑐 𝑚𝑚 𝑐𝑐 𝑐𝑐 ∑𝑐𝑐𝑖𝑖=1�∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1 𝜋𝜋𝑗𝑗𝑗𝑗 𝜗𝜗𝑙𝑙𝑙𝑙 � �ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)�� + ∑𝑖𝑖=1�∑𝑙𝑙=1(∑𝑎𝑎=1|𝑏𝑏𝑖𝑖𝑖𝑖𝑖𝑖 |) 𝑚𝑚𝑗𝑗 �ℰ𝑗𝑗 (𝓉𝓉)�� + 𝑐𝑐 ∑𝑐𝑐𝑖𝑖=1�∑𝑚𝑚 𝑙𝑙=1(∑𝑎𝑎=1|ℎ𝑖𝑖𝑖𝑖𝑖𝑖 |) 𝑙𝑙𝑗𝑗 �ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)��

=

𝑐𝑐 − ∑𝑐𝑐𝑖𝑖=1 𝑄𝑄𝑖𝑖 |ℰ𝑖𝑖 (𝓉𝓉)| + ∑𝑐𝑐𝑖𝑖=1�∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1 𝜋𝜋𝑗𝑗𝑗𝑗 𝜑𝜑𝑙𝑙𝑙𝑙 ���ℰ𝑗𝑗 (𝓉𝓉)� +

𝑐𝑐 𝑚𝑚 𝑐𝑐 𝑐𝑐 ∑𝑐𝑐𝑖𝑖=1�∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1 𝜋𝜋𝑗𝑗𝑗𝑗 𝜗𝜗𝑙𝑙𝑙𝑙 �� �ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)� + ∑𝑖𝑖=1�∑𝑙𝑙=1�∑𝑎𝑎=1�𝑏𝑏𝑖𝑖𝑖𝑖𝑖𝑖 �� 𝑚𝑚𝑗𝑗 ��ℰ𝑗𝑗 (𝓉𝓉)� +

𝑐𝑐 ∑𝑐𝑐𝑖𝑖=1�∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1�ℎ𝑖𝑖𝑖𝑖𝑖𝑖 �� 𝑙𝑙𝑗𝑗 ��ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)�

𝑚𝑚 𝑐𝑐 𝑐𝑐 = − ∑𝑐𝑐𝑖𝑖=1�𝑄𝑄𝑖𝑖 − ∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1�𝜋𝜋𝑗𝑗𝑗𝑗 𝜑𝜑𝑙𝑙𝑙𝑙 �� − ∑𝑙𝑙=1�∑𝑎𝑎=1�𝑏𝑏𝑖𝑖𝑖𝑖𝑖𝑖 �� 𝑚𝑚𝑗𝑗 � �ℰ𝑗𝑗 (𝓉𝓉)� +

𝑚𝑚 𝑐𝑐 𝑐𝑐 ∑𝑞𝑞𝑖𝑖=1�𝐶𝐶𝑖𝑖 − ∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1�𝜋𝜋𝑗𝑗𝑗𝑗 𝜗𝜗𝑙𝑙𝑙𝑙 �� − ∑𝑙𝑙=1�∑𝑎𝑎=1�ℎ𝑖𝑖𝑖𝑖𝑖𝑖 �� 𝑙𝑙𝑗𝑗 � �ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)�

𝑐𝑐 𝑚𝑚 𝑐𝑐 𝑐𝑐 ≤ min1≤𝑖𝑖≤𝑐𝑐 �𝑄𝑄𝑖𝑖 − ∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1�|𝜋𝜋𝑗𝑗𝑗𝑗 𝜑𝜑𝑙𝑙𝑙𝑙 |�� − ∑𝑙𝑙=1 ∑𝑎𝑎=1��𝑏𝑏𝑗𝑗𝑗𝑗 �𝑚𝑚𝑖𝑖 �� − ∑𝑖𝑖=1�ℰ𝑗𝑗 (𝓉𝓉)� + 𝑐𝑐 𝑚𝑚 𝑐𝑐 𝑐𝑐 max1≤𝑖𝑖≤𝑐𝑐 �∑𝑚𝑚 𝑙𝑙=1�∑𝑎𝑎=1�|𝜋𝜋𝑗𝑗𝑗𝑗 𝜗𝜗𝑙𝑙𝑙𝑙 |�� + ∑𝑙𝑙=1 ∑𝑎𝑎=1��ℎ𝑗𝑗𝑗𝑗 �𝑙𝑙𝑖𝑖 �� ∑𝑖𝑖=1�ℰ𝑗𝑗 (𝓉𝓉 − 𝜏𝜏)�

≤ 𝛾𝛾1 𝑉𝑉�𝑡𝑡, ℰ(𝓉𝓉)� + 𝛾𝛾2 sup 𝑉𝑉�𝓈𝓈, ℰ(𝓈𝓈)� 𝑡𝑡−𝜏𝜏≤𝓈𝓈≤𝑡𝑡

(37).

As whichever result ℰ𝑖𝑖 (𝓉𝓉) of error system (36) that fulfill the Razumikhin condition, one has sup 𝓋𝓋�𝓈𝓈, ℰ(𝓈𝓈)� ≤ 𝓋𝓋�𝑡𝑡, ℰ(𝓉𝓉)�

𝑡𝑡−𝜏𝜏≤𝓈𝓈≤𝑡𝑡

has

(38).

Then, based on (37), (38) and Theorem 2, it is assumed that there is a constant 𝛿𝛿 > 0, one �

𝐷𝐷+𝛼𝛼 𝓋𝓋�𝑡𝑡, ℰ(𝓉𝓉)� ≤ −(𝛾𝛾1 − 𝛾𝛾2 )𝓋𝓋�𝑡𝑡, ℰ(𝓉𝓉)� 𝛾𝛾1 − 𝛾𝛾2 ≥ 𝛿𝛿

(39),

and from (39), one observes that

𝐷𝐷+𝛼𝛼 𝓋𝓋�𝑡𝑡, ℰ(𝓉𝓉)� ≤ 𝛿𝛿𝓋𝓋�𝑡𝑡, ℰ(𝓉𝓉)�

(40).

𝓋𝓋�𝑡𝑡, ℰ(𝓉𝓉)� ≤ 𝓋𝓋(0)𝐸𝐸𝛼𝛼 (−𝛿𝛿𝑡𝑡 𝛼𝛼 )

(41).

Then from (40) and Lemma 1,

*Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

9

So, â&#x20AC;&#x2013;â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)â&#x20AC;&#x2013; = â&#x20AC;&#x2013;đ?&#x201D;ˇđ?&#x201D;ˇđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;Ľđ?&#x2018;Ľ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)â&#x20AC;&#x2013; = â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1â&#x20AC;&#x2013;đ?&#x201D;ˇđ?&#x201D;ˇđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;Ľđ?&#x2018;Ľ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)â&#x20AC;&#x2013;

â&#x2030;¤ â&#x20AC;&#x2013;Ψđ?&#x2018;&#x153;đ?&#x2018;&#x153; â&#x2C6;&#x2019; â&#x2C6;&#x2026;0 â&#x20AC;&#x2013;đ??¸đ??¸đ?&#x203A;źđ?&#x203A;ź (â&#x2C6;&#x2019;đ?&#x203A;żđ?&#x203A;żđ?&#x2018;Ąđ?&#x2018;Ą đ?&#x203A;źđ?&#x203A;ź )

(42)

It is concluded that the equilibrium point stabilization is stable if â&#x201E;° = 0. This is proof that as â&#x20AC;&#x2013;â&#x201E;°(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)â&#x20AC;&#x2013; â&#x2020;&#x2019; 0 (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2020;&#x2019; + â&#x2C6;&#x17E; ), the DSMD (29) is stable. This sums up the proof. â&#x2C6;&#x17D;

4 RESULTS AND FINDINGS

In this part, to validate the viability and efficiency of the gained outcomes, the suggested idea with numerical examples is revealed. As we know the master systems are in the form of integer order, so the value for đ?&#x203A;źđ?&#x203A;ź0 is 1. Suppose that the following are the master IoDRNNASM systems and the slave FoDRNNASM systems with the proposed outcomes. đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)) + Î&#x201C;

đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) = â&#x2C6;&#x2019;đ??¸đ??¸đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ??ľđ??ľđ??ľđ??ľďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ + đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?)ďż˝ + đ??˝đ??˝ + đ??ˇđ??ˇđ?&#x203A;źđ?&#x203A;ź0 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) â&#x2C6;&#x2019; đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) + Ψ(đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;))

Ψ�đ?&#x201D;ˇđ?&#x201D;ˇ(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;), đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)ďż˝ â&#x2C6;ś= đ?&#x203A;Żđ?&#x203A;Ż1 đ?&#x153;&#x2019;đ?&#x153;&#x2019; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) + đ?&#x203A;Żđ?&#x203A;Ż2 đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; â&#x2C6;&#x2019; đ?&#x153;?đ?&#x153;?),

where đ?&#x203A;źđ?&#x203A;ź = 0 . 98, đ?&#x153;?đ?&#x153;? = 0 . 5, đ?&#x2018;&#x201C;đ?&#x2018;&#x201C; (đ?&#x153;&#x2019;đ?&#x153;&#x2019;(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;)) = đ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąâ&#x201E;&#x17D; (đ?&#x153;&#x2019;đ?&#x153;&#x2019; (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; )), đ?&#x2018;&#x201D;đ?&#x2018;&#x201D; (đ?&#x201D;ˇđ?&#x201D;ˇ (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; )) = đ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąđ?&#x2018;Ąâ&#x201E;&#x17D; (đ?&#x201D;ˇđ?&#x201D;ˇ (đ?&#x201C;&#x2030;đ?&#x201C;&#x2030; )), đ?&#x203A;Żđ?&#x203A;Ż1 = (0 , 1 , 0) , đ?&#x203A;Żđ?&#x203A;Ż2 = (0 , 1 , 0) , Î&#x201C; = (0 , 0 , 0)đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; , đ??˝đ??˝ = (0 , 0 , 0)đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; , â&#x2C6;&#x2019;9.5 0 0 đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; = ďż˝ 0 â&#x2C6;&#x2019;10.5 0 ďż˝, 0 0 â&#x2C6;&#x2019;3.7 â&#x2C6;&#x2019;1 0 0 đ??¸đ??¸ = ďż˝ 0 â&#x2C6;&#x2019;3 0 ďż˝, 0 0 â&#x2C6;&#x2019;7.7

2 0.5 5.5 đ?&#x2018;&#x2C6;đ?&#x2018;&#x2C6; = ďż˝0.5 0.5 5.1 ďż˝, 0.5 1 â&#x2C6;&#x2019;5.5

0.01 0.3 7.5 đ??ľđ??ľ = ďż˝0.01 0.5 7.5 ďż˝, 0.01 3 â&#x2C6;&#x2019;5.5

7 7 4.1 đ?&#x2018;&#x2030;đ?&#x2018;&#x2030; = ďż˝ 1 1 2.5ďż˝ 0.1 â&#x2C6;&#x2019;10.1 4.5 0.3 5.5 5.5 đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; = ďż˝0.5 2.5 5.5ďż˝ 0.1 â&#x2C6;&#x2019;1.5 1.5

The numerical simulation technique is introduced here using the MATLAB software. The results using this software are demonstrated by the graphical presentation. For this, IoDRNNASM controls the master system while FoDRNNASM controls the slave system. The findings are seen with the initial state of the master system as(đ?&#x153;&#x2019;đ?&#x153;&#x2019;1 (0), đ?&#x153;&#x2019;đ?&#x153;&#x2019;2 (0), đ?&#x153;&#x2019;đ?&#x153;&#x2019;3 (0)) = (0.1 , 0.3 , â&#x2C6;&#x2019;0.1 ) while the initial state of slave system is (đ?&#x201D;ˇđ?&#x201D;ˇ1 (0), đ?&#x201D;ˇđ?&#x201D;ˇ2 (0), đ?&#x201D;ˇđ?&#x201D;ˇ3 (0)) = (0.1 , 1.2 , 0.1).

The results of synchronization of IoDRNNASM and FoDRNNASM without the activation of the controller are shown in Figure 1 is a graphical display with the dependent variables đ?&#x2018;Ľđ?&#x2018;Ľ, đ?&#x2018;Śđ?&#x2018;Ś, and đ?&#x2018;§đ?&#x2018;§ and time đ?&#x2018;Ąđ?&#x2018;Ą as an independent variable function with the order đ?&#x203A;źđ?&#x203A;ź0 = 1 and đ?&#x203A;źđ?&#x203A;ź = 0 . 98.

10

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

Figure 1: Chaotic attractor of IoDRNNASM system (2) and FoDRNNASM system (4) without control input.

The results of the simulation of the synchronization of IoDRNNASM and FoDRNNASM systems with the activation of the controller are shown in Figure 2 in x-y state trajectories.

Figure 2: The x-y state trajectories of IoDRNNASM system (2) and FoDRNNASM system (4) with control input.

Figure 3: The IoDRNNASM and FoDRNNASM systems of state trajectories of đ?&#x153;&#x2019;đ?&#x153;&#x2019;1(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x201D;ˇđ?&#x201D;ˇ1(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x153;&#x2019;đ?&#x153;&#x2019;2(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x201D;ˇđ?&#x201D;ˇ2(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x153;&#x2019;đ?&#x153;&#x2019;3(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; đ?&#x201D;ˇđ?&#x201D;ˇ3(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) without control input.

*Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

11

Figure 3 shows the state trajectories of synchronization of IoDRNNASM system with initial conditions (0.1, 0.3, â&#x2C6;&#x2019;0.1 ) and FoDRNNASM system with initial conditions (0.1, 1.2, 0.1) with controller activation for the simulation time 200s.

Figure 4 shows the state trajectories of synchronization of IoDRNNASM system with initial conditions (0.1, 0.3, â&#x2C6;&#x2019;0.1 ) and FoDRNNASM system with initial conditions (0.1, 1.2, 0.1) without controller activation for the simulation time 200s.

Figure 4: The IoDRNNASM and FoDRNNASM systems of state trajectories of đ?&#x153;&#x2019;đ?&#x153;&#x2019;1(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x201D;ˇđ?&#x201D;ˇ1(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x153;&#x2019;đ?&#x153;&#x2019;2(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x201D;ˇđ?&#x201D;ˇ2(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) , đ?&#x153;&#x2019;đ?&#x153;&#x2019;3(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; đ?&#x201D;ˇđ?&#x201D;ˇ3(đ?&#x201C;&#x2030;đ?&#x201C;&#x2030;) with control input

In Figure 5, it performed a comparison of the synchronization errors of IoDRNNASM and FoDRNNASM systems. From the simulation, the state error does not converge to zero as the control is not activated.

Figure 5: The error trajectories of IoDRNNASM system (2) and FoDRNNASM system (4) without control input.

12

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

The convergence of state error in the finite time is proven in Figure 6. It showed that all the systems converge to zero as the controller is activated

Figure 6: The error trajectories of IoDRNNASM system (2) and FoDRNNASM system (4) with control input

5 DISCUSSION Chaotic synchronization has suffered from modulation data through the public channel by hackers. A variety of approaches and procedures has been established to hide the secrecy of the message data or information by consuming chaotic signals. But numerous studies have shown that the record of the current approaches is untrustworthy in the security problem. Based on the above problems, to improve the security strength of the cryptosystem that will provide powerful security, we believed that we can introduce a new idea which is the combination of NNs synchronization with the RSA algorithm and we called this combination as double encryption. The idea is shown in Figure 7.

Figure 7: Double encryption IoDRNNASM and FoDRNNASM system.

6 CONCLUSION Within this paper, we analyzed the synchronization of IoDRNNASM systems and FoDRNNASM systems. Based on the DASMC, the theory of DAMC, the FLDM is introduced to *Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

13

prove the synchronization efficiency. We have proved that the synchronization of IoDRNNASM systems and FoDRNNASM systems can occur when the proposed controller is activated and the result showed that the state error is converged to zero. Further research may experiment with synchronization the FoRNNs with non-identical orders.

7 AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

8 ACKNOWLEDGEMENT This research work is funded by the project grant No. GPF033B-2018.

9 REFERENCES [1] Podlubny I. Fractional Differential Equations: Methods of Their Solution and Some of Their Applications. Academic Press; 1998. p. 340-.

[2] Hilfer R. Applications of Fractional Calculus in Physics: Applications of Fractional Calculus in Physics; 2000.

[3] Muthukumar P, Balasubramaniam P. Feedback synchronization of the fractional order reverse butterfly-shaped chaotic system and its application to digital cryptography. Nonlinear Dynamics.

2013;74(4):1169-81.

[4] Pecora LM, Carroll TL. Synchronization in chaotic systems. Physical Review Letters.

1990;64(8):821-4.

[5] Banerjee S. Chaos synchronization and cryptography for secure communications: applications for encryption: Information Science Reference; 2011. 570- p.

[6] Nana B, Woafo P, Domngang S. Chaotic synchronization with experimental application to secure communications. Communications in Nonlinear Science and Numerical Simulation.

2009;14(5):2266-76.

[7] Luo ACJ. A theory for synchronization of dynamical systems. Communications in Nonlinear Science and Numerical Simulation. 2009;14(5):1901-51.

[8] Sagar RK, Arif M. Synchronization control of two identical three restricted body problems via active control. New Trends in Mathematical Science. 2018;3(6):137-46.

[9] Vaidyanathan S, Azar AT. Adaptive control and synchronization of Halvorsen circulant chaotic systems. 337: Springer, Cham; 2016. p. 225-47.

[10] Stamova I, Stamov G. Mittag-Leffler synchronization of fractional neural networks with timevarying delays and reaction-diffusion terms using impulsive and linear controllers. Neural Networks. 2017;96:22-32.

[11] Chen D, Zhang R, Sprott JC, Chen H, Ma X. Synchronization between integer-order chaotic systems and a class of fractional-order chaotic systems via sliding mode control. Chaos: An Interdisciplinary Journal of Nonlinear Science. 2012;22(2):023130.

[12] Liu H, Hou B, Xiang W. Uncertain Nonlinear Chaotic Gyros Synchronization by Using Adaptive Fuzzy Control. International Journal of Online Engineering. 2013;9(3).

[13] Jia S, Hu C, Yu J, Jiang H. Asymptotical and adaptive synchronization of Cohenâ&#x20AC;&#x201C;Grossberg neural networks with heterogeneous proportional delays. Neurocomputing. 2018;275:1449-55.

[14] Li Y, Li C. Complete synchronization of delayed chaotic neural networks by intermittent control with two switches in a control period. Neurocomputing. 2016;173:1341-7.

14

Fatin Nabila Abd Latiff, Wan Ainun Mior Othman, N. Kumaresan

[15] Sun W, Wang S, Wang G, Wu Y. Lag synchronization via pinning control between two coupled networks. Nonlinear Dynamics. 2015;79(4): 2659-66.

[16] Yang X, Ho DWC. Synchronization of delayed memristive neural networks: Robust analysis approach. IEEE Transactions on Cybernetics. 2016;46(10):3377-87.

[17] Bai EW, Lonngren KE. Sequential synchronization of two Lorenz systems using active control.

Chaos, solitons and fractals. 2000;11(7):1041-4.

[18] Agrawal SK, Srivastava M, Das S. Synchronization of fractional order chaotic systems using active control method. Chaos, Solitons and Fractals. 2012;45(6):737-52.

[19] Bhalekar S, Daftardar-Gejji V. Synchronization of different fractional-order chaotic systems using active control. Communications in Nonlinear Science and Numerical Simulation.

2010;15(11):3536-46.

[20] Agiza HN, Yassen MT. Synchronization of Rossler and Chen chaotic dynamical systems using active control. Physics Letters, Section A: General, Atomic and Solid State Physics.

2001;278(4):191-7.

[21] Ho MC, Hung YC. Synchronization of two different systems by using generalized active control. Physics Letters, Section A: General, Atomic and Solid State Physics. 2002;301(5-6):424-8.

[22] Lin JS, Yan JJ, Liao TL. Chaotic synchronization via adaptive sliding mode observers subject to input nonlinearity. Chaos, Solitons and Fractals. 2005;24(1):371-81.

[23] Yau HT. Design of adaptive sliding mode controller for chaos synchronization with uncertainties. Chaos, Solitons and Fractals. 2004;22(2):341-7.

[24] Zhang H, Ma XK, Liu WZ. Synchronization of chaotic systems with parametric uncertainty using active sliding mode control. Chaos, Solitons and Fractals. 2004; 21(5):1249-57.

[25] Hu T, He Z, Zhang X, Zhong S. Global synchronization of time-invariant uncertainty fractionalorder neural networks with time delay: Neurocomputing; 2019. 45-58 p.

[26] Yang LX, He WS, Liu XJ. Synchronization between a fractional-order system and an integer order system. Computers and Mathematics with Applications. 2011; 62(12):4708-16.

[27] Stamova I. Global Mittag-Leffler stability and synchronization of impulsive fractional-order neural networks with time-varying delays. Nonlinear Dynamics. 2014; 77(4):1251-60.

[28] Li C, Deng W. Remarks on fractional derivatives. Applied Mathematics and Computation.

2007;187(2):777-84.

Fatin Nabila Binti Abd Latiff is a Ph.D. student at Institute of Mathematical Sciences, University of Malaya. She received a Bachelor of Sciences (Mathematics) from University of Malaya and Master of Sciences (Mathematics) from University of Malaya. Her research interests include Chaos Cryptography and Secure Communication.

Dr.Wan Ainun obtained is an Associate Professor and Head of the Centre of Mathematical and Statistical Analysis, University of Malaya. Her B.Sc. and M.Sc. degrees are from University of Charlotte, North Carolina and North Carolina State University. She got her PhD in the area of Computer Aided Geometric Design. Her research interests are Cryptography, Geometric Modelling and Differential Equations.

Dr.N. Kumaresan is a Senior Lecturer at Institute of Mathematical Sciences, University of Malaya. He got a B.S.(Mathematics) from Madras University, an M.S. (Mathematics) from Bharathidasan University, an M.Phil.

(Mathematics) from Madurai Kamaraj University, a PhD (Mathematics) from Gandhigram Rural Universtiy. His research involves Applied Mathematics in the areas of Optimal Control Theory, Differential Equation & Applications, Neural Networks, Ant Colony Programming and Genetic Programming, Fuzzy systems and Neuro-Fuzzy Systems.

*Corresponding author (W.A.M.Othman, F.N.A.Latiff) wanainun@um.edu.my, fatin_nabilaa@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12D http://TUENGR.COM/V11A/11A12D.pdf DOI: 10.14456/ITJEMAST.2020.229

15

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12E

PROBIOTIC POTENTIAL OF MICROORGANISMS OBTAINED FROM THE INTESTINES OF WILD BIRDS 1*

2

3

Albina Luneva , Andrei Koshchayev , Anton Nesterenko , 2 2 Elena Volobueva , Alexey Boyko 1

Department of Parasitology, Veterinary Examination and Pet Hygiene, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. 2 Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. 3 Department of Technology for Storage and Processing of Livestock Products, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 16 December 2019 Received in revised form 21 May 2020 Accepted 08 June 2020 Available online12 June 2020

This article presents the study results of the probiotic potential of lactic acid bacteria isolated from the gastrointestinal tract of wild birds.

From a series of experiments, results found that lactobacilli (Lactobacillus brevis and Lactobacillus parabuchneri) have high probiotic properties. They do not show an inhibitory effect on the beneficial microbiota of the intestine, as well as each other since when they were jointly cultivated on an agarized nutrient medium in different combinations, growth retardation zones did not appear. When studying the safety of the studied lactobacilli, it revealed that cultures on blood agar do not form lysis zones around themselves, which confirms the negative result of hemolysis, and with the introduction of lactic acid bacteria to laboratory mice, there was no pronounced toxicosis.

Keywords:

Lactobacilli; Antagonism; Opportunistic microorganisms; Pathogenic microorganisms; Test culture; Lactobacillus parabuchneri; Lactobacillus Brevis.

Disciplinary: Microbiology, MicrobioScience.

Biotechnology,

Animal

Science,

©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION One of the main problems of veterinary medicine is the emergence of microorganisms with pathogenic properties that have become resistant to several antibiotic drugs. The constant use of these drugs in the diet has a negative effect not only on the quality of products but also reduces the immunity of farm animals and poultry. Also, antibiotic substances of drugs inhibit the vital activity of their own microbiocenosis, which is a prerequisite for the development of diseases. In this regard, for the prevention and treatment of diseases caused by microbial imbalance, the use of biological *Corresponding author (Albina Luneva). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12E http://TUENGR.COM/V11A/11A12E.pdf DOI: 10.14456/ITJEMAST.2020.230

1

products of microbial origin is relevant [4, 9, 13].

Natural normoflora takes an active part in maintaining the colonization stability of the intestinal mucosa and has a large role in preventing diseases. By isolating antibiotic substances into the intestinal environment, they contribute to the inhibition of the growth of pathogenic and conditionally pathogenic microflora, which is the causative agent of various internal non-communicable diseases.

The beneficial microflora in the composition of biological products has an anti-infectious, immunomodulatory effect on the body; increases protective functions, and stimulates intestinal motility and excretory functions. Biological products based on live microflora are used both for prophylaxis and therapy. However, each species of animal and bird has its own microflora of the gastrointestinal tract, which has probiotic characteristics. As practice shows, the use of active probiotic microorganisms made based on live strain cultures that were isolated from the gastrointestinal tract from one type of living organism is not always effective when used in another species [7, 10, 11, 12].

It follows that the development of biological products based on their own useful native microflora, which can replace antibiotics, is an urgent area, and the study of the properties of the new isolated useful microflora is both scientific and practical.

The aim of the research work is to study the probiotic potential of lactic acid bacteria isolated from the gastrointestinal tract of wild birds.

2. METHOD The objects of research were lactic acid bacteria Lactobacillus brevis and Lactobacillus parabuchneri isolated from the gastrointestinal tract of wild quail Coturnixcoturnix.

The antagonistic activity of lactic acid microorganisms with respect to field pathogenic strains was studied by diffusion methods (in-vitro): the method of agar layers [2], holes [1, 8], perpendicular strokes [5, 8] and drops [3] in various modifications. As a test culture used conditionally pathogenic field strains isolated from natural conditions at the poultry farms of the Krasnodar Territory.

We studied the antagonistic properties of lactobacilli with respect to laboratory (reference) test cultures of pathogenic and conditionally pathogenic microflora of various groups (S. aureus ATCC 25923, B. subtilis 534, E. coli ATCC 25922, Sh. Sonnei 941, P. aeruginosa ATCC 27853, Klebsiella pneumonia K1 5054, C. Albicans ATCC 885-653) by the method of delayed antagonism [6].

The ability of the in-vitro probion strains to inhibit the growth of representatives of the intestinal normoflora, as well as each other, was studied according to the recommendations [6]. As test organisms, a pure Lactobacillus acidophilus culture isolated from the Linex medicine (Slovenia) was used; Lactobacillus acidophilus strain n.v. Ep 317/402 (â&#x20AC;&#x153;Narineâ&#x20AC;? preparation, Armenia); Lactobacillus galinarum isolated from the intestines of birds.

A study was made of the release (direct and indirect method) and adhesive properties of strains of lactobacilli in cell models [6]. The study of the release of lactobacilli was carried out by the direct reaction of the release activity of cultures. For confirmation, an indirect method was also used, which is based on the reaction of the anti-adhesive activity of the supernatant of lactobacillus cultures. The adhesive properties of lactobacilli were studied on the intestinal enterocytes of chicken embryos. The

2

A.Luneva , A.Koshchayev, A.Nesterenko, E.Volobueva, A.Boyko

adhesion level of individual bacterial strains was conditionally differentiated into four degrees: non-adhesive (AAI = 0); weakly adhesive (AAI = 1−5); medium adhesive (AAI = 5−10) and highly adhesive (AAI above 10).

As additional methods for studying the safety of used cultures of lactobacilli, the hemolytic activity of invitro and the safety of in-vivo strains were studied. The determination of hemolytic activity was carried out on 5% blood agar. The safety of the studied cultures was in vivo studied in laboratory white mice. Observation of laboratory animals was carried out for five days [6].

To process the results of the experiments, statistical methods were used with finding the arithmetic mean (M), the average error of the arithmetic mean (m) and the probability of error according to Student Tables.

3. RESULT AND DISCUSSION 3.1 ANTAGONISM TO FIELD PATHOGENIC MICROFLORA The results of a study of the inhibitory activity of lactic acid microorganisms showed that all two strains to varying degrees exhibited an antibacterial effect on the growth of the pathogenic culture. It was found that the zone of delay of pathogenic cultures using various diffusion methods was in the range of 2.0–7.0 mm. Using the modified method of perpendicular strokes showed a growth inhibition zone of 5.0–7.0 mm, a hole method of 2.0–4.0 mm, a drop method of 3.0–6.0 mm, and an agar layer method of 3.0-6.0 mm. Table 1 presents the study results of the antagonistic activity of the tested lactic acid cultures.

Table 1: Zone of growth retardation of field pathogenic cultures from the action of lactobacilli, mm Lactobacillus studied Lactobacillus brevis Lactobacillus parabuchneri Agar layer method Escherichia coli 3.0 ± 0.1 3.0± 0.1 Staphylococcus aureus 4.0 ± 0.1 6.0± 0.2 Hole method Escherichia coli 3.0 ± 0.1 2.0± 0.1 Staphylococcus aureus 4.0 ± 0.1 4.0± 0.2 Perpendicular stroke method Escherichia coli 5.0 ± 0.3 7.0± 0.2 Staphylococcus aureus 7.0 ± 0.3 6.0± 0.3 Drops method Escherichia coli 4.0 ± 0.1 3.0± 0.1 Staphylococcus aureus 5.0 ± 0.2 6.0± 0.2 Pathogenic culture

When studying antagonistic activity by the agar layer method, it was found that the growth inhibition zone of Escherichiacoli and Staphylococcus aureus during incubation of Lactobacillus brevis was 3.0 and 4.0 mm, and when growing Lactobacillus parabuchneri, 3.0 and 6.0 mm, respectively.

When studying the antagonism by the hole method, it was found that the growth retardation zone of Escherichia coli and Staphylococcus aureus during the cultivation of Lactobacillus brevis was 3.0 and 4.0 mm, and when growing Lactobacillus parabuchneri, 2.0 and 4.0 mm. *Corresponding author (Albina Luneva). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12E http://TUENGR.COM/V11A/11A12E.pdf DOI: 10.14456/ITJEMAST.2020.230

3

The method of perpendicular strokes showed that under the influence of Lactobacillus brevis, the growth retardation zone of the test strains was 5.0 and 7.0 mm, respectively. Under the action of inhibitory agents secreted by Lactobacillus parabuchneri, the growth retardation zone of the test cultures was 7.0 mm ( Escherichia coli) and 6.0 mm (Staphylococcus aureus).

When testing the antagonistic activity of wild quail lactobacilli isolated from the intestine by the drop method, it was found that all cultures showed an antibacterial effect on the growth of Escherichiacoli. The growth retardation zone of this testing culture was 3.0 and 4.0 mm. The staphylococcus aureus growth inhibition zone when cultured with Lactobacillus brevis and Lactobacillus parabuchneri was 5.0 and 6.0 mm.

Thus, the results of the experiments showed that lactobacilli isolated from the gastrointestinal tract of wild quail exhibit antagonistic properties with respect to field pathogenic microflora, which makes them promising for further experiments.

3.2 ANTAGONISM TO REFERENCE PATHOGENIC MICROFLORA. Additionally, the antagonistic ability of the studied cultures was studied in relation to the reference test cultures of pathogenic and conditionally pathogenic microflora. The research results are presented in Table 2.

Table 2: Zone of growth retardation of laboratory test cultures from the action of lactobacilli, mm Test culture S. aureus АТСС 25923 В. subtilis 534 Е. coli АТСС 25922 Sh. sonnei 941 Р. aeruginosa АТСС 27853 Klebsiella pneumonia К1 5054 С. albicans АТСС 885-653

Lactobacillus studied Lactobacillus brevis Lactobacillus parabuchneri 21.0± 0.10 21.0± 0.17 14.0± 0.10 11.0± 0.18 21.0± 0.12 25.0± 0.16 10.0± 0.11 9.0± 0.14 22.0± 0.12 22.0± 0.15 23.0± 0.12 24.0± 0.16 11.0± 0.10 12.0± 0.14

As a result of the studies, it was found that the antagonistic activity of the studied cultures of lactobacilli in relation to the reference test strains was higher than when influencing field pathogenic test cultures. According to the recommendations, a zone of 20 mm inhibition of the test culture by them is taken as a positive result of the antagonistic properties of microorganisms [6]. In this case, the high antagonistic properties of Lactobacillus brevis are shown for S. aureus ATCC 25923 (21.0 mm), E. coli ATCC 25922 (21.0 mm) and P. aeruginosa ATCC 27853 (22.0 mm), Klebsiella pneumonia K1 5054 (23.0 mm). Lactobacillus parabuchneri inhibits the growth of S. aureus ATCC 25923 (21.0 mm), E. coli ATCC 25922 (25.0 mm), P. aeruginosa ATCC 27853 (22.0 mm) and Klebsiella pneumonia K1 5054 (24.0 mm) well. ) In relation to other reference test strains, the studied lactobacilli also exhibit antagonistic properties, but to a lesser extent, which does not reduce their probiotic potential. So, the delay zone of B. subtilis 534, Sh. sonnei 941, C. Albicans ATCC 885-653 upon the cultivation of Lactobacillus brevis was 14.0; 10.0 and 11.0 mm, respectively. The growth inhibition zone of the corresponding reference test cultures, when exposed to Lactobacillus parabuchneri, was 11.0; 9.0 and 12.0 mm.

Thus, Lactobacillus Brevis and Lactobacillus parabuchneri isolated from the gastrointestinal tract of wild quail exhibit antagonistic properties with respect to laboratory pathogenic test culture.

4

A.Luneva , A.Koshchayev, A.Nesterenko, E.Volobueva, A.Boyko

3.3 ANTAGONISM TO THE NORMOFLORA OF THE INTESTINE The next stage of the work was to identify the ability of probiotic strains to inhibit representatives of the intestinal normoflora, as well as each other. The determination of the interaction of the studied strains with representatives of normoflora was studied by the method of perpendicular strokes.

Sowing the studied culture in the form of a stroke in diameter per cup with nutrient medium MPC. Perpendicular to the first sowing, strokes of other test cultures were made. Cultivation was carried out at 37 ° C for 24–48 hours. The results of the studies were taken into account in the zone of growth inhibition (Table 3) Table 3: Inhibitory activity of the studied lactobacilli in relation to normoflora, mm Test culture Lactobacillus acidophilus (Linex strain) Lactobacillus acidophilus strain n.v. Ep 317/402 Lactobacillus galinarum Lactobacillus Brevis Lactobacillus parabuchneri

Zone of growth inhibition, mm Lactobacillus Brevis Lactobacillus parabuchneri 0 0 0 0 0 0 − 0 0 −

The research results showed that when co-growing crops in any version, there was no growth retardation of the studied and tested cultures of microorganisms.

Thus, the lactic acid bacteria studied in the research work do not show an inhibitory effect on the beneficial microflora, as well as in relation to each other.

3.4 RELEASE PROPERTIES OF LACTOBACILLI Anti-adhesive properties of microorganisms are the ability of a culture to prevent or reduce the attachment actions (adhesion) of pathogenic microorganisms to the object of adhesion, in our case, sheep blood red blood cells. As indicated in the "Methods" section, the studied property of lactobacilli was determined by the method of direct and indirect reaction. Anti-adhesive properties of lactobacilli were carried out in relation to test cultures (Escherichia coli and Staphylococcus aureus). The research results are presented in Tables 4 and 5.

Table 4: Results of the release properties of the objects of research to E. coli Research method Direct method

Indirect method

Release agent objects Control Lb. brevis Lb. parabuchneri Control Supernatant Lb. brevis Supernatant Lb. parabuchneri

Release properties to control,% 100.0 45.6 43.8 100.0 37.4 35.6

As a result of the studies, it was established that the studied cultures possessed anti-adhesive properties with respect to test strains, but to a different degree. So, with the influence of lactobacilli on the adhesion of E. Coli to sheep erythrocytes in the direct method, it was revealed that the Lb culture had the highest anti-adhesive properties (45.6%). brevis. Lb. Parabuchneri contributed to the release of E. Coli equal to 43.8%.

When studying the release properties of the supernatant of lactobacilli against E. coli, their *Corresponding author (Albina Luneva). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12E http://TUENGR.COM/V11A/11A12E.pdf DOI: 10.14456/ITJEMAST.2020.230

5

positive effect was also revealed. Lactobacillus supernatants had anti-adhesive properties, which indicates the presence of metabolites that inhibit adhesion, which developed lactic cultures. So, the release properties of the supernatant Lb. brevis in relation to E. Coli amounted to 37.4%, and the release properties of the supernatant of Lb. Parabuchneri 35.6%.

Table 5: The results of the release properties of the objects of research to S. aureus Research method Direct method

Indirect method

Release agent objects Control Lb. brevis Lb. parabuchneri Control Supernatant Lb. brevis Supernatant Lb. parabuchneri

Release properties to control,% 100.0 61.2 59.3 100.0 39.7 37.8

Similar results were obtained in the study of the release properties of lactobacilli against S. aureus. Release properties of Lb. Brevis and Lb. Parabuchneri in the direct method against S. aureus accounted for 61.2 and 59.3%. The supernatants of the studied cultures in relation to S. Aureus also showed anti-adhesive action, but to a lesser extent than native lactobacilli (39.7 and 37.8%).

Thus, the results of the studies showed that live cultures of lactobacilli provide a higher result of the release properties than their metabolic products.

3.5 ADHESIVE PROPERTIES OF LACTOBACILLI Adhesive activity - the ability of microorganisms to attach to the intestinal epithelial cells and multiply before the enterocytes of the mucous layer are renewed. This ability microflora is provided due to the production of a number of components (drank or fimbriae), which help to gain a foothold on the epithelial cell. These components are called - factors of colonization or adhesion.

Microorganisms can express various types of pili, which are encoded by different chromosomal and plasmid genes. This genetic diversity allows the cell culture to adapt to a changing environment and use this opportunity in relation to various surface structures of the host organism [6]. The results of the adhesion of the studied lactobacilli in relation to enterocytes of the intestines of the chicken embryo are presented in Table 6.

Table 6: Average adhesion index (SPA) (when counting on 25 enterocytes) of the studied cultures of lactobacilli Test lactobacilli Lactobacillus Brevis Lactobacillus parabuchneri

Average adhesion index (AAI) 13.1 Âą 0.47 13.6 Âą 0.50

When counting the number of microbial cells attached to enterocytes, it was found that all the studied cultures of lactobacilli had highly adhesive properties, since the AAI was 13.1 (for Lactobacillus Brevis) and 13.6 (for Lactobacillus parabuchneri).

Thus, the studied lactobacilli exhibit adhesive ability, which also confirms their probiotic potential.

6

A.Luneva , A.Koshchayev, A.Nesterenko, E.Volobueva, A.Boyko

3.6 SAFETY OF THE STUDIED LACTOBACILLI The safety of lactobacillus cultures used in the study was studied by their manifestation of hemolytic activity on blood agaris when they were orally administered to mice [6].

The production of hemolysins is considered a pathogenicity factor, in this regard, the production of hemolysin in many cases is a marker of virulence. As a result of the experiment, when lactic cultures were grown on 5% blood agar of the lysis zone around them, it was not revealed the result of hemolysis is negative. The studied cultures of lactic acid bacteria do not exhibit hemolytic activity.

The results of studies on the safety of lactobacilli in mice are presented in Table 7.

Table 7: The safety of the studied lactobacilli in mice (n = 5) Group

Kind of animal

Intact Control 1st experience 2nd experience

Mouse

Amount of injected fluid, method of administration − 0.5 ml, orally (saline) 0.5 ml orally (Lb. brevis) 0.5 ml orally Lb. parabuchneri)

got sick 0 0 0 0

Test result died 0 0 0 0

survived 5 5 5 5

As a result of the experiment, within 5 days it was found that in all groups of mice no deaths and diseased animals were recorded. During a daily examination of laboratory animals, it was possible to observe that the mice remained mobile and active, satisfactory food intake was recorded, while maintaining all vital reflexes.

Thus, the lactobacilli cultures used in the research work are safe for use.

4. CONCLUSION A set of experiments to study the probiotic potential of lactic acid cultures (Lactobacillus brevis and Lactobacillus parabuchneri) showed that microorganisms isolated from the intestines of wild quail have high probiotic properties. They do not show an inhibitory effect on the beneficial microbiota of the intestine, as well as each other since when they were jointly cultivated on an agarized nutrient medium in different combinations, growth retardation zones did not appear. The studied lactobacilli to varying degrees exhibit antagonistic activity against the field and reference conditionally pathogenic and pathogenic test culture, in particular, the growth inhibition zones of field pathogenic microorganisms were in the range 2.0–7.0 mm, while the reference test crops 9.0–25.0 mm. The cultures of the studied microorganisms showed high antiadhesive properties (35.6–61.2%), which were expressed in the fact that the pathogenic strains of Escherichia Coli and Staphylococcus aureus did not attach to sheep erythrocytes. Adhesive properties were revealed in lactobacilli, which were expressed in the ability of cultures to attach to the intestinal enterocytes of the chicken embryo, while the average adhesion rate when counting 25 enterocytes of the studied cultures of lactobacilli was 13.1–13.6 units. When studying the safety of the studied lactobacilli, it was revealed that cultures on blood agar do not form lysis zones around themselves, which confirms the negative result of hemolysis, and with the introduction of lactic acid bacteria to laboratory mice, *Corresponding author (Albina Luneva). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12E http://TUENGR.COM/V11A/11A12E.pdf DOI: 10.14456/ITJEMAST.2020.230

7

there was no pronounced toxicosis. Thus, these lactobacilli are promising and can be included in the composition of biological products of microbial origin for use in industrial animal husbandry, in particular poultry farming.

5. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

6. ACKNOWLEDGEMENT This work was prepared under the grant of the President of the Russian Federation for the state support of young Russian scientists - candidates of science (Contract No. 075-15-2020-254 of 17.03.2020).

7. REFERENCES [1] Chervynets Yu.V. (2006). Bacteriocinogenic highly antagonistic strains of lactobacilli.

Microbiology. 7, 78â&#x20AC;&#x2019;82.

[2] Glushanova N.A., Blinov A.I., Bakhaev V.V. (2004). On the antagonism of probiotic lactobacilli.

Epidemiology and infectious diseases. 6, 37.

[3] Zaborskikh E.I. (1976). Antagonistic activity of mesophilic lactic streptococci and their experimental selection. Irkutsk, Russia, 28 p.

[4] Lysenko Yu.A., Shuvaeva T.M., Radchenko V.V., Ilnitskaya E.V., Koshchaev A.G. (2015).

Intensification of poultry using probiotic feed additives. Veterinary medicine of Kuban. 5, 7-10.

[5] Irkitova A.N., Kagan Ya. R., Sergeeva I. Ya. (2011). Properties, environmental aspects and practical importance of acidophilus bacillus. Actual problems of machinery and technology for milk processing. Vol. 8, 222-230.

[6] Guidelines for the sanitary-epidemiological assessment of the safety and functional potential of probiotic microorganisms used for food production (2011). Moscow, Russia, 104 p.

[7] Lysenko Yu.A., Luneva A.V., Volkova S.A., Nikolaenko S.N., Petrova V.V. (2014). Selection of the optimal nutrient medium for the cultivation, concentration and drying of Lactobacillus acidophilus cells. Political Internet electronic scientific journal of the Kuban State Agrarian University. 102, 689-699.

[8] Netrusova A.I. (2005). Workshop on microbiology. Moscow, Russia, 608 p.

[9] Koshchaev A.G., Lysenko Yu.A., Luneva A.V., Likhoman A.V. (2015). Probiotic feed supplement for feeding quail. Zootechnics. 10, 4-6.

[10] Luneva A. V., Lysenko Yu. A., Koshchaev A. G., Nesterenko A. A., Guzenko V. I. (2019).

Comprehensive biosafety assessment of additives based on live microorganisms. International Journal of Engineering and Advance Technology. 9(1), 2477-2483.

[11] Cox C. M., Dalloul R. A. (2015). Immunomodulatory role of probiotics in poultry and potential in ovo application. C. Benefic Microbes. 6, 45-50.

[12] Su H. (2014). Cultivable bacterial microbiota of northern bobwhite (Colinus virginianus): a new reservoir of antimicrobial resistance? PLoS-ONE. 9 (6).

8

A.Luneva , A.Koshchayev, A.Nesterenko, E.Volobueva, A.Boyko

Lysenko Y., Luneva A., Koshchaev A., Lifentsova M., Gorpinchenko E. (2019). Quality assessment of biological product of microbial origin. International Journal of Engineering and Technology, 9(1), 2484-2488.

[13]

Albina Luneva is an Associate Professor of the Department Parasitology, Veterinary Examination and Pet Hygiene, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. She is a Candidate of Biological Sciences

Professor Dr. Andrei Koshchayev is Professor of the Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. He holds a Doctor of Biological Sciences

Anton Nesterenko is an Associate Professor of the Department of Technology for Storage and Processing of Livestock Products, Kuban State Agrarian University named after I.T. Trubilin, Russia. He is a Candidate of Technical Sciences

Elena Volobueva is a Graduate Student of the Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA.

Alexey Boyko is a Graduate Student of the Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA.

*Corresponding author (Albina Luneva). Tel: +78612215845. Email: mail@kubsau.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12E http://TUENGR.COM/V11A/11A12E.pdf DOI: 10.14456/ITJEMAST.2020.230

9

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12F

DYNAMIC CONNECTEDNESS AMONG BOND MARKETS OF PAKISTAN AND ITS MAJOR TRADING PARTNERS 1*

Muhammad Akram , Imran Riaz Malik 1

1

Department of Business Administration, Iqra University Islamabad Campus, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 09 March 2020 Received in revised form 01 June 2020 Accepted 10 June 2020 Available online 19 June 2020

This study investigates the intensity and direction of return and volatility spillovers of Pakistan and its major trading partner’s bond markets. This study employs the most recent Diebold and Yilmaz (2009, 2012) approach and consequently, calculates the total spillover, directional spillover, and net spillover indexes. For this purpose, daily data set spanning 5/4/2011-7/30/2019 have been used. To capture the secular and cyclical movements in trading partner’s bond markets, this study carries out the rolling window analysis. The study finds evidence of dynamic connectedness among the bond markets of major trading partners on the base of spillovers indexes. In addition, the USA, EU, Singapore, and Malaysia are the main sources and originators of shocks spillover, and Pakistan, India, and Japan are the net shock receiver in this group, while China seems isolated to be market. The rolling window analyses conclude that relevant plots of returns and volatility spillovers intensify during the phases of financial or economic anxiety.

These results have practical implications for researchers, practitioners, policymakers, and investors.

Keywords: Financial connectedness; Return & volatility spillover; Bond market; Net spillover index; Forecast error variance; Shock spillover; Directional spillover index; Pakistan’s trading partners.

Disciplinary: Management and Financial Sciences ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Since the 1990s, developing markets’ financial systems have become gradually integrated with the international financial system. Two major driving forces lead to the expansion and deepening of financial ties between developing and developed financial markets (Wooldridge et al., 2003; Bekaert and Harvey, 2000). The first is Information and Computing Technology advancement and the second force is the liberalization policies mostly followed by the developing economies. These economies have encouraged removing restrictions for capital inflows in global financial transactions. They are also focusing on deregulating local markets by applying reforms (market-based) in exchange, monetary and credit management. Additionally, the development in financial connectedness is further complemented as a result of formal trade and several agreements on investment among *Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

1

various countries groups (such as BRICS, ASEAN, EU, and GCC) that have offered main motivation to local and global integration as well.

Development of financial integration has facilitated developing markets by optimal capital allocation and idiosyncratic risk sharing, consequently, encouraging economic growth. The recent wave of financial crisis starting in the late 1990s has cautioned different stakeholders e.g., policymakers that irrespective of potential return, integration in different economies involves considerable costs. This is the potential cause that in a world of imperfect economies, financial connectedness may increase the vulnerability of developing countries to financial and economic shocks. The most recent global financial crisis (2007-08), European debt crisis (2012-14), China stock market crash and European Crisis (2015-16), and 2018-19 overall global depression are incidents in point that are evident that financial and economic shocks spillover to developing markets innovate from developed markets.

The academic literature on bond markets documents very limited studies regarding financial connectedness on the base of trade links. Connectedness between advanced markets such as the UK, USA, and developing markets like India, China, Indonesia and Thailand and other economies of Pacific Basin (e.g. Worthington and Higgs, 2004; Abd. Majid et.al. 2008; Ghauri and Ashraf, 2018; Jain and Sehgal, 2019) and economies of Latin American (e.g. Calvo and Reinhart, 1996; Meric et al., 2012) have been extensively studied. However, literature review on dynamic connectedness or cross-market interdependence exposes that merely a handful of papers have empirically attempted to evaluate frontier and developing economies (Akdogan, 1996; Demirer, 2013; Gomes and Chaibi, 2014; Chen et al., 2014; Singh and Singh, 2018; Mohti et. al., 2019). The importance of frontier and developing markets both at the domestic and global level cannot be underestimated, because these economies in the past have provided unexpected revenues to investors. Due to segment from advanced economies these markets provided attractive diversification avenues.

Based on detailed discussion, this study empirically contributes in various directions to the literature of bond markets. First, this study contributes to a quite emerging body of financial literature on bond markets and offers comprehensive insights into dynamic connectedness with respect to Pakistan trade partnerâ&#x20AC;&#x2122;s bond markets. Second, the selection of the most recent methodology of Diebold and Yilmaz (2009, 2012) provides a unique contribution. The methodology enables calculations of static/dynamic return and volatility spillovers between markets, by applying the Vector autoregression model of N-Variables with H-step ahead forecast error variance decomposition. This method has several distinctions over others (Abbas et al., 2019,). Third, this study contributes and provides evidence for the varying return and volatility spillovers intensity around the recent episodes of crisis (European debt crisis (2012-14), EU and China financial markets crisis (2015) and 2018-19 overall depression) with respect to volatility structural breaks of bond markets returns, as this contributes to the literature of contagion.

2. LITERATURE REVIEW The study of connectedness in financial markets has value and direct implications for investors and the portfolio theory respectively. Substantial variations in financial markets volatility can adversely affect the risk of averse investors. Although Grubel (1968) document the evidence that efficiency improves based on international portfolio diversification, while now another emerging evidence is the proponent of a portfolio which are investment dominated in oneâ&#x20AC;&#x2122;s vicinity, and also

2

Muhammad Akram, Imran Riaz Malik

the markets that are close economically and geographically tend to affect each other Janakiramanan and Lamba, (1998). The investors’ interest in other economies has initiated the debate on the integration of markets. The integration of financial markets into global markets is growing as they are influenced by international financial and economic shocks (Backus et al. 1992; Bergin and Pyun, 2016; Mensi, et al., 2018). Advanced financial markets are highly integrated because they are highly international and this is another good quality that these markets use to attract investors around the world Demirer (2013). On the other hand, emerging markets have low outreach into the international area and are weakly integrated Harvey (1995). Advanced markets are likely to respond more quickly to the international financial crisis than to the developing financial markets with less integration. As a result, asset portfolios from highly integrated, advanced financial markets are expected to be highly risky because they are extremely vulnerable to international crises. On the other side portfolio diversified with the assets from less integrated financial markets of developing economies are less risky. This describes why the diversification of the portfolio of less correlated assets is very beneficial Miralles-Marcelo et al. (2015). It is imminent; to reduce the risk of the portfolio by rationally diversifying investment portfolio with low integrated assets.

In contemporary literature, one of the main proxy indicators for the international financial connectedness is the links and correlations between the return and volatility of global stock indices VO & Ellis, (2018). These links and correlations point out the interests of researchers in investigating the returns and volatility spillover as important aspects of international financial connectedness. Also, few studies have investigated bond market volatility spillover by using recent methodology “spillover index” (Diebold and Yilmaz, 2009, 2012). Claeys and Vašíček (2014) examine correlation extent and direction among 16 EU sovereign bond markets by using the Vector autoregression model (factor augmented version) in Diebold and Yilmaz (2009). Fernández-Rodríguez et al. (2015) investigate volatility spillover among sovereign bond markets in EMU countries. Their findings indicate that slightly more than 50% contribution in the total variance of forecast error variance decomposition is from across countries shocks and others are idiosyncratic shocks. Results also display that most of the shocks of volatility spillover during the pre-crisis time were from the European monetary union central countries (peripheral countries) while these countries become significant shock transmitters during the crisis period. Fernández-Rodríguez et al. (2016) investigate the dynamic trends of directional connectedness (net pair-wise connectedness) at successive stages of a sovereign debt crisis.

In the background of emerging markets, there are limited studies that have responded to the bond market need. Kim et al. (2018) investigated the dynamic connectedness among emerging European bond markets and documented the weak relationship in these markets. Investigating the Asian economies bond markets with Australia and USA, VO (2009) documents the moderate type of interconnectedness because the institutional structure is different in these economies. Cifarelli and Paladino (2006) investigate co-movements in the spread of volatility among ten particular developing economies. The results indicate that more volatility and co-movement exists within the countries rather than outside the geographical zone. Recently, Piljak and Swinkels (2017) investigated dynamic connectedness between USA and frontiers economies sovereign debt markets. The findings of this study report limited opportunities for diversification are present between the selected USA and frontier bond markets. *Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

3

3. METHODOLOGY To examine the connectedness among the bond markets of Pakistan's major trading partners, this study discusses? a recently developed model that was given by Diebold-Yilmaz ( 2012) and is called the spillover index approach. This approach is the generalized version of the Diebold and Yilmaz model (2009) and is relied on the (Koop et al., 1996; Pesaran and Shin, 1998) Forecast error variance decomposition under the Vector autoregression framework, which is independent for the model variables. This approach aims to calculate the total spillover, directional spillover, and net spillover indexes. To capture the secular and cyclical movements rolling window analysis is used. The start of the spillover index measures specifications using the following Equation which has the p-th order for stationary N- variable Vector autoregression đ?&#x2018;?đ?&#x2018;?

đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ąđ?&#x2018;Ą = â&#x2C6;&#x2018;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1 ɸđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ąđ?&#x2018;Ąâ&#x2C6;&#x2019;1 + đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;Ąđ?&#x2018;Ą

(1),

đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ąđ?&#x2018;Ą = â&#x2C6;&#x2018;â&#x2C6;&#x17E; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1 đ??´đ??´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;Ąđ?&#x2018;Ąâ&#x2C6;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

(2).

where đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ąđ?&#x2018;Ą stands for a vector of N endogenous variables, ɸđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; represents NĂ&#x2014;N matrix of estimated parameters, t =1â&#x20AC;Ś. T denotes time index, i = 1â&#x20AC;Ś. p denotes variable index. Moreover, Îľ â&#x2C6;ź (0, ÎŁ) represents a vector of error terms that is identically and independently distributed over time.

In Equation (1), the representation of the moving average of the Vector auto regression system can be written as

đ?&#x2018;?đ?&#x2018;?

In Equation (2), đ??´đ??´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; represents NĂ&#x2014;N coefficient matrices derived as đ??´đ??´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = â&#x2C6;&#x2018;đ?&#x2018;Ąđ?&#x2018;Ą=1 đ??´đ??´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2C6;&#x2019;đ?&#x2018;Ąđ?&#x2018;Ą ɸ t, with đ??´đ??´0

is the NĂ&#x2014;N identity matrix and đ??´đ??´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = 0 where i Ë&#x201A; 0. The coefficients of moving average translate Vector auto regression model dynamics and this approach has benefits. It is invariant to the order of the variables in the model. The generalized forecast error variance decomposition at H-step ahead is expressed as đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x153;&#x192;đ?&#x153;&#x192;iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014; (đ??ťđ??ť) =

â&#x2C6;&#x2019; đ??ťđ??ťâ&#x2C6;&#x2019;1 đ?&#x153;&#x17D;đ?&#x153;&#x17D;iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014; ÎŁâ&#x201E;&#x17D;=0 ďż˝(đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x20AC;˛ đ??´đ??´â&#x201E;&#x17D; â&#x2C6;&#x2018;đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; )2 đ??ťđ??ťâ&#x2C6;&#x2019;1ďż˝đ?&#x2018;&#x2019;đ?&#x2018;&#x2019; â&#x20AC;˛ đ??´đ??´ â&#x2C6;&#x2018;đ??´đ??´â&#x20AC;˛ đ?&#x2018;&#x2019;đ?&#x2018;&#x2019; ) ÎŁâ&#x201E;&#x17D;=0 đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x201E;&#x17D; â&#x201E;&#x17D; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

(3),

where ÎŁ represents the variance matrix of the error vector (Îľ), đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; is the error term SD for the

equation jth, and đ?&#x2018;&#x2019;đ?&#x2018;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; represents selection vector, value one with the ith element, and otherwise zero.

This produces NĂ&#x2014;N matrix θ (H) = [đ?&#x153;&#x192;đ?&#x153;&#x192;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ??ťđ??ť)] i, j =1, N, where each entry provides a contribution of j

variable to the i variable forecast error variance. In θ (H) matrix the main diagonal elements denote the contribution of own shock, whereas off-diagonal elements denote contributions â&#x20AC;&#x153;from otherâ&#x20AC;? and â&#x20AC;&#x153;to otherâ&#x20AC;? variables in the forecast error variance decomposition. The sum of own and cross variables đ?&#x2018;&#x201D;đ?&#x2018;&#x201D; đ?&#x2018; đ?&#x2018; variance contributions is not equal to one under general variance decomposition i.e. đ?&#x203A;´đ?&#x203A;´đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;â&#x2039;&#x2026;=1 đ?&#x153;&#x192;đ?&#x153;&#x192;iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014; (đ??ťđ??ť) â&#x2030; 1.

As statistically independent shocks to each variable, hence each entry in θ (H) matrix becomes normalized by dividing with the sum of a row as đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x153;&#x192;đ?&#x153;&#x192; (đ??ťđ??ť)

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D; đ?&#x153;&#x192;đ?&#x153;&#x192;ďż˝iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014; (đ??ťđ??ť) = đ?&#x203A;´đ?&#x203A;´ đ?&#x2018; đ?&#x2018; iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x153;&#x192;đ?&#x153;&#x192;đ?&#x2018;&#x201D;đ?&#x2018;&#x201D; (đ??ťđ??ť) đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;â&#x2039;&#x2026;=1 iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014;

(4). đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ ( ) With đ?&#x203A;´đ?&#x203A;´đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 đ?&#x153;&#x192;đ?&#x153;&#x192;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ??ťđ??ť = 1 đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; đ?&#x203A;´đ?&#x203A;´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018; đ?&#x2018; ,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 đ?&#x153;&#x192;đ?&#x153;&#x192;ďż˝đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; (đ??ťđ??ť) = đ?&#x2018; đ?&#x2018; this is by construction. As Fengle and Gisler

(2015) have mentioned that Equation (4) is the approximation fraction representation of H-step ahead FEV of i variable coming from the j variable. The total spillover index is

4

Muhammad Akram, Imran Riaz Malik

đ?&#x2018;&#x2020;đ?&#x2018;&#x2020; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D; (đ??ťđ??ť) =

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´i,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1,đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2030; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x192;đ?&#x153;&#x192; iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 đ?&#x153;&#x192;đ?&#x153;&#x192; iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014;

=

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1,đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2030; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x192;đ?&#x153;&#x192; iđ?&#x2018;&#x2014;đ?&#x2018;&#x2014;

đ?&#x2018; đ?&#x2018;

(5).

This index in Equation (5) measures the average contributions of spillover to the forecast error variance. The transmission of directional spillover from the variable i to the variable j is defined as đ?&#x2018;&#x201D;đ?&#x2018;&#x201D; đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2020;&#x2019;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;

(đ??ťđ??ť) =

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´i,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1,đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2030; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x192;đ?&#x153;&#x192; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 đ?&#x153;&#x192;đ?&#x153;&#x192; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;

=

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´i,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1,đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2030; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x192;đ?&#x153;&#x192; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;

đ?&#x2018; đ?&#x2018;

(6).

Likewise, directional spillover received from variable j to variable i is đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;â&#x2020;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ??ťđ??ť) =

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´i,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;â&#x2030; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x153;&#x192;đ?&#x153;&#x192; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 đ?&#x153;&#x192;đ?&#x153;&#x192; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

=

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018; đ?&#x2018; ďż˝ (đ??ťđ??ť) đ?&#x203A;´đ?&#x203A;´i,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;â&#x2030; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x153;&#x192;đ?&#x153;&#x192; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

đ?&#x2018; đ?&#x2018;

(7).

The directional spillover here gives a breakdown of the index into a spillover effect â&#x20AC;&#x153;toâ&#x20AC;? and â&#x20AC;&#x153;fromâ&#x20AC;? the variables i j where i â&#x2030; j. hence, the directional spillovers detect the specific factors of the total spillover index. Also, the net-directional spillovers from the variables i to j, where a net result of the Equations (6) and (7) i â&#x2030; j can be obtained and can be written as đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ??ťđ??ť)

=

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;

đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;â&#x2020;&#x2019;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; (đ??ťđ??ť)-đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;â&#x2020;&#x2019;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ??ťđ??ť)

(8).

When the value is positive of the net spillover index, it specifies that i variable is the spillover effect transmitter and spillover direction is from i variable to all variables j and vice versa.

3.1 DATA DESCRIPTION This study investigates the intensity and direction of return and volatility spillovers of bond markets of Pakistan and its twelve major trading partners. This study uses daily data of 10-year government bond yields for Pakistan, China, EU, India, Japan, Malaysia, Singapore, and the USA, taken from investing.com and Thomson Reuterâ&#x20AC;&#x2122;s databases. Afghanistan, Iran, Kuwait, Saudi Arabia, and the United Arab Emirates are not included in the investigation because of the unavailability of data. The study makes use of the timespan 5/4/2011-7/30/2019 for daily government bonds data, comprising 2274 observations. This sample data timespan is selected, first, to accommodate the most recent crisis and secondly, the availability of data. The study calculates the returns denoted as: Ri,t = log ( Pi,t / Pi,t -1 ) * 100 Here, Pi,t symbolizes the closing price of the 10-year government bond index of a relevant country i at day t. The study follows Antonakakis and Kizys (2015) to compute the volatility as; volatility is the absolute return value; Vt = Ç&#x20AC; lnPt - lnPt-1 Ç&#x20AC; Here, Pt is the closing price on day t of market i.

4. RESULT AND DISCUSSION 4.1 DESCRIPTIVE STATISTICS Tables 1 and 2 provide bond returns and volatility statistics respectively for eight countries of the group. Table 1 shows that all countries return indicate negative values for average return (mean) except the EU and Japan has high volatility followed by the USA, while India and Malaysia show low values. In addition, Pakistan, China, and the EU are negatively skewed while others are positively skewed. The kurtosis values are high, indicating series are leptokurtic. Bond volatility in Table 2 shows that all countries indicate positive values for average return (mean) and SD. These values *Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

5

indicate that Japan and the EU are more volatile while China, India, and Malaysia show low values (less volatile). In addition, the volatility series are positively skewed. The kurtosis values are high, indicating series are leptokurtic. Both series are stationary at level, rejecting the null hypothesis of unit root at a 1% level of significance.

Table 1: Descriptive statistics for bond return.

Pakistan China EU India Japan Malaysia Singapore USA

Mean -0.002 -0.011 0.142 -0.012 -0.142 -0.006 -0.012 -0.028

SD 1.478 1.148 20.764 0.698 23.883 0.704 2.516 2.139

Skewness -0.226 -0.558 -0.472 0.350 1.772 3.089 2.532 0.019

Kurtosis 34.091 13.281 68.218 17.255 54.874 64.014 202.270 6.347

Jarque Bera

Augmented Dickey-Fuller

Phillip-Perron

91611.97 10133.43 403089.9 19300.63 256153.9 356339.7 3764817 1061.626

-23.59 -32.98 -12.23 -31.58 -15.55 -28.84 -58.42 -49.17

-69.99 -62.94 -58.19 -46.35 -54.36 -42.38 -59.42 -49.35

Obs 2274 2274 2274 2274 2274 2274 2274 2274

Table 2: Descriptive statistics for Bond Volatility Pakistan China EU India Japan Malaysia Singapore USA

Mean 0.52 0.7 7.89 0.43 9.15 0.36 1.28 1.51

SD 1.38 0.91 19.21 0.55 22.06 0.6 2.16 1.51

Skewness 5.23 3.27 7.48 3.91 6.46 6.7 14.06 2.1

Kurtosis 35.81 19.86 79.83 28.36 63.56 99.82 333.52 9.89

Jarque Bera

Augmented Dickey-Fuller

Phillip-Perron

112367.4 30987.04 580416.7 66716.81 363341.4 905114.4 10425857 6173.41

-14.52 -8.26 -4.04 -10.43 -8.82 -16.23 -15.03 -10.33

-43.56 -48.07 -42.41 -53.19 -48.34 -44.60 -36.75 -54.91

Obs 2274 2274 2274 2274 2274 2274 2274 2274

From Figures 1 & 2, all the series have been most volatile showing bursts in the series through sample period except EU and Japan before 2016. During the crisis periods, the European debt crisis (2010-12), and especially Chinaâ&#x20AC;&#x2122;s stock market crash and EU crisis (2015-16) all returns and volatilities series show more connectedness with some demonstrating huge jumps, while Singapore remains unaffected.

All the x-axes represent consecutive year from 2011, all the y-axes are the bond return (percent).

Figure 1: Bond Return Plot.

6

Muhammad Akram, Imran Riaz Malik

All the x-axes represent consecutive year from 2011, all the y-axes are the bond volatility (percent).

Figure 2: Bond volatility plot 4.2 ANALYSIS OF SPILLOVER TABLES The results of this empirical study are presented in the spillover tableâ&#x20AC;&#x2122;s form. Table 3 documents the input/output decomposition of the spillover indexes for bond market returns, and Table 4 deals with bond volatility. Diebold and Yilmaz (2009) report that the magnitude of return and volatility is the same, as the Total connectedness index for daily bond return (17%) is approximately the same as daily volatility Total connectedness index (15%); therefore, the return and volatility spillovers have the same magnitude.

Table 3: Bond Daily return Dynamic Connectedness Pakistan China EU India Japan Malaysia Singapore USA FROM Pakistan 87.37 1.788 2.017 1.915 1.148 1.857 1.777 2.129 12.63 China 1.709 85.128 2.29 1.759 2.247 2.324 2.537 2.007 14.872 EU 2.246 2.067 81.81 2.444 2.698 2.544 2.128 4.062 18.19 India 1.537 1.676 1.737 84.799 1.974 2.963 2.784 2.532 15.201 Japan 1.376 2.182 3.047 1.759 83.816 1.849 2.54 3.431 16.184 Malaysia 2.076 1.781 2.192 2.699 2.173 82.469 3.298 3.312 17.531 Singaore 1.896 2.445 2.425 3.208 2.217 2.327 82.074 3.408 17.926 USA 2.285 1.975 4.737 1.909 3.363 3.611 2.193 79.928 20.072 TO 13.124 13.914 18.445 15.693 15.82 17.475 17.257 20.879 132.607 Own 100.494 99.042 100.255 100.492 99.636 99.944 99.33 100.807 TCI Net 0.494 -0.958 0.255 0.492 -0.364 -0.056 -0.67 0.807 16.576 Note: spillover indices are estimated by using 2 lag, 10-day forecast horizon and 150 days rolling windows

Table 4: Bond Daily Volatility Dynamic Connectedness.

Pakistan China EU India Japan Malaysia Singapore USA FROM Pakistan 87.724 1.545 1.808 1.692 2.224 1.782 1.528 1.697 12.276 China 1.867 86.459 2.25 1.555 2.574 1.881 1.598 1.816 13.541 EU 2.17 1.794 82.605 2.77 2.774 2.855 2.204 2.828 17.395 India 1.69 1.684 1.901 85.103 2.025 3.499 1.98 2.118 14.897 Japan 1.943 2.149 3.89 2.633 82.919 1.665 1.987 2.814 17.081 Malaysia 2.153 2.071 2.222 3.22 1.583 83.116 2.389 3.246 16.884 Singapor 1.964 1.559 1.993 2.436 2.047 2.732 85.504 1.764 14.496 USA 2.28 2.157 2.864 2.019 2.506 3.583 1.724 82.866 17.134 TO 14.068 12.959 16.928 16.325 15.733 17.997 13.41 16.283 123.704 Own 101.793 99.418 99.533 101.428 98.652 101.112 98.915 99.15 TCI Net 1.793 -0.582 -0.467 1.428 -1.348 1.112 -1.085 -0.85 15.463 Note: spillover indices are estimated by using 2 lag, 10-day forecast horizon, and 150-day rolling windows *Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

7

Table 3, bond return, the contribution to row demonstrates among the group which market has the most influence on the other. Directional spillover to other values of bond return indicates that the USA has the highest spillover value (21%), followed by other countries having comparable values while Pakistan (13%) has the lowest value in the group. Also, the “from other” column suggests, which bond market is the most vulnerable to foreign shocks. For the USA, EU, Singapore, and Malaysia the bond return spillover value from external markets shows a high (20%, 18%, 17.9%, and 17.5% respectively). Pakistan has the lowest value (13%) of spillover from foreign markets. In table 4, bond volatility, directional spillover to others values indicate that Malaysia has the highest spillover value (18%), followed by EU (17%), India and USA (16%), and other countries having comparable values, while China (13%) has the lowest value in the group. The “from other” column indicates the same findings as a return as for USA, EU, Singapore, and Malaysia the bond volatility spillover from foreign markets shows a high value while Pakistan has the lowest value of spillover from foreign markets. Qarni and Gulzar (2018) indicate that the USA is the dominant market, also endorsing our spillovers findings.

Finally, from the tables, the study discusses the “net directional connectedness”, as according to Diebold and Yilmaz (2012), markets showing positive values indicate net shock transmitter while negative values indicate net shock receivers. Net spillover results of bond return demonstrate that four markets (Pakistan, EU, India, and the USA) show positive (net shock transmitter) values and others with negative (net shock receivers) values. Similarly, from bond volatility net spillovers three markets (Pakistan, India, and Malaysia) showing positive values, and remaining shows negative values. From both the tables, the magnitude of net spillover values is very low suggesting these markets are less influential and sensitive to other markets.

From results, Pakistan is characterized as a poorer level of spillover among the trading group bond markets as compared to other bond markets. High return spillovers come from the EU, USA, and India. In regard to the spillover of volatility majorly comes from China, EU, Japan, and India. In this group the bond markets of USA, EU, Japan, and Singapore are more connected with each other as compared to other markets, this also supports the argument that developed markets are more connected with each other as compared to developing markets. The study also found that the majority of the bond markets in this group show their own market contribution is higher, assembling them as an independent market.

4.3 ROLLING SAMPLE ANALYSIS The behavior of total bond return and volatility spillovers over the full sample including financial crises are investigated in this segment. Figure 3 displays the total spillover plots for the return and volatility indices for the full sample based on the rolling window estimation of 100-day. Hence, the cyclical movement of bond return and volatility spillover display similar behavior, the magnitude of return spillover is slightly higher than volatility at the start, confirming the results of tables. The significant jumps in both return and volatility spillover in 2011 and 2013 were due to the European debt crisis (2010) and during 2012 and after 2013 a significant decrease in spillovers can be interpreted as a symbol of international recovery of the economy. From 2013 to the start of 2016, the value of total connectedness remains between 11-20% while again spillover jumps to 27%, due to China and the European Union crisis. Again, 2017-18 years are stable and the last jump in 2019 shows a connectedness value of 21%.

8

Muhammad Akram, Imran Riaz Malik

Note: spillover indices are estimated by using 2 lag, 10-day forecast horizon and 150 days rolling windows

Figure 3: Bond Total Return and Volatility Plots To further increase the concept of spillover findings among bond markets and how they indicate behavior over time the study presents Figures 4-7. The return and volatility directional plots that show spillovers trend that innovates from the market individually, that is transformed into the individual market and also net spillovers. Significant spillovers intensity change during the crisis periods are recorded over the sample period.

Figure 4: To Bond Return

Figure 5: From Bond Return *Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

9

Figure 6: To Bond Volatility

Figure 7: From Bond Volatility Figures 8 & 9 show net return and volatility spillovers for the respective bond markets. The net spillover plots are near to zero-line indicating that all the bond markets are independent, consequently, each market is less sensitive and vulnerable to other markets.

Figure 8: Net Bond Return.

10

Muhammad Akram, Imran Riaz Malik

Figure 9: Net Bond Volatility

5. CONCLUSION This study employs the most recent Diebold and Yilmaz (2012) approach, and subsequently, estimates the total spillover, directional (to others / from others) spillover, and net spillover indexes.

To capture the cyclical movements in trading partner bond markets, this study carries out the rolling window analysis. This study found for the return and volatility total connectedness, different system-wide values of 17%, 15%, respectively among the bond markets of selected countries over the full sample. These values suggest that there is overall less connectedness and spillovers among the bond markets.

For the directional return and volatility spillovers, this study found that four markets such as the USA, EU, Singapore, and Malaysia are more influential bond markets and also sensitive for external shocks. Also, the Pakistan and China bond markets indicate more independent markets as they have a high value for their own contribution, while India and Japan are more sensitive to other markets.

Based on the bond net spillovers, the study finds that the magnitude of net spillover values is very low suggesting these markets are less influential and sensitive to other markets. In short, the USA, EU, and Singapore bond markets are net shock originators while other markets are shock receivers.

The study also found that the majority of the bond markets in this group show their own market contribution is higher, assembling them as an independent market.

Bond returns and volatility spillovers strengthen during the episodes of a financial crisis. These findings have practical implications in relation to international investment diversification and risk reduction. For this group, especially Pakistan, for financial system solidarity, reviving macroeconomic fundamental and financial reforms from policy designers are critical to framing efficient policies for the economy.

6. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

7. REFERENCES Abbas, G., Hammoudeh, S., Shahzad, S. J. H., Wang, S., & Wei, Y. (2019). Return and volatility connectedness between stock markets and macroeconomic factors in the G-7 countries. Journal of Systems Science and Systems Engineering, 28(1), 1-36. *Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

11

Ahmed, R. R., Vveinhardt, J., Štreimikienė, D., Ghauri, S. P., & Ashraf, M. (2018). Stock returns, volatility and mean reversion in Emerging and Developed financial markets. Technological and Economic Development of Economy, 24(3), 1149-1177.

Akdogan, H. (1996). A suggested approach to country selection in international portfolio diversification. Journal of Portfolio Management, 23(1), 33.

Antonakakis, N., & Kizys, R. (2015). Dynamic spillovers between commodity and currency markets. International Review of Financial Analysis, 41, 303-319.

Backus, D. K., & Kehoe, P. J. (1992). International evidence on the historical properties of business cycles. The American Economic Review, 864-888.

Bekaert, G., & Harvey, C. R. (2000). Foreign speculators and emerging equity markets. The Journal of Finance, 55(2), 565-613.

Bergin, P. R., & Pyun, J. H. (2016). International portfolio diversification and multilateral effects of correlations. Journal of International Money and Finance, 62, 52-71.

Calvo, G. A., Leiderman, L., & Reinhart, C. M. (1996). Inflows of Capital to Developing Countries in the 1990s. Journal of economic perspectives, 10(2), 123-139.

Chen, M. P., Chen, P. F., & Lee, C. C. (2014). Frontier stock market integration and the global financial crisis. The North American Journal of Economics and Finance, 29, 84-103.

Cifarelli, G., & Paladino, G. (2006). Volatility co-movements between emerging sovereign bonds: Is there segmentation between geographical areas?. Global Finance Journal, 16(3), 245-263.

Claeys, P., & Vašíček, B. (2014). Measuring bilateral spillover and testing contagion on sovereign bond markets in Europe. Journal of Banking & Finance, 46, 151-165.

Demirer, R. (2013). Can advanced markets help diversify risks in frontier stock markets? Evidence from Gulf Arab stock markets. Research in International Business and Finance, 29, 77-98.

Diebold, F. X., & Yilmaz, K. (2009). Measuring financial asset return and volatility spillovers, with application to global equity markets. The Economic Journal, 119(534), 158-171.

Diebold, F. X., & Yilmaz, K. (2012). Better to give than to receive: Predictive directional measurement of volatility spillovers. International Journal of Forecasting, 28(1), 57-66.

Fengler, M. R., & Gisler, K. I. (2015). A variance spillover analysis without covariances: What do we miss? Journal of International Money and Finance, 51, 174-195.

Fernández-Rodríguez, F., Gómez-Puig, M., and Sosvilla-Rivero, S. (2015). Volatility spillovers in EMU sovereign bond markets. International Review of Economics and Finance, 39, 337-352.

Fernández-Rodríguez, F., Gómez-Puig, M., and Sosvilla-Rivero, S. (2016). Using connectedness analysis to assess financial stress transmission in EMU sovereign bond market volatility. Journal of International Financial Markets, Institutions and Money, 43, 126–145 Gomes, M., & Chaibi, A. (2014). Volatility spillovers between oil prices and stock returns: A focus on frontier markets.

Grubel, H. G. (1968). Internationally diversified portfolios: welfare gains and capital flows. The American Economic Review, 58(5), 1299-1314.

Harvey, C. R. (1995). Predictable risk and returns in emerging markets. The review of financial studies, 8(3), 773-816.

Jain, P., & Sehgal, S. (2019). An examination of return and volatility spillovers between mature equity markets. Journal of Economics and Finance, 43(1), 180-210.

Janakiramanan, S., & Lamba, A. S. (1998). An empirical examination of linkages between Pacific-Basin stock markets. Journal of International Financial Markets, Institutions, and Money, 8(2), 155-173.

12

Muhammad Akram, Imran Riaz Malik

Kim, S. J., Lucey, B. M., & Wu, E. (2018). Dynamics of Bond Market Integration between Established and New European Union Countries. World Scientific Book Chapters, 369-389.

Koop, G., Pesaran, M. H., & Potter, S. M. (1996). Impulse response analysis in nonlinear multivariate models. Journal of econometrics, 74(1), 119-147.

Mensi, W., Boubaker, F. Z., Al-Yahyaee, K. H., & Kang, S. H. (2018). Dynamic volatility spillovers and connectedness between global, regional, and GIPSI stock markets. Finance Research Letters, 25, 230-238.

Meric, I., Johansen, G. A., Holstad, M. B., Mattingly, J., & Gardner, R. P. (2012). On the treatment of ill-conditioned cases in the Monte Carlo library's least-squares approach for inverse radiation analyzers. Measurement Science and Technology, 23(5), 055603.

Miralles-Marcelo, J. L., del Mar Miralles-Quirós, M., & Miralles-Quirós, J. L. (2015). Improving international diversification benefits for US investors. The North American Journal of Economics and Finance, 32, 64-76.

Mohti, W., Dionísio, A., Ferreira, P., & Vieira, I. (2019). Contagion of the subprime financial crisis on frontier stock markets: A copula analysis. Economies, 7(1), 15.

Pesaran, H. H., & Shin, Y. (1998). Generalized impulse response analysis in linear multivariate models.

Economics letters, 58(1), 17-29.

Piljak, V., and Swinkels, L. (2017). Frontier and emerging government bond markets. Emerging Markets Review, 30(2017), 232-255.

Qarni, M. O., & Gulzar, S. (2018). Return and volatility spillover across stock markets of China and its Major Trading Partners: evidence from Shanghai stock exchange crash. Business & Economic Review, 10(3), 1-20.

Shabri Abd. Majid, M., Kameel Mydin Meera, A., & Azmi Omar, M. (2008). Interdependence of ASEAN-5 stock markets from the US and Japan. Global Economic Review, 37(2), 201-225.

Singh, A., & Singh, M. (2018). Co-Movement among US, Frontier and BRIC Equity Markets after the Financial Crisis. Global Business Review, 19(2), 311-327.

Vo, X. V. (2009). International financial integration in Asian bond markets. Research in International Business and Finance, 23(1), 90-106.

Vo, X. V., & Ellis, C. (2018). International financial integration: Stock return linkages and volatility transmission between Vietnam and advanced countries. Emerging Markets Review, 36, 19-27.

Wooldridge, P. D., Domanski, D., & Cobau, A. (2003). Changing links between mature and emerging financial markets. BIS Quarterly Review, September.

Worthington, A., & Higgs, H. (2004). Transmission of equity returns and volatility in Asian developed and emerging markets: a multivariate GARCH analysis. International Journal of Finance & Economics, 9(1), 71-80.

Muhammad Akram is a PhD Scholar in Iqra University Islamabad Campus, Pakistan. He received his MS (Finance) degree from Iqra University, Islamabad, Pakistan. His interests involve Portfolio Management and Finnacial Management.

Dr. Imran Riaz Malik is an Associate Professor of Finance, Iqra University Islamabad Campus. He got a PhD (Finance) degree from Institute of Management Sciences, Peshawer, Pakistan. His interests involve Financial Risk Management and Financial Econometrics.

*Corresponding author (M.Akram) Tel: +92-3216989388 Email: akramfsd@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12F http://TUENGR.COM/V11A/11A12F.pdf DOI: 10.14456/ITJEMAST.2020.231

13

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12G

MULTIDIMENSIONAL POVERTY INDEX (MPI) FOR URBAN AND RURAL REGIONS OF PAKISTAN Rifat Mahmood 1

1*

, Ijaz Hussain

1

Department of Economics, Gomal University, DeraIslami Khan, Khyber Pakhtunkhwa, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 21 February 2020 Received in revised form 29 May 2020 Accepted 02 June 2020 Available online 19 June 2020

Poverty has a multidimensional aspect in recent years. It includes not only income or expenditure but also covers basic needs and living standards. Consequently, poverty assessment during its valuation phase should incorporate all the above aspects. The multidimensional poverty index is composite by taking all the above considerations. Thus, the Keywords: new methodology of poverty assessment captures these deficiencies/ Deprivation and deprivations that people face. This paper estimates the poverty; MPI index, multidimensional poverty index (MPI), by considering the five Poverty indicators; dimensions i.e. quality of housing, health facility, education, basic Multidimensional needs, and living standards, with eleven indicators. The theme is to poverty measurement; consider all the dimensions right at the time of poverty assessment, not Region-wise MPI; to consider after the poverty assessment (as effects of poverty). For this, Poverty assessment; this study uses the micro-level data from Pakistan Social and Living Education dimension; Standard Measurement Survey (PSLM) Round VII (2013-14), collected Basic needs dimension; by the Statistics Division, Pakistan Bureau of Statistics, Islamabad. The Living standard; round-VII has covered 17989 households. It has provided all the Housing quality; required information on households at the regional level. A 76% share Health dimension. of MPI to the country is contributed from the rural region.

Disciplinary: Economic Sciences, Poverty Studies. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION In all over the world, 1129 million humans are suffering from acute income poverty with a certain disparity in magnitude. While the dilemma of poverty has become a leading challenge in the history of the developing world, due to its extensive impact on the developmental process (United Nations Development Program, 2013). Income for poverty measurement is a conventional measurement. Their justification of using the income as determine to poverty is supported by the philosophy that money is obtained by income, which is used to fulfill the basic needs (Christiaensen et al., 2002). By absolute poverty, we mean the situation that indicates an acute deficiency of basic needs like housing, provision of sanitation, water, food, health, information, safe drinking, and *Corresponding author (R.Mahmood). Email: riffat_saddozai@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12G http://TUENGR.COM/V11A/11A12G.pdf DOI: 10.14456/ITJEMAST.2020.232

1

education, therefore, poverty not only depends upon income but also depends upon access to services and basic needs (Robyn & Kevin, 2008). According to most economists’ poverty is a multidimensional phenomenon, yet in practice for poverty assessment, the majority of the researchers use the unidimensional index to analyze an individual’s wellbeing by per capita income or usually expenditures (Duclos et al., 2006).

But poverty has a variety of signs, like shortage of income and lack of productive resources which should be sufficient for ill health, livelihoods, hunger, malnutrition, and lack to access of educational facilities (Ahmed and Khan, 2020) and mortality from illnesses, social judgment, insufficient shelters and insecure environment (Sen, 1976). Laderchi (1997) characterized it based on a lack of contribution in decision making in social, civil, and artistic life, which have introduced the concept of capabilities like good health and education. Poverty is a link between income and wellbeing which includes such as school enrolment, mortality, and malnutrition. The researcher argued that for a complete picture of poverty, only revenue did not give all the essential data.

Therefore, to check the image for absolute poverty, additional dimensions should also be added along-with income (Dercon, 2005). Similarly, the World Bank report on poverty, focus on three dimensions of poverty in combination with income poverty i.e. education, health, voice less-ness and vulnerability (World Bank, 2000-01) For the estimation of Multidimensional Poverty Index (MPI), the dimensions along with indicators include Housing Quality - Occupancy status (If not Own Occupied then 1, otherwise 0), Dwelling type (having independent compound/flat/house/apartment then 0, otherwise 1), Room density (If the three or more persons having one room then 1 otherwise), Sanitation facilities (If a house has no such facility then 1 otherwise).

Health dimension along with one indicator - (If in the family any child in the age of 0-5 has died then 1, otherwise 0).

Education dimension - Dropout (If a family member hasn’t finished 05 years of schooling then 1, otherwise 0), Attendance of School (If a child having school-going age (4-8 years) is out of the educational system then 1, otherwise 0).

Basic Needs Dimension - two indicators including Nutrition (if a family is a malnutrition then I otherwise), Drinking water (if drinking water is not available to a family then 1, otherwise 0).

Living standard - Cooking fuel (if cooking fuel is not available then 1, otherwise 0), Electricity (if electricity is not available then 1, otherwise 0), Assets (If a family has no any three out of these facilities i.e. PC/Refrigerator /Freezer/Air cooler/Washing machine/Geyser/Dish antenna/Cable then 1, otherwise 0).

o

o o

o

o

2 LITERATURE REVIEW This paper explains the self-evident basis of the multidimensional poverty indices (MPI) instead of the earnings approach i.e. poverty by predetermined poverty income line and took the basic need approach into account. This work also depicts the facts in the design of the multidimensional poverty indices that the local limitations which may have a crucial role (Tsui, 2002). Rosa and Kumar (2008) suggest that an individual’s poverty can be seen in their deprived situation from many dimensions such as sanitation, nutrition as well as health, not only in his income. Thus, a complete measurement of deprivation should be taken by taking multiple dimensions of an individual. Poverty vulnerability confines the probability of an individual falling into poverty. Unlike poverty, it indicates the status of an individual, whereas nature vulnerability is

2

Rifat Mahmood and Ijaz Hussain

predictive. Sabina and Maria (2014) implemented the first direct technique for measurement of poverty that consists of more than a hundred developing nations; she has also analyzed robustness after measurement of the multidimensional poverty index and its scope, by considering the data constraints and issues of methodological which were engaged in estimation and construction.

Various robustness tests show that the MPI is reliable which harmonizes the worldwide income poverty estimation. Ramya (2014) built MP (multidimensional poverty) measurement on an individual level that indicates the significant weaknesses in the existing poverty discussion. The study found that a greater part of poor women and men belongs to non-poor families. Also, in household-level poverty measurement, households are misclassified as a non-poor individual, particularly females, are ignored in the traditional poverty measure approach. The result concluded that differences in gender in poverty do not exist. In the poverty measurement at the individual level, a major portion of poor individuals is females. Families 25% are classified as multidimensionality poor. The individuals 22% are found multidimensional poor when they assign poverty value to these households. Families headed by males indicate to some extent upper poverty at 25%, while the female-headed family is 23%. However, individual-level analysis indicates a dissimilar image of the gender disparity in poverty, as 64% of the rate in poverty among females is almost double than the rate of poverty among the men which is 30% with the consequence that the women are a majority in the poverty. Thomas et al. (2009) have compared the deprived people, who are suffered by the policies. They took livelihood insecurity as the key determinant of poverty for identification of poor households where families were classified into four different groups based on livelihood which are poor (hungry households), poor (agricultural labors/other casual laborers/fish workers’/construction workers), non-poor (government service, gulf migrants (semi-skilled or unskilled), farmers /traditionally well off families, skilled migrants. The study indicates basic needs (clothing, food, sanitation, and housing), assets (consumer goods, debt & land), potential i.e. school attendance & literacy & livelihood (livelihood means, labor status, and migration). For Kerala city, the study took basic needs (water, food, sanitation, and housing) and capabilities (education), stress on socio-cultural factors.

Jean et al. (2013) evaluates not only the nature of the multidimensional poverty of children but also to classify the children group which is most vulnerable in Darfur. It shows the child deprivation that may attract the interventions on a humanitarian basis to improve child welfare by improving nutrition, access to clean water and shelter, sanitation, health, and education. For humanitarian agencies and policymakers, this paper shows four important issues that declare an emergency. First, in Darfur, poverty is noticeably high; almost all children, boys, and girls, are disabled and nondisabled, Secondly, poor children do not consist of a uniform group. More, he has found disabled children, especially disabled girls, which shows the highest level of poverty. This gap of multidimensional poverty between nondisabled and disabled, children with disabilities are significantly worse than non-disabled children. Thirdly, disable children are significantly worse off.

3 METHODOLOGY 3.1 IDENTIFICATION, ESTIMATION FORMULAE & DATA For estimation of the regional Multidimensional Poverty Index (MPI), the methodology of Alkire and Foster (2007) is used. *Corresponding author (R.Mahmood). Email: riffat_saddozai@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12G http://TUENGR.COM/V11A/11A12G.pdf DOI: 10.14456/ITJEMAST.2020.232

3

3.2 IDENTIFICATION OF POOR AND NON-POOR & ESTIMATION FORMULAE To find the share of regions in MPI, this work has decomposed the population by rural and urban areas (see Flowchart 1). â&#x20AC;˘ Selecton of Dimensions which are based on availabltiy of data and MDGs (Millennium Development Goals) â&#x20AC;˘ Idnetification of indicators and sub- catigories and aplying dual cut off methodology

â&#x20AC;˘ Setting Ist Cut-Off to find deprived and non deprived It can be calculated as

0 đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; =

đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;

1 if yij<zi 0 otherwise

{

0 đ?&#x2018;&#x2018;đ?&#x2018;&#x2018; = ďż˝ đ?&#x2018;¤đ?&#x2018;¤đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

while y is data and Ist cut off z, which is used to find the deprived and non-deprived and â&#x20AC;&#x153;go â&#x20AC;? shows the matrix of deprived.

This shows if a family is poor in any indicator will receive 1 in that particular indicator otherwise 0

đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1

Whereas j is the dimension on which i family is deprived â&#x20AC;&#x153;dâ&#x20AC;?, â&#x20AC;&#x153;wâ&#x20AC;? weight vector (deprived number i.e. â&#x20AC;&#x153;1â&#x20AC;? is multiplied with its weight and then score of each family is calculated)

After identification and summation of â&#x20AC;&#x153;deprivedâ&#x20AC;? and â&#x20AC;&#x153;non-deprivedâ&#x20AC;? family, Second Cutoff â&#x20AC;&#x153;kâ&#x20AC;? is used, to dichotomies the selected data as â&#x20AC;&#x153;poorâ&#x20AC;? and â&#x20AC;&#x153;non-poorâ&#x20AC;?

đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; =

{

1 if d>=k 0 otherwise

đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; is summation of a total number of a poor family from the summation of the total number of families. Equation indicates that if â&#x20AC;&#x153;dâ&#x20AC;? deprives the familyâ&#x20AC;&#x2122;s total score is greater than â&#x20AC;&#x153;kâ&#x20AC;? second cut off then the family will be considered as Poor will be replaced by â&#x20AC;&#x153;1â&#x20AC;? otherwise â&#x20AC;&#x153;0â&#x20AC;?

Headcount

đ?&#x2018;&#x161;đ?&#x2018;&#x161;

1 đ??ťđ??ť = â&#x20AC;Ż ďż˝ đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1

Where n is total families and â&#x2C6;&#x2018; đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E; is the summation of poor families.

A is Average deprivation (poverty intensity among the poor families) đ??´đ??´ = â&#x20AC;Ż

Contribution of Urban area to MPI nu MPIu * 100 Contribution of Urban area to MPI = n MPICountry

Where nu = Urban families, MPIu = MPI of Urban, n = total families.

1 ďż˝ đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;

đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;

ďż˝

đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;

đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1

đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1 â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1 đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;

0 đ?&#x2018;¤đ?&#x2018;¤đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x201D;đ?&#x2018;&#x201D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;â&#x20AC;Ż = â&#x20AC;Żâ&#x20AC;Żđ??ťđ??ťâ&#x20AC;Żâ&#x2C6;&#x2122;â&#x20AC;Żđ??´đ??´ đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC; is depth of poverty or adjusted headcount ratio, or Multidimensional Poverty Index

Contribution of Rural area to MPI nr MPIr Contribution of Rural area to MPI = n * 100 MPICountry

nr = rural families, MPIr = MPI of rural, n = total number of families.

Flowchart 1: Study methodology MPI process and computation.

4

Rifat Mahmood and Ijaz Hussain

3.3 DATA SOURCE For this study, Pakistan Social and Living Standards Measurement (PSLM), Round VII (2013 – 2014) which is (a unit record) micro-level data is used, consists of 17989 families, collected by the Pakistan Bureau of Statistics (PBS), Statistics Division, Islamabad. Data is available online.

4

RESULTS AND DISCUSSION

This section expresses the main characteristics of the investigation of the article. Analysis under this section is made within the regions (rural and urban) and the outcome of the first cut off of poverty splits the families separately into not-deprived and deprived, if they receive “0” score then the family will be considered as non-deprived otherwise the family will be considered as deprived if the family obtains “1”. Likewise, the researcher has discussed the regions of Pakistan which are Urban and Rich. After the discussion of frequencies (1st cutoff), weighted dimensions are discussed and finally, the multidimensional poverty index at the regional as well as at the country level is estimated accordingly.

4.1 POVERTY DIMENSION WISE (1STCUT OFF) This part identifies deprived and non-deprived families by taking five dimensions i.e. Quality of Housing, Child Mortality, Education, Basic Needs, and Living Standard along with eleven indicators. If a family did not qualify the above indicator, then the family will be considered as “deprived” otherwise “non-deprived”.

4.1.1 QUALITY OF HOUSING DIMENSION Occupancy status, dwelling type, room density, and sanitation are incorporated in this dimension for analysis on a regional basis. According to Quality of Housing (Tables 1), in “occupancy status” about 92% of families living in a rural area are “non-deprived” against the 18% of deprived. Likewise, urban area families 71% have their independent housing (non-deprivation) while 29% are deprived. In the dwelling type category (having independent house/compound/ apartment/flat), 79% of rural families are non-deprived against 21% of deprived families. Similarly, 87% of families of urban areas have their independent housing which is greater than those of deprived families.

Region Rural Urban

Table 1: Quality of Housing (Calculations based on PSLM 2013-2014)

Occupancy Status Non-Deprived

Deprived

10828 4433

927 1801

Dwelling Type

Non-Deprived

7732 4589

Deprived

4023 1645

Room Density

Non-Deprived

7732 4589

Deprived

4023 1645

Sanitation

Non-Deprived

686 2976

Deprived

11069 3258

In the case of room density, the majority of families living in rural and urban areas are nondeprived (two or one people per room) with 66% and 74%. The sanitation situation is poor in the rural areas which indicate that only 6% of houses have sanitation facilities while 94% of houses have not such facilities or deprivation. In the same indicator, in the case of the urban region, 48% of houses have sanitation facilities while 52% of houses are not attached to sanitation.

*Corresponding author (R.Mahmood). Email: riffat_saddozai@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12G http://TUENGR.COM/V11A/11A12G.pdf DOI: 10.14456/ITJEMAST.2020.232

5

4.1.2 HEALTH DIMENSION The health dimension has only one indicator that is child mortality with 0-5 years’ age. Total families are 17989 whereas child mortality is 14100 and 3889 of families have either no children or the age of their children at the time of their death was more than 05 years or their child is alive.

Table 2 depicts “not-deprivation” is more than “deprivation” as per Table among rural families’ child survival rate (non-deprivation) is 73% and child mortality is 27%.

Table 2: Child Mortality (Calculations based on PSLM 2013-2014).

Region Rural Urban

Not deprived 6841 3925

Deprived 2502 832

Likewise, child mortality among the urban region is 17% and the child survival rate is about 83%. This indicates that in urban areas child mortality is lesser than rural.

4.1.3 EDUCATION DIMENSION The “school attendance” and “drop out” are two indicators in this dimension. Table 3 portrays that in rural region school attendance (any child of school-going age 4 to 8 is out of school) in both regions is lower while this deprivation in the rural areas is higher which is about 91%. Likewise, “deprivation” in the urban region is 65%.

Table 3: Education (Calculations based on PSLM 2013-2014) Region Rural Urban

School Attendance Not deprived Deprived 1095 10660 2187 4047

Drop Out Ratio Not deprived Deprived 3255 4601 3320 2260

Similarly, those who were enrolled but did not complete their education are considered dropouts (any family member who has not completed 05 years of schooling). The dropout indicator illustrates that “deprivation” in the rural region is about 41% whereas this condition is opposite in urban regions where “non-deprivation” is 59% and “deprivation” is about 41%.

4.1.4 BASIC NEEDS DIMENSION The basic needs dimension consists of nutrition and access to clean drinking water. Table 4 identifies that 56% of families of rural areas are using a balanced diet (non-deprived) against 44% of families who are malnutrition. Similarly, families living in the urban regions are also “nondeprived” with 52% while “deprivation” over here is about 48% which is more than a rural area.

Table 4: Basic Needs Dimension. (Calculations based on PSLM 2013-2014) Region Rural Urban

Nutrition Not deprived Deprived 6554 5201 3227 3007

Access to clean drinking water Not deprived Deprived 9733 2022 6070 164

Access to the “clean drinking water” indicator illustrates that the majority of families in both regions have this facility while the majority of families living in urban than the rural region. In Table 4 about 83% of families living in rural areas and 97% of urban families are “nondeprivation”.

6

Rifat Mahmood and Ijaz Hussain

4.1.5 LIVING STANDARD DIMENSION It consists of “Gas availability”, “electricity facility” and assets. The Gas availability indicator has a terrible situation in the rural region where 87% of families are deprived of the gas facility.

Whereas the situation of urban region families is opposite from rural areas in the urban area only 28% of families are “deprived” from this facility. The condition of the electric facility is good in both regions, where 66% of families of the rural areas and 90% of families of the urban areas are “non-deprived” as shown in Tables 5.

Table 5: Living Standard Dimension (Calculations based on PSLM 2013-2014) Region Rural Urban

Gas Availability Not deprived Deprived 1470 10285 4470 1764

Electricity Availability Not deprived Deprived 7801 3954 5592 642

Assets Availability Not deprived Deprived 615 11140 1389 4845

The situation of assets is very horrific as the majority families of both regions do not qualify the condition of assets i.e. household heads having any three out of these 08 facilities. According to Table 5, 5% of families of rural areas have at-least three assets out of 08 assets while 95% of families are “non-deprived”. Similarly, 78% of families of the urban region haven’t at-least 03 assets out-off 08 facilities i.e. “deprived”.

4.2 POVERTY INTENSITIES (2ND CUT OFF)

Poverty intensities in weighted deprivation in the form of grouping indicate the 2 nd cut off which ranges from “less than 0.20” to equal to or greater than 0.51. Poverty intensity also depicts the severity of poverty. The second cut-off converts the family from “deprivation” to “poor” if the family received the score greater than or equal to 0.51similarly if the family’s score is 1 then the family will be perfectly poor. If the family receives “less than 0.20” it will be declared as “nonpoor”. According to Table 6 in the case of “non-poor”, only 5% of families belong to the rural region and 29% of urban families are non-poor.

Table 6 Regional wise Poverty Intensity (2 nd Cut-Off) Region Rural Urban

Less than 0.20 (non-p) 537 1813

0.200.26 547 874

0.260.3 1357 733

0.310.35 1142 766

0.360.4 1864 599

0.410.45 1486 480

0.460.50 1414 324

>=0.51

Total

3408 645

11755 6234

For those who are in the range of poverty are 10% of families living in the urban region and 29% are from rural areas. Similarly, the percentage of near poverty (0.46-0.50) of the rural and urban regions is about 12 and 5. In poverty intensity “0.41-0.45” and 0.36-0.4”, the majority families belong to rural region i.e. 13% and 16% respectively while urban families have a minimum score. Likewise, in between these extreme cases i.e. “0.31-0.35” here score families of the urban region are more than rural regions, the percentage of urban families is 13% and in rural families is 10%. The equal percentage is observed in both regions by 12% in “0.26-0.3”. One step away from “non-poor” (0.20-0.26), the majority families belong to the urban region which is 14% while rural families are 5%. Poverty intensity from “non-poor” to “poor” in a rural region is although increasing but with fluctuation and at the extreme level it is highest. Likewise, in the same intensity the urban region, its percentage decreases with fluctuation and in extreme cases, it is a little bit *Corresponding author (R.Mahmood). Email: riffat_saddozai@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12G http://TUENGR.COM/V11A/11A12G.pdf DOI: 10.14456/ITJEMAST.2020.232

7

more.

4.2.1 REGIONAL WISE AVERAGE DEPRIVATION â&#x20AC;&#x153;Aâ&#x20AC;? along-with headcount â&#x20AC;&#x153;Hâ&#x20AC;? and MPI (M0). â&#x20AC;&#x153;Average deprivationâ&#x20AC;? (A) is the measurement by summing the proportion of total deprived families of all dimensions and divide it by the total number of poor families. â&#x20AC;&#x153;Headcount ratioâ&#x20AC;? (H) is measured by dividing the total poor by the total number of people.MPI is calculated by multiplying the â&#x20AC;&#x153;average povertyâ&#x20AC;? (A) to â&#x20AC;&#x153;headcount ratioâ&#x20AC;?

(H) whereas MPI should be between 0 and 1 if the familyâ&#x20AC;&#x2122;s MPI is 0, which indicates that the family is not poor whereas 1 shows perfect poverty.

The result of Table 7 depicts that A (average poverty) among the families of the rural region is 0.45 which is greater than the Urban region where it is 0.37; similarly, A at the country level is about 0.43. Total poor i.e. q in a rural region is 11218 families which become 95% share, out of the total rural population, and in the urban regions, this count is 4421 which is 71% of the total urban population. At the country level, this percentage is about 87%.

Table 7: Regional wise Average deprivation, HeadCount, and MPI Region/Country Rural Urban Country

đ??´đ??´ 0.45 0.37 0.43

(Calculations based on PSLM 2013-2014) Total Poor (đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;) Total Population (đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;) 11218 11755 4421 6234 15639

17989

đ??ťđ??ť = đ?&#x2018;&#x17E;đ?&#x2018;&#x17E;/đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; 0.95 0.71 0.87

MPI= đ??´đ??´ â&#x2C6;&#x2122; đ??ťđ??ť 0.43 0.26 0.37

In the case of headcount ratio â&#x20AC;&#x153;H,â&#x20AC;? this percentage in rural and urban is about 95 and 71 respectively while at the country level it becomes 87%. The majority of multidimensional poor families belong to the rural region (0.43) while MPI in urban regions is 36%. Similarly, the countrywise adjusted headcount ratio (MPI) is 37%.

4.2.2 REGION WISE CONTRIBUTION TO COUNTRYâ&#x20AC;&#x2122;S MPI To find the share of regions in the countryâ&#x20AC;&#x2122;s MPI population is divided by Rural and Urban regions and then found the share of rural and urban regionsâ&#x20AC;&#x2122; by finding region-wise MPI. Contribution of Urban area to Pakistanâ&#x20AC;&#x2122;s MPI =

đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC; đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;â&#x20AC;˛ đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018;

â&#x2C6;&#x2014; 100

(1).

đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; = Urban Population and đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; = Total Population, Contribution of Urban area to Pakistanâ&#x20AC;&#x2122;s MPI = 24.4%. Whereas the contribution of rural areas to Pakistanâ&#x20AC;&#x2122;s MPI =75.9%. The result confirms that in Pakistan maximum share in MPI is contributed by the rural region.

5 CONCLUSION MPI multidimensional policy index is an important and interesting effort to find the poverty extent i.e. its coverage as well depth with extensively used poverty indicators. The research analyzed the issues of the deprived dimensions across Pakistani regions (rural and urban) by using a new methodology of MPI, introduces by Alkire and Foster (2007-08) â&#x20AC;&#x153;Counting and Multidimensional Poverty Measuresâ&#x20AC;? of identification of poor and non-poor by taking data collected by Pakistan Social and Living Standard Measurement Survey Round vii (2013-14). An estimation of deprived dimensions concerning incidence and depth of poverty has been made. The

8

Rifat Mahmood and Ijaz Hussain

result of 1st cut-off indicates that the majority families, especially from rural region, are deprived in “sanitation” from “quality of housing, “school attendance” from “education” and “gas availability” and “assets availability” from “living standard” Similarly, 2nd cut-off represents that about 41% from the rural region and 16% from the urban region is “poor” or at the border of poverty. MPI of the rural region is 43% and in the urban region, it 26% while at the country level it is about 37%.

Similarly, a 76% share of MPI to the country is contributed from the rural region.

6 AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

7 REFERENCES Ahmed, R., Khan, A.U. (2020). Empirical Analysis of Correlates of Education in the Slum Population: Evidence from Karachi, Pakistan. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 11(11), 11A11E, 1-9.

Alkire, S., & Foster, J. (2007) Counting and Multidimensional Poverty Measures Working Paper 7 Oxford University: OPHI Oxford Poverty and Human Development Initiative. www. ophi.org.uk.

Christiaensen, L., Christopher, S., & Wodon, P. (2002). Poverty Measurement and Analysis. World Bank. http://mpra.ub.uni-muenchen.de/45362/ 1/MPRA_paper_45362.pdf.

Dercon, S. (2005). Risk, Poverty and Vulnerability in Africa. Journal of African Economies, 14 (4), 483–488.

Duclos, Y., David, S., & Stephen, D. (2006). Robust Multidimensional Spatial Poverty Comparisons in Ghana, Madagascar, and Uganda. The World Bank Economic Review, 20 (1), 91-113.

Jean, F., Mario, B., & Mauro, V. (2013).The Multidimensionality of Child Poverty: Evidence from Afghanistan. Social Indicators Research, 112, 391–416.

Laderchi, R.C. (1997) Poverty and its many dimensions: The role of income as an indicator. Oxford Development Studies. 25 (3), 345 – 360 Ramya, V.M (2014).Moving from the Household to the Individual: Multidimensional Poverty Analysis. World Development, 59, 70–81.

Robyn, M.V., & Kevin, D. (2008) Is poverty multidimensional? A comparison of income and asset based measures in five Southern African Countries. Social Indicators Research, 86 (1), 149162.

Rosa. A. A., & Kumar, K. (2008).Multidimensional Poverty and Vulnerability. Economic and Political Weekly, 43(20), 77, 79.

Sabina, A., & Maria, E. (2014). Acute Multidimensional Poverty: A New Index for Developing Countries World Development, 59, 251–274 Sen, A. K. (1976). Poverty: an ordinal approach to measurement.Econometrica, 44, 219-231.

Thomas, B., Rolidan, M., Groot, G., &Ruijter, A. (2009).Multidimensional Poverty and Identification of Poor Households: A Case from Kerala, India. Journal of Human Development and Capabilities, 10(2).

Tsui, K. Y. (2002). Multidimensional poverty indices. Social choice and welfare, 19(1), 69-93. *Corresponding author (R.Mahmood). Email: riffat_saddozai@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12G http://TUENGR.COM/V11A/11A12G.pdf DOI: 10.14456/ITJEMAST.2020.232

9

United Nations Development Program. (2013). The Rise of the South Human Development Report http://hdr.undp.org/en/2013-report.

World Bank. (1990) Poverty in Pakistan in the 1990 An interim assessment report. http://siteresources.worldbank.org/PAKISTANEXTN/Resources/pdf-Files-inEvents/Poverty+Paper.pdf.

World Bank. (2000). The World Development Report. 2000 Oxford University Press. https://siteresources.worldbank.org/INTPOVERTY/Resources/WDR/approutl.pdf Rifat Mahmood is a PhD Scholar at Department of Economics, Gomal University, Dera Ismail Khan. He holds an M.Phil. He is a Lecturer at Department of Economics, Gomal University, Dera Ismail Khan, KP, Pakistan. He is interested in Alleviating Poverty with Experimental Research.

Dr. Ijaz Hussain is an Associate Professor at Department of Economics, Gomal University Dera Ismail Khan. He got a PhD degree in Economics. He can be reached ijazecoqau @ gmail.com

10

Rifat Mahmood and Ijaz Hussain

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12H

ROLES OF COMMUNITIES OF PRACTICE IN INTRAORGANIZATIONAL COORDINATION OF PRODUCTIVE KNOWLEDGE GHAZI BEN SAAD 1

1

Community College, Department of Business Administration, Prince Sattam Bin Abdulaziz University, Alkharj, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 24 January 2020 Received in revised form 29 May 2020 Accepted 09 June 2019 Available online 19 June 2020

This paper aims to enhance the value of communities of practice in the process of intra-organizational coordination, as well as of the organizational learning process. Only such a paradigm can remediate to the epistemology of possession-based view and then replace it by an alternative view that favors an epistemology of practice.

Keywords: Knowledge-based economy; Theory of practice; Epistemology of practice; Community of practice.

Disciplinary: Organization Information & Knowledge Management (Communities of Practice in Information and Knowledge). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Information and communication technologies (ICTs) have brought about critical changes in the economic environment of firms, implying the need for a deep re-examination of the modes of governance and coordination of productive knowledge. In this new economic configuration where the productive logics are more and more subjected to a regime of competition based on continuous innovation and the creation of knowledge, the traditional forms of representation of the firm show serious limits to account for this new dynamic. Contractual theories, and transactional theory, in particular, are indeed based on a vision of "resource allocation" which makes it difficult to deal with the dimension of "resource creation".

More precisely, the classical hypotheses of information accumulation in a linear process, as well as the simplistic hypotheses on the process of codifying knowledge and their limitation to the ontological level of the individual are increasingly challenged. A central idea that seems to emerge from recent work in the knowledge economy is the need to go beyond the limits of organizational knowledge to an "epistemology of possession" to extend it to an "epistemology of practice", in the terms of Cook and Brown (1999). Organizational knowledge is traditionally considered to be "possessed" by agents. The formation of new knowledge and the exchange and exploitation of *Corresponding author (GHAZI BEN SAAD). Tel: +966-599316586 Email: g.bensaad@psau.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12H http://TUENGR.COM/V11A/11A12H.pdf DOI: 10.14456/ITJEMAST.2020.233

1

existing knowledge are seen as processes triggered by learning mechanisms distinct from the forms of knowledge possessed. This vision of knowledge is necessarily reductive: on the one hand, it eliminates the knowledge-in-action that provides and shapes practice; on the other hand, it considers only the objective part of knowledge and eliminates subjective and contextual contingencies (Bourdieu, 1980). However, it is these idiosyncrasies and particularisms that are most important in productive knowledge (Hayek, 1945; Penrose, 1959).

To better grasp this dynamic and evolving nature of knowledge, we propose in this paper to explore these new forms of intra-organizational coordination of knowledge-in-action and to highlight the situated perspective (for example, Lave and Wenger, 1991; Brown and Duguid, 1991).

To this end, we rely on the seminal works of Lev Vygotsky and Pierre Bourdieu, founding works for any theory of practice. These seminal works seem to find a promising extension in the recent literature on "communities of practice" (Lave and Wenger, 1991; Brown and Duguid, 1991; Wenger, 1998; Bowles and Gintis, 2000; Amin and Cohendet, 2004). In this work, we draw up a state of the art of this literature, which is now bloated, and we develop a conceptualization of the intra-organizational coordination of productive knowledge linking the theory of the firm to the theory of practice.

2. LIMITS OF TRADITIONAL ORGANIZATIONAL COORDINATING PRODUCTIVE KNOWLEDGE

METHODS

OF

2.1 THE LIMITS OF TRANSACTIONAL THEORIES The traditional representation of the firm through contractual theories marks serious limits to account for the new dynamic of the economy based on the creation of intangible assets. The main limitation of contractual theories seems to be their restriction to the dimension of "resource allocation" to the detriment of a vision-oriented towards "resource creation".

Traditionally, in the tangible industrial economy, the contractual theories of the firm and the theory of transaction costs in particular (Coase, 1937; Williamson, 1975, 1985), which is today the dominant form of representation of the firm, have shed light on hierarchical forms of governance as a mode of coordination responding to "market failures". The existence of the organization is then explained by the existence of transaction costs corresponding to the resources mobilized to complete a transaction on the market: the organization exists because the cost of carrying out specific transactions is lower inside of the organization than on the market. The transactional analysis thus replaces the "invisible hand" of the market with a "visible hand" "Of managers prescribing rules and coordinating the incentives, behaviors, and actions of agents in accordance with the objectives of the organization.

With the advent of a knowledge-based economy (Abramowitz and David, 1996; Foray and Lundvall, 1996; Drucker 1998), this contractual representation, more or less adapted to the tangible economy, begin to mark serious limits. This is reflected in many recent contributions mainly in terms of the limits of the transactional approach to account for the processes of production and dissemination of new knowledge. The transactional theory supposes that the firm is located in a context of resource allocation, with given productive capacities. The firm is conceived there as an institutional device making it possible to set up the appropriate incentives to correct the informational biases which authorize behaviors of unproductive research of opportunistic rents. It is indeed a theory of the firm founded on the problems of exchange, where the aspect creation of

2

GHAZI BEN SAAD

resources is neglected, or completely secondary.

Without questioning the vital need for intra-organizational coordination by hierarchical authority, given that even in a knowledge-based economy, the problems of resource allocation and transaction costs are always significant, this contribution rather aims to highlight the inadequacy and limits of the transactional approach to account for the organizational dynamics of resource creation.

On the one hand, "hierarchy failures" appear to us to fall within the range of the limits already well known in the tangible economy, linked to long-term organizational dynamics. Indeed, as Langlois (1993) points out, the transaction cost in the Coasian sense is essentially a short-term cost, which means that it does not take into account the long-term dynamics assuming the automatic resolution of uncertainties and conflicts through the “routines” on which production is based (Nelson and Winter, 1982) as well as social and cultural norms. The problems of opportunism indeed diminish considerably in the long term, organizational routines (Cohen et al., 1996), and cultural and social norms playing a central role in the reduction of opportunistic behaviors by invoking and conveying the memory of past interactions. Langlois concludes that the existence of firms is not solely due to short-term transaction costs. The long-term dynamics point to two major shortcomings in the hierarchy; failures relating to the management of cognitive asymmetries and failures related to the cognitive capacities of agents: (i)

In a context of resource creation, contractual arrangements for saving transaction costs come up against particular difficulties in their objective of channeling the behavior of agents in the direction desired by the hierarchy.

Indeed, organizational knowledge becoming more and more dispersed and idiosyncratic, in Hayek's sense, the agents holding it gains more and more negotiation power vis-à-vis the hierarchy (Foss, 2002). Cognitive asymmetries then become more salient in this new framework than information asymmetries and the risks of opportunism. These new asymmetries are unlikely to be "taken care of" by conventional modes of hierarchical coordination.

(ii)

Another difficulty to be dealt with by hierarchy in the long term is that the transactional approach supposes that the cognitive capacities of the agents are either supposed to be given or supposed to be deformed homothetically according to the information accumulated by the agents. There is little room for real learning, understood as a transformation of agents' cognitive abilities or distortion of cognitive distances between agents. Again, transactional analysis of "sins" by short-termism.

On the other hand, new hierarchy failures appear in connection with the advent of a knowledge-based economy. These are mainly failures relating to the complex nature of the innovation and new knowledge production processes, that is to say, the dimension of resource creation: When we observe the concrete "organizational forms" of the firm to which Williamson refers, the transactional approach marks limits to account for the process of creating resources: if the forms of horizontal and vertical coordination allow the organization to Be efficient in the performance of routine tasks integrating existing knowledge, they encounter insurmountable difficulties when it comes to reporting on the coordination of innovative tasks aimed at the production of new knowledge. The specialization inherent in horizontal coordination hampers, as Marengo (1994) has shown, the efforts of the hierarchy to foster creative collaboration between separate functional *Corresponding author (GHAZI BEN SAAD). Tel: +966-599316586 Email: g.bensaad@psau.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12H http://TUENGR.COM/V11A/11A12H.pdf DOI: 10.14456/ITJEMAST.2020.233

3

divisions. Likewise, if vertical coordination facilitates communication to the knowledge base and commands of the hierarchy, it is ineffective in coordinating non-routine tasks.

Knowledge-producing activities involve problems of externalities and high fixed costs: on the one hand, the externalities linked to learning-by-doing (Arrow, 1962) or learning-by-using (von Hippel, 1988) are raised in these activities which often take shape in collective contexts; on the other hand, knowledge production activities require the construction of common languages or codebooks (Cowan and Foray, 1997) whose hierarchy is unable to bear all the fixed costs.

It is particularly these new failures in the hierarchy, linked to the knowledge-based economy that makes, as Foss (2001, p. 10) recently pointed out, it becomes urgent to think of new forms of intra-coordination. -organizational. To report on this new organizational dynamic, several "alternative currents" of research thus start from this knowledge-based vision to carry the analysis of organizations from a resource allocation perspective to a creation perspective. resources.

Learning and knowledge production is now of prime importance and the firm is increasingly understood as a "knowledge processor" rather than an "information processor" (Fransman, 1994; Cohendet and Llerena, 1999; Amin and Cohendet, 2004).

According to Fransman (1994), if transactional theory, like the other contractual theories of the firm, fails to take into account the phenomena of knowledge creation, it is because the firm is conceived there as a simple "information processor" Which offers an answer to the shortcomings of the market when the latter is not able to process the information itself or when this processing is very expensive. Fransman (1994) opposes this new vision developed recently by a whole group to the vision of the firm as an â&#x20AC;&#x153;information processorâ&#x20AC;?, where the cognitive dimension of agents, their ability to process knowledge or their learning capacity are relegated to the background. streams of very varied origins (strategy, evolutionary theory, industrial history, organizational sciences) which converge to offer a vision of the firm as a "knowledge processor" which favors the acquisition, production, and distribution of knowledge essential to the maintenance of skills. Organizational learning is therefore at the very heart of the basic skills of the organization.

2.2 THE LIMITS OF NEW THEORIES OF KNOWLEDGE MANAGEMENT Recent work in terms of knowledge management has marked serious advances in the understanding of knowledge management methods. Thus, in contrast to transactional analysis which rejects the problem of organizational knowledge (and productive knowledge more generally) in the background, new theories of knowledge management place knowledge as the most important strategic resource for the firm and its main capacity to produce a competitive advantage (Prahalad and Hamel, 1990; Kogut and Zander, 1992; Teece and Pisano, 1994; Nonaka and Takeushi, 1995; Ancori et al, 2000). In this new configuration, and like Fransman et al. (1995) describe the firm as organizational entities that create knowledge.

However, many works emphasize at the same time the contextual character and specific to the original conditions of the accumulation, generation, and validation of productive knowledge. In other words, this knowledge is embedded in a variety of learning processes and organizational structures specific to individuals and firms. Productive knowledge appears in this vision as a fragmented resource dispersed in a myriad of idiosyncratic contexts of application and generation.

Each context is characterized by different levels of complementarities (Gibbons et al, 1994). In line with the distinctions (which have become customary today) between information and knowledge (Machlup, 1980; Nelson and Winter, 1982; Dosi, 1988), between tacit knowledge and codified

4

GHAZI BEN SAAD

knowledge (Polanyi, 1967; Nelson and Winter, 1982, Ancori et al, 2000), these new approaches also take into account the dimension of embedding knowledge in specific interactions and networks of personal relationships (Nahapiet and Ghosal, 1998; Granovetter, 2000).

New knowledge management theories have great difficulty in grasping this situated dimension and remain limited to an "epistemology of possession" in the sense of Cook and Brown (1999): productive organizational knowledge is assumed to be owned by agents.

3. LIMITS OF TRADITIONAL ORGANIZATIONAL COORDINATING PRODUCTIVE KNOWLEDGE

METHODS

OF

3.1 THE (HIDDEN) IMPORTANCE OF PRACTICE In the standard contractual representation of the firm, knowledge is implicitly assumed to be "possessed" by the agents. The formation of new knowledge as well as the exchange and exploitation of existing knowledge is seen as a process triggered by learning mechanisms distinct from the forms of knowledge possessed. This vision of knowledge is necessarily reductive: it only considers the objective part of knowledge which eliminates the subjective and contextual contingencies and the knowledge that action provides (through experience). Now, as Hayek has admirably shown, it is these idiosyncrasies and particularisms that are most important in economic sequences.

The separation between knowledge and practice thus represents a false dichotomy in the contractual theories of the firm. The process that produces knowledge in the organization cannot be separated from the practice and the contexts in which this knowledge is formed, acquired, and appropriate. In other words, knowledge cannot be reduced to a "stock" which can be transferred from one context to another. Its use requires an effort of interpretation and translation so as to always update and recreate it in relation to each new context (Tsoukas, 1996).

The standard vision of coordination can be adapted to knowledge-reduced-to-information (Amin and Cohendet, 2004). Knowledge is not just an aggregation of information. It is more of an information system embedded in a context (Granovetter, 1985) and subject to individual or organizational processes that give it meaning (Weick, 1995) by allowing the interpretation of new and existing information on an individual level. or organizational to develop new knowledge (Daft and Weick, 1984). If the information has a mainly quantitative dimension, knowledge is purely qualitative. Thus, rich knowledge can be created from very fragmented information. Conversely, a very large amount of information can produce insignificant knowledge.

This distinction has very important social and organizational implications: while the first type of knowledge needs to be collected and integrated, the second type needs to be disseminated. Cook and Brown (1999) have designated the approach that focuses on the first type of knowledge as a "possession epistemology", while the second type of knowledge corresponds to a "practice epistemology".

The intuitions of many economists (for example, Friedrich Hayek, Edith Penrose) seem to be verified in an economy based on knowledge and practice can now be posted as a central dimension in the process of coordination of productive knowledge. To better understand this dynamic and evolving nature of knowledge, we will refer here to the founding work of the theory of practice in Lev Vygotsky and Pierre Bourdieu. *Corresponding author (GHAZI BEN SAAD). Tel: +966-599316586 Email: g.bensaad@psau.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12H http://TUENGR.COM/V11A/11A12H.pdf DOI: 10.14456/ITJEMAST.2020.233

5

3.2 TEACHINGS OF THEORY OF PRACTICE Lev Vygotsky is one of the authors who most deeply rooted their approach to knowledge and learning in the epistemology of practice: knowledge emerges in and through practice: "[T] he primary form of intellectual activity is the active, practical thinking, directed towards reality and representing one of the fundamental forms of adaptation to new conditions, to changing situations in the external environmentâ&#x20AC;? (Vygotsky, 1997, p. 84). Knowledge is thus built according to Vygotsky first in action before being internalized. It is knowledge-in-action. This testifies to the primacy of the epistemology of practice over the epistemology of possession: we do things (opus operatum) before knowing how to do them (modus operandi). This discrepancy between what the agents know and what they can do, that is to say, the difference between the internalized performance of the agents and their performance in an action situation, results in a distance, always emerging, between what the agents are and what they want to be.

This is what Vygotsky (1997) defines as a "zone of proximal development", where he says resides the best learning opportunities. In other words, the learning interaction is most active when the learner is cognitively ready, that is to say, located in a zone of potential development. This vision suggests that learning, situated and contingent, cannot be decreed ex-ante. It is interaction and cooperation that promote the updating and building of knowledge.

Pierre Bourdieu's vision is very similar to that of Lev Vygotsky. Also in Bourdieu, we find the idea that economic activity must be understood not only as an opus operatum, that is to say, a finished product, an "objectified product", but also and above all as a modus operandi, a mode of production, "an incorporated product of historical practice, structures and habits" (Bourdieu, 1980, p. 88). Knowledge thus appears as a movement, a flow or a grammar which guides the practice of each agent: "Reflective explanation converts a practical succession into a represented succession, an action-oriented in relation to space objectively constituted as a structure of requirements ( things "to do") in reversible operation, performed in a continuous and homogeneous space.

This inevitable transformation is inscribed in the fact that the agents cannot adequately master the modus operandi which allows them to generate correctly formed ritual practices except by making it function practically, in the situation, and by reference to practical functions. The one who has a practical mastery, an art, whatever it is, is capable of implementing, in the act, this provision which appears to him only in act, in relation to a situation (he will be able to redo, as many times as the situation requires, the feint which imposes itself on him as the only one to do); he is no better placed to perceive and bring to the order of discourse what really regulates his practice than the observer who has on him the advantage of being able to apprehend the action from outside, as an object, and above all to be able to totalize the successive achievements of the habitus (without necessarily having the practical mastery which is at the principle of these achievements and the adequate theory of this mastery) â&#x20AC;?(Bourdieu, 1980, p. 152). The idea of the attention economy, through the activation of routine action, is here a central idea: the agent can only adequately master the modus operandi by internalizing part of this operating mode and by making it spontaneous, a habitus. This interiorization, says Bourdieu again, is necessarily embedded in a situation: only a stimulus emanating from this situation can trigger the spontaneous action that is necessary (or the feint in Bourdieusian terms): "It is acts that a habitus will never produce if it does not meet the situation in which it could actualize its potentialities: we know for example that the borderline situations of times of crisis give to some the opportunity to reveal potentialities unknown to

6

GHAZI BEN SAAD

themselves and others (Bourdieu, 1980, p. 154f). The idea of the operating mode returns to the foundation of practice compared to a cognitive effort, therefore of cognitive capacity, of attention which must be saved, less because of a general principle of rational calculation applicable by the repetitiveness of the work only because of the "logic of the practice" (Ibid., p. 154).

By linking knowledge to practice, This pragmatic approach in Lev Vygotsky and Pierre Bourdieu allows us to identify three main characteristics of productive knowledge within organizations: (i) this knowledge is mediated: manifested in systems of technology, of collaboration and control; (ii) they are located: localizing in a specific time and space in particular contexts; and (iii) they are temporary: constantly (re) constructed and (re) developed.

An epistemology of practice, still unexplored in economics, thus seems more capable of restoring the complex models of economic coordination of knowledge within organizations. This framework clearly suggests that the appropriate unit for the analysis of knowledge formation embedded in practice should be neither individuals nor organizations, but rather distributed activity systems, such as communities.

4. LIMITS OF TRADITIONAL ORGANIZATIONAL COORDINATING PRODUCTIVE KNOWLEDGE

METHODS

OF

4.1 NEW APPROACHES OF COMMUNITIES OF PRACTICE Many seminal contributions developed this approach in terms of communities in the 1990s in line with the sociological theses of the practice (Lave and Wenger, 1991; Brown and Duguid, 1991; Wenger, 1998). This work has particularly highlighted the fact that a growing part of learning and knowledge creation is the result of informal collective actions. As a result, not only does learning always have a social dimension but, moreover, it manifests itself mainly in the social interactions of agents engaged in common practice. Any action must, therefore, be understood according to its context. Knowledge is no longer seen as the property of individual agents, but as distributed and embedded across social systems, taking place primarily at the intermediate organizational scale of "Communities of practice".

A central economic feature of communities of practice is that they are based on a principle of voluntary cooperation (trust not calculated strategically, intrinsic motivation, etc.) and are made up of agents who interact through a non-hierarchical communication architecture. They are thus able to assume the “sunk costs” relating to the knowledge generation and/or accumulation processes. These are, for example, the costs of progressive construction of languages and models of action or interpretation necessary for the implementation of new knowledge and which are not supported by the traditional mechanisms of the hierarchy.

Also, we suggest in this contribution that communities of practice can compensate for the failings of the hierarchy in firms that face the need to innovate and to continuously produce or assimilate new knowledge.

Through regular interactions - between members of a community - constituting the infrastructure that supports situated learning, communities become repositories of knowledge that is embedded in their daily practices and habits. One of the determinants of the accumulation of knowledge within the community is the mode of learning adopted by a community (for example, learning by circulating "best practices"). Also, in most cases, knowledge is circulated using local *Corresponding author (GHAZI BEN SAAD). Tel: +966-599316586 Email: g.bensaad@psau.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12H http://TUENGR.COM/V11A/11A12H.pdf DOI: 10.14456/ITJEMAST.2020.233

7

language (code) specific to the community. As Wenger (1998) points out, a community based on interaction and participation constitutes a "locally negotiated jurisdictional regime".

More precisely, over time, engagement within a common practice creates "Directories" shared by community members: routines, jargon, procedures, stories, gestures, symbols, etc., but also physical media, such as prototypes or models. These shared repertoires, created (or adopted) by the community during its existence, are gradually becoming an integral part of its practice. They should not be understood as consensual bases, but rather as resources that can be mobilized for negotiation of meaning in situations of interaction. Organizational learning is not natural: it needs the tensions created or injected to trigger. Collective learning in this vision occurs in organizational practices while agents negotiate or renegotiate common repertoires or common knowledge bases. It is thus widely located. Knowledge is generated and used within communities through learning that can only be specific to the situation and to the community of actors sharing its management. The variety of communities within an organization thus represents a variety of potential organizational trajectories. These communities can thus encapsulate options: the organization can choose to go to latent common reference points in certain communities.

4.2 A CONCEPTUALIZATION OF THE INTRA-ORGANIZATIONAL COORDINATION OF PRODUCTIVE KNOWLEDGE: LINKING THE THEORY OF THE FIRM TO THE THEORY OF PRACTICE The analysis in terms of communities opens wide perspectives to link the theory of the firm to the theory of practice. One of the advantages of this analysis is that, in a given community, learning merges with practice due to the nature of the practice itself. The introduction of the community as a unit of analysis thus makes it possible to remedy the classic false separation in economics between knowledge and practice. The process that produces knowledge in the organization cannot be dissociated from the practice and the contexts in which this knowledge is formed, acquired, adjusted, used, shared, updated, regenerated, and appropriate. And adopting the idea that knowledge creation takes place mainly in action contexts, and that action is always collective, consideration of the intermediate level of the communities is therefore necessary to focus on learning in processes of 'action. The community must, therefore, conceived first as a node where information exchanges and interpretations intersect, and then as a chain through which information is conveyed within the organizational boundaries of the firm.

In this way, a major advantage of the community over conventional organizational modes of coordination is that, insofar as the implementation of knowledge is based on the existence of a language and shared representations, the accumulation and knowledge processing takes place naturally within a given community, without an absolute need to resort to powerful incentive mechanisms. The community is a place of trust for each of its members.

Thus, in unforeseen situations, commitments will not be guided (as a priority) by the spirit of contracts but by respect for the social standards specific to the community. The validation of knowledge is done at first analysis within a given community. Likewise, the interpretation of knowledge provided from outside (notably by the hierarchy) is examined, criticized, and restated (sometimes giving rise to creative adaptations) within communities. On the other hand, the retention of routines, their power of replication, and their continuous improvement are all the more likely to be realized if they operate within given communities. The development of diverse communities corresponds in this way to a gradual division of knowledge creation tasks, each community

8

GHAZI BEN SAAD

specializing in a patch of new knowledge. Only the community is capable of keeping knowledge alive so that it preserves the tacit aspect of knowledge that formal systems of governance cannot capture. The community thus bears the fixed cost of the progressive construction of languages and models of action and interpretation. By having a common practice long enough, agents develop in a community shared understandings, a shared vision of the world, etc. An organization considered to be a community of communities will, therefore, be able to act on distributed knowledge, to a large extent held by individual agents. Communities also help stabilize individual commitments in an uncertain universe. Individuals remain attentive to the specificities of situations and can, therefore, update the forms of their cooperative engagement. The construction of meaning being essentially a procedural approach (Lave and Wenger, 1991), communities are thus providers of meaning (Cyert and March 1963; Daft and Weick, 1984) and collective beliefs in agents and therefore play a central role in coordination in the organization. The community framework provides the context in which collective beliefs and the representations structuring individual choice and collective action are constructed.

5. CONCLUSION The main purpose of this contribution is to (re)think about the inadequacies of the firm's contractual approaches to the advent of a knowledge-based economy, as well as that of recent knowledge management work. It is about being able to account for a new competition regime where productive knowledge is becoming more and more dispersed within intra-organizational and interorganizational knowledge networks around "best practices" on the market. In this sense, we have particularly developed the interest of not being limited to an epistemology of possession of knowledge and of fertilizing it with a vision where knowledge cannot be grasped or conceived outside of the practices which condition and generate it. The community of practice, therefore, seems to be the optimal organizational field where the individual and the group learn best. In other words, it represents an organizational unit that allows better intra-organizational coordination of productive knowledge. We have put forward a pragmatic vision of learning and coordinating organizational knowledge which is concerned with the processes and contexts of knowledge creation and dissemination and perceives organizational performance through observation of practices in work situations. Knowledge is defined as a process of social achievement constituted and reconstituted every day and at any time through practice: it cannot, therefore, be stable or permanent but subject to continual and dynamic change. Communities of practice are therefore an ideal place where the members of an organization are most successful in learning, since it is no longer possible to dissociate knowledge of the place, context or situation from which it emerges, or the practice that generates it and of which it is a fully integrated part. Activity, which is the field of practice, is the source from which organizational skills emerge.

6. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

7. ACKNOWLEDGEMENT This publication was supported by the Deanship of Scientific Research at Prince Sattam bin Abdulaziz University, Alkharj, Saudi Arabia. *Corresponding author (GHAZI BEN SAAD). Tel: +966-599316586 Email: g.bensaad@psau.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12H http://TUENGR.COM/V11A/11A12H.pdf DOI: 10.14456/ITJEMAST.2020.233

9

8. REFERENCES Abramowitz, M. and P. David (1996). Technological change and the rise of intangible investments: the US economy’s growth path in the twentieth century. Employment and Growth in the Knowledge-Based Economy, OECD. Amin, A. and Cohendet P. (2004). Architectures of Knowledge: Firms, Capabilities and Communities, Oxford University Press.

Ancori, B., Bureth A. et Cohendet P. (2000). The Economics of Knowledge: The Debate about Codification and Tacit Knowledge », Industrial and Corporate Change, 9(2), 255-287.

Arrow, K. (1962). « Economic Welfare and the Allocation of Resources for Invention », in Universities National Bureau Committee for Economic Research, The Rate and Direction of Inventive Activity, Princeton: Princeton University Press, 609-25.

Blackler, F. (2002). « Knowledge, Knowledge Work, and Organizations », in C.W. Choo and N. Bontis (eds.), The Strategic Management of Intellectual Capital and Organizational Knowledge, New York: Oxford University Press, 47–62.

Bourdieu, P. (1980). Le sens pratique, Paris: Les Editions de Minuit.

Bowles, S. and Gintis H. (2000). Social Capital and Community Governance. Working Paper, Department of Economics, University of Massachusetts.

Brown, J.S. and Duguid P. (1991). Organizational Learning and Communities of Practice: Toward a Unified View of Working, Learning and Innovation. Organization Science, 2(1), 40-57.

Coase, R.H. (1937). The Nature of the Firm. Economica, New Series, 4(16), 386-405.

Cohendet, P. and Llerena P. (1999). La conception de la firme comme processeur de connaissances, Revue d’Economie Industrielle, 88(2), 211-236.

Cohendet, P., Créplet F., Diani M., Dupouet O., Schenk E. (2004). « Matching Communities and Hierarchies within the Firm, Journal of Management and Governance, 8, 27–48.

Cook, S.D.N. and Brown J.S. (1999). Bridging Epistemologies: The Generative Dance Between Organizational Knowledge and Organizational Knowing », Organization Science, 10(4), 381-400.

Cowan, R. and Foray D. (1997). The Economics of Codification and the Diffusion of Knowledge, Industrial and Corporate Change, 6(3), 595-622.

Cyert, R. and March J. (1963). A Behaviourial Theory of the Firm, Englewood Cliffs: Prentice-Hall.

Daft, R.L. and Weick K. (1984). Towards a Model of Organizations as Interpretation Systems, Réédité dans K.E. Weick (2001), Making Sense of the Organization, Oxford: Blackwell, 241-258.

Dosi, G. (1988). The nature of the innovative process, in Dosi G. et alii (ed.), Technical change and economic theory, Printer Publishers.

Drucker, P. (1998). « From Capitalism to Knowledge Society, in D. Neef (Eds.), The knowledge Economy, Woburn MA: Butterworth.

Foray, D., Lundvall B.A. (1996). The knowledge-based economy: from the economics of knowledge to the learning economy. OECD Employment and Growth in the KnowledgeBased Economy.

Foss, N.J. (2001). Misesian Ownership and Coasian Authority in Hayekian Settings: The Case of the Knowledge Economy. The Quarterly Journal of Austrian Economics, 4(4), 3-24.

10

GHAZI BEN SAAD

Foss, N.J. (2002). Economic Organization in the Knowledge Economy: an Austrian Perspective, in N.J. Foss et P.J. Klein (Eds.), Entrepreneurship and the Firm: Austrian Perspectives on Economic Organization, Cheltenham: Edward Elgar, 48- 71.

Fransman, M. (1994). Information, Knowledge, Vision and Theories of the Firm. Industrial and Corporate Change, 3(3), 713-757.

Gibbons, M., Limoges C. and Nowotny H. (1994). The New Production of Knowledge: The Dynamics of Science and Research in Contemporary Societies, Sage.

Granovetter, M. (2000). Le marché autrement, Paris: Collection Sociologie.

Hayek, F.A. (1945). The Use of Knowledge in Society, American Economic Review, 35(4), 519530, Réédité in F.A. Hayek (1949), Individualism and Economic Order, London: Routledge & Kegan Paul, 77-91.

Hippel, (von) E. (1988). The sources of innovation, Oxford University Press.

Kogut, B. and Zander U. (1992). Knowledge of the Firm, Combinative Capabilities, and the Replication of Technology, Organization Studies, 3, 383-397.

Langlois, R.N. (1993). Capabilities and Coherence in Firms and Markets.

Evolutionary and Resource-based Approaches to Strategy, Copenhagen.

Conference on

Lave, J. and Wenger E.C. (1991). Situated Learning: Legitimate Peripheral Participation, New York: Cambridge University Press.

Machlup, F. (1980). Knowledge, its Creation, Distribution and Economic Significance, Princeton: Princeton University Press.

Marengo, L. (1994). Knowledge Distribution and Coordination in Organizations: On Some Social Aspects of the Exploration vs. Exploitation Trade-Off, Revue Internationale de Systémique, 7, 553-571.

Nelson, R.R. and Winter S.G. (1982). An Evolutionary Theory of Economic Change, Cambridge (Mass.): Harvard University Press.

Nonaka, I. and Takeuchi H. (1995). The Knowledge-Creating Company: How the Japanese Companies Create the Dynamic of Innovation, New York: Oxford University Press.

Penrose, E.T. (1959). The Theory of the Growth of the Firm, Oxford: Oxford University Press.

Polanyi, M. (1962). Personal Knowledge: Towards a Post-Critical Philosophy. London: Routledge and Kegan Paul.

Polanyi, M. (1967). The Tacit Dimension, Garden City (NY): Doubleday & Company. Prahalad, C.K. and Hamel G. (1990). The Core Competence of the Corporation, Harvard Business Review, 68, 79-91.

Spender, J.C. (1996). Competitive advantage from tacit knowledge?, in B. Moingeon and A. Edmonson (eds.), Organizational learning and competitive advantage, London: Sage, 5673.

Teece, D.J. and Pisano G. (1994). The dynamic capabilities of firms: an introduction, Industrial and Corporate Change, 3, 537-556.

Tsoukas, H. (1996). The Firm as a Distributed Knowledge System: A constructivist Approach.

Strategic Management Journal, 17, 11-25.

Vygotsky, L. (1997). Pensée et langage, Paris : La Dispute. *Corresponding author (GHAZI BEN SAAD). Tel: +966-599316586 Email: g.bensaad@psau.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12H http://TUENGR.COM/V11A/11A12H.pdf DOI: 10.14456/ITJEMAST.2020.233

11

Vygotsky, L. (1998). Théorie des émotions. Etude historico-psychologique, Paris/Montréal : L’Harmattan.

Weick, K.E. (1995). Sensemaking in Organizations, Thousand Oaks: Sage.

Wenger, E. (1998). Communities of Practice: Learning, Meaning, and Identity. Cambridge: Cambridge University Press.

Williamson, O.E. (1975). Markets and hierarchies, New York: The Free Press.

Williamson, O.E. (1985). The Economic Institutions of Capitalism, Firms, Markets, Relational contracting, The Free Press.

Williamson, O.E. (1993). Calculativeness, Trust, and Economic Organization. Journal of Law and Economics, 36, 453-486.

Dr.GHAZI BEN SAAD is an Assistant Professor, Community College, Department of Business Administration, Prince Sattam Bin Abdulaziz University, Alkharj, Saudi Arabia.

12

GHAZI BEN SAAD

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12I

MENTAL MAPPING ASSESSMENT OF LOKE YEW-PUDU AREA, KUALA LUMPUR 1

1*

1

Adele Teo Yan Ni , Yasser Arab , Jestin Nordin , 1 2 Ahmad Sanusi Hassan , and Boonsap Witchayangkoon 1 2

School of Housing, Building & Planning, Universiti Sains Malaysia, MALAYSIA. Department of Civil Engineering, Thammasat School of Engineering, Thammasat University, THAILAND.

ARTICLEINFO

A B S T RA C T

Article history: Received 12 July 2019 Received in revised form 29 May 2020 Accepted 08 June 2020 Available online 20 June 2020

This study investigates and identifies five main urban design elements in Pudu of Jalan Loke Yew and an observation on the architecture planning style of which the urban planning of the area falls into based on a Malaysian context. The research conducted by visiting the site, observations, and open-ended interviews to understand the area. Targeted interviewees are observers who frequently use this area.

The research findings show that this area has been developed to include all the five main urban design elements, according to Lynch (1960).

Several landmarks within this area are also identified. Issues touched on in this paper discuss the lack of free pedestrian movement, diversity in land use and people, no clear demarcation of all educational and religious districts and landmarks and nodes as wayfinding cues. The study concludes that Loke Yew- Pudu has proper urban planning based on the presence of these dominant elements and in the context of Malaysia. It is observed that planning in this area falls into the 1950s1970s periods.

Keywords: Urban design elements; Urban planning; Pedestrian movement; Mix land use; Pedestrian walkway; Town landmark.

Disciplinary: Urban and Town Planning, Southeast Asia History. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION This study is to investigate and identify the urban design elements in the Loke Yew-Pudu area.

This study is essential to identify successful town planning in Malaysia (Hassan, 2005), which is how to improve future developments with a deeper understanding of existing urban plans (Canniffe, 1970). The study area (Figure 1), Loke Yew-Pudu, located 7km away from Kuala Lumpur City Center (KLCC), is considered within the heart of the city centre. The site is bordered two main roads, Jalan Maharajalela and Jalan Loke Yew in the South West and Jalan Hang Tuah in the North West (Ying, 2014). There is a Light Rail Transit (LRT) line running along the North-East side of the study area. The area consists of a mix of commercial, residential, governmental, religious, and *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

1

educational areas.

Figure 1: Loke Yew-Pudu Area, Kuala Lumpur

2. LITERATURE REVIEW 2.1 IMAGE OF THE CITY Based on Kevin Lynch (1960), five city elements are paths, edges, districts, nodes, and landmarks.

2.1.1 PATHS “Paths” are a route that users usually or will circulate on. Paths are typically roads, pedestrian walkways, railways among many examples. For many people, transiting through a path is how they observe a city (Lydon et al., 2015).

2.1.2 EDGES Paths that are not considered a means of circulation by users are known as “edges”. They are linear elements that act as continuous linear boundaries between two phases like the shoreline, railway line, or parameters of new developments. Edges are lateral references in a city where it seems like it is the area where two regions meet.

2.1.3 DISTRICT “Districts” are medium to large parts of the city. It is an area in which users in a city can go in and be a part of it. Districts are grouped by having similar identities. For example, if an area of the city has very prominent European influence over the district’s architecture, the district could be conveniently called French Quarter.

2.1.4 NODES “Nodes” are also known as points or concentrated areas that are of strategic locations within a city in which users gather around. These points are concentrated with people typically because they carry a sort of importance, such as being a hangout corner or a busy intersection.

2.1.5 LANDMARK Lastly, “landmarks” are prominent physical references in a city. They are easily visible from a distance and multiple angles, thus being used as a radial reference. Another type of landmarks is those that are more local and can be found in the littlest detail, for example, doorknobs or certain shop signage. These landmarks are clues to users who pass them every day.

2

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

2.2 CITY: REDISCOVERING THE CENTER Whyte (1988) observed pedestrian's behaviour in public spaces He discusses the patterns of pedestrian behaviour, the role of the street-corner store, the affiliation between buildings and the street, and to the rise of self-contain megastructure like shopping malls. Whyte (1988) states "what is fascinating about the street are the interchanges between people that take place in it". Whyte is a strong advocate of busy streets where business and social life spills onto the street. He argues that a city should contain more congestion, and the city is all about the people who live in it. He says that "the key to the success or failure of internal public space is its relationship to the street".

2.3 DESIGNING NAVIGABLE INFORMATION SPACES Foltz (1998) says that there are a few design principles for wayfinding. Among which are to create an identity at each location (different from all others), using landmarks as wayfinding cues and memorable locations, create a clear path and others. Remarkable features of a space are used to assist wayfinding. This is why landmarks in an area are useful wayfinding cues. They stand out from their surroundings. He also mentioned that nodes are points where people make decisions.

2.4 URBAN DESIGN IN PENINSULA MALAYSIA Hassan (2005) focuses on the architectural style and town planning that has evolved in Malaysia after the colonial era., in his book, states that the morphology of urban design in Malaysia can be categorized into three categories which are Before Independence (1950)-1970, from 19701990 and 1990- 2010.

2.4.1 BEFORE INDEPENDENCE (1950-1970) Malaysian developments during 1950-1970 were built by the British to house their government officials. The planning and idea developments are based on Raymond Unwin (1917) and Barry Parker’s design of an ideal model village. Curvilinear roads dominate street patterns in this period as a reflection of Garden City’s informal housing layout patterns. In this period, Hassan (2005) observes that the streets have hierarchical access from collector roads to arterial roads and not immediately to highways (Miller, 1992).

2.4.2 1970- 1990 During 1970-1990, new towns were built as part of a decentralizing program to carry traffic away from the city centre. Street patterns in this period embrace the idea of a simple geometric style like squares, rectangle, triangles, and circles. Similar to its predecessor, streets have hierarchical access from collector roads to arterial roads and not immediately to highways. Cultural factor has been neglected in this period, and a universal approach in design was adapted.

2.4.3 1990-2010 From 1990 to 2010, a new town such as Seremban 2 and Putrajaya was developed. These towns exist as part of a decentralization program similar to what has happened from 1970 to 1990.

It can be observed that there has been a mix of European styles during this period.

3. CASE STUDY Kuala Lumpur (KL) has morphed from a jungle to a tin mining town and then the modern capital it is today (welovepudu website). It was founded in the 19th century by Raja Abdullah as he sent Chinese prospectors in search for tin in the area. After the discovery of tin, KL underwent rapid *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

3

development. Due to disorderliness that was happening in KL at that time, Yap Ah Loy was appointed by the local sultan at that time to get the Chinese groups in line, and it was under the watchful eye of Yap Ah Loy that Kuala Lumpur grew from a settlement into a real city. In the year 1984, Sir Frank A. Swettenham began the modernization development of Kuala Lumpur. The studied area is located at Pudu, off Jalan Loke Yew. It encompasses the area from Masjid Albukhary which is across Jalan Hang Tuah, Kenanga Wholesale City Mall to Jalan Sg Besi- Jalan Loke Yew roundabout (Figure 1).

This research is conducted by having a field study by observing the behaviour of people in the area and carrying out interviews with people who frequently visit the area. After completing the analysis, a ground map is produced, and diagrams were made to assist in conveying the findings of this report.

An on-site study was conducted at Loke Yew- Pudu to understand and identify the site boundary and study area, at the same time to identify the urban design elements in the area. The onsite study was conducted in two sessions, morning 9am to 12 pm, and 2-5 pm. These sessions were across two days, with five respondents. The observations were structured to observe the behaviour of people at different times of the day in the area. Observations were recorded through photography and notes to identify and to relate the findings on the actual site condition through Lynchâ&#x20AC;&#x2122;s theory.

An open-ended interview was conducted to understand the area from the localsâ&#x20AC;&#x2122; point of view.

The questions were simplified and jargon-free. Data that were obtained from the respondent were basic demographic data such as their age, visitor or businessmen, and others. The participants were also asked about the pedestrian movement in the area, whether or not they feel like the railway is a prominent age of the area, to identify the busiest intersection (identification of nodes), the landmarks they refer to while in the area, and the district they think they are in right now (if any).

Figure 2: Ground Map.

4. ANALYSIS Since the area of study is located in an urban context, the urban design elements will be viewed from two contexts; the movement of cars and people in the study area. Figure 2 shows a ground map that displays the relationship between the built space and the unbuilt space.

4.1 PATHS 4.1.1 HIGHWAYS On the perimeter of the site, there are four major roads which are Jalan Loke Yew, Jalan Hang

4

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Tuah, Jalan Pudu, and Jalan Yew (Figure 6 highlighted in green). These roads have the highest density of cars. For the pedestrian from observation, it is quite seldom to find people walking along these roads except to go to reach for the bus stops along these roads. There are no other reasons for pedestrians to use these main roads, especially when all activities like trading is located in the middle of the area of study.

4.1.2 ARTERIAL ROADS The arterial roads (Figure 6, highlighted in blue) run in the middle of the study area which is Jalan Sungai Besi, Jalan San Peng, Jalan Gelugor, and Jalan Kenanga. In terms of size, Jalan Sungai Besi and Jalan San Peng are the widest. These two roads lead cars across the area of study into the other areas of Pudu; hence it is busier than Jalan Gelugor and Jalan Kenanga. Jalan Gelugor and Jalan Kenanga are also considered arterial roads although they are narrower than Jalan Sungai Besi and Jalan San Peng. These two roads cater traffic on the central side of the site and are also the main road that brings traffic to Kenanga Wholesale City, the prominent landmark on-site, and also to exit the mall areas heading to Jalan Hang Tuah.

4.1.3 COLLECTOR ROADS The collector roads (Figure 8, highlighted in light purple) connects the other smaller roads to the main arterial roads.

4.1.4 ENTRANCES Five entrances were identified on site (Figure 6); primary entrances off Jalan Loke Yew and Jalan Sg Besi; and the secondary entrances from Jalan Hang Tuah and Jalan Yew. The busiest junction into the site is the entrance next to the Shell Service Station (Figure 5) from Jalan Yew where the road leads towards the commercial district on site. On the south side of the site, the junction is at the entrance next to Jalan Pudu Fire Station. The only pedestrian entrance to the site is highlighted in red in Figure 5. It punches through the Star LRT railway line bridge at Jalan Pudu heading towards Rumah Pangsa Sri Selangor (Figure 3).

Figure 3: Shell Service Station (left) and Pedestrian Entrance along Jalan Pudu (right) 4.1.5 PATHS The pedestrian paths in the study area are highlighted in figure 6. The Star LRT and Monorail interchange station located along Jalan Hang Tuah (Figure 4) encourages pedestrian movement into and out of the area.

Another pedestrian path (Figure 6, highlighted in red) which can be identified on-site is the path that connects Jalan Pudu to the residential area across the railway line (Figure 6, Path 3). This path does not cater for vehicles. According to the interview done with an interviewee, it is mentioned that this path is mainly used by pedestrians to get from the flats to the other side of Pudu, and the next Star LRT Station. The path runs along a small drain and under the Star LRT line as can *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

5

be seen in Figure 3 (Personal interview, 2017).

Figure 4: Pedestrian Walkway towards Train Interchange Station (left) and Train Interchange Station (right).

4.1.6 RAILWAY LINE The rail line runs parallel to Jalan Pudu, and it connects Hang Tuah station to Pudu Station off Jalan Sarawak. The Star LRT line (Figure 8, highlighted in dark purple) can be seen in Figure 7.

The Hang Tuah station is an interchange station between the Star LRT line and the Monorail Line (Figure 5). The Monorail station shares its name with the Star Lrt station, Hang Tuah Station.

Figure 5: Star LRT Line (left) Monorail Line (right).

Figure 6: Paths

4.2 EDGES Edges on site are clearly created by the highways surrounding the site, as shown in Figure 7.

These busy roads defined the human activities which concentrate on the part of the area from other neighbours around them.

6

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Figure 7: Edges Another edge that can be identified is the edges created by the railway lines which run along Jalan Pudu and Jalan Hang Tuah. The Star LRT railway line is a very prominent edge (Figure 8) as half of its railway line is built on the land; this creates a physical edge for users in the area. The railway line towards Pudu station is built on an elevated line. Here the edges are not as prominent as the railway lines towards Hang Tuah station because pedestrians can pass at designated areas under the elevated line.

Figure 8: Railway Edge (left), Eatery Edge (right) Other edges include the edge that separates the commercial area from the residential area (Figure 7). The edges here are prominent in terms of the users around the areas. People come to the area to conduct businesses or to do their shopping in the commercial area, while parents who send their children to the school will be in the educational area and people who live in the area would hang around the residential areas (Figure 7). This creates edges between the areas based on the type of users from a different district.

4.3 DISTRICTS Five districts identified on site are, residential, commercial, religious, educational, and eatery (Figure 10). The area is predominantly a commercial area, where most of its businesses involving the clothing wholesaler. Other minor businesses include the sale of food and beverages, sundries, electrical and electronic appliances, hardwires, hotels, and leisure clubs among many.

There are fifteen blocks of low-cost flats and two blocks of medium-cost apartments scattered mostly in the western part of the residential district. The low-cost flats are Rumah Pangsa Jalan Hang Tuah (two blocks), Rumah Pangsa Sri Selangor (six blocks), Rumah Pangsa Loke Yew (five blocks), Perumahan Awam Seri Sarawak (two blocks). The apartment blocks are the Kenanga Point *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

7

Apartments cluster. Besides these high rise residential towers, there are also squatter houses and low-rise houses located around the site. These squatters are located along with Jalan San Peng while the single-story government quarters are located in front of Kenanga Wholesale City Shopping Mall.

The schools around the area include Tsun Jin Chinese Independent High School, SJK (C) Chung Kwo, SMK Dato Onn, and SMK Perempuan Pudu. These schools however are not concentrated in one area but scattered into three different locations; east, central, and west.

On Jalan Hang Tuah, Masjid Albukhary is the biggest religious building found. There is also a Hindu temple located behind Pangsapuri Sri Selangor, but no Chinese temple found (Figure 19).

Similar to the educational district, the religious districts are not concentrated in one area, therefore, they hardly can be recognized as a district.

The smaller district identified is the eateries along Jalan Kenanga which are very busy during lunch hour. They are approximately a 300m stretch of Malay food stalls along Jalan Kenanga that draw in many customers every day.

Figure 9: Masjid Albukhary (left) Eateries (middle) Rumah Pangsa Sri Selangor (right).

Figure 10: District

4.4 NODES In the area, nodes are mostly usual gathering spots like the markets and the public transportation stations, or bus stops. There is a market (Figure 11) located next to Kenanga Wholesale City Shopping Mall, which is a busy spot in the morning when people do their grocery shopping and have their breakfast.

8

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Another important node is the trains interchange station at the Hang Tuah Station (Figure 11).

An interview with several school students informed since it is just a short walk from the Hang Tuah LRT Station, they stop and walk to the nearest shopping complex such as Berjaya Times Square and Sungei Wang. This station is also a bust spot especially during Friday prayers where Masjid Albukhary is located opposite the station.

There is a node at the entrance of the pedestrian off Jalan Pudu walkway which is a café. It is busy from lunchtime onwards where people gather to get a quick bite or some coffee (Figure 14).

Figure 11: Train Interchange Station (left), Café along Jalan Pudu (middle), Kenanga Wholesale City Shopping Mall (right)

4.5 LANDMARKS Figure 14 dictates the landmarks located within the study area. Masjid Albukhary is a prominent landmark not only because of the building size but also its distinctive architectural style.

There are two Malaysian Fire and Rescue Department Station (MFRD) at the Central MFRD Station (Figure 12) and Pudu MRFD Station. These fire stations are easily recognized as landmarks because they are painted in a striking red, and located adjacent to major roads.

Figure 14: Kenanga Wholesale City Mall visible from different distances around the site.

Kenanga Wholesale City Mall with its unique façade treatment is the largest mall within the vicinity which makes it an obvious landmark. The building towers over other buildings in its immediate surrounding. The mall can be seen from several distances (up to 500m) (Figure 13).

Figure 13: Central MFRD (left), Shell Service Station (right) *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

9

Lastly, the Shell Service Station on Jalan San Peng (Figure 13) is recognized as a landmark because of its location at a busy intersection of Jalan Loke Yew. Many parents who send and pick up their children to Tsun Jin High School used the service station as a landmark.

Figure 14: Nodes and Landmark

4.6 URBAN PLANNING STYLE The urban style of Loke Yew-Pudu can be classified under the 1950s-1970s timeline.

Curvilinear roads can be found as street patterns as a reflection of Garden Cityâ&#x20AC;&#x2122;s informal housing layout patterns (Figure 16). The roads do not directly branch out into highways but have hierarchical access from collector roads to arterial roads and finally onto the highway (Stern, 2013).

Figure 15: Playground in Rumah Pangsa Hang Tuah (left) Playground in Perumahan Awam Sri Selangor (right)

Figure 16: Map Indicating Curvylinear Roads, Grid Housing, and Cul De Sac Houses.

For housing areas in Loke Yew Pudu, they are made up of smaller grids of the building create

10

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

the entire study area which is a reflection of Raymond Unwin and Barry Parker’s grid housing design in the Letchworth Master Planning. It can be seen in Figure 16 highlighted in green. Another element that is similar to Letchworth is the presence of playgrounds in each housing area (Figure 15) and how each housing area is in a cul de sac placement highlighted in blue in (Figure 16)

5. DISCUSSION Four issues are highlighted to help improve the overall development of the studied area.

5.1 LACK OF FREE PEDESTRIAN MOVEMENT 60% of the identified paths on-site are mainly vehicular oriented. Pedestrian pathways, however, are provided along with road tables and in front of the shophouses as five-foot walkways).

Walking on the roadside is hazardous for pedestrians because of fast-moving vehicles. It is also unpleasant to walk on the not so well shaded walkways (Figure 17). At the same time, the path is always obstructed by the merchants’ selling goods (Figure 17). Whyte (1988) says that the city is always about the people who live in it. Whyte also mentions having conversations in the middle of a busy pedestrian path are typical pedestrian behaviours. Hindering a smooth pedestrian movement will not create a successful city, as people are the life of a city according to Whyte.

Figure 17: Obstructed five-foot walkway (left), sidewalk with no shade (right)

Figure 18: Proper pedestrian walkway.

However, there are still some pedestrian walkways in this area to be considered successful. The *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

11

location is along Jalan Hang Tuah. This path leads to the train interchange station from the Central MFRD Station (Figure 18).

A car-free zone could be proposed to eliminate vehicles and provide safer pedestrian circulation to solve the issue. The commercial area can be turned into an outdoor mall (Figure 19).

This outdoor mall can incorporate the use of gardens turning the area into a green park-mall. This could increase pedestrian paths hence creating more pedestrian movement to the area. This is in line with Whyte's principle that social activities should spill into the streets "(to) enable natural interaction among city dwellers within the unnatural landscape of the city" therefore make the area livelier.

This area also is ideal for a green park-mall because of the established wholesale clothing businesses, and other businesses can also attract more movement from the outside area into this proposed green park-mall area. Increase the movement of people (inside and outside of the area) will probably help in generating more sales to existing businesses. Since Malaysia is a hot and humid country, plenty of shade and ventilation should be incorporated in the proposed green parkmall area to give the pedestrians pleasant walking experiences.

Figure 19: Proposed Outdoor Park- Mall

5.2 DIVERSITY OF LAND USE AND PEOPLE From the research, the entire studied area has a mixture of different land uses (Figure 10). The most dominant land use in the area is commercial area followed by the residential areas, educational areas, religious areas, and finally, the eatery area. According to Jane Jacobs (2011), she believed that vital neighbourhoods are what makes a city desirable. To achieve vitality, a city should have diversity in its land use for a higher degree in desirability. It can be concluded that the area of study has a sense of vitality as there is a diversity in land use.

12

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Jacobs (2011) also mentioned that the diversity of people in a city is important to create vitality. The diversity of people in the study area (Figure 20) shows that majority of the people living there are from low-income families however there is also a mix of medium-cost apartments in the area as well as government staff housings. Therefore, it can be concluded that there is a diversity of people in the study area.

Finally, the study finds that the area of study is successful in terms of having diversity in terms of land use and people, as stated by Jacobs.

Figure 20: Diversity in Population.

5.3 NO CLEAR DEMARCATION FOR EDUCATIONAL AND RELIGIOUS DISTRICTS In term of districts, the educational and religious areas are scattered around the site (Figure 21).

Each district is a single entity and not a cluster of entities. Schools have the same time start and end time. By being scattered around the site, traffic congestion is dispersed instead of being concentrated the one area.

Figure 21: Scattered Districts As for the religious district, the mosque will be busy on Fridays and at its current location, will cause congestion on Jalan Hang Tuah. The Hindu temple will be busy on Saturdays and Sundays.

With it being located within the residential areas will cause congestion in the residential areas on the weekends. It will not make a difference if these buildings are located at the same areas of not, *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

13

but for future planning, sufficient space for parking should be allocated for these places of worship and also it should be located near residential areas and away from the main roads of highways to avoid congestion. The educational and religious district does not cause any issues on-site; however, sufficient space for worshipers to park their cars should be provided in the future.

5.4 LANDMARK AND NODES AS WAYFINDING CUES There is a prominent landmark hierarchy on site. The most dominant landmark is the Kenanga Wholesale City (Figure 22) where it has a unique facade design and can be seen from all around the area of study due to its height. This helps navigation within the area of study greatly as the landmark can be a point of reference for users of the area. Foltz (1998) mentions that “landmarks are memorable locations that help to orient the navigator; regions are distinct areas that place (a person) in one part of the environment”.

The secondary landmark on-site can be the Shell Service Station at the intersection (Figure 22) This landmark is especially important for parents who send their children to Tsun Jin High School.

Figure 22: Kenanga Wholesale City Mall as Dominant Landmark (left), Shell Service Station as Landmark for Tsun Jin High School Parents (right).

Finally, the node that acts as wayfinding cues especially for the pedestrian is the cafe located at the pedestrian entrance from Jalan Pudu (Figure 6). The cafe serves as a cue due to a modern design in temporary structures (metal deck sheds) along the row (Figure 23). This can be a cue for people walking from Pudu into the area of study using the path that travels under the elevated LRT track.

Figure 23: Café as Node (left), Neighboring Shops to Café (right)

6. CONCLUSION From this study, we find that Pudu of Jalan Loke Yew consists of the five urban design elements identified by Lynch (1960). There are clear vehicular paths across the site; however, as mentioned in the previous section, pedestrian pathways are inferior to vehicular paths. There is also a clear distinction between edges and districts on site. From this study, nodes are mainly building

14

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

with a specific purpose like markets and schools, not so much of a busy intersection as pedestrian traffic is not dominant on site. Finally, landmarks and nodes on site act as wayfinding cues to ease pedestrian movements. All the findings above support the result that the area of study has an overall successful urban planning but except for weak pedestrian movements.

From the observation done, aerial views of the site, and references made to Hassan (2005), it can be concluded that the area of study was built during the 1950 to 1970 period. By identifying the period, similar solutions to resolve issues of the area can be applied.

Taking Pudu off Jalan Loke Yew as an example, future urban designers and planners would be able to learn the importance of prioritizing pedestrian movements instead of creating a development that is vehicular centred. Whyte (1988) recognizes the importance of people in the city and observed their behaviour hence disclosing the importance of pedestrian movements within an area.

7. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

8. REFERENCES Duany, A., Plater-Zyberk, E., Speck, J. (2010). Suburban Nation: The Rise of Sprawl and the Decline of the American Dream. 10th Ed. New York: North Point Press.

Foltz, M. A. (1998). Designing navigable information spaces. Master's thesis, Massachusetts Institute of Technology.

Hassan, A.S., Arab, Y. & Ismail, M. (2015). Architectural Styles and Developments of Apartments in Putrajaya, Malaysia. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 4(3), 191-206.

Hassan, A. S. (2005). Reka bentuk bandar di Semenanjung Malaysia: Kuala Lumpur dan bandar baru di sekitarnya. Pulau Pinang: Penerbit Universiti Sains Malaysia.

Jacobs, J. (2011). The death and life of great American cities. New York: Modern Library.

Jenks, M., Burton, R. (2000). Compact Cities: Sustainable Urban Forms for Developing Countries.

London: Spon Press.

Lydon, M., Garcia, A. & Duany, A. (2015). Tactical Urbanism: Short-term Action for Long-term Change. Washington DC: The Street Plans Collaborative Inc. Lynch, K. (1960). The image of the city. The MIT Press.

Miller, M. (1992). Raymond Unwin: garden cities and town planning. Leicester University Press.

Stern, R.A.M., Fishman, D., Tilove, J. (2013). Paradise Planned: The Garden Suburb and the Modern City. New York: The Monacelli Press.

Unwin, R. (1917). Town planning in practice; an introduction to the art of designing cities and suburbs. London: T.F. Unwin.

Whyte, W. H. (1988). City: rediscovering the center. University of Pennsylvania Press.

Canniffe, E. (1970). ARCHITECTURE URBANISM. http://architectureandurbanism.blogspot.my/2014/01/kevin-lynch-image-of-city-1960.html *Corresponding author (Yasser Arab). Tel: +60-14 2426181 Email: yasserarab2005@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12I http://TUENGR.COM/V11A/11A12I.pdf DOI: 10.14456/ITJEMAST.2020.234

15

Retrieved March 2017.

Ying, L. C. (2014). Digging into Pudu's past - News. http://www.thestar.com.my/lifestyle/books/news/2014/02/02/digging-into-pudus-past Retrieved May 2017.

Pudu: Behind the scenes. (n.d.). http://www.timeout.com/kuala-lumpur/things-to-do/pudu-behindthe-scenes Retrieved May 2017.

Adele Teo Yan Ni obtained her Master of Architecture from the School of Housing, Building, and Planning, Universiti Sains Malaysia (USM).

Dr. Yasser Arab is a Researcher in Architecture. He obtained his Bachelor of Architecture from Ittihad Private University, Aleppo, Syria. He obtained a Ph.D. in Sustainable Architecture from Universiti Sains Malaysia (USM), Penang, Malaysia. His research focused on the Environment Performance of Residential High-Rise Buildings’ Façade in Malaysia. He teaches Studio for first-year students and involved in supervising students of Master of Architecture and Urban Design. He is a Registered Architect in the Syrian Engineers Union.

Dr. Jestin Nordin is a Lecturer at the School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, Malaysia. He has a Master of Science in Project Management degree and a Bachelor of Architecture, Universiti Sains Malaysia (USM), Penang, Malaysia. He received his Ph.D. in Architecture, Victoria University of Wellington, New Zealand, with a focus in Architectural Disaster. His main research interests are Climate Responsive Architecture, Low Energy Ventilation Technologies and Thermal Comfort Studies in Tropical Building.

Professor Dr.Ahmad Sanusi Hassan is in Architecture Programme at the School of Housing, Building and Planning, Universiti Sains Malaysia (USM), Penang, Malaysia. He obtained a Bachelor and a Master of Architecture degrees from the University of Houston, Texas, USA, and PhD degree focusing on Sustainable Architecture and Urban Design Development for Southeast Asia from the University of Nottingham, UK. His research encompasses Urban Design, Studio Architecture, History and Theory of Architecture, and Computer-Aided Design (CAD).

Dr. Boonsap Witchayangkoon is an Associate Professor at the Department of Civil Engineering, Thammasat University. He received his B.Eng. from the King Mongkut’s University of Technology Thonburi with Honors in 1991.

He continued his Ph.D. study at the University of Maine, USA, where he obtained his Ph.D. in Spatial Information Science & Engineering. His research encompasses Emerging Technology to Civil Engineering Applications.

Note: The original of this article was reviewed, accepted, and presented at the 4th International Conference-Workshop on Sustainable Architecture and Urban Design (ICWSAUD2019) conference held in Penang, Malaysia during 24-26 June 2019.

16

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12J

GROUP COHESION: A THERAPY AGAINST ABUSIVE SUPERVISION 1*

2

1

Iftikhar Hussain , Qazi Mohammed Ahmed , Amir Gulzar , 1 1 Usama Usman , Sajjad Hussain 1 2

Department of Business Administration, Foundation University Islamabad, PAKISTAN. Department of Business Studies, Bahria University Islamabad, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 06 September 2019 Received in revised form 08 May 2020 Accepted 12 June 2020 Available online 22 June 2020

Knowledge sharing can help organizations grow and progress, but abusive leaders can push employees to avoid sharing their knowledge, and Conservation of Resource theory explains how a decrease in psychological capital decreases knowledge sharing in organizations.

This study examines if abusive supervision and knowledge sharing have a connection while if psychological capital mediates this connection and group cohesion moderates. From the Pakistani services sector, more than 239 participants from 40 different organizations of Rawalpindi and Islamabad participated in the study. Structural Equation Modeling (SEM) was used to prove the hypothesized negative relation of abusive supervision and knowledge sharing strong bonding (cohesion) of employees helped reduce the negative effect by improving psychological capital. The results from this study help managers to know how their abusive behavior can affect their subordinates. Also, organizations are supported by helping them know that good and strong relations in groups can boost their psychological capital to counter the abusive behavior of supervisors.

Keywords: Abusive boss; Knowledge sharing; Psychological capital; Group cohesiveness; Abusive behavior; Conservation of resources.

Disciplinary: Psychology, Management Sciences (HRM, Leadership, Organization Management). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION The concept of learning organizations has achieved great attention in recent research. Fastgrowing organizations are facing the challenges of knowledge management and sharing of knowledge (Smith, 2001; Yang et al., 2004). Yang et al., (2004) discussed the dimensions of learning organizations at people and structural levels and its positive impact on outcomes.

Knowledge creation, sharing, and dissemination lead to improve organizational performance (Li et al., 2009; Nonaka et al., 1994; Tsai, 2001; Zack et al., 2009). *Corresponding author (Iftikhar Hussain). Email: Iftikhar.hussain@fui.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12J http://TUENGR.COM/V11A/11A12J.pdf DOI: 10.14456/ITJEMAST.2020.235

1

Researchers have identified different predecessors of knowledge sharing (Evans, 2012) like HR practices, rewards schemes, and culture of the organizations can improve the knowledge distribution. There are individual factors like personality traits and individual believes habits, psychosomatic indenture, organizational obligations, and trust can affect knowledge sharing. All positive factors help enhance knowledge sharing while negative factors can reduce or restrict sharing of knowledge such as abusive behavior of managers, non-supporting culture including other factors. Conservation of Resource theory for the first time was presented by Hobfoll (1989) and still is being explored for the new theoretical developments. The theory explains how socially linked people or employees in organizations affect each other positively or negatively and how they become a source of motivation when support each other. Constructive leadership enhances the sharing of knowledge in employees while abusive supervision reduces psychological capital and hence possibly effects knowledge sharing in a negative way (Wu & Lee, 2016).

Knowledge sharing in organizations is one of the key factors of success and progress in organizations through innovations and improvement in productivity of employees and leadership is a driver of such events to happen in organizations. This article empirically tests and examines the consequence of abusive leadership as in case of sharing of knowledge and more especially how this relationship can be countered or weakened through positive factors?

2. LITERATURE REVIEW With two-dimension two dimensions, knowledge collecting and knowledge donating knowledge sharing has become an important issue in an organization’s success and survival.

Sharing of knowledge is usually unnatural factors as people think if their knowledge is valuable why they should share it then (Evans, 2012). Two basic types of knowledge are explicit and tacit knowledge (Evans, 2012). Tacit knowledge is not in written form hence is hard and difficult to be transmitted and shared with others (Nonaka & Takeuchi, 1995). Major five components of knowledge, explained by Tsoukas (2005), Nonaka & Takeuchi (1995), Choo & Bontis (2002), and Wang & Noe (2010), are: knowledge is created, collected, rearranged, distributed and exhibited in actions. In the context of this study, knowledge sharing comprises of two activities, knowledge collecting and knowledge donating. Researchers mentioned some of the major challenges in knowledge sharing (Yaacob et al., 2011) out of which one major is abusive or negative behavior of supervisors towards their subordinates.

Abusive supervision is measured through non-bodily perform such as: by calling disparaging names of employees, threats, terrorizations of job thrashing, angry outbursts, hoarding knowledge that must be among employees, owning credit of other’s works and humiliating subordinates in presence of others (Tepper, 2007; Zellars et al., 2002). Because of this, employees may experience frustration and irritation from the work, often he/she may feel helpless and undermined which creates a state of depression and pressure on employees due to a reduction in psychological capital.

According to (Demerouti et al, 2011) psychological capital spotlights the strengths of individuals and the ways and powers they should have to grow in the workplace and (Luthans et al., 2007) defined psychological capital as ‘people’s affirmative mental and psychological condition of improvement and development’ described by, self-efficacy of individuals, optimism in them, hope and resilience in them. These factors are personal sources within an individual who is open to development which opens a range of prospects to employees such as improved performance, increased productivity and fast learning, etc. (Avey et al., 2009).

2

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

2.1 KNOWLEDGE SHARING WHILE ABUSIVE LEADERSHIP Srivastava et al. (2006) mentioned that constructive and positive leadership affects knowledge sharing positively and encourages employees and they start sharing knowledge. However abusive behavior of managers and its effects on knowledge sharing was hardly tested or studied by any researcher but by (Lee et al., 2018). Koohang et al., (2017) explained that positive leadership has an encouraging force on knowledge sharing and the unhelpful role of weak or negative leadership on learning organizations. Bavik et al., (2018) studied a supporting role of ethical leadership in the sharing of knowledge in employees. (Lee et al., 2018) studied the upshots of abusive supervision on of knowledge in employees for und negative relation. Priesemuth et al., (2014) empirically proved a negative relation in abusive supervision and performance of employees in groups, OCB, and group cooperation. Aryee et al., (2008) said that whenever employees have to cope with the abusive supervision they will reduce (intentionally) their relative performance like interpersonal assistance and job contributions.

H1: Abusive supervision has a negative effect on knowledge sharing in employees.

2.2 ABUSIVE SUPERVISION MAY REDUCE PSYCHOLOGICAL CAPITAL AS can reduce PC in employees when treated negatively, impolitely, harsh, and ignored for a long time. (Zellars et al., 2002) found that abusive supervision and self-efficacy in employees are negatively related and Tepper (2000) mentioned that it may lead to depression in employees and also can lead to anxiety and disturbance. Aryee et al. (2008) explained how abusive supervision emotionally exhausts employees. Britt et al., (2016) proved that abusive supervision can stigmatize a lack of resilience in employees.

H2: Abusive supervision has a negative effect on psychological capital.

2.3 MODERATING ROLE OF GROUP COHESIVENESS In strong cohesion, employees may seek help from the colleagues and they may see the back of each other and cover the deficit of internal resources (psychological capital) from the surplus available positive resources (group cohesion). Strong group cohesion lowers turnover and absenteeism and enhances job satisfaction (Wech et al., 1998) and boost the performance of employees (Mullen & Copper, 1994). Karau & Hart (1998) found that strong cohesion in groups helps members avoid social hangouts and loaves. (Oh et al., 2004) prove the effectiveness of the group if high cohesion which means high performance. Cohesive groups are better at achieving goals than barely cohesive (Wang & Noe, 2010).

H3: Group cohesion moderates the relationship between Abusive Supervision and Psychological Capital.

2.4 PSYCHOLOGICAL CAPITAL AS MEDIATOR COR suggests that loss of internal resources can start a sequence of loss and creates stress and leads to save and conserve the other resources hence employees with reduced psychological capital will reduce in sharing their knowledge. Wu and Liao (2007) and Halbesleben & Wheeler (2015) found that individuals invest their resources in expectations of having some other resources in the future. But if their psychological capital is low they will stop investing in the future as a result will stop sharing their skills and knowledge (Luthans et al., 2007). Due to AS employees are under pressure and hence the process of knowledge acquiring slows down or stops (2007). Decreased psychological capital may lead to depression and difficulties in recovery abilities (Luthans et al., *Corresponding author (Iftikhar Hussain). Email: Iftikhar.hussain@fui.edu.pk Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12J http://TUENGR.COM/V11A/11A12J.pdf DOI: 10.14456/ITJEMAST.2020.235

3

2007). So, say that employees with reduced psychological capital may feel reduced confidence, anxious, unenthusiastic, lacking efficacy, and revival skills and aggravated that ultimately will cause lower knowledge sharing behavior of employees.

H4: Psychological Capital mediates between Abusive Supervision and Knowledge Sharing.

Hence, relationships developed among the variables can be shown with the help of Figure 1.

Figure 1: Conceptual Framework

3. METHODOLOGY Employees working in teams or groups for some shared task or duty were targeted using purposive sampling to collecting data from the services sector of Rawalpindi and Islamabad. We targeted the service sector because of intense competition in the service sector and more pressure on employees due to lower employment rates. Employees were from different departments working as a team. HR departments were contacted first to seek permission and the questionnaire of 57 items was floated then. 280 responses were received with 25 inappropriate and 16 were incomplete while 239 responses were used for the other statistical analysis.

Data against variables were collected using a seven-point Likert scale with items choices from “completely disagree” to (1) to “completely agree” (7). For Abusive supervision scale of Tepper (2000) was used having 15 items with chi-square values significant at p<.001 Cronbach’s α was 0.95. Knowledge sharing was measured using a scale of Den Hooff & De Ridder (2004) who had a coefficient of alpha (α) 0.94 while scale mainly focused on knowledge collecting and knowledge donating. For psychological capital, an original version scale of Luthans et al. (2007) was used with the coefficient of α = 0.93 and there were 24 items of this scale. An eight-item scale of Chang & Bordia (2001) with α 0.75 was used to measure group cohesion.

Figure 2: Demographics of respondents.

4

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Out of total respondents, 135 (56.5%) were male and 104 (43.5%) were female. 39.7% of respondents were below 28 years of age while 145 (60.7%) respondents were married. Regarding experience at the same job, 91 (38.1%) respondents were new to the jobs while 61(25.5%) respondents were having more than eight years of experience. Most of the respondents (51.5%) were MS, M.Phil. in qualification, 41.4% were undergrad while rest were with postgraduate qualifications. Figure 2 depicts the results of descriptive analysis.

4. RESULTS AND DISCUSSION Confirmatory factor analysis (CFA) was run first to see the blueprints of variables and to scrutinize the valid items used and then Structural Equation Modeling (SEM) was used to check for the relationship of variables.

Table 1: AVE, CR and α Values Construct

Abusive Supervision

Knowledge Sharing

Group Cohesion

Psychological Capital

Indicator

Standard Loadings

Standard Error

AS2 AS4 AS5 AS6 AS7 AS8 AS9 AS10 AS11 AS12 AS13 AS14 AS15 KS1 KS2 KS3 KS4 KS5 KS6 KS8 KS9 KS10 GC1 GC2 GC3 GC4 GC7 GC8 PC1 PC2 PC3 PC4 PC5 PC6 PC7 PC8 PC9 PC10 PC11 PC13 PC14 PC16 PC18 PC19 PC20 PC21 PC22 PC23 PC24

0.842 0.579 0.694 0.548 0.786 0.66 0.737 0.608 0.788 0.824 0.686 0.785 0.665 0.632 0.791 0.667 0.713 0.673 0.811 0.638 0.723 0.747 0.551 0.707 0.77 0.724 0.780 0.713 0.664 0.746 0.787 0.666 0.731 0.782 0.687 0.577 0.513 0.636 0.749 0.802 0.612 0.891 0.668 0.799 0.527 0.862 0.734 0.553 0.799

0.119 0.166 0.148 0.191 0.147 0.128 0.116 0.161 0.095 0.091 0.114 0.117 0.159 0.181 0.105 0.153 0.104 0.185 0.151 0.148 0.115 0.112 0.178 0.116 0.099 0.126 0.187 0.200 0.128 0.189 0.158 0.182 0.097 0.109 0.122 0.078 0.157 0.165 0.130 0.155 0.070 0.116 0.162 0.161 3.934 0.110 0.138 0.221 0.121

Α

AVE

CR

0.910

0.591

0.717

0.81

0.591

0.711

0.745

0.588953

0.70755

0.760

0.614

0.739

*Corresponding author (Iftikhar Hussain). Email: Iftikhar.hussain@fui.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12J http://TUENGR.COM/V11A/11A12J.pdf DOI: 10.14456/ITJEMAST.2020.235

5

SEM is a method that assesses the latent constructs through a broader means of information.

Factor 0.49 or above factor loading values represented the significance of items and for better and high convergent validity. Items from the scale are removed which are having low factor loadings but not more than 20% of items should be removed from a single variable scale otherwise scale itself deems to be weak. Removal of items is decided through an index of decisions including ChiSquare χ2 , Root Mean Squared Error of Approximation (RMSEA), goodness of fit index (GFI), comparative fit index (CFI), Tucker-Lewis Index (TLI), Normed Fit Index (NFI), and Chisq/Df which is equal to CIMIN/Df. Thus, AS1 and AS3 were removed from the scale of Abusive Supervision (AS), one item KS7 was removed from the variable Knowledge Sharing (KS), two items GC5, GC6 were removed from the scale of Group Cohesion (GC) while PC12, PC15, PC17 were removed from the variable of Psychological Capital (PC). The remaining items were reassessed checking items to the total correlation that was within the defined range of 0.35-0.70.

Table 1 shows the results and findings of CFA. Every construct in the scale is having above 0.50 average variance extracted (AVE) and it was found to be between 0.58 and 0.61. Composite reliability (CR) of the scale was found to be 0.71, 0.71, 0.70, and 0.73 while the suggested value of CR is 0.70. The values of Cronbach’s alpha (α) were found to be above 0.7 suggested thresholds by researchers. All of the values of AVE, CR, and α are provided in Table 1.

Model fit indices for and threshold (level of acceptance) for CFA of each variable is represented in Table 2. All the constructs were unidimensional and the abusive supervision’s construct was having all the indices within their defined limits. Also, the CFA of group cohesion showed that the collected data had the fit indices within the proposed limits. Twelve items construct of knowledge sharing was with indices in the limited criteria. Mediator of the study was psychological capital with CFA and goodness of fit indices of (χ2= 386.683, df = 157, p = 0.040, χ2/df = 2.463, RMSEA = 0.078, NFI = 0.857, RFI = 0.789, IFI = 0.91, TLI = 0.863, CFI 0.907).

Table 2: Goodness of Fit Analysis.

Chisq/df = CMIN/Df Acceptable limits ≤0.05 ≤5 Abusive Supervision (AS) 108.29 45 0.010 2.354 Group Cohesion (GC) 11.700 5 0.020 2.334 Psychological Capital (OC) 386.68 157 0.040 2.463 Knowledge Sharing (KS) 35.240 15 <0.001 2.349 Proposed Model fit Indices 1.944 13 <0.001 4.350 Construct

χ2

Df

Ρ

RMSEA

NFI

RFI

IFI

TLI

CFI

<0.08 0.075 0.075 0.078 0.075 0.025

>0.9 0.944 0.980 0.860 0.960 0.830

>0.9 0.910 0.930 0.790 0.90 0.999

>0.9 0.967 0.986 0.910 0.976 0.949

>0.9 0.943 0.958 0.863 0.940 0.906

>0.9 0.966 0.986 0.907 0.975 0.892

All variables are found to have a significant correlation of 0.3-0.6. All results were found to be significant except the correlation between group cohesion and abusive supervision that is found to be insignificant. The average response of the supervisor’s negative behavior remained in the middle almost, but psychological capital, knowledge sharing, and group cohesion were with high averages above 5.0 of all. The highest deviation in responses was found in abusive supervision 1.130 while other variables with lower deviations of 0.9, 0.8, and 0.93 around the mean value.

6

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Table 3: Correlation Analysis Mean Abusive Supervision Knowledge Sharing Psychological Capital Group Cohesion

3.055 5.072 5.265 5.273

Abusive Knowledge Supervision Sharing 1.130 1 0.912 -.267** 1 0.881 -.346** .515** 0.937 -0.051 .475** * ** *** P<.05, P<.01, P<.001 SD

Psychological Capital 1 .535**

Group Cohesion 1

SEM was used to test the proposed model with one mediator and one moderator and indices were found to be χ2= 56.667, df = 13, p = 0.000, χ2/df =4.35, RMSEA = 0.0245, NFI = 0.839, RFI = 0.899, IFI = 0.749, TLI = 0.906, CFI 0.892. Abusive supervision affects knowledge sharing direct and indirectly. Direct standardized effect of abusive supervision on KS is -.096** while abusive supervision having an effect on psychological capital with β =-.384** and t = 4.78. Effect transferred to knowledge sharing through mediator was β =0.287**, t = 10.11. Hence, it is a case of partial mediation (see Figures 3, 4).

Figure 3: Constrained Model.

Figure 4: Mediated Model Mediation was tested following the approach of Baron & Kenny (1986). Four steps process was used. After testing and finding significant relation of IV to DV and IV to MV and MV to DV, mediation was further tested. While adding PC in the model we see that the relation of AS and KS was having a lower beta of β =-.096 than in the constrained model where β =-.251 (see Figures 3, *Corresponding author (Iftikhar Hussain). Email: Iftikhar.hussain@fui.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12J http://TUENGR.COM/V11A/11A12J.pdf DOI: 10.14456/ITJEMAST.2020.235

7

4). Hence it confirms that PC mediates between the relationship of AS and KS. Reduction in beta by 0.155 points that the relationship between AS and KS is significant and proves that mediation exists partially. Hence our first, second, and fourth hypotheses are supported by results to be true.

Table 4: Estimates of Moderation Model PCAS KSGC PC  GC PCAS*GC

Standardized Direct Effect Unstandardized Direct Effect Β Β ** -0.384 -0.258** ** 0.538 0.489** ** 0.538 0.489** 0.238 0.217** * P<.05, **P<.01, ***P<.001

SE

p-value

0.033 0.044 0.044 0.048

< .01 < .01 < .01 < .01

In Table 4 we can see that both AS and GC are significantly related to psychological capital.

AS is negatively impacting PC (β=-.384, p<.01), and while GC is impacting positively (β=.538, p<.01) on PC. The interaction term of both GC and AS is having positive significant beta means moderation exist but the direction of the moderation effect can be decided while using (β=.217, p<.01). Figure 5 graphing GC as moderator we can see that presence of group cohesion affects the relationship of AS on PC, at low group cohesion increased abusive behavior of supervisor reduces psychological capital in employees as is represented by the solid line in the graph but in presence of high group cohesion even if abusive supervision is high but psychological capital of employees does not decrease else it remains same or improves very little. Hence GC is moderating in the relationship of AS and PC. So, our hypothesis H3 is supported by the yielded results. Relationship of AS and PC is stronger in the presence of weak GC while in the presence of strong GC it weaker and PC of employees stays improved or stable. The hypotheses results are given in Table 5.

Figure 5: GC as Moderator in AS and PC Table 5: Conclusion of hypotheses testing Hypothesis H1 H2 H3 H4

Accepted / Rejected Accepted Accepted Accepted Accepted

5. CONCLUSION This study proves that the abusive behavior of a supervisor affects employee’s psychological capital and hence ultimately they stop or reduce knowledge sharing with their colleagues. The study also proves that strong cohesion in the group moderates the relation of abusive supervision and

8

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

knowledge sharing with the mediating role of psychological capital. The analysis confirmed that employees try to conserve their resources (knowledge and skills) when they are suppressed or depressed due to the abusive behavior of their leader. This study strengthens the COR showing that loss of psychological resources stressed the individuals and to preventing further loss or conserve their resources they stopped sharing their knowledge while group cohesion can work as an energizer or treatment of the stress. However, in-depth further literature about how and why this happens is further being explored by other researchers in the world.

6. AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

7. REFERENCES Aryee, S., Sun, L.-Y., Chen, Z. X. G., & Debrah, Y. A. (2008). Abusive supervision and contextual performance: The mediating role of emotional exhaustion and the moderating role of work unit structure. Management and Organization Review, 4(3), 393-411.

Avey, J. B., Luthans, F., & Jensen, S. M. (2009). Psychological capital: A positive resource for combating employee stress and turnover. Human resource management, 48(5), 677-693.

Baron, R. M., & Kenny, D. A. (1986). The moderator–mediator variable distinction in social psychological research: Conceptual, strategic, and statistical considerations. Journal of personality and social psychology, 51(6), 1173.

Bavik, Y. L., Tang, P. M., Shao, R., & Lam, L. W. (2018). Ethical leadership and employee knowledge sharing: Exploring dual-mediation paths. The Leadership Quarterly, 29(2), 322-332.

Britt, T. W., Shen, W., Sinclair, R. R., Grossman, M. R., & Klieger, D. M. (2016). How much do we know about employee resilience? Industrial and Organizational Psychology, 9(2), 378-404.

Chang, A., & Bordia, P. (2001). A multidimensional approach to the group cohesion-group performance relationship. Small-Group Research, 32(4), 379-405.

Choo, C. W., & Bontis, N. (2002). The strategic management of intellectual capital and organizational knowledge: Oxford University Press on Demand.

Demerouti, E., van Eeuwijk, E., Snelder, M., & Wild, U. (2011). Assessing the effects of a “personal effectiveness” training on psychological capital, assertiveness, and self-awareness using selfother agreement. Career Development International, 16(1), 60-81.

Evans, M. M. (2012). Knowledge Sharing: An empirical study of the role of trust and other socialcognitive factors in an organizational setting. University of Toronto, Halbesleben, J. R., & Wheeler, A. R. (2015). To invest or not? The role of coworker support and trust in daily reciprocal gain spirals of helping behavior. Journal of Management, 41(6), 1628-1650.

Hobfoll, S. E. (1989). Conservation of resources: A new attempt at conceptualizing stress. American psychologist, 44(3), 513.

Karau, S. J., & Hart, J. W. (1998). Group cohesiveness and social loafing: Effects of a social interaction manipulation on individual motivation within groups. Group Dynamics: Theory, Research, and Practice, 2(3), 185.

Koohang, A., Paliszkiewicz, J., & Goluchowski, J. (2017). The impact of leadership on trust, knowledge management, and organizational performance: A research model. Industrial Management & Data Systems, 117(3), 521-537.

Lee, S., Kim, S. L., & Yun, S. (2018). A moderated mediation model of the relationship between abusive supervision and knowledge sharing. The Leadership Quarterly, 29(3), 403-413. *Corresponding author (Iftikhar Hussain). Email: Iftikhar.hussain@fui.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12J http://TUENGR.COM/V11A/11A12J.pdf DOI: 10.14456/ITJEMAST.2020.235

9

Li, Y.-H., Huang, J.-W., & Tsai, M.-T. (2009). Entrepreneurial orientation and firm performance: The role of knowledge creation process. Industrial marketing management, 38(4), 440-449.

Luthans, F., Avolio, B., & Avey, J. (2007). Psychological Capital Questionnaire Self-rater form, other rater form, scoring scale. Published by Mind Garden. In: Inc. Mullen, B., & Copper, C. (1994). The relation between group cohesiveness and performance: An integration. Psychological bulletin, 115(2), 210.

Nonaka, I., Byosiere, P., Borucki, C. C., & Konno, N. (1994). Organizational knowledge creation theory: a first comprehensive test. International Business Review, 3(4), 337-351.

Nonaka, I., & Takeuchi, H. (1995). The knowledge creation company: how Japanese companies create the dynamics of innovation. In: New York: Oxford University Press.

Oh, H., Chung, M.-H., & Labianca, G. (2004). Group social capital and group effectiveness: The role of informal socializing ties. Academy of management journal, 47(6), 860-875.

Priesemuth, M., Schminke, M., Ambrose, M. L., & Folger, R. (2014). Abusive supervision climate: A multiple-mediation model of its impact on group outcomes. Academy of Management Journal, 57(5), 1513-1534.

Smith, M. (2001). Peter Senge and the learning organization. The Encyclopedia of Informal Education, Retrieved May 25, 2012.

Srivastava, A., Bartol, K. M., & Locke, E. A. (2006). Empowering leadership in management teams: Effects on knowledge sharing, efficacy, and performance. Academy of management journal, 49(6), 1239-1251.

Tepper, B. J. (2000). Consequences of abusive supervision. Academy of management journal, 43(2), 178-190.

Tepper, B. J. (2007). Abusive supervision in work organizations: Review, synthesis, and research agenda. Journal of management, 33(3), 261-289.

Tsai, W. (2001). Knowledge transfer in intraorganizational networks: Effects of network position and absorptive capacity on business unit innovation and performance. Academy of management journal, 44(5), 996-1004.

Tsoukas, H. (2005). Do we really understand tacit knowledge. Managing Knowledge: An Essential Reader, 107.

Van Den Hooff, B., & De Ridder, J. A. (2004). Knowledge sharing in context: the influence of organizational commitment, communication climate and CMC use on knowledge sharing.

Journal of knowledge management, 8(6), 117-130.

Wang, S., & Noe, R. A. (2010). Knowledge sharing: A review and directions for future research.

Human resource management review, 20(2), 115-131.

Wech, B. A., Mossholder, K. W., Steel, R. P., & Bennett, N. (1998). Does work group cohesiveness affect individuals' performance and organizational commitment? A cross-level examination.

Small Group Research, 29(4), 472-494.

Wu, C.S., & Liao, H.T. (2007). Study on the preparation and characterization of biodegradable polylactide/multi-walled carbon nanotubes nanocomposites. Polymer, 48(15), 4449-4458.

Wu, W.-L., & Lee, Y.-C. (2016). Do employees share knowledge when encountering abusive supervision? Journal of Managerial Psychology, 31(1), 154-168.

Yaacob, R., Iskandar, R. A., Abdullah, M. R. T. L., Abdullah, R., MA, A.-R., Abu Bakar, Z., & Azelin, M. N. (2011). Knowledge sharing in organizations: Issues of society and culture, problems and challenges. International Journal of Basic & Applied Science, 11(02), 41-46.

10

Adele Teo Yan Ni, Yasser Arab, Jestin Nordin, Ahmad Sanusi Hassan, and Boonsap Witchayangkoon

Yang, B., Watkins, K. E., & Marsick, V. J. (2004). The construct of the learning organization: Dimensions, measurement, and validation. Human resource development quarterly, 15(1), 3155.

Zack, M., McKeen, J., & Singh, S. (2009). Knowledge management and organizational performance: an exploratory analysis. Journal of knowledge management, 13(6), 392-409.

Zellars, K. L., Tepper, B. J., & Duffy, M. K. (2002). Abusive supervision and subordinates' organizational citizenship behavior. Journal of applied psychology, 87(6), 1068.

Iftikhar Hussain is a Senior Lecturer of Department of Business Administration, Faulty of Management Sciences, Foundation University Islamabad. He is a Ph.D scholar. He works on leadership and human psychology.

Qazi Mohammed Ahmed is a Senior Lecturer of Department of Business Studies of Behria University Islamabad Campus. He is a PhD scholar.

Dr. Amir Gulzar is an Associate Professor of Department of Business Administration in Faulty of Management Sciences at Foundation University Islamabad. He got a PhD in Management and M.Phil in Entrepreneurship (Gold Medal) from Foundation University Islamabad. He is also a Deputy Registrar at Foundation University.

Usama Usman is a Lecturer of Department Business Administration, Faulty of Management Sciences, Foundation University Islamabad. He is a PhD scholar at Xian University of China.

Dr. Sajjad Hussain is an Assistant Professor of Management Sciences at Foundation University, Rawalpindi. He had a PhD in HRM.

*Corresponding author (Iftikhar Hussain). Email: Iftikhar.hussain@fui.edu.pk Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12J http://TUENGR.COM/V11A/11A12J.pdf DOI: 10.14456/ITJEMAST.2020.235

11

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12K

BIOLOGICAL PROPERTIES OF MICROORGANISMS ISOLATED FROM DRONE MILK OF HONEYBEES 1*

Yury Lysenko , Andrei Koshchayev 1, Alexander Lysenko 2, Ruslan Omarov 3, Sergei Shlykov 3 1

Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. 2 Department of Therapy and Pharmacology, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. 3 Department of Technology for the Production and Processing of Agricultural Products, Stavropol State Agrarian University, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 20 January 2020 Received in revised form 11 May 2020 Accepted 02 June 2020 Available online 18 June 2020

This article presents the studied results of the biological properties and biosafety indicators of probion strains isolated from drone milk of honey bee (Apismellifera). It was established that the isolated cultures of microorganisms (Bifidobacterium asteroides strain DFM5, Fructobacillus fructosus strain DF74, and Lactobacillus kunkeei strain DFM21) reacted differently to aggressive media, with the best tolerance to experimental biological fluids being shown by strain intact. As a result of repeated reseeding, antibiotic resistance in each culture was increased. The isolated cultures of microorganisms have low toxicity for laboratory animals, both in acute and in chronic experience, since prolonged use of microbial compositions does not negatively affect the general condition of mice, their clinical status, morphological and biochemical blood parameters, and there are no negative effects on organs and tissues of experimental animals.

Keywords: Bifidobacterium; Honeybee drone milk; Antibiotic resistance; Lactobacillus kunkeei; Probion strains; Normoflora; Antagonism; Fructobacillus.

Disciplinary: Microbiology, MicrobioScience.

Biotechnology,

Animal

Science,

©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION The normal intestinal microflora provides a wide range of metabolic, trophic, and protective functions of honeybees, which play an important role in protecting the bees against pathogenic microorganisms, affect reproduction and honey activity. Recently, the use of beneficial microbiota in the composition of probiotic preparations, which have a positive effect on increasing the resistance of bees to a pathogenic agent, helps activate their immunological defense, relevant in beekeeping [6]. *Corresponding author (Y.Lysenko). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12K http://TUENGR.COM/V11A/11A12K.pdf DOI: 10.14456/ITJEMAST.2020.236

1

The mechanism of action of microbial additives lies in the fact that the probion strains exhibit highly adhesive properties to the intestinal enterocytes of the host, and due to the production of several antibiotic substances, they cause a decrease in the growth and development of opportunistic microorganisms, thereby dominating them and contributing to an improvement in the vital activity of the host [14-15, 17, 18].

Both in Russian and foreign practice of beekeeping, probiotic supplements are widely used to combat a specific disease or to comprehensively affect the beeâ&#x20AC;&#x2122;s body and prevent infectious and invasive diseases, as well as stimulating top dressing, which allows a targeted effect on the dynamics of morphofunctional, ultrastructural indicators organism of honey bees in ontogenesis. These measures contribute to the successful overcoming of critical periods of growth of the bee family and its better preparation for honey collection [9].

In this regard, the development of new highly effective drugs based on living beneficial microorganisms for beekeeping is promising, and the study of the biological properties of microflora is not only scientific, but also practical.

This research work aims to study the biological properties and biosafety assessment of probion strains isolated from drone milk of honeybees.

2. METHOD The objects of research were normoflora - Lactobacillus kunkeei strain DFM21, Bifidobacterium asteroides strain DFM5, and Fructobacillus fructosus strain DF74, isolated by modern molecular genetic and microbiological methods from samples of drone milk of honey bee (Apismellifera).

To identify the probiotic potential of the studied cultures, their resistance to bile, a solution of phenol, and sodium chloride were studied by adding these compounds to the composition of the microbial nutrient medium [5]. Separately studied the effect on the viability of the studied cultures of gastric juice. To do this, 1.0 ml of culture with an activity of at least 1.0 Ă&#x2014; 109 CFU/ml was poured into a test tube and 9.0 ml of gastric juice was added (Equin medicine). The tubes were thermostated at 37°C for 2 hours, and then the viability of microorganisms was analyzed [7].

Microflora growth or its absence was recorded according to the turbidity standard.

The resistance of the strains was determined to therapeutic doses of antimicrobial substances by the disk diffusion method in agar using standard disks [2, 3, 7].

The antibacterial properties of the cultures used were individually studied for E. coli (Escherichia coli) and Staphylococcus aureus (Staphylococcus aureus). The result was taken into account by the size of the growth inhibition zone of the test microbe under the influence of the studied microorganisms [7].

A study was made of the quantitative and qualitative composition of organic acids produced by the studied microflora. The studies were carried out by capillary electrophoresis on a Kapel-105 M automated instrument.

The study of the toxicity parameters of the studied microorganisms was carried out in accordance with the requirements and recommendations [11, 13]. The study of acute and chronic toxicity was

2

Y.Lysenko, A.Koshchayev, A.Lysenko, R.Omarov, S.Shlykov

performed on clinically healthy laboratory mice that had previously been quarantined for 14 days.

Laboratory animals were divided into groups according to the principle of pair-analogues. The number of animals in each group was 10 animals of both sexes; the content of females and males was separate. Laboratory animals of all groups were kept in accordance with sanitary and epidemiological requirements for the design, equipment, and maintenance of experimental biological clinics (vivariums) [12].

The data obtained in the experiments were subjected to biometric processing using Microsoft® software. The reliability criterion was determined according to the student table. The difference was considered significant at P <0.05.

3. RESULT AND DISCUSSION 3.1 RESISTANCE OF PROBION STRAINS TO EXPERIMENTAL BIOLOGICAL FLUIDS An important indicator of the probiotic properties of beneficial microflora is their ability to colonize the gastrointestinal tract, as well as their resistance to the biological fluids of the host organism [1, 4, 10]. The latter indicator was visualized by the presence or absence of growth of the studied microflora in a liquid nutrient medium containing horse’s natural gastric juice (Equin preparation), medical bile of cattle (20%, 30%, 40%), phenol (0.4%) ) and NaCl (2%, 4%). The research results are presented in Table 1.

Table 1: Resistance of probion strains to aggressive environments Strain Lactobacillus kunkeei strain DFM21 Bifidobacterium asteroides strain DFM5 Fructobacillus fructosus strain DF74

NaCl 2% 4% + + + + + ±

Growth in culture medium containing Bile Phenol (0.4 %) 20 % 30 % 40 % + + +

+ ± ±

± − −

+ ± ±

Gastric juice + ± ±

Note: * "+" - good growth; "±" weak growth; "-" lack of growth.

The results of the studies showed that the studied microorganisms reacted differently to aggressive environments. So Bifidobacterium asteroides strain DFM5 showed weak growth in an environment containing 30% bile, phenol, and gastric juice. Fructobacillus fructosus strain DF74 showed weak growth in a medium containing 4% sodium chloride, 30% bile, phenol, and gastric juice, while only one of the strains showed a lack of growth at 40% bile in a nutrient medium. The best experimental results were obtained with the cultivation of Lactobacillus kunkeei strain DFM21, which showed weak growth in only one case, namely, availability in a nutrient medium containing 40% bile. In all other cases, the studied strain showed high tolerance to aggressive components of the nutrient medium.

Thus, the studies showed that the strains isolated from drone milk of the honey bee react differently to the experimental biological fluids of the host organism, while the probiotic strain Lactobacillus kunkeei showed the best results.

3.2 PHENOTYPIC PROFILE OF ANTIBIOTIC RESISTANCE OF MICROORGANISMS Important technological and probiotic properties of normoflora include its resistance to *Corresponding author (Y.Lysenko). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12K http://TUENGR.COM/V11A/11A12K.pdf DOI: 10.14456/ITJEMAST.2020.236

3

antibiotics since the use of these drugs is every day. In this connection, the sensitivity of the used strains to therapeutic doses of some antibiotics was studied. The results are shown in Table 2.

Table 2: Sensitivity of microorganisms to antibiotics Antimicrobial substance

Dosage in the disk, mcg

Penicillin Erythromycin Lincomycin Cephalotin Tetracycline Streptomycin Ampicillin

10 15 15 30 30 10 10

The diameter of the zone of growth inhibition, mm Lactobacillus kunkeei Bifidobacterium asteroides Fructobacillus fructosus strain DFM21 strain DFM5 strain DF74 6.0 ± 0.2 8.0 ± 0.2 9.0 ± 0.3 6.0 ± 0.3 8.0 ± 0.1 10.0 ± 0.2 9.0 ± 0.3 9.0 ± 0.3 11.0 ± 0.3 8.0 ± 0.2 11.0 ± 0.2 11.0 ± 0.2 8.0 ± 0.1 10.0 ± 0.2 11.0 ± 0.2 4.0 ± 0.1 6.0 ± 0.1 9.0 ± 0.2 4.0 ± 0.2 7.0 ± 0.3 8.0 ± 0.1

The results of evaluating the antibiotic sensitivity of the selected strains showed that growth inhibitory drugs acted to varying degrees on the studied microorganisms. In this case, I would like to note that according to the criteria for assessing the sensitivity of lactobacilli, taking into account the diameter of the zone of inhibition of their growth, all used microorganisms can be classified as “resistant” to the action of the applied antimicrobial substances [7, 8]. Only under the action of lincomycin, tetracycline and cephalothin on Fructobacillus fructosus strain DF74, as well as cephalothin on Bifidobacterium asteroides strain DFM5, a growth inhibition zone of 11 mm was detected, which is the minimum value to classify the cultures used in relation to these antimicrobial substances "Intermediate resistant."

To increase the antibiotic resistance of the studied probion strains, they were repeatedly cultivated with the addition of previously used antibiotics. Total 54 transfers were carried out. The results of the antibiotic sensitivity of microorganisms after reseeding are presented in Table 3.

Table 3: Antibiotic sensitivity of probion strains after repeated passages Antimicrobial substance Penicillin Erythromycin Lincomycin Cephalotin Tetracycline Streptomycin Ampicillin

Dosage in the disk, mcg 10 15 15 30 30 10 10

The diameter of the zone of growth inhibition, mm Lactobacillus kunkeei Bifidobacterium asteroides Fructobacillus fructosus strain DFM21 strain DFM5 strain DF74 ‒ ‒ 3.0 ± 0.1 4.0 ± 0.1 3.0 ± 0.1 3.0 ± 0.1 3.0 ± 0.1 3.0 ± 0.2 4.0 ± 0.2 2.0 ± 0.1 4.0 ± 0.1 3.0 ± 0.1 ‒ 4.0 ± 0.1 5.0 ± 0.1 ‒ ‒ 4.0 ± 0.1 ‒ 3.0 ± 0.1 4.0 ± 0.1 Note: * "-" - no growth retardation.

As a result of selection, it was possible to reduce the zones of growth inhibition of the studied strains to the used antibiotic concentrations by at least 2 times, and in some cases, no zones of inhibition were formed. Thus, there were no zones of growth inhibition of selected cultures when exposed to Bifidobacterium asteroides strain DFM5 antibiotics penicillin and streptomycin; Lactobacillus kunkeei strain DFM21 growth retardation zone was absent under the action of penicillin, tetracycline, streptomycin, and ampicillin. The worst results were revealed with the action of antibiotics on Fructobacillus fructosus strain DF74, while growth retardation zones decreased after repeated reseeding, but the inhibitory reaction remained on all antimicrobial substances.

4

Y.Lysenko, A.Koshchayev, A.Lysenko, R.Omarov, S.Shlykov

Thus, due to repeated reseeding of selected cultures, it was possible to increase their antibiotic resistance, which will ensure the maximum therapeutic effect of the developed biological product.

3.3 ANTAGONISTIC AND ACID-FORMING PROPERTIES OF CROPS The manifestation of the antibacterial activity of the culture against pathogenic microorganisms is one of the main parameters providing a therapeutic and prophylactic effect.

It was established that the used microorganism cultures exhibit an antibacterial property with respect to Escherichia coli and Staphylococcus aureus. However, the best results were revealed when cultivating Lactobacillus kunkeei strain DFM21 and Bifidobacterium asteroides strain DFM5. The growth retardation zone of Escherichia coli was 5.4 and 4.1 mm, and Staphylococcus aureus was 5.2 and 3.9 mm, respectively. Fructobacillus fructosus strain DF74 also showed antagonistic properties, but to a lesser extent, the growth inhibition zone of Escherichia coli was 3.2 mm and Staphylococcus aureus was 3.4 mm.

One of the main parameters of the antibacterial activity of microorganisms in relation to pathogenic microflora is their ability to produce antibiotic substances, in particular, organic acids. In this regard, we studied the assortment and content of acids that produced the selected culture. The research results are presented in Table 4.

Table 4: Quantitative and qualitative composition of organic acids, mg / l Organic acid Lactic acid Acetic acid Propionic acid Butyric acid Formic acid

Lactobacillus kunkeei strain DFM21 1856.47 577.85 ‒ ‒ ‒

Probing Strain Bifidobacterium asteroides strain DFM5 1127.95 354.53 577.59 157.67 134.16

Fructobacillus fructosus strain DF74 895.21 276.49 313.18 ‒ ‒

The results of the studies showed that each studied probion strain produces one or another organic acid. The main share falls on lactic and acetic acids, which are the main substances in the manifestation of antibacterial properties. It was found that the largest amount of lactic and acetic acids produces Lactobacillus kunkeei strain DFM21 (1856.47 and 577.85 mg/l). To a lesser extent, lactic and acetic acids are synthesized by the Bifidobacterium asteroides strain DFM5 1127.95 and 354.53 mg/l, however, this organism produces additional organic acids  propionic, butyric and formic. The strain Fructobacillus fructosus produced the least amount of lactic and acetic acids (895.21 and 276.49 mg/l).

Thus, it can be noted that the isolated cultures of microorganisms exhibit antibacterial activity against a pathogenic test culture, which can provide a high therapeutic and prophylactic effect in diseases caused by an imbalance of the microflora in the gastrointestinal tract, however, the best effect is shown by Lactobacillus kunkeei strain DFM21.

3.4 ACUTE TOXICITY OF PROBION STRAINS Toxic in honey products and bees have been reported [16]. This study, the acute toxicity of the isolated cultures was determined by intragastric administration of the liquid form of the supplement to nonlinear white mice (with an initial body weight of 18-22 g) after 12-hour fasting *Corresponding author (Y.Lysenko). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12K http://TUENGR.COM/V11A/11A12K.pdf DOI: 10.14456/ITJEMAST.2020.236

5

once using a metal probe. Animals of the control group were intragastrically injected with physiological saline in a similar volume. The observation was carried out for 14 days. The general condition, behavior, and feed intake were taken into account. The results of the acute toxicity of the studied crops are presented in Table 5.

Table 5: Acute toxicity of microorganisms Group

Control 1st experimental (Bifidobacterium asteroides strain DFM5) 2nd experimental (Fructobacillus fructosus strain DF74) 3rd experimental (Lactobacillus kunkeei strain DFM21)

Number of mice, heads 10

got sick

died

survived

1.0

The number of microbial cells, CFU/ml –

0

0

10

10

1.0

7.5×108

0

0

10

10

1.0

8.1×108

0

0

10

10

1.0

8.3×108

0

0

10

Fluid volume, ml

The test result (heads)

As a result of the studies, it was found that a single injection of microbial components with a different number of microbial cells did not cause a clinical picture of toxicosis in mice, animals were not killed in the experimental groups. The condition of all experimental animals remained satisfactory, the appetite was not disturbed, the mice were mobile, the reaction to external stimuli remained the same.

Thus, in the course of determining the acute toxicity of the isolated microorganisms on white mice, no pronounced toxicosis was detected in experimental animals; therefore, the studied strains can be attributed to the group of low toxic drugs.

3.5 CHRONIC TOXICITY OF PROBION STRAINS The determination of chronic toxicity was carried out on 14-day non-linear white mice. The liquid form of the microbial composition was administered to laboratory animals orally for 28 days, followed by observation. Since the semi-lethal dose was not established in the determination of acute toxicity, twice as high doses of microorganisms were used as the daily dose (Table 6).

Table 6: Chronic toxicity of microorganisms Number of mice, heads 10

got sick

died

survived

0

0

10

9

10

0

0

10

6.2×109

10

0

0

10

6.6×109

10

0

0

10

Group

Dosage, ml/day

Control 1st experimental (Bifidobacterium asteroides strain DFM5) 2nd experimental (Fructobacillus fructosus strain DF74) 3rd experimental (Lactobacillus kunkeei strain DFM21)

– 5.0×10

The test result (heads)

Studies have shown that experimental animals tolerated the studied suspensions of microorganism cells. The death of mice was not observed in any of the groups: they were clinically healthy throughout the experiment, there were no disturbances in food and water intake. The experimental animals were mobile and active, the coat was smooth and characterized by a characteristic shine. Observation of the mice throughout the experiment did not reveal any changes in their behavior compared with the control group.

6

Y.Lysenko, A.Koshchayev, A.Lysenko, R.Omarov, S.Shlykov

Table 7 presents the studied results of the bodyweight of experimental and control laboratory animals, as well as an increase in live weight, safety.

Table 7: Effect of microorganisms on the growth and development of laboratory animals Group control 1st experience 2nd experience 3rd experience

Bodyweight g Growth per at the beginning of the at the end of the experience, g experiment experiment 6.17 ± 0.33 18.21 ± 0.55 12.04 6.21 ± 0.23 19.89 ± 0.40* 13.68 6.09 ± 0.17 19.55 ± 0.51* 13.46 6.11 ± 0.14 19.75 ± 0.37* 13.64 Note: * - the difference with the control is significant (P <0.05).

Safety, % 100 100 100 100

According to the data obtained, the weight of the mice at the end of the experiment was statistically significantly (P <0.05) higher in the groups where the isolated cultures were introduced.

So, in the 1st experimental group, the weight of mice was higher by 9.2% compared to the analogue from the control, in the 2nd by 7.4% and the 3rd by 8.5%. The safety of animals in the control and all experimental groups was 100%.

Studies of some morphological and biochemical blood parameters of control and experimental mice indicate that in all animals these parameters were within normal limits (Table 8).

Table 8: Effect of microbial components on the blood parameters of mice Index Erythrocytes, 1012/l Platelets, 109/L White blood cells, 109/l Hemoglobin, g/l Total protein, g/l Urea, mmol/l Cholesterol, mmol/l Calcium, mmol/l Phosphorus, mM/L

Group control 8.0±0.7 267.2±11.0 8.7±0.7 143.4±4.9 50.1±2.1 22.22±0.90 3.35±0.11 2.13±0.10 1.39±0.11

1st experience 9.2±0.3 331.1±14.1 9.1±0.5 160.1±3.9 56.2±2.9 19.12±0.57 3.17±0.10 2.31±0.16 1.43±0.10

2nd experience 9.1±0.3 292.1±15.7 9.4±0.4 162.7±4.2 53.7±2.4 19.62±0.63 3.16±0.11 2.30±0.09 1.51±0.12

3rd experience 9.6±0.3 324.1±15.1 9.3±0.5 147.4±4.2 56.4±2.3 19.69±0.79 3.24±0.13 2.25±0.10 1.46±0.11

However, it is worth noting that the content of red blood cells, platelets, and leukocytes in the experimental groups was higher than in the control. The content of cholesterol and alkaline phosphatase in the blood serum of experimental mice was lower, compared with the control group but did not go beyond the normal range. There was a slight increase in the experimental groups in the content of calcium and phosphorus.

When conducting pathomorphological studies in nonlinear white mice, in the experimental groups where the isolated strains were used, no abnormalities were detected. The location of the internal organs was correct, fluid in the pleural and abdominal cavities was not found. The lumen of the trachea and bronchi is free, the tissue of the lungs is pink. The mucous membrane of the intestines and stomach is gray-pink colors without ulceration and hemorrhage. The cortical and medulla of the kidneys in the section are clearly distinguishable, the adrenal glands are unchanged.

Histological studies of the organs of white mice are as follows: Stomach - integument epithelium preserved; cytomorphology of the main and parietal glands *Corresponding author (Y.Lysenko). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12K http://TUENGR.COM/V11A/11A12K.pdf DOI: 10.14456/ITJEMAST.2020.236

7

allows us to talk about the absence of dystrophic processes in them and the normal acid-forming function.

Small and large intestine - in the villi of the small intestine, in some cases, desquamation of the integumentary epithelium is noted; no edema, plethora; no increase in lymphohistiocytic infiltration; the wall of the large intestine without features, has the usual histological structure.

Liver - the beam pattern is well defined; granular and eosinophilic cytoplasm of hepatocytes; activation and proliferation of cells of the reticuloendothelial system is not observed.

Kidneys - glomerular apparatus without features; the Shumlyansky â&#x20AC;&#x201C; Bowman capsule is free; in nephrocytes, dystrophic changes are not observed; in the lumen of the tubules, the amount of protein mass is not increased.

Adrenal glands - no dystrophic changes are observed; thin capsule; subcapsular blastema is not determined; bunching is well expressed; medulla without features.

Heart - myocardium is represented by correctly oriented bundles of fibers; dystrophy, atrophy, fragmentation, deformation of cardiomyocytes was not observed.

Spleen - the plethora of red pulp; the boundaries of the follicles are clear; proliferation centers are expressed; the pulp is rich in cellular elements.

Pancreas - pathological changes in the structure of the endo- and exocrine gland apparatus are not observed.

Thymus - has a lobed structure; cortical and medulla are well differentiated; a decrease in the density of lymphocytes in the cortical substance is not observed.

The thyroid gland is a plethora, follicles are polymorphic; colloid light, foamy; many small follicles devoid of clearance; the epithelium is cubic, in some follicles, it is hyperplastic, multirow.

Lungs - moderate plethora; the gaps of the alveoli and small bronchi are free; in the lumen of the bronchi accumulation of leukocytes; fresh hemorrhages occur as a result of decapitation.

Thus, the determination of the chronic toxicity of microbial components in non-linear white mice, the assessment of some morphological and biochemical blood parameters of experimental animals, as well as the study of pathological changes in the structure of the internal organs of mice, did not reveal the toxic effect of the studied cultures on the organism of experimental animals.

4. CONCLUSION The results of the experiments showed that the probion strains isolated from drone milk of the honey bee (Bifidobacterium asteroides strain DFM5, Fructobacillus fructosus strain DF74 and Lactobacillus kunkeei strain DFM21) reacted differently to aggressive media with the best biological conditions. The studied microorganism strains showed high resistance to many antibiotic drugs, but as a result of repeated reseeding, antibiotic resistance in each culture was increased. The probion strains showed antagonistic properties against pathogenic test cultures, which were expressed by the growth inhibition zone of Escherichia coli and Staphylococcus aureus when grown with Lactobacillus kunkeei strain DFM21 at 5.4 and 4.1 mm when grown with Bifidobacterium asteroides strain 5 DM, 2 and 3.9 mm, when grown with Fructobacillus fructosus strain DF74 - 3.2 and 3.4 mm.

When analyzing the production of organic acids, it was found that of the assortment present, the

8

Y.Lysenko, A.Koshchayev, A.Lysenko, R.Omarov, S.Shlykov

highest value was accounted for by lactic and acetic acids, the level of which was 1856.47 and 577.85 mg / l (Lactobacillus kunkeei strain DFM21), 1127.95 and 354.53 mg / l (Bifidobacterium asteroides strain DFM5), 895.21 and 276.49 mg/l (Fructobacillus fructosus strain DF74). The isolated cultures of microorganisms are not toxic to laboratory animals, both in acute and in chronic experience, since long-term use of microbial compositions is not affected negatively on the general condition of mice, their clinical status, morphologist and biochemical parameters of blood, and there are no negative effects on the organs and tissues of the experimental animals. According to the complex of the studies, the probiotic strain - Lactobacillus kunkeei strain DFM21 should be noted, since in several experiments it showed the best results.

5. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

6. ACKNOWLEDGEMENT This work was prepared under the grant of the President of the Russian Federation for the state support of young Russian scientists - candidates of science (agreement No. 075-15-2020-253 of 17.03.2020).

7. REFERENCES [1] Andreichin M.A. (1980). Antimicrobial properties of bile and bile acids. Antibiotics. 25 (12), 936–939.

[2] Baltrashevich A.K., Komarovskaya T.P. (1982). A method for determining the sensitivity of anaerobic microorganisms to antibiotics using standard disks. Antibiotics. 8, 32–36.

[3] Vorobyova L.I. (1989). Industrial microbiology. Moscow, Russia, 246 p.

[4] Buryako I.A. (2004). Isolation and selection of bacteria of the genus Lactobacillus - the basis of probiotic preparations. Probiotics, prebiotics and synbiotics and functional foods, Moscow, Russia.

[5] Labinskaya A.S. (1978). Microbiology with the technique of microbiological research. Moscow, Russia, 394p.

[6] Mishukovskaya G.S. (2015). The use of probiotics to increase the productivity of the dark forest bee of the Bashkir population. Book: Dark Forest Bee ApismelliferamellifraL. - Ufa, Russia, p. 193-197.

[7] Guidelines for the sanitary-epidemiological assessment of the safety and functional potential of probiotic microorganisms used for food production (2011). Moscow, Russia, 104 p.

[8] Nazyrova N.R., Timerbaeva R.Kh., Tuigunov M.M. (2006). Antibiotic resistance of strains included in probiotic preparations. Chemistry, chemical technology and biotechnology at the turn of the millennium: Mater. IV international scientific conf. - Tomsk, Russia, p. 436−438.

[9] Brandorf Z., Ivoilova M.M., Pralnikov A.V. (2016). Patent 2015111545, Russian Federation, A23K 50/90. Top dressing to increase the resistance of honey bees, 10 p.

[10] Petrov L.N. (2002). Fundamentals of the design of probiotics of increased therapeutic activity.

Probiotic microorganisms - the current state of the issue and the prospects for use. Moscow, Russia, 12 p.

[11] Smirnov A.M., V.I. Dorozhin (2008). Scientific and methodological aspects of the study of the toxic properties of pharmacological drugs for animals. Moscow, Russia, 120 p.

[12] Sanitary and epidemiological rules. Sanitary and epidemiological requirements for the design, equipment and maintenance of experimental biological clinics (vivariums). (2014). Moscow, Russia, 7 p. *Corresponding author (Y.Lysenko). Tel: +78612215845. Email: mail@kubsau.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12K http://TUENGR.COM/V11A/11A12K.pdf DOI: 10.14456/ITJEMAST.2020.236

9

[13] Khabriev R.U. (2005). Guidelines for the experimental (preclinical) study of new pharmacological substances. Moscow, Russia, 832 p.

[14] Crotti E. (2010). Acetic acid bacteria, newly emerging symbionts of insects. Appl. Environ.

Microbiol. Vol. 76, 6963â&#x20AC;&#x201C;69.

[15] Luneva A. V., Lysenko Yu. A., Koshchaev A. G., Nesterenko A. A., Guzenko V. I. (2019).

Comprehensive biosafety assessment of additives based on live microorganisms. International Journal of Engineering and Advance Technology. 9(1), 2477-2483.

[16] Murashova E.A., et al. (2020). Major Factors Determining Accumulation of Toxic Elements by Bees and Honey Products. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 11(3), 11A03N, 1-14.

[17] E. Crotti (2012). Microbial symbionts: a resource for the management of insect-related problems.

Microb. Biotechnol. 5, 307-317.

[18] Lysenko Y., Luneva A., Koshchaev A., Lifentsova M., Gorpinchenko E. (2019). Quality assessment of biological products of microbial origin. International Journal of Engineering and Advance Technology. 9(1), 2484-2488.

Yury Lysenko an Associate Professor of the Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. He is a Candidate of Biological Sciences.

Professor Dr.Andrei Koshchayev is Professor of the Department of Biotechnology, Biochemistry and Biophysics, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. He got a Doctor of Biological Sciences degree.

Professor Dr.Alexander Lysenko is Professor of the Department of Therapy and Pharmacology, Kuban State Agrarian University named after I.T. Trubilin, RUSSIA. He holds a Doctor of Veterinary Sciences.

Ruslan Omarov is an Associate Professor of the Department of Technology for the Production and Processing of Agricultural Products of Stavropol State Agrarian University, Russia. Candidate of Technical Sciences.

Professor Dr.Sergei Shlykov is Professor of the Department of Technology for the Production and Processing of Agricultural Products of Stavropol State Agrarian University, Russia. He holds Doctor of Biological Sciences.

10

Y.Lysenko, A.Koshchayev, A.Lysenko, R.Omarov, S.Shlykov

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12L

INVESTMENT POLICY EFFICIENCY AND POINTS OF ECONOMIC GROWTH: CASE OF REPUBLIC OF CRIMEA Andrey Vershitsky 1 2

1*

2

, Elena Vershitskaya , Anton Salabutin

1

Department of State and Municipal Management, V.I. Vernadsky Crimean Federal University, RUSSIA. Department of Management, V.I. Vernadsky Crimean Federal University, RUSSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 04 March 2020 Received in revised form 14 May 2020 Accepted 25 May 2020 Available online 19 June 2020

The article is devoted to investment policy on a regional level in the Russian Federation, the multiplicative effect of investment into different economic activity types. The authors built econometric models for each industry, which allow determining the impact of investment volumes in this industry on GRP and tax revenues of the Republic of Crimea. Investments are made in (1) transport and communications, (2) education, (3) industry; however, the greatest multiplicative effect is demonstrated by (1) construction industry, (2) hotels & restaurants, and (3) education. The main results can be used by state and regional authority in the development and implementation of effective investment policies.

Keywords:

Regulation of investment policy; State investment; Economic growth; Investment multiplier; Investment climate; Gross Regional Product (GRP).

Disciplinary: Management and Economic Sciences; Investment Policy. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Investing is the basis for a country’s long-term economic growth. This work confirmed several indicators prescribed in the National Goals of the Russian Federation. After the 1990’s Reforms, investments in fixed assets were sufficiently lower compared to the previous level; despite the further fixed assets’ growth, Russia’s investment volume in fixed assets was in 2018 by 26.4% less compared to the 1990’s levels.

In recent years, there has been a lack of investment volumes and a foreign ownership decrease in investment structure in fixed assets. According to the Rating of Investment Attractiveness of Russian Regions in 2018, out of 85 regions of Russia, only 24 regions have high investment attractiveness and 16 regions have deteriorated their positions. That fact proves an ineffective regional investment policy. The rating recorded a three-fold gap between regions with minimum and maximum levels of investment risk, and this gap has increased in the last 2 years. Thus, the current main macroeconomic goals in the form of entering the top five largest economies in the world with economic growth rates *Corresponding author (A. Vershitsky). Tel: +79788571920. Email: vershitsky@gmail.com ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12L http://TUENGR.COM/V10A/11A12L.pdf DOI: 10.14456/ITJEMAST.2020.237

1

higher than the global ones without investment policy improvement, in particular, regional investment policy, will fail.

This study suggest that not all investments have a similar positive impact on economic and investment processes since capital investments can be inefficient if directed to unpromising sectors and production spheres. Therefore, investment effectiveness in this study is determined by the presence and magnitude of the investment multiplier. The investment multiplier is considered as multiple increments of income or gross output as investment results in the economy and is a consequence of effective investment policy. It is important to understand the impact of the investment process on economic growth at the regional level. As an example in this study, the Republic of Crimea has been considered.

2. LITERATURE REVIEW Regional development issues are difficult to be solved without effective state regional investment policy. At the regional level, there is a lack of clear investment policy of the state, which is manifested in the absence of a targeted impact on the economic development of regions, taking into account their specifics. Herein, the importance of federal targeted programs (for the regions’ socio-economic development as a state regulation instrument) used for investments’ attraction and development in certain regions is still negligible. Therefore, in the current situation, taking into account regional specifics, the formation issues and implementation of state investment policy are of greater importance. The process includes rethinking the ways of investment project support, programs, and determining the improvement of regional investment policy, from the efficiency standpoint, to identify regional growth points characterized by the investment multiplier.

The concept “multiplicative effect” was introduced into economics in the 30s of the 20th century, when economists managed to show that investing in certain sectors of the economy, regardless of their immediate profitability, can lead to investment’s multiplication (augmenting), employment and revenues increase many times exceeding the initial investment costs (up to a geometric progression) (Kabanov et al., 2018). One of the first examples of the multiplicative effect use was the project of integrated development of the Tennessee River valley in the USA in 1930-1940 when the construction of cascades of hydroelectric power plants accelerated economic growth (Slutsky et al., 2013). The multiplicative effect can occur in any sphere when converting any kind of cost brings a more significant (“multiplied”) quantitative result.

The scientific basis of the multiplicative effect was laid by the famous economist Richard Ferdinand Kahn (1931). According to Kahn (1931), the multiplier shows an increase in total employment as a result of the increase in investment volume in primary employment by the industries. Also, along with Kahn's multiplier, there is a multiplier of J.M. Keynes, who considered income as multiplicated quantity. According to Keynes's theory of income increase, including national income is solely a consequence of the investment process and may provide for employment growth (Keynes, 1936).

Since the multiplicative effect in our study is considered in the context of territorial development and is aimed at economic growth, it seems reasonable to analyze (Table 1) foreign and domestic research methods and models of capital investments impact on the growth of national and regional income (Gadzhiev, 2009).

2

Andrey Vershitsky, Elena Vershitskaya, Anton Salabutin

Table 1: Models of capital investments impact on the gross product Model Pred Model (1966) Fujita, Krugman & Mori Model (1995, 1997) Hall and Jones Model (1999) Model of cyclic movement factors (Venables, 2010) Fiani Model (1984)

Spatial lag model of regional growth (Long, 2003) Tinbergen and Bos Model (1962)

Description The model assumes that export base volume and income share spent within a region should be increasing functions of the regional economy’s size.

The model considers the economy as part of several industrial sectors that differ in the magnitude of transport costs and scale effects.

The model includes traditional production factors of growth and social, institutional, political factors, as well as geographical position of countries, which stimulate capital accumulation, encourages learning, new technologies introduction, and increase in quality.

The factors’ cyclical movement model shows a cyclic process leading to economic differentiation if there are intermediate goods produced on a large scale, taking into account transport costs.

The model proves that the effective development of the regional economy is achieved as a result of capital investments in production facilities that are least dependent on the provision of services.

The econometric model of spatial lags of regional growth confirms the hypothesis of the crucial role of spatial lags or the effects of the mutual influence of economic factors in China’s regional growth The model formalizes investment impact on regional economic development, including the innovative one.

The concept of multiplicative effect is a basis for numerous government programs to stimulate economic growth based on investments. However, capital will be a source of growth only if there is where to invest to and any investment opportunities, otherwise the de-industrialization of a country or a region is possible (experience of Africa, Spain). For entrepreneurship, poor countries suffer from a lack of investment, because they have few profitable investment opportunities due to low purchasing power and high unemployment. The resulting investment should be used profitably otherwise the system will collapse and cause a reverse effect. It makes no sense to increase investment volume when there is no demand and investment effect; it is an unsuccessful use of capital. The ability to attract investment in different types of economic activity at any moment varies greatly, so it is important to realize the most effective investment areas to ensure the best result (Reinert, 2011).

In this regard, it is necessary to determine the effectiveness of investment policy (efficiency or inefficiency of using investment funds) and to identify points of economic growth that ensure maximum multiplicative effect through economic and mathematical modeling.

3. METHOD Since at regional level the main generalizing indicator that characterizes economic development level is the gross regional product (GRP), then investment efficiency, that is determined by investment multiplier, we should understand the multiple increments of gross output as a result of investments in the economy; that is a consequence of successful investment policy activity. The growth of gross domestic product is influenced by many factors. However, this study addresses the thesis that the increment in gross output is a consequence of the investment process. Therefore, it is rational to use the technique based on the integration of the Cobb-Douglas production function, which reflects the dependence of production on its production factors - labor costs (number of workers) and capital (investment) (Naumov, 2017). We take Keynes’s theory as a basis, in which, as standard, the multiplier shows the role of investment volumes in income growth, in our case it is GRP. In its turn, *Corresponding author (A. Vershitsky). Tel: +79788571920. Email: vershitsky@gmail.com ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12L http://TUENGR.COM/V10A/11A12L.pdf DOI: 10.14456/ITJEMAST.2020.237

3

the assessment of the dependence of GRP on investment will be implemented using the construction of econometric models, in particular regression models, which are a universal intellectual data mining tool. The obtained characteristics of the model will allow us to determine its significance and adequacy, as well as to identify the accuracy of the result obtained for an approximate assessment of the factors impact for the studyâ&#x20AC;&#x2122;s key indicator. An important aspect of using this methodology will be the ability to predict the behavior of an economic system depending on changes in certain factors as a consequence of the results obtained (Poriadin, 2011). Therefore, to determine the effectiveness or inefficiency of the use of investment funds, it is appropriate to perform economic and mathematical modeling based on official statistical data. Selected data on investment volume and GRP of the Republic of Crimea are presented in Table 2.

Table 2: Volume of investments and GRP of the Republic of Crimea in 2014-2017 (Data from Office of the Federal State Statistics Service of the Republic of Crimea and the city of Sevastopol) Year 2014 2015 2016 2017

The volume of investments, mln. Rub 26448,1 47582,2 74795,2 196193,0

GRP, mln. Rub 189439,2 265970,6 327739,3 359110,4

Based on the data in Table 2, we identify the relationship between the variables and prove the impact of investments on GRP as a result of determining the determination coefficient (Table 3). The model in which the initial indicators are investigated is represented in general form by the formula: đ?&#x2018;&#x152;đ?&#x2018;&#x152; = đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;0 + đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;1 â&#x2C6;&#x2122; đ?&#x2018;Ľđ?&#x2018;Ľ1 + â&#x20AC;Ś + đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; â&#x2C6;&#x2122; đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;

(1),

where đ?&#x2018;&#x152;đ?&#x2018;&#x152; â&#x20AC;&#x201C; described parameter, đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;i â&#x20AC;&#x201C; regression coefficients, đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; factors that influence, đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; â&#x20AC;&#x201C; a quantity of modelâ&#x20AC;&#x2122;s factors.

Table 3: Correlation coefficients between GRP and the volume of investments of the Republic of Crimea Region The Republic of Crimea

Correlation coefficient value 0,828

Determination coefficient value 0,685

Using the correlation analysis, the relationship which is 82.8%, between the investment volume in fixed assets and the GRP of the Republic of Crimea was revealed. Determination coefficient (đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 2 = 0,685) shows the good quality of the regression model obtained (> 0.5).

The linear regression, based on which the calculations of the change in GRP from the volume of investments in fixed assets of the Republic of Crimea were carried out, is represented by the equation: đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 215180,4724 â&#x2C6;&#x2019; 0,816007288 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1

(2).

Variable coefficient 0,816 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 (investment in fixed assets), equal to 0.816 means that according to the available observations GRP may increase by about 0.816 million rubles when the investment volume in fixed assets is changed by 1 million rubles. Despite the result of the shown relationship is due to the growth of budget investments (4 times in 2017) aimed at lifting infrastructure restrictions in accordance with stage I of the implementation of the Strategy for Socio-Economic Development of

4

Andrey Vershitsky, Elena Vershitskaya, Anton Salabutin

the Republic of Crimea until 2030, which affected the quality of the investment multiplier. The findings suggest that investment funds use is inefficient.

At the same time, the constructed linear regression Equation (2) allows us to forecast the GRP development depending on the growth of the volume of investments in fixed assets (Figure 1).

500000

2014

400000 300000 189439.2 438775.7 2019 2015 274011.3200000 265970.6 26448.1 100000 47582.2 0 74795.2 220366.6 327739.3 2018 2016 395001.2 196193.0 359110.4 2017 GRP, mln Rub.

Investment in fixed assets, mln.Rub.

Figure 1: Values of the GRP depending on the growth of investment in fixed assets of the Republic of Crimea, mln. Rub. Thus, there is a positive trend of gradual dew of both the GRP and the investment volume in fixed assets. Ensuring a favorable investment climate in the region, developing an investment strategy, and creating an affordable infrastructure to accommodate industrial and other investor facilities are important directions for executive authorities of the Republic of Crimea. At present, the Republic of Crimea cannot be attributed to the leaders in this field. The strategic goal of creating an investment-attractive economy in the region is fixed in the strategic planning document defining the priorities and development vector, i.e. the Law of the Republic of Crimea “On the strategy of the social and economic development of the Republic of Crimea until 2030”. According to the Strategy, investments are an important tool to accelerate socio-economic development, increase the competitiveness of the economy and the standard of living; the Republic of Crimea 2030 is a territory of innovations with advanced rates of socio-economic development, which has formed new quality of living standards for the population and created the best business conditions in Russia. Strategy based on the Three Wins concept - on the victory in the struggle: for human capital, for innovations, and an investor. The target indicator of the criterion of victory in the struggle for the investor is the volume of investments in fixed capital. In the Republic of Crimea, three specialized organizations have been established for attracting investment and working with investors (Table 5). The success of a regional investment policy largely depends on the investment incentives and advantages that are provided to potential investors by regional legislation. Thus, the investment attraction into the economy of the region is realized by providing the most favorable conditions for doing business, and that ensures economic growth (Vershitsky, Salabutin, 2017). *Corresponding author (A. Vershitsky). Tel: +79788571920. Email: vershitsky@gmail.com ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12L http://TUENGR.COM/V10A/11A12L.pdf DOI: 10.14456/ITJEMAST.2020.237

5

Table 5: Basic activity of the main specialized organizations to attract investment in the Republic of Crimea Crimea State Autonomous Institution JSC "Corporation of State Autonomous Enterprise Business "Center for Investment and Regional Development of the Republic of and Cultural centre of the Republic of Development" Crimea " Crimea • implementation of investment standards; • support of investment projects being implemented and planned for implementation in the Republic of Crimea; • assistance in the creation and development of industrial parks; • providing consulting support on the selection of a public-private partnership scheme; • participation in the implementation of investment projects on the principles of public-private partnership; • management and participation in the management of investment projects; • organization and holding festivals, exhibitions, presentations, conferences, forums, and other mass cultural, educational and scientific and practical events

The success of a regional investment policy largely depends on the investment incentives and advantages that are provided to potential investors by regional legislation. Thus, investment attraction into the economy of the region is realized by providing the most favorable conditions for doing business, and that ensures economic growth (Vershitsky, Salabutin, 2017). Therefore, in accordance with the Federal Law of the Russian Federation of November 29, 2014, No. 377-FZ “On the Development of the Republic of Crimea and the Federal City of Sevastopol and the Free Economic Zone in the Territories of the Republic of Crimea and the Federal City of Sevastopol”, a free economic zone for 25 years was established and provides a special regime for business and other activity, as well as the application of the customs procedure of the free customs zone.

The Republic of Crimea is characterized as a unique and strategically important subject of the Russian Federation, a major tourist and sanatorium and resort center of Russia. Favorable climatic conditions and special geopolitical position of the Republic of Crimea attract people to the region for rest, treatment, and permanent residence from other regions of Russia and various countries of the world. Distinctive features of the Republic of Crimea, based on which the economy of the peninsula is formed, are the coastal position of the region, fertile soils, warm climate, natural and recreational resources, a special mode of business and other activities, as well as the application of customs procedures of the free customs zone as a result of the creation of the Free Economic Zone. The Republic also produces gas, oil, gas condensate, iron ore, mineral salts, building materials, and other minerals. Due to the established factors, the basic industries of the region are food industry, production of building materials, engineering, agriculture, as well as the resort sector. The economy of the Republic of Crimea is diversified; there are industry sectors, agriculture, and services, changes here directly depend on investment. The Republic of Crimea is one of the most invested regions of the Southern Federal District and is second only to the Krasnodar Region (Table 6).

Table 6: Investment in the Southern Federal District in 2014-2018 Southern Federal District Republic of Adygea Republic of Kalmykia Republic of Crimea Krasnodar Region Astrakhan Region Volgograd Region Rostov Region Sevastopol

6

The volume of investments by year, mln. Rub 2014 2015 2016 2017 2018 17155 15 756 19134 20845 31577 22609 16608 9139 11223 12973 26447 47582 74795 196193 296019 750236 586903 435095 503243 481141 116856 113169 117999 146660 106674 182798 200191 183642 191710 184465 264173 309436 294481 323903 252850 3385 6558 18547 49512 40574

Andrey Vershitsky, Elena Vershitskaya, Anton Salabutin

Position 7 8 2 1 5 4 3 6

However, at the moment, the Republic of Crimea cannot be considered to be a leader in ensuring a favorable investment climate, developing an investment strategy, and creating an affordable infrastructure for locating industrial facilities for investors.

In the Rating of investment attractiveness of Russian regions, the rank of the indicator of the region's potential in 2018 is 29, the risk rank is 69; according to the rating that means that the Republic of Crimea has a reduced potential and moderate risk due to obvious management failure, expressed in the inability to use effectively budget funds and involve local business in implementing large projects (Table 7).

Table 7: Changes in risk and potential assessments of the Republic of Crimea among the regions of the Russian Federation in 2015-2018 (according to Rating of investment attractiveness of Russian regions) Indicator

2015

2016

2017

2018

79 39

66 28

71 28

69 29

Years Rank of risk Rank of potential

Reduced investment potential and moderate risks, along with negative investment trends, consisting in a low proportion of foreign investment, which decreased by 4.8 times in 2014-2017, as well as a significant predominance of budget funds in the structure of investments in fixed capital in 2018 (68,7%), determine the need to regulate the investment policy of the Republic of Crimea, the search for economic growth points.

Before we proceed to the definition of points of economic growth, which are understood as investments that provide the maximum multiplicative effect, we should pay attention to changes in the investment structure in the period of Crimeaâ&#x20AC;&#x2122;s being a part of Ukraine and after it enters into the Russian Federation. As part of Ukraine in Crimea in 2013, the main types of investments were bank loans (37.4%), funds of enterprises (27.1%), and public funds for the construction of housing (23.7%). At the same time, the share of state and local budgets was 5.8%, foreign investment - 3.0%.

The total volume of capital investments in Crimea in 2013 was 60.4 billion rubles (14% less than in 2012, 56.3% more than in 2014, and 21.3% more than in 2015), most of which were aimed at industrial development (50.1%), construction (28.0%), hotels and restaurants activities (6.2%). in 2013

in 2017

15.7

18.2 0.5 2.2

6.2 50.1 79.1 28 Industry Construction Hotel and restaurants activities Other types of activity

Industry Construction Hotel and restaurants activities Other types of activity

Figure 2: Changes in investments share (%). *Corresponding author (A. Vershitsky). Tel: +79788571920. Email: vershitsky@gmail.com Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12L http://TUENGR.COM/V10A/11A12L.pdf DOI: 10.14456/ITJEMAST.2020.237

7

In 2017 the investments volume in the Russia increased 3.25 times, the main investments types were mainly budget funds (69.0%), the share of foreign investments 1.5%, investments in the private sector decreased by 17.3%, the investment structure also changed, since the bulk of investments was directed to transport and communications (63.4%) and education (11.9%) (Figure 2).

Based on the abovementioned facts, changes in the investment structure from the moment Crimea entered the Russian Federation is accompanied by a reduction in investment share in the industry, construction, and hotels and restaurants activities; that can lead to inefficiency in the use of investment funds, the correctness of the proposed thesis is going to be proved when identifying points of economic growth.

4. RESULT AND DISCUSSION The investment volume affects the economic growth of territory, while the feasibility of investing is determined by the stability of the economic system and, as a result, by the presence of an investment (multiplicative) effect due to the investment process. In its turn, priority sectors of the economy should be based on calculations of economic and tax efficiency indicators of investments, which is justified by obtaining different economic effects. A private investor is interested in investing in industries and projects that give the biggest commercial result, i.e. - profit, while territorial authorities are not only interested in economic results and a direct effect arising from the implementation of the investment project, but also in indirect consequence, which is sometimes outside the project. That is, an increase in the budget income is accompanied by both an expansion of the taxable base and an increase in the number of jobs in the region, which will solve employment problems and increase tax revenues. For the regional level authorities, this result is very important, taking into account the fact that Crimea is not able to provide the regional budget with its income, since the budget income mostly consists of subsidies (74.4%) in the structure of budget income in 2017 (in 2018 â&#x20AC;&#x201C; 77.1%), along with this, the peninsula is in the top 5 regions in as for the subsidies received in 2018.

Therefore, we will identify which industries have multiplicative opportunities and have a predisposition to multiplicative effects, which of them affect income, in particular tax revenues and GRP. Calculations will be based on the data of the Office of the Federal State Statistics Service of the Republic of Crimea and the city of Sevastopol.

The branches correspond to Russian Classification of Economic Activityâ&#x20AC;&#x2122;s Types (RCEA) and are numbered as follows: 1 - agriculture, hunting, and forestry; 2 - fishing, fish farming; 3 - mining; 4 - manufacturing; 5 - production and distribution of electricity, gas, and water; 6 - construction; 7 wholesale and retail trade; repair of motor vehicles, motorcycles, household goods, and personal items; 8 - hotels and restaurants; 9 - transport and communications; 10 - financial activity; 11 - real estate transactions, rent, and services provision; 12 - public administration and military security; compulsory social security; 13 - education; 14 - health and social services; 15 - provision of other utilities, social and personal services.

For each industry, a linear regression model was built. It shows the impact of the investment volume in this industry on GRP and tax revenues of the Republic of Crimea (Table 8).

8

Andrey Vershitsky, Elena Vershitskaya, Anton Salabutin

Table 8: The impact of investment in fixed capital on GRP and tax revenues by industry.

Branch number Model Formula / Model Number đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 2 Models of relationships between GRP and investment in the industry by type of economic activity 1 (3) 0.085 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 659854.0654 â&#x2C6;&#x2019; 165.043242 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 2 â&#x2C6;&#x2019; 3 â&#x2C6;&#x2019; 4 (4) 0.392 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 208121.2437 + 21.74833085 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 5 (5) 0.794 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 164104.3089 + 12.6921689 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 6 (6) 0.975 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 191446.296 + 178.0020407 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 7 (7) 0.225 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 99349.51748 + 199.4487844 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 8 (8) 0.924 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = â&#x2C6;&#x2019;34948.78329 + 93.40609031 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 9 (9) 0.479 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 253666.29 + 0.88034103 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 10 (10) 0.573 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 204569.4557 + 69.01156163 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 11 (11) 0.773 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 170998.7606 + 32.13770969 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 12 (12) 0.955 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 69773.56529 + 42.12740436 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 13 (13) 0.687 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 222909.2209 + 6.522469166 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 14 (14) 0.885 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 79327.84344 + 33.70161477 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 15 (15) 0.240 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 228242.6692 + 25.81296487 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 Models of relationships between tax revenues and investment in the industry by type of economic activity 1 (16) 0.001 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 41506.39439 â&#x2C6;&#x2019; 4.265461131 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 2 â&#x2C6;&#x2019; 3 â&#x2C6;&#x2019; 4 (17) 0.110 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 22976.48128 + 2.487178443 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 5 (18) 0.532 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 10353.42026 + 2.244542528 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 6 (19) 0.900 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 12269.17374 + 37.00028606 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 7 (20) 0.025 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 33531.48169 â&#x2C6;&#x2019; 0.494635938 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 8 (21) 0.889 đ?&#x2018;&#x152;đ?&#x2018;&#x152; â&#x2C6;&#x2019; 36093.19364 + 19.79549707 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 9 (22) 0.797 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 22939.29389 + 0.245451653 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 10 (23) 0.234 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 20640.67932 + 9.536399848 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 11 (24) 0.434 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 13286.93379 + 5.202502547 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 12 (25) 0.829 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = â&#x2C6;&#x2019;11588.87872 + 8.476959544 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 13 (26) 0.920 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 16176.17889 + 1.629886776 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 14 (27) 0.598 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = â&#x2C6;&#x2019;4810.537078 + 5.98800753 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 15 (28) 0.041 đ?&#x2018;&#x152;đ?&#x2018;&#x152; = 26723.67234 + 2.300833152 â&#x2C6;&#x2122; đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1

The coefficients of the presented models indicate that investments in which industries are not randomly related to and they affect: 1) gross regional product: â&#x20AC;&#x201C; construction (đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;2 = 0.975);

â&#x20AC;&#x201C; hotels and restaurants (đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 2 = 0.924);

â&#x20AC;&#x201C; public administration and military security; compulsory social security (đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 2 = 0.955).

2) tax revenues of the region: â&#x20AC;&#x201C; education (đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;2 = 0.920).

Meanwhile, public administration and military security; compulsory social security is the activity of the state and local government bodies.

As a result, while determining the points of economic growth of the region and its industries development, this regulatory function of state power and local self-government will not be included in the further analysis; in turn, the importance of the indicator and investment in it will be taken as a fact. *Corresponding author (A. Vershitsky). Tel: +79788571920. Email: vershitsky@gmail.com Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12L http://TUENGR.COM/V10A/11A12L.pdf DOI: 10.14456/ITJEMAST.2020.237

9

So, investments in construction, hotels, and restaurant activity are statistically significant investments that have a predominant effect on GRP; investments in education and construction are investments that influence tax revenues of the region. The built regression models (6), (8), and (26) demonstrate the relationship between the specified time series.

The normalized R-squared means the effect of the R-squared adjustment on the value of the coefficient of determination. The high rate of the normalized R-squared indicates good model quality.

Therefore, it is necessary to check the regression equation value and the obtained regression coefficients at the level Îą = 0,05. For this, the observed value of F-statistics is calculated: đ??šđ??šđ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153; =

đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x; đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;â&#x2C6;&#x2019;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;â&#x2C6;&#x2019;1

(29),

where đ??šđ??šđ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153; - observed value of F-statistics, đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; - the sum of deviation squares due to regression, which characterizes the impact of the explanatory variable, đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x; - the sum of deviation squares relative to the regression plane, which characterizes the effect of the rest disregarded in the model or random factors. Table 9 shows the results of the analysis of variance, the critical value of F-statistics, and the observed value of F-statistics.

Table 9: Significance of models (6), (8), and (26) at the level of F-statistics. đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 16390913620,0 15532229119,7 721575845,5

Model Number (6) (8) (26)

đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x; 420793758,6 1279478260,8 63133826,09

đ??šđ??š đ?&#x2018;?đ?&#x2018;?đ?&#x2018;?đ?&#x2018;?

18,5 18,5 18,5

đ??šđ??š đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153; 77.9 24.3 22.8

Since the observed value of F-statistics exceeds its critical value đ??šđ??š đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153;đ?&#x2018;&#x153; > đ??šđ??š đ?&#x2018;?đ?&#x2018;?đ?&#x2018;?đ?&#x2018;? for equations (6), (8) and (26), the hypothesis about the equality of the coefficients vector is rejected with an error probability equal to Îą = 0,05, what determines the non-random nature of the dependence and allows to determine the measure of the sensitivity of one variable to change another one. Based on which we will determine the change in GRP from investment volume in the construction industry, as well as hotels and restaurant activity and tax revenues from investment volume in education using the coefficient of arc elasticity. Arc elasticity shows how much percent the average đ?&#x2018;&#x152;đ?&#x2018;&#x152; index changes from its average value when the factor đ?&#x2018;&#x2039;đ?&#x2018;&#x2039; changes by 1% of its average value. The average (total) coefficient of elasticity is determined by the formula: đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; = đ?&#x2018;&#x201C;đ?&#x2018;&#x201C; â&#x20AC;˛ (đ?&#x2018;Ľđ?&#x2018;Ľ ) â&#x2C6;&#x2122;

đ?&#x2018;Ľđ?&#x2018;ĽĚ&#x2026; đ?&#x2018;Śđ?&#x2018;Śďż˝

(30),

where đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; â&#x20AC;&#x201C; coefficient of elasticity, đ?&#x2018;&#x201C;đ?&#x2018;&#x201C; â&#x20AC;˛ (đ?&#x2018;Ľđ?&#x2018;Ľ ) â&#x20AC;&#x201C; variable đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 in the equation of a straight line, đ?&#x2018;Ľđ?&#x2018;ĽĚ&#x2026; â&#x20AC;&#x201C; average factor of đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;1 , đ?&#x2018;Śđ?&#x2018;Śďż˝ â&#x20AC;&#x201C; average of đ?&#x2018;&#x152;đ?&#x2018;&#x152;.

Then we define the average (total) coefficient of elasticity for: a) From Equation (6) đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; = 178.00 â&#x2C6;&#x2122;

528.75

285564.87

b) From Equation (8)

10

đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; = 93.41 â&#x2C6;&#x2122;

3431.40

285564.87

= 0.33%.

= 1.12%.

Andrey Vershitsky, Elena Vershitskaya, Anton Salabutin

c) From Equation (26) đ?&#x153;&#x20AC;đ?&#x153;&#x20AC; = 1.63 â&#x2C6;&#x2122;

9606.13

31833.08

= 0.49% (33).

So, we will comment on the values of the obtained elasticities: - when increasing investment in construction by 1% of its average value of the region's GRP, it will increase on average by 0.33%; - increasing investment in hotels and restaurants activities by 1% of its average value causes an increase in the region's GRP by an average of 1.12%; - when increasing investment in education by 1% of its average value, tax revenues in the region will increase on average by 0.49%.

In the modern conditions of the Republic of Crimea, it should be noted that one of the most urgent tasks of state bodies is to justify investment priorities, the selection of which involves assessing effectiveness level of investment policy, which in its generally accepted statement is defined as the ratio of investment to the resulting socio-economic result, including and tax revenues.

5. CONCLUSION The results of this study showed that investments in the Republic of Crimea are made in (1) transport and communications, (2) education, (3) industry; however, the greatest multiplicative effect is demonstrated by (1) construction industry, (2) hotels & restaurants and (3) education. The study also proves that certain points of economic growth can allow regional authorities to increase management decision effectiveness in determining priorities and subsequent implementation of investment policy, which are of particular importance in the context of inefficient investment funds use, along with negative investment trends.

Highlighting investment-attractive sectors of the region, our study shows the vector for taking actions and the direction of using investment funds and also specifies the importance of cash inflows into the priority sectors to create an economic basis for stability and welfare. However, the data that is being used by authority bodies traditionally do not take into account the shadow economy factor that has a direct impact on the result of the work (Stepanova et al., 2018).

From the main results, certain points of economic growth can allow governments to improve the efficiency of management decisions in determining priorities and the use of investment funds, as well as increase the investment attractiveness of the region, improve the investment climate and attract foreign investment, which can lead to the sustainable development of the Republic of Crimea.

6. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

7. REFERENCES Fiani, R. (1984). Increasing Returns, Non-Traded Inputs, and Regional Development. Economic Journal, 94(374), 308-323.

Fujita, M., Krugman P. (1995) When is the economy monocentric: von Thunen and Chambertin unified.

Regional Science and Urban Economics. Vol. 25. Issue 4. 505-528.

Fujita, M., Mori, T. (1997). Structural stability and evolution of urban systems. Regional Science and Urban Economics. 27(4-5), 399-442 *Corresponding author (A. Vershitsky). Tel: +79788571920. Email: vershitsky@gmail.com Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12L http://TUENGR.COM/V10A/11A12L.pdf DOI: 10.14456/ITJEMAST.2020.237

11

Gadzhiev, Yu. A. (2009). Foreign Theories of Regional Economic Growth and Development. Economy of the Region, 2(18), 45-62.

Hall, R., Jones, Ch. (1999). Why Do Some Countries Produce So Much More Output per Woker than Others?.

Quarterly Journal of Economics, 114(1), 83-116.

Kabanov, V. N., Zhilnikov A. Yu., Zablotskaya T. Yu. (2018) Financial guarantees of the regional budget potential for growth of investments in fixed assets. Economy of the region. № 1. 315-325.

Kahn, R. F. (1931) Relation of Home Investment to Unemployment. Economic Journal, 41, 173-198.

Keynes, J. M. (1936) General Theory of Interest, Interest and Money. Reprinted by Westminster: Prometheus Books. 403 p.

Long, Gen Ying (2003) Understanding China's Recent Growth Experience: A Spatial Econometric Perspective. The Annals of Regional Science. 37(4). 613-628.

Naumov, I. V. (2017) Problems of forecasting gross output in the regional socio-economic system. Journal of Economic Theory. № 4. 68-83.

Poriadin, V. S. (2011) Analysis of existing methods for assessing the economic efficiency of enterprises.

Bulletin of Leningrad State University A. S. Pushkin. № 4. 16-24.

Pred A. R. (1966). The Spatial Dynamics of U. S. Urban-Industrial Growth. 1800-1914. Cambridge: MIT Prees.

Reinert, E. (2007) How Rich Countries Got Rich… and Why Poor Countries Stay Poor. London: Constable & Robinson.

Slutsky, V. A., Teterin D. E. (2013) Multiplicative effect of investment projects is an important factor in making strategic decisions. Bulletin of the Chemical Industry. 4(73), 25-30.

Stepanova, D., Vershitsky A., Prasolov V. (2018) Entrepreneurial entry and shadow economy: the case of transition countries. Journal of Entrepreneurship Education, 21. 1-11.

Tinbergen, J., Bos H. (1962) Mathematical models of economic growth. Moscow: Progress. 172 p.

Venabies, A. (1996) Equilibrium Locations of vertically linked industries // International Economic Revie.

Vol. 37. Issue 2. 341-359.

Vershitsky, A. V., Salabutin A. V. (2017) Tools for the Development of Small and Medium-Sized Businesses.

Managing Socio-Economic Systems: Theory, Methodology, Practice. 23-31.

Vershitsky Andrey is an Associate Professor of State and Municipal Management Department, V.I. Vernadsky Crimean Federal University, Simferopol, Russia. He can be reached at vershitsky@gmail.com.

Vershitskaya Elena is an Associate Professor of Management Department V.I. Vernadsky Crimean Federal University, Simferopol, Russia. She can be reached at elena.vershitskaya@gmail.com.

Salabutin Anton is a master’s student of State and Municipal Management Department V.I. Vernadsky Crimean Federal University, Simferopol, Russia. He can be reached at salabutin.1997@mail.ru.

12

Andrey Vershitsky, Elena Vershitskaya, Anton Salabutin

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12M

IMPACTS OF CORPORATE SOCIAL RESPONSIBILITY ON FIRM PERFORMANCE MEDIATING ROLE OF INVESTMENT INEFFICIENCY 1

Naeem Khan , Qaisar Ali Malik

1*

1

Department of Economics & Finance, Faculty of Business & Technology, Foundation University, Islamabad, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 20 February 2020 Received in revised form 18 May 2020 Accepted 27 May 2020 Available online 19 June 2020

Corporate social responsibility (CSR) emerged as an important component for companies in the past two decades. CSR attained a distinctive position among researchers and practitioners. CSR is well explored in developed countries with less contribution from developing countries. This empirical study focuses on the mediating role of Keywords: investment inefficiency (INV) in CSR and firm performance (FP) Pakistan Stock Exchange; relationship. Data is collected from the non-financial sector. The panel Non-Financial regression technique is employed for data analysis. The fixed-effect Companies; Hausman Test; Fixed Effect Model; model is used in the study as indicated by the probability of the Hausman test. This study results reveal that CSR and FP relationship is Balance Sheet Analysis; fully mediated by INV. Panel Data; Return on Assets; SCR investment.

Disciplinary: Management and Economic Sciences, Investment Policy, Corporate Social Responsibility (CSR). ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Society demands from the companies to play a more desirable role, by not limiting themselves to provide only goods and services to customers but to act and perform social activities as well (Cho et al. 2019). There are several studies on CSR particularly considerable attention that has been received

by CSR and firm performance (FP) link. However, this relationship needs further exploration (Blasi et al. 2018; Lee & Kim 2017). Neo-classical theory suggests a negative association of this link, because CSR expenditures divert funds from those investments which can be profitable (Bird et al.

2007). Most studies on the CSR-FP link shows a negative association (Moore, 2001). Stakeholder theory suggests there should be a good relationship between the company with its stakeholders.

Theory further states that CSR expenditures may increase financial performance indirectly (WU, 2006). *Corresponding author (Naeem Khan) Email: naeemkkhan87@gmail.com ©2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12M http://TUENGR.COM/V10A/11A12M.pdf DOI: 10.14456/ITJEMAST.2020.238

1

In recent years, top executives and academic circles are allocating considerable resources and time to develop Corporate Social Responsibility strategies. Through CSR practices, they can maintain better relations with the stakeholders, who can influence the company. So the investment of CSR must be considered as an investment but not as a cost. This will lead companies to minimize risk in the long run (EU, 2001).

It has been noted that all the investment decisions concerning financial situations are different and independent in the perfect financial market. Also, investment decision should be made in a way to carry those projects which yield positive NPV and vice versa (Modigliani & Miller, 1958). It has been reported in the literature that deviation of a prediction in investment is mainly because of two reasons i.e. Agency cost and free cash flows (Guariglia, 2016).

The study of CSR is imperative in developing nations due to different institutional structures and business systems, which is leading to different connotations of CSR (Rehan and Qureshi, 2019). The CSR and FP link is explored extensively in a developed part of the world however there exits an inconclusive association between the variables (Blasi et al. 2019). Ansong and Agyemang (2017) documented that the contradictory results of CSR and FP could be due to some neglected mediating variables. Most literature on CSR and FP shows a positive relationship between these two variables.

However, their exits need to understand whether it is a direct relationship or some mediating/ moderating variable is influencing their association. Waheed & Malik (2019) call for an investigation into inconclusive association in a developing country like Pakistan. The study will examine the effect of CSR on FP by adding investment inefficiency (INV) as a mediating variable.

Moreover, this is the first attempt as per the authorâ&#x20AC;&#x2122;s knowledge to explore the mediating role of investment inefficiency in the CSR-FP link.

The relationship between CSR and FP is explored by many studies with positive, negative, and neutral results. The findings of the association of this link are still unconcluded (Blasi et al. 2018). A possible reason for conflicting results could be due to some unexplored mediating or moderating variables that need to be explored (Ansong and Agyemang, 2017). Most of the work on this association is done in the developed part of the world that shows mixed findings. There are few studies on CSR and FP link in developing nations. So, there is a need to explore the linkages of CSR and FP with Investment Inefficiency (INV) as a mediating variable, in the relationship of CSR and FP.

2 LITERATURE REVIEW Choongo (2017), Malik & Nadeem (2014), Ahamed et al. (2014) documented a positive relationship between CSR and FP. Iqbal et al. (2013) explored the effect of CSR on the Islamic and conventional banking system of Pakistan on profitability. The regression model shows CSR and profitability measures have a significant relationship. Alshammari f(2015) explored the association of CSR and performance, Reputation and institutional investors are used as moderating variables. The findings suggest that reputation and institutional investors moderate the CSR-FP relationship.

Carroll (1979) contributed the three aspects of the model that are the major questions by academies and managers' concern. The first question is what to be included in the CSR. The second question is that what are the social issues that must be addressed by the organizations. The third

2

Naeem Khana, Qaisar Ali Malik

question is; what philosophy of organization for social responsiveness? He further states that it is helpful to the managers to conceptualize the main issues.

Lee et al. (2017) found a significant relationship between four dimensions of CSR with reputation. However, there is an insignificant association between discretionary activities and corporate reputation. Turban and Greening (1997) found that CSP of the firm improves firm ratings, reputation, and allure for employers. They also suggest that companies may have a competitive advantage by having an attractive environment for the workplace, because of their performance in regards to quality products and services.

Rafique et al. (2017) studied environmental reporting as a component of CSR that resulted in better financial performance and governance in corporations. In addition to that, impacts of corporate reputation on customer behavior, employees and investor are also important factors that influence firms’ performance. Results reported in the study inform that CSR is effecting firm reputation positively. Waddock and Graves (1997) discussed the direction of the CSR-FP link. The findings of their study showed that CSR depends on FP with a positive relationship.

Ansong and Agyemang (2017) argued that CSR and firm performance relationship has conflicting results. A possible reason for these conflicting results could be due to some missing or neglected mediating variable(s) in CSR and FP relationship. The finding of their study confirms that those firms that have comfortable capital access are performing batter. The finding of their study also indicates CSR and firm reputation have a positive relationship. Malik and Kanwal (2018) examined how CSR disclosure impacts in pharmaceutical firms in Pakistan. For the measurement of variables, quantitative variables were used for the analysis. Findings suggest that brand equity mediates the CSR-FP relationship. CSR and FP association is reported (Saeidi et al., 2014). However, he argued that there exists a need to check the association through some mediating variables. Findings suggest that the CSR-FP relationship is fully mediated.

Cochran and Wood (1984) found a positive correlation between financial variables and CSR. Firms have older assets facing lower CSR ratings. Older firms are less flexible to adopt social change.

Moreover, McGuire et al. (1988), to explore the CSR-FP link using accounting-based measures including Return on Assets (ROA), total assets (TA), and sales growth, concludes a positive relationship between CSR and FP. Benlemlih and Bitar (2016) found a significant positive relationship between CSR and investment efficiency. While commenting CSR with its relational inconsistencies researchers argued that literature on CSR with investment efficiency is quite rare. Investment in CSR is a useful way to improve investment efficiency. Borghesi et al. (2014) found that more cash flows exhibit a higher level of CSR. Bhandari and Javakhadze (2017) conducted an empirical analysis of 1992-2014 data.

The result showed that Tobin’s Q and investment association is lesser for firms that are more socially responsible. Deng et al. (2013) suggested firms that positively involved in stakeholder integrations with CSR activities always enhance their profitability and long-term goals of organizational success.

Cornell and Shapiro (1987) documents that if stakeholder’s expectations are not met then it will create market fear which in return leads to loss of profit for the firm. They argued firm performance increases when a firm responds to stakeholder’s implicit claims. High CSR companies always *Corresponding author (Naeem Khan) Email: naeemkkhan87@gmail.com ©2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12M http://TUENGR.COM/V10A/11A12M.pdf DOI: 10.14456/ITJEMAST.2020.238

3

consider the stakeholder’s expectations, this leads to better firm performance.

H1: There exists a positive relationship between CSR and FP H2: Investment Inefficiency mediates in the relationship between CSR and FP

METHODOLOGY

3

Data for 253 non-financial firms is collected for 2007-2016. Data sets have been collected from “balance sheet analysis”, and financial statements published by companies on official websites.

Figure 1, the dependent variable of the study is Firm Performance (FP), which is measured using Return on Assets (ROA), in-line with Malik and Nadeem (2014). CSR is an Independent variable and it is measured through CSR monetary spending ratio (Pyo and Lee 2013; Ehsan and Kaleem, 2012; Lin et al. 2009). Investment Inefficiency is a mediating variable in the study, measured through the Chen et al. (2011) model. The study uses control variables, which include Size, Leverage, and Age, in line with (Feng et al. 2018). The fixed-effect model is used in the study as proposed by the Hausman test. To test the mediation of investment inefficiency (INV) between CSR and ROA, the methodology of Baron and Kenny (1986) is employed. The following are four modeled equations of this study.

ROAi,t = β0 + β1CSRi,t+ β2SIZE i,t + β3AGE i,t + β4LEVERAGEi,t + εi,t

(1).

ROAi,t = β0 + β1INVi,t+ β2SIZE i,t + β3AGE i,t + β4LEVERAGEi,t + ε i,t

(2).

INVi,t = β0 + β1CSRi,t+ β2SIZE i,t + β3AGE i,t + β4LEVERAGEi,t + ε i,t

(3).

ROAi,t = β0 + β1CSRi,t+ β2INVi,t+ β3SIZE i,t + β4AGE i,t + β5LEVERAGEi,t+ εi,t

(4).

The terms β1 , β2 , β3, and β 4 are regression coefficients and ε represents the model error while β0 is constant. The subscripts i, and t are company and year for consideration.

Investment inefficiency

Corporate Social Responsibility

Firm Performance

Figure 1: Research Model, showing the relationship between CSR, INV, and FP.

4 RESULTS AND DISCUSSION This paper used Baron and Kenny's (1986) approach for regression, to explore the mediating effect of investment inefficiency in the CSR and FP link, using four steps: First, a significant association between CSR and FP is needed. Second, it is also required that CSR and investment inefficiency are also significant. Third, there must be a significant association between investment inefficiency and FP. Fourth, to establish that investment inefficiency mediates in CSR-FP relationship, the effect of CSR on FP should be insignificant.

4

Naeem Khana, Qaisar Ali Malik

4.1 DESCRIPTIVE STATISTICS Table 1, the calculated descriptive statistics show that no discrepancy is found in the data. All variables are within acceptable bounds. Hence, data of stated variables can be employed for further analysis.

Table 1: Descriptive Statistics Mean Median Maximum Minimum SD Skewness Kurtosis Probability Observations

ROA 0.037 0.031 1.784 -2.642 0.127 -1.802 107.295 0.000 2530

CSR 0.013 0.002 7.086 -13.779 0.385 -15.376 712.787 0.000 2530

INV 0.030 -0.613 1209.1 -7.479 24.068 50.144 2519.516 0.000 2530

SIZE 15.199 15.035 20.194 9.180 1.635 0.214 3.184 0.000 2530

AGE 3.459 3.433 5.049 1.098 0.496 -0.321 3.823 0.000 2530

LEV 0.617 0.598 8.187 0.004 0.383 6.219 88.153 0.000 2530

4.2 CORRELATION ANALYSIS From the correlation statistics results, Table 2 shows no issue of multicollinearity. Table 2 indicates that there is a positive association of ROA with all the variables except LEV and INV. CSR is negatively associated with all the variables. INV and SIZE are positively correlated. INV is negatively associated with AGE and LEV (leverage). There is a positive correlation between AGE and SIZE. Moreover, AGE is negatively associated with LEV. SIZE is negatively associated with LEV. Table 2: Correlation analysis results ROA CSR INV AGE SIZE LEV

ROA 1 0.013 -0.006 0.034 0.140 -0.392

CSR

INV

AGE

SIZE

LEV

1 -0.001 -0.001 -0.014 -0.010

1 -0.004 0.033 -0.031

1 0.121 -0.116

1 -0.201

1

4.3 REGRESSION ANALYSIS Table 3 reports regression results and test all models developed. Results of Model (1) shows CSR impact on FP. Findings suggest that the coefficient is positive and significant (đ?&#x203A;źđ?&#x203A;ź = 0.05, đ?&#x2018;&#x192;đ?&#x2018;&#x192; < 5%), which shows CSR positively impacts ROA. For control variables, SIZE is significantly and negatively impacting ROA while AGE and LEV are insignificant. Model (2) is developed to analyze the impact of INV on ROA. Results reveal that the estimated coefficient is negative and significant (đ?&#x203A;źđ?&#x203A;ź = â&#x2C6;&#x2019;0.000, đ?&#x2018;&#x192;đ?&#x2018;&#x192; < 5%). This communicates that investment inefficiency has a negative impact on ROA, whereas SIZE and LEV are significantly and negatively affecting ROA. Model (3) is formulated to test the effect CSR on INV, Results reveal that the estimated coefficient is negative and significant ( đ?&#x203A;źđ?&#x203A;ź = â&#x2C6;&#x2019;0.045, đ?&#x2018;&#x192;đ?&#x2018;&#x192; < 5% ). It shows that CSR has a negative impact on investment inefficiency. Control variable SIZE is significantly and positively impacting INV while AGE and LEV are also significant but negatively impacting investment inefficiency (INV). Model (4) tests the *Corresponding author (Naeem Khan) Email: naeemkkhan87@gmail.com Š2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12M http://TUENGR.COM/V10A/11A12M.pdf DOI: 10.14456/ITJEMAST.2020.238

5

impact of CSR and INV on ROA. Results reveal that ROA and CSR are statistically insignificant (đ?&#x203A;źđ?&#x203A;ź = 0.005, đ?&#x2018;&#x192;đ?&#x2018;&#x192; > 5%), while ROA and INV are statistically significant (đ?&#x203A;źđ?&#x203A;ź = â&#x2C6;&#x2019;0.000, đ?&#x2018;&#x192;đ?&#x2018;&#x192; < 5%).

Findings confirm that investment inefficiency fully mediating the association of CSR and ROA. Table 3: Regression Results.

Variables CSR

Model 1 ROA 0.005 (0.044) [2.015]

INV

Size

Age

Lev R2 Adj R2 F Prob. Of F

-0.032 (0.007) [-2.669] 0.024 (0.392) [0.855] -0.163 (0.135) [-1.492] 0.416 0.351 6.344 0.000

Model 2 ROA

-0.000 (0.050) [-1.955] -0.029 (0.000) [-4.674] 0.020 (0.288) [1.061] -0.166 (0.000) [-16.107] 0.417 0.351 6.362 0.000

Model 3 INV -0.731 (0.045) [-2.587]

12.882 (0.000) [9.288] -19.026 (0.000) [-4.383] -16.801 (0.000) [-7.419] 0.188 0.096 2.060 0.000

Model 4 ROA 0.005 (0.314) [1.006] -0.000 (0.042) [-2.143] -0.029 (0.000) [-4.708] 0.020 (0.286) [1.065] -0.166 (0.000) [-16.104] 0.417 0.351 6.341 0.000

Parenthesis Contains (P Values), [t values]

From data analysis of 253 listed non-financial companies of Pakistan stock exchange (PSX) for 2007-2016, the fixed-effect model is utilized as suggested by the Hausman test. After analysis of data, both hypotheses H1 and H2 are accepted in this study.

5 CONCLUSION This study is an attempt to explore the mediating effect of investment inefficacy (INV) on CSR and FP relationship. A literature survey shows there exits positive, negative, or no relationship in CSR and FP. Ansong and Agyemang (2017) debated on the relational inconsistency of CSR and FP and argued that association is inconclusive perhaps due to some overlooked mediating variable.

Owing to considerable inconsistency in the relationship of CSR and FP, the variable of investment inefficacy is a mediating variable in the study. This study fills the gap to analyze the impact of CSR and FP with the mediating role of Investment Inefficiency in the context of Pakistan.

The study results show that Investment Inefficiency (INV) fully mediates the association between CSR and the FP. Findings reveal that investment inefficiency reduces the firmsâ&#x20AC;&#x2122; performance. A firm engaged in CSR practices can improve its financial performance by reducing the effect of investment inefficiency, which in return will lead to an increase in the firmâ&#x20AC;&#x2122;s performance.

From this study, policymakers of developing countries are cautioned to consider the contrary effects of investment inefficiency while designing CSR policies for their organizations.

6 AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

6

Naeem Khana, Qaisar Ali Malik

7 REFERENCES Agyemang, O.S., & Ansong, A. (2017). Corporate social responsibility and firm performance of Ghanaian SMEs: Mediating role of access to capital and firm reputation. Journal of Global Responsibility, 8(1), 47-62.

Ahamed, W.S.W., Almsafir, M.K., & Al-Smadi, A.W. (2014). Does corporate social responsibility lead to an improvement in firm financial performance? Evidence from Malaysia. International Journal of Economics and Finance, 6(3), 126-138.

Alshammari, M. (2015). Corporate social responsibility and firm performance: The moderating role of reputation and institutional investors. International Journal of Business and Management, 10(6), 15.

Baron, R.M., & Kenny, D.A. (1986). The moderator-mediator variable distinction in social psychological research: Conceptual, strategic, and statistical considerations. Journal of personality and social psychology, 51(6), 1173.

Benlemlih, M., & Bitar, M. (2016). Corporate social responsibility and investment efficiency. Journal of Business Ethics, 148(3), 647-671.

Bhandari, A., & Javakhadze, D. (2017). Corporate social responsibility and capital allocation efficiency.

Journal of Corporate Finance, 43, 354-377.

Bird, R., Hall, A.D., Momentè, F., & Reggiani, F. (2007). What corporate social responsibility activities are valued by the market? Journal of Business Ethics, 76(2), 189-206.

Blasi, S., Caporin, M., & Fontini, F. (2018). A multidimensional analysis of the relationship between corporate social responsibility and firms' economic performance. Ecological Economics, 147, 218-229.

Borghesi, R., Houston, J.F., & Naranjo, A. (2014). Corporate socially responsible investments: CEO altruism, reputation, and shareholder interests. Journal of Corporate Finance, 26, 164-181.

Chen, F., Hope, O.-K., Li, Q., & Wang, X. (2011). Financial reporting quality and investment efficiency of private firms in emerging markets. The Accounting Review, 86(4), 1255-1288.

Cho, S.J., Chung, C.Y., & Young, J. (2019). Study on the Relationship between CSR and Financial Performance. Sustainability, 11(2), 343.

Cochran, P.L., & Wood, R.A. (1984). Corporate social responsibility and financial performance.

Academy of management journal, 27(1), 42-56.

Cornell, B., & Shapiro, A.C. (1987). Corporate stakeholders and corporate finance. Financial Management, 5-14.

Deng, X., Kang, J.K., & Low, B.S. (2013). Corporate social responsibility and stakeholder value maximization: Evidence from mergers. Journal of financial economics, 110(1), 87-109.

Ehsan, S., & Kaleem, A. (2012). An empirical investigation of the relationship between corporate social responsibility and financial performance (Evidence from the manufacturing sector of Pakistan).

Journal of Basic and Applied Scientific Research, 2(3), 2909-2922.

EU. (2001). Promoting a European Framework for Corporate Social Responsibility: Green Paper: Office for Official Publications of the European Communities.

Feng, Y., Chen, H.H., & Tang, J. (2018). The impacts of social responsibility and ownership structure on the sustainable financial development of China’s energy industry. Sustainability, 10(2), 301.

Iqbal, N., Ahmad, N., & Kanwal, M. (2013). Impact of corporate social responsibility on the profitability of Islamic and conventional financial institutions. Applied Mathematics in Engineering, Management, and Technology, 1(2), 26-37. *Corresponding author (Naeem Khan) Email: naeemkkhan87@gmail.com ©2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12M http://TUENGR.COM/V10A/11A12M.pdf DOI: 10.14456/ITJEMAST.2020.238

7

Lin, C.H., Yang, H.L., & Liou, D.Y. (2009). The impact of corporate social responsibility on financial performance: Evidence from business in Taiwan. Technology in Society, 31(1), 56-63.

Malik, M.S., & Nadeem, M. (2014). Impact of corporate social responsibility on the financial performance of banks in Pakistan. International Letters of Social and Humanistic Science, 10(1), 9-19.

Malik, M.S., & Kanwal, L. (2018). Impact of Corporate Social Responsibility Disclosure on Financial Performance: Case Study of Listed Pharmaceutical Firms of Pakistan. Journal of Business Ethics, 150(1), 69-78.

McGuire, J.B., Sundgren, A., & Schneeweis, T. (1988). Corporate social responsibility and firm financial performance. Academy of management journal, 31(4), 854-872.

Modigliani, F., & Miller, M.H. (1958). The cost of capital, corporation finance, and the theory of investment. The American Economic Review, 48(3), 261-297.

Moore, G. (2001). Corporate social and financial performance: An investigation in the UK supermarket industry. Journal of Business ethics, 34(3-4), 299-315.

Pyo, G., & Lee, H. Y. (2013). The association between corporate social responsibility activities and earnings quality: Evidence from donations and voluntary issuance of CSR reports. Journal of Applied Business Research, 29(3), 945-962.

Rafique, M.A., Malik, Q.A., Waheed, A., & Khan, N.U. (2017). Corporate governance and environmental reporting in Pakistan. Pakistan Administrative Review, 1(2), 103-114.

Rehan, M.H., Qureshi, Q.A. (2019). Impacts of Corporate Social Responsibility (Economic, Social & Environmental) on Customers Loyalty in Islamic Banks. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 10(10), 10A10L, 1-8. DOI: 10.14456/ITJEMAST.2019.133.

Saeidi, S.P., Sofian, S., Saeidi, P., Saeidi, S.P., & Saaeidi, S.A. (2015). How does corporate social responsibility contribute to firm financial performance? The mediating role of competitive advantage, reputation, and customer satisfaction. Journal of business research, 68(2), 341-350.

Turban, D. B., & Greening, D. W. (1997). Corporate social performance and organizational attractiveness to prospective employees. Academy of Management Journal, 40(3), 658-672.

Waddock, S. A., & Graves, S. B. (1997). The corporate social performanceâ&#x20AC;&#x201C;financial performance link.

Strategic Management Journal, 18(4), 303-319.

Naeem Khan is a PhD Scholar at Foundation University Rawalpindi, Pakistan. He has received his MS degree from Riphah International University Islamabad. He is a Lecturer at University of Sargodha, Pakistan. He is also a Lecturer at Capital University Islamabad, Pakistan. His interests include Capital Structure, Working Capital Management, Corporate Social Responsibility, Portfolio Risk and Return.

Dr Qaisar Ali Malik received his M.Phil. and Ph D in Finance. He is a Fellow Member of ICMA Pakistan. His core interests are in the areas of Financial Reporting & Analysis, Cost Management & Analysis and Corporate Finance Decisions, Corporate Governance Mechanisms, Corporate Social Responsibility, Investment analysis, Financial Inclusion, and Knowledge Management.

8

Naeem Khana, Qaisar Ali Malik

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12N

SUSTAINABLE URBAN PLANNING TO COPE WITH PULSAR EFFECTS OF DESTRUCTIVE EVENTS: A CONCEPTUAL FRAMEWORK 1*

1

Zakaria Alcheikh Mahmoud Awad , Melasutra Binti Md Dali , Nikmatul Adha Binti Nordin 1

Centre for Sustainable Urban Planning and Real Estate, Department of Urban and Regional Planning, Faculty of Built Environment, University of Malaya, MALAYSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 20 August 2019 Received in revised form 08 May 2020 Accepted 02 June 2020 Available online 19 June 2020

This paper contributes to establishing a more vital role for sustainable urban planning in dealing with the effects of natural (such as earthquakes) and man-made (such as conflicts) destructive events through building up a conceptual framework. Multidimensional qualitative research method through document studies, historical analysis of destructive events and their stages, and case studies (Kabul, Afghanistan; Mostar, Bosnia and Banda Aceh, Indonesia). This research shows that existing efforts for events aftermath suffer from heavy dependency on foreign aids, marginalizing local context, and lack of proper coordination. The suggested framework comprises four major phases that have to be handled by good management including pre-after-the-event, emergency relief stage, transitional stage, and recovery phase. Sustainable urban planning needs to deal with these stages individually and holistically.

Keywords: Analysis of destructive events; Civil war; Destructive impact; Sustainable town planning; Post-tsunami; Pulsar effect; Natural disaster; Post-disaster recovery; Post-war recovery.

Disciplinary: Sustainable City Planning, World History (History of War, Peace, and Disaster), Sustainable Built environment, Sustainability and Development. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Throughout urban history, there have been many cases where going on a scenario of urban planning and development is interrupted by destructive events with their ‘pulsar effects’. The events are caused either by nature such as earthquakes, floods, and volcanoes or by humans such as wars, civil wars, and civil unrest. There are small-scale events such as the Cumbria of the UK earthquake of 3.6 magnitudes that occurred in 2010 and passed within a few seconds. It caused only shaking floors and rattling windows (Bluesci, 2011). On the other hand, large-scale earthquakes, wars and civil wars usually result in massive destruction, a vast number of casualties and a huge number of displaced *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

1

1

people, changing the existing urban conditions dramatically and raising the need for new planning and developmental efforts. For instance, the Syrian war has resulted in more than 400000 deaths, 5 million people left Syria, around 6.3 million in-land refugees and wide destruction of urban and rural areas. (CNN, 2017).

Since the 1990s onwards, the role of urban planning in coping with the "pulsar effects" of the destructive events is increasingly diminishing. The major concern has become improving some physical infrastructure, providing shelter and constructing certain symbolic buildings under the name of ‘relief’. These measures do not properly lead to sustainable post-disaster recovery (Suri, 2016). In response, calls for restoring the vital role of planning in managing cities and their crises, have been made by Thung and Najim (2016), Suri (2016, 2012), Sipus. (2014), Calame (2005), Sendai Framework for disaster (2015-2030), The World Humanitarian Summit, Istanbul, Turkey (2016) and the UN-Habitat III Agenda (2016). “This is the first time that planning has gotten this kind of traction and it is a big opportunity for planning to return to the center of discourse” (Suri, 2016, p.17). This backdrop shed lights on the importance of contributing to bringing back urban planning to cope sustainably with "pulsar effects" of destructive events in urban areas

2 PULSAR EFFECTS OF DESTRUCTIVE EVENTS The pulsar effect is a special classification widely used in the last two decades. Denote the consequences of an event, a series of events or forces that significantly change the contemporary urban conditions and inevitably lead to critical changes in urban planning and development process (Eissa, 2015; Lourenço and Astut, 2011). Some events take place by developmental decisions such as hosting the Olympic Games or organizing a national or an international summit while others happen by haphazard and unpredictable forces (destructive events such as conflicts and natural disasters).

The increasing number of cities is attempting to gain hosting games/summits hoping to benefit from the economic opportunities they bring with them (Kammeier, 2002). The events of conflicts and natural disasters and their consequences are undesirable and unpredictable. Allied bombing in 1945 destroyed 85% of Dresden. According to the Syrian Observatory for Human Rights, up to June 2017, deaths in Syria exceeded 326,624, 14 million injured and displaced inside and outside the country and many Syrian cities have been destroyed (Wikipedia, 2017)). The 2010 Haiti Earthquake killed 300000 people and resulted in large-scale destruction of the urban environment (Pallardy, 2017). The impacts of destructive events reaches other areas and in some cases neighboring countries.

Main Turkish cities received 90% of Syrian refugees in Turkey (over 2.5 million persons) and many refugees from other nationalities (EU Commission, 2017). Some authors such as Calame (2005) and Sipus (2014) argue that post-event recovery measures are not the same for natural disasters and armed conflicts. Other such as Navidi and Andalib (2013), Eugenio, (1986), Cuny (1983) and Kates and Pijawka (1977) found no distinction between destructive events caused by nature and those man-made, in terms of their definition and required efforts to cope with the consequences.

This paper adopts the opinion that "Disaster, whether natural or man-made, is a process defined based on its consequences, not on the phenomenon that caused it" (Cuny, 1983, p.13). Destructive events by humans usually take a much longer time than those caused by nature. Both types of large-scale results in destroying the built environment and displacing people. Aftermath recovery in both cases takes a long time.

2

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

3

RESPONSE AND ACTUAL PRACTICES

The up to date experience in coping with the pulsar effects of destructive events (particularly in developing countries) reveals the involvement of a wide range of local, regional and international stakeholders, such as humanitarian relief groups and government organizations. A consistent approach to planning is mostly absent. The main concern is emergency relief. In an attempt to gain more political influence, international players, support individual economic projects such as airports, industry and other infrastructure. That led to haphazard planning depending on the interest of the player. The scope of international engagement regarding time and interest is limited while the reconstruction and redevelopment of a city requires and takes a long time. (Thung and Najim, 2012).

Built environment professions usually intervene only after reaching some stable solutions and after delivering other forms of assistance (Calame, 2005). Even in the few cases where systematic planning was made for the strategic reconstruction of cities and regions, it was used to serve some local and/or foreign dominating powers. To give examples, in Beirut, the planning of the elitist project of the city center led to a different center from what the ministries envisioned. This type of development resulted in the displacement of the poor from the city center (Suri, 2016; Yarwood, 2010).

Immediately after the destructive events, the fund is usually available in abundance. The efficient and timely use of money, however, is affected by the urgent need for the quick action and by some activities of incoming actors who usually work for the benefit of their own countries. While in the case of conflicts' aftermath, foreign aid is better to wait until conflicting parties settle down their problems; timely aid is significant in the case of natural disasters (Calame, 2005). In addition to the fund issues, more issues include marginalizing local expertise, skills, and materials. Mashansky (2004) concluded that when the Americans did not focus on the perspective of local people of Iraq, their efforts for reconstruction failed. Local expertise is essential because they better know local conditions. When local expertise is sometime not available (wars, fighting, and displacement), foreign one is then needed. In this case, a proper and clear definition of the relationship between locals and foreigners need to be made to avoid competition. Thus, cross-cultural training is important (Cuny, 1983).

Recently, The Concept of disaster management has become widely known. It consists of pre-disaster and post-disaster. This concept according to Emergency Management Australia (2004), includes four stages: prevention/mitigation, preparedness, response, and recovery. The response and recovery contain the emergency phase that follows the disaster, transitional and reconstruction. In the emergency, the concentration is on rescue, damage assessment and critical repair of infrastructure while in the transitional, the population return to their normal life pattern and their social relationship.

Reconstruction is the final stage in which reordering the community and its built environment is the ultimate goal (Cuny, 1983). The first phase usually takes one year; the second phase's period is 2-5 years while the third takes 5-20 years (Geipel, 1991). Cuny et al. call for making disaster management as a part of planning efforts for general development.

In several cases initially undesirable, destructive â&#x20AC;&#x2DC;pulsesâ&#x20AC;&#x2122; created opportunities for new and innovative directions in urban planning (Kammeier. 2002). The urban renewal movement in Europe emerged and made distinguish progress in the World War II aftermath (Cherry, 1990). The 1976 Tangshan (China) earthquake destroyed the city completely. The master plan after the disaster *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my Š2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

3

provided new opportunities to reconstruct the city on the same site but according to a new vision. A community revival plan was prepared by the Japanese city of Kobe after the 1995 earthquake. The plan's authors learned from earlier experiences to reconstruct the damaged areas from a new perspective.

Pulsars (destructive events) Natural (earthquake, Tsunamiâ&#x20AC;Ś.)

Humans made (unrest, war, civil war) Change in city conditions

Death and injuries

Displacement

Destruction

Economic deterioration

Intervention to deal with the pulsar effects of the events Urban planning

Relief as the main aim International fund

International expertise

-Time - politicisation

-Marginalisatio n of locals -Coordination -Templates

Concept of disaster management

Local initiatives -Coordination -Politicisation

-- A few cases -- Politicisation --Generally missing targets -- Late intervention

Need for sustainable urban planning Type of approach

Time, speed and coordination

Information on changes

International players and politics

Local leaders and elites

Economy and foreign fund

Figure 1: Intervention scheme to cope with the pulsar effects of destructive events and their consequences.

NEED FOR PLANNING

4

Currently, urban planning is a key approach to sustainability, inclusive society, and efficient governance particularly in changing and complicated environments. The good indicator is that in recent years, the approach to deal with destructive events in various countries has been characterized by increasing emphasis on recovery and development. Urban planning can be a positive force in coping with the effects of destructive events. It can efficiently guide communities' development towards economic self-reliance, sustainability, peacefulness, and stableness (Suri, 2012). Thung and Najim, (2016) point at the role of spatial planning. French (2016) suggest strategic planning as an efficient approach. The circumstances and conditions that follow the destructive events, however, raise questions about the applicability of existing urban planning tools and methods. Type of demands, time restrictions, fast changes in the event's aftermath and stakeholders involved are significantly different from those of normal situations. Thus, there is a need for new planning tools and approaches that are more feasible than Master Planning; the predominant form of existing urban planning. There is an outstanding need to contextualize planning and adjust planning targets for the

4

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

post-destructive event recovery. Relevant literature emphasizes a set of matters that need to be considered while planning for destructive post-event recovery. They are planning (type and belonging to the place), politics (Politianâ&#x20AC;&#x2122;s interest, the influence of international players), economy and dependency on foreign aids, speed, local leaders, local coordination, knowledge of what takes place on the ground, readymade templates, contradictions between time requirements for post-disaster development and time given by international supporters (Thung and Najim, 2016; French, 2016; Sipus, 2014; Suri, 2012). Figure 1 is a summary of destructive events, their pulsar effects, and the interventions.

5

SUSTAINABLE URBAN PLANNING: A REVIEW OF PRINCIPLES

The Concept of sustainability appeared for the first time in the Brundtland Report (1987). It tries to redefine the relationship between human development activities and the natural environment to reach intergenerational justice. Since then, the application of this concept has penetrated various development branches. Extensive and relevant research works have been carried out. However, after forty years, there has been no consensus on how to redefine this relationship. Urban planning is not an exception. Debates still exist on how to reach sustainable urban planning. Some broad principles, however, have been identified. They are

6

-

Full respect to the ecology and the natural environment;

-

Energy conservation;

-

Determinants of the development are economic social and environmental

-

Meeting the needs of the majority of the population and

-

Full respect to cultural heritage (Curwell et al., 2005; Kammeier, 2002).

METHODOLOGY

The literature review reveals the need for innovative sustainable urban planning to deal with the pulsar effects of destructive events and define special issues of disaster aftermath. The case studies were investigated through relevant documents and historical analysis, on post-disaster recovery in the last three decades. A deep analysis of selected case studies enhance the background. The case studies are Mostar of Bosnia, Kabul from Afghanistan, and Banda Aceh of Indonesia. Each represents a unique situation in being exposed to destructive events. The Mostar of Bosnia was a place for civil war for two years, resulted in dividing the city. Kabul has since 1979 been a subject to a series of wars and civil wars ended with the American invasion in 2001. Reconstruction is the largest in human history. The third city, Banda Aceh of Indonesia was hit by a tsunami while a civil war was going on.

7

RESULTS AND DISCUSSION

7.1 PULSAR EFFECTS OF THE CIVIL WAR IN MOSTAR BOSNIA Mostar, the multi-ethnic city, is one of the historic cities of former Yugoslavia. The city has a rich planning history. In the 1970s and the 1980s, the last decades before the war, the city developed fast because of foreign investments and migration from rural areas. In 1991, 126,668 residents lived in Mostar. The development was geared towards the industry where 40% of the workers were *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my Š2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

5

employed. The city planning system was a socialist system approach. The state was the main actor in making decisions and development. Planning capacities were available in Mostar at various levels, and a spatial plan was prepared for the city development for the period of 1986-2000. (Suri, 2012; Yarwood, 1999).

The two-year war in Mostar started in 1992 between Muslims and their allies the Croats on one side and the Serbs on the other, turned later to be between Muslims and Croats. The war resulted in 5000 deaths, 40000 displaced people, 5000 destructed or damaged houses, large-scale destruction of infrastructure and historical monuments and religious buildings and division of the city into two parts: Muslims were at the east and Croats were in the west. Economic activities collapsed sharply.

Cadastral and property records either lost or fell into the hands of the Croats who refused to share them with the Muslims. Planning institutions also split into two parts. The arrival of thousands of migrants from surround rural areas worsens the situation (Calame, 2005). The estimation of reconstruction cost reached as high as 800 million Deutsch Marks (ICG, 2000).

In the war aftermath, intensive local and international arrangements were made. The city was put under the European Union Administration mandate for a transitional period of two years with a target of reunifying the city (ICG, 2000). To facilitate the reunification, a three layers local government was established and the neutral central zone was defined. Further, Money was made available from the World Bank and other countries. Works started quickly with a fast survey to set up reconstruction priorities, infrastructure restoration projects, building rehabilitation projects and facilities repair projects. (Suri, 2012). However, two things were missing. Local experts were marginalized, and urban planning was given the lowest priority. The industry-oriented economic activities, for instance, were geared towards tourism. This step was not successful and left an increasing number of young people unemployed (Yarwood, 2010).

After the European mandate, the development was slow, gradually deepening the division of the city and duplicating infrastructure and institutions (Shipra Narang Suri, 2016). No cooperation between the municipalities in the segregated areas (Calame, Jon, 2005). The need for a strategic plan was felt, and money was allocated, but no plan was prepared. Mistrust between ethnic groups of the city dominated the scene. "No role seems to have been accorded to strategic thinking or planning for the future of Mostar, at any stage in the process of demolition, repair and reconstruction" (Suri, 2012, p.11).

7.2 KABUL, AFGHANISTAN: A SERIES OF PULSARS In the last fifty years, Kabul, the capital city of Afghanistan, has witnessed several successive man-made events. The most critically were the Soviet Union invasion in 1979, the 1989-1992 and 1992-1996 Civil Wars, the Taliban regime 1996-2001 and the American invasion 2001(WIKIPEDIA, 2017). Soviet occupation made the city relatively safe. The city population four folded in the decade from1978-1988 from 500000 to 2 million. The next events were very destructive. In 2001, the year the city fell to the Northern Alliance, 80% of the Kabul built-up environment was devastated or destroyed, and a large number of its inhabitants left leaving behind them only 500000 people. In 2014, Kabul's security affairs have been transferred to the Afghan National Security Forces, but the city still receives from time to time some violence (Kolhatkar, 2011).

A Master Plan was prepared by the soviet occupation based on earlier plans made in 1964 and

6

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

1970. Urban planning and development were almost absent during the civil wars and the Taliban regime. After 2001, International financial support was quick and abundant. Developmental efforts including urban planning with the Master Planning approach were immediately initiated mainly by international players to cope with the fast-growing Kabul whose population reached 4.6 million in 2015. The outcome, however, was disappointing. After 10 years of recovery efforts, urban planning had no appreciable impacts on city development where about 80% of the construction in Kabul was illegal. The situation can be attributed to various factors. Firstly, the available money was not efficiently used in terms of time and methods. Various involved parties lacked proper coordination and leadership. They pursued different lines of interest. The funds were stretched over a short period span deprived Kabul of long-term urban projects and vision. Secondly, urban planning in Kabul suffered from some issues with critical consequences that affected and will affect the city development for a long. Afghanistan lost its previous planning operational system. This resulted in heavy dependence on foreign expertise that usually does not have a good understanding of the real situation and marginalizes local experts and professions. Data and information on the fast-changing city were not made in time. It took about a decade to make some databases available by HABITAT who used satellite imagery technology. This critically affected urban planning in the first ten years of reconstruction significantly contributing to evolving urban planning with no links with reality. It is worth mentioning however, the time and cost were reasonable and the data which was on land use and housing proved very efficient. Further, the absence of land record, the irrational Master planning approach that had no link with the reality and the short term planning missions with no following up efforts led to illegally develop large areas depriving the government of relevant property tax. The illegal development was made by warlords and powerbrokers with a large number of plots do not suit housing development and have no direct access to services such as water and electricity. The developers used their military and political powers to gradually service some of their schemes. This reminds us of the illegal land subdivision scenario that was very wide in developing and even in some developed countries during the two decades of the 1980s and 1990s. Thirdly, the urbanization process has not been given proper consideration in urban planning. All evidence shows that this country is urbanizing rapidly. This process constitutes high potential for various types of development and peacemaking. Fourthly, no serious efforts were made to support planning in legislation, human resource, and equipment. This resulted in most of the urban planning efforts did not exceed the document stage (Feenstra, 2016; Petersen, 2016; Thung and Najim, 2016; French, 2016; GoiRA, 2015; Yarwood, 2010).

7.3 BANDA ACEH, INDONESIA: A TSUNAMI HIT DURING A CIVIL WAR Banda Aceh the capital city of Aceh province of Indonesia was hit by a natural pulsar that happened during a man-made one. In 2004, Tsunami hit the city, nine months before the end of the armed conflict which started in 1976 and ended in 2005. The city population was 239150 people in 2004. The three-decade armed conflict hindered the development of the city and the province, left 15000 people dead and isolated Aceh from Indonesia making the province one of the poorest regions in Indonesia. When Tsunami hit, Banda Aceh was the most affected city (Pardede, and Tetsuo, 2007).

The Tsunami impact was severe. 60% of the houses in Banda Aceh were destroyed, 60000 of the city's inhabitants died, and the Tsunami swept away all the coastal communities. The absence of a *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my Š2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

7

warning system and relevant urban planning arrangements such as disaster mitigation and preparation worsen the situation (Vale et al., 2014).

The response to the tsunami has been a very successful collaborative effort locally and internationally. The armed conflicts ended and the focus was geared towards recovery, paving the way for development which was supported by a quick damage assessment. An institution called: Rehabilitation and Reconstruction Agency (BRR) was formed and assigned the implementation tasks up to 2009 (The World Bank, 2012). These efforts were strengthened by swift and generous various international supports. 7 Billion US$ were pledged, and more than 500 organizations belong to more than 40 countries started the recovery work. The result was a significant transformation in the physical, cultural, and political landscape, massive construction of houses, infrastructure and facilities and resetting up the business (Vale et al., 2014). Urban planning activities to deal with the Tsunami and its pulsar effect were extensively outstanding. A recovery Maser plan for the period of 2005-2009, was developed in three months collaboratively by local, national and international expertise to lead the actions after emergency and humanitarian relief. The implementation of the plan was given to local authorities. It was followed by a spatial plan from 2009-2129. It contained mitigation measures such as escape buildings, evacuation routes and breakwater (Yuzal et al, 2015).

In 2009, JAYCA (Japanese International Cooperation Agency) prepared a mitigation Study and Plan in which the agency defined the catchment area of each escape building. A bottom-up and community-based approach for village planning was adopted in cooperation with GTZ, USAID, and UN-Habitat (Togu Santoso Pardede, Kidokoro Tetsuo, 2007). BRR formulated Aceh-Nias Tsunami and Earthquake Response Programme (ANTERP) after the 2005 Nias earthquake, to address the discrete infrastructure. Some initiatives in it, were the Sea Defence, Refuge and Early Warnings System, flood Protection and a no housing construction buffer zone of 500 meters from the coastline (Nieuwenhuis et al., 2011).

The above-mentioned efforts especially the phased development approach, returned Banda Aceh to normal. The recovery process, however, suffered from some shortcomings. The long-term policies and directions were not clear. Community involvement was limited (Vebry, 2009).

Immediately after the disaster, there was a need for technical and institutional knowledge to develop planning tools and indicators that are suitable for post-disaster. Planning concentration was at the micro-level. This raises a question about the kind of planning that is needed to work as an interface between macro and micro-planning. The Master Plan was not followed properly particularly in the buffer zone. The amendments to the plan confused some of the stakeholders. (Pardede and Tetsuo, 2007). The international organizations left after four years before completing the reconstruction (Meilianda et al., 2017).

7.4 TOWARDS A CONCEPTUAL FRAMEWORK The earlier analysis of literature and case studies has revealed the absence or inefficiency of urban planning in the efforts to cope with the pulsar effects of destructive events in the last three decades and the need for innovative urban planning (Table 1). A strategic planning approach has been suggested to lead the recovery process (French, 2016). Yarwood (2010) added some conditions to strategic planning to make it work. The focus should be on principles, and the plan should avoid local details that are the task of local plans. Further, there is a need for linking strategic planning with finance and for building trust with local planners for implementation. Strategic planning is an

8

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

approach different from traditional planning and trying to address some important issues such as identifying the development areas and the type of growth needed for each, expanding and enhancing the existing economic base, and improving the quality of life (UN-HABITAT, 2007). However, it requires highly sophisticated institutional and planning systems that are usually not available after the events or at least in the early stage of its aftermath. Also, the wide range of stakeholders involved, particularly the international ones, maybe uneasy to manage by the approach.

Table 1: Summary of the case studies: destructive event, its effects and the intervention to cope with the effects.

City

Mostar Bosnia

Kabul Afghanistan

Aceh Indonesia

Event and its pulsar effect -Civil war -Divided city -The collapse of economic activities -killing and displacement -Large-scale housing and infrastructure destruction -Foreign invasion - 80% of the built-up area destroyed as a result of the invasion and the two civil wars.

-Tsunami and a civil war -because of the war, isolation from the country and the world -Loss of lives by the war and Tsunami -People displacement by the war and Tsunami -Large-scale destruction by Tsunami

Urban planning and development before the event -Socialist urban planning system (state dominance) -Spatial plan implementation -Fast growth -High foreign investment -Rural-urban migration -Urban planning and development were almost absent before the invasion.

-slow development -concentration on military actions -No warning system for earthquakes and Tsunami

Intervention to cope with the pulsar effect

Notes

-Administration mandate followed by multi-layer government -Abundance fund -Survey for prioritization -Slow growth after the mandate

-Lowest priority to urban planning -The marginalization of local expertise -Lack of local cooperation

-Master planning approach -The strong role of warlords and local elites -Abundance and immediate international financial support

-Irrelevance of planning to real situation -Incomplete planning process -Inefficient use of fund -Lack of operational system -Lack of coordination and leadership -No land records -Delay in data collection -The tsunami was an opportunity to end the civil war and initiate a successful development -Lack of clarity in long- term planning -Concentration on micro-level -Problems in communication and coordination -Early Departure of the foreign organization

-The temporary special development authority -Quick and abundance of financial and organizational international support -Quick survey -Immediate short-term Master Plan followed by a long- term spatial plan -Mitigation studies and programs -Large-scale development

Proper sustainable urban planning to cope with the pulsar effects of destructive events should deal with the stages of post-event recovery individually and holistically (Figure 2). It needs to be linked with reality and needs to incorporate earlier experiences. Each city has no doubt, its conditions significantly affect the urban planning process, however, general principles of planning to cater to the aftermath of the destructive events are common. Planning for each stage should be within the scope of the whole process and intended to serve the ultimate goals. Involved planners should work with an eye on the current situation and the other on the earlier and the further stages. The scenario of urban planning and development of a city that is subject to a pulsar or a series of pulsars effects consists of two parts: before the event and after the event. The disaster management concept defines the post-recovery stage as having three stages: emergency, transitional and recovery. In the following, each stage is discussed to build up the framework. *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my Š2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

9

Emergency stage Transitional Stage Recovery stage

Figure 2: The three stages of sustainable urban planning to cope with the pulsar effects of destructive events.

7.4.1 BEFORE THE EVENT At this stage, the city authority usually sets up the targets for development and prepares a Master Plan. The destructive event makes this plan inapplicable but not invalid. It possibly contains some points that may be beneficial in the event's aftermath. Thus, the plan should be reviewed at the later stages as a part of the planning process. At this stage, some cities which are vulnerable to natural disasters such as earthquakes have pr-disaster mitigation plans. Such plans are vital to defining the expectedly affected areas and to decide on the fund required for each. But the event may take a very long time to occur. Then, the pre-disaster plan needs updates and reviewing regularly. Reviewing mitigation plans is a part of the planning process at this stage.

7.4.2 EVENT AFTERMATH: EMERGENCY STAGE This stage presents the most complicated part of the planning process. Needs are urgent and usually contain all known types of urban development such as housing, rehabilitation, renewal, and damage assessment. A wide range of local and foreign stakeholders is involved. Planners need to make decisions that are relevant to this stage and at the same time facilitate future development.

Planning at this stage needs to be strategic, action-oriented, spatial in concerns and participatory and at the same time, it should be directed by a long-term vision. Strategic means to define the priorities for intervention and fund spending (UN-HABITAT 2007) and action-oriented planning can work with little or no sufficiently available data (Hamdi and Goethert, 1997). It is important for planning at this stage to properly define the opportunities that the event possibly offers and develop appropriate proposals. In addition to all, the high level of coordination of various involved parties and day to day monitoring for updating the database and making relevant decisions and amendments are required.

Such picture points at the need for highly qualified and trained professionals including urban planners who will mostly need to work in groups each of which caters to one or more of the tasks. Reviewing earlier plans can start at this stage by a group of professionals. Preliminary reviewing can start during the event in the case of conflicts. All these efforts help in building a solid base for preparing a plan for the transitional period. Establishing strong planning and an institutional system is needed for this stage and later stages. This task is easier in the case of a natural disaster.

10

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

Pre-event stage Existing planning

Quick, Short, Medium, long

Master Plan

possibly mitigation plan

Review update

and

Preliminary review of earlier plans in the medium and long term events

Destructive event stage (man-made and natural)

Emergency stage (1 year) Prioritisation for relief work Prioritisation for fund spending Coordination of stakeholders Continuous and updated data Collection Defining opportunities Review of old plans Preliminary medium and long term vision and objectives Vision and objectives of transitional stage A Plan for transitional period

Transitional stage (2-5 years) Vision Issues Objectives Alternatives Plan for recovery stage (Main and details)

Detailed plans Updating data base Monitoring Review of old plans mendment

Recovery stage (5-20 years) Review, Monitoring, amendment

Refining vision and development objectives for future planning

Figure 3: a proposed conceptual framework for sustainable urban planning to cope with the pulsar effects of destructive events.

7.4.3 TRANSITIONAL STAGE Planning at this stage concentrates simultaneously on consolidating the plan prepared at the earlier period and on making a plan for the next phase. Since people start to return to their social life and relationship at the transitional level, the concern of the planning focuses on enhancing social and economic normalization. The task includes further improvement of infrastructure and facilities and consolidating the economic base of the community. Planning still needs to be action-oriented in certain cases, strategic in vision and at the same time comprehensive for the long-term objectives. A sufficient database should be prepared. Useful directions and proposals from old master plans will be very much helpful if they are made available early. Frequent assessment and monitoring with less frequency than the earlier stage are necessary. All these efforts can significantly contribute to the wider plan for the next stage which is usually 20 years. The plan needs to be ready with all supportive legislation and fund by the end of this stage. Local people need to prepare for the departure of foreign *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my Š2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

11

expertise and aid organizations. Aceh's experience showed that the departure of foreign support negatively affected urban development.

7.4.4 RECOVERY STAGE Sustainable urban planning activities at this stage revolve around securing a smooth implementation of the plan that was prepared earlier and around defining the needs for any amendment. Thus, the main activities are monitoring and reviewing the plans. Further, planning for the next stage starts towards the last few years of this period (Figure 3).

The lessons learned from earlier experiences particularly from the case studies can contribute significantly to the success of urban planning for the cities affected by destructive events. The most important lessons from Mostar, Kabul and Banda Aceh are related to foreign financial assistance, Coordination between local and foreign stakeholders and local participation. Suitable urban planning for post-destructive events needs to adopt the proper measures to narrow down the opportunities of directing the foreign fund to improper directions. Appropriate measures are needed to extend the period of foreign financial assistance. Local stakeholders should prepare for the early departure of foreign partners. Local communities should be helped to express their needs and opinions right from the early stage of planning. Continuous and efficient coordination helps in avoiding various contradictions between stakeholders and as a result, contributes to the success of planning and development.

8 CONCLUSION Urban planning can lead the recovery efforts in the aftermath of the destructive events. In the last three decades its role is still marginal; either absent, ineffective such as the case of Kabul or hindered by shortcomings as it is in the case of Banda Aceh and Mostar. Sustainable urban planning to cope with the pulsar effects is different from the known traditional planning approaches. It consists of four stages: pre-event, emergency, and transitional and recovery. In the first two stages after the disaster, the Planning process mainly takes the form of a sequence of decisions. It tends to be similar to normal planning in the last stage. One of the key factors of the planning success is to learn lessons from earlier experience in other cities and transform this learning into innovative planning initiatives. The key lessons revolve around foreign funds and expertise as the Kabul experience shows, coordination between stakeholders as seen in Mostar and Kabul and local participation as the three case study revealed. The conceptual framework developed here is a step forward towards supporting the role of urban planning. Some refinements may be needed. This framework will hopefully, help in developing the perfect planning approach for post destructive events recovery.

9 AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

10 REFERENCES Bluesci. (2011). Small-Scale Earthquakes Hit Britain. Cambridge University Science Magazine, http://bluesci.wordpress.com/2011/01/26/small-scale-earthquakes-hit-britain-2.

Accessed March 2019.

Calame, J. (2005). Post-war Reconstruction: Concerns, Models and Approaches. Macro Center

12

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

Working Papers, Paper 20. http://docs.rwu.edu/cmpd_working_papers/20 Accessed March 2019.

Cherry, G.E. (1990). Reconstruction: Its Place in Planning History in Diefendorf, Jerry M., ed.

Rebuilding Europe's Bombed Cities. London: The MacMillan Press Ltd. CNN. (2017). Syrian Civil War Fast Facts. CNN Library, accessed on 1/8/2017 at: http://edition.cnn.com/2013/08/27/world/meast/syria-civil-war-fast-facts/index.html.

Cuny, F.C. (1983). Disasters and Development. New York: Oxford University Press.

Curwell S., Deakin M., and Lombardo P. (2005). The BEQUEST framework: a vision and methodology, in Curwell S., Deakin M. and Lombardo P. (Eds.). Sustainable Urban Development, 1, 19-42.

Eissa, M. (2015). Análise do ciclo de vida usando Lourenço modelo Caso da cidade de Damasco (1960-2015). Master's thesis, Universidade do Minho Escola de Engenhari.

EU

Commission. (2017). Turkey Refugees’ Crises. ECHO Factsheet http://ec.europa.eu/echo/files/aid/countries/factsheets/turkey_syrian_crisis_en.pdf Accessed March 2019.

Turkey.

Feenstra, A. (2016). Inclusive Urban Design. Planning and Post-Conflict Cities Symposium TU Delft.

Proceeding, http://postconflictplanning.com/wp-content/uploads/2017/02/Proceedings-V7.pdf Accessed March 2019 French, M. (2016). The State of Afghan Cities Harnessing Urbanization as Driver of Development.

Planning and Post-Conflict Cities Symposium Proceeding, TU Delft.

Galdieri, E. (1986). General Criteria for the Reconstruction of Historical Sites in Iran Damaged by the War. International Conference on Reconstruction of War-Damaged Areas, University of Tehran, Iran.

GoiRA. (2015). The State of Afghan Cities 2015. The Government of Islamic Republic of Afghanistan Kabul.

Hamdi, N., Goethert, R. (1997). Action Planning for Cities. John Wiley & Sons.

ICG. (2000). Reunifying Mostar: opportunities for progress. International Crisis Group.

Kammeier, H.D. (2002). Coping with ‘pulsar effects’ in the context of sustainable urban development: Towards a conceptual framework. Urban planning and the ‘pulsar effect’: Coping with peaks, troughs and repeats in the demand cycle 38th ISOCARP Congress, Athens.

Kates, R. W., & Pijawka, D. (1977). From rubble to monument: the pace of reconstruction.

Reconstruction following disaster, 1, 1-23.

Kolhatkar, S., Ingalls, J., Barsamian, D. (2011). Bleeding Afghanistan: Washington, Warlords, and the Propaganda of Silence. Seven Stories Press.

Meilianda, E. et al. (2017). Assessment of post-tsunami disaster recovery of Banda Aceh city of Indonesia as window of opportunities for sustainable development. IOP Conf. Series: Earth and Environmental Science, 56, 012019.

Minnery, J. (2007). Stars and Their Supporting Cast: State, Market and Community as Actors in Urban Governance. Urban Policy and Research, 25(3): 325-345 *Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

13

Navidi, F. and Andalib, A. (2013). Social Issues in Post-Disaster Reconstruction Planning.

International Journal of Architecture and Urban Development, 3(1), 39-44.

Nieuwenhuis, O., Salva, I., Alberts, J. (2011). Sustainable, post-tsunami restoration of Aceh-Indonesia.

Climate of Coastal Cooperation II-4-1. http://www.coastalcooperation.net/part-II/II-4-1-f.pdf. Accessed March 2019.

Pallardy, R. (2017).

Haiti Earthquake 2010. https://www.britannica.com/event/Haiti-earthquake-of-2010

Encyclopedia

Britannica.

Pardede, T., & Tetsuo, K. (2007). Planning for Post-Disaster Recovery: Lesson from Aceh post-Tsunami Recovery. The 6th Asian City Planning, City Planning Institute of Japan, Tokyo. http://rdarc.itakura.toyo.ac.jp/webdav/ask/public/ACP2007/togu.pdf.

Accessed March 2019.

Robert, G. (1991). Long-Term Consequences of Disasters: the Reconstruction of Friuli, Italy in its International Context. New York: Springer-Verlag.

Sipus,

M. (2014). Post-Conflict Reconstruction Is Dead. Smart Cities Dive. http://www.smartcitiesdive.com/ex/sustainablecitiescollective/post-conflict-reconstructio n-dead/240001 Accessed March 2019.

Smith, G. (2013). Planning for Post-Disaster Recovery: A review of The United States Disaster Assessment Framework. Island Press, USA. Sofyan, A. (2012). The Strategic Planning of Post-Disaster Reconstruction (a Case Study of Banda Acehâ&#x20AC;&#x2122;s Reconstruction). International Journal of Sustainable Development, 03(12), 97-106.

Suri, S.N. (2012). Two cities with no soul: Planning for division and reunification in post-war Mostar.

Planning in Post-War Mostar.

48th ISOCARP Congress 2012. http://docplayer.net/36375411-Two-cities-with-no-soul-planning-for-division-and-reunificat ion-in-post-war-mostar.html Accessed March 2019.

Suri, S.N. (2016). Post in Conflict. Planning and Post-Conflict Cities Symposium Proceeding, November 2015, TU Delft.

The World Bank. (2012). Indonesia: A Reconstruction Chapter Ends 8 years after the Tsunami. http://www.worldbank.org/en/news/feature/2012/12/26/indonesia-reconstruction-chapter-en ds-eight-years-after-the-tsunami. Accessed March 2019.

UN-Habitat III. (2016). The New Urban Agenda. Habitat III Web Site. http://www.habitat3.org Accessed March 2019.

UN-Habitat. (2007). Inclusive and Sustainable Urban Planning: A Guide for Municipalities. UNON Publishing, Kenya.

Vale, L., Shamsuddin, S., & Goh, K. (2014). Tsunami+ 10: Housing banda aceh after disaster. Places Journal, 1-8.

Vebry, M. (2009). Building Versus Planning: Case Studies of Post-Tsunami Reconstruction in Aceh and Sri Lanka. A working paper.

Wikipedia. (2017). Kabul. http://en.wikipedia.org/wiki/Kabul Accessed March 2019.

Wikipedia.

(2017).

Casualties of the Syrian civil War. http://en.wikipedia.org/wiki/Casualties_of_the_Syrian_Civil_War. Accessed March 2019.

Yarwood, J. (1999). Rebuilding Mostar: Urban Reconstruction in a War Zone. Liverpool University Press.

14

Z.Alcheikh M.Awad, M.Binti Md Dali, N.Adha B. Nordin

Yarwood, J. (2010). Urban planning After War, Disaster and Disintegration: Case Studies.

Cambridge Scholars Publishing, UK. Yuzal, H., Kim, K., Pant, P., Yamashita, E. (2015). Tsunami Evacuation Buildings (TEBs) and Evacuation Planning in Banda Aceh, Indonesia.

(No. 15-4582). http://docs.trb.org/prp/15-4582.pdf. Accessed March 2019.

Dr. Melasutra Md Dali (AP) is a Lecturer of Urban and Regional Planning, Faculty of Built Environment, University of Malaya. She holds a PhD from University of Melbourne, Australia, in Urban Planning. She is Deputy Dean for Post Graduate Programme of Faculty of Built Environment. UM.

Dr.Nikmatul Adha obtained her first and second degrees in Urban and Regional Planning from Universiti Sains Malaysia. She was awarded a Doctoral degree from USM in Social and Physical Planning. Her research interest is in Participatory Urban Planning, Tourism Planning and Community Development.

Dr.Zakaria Alcheikh Mahmoud Awad is a Senior Lecturer at the Department of Urban and Regional Planning, University of Malaya, Malaysia. He received his Bachelor of Architectural Engineering from Al-Ba'ath University, Syria. He got his Master's and PhD Degrees in Urban Planning and Design from SPA, India. His interest areas are Sustainable Urban Planning, Conservation and Design, Future Cities, and Spatial Planning.

Note: The original of this article was reviewed, accepted, and presented at the 4th International Conference-Workshop on Sustainable Architecture and Urban Design (ICWSAUD2019) conference held in Penang, Malaysia during 24-26 June 2019.

*Corresponding author (Z.Alcehikh M.Awad). Tel: +60-1133270034. Email: zakaria2009@um.edu.my Š2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12N http://TUENGR.COM/V10A/11A12N.pdf DOI: 10.14456/ITJEMAST.2020.239

15

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12O

AN INTRODUCTION OF PRODUCT QUALITY COSTS INTO AN ENTERPRISE ACCOUNTING SYSTEM 1

2

Margarita Manichkina , Elena Popova , 3 1 Vasiliy Tkachenko , Lorina Vasileva 1

Department of Economics and Finance, Financial University under the Government of the Russian Federation, Krasnodar, RUSSIA. 2 Department of Information Systems, Kuban State Agrarian University, RUSSIA. 3 Department of Computer Technology and Systems, Kuban State Agrarian University, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 30 March 2020 Received in revised form 18 May 2020 Accepted 09 June 2020 Available online 23 June 2020

Studies conducted in Russian organizations of various industries, allowed us to offer the following classification of costs for quality: prices for maintaining quality; quality improvement costs; expenses for the development of new recipes, technologies, product names. In this case, only decapitalized fees are considered. It proposed to organize accounting of quality expenses in a separate collection and distribution account with the allocation of certain items: "Quality maintenance costs"; "Costs to improve quality"; "Costs for the development of new formulations, technologies, product names".

The authors proposed a multilayer hierarchical methodology for classifying and organizing the accounting of costs for quality, which consists of several stages and accounting procedures that are consistent with the characteristics of activities and the product life cycle. All steps of the proposed system of accounting for costs of quality include the allocation of types of products (product groups), their life cycle (current production, reduction, development of new ones), types of activities (supply and procurement, production, marketing). It should have been noting that the stages in the construction of an accounting system can expand, taking into account the type of organization of enterprises, real business situations, and other specific conditions. The above methodology for organizing the generalization and distribution of quality costs can serve as the basis for the development of new methods for their planning and analysis. It creates an opportunity to determine the effectiveness of investing in quality costs by comparing investments with an increase in price or sales.

Keywords: Accounting procedures; Product quality; Development costs; accounting, Product life cycle; Accounting policies; Taxation.

Disciplinary: Business and Accounting, Product Development. ©2020 INT TRANS J ENG MANAG SCI TECH. *Corresponding author (M.Manichkina) Email: segwan@rambler.ru ©2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12O http://TUENGR.COM/V11A/11A12O.pdf DOI: 10.14456/ITJEMAST.2020.240

1

1. INTRODUCTION One of the complex methodological issues in the development of a cost accounting system at enterprises is the allocation of costs associated with the quality of output from the total cost of production and marketing of products. It is determined by the fact that the composition of the costs for ensuring the quality of products required by the consumer and the state is different in each organization. The lack of a methodological basis for determining the composition and organization of accounting for these expenses led to the fact that enterprises either completely ignore their allocation, or establish their nomenclature, which in many cases is not analytical and does not allow to draw reasonable conclusions about their required value, investment volumes, as in the industry context, and for the specific technology used by a particular enterprise.

The next point, causing increased attention to the need for separate accounting of expenses for ensuring the quality of products, is a significant increase in this type of expense, which is caused by the emergence and existence of a competitive environment. The product quality indicator, along with the price level and the assortment of output, is a determining factor in the company's positioning on the market. Based on the inevitability of participation in the competition, organizations are forced to invest in measures to maintain quality, to improve the quality characteristics of products, the development of new types of products and other market segments. The recommendations of the European Organization for Quality Control [3] noted that for the company to succeed in the competition, it needs to spend 15-20% of the total production costs on quality, and at the time of the organization's establishment, 30-35%.

The circumstances outlined identified the need to develop a methodology for accounting for costs of product quality that meets the regulatory accounting system and the requirements of internal consumers of information.

2. MATERIALS AND METHODS To solve the problem, it is proposed to use the following multilayer hierarchical methodology, which consists of several stages and accounting procedures that are consistent with the characteristics of activities and the product life cycle (Figure 1).

All stages of the proposed system of accounting for costs of quality include the allocation of types of products (product groups), their life cycle (active production, reduction, development of new ones), types of activities (supply and procurement, production, marketing). The proposed stages of building an accounting system can be expanded to take into account the type of organization of enterprises, real business situations, and other specific conditions. However, in any case, such additions should not violate the architecture of the model. The implementation of these steps requires detailed disclosure of their content.

3. RESULTS AND DISCUSSIONS Stage 1. The development of the architecture of the model for accounting for costs of product quality consists of several blocks of procedures.

When grouping types of products, in addition to the recommendations of the tax authorities, we used the accounting approach of matching income and expenses within the reporting period. The proposed grouping allows you to agree on the construction of analytical accounting of finished

2

M. Manichkina, E. Popova, V. Tkachenko, L. Vasileva

products and the allocation of costs to ensure the quality established by the standards for the same analytical groups.

Figure 1: The main stages of developing a system of accounting for the product quality costs To establish the stages of the life cycle, it is necessary to conduct a dynamic and trend analysis of the actual release and sales by product names, the results of which must be compared with the conclusions of marketing. Differentiation of costs for quality not only by product groups but also by stages of their life cycle makes it possible to isolate the costs of maintaining established quality, improving the quality characteristics of products that have reduced demand, preparing and mastering new formulations, and types of products. The block of procedures for differentiating expenses by stages of the life cycle will serve as the basis for establishing the composition of expenses and their classification (Table 1).

Table 1: Blocks of procedures of accounting for quality cost and their characteristics Procedure Blocks

Procedure content

Product grouping

Choice of grouping features and grouping

Establishment of the stages of the product life cycle

Analysis of production volumes: active production, reduction, preparation, and development Development of criteria for the allocation of costs for quality in the supply and procurement, production, marketing activities

Allocation of cost centers

Limitations Recommendations of the Federal Tax Service of Russia Marketing research of demand and product promotion segments The proportion of quality costs in the total cost; the possibility of documenting and isolation in accounting

*Corresponding author (M.Manichkina) Email: segwan@rambler.ru Š2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12O http://TUENGR.COM/V11A/11A12O.pdf DOI: 10.14456/ITJEMAST.2020.240

3

The development of criteria for the allocation of expenses at the places of their occurrence should include a planned level of the materiality of these types of expenses, the possibility of providing separate documentation, and on this basis, allocation in accounting. The block of procedures for identifying places of occurrence of expenses limited by the designated types of internal activities of organizations creates the prerequisites for documenting the emerging costs of quality, the economic content of which is determined by these types of processes. This should be used in the preparation of cost estimates for quality, budgeting of the total costs of units, when assessing the contribution of each structural unit to the quality management system.

Stage 2. Classification of costs associated with product quality. The purpose of the classification of costs for quality is to obtain the necessary and reliable information about the composition and magnitude of these costs, as well as to simulate their transformation in connection with a change in the life cycle of products and the development of new types and technologies of cooking.

There is no consensus in the world and domestic economic literature on the grouping of expenses related to quality, the content of their itemized nomenclature, the procedure for recognition in accounting, and their reflection in financial and managerial reports. Two approaches can be distinguished: product orientation; quality assurance activities and evaluation of its results.

We emphasize that most economists adhere to the classification proposed by the American scientist Feigenbaum [5] and called PAF (according to the first letters of the three groups of costs for quality (Prevention, Appraisals, Failure), he divides all the costs of quality assurance into three groups (Figure. 2).

Figure 2: Classification of costs for quality assurance according to Feigenbaum (1986).

Not considering it possible in the methodology to analyze the accepted classification of quality costs used by Feigenbaum (1986), we indicate that we share his approach to determining the types and contents of quality costs. Japanese experts are considering the choice of the basis for classifying the costs of quality [4]. They laid the basis of classification for the principle of utility in activities related to quality, dividing them into only two groups: useful costs, i.e. cost of conformity prevention; Losses - the cost of the assessment and the costs associated with the marriage (cost of conformance).

The calculations of the costs of quality assurance are, by this approach, the determination of the cost of work, the purpose of which is to reduce the total cost by increasing the cost of measures to prevent non-compliance and defects. The effectiveness of activities aimed at quality is determined by comparing costs with costs (useful costs are compared with useless ones), and not costs with revenues. It seems to us that this approach can be qualified as "managerial," it allows us to evaluate measures to prevent the appearance of defects at the stage of their development and planning and to analyze the actual costs of fixing the marriage or writing off the cost of the final marriage. At the same time, any activity related to quality cannot be separated from products, including changing (mastering) new technologies.

Officially in Russia, consideration of the issue of allocation of actual costs of quality was paid

4

M. Manichkina, E. Popova, V. Tkachenko, L. Vasileva

attention in the 90s of the XX century by the publication of the State Committee for Standardization, Metrology, and Certification of the Recommendations for determining the cost of ensuring product quality "R-50-601-31-92", by which it is recommended to separate them from other expenses of organizations to justify decisions regarding measures to ensure product quality.

Among domestic scientists, there is also no consensus on the classification of quality costs. It is proposed from two grounds for classifying expenses to ten. However, the classification focused on calculating the cost of products, determining its changes as a result of measures to ensure the quality of products, has not been given due attention and there are practically no recommendations on how to allocate such expenses in accounting. Two extremes are noted - the first one consists of an overly expanded list of costs for quality, the second - on the contrary, involves the use of limited nomenclature.

The identification of costs of product quality and the development of their classification are associated with certain difficulties: dispersal across many accounts and articles of the current nomenclature of analytical accounting of production costs, the multiplicity of cost centers, the lack of guidelines for the procedure for separate reflection of quality costs in the current planning and accounting system and calculation, insignificant distribution at the Russian enterprises of international standards ISO 9004-2015.

Studies conducted in organizations of various industries, allowed us to offer the following classification of costs for quality: costs for maintaining quality; quality improvement costs; expenses for the development of new recipes, technologies, product names. In this case, only decapitalized expenses are considered.

Each of the groups includes economically homogeneous expenses. The proposed approach allows us to delimit expenses between reporting periods. Thus, the costs of maintaining quality will always be expenses of the current period, since they are associated with the actual release of products (Figure. 3).

Figure 3: Proposed classification of quality costs.

Even though the costs of improving the quality are also associated with the actual release of specific products, they can be attributed both to expenses of the current period and expenses of future periods, depending on the adopted accounting policy and tax rules. In turn, the costs of developing new recipes, products, and technologies are most logical to attribute to deferred expenses. The rationale for this assumption can be a short development cycle for recipes and products, a flexible production process, focused on accelerated change in the range of production. Concerning the costs of mastering new technologies, it should be said that at this stage of the life of the product they can be significant and therefore it is more expedient to attribute them also to the expenses of future periods.

Stage 3. Budgeting of expenses on the quality of products is necessary to establish the direction of investment of funds and resources, make decisions on the optimal choice of the assortment of *Corresponding author (M.Manichkina) Email: segwan@rambler.ru Š2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12O http://TUENGR.COM/V11A/11A12O.pdf DOI: 10.14456/ITJEMAST.2020.240

5

output, as well as calculate cost estimates for activities and divisions. When designing the costs of quality, we consider it appropriate to develop a separate budget, taking as a basis for the planned activities and the proposed cost structure. Budgeting should help to find reserves of product quality, to monitor the effectiveness of spending.

Stage 4. Documentation of the quality costs incurred, recognized in accounting, is possible subject to the division of responsibilities for the implementation of activities related to product quality between structural units and the establishment of responsibility for the consumption of resources within the approved budget amounts. In this case, it is necessary to develop projects of organizational and technical measures for quality with a grouping of certain types of work by type of activity (supply, procurement, technological stages of production, marketing) and structural production units (responsibility centers).

Most of the arising costs of quality are relatively easy to document with the usual documents of the primary accounting system and can serve as a source of information for operational and accounting types of accounting. Articles such as the consumption of raw materials, materials, semi-finished products (own production and purchased), finished products used for quality control processes are standardized and are currently being formalized with documents unified for the industry. Depreciation of equipment of control laboratories, depreciation of special tools, and special devices should be made out in separate accounting calculations. As well as the costs of certification of products, training of technologists and supervisors, improving their skills. Technological calculations confirm the data on the consumption of resources for the development of new recipes, products, and technologies, attached to the production reports of responsibility centers.

To obtain reliable and complete information about the cost of quality for each of the three analytical articles, it is advisable to fix a separate code of expenses. In this case, when computer processing information, it becomes possible to rearrange the data of primary documents.

Stage 5. The generalization of quality costs in accounting registers according to classification features is a set of procedures for collecting, registering, and recording on the accounting accounts integrated data from technological documentation, operational documents, magazines, and production reports into a special accounting register (Figure 4). Like any system, information processing processes for internal consumers have their technological sequence.

Even though quality issues have been considered in regulatory documents and economic literature for a long time, it is believed that in accounting the problem of identifying such expenses has long been resolved. Meanwhile, in the accounting system, the costs of quality assurance are reflected together with other components (Figure. 4).

Figure 4: Model for summarizing quality cost information.

6

M. Manichkina, E. Popova, V. Tkachenko, L. Vasileva

In principle, agreeing with those economists who propose that these costs be taken into account on a separate account, we propose to build cost accounting on a separate free collection and distribution 27 "Quality costs" with sub-accounts open to this account: "Quality maintenance costs"; "Costs to improve quality"; "Costs for the development of new formulations, technologies, product names." Analytical positions for subaccounts can be opened in the context of activities and divisions, by type of product, by measures taken and expense items. In general terms, the scheme for reflecting the costs of quality is shown in Figure 5. Disclosure of information on the costs of ensuring the established quality for the year, their composition and percentage of the total cost of the issue should be reflected in the explanatory note to the annual report in the form of a statement that decrypts the article-by-budget content and additional costs.

Figure 5: A multi-level diagram of the structure of sub-accounts to the account "Quality expenses".

Separate reflection of quality costs creates the possibility of rationing, budgeting, monitoring the implementation of planned activities and estimates, as well as determining the effectiveness of the measures taken through a comparative analysis of the state of the product on the market Stage 6 "Distribution of expenses on quality" is devoted to the delimitation of groups of expenses between reporting periods following the fact of temporary certainty and priority of content over the form, between individual types of products. Using the above requirements and assumptions, it is proposed to distribute in two stages (Figure. 6).

Figure 6: General scheme of the distribution of quality costs between reporting periods and groups of products. *Corresponding author (M.Manichkina) Email: segwan@rambler.ru Š2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12O http://TUENGR.COM/V11A/11A12O.pdf DOI: 10.14456/ITJEMAST.2020.240

7

At the first stage of calculations, the distribution of costs on quality between reporting periods is carried out following the norms of the accounting policy of the organization. Moreover, each article of all three sub-accounts opened by type of activity and responsibility center is considered following its economic nature, which allows you to determine the period to which they relate and the procedure for their inclusion in the cost of products. As a result, after the first stage of distribution, the registers are formed in the required format, which makes it possible to compare the final data of the accounting registers with the recognized amounts of expenses in tax accounting.

At the second stage of the distribution of costs for quality, further redistribution of costs by product groups is carried out. Direct costs are directly attributable to the cost of product groups, to maintain and improve the quality of which the plan has been implemented. Indirect - (the costs of improving the quality management structure, etc.) are distributed in proportion to the selected base, which should be justified and recorded in the accounting policy. It is proposed to distribute the costs of maintaining quality in proportion to the volume of production. Costs for improving the quality can be qualified as direct since they arise during activities to improve the quality characteristics of specific types or groups of products. It is advisable to extend this technique to the costs of developing new recipes and technologies.

Stage 7. Monitoring the implementation of estimates of the costs of product quality. This stage of the general methodology for accounting for quality costs consists of numerous control procedures and requires a similar budgeting and accounting system, except for the use of a different classification. To establish the responsibility of managers for the cost of quality and determine the effectiveness of the measures taken, the costs must be reorganized into two groups: controlled and uncontrolled.

Typical control procedures and the sequence of their implementation are present.ed as follows: - verification of the correct identification, measurement, documentation of actual costs of quality in the context of our proposed classification of articles by type of activity and units; - studying the data of signal documents, technological calculations in case of excess consumption of a resource, finding out the reasons for the appearance of negative deviations; - determination of deviations of actual costs of quality from the amounts provided for in the estimates; - comparison of actual indicators for different periods with reference values; - calculation and analysis of the dynamics and structure of quality costs; - monitoring the profitability of each product.

3.1 APPLICATION OF THE PROPOSED ACCOUNTING METHODOLOGY The developed methodology for organizing cost accounting for quality tested at the distilleries of the Krasnodar Territory and the city of Smolensk (Bakhus OJSC, Smolensk, Fortuna LLC, Timashevsk, Krasnodar Region). Studying the practice of existing enterprises indicates that they don't do the accounting and analysis of such costs due to the lack of organization of their separate planning and accounting. They have not systematized and dispersed in different respects. It leads to the fact that the possibilities of using information about the costs of quality for solving problems of rational spending of resources are not fully used, which complicates their analysis.

In many economic sectors, including organizations producing and selling ethyl alcohol, alcoholic and alcohol-containing products, the resources consumed have a broad spectrum. That is, some costs have not yet been adequately reflected in accounting. Either the composition of economically similar

8

M. Manichkina, E. Popova, V. Tkachenko, L. Vasileva

values is blurred by elements, or presented in an integrated form. The quality of the final product for the production of alcohol, alcohol-containing, and alcoholic products depends not only on the quality of drink but also on the water, feedstock, auxiliary materials. Therefore, it is especially advisable to allocate costs for quality at such stages as preparatory, primary, final - in alcohol production, alcohol preparation and storage, and water preparation - in the production of vodka.

Table 2: Financial results of Bacchus OJSC before and after implementation of the proposed methodology Indicators Revenues, thousand rubles Cost of sales, thousand rubles Gross profit, thousand rubles Selling expenses, thousand rubles Administrative fees, thousand rubles Profit from sales, thousand rubles Other income, thousand rubles Additional costs, thousand rubles Profit before tax, thousand rubles Current income tax, thousand rubles Change in deferred tax liabilities, thousand rubles Change in deferred tax assets, thousand rubles Other, thousand rubles Net profit (loss), thousand rubles Return on sales profit from sales, % Return on sales calculated on gross profit (gross profit margin), % Return on sales calculated on net profit (profit margin after-tax), %

2019 Đł.

526404 499023 27381 10551 7496 9334 9 286 9057 1860 -31 44 377 7587 1.77 5.2 1.44

Project 555540.46 522013 33527.46 10551 7496 15480.46 9 286 15203.46 3089.29 -31 44 377 12504.17 2.79 6.04 2.25

Absolute deviation (+,-) 29136.46 22990 6146.46 0 0 6146.46 0 0 6146.46 1229.29 0 0 0 4917.17 1.01 0.83 0.81

The methodology for organizing quality expenses proposed and tested at Russian enterprises made it possible to more fully take into account the specifics and features characteristic of organizations engaged in the production of ethyl alcohol and alcohol products in current conditions.

4. CONCLUSION The use of control procedures in the system of accounting for costs on quality can significantly increase the efficiency of resource use, more accurately determine the profitability of each product, and develop an optimal assortment structure. Thus, the problem identified by us of the need to allocate quality costs using accounting is relevant for any industry in the conditions of market relations. Measures to improve the quality indicators of products, ensure the quality level specified in the normative and technical documentation, develop new formulations, technologies, and types of products caused other expenses that were different from ordinary types of activity and determined the need to distinguish them depending on the economic nature of this type of expenses.

The presented methodology for organizing the generalization and distribution of quality costs can serve as the basis for the development of new methods for their planning and analysis. It creates an opportunity to determine the effectiveness of investing in quality costs by comparing investments with an increase in price or sales.

5. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors *Corresponding author (M.Manichkina) Email: segwan@rambler.ru Š2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12O http://TUENGR.COM/V11A/11A12O.pdf DOI: 10.14456/ITJEMAST.2020.240

9

6. REFERENCES [1] Adamenko A.A., Manichkina M.V. Classification of costs associated with product quality on the basis of their transformation in connection with changes in the product life cycle. Bulletin of the Academy of Knowledge, 2018, 3(26):287-292.

[2] GOST R ISO 9000-2015. Quality Management Systems. The main provisions and the dictionary: M. StandartInform, 2019, 26.

[3] European Foundation for Quality Management. https://logistics.ru/management/news/evropeyskiy-fond-po-upravleniyu-kachestvom.

May 2019.

2019.

Accessed

[4] Ishikawa K. Japanese methods of quality management. Abbr. Trans. with English. Economics, 1988.

[5] Feigenbaum A. Product quality control: Per. from English Feigenbaum. Economics, 1986, 470.

Margarita Manichkina is an Associate Professor, Department of Economics and Finance, Financial University under the Government of the Russian Federation, Krasnodar. She is a Candidate of Economic Sciences. Her research interests are Analysis of Industry-specific Features of Cost Accounting, Implementation of IFRS in Russian Commercial Organizations.

Professor Dr.Elena Popova is with Department of Information Systems, Kuban State Agrarian University, RUSSIA. She holds a Doctor of Economics. Her research interests are the Development of Economic and Mathematical Apparatus and Integrated Techniques based on the Optimization and Adaptation of Existing Methods, Models, Techniques and Software Complexes.

Vasiliy Tkachenko is Associate Professor, Department of Computer Technology and Systems. He is a Candidate of Economic Sciences. His research interests are Stream and Investment-resource Models and Agricultural Management Methods

Professor Dr.Lorina Vasileva is with Department of Economics and Finance, Financial University under the Government of the Russian Federation, Krasnodar.. She holds a Doctor of Economics. Her research interests are Problems of Efficient Use of the Production Potential of Food Industry Enterprises

10

M. Manichkina, E. Popova, V. Tkachenko, L. Vasileva

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12P

QUALITY OF WORK LIFE OF EMPLOYEES IN CORPORATE SECTOR OF INDIA B P Mahesh 1

1*

, T S Nanjundeswaraswamy

1

Department of Mechanical Engineering, JSS Academy of Technical Education, Bangalore, 560060, INDIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 20 March 2020 Received in revised form 22 May 2020 Accepted 03 June 2020 Available online 24 June 2020

This research work is an effort to study the status of Quality of Work Life (QWL) of employees working in the corporate sector and to explore the impact of demographic elements on QWL. A survey was conducted for 277 employees in the corporate sector of India. Through the EFA and CFA, the instrument is validated and analysis is conducted.

Keywords: Six QWL important factors are obtained, including Compensation, Quality of Work Life Social integration, Work environment and freedom, Growth and security, (QWL); EFA; CFA; Training and development programs, and Work-life balance. This study Work environment and freedom; Compensation; revealed that more than half of the surveyed employees satisfied with the Work-life balance; Social current status of QWL and also that demographical factors do not impact the QWL of employees. integration; Growth and security; Training and development programs.

Disciplinary: Management Science. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Quality of Work Life (QWL) can be defined in various ways. QWL of employees is the subset of the broad, concept of quality of life. QWL is industrial democracy that promotes the participative management style in the decision-making procedure. For managers and administrators, QWL is a psychological aspect that leads to higher productivity. On the other hand, unions and workers defined it as the one that improves social relationships in the workplace. Nanjundeswaraswamy and Swamy (2013) defined QWL as a process of redesigning the job by considering employee as an asset and not as a liability.

As per the American Society of Training and Development (1979), QWL empowers all members to participate in shaping the organization’s environment, methods, and outcomes. Walton (1974) identified eight critical factors to quantify the QWL of employees namely, total living space, social relevance, well working environment, an opportunity for career development, career growth, constitutionalism, adequate and fair compensation. *Corresponding author (B P Mahesh). Email: bpmahesh@gmail.com ©2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12P http://TUENGR.COM/V11A/11A12P.pdf DOI: 10.14456/ITJEMAST.2020.241

1

2. LITERATURE REVIEW Researchers used various dimensions to gauge the employees' QWL. Nanjundeswaraswamy et al., (2013) considered nine important components to measure QWL namely, Job satisfaction and security, Work environment, Rewards and Compensation, Organization climate and culture, Cooperation and relationship, Autonomy of work, Facilities, Adequacy of resources, Training and development. The research revealed that the component ‘Adequacy of Resources’ is more correlated with employee QWL than other dimensions.

McHugh (1999) measured the QWL of pharmacists by using dimensions such as Career development opportunities, Job satisfaction, Patient care concern, and Turnover Intentions. The research explored that career development is strongly associated with QWL of employees.

Desselle (2005) quantified the level of QWL among USA certified pharmacy technicians by considering multi-factors and explored that QWL of employees is significantly associated with pay.

Nanjundeswaraswamy and Sandhya (2016) gave a new set of QWL components including Opportunities for Growth, Adequacy of resources, Adequate compensation, Leadership styles, Emotional Intelligence, Occupational stress, Attitude among employee, Facilities, Job responsibility, satisfaction and security, Nature of Work, Organizational commitment and culture, Relationship and cooperation, Training and Development, Work environment and Autonomy in work.

Nanjundeswaraswamy et al., (2013) opined that QWL involves an extensive range of components that influence employee performance.

Datta (1999) studied on QWL based on the human values approach, revealed that QWL is the Quality of Life of persons. Three QWL viewpoints were considered namely, subjective observation of QWL, human values approach, and some formal actions towards the enhancement of QWL. Nadler and Lawler (1983) suggested three important criteria for the successful implementation of QWL. They are an expansion of projects at various levels, transformation in senior management behavior, and modification in management systems and structure.

Zin (2004) researched to know the association between QWL and Organizational Commitment; used seven dimensions of QWL of Walton’s (1974) such as workplace integration, supervision, social relevance, physical environment, pay and benefit, participation, growth and development. Research reveals that career growth, pay, career development and benefits are significantly associated with organizational commitment of employees.

Marks et al. (1986) studied the association between Quality Circle programs and QWL of employees. The study explored that the direct involvement of employees in taking managerial decisions and problem-solving processes improves productivity and reduces absenteeism.

Sirgy et al. (2001) established a new measuring instrument for QWL by considering the need satisfaction and spillover theories; it includes many dimensions like actualization, aesthetic, esteem, health, safety, knowledge, economic, family needs, and social needs.

Noor and Abdullah (2012) researched QWL of employees working in Malaysian firms found that better QWL leads to enhanced well-being of the employees and society. Also, employee involvement; job security; job satisfaction has a strong relationship with QWL of employees.

Havlovic (1991) found that good QWL initiatives lead to a significant reduction in absenteeism, accidents and quits. Gani and Ahmad (1995) study considered four groups of factors like Financial Factors, Job Factors, Relational Factors and Working Environment Factors. The study explored that all the four group components are associated with QWL of employees.

2

B P Mahesh, T S Nanjundeswaraswamy

Through the extensive literature survey, it is recognized that a lot of researchers used various dimensions of QWL for its quantification. In this study, instruments from Swamy et al. (2015) were considered with nine QWL components. The research objectives are set to design and validate measuring instruments for QWL dimensions, to know the status of QWL of employees working in the corporate sector, and to know the association among demographic factors of employees QWL.

3. METHODOLOGY The research is survey-based using a structured questionnaire. Using the survey instruments, the responses were collected from employees of the corporate sector. The data was gathered from 300 employees using a structured questionnaire. Finally, 277 questionnaires were considered for the analysis after rejecting 23 invalid questionnaires. The collected data were analyzed using SPSS. This study considered Swamy et al. (2015) measuring instrument with nine QWL components viz., Work environment, Compensation and Rewards, Organization culture and organization climate, Relation and cooperation, Job satisfaction and Job security, Autonomy of work, Training and development, Facilities, and Adequacy of resources. The measuring instrument uses five-point Likert scales, 5 as strongly agree to 1 as strongly disagree. The instrument had the employees' demographic information section and a section with nine components consisting of 51 items.

To authenticate the measuring instrument Exploratory Factor Analysis (EFA), CFA was conducted, Discriminant Validity and Convergent Validity test was conducted.

3.1 DEMOGRAPHICAL PROFILE OF RESPONDENTS The demographic profiles of the Bangalore surveyed corporate respondents are categorized into seven types and are presented in Table 1 that is self-explanatory.

Table 1: Demographical profile of Bangalore respondents.

Sl. No. 1 2 3 4

5

6 7

Demographic Characteristics Male Gender of employees Female Graduate Employees educational qualification Post-grad Technical Nature of Job Non Technical 20 -30 Age 30 – 40 >40 0 - 4 years 4 – 8 years Employee Experience 8 - 12years >12years <10,000 Salary 10,000 – 20,000 >20,000 <100 Number of employees >100

Respondents 156 121 200 77 204 73 239 36 2 177 67 25 8 4 29 244 12 265

% of Respondents 56.32 43.68 72.20 27.80 73.65 26.35 86.281 12.996 0.722 63.90 24.18 9.03 2.89 1.444 10.469 88.086 4.33 95.66

3.2 CONVERGENT VALIDITY The Composite Reliability (CR) and Average Variance Extracted (AVE) show the convergent validity of the instrument. The value of CR and AVE must equal 0.7 or above to verify convergent validity. Table 2 shows all QWL measurement model six factors satisfy convergent validity. *Corresponding author (B P Mahesh). Email: bpmahesh@gmail.com ©2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12P http://TUENGR.COM/V11A/11A12P.pdf DOI: 10.14456/ITJEMAST.2020.241

3

Table 2: CR and AVE values.

Proposed QWL components 1. Compensation (D1) 2. Work environment and freedom (D2) 3. Growth and Security (D3) 4. Social integration (D4) 5. Training and development programs (D5) 6. Work-life balance (D6)

Composite Reliability 0.854 0.835 0.821 0.770 0.738 0.845

Average Variance Extracted 0.794 0.758 0.733 0.756 0.714 0.744

Figure 1: Measurement Model.

3.3 CONFIRMATORY FACTOR ANALYSIS CFA was conducted through SEM using AMOS software and the six factors of the QWL model were tested for validation, resulted in the same set of components and items. The QWL measurement model explored a sufficient fit as represented in Figure 1. The Chi-Square statistics (575.492) along with CMIN 1.938 which is less than 3. The indices Goodness of Fit Index (GFI) = .874, Adjust Goodness of Fit Index (AGFI) = .840, Bentler-Bonett Normed Fit Index (NFI) = .866, Incremental Fit Index (IFI) =.930, Comparative Fit Index (CFI) =.929 and Tucker-Lewis Index (TLI) = .917 are nearer to one and RMSEA = 0.058 is less than 0.08 and hence, all the model fit indices are within acceptable limit (Bentler, 1992; Bentler et al., 1987). The values are indicating a good model fit.

3.4 DISCRIMINANT VALIDITY The measure of discriminant validity is the distinctiveness of every item of the dimensions. If

4

B P Mahesh, T S Nanjundeswaraswamy

the square root of AVE of the dimension should be greater than its value of correlation, we can conclude that discriminant validity is acceptable Sosik, (2009). Table 3 indicates that the correlation values for all four factors are less than the square root of AVE values and hence, they confirm the discriminant validity.

Table 3: Test Statistics of Discriminant Validity Components D1 D2 D3 D4 D5 D6

D1 .891 .643 .598 .514 .674 -.185

D2

D3

D4

D5

D6

.870 .566 .576 .588 -.180

.856 .507 .594 -.148

.869 .530 -.194

.844 -.141

.862

4. ANALYSIS AND RESULTS 4.1 EXPLORATORY FACTOR ANALYSIS Nine important factors were considered and instruments were designed. To know the predominant dimensions and to reduce the number of items, EFA was conducted. To check sampling adequacy, the Kaiser-Meyer-Olkin test was conducted and the statistic was found to be 0.901 which is more than 0.6, thus it is in the acceptable region, see Table 4.

Table 4: KMO and Bartlett's Test.

KMO Measure of Sampling Adequacy Approximate. Chi-Square Bartlett's Test of Sphericity Degree of freedom Significance level

0.901 4146.525 351 <0.001

Table 5: Variance of extracted components Factors 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

sum 10.054 2.037 1.593 1.522 1.310 1.236 .980 .854 .735 .693 .610 .601 .511 .464 .429 .423 .399 .381 .336 .302 .293 .260 .225 .215 .196 .184 .154

Eigenvalues- Initial % Variance Cumulative % 37.237 37.237 7.545 44.783 5.901 50.684 5.638 56.322 4.851 61.173 4.579 65.752 3.630 69.383 3.163 72.546 2.723 75.269 2.568 77.837 2.260 80.097 2.227 82.325 1.893 84.217 1.718 85.936 1.587 87.523 1.567 89.090 1.480 90.569 1.410 91.980 1.244 93.224 1.119 94.343 1.086 95.429 .963 96.391 .834 97.225 .798 98.023 .726 98.749 .680 99.429 .571 100.000

sum 10.054 2.037 1.593 1.522 1.310 1.236

Extraction % Variance Cumulative % 37.237 37.237 7.545 44.783 5.901 50.684 5.638 56.322 4.851 61.173 4.579 65.752

sum 4.235 3.733 3.091 2.451 2.150 2.093

Rotation % Variance Cumulative % 15.683 15.683 13.826 29.509 11.448 40.957 9.079 50.036 7.963 58.000 7.753 65.752

*Corresponding author (B P Mahesh). Email: bpmahesh@gmail.com Š2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12P http://TUENGR.COM/V11A/11A12P.pdf DOI: 10.14456/ITJEMAST.2020.241

5

Table 6: Rotated Matrix Factor 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

Factor Item Salary (Q25) Adequate fair (Q24) Wage policies (Q12) Fair earning (Q39) Rewards (Q26) Fringe benefits (Q29) Working conditions (Q2) Decisions (Q10) Empowerment (Q6) Environment (Q1) Suggestions (Q8) Content (Q9) Secured (Q35) Resources (Q49) Communication (Q48) Security (Q38) Help (Q19) Friendliness (Q18) Harmonious (Q14) Belongingness (Q15) Efficiency (Q20) Relationships (Q21) Opportunities (Q22) Promotions (Q37) Demands (Q16) Personal care (Q3) Stress (Q45)

1 .757 .752 .714 .696 .689 .598

2

Component of six QWL factors 3 4

5

6

.725 .701 .672 .662 .661 .636 .751 .732 .726 .712 .748 .669 .657 .622 .706 .642 .624 .598 .805 .803 .800

Table 7: Summary of factor analysis.

Components 1. Compensation

2. Work Environment and Freedom

3. Growth and Security

4. Social Integration

5. Training and Development Programs 6. Work Life Balance

6

Quantifiable values Salary (Q25) Adequate fair (Q24) Wage policies (Q12) Fair earning (Q39) Rewards (Q26) Fringe benefits (Q29) Working conditions (Q2) Decisions (Q10) Empowerment (Q6) Environment (Q1) Suggestions (Q8) Content (Q9) Secured (Q35) Resources (Q49) Communication (Q48) Security (Q38) Help (Q19) Friendliness (Q18) Harmonious (Q14) Belongingness (Q15) Efficiency (Q20) Relationships (Q21) Opportunities (Q22) Promotions (Q37) Demands (Q16) Personal care (Q3) Stress (Q45)

B P Mahesh, T S Nanjundeswaraswamy

Weights .757 .752 .714 .696 .689 .598 .725 .010 .672 .662 .661 .636 .751 .732 .726 .712 .748 .669 .657 .622 .706 .642 .624 .598 .805 .803 .800

Eigenvalues

Variance

Accumulated

10.054

15.683

15.683

2.037

13.826

29.509

1.593

11.448

40.957

1.522

9.079

50.036

1.310

7.963

58.000

1.236

7.753

65.752

The EFA was conducted using SPSS software for item reduction using the PCA method with Varimax rotation. The result reveals that six important factors address the total variances of 65.7%.

Only Eigenvalues greater than one are considered for further analysis, see Table 5.

Principal Component Factor Analysis extracted six dimensions with twenty-seven items with item loadings more than 0.598 and above. Cronbach’s alpha value is 0.947 indicating the reliability of the instrument. The item-wise factor loadings for six QWL factors are shown in Table 6 and the summary of factor analysis is shown in Table 7.

From EFA, six QWL Components were extracted namely, Compensation, Work environment and freedom, Social integration, Training & development programs, Growth, security, and work-life balance. Further for validating these six QWL components, confirmatory factor analysis was performed.

4.2 STATUS OF QWL The QWL level among employees was determined based on summative scores of responses collected. The QWL score for the individual respondent was calculated by taking the mean of all responses for nine QWL factors consisting of 27 items. Further, the grand mean was considered by taking the mean of all the responses and this grand mean was considered to be the cut-off value for determining the level of QWL status.

According to Nanjundeswaraswamy et al. (2013, 2015); Jerome (2013), grand mean was considered as a cut-off score for the Likert scale. This study uses the grand mean as a cutoff score it was found to be 3.66. The employees with a score greater than the grand mean were categorized has satisfied. Table 8 shows the level of QWL of employees in the corporate sector.

Table 8: Status of Quality of Work Life.

QWL Status Satisfied Unsatisfied Total

No. of respondents 152 125 277

% of respondents 54.8 45.2 100

Among 277 employees surveyed from various IT companies, 152 (54.8 %) employees were satisfied and 125 (45.2 %) employees were not satisfied. Thus, it can be concluded that nearly half of the respondents are not satisfied with the present status of Quality of Work Life.

4.3 RELATIONSHIP BETWEEN QUALITY OF WORK LIFE OF EMPLOYEES AND DEMOGRAPHICAL FACTORS OF EMPLOYEES The relationship between demographical factors and the status of QWL was analyzed using the chi-square test. Seven demographic attributes namely, Gender of employees, Nature of work, Education, Experience of employees, Age, Number of employees, and Salary are considered for the analysis. The null hypothesis was defined to check the association among QWL and Demographic characteristics of employees and is represented in Table 9.

Null Hypotheses H0: Demographic factors do not have any impact on QWL. The chi-square analysis shows that χ²calculated < χ²Table for all the demographical factors and hence, it is inferred that all the considered demographic factors are not associated with the QWL of respondents working in the Corporate sectors (thus the null hypothesis is accepted). *Corresponding author (B P Mahesh). Email: bpmahesh@gmail.com ©2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12P http://TUENGR.COM/V11A/11A12P.pdf DOI: 10.14456/ITJEMAST.2020.241

7

Table 9: Chi-square analysis (NS = not significant).

Demographical factors

Gender Nature of Work Education

Experience (years)

Age (years) Number of employees Salary (INR/month)

Male Female Technical Non-technical Graduation Post-graduation 0–4 4–8 8 – 12 >12 20 – 30 30 – 40 >40 <100 >100 <10,000 10,000-20,000 >20,000

Status of QWL Satisfied Not satisfied 78 78 74 47 115 89 33 40 103 97 45 32 102 75 29 38 11 14 6 2 125 114 22 14 1 1 4 8 144 121 1 3 17 12 130 114

χ2 calculated Value

χ2 Table Value

Significance

3.426

3.84

NS

2.694

3.84

NS

1.077

3.84

NS

6.415

7.81

NS

0.985

5.99

NS

2.036

3.84

NS

1.616

5.99

NS

5. THE REGRESSION EQUATION FOR QWL The regression equation for QWL and its components, see Tables 10 and 11.

Table 10: Statistics of the ANOVA test Model

Sum of Squares Degrees of freedom Regression 164.039 6 1 Residual 126.719 270 Total 290.758 276 a. Dependent Variable: QWL b. Predictors: (Constant), D6, D5, D4, D3, D2, D1

Mean Square

F value

Significance

27.340 .469

58.253

<0.001

The regression equation is QWL = 0.225 + 0.273 D1 + 0.427 D2 + 0.407 D3 - 0.234 D4 + 0.147 D5 - 0.100 D6

(1)

Table 11: Model Statistics Model 1

Value R Value of R2 Adjusted R2 Standard Error .751a .564 .554 .685 a. Predictors: (Constant), D6, D5, D4, D3, D2, D1

From the regression equation (1), it is clear that the component ‘work environment and freedom’ contribute maximum (D2 coefficient 0.427) for achieving good QWL and the component ‘social integration’ contribute minimum (0.234). Work-life balance (D6) gives a small negative. The value of R2 that is 0.564 and p-value which is less than 0.001 indicates that QWL accounts for 56.7% deviation in the dependent variable.

6. CONCLUSION In the survey conducted among the 277 employees of the corporate sector in Bangalore, it is seen

8

B P Mahesh, T S Nanjundeswaraswamy

that only 54.8% of the employees are satisfied with the present status of QWL. From the demographical analysis conducted, it is observed that there is no relation between demographical factors and QWL. The CFA explored six components of the QWL measurement model with twenty-seven items and the validated factors are Compensation, Social integration, Training and development programs, Growth and security, Work environment and freedom, and Work-life balance. The six-factor measurement model revealed a good model fit with all model fit indices above the acceptable range. Through the regression analysis, it is recognized that the component ‘work environment and freedom’ contribute maximum (0.427) and the component ‘social integration’ contributes least to achieve the present level of QWL.

7. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding authors

8. REFERENCE Bentler, P. M. (1992). On the fit of models to covariances and methodology to the Bulletin. Psychological Bulletin, 112, 400-404.

Bentler, P. M., and Bonett, D. G. (1987). This week’s citation classic. Current contents, Social and Behavioral Sciences, 19, 16.

Datta, T. (1999). Quality of worklife: a human values approach. Journal of Human Values, 5(2), 135-145.

Desselle, S. P. (2005). Survey of certified pharmacy technicians in the United States: a quality-of-worklife study. Journal of the American Pharmacists Association, 45(4), 458-465.

Gani, A., & Ahmad, R. (1995). Correlates of quality of work life: an analytical study. Indian Journal of Industrial Relations, 1-17.

Havlovic, S. J. (1991). Quality of work life and human resource outcomes. Industrial Relations: A Journal of Economy and Society, 30(3), 469-479.

Jerome, S. (2013). A study on the quality of work life of employees at Jeppiaar Cement Private Ltd: Perambalur. International Journal of Advance Research in Computer Management Studies, 1(4), 49-57.

Marks, M. L., Mirvis, P. H., Hackett, E. J., & Grady, J. F. (1986). Employee participation in a Quality Circle program: Impact on quality of work life, productivity, and absenteeism. Journal of Applied Psychology, 71(1), 61.

McHugh, P. P. (1999). Pharmacists’ attitudes regarding quality of worklife. Journal of the American Pharmaceutical Association, 39(5), 667-676.

Nadler, D. A., & Lawler, E. E. (1983). Quality of work life: Perspectives and directions. Organizational dynamics.

Nanjundeswaraswamy T S and Swamy D R (2013) “Quality of work life of employees in private technical institutions”, International Journal for Quality Research Vol. 7(3) , pp 431-441 Nanjundeswaraswamy, T S and Swamy D R. (2015). Leadership styles and quality of work life in SMEs. Management Science Letters, 5(1), 65-78.

Nanjundeswaraswamy, T. S., & Sandhya, M. N. (2016). Quality of Work Life Components: A Literature Review. International Journal of Indian Psychology, 3(4), 12-36.

Nanjundeswaraswamy, T. S., & Swamy, D. R. (2013). Review of Literature on Quality of Work life.

International journal for quality research, 7(2), 201-214. *Corresponding author (B P Mahesh). Email: bpmahesh@gmail.com ©2020 International Transaction Journal of Engineering,

Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A12P http://TUENGR.COM/V11A/11A12P.pdf DOI: 10.14456/ITJEMAST.2020.241

9

Noor, S. M., & Abdullah, M. A. (2012). Quality work life among factory workers in Malaysia.

Procedia-Social and Behavioral Sciences, 35, 739-745.

Saklani, D. R. (2004). Quality of work life in the Indian context: An empirical investigation. Decision (0304-0941), 31(2).

Sirgy, M. J., Efraty, D., Siegel, P., & Lee, D. J. (2001). A new measure of quality of work life (QWL) based on need satisfaction and spillover theories. Social indicators research, 55(3), 241-302.

Swamy, D. R., Nanjundeswaraswamy, T. S., & Rashmi, S. (2015). Quality of work life: scale development and validation. International Journal of Caring Sciences, 8(2), 281.

Zin, R. M. (2004). Perception of Professional Engineers toward Quality of Worklife and Organizational Commitment: A Case Study. Gadjah Mada International Journal of Business, 6(3), 323-334.

Professor Dr. B P Mahesh is at the Mechanical Engineering Department, JSS Academy of Technical Education, Bangalore, Karnataka, India. His research includes Total Quality Management, Operations Management, Human Resource Management, and Organizational Behavior.

Dr. T S Nanjundeswaraswamy is an Associate Professor, Mechanical Engineering Department at JSS Academy of Technical Education, Bangalore, Karnataka, India. His research includes Probability and Statistics, Simulation Modeling, Operations Management, Human Resource Management, and Organizational Behavior.

Trademarks Disclaimer: All product names including trademarks TM or registeredÂŽ trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

10

B P Mahesh, T S Nanjundeswaraswamy

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12Q

HOW CHINESE MEDIA COVER THE INDO-PAK ANTAGONISM OVER KASHMIR ISSUE: CASE STUDY OF PEACE AND WAR JOURNALISM PRACTICE AND ITS NEXUS WITH FOREIGN POLICY 1*

1

Muhammad Aftab Madni Memon , Shen Hui , Salman Yousaf a b

2

School of Journalism and Communication, Shanghai University, CHINA. Institute of Banking and Finance, Bahauddin Zakariya University, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received: 02 March 2020 Received in revised form: 20 May 2020 Accepted: 15 June 2020 Available online: 22 June 2020

This study examines the tendency of preference and stance of China-based English newspapers in the view of peace journalism by framing analysis of Indo-Pak contention over the Kashmir issue in 2019.

Secondarily, this research determines the representation of India and Pakistan, based on recent situations in Kashmir. Two selected newspapers, Global Times and China Daily, published 266 news stories, and the results of their content analysis reveal that both newspapers practice more war journalism than peace while covering the tense situation of Kashmir.

Moreover, the Chinese press shows favorable slants to Kashmir and unfavorable slants to the Indian Government/military. Both newspapers exhibit neutral representation for Pakistan and India; however, Pakistan is portrayed more favorably and affirmatively than India. The salient representation of the “solution and dialogue-oriented” indicator under the peace journalism justifies the role of Chinese media and government as the peacemaker in the region.

Keywords: Peace Journalism; China’s policy on Kashmir; Chinese press; Pak-India conflict; News Framing; Role of media; Chinese newspaper; Media conflict coverage; War journalism frame.

Disciplinary: Multidisciplinary (Journalism and Mass Communication Sciences (Information and Media Sciences), Political Sciences (International Affairs/International Relations), Global Studies, Peace Study). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION World history is fraught with many conflicts around the world, and the roles of media while addressing these critical situations always finds its significance. Entman (1993) ascertained through framing research that the media behaves differently when reporting an identical story or matter.

Everyone has to rely on media coverage to get the latest disputed information. Whereas, media possess a fundamental characteristic that shapes the progression of events in war and peace (Lee, *Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

1

2010) by setting the agendas and framing the news stories (Cohen, 2015). Subsequently, the media becomes an efficacious ingredient in creating a public impression about conflicts and presenting the image of the relevant authority or country (Ramasubramanian & Miles, 2018; Zaheer, 2017).

Since 1947, Kashmir, a Muslim- dominant region, caused three wars between Pakistan and India. In 1949, the first India-Pakistan war had divided the Kashmir into two parts. However, due to the geostrategic realities of Pakistan’s Kashmir, it needs Pakistan to survive economically, physically and militarily, but this region also lacks integrity as a veritably autonomous existence (Zutshi, 2017). On the other side, for the last 72 years, Indian Kashmiris have been struggling for their sovereignty from India. Historically, in the United Nations (UN), Kashmir is the oldest unresolved issue. However, the dialogue between India and Pakistan over Kashmir has either proved fruitless or canceled several times (Bajpai, 2017).

In early 2019, a new phase of tension in Kashmir triggered when India blamed Pakistan for a suicide bombing in Kashmir’s Pulwama district, where 40 soldiers of the Central Reserve Police Force convoy were killed on 14 February 2019. In the same month, Indian fighting jets crossed the line of control, and Pakistan’s Air forces shot down two of its jets and arrested its pilot, who was later released. A few months later, the USA announced an intervention to encourage peace talks and resolve the Kashmir issue. However, shortly after that, India’s ruling party on 5 August revoked the Article-370 of its constitution that guaranteed special status to the Kashmir. The action created restive in Kashmir; because of this, thousands more troops were deployed to control any possible turmoil. Simultaneously, Kashmir was disconnected from the world by shutting down all sources of communication, including mobile and landline phones, Internet access, and cable TV (Schmall, 2019). Then, on 30 October, Delhi has formally canceled the semi-autonomous rule of the disputed state of Kashmir’s so that it could be fully integrated into India. However, it was subdivided into two federal territories Jammu & Kashmir and Ladakh, and now the region is subject to similar central laws as all other Indians.

Nowadays, the Kashmir issue gets significant coverage all over the world. Considering the substantial position of China, as an emerging power and its unique ties with India and Pakistan, it seems essential to examine the inclination and pattern of Chinese media over the coverage of Kashmir issue, which also shows its role in establishing peace between both countries. This study followed previous research patterns (Hussain, 2015; Hussain & Siraj, 2019; Neumann & Fahmy, 2015; Siraj, 2008, 2010; Zaheer, 2017) and adopted the peace journalism supported by framing theory. This combination had never before been exclusively applied to Chinese media while focusing on the Kashmir issue. Hence, this study fills the gap on the war/peace journalism.

Moreover, this study also considered being the first framing research of its kind, which analyses Pakistan and India’s representation regarding Kashmir’s issue, exclusively in the Chinese press.

This study’s research questions are RQ1: Does the Chinese press give coverage to Kashmir, and to what extent?

RQ2: What are the salient indicators in news coverage, and what frames among war and peace journalism are widely practiced?

RQ3: Which types of slants are used by China’s newspapers?

RQ4: How Chinese print media framed the representation of Pakistan and India?

2

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

2. LITERATURE REVIEW 2.1 WAR AND PEACE FRAMES IN MEDIA RESEARCH: It has been observed that it is human nature to lean towards one of the contestants while witnessing the conflict; therefore, news regarding disagreements, arguments, and acrimonies such as a conflict-related event receive more attention from its audiences (Forgette & Morris, 2006). The media may not have easy access to resolve any dispute, but it can play a crucial role in reducing tensions between rival countries by honest, reliable, accurate reporting (Zaheer, 2016).

Globally, while examining media framing of any dispute, war, or even critical situation, many researchers adopted the peace journalism theory given by Johan Galtung (1986, 2003). Such as framing study on North Korea, Chung et al. (2007) concluded that based on the consequences of the nuclear program and its international relations, USA newspaper suggests more intense war journalism frame beside the Chinese print media more active in peace journalism frame while South Korean newspapers retain neutral framing. Likewise, a study on coverage of Taliban conflict in print media of Pakistan and Afghanistan, Hussain & Siraj (2019) expressed that both press mainly practiced the war-journalism frame. The researchers added that the situations of conflict are mainly publicized in the eyes of the media as a frame of war journalism (Fawcett, 2002; Lee et al., 2006) even while covering the peace talks during a dispute (Shinar, 2004). However, in a recently conducted study on Pakistani print media about the chaos in Hong Kong over an extradition bill, Memon et al. (2020) concluded that Pakistani newspapers practiced more peace journalism than war. However, the Pakistani newspapers expressed the representation of China slightly negative than positive because the Pakistani press more relies on western newswire while covering the skirmishes in Hong Kong.

In South Asia, the Kashmir is the primary reason for conflagration between Indo-Pak; thus, various scholars focused several studies on examining the war and peace journalism framing. Like, Siraj (2008) conducted a news analysis study of Indo-Pak dispute during the peak period of their conflict and concluding that the USA elite newspapers are tilted more towards war journalism frame. Also, the United States press displayed Pakistan in unfavorable slant because of its status of an Islamic state with nuclear power and having a hateful relationship with Israel. Furthermore, Khan & Shakir (2011) also focused on editorial treatment on conflicts between Pakistan and India in two of Pakistan’s newspapers and concluded with the dominancy of war journalism. Similarly, Zaheer (2016) considered editorial coverage of disputes in Kashmir in Pakistan’s newspapers after the martyrdom of Burhan Wani-a freedom fighter in Kashmir and revealed that conflict is proceeding in the direction of war and not encouraging peace journalism. Hussain (2015) clarified that an Indian newspaper framed more war journalism on Pak-India conflict over the disputed territory of Kashmir, which shows the pushing of war culture among Pakistan and India. While Pakistan’s print media framed more peace journalism and accentuating that clashes must be decided peacefully by cooperation among two countries.

The above-discussed literature exhibited a gap, and the authors of this study availed the ample opportunity to examine the Chinese media about war/peace journalism practices concerning the conflict between Pakistan and India over the Kashmir issue, particularly in 2019. *Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

3

2.2 CHINESE MEDIA IN FRAMING SPHERE: Frames are formal and effective courses of action applied by media and the public to shape worldwide tendencies and understand issues and occasions (Gitlin, 2003). Noteworthy, framing is inevitable over the way of news production. Globally, scholars are seen as more interested in conducting a framing analysis of international issues in Chinese media. For instance, in Pakistan’s context, Munib & Munawar (2015) conducted a framing analysis in which China’s national news agency Xinhua revealed a positive impression of Pakistan.

Moreover, considering the significance of the unique relationship of Pakistan with China and the US, Yousaf (2015) compares Pakistan’s representation in the Xinhua and Associated Press regarding coverage of Zarb-e-Azb-an operation against terrorists by Pakistan’s military at the Afghan border. Results indicate an enormous difference in both news agencies predominantly discussing the economic consequences, terrorism threat, and global relations. Additionally, about Pak-China relations, Whereas, Ji et al. (2016) identified that Chinese media portrayed a negative Indian image mainly because of border/territory issues.

3. THEORETICAL FRAMEWORK In this study, the theoretical concept of peace journalism is associated with the framing. Lee and Maslog (2005) identified the contributory and beneficent liaison among these two theoretical conceptions.

3.1 PEACE JOURNALISM The affiliation between media and conflicts can be traced back to ancient events. In literature, journalism profession is inclined toward war and violence. During the 19th century, several media scholars had enticed the media personnel to exclude war reporting in support of peace journalism to reinforce a peace culture (Lee & Maslog, 2005). A Norwegian sociologist, Johan Galtung proposed a method for peace journalism coverage, which is seen as a cure for the treatment of regular conflict coverage. Galtung (1986) recognized peace and war journalism into a pair of two antithesis frames in the media reportage of a confrontation situation (Lee & Maslog, 2005; Siraj, 2010).

Also, Galtung (1986) noticed conflict reporting, media purposely, or unwillingly contribute towards exacerbating the situation. Galtung’s model unveils an opportunity for journalists to take a deliberate decision for audiences while covering any conflict environment (Zaheer, 2016). The taxonomy of peace/war journalism defined by Galtung is based on four proceedings and etymological guidelines; first is peace/conflict, second is truthfulness/propaganda, third is community/elite and forth is remedied/discrepancies. In comparison, war journalism is orientated in violence/war, propaganda, elite, and success or victory (Lee & Maslog, 2005). Moreover, Lynch and McGoldrick (2007) termed peace journalism as a “more generous, neutral, agreeable, appealing and convincing method for framing news stories, clarifying on the information of conflict analysis and metamorphosis.” Additionally, the objective of peace journalism is to embolden the opportunity of stability or peace and to deliver fairer reporting regarding all affected and concerned foes by keeping away from the discriminatory style of news reporting (Lynch, 2015).

3.2 MEDIA FRAMING Every day many people necessarily go-to media sources; hence, the “media” gained an

4

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

important place in our society. One of the great ways to make public perception is to framing events and issues in a specific way. In 1974, Irving Goffman, a sociologist, presented a framing theory as the organization, classification, and interpretation of everyday experiences (Pan & Kosicki, 1993), which enables the audience to build a thought of and sketch a meaning to their general surroundings in the world (Goffman, 1974). Also, McCombs et al. (1997) ascertained that framing is an integral part or annex of agenda-setting concept, and both epitomize a convergence. Framing incorporates a communication source appearing and describing an issue (de Vreese, 2005) and primarily applied to demonstrate how the media modify the information and therefore mutate the public’s responses into a full scope of external inspiration (de Vreese, 2007).

Besides, Scheufele (1999) unveils two genres of frames adopted frequently in framing analysis: media frames and individual frames. Media frames are instruments utilized by media to generate noticeable aspects illustrated in words as part of the media contents. While audience frames are generated in the mind of the recipients. The frames in news media content also influence how the audience perceives the news. Since this study deals with media frames in newspaper’s content related to coverage about Kashmir issue and representation of India and Pakistan rather than the frames construct in the perception of the individuals after getting those news contents.

4. METHOD This study selected two prominent English newspapers of China, including Global Times (GT) and China Daily (CD), between February-December 2019. Both newspapers were picked based on their circulation and national as well as global credibility, and the English language is the common language globally and making comfortable to its readers, including the policymakers and elites.

4.1 CATEGORIES OF WAR/PEACE JOURNALISM Table 1 shows categories of peace and war journalism based on Galtung’s classification Table 1: War/peace journalism categories War-Journalism Palpable war-effects: Violent actions (casualties, damage of property, arrests, shooting, etc.)

Confusion and confrontation-oriented: The story conferred only one participator at the extreme losing or winning end.

Concentrate on the present moment: Neither the information about components that causes the conflicts nor its consequence.

Disparity-oriented: News about areas of dissimilarities that increase the aggravation of conflict.

Two-party-oriented: Coverage shows the win of a party and defeat of another party.

Partisan-oriented: Reports express the single side’s aspect and neglect others.

Elite-oriented: The reports mainly include the elite and leaders as sources of facts and information.

Victimizing and incendiary language-oriented: Reports utilize harsh words such as cruel, crushed, terrorist, murder, etc.

Peace-Journalism Obscured war-effects: Emotional suffering and disruption, destruction of society, and culture.

Solution and dialogue-oriented: Coverage on areas that can move forward to resolve disputes.

Causes and consequences: Precisely reports on those elements which describe the causes of conflict as well as its aftermaths.

Avoids bifurcating or identify disparity: News stories avoiding identifying good or bad aspects and do not impose responsibility.

Multi-party-oriented: Provide a room and a right of speech to different parties, not to be limited to just two opponents.

Non-partisan-oriented: Neutral or impartial reporting on all actors involved People-oriented: Reports mainly focus on the general public as a source of information Non-victimization and reconciliatory language-oriented: Reports avoid the use of harsh language and words mainly in the titles.

*Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

5

4.2 CODING SCHEME This study applied the content analysis method, the most common technique used by several scholars (Lee & Maslog, 2005; Lynch, 2015), to analyze the media contents mainly in the context of peace journalism. Eight coding categories for each of peace and war journalism were established and employed according to available guidelines of Galtung’s model (1986, 2003), as shown in Table 1. When the sum of indicators belongs to war journalism increases, the news story was accredited as war journalism. When peace journalism indicators dominate, the story was categorized as peace journalism. If the same number of both war and peace journalism indicators appeared, then the news story considered neutral. A code of 1 was assigned to peace, 2 to war, and 3 to neutral frames. The whole news story considered as coding and contextual unit.

For measuring the slants in news contents regarding the Kashmir and Indian government, the authors read each news item and contextually judged whether the news was favorable (1), neutral (2) or unfavorable (3) for either side. The slant in the news was considered as “favorable” for Kashmir if it depicted positively, and unfavorable when news coverage revealed it as negative.

Similarly, slant in any news item was recoded as “favorable” for the Indian Government or Army, if it portrayed them positively. For an “unfavorable” slant, portraying the government negatively. If there was no explicit representation of any side in the news story, it identified as the neutral slant.

The authors also employed ‘pro-frame’ and ‘anti- frame’ (Munib & Munawar, 2015) to determine the representation of Pakistan and India covered in China’s newspapers over the Kashmir issue. Based on the recurring categories in overall coverage, a news story was recognized as pro-frame if it revealed an affirmative activity or peacemaker role performed by any country.

Similarly, a news story was recorded as an anti-frame if it disclosed any contradictory activity performed. However, a news story was recognized as neutral if it showed an invisible existence or neutral appearance. A code of 1 was assigned for pro, 2 for anti, and 3 for the neutral representation of Pakistan. Similarly, a code of 4 is assigned for pro, 5 for anti, and 6 for the neutral representation of India. For these frames, the complete news is contextually judged based on the aforementioned categories.

This study organized training for two PhD students and assigned them as twin coders to measure the scale of agreement between them. Holsti’s (1969) formula, i.e., Reliability=2M/N1+N2, was used to test Intercoder reliability. The test was calculated on three different randomly selected 28 news stories (10.52%). The data revealed Intercoder Reliability of .92 for war/peace journalism frames and .89 for slants. Likewise, the Intercoder reliability for the representation of Pakistan and India were .85 and .82, respectively. The results of all reliability tests are higher than the standard value of .70, which fulfilled the requirement of content analysis (Wimmer & Dominick, 2000).

5. RESULTS AND DISCUSSIONS 5.1 KASHMIR ISSUE IN CHINESE PRESS China’s print media is considered very active in covering global disputes and also influentially transform the opinion of its readers. From 15 February to 15 December 2019, GT (876 news) and

6

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

CD (654 news) have published 1,530 news stories to disseminate the information about global conflicts and war coverage.

Figure 1: Global conflicts in Chinese newspapers Comprehensively, not only the Chinese media but also the global media have cautiously covered the Syrian’s dire situation. Also, Saudi Arabia is the second-largest supplier of crude oil to China, after Russia, and its dispute with anyone could affect oil supplies. Therefore, the Chinese media regularly gives prominence to news about Saudi Arabia, especially the conflict with Iran.

Considering these statements, here also, Chinese media gives more conspicuous space to war in Syria and Saudi-Iran conflict in newspapers. The geographical relevance of Kashmir for China, Pakistan, and India, and its prolonged issue could be termed as a triangular dispute involving three Asian countries. However, both newspapers published 266 news articles (17.38%) and considered Kashmir the third most crucial controversial issue, as shown in Figure 1.

Hence, the final data consisted of 266 news stories regarding the Kashmir issue, with 171 news (64.28%) from the GT and 95 news (35.71%) from CD. All news stories were between 150-200 words-limit, and its contents also had been entirely related to the subject.

5.2 SALIENT INDICATORS IN WAR AND PEACE JOURNALISM FRAMES Table 2, the results of this analysis reveal that China’s English newspapers are practicing war journalism, i.e., 50.37% (including GT=50.87% and CD=49.47%) rather than peace journalism, i.e., 36.46% (including GT=32.16% and CD=44.21%) while covering the recent situation of Kashmir.

The result of statistical tests shows; chi-square=7.712, df=2, and the p-value=0.21, which did not reveal a significant difference in the overall coverage of selected newspapers (Zaheer, 2017).

Hence, both newspapers followed a similar approach in their news coverage regarding the frames of war and peace journalism.

Table 2: War Journalism Frames (WJF) & Peace Journalism Frames (PJF) in China’s Newspapers Newspaper GT CD Total

(Numbers & Percentage) Total News PJF WJF 171(64.3%) 55(32.16%) 87(50.87%) 95(35.7%) 42(44.21%) 47(49.47%) 266(100%) 97(36.46%) 134(50.37%)

Neutral 29(16.95%) 6(6.31%) 35(13.15%)

Based on Bennett (2003), it is often thought that media has to pursue the government policy on specific issues, but here the Chinese media is already assumed as under of its government (Wang & Wang, 2014) and it can be perceived as representative of the foreign policy of its government. *Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

7

China is also unhappy with India over the issue of Ladakh and calls it an attack on its sovereignty.

In this manner, it appears to be practically difficult for Chinese media to become more peace-oriented while covering the Kashmir issue because China itself has long been involved with due to the Ladakh region. However, the results of this study also endorsed that establishing peace in trigonal rivals over the disputed region will not be a simple task.

Table 3: Identification of indicators in news stories War-Journalism Palpable war effects Confusion and confrontation Concentrate on present moment Disparity-oriented Two-party orientation Partisan Elite-oriented Victimizing language Total

N(%) 116(23.52%) 45(9.12%) 69(14%) 77(15.61%) 15(3.04%) 44(8.92%) 66(13.38%) 61(12.37%) 493

Peace-Journalism Obscured war effects Solution and dialogue-oriented Causes and consequences Avoids bifurcating Multi-party orientation Non-partisan People-oriented Non-victimization language

N(%) 63(16.11%) 91(23.27%) 29(7.41%) 31(7.9%) 77(19.7%) 27(6.9%) 26(6.64%) 47(12.02%) 391

However, the existence and dominance of war journalism frames over peace journalism frames are established on Galtung’s described indicators. A detailed analysis of the framing pattern revealed 493 war-oriented indicators and 391 peace-oriented indicators in a total of 266 news stories, as shown in Table 3. In war indicators, the maximum number of indicators were in, “Palpable war-effects” and “Disparity-oriented” because India has deployed more than 0.7 million troops during the recent lockdown in Kashmir, many of the political leaders and elders also arrested. Regular demonstrations by Kashmiris and firing of pellet guns by the Indian Army to harm Kashmiris have exposed “good and bad aspects” in newspaper coverage. These types of news stories in recent situations have become the main reason for recording the maximum number of both indicators in the war journalism frame. These findings support the view that war journalism relies on the noticeable effects of conflict.

Contrastingly, two indicators of peace journalism frames including, “Solution and dialogue-oriented” and “Multi-party orientation,” were found in large numbers. Therefore, these findings show that both newspapers have emphasized China’s position on the Kashmir issue and its role in maintaining peace in the region, especially in the Indo-Pak conflict.

5.3 SLANTS IN CHINA’S NEWSPAPERS REGARDING KASHMIR AND INDIAN GOVERNMENT Table 4, Kashmir received more favorable slants than the Indian Army or Government. Media seeks to attract its readers by considering the nature of human interest in controversial sensational news (Forgette & Morris, 2006). The Kashmir slant in the print media of China was also measured regarding peace, war, and neutral frames. The chi-square test has a value of 10.589, and since the p-value is lesser than 0.05 concluding an association between the Chinese media representation of Kashmir slant and assigning peace, war and neutral frames to India representation. The Kashmir situation received favorable slant when both war journalism frame was used, and peace journalism frame was used. This is a very interesting observation as Kashmir received a categorical and divisive framing in either peace or war journalism frame, but representation is seldom covered in a neutral journalism frame. The majority of the Kashmir news received favorable slant, which shows the sentimental attachment with the Kashmir situation in the Chinese media mainly attributed to the

8

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

political position taken by the Chinese government vis-a-vis India.

Table 4: Distribution of slants (Number and percent).

Newspaper GT. CD Total(266)

Favorable 103(60.23%) 62(65.26%) 165(62.03%)

Kashmir Unfavorable Neutral 11(6.43%) 57(33.33%) 4(4.21%) 29(30.52%) 15(5.63%) 86(32.3%)

Total 171 95 266

Indian Government/Army Favorable Unfavorable Neutral 30(17.52%) 75(43.85%) 66(38.59%) 16(16.84%) 55(57.89%) 24(25.26%) 46(17.29%) 130(48.8%) 90(33.8%)

Total 171 95 266

5.4 REPRESENTATION OF PAKISTAN AND INDIA: A NEXUS BETWEEN FOREIGN POLICY AND CHINESE MEDIA China is successfully maintaining the diplomatic and economic relationship with two neighboring nuclear power countries, which are globally labeled as two rival nations, Pakistan and India. This research also emphasized the portraying the image of Pakistan and India based on recent coverage of Kashmir.

History affirmed that Pakistan endorsed China’s views on issues Hong Kong, Taiwan, and Tibet. Furthermore, China has asserted itself to be abiding support for Pakistan in aspects of economic development, military support, and political assistance for global diplomacy and international fora, in particular by promoting Pakistan’s position on terrorism and Kashmir issue (Qazi, 2019). Analogously, China and India mostly give priority to their cooperation in areas such as technology, economy, and drug development despite ongoing tensions in Kashmir. Previously it is noticed that China’s stance on the Kashmir issue had always been neutral between India and Pakistan (Malone & Mukherjee, 2010).

This study also revealed in the light of the CD and GT news coverage that China was executing itself as a mediator between India-Pakistan, particularly in clashes during February 2019, when India accused Pakistan of a suicide attack on its Army in Kashmir. Nevertheless, in August 2019, despite the commitments of economic cooperation, China has criticized India’s decision to strip the Kashmir of its special status and claiming over Ladakh, as part of Kashmir. Moreover, this act of India was considered an attack on Chinese sovereignty. Therefore, China commences its support for long-standing ally Pakistan, even at the UN Security Council platform, to get attention on the Kashmir issue.

Table 5: Pro, Anti and Neutral frames regarding Pakistan and India in China’s newspapers

PAKISTAN

INDIA

Country Pro-Frame Anti-Frame Neutral-Frame Newspapers Frames Pro GT-171 Anti 31 95 140 Neutral Pro 11.6% 35.7% 52.63% Anti CD-95 Neutral Pro GT-171 Anti 86 35 145 Neutral Pro 32.3% 13.15% 54.5% CD-95 Anti Neutral

N 19 59 93 12 36 47 53 27 91 33 8 54

Frames Pro Anti Neutral Pro Anti Neutral

Category Affirmative Activity Peacemaker Contradictory Activity Support Violence Invisible Existence Neutral Appearance Affirmative Activity Peacemaker Contradictory Activity Support Violence Invisible Existence Neutral Appearance

N 24 7 60 35 61 79 35 51 21 14 93 52

Total 31 95 140 86 35 145

Table 5, in overall news coverage, i.e., 266 stories about Kashmir issue, China’s English *Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

9

newspapers gave more neutral coverage to Pakistan (54.5%) and India (52.63%) because newspapers mostly gave the invisible and neutral existence to both countries. Nevertheless, Chinese newspapers repeatedly published news regarding Pakistanâ&#x20AC;&#x2122;s positive stance towards India and emphasized on peaceful solution of Kashmir issue through dialogues or by UN resolutions. Hence, Pakistan (32.3%) seems more favorable than India (11.65%) regarding the Kashmir issue in both newspapers because Pakistan was reported as a peacemaker and performing more affirmative activities than India.

Comparatively, newspapers reported much news in which India was indicated as suspicious particularly while revoking the Kashmir special status, claiming over Ladakh (territory that borders China), cutting down the communication channel and imposing a curfew, firing unprovoked at the line of control towards Pakistan and wounding troops and local people, etc. These are considered as primary causes of the higher degree of anti-frame or negative representation of India in Chinaâ&#x20AC;&#x2122;s newspapers. Hence, India (35.7%) was represented as more negative than Pakistan (13.15%).

However, in some stories, the newspapers also presented the Indian position to Pakistan to be responsible for attacking the Indian troops in Pulwama and firing towards the Indian Army on the Line of Control. In short, the results also affirm Chinaâ&#x20AC;&#x2122;s policy on the Kashmir issue, which included stabilizing the relations with both Pakistan and India and avoiding any inappropriate act between their aggressions.

Table 6: Pro, Anti and Neutral frames in Peace/War Journalism Country

Frame Pro-India India Anti-India Neutral Chi-square Total India=6.968 Pro-Pakistan Pakistan Anti-Pakistan Neutral Chi-square Total Pakistan=11.941

PJF 11 30 56 97

WJF 12 53 69 134

Neutral 8 12 15 35

Total 31 95 140 266

43 7 47 97

34 22 78 134

9 6 20 35

86 35 145 266

The representation of Pakistan in the print media of China was also measured with reference to peace, war, and neutral frames, see Table 6. The chi-square test has a value of 11.941, and since the p-value is lesser than 0.05, we can conclude there is an association between the Chinese media representation of Pakistan and assigning peace, war, and neutral frames to Pakistan representation.

There is an interesting dichotomy observed as the pro-Pakistan frame is largely covered in the peace journalism frame while the neutral frame of Pakistan is predominantly covered in war journalism frame. This shows that when news related to Pakistan is in favor of the country, mostly peace journalism frame is assigned when Pakistan is represented in a neutral tone, war journalism is assigned. The minimal numbers of the anti-Pakistan frame also speak volumes of the state policy of bilateral relations between China and Pakistan, reflecting in print media policy of China.

The representation of India in the print media of China was measured with reference to peace, war, and neutral frames. The chi-square test has a value of 6.968, and since the p-value is higher than 0.05, we can conclude there is no association between the Chinese media representation of

10

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

India and assigning peace, war, and neutral frames to India representation.

6. CONCLUSION This study's primary purpose was to apply the model of peace journalism in the context of the ongoing Indo-Pak antagonism over the disputed territory of Kashmir. Based on a massive percentage of war journalism stories in the reportage of the vexing situation in Kashmir, this study outcomes showed that both Chinese newspapers inclined towards war-oriented journalism. The logic may be that the newspapers covered incidents like prolonged lockdown in the Kashmir region, the arrest of political leaders, shelling on protestors, the violence of line of control, and aggression between India and Pakistan. The results of this study also support the conclusion derived from previously conducted studies (I. Hussain, 2015; Siraj, 2008; Zaheer, 2016, 2017) on war/peace frames regarding the Kashmir issue.

This study results also show that Chinese newspapers gave a favorable slant toward the Kashmir and an unfavorable slant toward the Indian government. Generally, to increase the popularity of their outlets, journalists use the element of sensation, such as portraying the suffering of ordinary people amidst conflicts. Hence, the Chinese newspapers more widely supported the stance of Kashmir than of the governments.

The most interesting result is regarding the representation of Pakistan and India on the Kashmir dispute. The findings show that Chinese newspapers are mostly neutral towards Pakistan and India in covering the Kashmir issue. However, both news outlets represent Pakistan more positively than India. Because, it is regularly anticipated that on certain specific and unusual matters, media needs to adhere to the national policy and cannot stay non-partisan or impartial in those clashes in which its own country is embroiled in or support any opponent of dispute (Bennett, 2003). The prompt expansion of China-Pakistan friendly relationship affected China’s diplomatic balance between Pakistan and India and led to tilt toward Pakistan. China’s policy on the Kashmir conflict underwent subtle developments. China commenced to criticize the Kashmir policy of India and accentuate that the issue of Kashmir should resolve its ultimate affiliation on the base of dignity for the people’s right to autonomy or self-determination in Kashmir (Peng, 2019). Therefore, based on the results, it would not be wrong to say at this point that when the official association ameliorated with a state, the media coverage of the nation additionally turned out to be progressively positive.

However, the results theoretically suggest that bringing peace to the region will not be an easy task. While considering a substantial representation of the “solution-oriented” indicator of Peace journalism in Chinese media has endeavored at solving the conflict by interfering and mediating between all stakeholders. This scenario can be seen as an attempt to reduce the conflict by bridging the gap between the opposing parties (Lynch & McGoldrick, 2007). Notwithstanding, somewhat, Johan Galtung’s theory might be bought in this study to encourage peace journalism practice and to evade from enhancing the violence.

7. AVAILABILITY OF DATA AND MATERIAL Used or generated data already present in this study. *Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

11

8. REFERENCES Bajpai, K. (2017). Narendra Modi’s Pakistan and China policy: assertive bilateral diplomacy, active coalition diplomacy. International Affairs, 93(1), 69–91. DOI: 10.1093/ia/iiw003 Bennett, W. L. (2003). Operation perfect storm: The press and the Iraq War. Political Communication Report, 13(3).

Chung, M., Fan, M., & Lessman, J. (2007). War and peace journalism frames in cross-national news coverage of North Korea’s nuclear test. International Communication Division at the Annual Convention of the Association for Education in Journalism and Mass Communication. Washington, DC. Cohen, B. C. (2015). Press and Foreign Policy. DOI: 10.1515/9781400878611 de Vreese, C. H. (2005). News framing: Theory and typology Information Design. Information Design Journal + Document Design, 13(1), 51–62. DOI: 10.1075/idjdd.13.1.06vre de Vreese, C. H. (2007). Context, Elites, Media and Public Opinion in Referendums: When Campaigns Really Matter. The Dynamics of Referendum Campaigns, 1–20. DOI: 10.1057/9780230591189_1 Entman, R. M. (1993). Framing: Toward a clarification of a fractured paradigm. Journal of Communication, 43(3), 51–58.

Fawcett, L. (2002). Why Peace Journalism Isn’t News. Journalism Studies, 3(2), 213–223. DOI: 10.1080/14616700220129982 Forgette, R., & Morris, J. S. (2006). High-conflict television news and public opinion. Political Research Quarterly, 59(3), 447–456. DOI: 10.1177/106591290605900312 Galtung, J. (1986). On the role of the media in worldwide security and peace. In Peace and Communication , 12–34.

Galtung, J. (2003). Peace Journalism. Media Asia, 30(3), 177–180. DOI: 10.1080/01296612.2003.11726720 Gitlin, T. (2003). The whole world is watching : mass media in the making & unmaking of the New Left (First Edit). http://www.ucpress.edu/book/9780520239326/the-whole-world-is-watching Goffman, E. (1974). Frame analysis : An essay on the organization of experience (1st ed.). http://b-ok.cc/book/916861/2c0f24 Holsti, O. R. (1969). Sampling, Reliability and validity. Content analysis for the social sciences and humanities, 127–149. https://www.questia.com/library/7260038/content-analysis-for-the-social-sciences-and-humanities Hussain, I. (2015). News Framing on Indo-Pak Conflicts in the News (Pakistan) and Times of India: War and Peace Journalism Perspective. Journal of Mass Communication & Journalism, 05(08). DOI: 10.4172/2165-7912.1000272 Hussain, S., & Siraj, S. A. (2019). Coverage of Taliban conflict in the Pak–Afghan press: A comparative analysis. International Communication Gazette, 81(4), 305–326. DOI: 10.1177/1748048518817649 Ji, D., Hu, Z., & Muhammad, Y. (2016). Neighboring competitor? Indian image in Chinese media. Global Media and China, 1(3), 234–250. DOI: 10.1177/2059436416668186 Khan, M. A., & Shakir, S. (2011). A Comparative study of editorial treatment on Indo-Pak conflicts in daily dawn and the nation: A war & peace journalism perspective. European Journal of Social Sciences, 19(2), 320–330.

Lee, S. T. (2010). Peace journalism: Principles and structural limitations in the news coverage of three conflicts. Mass Communication and Society, 13(4), 361–384. DOI: 10.1080/15205430903348829 Lee, S. T., & Maslog, C. C. (2005). War or peace journalism? Asian newspaper coverage of conflicts.

Journal of Communication, 55(2), 311–329. DOI: 10.1093/joc/55.2.311

12

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

Lee, S. T., Maslog, C. C., & Kim, H. S. (2006). Asian conflicts and the Iraq war: A comparative framing analysis. International Communication Gazette, 68(5–6), 499–518. DOI: 10.1177/1748048506068727 Lynch, J. (2015). Peace journalism: Theoretical and methodological developments. Global Media and Communication, 11(3), 193–199. DOI: 10.1177/1742766515606297 Lynch, J., & McGoldrick, A. (2007). Peace Journalism. In C. Webel & J. Galtung (Eds.), Handbook of Peace and Conflict Studies, 248–264. Routledge.

Malone, D. M., & Mukherjee, R. (2010). India and China: Conflict and cooperation. Survival, 52(1), 137– 158. DOI: 10.1080/00396331003612513 McCombs, M., Llamas, J. P., Lopez-Escobar, E., & Rey, F. (1997). Candidate images in Spanish elections: Second-level agenda-setting effects. Journalism and Mass Communication Quarterly, 74(4), 703–717.

DOI: 10.1177/107769909707400404 Memon, M. A. M., Hui, S., Yousaf, S., & Usman, Z. (2020). Media representation of China: Framing analysis of Hong Kong disputes in Pakistani media. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 11(3), 1–14. DOI: 10.14456/ITJEMAST.2020.41 Munib, & Munawar, R. (2015). Image Framing of Pakistan in China: A Case Study of Xinhua News Agency. Journal of Research in Social Sciences, (1), 2–14.

Neumann, R., & Fahmy, S. (2015). Measuring journalistic peace/war performance: An exploratory study of crisis reporters’ attitudes and perceptions. International Communication Gazette, 78(3), 223–246. DOI: 10.1177/1748048516630715 Pan, Z., & Kosicki, G. M. (1993). Framing analysis: An approach to news discourse. Political Communication, 10(1), 55–75. DOI: 10.1080/10584609.1993.9962963 Qazi, M. N. A. (2019). China Pakistan Economic Corridor: A Game Changer Project. Review of Economics and Development Studies, 5(3), 541-550. DOI: 10.26710/reads.v5i3.733 Ramasubramanian, S., & Miles, C. (2018). Framing the Syrian Refugee Crisis: A Comparative Analysis of Arabic and English News Sources. International Journal of Communication, 12, 19. https://ijoc.org/index.php/ijoc/article/view/8174 Scheufele, D. A. (1999). Framing as a theory of media effects. Journal of Communication, 49(1), 103–122.

DOI: 10.1111/j.1460-2466.1999.tb02784.x Schmall, E. (2019, August 28). India seeks to portray a sense of calm in locked-down Kashmir. Associated Press. http://www.apnews.com/45cf214d417745b1b1ea24941b8655ba Shinar, D. (2004). Media Peace Discourse: Constraints, Concepts and Building Blocks. Conflict & Communication Online, 3(1), 1–8. http://cco.regener-online.de/2004/pdf_2004/shinar_2004.pdf Siraj, S. A. (2008). War or peace journalism in elite US newspapers: Exploring news framing in Pakistan-India conflict. Annual Meeting of the International Communication Association. http://www.issi.org.pk/old-site/ss_Detail.php?dataId=472 Siraj, S. A. (2010). Framing War and Peace Journalism on the Perspective of Talibanisation in Pakistan.

Media Asia, 37(1), 13–20. DOI: 10.1080/01296612.2010.11771971 Wang, J., & Wang, X. (2014). Media and Chinese Foreign Policy. Journal of Contemporary China, 23(86), 216–235. DOI: 10.1080/10670564.2013.832523 Wimmer, R. D., & Dominick, J. R. (2000). Mass Media Research: An Introduction, 6th edition.

Yousaf, S. (2015). Representations of Pakistan: A framing analysis of coverage in the US and Chinese news media surrounding operation Zarb-e-Azb. International Journal of Communication, 9(1), 3042–3064. http://ijoc.org/index.php/ijoc/article/view/3556 Zaheer, L. (2016). War or Peace Journalism : Comparative analysis of Pakistan’ s English and Urdu media *Corresponding author (M.A.M.Memon). Email: aftabmadnishu@yahoo.com and memon@shu.edu.cn ©2020 International

Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12Q http://TUENGR.COM/V11A/11A12Q.pdf DOI: 10.14456/ITJEMAST.2020.242

13

coverage of Kashmir conflict. South Asian Studies, 31(2), 713–722.

Zaheer, L. (2017). Editorial Coverage of Kashmir Conflict in Pakistani Media. Pakistan Vision, 18(1), 47– 56.

Zutshi, C. (2017). Azad Kashmir. In C. Zutshi (Ed.), Kashmir, 90–130. DOI: 10.1017/9781316855607 Muhammad Aftab Madni Memon is a PhD Candidate in Communication Sciences at School of Journalism and Communication, Shanghai University, China. He got two Master’s degrees, first in Media Management and second in International Relations. His PhD research is focused on Framing Analysis of China and Pakistan.

Professor Dr.Shen Hui is at the School of Journalism and Communication, Shanghai University, P.R. China. She has a Master's degree in Modern and Contemporary Literature from Anhui University. She graduated with a Doctorate in Journalism from Fudan University. Her main research areas are Communication Theory and Media Economic Ethics.

Dr.Salman Yousaf is an Assistant Professor of Marketing at the Institute of Banking and Finance, Bahauddin Zakariya University, Multan, Pakistan. He got his doctorate from the School of Business Administration, Dongbei University of Finance and Economics. He did a Post Doctoral at School of Management, Fudan University, Shanghai. The main research areas are Marketing, Branding, and Communication.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

14

Muhammad Aftab Madni Memon, Shen Hui, Salman Yousaf

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12R

ARCHITECTURAL HERITAGE FRAGMENTS AS CATALYST FOR MEANING TRANSFORMATION: CASE IN THE TRADITIONAL CENTER OF BAGHDAD 1*

Saba Sami Al-Ali , Nawar Sami Al-Ali 1

1

Department of Architecture, College of Engineering, Al Nahrain University, IRAQ.

ARTICLEINFO

A B S T RA C T

Article history: Received 12 July 2019 Received in revised form 29 May 2020 Accepted 16 June 2020 Available online 24 June 2020

Several studies on the architecture of mosques tend to raise two inter-connected aspects: form and meaning, a correlation that had shaped, throughout time, the characteristics of the architectural type of the mosque. This study sheds light on a distinct approach towards this relationship, through a framework of heritage conservation and urban renewal. It analyzes the Khulafaa Mosque (1961) in the historic center of Baghdad by the Iraqi architect Mohamed Makiya who incorporated into his design the 12th-century minaret of Suq el Ghazl, the only fragment left from the medieval Abbasid mosque that once stood there.

The study adopts a structuralist-semantic approach to reveal the transformation of meanings in this mosque on two levels. The first level is the denoted meaning of modern technology achieved through disarticulating the compositional relations of elements. The second level is the connoted implicit meanings of belonging connected to the historical fragment, the minaret, realized through reconfiguring the mosque’s typological relations. This study considers such potentials of meanings' transformation in inspiring other attempts at activating historical fragments for sizeable urban renewal projects.

Keywords: Historic Architecture; Heritage mosque conservation; Architecture semiotics; Mosque significations; Suq el Ghazl; Mosque type; Mohamad Makya; Mosque architecture.

Disciplinary: Architecture (Architectural Heritage, Architectural Conservation of Built Heritage), Islamic and Mosque Studies, Middle East Urban History, History of Architecture. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Architectural heritage presents itself in different sizes. It ranges from a holistic entity to small minor fragments. Its methods include reviving treatments, following the existing conservation and restoration rules, which presuppose the full reconstruction of a structure’s former shape. However, some of these inherited remains lack the necessary information for such a reconstruction, and they leave a large margin of possibilities that may catalyze an active input to the conservation activity *Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

1

(Al-Ali, 1997). Further, the role of an architectural heritage fragment could be promoted to encompass a whole urban area and become a catalyst to its development and revival. In this regard, the paper will present the concept of activating historical fragments on an urban scale.

Acknowledging the view that "architecture uses visual symbols and elements, which provide an array of communicative elements, possible to abstract and combine" (Gawlikowska, 2013), the paper follows the structuralist-semiotic methods.

It tracks the Semiotics' terminologies to be used in interpreting meaning in mosque architecture. It will address a case study in Baghdad: the Khulafa mosque designed in 1961 by the Iraqi modernist architect Mohamed Makiya (1914-2015), in the cityâ&#x20AC;&#x2122;s old commercial center, incorporating the 12th-century minaret of Suq al-Ghazel, the only element left of the Khulafaa Abbasid Mosque which stood there several centuries ago. The design problem, therein, was threefold: How to deal with, and preserve this remaining historical fragment?, how to evoke the memory of the famous Abbasid mosque with its unknown architecture, totally lost due to past events, and how to sort out a balance between the different urban fabrics of the site, such as the open grand modernist street, and the organic fabric of traditional Suqs (markets). The study will address these questions, to demonstrate the potentials that a historic architectural fragment might hold for its present urban context.

2. LITERATURE REVIEW AND DISCUSSION The research analyzes previous studies to establish a theoretical base for relevant conceptions regarding the value and potentials of a historical artifact, interpretation of meanings in architecture, and the meanings attributed to the mosque.

2.1 CONSERVATION OF ARCHITECTURAL HERITAGE FRAGMENTS IN URBAN CONTEXT Architectural remains might be found in a city fabric or not, but either way, they are different from each other in two aspects: the first is the availability of the informative data, which provides an image of the edifice in its past era, and the second is the size of remains. Such distinction is decisive in determining the degree of intervention in any restoration/revival process and to the potentials of a successful renovation - new reading and new interpretation (Al-Ali, 1997).

The process of intervention becomes more complicated when the heritage remains are located in an urban context, as they do not stand alone, but rather engaged in complicated city systems (AlAli, 1997). Fitch noticed that the restoration of a historic district presents aesthetic problems that are not found in the isolated building. He explained that in many cities, the resulting distortion of scale, caused by the interruption of incongruence replacements of high rise buildings in a former uniform streetscape, takes on surrealist proportions, and contrasts; yet none of the urban cores of small scale and low-profile past can be visualized as a returning place, nor can the former consistencies be restored (Fitch,1990). Glendinning remarked that the integrated architecture of old and new parts leads to concerns about how to reconcile modern developments with the historic urban fabric.

However, such a poetic mixture of preserved fragments and iconic interventions could become incoherent and incomprehensible (Glendining, 2013).

Fitch (1990) stated that many architects would argue that historical fragments, which have

2

Saba Sami Al-Ali, Nawar Sami Al-Ali

survived, cannot be integrated into a changing city, but for him, the fact that such juxtapositions are without historical precedents is not especially relevant. Such juxtapositions of old and new can often lead to exhilarating new passages in the cityscape (Fitch, 1990). It is possible to bring an example of a neglected historic fragment that once was part of a remarkable edifice, as it was the case for the facade fragment of the Berlin Anhalter Bahnhof, which was part of a train station – railway terminus - in Berlin, Germany. It has been severely destroyed during World War II, in 1943 and 1945. Parts of the station were still standing in 1951, but then most of them were demolished in 1960, except for the central portion of the principal elevation. These remains witnessed several attempts of preservation and restoration. Till recently, the site held traces of the old station with no apparent existence above the ground level. Eventually, the new Tempodrom, a multi-purpose event venue, was erected in the center of this area, with a playing field located between it and the façade remnant, and a wooden area extending in the other direction towards the Landwehr Canal (Figure 1). The facade fragment in its current situation is standing without any meaningful impact on its urban surroundings; its conservation remained a passive act.

Figure 1: Berlin Anhalter Bahnhof Train Station: Current Status of Façade Fragment (Courtesy of Fonalité/Flickr.com (2013)).

2.2 STRUCTURALIST-SEMIOTICS AS AN APPROACH TO THE ANALYSIS OF ARCHITECTURE During the nineteen sixties, seventies, and eighties, the architectural discourse was greatly influenced, on different levels, by the Structuralist - Semantic approach. This approach provided tools that help “read” Architecture. Although during the following decade criticism was raised against this theory and its applications, nevertheless, this paper finds that it still holds an explanatory power for addressing Makiya's design approach and the paradigmatic thinking of his time. Following the visions of the Semiotics' foundational thinkers, especially Roland Barthes, who first introduced Semiotics to Arts, a large body of literature by theorists, architects, researchers and critics like Umberto Eco (1978), Geoffrey Broadbent (1980), Gandelsonas (1980), Charles Jencks and Juan Pablo Bonta (1980), was associated with this approach. Thus, the method continued to be an efficient way to tackle and interpret meanings in architecture.

To establish a method of Semantic comprehension, some of these writings presented analytical idioms derived from similar applications in linguistic analysis. Among these was approaching the architectural product as a “System of sings/Signification” that could be read on two levels: the first is “Surface Structure”, which is explicit and direct. The second is “Deep Structure”, which is implicit and intrinsic. The two expressions: (Surface structure) and (Deep structure) originally *Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

3

belong to Avram Naom Chomsky, who theorized for Generative and Transformational grammars in several books published in the 1960s.

In the discipline of architecture, Gandelsonas and Morton approached Chomsky’s vision while analyzing Peter Eisenman’s House II, where his oppositions/dualities were called “Deep structure/level”, influencing the “Surface Structure/level”, in dialectical relationships. They stated that, for Eisenman, the Surface level in architecture has traditionally represented only the appearance of the forms in which architecture manifests itself, and that his concern was not the surface level, but rather its use as a potential structure for revealing, in the building, the operations and the deep structure that generated the architectural form. The reading of the surface level initiates a sequence of continually deepening interpretations (Gandelsonas & Morton, 1980). On the other hand, Gandelsonas and Morton studied the work of Michael Graves and suggested that "In architecture, signification might be described in terms of two interrelated aspects; the first, a set of possibilities for structuring the components, subcomponents, systems, and subsystems of the building; the second, a repertory of ideas, images, and notions from an architectural repository.”

The first is ‘architectonic’, and the second is ‘repository’" (Gandelsonas & Morton, 1980).

Broadbent, on the other hand, detected four deep structures at the roots of architecture: a container for human activities, modifier of the given climate, cultural symbol, consumer of resources. He states that these deep structures cannot be separated, yet building a cultural reference, after satisfying the deeper structures of architecture, which the users could read intentionally might be the only way in which one can consciously build meaning into architecture (Broadbent, 1980).

It is possible to track more perspectives on the conception of the duality between Deep and Surface structures, and even try to employ other terms like symbol, sign, icon, etc.; but what matters is the fact that such conceptions initiated the consciousness of pursuing and presenting a systematic approach to interpret Architecture, and provided tools to describe/read the “form/ meaning” duality.

Thus, architecture can be considered as a batch of an inter-related complex of systems that provides more freedom in choosing the perspective the most suitable to any intended interpretation.

2.3 MOSQUE ARCHITECTURE & MEANING Amongst vast Islamic architecture studies, several investigated the meanings and significance of the mosque as one of the foremost Islamic building types. Haraty and Utaberta (2019) assert that the most recent trends Mosque designs focused on three aspects: construction, religious and social activities, and history. Of the earliest works on meaning in the mosque architecture are two mentioned by Oleg Grabar (1979); one is Paret's "Symbolik des Islam"(1958), that he finds vital in making a distinction between primary and secondary symbols, but do not talk about visual architectural implications of symbolism. The second is by Jacques Waardenburg (1974), "Islam studied as a symbol and signification system", which Grabar (1979) found too methodologically abstract." Grabar (1979) identified aspects of symbolic significance in Islamic Architecture and specifically stressed the role of decorative and calligraphic plates in this symbolism.

In general, he hypothesized that Muslim tradition identified what is sacred or holy to it in a denoting rather than connoting fashion. Burckhardt's work titled "Art of Islam; Language and Meaning" (1976), also gives thoughtful insights on symbolic and significant aspects in Islamic Architecture. Yet, one cannot but agree with Grabar in his depiction that such works lack "explicit statements of the relationship between data … and interpretation" (Grabar, 1979). Moreover, Roger

4

Saba Sami Al-Ali, Nawar Sami Al-Ali

Joseph (1981), tried to grasp particularly signs of the mosque and their formal properties that are related to cosmology and social organization. Some recent works, however, applied the semantic approach to shed light on exceptional cases of the Mosques from around the Islamic world. For example, Ramzy's study (2013) employed semiotic tools to interpret the architectural spiritual message of the Funerary Complex of Sultan Qaitbay affected by the Sufi notions.

The works reviewed above are of interest to this paper for what meanings and significances they read in mosque architecture. Joseph (1981) sees that the mosque somehow functions as a gate between the sacred and divine and the secular and social. Similar to this concept, another recent work on Iranian mosques by Khaki and Abad (2015) attributed symbolic meanings to the elements of a mosque: the dome, the minaret, the minbar, and the Ewan, the latter being an element of Iranian architecture. The meanings they read signify the connection between this world and the other world, the material world and heaven, the world of Gods, and the world of the dead. This concept attributes a deep meaning to the mosque that is beyond being a sacred place for connection with god.

Alahham (2019) presents the concept of the metamorphosis of meaning, which the mosque endured historically from the prevalence of the sacred to an amalgamation of the sacred-secular and, finally, the encompassing of the sacred by the secular as revealed in states' mosques. Such transformationmetamorphosis is to be read through this paper but with different identifications of the meaning attributed to the case study that respects heritage conservation and urban revival.

2.4 LEVELS OF MEANING AND FORM IN MOSQUE ARCHITECTURE Semiotics offers an appropriate "means of treating the mosque as if it were a special language with its ensemble of semiotic codes which reveal something about both cosmic and social space" (Joseph, 1981). In examining a mosque from a Structuralist- Semantic standpoint, architecture is considered as a system of signs. This system consists of a network of relations between its elements.

These relations are woven into two structures' levels (Figure2).

Mosque Architecture (Structure)

Form

Meaning

Surface Structure

Mosque Mental Image

Muslim Place for prayer

Deep Structure

Typological relations

Sacred place for spirit assertion

Denotation

Connotation

Figure 2: Research Scheme of Meaning in Mosque Architecture On one level, a surface structure functions in denoting the explicit meaning of the mosque as a place for prayer and worship. This denotation is provided by a set of relations connecting the architectural elements salient in an outside mental image of the mosque. Joseph (1981)states that "Insofar as the mosque is a sacred artifact; its structure remains more or less the same". Still, as it is also a technological and social artifact, he recognized that "it reveals a multitude of styles generated by different cultural regions, temperaments, and influences" (Joseph 1981). Hence the elements that compose its mental image differ according to time and place. However, the minaret might be the element most agreed upon among the architectural elements that remind one of Islam (Grabar, *Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

5

1979). Beside the minaret that may appear as any vertical element, other formal characteristics were found to be adherent to composing a mental image of the mosque like a recognized repetition echoing the rhythm of rows of the worshipers and the use of ornamented surfaces and Arabic calligraphy as well as complementary symbolic components namely: the dome, the arcaded Sahan (open courtyard) (Al- Ali & Al- Ali 2015).

On another level, resides the deep structure where relations between elements generate connotations of meanings that are not sought directly by an interpreter. Still, they relate elements in principal typological connections that are relevant to essential meanings to any mosque anytime and anywhere. Many studies identify the symbolic orientation of all mosques to the Ka'ba as one of the top priorities (Grabar, 1979; Joseph, 1981). "The entire sacred sign system places the Ka'ba at the physical center of Islam just as at the verbal level the Qur'an is the center …. the axes of all mosques of the world converge" (Burckhardt, 1976:5). Another signification is that within the mosque, there are two directions; one towards the inviolable space of the Ka'ba, where the collective spirit asserts itself. The other, it is opposite, away from the perfect location, towards the outside secular world of danger and uncertainty. Both places establish a horizontal axis, while a vertical axis is also identified through the minaret as an upstanding element looking to the sky (Joseph, 1981), (Al-Ali & Al-Ali, 2015). The pulpit – Minbar, as well, which is mimetic of the three stool steps that the prophet stood upon, indicates early Islamic indexical distinction between upper and lower (Joseph 1981). The niche or Mihrab, on the other hand, "not only orients space but serves as an index to mark the spiritual difference between the worshiper and the divine" (Grabar, 1979). The meanings shown in the studies above will be re-investigated in the Khulafa mosque, to reveal the undergone transformation within the frame of heritage conservation and urban renewal.

3. THE CASE STUDY OF THE KHULAFAA MOSQUE The Khulafaa Mosque is situated in Baghdad, and its construction was finished in 1963.

However, its minaret dates back to the late Abbasid era. The research will investigate the levels of meaning in the architecture of this compound to reveal the embodied transformation.

3.1 HISTORICAL BACKGROUND OF THE KHULAFAA MOSQUE AND THE SUQ ELGHAZL MINARET Central to the current Rusafa traditional area, on the east side of the Tigris in Baghdad, the Khulafa mosque was initially built by the Abbasid caliph al-Muktafi (ruled 902-908). It remained the main mosque in Rusafa for the weekly Jum'a prayer, attended by the subsequent caliphs and was named –Jami' al-Khulafa, meaning the Caliphs' mosque (Sussa & Jawad, 1958). The Abbasid mosque was burned to the ground, and its minaret fell in 1271 during the Mongol invasion. They were both rebuilt in 1279. However, this Ilkhanid mosque deteriorated as well, and most of its area was rebuilt as "Suq el-Ghazel" - a market for spinning products. The only part that remained standing from the Ilkhanid mosque was its 33-meter height minaret, known as "the minaret of Suq el-Ghazel". In the 19th century, the Ottoman wali Suleiman Pasha (governed 1779-1802) built a mosque for the minaret in the only vacant plot at about a 100m to the west of it (Sussa & Jawad, 1958). The minaret received a faithful restoration, which started in 1940 by the General Directorate of Antiquities after being in neglect for almost a century. The work (Figure 3) preserved the original brickwork and ornamentation (Salman et al., 1982).

6

Saba Sami Al-Ali, Nawar Sami Al-Ali

Figure 3: Minaret of Suq el- Ghazl.

Left: Map of Baghdad by Nibbur in 1766, showing el Ghazl market area (circled by authors with red line) where the minaret used to standup, (Courtesy of Ameen & Alussi (1965)).

Right: The minaret before restoration, view in the early 20th century.

Courtesy of Mohamed Makiya Archive, ŠAga Khan Documentation Center, MIT Libraries (AKDC@MIT)

3.2 THE JUMHURIYA-KHULAFAA STREET The work started in 1957 and ended in 1959 for the erection of the Jumhuriya Street (the Republic Street). It gradually gained the name (The Khulafaa Street), referring to the leading site of the mosque and its historical minaret being erected as a landmark in 1963. In addition to the traditional residential neighborhoods, the main area where the street splits into two is the central market area, including the old markets of Ghazel and Shorja. These were part of an intricate network of old markets in Baghdad since the late Abbasid era and stayed alive and densely active through the ages. Despite the severe cut in the urban fabric, the daily flow of people and merchandise carriers continued across the street, hampering car traffic and presenting a serious conflict between human and machine circulation. The street had also cut across the 19th century Ottoman Mosque, previously attached to the minaret, and thus left it once again deprived of its mosque (Figure 4).

Figure 4: Context of the Minaret of Suq el- Ghazl in early 20th century Enlarged Portion of a Mosaic aerial photo of Baghdad in 1917, showing organic fabric of the neighborhood surrounding the minaret of Suq el Ghazl. Small red circle around the minaret, sizeable red circle around the Ottoman Mosque, and the trace of the Jumhuria street marked with white shaded strip, Source: Courtesy of National Archives UK, WO 302/550 (with Authors' addition on map)

*Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

7

3.3 THE KHULAFAA MOSQUE BY MAKYA In 1960, Mohamed Makya was granted the commission of building a mosque for the historical minaret of Suq el-Ghazl. This task presented a crucial opportunity in his professional life when he could apply his ideas about Islamic architecture and architectural heritage. Sultani (2014) observed that Makya's early works since his return to Iraq after finishing his studies in the UK have been of a modernist style unlike what he achieved in the Khulafa mosque and after. (Sultani, 2014).

He received a first chance to work on a historical Islamic area, which he had experienced in his early childhood and adolescence, and which he knew very well and highly sympathized with.

Makiya believed that Islamic spiritual values, which represented the humanitarian aspect of heritage and gave the architectural vocabulary its survival, are sources of symbolism. He also advocates that this symbolism is an indispensable quality in modern cities. He stated: "The aspirational qualities of symbolism are a crucial requirement for modern planning in any culture. Symbolism extends the concept of functionalism to the higher level of the intellectual aptitude demanded by the designer and asserted by its social meaning." This applies to the lasting status and survival of the arch, the dome, and the minaret within the physical quality of the new built-up environment. They are so much part of the natural setting that they stand beyond the label of "traditional" or "contemporary" (Makya in Kultermann, 1999).

Makiya's stress on the past was combined with a direct interest in the modern technology of engineering and building systems of his time. In Radoin's words, "contemporaneity, according to Makiya, involves projecting a building as an evolving entity according to technological advancement, while tradition fosters its sense of living memory and belonging" (Radoine, 2017).

Both concepts were to be sustained in his design of the Khulafa mosque; however, there is a manipulation of meanings that appears when trying to interpret this mosque.

3.4 TRANSFORMATION OF MEANING IN THE KHULAFFA MOSQUE As an Arabic Islamic city, Baghdad has many examples of old and new mosques. Several Ottoman mosques are spread in the historical center in Rusafa, which draw a mental image dominated by high domes and minarets, rising above the housesâ&#x20AC;&#x2122; skyline against the background of Baghdadâ&#x20AC;&#x2122;s blue sky. The arcaded Sahan with the ablution fountain was also characteristic. As well as elements in the prayer hall, including the Qibla wall, Mihrab, Minbar, and the ornamented surfaces. Those mosques were constituted the archetype that Makiya adopted in generating his new design, while the Abbasid style was his choice for its vocabulary according to his words: "I tried to design the mosque referring to the Abbasid age, with a wall relief that presents scenes and calligraphic layers." (Makya, 2012) Although the new Khulafaa mosque was meant to activate its minaret, and serve as a place for prayer just like any other mosque, its architecture reveals a new web of significances that are unusual to local mosques. This function can be traced to two levels: the surface structure and the deep structure.

3.4.1

SURFACE STRUCTURE AND THE DENOTED MEANING: A SPACE FOR NEW TECHNOLOGY

The current Abbasid style of architecture in Baghdad can be traced back to the late Abbasid period and observed in several monuments in Rusafa, such as the Abbasid palace and al-

8

Saba Sami Al-Ali, Nawar Sami Al-Ali

Mustansirya School of theology. Its salient characteristics are the use of elements such as the fourpointed arch and recessed jambs in openings and arcades, the arcuate roofing system including vaults and domes, intricate rows of brick squinches, and wall surfaces ornamented with geometrical, florid patterns, and Arabic calligraphy. The material is the local brick presented in its highest techniques and giving the entire structure a mono-color of bright yellow. All these elements constitute an integrated totality of a continuous mass. These characteristics would compose a surface structure to denote the image of the style, and the impression is that of a “carved in brick architecture”.

When observing the architecture of the Khulafaa mosque, one cannot miss the denoted meaning of the building as a mosque, as its surface structure is composed of all the elements expected in its mental image; the dome, the minaret, the arcades, calligraphy and ornamentation, all fashioned in the previously described Abbasid style. Furthermore, another meaning is conveyed explicitly to the interpreter. This meaning is generated through the disjoining of the elements of Abbasid style from each other with intervals in-between where new elements of new contemporary material (concrete) are inserted to act as structural elements. This could mainly be seen in the arcades of the entrance, the Sahan's rear wall-arcade, and the prayer hall. The entire image of the mosque confirms the description that Radoine coined for Makiya's architecture as "skillful maneuvering of contemporary architectural and engineering structural systems to cope with the symbolism of the building envelope" (Radoine, 2017) (Figure 5). The conveyed message to be read is a Modern local mosque for prayer.

Figure 5: Meaning in the Surface Structure of the Khulafaa Mosque Top Left: The Abbasid Mediaeval Palace in Rusafa, Middle & Right: Details of disjointed elements of the Khulafaa Mosque Bottom Left: Khulafaa Mosque facade, and Bottom Right: Sahan of the mosque. (Courtesy of Sultani (2014))

*Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

9

3.4.2

DEEP STRUCTURE AND THE CONNOTED MEANING: A PLACE FOR URBAN CONTINUITY

To read the meanings residing in the deep structure, one must comprehend the urban context in which the Khulafa Mosque is situated: First, there was the grand modernist avenue, the Khulafaa Street, which exposed the minaret as a freestanding element, and tore apart the organic urban fabric of markets and neighborhoods. Second, new master plans allowed the construction of multi-floor buildings on the street. Some of them had already been built when Makiya received the project's commission. They appeared with faรงades of white surfaces, suggesting new heights in the city skyline that jostle the ancient minaret and its new mosque, see (Figure 6). This issue of heights was an urgent concern for the architect, as he states in his memories: "I wrote a letter to the Municipality of Baghdad asking to prevent selling the land adjacent to the minaret, and to prevent new near buildings from reaching rivaling heights. I asked just for these two requirements; however, my true ambition was to remove the street in front of the minaret and the mosque."

(Makya, 2012) Makiya's design presents a shift from the typological relations of the Classical Ottoman mosque. The plan of most Ottoman mosques contains an outdoor gate leading to the Sahan usually surrounded by arcades, and an entrance to the prayer hall usually facing the outdoor gate. Thus the horizontal axis is established from the Qibla wall to the gate across the Sahan. As for the vertical axis, it is present with the minarets, the Minbar, and with the central dome. Arcades around the Sahan secure the closing of the sacred space from the outside secular world and opens it to the sky.

When observing the Khulafaa mosque architecture, one can identify an amalgamation of the main architectural elements: the prayer hall with the central dome, the minaret, the arcade, and the ablution place, all after being set free from their typological relations, hence establishing a new web of relationships in favor of heritage conservation and urban continuity. This can be read in several aspects of the compound as follows:

Figure 6: Context of the Khulafaa Mosque Left: Bird's-eye view looking east, mosque visible beyond the dome of the Latin Church and across Khulafaa Street.

Source: Courtesy of Mohamed Makiya Archive, Aga Khan Documentation Center, MIT Libraries (AKDC@MIT) Top Right: The mosque during its construction, Source: Courtesy of Getty Images.

Bottom Right: Recent photo of the Khulafaa Street viewed from the Kulafaa mosque roof.

10

Saba Sami Al-Ali, Nawar Sami Al-Ali

First, the Sahan is now open and facing the urban space in front of the mosque. This openness transformed it into a public place ready to interact with outside spaces. Furthermore, this public space was designed in such a way that it now embraces the historical minaret that had been disjointed from its context and exhibits it to the passersby, thus reaffirming its iconic historical status (Figure 7).

Figure 7: Formation of the Khulafaa Mosque ground plan Left: Plan of Sultan Ahmet Mosque in Istanbul, source: Papadupolo (1976) with Authors' addition of red shades for elements used in recomposing the Khulafaa mosque. Right: Ground Plan of Makya's Khulafaa Mosque.

Source: Courtesy of Sultani (2014) with Authors' addition of Grey shades for the area used around the mosque

Second, the prayer hall is reduced to a centrally focused shape, Octagon, necessary to carry the only roof it needs--the grand dome--, and thus prepared to receive an entry from any of its eight sides. The result distorts the horizontal axis of the sacred-secular. Third, the arcade is designed here as two fragments, but unlike traditional mosques, it does not surround the Sahan, but serves as the main entrances to it, thereby making the minaret the focal point. The entrance to the prayer hall appears secondary as it is accessed from the side of the right arcade. At the same time, both arcades suggest a connection to the urban context. To the right, the arcade parallel to the street leads directly to the main area where the Suq el- Ghazel is active, and from there, to the street's sidewalk. To the left, the arcade perpendicular to the street suggests a strong axis that extends from the gate, beyond the street, to the Tigris bank. As for the rear arcade of the Sahan, it is composed of articulated elements that imply lightness and transparency, which enhances the airiness of the Sahan. The entire implicit meaning of the Khulafaa Mosque is transformed from a sacred place for spirit assertion to a secular public space, honoring the historical fragment, the minaret, and suggesting urban continuity with the surrounding context.

3.4.3

BEYOND AL-KHULAFAA MOSQUE: THE URBAN EXTENDED VISION OF MAKYA

Makiya's preliminary drawings prepared for the redevelopment of the Khulafaa mosque compound in 1982, illustrate his vision for the urban development of the whole area through which the virtues of his mosque composition can be appreciated. The Khulafaa mosque would have become the main landmark, and this would have been the center of old Baghdad and the entire capital as well, which could have been linked to other places with historical landmarks such as the *Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

11

al-Mustansiriya school or the Abbasid palace. These drawings show a suggested plaza- Meydan, surrounded by arcades and defined as a car-free public space under which the Khulafaa street is diverted into a tunnel. It would have been the urban space that restores human scale, which had been lost due to the obsession with Modernity and manifestations of progress, namely wide streets for cars and high-rise buildings. In the drawings, the Sahan of the mosque is incorporated into the plaza, and another more private one is created behind its rear wall, where it functions as an entrance to a more prominent mosque that is commensurate with the suggested plaza's grandiose scale. The church of the Latines occupies the corner of the plaza. It is surrounded by a mass that keeps its privacy from the public space (Figure 8).

Figure 8: Plan of the Khulafaa City Center proposed by Makya in 1982.

Source: Courtesy of Mohamed Makiya Archive, Aga Khan Documentation Center, MIT Libraries (AKDC@MIT), with authors' addition of red circle around the Khulafaa Mosque.

The entire scheme reflects the ambition of the architect to restore the image of Baghdad as a city with domes and minarets with recognition to its present, rather than a city full of high rise buildings. Despite the limited incorporation of the Church of Latines' in Makiya's scheme, its high dome along with the dome of the mosque, and the minaret, create a spatial definition at an urban scale that holds the seed of such image (Figure 6).

4. CONCLUSION This paper explored the potentials of integrating historical fragments of cultural value into their present urban contexts, as they could be disabled when passively conserved, or worse, exposed to negligence and eventual loss. The paper stressed the role of heritage fragments as catalysts to revive a significant portion of their urban surroundings through processes of transformation to the meanings they had previously held explicitly or implicitly. The authors approached the topic from a Structuralist â&#x20AC;&#x201C; Semantic methodological perspective to provide an interpretation of the architecture of a mosque. The investigation on the Khulafaa mosque in Baghdad as a case study revealed that the architecture of the mosque was centered on its minaret-- a historic fragment that dates back to the late Abbasid era. The mosque holds a direct meaning as a place of prayer with its apparent and significant elements, fashioned in Abbasid style. This choice brings to revival the spirit of the lustrous Abbasid Baghdad. At the same time, the mosqueâ&#x20AC;&#x2122;s compositional relations were subjected

12

Saba Sami Al-Ali, Nawar Sami Al-Ali

to a process of disarticulation in favor of inserting elements of modern technology into the local mental image.

The implicit meanings of the mosque structure also went through a transformation by the reconfiguration of its typological relations, thus raising the level of the minaret’s significance from being exclusively part of the mosque to being active and incorporated on an urban scale. This suggests that the fragment intrinsically belongs to the city. At the same time, the minaret is still part of this unique building designed in the new era. Such treatment does not deprive fragments of their importance, and does not determine the type of their materials, but engages them with a different scale, and various complexities of signification.

5. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

6. ACKNOWLEDGEMENT The authors fully appreciate the help of Professor Esra Ackan from Cornell University, USA for her review and comments on this paper, as well as the Consultant Architect Akram Ogaily for his help in disclosing some information concerning the work of his office (ARCH.CENTER) with Makya on the Khulafa mosque during the nineteen eighties.

7. REFERENCES Allahham, A. (2019). Metamorphosis of Mosque Semiotics: From sacred to secular power metaphorism – the case of state mosques. Archnet-IJAR, 13(1), 204-217. Emerald Publishing.

Al-Ali, N. S. (1997). Al- Ihea fil Imara (Revival in Architecture), Dari Sh'oone Thaqafya press, Baghdad.

Al-Ali N. S. & Al-Ali S. S. (2015). al-Khasses al-Shakliyalil-Namat el-Mimarylil-Masajid (Formal Characteristics of the Architectural Type of contemporary Mosques within the concept of Topology). Alhandassa Journal of the College of Engineering, Baghdad University, 21(1), 3054.

Ameen, M. H. & Alussi, S. (1965) Rihlat Nebur Elal Iraq fil Qarnil Thamin Ashar (Trip of Neibuhr to Iraq in the Nineteenth Century). Ministry of Culture and Guidance-General Diroctrate of Culture, Baghdad.

Bonta, J. (1980). Notes for a Theory of Meaning in Design. In: Signs, Symbols, and Architecture.

Broadbent, G. (edit), 275-310.

Burckhardt, T. (1976). Art of Islam; Language and meaning, World Wisdom, Inc. Edition 2009 Gandelsonas, M. & Morton, D. (1980). On Reading Architecture. In: Signs, Symbols, and Architecture.

Broadbent, G. (edit), 234-273.

Fitch, J. M. (1980). Historic Preservation: Curatorial Management of the Built World. University of Virginia Press, Gawlikowska, A.P. (2013). From Semantics to Semiotics. Communication of Architecture.

Architecturae et Artibus, 5(1), 51-61.

Glendinning, M. (2013). The Conservation Movement: A History of Architectural Preservation.

Routledge. *Corresponding author (S.S.Al-Ali). Tel:+9647902394256 Email: dr.sabasam@eng.nahrainuniv.edu.iq ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A12R http://TUENGR.COM/V11A/11A12R.pdf DOI: 10.14456/ITJEMAST.2020.243

13

Grabar, O. (1979). Symbols and Signs in Islamic Architecture, in Architecture as Symbol and SelfIdentity", Jonathan, G. (edit.) Katz.Philadelphia: Aga Khan Award for Architecture.

Haraty, H. J. S. & Utaberta, N. (2019). Contemporary Trends of Research and Writing on Mosques Design: Analysis of the Most Recent Publications. International Journal of Engineering & Technology, 8(1.9), 528-532.

Joseph, R. (1981). The Semiotics of the Islamic Mosque in Arab Studies Quarterly, 3(3), 285-295.

Khaki, A. & Abad, A. S. H. (2015). The Essence of Islamic Architecture of Mosques: a Reflection on the Spiritual Identity and Sacred Suppositions. Cumhuriyet Science Journal, 36(4), 2314- 2321.

Kultermann, U. (1999). Contemporary Architecture in the Arab States. McGraw-Hill.

Radoine, H. (2017). Architecture in Context: Designing in the Middle East. John Wiley & Sons.

Ramzy, N. S. (2013). Visual language in Mamluk architecture: A semiotic analysis of the Funerary Complex of Sultan Qaitbay in Cairo. Frontiers of Architectural Research, 2(3), 338-353.

Salman, I., and others. (1982). Al-Imarat el-Arabiya el- Islamiya fil-Iraq (The Arabic-Islamic Buildings in Iraq), part1, Drel-Rasheed press, Baghdad.

Sultani, K. (2014). Mohammed Makiya: MiaatAammin al-Imarawal- Hayat (Mohammed Makiya: a century of Architecture and Life), Dar el-Adeeb, Amman.

Sussa, A., Jawad, J. (1958). Dalil Kharitat Baghdad al-Mufassal (The Detailed Guide to the Map of Baghdad), The Iraqi Scientific Council.

FonalitĂŠ/Flickr.com. (2013). {HDR} Askanischer Platz/Anhalter Bahnhof/Tempodrom - Berlin. http://www.flickr.com/photos/29803006@N08/8788498914 Retrieved March 2019.

Dr.Saba S. M. Al Ali is an Assistant Professor at the Department of Architecture, Al Nahrain University, Iraq.

She got her Ph.D. Degree in History and Theory of Architecture from University of Baghdad, Iraq. Her field of interest is Architectural Heritage, History of Architecture, and Urban History.

Dr.Nawar S. M. Al Ali is a consultant architect and researcher in Baghdad. Her field of interest is the Theory of Architecture, Digital Architecture, and History of Architecture. She was an Assistant Professor at the Department of Architecture, Philadelphia University in Jordan. She holds a Ph.D. in Theory of Architecture from Cairo University.

Note: The original of this article was reviewed, accepted, and presented at the 4th International Conference-Workshop on Sustainable Architecture and Urban Design (ICWSAUD2019) conference held in Penang, Malaysia during 24-26 June 2019.

14

Saba Sami Al-Ali, Nawar Sami Al-Ali

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12S

METHOD OF BOUNDARY STATES IN PROBLEMS OF INTERACTIONS OF TWO CAVITIES 1*

M.V. Polikarpov , V.B. Penkov 1

1

Department of General Mechanics, Lipetsk State Technical University, Lipetsk, RUSSIAN FEDERATION.

ARTICLEINFO

A B S T RA C T

Article history: Received 15 January 2020 Received in revised form 04 June 2020 Accepted 15 June 2020 Available online 24 June 2020

The paper deals with the formed stress-strain condition of mass resulting from the interaction of two spherical cavities taking into account physical singularity, with variations in intra-cavity pressure and dependence of strength characteristics on the distance between cavities.

Singularity was taken into account due to the use of special solutions of the expansion center type when organizing the method of boundary states. The strength reserve factors were calculated. The results of the numerical-analytical solution are presented in graphical form.

Keywords: Fourier coefficients; 3D spherical cavities problems; Singularity; Stress-strain state; Method of boundary states; Elastostatic body.

Disciplinary: Engineering Mechanics (Modeling & Simulation) ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Today, mathematical modeling is widely used in various fields of knowledge, including geology.

Construction of a high-quality mathematical model is a prerequisite for the design of such engineering structures as underground gas storage (UGS). Such models are one of the main tools for solving various geological and engineering problems.

There is a unique Unified Gas Supply System in Russia that includes the UGS system.

Underground storage facilities allow guaranteeing natural gas supply to consumers regardless of season, temperature fluctuations, force majeure [1].

This article deals with the issue of modeling the interaction of two cavities, which are the UGS model at varying intra-cavity pressure, as well as the dependence of the strength characteristics of the load-bearing mass on the distance between the cavities. The stress-strain condition is constructed utilizing a sophisticated energy method - method of boundary states (MBS).

2. METHOD OF BOUNDARY STATES The fundamental concept of MBS is the condition of the medium, which is a particular solution to the defining equations of the medium, regardless of the conditions determined at the boundary of a *Corresponding author (M.V. Polikarpov). E-mail: messiah142@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12S http://TUENGR.COM/V11A/11A12S.pdf DOI: 10.14456/ITJEMAST.2020.244

1

body [5]. Defining relations in the mathematical model of a homogeneous elastostatic body are presented in tensor-index notation (a point in the index means differentiation, repetition of indexes means summation) and are enclosed in Cauchy relations đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = 1ďż˝2 (đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; + đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;,đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; )

(1),

the generalized Hookeâ&#x20AC;&#x2122;s law

đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = đ?&#x153;&#x2020;đ?&#x153;&#x2020;đ?&#x153;&#x2020;đ?&#x153;&#x2020;đ?&#x203A;żđ?&#x203A;żđ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; + 2đ?&#x153;&#x2021;đ?&#x153;&#x2021;đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

(2),

đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; + đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;0 = 0

(3).

the equilibrium equation

where đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; displacement vector components, đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; strain tensor components đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; stress tensor

components, đ?&#x153;&#x192;đ?&#x153;&#x192; â&#x20AC;&#x201C; volumetric deformation đ?&#x203A;żđ?&#x203A;żđ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; Kronecker symbol, đ?&#x153;&#x2020;đ?&#x153;&#x2020;, đ?&#x153;&#x2021;đ?&#x153;&#x2021; â&#x20AC;&#x201C; Lame parameters, đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;0 â&#x20AC;&#x201C;

volumetric forces. With fixed values đ?&#x153;&#x2020;đ?&#x153;&#x2020;, đ?&#x153;&#x2021;đ?&#x153;&#x2021; the set of relations (1)-(3) is reduced to a system of Lameâ&#x20AC;&#x2122;s equations đ?&#x153;&#x2021;đ?&#x153;&#x2021;đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; + (đ?&#x153;&#x2020;đ?&#x153;&#x2020; + đ?&#x153;&#x2021;đ?&#x153;&#x2021;)đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; + đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;0 = 0.

Their general solution was developed by Papkovic and Neuber and presented in the form of Arzhanykh-Slobodyansky (body forces absence case) for a limited simple-connected body đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = 4(1 â&#x2C6;&#x2019; đ?&#x153;&#x2C6;đ?&#x153;&#x2C6; )đ??ľđ??ľđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; + đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;&#x2014;đ?&#x2018;&#x2014; đ??ľđ??ľđ?&#x2018;&#x2013;đ?&#x2018;&#x2013;,đ?&#x2018;&#x2014;đ?&#x2018;&#x2014; â&#x2C6;&#x2019; đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ??ľđ??ľđ?&#x2018;&#x2014;đ?&#x2018;&#x2014;,đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

(4),

đ?&#x153;&#x2030;đ?&#x153;&#x2030; = {đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; , đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; , đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; },

(5),

where đ?&#x153;&#x2C6;đ?&#x153;&#x2C6; â&#x20AC;&#x201C; Poisson's ratio, đ??ľđ??ľđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; component of an arbitrary harmonic vector. General solutions (4) are an effective tool for building the basis of a state-space representation for a body with no singular factors [5].

The concept of the medium condition is transformed into the notions of internal đ?&#x153;&#x2030;đ?&#x153;&#x2030; and boundary đ?&#x203A;žđ?&#x203A;ž conditions if it is the case of a specific body đ?&#x2018;&#x2030;đ?&#x2018;&#x2030; with a boundary đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; where đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; |đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; â&#x2C6;&#x2122; đ?&#x2019;?đ?&#x2019;?.

đ?&#x203A;žđ?&#x203A;ž = {đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; |đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; , đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; }

A set of all possible conditions đ?&#x153;&#x2030;đ?&#x153;&#x2030; â&#x;ˇ đ?&#x203A;žđ?&#x203A;ž forms isomorphic Hilbert spaces of internal Î&#x17E; and boundary Î&#x201C; conditions with scalar products, (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;) (đ?&#x2018;&#x161;đ?&#x2018;&#x161;)

(đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;) (đ?&#x2018;&#x161;đ?&#x2018;&#x161;)

(đ?&#x153;&#x2030;đ?&#x153;&#x2030; (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;) , đ?&#x153;&#x2030;đ?&#x153;&#x2030; (đ?&#x2018;&#x161;đ?&#x2018;&#x161;) )Î&#x17E; = â&#x2C6;Ťđ?&#x2018;&#x2030;đ?&#x2018;&#x2030; đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; ,

(đ?&#x203A;žđ?&#x203A;ž (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;) , đ?&#x203A;žđ?&#x203A;ž (đ?&#x2018;&#x161;đ?&#x2018;&#x161;) )Î&#x201C; = â&#x2C6;Ťđ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

which are equal due to the principle of virtual displacements

đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; ,

(đ?&#x153;&#x2030;đ?&#x153;&#x2030; (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;) , đ?&#x153;&#x2030;đ?&#x153;&#x2030; (đ?&#x2018;&#x161;đ?&#x2018;&#x161;) )Î&#x17E; = (đ?&#x203A;žđ?&#x203A;ž (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;) , đ?&#x203A;žđ?&#x203A;ž (đ?&#x2018;&#x161;đ?&#x2018;&#x161;) )Î&#x201C;.

After orthogonalization, the attributes of resulting internal and boundary conditions are presented in Fourier series by elements of orthonormal bases (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;)

(đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;)

(đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;)

đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = â&#x2C6;&#x2018;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; , đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = â&#x2C6;&#x2018;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; , đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = â&#x2C6;&#x2018;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; , (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;)

(đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;)

đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; |đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; = â&#x2C6;&#x2018;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; |đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; , đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = â&#x2C6;&#x2018;đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; .

Thus, the solution to the primal problems for any linear media and bodies of arbitrary outlines is

2

M.V. Polikarpov, V.B. Penkov

reduced to the elementary calculation of quadratures. The convergence of a series of factors đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; was proven [8].

3. CONSTRUCTION OF A SPECIAL SOLUTION FOR THE CENTER OF EXPANSION Singularity is taken into account using special solutions in the method of boundary states, namely formation of countable bases with their direct inclusion for spaces of internal and boundary conditions.

Displacement of observation point đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC; in unbounded elastic medium from the center of expansion in point đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; with intensity đ?&#x203A;&#x2019;đ?&#x203A;&#x2019; Ă&#x2014; đ???đ??? is determined by Formula (6) using the Kelvin-Somigliana tensor [3] đ??Žđ??Ž(đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;, đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;) =

1â&#x2C6;&#x2019;2đ?&#x153;&#x2C6;đ?&#x153;&#x2C6;

24đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x153;&#x2039;(1â&#x2C6;&#x2019;đ?&#x153;&#x2C6;đ?&#x153;&#x2C6;)

đ?&#x203A;&#x2019;đ?&#x203A;&#x2019; Ă&#x2014; đ???đ???

where đ??&#x2018;đ??&#x2018; = đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC; â&#x2C6;&#x2019; đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; , đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; = ďż˝đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC; â&#x2C6;&#x2019; đ?&#x2018;&#x;đ?&#x2018;&#x;đ?&#x2018;&#x201E;đ?&#x2018;&#x201E; ďż˝.

đ??&#x2018;đ??&#x2018;

(6),

đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 3

Below is an example of the construction of a special solution for the basis of internal conditions 1

described in the paper [9] for the expansion center at the point with coordinates ďż˝0,0, â&#x2C6;&#x2019; ďż˝ and at đ?&#x153;&#x2021;đ?&#x153;&#x2021; = 1, đ?&#x153;&#x2C6;đ?&#x153;&#x2C6; =

2

1 4

đ??&#x2018;đ??&#x2018; = ďż˝

đ?&#x2018;Ľđ?&#x2018;Ľ đ?&#x2018;Śđ?&#x2018;Ś

1ďż˝ + đ?&#x2018;§đ?&#x2018;§ 2

ďż˝,

đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; = ďż˝đ?&#x2018;Ľđ?&#x2018;Ľ 2 + đ?&#x2018;Śđ?&#x2018;Ś 2 + (1ďż˝2 + đ?&#x2018;§đ?&#x2018;§)2 ,

7đ?&#x2018;Ľđ?&#x2018;Ľ

204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;3

â&#x17D;&#x203A; 7đ?&#x2018;Śđ?&#x2018;Ś â&#x17D;&#x17E; đ??Žđ??Ž(đ?&#x2018;&#x20AC;đ?&#x2018;&#x20AC;, đ?&#x2018;&#x201E;đ?&#x2018;&#x201E;) = â&#x17D;&#x153; 204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;3 â&#x17D;&#x;.

7(1ďż˝2+đ?&#x2018;§đ?&#x2018;§)

â&#x17D;? 204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;3 â&#x17D;

Using (1), we will form the deformation tensor components 14(â&#x2C6;&#x2019;8đ?&#x2018;Ľđ?&#x2018;Ľ2+4đ?&#x2018;Śđ?&#x2018;Ś 2+(1+2đ?&#x2018;§đ?&#x2018;§)2) 204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

â&#x17D;&#x203A; đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;Ě&#x201A; = â&#x17D;&#x153;

68đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľ(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

68đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;5 14(4đ?&#x2018;Ľđ?&#x2018;Ľ 2â&#x2C6;&#x2019;8đ?&#x2018;Śđ?&#x2018;Ś 2+(1+2đ?&#x2018;§đ?&#x2018;§)2) 204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Śđ?&#x2018;Ś(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľ(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

68đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Śđ?&#x2018;Ś(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

68đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 28(2đ?&#x2018;Ľđ?&#x2018;Ľ 2+2đ?&#x2018;Śđ?&#x2018;Ś 2â&#x2C6;&#x2019;(1+2đ?&#x2018;§đ?&#x2018;§)2)

â&#x17D;?

68đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 68đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 By means of (2), we will construct the components of the stress tensor â&#x2C6;&#x2019;28(8đ?&#x2018;Ľđ?&#x2018;Ľ 2â&#x2C6;&#x2019;4đ?&#x2018;Śđ?&#x2018;Ś 2â&#x2C6;&#x2019;(1+2đ?&#x2018;§đ?&#x2018;§)2)

â&#x17D;&#x203A; đ?&#x153;&#x17D;đ?&#x153;&#x17D;ďż˝ = â&#x17D;&#x153; â&#x17D;?

â&#x17D;

â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľ(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Śđ?&#x2018;Ś(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

34đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;5 56(2đ?&#x2018;Ľđ?&#x2018;Ľ2+2đ?&#x2018;Śđ?&#x2018;Ś 2â&#x2C6;&#x2019;(1+2đ?&#x2018;§đ?&#x2018;§)2)

204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

34đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 28(4đ?&#x2018;Ľđ?&#x2018;Ľ2â&#x2C6;&#x2019;8đ?&#x2018;Śđ?&#x2018;Ś 2+(1+2đ?&#x2018;§đ?&#x2018;§)2)

34đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5

34đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5

34đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; 5 â&#x2C6;&#x2019;7đ?&#x2018;Ľđ?&#x2018;Ľ(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§)

â&#x17D;&#x17E; â&#x17D;&#x;.

34đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;5 â&#x2C6;&#x2019;7đ?&#x2018;Śđ?&#x2018;Ś(1â &#x201E;2+đ?&#x2018;§đ?&#x2018;§) 204đ?&#x153;&#x2039;đ?&#x153;&#x2039;đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;5

â&#x17D;&#x17E; â&#x17D;&#x;. â&#x17D;

A set of expressions for đ??Žđ??Ž, đ?&#x153;&#x20AC;đ?&#x153;&#x20AC;Ě&#x201A;, đ?&#x153;&#x17D;đ?&#x153;&#x17D;ďż˝, form, according to (5), element đ?&#x153;&#x2030;đ?&#x153;&#x2030; of internal conditions space, stored in the computerâ&#x20AC;&#x2122;s memory in analytical form.

4. SETTING OF PROBLEMS ABOUT THE INTERACTION OF TWO SPHERICAL CAVITIES The first primal problem of the theory of elasticity (according to Muskhelishviliâ&#x20AC;&#x2122;s classification *Corresponding author (M.V. Polikarpov). E-mail: messiah142@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12S http://TUENGR.COM/V11A/11A12S.pdf DOI: 10.14456/ITJEMAST.2020.244

3

[4]) is solved employing MBS in non-dimensional formulation for homogeneous elastostatic medium enclosed inside the semi-sphere of radius đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; and height đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; located on the axis đ?&#x2018;§đ?&#x2018;§ within the limits of đ?&#x2018;§đ?&#x2018;§ â&#x2C6;&#x2C6; [â&#x2C6;&#x2019;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;; 0] (Figure 1). The origin of the coordinates is located on the boundary S4 , so that đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A; plane touches the earthâ&#x20AC;&#x2122;s surface. The coordinates of the centers of spheres with S1 and S2 radii đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; â &#x201E;100 are ( Âąđ?&#x2018;?đ?&#x2018;?, 0, â&#x2C6;&#x2019; đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; â &#x201E;4 ) with the distance between the spheres R . Under the Saint-Venant principle, the boundaries S3 and S4 are significantly removed from the region in question so as not to distort the pressure value directly on and near cavities S1 and S2 .

Granite layers, which are located closer to the earthâ&#x20AC;&#x2122;s surface, are selected for UGS modeling.

Shear modulus for granite is a value ranging from 1.4 Ă&#x2014; 1010 to 4.4 Ă&#x2014; 1010 Pa, a value of 1.6 Ă&#x2014; 1010 Pa was used in the solution. The value of Poissonâ&#x20AC;&#x2122;s ratio for granite is taken in the range from 0.10 to 0.15, a value of 0.15 was used in the solution [10].

The boundary conditions on the border of đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; body are of the following form: {cos Ď&#x2020; cos θ , cos θ sin Ď&#x2020; , sin θ}, â&#x2C6;&#x2C6; S1 đ??Šđ??Šđ?&#x;?đ?&#x;? |â&#x2C6;&#x201A;V = ďż˝ {0,0,0}, â&#x2C6;&#x2C6; S2 , S3 , S4 {cos Ď&#x2020; cos θ , cos θ sin Ď&#x2020; , sin θ}, â&#x2C6;&#x2C6; S1 , S2 đ??Šđ??Šđ?&#x;?đ?&#x;? |â&#x2C6;&#x201A;V = ďż˝ {0,0,0}, â&#x2C6;&#x2C6; S2 , S3 , S4 Parameters: 1 1 1 1 1 1 1 đ?&#x2018;?đ?&#x2018;? â&#x2C6;&#x2C6; ďż˝ , , , , , , ďż˝ , 10 20 30 40 60 80 99 9 2 7 3 1 1 1 đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; â&#x2C6;&#x2C6; ďż˝ , , , , , , ďż˝.

50 25 150 100 75 200 4950

Figure 1: 3D Medium.

Calculations were performed by non-dimensionalization through scales đ?&#x153;&#x2021;đ?&#x153;&#x2021;, đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;; after non-dimensionalization the value đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; = 1 was taken. The load parameter was set equal to đ?&#x153;&#x2021;đ?&#x153;&#x2021; (at any other value resulting in the stress and force fields change proportionally).

In the case of the first primal problem, Fourier coefficients of the splitting of target condition on the orthonormal basis ďż˝đ?&#x153;&#x2030;đ?&#x153;&#x2030; (1) , đ?&#x153;&#x2030;đ?&#x153;&#x2030; (2) , â&#x2039;Ż , đ?&#x153;&#x2030;đ?&#x153;&#x2030; (đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC;), â&#x2039;Ż ďż˝ â&#x2C6;&#x2C6; Î&#x17E; of the space of internal conditions Î&#x17E; are calculated per the definition of the scalar product on the body border [6] (đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;)

đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; = ďż˝đ?&#x203A;žđ?&#x203A;ž, đ?&#x203A;žđ?&#x203A;ž (đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;) ďż˝ = â&#x2C6;Ťđ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022;đ?&#x153;&#x2022; đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;đ?&#x2018;&#x2018; ,

(đ?&#x2018;&#x2122;đ?&#x2018;&#x2122;)

where đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x20AC;&#x201C; the components of the surface forces đ?&#x2018;˘đ?&#x2018;˘đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;

â&#x20AC;&#x201C; axis đ?&#x2018;&#x2039;đ?&#x2018;&#x2039;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; translation from the orthonormal

basis of the boundary conditions space Î&#x201C;.

The system of Fourier coefficients is subordinated to Besselâ&#x20AC;&#x2122;s inequality (the left part of Besselâ&#x20AC;&#x2122;s inequality that correlates Fourier coefficients with the Euclidean norm of a split element) â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 đ?&#x2018;?đ?&#x2018;?đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;2 â&#x2030;¤ â&#x20AC;&#x2013;đ?&#x153;&#x2030;đ?&#x153;&#x2030; â&#x20AC;&#x2013; 2Î&#x17E; = â&#x20AC;&#x2013;đ?&#x203A;žđ?&#x203A;žâ&#x20AC;&#x2013; 2Î&#x201C;

(7),

where n is the dimensionality of a truncated base.

Figure 2a graphically shows Fourier coefficients, where the coefficient number is indicated on the horizontal axis, and the value of this coefficient is indicated on the vertical axis.

4

M.V. Polikarpov, V.B. Penkov

a)

b) Figure 2: a) Fourier coefficients, b) saturation of Besselâ&#x20AC;&#x2122;s sum.

Reliability of the obtained results can be characterized by the quadratic residual of boundary conditions with the results of the surface solution, which amounted to the value of the order of 0.003, as well as the fact of saturation of Besselâ&#x20AC;&#x2122;s sum (left part of the Bessel inequality (7)), see Figure 2b, where the horizontal axis indicates the number of summed coefficients, and the vertical axis indicates the sum of squares of these coefficients.

The results show the explicit saturation of Bessel sum, which indicates the practically observed stability of the solution of the infinite system of linear algebraic equations. This fact is one of the indirect indicators characterizing the quality of the solution.

5. SOLUTION RESULTS IN GRAPHICAL FORM The study revealed that stresses reach their positive maximum on the boundary, approximately at a point with coordinates relative to the center of the cavity: đ?&#x2018;&#x;đ?&#x2018;&#x; â&#x2020;&#x2019; 0.01; đ?&#x153;&#x192;đ?&#x153;&#x192; â&#x2020;&#x2019; â&#x2C6;&#x2019;0.685; đ?&#x153;&#x2018;đ?&#x153;&#x2018; â&#x2020;&#x2019; 2.356 (spherical coordinate system). The analysis of the stress condition in the cross-section đ?&#x2018;Ľđ?&#x2018;Ľ = â&#x2C6;&#x2019;0.09

for the project with the parameters đ?&#x2018;?đ?&#x2018;? = 0.1 and R = 0.18 is presented by isolines in Figure 3.

Figure 3: Distribution of stress intensity in đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A; plane.

*Corresponding author (M.V. Polikarpov). E-mail: messiah142@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12S http://TUENGR.COM/V11A/11A12S.pdf DOI: 10.14456/ITJEMAST.2020.244

5

The characteristics that are responsible for the stress-strain condition take the form of cumbersome analytical expressions; due to their visual invisibility, they are not given here. For the sake of brevity, Figures 4 and 5 present the stress intensity isolines built in the cross-section đ?&#x2018;Śđ?&#x2018;Ś = 0.

Darker layers in Figures 4 and 5 correspond to higher compression (zero level lies inside the cavities). Stresses đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ reach their maximum at the lateral poles of spherical cavities, stresses tend to zero with distance along đ?&#x2018;?đ?&#x2018;? axis. It should be noted that in axial stress character (đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§ ) a section with zero stress in the medium between the cavities is formed, stresses decrease with distance along đ?&#x2018;&#x2039;đ?&#x2018;&#x2039; axis. Shear stresses đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ near the cavity are determined by the degree of pressure inside the cavity.

a) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

b) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

c) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§

d) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§

e) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

f) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

Figure 4: Stress isolines for đ??Šđ??Šđ?&#x;?đ?&#x;? |â&#x2C6;&#x201A;V (pressure in the single cavity) 1 3 a) c) e) at đ?&#x2018;?đ?&#x2018;? = and R = , 40 1

b) d) f) at đ?&#x2018;?đ?&#x2018;? =

6

M.V. Polikarpov, V.B. Penkov

60

and R=

100 1

.

75

a) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

b) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

c) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§

d) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§

e) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

f) đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

Figure 5: Stress isolines for đ??Šđ??Šđ?&#x;?đ?&#x;? |â&#x2C6;&#x201A;V (pressure in both cavities) 1 2 a) c) e) at đ?&#x2018;?đ?&#x2018;? = and R = , b) d) f) at đ?&#x2018;?đ?&#x2018;? =

20 1

80

and R=

25 1

.

200

The procedure of non-dimensionalization of the typical value of tensile strength for granite, which is in the range from 1.5 Ă&#x2014; 108 to 2.7 Ă&#x2014; 108 Pa, was carried out, the solution used the đ?&#x153;&#x17D;đ?&#x153;&#x17D; 0 maximum value of 2.7 Ă&#x2014; 108 Pa: đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; = đ?&#x2018;&#x2021;đ?&#x2018;&#x2021;ďż˝đ?&#x153;&#x2021;đ?&#x153;&#x2021;0 . Stress intensity is calculated according to the Huber-Mises elastic limit condition theory [7] đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; =

đ?&#x2018;?đ?&#x2018;?

â&#x2C6;&#x161;2

2 + đ?&#x153;&#x17D;đ?&#x153;&#x17D; 2 + đ?&#x153;&#x17D;đ?&#x153;&#x17D; 2 ), ďż˝(đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ â&#x2C6;&#x2019; đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Śđ?&#x2018;Śđ?&#x2018;Śđ?&#x2018;Ś )2 + (đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Śđ?&#x2018;Śđ?&#x2018;Śđ?&#x2018;Ś â&#x2C6;&#x2019; đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§ )2 + (đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§đ?&#x2018;§ â&#x2C6;&#x2019; đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ )2 + 6(đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ đ?&#x2018;Śđ?&#x2018;Śđ?&#x2018;Śđ?&#x2018;Ś đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ

where đ?&#x2018;?đ?&#x2018;? â&#x2C6;&#x2C6; {0.000625, â&#x2039;Ż , 0.0125} .

This force range is the non-dimensionalized equivalent of the actual force range from 10 Ă&#x2014;

106 to

200 Ă&#x2014; 106 Pa. In this regard, the highest value of stress intensity in region đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;, is of interest đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161; (đ?&#x2018;?đ?&#x2018;?, đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; ) = max đ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľđ?&#x2018;Ľ đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; (đ?&#x2018;Ľđ?&#x2018;Ľ, đ?&#x2018;?đ?&#x2018;?, đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;).

*Corresponding author (M.V. Polikarpov). E-mail: messiah142@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12S http://TUENGR.COM/V11A/11A12S.pdf DOI: 10.14456/ITJEMAST.2020.244

7

For this purpose, the safety factor (the ratio of maximum intensity to tensile strength) is calculated as a function of center-to-center distance at different pressure values đ??šđ??š =

đ?&#x153;&#x17D;đ?&#x153;&#x17D;đ?&#x2018;&#x2021;đ?&#x2018;&#x2021; . ďż˝đ?&#x153;&#x17D;đ?&#x153;&#x17D; đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161; (đ?&#x2018;?đ?&#x2018;?, đ?&#x2018;&#x2026;đ?&#x2018;&#x2026; )

Dependence of đ??šđ??šon the variable dimensional parameter đ?&#x2018;?đ?&#x2018;?, measured in MPa, is shown in Figure 6-7 as a diagram, where each column corresponds to one non-dimensional parameter of center-to-center distance đ?&#x2018;&#x2026;đ?&#x2018;&#x2026;, left to right from the larger to smaller, the coordinates of the cavity centers on the axis đ?&#x2018;&#x2039;đ?&#x2018;&#x2039; are shown in brackets.

Figure 6: Safety factor for đ??Šđ??Šđ?&#x;?đ?&#x;? |â&#x2C6;&#x201A;V (pressure in a single cavity).

8

Figure 7: Safety factor for đ??Šđ??Šđ?&#x;?đ?&#x;? |â&#x2C6;&#x201A;V (pressure in both cavities).

M.V. Polikarpov, V.B. Penkov

Any pair of force values and the parameter of center-to-center distance lying below the straight line corresponding to the value of the safety factor (equal to 1), will keep the complex of engineering structures in operating condition. The above values will lead to the destruction of the complex, respectively. This information allows design engineers to assign geometric and physical parameters, providing a suitable safety factor.

6. CONCLUSION From this research, there are many key findings. The method of numerical-analytical construction of stress-strain condition of the structure has been developed based on BCM, including physical singularity: center of expansions. The solution of a series of problems on UGS modeling has been created in the varying parameter of center-to-center distance for different pressure values utilizing BCM. Safety coefficients have been calculated and recommendations have been formed for design engineers to ensure sufficient strength of the system consisting of two storage facilities.

The maximum value of stresses in the solution with pressure in a single cavity is reached earlier than in the solution with pressure in both cavities.

7. AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

8. ACKNOWLEDGEMENT The Russian Foundation for Basic Research (RFBR) funded this study under the Project Number 19-31-90065.

9. REFERENCES [1]

Gazprom.

50 years of underground gas storage in Russia. https://www.gazprom.ru/f/posts/27/233865/50-years-underground-gas-storage-russia-ru.pdf (Accessed Dec, 2019)

2010.

[2] Lurie A.I. Spatial problems of elasticity theory. Moscow: GITTL, 1955, 492p.

[3] Lurie A.I. Theory of elasticity. â&#x20AC;&#x201C; Moscow: Nauka, 1970, 940p.

[4] Muskhelishvili N.I. Some basic problems of mathematical theory of elasticity. Moscow: Nauka. 1966, 708p.

[5] Penkov V.B., Penkov V.V. The method of boundary states for solving problems of linear mechanics. Far Eastern Mathematical Journal. 2001, 2(2), 115-137.

[6] Penkov V.B., Satalkina L.V. Method of boundary states with perturbations: inhomogeneous and nonlinear problems of the theory of elasticity and thermoelasticity. Germany: LAP LAMBERT Academic Publishing GmbH, 2012, 108p.

[7] Penkov V.B., Levina L.V., Polikarpov M.V. Optimization of lightweight fastening elements with varying geometric parameters. Bulletin of the Chuvash State Pedagogical University. I. Ya. Yakovleva. Series: Mechanics of Limit State. 2017, 4(34), 45-51.

[8] Penkov V.V. Method of boundary states in problems of linear mechanics. Diss. k. f-m. n., Tula, 2002, 83p. *Corresponding author (M.V. Polikarpov). E-mail: messiah142@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12S http://TUENGR.COM/V11A/11A12S.pdf DOI: 10.14456/ITJEMAST.2020.244

9

[9] Polikarpov M.V., Penkov V.B. Concentrated force effects in the method of boundary states. Bulletin of the Chuvash State Pedagogical University named after I. Ya. Yakovleva. Series: Mechanics of Limit State, 2020, 1(43), 34-44.

[10] I.K. Kikoina. Tables of physical quantities. Handbook. Moscow: Atomizdat. 1976, 1008p.

M.V. Polikarpov is a graduate student at Department of General Mechanics, Lipetsk State Technical University, Lipetsk, Russian Federation. His researches are the Field of Solid Mechanics.

Professor Dr. V.B. Penvok is at Department of General Mechanics, Lipetsk State Technical University, Lipetsk, Russian Federation. He holds a Doctor of Physical and Mathematical Sciences. His research focuses on Mathematical Problems and Methods in Continuum Mechanics, Mathematical Models and Methods in Economics.

10

M.V. Polikarpov, V.B. Penkov

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12T

COST BREAKDOWN OF RUSSIAN STATE DEFENSE ORDER PROCESSES FOR R&D WORKS 1*

2

3

Lyudmila Zubova , David Davydyants , Anna Yakovleva , 4 3 Eldar Miskhozhev , Petr Gaidai 1

Department of Research and Development, Military Space Academy named after AF Mozhaysky, 13 Zhdanovskaya st., 197198, St. Petersburg, RUSSIA. 2 Technical Service Department, Technological Service Institute (branch), Don State Technical University, Stavropol, RUSSIA. 3 Department of Management and Economics, Saint-Petersburg University of State Fire Service of EMERCOM of Russia, Saint-Petersburg, RUSSIA. 4 Department of Accounting and Audit, St. Petersburg State Marine Technical University, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 05 February 2020 Received in revised form 28 May 2020 Accepted 19 June 2020 Available online 24 June 2020

In this article, for the first time, a methodological approach has been developed for the formation of the aggregate cost of the economic risk of the State Defense Order, which allowed us to develop a methodology for the formation of the aggregate cost of the state defense order process (SDO) taking into account risks. An approach to the segmentation of public defense processes into risky and risk-free conditions is proposed. The classification of the total cost of the state defense order process (SSprots.goz) for risky and risk-free conditions of public defense was developed. The classification of the total cost of the State Defense Order process in risky and risk-free conditions will reflect the budget spent taking into account the risky and risk-free stages of the life cycle of rocket-karmic equipment.

Keywords: Uncertainty assessment; Risk management; R&D project; Project process; R&D financial indicator; Total risk cost; Russian Government R&D program; R&D in rocket and space technology.

Disciplinary: Risk Analysis, Military Studies. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Frequent disruption of R&D due to the implementation of the different nature of risks gradually leads to the need to understand the nature of the risk of the State Defense Order, their continuous accounting, assessment of their levels, and consequences.

Initially, accounting and risk assessment acquired quantitative forms, mathematical expression, and only after that they got a high-quality implementation, for example, they began to be used to select the best option from a variety of solutions to problems, study the impact of risks on certain *Corresponding author (L. Zubova). Email: LZubova@mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12T http://TUENGR.COM/V11A/11A12T.pdf DOI: 10.14456/ITJEMAST.2020.245

1

aspects of the progress of research and development (R&D) (Smirnov and Gorbunov, 2013).

Proposals for the state defense order and its main indicators are developed by state customers by the regulation on state regulation of prices for products delivered under state defense order, approved by the Government of the Russian Federation.

The main indicators of the state defense order are a set of parameters for financing the corresponding expenses of state customers established by the federal law on the federal budget for the corresponding year. However, the existing classification of costs does not allow to reflect the essence of the process and the complexity of R&D. The way out of this situation is possible only if there are appropriate scientific developments made taking into account their specific conditions. Therefore, the development of theoretical, methodological, and practical foundations, individual provisions for managing economic risks, tools and methodological support for analysis (at the stages of the feasibility study of research and development), and assessing the effect and effectiveness of their consequences is an urgent, modern and timely problem.

An analysis of the theoretical foundations and practical experience of analysis, management of economic risks, methodological support for assessing their consequences in military-economic activity, including economic security, shows that the studied issues are reflected a certain extent in a small number of scientific developments, the basis of which are fundamental work on the theory and methodology of risks, assessment, analysis of risks and the effectiveness of their consequences are reflected in scientific research in microeconomics, economics on organization, financial management and several other economic and mathematical disciplines.

The possibilities of applying the risk management procedure when executing the State Defense Order are described e.g. in the works of Anischenko (2015), Vikulova (2016). The problems of choosing a solution in the uncertainty conditions of the risk consequences and the issues of assessing and modeling economic risks are reflected in the works of Sherstyuk (2018), Tsisarsky (2013).

At present, the problem of developing effective methods for managing the processes of creating rocket and space technology in the face of foreign policy risks is being increasingly taken into account. This is reflected in the work of scientific schools: 46 Central Research Institute of the Ministry of Defense of the Russian Federation, Military Academy of Logistics Army General A.V. Khruleva of the Ministry of Defense of the Russian Federation.

The key competencies of the R&D project control service are presented in the works of Lavrinov (2010), analyzed the activities as part of the process of control and monitoring of R&D projects of the state defense order. Lavrinov (2010) carried out â&#x20AC;&#x153;Risk Management in the State Defense Order Systemâ&#x20AC;? with an extensive review of the existing methods of risk assessment and the definition of risk weights based on the probabilistic assessment of the failure of the project. Tsisarsky (2013) and Orlov and Tsisarsky (2013), Latyshenko et al. (2015), Kuzmin (2018) offer a multiplicative risk assessment model taking into account factors affecting the stages of the R&D life cycle.

2. MATERIALS AND METHODS Various materials were used to analyze the failures of experimental design work, as well as state standards for the development of rocket and space technology:

2

M.V. Polikarpov, V.B. Penkov

- GOST R 56649-2015 Space rocket technology. Foreign-made electronic component base (Zubova et al.2018); - GOST R 56648-2015 Base electronic component for rocket and space technology. Incoming inspection and additional tests. General provisions of GOST R 56648-2015 of foreign and domestic production (Lurie, 1955).

In this article, program-targeted and adaptive approaches were used, which allowed taking preventive measures to work risks and risks of supply of electronic components. The article also uses the method of expert assessments, which allows assessing the level of threat and the likelihood of risks at a particular stage of production of rocket and space technology (Charushnikov, 2015).

3. RESULTS AND DISCUSSIONS Modern technology is changing rapidly. A review of the scientific literature shows that the authors propose to use the method of expert assessment of the severity of consequences; apply the recorded previous experience for forecasting; carry out economic assessments of possible risks; adaptation of new technology for further advanced research, development, and innovation.

But all the proposed methods aimed, as accurately as possible, to assess the uncertainty, that is, the likelihood of risk.

The proposed approach by the author is fundamentally different - to assess the possible severity of consequences with the total cost of risk, including economically, that is, in essence, assess the price of risk to overcome possible negative events. But unlike the insurance approach, risks are assessed for the most significant factors, and not for all possible and not for anyone.

For decades, there have been discussions in the scientific community about the content and form of expression of the concept of “risk”. There is still no consensus on this issue. Many scientists define the concept of “risk” as a possible loss or damage, as well as the uncertainty or likelihood of adverse events. In many cases, the nature of the risk is not determined directly, but indirectly, for example, through its consequences (loss, threat, damage, etc.) or probability, which is the degree to which a particular event can occur in specific conditions, and no risk. It has been revealed that the substantial part of the risk is disclosed unilaterally, for a specific scientific field in which the scientist conducts research. Probability acts as a representation of the subject about the possible effect of the consequences of a perfect risk (action) or refusal of risk (inaction).

Based on a review of the content and form of expression of the concept of “risk”, we express our point of view from the general scientific, philosophical positions: risk is the adoption by a subject of a possible or forced decision in the face of uncertain consequences. Risk is a possible or necessary action, a possible or necessary reaction of a subject in conditions of uncertainty. Why is it possible or necessary? The subject may be in conditions in which he can choose to take risks or not, for example, playing roulette. Here, the decision-making by the subject is possible. When the subject finds himself in a situation without alternatives - you only need to take risks, it is impossible to exclude risk. In this case, the decision is forced. And the risk situation is a condition of uncertainty, i.e. an insufficient level of awareness of a particular situation in the subject, the outcome of which becomes the known result of the consequences of risk. The probability here appears as the subject's idea of possible events *Corresponding author (L. Zubova). Email: LZubova@mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12T http://TUENGR.COM/V11A/11A12T.pdf DOI: 10.14456/ITJEMAST.2020.245

3

(process failures) that entail certain consequences; thus, the subject is at risk.

Based on the author's definition of risk, we have developed a mathematical form of an indicator of the total cost of the economic risk of the State Defense Order and a method for calculating it.

In this regard, the authors propose an approach to estimating the total cost of the State Defense Order process (SSgoz), segmenting the totality of R&D processes into the cost of risk-free processes occurring under conditions of complete certainty (SSPred) and the total cost of risk processes proceeding under conditions of uncertainty (SSRneopr): SSgoz = SSPopred + SSRneopr

(1).

Classification of the total cost of risks will allow identifying indicators that are influenced by certain reasons that have reduced the level of actual (forecast) risk tolerance of the executing enterprise and the risk tolerance of the state during the implementation of state defense orders, and take promptly appropriate preventive measures.

The aggregate cost of the risk processes of the State Defense Order (SSRneopr) represents the total costs of the entity associated, respectively, directly or indirectly risk, risk costs, and other expenses associated with the results of the consequences of risks: SSRneopr = TsRetap + IR + Rpr

(2).

Figure 1: Structural-substantive scheme of the concept â&#x20AC;&#x153;Total cost of economic riskâ&#x20AC;? during the implementation of the State Defense Order.

Then the total cost of the risk processes of the State Defense Order, taking into account the costs associated with minimizing or eliminating the consequences of economic risk (Tsprev) of the State Defense Order (SSRneopr.prev), will be (Fig. 1): SSRneopr = TsRetap + IR + Rpr + Tsprev

(3),

Where: Tsprev - costs associated with minimizing or eliminating the consequences of economic risk; SSRneopr - the total cost of the economic risk of the State Defense Order; TsRetap - the price of economic risk at a certain stage; IR - costs of the consequences of economic risk; RPR - other expenses associated with economic risk.

4

M.V. Polikarpov, V.B. Penkov

Based on the variety of ongoing processes under the State Defense Order: scientific, production, organizational and managerial, financial and economic, processes for the provision of services by third parties (including supplies), the authors propose a new classification of indicators (Table 1), which can reflect the level of risk for defense industry enterprises and the state in the event of failure of state defense processes, to identify and evaluate destructive trends (risk-generating factors and development processes) taking into account the R&D life cycle.

The developed classification of the total cost of risk of the State Defense Order of the Republic of Kazakhstan consists of the total cost of the production and technological risk of SRproiz.tehn, the total cost of the scientific risk of SR scientific, the total cost of the organizational and managerial risk of SRorgan.upr, and the total cost of the financial and economic risk of SR financial.econom. and the total cost of risk with external co-executors of the SR ex. Monitoring the implementation and management of government contracts, taking into account the total costs of the risks of ongoing processes, will allow us to reflect what exactly caused the decrease in the actual risk tolerance from the planned one, to minimize the possible cost of budget funds, to determine resource characteristics and to choose the appropriate total cost of preventive costs. Table 1, classification of the total cost of risks will help to identify the reasons that reduced the level of actual (forecast) risk tolerance of the executing enterprise and the state during the implementation of the state defense order and take appropriate measures.

Table 1: Classification of total risk cost The total cost of risks SSRgoz SSgoz = SPopred + SSRneopr The total cost of risk-free processes occurring under The total cost of risk processes occurring in the face of uncertainty conditions of complete certainty (CSPopred) of the SDO processes (SSRneopr) implementation of SDO implementation of state defense orders The cost of the Other Costs Other ∑ (SSPopred) Process price Process costs ∑SSR Risk price consequences expenses of process costs preventive is risk. risk And R Production and Production SSPproiz.tehn CPproiz.techn. Iproiz.tehn.pr. Rproiz.tehn SSRproiz.techn. production production Tsprv technological Center tech. technology TsPRprev.

Rp. Scientific CSPnauchn CPU scientific Sci. R scientific SSR Tsprv Ir. scientific scientific scientific Organizational TsPRprev. and SSPorgan.upr CPU org.

Iorgan.

Roorgan.pr SSRorgan.upr Tsprv Ir. org.

Rp. org. org. management Financial and CPU finance Tsprev.

Ir. finance Rp. finance SSPfinan.ekon Ifan.Econ.pr R finance. SSRfinan.ekon.

Tsprv economic econ finance econ econ econ Processes for the provision of services by e.g. Yokaz Tsprev.

CSP CPU prov.

R prov.

SSR Tsprv Ir. prov.

Rp. prov. third parties company prov. (including supplies).

4. CONCLUSION This work emphasizes the cost breakdown of state defense order processes for R&D works for the cases of risk and risk-free processes. Classification of the total cost of risks will help to identify the causes that have reduced the level of actual (forecast) risk tolerance of the executing enterprise and the state during the implementation of the state defense order, and take appropriate measures.

This study is important for Russian rocket and space R&D budget management and allocations. *Corresponding author (L. Zubova). Email: LZubova@mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12T http://TUENGR.COM/V11A/11A12T.pdf DOI: 10.14456/ITJEMAST.2020.245

5

5. AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

6. REFERENCES Zubova L.V., Kuzmin V.N., Sherstyuk A.V. (2018). Model of administration of managerial decisions based on estimation of risk-stability of enterprises.

Kuzmin V.N., Sherstyuk A.V. (2018). Management model based on risk assessment of enterprises.

Lavrinov G.A., Kozin M.N. (2010). Risk management in the state defense order system (monograph) Saratov. The Science, 114-118.

Latyshenko G.I., Sycheva E.M., Anischenko Yu.A. (2015). Risk assessment and monitoring of space projects. Basic Research, 7-2, 403-407.

Orlov A.I., Tsisarsky A.D. (2013) Features of risk assessment when creating space rocket technology.

National Interests: Priorities and Security, 43(232): 114-118.

Smirnov S.S., Gorbunov V.V. (2013). A methodological approach to assessing the sufficiency of the scientific and technical reserve for the development of promising weapons. Armament and Economics, 2: 79-84.

Charushnikov A.V., Kuzmin V.N., Dreshchinsky V.A. (2015). An innovative methodological approach to modeling and evaluating the effectiveness of space systems. Innovation, 9: 7-1.

Dr.Lyudmila Zubova is an Associate Professor and Senior Researcher of 252 Laboratory 2, Office of the VI (NI) of the AFMozhaisky Military Space Academy. She got a PhD in Economics. Her research interests include Economic Security, Risks of the State Defense Order, Risk Tolerance.

Professor Dr.David Davydyants is of the Technical Service Department, and an Academician of the Russian Academy of Natural Sciences, Technological Service Institute (branch), the Don State Technical University, Stavropol, Russia. He holds a Doctor of Economics. His research interests are Economic Performance and Efficiency, Social and Economic Performance and Efficiency

Dr.Anna Yakovleva is an Associated Professor of Department of Management and Economics, Saint-Petersburg University of State Fire Service of EMERCOM of Russia, Saint-Petersburg, Russia.

Doctor of Economics. Her research interests are information security, the digital economy, unemployment, unemployment insurance, social insurance, taxation, the labor market, intellectual property.

Dr.Eldar Miskhozhev is a Professor of Department of Accounting and Audit, St. Petersburg State Marine Technical University. He holds a Doctor of Economics. His research interests are Economic Sustainability, Accounting and Auditing.

Dr.Petr Gaidai is an Associate Professor, Department of Management and Economics, Saint-Petersburg University of State Fire Service of EMERCOM of Russia. His research interests are Economic Sustainability, and Digital Management.

6

M.V. Polikarpov, V.B. Penkov

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies

International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

PAPER ID: 11A12U

A STRATEGY FOR ECO-FASHION DESIGN BASED ON THE CLOTHING LIFE CYCLE Marzie Hatef Jalil

1*

, Siti Shukhaila Shaharuddin

1

1

Design Technology Programme, Faculty of Applied and Creative Arts, Universiti Malaysia Sarawak (UNIMAS), MALAYSIA.

ARTICLEINFO Article history: Received 05 February 2020 Received in revised form 19 May 2020 Accepted 08 June 2020 Available online 26 June 2020

Keywords: Clothing life cycle; Clothing waste; Design for disassembly; Eco-fashion design; Multifunctional design; Sustainable fashion; Eco-fashion materials; Zero-waste fabric design; Eco dress.

A B S T RA C T

This study aims to design the Eco-fashion model as an approach to reduce waste by extending the life span of clothes based on the clothing life cycle concept. Therefore, it is reasonable to investigate the related factors in the phases involved in the clothing life cycle. Moreover, applying the proposed model to design the multifunctional dress for evaluation purposes is considered in this study. The contamination caused by fast fashion clothes is a significant issue in the production, consumption, and disposal stage. Although many fashion scholars investigated to develop innovative designs for minimizing waste and environmental pollution in the fashion industry, it was not successful due to the lack of consideration the human behaviour and their well-being health. This article shows the successful procedure of the design in sustainable clothing and improves the cotton tricot dress design by applying the Eco-fashion design model. Although customization of multifunctional clothing dress is one of the problems in the sustainable apparel design process, the Eco-fashion design model is highly flexible and adjusted to apply in the industry. It addresses the multifunctional design potential to significantly reduce fabric and clothing waste related to environmental impacts. This study adopts a mixed-method approach to develop an Eco-fashion design model. The finding shows multifunctional dresses provide a solution to control consumption and buy the dress.

Disciplinary: Fashion, Clothing and Textile Design Technology, Environment and Sustainability. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Global pollution and increased awareness about the loss of the globe are encouraging people to consider healthier living choices. Consumers are interested in purchasing more clothing items than *Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

1

what they need, only because of the lowest prices. Therefore, either many clothing items are not worn at all or they are consumed and discarded less than they should be worn. Thus, it is reasonable to understand the huge clothing and fabric waste is created (Fletcher, 2008). Recently, fashion designers and scholars have responded concerns in preserving the environment and have proposed design alternatives and solutions to address the effects of clothing production toward sustainability. The importance of incorporating the sustainable subject into fashion is showing effects on society, the environment, and the economy.

The sustainable fashion is not only limited to the product or clothing, but also to push design processes toward healthy living with considering profit, green strategies toward conserving the planet, and consumption practices for keeping people healthy. Nowadays, the “Eco-fashion” became a key concept for those encouraging the ecologically responsible design of fashion and clothing products (Fletcher, 2008). According to the growing necessity of environmental practices in the fashion and apparel industry, there is not efficient research to help designers to consider environmental issues in their design process. The design is responsible to use the maximization value of clothes during their life cycle. So, the structure of the Eco-fashion design process which considers all environmental impact related to the fashion product throughout its entire life cycle from production to disposal (Niinimäki, 2006), is an understandable subject for all designers. Also, 3.753.63 million pieces of dress from womenswear item were produced and purchased which it is expected to reach 3.940.31 million until 2023 (Statista, 2020).

Therefore, this research develops an Eco-fashion model formed based on the phases in the clothing life cycle. In terms of the practical aspects in the sustainability issues, this Eco-fashion model can be an alternative guideline to encourage designers and other individuals who are interested in the Eco-fashion design by switching the focus from preventing waste production to the maximum usage of the waste. Using the Eco-fashion design model may lead designers and manufacturers to more attention to selecting the materials and techniques based on human safety and environmental health. However, designers may have a better understanding of their ability to modify the design process based on their experiences and the consumer’s demand. Moreover, dresses with multifunctional property would increase clothing utilization, reduce the need to purchase unnecessary clothes and eliminate clothing waste. Hence, this research aims to develop the Eco-fashion design model and to design sustainable multifunctional dresses as named ‘Eco-Dress’ to reduce fabric and clothing waste. This study adopted a mixed-method strategy. This study provided a platform to design eco-fashion clothes based on the proposed eco-fashion model.

2. LITERATURE REVIEW 2.1 SUSTAINABILITY AND APPAREL DESIGN MODEL According to Rodriguez et al. (2002), sustainability is achieved by making profits through communication with consumers, and respect to environmental responsibilities. In terms of the fashion and apparel industry, it is a core responsibility to do business by satisfying consumers, the environment and government laws (Naz, 2019). Jin Gam et al. (2009) developed the Cradle To Cradle Apparel Design Model to address sustainability and human health issues in the apparel design process. However, Kozlowski et al. (2018) stated that most of the fashion and apparel designers, as a

2

Marzie Hatef Jalil, Siti Shukhaila Shaharuddin

centre of the design process, are not aware of Eco-fashion and apparel models, due to the lack of knowledge and time to choose effectively decision and techniques (Kjaerheim, 2013; Kozlowski et al., 2019).

Indeed, all sustainable techniques that are created to encourage sustainability must allow designers to quickly understand and get updated with news toward applying on designer’s artworks (Kjaerheim, 2013). Also, one of the most barriers identified in the implementation of the sustainable design model process is reported the lack of consideration of the design criteria such as aesthetic styles, costs, and fashion trends (Hur & Cassidy, 2019). Moreover, the previous sustainable apparel design processes have developed for application in large corporate businesses. In addition, using assessment tools for choosing materials may lead to requiring training or learning for usage. Hence, it cannot connect and speak to designers directly and may lead to being confusing and difficult to use (Kozlowski et al., 2019). Therefore, focus on the “design phase” in the Eco-fashion design model is valuable rather than assessment tools. Nevertheless, from the designers, the design phase has interactions in the material selection, manufacture, transportation, packaging, use, and disposal of clothes. So, one of the factors and essential tool in sustainable design is related to the investigation of all phases involved in the clothing life cycle (Fletcher, 2008). Thus, the clothing life cycle needs more consideration in sustainability (Kozlowski et al., 2018) of the fashion and apparel design process.

2.2 CLOTHING LIFE CYCLE Koo et al. (2014) stated that designers are at the centre of clothing the life cycle, so designers need to consider all phases during the design process. Also, they can create a significant relationship between the production phase and the consumer’s need to promote the consumer’s behaviour toward sustainability (Loker, 2008). Kozlowski et al. (2018) claimed that phases involved with consumers should address in the design conceptualization. Koo et al. (2014) showed a correct view of the clothing life cycle can be found in the relationship among the materials used in the production, designers those are creating them, design processes applied, and consumers those supposed to use and dispose of clothes (Koo et al., 2014). All materials in sustainable design need to meet the criteria for recyclable (McDonough & Braungart, 2002; Rumsey, 2009). Most studies are investigated cotton, polyester and recycled polyester as Eco-fashion materials for reusing and recycling purposes (Sandin & Peters, 2018).

Also, the role of the designer is not only designing clothes; most of the fashion and apparel designers often fulfill multiple roles (Kozlowski et al., 2019; 2018). However, Niinimäki (2006) stated that the attributes considered by the designer to use the sustainable materials are perceived of the quality, functionality and aesthetic attributes that will be neglected during the process, occasionally. Henceforth, understanding of the designer’s behaviour toward sustainability and Eco-fashion design is a notable issue (Li et al., 2015). Moreover, Jalil and Shaharuddin (2020) showed that the designer’s attitude toward the Eco-fashion design can be influenced and measured through environmental knowledge, perceived quality, price, functional, aesthetic attributes, and technology.

Regarding promote the Eco-fashion design and reduce the waste, designers are thinking to *Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

3

apply new techniques such as zero-waste designs (Jalil & Hosseini, 2020; McQuillan, 2011), design for disassembly (Jin Gam et al., 2011), technology-enabled designs (Loker, 2008) and transformable designs methods (Fletcher, 2008). However, in the production and the sustainable design process, reducing fabric waste is one of the main challenges toward sustainability which is neglected since the limitations are to apply such techniques in mass-production (Rissanen, 2013).

According to Loker (2008), transformable clothes have great potential to be worn in different ways during the life cycle of clothing which can lead to reducing the customers’ needs for purchasing new clothes. Besides, for developing successful sustainable products, it is essential to understand how consumers perceive and evaluate new sustainable products and what evaluative criteria they use to purchase such products (Ghalachyan, 2018). According to Jalil and Shaharuddin (2019b), the positive attitude towards the quality, price, and design is the best predictor of intention to purchase of sustainable clothing. Based on the gaps created in the previous studies, this study is proposed the Eco-fashion design model.

3. METHOD 3.1 DEVELOP THE ECO-FASHION DESIGN MODEL This step involved in-depth interviews with eight fashion designers with more than 10 years of work experience in sustainable fashion and clothing subjects in Malaysia and Iran. The interview schedule was organised into three main parts: participant’s sustainable design process, effective factors existed in their design process and demographic data. Nvivo software is employed to transcribe and analyze the interview’s data. Inter-rater reliability is calculated by Cohen's kappa with an optimum value between 0.75 and 1 (as almost perfect agreement).

3.2 MULTIFUNCTIONAL ECO DRESS DESIGN Then regarding the proposed Eco-fashion model, this study develops three multifunctional Eco dresses. Hence, a workshop was composed of four fashion designers with more than 4 years of experience and interested in sustainable design. According to the objectives of this study, two different surveys were conducted between young women consumers. The first questionnaire was about the investigation of the design concept, and the second one was designed to evaluate the multifunctional dresses. Firstly, a survey was conducted to study the “dress” items among young women and their favourite dress items for selecting a design concept. The second survey was performed to investigate the new multifunctional dresses created among those women who participated in the first questionnaire and were asked about the quality and design attributes of such dresses. The Statistic Package for Social Science (SPSS®23) is computed for descriptive statistics.

4. RESULT AND DISCUSSION 4.1 FINDING OF THE ECO-FASHION DESIGN MODEL Eight fashion and apparel designers described their design and production processes regarding sustainability. Overall inter-rater reliability (Cohen’s kappa) was 0.919, and define idea (κ = 0.923), product design (κ = 0.937) and product evaluation (κ = 0.901), all are at almost perfect agreement.

4

Marzie Hatef Jalil, Siti Shukhaila Shaharuddin

Table 1: Coding and Comparison Results from the Interviews Steps Define User Needs and Define Idea

Design Criteria and Product Design

Evaluation Development

and

Coding Terms Market’ needs (Price/Quality/Design) Consumer’s needs Price and Quality Design Personal belief and perception (Environmental knowledge and concern) Personal belief and perception (Environmental knowledge and concern) Designers’ need Price and Quality Design Market’ needs (Price/Quality/Design) Consumer’s needs Price and Quality Design Personal belief and perception (Environmental knowledge and concern)

Kappa 0.92 0.95 0.87

Agreement 92.39 95.35 88.20

Disagreement 7.60 4.64 11.79

0.93

92.31

7.68

0.91 0.95 0.95 0.87 0.93 0.86

92.44 97.11 95.68 92.29 93.59 91.21

7.55 2.89 4.31 7.70 6.41 10.03

0.93

93.84

6.15

Figure 1: Eco-fashion design process model with factors derived from the clothing life cycle. *Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

5

Most participants (87.5%) reported that they had some extent changed their behaviour concerning the environment. Some small changes were implemented, such as recycling, keeping products for extended periods and resource conservation. Responses are not varied from the limitation of knowledge resources and emphasising consumer needs. Afterward, respondents were asked about criteria and factors that affect their working conditions to issue and set up sustainable design after settle style and idea. Regardless of varying descriptions rooted in professional experience, feeling and psychological themes help to put sustainable criteria during the sustainable design. A frequency analysis of coding terms in the interview can be found in Table 1. As seen from the finding, the environmental knowledge and concerns occur rather than other factors during the Eco-fashion design process (more than 92.39% of all explicit utterances in each phase). This shows that this factor is not only for the discovery of the problems but also to design and development of the product is a significant issue. The data also indicate the consideration of consumer’s needs from the discovery of the problem to the implementation phase in the Eco-fashion design process is a notable issue. Consideration of the fair price and acceptable quality (economic features) rather than other needs are understandable subjects (more than 93.59% of all explicit utterances in each phase). Also, data suggest that in the design process of eco-fashion design, it is very valuable to generate ideas and evaluate items regarding the designers’ experiences and perceptions. The interviews provided this study with the opportunity to further analyze important design criteria, related factors and considerations that are vital to the Eco-fashion design process. Figure 1 shows an Eco-fashion design model with related factors. Moreover, blurred boxes have been discovered by previous researchers discussed in the literature.

4.2 DESIGNING MULTIFUNCTIONAL ECO DRESS WITH FOLLOWING THE ECO-FASHION DESIGN MODEL As shown in Figure 1, a basic model consists of three main steps which are originated from previous research (Jin Gam et al., 2009). Indeed, it is created through an investigation between existing apparel design and the Eco-fashion design models, then it developed through the data obtained from the interview session.

Step One. The problem was identified as excessive fabric waste in the production process, as well as clothing waste in the usage phase, especially women's dresses. Hence, the main issue is the creation of the Eco dress that helps clothing consumption problem and fabric waste. The concept idea of Eco dress was primarily based on sustainable design practices that represent both basic and fashion items. Therefore, the design theme for this project was “casual style” for women age 20-30 years old. Consequently, a survey was conducted to investigate among young women and their favourite dress items for choosing a suitable and acceptable design.

A total of 128 respondents completed questionnaires that were distributed in Malaysia and Iran.

43.8% of respondents possessed a bachelor’s degree (n=56) with most purchasing every 3 to 4 months (n=87). Regardless of religion or culture, young women consumers desire to have multifunctional clothes (85.9%, n=110). However, most of the respondents (78.9%, n=101) have not purchased multifunctional clothes before. 25% (n=32) claimed that they have not heard about such clothes, 76.5% (n=98) indicated that in the fashion market cannot find such clothes. As seen in Table 2, descriptive statistics of the casual dresses according to the participant’s comments show

6

Marzie Hatef Jalil, Siti Shukhaila Shaharuddin

that dresses with no 3, 4, 5, 6, 9 and 12 are most attractive rather than others.

Step Two. In this step, materials were chosen. The initial goal in fabric sourcing was to use organic cotton because of body health. The significant point was that all materials were recyclable.

By collaboration with the textile knitting company in Iran, the designers evaluated the double face cotton tricot as a biological nutrient from the traditional textile market in Big Bazaar Tehran.

Additionally, neutral colours were chosen as a colour palette. Hence, the main issue is respect to nature, navy blue, grey and crimson colour. The designers were desired to use 90% Cotton / 10% Lycra as the Eco-fashion material. By increasing the Lycra ratio in tricot fabric, the breaking strength, weight of the fabric and resistance to pilling will be significantly improved. However, the Lycra is considered as a synthetic yarn which cannot be composed easily. Hence, according to the purposes of this study, the combination of two different materials in the construction of clothing is a major problem for the recycling program. Consequently, to achieve acceptable quality after recycling, as well as easy recycling, 98% Cotton / 2% Lycra Tricot fabric was chosen for this study.

Table 2: Descriptive Statistics of the Casual Dresses for Step One (N=128)

The design concept and development of these prototypes were primarily based on the zero-waste concept and the multifunctional design. All designers were familiar with a computer-aided design which was applied to pattern making and grading through using zero-waste design methodology. For this study, medium size (38) in the global standards grading was accepted.

All dresses were made with some detachable parts using a zipper as attaching or detaching joints that increased interchangeability. Since the designers created all dresses based on the zero-waste technique, so the little different shape in style can occur. Henceforth, six dresses with high means (more than 4) were chosen. However, regarding multifunctional design, only three dresses were selected. It means, each dress can covert and be worn in different styles, then all three dresses can support more than six different outfits. A multifunctional sheath dress can support four different outfits: sheath dress, sheath blouses, straight skirt, and sleeveless tonic (Figure 2-A). A multifunctional jumper dress can support three different styles with different designs in sleeve *Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

7

length (Figure 2-B). A multifunctional jumpsuit can support four different outfits: shirtwaist dress, jumpsuit, tonic and overall dress (Figure 2-C).

(A)

(B)

(C) Figure 2: (A) Multifunctional Sheath Dress, (B) Eco Jumper Dress and (C) Eco Jumpsuit.

Step Three. Overall, all Eco dresses have a casual look designed with multifunctional ability.

After a useful lifespan, they can be disassembled easily. Cotton fabrics can either become compost or use into a new purpose. The polyester fabrics can be melted down and then remade into new fabric or burned for energy. From the consumer’s evaluation, participants of the design concept survey (first questionnaire), were asked again to rate the following three questions on a five-point scale about their experiences: (1) Are you interested in the multifunctional Eco dress design? (mean = 4.28); (2) Are you satisfied with the cotton as the fabric for the multifunctional Eco dresses? (mean = 4.04). Our participants were pleased and satisfied with this type and creative designs, and (3) Did you enjoy and satisfied with the Eco dresses and prices? (mean = 4.15). Interestingly, 27.5% and 20.0% of the participants were willing to pay 1-15% and 16-30% more for a piece of the multifunctional dresses, respectively. This finding agrees with the previous study conducted by Jin Gam et al. (2011). Only 10 participants (9.0%) did not want to pay more for such dresses instead of dresses in the fashion market. Only forty participants (31.25%) believed that they shopped for such dresses, they were extremely conscious and paid a great deal of attention to environmental concern.

Table 3 shows details of the Eco-fashion design framework in designing the Eco dresses.

8

Marzie Hatef Jalil, Siti Shukhaila Shaharuddin

Table 3: Steps of the Eco-Fashion Design Process applying in Eco Dress Design Step

Step One Problem Definition

Step Two Creative Exploration

Step Three Implementation

Description Problem Identification: Excessive clothing consumption, increasing clothes and fabric waste are originated from environmental concerns. Purchasing many dresses only for one event is originated from consumer’s needs which affects their behaviour to the intention of purchase clothes.

Search for Alternative: The multifunctional dress and Eco-friendly attributes based on market needs.

Generation a Concept: Positive reaction to possessing the multifunctional dresses among young women based on the searching their needs as well as market demands.

Select Definitive Idea: Creating a multifunctional dress with consideration of the sustainable characteristics which are originated from their concerns and knowledge.

Environment Protection: Organic cotton tricot fabric, zipper, and threads were selected based on the environmental protection property, good quality, acceptable price, high performance, and good appearance which is originated from the designer’s environmental knowledge, perceived the material attributes, and design features.

Quality and Pricing value requirements: The price of organic cotton tricot is acceptable (3.1 $ per meter). Moreover, according to the finding achieved in the textile market, the quality of the organic cotton tricot is good and gives a wonderful feeling in touching them which is derived from a designer’s attitude of such fabrics.

Functional and Aesthetic requirements: Good functionality in multi-size (is an important thing in the mass-production of tricot dress), smoothness, durability, elasticity, and good resilience which is derived from the designer’s attitude of cotton tricot fabrics.

Conceptual Design: 3D simulation software is applied to find the best use of the fabric and grading in patternmaking of the mass-production, so no fabric or paper was wasted which is originated from the designer’s environmental knowledge and concerns.

Embodiment Design: Using (1) zero-waste design for minimization or zero fabric waste and (2) multifunctional design for improving utilization dress and allow for adaptation, as well as upgradeability which is originated from the designer’s attitude of functional, aesthetic and technology features in the design.

Cost Evaluation: In comparison with ready to wear dresses in the market, the price was acceptable (this research is under university research, the evaluation of price is not considered as a goal of this study).

Evaluation of Design and Quality: All Eco dresses have a casual look designed and they can be disassembled and recycled easily which this evaluation comes from personal environmental knowledge and design features.

Refinement: For mass production should change some alternations based on the consumer’s needs, market demands, and the designer’s belief.

Prototype Development

The first phase is to define consumer’s needs and define idea to set a scenario which supports three related factors: market needs, consumers needs such as the desired end-use, suits consumers taste, economic features, and individual’s environmental knowledge, where they are in line with findings of Jin Gam et al. (2009). So, it should be considered that aspects of economic issues, aesthetic and function features are significant value in define the best idea for solving problems.

Moreover, discovering the consumer’s behaviour which is guided through their needs and beliefs is one of the related factors which designers need to know before starting the Eco-fashion design process which is the following findings of Jalil and Shaharuddin (2019b). Hence, in this phase, the designer team seeks to identify and analyze the problems of the dress items among women to create and select the definitive idea. So, it was defined that multifunctional design with consideration of the related factors is a solution design. The second phase is to discover the design criteria and focus on the details in the design process. It can develop Eco-fashion designs from the created idea *Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

9

toward matching with the sustainable criteria by considering these three factors; individual’s environmental knowledge and concerns, material features such as the quality and price features and design outlook such as functional, aesthetic and technology attributes. The findings resonate well with Niinimäki (2015) showed that designers should explore all these important factors which help to set up the design criteria in designing with sustainable materials.

Therefore, initial imagery of the designer’s thoughts and their perceptions of sustainable issues as well as sustainable materials should be exposed in this step for further interaction with the design team, which is in line with the finding of Li et al. (2015). According to the results from the in-depth interviews, the perception of the quality, price, aesthetics, and functionality are common features that designers used to set up the criteria in the Eco-fashion design process which the finding agrees well with Niinimäki (2015). Hence, design features will be created based on these criteria and designers create conceptual and embodiment design through sustainability issue information.

Therefore, based on the interview’s findings in the conceptual design phase, first, a design sketch including ideas and concepts in text or graphics are developed through utilizing the computer-aided design programmes.

Our findings resonate well with Kjaerheim (2013) that showed utilizing the computer-aided design programme to reach the goal with saving time and money is an effective way in sustainability. Consequently, in the embodiment design phase with considering the related factors, qualified designs are selected, and the design team prepare samples or consult with other companies for improvement to meet the design criteria. Results show that designers commonly used zero-fabric waste design, redesign technique, minimal seam construction, design for disassembly and multifunctional designs to display sustainability perspective during the embodiment design phase, where all are originated from their environmental knowledge and concerns which is line with Jalil and Shaharuddin (2019a) Hence, an effective design technique can be proposed at the end of this phase in response to the original objective.

In this study, using cotton tricot with 100% usage in the pattern-making and draping process as an approach to reduce cotton waste, as well as save time and money to make a prototype is considered. The third phase is about the evaluation and development of the prototype to deliver in mass production. In this step, four categories are to help for judgment: consumer needs, design features of the quality, price, functional and aesthetic features, market needs and individual’s environmental knowledge and concerns. The finding agrees well with Jalil and Shaharuddin (2019a) that showed all criteria and design features identified by the designers will help the design team to check and make a correct decision in the sustainable design issues in the evaluation stage.

During this phase, the Eco-fashion design output may require modification based on the evaluation by consumers. This phase also provides some suggestions to improve environmental knowledge and concerns in society.

This framework was applied to create three Eco dresses made of Eco-fashion materials by focusing on the multifunctional convertible design. As shown in the findings, each step has the specific concepts that should follow by the designer team based on the design criteria achieved in this study. The importance of developing an Eco-fashion design model with focusing on the clothing life cycle shows positive effects on the consumers, preserving the planet, and making

10

Marzie Hatef Jalil, Siti Shukhaila Shaharuddin

profits which are regarded as the finding of Koo et al. (2014). In other words, applying the proposed Eco-fashion model with consideration factors can lead to reducing environmental and social impacts. This finding agrees well with Rumsey (2009) since this model can help the designer and manufacture to identify the material, so, the amount of unsafe material released into the planet and living place can be reduced as they are threatening health problems of current society. Besides, all multifunctional dresses can be recycled and returned to the economic system instead of burning.

Hence, it can help to excessive use of Eco-fashion material resources, therefore, it can support the recycling programmes and decrease the use of other material resources and the creation of waste which is in the findings of previous research (Cao et al., 2014). Moreover, Eco dresses with multifunctional properties would increase clothing utilization, reduce the need to purchase unnecessary clothes and eliminate clothing waste. Fashion designers and manufacturers can save money and time to produce Eco multifunctional dresses. It will be focused on the preserve the environment and making profits with consideration design and quality criteria through using Eco-fashion materials, applying zero-waste design processes and sustainable design techniques which are in line with the finding of previous research (Jin Gam et al., 2009). Regarding order to promote improved clothing disposal for recycling, the findings and impacts of this study can be analyzed from a managerial viewpoint. Consequently, it leads to produce clothes made of recycled materials and finally distribute in the fashion market. Using the Eco-fashion design model may lead to designers and manufacturers consider more to choose the materials and techniques based on human safety and environmental health.

5. CONCLUSION The proposed model of the Eco-fashion design process is constructed based on the consideration of phases involved in the clothing life cycle; consumer, designer, material, and design process toward extending the lifespan of clothing. Also, when research focuses on individuals and their role, it means that effects on the social and psychological issues are involving in the research area. Hence, the developed Eco-fashion design model has combined two important subjects: the structure of Eco-fashion and apparel design process and social issues. Therefore, the proposed Eco-fashion model considers the consumer and their behaviour, the designers and their behaviour, the Eco-fashion material and sustainable techniques in the existing Eco-fashion and apparel design process model. Regarding increase pollutions generated by the fashion industry whether, in production, consumption and disposal, guided by the concept of sustainable apparel design models and adaptable apparel design, this research applied multifunctional design in the fashion process and created three multifunctional Eco dresses.

Thus, the number of harmful chemicals and clothing waste released into the community could be reduced by using Eco-fashion fabrics and applying the zero-waste technique. The attaching and detaching separate parts in Eco dresses are easily and enjoyably figured out. Also, the multifunctional dress provides a solution to control consumption and purchase. However, it is necessary to understand consumer needs to the target in the fashion market. So, in this stage, the fashion industry needs persons who specialise in fashion psychology and Eco-fashion designs for a *Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

11

specific purpose. In the future study, additional options for the Eco-fashion design in many styles are suggested to make different outfits daily. Also, studying other design methods, the development of style and accessories in multifunctional dresses would be highly recommended and beneficial for the people, environment, and economic perspective.

Although the mixed approach design used in this research increases confidence in the results, there are also some limitations in this study. This paper considers clothes made of Eco-fashion materials especially materials achieved from recycling technologies; so, the findings may be different for other types of clothing. The current study mostly reported the intention of fashion design with Eco-fashion materials. More details on developing the Eco-fashion design and investigation of technologies in designing could, as a result, be explored in future research. Finally, the author as researchers needs to show the existing gap in fashion education and awareness system about Eco-fashion clothes. Hence, it can be applied to fashion design education. This studyâ&#x20AC;&#x2122;s framework may serve as a guideline for future research by the larger sample size in the Eastern and Western worlds.

6. AVAILABILITY OF DATA AND MATERIAL Data can be made available by contacting the corresponding author.

7. ACKNOWLEDGEMENT This research financially supports by the Zamalah Scholarship of University Malaysia Sarawak (UNIMAS).

8. REFERENCES Cao, H., Chang, R., Kallal, J., Manalo, G., McCord, J., Shaw, J., & Starner, H. (2014). Adaptable apparel: a sustainable design solution for excess apparel consumption problem. Journal of Fashion Marketing and Management, 18(1), 52-69.

Fletcher, K. (2008). Sustainable fashion and clothing, United Kingdom: BasÄąm Routledge.

Ghalachyan, A. (2018). Evaluation of consumer perceptions and acceptance of sustainable fashion products made of bacterial cellulose. PhD Dissertation, Iowa State University, USA. Jalil, M. H., & Hosseini, S. K. (2020). Quest for the Fashion Market: Zero-Waste Skirt Design as a Solution Toward Sustainable Pattern Making. The Chitrolekha Journal on Art and Design, 4(2), 1-11.

Jalil, M. H., & Shaharuddin, S. S. (2019). Adopting C2CAD Model To Eco Capsule Wardrobe Design.

International Journal of Scientific & Technology Research (IJSTR), 8(12), 1224-1233.

Jalil, M. H., & Shaharuddin, S. S. (2019). Consumer Purchase Behaviour of Eco-Fashion Clothes as A Trend To Reduce Clothing Waste. International Journal of Innovative Technology and Exploring Engineering (IJITEE), 8(12), 4224-4233.

Jalil, M.H., & Shaharuddin, S. S. (2020). Fashion Designers Behaviour Toward Eco-Fashion Design.

Journal of Visual Art and Design (JVAD), 12(1), 1-22.

Jin Gam, H., Cao, H., Bennett, J., Helmkamp, C., & Farr, C. (2011). Application of design for disassembly in men's jacket: A study on sustainable apparel design. International Journal of Clothing Science and Technology, 23(2/3), 83-94.

12

Marzie Hatef Jalil, Siti Shukhaila Shaharuddin

Jin Gam, H., Cao, H., Farr, C., & Heine, L. (2009). C2CAD: sustainable apparel design and production model. International Journal of Clothing Science and Technology, 21(4), 166-179.

Kjaerheim, K.M. (2013). The exploration of a sustainable design method targeting the conceptual and creative design stage. Master's thesis, University of Iceland, Iceland.

Koo, H.S., Dunne, L., & Bye, E. (2014). Design functions in transformable garments for sustainability.

International Journal of Fashion Design, Technology and Education, 7(1), 10-20.

Kozlowski, A., Bardecki, M., & Searcy, C. (2019). Tools for Sustainable Fashion Design: An Analysis of Their Fitness for Purpose. Sustainability, 11(13), 3581.

Kozlowski, A., Searcy, C., & Bardecki, M. (2018). The reDesign canvas: Fashion design as a tool for sustainability. Journal of Cleaner Production, 183, 194-207.

Li, J., Tam, V.W., Zuo, J., & Zhu, J. (2015). Designers’ attitude and behaviour towards construction waste minimization by design: A study in Shenzhen, China. Resources, Conservation and Recycling, 105, 29-35.

Loker, S. (2008). A technology-enabled sustainable fashion system: Fashion’s future. Sustainable fashion: Why now, 95-126.

McDonough, W., & Braungart, M. (2002). Design for the triple top line: new tools for sustainable commerce. Corporate Environmental Strategy, 9(3), 251-258.

McQuillan, H. (2011). Zero-waste design practice: Strategies and risk-taking for garment design. Shaping sustainable fashion: Changing the way we make and use clothes, 83-97.

Naz, F. (2019). Exploration of Sustainable Practises in Children's Wear Fabric Development. Master's Thesis, California State University, USA. Niinimaki, K. (2006). Ecodesign and textiles. Research Journal of Textile and Apparel, 10(3), 67-75.

Niinimäki, K. (2015). Ethical foundations in a sustainable fashion. Textiles and Clothing Sustainability, 1(1), 3-13.

Rissanen, T. (2013). Zero-waste fashion design: a study at the intersection of cloth, fashion design and pattern cutting. PhD dissertation, University of Technology Sydney, Australia.

Rodriguez, S.I., Roman, M.S., Sturhahn, S.C., & Terry, E.H. (2002). Sustainability assessment and reporting for the University of Michigan's Ann Arbor Campus. Center for Sustainable Systems, Report No. CSS02-04, University of Michigan, Ann Arbor, Michigan.

Rumsey, R. (2009). Design for Disassembly an Implementation of C2CAD Framework. Master's thesis, Oklahoma State University, USA. Sandin, G., & Peters, G. M. (2018). Environmental impact of textile reuse and recycling: A review. Journal of Cleaner Production, 1, 1-24.

Marzie Hatef Jalil is a PhD Student in Fashion and Textile Design at the Department of Design Technology, Faculty of Applied and Creative Arts, UNIMAS, Malaysia. Her research emphasises Sustainable Design Practice in the Fashion Industry and Effects on Human Life and Society, Zero Waste Technique, 3D Design, Sustainable Design and Creativity.

Dr Siti Shukhaila Shaharuddin is a Senior Lecturer at the Department of Design Technology, Faculty of Applied and Creative Arts, UNIMAS, Malaysia. She also holds a position as Postgraduate Coordinator at the faculty. Her research areas include Graphic Design, Service Design, Design Thinking, Innovation Design, Visual Communication, User Experience (UX) Design, and Arts and Humanities.

*Corresponding author (Marzie H.Jalil). Email: marzie.hatef@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.12 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID: 11A12U http://TUENGR.COM/V11A/11A12U.pdf DOI: 10.14456/ITJEMAST.2020.246

13

:: International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies http://TuEngr.com

Call-for-Papers: ITJEMAST invites you to submit high quality papers for full peer-review and possible publication in areas pertaining to our scope including engineering, science, management and technology, especially interdisciplinary/crossdisciplinary/multidisciplinary subjects.

More Research Publication Available at

http://TUENGR.COM

Submit your science research today.

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