Issuu

Volume 11 Issue 16 (2020) (Special Issue)

Value-added Technology Selection Model for Small and Medium Real Estate Developers in Thailand

ISSN 2228-9860 eISSN 1906-9642

Anomaly Detection in Crowds by Fusion of Novel Feature Descriptors

http://TuEngr.com e-Learning Chain: A Secure Blockchain Approach to e-Learning & Certification Systems Dynamic Economic Emission Dispatch Optimization Integrated Wind and Solar Energy Systems A Granulated Exploration of Public Service Career Choice Motivations in Saudi Arabia: A Test of Self-Determination Theory and Public Service Motivations

Why Are Building Defects Still Happening in Malaysia? Recent Developments of DSTATCOM with Optimal Location & Size Identification in Electrical Distribution System A Feed Additive based on Lactobacilli with Activity against Campylobacter for Meat-Breeding Chickens Parent Flock A Review on the Tools and Techniques for Effective Failure Detection and Prediction in Cloud Computing

Nature and Extent of Corporate Social Responsibility Disclosure: A Content Analysis Approach

Simulation and Analysis of the Energy Consumption Pattern of an Institutional Building as per ECBC using eQUEST

Modern Vision of the Historical Experience of Secession Legal Registration: Cases of Norway and Finland

Optimal Sizing of Isolated Hybrid PV/WT/FC System Using Manta Ray Foraging Optimization Algorithm

Effects of Luxury Brand Authenticity on Purchase Intention: An Empirical Investigation among Saudi Arabian Customers Histological Features of Anglo-Nubian Goats' Heart Valves Changes into the Hair Cells in the Mink of Cage Breeding under Varied Intensities of Infestation by Eimeriidoses Using an Electric Field to Stimulate the Vegetable Crops Growth

Impacts of Job Involvement and Knowledge Management Technology Mechanisms on the Relationship between Organizational Intelligence and Supporting Strategic Decision-Making Credit Risk Management in Islamic Banking: A System Thinking Approach Lexical Functions and Cohesion in Imran Khanâ€™s Speech On 28 September 2019 at the United Nations General Assembly Fractal Model of Microorganisms Bio Consolidation into Laying Hens Intestines by Feeding Shungite Mineral Additive Leadership and Organizational Change Management in Unpredictable Situations in Responding to Covid19 Pandemic

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)

ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

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

Volume 11 Issue 16 (2020) http://TuEngr.com

ISSN 2228-9860 eISSN 1906-9642

FEATURE PEER-REVIEWED ARTICLES

Value-added Technology Selection Model for Small and Medium Real Estate Developers in Thailand

11A16A

Anomaly Detection in Crowds by Fusion of Novel Feature Descriptors

11A16B

Why Are Building Defects Still Happening in Malaysia?

11A16C

Recent Developments of DSTATCOM with Optimal Location & Size Identification in Electrical Distribution System

11A16D

A Feed Additive based on Lactobacilli with Activity against Campylobacter for Meat-Breeding Chickens Parent Flock

11A16E

A Review on the Tools and Techniques for Effective Failure Detection and Prediction in Cloud Computing

11A16F

Simulation and Analysis of the Energy Consumption Pattern of an Institutional Building as per ECBC using eQUEST

11A16G

Optimal Sizing of Isolated Hybrid PV/WT/FC System Using Manta Ray Foraging Optimization Algorithm

11A16H

Impacts of Job Involvement and Knowledge Management Technology Mechanisms on the Relationship between Organizational Intelligence and Supporting Strategic DecisionMaking

11A16I

Credit Risk Management in Islamic Banking: A System Thinking Approach

11A16J

Lexical Functions and Cohesion in Imran Khanâ€™s Speech On 28 September 2019 at the United Nations General Assembly

11A16K

Fractal Model of Microorganisms Bio Consolidation into Laying Hens Intestines by Feeding Shungite Mineral Additive

11A16L

Leadership and Organizational Change Management in Unpredictable Situations in Responding to Covid-19 Pandemic

11A16M

e-Learning Chain: A Secure Blockchain Approach to e-Learning & Certification Systems

11A16N

Dynamic Economic Emission Dispatch Optimization Integrated Wind and Solar Energy Systems

11A16O

A Granulated Exploration of Public Service Career Choice Motivations in Saudi Arabia: A Test of Self-Determination Theory and Public Service Motivations

11A16P

Nature and Extent of Corporate Social Responsibility Disclosure: A Content Analysis Approach

11A16Q

Modern Vision of the Historical Experience of Secession Legal Registration: Cases of Norway and Finland

11A16R

Effects of Luxury Brand Authenticity on Purchase Intention: An Empirical Investigation among Saudi Arabian Customers

11A16S

Histological Features of Anglo-Nubian Goats' Heart Valves

11A16T

Changes into the Hair Cells in the Mink of Cage Breeding under Varied Intensities of Infestation by Eimeriidoses

11A16U

Using an Electric Field to Stimulate the Vegetable Crops Growth

11A16V

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 shrub fruits of Carissa carandas (also known as Bengal currant, Christ's thorn, carandas plum, and karanda). For details: http://en.wikipedia.org/wiki/Carissa_carandas

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

PAPER ID: 11A16A

VALUE-ADDED TECHNOLOGY SELECTION MODEL FOR SMALL AND MEDIUM REAL ESTATE DEVELOPERS IN THAILAND 1

Pathompong Charoensuk , Sittichai Naksukskul , Damrongsak Rinchumphu

3,4

Department of Innovative Real Estate Development, Faculty of Architecture and Planning, Thammasat University, Pathumthani, THAILAND. 2 PTT Research and Technology Institute, Bangkok, THAILAND. 3 Center of Excellence for Natural Disaster Management (CENDIM), Chiang Mai University, THAILAND. 4 Department of Civil Engineering, Faculty of Engineering, Chiang Mai University, THAILAND. ARTICLEINFO

A B S T RA C T

Article history: Received 02 July 2020 Received in revised form 03 August 2020 Accepted 14 September 2020 Available online 24 September 2020

According to the Twelfth National Economic and the Social Development Plan and the Office of Small and Medium Enterprises Promotion, the Thailand Government’s policies place importance on national economic development by enhancing innovative capability to strengthen domestic enterprises, as well as trying to stimulate greater use of technology to drive the national economy. This study focuses on Keywords: technology selection for value-adding in residential real estate projects of Technology selection; Real estate entrepreneur; small and medium real estate developers, which are grouped to the energy technology, health technology, and assistive technology. This is a Real estate developer; qualitative study using the Analytic Hierarchy Process (AHP) to study Value-added house; Gen-Y customer; the weighted scores of various factors and to recommend technology Residential real estate selection guidelines for value-adding for small and medium real estate project; Multiple-criteria developers. The results of this study showed that the weighted score of decision-making the Ease of Use factor is the highest score for technology selection for (MCDM); Small and small and medium real estate developers. Meanwhile, the Initial medium enterprises Investment factor and Return on Investment factor are ranked as the (SME); Ease of use; second and third highest scores, respectively. In contrast, Efficiency, Consistency Ratio (CR); Specialist, and Material are ranked as the three lowest factors. Analytic Hierarchy Consequently, the results of this study could be applied as a technology Process (AHP); Generation-Y consumers. selection tool to evaluate and select suitable technology for small and medium real estate developers. Disciplinary: Business Administration and Real Estate Development. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION From the 12th National Economic and Social Development Plan, both state and private agencies *Corresponding author (D.Rinchumphu). Tel:+66-959959519 Email: Damrongsak.R@cmu.ac.th ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16A http://TUENGR.COM/V11B/11A16A.pdf DOI: 10.14456/ITJEMAST.2020.310

must adjust themselves to support and push Thailandâ€™s development forward. Meanwhile, the Office of Small and Medium Enterprises Promotion (OSMEP) wants to develop Thai small and medium enterprises to have greater potentiality and competency in international business to assist small and medium enterprises in having greater business roles. Important factors for national economic development are creating innovative capabilities and strengthening Thai enterprises as well as efforts for innovative use and development for the greater economic drive (SME, 2017). In addition to Generation Y consumer groups in Thailand presently accounting for 28 percent, they are the group of people who are agile in technologies, like to socialize, make decisions based on information, are selective, and have knowledge of finance. They also have a high purchasing ability. Under highly competitive conditions for the real estate business, especially high-rise residents (condominiums), which occupy 50 percent of Bangkok and its vicinity, entrepreneurs need to find suitable strategies both in design and innovation to meet the needs of Generation Y consumers, who have the main purchasing power. Therefore, entrepreneurs attach importance to the selection of technology to be present as part of the development of real estate projects. However, the essential limitation of small and medium enterprises is a limited fund for project development, so it needs to consider the form of the technology that will be used systematically to respond to the needs of consumers and add more value to the projects effectively. Therefore, having focused on the analysis of factors and decision-making processes in choosing the technology used in residential real estate projects in Bangkok and its vicinity to create value for the residential real estate projects of small and medium real estate developers, the developers can apply this study results as guidelines when adapting themselves into a competitive market. Currently, the construction sector is continuously growing, and it is an important strategic industry that drives a country's economy and society. The key to a good construction project is cost, time, and quality. One of the important factors is "construction cost", which drives the construction project to success or failure (Afzal et al., 2018). Good and accurate cost planning will lead to smooth project management during the construction period (Cho et al., 2010; Shi et al., 2014). Otherwise, if the cost management plan is mistaken, it may result in the project being at risk of construction cost overruns from the anticipated budget, which may lead to many problems. Therefore, construction cost overrun risk analysis is a method that helps to analyze the risk possibilities, which may occur with projects for decision making and reserve planning in case of exceeding the construction budget so the project can be completed (Memon et al., 2011; Sovacool et al., 2014).

2 LITERATURE REVIEW In Thailand, real estate entrepreneurs are classified based on sales amount. The sales amount of small and medium enterprises are less than 100 million Baht per year and 100-500 million Baht per year, respectively (Bongsadadt, 2014). In 2017, large real estate development companies occupied 78 percent of the market share. This means small and medium real estate companies occupy 22 percent of the share, while the OSMEP has developed the Small and Medium Enterprises Promotion Plan No. 4 (2017-2021) to be guidelines for the development and promotion of small and medium enterprises to have greater potentiality and competence in international business (SME, 2017). This focuses on real estate groups being able to apply technologies and innovations to raise and increase product value in the future.

Pathompong Charoensuk, Sittichai Naksukskul, Damrongsak Rinchumphu

Increasing product value might be done by increasing profits from reducing the cost to the organization of the administration, promoting an increase in the services, and developing better products (Jan van Ree, 2002; Kraft & Munk, 2011; Lindholm & LevĂ¤inen, 2006). Also, another way of adding value is seeing opportunities which others have not or cannot achieve, such as the change of form in real estate used to be more valuable together with an increase in consumersâ€™ satisfaction (de Chernatony et al., 2000; Roulac et al., 2006). The information presented supports the idea of adding value to products and services, which is an important tool for modern-day business competition, especially small and medium businesses. In the literature review section, technologies, alternatives in real estate businesses, decision-making processes and sequential analysis processes will be explained, and variables used in the study will be summarized.

2.1 ALTERNATIVE TECHNOLOGIES IN REAL ESTATE BUSINESS The real estate business is one that integrates a range of knowledge by applying technological ideas, which leads to the development of systems related to the real estate businesses and causes real competitive advantages. From the information surveyed about technology and innovation presented on the websites of 22 residential real estate development companies in Bangkok, by focusing on concrete technologies that have been implemented and resulted in the creation of additional value for consumers and organizations, it is found that alternative technologies, which can be applied to real estate businesses, are divided into four areas: energy, health, convenience, and security (Charoensuk, 2017). The details are 1) Energy Technology: due to concerns about global warming and the increase in electricity bills, consumers have more interest in the technology considered as part of conservation, power use reduction, or even greater use of clean energy in daily life. Also, from the survey on real estate project developers in Thailand, it was found that technologies that entrepreneurs chose to present repeatedly in the first order included solar cell systems, energy-saving lamp systems, and connection systems for charging electric cars. 2) Health Technology: as well as the health care of generation Y consumers in Thailand and international people, which attaches importance to alternative health technologies, real estate developers, currently, have promoted technologies together when designing and selling projects. Common technologies added to projects comprise ventilation and heat transfer systems, shockproof floor system, automated external defibrillator, and air circulation machine. 3) Assistive Technology: lifestyles in the age where everyone can access information technology systems results in competition from many complementary products to create convenient alternatives. From the survey, it is found that entrepreneurs have presented a variety of technologies, such as service robot system, voice command system via a control device, automatic deposit system, automatic parking system, virtual reality technology, and smart home system. 4) Safety Technology: no matter how much technology will be developed in other areas, safety is the basis of human needs. Therefore, a residential place should be safer than in other places. Most entrepreneurs, therefore, choose to offer safety technology to promote consumer decisions. This group comprises digital door systems, animated communication systems, and burglar alarms. From the list of technologies obtained from a survey of 22 leading real estate project developers *Corresponding author (D.Rinchumphu). Tel:+66-959959519 Email: Damrongsak.R@cmu.ac.th ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16A http://TUENGR.COM/V11B/11A16A.pdf DOI: 10.14456/ITJEMAST.2020.310

in Thailand, it indicates guidelines for the overall selection of technology to create additional value in project development in Bangkok and its vicinity. However, such aspects may be unable to be used as a guideline for small and medium project developers due to the limitations in the development of different potential projects, which affects the ability to choose different technologies as well. Factors affecting the use of technology in residential real estate businesses consist of what will be presented in the next section.

2.2 FACTORS AFFECTING USE OF TECHNOLOGY IN REAL ESTATE BUSINESS The basis of technology in each area is created and developed with the knowledge and skills of each area for living and solving human problems. Therefore, the selection of technology in each business must determine the response, safety, and suitability of the area condition or environment in that area. The feasibility analysis of the project will include the process of study and analysis steps to determine the best alternative for investment. The feasibility study covers four areas: 1) marketing 2) physics 3) finance and 4) techniques (Davis, 1989; Watchravesringkan et al., 2010). This research focuses on a feasibility study of the use of technologies applied for residential real estate projects according to a study as shown in the following details. Marketing Factor: In project development, important factors in the feasibility analysis of project development decisions, which affect technology use in residential real estate businesses, consist of four factors: 1. Social Influence: according to the fact that humans are social animals, decision making on big deals tends to be influenced by information from outside. The individual acknowledgment depends on how such a group of people is important for decision making or affects their beliefs, especially for making decisions to buy property, where purchasers tend to use social marks. Therefore, it has a great effect on decision making. 2. Technology Reliance: as modern technology is a product of quick changes; it results in a lack of confidence in usage from consumers. The information that consumers receive from marketing communication, therefore, is very important for decision making, especially when it is a new technology in real estate, which is often high in value compared to other types of products. 3. Personal Perception: personal factors inevitably are important for individual technology acceptance. However, this results from the basic knowledge, experience, and interests of individuals. 4. Ease of Use: as technologies are often new to the market, important conditions for choosing those technologies, therefore, are the individual's confidence whether the applied technology would help promote or facilitate the ease of use and hassle-free applications. Physical Factor: One of the important factors in the feasibility analysis of real estate project development is the physical suitability analysis of the project. The modern technology that will be brought to add the value of the project should be considered, as it is necessary to determine the suitability of physical factors, which must be consistent. Therefore, four physical factors need consideration. 1. Usefulness: the technology that will be applied will not only meet the expectations of the technology developers but also technology with utilities according to the needs of the consumers, so more value that can be added to the project.

Pathompong Charoensuk, Sittichai Naksukskul, Damrongsak Rinchumphu

2. Efficiency: the technologies that can meet the needs of consumers very well, are accurate, relevant, and can be used together. 3. Durability: an important factor that needs to be considered when choosing technology is durability, which can be indicated from the lifetime and strength of that technology, from the installation process to delivery to the consumers and consumers' use. 4. Maintenance: the ability to maintain and service the process for consumers as well as the complexity of technology management and readiness of producers in the services is an important element in the decision making when choosing the technology for consumers. Financial Factor: the decision-making process that is an important part of project development is the financial feasibility analysis, which is a consideration to determine the conclusion of finance in investments, returns, return rates, and project value measurements using the following indicators. 1. Initial Investment: it is a consideration of the investment cost at the beginning of the project before the project can produce and enter the normal operating period. 2. Project Cash Flow: the importance of estimating the income and outgoings with regards to the flow of money to maintain the status of the project processes normally. 3. Return on Investment: the investment return analysis is generally based on three methods: the consideration from the investment period, current value, and investment return rates. It is used as the basis for effective investment decisions. Technical Factor: For the main objective of analyzing the technical factors in the feasibility study process for choosing technology to create additional value in the projects, the study, in general, will gather information related to the production of raw materials, production control, production planning and the importance of the machinery and equipment used in production, which can be explained as follows. 1. Productivity: it is an analysis of the technological products on how they maintain continuity. As the sale of real estate projects is a continuous activity, if there is an offer, but with an inability to deliver as stated, it will become high risk. 2. Production Process: it is an analysis of the complexity of the production and the potential for capacity expansion, which are important steps in determining the possibility of choosing technologies for managing long-term scarcity risks. 3. Specialist: due to most products that incorporate new technologies relying on knowledge from research, the main limitation that needs consideration in choosing technology is the analysis of the potential of the personnel involved in the development and production of those technologies. 4. Material: as the raw materials are a factor that affects the overall production, it is necessary to consider the continuity from the raw materials used in production as well as difficulties with procurement and the risk of a shortage of such materials. The information above presents the factors that affect the use of technology, from the literature review, for creating a value-added technology selection model for small and medium real estate developers in Thailand, which can be presented as a hierarchical structure as shown in Figure 1. It is *Corresponding author (D.Rinchumphu). Tel:+66-959959519 Email: Damrongsak.R@cmu.ac.th ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16A http://TUENGR.COM/V11B/11A16A.pdf DOI: 10.14456/ITJEMAST.2020.310

found that such selection is under the basis of multiple-criteria decision-making (MCDM). The structure of the factors is in the form of a hierarchy, which causes more complexity in the decision-making process. Therefore, the selection of the Analytic Hierarchy Process (AHP) as the main tool in creating the selection model this time is appropriate, as shown in the next section.

Figure 1: Value-added technology selection hierarchical model for small and medium real estate developers in Thailand.

2.3 ANALYTIC HIERARCHY PROCESS (AHP) MCDM is a method for problem-solving that is commonly used to analyze alternatives with complex decision-making factors. It is suitable for the selection by applying factors for sorting to allow users to choose the most suitable solution for problem-solving, which can clearly manage the problem structure, and there are analytical methods that are applicable to many types of data (Saravisutra, 2016). However, when considering the structure of factors, which need consideration, if it is in the form of a multi-hierarchical structure, one process in the problem analysis for MCDM, which is acceptable in work, is AHP. AHP is widely used and accepted internationally. It is a process that brings subjective thinking and feelings to compare the weight using numbers as a representation of the process, to be seen clearly (Saaty, 1990). The process comprises three main steps as follows. 1) Hierarchical Decision Model: the hierarchical analysis process has a structure that mimics human thinking and decision-making processes. Therefore, a hierarchy chart of the thinking

Pathompong Charoensuk, Sittichai Naksukskul, Damrongsak Rinchumphu

process for human decision-making has been created, see Figure 2.

Figure 2: Hierarchical Decision Model; A1, A2, A3, and A4 present the items in Layer 2: Main Factor; B to I present the items in Layer 3: Sub Factor; L1, L2 , and L3 present the items in Layer 4: Alternative. 2) Decision Comparison Process: the comparison of the criteria is a pairwise comparison approach to determine the importance weight between the criteria using numbers, and, then, to calculate the total weighting score of each alternative (Lootsma, 1999; Tam & Tummala, 2001). Determining the weight values when comparing each pair of criteria in the range of 1-9, which 1 defers to the equal importance between two factors, 3 is the moderate importance, 5 is strong importance, 7 presents one factor is favored very strongly over another, and 9 is evidence favoring one factor over another is of the highest possible order of affirmation. The principles and conditions of pairwise comparison are references for data collection in this research. In addition to the results of the comparison according to the direct purposes of the process, the results can be used to create a decision model for complex decision-making. 3) Weighing Process: in general, the data collection process with the pairwise comparison technique will derive the numerical value from the opinion of the expert diagnosis. The next process is to use the data to calculate the pairwise comparison matrix according to the double factor of each hierarchy of factors. This step remembers the sum of the values in the matrix equal to one by starting from adjusting from vertical to one, then calculating the sum of each row in the horizontal and dividing by the total sum of the horizontal sums. For the result obtained, it must be used to test the Consistency Ratio (CR), which is an examination of the importance of the comparison results of the criteria in the decision making whether the reason is consistent. The examination can be conducted by determining the index of the consistency of the reason. The CR value must be less than or equal to 0.10, and then it is acceptable (Saaty, 1990). Then, the data will be put into order from the evaluation of the weighting process for each factor. The maximum weight values indicate the factors that are most important to decision-making.

3 METHOD The data in this research was collected via the Delphi technique by interviewing experts and analyzing the data to study the selection of technology that will add value to residential real estate projects. Then, the research applies the analysis structure and results to create a questionnaire for middle and small entrepreneurs. The research procedures are shown as follows. *Corresponding author (D.Rinchumphu). Tel:+66-959959519 Email: Damrongsak.R@cmu.ac.th ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16A http://TUENGR.COM/V11B/11A16A.pdf DOI: 10.14456/ITJEMAST.2020.310

3.1 DATA COLLECTION The pairwise process is based on collecting opinions on complex issues using comparisons to eliminate prejudices and confusion from the information providers. Furthermore, it is expected that the information obtained would be consistent. Therefore, the information providers must be the people who are credible and that have knowledge in the area. Five experts who have experience in residential real estate project management were chosen for this study. All of them are senior executives for the organization or executive authorities, or are part of the strategy-planning department for the organization, and have relevant experience as follows. 1) Data providers are those who have more than five years of experience in the ongoing business development of residential real estate projects in Bangkok or more than three projects. 2) Data providers are those who have experience in marketing public relations in terms of technology and innovation for at least three years or one project with sales of more than 70 percent. Data collection methods from all five experts were by requesting an interview and letting each person express their opinions comparing the relationship of each variable pair (with examples and explanations of the questionnaire as shown in Figure 3). However, the results of each expert's opinion may not be completely consistent. The important process is to find the middle value of the opinions, consider using the average value, together with the mode value of the data. However, to analyze the results, it is necessary to consider the Consistency Ratio (CR), which must be less than 0.10 to be considered acceptable (Saaty, 1990).

Figure 3: Questionnaire example and explanation.

3.2 DATA ANALYSIS Regarding the interviews with the five experts, the analysis of weight values from the hierarchical analysis process can apply tools to assist in analyzing the results with various programs. In this research, Microsoft ExcelÂŽ was used to assist in the processing of the data and for checking data consistency. To check for errors in providing data from wrong decisions or the inconsistency of data being decided on each pair, such as consistency values must not exceed 0.1 to be considered acceptable according to the principles of hierarchical analysis, and then calculate the weight value of each factor. The score will be calculated by weighing with the main factors to prioritize the factors and create a further value-added technology selection model for small and medium real estate developers in Thailand.

Pathompong Charoensuk, Sittichai Naksukskul, Damrongsak Rinchumphu

4 RESULT From the results of the data analysis from the above steps, it can be summarized as the factor results that influence technology selection to increase the value in the project development. Both the main and sub-factors that influence the technology selection to create more value for middle and small real estate developers are shown in Table 1. Table 1: Evaluation results of the importance of the factors. [B] [C] Sub Factor Weight Weight Score Ranking 2,3,4,5 = [A] x [B] Social Influence 0.183 0.087 6 Technology Reliance 0.252 0.119 4 Marketing 0.472 Personal Perception 0.222 0.105 5 Ease of Use 0.343 0.162 1 Usefulness 0.380 0.043 9 Efficiency 0.167 0.019 13 Physical 0.114 Durability 0.210 0.024 12 Maintenance 0.244 0.028 11 Initial Investment 0.426 0.131 2 Financial 0.309 Project Cash Flow 0.164 0.051 8 Return of Investment 0.410 0.127 3 Productivity 0.497 0.052 7 Production Process 0.401 0.042 10 Technical 0.105 Specialist 0.089 0.009 14 Material 0.013 0.001 15 1 2 3 Note: CR of main factor = 0.06; CR of marketing factor = 0.07; CR of physical factor = 0.04; 4 CR of financial factor = 0.04; 5CR of technical factor = 0.04.

Main Factor

[A] Main Factor Weight

Sub Factor

From Table 1, the Consistency Ratio (CR) of each set in the hierarchy of all the factors is within the acceptable value (<0.10). When considering the hierarchy of the main factor value in column A, it is found that the most important factor is the Marketing factor with a significant weighting value of 0.472, while the less important factor towards the selection decision-making is the Technical factor with a significant weighting value of 0.105, which is close to the Physical factor at 0.114. It indicates the trend of technology selection by entrepreneurs that they emphasize the conditions of investment possibilities (Marketing and Financial) more than the other factors, which is consistent with most studies that reflect the investor comments. Although they focus on new technologies, they still think of the possibility of doing business as an important factor, especially SME businesses, which still have business instability more than large businesses (Brustbauer, 2016; SME, 2017), while concerns about physical and technical limitations in Thailand are less important because the basic physical and technological production in Thailand is high due to the promotion of innovation incubators in a systematic manner over a period. (Wonglimpiyarat, 2016). This might be the reason for the obvious significant reduction in this concern. Besides, when considering the weighting value in every factor of every layer shown in column [C] (Table 1), it is found that the most important factor is Ease of Use. The second important factor is Initial Investment. The third is Return on Investment. The last three factors are Physical Efficiency, Technical Specialist, and Material, respectively. These findings confirm with the study of technology selection by Thangamani (2012), in which Key Performance Achievability and Commercial Risk are the most influential factors for the best technology selection. Moreover, the Ease of Use issue reflects frankly that the increased technologies for value-adding should provide convenience. Also, the *Corresponding author (D.Rinchumphu). Tel:+66-959959519 Email: Damrongsak.R@cmu.ac.th ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16A http://TUENGR.COM/V11B/11A16A.pdf DOI: 10.14456/ITJEMAST.2020.310

ease-of-use meets the needs of generation Y customers who look for convenience in living life (Mahmood et al., 2013; Ozturk et al., 2016; Watchravesringkan et al., 2010), while the degrees of importance of Initial Investment and Return on Investment are in the same way as the form of consideration for general business investment possibilities (Kuntonbutr, 2017; Tongyingsiri, 1999). However, the least important parts are Specialist and Material, which are in the scope of the same reason for the lack of concern about the factors of production and technology development in Thailand due to the appropriate support capacity (Wonglimpiyarat, 2016). However, the issue needing consideration is the Efficiency of new technologies, which is also at the bottom of the list (Suttiwongpan et al., 2019). In this section, when considering the terms of the entrepreneurs who have to offer products through advertising public relations and when there is a risk of exaggerating claims, they will be punished by the Office of the Consumer Protection Board, which is a Thai legal agency who investigate exaggerated claims, especially about the efficiency of new technologies, which may be difficult to prove if it is true or not. This makes the entrepreneurs (not only in the real estate business) aware of such issues (Kingsakul, 2015). However, this might need further proof.

5 CONCLUSION From this study of the value-added technology selection model for small and medium real estate developers in Thailand, by undertaking interviews with experts to analyze the degree of the importance of the factors according to the Analytic Hierarchical Process (AHP) with a pairwise comparison to determine the importance level of the factors, and the results found that the Marketing factor is the most important for running a business, following by Financial, Physical and Technical factors, respectively. Moreover, the results of the study show that the technology of the facility is most important in the selection of technology for increasing the value by adding additional technologies over the common standard to facilitate the common areas and within the residential area, such as smart home technology, digital door technology, and solar cell technology for small and medium residential real estate developers. It is a way of doing business to create an advantage that is needed to respond to the changes and needs of consumers in a technological age, like the present. However, this study was only related to the expert opinion from the developerâ€™s point of view. The results should be used along with the results of a marketing study from targeted customers.

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

7 REFERENCES Afzal, F., Yunfei, S., Sajid, M., & Afzal, F. (2018). Risk assessment of first overseas mass rapid transit project: promulgating interpretive qualitative paradigm for China Pakistan construction concession. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 9(4), 253-269. Bongsadadt, M. (2014). 21 Real Estate Strategy in Hot Political Era Bangkok. PY Printing Company. Brustbauer, J. (2016). Enterprise Risk Management in SMEs: Towards a Structural Model. International Small Business Journal, 34(1), 70-85. Charoensuk, P. (2017). Technology's Selection Guidelines for Value Added for Small and Medium Real Estate Developers. Thammasat University.

Pathompong Charoensuk, Sittichai Naksukskul, Damrongsak Rinchumphu

Cho, K., Hong, T., & Hyun, C. (2010). Integrated schedule and cost model for the repetitive construction process. Journal of Management in Engineering, 26(2), 78-88. Davis, F. D. (1989). Perceived Usefulness, Perceived Ease of Use, and User Acceptance of Information Technology. MIS Quarterly, 13(3), 319-340. de Chernatony, L., Harris, F., & Riley, F. D. O. (2000). Added Value: It's Nature, Roles, and Sustainability. European Journal of Marketing, 34(1/2), 39-56. Jan van Ree, H. (2002). The Added Value of Office Accommodation to Organisational Performance. Work-Study, 51(7), 357-363. Kingsakul, K. (2015). The Knowledge of People about Consumer Protection Law. Local Administration Journal, 8(3), 76-88. Kraft, H., & Munk, C. (2011). Optimal Housing, Consumption, and Investment Decisions over the Life Cycle. Management Science, 57(6), 1025-1041. Kuntonbutr, C. (2017). Feasibility Study. 1st Ed., Bangkok, Thailand: Chulalongkorn University Press. Lindholm, A.-L., & LevĂ¤inen, K. I. (2006). A Framework for Identifying and Measuring Value Added by Corporate Real Estate. Journal of Corporate Real Estate, 8(1), 38-46. Lootsma, F. A. (1999). The AHP, Pairwise Comparisons. In Multi-Criteria Decision Analysis via Ratio and Difference Judgement, 53-92, Boston, MA: Springer US. Mahmood, I., Chung, C.-N., & Mitchell, W. (2013). The Evolving Impact of Combinatorial Opportunities and Exhaustion on Innovation by Business Groups as Market Development Increases: The Case of Taiwan. Management Science, 59(5), 1142-1161. Memon, A. H., Rahman, I. A., & Azis, A. A. A. (2011). Preliminary study on causative factors leading to construction cost overrun. International Journal of Sustainable Construction Engineering, 2(1). SME. (2017). Plan of Small and Medium Enterprise Promotion Number 4 (2017-2021). Office of Small and Medium Enterprise Promotion. http://www.sme.go.th Retrieved September 2017 Ozturk, A. B., Bilgihan, A., Nusair, K., & Okumus, F. (2016). What Keeps Mobile Hotel Booking Users Loyal? Investigating the Roles of Self-efficacy, Compatibility, Perceived Ease of Use, and Perceived Convenience. International Journal of Information Management, 36(6, Part B), 1350-1359. Roulac, S., Adair, A., McGreal, S., Berry, J., Allen, S., & Finance. (2006). Real Estate Value: Creation and Destruction. Journal of Property Investment, 24(6), 474-489. Saaty, T. L. (1990). How to Make a Decision: The Analytic Hierarchy Process. European Journal of Operational Research, 48(1), 9-26. Saravisutra, A. (2016). Multi-Criteria Decision Making: Comparison between SAW, AHP, and TOPSIS Concept and Methods (in Thai). Princess of Naradhiwas University Journal, 8(2), 180-192. Shi, L., Ye, K., Lu, W., & Hu, X. (2014). Improving the competence of construction management consultants to underpin sustainable construction in China. Habitat International, 41, 236-242. Sovacool, B. K., Gilbert, A., & Nugent, D. (2014). An international comparative assessment of construction cost overruns for electricity infrastructure. Energy Research & Science, 3, 152-160. *Corresponding author (D.Rinchumphu). Tel:+66-959959519 Email: Damrongsak.R@cmu.ac.th ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16A http://TUENGR.COM/V11B/11A16A.pdf DOI: 10.14456/ITJEMAST.2020.310

Suttiwongpan, C., Tochaiwat, K., & Naksuksakul, S. (2019). Influence of designs following green assessment criteria on the decision to buy houses in housing projects: Thailand’s ecovillage. ABAC Journal, 39(4), 1-15. Tam, M. C. Y., & Tummala, V. M. R. (2001). An Application of the AHP in Vendor Selection of a Telecommunications System. Omega, 29(2), 171-182. Thangamani, G. (2012). Technology Selection for Product Innovation Using Analytic Network Process (ANP)-A Case Study. International Journal of Innovation, Management, and Technology, 3(5), 560. Tongyingsiri, P. (1999). Project Planning and Analysis. 7th Ed., Bangkok: Med Sai Printing. Watchravesringkan, K., Nelson Hodges, N., & Kim, Y.-H. (2010). Exploring Consumers' Adoption of Highly Technological Fashion Products: The Role of Extrinsic and Intrinsic Motivational Factors. Journal of Fashion Marketing and Management, 14(2), 263-281. Wonglimpiyarat, J. (2016). The Innovation Incubator, University Business Incubator, and Technology Transfer Strategy: The Case of Thailand. Technology in Society, 46, 18-27. Pathompong Charoensuk graduated a Master’s Degree from the Innovative Real Estate Development Program, Faculty of Architecture and Planning, Thammasat University, Thailand. He got a Bachelor’s Degree in Architecture from Kasetsart University, Thailand. His research is in the field of Technology in Real Estate Development.

Dr. Sittichai Naksukskul is a Researcher at PTT Innovation Institute, Thailand, and a Guest Lecturer at the Innovative Real Estate Development Program, Faculty of Architecture and Planning, Thammasat University, Thailand. He got his Doctoral degree in Civil Engineering from Yokohama National University, Japan. His research focuses on Innovative Technology in Construction and Real Estate Development.

Dr. Damrongsak Rinchumphu is a Researcher at the Center of Excellence for Natural Disaster Management (CENDIM) and a Lecturer at the Department of Civil Engineering, Faculty of Engineering, Chiang Mai University, Thailand. He got a Doctoral degree in Civil Engineering and Built Environment from Queensland University of Technology, Australia. His research focuses on Sustainable and Technology in Civil and Construction Management.

Pathompong Charoensuk, Sittichai Naksukskul, Damrongsak Rinchumphu

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

PAPER ID: 11A16B

ANOMALY DETECTION IN CROWDS BY FUSION OF NOVEL FEATURE DESCRIPTORS 1

Abdullah J. Alzahrani , Sultan Daud Khan 1 2

, and Habib Ullah

College of Computer Science and Software Engineering, University of Hail, SAUDI ARABIA. Department of Computer Science, National University of Technology, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 02 June 2020 Received in revised form 14 August 2020 Accepted 02 September 2020 Available online 24 September 2020

Anomaly detection in high-density crowds is considered as an important research problem. Detecting anomalous crowd behavior is a complex problem due to unpredictable human behaviors and complex interactions of individuals in groups. In this paper, we present a supervised approach to detect anomalous trajectories. The proposed method has four subsequent steps. In the first step, we extract trajectories from the input video sequence. In the second step, we compute novel features from these trajectories. In the third step, we classify each trajectory into two classes, i.e., anomalous and normal. In the fourth step, we employ a clustering algorithm to cluster all anomalous trajectories. The resultant cluster indicates the anomalous regions in the scene. We evaluated the proposed approach on two publicly available benchmark datasets. From experimental results, we demonstrate the proposed method outperforms other state-of-the-art methods.

Keywords: Crowd analysis; Crowd behavior; Supervised anomaly detection; Trajectories extraction; Anomalous event; Anomalous trajectory; Feature fusion; Motion feature; Clustering algorithm.

1 INTRODUCTION Crowd monitoring is important for public safety and security. With the rapid population growth, public events, like concerts, religious and political gatherings, and marathons face crowd disasters events. These events serve peaceful purposes. During recent years, high-density crowd analysis achieves much attention from the research community. For crowd monitoring, crowd managers and municipality install multiple cameras in different locations to cover a wider picture of the event. The current practice of crowd monitoring is based on manual analysis, where an analyst monitors these events through a TV screen. Such manual analysis of the crowd is a hectic job and usually results in errors due to a lack of human capabilities. Therefore, there is a need for an automatic analysis of the crowd. During recent years, a significant amount of work is reported in the literature to automate the crowd analysis task through computer vision [15]. However, researchers are still facing different *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16B http://TUENGR.COM/V11B/11A16B.pdf DOI: 10.14456/ITJEMAST.2020.311

challenges in automatically understanding the crowd. One of the major tasks in video surveillance is to precisely detect and localize anomalous events. An anomaly in the crowd refers to any undesirable event that may pose threat to public safety and security. Generally, anomalous events occur very rarely compare to normal events. To reduce the human efforts and to respond timely to anomalous events, automatic detection of anomalous is the urgent need of current time. The main goal of anomaly detection is to timely respond to the events that tend to deviate from normal behavior. Therefore, the task of anomaly detection is to filter anomalous scenes from normal ones. We can classify anomalies into different classes once we precisely detect them. Several strides have been made during recent years to develop methods and approaches to detect an anomalous event, for example, violence and panic detector [19] and car accident detector [10], [25]. However, these methods have limited practical application since these methods cannot be generalized to other common anomalous events. It is complicated to define anomaly since anomalous events are complicated and diverse in nature and it is hard to list all anomalous behaviors. For a good anomalous model, it is desirable that the model requires minimum data and should not rely on previous information about the anomalous event. The best representative anomalous methods are sparse-coding approaches [16], [30] that achieved state-of-the-art performance. These models consider videos that mainly contain anomalous content. However, in the real-world, anomalous occur suddenly during the course of normal events. This is the reason that these approaches can not be applicable in the real world and produce many false positives even for normal behaviors. The boundary between normal and anomalous behaviors is very narrow and usually ambiguous. Furthermore, in the real-world, the usually same behavior can be detected as normal or anomalous behavior under different settings and environmental conditions. Therefore, we believe that training a model using normal and anomalous may help the anomalous model to learn in a better way. Therefore, in this paper, we propose a supervised solution of crowd anomalous behaviors. In computer vision-based video surveillance, generally, human detection and tracking of people are the main preprocessing steps. The performance of any algorithm depends on the accuracy of these steps. Generally, detection and tracking require low-level appearance and motion features [24], [27] to detect humans in the crowd. These methods depend on the extraction of handcrafted appearance features. These features work well in low-density situations, where the people in the scene are sparsely distributed and most parts of human bodies are visible. Therefore, its easy for a human detector to detect the human body in low dense situations. However, the situation becomes otherwise in high-density situations. In high-density crowds, due to severe clutter, occlusions, and extremely small size of human, detector face challenges in precisely detecting humans. With the weak performance of human detectors, as an alternative, the researchers are employing holistic methods by adopting optical flow that exploits global motion information. Optical flow is a low-level motion feature and computed densely for each pixel of the image. We observed that optical flow performs well in high-density crowds that involves unique motion patterns. This approach has been widely adopted by different researchers [1], [2], [18]. The main advantage of this approach is that it does not depend on detection and tracking rather it computes the motion vector of every pixel. We can utilize this information and extracts trajectories level information using the particle advection approach. The particle advection approach is adopted in different crowd analysis problems. First, the

Abdullah J. Alzahrani, Sultan Daud Khan, and Habib Ullah

approach is adopted by Saad et al. in [1] for crowd flow segmentation and stability analysis. Mehran et al. [18] adopt this approach for anomaly detection and Solmaz et al. [23] use for identifying different behaviors in the crowd. The approach in [2] utilizes the motion of the crowd to handle target tracking. Sultan et al. [13] adopt an approach for distinguishing main motion flows in a crowd scene and predict the source and sink of the crowd. In this paper, we propose a model that fuses novel feature descriptors to detect anomaly in challenging situations. We argue that anomaly can be modeled from trajectory information. We first compute optical flow and then extract point trajectories by initializing a dynamical system based on optical flow. Time integration of the dynamical system produces point trajectories. We then compute novel feature descriptors, i.e., density, shape, mean, standard deviation, and Shannon entropy from extracted trajectories. We then employ a mean-shift clustering algorithm to cluster trajectories related to anomalous behavior.

2 RELATED WORK Detection of Anomalous behavior in video sequences is a challenging problem and have been the focus of many researchers [28], [4], [16], [7], Several approaches focused on detecting aggression [5], panic [14], and violence [19] in videos. Human violence behavior is detected by Datta et al. by using the motion of limbs and orientation of motion information. Kooij et al. fuse data from audio and video to detect aggressive behavior in videos. Gao et al. detect violent behavior by using motion-based descriptors. Mohammadi et al.[30] classify violent and non-violent behaviors by proposing new behavior heuristics. Basharat et al. move a step forward and adopt tracking to classify the normal flow of the crowd and classify deviation from the normal behavior as an anomaly. However, there are difficulties in achieving accurate and reliable trajectories. Several methods have been proposed that avoid tracking and learn a holistic motion pattern based on histograms of optical flow [22]. In other work, social force models [18], dynamic textures mixture model [5], Hidden Markov Model (HMM) are adopted to classify anomalous behaviors. These methods learn normal behavior based on the data provided. These approaches then classify anomalous behavior if the pattern deviates from the normal patterns. With the tremendous success of sparse feature representation and learning of visual words and dictionary, the work [30] used to learn the dictionary of normal behaviors. During the testing stage, the motion patterns are reconstructed and patterns that produce high error are classified as anomalous behaviors. With the success of deep learning models in the field of object detection, classification, and segmentation tasks, several methods have been proposed action classification in videos [11]. However, a deep learning network requires a huge amount of annotated data to learn the representation effectively. This becomes a bottleneck for deep learning models. Currently, methods [7] employed deep learning autoencoders to learn normal behaviors and use reconstruction error to detect anomalous behavior. Joachims et al. [9] proposed an approach based on rank-Support Vector Machine (SVM) to improve the content retrieval process from the web. Bergeron et al. [8] proposed an approach based on linear programming to deal with various ranking problems. Several other methods mainly focus on simple specific behavior patterns in a crowd scene. However, most of these methods do not work in real-time applications and require a large amount of training data. These methods include detecting normal and abnormal interactions [17], group interactions [20]. Several *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16B http://TUENGR.COM/V11B/11A16B.pdf DOI: 10.14456/ITJEMAST.2020.311

methods are proposed for crowd analysis [21]. However, these methods require offline learning that requires a large amount of data. This is the reason that these methods cannot be in real-time interactive applications. Other approaches focus on low-density crowds and employ tracking data to learn behavior representation [26] proposed a method that classifies the scene into main and background agents.

3 PROPOSED METHODOLOGY The proposed approach starts by extracting motion information from the crowded videos. We extract motion information by using trajectories since trajectories capture the complex spatial-temporal information in videos. Therefore, we model the problem of anomaly detection in terms of trajectory extraction. After extracting trajectories, we then compute multiple features on the top of trajectories and then fuse features. These fused features are learned through a support vector machine that best learns the representation of anomalous and normal trajectories. Generally, our method follows the following pipeline. (1) Extracting trajectories. (2) Trajectory clustering. (3) Computing multiple features. (4) Fusion of features followed by classification.

3.1 TRAJECTORIES EXTRACTION In this section, we discuss the methodology of extracting trajectories from the video scene. It is to be noted that in high-density situations, state-of-the-art object detector and tracker are in-efficient to extract trajectories. It attributes to the extremely small size of human heads, occlusion, and severs clutter in the scene. Therefore, in densely crowded situations, we cannot employ existing object detectors and trackers. To address this problem, in this paper, we adopt a holistic approach and extract trajectories by using a point tracker, i.e., Lucas-Kanade tracker. Lucas-Kanade tracker first extracts reliable features, i.e., edges and corner points, and track these features through multiple frames and in multiple scales by adopting a pyramidal approach. We first extract edge points using the Harris corner detector. Each corner point is then tracked through multiple frames via the Lucas-Kanade tracker. As in videos, new objects appear in the subsequent frames of the video with the passage of time. Therefore, we sample new points after every 10th frame of the video and add to the tracker. The trajectories where the distance between the starting point and endpoints is less than a specified threshold are regarded as stationary trajectories and are removed to speed up the process.

3.2 FEATURE EXTRACTION After trajectories obtained from the previous process, we now extract multiple features from the trajectories. The features include shape, density, structural and motion features. 3.2.1 SPATIAL-TEMPORAL SHAPE Every trajectory corresponding to a person follows a shape that provides important cue about the current behavior in the scene. Therefore, to extract the spatiotemporal shape of the trajectory, we model each trajectory as a polynomial function as i(t) = đ?‘Ľđ?‘Ľ0 + đ?‘Ľđ?‘Ľ1 đ?‘Ąđ?‘Ą + đ?‘Ľđ?‘Ľ2 đ?‘Ąđ?‘Ą 2 + đ?‘Ľđ?‘Ľ3 đ?‘Ąđ?‘Ą 3

j(t) = đ?‘Śđ?‘Ś0 + đ?‘Śđ?‘Ś1 đ?‘Ąđ?‘Ą + đ?‘Śđ?‘Ś2 đ?‘Ąđ?‘Ą 2 + đ?‘Śđ?‘Ś3 đ?‘Ąđ?‘Ą 3

(1), (2),

where i and j represent spatial coordinates of trajectory corresponds to the horizontal and vertical

Abdullah J. Alzahrani, Sultan Daud Khan, and Habib Ullah

axis. It is given the value to t = {1, L}, where L is computed as the absolute difference between the start and endpoint of the trajectory. Symbols đ?‘Ľđ?‘Ľ and đ?‘Śđ?‘Ś are the coefficients and computed separately for i and j. From the above equation, we compute the shape of the trajectory as Fshape = [ đ?‘Ľđ?‘Ľ0 , â€Ś â€Ś đ?‘Ľđ?‘Ľ3 , đ?‘Śđ?‘Ś0 , â€Ś â€Ś đ?‘Śđ?‘Ś3 ]

(3).

3.2.2 DENSITY

Density provides important cue about the current behavior in the scene. High density in crowded scenes indicates a potential anomaly in the scene. Therefore, for anomaly detection, we also incorporate density information. We compute the density by clustering nearby trajectories, where the spatial similarity is measured by the Longest Common Sub Sequence (LCSS). The major task of LCSS is to find trajectories considering the spatial location. The trajectories near to the analyzed one will be clustered together. We apply the following process to cluster similar trajectories. It is to be noted that similar trajectories are spatially close trajectories. Let đ?‘‡đ?‘‡đ?‘Žđ?‘Ž and đ?‘‡đ?‘‡đ?‘?đ?‘? represent two trajectories and the length of trajectories are s1 and s2 respectively. We compute spatial proximity by recursively matching the spatial proximity of M points of both trajectories. Here, we define two parameters that control the matching criteria. Generally, the matching value represents the density Fdensity and computed as đ??šđ??šđ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘ = ďż˝

0, if đ?‘Ľđ?‘Ľ = 0 or đ?‘Śđ?‘Ś = 0 1, if |đ?‘‡đ?‘‡đ?‘Žđ?‘Ž (đ?‘Ľđ?‘Ľ ) âˆ’ đ?‘‡đ?‘‡đ?‘?đ?‘? (đ?‘Śđ?‘Ś)|2 < đ?‘¤đ?‘¤

The spatial correspondence between two trajectory đ?‘‡đ?‘‡đ?‘Žđ?‘Ž

đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ đ?‘ (đ?‘‡đ?‘‡đ?‘Žđ?‘Ž , đ?‘‡đ?‘‡đ?‘?đ?‘? ) =

đ??żđ??żđ??żđ??żđ??żđ??ż(đ?‘‡đ?‘‡đ?‘Žđ?‘Ž ,đ?‘‡đ?‘‡đ?‘?đ?‘? )

min(đ?‘†đ?‘†1 ,đ?‘†đ?‘†2)

(4). and đ?‘‡đ?‘‡đ?‘?đ?‘?

is computed as

, where quotient term represents the total number of points matched

(spatially closed) between đ?‘‡đ?‘‡đ?‘Žđ?‘Ž and đ?‘‡đ?‘‡đ?‘?đ?‘? .

3.2.3 STRUCTURAL AND MOTION FEATURES After obtaining dense, long, and reliable trajectories, the next step is to compute descriptors that encode the motion and structural information of the trajectories. But before computing descriptors, we encode local motion patterns from trajectories by computing the shape of the trajectory. Consider a trajectory of length L, we describe its shape by a set of displacement vectors as đ?›Ľđ?›Ľđ?‘ƒđ?‘ƒđ?‘Ąđ?‘Ą â€Ś . đ?›Ľđ?›Ľđ?‘ƒđ?‘ƒ(đ?‘Ąđ?‘Ą+đ??żđ??żâˆ’1) , where đ?›Ľđ?›Ľđ?‘ƒđ?‘ƒđ?‘Ąđ?‘Ą is a displacement and computed as đ?›Ľđ?›Ľđ?‘ƒđ?‘ƒđ?‘Ąđ?‘Ą = (đ?‘ƒđ?‘ƒđ?‘Ąđ?‘Ą+1 âˆ’ đ?‘ƒđ?‘ƒđ?‘Ąđ?‘Ą ). We normalize the resultant vector

by the sum of magnitude as đ??šđ??šđ?‘ đ?‘ đ?‘ đ?‘ =

đ?›Ľđ?›Ľđ?‘ƒđ?‘ƒđ?‘Ąđ?‘Ą â€Ś đ?›Ľđ?›Ľđ?‘ƒđ?‘ƒ(đ?‘Ąđ?‘Ą+đ??żđ??żâˆ’1) đ?‘?đ?‘?

(5).

3.2.4 FEATURE FUSION

After extracting multiple features from trajectories, we then fuse the features for the training process. During training, for every video, we keep 60% frames for training and the rest for validation. We adopt temporal patch wise training, we divide each input video sequence into overlapping temporal windows. we keep the overlapping ratio as 0.4. The pipeline of extracting trajectories is shown in Figure 1. We then extract motion trajectories and compute features from each temporal segment. The features from each segment are then concatenated together as đ??šđ??šđ?‘ đ?‘ â„Žđ?‘Žđ?‘Žđ?‘Žđ?‘Žđ?‘Žđ?‘Ž , đ??šđ??šđ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘ , đ??šđ??šđ?‘ đ?‘ đ?‘ đ?‘ . *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16B http://TUENGR.COM/V11B/11A16B.pdf DOI: 10.14456/ITJEMAST.2020.311

(a) (b) (c) Figure 1: (a) the sample frame, (b) the trajectories extracted overlaid over the image and (c) the density map.

4 DETECTION OF ANOMALY Based on the features extracted, anomaly detection can be performed. We observed that high density crowded scenes exhibit dominant motion patterns. These dominant motion patterns can be clustered and analyzed further for anomaly detection. The trajectories belong to anomaly may be assigned to any of the clusters and in some cases can not show the highest degree of similarity with any of the clusters. Therefore, to precisely detect and cluster trajectories that actually belong to the anomaly, we use Shannon Entropy [29] that describes the whole feature space (computed in the previous section) into a value. The higher value indicates that the trajectory belongs to anomalous behavior while the lower value represents trajectory belonging to a normal situation. Therefore, in contrast to previous methods that compute the distance between two cluster centers, we compute probability distribution between the mid-point of each trajectory to the mean of each cluster. We then compute the entropy of this distribution and define a threshold value. If the entropy value is greater than the predefined threshold value, the trajectory will be classified as anomalous while the trajectory lower than the threshold value will be labeled as normal. We experimentally compute the value of threshold Î¨ using cross-validation. From empirical evidence, we observe that the attributes of high-density crowds change frequently. For example, one segment of the crowd exhibiting a specific behavior can suddenly change the behavior, and in this way, the characteristics of the trajectories change. Furthermore, new trajectories that are added after a predefined interval of time can exhibit similar behavior and produce similar features as one of the clusters but it may exhibit different behavior due to their late injection. To address this, we adopt a voting scheme that continuously votes (either positive or negative) to those trajectories classified as anomalous. In this way, we analyze and check anomalous trajectories for a longer duration and we discard those trajectories with negative votes

5 EXPERIMENT RESULTS In this section, we evaluate and compare the proposed approach with other state-of-the-art methods in both quantitative and qualitative ways. For rigorous evaluation, we used two publicly available datasets, i.e., [12] and UCF [18]. Dataset [12] is initially proposed by sultan et al. and it contains 16 videos collected from different sources. The videos cover different crowd densities and anomalies. For example, the airport sequence from the dataset shows the scenario of the airport,

Abdullah J. Alzahrani, Sultan Daud Khan, and Habib Ullah

where the people are moving in different directions using elevators. This video contains normal behavior of the crowd and covers low to medium crowd density. station sequence shows the platform of the train station, where the people moving from different directions gathered at a single point, thus increasing the density that causes clogging and congestion. In the same way, UCF dataset [18] consists of video sequences, that cover different scenarios of crowd escape from three different indoor and outdoor environments. The initial part of each video sequence covers the normal behavior of the crowd while abnormal behavior is exhibited by the crowd at the end of the video sequence. In this way, in a single video sequence, we have both normal and abnormal behaviors and we evaluate the robustness of the proposed method on these datasets. Table 1: Performance of the proposed method on different video sequences from [12] dataset. Video Sequences Station 1 Station 2 Penn Station Seq 30 Hseq01 Hseq02 Hseq03 Hseq04 Concert

Precision 0.82 0.84 0.89 0.81 0.90 0.93 0.91 0.89 0.83

Recall 0.94 0.87 0.94 0.87 0.87 0.89 0.83 0.93 0.9

F-Score 0.88 0.85 0.91 0.84 0.88 0.91 0.87 0.91 0.86

To evaluate the effectiveness of the proposed approach, we first extract trajectories from each input video sequence. We then compute the features from each trajectory and classify trajectories into two classes, i.e., anomalous/normal trajectories. Since we are using video sequences, we also annotate the anomalous and normal trajectories in the original video. We report the results of the proposed approach on these two datasets in Table 1. From the table, it is obvious that the proposed method achieves high performance on classifying trajectories. However, the specificity of classifying the normal trajectories is lower than classifying abnormal trajectories. We observed that low performance is due to fact that the model is trained on a large number of anomalous trajectories than normal trajectories. We improve the specificity of the proposed approach for classifying the normal trajectories by providing more data by adopting the method of data augmentation. We observe that our proposed method precisely classifies the anomalous trajectories with high accuracy. Figure 2 shows the subway station video sequence, where the people from multiple entrances gathered to exit from a single door. We first extract trajectories from the whole video sequence as shown in Figure 2(b). We encoded trajectories with different colors to represent that trajectories belong to different pedestrians of the crowd. We then compute features for each trajectory and classify each trajectory into normal/abnormal. Figure 2(c) shows the abnormal trajectories encoded in red color. From the figure, it is obvious that our proposed method precisely classifies trajectories. We then adopt a clustering algorithm that cluster abnormal regions as indicated in Figure 2(d). Table 2: Comparison of different methods Methods Guo et al. [6] Mehran et al. [18] Biswas et al. [3] Proposed

Precision 0.72 0.84 0.78 0.87

Recall 0.65 0.82 0.57 0.84

F-Score 0.7 0.83 0.66 0.85

*Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16B http://TUENGR.COM/V11B/11A16B.pdf DOI: 10.14456/ITJEMAST.2020.311

By closely analyzing the video sequence, the trajectories belong to the clogging crowd in the subway represent the congestion behavior, where the pedestrian could not move smoothly and exhibit to and fro motion to maintain the balance. We also compare the performance of the proposed method with other existing methods in Table 2. From the table, it is obvious that our proposed method supersedes other state-of-the-art methods by a great margin. The work [6] could not perform well since the method relies on computing speed features to analyze the trajectory. The work [3] adopts an unsupervised approach to detect hierarchical features to detect anomalous trajectory.

Figure 2: Visualization of abnormal trajectories detection, (a) the sample frame, (b) the trajectories overlaid on the image, (c) abnormal trajectories, and (d) the abnormal locations.

6 CONCLUSION In this paper, we proposed a novel approach that performs trajectory level analysis to detect anomalous regions in the scene. The method first extracts trajectories from videos and then compute different features from trajectories. After classifying trajectories, we then cluster trajectories that will indicate anomalous regions. From this study, we observe the use of multiple features for determining anomalous trajectories. Furthermore, the anomalous trajectory exhibits similar behavior belong to dominant motion patterns but significantly different in other aspects. Finally, the proposed work will lead to the improvement of surveillance methods in public places and mass events.

7 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

Abdullah J. Alzahrani, Sultan Daud Khan, and Habib Ullah

8 ACKNOWLEDGEMENT This research is supported by the Deanship of Scientific Research at the University of Hail, Kingdom of Saudi Arabia, with the contract number “BA-1919”.

9 REFERENCES [1] S. Ali and M. Shah. A Lagrangian particle dynamics approach for crowd flow segmentation and stability analysis. In 2007 IEEE Conference on Computer Vision and Pattern Recognition, pages 1-6. IEEE, 2007. [2] S. Ali and M. Shah. Floor fields for tracking in high density crowd scenes. In European conference on computer vision, pages 1-14. Springer, 2008. [3] S. Biswas and V. Gupta. Abnormality detection in crowd videos by tracking sparse components. Machine Vision and Applications, 28(1-2): 35-48, 2017. [4] X. Cui, Q. Liu, M. Gao, and D. N. Metaxas. Abnormal detection using interaction energy potentials. In CVPR 2011, pages 3161-3167. IEEE, 2011. [5] Y. Gao, H. Liu, X. Sun, C. Wang, and Y. Liu. Violence detection using oriented violent flows. Image and vision computing, 48:37-41, 2016. [6] Y. Guo, Q. Xu, Y. Yang, S. Liang, Y. Liu, and M. Sbert. Anomaly detection based on trajectory analysis using kernel density estimation and information bottleneck techniques. In Tech. Rep., Technical Report 108. University of Girona, 2014. [7] M. Hasan, J. Choi, J. Neumann, A. K. Roy-Chowdhury, and L. S. Davis. Learning temporal regularity in video sequences. In Proceedings of the IEEE conference on computer vision and pattern recognition, pages 733-742, 2016. [8] Y. Hu, M. Li, and N. Yu. Multiple-instance ranking: Learning to rank images for image retrieval. In 2008 IEEE Conference on Computer Vision and Pattern Recognition, pages 1-8. IEEE, 2008. [9] T. Joachims. Optimizing search engines using clickthrough data. In Proceedings of the Eighth ACM SIGKDD international conference on Knowledge discovery and data mining, 133-142, 2002. [10] S. Kamijo, Y. Matsushita, K. Ikeuchi, and M. Sakauchi. Traffic monitoring and accident detection at intersections. IEEE transactions on Intelligent transportation systems, 1(2):108-118, 2000. [11] A. Karpathy, G. Toderici, S. Shetty, T. Leung, R. Sukthankar, and L. FeiFei. Large-scale video classification with convolutional neural networks. In Proceedings of the IEEE Conference on Computer Vision and Pattern Recognition, pages 1725-1732, 2014. [12] S. D. Khan. Congestion detection in pedestrian crowds using oscillation in motion trajectories. Engineering Applications of Artificial Intelligence, 85:429-443, 2019. [13] S. D. Khan, S. Bandini, S. Basalamah, and G. Vizzari. Analyzing crowd behavior in naturalistic conditions: Identifying sources and sinks and characterizing main flows. Neurocomputing, 177:543-563, 2016. [14] J. F. Kooij, M. Liem, J. D. Krijnders, T. C. Andringa, and D. M. Gavrila. Multi-modal human aggression detection. Computer Vision and Image Understanding, 144:106-120, 2016. [15] T. Li, H. Chang, M. Wang, B. Ni, R. Hong, and S. Yan. Crowded scene analysis: A survey. IEEE Transactions on Circuits and Systems for Video Technology, 25(3):367-386, 2015. [16] C. Lu, J. Shi, and J. Jia. Abnormal event detection at 150 fps in MatLab. In Proceedings of the IEEE international conference on computer vision, pages 2720-2727, 2013. [17] V. Mahadevan, W. Li, V. Bhalodia, and N. Vasconcelos. Anomaly detection in crowded scenes. In Computer Vision and Pattern Recognition (CVPR), 2010 IEEE Conference on, pages 1975-1981. IEEE, 2010. [18] R. Mehran, A. Oyama, and M. Shah. Abnormal crowd behavior detection using social force model. In *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16B http://TUENGR.COM/V11B/11A16B.pdf DOI: 10.14456/ITJEMAST.2020.311

2009 IEEE Conference on Computer Vision and Pattern Recognition, pages 935-942. IEEE, 2009. [19] S. Mohammadi, A. Perina, H. Kiani, and V. Murino. Angry crowds: Detecting violent events in videos. In European Conference on Computer Vision, pages 3-18. Springer, 2016. [20] B. Ni, S. Yan, and A. Kassim. Recognizing human group activities with localized causalities. In 2009 IEEE Conference on Computer Vision and Pattern Recognition, pages 1470-1477. IEEE, 2009. [21] M. Rodriguez, J. Sivic, I. Laptev, and J.-Y. Audibert. Data-driven crowd analysis in videos. In 2011 International Conference on Computer Vision, pages 1235-1242. IEEE, 2011. [22] I. Saleemi, K. Shafique, and M. Shah. Probabilistic modeling of scene dynamics for applications in visual surveillance. IEEE transactions on pattern analysis and machine intelligence, 31(8):1472-1485, 2008. [23] B. Solmaz, B. E. Moore, and M. Shah. Identifying behaviors in crowd scenes using stability analysis for dynamic systems. IEEE transactions on pattern analysis and machine intelligence, 34(10):2064-2070, 2012. [24] C. Stauffer and W. E. L. Grimson. Learning patterns of activity using real-time tracking. IEEE Transactions on pattern analysis and machine intelligence, 22(8):747-757, 2000. [25] W. Sultani and J. Y. Choi. Abnormal traffic detection using an intelligent driver model. In 2010 20th International Conference on Pattern Recognition, pages 324-327. IEEE, 2010. [26] L. Sun, X. Li, and W. Qin. Simulating realistic crowd based on agent trajectories. Computer Animation and Virtual Worlds, 24(3-4):165-172, 2013. [27] P. Viola, M. J. Jones, and D. Snow. Detecting pedestrians using patterns of motion and appearance. International Journal of Computer Vision, 63(2):153-161, 2005. [28] D. Xu, E. Ricci, Y. Yan, J. Song, and N. Sebe. Learning deep representations of appearance and motion for anomalous event detection. arXiv preprint arXiv:1510.01553, 2015. [29] X. Zhang, D. Lin, J. Zheng, X. Tang, Y. Fang, and H. Yu. Detection of salient crowd motion based on repulsive force network and direction entropy. Entropy, 21(6):608, 2019. [30] B. Zhao, L. Fei-Fei, and E. P. Xing. Online detection of unusual events in videos via dynamic sparse coding. In CVPR 2011, 3313-3320. IEEE, 2011. Abdullah J Alzahrani works at College of Computer Science and Software Engineering, University of Hail, SAUDI ARABIA. He takes his graduate study at the University of New Brunswick, Canada. His research encompasses Network Security, IDS, Android Security, Botnet Detection, Malware Analysis.

Dr. Sultan Daud Khan is an Assistant Professor at Department of Computer Science, National University of Technology, PAKISTAN. He got a B.Sc in Computer Engineering from NWFP UET, Pakistan. He got an M.Sc. in Computer Engineering from Hanyang University. He got a PhD in Computer Science from the University of Milano, Italy. His research focuses on Computer Vision, Embedded System Design.

Dr.Habib Ullah is an Assistant Professor, the Department of Computer Science and Software Engineering at the University of Ha'il, Saudi Arabia. He got an M.Sc. degree in Computer Engineering from Hanyang University, Seoul, South Korea, and a PhD from the University of Trento, Italy. His research interests include Computer Vision and Machine Learning.

Abdullah J. Alzahrani, Sultan Daud Khan, and Habib Ullah

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

PAPER ID: 11A16C

WHY ARE BUILDING DEFECTS STILL HAPPENING IN MALAYSIA? Roslan Bin Talib

, Mohd Zailan Sulieman

Interior Architecture Programme, School of Housing, Building & Planning, Universiti Sains Malaysia 11800 USM Pulau Pinang, MALAYSIA. 2 Building Technology Programme, School of Housing, Building & Planning, Universiti Sains Malaysia 11800 USM Pulau Pinang Malaysia, MALAYSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 02 January 2020 Received in revised form 04 August 2020 Accepted 25 August 2020 Available online 24 September 2020

This paper explores the pilot testing stage survey on the building defects problem focusing on the leakage defects. Nine research questionnaire categories have been developed, and three of them have been analyzed using SPSS®24 for this script. The design research approach uses Qualitative Research Methodology (Qualitative RM) and the finding is based on the descriptive statistical analysis patterns, Building Leakage Defects (BLD) remain a big problem to the construction scenario in this part of the world and may also happen to the other part of the globe and need serious attention to sort them out systematically. The pilot survey uses the existing and latest information survey data from the interview and communication processes from active construction players on real projects located in the most developed part of the region. The findings are considered worth the knowledge value as it can be used as a guide in developing a better guideline framework, especially to curb-down BLD and help to formulate quality building types.

Keywords: Internal space; Latent defect; Leakage defects; Pilot test; Building Leakage Defects (BLD); Building construction; Building damage.

1 INTRODUCTION UK's Charted Institute of Building (CIOB) stated that building defect costs the industry annually more than the combined profits of companies in the sector quoted in an article in September 2018. CIOB's claim on their recent research suggesting that better quality on construction management could save the industry up to UK £12 billion (pound) a year. CIOB's quality commission was launched in 2017 amid a spate of building failures including public office buildings, more than 80 Scottish schools and general complaints about building defects in new houses built by the British Government developers. Low quality of buildings affects the property market, and it needs money to *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16C http://TUENGR.COM/V11B/11A16C.pdf DOI: 10.14456/ITJEMAST.2020.312

get it into a marketable level with a proper maintenance schedule. Malaysia's construction scene is no different in terms of handling building defects. The scenario becomes worse when it is involved with the defects originating from water leakage, especially the rain. As Malaysia is located within the tropical regions, rainwater always becomes a challenge to the construction players in dealing with leakage defects syndrome. The Government of Malaysia (GOM) used to spend RM100 million (1USD = RM4.20) to do the roofing rectification works in dealing with the repeated leakage in 2010. The prominent historic building was built in 1967 used to have the same leaking problem in 2008 and affected the valuable property inside the notable parliament building like its classic timber furniture and hi-tech sound system. Kuala Lumpur International Airport 2 (KLIA2) new airport reportedly spent another extra of RM270 million to do all the defects rectification work in 2016. In 2007, three new blocks of GOM buildings were unable to continue to be occupied even after the just-completed construction within three months period due to defects problem. In the July 2019 report, the PGA Police housing quarters in Ulu Kinta, Perak facing serious leaking issues each time the weather is raining. The quarters were built in 1967-1981 by GOM initially having 27 blocks with 10 and 12-floor blocks while currently three blocks unsafe to occupy due to lacking proper maintenance especially to handle the Leakage Defects Syndrome (LDS) problem. Thus, this paper focuses on the most common defects in Malaysia, which is Building Leakage Defects (BLD). Leakage defects require special attention among the construction players and strategies must be drawn on how to overcome or minimize them systematically. General defects occur either because of poor design or low-quality workmanship or because the building was not constructed according to the plan or because it has been subject to factors not allowed for the design (National Building Agency, 1979). These primary causes may operate singly or in combination and result in defects indicated by changes in the composition of materials; in the construction itself; in the size, shape or weight of materials or parts of a building; or solely in appearance.

2 LITERATURE REVIEW Most literature found either through books or Q1/Q2 online indexed journals explained how related the defects on the construction of the buildings. The standard of the premises depends on how well the structures being built concerning the minimum percentage of RFI or RFQ received in facing the defect problems. Buildings represent, amongst other things, are energy, labor, and material. These either cannot be replaced or can only be returned at a significant cost. The severe economic recession, the energy crisis and awareness that resources are finite have led to the realization that existing buildings are a valuable commodity to be conserved, regardless of their historic or Architectural merits, and besides, that new buildings must be designed and built to last (Konya, 1986). Other than the building must be made to last, and they must be designed according to the client's program. The architect must translate the building's program into a practical, economy, and beautiful architecture (Myller, 1966). However, a high number of defects happened when the proposed buildings programmed used not according to the practical application designed. Next, the problem of the future is hard to define; the new structure must be flexible and adaptable to minimum defects so that it may fit into the changing needs of the community it serves (Myller, 1966). Glover (2002) stressed that a lot could be learned about the history of the building within the roof space and in most

Roslan Bin Talib, Mohd Zailan Sulieman

old houses, the primary defects are likely to be found either at the top or at the bottom. Great care should be exercised when moving about within the roof.

3 METHODOLOGY 3.1 PILOT STUDY APPROACH â€“INITIAL TASK USING QUANTITATIVE METHOD To start with, there are five main categories in developing the statistics with identifying the most defected internal spaces and its space of property damaged value due to the building defects problem (see Table 1). The next three categories are the one that has been discussed in this paper, which is on where the defects coming from primarily focusing on the water leakage defects problems. Number (no.) four criteria triggered to the existence of the building defects and the last one to identify on what waterproofing materials used the most in rectifying the defects due to the leakage defects taken as one of the popular categories of building defects itself (see Tables 3, 4 and 5). Table 1: Pilot testing structure: 5 plus 4 questionnaire components: Mix methods approach.

Others/pls specify Others/ Pls specify

Others/ Pls specify

Water plug

Others/ Pls specify

Other spaces /Pls specify

Others/ Pls specify Environmental impact

Other spaces /Pls specify

Other spaces /Pls specify Others/ Pls specify Material aged

Other spaces /Pls specify

Planters box/ Terrace Window, door, floor Vandalism EPDM Roof Membrane

Office/ work areas Underground/ Lift Pit Lack of innovative methods Fiber

Living/Dining /Kitchen Exterior wall Poor workmanship

Toilet

Bedroom

P.U. grouting

Defects criteria/factor

Others/Please specify

Wrong material Thermal moist

Please tick/write>>

Tile Roof

Source of leaking

Wrong method

Please tick/write Estimated value (RM) damaged ROOF Flat concrete

2 3

Defects affected internal area

Design factors/ Poor detailing

Lobby/ Entrance

INTERVIEW QUESTIONS- TARGET INDUSTRY PLAYERS ON CONSTRUCTION FIELD-For Pilot testing

6 7 8 9

V-groove with polymer modified mortar for concrete

The material used to solve leaking

Cementitious chemical

Coating layers

Pls tick/write>>

Pls tick/write>> What recommendations can you make about incorporating your system in defects busting practice? How do you envision a complete defects-free guideline framework that should work and help the industry players? How does your system intervention contribute to the framework of the defects-free guidelines? Do have anything else to share? Green practice/using green material

The approach has been done for the first five questionnaire categories keen into quantitative method style as a result seem much more realistic, and the method can easily fit to enhance the quantitative approach during the second stage as mentioned before. Adding to the previous statement, this pilot test stage encroaching to more on qualitative research method style with four more *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16C http://TUENGR.COM/V11B/11A16C.pdf DOI: 10.14456/ITJEMAST.2020.312

unstructured questionnaires where this last part is not part of the SPSS analysis compare to the five questionnaires as before. For this paper, only questionnaires no. 3, 4 and 5 propositions have been analyzed while questionnaires no. 1 and 2 already been elaborated in Tabil et al. (2015). Those propositions (no. 3, 4 and 5) are tested in the sense of coming up with a yes or no answer or counting instances that fit and those that do not (Rasli, 2006). Questionnaires no. 6, 7, 8 and 9 will be fit-in where appropriate with the feedback data found from the respondents. For questionnaires no. 3 and 5 (as well as to no. 1 and 2), all the respondents highlighted that most of the projects range from low budget rectification jobs (RM5,000 to RM50,000) to the mid-size new and renovation projects ranges from RM51,000 to RM500,000 in value. The top 10% of the task also involved major new projects value roughly from RM501, 000 to RM1,000,000.00 (RM1 million). All acquired data was filed within ten years period 2009-2019 involving real on-site waterproofing related projects as most parts of it stated in the selected building construction journal. Most of the latent and non-latent leakage defects still have chances to be rectified in good order if the techniques did correct (Talib et al., 2015). Further through literature research is done, the pilot test has also been formulated as part and parcel from a set of â€˜Research Questionsâ€™ alongside Research Objectives and identified hypotheses as shown in Tables 3, 4 and 5. To answer the quantitative research questions and to meet specific research objectives, the sample characteristics of the dependent and independent variables as well as the hypotheses developed should be analyzed using various statistical techniques (Rasli, 2006) as shown in the series of tables. Thus for this purpose, the first two parts of the nine questionnaire components of the pilot test are formularized for analysis purposes. Questionnaire no. 3 having 15 variable components using 7 Likert Scale value while questionnaires no. 4 and 5 having both 11 correlation components using 5 and 7 Likert scale value. Each of 15, 11 and 11varience components have been analyzed using state of the art statistical program to help determine its hypothesis correlations during the next stage of the research with qualitative method use as for the approach. (Rasli, 2006) indicated that qualitative propositions, however, are similar to hypotheses only that they address issues involving what and how questions which were determined during the 2nd phase of the research. All these have been indicated in Table 3 to Table 5. Qualitative propositions, however, are similar to hypotheses only that they address issues involving what and how questions (Rasli, 2006). Ahmad et al. (2014) stated the majority of current research needs robust and sturdy numerical results to reflect the findings of the analysis.

3.2 RESPONDENTS This study with the pilot testing method, 21 responses received from 50 targeted audience contacting through email and social media which are WhatsApp's, Facebook, Twitter and histogram together with fix line telephone call and mobile telephone calling methods have been implemented. Most direct face-to-face interviews have also been done, especially around Penang with a few in Kuala Lumpur and Selangor State. Table 2 indicated the respondents' profession concerning the building industry focusing to the logistic location of the company within the western edges of the West Malaysia peninsula, stretching from Melaka, Negri Sembilan, Kuala Lumpur, Selangor and Penang-Kedah area. A couple of responses were received from the State of Johore as well as from the State of Perak. The highest category of respondents was received from Waterproofing Contractor Specialist (WSC) with a total of 6 with maximum respondents received from Penang, the northern

Roslan Bin Talib, Mohd Zailan Sulieman

part of the Malay Peninsula. From 21 feedbacks received a total of 10 derived from Penang which is the highest.

Project Manager (Engineer) Project Manager (Arch) Asst. Project Manager Main Contractor WSC- Waterproofing Specialist Contractor Interior Designer Registered Architect Facility Manager Senior Site Supervisor (Architect) Project Engineer (Mechanical Engineer) Project Engineer (Electrical Engineer) Project Quantity (Quantity Surveyor) Logistic/ TOTAL

1 2

Position Role/as/ TOTAL

Kedah

Penang

Perak

Negri Sembilan

Melaka

Klang Valley/ Selangor

Putrajaya/ Cyberjaya

Title

Kuala Lumpur

Table 2: Respondents’ tabulation for the pilot testing stage.

1 1

1 1 1 3 6

1 3

1 1

1 1 1 1

1 1 5

1 10

2 2 1 1 1 1 1 21

4 RESULT OF ANALYSIS 4.1 LEAKAGE DEFECTS ANALYSIS ON SOURCES OF LEAKING Next, with ∑N = 21, 15 categories of the building's interior and exterior components about Building Leakage Defects (BLD) have been identified from the feedback of the respondents (see Table 3). The idea is to determine which internal and external spaces have been had the impact of the defects focusing more on the BLD. Most of the respondents understanding on the rainwater problem or on the damp-rising and high water table problems in maintaining the structures. From the SD statistic, spaces that having roof using roofing tiling type had the most no with 2.32 indicated that this space was having the most source of defect problems on the building leakage issues. The higher ≥SD means that the numbers are more spread out while the lower ≤SD implies that most of the numbers are close to the average. Questionnaire no. 2 is affected the space using the metal roofing with SD score of 2.29. With SD score of 2.23, the water tank part of the building place 3rd in allowing the water leakage due to its water tank problem as shown in this SPSS®24 statistical analysis surveyed. From the statistic, rainwater gives significant problems, especially when it comes to the roofing part of the buildings such as the BLD over tile or metal usage as for the roofing building components. It seems that most of the areas such as the interior components of the building identified for this survey as the internal wet areas as well as the ceiling part are also affected to be as the leaking source list. For example, the office space is usually having a problem with leakage defects located on top of the building with mostly having metal or tile roofing on top. Typically, these spaces are allocated for the CEO office, a condo unit or a penthouse space located at the most top of the buildings. On the other hand, from the experience and interview sessions, most of the hotel's rooms or apartment units foresee the leakage defects mostly from the wet area leak where the toilets are located *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16C http://TUENGR.COM/V11B/11A16C.pdf DOI: 10.14456/ITJEMAST.2020.312

on top. It also applied to the highest building units and where the high wind factor usually affected the unit by bringing the rainwater through the external wall and wet-up the internal part. The finding is also leaning toward most of the SWC using not the right leakage rectification technique as well as unappropriated waterproofing materials. Table 3, with ̅ x = 4.33 indicated that the metal roofing building part has been analyzed as the most problematic building component within any building facing the leakage source defects problems. Next on to questionnaire no. 2 for the mean statistic with 3.95 goes to the external wall while the tiling roofing part is for no.3 with x̅ score = 3.76. Furthermore, the underground lift-pit building component holds the closest symmetrical dataset skewness close to 0 as at -.06 while the swimming pool part rated second at -.06. This trend analysis indicating the dataset has skewness essential measures the relative size of the two tails. This proved the leaking sources from leakage water piping, leakage of the air-conditioning piping system and Concrete Flat Roof (CFR) located especially within the internal space of the structure must be done in extra care materialistically or in the detailing phase or during the construction time as these three building parts rated the highest in Skewness statistic. Table 3: SPSS analysis of BLD sources of leaking (N = 21)(SE = Std. Error). Components

Min

Max

Metal_roof Exterior_wall Tile_roof Underground_lift_pit Window_door_floor Swimming_pool Thermal_moisture Water_tank Skylight Gutter_RWDP Interior_wet_areas Ceiling Aircond_piping Concrete_flat_roof Water_piping Valid N (listwise)

1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00 1.00

7.00 7.00 7.00 7.00 7.00 7.00 7.00 7.00 6.00 7.00 7.00 7.00 7.00 7.00 7.00

Mean Statistic 4.33 3.95 3.76 3.71 3.67 3.67 3.52 3.43 3.19 3.14 3.14 2.76 2.38 2.38 2.05

SE .50 .42 .51 .47 .44 .42 .42 .49 .43 .48 .45 .41 .33 .37 .29

SD 2.29 1.91 2.32 2.15 2.01 1.91 1.94 2.23 1.99 2.22 2.06 1.89 1.50 1.72 1.32

Variance Skewness 5.23 3.65 5.39 4.61 4.03 3.63 3.76 4.96 3.96 4.93 4.23 3.59 2.25 2.95 1.75

-.26 -.26 -.10 -.06 .30 .15 .89 .18 .21 .56 .40 .96 1.73 1.30 2.77

SE .501 .501 .501 .501 .501 .501 .501 .501 .501 .501 .501 .501 .501 .501 .501

4.2 LEAKAGE DEFECTS ANALYSIS ON DEFECTS CRITERIA FACTORS To answer the quantitative research questions and to meet the specific research objectives, the sample characteristics of the dependent and independent variables as well as the hypothesis developed should be analyzed using various statistical techniques (Rasli, 2006). The SPSS®24 Table 4 indicated that a building defects factor criteria identified on the wrong usage of the space value read SD 1.38 stay top in the list (see). It is interesting to note that some cases showed that the designed storage room has been converted to the wet kitchen area in a hotel building suggesting the wrong usage space category and contributed the most problematic design factor in this statistic analysis. Matters become worse when no proper waterproofing system treatment has been done for that particular area. Thus it affected the BLD for the underneath space. Maintaining with the ∑N=21, 11 SPSS labels have been identified; a result of the qualitative

Roslan Bin Talib, Mohd Zailan Sulieman

unstructured interviews done where more internal space has been identified for the analysis. The next result found on lacking usage of innovative material with SD=1.34 and lacking building maintenance with SD=1.33 stayed at ranking no.3 position. While the problems seem to be emphasized on the defects criteria factors with the lowest ranking goes to on the wrong method or wrong rectification work system to overcome the defects problem. Less experience WSC usually uses an easy method with no creative input to tackle the leakage detail design thus enable to allow the BLD been repeating just over generally between 6-12 months period only. An excellent innovative solution using the correct and reliable waterproofing system can hold up to 3-5 years before it fails again. It is useful to stress-out that in the US, BLD with latent type received 5+3 years warranty period according to the building contract. This contract sort of protected the building owner; however, it does not happen in a particular country like Malaysia. Table 4: SPSSv.24 analysis of BLD defect criteria factors (N = 21). Item Design factors_poor_detail Wrong method Wrong material Poor workmanship Lack_innovative_material Vandalism Material aged Environmental impact Fire factors Lack_of_maintenance Wrong_usage_of_space Valid N (listwise)

Minimum 1.00 1.00 1.00 1.00 1.00 1.00 1.00 3.00 1.00 1.00 1.00

Maximum 5.00 3.00 5.00 5.00 5.00 5.00 5.00 5.00 5.00 5.00 5.00

Mean 2.81 1.76 2.48 2.43 3.00 3.05 2.19 4.05 3.57 2.52 4.00

SD 1.29 .70 1.17 1.29 1.34 .86 1.08 .67 1.29 1.33 1.38

Table 4, the statistic shows on x̅ rating 4.05 concerning the environmental impact facing the most problematic defects criteria condition followed by x̅=4.00 for the wrong usage of space in no. 2 positions, then no. 3 with x̅ = 3.57 for building defects caused by fire hazardous factors. The statistical refers to the average that is used to derive the central tendency of the data in question. The wrong method factor that received the lowest x̅=1.76 and lowest SD=.70 indicated the low SD means that most of the numbers are close to x̅.

4.3 LEAKAGE DEFECTS ANALYSIS ON THE MATERIAL USED TO SOLVE LEAKING Using SPSS descriptive statistics from Table 5 indicated that the variables computed the Bituminous Waterproofing Membrane (BWM); the typical material that cover-up the building's Concrete Flat Roof (CFR) hold the most problematic material used to solve leaking defects with the value read SD 1.93 stay top in the list. Most of the negative cases happened when the applicator use non-trained labor to do the task. With less experience, detail works primarily on the membrane lapping that poorly been done hence allowing water to penetrate not long after inspection. The CFR surface also requires 100% dry to get the best result. It always the case where WSC oversees the site condition to pursue the close deadline for handover. Even though the BWM material is a very reliable waterproofing material, i.e. AXTER© of France with minimum carbon footprint and commitment to environmental protection and proactive sustainable development, it is the workmanship and the site condition affecting the negative factors on the survey. The next phase of writing will be touching and focusing on the sustainable BLD materials, which is the way of the IR4.0 forward-thinking in solving *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16C http://TUENGR.COM/V11B/11A16C.pdf DOI: 10.14456/ITJEMAST.2020.312

latent and non-latent building defects. Maintaining with the ∑N=21, 11 SPSS labels have been identified; a result of the qualitative unstructured interviews done where more internal space has been identified for the analysis. The next result found on Cementitious Liquid Chemical (CLC) usage with wrong variables stands on SD=1.89 and lacking good record on EPDM roofing membrane with SD=1.86 stayed at ranking no.3 position. While the problems seem to be emphasized on the material used to solve leaking defects criteria factors with the lowest ranking (No. 11) goes to on the wrong method using the polyurethane (p.u) grouting or faulty rectification work system using polyurethane (p.u.) grouting injection to overcome the defects problem. Still referring to Table 5, the next column factor of the statistic shows on x̅ with rating 6.05 concerning the usage of polyurethane (p.u.) grouting injection technique impact facing the most problematic material used to solve leaking defects criteria condition followed by x̅=5.48 for the problematic usage of fiber material in no. 2 position, then no.3 with x̅ = 5.29 for building defects cause from the usage of water plug material factor. The statistical refers to the average that is used to derive the central tendency of the data in question. Again, the EPDM roofing membrane material that used to solve the leaking defects received the lowest x̅=4.43 and lowest SD=.98 on the usage of p.u. grouting injection technique indicated the low SD does not mean that the numbers are also close to x̅. The last one is on the skewness for symmetry distribution measurement analysis where a normal distribution will have a skewness of 0. In this case, the nearest is coming from variables of the usage of v-groove with polymer modified mortar for the concrete, usage of BWM and material called thin multi-layer coating with each of them having a value of -.15, -.35 and -.39. Each p.u. grouting injection system using the mechanical pressure grouting machine which is a short-term solution technique stays at the last position for the skewness analysis with -.1.54 as well at the previous position using SD statistic as seen in Table 5. Table 5: SPSSv.24 analysis of BLD’s material part used to solve the leaking. (N =21)

Coating layers Cementitious_liquidchemical PU_grouting Fiber_material EPDM_roof_ membrane V-groove w/ polymer-modified mortar for concrete Water_plug Polyurethane_ liquid_membrane Silicone_sealant Acrylic_polymer_ waterproofing Bituminous_ membrane waterp roofing Valid N (listwise)

Mean Statistic SE 4.67 0.37 4.57 0.41 6.05 0.21 5.48 0.25

Skewness Statistic SE -0.39 .50 -0.89 .50 -1.54 .50 -0.40 .50

Min

Max

Sum

1 1 3 3

7 7 7 7

98 96 127 115

4.43

0.41

1.86

-0.44

.50

4.67

0.37

1.71

-0.15

.50

111

5.29

0.37

1.68

-1.20

.50

4.67

0.39

1.80

-0.76

.50

104

4.95

0.40

1.83

-0.52

.50

102

4.86

0.36

1.65

-0.63

.50

4.67

0.42

1.93

-0.35

.50

1.68 1.89 .97 1.12

The statistical analysis proved on the agreement that most of the mentioned building components facing severe building leakage defects. That only focusing on the waterproofing defects of the building components where there are still defects happed to other areas focusing on other defects

Roslan Bin Talib, Mohd Zailan Sulieman

criteria. Building's interior element can be considered among the essential part of the building as people spent more time inside the building rather than the outside. Of course, the building must be designed excitingly to get rid of the boring feels, but it is the internal space. They are much more critical thus requires particular attention, especially to achieve a quality internal space. It is impossible to design and build any building without sufficiently considering the available materials, climate and location and how they will affect the interior as well as the exterior (Bussagli, 2005). Among the 15 components mentioned (see Table 3), toilet space or the internal wet areas which are mostly located within the interior part of the building surveyed as the most affected space and mostly with leaking defects detail problem. One of the difficulties of latent defects is on building internal leakage syndrome (LDS). On the other perspective, building designers' decisions affect the long-term quality and life cycle cost of buildings. Designers' decisions are usually latent and hard to detect at the early stage of construction (Oyedele et al., 2012); the reduced level of commitment among design professionals and inadequate technical knowledge are among severe factors ranked within the universal setback on defect issues. The work on these data and variables indicated that severe building defects cases keep on repeating, and these practices involve a considerable amount of money wasted.

5 CONCLUSION With an analyzed total of 37 identified building defects related component categories, the result indicated that even at the pilot testing stage, the study confirmed at least 80% of the listed variables measured towards deep problematic range addressing the BLD with LDS symptom. Variables show 90% of it affected on detecting defected interior spaces where the descriptive statistical analysis study leaning towards on the agreement of 70% found leaking defects from a total of 15 categories on leaking sources and 11 classes on defect criteria factors. Each component analysis clearly stated that building defects regardless of the leakage defects as an example needs to be looked at much more seriously. Leakage defects even play a tricky game as some time you can see the faults with the naked eyes and sometimes not; it is a latent and non-latent defects game. People think the external of the building must look awesome and spent more time developing it but somehow forgot how the internal space has been bombarded with all kinds of defects comets from all angles and require the â€˜players' to change the mind-set. The study revealed the most challenging space for the facilities manager is to maintain the wet area primarily, and it is located right inside the building. However, toilets, ablution (wuduk) space, shower area or even a rooftop swimming pool if not been tackled correctly these internal defects can become problematic and creating irritating sense to the occupant thus devalue the property at the same time. 1,000 building defects can be easily traced from the systematic 15 parts of building essential components, especially on the roofing part. One of its important properties is that it minimizes error in the prediction of any one value in the data set. Snyder (1984) urges the researcher to create knowledge in the built environment-related field, determine fruitful areas for inquiry, and relate the finding to the broader body of knowledge. We should view inquiry in the most explicit terms but never reject particular forms of investigation out of ignorance of the methods. This research also confirms that such knowledge can be developed using existing records extracted from the industry *Corresponding author (Sultan Daud Khan). Email: sultandaud@nutech.edu.pk ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16C http://TUENGR.COM/V11B/11A16C.pdf DOI: 10.14456/ITJEMAST.2020.312

players like property managers or WSC took as an example together with the pilot test.

6 AVAILABILITY OF DATA AND MATERIAL The corresponding author will be liable to provide information regarding this paper.

7 ACKNOWLEDGEMENT The authors thank the Research Grant Division, Universiti Sains Malaysia (USM) in approving some allocation in publishing this paper (Grant No. 1001 PPBGN 8016034). Also thanks to USM’s RCMO Office, Institute of Post-Graduate (IPS) office and Specialist Waterproofing Contractors (SWC)’s personnel on the outcome of this paper. This work was initiated from the Doctoral research activities as part of the publication requirement on the PhD graduation prerequisite.

8 REFERENCES Bussagli, M. (2005). Understanding architecture. http://books.google.com.my/books?id=fMfCkY69joC Retrieved August 2019. Glover, P. V. (2002). Building surveys book. In Structural Survey, Vol. 20. DOI: 10.1108/ss.2002.11020bae.003 Konya, A. (1986). Libraries. http://books.google.com.my/books?id=LfZTAAAAMAAJ Retrieved August 2019. Myller, R. (1966). The Design of the Small Public Library. http://books.google.com.my/books?id=7JnxxgEACAAJ Retrieved August 2019. National Building Agency. (1979). Common building defects : diagnosis and remedy. http://capitadiscovery.co.uk/brighton-ac/items/229654 Retrieved August 2019, Olanrewaju, A. L. A., Khamidi, M. F., & Idrus, A. (2010). Quantitative analysis of defects in Malaysian university buildings: Providers’ perspective. Journal of Retail & Leisure Property, 9(2), 137-149. Rasli, A. (2006). Data analysis and interpretation : a handbook for postgraduate social scientists. http://eprints.utm.my/id/eprint/30009 Retrieved August 2019. Snyder, J. C. (1984). Architectural research. http://elib.usm.my/cgi-bin/koha/opac-detail.pl?biblionumber=358480 Retrieved August 2019. Talib, R., Boyd, D., Hayhow, S., Ahmad, A. G., & Sulieman, M. (2015). Investigating Effective Waterproofing Materials in Preventing Roof Leaking; Initial Comparative Study: Malaysia, U.K. Procedia Manufacturing, 2, 419-427. Wan Muhammad Amir W. Ahmad, Nurfadhlina Abdul Halim, Nor Azlida Aleng Mohamad, & Mohd Pouzi Hamzah. (n.d.). Data analysis using SPSS: 22. http://books.google.co.th/books?id=UuJSAQAACAAJ Retrieved August 2019, Roslan Talib is a part-time PhD student and full-time staff at Interior Design Programme, School of Housing, Building & Planning, Univ. Sains Malaysia, Pulau Pinang. He got his Bachelor’s degree in Architecture at UW-Milwaukee, USA and his Master of Architecture from Kent State Univ, Ohio USA. His researches are on building defects, flat roof design and building’s interior leakage syndrome and he also had 15 years industrial experience in building leakage waterproofing maintenance on private and public buildings in Malaysia.

Dr.Sr. M Zailan Sulieman is an Associate Professor at Building Technology Programme, School of Housing, Building & Planning, Univ. Sains Malaysia. He got his Master’s and PhD degrees in Building Surveying from USM. His research focuses on Building Maintenance and Defects, Building’s Fire Safety and Lightweight Concrete. He is a leading the HBP Concrete Laboratory; one of the Advance and Biggest in North Malaysia.

Note: The original of this article was reviewed, accepted, and presented at the 4th International Conference-Workshop on Sustainable Architecture and Urban Design (ICWSAUD2019), a joint conference with the 4th International Conference on Engineering, Innovation, & Technology (ICEIT 2019) held in Penang, Malaysia during 24-26 June 2019.

Roslan Bin Talib, Mohd Zailan Sulieman

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

PAPER ID: 11A16D

RECENT DEVELOPMENTS OF DSTATCOM WITH OPTIMAL LOCATION & SIZE IDENTIFICATION IN ELECTRICAL DISTRIBUTION SYSTEM Dheeraj Kumar Dhaked 1

, Dinesh Birla

Department of Electrical Engineering, Rajasthan Technical University, Kota, INDIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 25 May 2020 Received in revised form 15 September 2020 Accepted 20 September 2020 Available online 24 September 2020

The optimal utilization of the electrical distribution system (DS) is necessary considering the recent increase of the grid networks. Issues like excessive power loss, voltage fluctuation or regulation, voltage profile problem, reliability, etc. arise due to high construction cost, and power network development. To overcome these issues, the Distributed Static Compensator (DSTATCOM) is worn in the power DS. In the past few years, investigators have practiced locating optimal sites with the size of DSTATCOM with different aspects into consideration. The economic profit, reliability, required quality, and availability are some considerations to find out the size, and optimal site of DSTATCOM. The existing research work can be categorized into five types including artificial neural network supported methodology, analytical approaches, meta-heuristic approaches, sensitivity based approaches, and a method with the combination of sensitivity approaches & meta-heuristic based approaches. The work so carried out by precious investigators' objectives of voltage deviation mitigation, power loss alleviation, reduction of cost of DSTATCOM, enhancement of reliability matrices, and improvement in voltage stability are considered. All methods of DSTATCOM placement are discussed and compared to one another. This paper presents a review for controlling methods and the optimal allocation of the DSTATCOM in DS.

Keywords: Power Quality (PQ); Neural network (NN); Sensitivity approach; Optimal allocation; Optimization; DSTATCOM; STATCOM; DS; Meta-heuristic. Voltage Source Converter (VSC).

1 INTRODUCTION Increasing economic efficiency and loading capacity of the electrical system have resulted to make use of the transmission system, and DS up to their maximum efficiency, and loading. These can give quality problems related to voltage & current like harmonics in current, poor power factor & voltage regulation, neutral current increase, sag & swell, and flicker in voltage, etc. are faced in DS. *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

Renewable power sources also increase these problems of the superiority of supply in an electrical system (Goch, Ledwich, 2003). Various PQ issues like load unbalancing, and harmonics can be eliminated by using power electronics converters i.e. DVR (dynamic voltage restorer), DSTATCOM, UPQC (unified PQ compensator), etc. (Taher and Afsari, 2014). DSTATCOM is a power electronics converter used as a synchronous voltage generator in DS to improve loading efficiency DS. It is classified in three-phase-three-wire (3p3w), and three-phase-four-wire (3p4w) configurations with, and without a transformer. Control techniques like proportional-integral technique, instantaneous reactive power method, synchronous reference frame, neural network, and sliding mode control theory, etc. are used for DSTATCOM (Gupta et. al., 2007). This paper has reviewed the DSTATCOM, its working, control, applications with classification mainly, and also has significantly surveyed the various sizing & placement techniques of DSTATCOM in DS. The position and size of DSTATCOM can be found according to quality, economic feasibility, required availability, and reliability of the system (Sreenivasrao et. al., 2012). There are various papers published on the placement of DSTATCOM with size, and very few survey papers are published on the placement of DSTATCOM. So, it is a critical need to review the DSTATCOM along with its placement, and size thoroughly with applied methods, algorithms, constraints, and objective function (OF). Since 2015, more than 20 papers have been published on DSTATCOM placement see Figure 1. Various placement methods for DSTATCOM like neural network-based methods, meta-heuristic methods, analytical methods, sensitivity techniques, and amalgamation of sensitivity, and meta-heuristic approaches (Rohilla, and Pal, 2013) are reviewed in this paper.

2 DSTATCOM â€œA STATCOM with a pairing transformer, an inverter, and an energy storage mechanism used in DS is termed as DSTATCOM, and it has an arrangement as the STATCOMâ€? (Kannan, and Rengarajan, 2012).

Figure 1: D-STATCOM placement publications during 2011-2019.

2.1 WORKING OPERATION It is a shunt connected device, consisting of power electronics topology, and utilized in DS. Voltage control as per necessity at point of common coupling (PCC) is the foremost work of DSTATCOM if the battery storage, active power source, or flywheel is connected then active power can also be sent to the DS. Figure 2 shows DSTATCOM connected to nonlinear, and unbalanced loads at PCC, and injecting current. PQ is improved using this in DS with reference to voltage profile,

Dheeraj Kumar Dhaked, Dinesh Birla

power factor (PF), voltage stability, etc. Its nature of reactive power absorption and injection with very fast and dynamical responses is helpful in many applications in the DS.

2.2 APPLICATIONS DSTATCOM feeds current into DS at PCC for helping in harmonics eradication, PF improvement, compensation of neutral current, and LB. The possible application of DSTATCOM is compensation in single-phase micro-grids, reduction in PV power fluctuations, PV inclusion in DS (Kannan, Rengarajan, 2012), voltage support for low voltage system, a hybrid VAR compensator with thyristor switched capacitor (TSC) in DS (Singh et. al., 2014), and alleviation of voltage flicker/sag/swell (Rohilla, Pal, 2013).

2.3 DSTATCOM APPARATUS: The DSTATCOM contains various components i.e. voltage source converter (VSC), transformer, DC bus capacitor, and ripple filter, depicted in Figure 3. To match the inverter output with line voltage a transformer is connected. Three-phase AC voltages are coming through VSC from DC voltages, and a capacitor and reactor are utilized for synchronization to PCC. Sensitive Load

Distribution System

Coupling Trnsformer

D-STATCOM

VSC

DC Energy Storage

Figure 2: DSTATCOM configuration in the distribution network.

Figure 3: Single line diagram of DSTATCOM.

2.4 STATCOM CONFIGURATIONS Based on connection DSTATCOM configuration categorized in 3p3w, and 3p4w DS & further categorized on the base of the type of converter used, the quantity of switching instruments, utilization of transformer for neutral current compensation, and isolation, etc. (Singh et. al., 2014). Here only transformer connections, VSC connections, and several wires are considered for categorization can be further classified on the source and load configurations. The categorization of DSTATCOM is publicized in Figure 4. D-STATCOM

3-Phase, 4-wire D-STATCOM

3-Phase, 3-wire D-STATCOM

With Transformer

Isolated VSC Nonisolated VSC Three Single Phase VSC Two leg VSC Star/Delta with split Transformer with capacitors two-leg VSC Star/Delta Transformer with three-leg VSC

Two-leg VSC

Isolated VSC

Without Transformer

Nonisolated VSC Four-leg VSC

Three leg VSC

Three-leg VSC

Three-single phase VSC

Star/Delta Transformer

Zig-Zag Transformer

T connected Transformer

Star/hexagon Transformer

Two-leg VSC

T-Connected Transformer

Star/hexagon Transformer

With split capacitors With hybrid passive filter

Three-leg VSC

Star/Delta Transformer Zig-Zag Transformer T-Connected Transformer Star/hexagon Transformer

Figure 4: Classification of DSTATCOM configurations. *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

2.4.1 3P3W CONFIGURATION Reactive power compensation, harmonic exclusion, PQ enhancement, reactive power fulfillment, and load matching in 3P3W DS can be done by using 3P3W DSTATCOMs. The 3P3W DSTATCOM has different configurations further as isolated, and non-isolated VSC-based DSTATCOM and these can also be further categorized based on connections of the transformer as shown in Figure4. A related work of DSTATCOM configuration was reported by some investigators (Bouafia et. al., 2018; Prasad et. al., 2019; Renukadevi et. al., 2018; Patel et. al., 2018; Bagheri et. al., 2018; Mahela et.al., 2015; Coteli et. al., 2018; Taher et. al., 2013) (Table 1). Table 1: Assessment of 3P3W DSTATCOM configurations. S. No. 1. 2. 3. 4. 5.

DSTATCOM topology Isolated 3 single-phase VSC Isolated 3-leg VSC Isolated 2-leg VSC Non-isolated 3-leg VSC Non-isolated 2-leg VSC

No. of semiconductor devices 12 6 4 6 4

Transformer 3 single-phase units tar/delta Star/delta Not required Not required

2.4.2 3P4W CONFIGURATION 3P4W DSTATCOM used to filter-out load current to assemble the requirements related devices connections in the system (Sultana et. al., 2016; Prabu and Muthuveerapan, 2016; Kanwar et. al., 2015). To improve source current, DSTATCOM can be used to tackle the decrease in PF by compensating source current for unbalanced loads by using harmonic compensation, PQ improvement, and cancel out dc offset. The 3P4W DSTATCOM is mainly classified into two kinds based on with, and without a transformer, and further classified on connections type, see Table 2. Table 2: DSTATCOM classification based on connections. S. No. 1. 2. 3. 4. 5. 6. 7. 8. 9.

DSTATCOM topology 2-leg VSC with star/delta tran. 2-leg VSC with zig/zag tran. 2-leg VSC with star/hexagon tran. 2-leg VSC with T-connected tran. 3-leg VSC with star/delta transf. 3-leg VSC with T-connected tran. 3-leg VSC with star/hexagon tran. 3-leg VSC with zig/zag tran. Three-1-ph. VSC

No. of semiconductor devices 4 4 4 4 6 6 6 6 12

Transformer Star/delta Star/Zig-Zag Star/Hexagon T-Connected Star/delta T-Connected Star/Hexagon Star/Zig-Zag 3 no. of 1-ph.

2.5 DSTATCOM CONTROL TECHNIQUES DSTATCOM is used for delivering reactive supply to the system, and active power delivered by the load to stabilize the source current. Controlling of VSC is done by the original frequency element of load by using control techniques. Various control techniques have been used by investigators like Proportional Integral (PI) controller theory, Instantaneous reactive power (IRP) theory, Synchronous reactive frame (SRF) theory, Average unit power factor (AUPF) theory, Instantaneous symmetrical component (ISC), neural network (NN) theory, and sliding mode control (SMC) theory, and other assorted control techniques were used to uphold constant DC bus voltage. Different control techniques used with some discussion of DSTATCOM are presented. 2.5.1 SRF THEORY Gupta and Ghosh, (2008) proposed an SRF control algorithm for DSTATCOM as a substitute for a standard phase-locked loop (PLL) which is reducing reactive power burden & execution time on

Dheeraj Kumar Dhaked, Dinesh Birla

DSTATCOM. SRF technique is used for DSTATCOM control by converting the currents into synchronously rotating d-q axis (Bangarraju et. al., 2014) because it has the benefit of use of â€˜off the shelfâ€™ VSC, the finest possible rating of VSC, reduced kVA rating, and consequently lesser cost. Among the applied techniques (IRP theory, power balance theory, SRF technique, etc.). The SRF method is a simple and most challenging proven controller under numerous operating conditions. The second-order sliding mode controller is projected to control a 3-level 4-leg DSTATCOM in 3p4w DS. The regulator is realized in SRF using the super distortion algorithm realized on the symmetrical mechanism hypothesis (Prabu, Muthuveerapan, 2016). Parksâ€™s transformation is used to find d-q frame currents from đ?›źđ?›ź âˆ’ đ?›˝đ?›˝coordinates by using đ?œƒđ?œƒ as a transformation angle. đ?‘–đ?‘–đ?‘‘đ?‘‘ cos(đ?œƒđ?œƒ) ďż˝đ?‘–đ?‘– ďż˝ = ďż˝ âˆ’sin (đ?œƒđ?œƒ) đ?‘žđ?‘ž

sin(đ?œƒđ?œƒ) đ?‘–đ?‘–đ?›źđ?›ź ďż˝ďż˝ ďż˝ cos(đ?œƒđ?œƒ) đ?‘–đ?‘–đ?›˝đ?›˝

(1).

The low pass filter is used to get the dc components of current, and transformed back to đ?›źđ?›ź âˆ’ đ?›˝đ?›˝ coordinates by using reverse Parkâ€™s transformation. đ?‘–đ?‘–đ?›źđ?›źđ?›źđ?›źđ?›źđ?›ź cos(đ?œƒđ?œƒ) ďż˝đ?‘–đ?‘– ďż˝ = ďż˝ âˆ’sin(đ?œƒđ?œƒ) đ?›˝đ?›˝đ?›˝đ?›˝đ?›˝đ?›˝

sin(đ?œƒđ?œƒ) đ?‘–đ?‘–đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘đ?‘‘ ďż˝ďż˝ ďż˝ cos(đ?œƒđ?œƒ) đ?‘–đ?‘–đ?‘žđ?‘žđ?‘žđ?‘žđ?‘žđ?‘ž

(2).

Now, the three-phase reference source current in abc coordinates is transformed as đ?‘–đ?‘–đ?‘ đ?‘ đ?‘ đ?‘ 2 ďż˝đ?‘–đ?‘–đ?‘ đ?‘ đ?‘ đ?‘ ďż˝ = ďż˝ 3 đ?‘–đ?‘–đ?‘ đ?‘ đ?‘ đ?‘

1 âŽĄ âŽ˘âˆ’1/2 âŽ˘ âŽ˘ âˆ’1/2 âŽŁ

âŽ¤ ďż˝3ďż˝2 âŽĽ đ?‘–đ?‘–đ?›źđ?›źđ?›źđ?›źđ?›źđ?›ź âŽĽ ďż˝đ?‘–đ?‘–đ?›˝đ?›˝đ?›˝đ?›˝đ?›˝đ?›˝ ďż˝ âŽĽ âˆ’ďż˝3ďż˝2 âŽŚ

(3).

2.5.2 ISC THEORY This theory base switching algorithm is used for DSTATCOM control in 3p4w DS (Zaveri et. al., 2011) for source current balancing, reactive power compensation, and harmonic mitigation in the load connected in delta connection (Jayprakash et. al., 2012). 2.5.3 IRP THEORY The Îąâ€“Î˛ frame used for calculation of two-phase quantities transformed from three-phase quantities with Clark's conversion (Sreenivasarao et. al., 2012). The Îąâ€“Î˛ frame of currents which are obtained by instantaneous power theory is transformed back to abc frame using reverse Clark's transformation technique (Singh, Solanki, 2009; Singh et. al., 2014) that has the advantage of small floor space needed, lesser height, and less in weight. DSTATCOM is not coupled with control variables, and it does not need PLL but the control method is having the adaptive capability, superior dynamic response, and design practice is also effortless (Kannan, Rengarajan, 2012). An innovative approach using negative sequence voltage based practice is worn to control the DSTATCOM with an instantaneous power balancing algorithm (Kannan, Rengarajan, 2012). This methodology is capable to compensate for load voltage harmonics at PCC & can reduce the current, and voltage related problems (Kumar et. al., 2014). A 3-phase infinite level VSI topology-based inverter was used in (Renukadevi et. al., 2018). 2.5.4 AUPF THEORY Authors have investigated various algorithms with different loading conditions in DS. The result *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

analysis is done by considering different loadings like balanced source with balanced & unbalanced nonlinear loads, and unbalanced source with balanced & unbalanced nonlinear loads (Kummari et. al., 2012). Authors worked on a fresh methodology to estimate the reference compensation current of 3-p DSTATCOM with twisted utility circumstances at the instantaneous state and compared with other techniques like p-q, SRF, ISC, AUPF Modified SRF & used for THD mitigation (Sahu, Mahapatra, 2014). 2.5.5 PI CONTROLLER The investigators have used segmented PI with fuzzy controller for DSTATCOM of electric DS and subjected to various normal disturbances in voltage, and current & found the performance of the PI controller is good, which is robust, and appropriate for normal condition but does not tolerate for severe conditions (Liu et. al., 2011). The PI controller is used with a genetic algorithm (GA) to find the optimized values of the PI controller, and effectiveness was proved with the trial, and error method. Losses in DC bus voltage of DSTATCOM can be approximated by using this method. The voltage error in nth sampling is stated as Vdci(n) = V*dc(n) - Vdc(n)

(4).

The above voltage error signal is progressed into the PI controller, and the output nth sampling is given as Ip(n) = Ip(n-1) + Kpdc {Vdci(n) - Vdci(n-1)} + Kidc *Vdci(n)

(5),

where, Kidc, and Kpdc are the integral, and proportional gains of the PI controller. 2.5.6 NN BASED THEORY VSC of DSTATCOM was controlled with an Adaline-based neural network which is simple to execute, gives zero phase shift, and faster response, NN, and the fuzzy-based controller was used in (Singh et. al., 2006 & 2013) given rapid response due to parallel processing. 2.5.7 SMC THEORY This technique is used for balancing source current for positive sequence currents. The control method is explained in Figure 5. The currents source can be considered as đ?‘–đ?‘–đ?‘ đ?‘ đ?‘ đ?‘ + đ?‘–đ?‘–đ?‘ đ?‘ đ?‘ đ?‘ + đ?‘–đ?‘–đ?‘ đ?‘ đ?‘ đ?‘ =0 vsa vsb vsc

(6)

Power Supplied by source

Filter

Average Power Supplied by source

i*fab i*fbc i*fca Switching Signal to VSC

Hystersis Current COntroller

Computation of Reference Compensator Currents

vsa vsb vsc isa isb isc

ifab ifbc ifca

Figure 5: SMC control technique basic flow diagram. The authors worked on SMC with radial basis function NN which has system robustness, strong adaptableness and integrate the benefits of SMC, and NN so this is an ideal smart controller (Xu et. al., 2010; Gupta, Ghosh, 2008) which improves PCC voltages, THD problem, nonlinearities of load,

Dheeraj Kumar Dhaked, Dinesh Birla

etc. Second-order SMC is proposed to control a 3p4w DSTATCOM connected DS, and compared with first-order SMC, PI controller, and seen that it has high performance under steady-state, and dynamic operations with unbalanced, and faulty systems (Gupta et. al., 2010). 2.5.8 OTHER ASSORTED CONTROL SCHEMES A DSTATCOM by using Takagi-Sugeno Fuzzy Logic Controller (TS-FLC) was presented for the power-factor amendment, harmonic removal, voltage regulation, and load balancing (LB). Another manuscript presented an accomplishment of a compound spectator based regulation algorithm in three-leg VSI based DSTATCOM in 4-wire DS (Gupta et. al., 2007). Mitra and Venayagamoorthy (2010) have projected adaptive control techniques relied on the artificial immune structure in which PSO was worn to get optimal parameters. DSTATCOM with hardware accomplishment with an adaptive control enhanced linear sinusoidal tracer control algorithm for power factor improvement, LB, harmonic eradication, and zero voltage regulation for nonlinear, and linear loads were used in (Singh, and Arya, 2013). The DC capacitor voltage equalization regulatory scheme of a diode-clamped five-level inverter-based DSTATCOM was presented in Shukla et. al. (2008). DSTATCOM with improved PLL (EPLL) control scheme to offer load matching, load compensation, power factor modification, and to change the voltages at PCC is investigated by Singh and Arya (2013), learning-based-anti-Habbien control algorithm technique by Arya et. al. (2014). Singh (2018) exhibits the control of the smart PV-DSTATCOM grid coupled framework utilizing an adaptive reweighted zero attracting control algorithm with P&O for a 3-p framework to recover PQ and maintain the 3-phase ac network by providing power-to-grid, and loads. An enhanced PSO method with adaptive inertia weight (w) based on achievement pace is projected to locate the most favorable location of distributed generation (DG), and DSTATCOM in view of security restrictions (Ghatak et. al., 2018). Stockwell-transform (S-transform) based control (Kumar, 2018), an enhanced proportionate normalized least mean square (i-PNLMS) control (Beniwal et. al., 2018), adaptive droop control, a novel adaptive passivity-based control (PBC) (Bouafia et. al., 2018), frequency adaptive disturbance observer approach (Patel et. al., 2018), online reference control (Bagheri et. al., 2018), the neuro-fuzzy controller (Mahela et.al., 2015) was used in papers by investigators for DSTATCOM control. A method to optimize the dc-link voltage of DSTATCOM with load compensation requirements with reduced switch MLI connected to a PV system is proposed (Prasad et. al., 2019). The comparison of different controlling methods of DSTATCOM is compared on LB; harmonic eradication, reactive power compensation, computational difficulty, and neutral current removal at PCC (Coteli et. al., 2018). These methods are compared by using different references in Table 3, also helpful for the selection of DSTATCOM in DS according to its application, and usability. Table 3: DSTATCOM control methods comparisons. Technique Used

Load balancing

Harmonic elimination

Reactive power compensation

Source neutral current removal

Computational difficulty

SRF IRP AUPF PI controller SC NN

2 6 3 3 6 6

3 3 6 0 6 3

3 0 6 0 6 4

3 6 3 2 3 3

2 5 4 2 1 1

*Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

SMC

*Partial-0, Simple-1, Normal-2, Good-3, High-4, Better-5, Excellent-6

3 PLACEMENT OF DSTATCOM The maximum utilization of power networks is important with expansion, and improvement of networks. There are various issues like voltage instability problem, excess power loss, voltage profile issues, and reliability problems, etc. mandatory to reduce because of the reason of higher construction cost, and power network development. DSTATCOM as a shunt controller can be placed in DS to solve these issues. To discover the OL of DSTATCOM, a variety of problems should be taken care of as availability, reliability, economic condition, and quality required. The placement of DSTATCOM has taken different following objectives and constraints for examining the problem in DS. The different considered objectives in literature as:  Reduction in power losses  Up-gradation in voltage stability  Enhancement of voltage profile  Improvement of reliability in power supply  Cost reduction  Mitigation in total harmonic distortion  Enhancement in LB Numerous journals published to discover the optimal location (OL) of the DSTATCOM by using different techniques with different loading conditions. Various OFs have considered discovering the OL of DSTATCOM like power loss index, voltage stability index, voltage deviation index, and reliability index, etc. The research carried out for OL finding is classified into five categories that include NN based methods, meta-heuristic methods, analytical methods, sensitivity techniques, and amalgamation of sensitivity, and meta-heuristic approaches.

3.1 NN BASED METHOD This technique is utilized for modeling of multiple inputs, and output system having nonlinear arrangements. Many applications of NN-based techniques, as reactive power control, fault recognition, voltage control, and detection of voltage instability are also discussed in the manuscript. These methods are capable of optimal placement (OP) of DSTATCOM in DS during fault conditions although. The most favorable situation of DSTATCOM and DVR in DS is done by NN based method to enhance the voltage sag problems during fault conditions. Feedforward neural network was used for finding the OP of DSTATCOM, and DVR (Tanti et. al., 2012).

3.2 META-HEURISTIC BASED APPROACHES The most commonly used techniques for DSTATCOM allocation are meta-heuristics-based approaches. The methods are stochastic, and inhabitants dependent optimization techniques that are normally competent in managing the multi-objective, multi-modal, distinct, and inhibited problems (Jardehi, Jasni, 2013; Taher, Afsari, 2014). The authors have worked on improved cat swarm optimization (CSO) for synchronized settlement of DGs, and DSTATCOM in electric DS to decrease iron loss, and for better voltage profile (Prabu & Muthuveerapan, 2016). The authors have applied fuzzy-logic dependent ant colony optimization (ACO) technique for DSTATCOM, and PV-array allocation to reduce the losses, improve feeder LB, enhancement of voltage profile, and these objectives were satisfied with fuzzy-logics (Kanwar et. al., 2015). To solve the DSTATCOM OL problem, Tolabi et. al. (2015) have used the immune algorithm

Dheeraj Kumar Dhaked, Dinesh Birla

(IA) with reducing expenditure, power loss, blocking, and improved shape of voltage. Harmony search algorithm (HSA) was used by authors to find OL for DSTATCOM with OFâ€™s for copper loss reduction. The consequences are shown in comparison to the immune algorithm (IA) in radial DS to reduce the power losses (Yuvaraj et. al., 2017). Methods based on algorithms like penguin optimization search (Gupta et. al., 2015), hybrid of imperialistic competition, and Nelder-Mead (IC&NM), PSO (Taher, Afsari, 2014), binary gravitational search (BGSA) (Yuvaraj et. al., 2017), firefly (FA) (Kumar, 2016), multi-objective PSO (MOPSO) (Sedighizadeh, Moarref, 2017), bat (BA), non-dominated sorting genetic -II (NSGA-II) (Shahryari et. al., 2018), fuzzy based methodology (Mohammadi et. al., 2017), multi objective genetic (MOGA) (Thirupathaiah, et. al., 2018), differential evolution (DE), and compared with IA (Nazari et. al., 2018), PSO-firefly optimization (Sanam et. al., 2017), crow search (CSA) (Sannigrahi, 2018), imperialist competitive (ICA) (Sedighizadeh, Moarref, 2017), weighted artificial fish swarm (WAFSA) (Umar et. al., 2017), cuckoo search (Tuvaraj et. al., 2017), Multi-objective seeker-optimization (Kumar, 2016) has been used for DSTATCOM placement.

3.3 ANALYTICAL APPROACHES Normal algorithms consist of analytical types of methods for OL of DSTATCOM as controlling computational resources. The analytical approach is considered to find OL of DSTATCOM for optimum resolution without considering the complexity, and nonlinearity. Some approximations can be used to reduce computational complexity. The analytical approach proposed by authors to find OL of DSTATCOM with power loss, and voltage profile is taken care of in the optimization procedure. The projected scheme is related to GA (Sultana et. al., 2016; Moghtadaei, 2017).

3.4 SENSITIVITY TECHNIQUES Various papers have used sensitivity approaches for DSTATCOM site selection problems, where the stability index is identified then various potential locations were recognized. Two main OFs were used for DSTATCOM allocation, as described below. Moghtadaei (2017), Weqar et. al. (2017), Yuvaraj (2017) have worn voltage sensitivity index (VSI) for finding the unhealthiest bus of unbalanced DS. The cost of energy loss, cost of DSTATCOM, load growth (LG), and load model are taken as OF for different loading conditions (Elnady, 2005). Power loss index (PLI), fast voltage stability index (FVSI), and VSI are used as sensitivity indices for DSTATCOM placement during seasonal load changes (Abbasi et. al., 2015). Loss sensitivity factor, and BFOA both have used for DSTATCOM's, and DG's OL for reducing losses with improved voltage profile (Sannigrhi et. al., 2018). DSTATCOM placement was done with VSI for positioning with BA (Devbalaji, 2016). Optimal number, location, and size of DSTATCOMs were found by authors considering DGs existence in radial DS with VSI, and cost reduction (Hussain, Subbaramiah, 2013), Voltage sag minimization used for DSTATCOM placement (Jazebi et. al., 2011). Voltage sag elimination with faults is taken as OF for load buses, and nodes with DVR, and DSTATCOM installation in Tanti et. al. (2012). Voltage profile gain, cost, and THD reduction are used as OFs in the research work. PLI and VSI are used as two OF indices for DSTATCOM allocation (Weqar et. al., 2017), and VSI, active power loss, voltage deviation are taken as sensitivity index in Shahryari et. al. (2018). Various sensitivity indices are used as Index of Voltage profile enhancement, pollution index (PI), index of active, and reactive power loss, and economic index (EI) by Sannigrahi and Acharjee (2018). PLI, LB index, annual cost saving index and voltage profile *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

index are minimized for OL finding of DSTATCOM in DS (Sedighizadeh, and Moarref, 2017). Power balance constraints, voltage fluctuations limit, reactive power compensation, total annual cost saving (TACS), and VSI are used for calculation of DSTATCOM location. Table 4 elaborates DSTATCOM placement techniques in researches. Table 4: DSTATCOM placement techniques with applied approaches. Method

Ref. System Used Problem Solved Sultana et. al., 2016 IEEE-33 bus Power loss, and system Voltage profile Analytical Approach Hussain and IEEE-33 bus Power loss, and Subbaramiah, 2013 radial network. voltage profile Neural Sannigrahi et. al., IEEE-14 bus Voltage sag problem Network 2018 radial network method Parizad et. al., 2010 IEEE-69 bus Iron loss, and radial network voltage profile Tolabi et. al., 2015 IEEE 33-bus test LB, Power loss, and system voltage profile issue Yuvaraj et. al., 2015

Prabu and Muthuveerapan, 2016

Hussain, 2013 Jordehi and Jasni, 2013 Taher and Afsari, 2014 Sirjania and Jordehi, 2017 Jazebi et. al., 2011 Salman et. al., 2012 Moghtadaei and MetaVafaee, 2017 heuristic-bas ed approach Yuvaraj et. al., 2017 Mohammadi et. al., 2017 Thiru et. al., 2018 Shahryari et. al., 2018

Sanam et. al., 2017

Sannigrahi, Acharjee, 2018

Nazariet.al. 2018

Sedighizde and Moarref,2017 Umar et. al., 2017

Approach Discussion Various under/over voltage buses were inspected and compared with well-known GA optimization techniques. Losses in the active power & voltage profile were compared after, and before placement of these devices. Feed-forward NN used, and found that bus which has maximum voltage change in the intended mark is preeminent for DSTATCOM position. The projected ICSO method/modified CSO is tested with available PSO, and CSO methods, and compared. The fuzzy logic-based ant colony optimization (ACO) technique used, and compared with others i.e. conventional ACO, and fuzzy-based ACO, GA, PSO technique. IEEE 33-bus test Iron loss This manuscript has worked on a harmony search (HS) system algorithm which is inspired by a music improvisation procedure. IEEE 14, 30, VPI, and power The authors applied the penguin optimization search 57-bus system losses reduction algorithm on 14, 30, and 57 IEEE bus structure for approval. IEEE 30 bus Voltage profile, and The authors have used a mix of the IC&NM algorithm. system active power loss IEEE 33 & 69 cost of The results are compared to GA with the proposed Immune bus system DSTATCOM, PLI, Algorithm (IA) for light, medium, and high loading levels. Voltage Profile IEEE 12 & 69 Voltage Profile, PSO is used to improve the voltage profile, and to alleviate bus Copper loss the copper losses for performance evaluation for dissimilar five cases. IEEE 69 & 81 Voltage Profile, The DE algorithm is used to pick up the voltage profile, and bus Copper loss alleviate the copper losses for evaluation, and compared with PSO. Voltage Sag To alleviate the number of sags circulated through DS the DSTATCOM allocation is completed with BGSA algorithm. IEEE 16 bus PQ, Cost, THD, VPI performance evaluation with FA, and conclusions revisited system with PSO, and GA. IEEE 33 bus voltage profile, Projected scheme multi-objective PSO used, and results are radial network Active power loss, evaluated with other practices, and shown that the proposed and Cost results are better. IEEE 33 bus Power Loss, Voltage Bat algorithm was used and reviewed with the IA method. radial DS stability IEEE 33-bus & Cost reduction, Real Projected method with the fuzzy function of loss sensitivity is 69 bus systems power loss utilized for collection of poor nodes, and optimal constraint settings of device alongside optimal finding of tie-switches. IEEE 33-bus DS Total installation MOGA technique is used in DS for OFs like total installation cost, and THD cost, and THD. IEEE 33, and 94 active power loss, Using a Monte Carlo-based scheme, and Pareto front bus system voltage divergence, solutions are taken through the NSGA-II algorithm which is and VSI employed with findings that reduce voltage divergence, losses in active power and enhances the VSI. IEEE 30, 33 & VSI, PLI, Energy DE with backward- forward sweep used for load flow in DS, 69 bus loss, cost, and Total and compared with IA, the DE method offers reduced CPU net profit time, power loss, OF, and highest TNP. IEEE 51 bus VSI, PI, line losses, Controlling constraints in MCSA were logically tuned by system and improvement in making them adaptive with iterations at different loading financial benefits. levels. The proposed algorithm is compared with CSA, DE, and HSA algorithms. voltage sag, swell, This paper has presented a PSO-firefly optimization to and THD problems eliminate voltage sag, swell & THD problems, and the outcomes are compared with conventional PID, PSO, firefly methods. IEEE 33, and 69 PLI, LB, VPI, The results for ICA are compared with HSA, IA, BA, and bus systems cost-saving index BFOA, and found that ICA performance is better. IEEE 33-bus test Voltage profile, and WAFSA with an evaluation of steady-state stable load is system active power loss examined, the results are compared with HSA shown 0.27%

Dheeraj Kumar Dhaked, Dinesh Birla

Method

Ref.

System Used

Problem Solved

Approach Discussion loss reduction and 5.15% voltage profile enhancement. Yuvaraj et. al., 2017 IEEE 33, and 69 Voltage profile BA used to diminish the losses in power with load variation bus of 1% from small load to peak load to find the placement of DSTATCOM. Kumar, Samantaray, IEEE 54 bus voltage profile MOSOA algorithm used for placement with Pareto-optimal 2016 system control solution and results were compared with NSGA-II for DS planning. Tejaswani, Susitra, Bus voltage, and Novel swarm astuteness based DA model is compared with 2020 power loss index PSO, and GA in terms of cost analysis, and convergence speed. Yuvaraj et. al., 2017 IEEE 12, 34, and VSI, and load THE analytical CSA approach is utilized, and results were 69 bus stability index compared with PSO. Taher et. al., 2013 25 bus system Energy loss, Cost, Using VSI for finding OL in DS. Price of energy loss, Price of and load sensitivity DSTATCOM, LG, and load model considered OF for factor different loading. Sannigrahi et. al., power losses, VSI, An improved crow search algorithm (ICSA) was used for 2018 and cost DSTATCOM placement. Gupta, 2015 IEEE 33 bus LSF BFSA for minimizing power losses, and recover the voltage system profile was used. Devbalaji, Ravi, IEEE 33 & 119 Voltage sensitivity D-STATCOM placement was done for positioning with a bat 2016 bus index swarm algorithm. Hussain et. al., 2013 IEEE 30 bus voltage stability The optimal number, location, and size of DSTATCOMs system improvement, and were found by authors considering DGs existence in radial cost reduction DS. Tanti et. al., 2012 IEEE 14-bus Voltage sag Voltage sag elimination was inspected, compared, and shown system that DSTATCOM placement is more meaningful. Jazebi et. al., 2011 IEEE 69 & 83 Voltage sag The power balance voltage deviation limit and current limits bus are the OFs in this study. Akbari et. al., 2014 IEEE 33, and 69 Voltage sensitivity The highest value for DSTATCOM is selected to find the bus index optimal site solution for DSTATCOM. Murthy and Kum IEEE 33 bus Voltage sensitivity The most unstable bus was chosen for DSTATCOM 2016 index placement. Jain et. al., 2014 IEEE 33 bus Voltage sensitivity The bus voltage was improved by DSTATCOM placement at Sensitivity system index an unstable bus in DS. approach Hussain and Visali, IEEE 33 bus VSI, FVSI, CPLS, The best place for DG and DSTATCOM outcome is a 2012 system VSEI, and PSI considerable decrease in power loss was obtained. Weqar et. al., 2017 IEEE 33 bus DS PLI, and VSI PLI and VSI are used as two OF indices for DSTATCOM allocation. Shaharyari et. al., IEEE 33 VSI, and Active VSI and active power loss are a major point to achieve the 2018 &94-bus system power loss proposed method. The changes in loads were compensated with the MCS technique. Sannigrahi, IEEE 51-bus VSI, Pollution Index Various sensitivity indices are in the paper by authors for Acharjee, 2018 system (PI), Power Loss, finding the most favorable settlement of DSTATCOM. and EI SedighizadM., 2017 IEEE 33, and 69 PLI, load balance, Various indices for finding the most favorable settlement of bus Cost saving, VPI DSTATCOM in DS. Yuvaraj, et. al., 2017 IEEE 33, and 69 VSI, load balance, Various indices were used as indices for site finding of bus Cost saving DSTATCOM. Yuvara et. al., 2017 IEEE 12, 34 LSF & VSI LSF & VSI were used by authors to find the optimal position &69 bus for DSTATCOM. Gupta, Kumar, 2018 UK 38 bus Loss reduction, PLI Power loss is computed by load flow methods at all nodes, practical system and the highest PLI value node is the best fit for the DSTATCOM installation. Tiwai, Ghatak, 2017 IEEE 33 bus VPI, Loss reduction VPI and Loss Reduction are OFs for DSTATCOM placement radial network in DS, and the working platform of MIPOWER was used for analysis.

4 OBJECTIVE, AND CONSTRAINTS OF DSTATCOM PLACEMENT Based on many papers, a range of objectives have been taken to examine the DSTATCOM placement issue. *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

4.1 POWER LOSS MITIGATION Placement of DG, and DSTATCOM for single load level, and varied load levels were considered for observation in manuscripts with load uncertainties (Bagherinasab et. al., 2013) in the meshed network for a case study with seasonal LG. power changes are also considered, with, and without load, and reconfiguration is considered in (Sannigrahi, Acharjee, 2018).

4.2 VOLTAGE PROFILE ENHANCEMENT For placement of DSTATCOM the voltage profile improvement objective is taken in various papers (Hussain, 2013; Chabok, 2016 ) with load levels, and other researchers have used the same objectives.

4.3 VOLTAGE STABILITY ENHANCEMENT Voltage has to be constant during the operation of electrical systems so voltage stability enhancement is used as OF (Jain et. al., 2014; Hussain, Visali, 2012).

4.4 COST MITIGATION The cost has been an important constraint so this objective is also considered in various research articles for DSTATCOM placement.

4.5 PQ IMPROVEMENT PQ is to be maintained during working hours of electrical networks so it’s used as OF (Farhoodnea et. al., 2013; Bagherinasab et. al., 2013).

4.6 OTHER Various other OFs are considered like system efficiency improvement (Farhoodnea et. al., 2013; Bagherinasab et. al., 2013), IRP improvement, power stability index, reliability improvement, voltage sag reduction, and THD reduction, etc. for DSTATCOM size, and placement in DS. Various equality and inequality constraints are also considered for DSTATCOM placement issues including  Power balance  Reactive power compensation  Voltage deviation limit  DSTATCOM capacity restrictions,  Current limit  Cost limitations

5 FUTURE SCOPE Involvement of renewable energy resources (RER’s) is escalating on daily basis in utility grids with LG and the intermittent nature of these RER’s affect the PQ in terms of voltage regulation problems, neutral current compensation problems, LB issue, THD problem, power factor and voltage profile deterioration problems in DS etc. So, the future research will be mainly focused on RER’s and their applications with DSTATCOMs.  The DSTATCOM can be a perfect option to solve these above-mentioned issues effectively.  The implementation of RER’s with DSTATCOM in DS should be explored.  Most authors have used light, medium and peak load levels and they have not considered radially increasing load in DS. The small changes in load can affect size and location of DSTATCOM so the radial change should be considered for loading changes.

Dheeraj Kumar Dhaked, Dinesh Birla

 Various studies have considered a single DSTATCOM for power loss reduction while multiple DSTATCOM’s can also be considered and their result may compare.  More than one DSTTACOM and DG can be considered to find the most favorable size and place for all loading conditions. This multiple device implementation will improve the result and research will be clearer and more practical.  All the authors mainly worked with balanced DS in DS for DSTATCOM allocation but unbalanced load should also be considered for future research purpose.  PQ issues have THD as its main problem but this research of optimal allocation has not been considered THD for PQ. This should add for PQ enhancement in future research for DSTATCOM allocation.  The research carried out on DSTATCOM placement by different countries affiliated authors has been shown in fig. 6. There are various countries are focusing on the problem and proposing some novel solution that worth to publish in literatures. Numerous optimization techniques have been applied for DSTATCOM placement and results were discussed and compared but performance of technique regarding speed and accurateness should be considered and compared for further research aspect.

6 CONCLUSION A thorough literature survey of DSTATCOM and its control techniques are carried out with a detailed review of the devices used for PQ enhancement, and system reliability, along with its control techniques. Various control topologies like PI controller theory, IRP theory, SRF theory, neural network theory, and sliding mode control theory to keep the dc bus voltage constant have been compared and discussed which is helpful for a selection of it. The paper has also discussed the selection of OL for DSTATCOM units in DS. Based on papers reviewed, optimization techniques have improved a very small in unit size, and location for DSTATCOM. Various techniques for OL finding are compared, and various papers with DSTATCOM placement, constraints, and objectives are also discussed but authors have used only a single DSTATCOM unit for examination, and multiple units can be considered for improvement in DS. The research is mainly emphasized on a balanced system, and unbalanced systems can be considered for future research purposes.

7 AVAILABILITY OF DATA, AND MATERIAL Information can be made available by contacting the corresponding author.

8 REFERENCES Ãbano, A. Valderr, Ramirez, J. M. (2010). D-statcom regulation by a fuzzy segmented {PI} controller. Elect Power Syst Res, 80(6), 707-15. Abbasi, A-R, Khoramini, R., Dehghan, B. (2015). A new intelligent method for optimal allocation of d-statcom with uncertainty. J Intel Fuzzy Syst, 29(5), 1881-88. Akbari-Zadeh, M-R., Kokabi, R., Gerami, S. (2014). D-statcom allocation in DS considering load uncertainty. J Intell Fuzzy Syst, 27(2), 691-700. Arya, S., Singh, B., Chandra, A., Al-Haddad, K. (2014). Learning-based anti-Hebbian algorithm for control of d-statcom. IEEE Trans Ind Electron, 61(11), 6004-12. *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

Bagheri, M., Nurmanova, V., Abedinia, O., Naderi, M. S., (2018). Enhancing PQ in Microgrids With a New Online Control Strategy for d-statcom Using Reinforcement Learning Algorithm. IEEE Access, 6(1), 38986-96. Bagherinasab, A., Bagheri, M.Z. Khalid, S.A. (2013). OP of d-statcom using hybrid genetic, and ant colony algorithm to losses reduction. Int J Applied Power Eng, 2(2), 53-60. Bangarraju, J., Rajagopal, V., Jayalaxmi, A., (2014). Unit template SRF theory-based control algorithm for d-statcom. J Inst Eng, 95(2), 135-41. Beniwal, N., Hussain, I., Singh B. (2016). Implementation of d-statcom with i-PNLMS Based Control Algorithm under Abnormal Grid Conditions. India Int Conf. on PE, India. Bouafia, S., Benaissa, A., Barkat, S., Bouzidi, M. (2018). Second-order sliding mode control of 3-level 4-leg d-statcom based on ISC theory. Energy Syst, 9(1), 79-111. Chabok, B. S., Ashouri, A. (2016). OP of d-statcom into the radial distribution networks in the presence of DGs. Am J Elect Electron Eng, 4(2), 40-48. Coteli, R., Aรงikgรถz, H., Dandil, B., Tuncer, S. (2018). Real-time implementation of 3-level inverter-based d-statcom using a neuro-fuzzy controller. Turkish J Elect Eng & CS, 26(1), 2088-2103. Devbalaji, K., Ravi, K. (2016). Optimal size, and siting of multiple DG, and d-statcom in radial DS using BFOA. ASEJ, 7(3), 959-71. Farhoodnea, M., Mohamed, A., Shareef, H. (2013). Optimum d-statcom placement using firefly algorithm for PQ enhancement. Int Power Eng & Opt Conf, Malaysia, 98-102. Ghatak, S. R., Sannigrahi, S., Acharjee, P. (2018). Comparative Performance Analysis of DG, and d-statcom Using Improved PSO Based on Success Rate for Deregulated Environment. IEEE Syst J, 12(3), 2791-02. Ghatak, S.R., Sannigrahi, S., and Acharjee, P. (2018). Comparative Performance Analysis of DG, and d-statcom Using Improved PSO Based on Success Rate for Deregulated Environment. IEEE Syst J, 12(1), 2791-2802. Gupta, A. R., Kumar, A. (2015). Energy savings using d-statcom placement in the radial distribution system. Procedia Comput Sci, 70(1), 558-64. Gupta, A.R., Kumar, A. (2018). OP of d-statcom using sensitivity approaches in meshes DS with time variant load models under load growth. A Sh Engg J, 9(4), 783-99. Gupta, R., Ghosh, A. (2008). Frequency-domain characterization of SMC of an inverter used in d-statcom application. IEEE T. Circ Syst I: Regul Pap, 53(1), 662-76. Gupta, R., Ghosh, A., Joshi, A. (2010). Multi band hysteresis modulation, and switching characterization for SMC cascaded MLI. IEEE Trans Ind Elect, 57(1), 2344-53. Hussain, S., Subbaramiah, M. (2013). An analytical approach for optimal location of D-STATCOM in radial DS. Int Conf on En Eff Tech for Sust, Nagercoil, India, 1365-69. Hussain, S., Visali, N. (2012). Identification of weak buses using Voltage Stability Indicator, and its voltage profile improvement by using D-STATCOM in radial distribution systems. IOSR J Electr Electron Eng., 2(4), 17-23. Jain, A., Gupta, A., Kumar, A. (2014). An efficient method for d-statcom placement in radial DS. India Int Conf on PE, India, 1-6. Jazebi, S., Hosseinian, S., Vahidi, B. (2011). D-statcom allocation in distribution networks considering reconfiguration using differential evolution algorithm. Ene Conv. Man, 52(7), 2777-27. Jordehi, A. R., Jasni, J. (2013). Parameter selection in particle swarm optimization: a survey. J Exp Theor AI, 25(4), 527-42.

Dheeraj Kumar Dhaked, Dinesh Birla

Kannan, V. K., Rengarajan, N. (2012). Photovoltaic based d-statcom for PQ improvement. Int J Elect Power En Syst, 42(1), 685-92. Kanwar, N., Gupta, N., Niazi, K. (2015). Improved cat swarm optimization for simultaneous allocation of d-statcom, and DGs in DS. J Ren Energy, Jaipur, 1-10. Kumar, D., Samantaray, S.R. (2016). Implementation of multi-objective seeker-optimization-algorithm for optimal planning of primary distribution systems including d-statcom. Elect Power Energy System, 77(1), 439-49. Kumar, P., Singh, A., Kumari, N. (2014). p-q theory based modiﬁed control algorithm for load compensating using d-statcom. Int conf on harm, and qual of power, 591-95. Kumar, R. (2018). Control of d-statcom Using S-Transform. IEEE Inno Smart Grid Tech-Asia (ISGT Asia), 226-31. Kummari, N., Singh, A., Kumar, P. (2012). Comparative evaluation of d-statcom control algorithms for load compensation. Int conf on harmonics, and quality of power, 299-306. Liu, J., Xu, Z., Huang, L. (2011). Study on adaptive pi controller of d-statcom. Strategic technology, 1(1), 456-59. Mahela, O. P. Shaik, A. G. (2015). A review of d-statcom. Renew and Sust Energy Reviews, 50(1), 531-46. Mitra, P., Venayagamoorthy, G., (2010). An adaptive control strategy for d-statcom applications in an electric ship power system. IEEE Trans Po Elect, 25(1), 95-104. Moghtadaei, A., Vafaee, M.H. (2017). Optimal Multi-objective Placement, and Sizing of Multiple DGs, and d-statcom via MOPSO. Majlesi J En Manag, 6(2), 35-40. Mohammadi, M., Abasi, M., Rozbahani, A.M. (2017). Fuzzy-GA based algorithm for OP, and sizing of d-statcom for loss reduction of DS considering reconfiguration. J Cent South Univ, 24(1), 245-58. Murthy, V., Kumar, A., (2013). Comparison of optimal DG allocation methods in radial DS based on sensitivity approaches. IJEEPS, 53(1), 450-67. Nazari, M.H., Khodadadi, A., Lorestani, A., Hosseinian, S.H., & Gharehpetian, G.B. (2018). Optimal multi-objective d-statcom placement using MOGA for THD mitigation, and cost minimization. J Intel & Fuz Syst, 35(1), 2339-48. Parizad, A., Khazali, A., Kalantar, M. (2010). OP of DG with sensitivity factors considering voltage stability, and losses indices. Proc ICEE, 848-55. Patel, S. K., Arya, S., Maurya, R., Chitti Babu, B. (2018). Control Scheme for d-statcom based on Frequency Adaptive Disturbance Observer. JESTPE, 6(3), 1345-54. Prabu, J., Muthuveerapan, S. (2016). Optimum Placement, and sizing determination of DG, and d-statcom using penguins search optimization algorithm. IJIRSET, 5(1), 6675-80. Prasad, K. K., Myneni, H., Kumar, G. S. (2019). PQ Improvement, and PV Power Injection by d-statcom with Variable DC Link Voltage Control from RSC-MLC. IEEE Trans Sust Energy, 10(2), 87685. Renukadevi, V., Jayanand, B. Sobha, M. (2018). A DC‐DC converter‐based infinite level inverter as d-statcom. Int Trans Elect Energ Syst, 29(1), 1-13. Rohilla, Y., Pal, Y. (2013) T-connected transformer incorporated 3-leg vsc based 3p4w d-statcom for PQ improvement. Nirma Univ Int Conf on Engg (NUiCONE), 1-7. Sahu, G., Mahapatra, K. (2014). A novel control strategy of d-statcom for load compensation under distorted utility condition. Int Conf on Adv in Elect Engg, 1-6. *Corresponding author (D.K.Dhaked). Email: DKDhaked@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16D http://TUENGR.COM/V11B/11A16D.pdf DOI: 10.14456/ITJEMAST.2020.313

Salman, N., Mohamed, A., Shareef, H. (2012). Reliability improvement in DS by OP of d-statcom using binary gravitational search algorithm. Prz Ele, 88(1), 295-99. Sanam, J., Ganguly, S., Panda, A. K., Hemanth C. (2017). Optimization of Energy Loss Cost of DS with the OP, and Sizing of d-statcom Using DEA. Arab J Sci Eng, 42(1), 2851-65. Sannigrahi, S., Acharjee, P. (2018). Implementation of Crow Search Algorithm for Optimal Allocation of DG, and d-statcom in Practical DS. Int Conf on Power, Inst, Control, and Comp, Thrissur, India. Sannigrhi, S., Ghatak, S. R., Acharjee, P. (2018). Strategically Incorporation of RES, and d-statcom for Techno-Economic-Environmental Benefits using Search Space Reduction Based Improved CSA. IET Gen, T&D. Sedighizadeh, M., Moarref, A.E. (2017). The Imperialist Competitive Algorithm for optimal Multi-Objective Location, and Sizing of d-statcom in DS Considering Loads Uncertainty. INAE Letter, 2(1), 83-95. Shahryari, E., Shayeghi, H., & Moradzadeh, M. (2018). Probabilistic, and Multi-Objective Placement of d-statcom in DS Considering Load Uncertainty. Elect Po Comp, and Syst, 46(1), 27-42. Shukla, A., Ghosh, A., Joshi, A. (2008). Control schemes ford capacitor voltages equalization in diode-clamped multilevel inverter-based d-statcom. IEEE Trans Po Del, 23(2), 1139-49. Silva, A. J. da, Oliveira, W. R.de. (2016). Comments on quantum ANN with applications. Inf Sci, 370(1), 120-12. Singh, B. (2018). Control of Grid Tied Smart PV d-statcom System Using an Adaptive Technique. IEEE Trans Smart-grid, 9(5), 3986-93. Singh, B., Adya, A., Mittal, A., Gupta, J.R.P. (2006). Neural network based d-statcom controller for 3p3w system. PEDES, 1-6. Singh, B., Arya, S. (2013). Adaptive theory-based improved linear sinusoidal tracer control algorithm for d-statcom. IEEE Trans Po Elect, 28(8), 3768-78. Singh, B., Arya, S. (2013). Implementation of 1-phase enhanced phase-locked loop-based control algorithm for 3-phase d-statcom. IEEE Trans Power Deliv, 28(3), 1516-24. Singh, B., Arya, S., Dube, S. Chandra, A., Haddad, K. Al. (2013). Implementation of d-statcom using neural network based radial basis function. Ind appl soc meet, Vista, 1-8. Singh, B., Arya, S., Jain, C. (2014). Simple peak finding control algorithm of d-statcom for PQ enhancement. IET Power Electronics, 7(1), 1736-46. Singh, B., Solanki, J. (2009). A comparison of control algorithms for d-statcom. IEEE Trans Ind Elec, 56(1), 2738-45. Sirjania, R., Jordehi, A. R. (2017). OP, and sizing of d-statcom in electric distribution networks: A review. RSE&R, 77(1), 688-94. Sreenivasarao, D., Agarwal, P., Das, B. (2012). Neutral current compensation in 3p4w systems: a review. El Pow Sys Reviews, 86(1), 170-80. Sultana, B., Mustafa, M., Sultana, U. (2016). Review on reliability improvement, and power loss reduction in DS via network reconfiguration. RSE&R, 66(1), 297-310. Taher, S. A., Afsari, A. R. (2013). Optimal allocation, and sizing of d-statcom by immune algorithm in DS including DG. Soft Comp J, 2(2), 2-15. Taher, S. A., Afsari, A. R. (2014). Optimal location, and sizing of d-statcom in DS by IA. IJEPES, 60(1), 34-44. Tanti, D., Verma, M., Singh, B. (2012). OP of custom power devices in Power System Network to Mitigate Voltage Sag under Faults. Int J PE&D Syst, 2(3), 267-76.

Dheeraj Kumar Dhaked, Dinesh Birla

Tejaswani, V., Susitra, D. (2020). Dragonfly Algorithm for Optimal Allocation of D-STATCOM in Distribution Systems. AI, and Ev Comp in Eng. Sys, Adv in Int Sys, and Comp, 1056(1), Springer, Singapore. Thirupathaiah, M., Venkata Prasad, P., Ganesh, V. (2018). Enhancement of PQ in Wind Power DS Using Hybrid PSO-Firefly based d-statcom. IJRER, 8(2), 1148-54. Tolabi, H.B., Ali, M. H., Rizwan, M. (2015). Simultaneous reconfiguration, OP of d-statcom, and photovoltaic array in a DS based on fuzzy-ACO approach. ITSE, 6(1), 210-18. Umar, M., Bakare, G.A., Shehu, M.A., Abubakar, U. (2017). Dstatcom Placement in DS using weighted Artificial Fish Swarm Algorithm. Int Conf on ET for Nat Dev, Nigeria, 926-931. Weqar, B., Khan, M. T., & Siddiqui, A. S. (2017). OP of DG, and d-statcom in radial DS. Smart Science, 6(2), 125-133. Xu, Y., Ma, C., Yang, L., Gong, Z., Pu, H., Zhang, Z. (2010). Study on SMC with rbf network for d-statcom. Int Conf on E-Product E-Service, and E-Entertainment, 1-5. Yuvaraj, T., Devabalaji, K., Ravi, K. (2015). OP, and sizing of d-statcom using Harmony Search algorithm. En Procedia, 79(1), 759-65. Yuvaraj, T., Ravi, K., & Devabalaji, K.R. (2017a). Optimal Allocation of DG, and d-statcom in Radial DS Using Cuckoo Search Optimization Algorithm. Model Sim in Engg, 1, 1-11. Yuvaraj, T., Ravi, K., Devabalaji, K. (2017b). D-statcom allocation in DS considering load variations using bat algorithm. ASEJ, 8(3), 391-403. Yuvaraj, T., Ravi, K., Devabalaji, K.R. (2017c). D-statcom Allocation in the Radial DS with Different Stability Ä°ndices using Bat Algorithm. Gazi Univ J Sci, 30(4), 314-28. Zaveri, T., Bhavesh, B., Zaveri, N., (2011). Control techniques for PQ improvement in delta connected load using d-statcom. Int Elect Mach Drives Conf, 1397-1402. Dheeraj Kumar Dhaked pursues a Ph.D. at Rajasthan Technical University, Kota, India. He got his B.Tech in Electrical Engineering from Rajasthan Technical University, Kota, and completed his M.Tech in Power System Engineering. His research interest includes FACTS Controller in Transmission System, Microgrid, Biomass Energy, Renewable Energy, Solar Power, Battery Charging-Discharging, Artificial Intelligence, Artificial Neural Network and Power Converter.

Professor Dr.Dinesh Birla works at the Department of Electrical Engineering at the Rajasthan Technical University, Kota. He got a Ph.D. from IIT Roorkee. His research includes Power System Protection, Power Electronics & Renewable Energy.

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

PAPER ID: 11A16E

A FEED ADDITIVE BASED ON LACTOBACILLI WITH ACTIVITY AGAINST CAMPYLOBACTER FOR MEAT-BREEDING CHICKENS PARENT FLOCK 1*

Anna Balykina , Elena Kapitonova , Ilya Nikonov , 4 5* Yuri Kuznetsov , Sergey Shlykov 1

Department of Biochemistry and Physiology, St. Petersburg State University of Veterinary Medicine, RUSSIA. 2 Department of Private Livestock, Vitebsk State Awarded the «Badge of Honour» Order Veterinary Medicine Academy, BELARUS. 3 Research part "Agrotechnopolis", Perm State Agro-Technological University named after Academician D.N. Pryanishnikov, RUSSIA. 4 Department of Parasitology, St. Petersburg State University of Veterinary Medicine, RUSSIA 5 Department of Technology of Production and Processing of Agricultural Products, Stavropol State Agrarian University, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 04 June 2020 Received in revised form 07 September 2020 Accepted 18 September 2020 Available online 24 September 2020

This article presents the results of feeding an experimental group of laying hens for 1-14 days with a complete feed containing heterologous lactobacilli as a feed additive. Data were obtained on the sowing rate of target lactobacilli from poultry manure and eggs. The eggs were collected for the production of broiler chickens. Using a feed additive based on heterologous lactobacilli contributed to increasing egg Keywords: Heterologous lactobacilli; production per average hen by 7.8-10.0 %, and egg-laying intensity by Parent stock of chickens; 5.7-7.3%. The addition of the additive had a zootechnical effect even after a single application. At the same time, the probiotic supplement Poultry feeding; Probiotics; Parent hens; showed the antagonistic activity of Lactobacillus Plantarum to Campylobacter; Campylobacter jejuni. Thus, the introduction of a feed additive based on Lactobacillus Plantarum. lactobacilli, in general, had a positive effect on the productivity of the parent hens. Disciplinary: Agricultural and Animal Sciences, Bioscience, Biology. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION The fundamental and applied foundations of the creation and use of probiotics, metabiotics, and probiotic feed additives for veterinary medicine were laid by Russian scientists' works. Campylobacter belongs to the Proteobacteria phylum, whose representatives can cause necrotizing enterocolitis in both a newborn baby and a hatched chick. *Corresponding author (Anna Balykina). Email: ABalykina@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16E http://TUENGR.COM/V11B/11A16E.pdf DOI: 10.14456/ITJEMAST.2020.314

The study of the microbial community's ecology of the gastrointestinal tract of agricultural poultry has now acquired enormous fundamental importance [1, 2, 3]. According to recently obtained data, the gastrointestinal tract's microbiota participates in stimulating the digestive system's postnatal maturation, the formation of innate immunity, and colonization resistance of the digestive system. It takes part in embryogenesis [4, 5]. It has been established that the microflora of the laying hen plays a crucial role in the formation of the pathogenic microbiota of the gastrointestinal tract of the egg embryo [5, 7]. The spectrum of microorganisms capable of causing the death of embryos is diverse. The main ones are E. coli, Pseudomonas sp., Staphylococcus sp., Klebsiella sp. [4, 5, 6]. Microorganisms present in the embryo's digestive tract are the basis that determines the formation of the initial intestinal biocenosis of hatched chickens [6]. The study aimed to feed the parent herd of meat-breed chickens for 1-14 days with a full-fledged compound feed, containing heterologous lactobacilli with anti-C. jejuni activity [11] as a feed additive. The tasks were to analyze sowing target lactobacilli from poultry droppings and eggs.

2 MATERIALS AND METHODS For solving this problem, the experiment was in a vivarium on layers of a parent flock of the "Cobb 500" cross hens. For the study, laying hens were selected according to analogs' principle by age (205-207 days) [8]. The experimental design is in Table 1. Table 1: Scheme of the experiment on laying hens of the parent flock Group no. G1 - control G2 - experiment G3- experiment G4 - experiment

Number of heads 40 40 40 40

Poultry feeding features Basic ration (BR) BR + filler from feed additive (feeding for 14 days) BR + feed additive (1 day) BR + feed additive (feeding for 14 days)

Experiments on laying hens were in the vivarium of the International Laboratory of Molecular Genetics and Poultry Genomics (Federal State Budgetary Educational Institution of Higher Education "Moscow State Academy of Veterinary Medicine and Biotechnology - MBA named after K. I. Skryabin"). The diet of the parent flock hens was according to the recommendations of VNITIP [7]. A feed additive containing a composition of heterologous lactobacilli was introducing into the chickens' diet for one day and 14 days. Experimental group 3 was introduced into the diet with a filler from an experimental feed additive [9, 10]. During the experiment, the studied indicators include 1. 2. 3. 4. 5. 6.

Egg production for the initial, middle, and final hens; Safety of laying hens; Intensity of egg-laying; Weight of laid eggs; Number of eggs with a detected defect (broken and notched); Feed consumption for one head.

Sowing lactic acid bacteria to assess the number was carried out on agar nutrient media MRS at 37Â°C for 24 hours. Sterile skim milk was used to maintain the working cultures of lactobacilli. Cultivation of lactic acid bacteria was at 37Â°C under microaerophilic conditions using a desiccator

Anna Balykina, Elena Kapitonova, Ilya Nikonov, Yuri Kuznetsov, Sergey Shlykov

and a gas generating bag system.

3 RESULT AND DISCUSSION Table 2 gives the main results of zootechnical accounting when growing laying hens. Table 2: The indicators of the laying hens' parent flock productivity during the experiment period Groups

Indicators Safety,% Egg production per initial hen, pcs/head Egg production per final hen, pcs/head

G1 100 20.3 22.1

G2 100 20.5 23.7

G3 100 20.4 24.1

G4 100 20.5 24.2

As can be seen from the presented indicators in Table 2, the egg production per initial hen was practically the same in all experimental poultry houses. It varied within 20.3-20.5 pieces/bird, which was less than 1.0%. All individual cages were with appropriate conditions for growing poultry. Into them maintained the normative parameters of the microclimate (temperature, humidity, air velocity, and microbial contamination) and technological requirements for ensuring the keeping of the livestock (feeding time, drinking time, light regime). Nevertheless, by the end of the experiment period, the bird showed different productivity results.

Figure 1: Egg production for an average hen, (number of eggs). From the calculated indicators presented in Figure 1, it can see that during scientific research, egg production per average hen in the 1st group was 21.9 pcs. In the G2 group, the productivity of layers increased by 1.7 pieces. (+7.8%), compared to control. In the G3 group, egg production increased on average by 2.1 eggs/head. (+9.6%), compared to the productivity of G1chickens. In the G4 group, egg production per average hen was 24.1 pieces, which was higher than the control achievements by 2.2 pieces. (+10.0%). Analyzing edible eggs' production by experimental laying hens, we note once again that there are no significant differences in the productivity of hens of the 3rd and 4th groups. Feed costs for growing layers of parent stock are in Table 3. Table 3: Calculation of feed costs. Indicator One head, g/day

Groups G1 109

G2 110

G3 109

G4 110

As shown in Table 3, the daily feed consumption per head in the experimental laying hens was *Corresponding author (Anna Balykina). Email: ABalykina@yandex.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16E http://TUENGR.COM/V11B/11A16E.pdf DOI: 10.14456/ITJEMAST.2020.314

practically the same, with a slight balancing of 1 g. Figure 2 shows the egg-laying intensity of the test of laying hens.

Figure 2: Intensity of egg-laying experimental laying hens (%). Figure 2, the intensity of egg-laying in the control group was 73.0%. In the G2, the egg-laying intensity increased by 5.7 pp (percentage point), compared with the control and amounted to 78.7%. In the G3 experimental group, the egg-laying intensity indicator increased by 17.0 pp. In the G4 group, the egg-laying intensity reached its leading hands 80.3%, which was 7.3 pp higher than the control poultry house's achievements. However, the difference between the G3 and G4 groups was not significant. Thus, using a feed additive based on heterologous lactobacilli contributed to an increase in egg production per average hen by 7.8-10.0%, and egg-laying intensity 5.7-7.3 pp. The addition of the additive had a zootechnical effect even after a single application. Prolongation of administering the probiotic supplement up to 14 days did not lead to significant differences between G3 and G4. Simultaneously, discrepancies were between the groups receiving the feed supplement with bacteria and the group receiving the filler without bacteria. Figure 3 shows the Lactobacillus Plantarum selected from litter samples growing on the surface of the MRS agar medium. Simultaneously, Figure 4 notes a high antagonistic activity of Lactobacillus Plantarum to Campylobacter jejuni. Table 4 shows the data on the injection of lactic acid bacteria by classical microbiology methods.

Figure 3: Sowing of Lactobacillus Plantarum on a nutrient medium. Table 4: Assessment of seeding of lactobacilli from litter in layers of parent flock Age 1 day 7 days 14 days 22 days

G1 control group 19.13·106 + 0.40·106 25.07·107 + 0.60·107 31.16·108 + 0.80·108 36.10·105 + 0.80·107

Groups (CFU/g) G2 test group G3 test group 19.13·106 + 19.13·106 + 6 0.40·10 0.40·106 8 32.19·10 + 36.20·107 + 7 0.50·10 0.70·107 8 35.20·10 + 38.39·108 + 8 0.60·10 0.60·108 8 40.38·10 + 42.44·109 + 8 0.70·10 0.60·109

Anna Balykina, Elena Kapitonova, Ilya Nikonov, Yuri Kuznetsov, Sergey Shlykov

G4 test group 19.13·106 + 0.40·106 41.27·109 + 0.30·109 45.32·109 + 0.50·109 48.56·1010 + 0.50·1010

Figure 4: Growth of Campylobacter jejuni after 72 hours of culture The introduction of a feed additive containing lactobacilli has a positive effect on the intestinal microbiocenosis of layers. It is stimulating the colonization of lactic acid bacteria from 7 days of age and colonization rate lactobacilli at an earlier date as well as reducing the content of opportunistic microflora.

4 CONCLUSION Thus, the introduction of a feed additive containing lactobacilli has a positive effect on poultry's productivity. The use of heterologous lactic acid bacteria with antagonistic activity to Campylobacter normalizes the colon microbiota of hens, stimulating the colonization of lactic acid bacteria from 7 days of age, accelerates the rate of colonization by lactobacilli at an earlier date, and reduces the content of opportunistic microflora.

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

6 ACKNOWLEDGEMENT The study was performed at the FGBOU VO "St. Petersburg State Academy of Veterinary MedicineÂť with the aid of the Russian Science Foundation Grant (Project No. 18-76-10017).

7 REFERENCES [1] Park, S. H., Lee, S. I., & Ricke, S. C. (2016). Microbial populations in naked neck chicken ceca raised on pasture flock fed with commercial yeast cell wall prebiotics via an Illumina MiSeq platform. PLoS One, 11(3), e0151944. [2] Saxena, S., Saxena, V. K., Tomar, S., Sapcota, D., & Gonmei, G. (2016). Characterisation of caecum and crop microbiota of Indian indigenous chicken targeting multiple hypervariable regions within 16S rRNA gene. British poultry science, 57(3), 381-389. [3] Oakley B.B. and Kogut M.H. (2016). Spatial and Temporal Changes in the Broiler Chicken Cecal and Fecal Microbiome sand Correlations of Bacterial Taxa with Cytokine Gene Expression. Frontiers in Veterinary Science, 3(11). *Corresponding author (Anna Balykina). Email: ABalykina@yandex.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16E http://TUENGR.COM/V11B/11A16E.pdf DOI: 10.14456/ITJEMAST.2020.314

[4] Babaca Z. (2014). Isolation of Bacterial Pathogens from Dead in Shell Chicken Embryos from Local Hatcheries. Journal of Veterinary Science and Technology, 5(2), 170–171. [5] Rossi D.A., Fonseca B.B., de Melo R.T., da Silva Felipe G., da Silva P.L., Mendon E.P., Filgueiras A.L., Beletti M.E. (2012). Transmission of Campylobacter Coliin Chicken Embryos. Brazilian Journal of Microbiology, 43(2), 535–543. [6] Ilina L.A., Yildirim E.A., Nikonov I.N., Filippova V.A., Laptev G.Y., Novikova N.I., Grozina A.A., Lenkova T.N., Manukyan V.A., Egorov I.A., Fisinin V.I. (2016). Metagenomic Bacterial Community Profiles of Chicken Embryo Gastrointestinal Tract by Using T_RFLP Analysis. Doklady Akademii Nauk, 466(4), 482–486. [7] Fisinin V.I. (2000). Feeding poultry. Sergiev Posad, 375p. [8] Egorov I.A., Manukyan V.A., Okolelova T.M., Lenkova T.N., Andrianova E.A. (2019). Guidelines for feeding poultry. Sergiev Posad: VNITIP, 226p. [9] Ponomarenko Yu.A., Fisinin V.I., Egorov I.A. (2012). Safety of Feed, Feed Additives, and Food. Minsk. Ecological perspective, 864. [10] RFC-HER. (2010). Guidelines for the sanitary and epidemiological assessment of the safety and functional potential of probiotic microorganisms used for food production. Federal Center for Hygiene and Epidemiology of Rospotrebnadzor, MU 2.3.2.2789-10, 93p. [11] Kuznetsov, Y., Nikonov, I., Kapitonova, E., Kuznetsova, N., Omarov, R. (2020). Evaluation Lactic Acid Bacteria Autostrains with Anti-Campylobacter Jejuni Activity on Broiler Chickens Productivity. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 11(15), 11A15S, 1-5. http://doi.org/10.14456/ITJEMAST.2020.307 Anna Balykina is an Associate Professor at the Department of Biochemistry and Physiology, the St. Petersburg State University of Veterinary Medicine. She is a Candidate of Veterinary Sciences, Her research interests pertain to the Development of Biologically Active Feed Additives, Feeding Farm Animals (Birds).

Elena Kapitonova is an Associate Professor at the Department of Private Livestock, Vitebsk Order of the Badge of Honor State Academy of Veterinary Medicine. She is a Candidate of Agricultural Sciences Her research interests are the Development of Feed Additives, the Technology of Raising Animals (Birds), Feeding Farm Birds.

Ilya Nikonov is Deputy Director for Science and Development, BIOTROF LLC. Senior Researcher of the Scientific and Technical Information Department of the All-Russian Scientific Research Veterinary Institute of Poultry (VNIVIP), St. Petersburg. His research deals with the study of the intestinal microflora of poultry, Feed, Habitat. He is a developer of the composition and methods for assessing the Effect of Antimicrobial Feed Additives (Probiotics, Prebiotics, Phytobiotics, etc.) and Mycotoxin Sorbents. Yuri Kuznetsov is an Associate Professor. He is a Candidate of Veterinary Sciences. His research includes Veterinary Immunology and Stress Pharmacology, Increasing the Effectiveness of Drugs, and studying the Side Effects of Drugs and Reducing their Negative Impact on the Body.

Professor Dr.Sergei Shlykov works at the Department of Technology of Production and Processing of Agricultural Products, Stavropol State Agrarian University, Russia. He holds a Doctor of Biological Science. His research focuses on Meat, Beef, Animal Products and Meat Products.

Anna Balykina, Elena Kapitonova, Ilya Nikonov, Yuri Kuznetsov, Sergey Shlykov

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

PAPER ID: 11A16F

A REVIEW ON THE TOOLS AND TECHNIQUES FOR EFFECTIVE FAILURE DETECTION AND PREDICTION IN CLOUD COMPUTING 1*

Saleh M. Alqahtani , Hamza Arishi 1

College of Computing and Informatics, Saudi Electronic University, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 02 May 2020 Received in revised form 03 September 2020 Accepted 15 September 2020 Available online 24 September 2020

Cloud Computing is a model that supports services and computer resources like computing power, storage, and bandwidth to deliver IT services in the organization. With the increasing usage of the Internet and mobile devices, cloud computing has also become a widely adopted model of delivering services through the Internet. Cloud computing is a combination of self-service and automatic computing. The main problem is the complexity of detecting a fault in a cloud-based system due to its large-scale integration and dynamic nature of the cloud. In this paper, we discuss cloud computing in the light of failure detection and prevention to build a reliable cloud-based system that can detect and prevent failures before exploitation.

Keywords: Cloud service; Proactive fault tolerance; Reactive fault tolerance; Cloud computing threat; Cloud computing risks; Cloud computing vulnerabilities, Cloud fault detection.

1 INTRODUCTION Recently, Cloud Computing has become an essential keyword in the field of Information Technology. Cloud computing is the reality of the dream called "Computing as Utility" as it has massive potential in the current market to revolutionize the IT sector. The term "Cloud Computing" has two keywords where "Cloud" stands for "Internet" and "Computing" stand for "Processing and memory." So, "Cloud Computing" is the term created by the concept of "Computing Power Accessible Virtually from anywhere." Many business organizations adopted cloud computing to bring competitive advantages compared to their peers to grab more market share by providing better services to their customers. However, like other information technology processes, it also has some drawbacks as well. As the cloud computing concept is entirely based on networking, any network failure can disrupt the total system laming business productivity (Suryateja, 2018). It became easier to hijack one's data as *Corresponding author (S.M. Alqahtania, H.Arishi). sm.alqahtani@seu.edu.sa, a.hamzah@seu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16F http://TUENGR.COM/V11B/11A16F.pdf DOI: 10.14456/ITJEMAST.2020.315

everybody uses the cloud to store their personal information to get rid of physical storage devices and for virtual accessibility of their data. It has become essential to make a cloud system fully secure and make some tools and techniques to detect faults before collapsing the system. It is a big concern for the cloud service provider companies to detect and prevent any failures in their cloud computing system. However, it is critical to recognize a fault before a collapse, but understanding the nature of faults is essential to prevent such faults in the future. These faults can provide unavailable resources and make the web applications and web servers down for a long time, leading business losses to the service providers. An example could understand that when Amazon was down for only 45 minutes due to an unexpected error in the system, it led to about 45 million dollar loss to Amazon (Tchernykh et al., 2019). As the cloud hardware and software continuously changed, the fault detection mechanism needs to realize fundamental differences between normal cloud variation and real-time failures. Discussion of tools, techniques, and strategies for effective failure detection and prediction in cloud computing is something to look forward to through the study. Cloud computing is widely adopted in business organizations and for personal uses due to the internet's rapid growth in recent years. This study aims to find out some tools and techniques to detect and prevent cloud computing faults. Based on the aims of this study, the following objective has set: o To investigate the vulnerabilities present in cloud computing. o To evaluate fault tolerance and fault taxonomy in cloud computing. o To evaluate some tools and techniques to detect and to prevent a fault in a cloud-based system. o This research work aims to answer the following questions: o What is the importance of fault detection and prevention in cloud computing? o How can the faults be detected before the system collapses?

2 METHODOLOGY In this research, the applied research method is used to conduct the study, with gathered data relevant research papers related to failure detection and prevention in cloud computing outsourced through web-based tools like Google Scholar, PubMed Central, Prismatic, Scopus, etc. According to (Moges & Abebe 2019), applied research is best for this study with aims to find tools and techniques for effective failure detection and prediction of failure in a cloud computing system and find out vulnerabilities present in cloud services design.

3 CLOUD COMPUTING REVIEW Adaptation of cloud-based technologies is growing daily in the construction of IT infrastructure for business, academic, government organizations, and people as data storage and processing. Though the cloud-based computing systems have many advantages, it also has some drawbacks in the form of security, reliability, and the performance of both computing and communication. In this study's literature section, the drawbacks present in cloud computing, recognition of faults, and some tools and techniques to prevent those faults will be discussed.

3.1 VULNERABILITIES PRESENT IN CLOUD COMPUTING The vulnerability is the weakness of a system that hackers can access (Dwivedi & Dev, 2018; Shihab, 2020). A primary concern about cloud computing is security and privacy related to securing data and monitoring the use of data by the cloud service provider. Some of the weaknesses present in

Saleh M. Alqahtani, Hamza Arishi

cloud computing discussed below: • Data Breaches: When sensitive or confidential data related to a person or an organization is accessed, copied, or transmitted unethically, the situation is called a data breach. In 2017, the data breach resulted in over 1.4 billion losses of records. It is a fatal risk in cloud computing, taking the number one position in the list of cloud computing vulnerabilities. The causes of this severe problem can be human error, targeted attacks by some hackers, application vulnerabilities, and lack of security measures. • Data Loss: Natural disasters like floods, earthquakes, and human errors like accidentally deleted files and malware infection can cause the unavailability of data resulting in data loss. Precaution should be taken to avoid data loss by taking backup of the existing data into multiple locations as required data can be accessed without any hassle. • Malicious Insiders: Insider threat is one of the most dangerous threats in cloud computing. An insider in the form of the formal employee, system administrator, business partner, or third party vendor can use confidential information that causes enormous losses to the service provider. An example, it can be said that due to a recent data breach in Sage, investors lost millions of dollars as the stock price of the company dropped by 4.3%. • Denial of Service: In this type of attack, a legitimate user cannot access their data or application due to the attack, originating from one source machine. • Account Hijacking: In cloud computing services, there is a severe risk of account hijacking. Account hijacking is a process of accessing one's account credentials without legitimate users' permission using unlawful practices. Fraud by phishing is one of the most popular types of account hijacking to access one's data for personal gain. • Unprotected IoT Devices: Recent technological advancements in communication software brought us a term called "Internet of Things," where many devices can communicate with each other to serve the user's needs. As IoT devices have created massive automation, configuration, and patching, one error can cause multiple problems to generate millions of attack vectors. Weak network security can also lead to severe problems as IoT devices are connected through a network to communicate between them. • Ransomware: Ransomware is a malware that locks the victim's computer files by creating encryption on the victim's files and other resources. In 2016, the FBI commented that 4000 ransomware attacks happened in a day with an increase of 300% from previous years. In 2017, the world saw the WannaCry ransomware's menace that disabled the data in many companies and government agencies.

3.2 TOOLS AND TECHNIQUES FOR FAILURE DETECTION IN CLOUD COMPUTING Cloud computing is an essential technique for providing demanded services to users at a low cost. To project the correct result despite faulty components, fault tolerance and reliability have great importance (Amin et al., 2015). Demand for fault tolerance is increasing rapidly to achieve reliability in real-time computing. The fault tolerance technique is used to detect a fault and predict them before the fault occurs. The necessity of fault tolerance is to achieve reliability in real-time computing. The fault tolerance technique used in cloud computing considered with various parameters such as o Throughput: The throughput defines the number of completed tasks, and it should be high for a cloud system. *Corresponding author (S.M. Alqahtania, H.Arishi). sm.alqahtani@seu.edu.sa, a.hamzah@seu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16F http://TUENGR.COM/V11B/11A16F.pdf DOI: 10.14456/ITJEMAST.2020.315

o Response Time: Response time measured by the time taken to respond by an algorithm. The minimum value is preferred for response time. o Scalability: Fault tolerance capacity should not be affected by some nodes of the algorithm. o Performance: This parameter checks the effectiveness of a system. The performance of a system can improve by reducing the response time of the system. o Availability: The reliability of that system can measure the availability of a system. An item's functioning at any given instance of time can tell as the availability of that system. o Usability: A product that can use to what extent to complete goals effectually is called usability. There are two types of fault tolerance techniques, namely a) Reactive fault tolerance and b) Proactive fault tolerance (see Figure 1). Reactive Fault Tolerance: This type of fault tolerance technique is used after the possible occurrence of failures on a systemâ€”some of the techniques used in this policy listed below. o Checkpoint/ Restart: Checkpoint is a process of restarting a failed task from the recent checkpoint rather than from the beginning. For large applications, it is a great technique. o Replication: Various replicas of the task are run simultaneously on different resources for successful execution until the replicated task has not crashed. Significant components that are used for replication implementation are HAProxy, Hadoop, and AmazonEc2. o SGuard: SGuard, which is based on rollback recovery, can execute in HADOOP, AmazonEc2. o Retry: The task level's most straightforward technique is retry, allowing the user to resubmit the task on the same cloud resource. o Task Resubmission: To resubmit the same task on the same operating machine or another machine is called task resubmission. o User-Defined Exception Handling: The user defines specific actions of a task failure for workflows. o Rescue Workflow: After any task's failure, it allows the system to continue until the fault is rectified. Proactive Fault Tolerance: To predict the faults proactively and to replace the suspected components with working components is called proactive fault tolerance to avoid recovery from faults and errors. Some of the components that follow this policy are o Software Rejuvenation: It is a periodic reboot process that starts as a fresh new state every time. o Proactive Fault Tolerance using self-healing: Process of automatic control of failures at any instance occurred in an application. o Proactive Fault Tolerance using Pre-emptive Migration: Observing and analyzing an application to prevent failure is the primary procedure of this technique depending upon the feedback-loop control mechanism.

Saleh M. Alqahtani, Hamza Arishi

Figure 1: Fault Tolerance (modified from Amin et al. (2015)).

3.3 A CONCEPTUAL MODEL FOR RELIABLE CLOUD COMPUTING SERVICE The concept of reliable cloud computing services can be understood from the above picture in which cloud computing structure has created with some layers that offer better management of cloud computing resources to make it more reliable (Gill & Buyya, 2018). Three main components in this architecture discussed below: •

Cloud Users: This layer's function is to receive user requests defined by required services in SLA to handle the incoming user requests by the workload manager. After handling those interactive or batch style requests, they are transferred to the middleware to provide the resources.

•

Middleware: Middle and the leading layer of the conceptual model divided into subcomponents like accounting and billing, workload manager, resources provisional, resource monitor, and security manager.

•

Information related to cloud services expenses, ownership cost, and user budget are kelp stored in accounting and billing modules.

•

Workloads coming from the application are managed by the workload manager to execute them successfully with good Quality of Services (QoS) and transfer them to resource provisional.

•

SLA manager, VM manager, and Fault manager are three parts of resource provisional. The official contract between user and cloud service provider managed by the SLA manager, maintaining required QoS. By using physical machines or VMs depending upon the availability of VMs, the VM manager facilitates and schedules the cloud resources to execute workloads base on required QoS. The fault manager's function is to detect the faults and probable causes to correct them and keep the system on track. Fault managers also find potential threats that can cause damage to the system in the future.

•

The job of resource monitor is to monitor the required QoS for incoming workloads for keeping a continuous record of activities of the underlying infrastructure to make the services available.

*Corresponding author (S.M. Alqahtania, H.Arishi). sm.alqahtani@seu.edu.sa, a.hamzah@seu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16F http://TUENGR.COM/V11B/11A16F.pdf DOI: 10.14456/ITJEMAST.2020.315

â€˘

The security manager has deployed virtual network security policies to secure a) data transmission between cloud users and providers and b) migration between workload and Virtual Machines of different data centers.

â€˘

Physical Infrastructure: Cloud data centers consisting of processors, network cards, storage devices, and disk drivers included in this layer to execute cloud workloads.

3.4 ADAPTIVE FAILURE DETECTION SYSTEM FOR CLOUD COMPUTING SYSTEMS A Reconfigurable Distributed Virtual Machine (RDVM) influenced by virtual technologies is proposed to create a reliable cloud computing system that can simplify the failure-aware cloud management system. To build RDVM, Adaptive Failure Detection (AFD) is a crucial component. This RDVM infrastructure is built using a couple of virtual machines that run on top of physical servers in a cloud system (Talia, 2019). Different execution states of cloud services are incorporated within every virtual machine to run the client application. VMs are the basic unit of an RDVM infrastructure. Multiples VMs are hosted by each cloud server to multiply the resources of the underlying physical server. A thin layer called Virtual Machine Monitor (VMM or Hypervisor) manages hardware and export uniform interface to upper guest operating systems.

4 DISCUSSION The primary data was collected by conducting interviews of five top officials working in the cloud services providing company as managers for sharing their experiences about the failure detection and prevention in the cloud-based system before the actual occurrence of any failure. The secondary data has been accumulated from different journals, research papers, and books written by various cloud computing authors. It has been found by this study that through the cloud computing system is gaining popularity in the market for new businesses and start-ups, it does have some vulnerability present at the core level of the design architecture of cloud computing. Those weaknesses present in the cloud-based system make it prone to frequent failures, and the system collapses, affecting the business productivity of a cloud service provider company. Various researchers have proposed some tools and techniques to combat the failures before executing any fatal error. However, those tools and techniques' efficiency is limited, as any human error can destroy overall system effectiveness. As the cloud computing system designed with many layers incorporated in it, any fault on one of these layers can make the total system feeble. Cyber-attacks to a cloud-based system to hijack one's data are also dangerous in a cloud computing system. As participants, managers emphasized the security issues they faced during their daily activities due to cyber-attacks performed by hackers in ransomware and malware attacks for their gain. By analyzing secondary data gathered from various journals and research papers, it has found that there are two types of fault tolerance methods are used in a cloud-based system to prevent failure. They are reactive fault tolerance and proactive fault tolerance methods. The adaptive Failure Detection system is also beneficial for detecting and preventing failures and understanding the causes that create a system's failure. As data is stored and migrated in, many data centers in a cloud-based system, unencrypted data can create severe privacy concerns resulting in loss of confidential data. It has been found that due to a data breach in the cloud-based system, investors in Sage lost millions of dollars as stock prices collapsed 4.3%. American intelligence organization FBI also emphasized that cyber-attacks have increased due to the rapid adaptation of the cloud computing system in businesses

Saleh M. Alqahtani, Hamza Arishi

and organizations. That is why proper tools and techniques are essential to detect a failure and prevent it before it occurs. By analyzing data, many researchers are working towards finding a concrete solution for early detection and future prevention of failures that take place within a cloud-based system to ensure uninterrupted cloud services to users by cloud service provider companies.

5 CONCLUSION From this study, we can say that cloud computing's popularity proliferates as cloud-based services enable users to get rid of physical storage devices and enable businesses to increase their efficiency in the current competitive market scenarios. It is evident that in the future, most business organizations like finance, energy, and transport healthcare will adopt cloud-based services in their primary business operations. Though there may be an enormous number of benefits of cloud computing is available, it cannot be denied that the cloud-based system has vulnerabilities in its core architecture as well. In this study, we have emphasized on the weaknesses that make a cloud system prone to failure is also described. Cloud-based systems are more prone to cyber-attacks as it can be exploited easily by trained hackers to hijack someone's personal and confidential data. Data breaches and cyber-attacks in the form of a ransomware attack, Denial of Service (DoS) attack, and malware attacks are widespread in the cloud-based system. Therefore, to protect users' privacy, cloud service provider companies need to improve their system's data security. To detect and prevent failure in the cloud computing systems, fault tolerance technique is elaborated in this study, in which two types of fault tolerance methods that are Reactive Fault Tolerance and the Proactive Fault Tolerance technique have been briefly explained. Also, components of a conceptual model of reliable cloud computing services are explained and illustrated with a block diagram's help. Another technique for failure detection, the Adaptive Failure Detection (AFD) Technique, which is the main component of Reconfigurable Distributed Virtual Machine (RDVM), is also described and illustrated by a block diagram. To conduct this study applied research method used and qualitative research design has followed. Necessary primary data for this study has been collected by interacting with five executives, who were working in cloud service provider companies as a manager and by analyzing their interviews essential data points have noted and the secondary data collected from various research journals and books written by many prominent authors in this field. By analyzing the facts about cloud computing failures, further research should be done to improve security for protecting users' confidential data, and more effective tools and techniques should be introduced for better failure detection. It also recommended that the causes of any faults should adequately be examined so that any future faults can be avoided. Though this study explained facts related to tools and techniques for failure detection in cloud computing properly, the future scope is available for further research to improve research outcomes.

6 ACKNOWLEDGMENT The authors would like to thank Dr. Dinesh Mavaluru, College of Computing and Informatics, Saudi Electronic University, Saudi Arabia, for his guidance during this research work.

7 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author. *Corresponding author (S.M. Alqahtania, H.Arishi). sm.alqahtani@seu.edu.sa, a.hamzah@seu.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16F http://TUENGR.COM/V11B/11A16F.pdf DOI: 10.14456/ITJEMAST.2020.315

8 REFERENCES Amin, Z., Singh, H., & Sethi, N. (2015). Review on fault tolerance techniques in cloud computing. International Journal of Computer Applications, 116(18). Dwivedi, U., & Dev, H. (2018). A Review on Fault Tolerance Techniques and Algorithms in Green Cloud Computing. Journal of Computational and Theoretical Nanoscience, 15(9-10), 2689-2700. Gao, W., Alqahtani, A. S., Mubarakali, A., & Mavaluru, D. (2019). Developing an innovative soft computing scheme for prediction of air overpressure resulting from mine blasting using GMDH optimized by GA. Engineering with Computers, 1-8. Gill, S. S., & Buyya, R. (2018). Failure management for reliable cloud computing: A taxonomy, model, and future directions. Computing in Science & Engineering. Moges, F. F., & Abebe, S. L. (2019). Energy-aware VM placement algorithms for the OpenStack Neat consolidation framework. Journal of Cloud Computing, 8(1), 2. Pannu, H. S., Liu, J., Guan, Q., & Fu, S. (2012). AFD: Adaptive failure detection system for cloud computing infrastructures. In 2012 IEEE 31st International Performance Computing and Communications Conference (IPCCC) (pp. 71-80). IEEE. Rajasekar, S., Philominathan, P., & Chinnathambi, V. (2006). Research methodology. arXiv preprint physics/0601009. Shihab, L. A. (2020). Technological Tools for Data Security in the Treatment of Data Reliability in Big Data Environments. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 11(9), 11A9M, 1-13. Suryateja, P. S. (2018). Threats and vulnerabilities of cloud computing: A review. International Journal of Computer Sciences and Engineering, 6(3), 297-302. Talia, D. (2019). A view of programming scalable data analysis: from clouds to exascale. Journal of Cloud Computing, 8(1), 4. Tchernykh, A., Schwiegelsohn, U., Talbi, E. G., & Babenko, M. (2019). Towards understanding uncertainty in cloud computing with risks of confidentiality, integrity, and availability. Journal of Computational Science, 36, 100581. Saleh M. Alqahtan is a Lecturer at the Department of Information technology at Saudi Electronic University, Saudi Arabia. His research interests lie in the area of Data Science, e-Commerce, and Cybersecurity.

Hamza Arishi is a Lecturer at the Department of Information technology at Saudi Electronic University, Saudi Arabia. He received a Masterâ€™s degree from Gannon University. His research interests span both Data Mining and Machine Learning. Much of his work has been on improving the Understanding, Design, and performance of Sentiment Analysis and Machine Learning, mainly through the Application of Data Mining, Statistics, and Performance Evaluation.

Saleh M. Alqahtani, Hamza Arishi

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

PAPER ID: 11A16G

SIMULATION AND ANALYSIS OF THE ENERGY CONSUMPTION PATTERN OF AN INSTITUTIONAL BUILDING AS PER ECBC USING EQUEST 1

Manisha Yadav and Anil K. Berwal 1

Centre of Excellence for Energy and Environment Studies, Deenbandhu Chhotu Ram University of Science and Technology, Murthal, Sonipat, Haryana, INDIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 10 July 2020 Received in revised form 09 September 2020 Accepted 14 September 2020 Available online 25 September 2020

Energy Conservation Building Code (ECBC) 2017 helps in achieving energy efficiency in the building sector through their compliance approaches. Bureau of Energy Efficiency (BEE) emphasises all the state government to make it mandatory for all the commercial buildings which are having a connected load of 100kW or greater or a contract demand of 120kW or greater. The study examines the Keywords: energy-saving potential of a base case building using eQUEST Energy conservation; simulation models of an institutional building as per ECBC 2017. The Energy consumption; Building Code; eQUEST; results indicate that energy consumption can be reduced up to 33% as Energy-efficient compared to the base case model by applying simple energy-efficient materials; EPI ratio. features. The calibrated model is used to find out the payback period by replacing lights and fans with a more efficient one. Thus, it helps in attaining the ECBC benchmark with minimum expenditure that further helps in increasing the future energy-saving potential of energy-efficient buildings. Disciplinary: Sustainable Energy and Management, Energy Efficient Building, Green and Sustainable Building. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Buildings account for 30-40% of total energy use as well as 30% of CO2 emission all over the world (Ma et.al., 2012). The emerging economy and increasing population in the world from the last two decades, considerably increase energy use (Chaturvedi et.al., 2014). Urbanization in India increases at a rate of nearly 30% (significantly less than developed countries) which also increases electricity consumption to eightfold from 2005-2050 (van Ruijven et.al., 2011). There is a huge gap between the demand and electricity supply in terms of energy consumption and power generation and from the past few decades, this gap is increasing day by day. Worldwide all the governments and international organizations try to meet out this huge demand for energy in the *Corresponding author (Anil K. Berwal). Tel: +91-13024084037. E-mail: anilberwal@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16G http://TUENGR.COM/V11B/11A16G.pdf DOI: 10.14456/ITJEMAST.2020.316

building sector for sustainability. It is estimated that on average a commercial building consumes around 60% of the total electricity for lighting, 32% for space conditioning, and 8% for refrigeration. Although the end-use consumption may vary according to the space cooling requirement, a fully air-conditioned office building consumed about 60% of the total electricity in air conditioning followed by 20% for lighting (IEA, 2011). Building material and building designing play a very significant role in energy consumption. In general energy demand is directly related to the development implies that building efficiency has become more significant in developing countries. To maintain the consistency in building sector a high degree of regulation is required. Regulatory standards mandated by the government provide a pathway to improve energy efficiency for both building construction material and a variety of electrical appliances. Applying energy conservation measures not only save precious energy but also give financial benefits to the buildings in the coming years. Application of codes is important for newly constructed buildings because it is much convenient and cheaper, also gives long-term benefits to the owner and occupants of building as compared to retrofitting of existing buildings (IEA, 2011). Energy-efficient measures effectively reduce electricity consumption and CO2 emissions by approximately 40% (Radhi, 2009). A lot of work has been done to reduce energy consumption in buildings by adopting various energy-efficient features (Florides et.al., 2000; Pacheco, 2012; Gratia, 2007; Li, 2008; Castleton, 2010). Researchers use various simulating software to analyze the energy performance of the buildings such as eQUEST, Open Studio, Design Builder, IES-VE, Simergy, EnergyPlus, etc. (Yu and Chow, 2007; Kawamoto, Shimoda and Mizuno 2004; Tavares and Martin, 2007; Kim et al., 2012). Bureau of Energy Efficiency (BEE) has approved list of software of the ECBC 2017 user guide to show compliance for whole-building analysis and daylighting. This study used the eQUEST 3.65 version to analyze building performance. eQUEST has been widely used by researchers to find out the impact of various building parameters, such as building envelope shielding, external wall thermal emission external wall thermal insulation, window/wall ratio, and glass type on air conditioner energy consumption in residential buildings. The results show that improvements in envelope shielding and external wall insulation could significantly reduce the cooling load with an energy-savings rate of 11.31% and 11.55%, respectively (Yu et al., 2008). The same software has been used to study the effect of the position and thickness of building facade insulation on the total energy consumption (Yu et al., 2008). By applying combined optimization features for insulation on faรงade, window/wall ratio, efficient glazing and shading devices, a decrease of up to 25.92% was achieved in the total heating and cooling requirement. Other simulation studies have also been performed in Saudi Arabia (Iqbal et.al., 2006.) and sub-tropical Australia (Rahman et al., 2010) with geographical conditions similar to India. These studies used a base case building to calibrate their models before simulating the potential savings from different energy conservative measures. A researcher has compared the performance of a conventional building to an ECBC compliance building in India (Manu et. al., 2011). The conventional energy auditing process of eQUEST has been used to evaluate the energy-saving potential of three energy retrofit measures. The results show that despite a significant reduction in energy consumption, the energy retrofit measures can also help in achieving a star rating. A similar model has also been used to analyze the energy performance of high-rise buildings (Zhu, 2006; Pan et al., 2007).

1.1 ECBC COMPLIANCE STRATEGY The energy efficiency means the extent to which the energy consumption per square meter of the

Manisha Yadav, Anil K. Berwal

floor area of the building measures up to established energy consumption benchmarks for that particular type of building under defined climatic conditions. Building conservation codes and standards were established by the government for various aspects of the building like its structure, electricity, safety, water conservation, etc. by setting minimum criteria so that the building would become more habitable and safe. BEE in May 2007 with support from the United States Agency for International Development (USAID) launched ECBC 2007 as part of clean energy projects in different states along with the energy efficiency targets. ECBC sets and regulates the minimum energy performance standards from energy-efficient designing to construction of buildings (building envelope, mechanical systems and equipment including heating, ventilating, and air conditioning (HVAC) system, interior and exterior lighting systems, service hot water systems, electrical power, and motors) in terms of energy consumption per m² of area. ECBC-compliant buildings deliver 20-25% of energy-savings in different climates when compared with typical buildings (beeindia.gov.in). In 2017, ECBC 2017, a revised and modified version of ECBC 2007, incorporates advanced technology. It is applicable to the buildings having a connected load of 100kW or greater or a contract demand of 120kW or greater. There are three levels of energy performance standards in the revised code according to the ascending order of efficiency i.e. ECBC, ECBC Plus, and Super ECBC. ECBC (requires 25% less energy than typical building); ECBC+ (requires 35% less energy than typical building); Super ECBC (requires 50% less energy than typical building). Adherence to the minimum energy standard is required to comply with the code while the other two efficiency levels are voluntary in nature and beyond the minimum requirements. The economic performance of ECBC 2017-compliant building varies depending on the type, operational pattern (daytime use or 24h), and location (climate zone) of the building. It also provides climate zone data for major Indian cities. ECBC 2017 prescribes a minimum requirement benchmark for various building structures e.g. for opaque components (wall and roof), fenestration systems (window, skylight), shading, and daylighting (beeindia.gov.in). The present study performs the energy analysis of an institutional building in the composite climate through the whole-building approach of ECBC using eQUEST software. It is a very simple, highly efficient software that can perform simulation within a few minutes. After the simulation, the base case building was compared with the standard case as per ECBC 2017. Then a proposed case-building model was built after applying some energy-efficient features. The goal of the study is to establish the relative importance of energy-efficient materials in the existing building so that the building can achieve the ECBC benchmark.

2 BASELINE BUILDING MODELING 2.1 BUILDING DESCRIPTION Along the national highway no. 1 near New Delhi, MV block of D.C.R.U.S.T, Murthal, Sonipat is chosen for further analysis that is an institutional, non-air-conditioned building situated in composite climate. The building information is mentioned in Table1. It is a square-shaped three-story building comprising of lecture halls, faculty rooms, conference halls, and labs. The building's main entrance is from the east direction with a courtyard planning. The front elevation of the building i.e. east façade is made up of single laminated glazing which allows natural and morning glare inside the *Corresponding author (Anil K. Berwal). Tel: +91-13024084037. E-mail: anilberwal@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16G http://TUENGR.COM/V11B/11A16G.pdf DOI: 10.14456/ITJEMAST.2020.316

building. But this also accounts for high heat gain in summers inside the building. The faculty rooms are mostly present in the outer east direction and inside the south and north direction along with the courtyard. Studentâ€™s lecture halls and labs are facing the south, north, and west directions. Daylighting is very prominent in south-facing lecture halls that benefit the students a lot. The windows are covered with shading devices that block the direct sunlight in summers and allow the direct sunlight in winters to enter inside the room when the sun angle is down. Toilets are present in the west direction. Table 1: Building Information. Building Name Building type Floors Location Climatic Zone Total covered area (FAR) Occupancy type Working days

M V Block Institutional building (unconditioned) G+3 D.C.R.U.S.T, Murthal, Sonipat Composite 13048.96 sq.ft 8 hours 5 days (Monday-Friday)

2.2 BUILDING BASELINE ENERGY MODELLING Collective energy consumption data are available on whole-building energy use but there is a lack of detailed breakdown of energy consumption by sub-systems. To recognize the most energy consumption components of the building, the most appropriate way is to develop an energy simulation model to predict the energy performance of the building and the energy conservation potential as per ECBC 2017. A model of the building is created in eQuest, with reference to the steps for calibrated simulation mentioned in ASHARE Guideline 14-2002 (ASHARE, 2002). As a fast and reliable energy simulation tool and the latest version of DOE-2, eQuest has been broadly used in evaluating the energy performance of base case building and predicting the energy-saving potential by simulating the standard case. 2.2.1 3D BUILDING MODEL A detailed geometric model of the buildings is developed to ensure the reliability of the simulation from the actual building plans and architectural drawings. The three-dimensional (3D) building model is shown in Figure 1.

Figure 1: 3D Building model. 2.2.2 BUILDING INPUT VARIABLES Building construction details i.e. the wall and roof construction material with their U value are given in Table 5. As the building is not equipped with any energy-efficient materials, so it uses all the commonly available building material and construction techniques. But, a cavity wall is given in wall

Manisha Yadav, Anil K. Berwal

construction details. Internal loads mainly consisting of occupancy schedule, cooling load, lighting loads, and equipment load are calculated manually for each room. As the building is in a composite climate and not using any space heating equipment the gas consumption is excluded from the model. Also, the building working schedule is from 9 am to 5 a.m., external lightning is also excluded from the model. Building energy-intensive lighting consists of 28W T5 tube-lights. Additional equipment load which is taken similar for all the three cases mainly comprises of computers, printers, projectors, lab equipment, lift and water dispenser. Only a few faculty rooms and labs are equipped with ac system, that load is calculated manually and taken collectively as 69 ton.

3 EQUEST SIMULATION DETAILS The simulation considers the base case i.e. as-built case, the standard case as per ECBC, and the proposed case as per criteria followed by the researcher. Whole Building Performance (WBP) method is used for simulation, that the expected annual energy use of the proposed case must be less than that of the standard case, even though it may not comply with the specific provisions of the prescriptive requirements ECBC 2017. Table 2 gives the input specifications for all three cases. Table 2: Building Input specification. Opaque Assembly Ext. Wall assembly

Baseline case Cement Plaster (25mm.) + Ordinary Brick (100 mm.) + Air Cavity (400 mm.) + Ordinary Brick (100mm.)

Standard case Brick wall (230 mm) + Air space resistance+ Brick(230mm) + cement mortar (25mm)

U Value W/m²K Roof Assembly

1.25 100 mm cement plaster + 200 mm RCC slab + 100 mm brick coba 1.42 Single clear glass 4.2 0.90 0.94 0.248 0.605 69 ton

0.41 Common brick (230 mm.)+ concrete (75mm) + Plaster 20mm 0.33

U-value (W/m²K) Glazing U-value(W/m²K) VLT SHGC LPD (W/Sqft) EPD (W/Sqft) AC load

11.2 W/m2 or 1.040w/ft2 0.452 69 ton

Proposed case Cement Plaster (25mm.) + Ordinary Brick (230 mm.) + Air Cavity (400 mm.) + Ordinary Brick (115mm.) + Extruded Polystyrene XPS insulation (75mm.) + Clay tile (50mm) 0.22 Common brick (230 mm.)+concrete (75mm)+Plaster 20mm+ polyurethane, expanded (12mm) 0.19 Low-e glass 2.21 28% 0.28 0.16 0.352 69 ton

3.1 BASE CASE BUILDING MODEL In this study, the base case building is the MV Block, DCRUST, Murthal, Sonipat that does not comply with all mandatory requirements of ECBC 2017. The building is east facing and is made of commonly used construction materials with clear glass windows. Building input specifications with their U value are given in Table 2. Light power density (LPD) and electric power density (EPD) are calculated as per the lightning device and appliances used in each room respectively as shown in Table 3. For lighting, T5 fluorescent tube-lights and simple ceiling fans are used. Additional equipment load of appliances is taken as 0.072 W/ft2 for each room. Table 3: LPD and EPD of base case. LED EPD

7 T5 tubelights (28 W each)= 28 X 7 = 196 watt Area of room = 787.5 sqft = 196/787.5 = 0.248 6 (70 watt each) = 70 X 6 = 420 watt = 420/787.5 = 0.533 W/Sqft , Additional equipment load = 0.072 W/Sqft, Total EPD = 0.072+ 0.533 = 0.605W/Sqft

*Corresponding author (Anil K. Berwal). Tel: +91-13024084037. E-mail: anilberwal@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16G http://TUENGR.COM/V11B/11A16G.pdf DOI: 10.14456/ITJEMAST.2020.316

3.2 STANDARD CASE BUILDING MODEL (AS PER ECBC 2017) Standard Building as per ECBC 2017 is a standardized building that has the same building floor area, gross wall area and gross roof area as the proposed building that complies with the mandatory requirements of clause 4.2, 5.2, 6.2 and 7.2 and minimally complies with prescriptive requirements of clause 4.3, 5.3 and 6.3 of ECBC 2017. After simulation of the base case now a standard case is designed to generate a benchmark to judge the existing base case and proposed case. The U value and other parameters as per ECBC 2017 are given in Table 2. LPD used in this case is as per standard of ECBC 2017 and EDP has been calculated by replacing 70W fans with energy-efficient 50W fans, see Table 4. Additional equipment load is the same as it was in the base case. Table 4: LPD and EPD of standard case LED EPD

As per ECBC 2017, Building Area Method: (University and Schoolâ€“ 11.2W/m2 or 1.040w/ft2 6 (50 watt each) = 50 X 6 = 300 watt = 300/787.5 = 0.380 W/Sqft, Additional equipment load = 0.072 W/Sqft, Total EPD = 0.452 W/Sqft

3.3 PROPOSED CASE MODEL The proposed building is consistent with the actual design of the building and complies with additional Energy Efficiency Measures (EEM) like insulation on wall and roof, low-e glass in glazing, and energy-efficient lights and fans that can be implemented in the existing building. These features decrease the U value and provide thermal comfort to the occupants. LPD and EDP can be further decreased by using highly efficient lights and fans respectively as shown in table 5. For, e.g. T5 28W tube-light is replaced with 18 W LED light and 70W fan is further replaced by 32W energy-efficient fan. Table 5: LPD and EPD of the proposed case T5 Tube lights, 18 watt each, 18 X 7 = 126 watt, LED EPD

Area of each room = 787.5 sqft, = 126/787.5 = 0.16 W/Sqft 6 Fans, 32 watt each, 32 X 6 = 192 watt, Area of each room = 787.5 sqft, = 192/787.5 = 0.243 W/Sqft, Additional equipment load = 0.072 W/Sqft, Total EPD = 0.315 W/Sqft

4 RESULT AND DISCUSSION The whole building energy simulation approach has been adopted to analyze building energy simulation. The study proves the efficiency and significance of efficient materials and appliances in ECBC with their payback period. The results are analyzed based on the electric energy consumption pattern of the three cases for the whole year. EPI ratio as prescribed by ECBC is one of the important criteria to understand the ECBC compliance approach. Also, the efficiency of various types of lights and fans has been characterized. Later, their LPD and EPD have been compared with energy consumption through simulation.

4.1 ENERGY CONSUMPTION PATTERN The proposed case is developed by only changing the building envelope details (i.e. insulation on wall and roof), the use of low-e glass, and the use of energy-efficient lights and fans. Other parameters like cooling load and additional equipment load remain the same in all the three cases. Energy consumption pattern of the three models i.e. base case, standard case, and the proposed case

Manisha Yadav, Anil K. Berwal

that has been evaluated through simulation for the whole year as given below in Table 6.

4.2 EPI RATIO The other criteria of comparison among the three cases are the EPI and the EPI ratio. The EPI of a building is the energy consumption of the building divided by its total built-up area and the EPI ratio is calculated by the EPI of the Proposed Building to the EPI of the Standard building. EPI for Base case = 390180/ 13048.96 = 29.90 EPI for Standard Case = 563510/ 13048.96 = 43.18 EPI for Proposed Case = 258810/ 13048.96 = 19.83 EPI ratio for proposed case = Proposed case EPI / Standard case EPI = 19.83/43.18 = 0.45 Thus the proposed project will be super ECBC (as per ECBC shown in Table 6). Table 6: Comparative analysis between the three cases Case Energy consumption (kWh*1000) LPD (W/Sq. ft.) EPD (W/Sq. ft.)

Base Case 390.18

Standard Case 563.51

Proposed Case 258.81

0.248 0.605

1.040 0.452

0.160 0.315

4.3 EFFECT OF LPD ON ELECTRICITY CONSUMPTION The energy consumption by lighting systems accounts for a large proportion of building energy consumption. Different types of lights are used to find the most efficient lighting system by calculating its payback period and the results show that LPD will directly affect energy consumption. Based on the simulation result, captured the relationship between the annual energy consumption and lighting power density of the various lighting system is shown in Figure 2. The analysis of energy consumption per year by the different types of lights is mentioned in Table 7.

Electricity Consumtion (KWH)

500000 432740

400000

452390

390180 300000

347320

200000 100000 0

Electricity Consumption (KWH) Light Power Density (W/mÂ˛)

0.11

0.25

0.40

0.46

LED

Base case

fluorescent tube

CFL

347320

390180

432740

452390

0.11

0.25

0.40

0.46

Figure 2: Relationship between LPD & Electricity consumption

*Corresponding author (Anil K. Berwal). Tel: +91-13024084037. E-mail: anilberwal@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16G http://TUENGR.COM/V11B/11A16G.pdf DOI: 10.14456/ITJEMAST.2020.316

As per the results, if T5 tube-lights are replaced by LED lights, the demand for the energy reduces to 13.14 kW and the energy consumption reduces to 25,680 kWh/year. By considering the cost of one unit as ₹10 per kWh, one can save ₹256,800 per year with a payback period of 0.6 years. Table 7: Effect on demand and energy consumption by changing replacing system Lamp type

T5 tubelight CFL LED Fluorescent tubelight

Power per lamp (W) 28 18 18 40

No. of lamp

868 1860 620 992

Operational schedule (no. of hours per year) 1952 1952 1952 1952

Demand (No. of lamp * power per lamp/1000) (kW) 24.30 33.48 11.16 39.68

Energy (Demand*operational hour) (kWh/year) 44,434 65,353 21,754 77,455

4.4 EFFECT OF EPD ON ELECTRICITY CONSUMPTION The study finds the relationship between the EPD and electric energy consumption of the building by only changing the efficiency of fans, rest all loads remain the same. Figure 3 shows the relationship and Table 8 depicts the demand and energy analysis by merely changing the fans of the building.

Electricity Consumtion (KWH)

500000 400000 300000

285370

291960

334890

390180

200000 100000 0

Electricity Consumption (KWH) Equipment Power Density (W/m²)

0.29

0.31

0.44 Orient (BEE 5 star)

0.60 Base case

Atombe rg

Orient Ecotech

285370

291960

334890

390180

0.29

0.31

0.44

0.60

Figure 3: Relationship between EPD & electricity consumption. Table 8: Effect on demand and energy consumption by replacing fans Fan type

Usha fans 5star orient fan Orient ecotech Atomberg Renesa

Power per fan (W) 70 48 32 28

No. of fan 720 720 720 720

Operational schedule (no. of hours per year) 1952 1952 1952 1952

Demand (No. of fan * power per lamp/1000) (kW) 50.4 34.56 23.04 20.16

Energy (Demand*operational hour) (kWh/year) 98381 67461 44974 39352

As per the result, if Usha fans are replaced by Atomberg Renesa 28W fans, the demand for the energy reduces to 30.24 kW per fan and the energy consumption reduces to 59,029 kWh/year. By considering the cost of one unit as ₹10 rupees per kWh, one can save ₹5,90,290 per year with a payback period of 4.45 years.

5 CONCLUSION Energy simulation of the base case and its comparison with ECBC benchmark shows that by

Manisha Yadav, Anil K. Berwal

applying easy retrofit solutions a building can achieve a significant reduction in energy consumption and resource demand and hence easily achieve ECBC rating. Since the old existing buildings like the base case building consumes a lot of energy due to lack of energy-efficient features and need renovation after some time. We utilized the control variables method to analyze the influence of insulation, efficient glazing, LPD, and EPD on building energy consumption. Simulation program, eQUEST is used for the analysis. From this study, the simulation results show that the energy consumption in the base case model is low as compared to the standard case due to the very high-energy requirement for lighting in the standard case. Use of insulation in the wall and roof of the proposed case and low-e glazing helps in decreasing the space energy demand of the proposed case. Also, thermal lag is high in the proposed case so ventilation fan demand is also less. Results clearly show that the energy demand in the standard case is higher than the other cases due to less efficient standard for lighting i.e. 305230KWh. An energy reduction of 33% is achieved by implementing minimum ECBC standards; hence there is a scope for further improvement of an existing building retrofit. Lights and fans' efficiency has a direct impact on building energy consumption, and the influence is bigger by estimating its payback period. The payback period for replacing lights is 0.6 years and the payback period for replacing efficient fans is 4.45 years. These strategies can be easily applicable to old government schools and college buildings that need retrofitting due to occupant discomfort. Although various works have been done so far in the current building energy design and saving process but still varies according to the design and orientation of the existing buildings that need continuous research. This paper just aims to keep lower the retrofitting area with minimal expenditure.

6 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

7 REFERENCES ASHRAE. (2002). Guideline 14-2002, Measurement of energy and demand savings. American Society of Heating, Ventilating, and Air Conditioning Engineers, Atlanta, Georgia. Castleton, H. F., V. Stovin, S. B. Beck, and J. B. Davison. (2010). Green roofs; building energy-savings and the potential for retrofit. Energy and buildings, 42(10), 1582-1591. Chaturvedi, V., J. Eom, L. E. Clarke, and P. R. Shukla. (2014). The long term building energy demand for India: Disaggregating end-use energy services in an integrated assessment modeling framework. Energy Policy, 64, 226-242. Florides, G. A., S. A. Kalogirou, S. A. Tassou, and L. C. Wrobel. (2000). Modeling of the modern houses of Cyprus and energy consumption analysis. Energy, 25(10), 915-937. Gratia, E. and A. De Herde. (2007). The most efficient position of shading devices in a double-skin facade. Energy and Buildings, 39(3), 364-373. http://beeindia.gov.in/content/buildings IEA. (2011). The energy in Buildings and Communities Programme. International Energy Agency's Energy in Buildings and Communities Programme: http://www.ecbcs.org Retrieved Jan 2020. Iqbal, I., and M. S. Al-Homoud. (2007). Parametric analysis of alternative energy conservation measures in an office building in hot and humid climate. Building and environment, 42(5), 2166-2177. *Corresponding author (Anil K. Berwal). Tel: +91-13024084037. E-mail: anilberwal@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16G http://TUENGR.COM/V11B/11A16G.pdf DOI: 10.14456/ITJEMAST.2020.316

Kawamoto, K., Y. Shimoda, and M. Mizuno. (2004). Energy-saving potential of office equipment power management. Energy and Buildings, 36(9), 915-923. Kim, G., H. S. Lim, T. S. Lim, L. Schaefer, and J. T. Kim. (2012). The comparative advantage of an exterior shading device in thermal performance for residential buildings. Energy and buildings, 46, 105-111. Li, D. H., T. N. Lam, S. L. Wong, and E. K. Tsang. (2008). Lighting and cooling energy consumption in an open-plan office using solar film coating. Energy, 33(8), 1288-1297. Ma, Z., P. Cooper, D. Daly, and L. Ledo. (2012). Existing building retrofits: Methodology and state-of-the-art. Energy and buildings, 55, 889-902. Manu, S., J. Wong, R. Rawal, P. C. Thomas, S. Kumar, and A. Deshmukh. (2011). An initial parametric evaluation of the impact of the energy conservation building code of India on the commercial building sector. Proceedings of BS2011, International Building Performance Simulation Association, Sydney, Australia Pacheco, R., J. Ordóñez and G. Martínez. (2012). Energy-efficient design of building: A review. Renewable and Sustainable Energy Reviews, 16(6), 3559-3573. Pan, Y., Huang, Z., & Wu, G. (2007). Calibrated building energy simulation and its application in a high-rise commercial building in Shanghai. Energy and Buildings, 39(6), 651-657. Radhi, H. (2009). Can envelop codes reduce electricity and CO2 emissions in different types of buildings in the hot climate of Bahrain? Energy, 34(2), 205-215. Rahman, M. M., M. G. Rasul, and M. M. K. Khan. (2010). Energy conservation measures in an institutional building in sub-tropical climate in Australia. Applied Energy, 87(10), 2994-3004. Tavares, P. F. D. A. F., and AMOG Martins. (2007). Energy-efficient building design using sensitivity analysis - A case study. Energy and Buildings, 39(1), 23-31. van Ruijven, B. J., D. P. van Vuuren, B. J. M. De Vries, M. Isaac, J. P. van der Sluijs, P. L. Lucas, and P. Balachandra. (2011). Model projections for household energy use in India. Energy Policy, 39(12), 7747-7761. Yu, J., Yang, C., and L. Tian. (2008). Low-energy envelope design of residential building in hot summer and cold winter zone in China. Energy and Buildings, 40(8), 1536-1546. Yu, P. C., and W. K. Chow. (2007). A discussion on potentials of saving energy use for commercial buildings in Hong Kong. Energy, 32(2), 83-94. Zhu, Y. (2006). Applying computer-based simulation to energy auditing: A case study. Energy and buildings, 38(5), 421-428. Manisha Yadav is a PhD student at Centre of Excellence for Energy and Environmental Studies at Deenbandhu Chhotu Ram University of Science & Technology, Murthal. She received her M.Tech. Eng. degree from the same Deptt. with Honors. Her research interests involve energy-efficient retrofitting of existing buildings.

Professor Dr. Anil K Berwal is Head of the Centre of Excellence for Energy and Environmental Studies at Deenbandhu Chhotu Ram University of Science & Technology, Murthal. He got a doctorate in Thermal Engineering. His areas of interest include Internal Combustion Engine, Thermal Engineering, Waste Heat, Bio-fuel, and Solar Thermal Systems, Energy-Efficient Retrofitting of Existing Buildings.

Manisha Yadav, Anil K. Berwal

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

PAPER ID: 11A16H

OPTIMAL SIZING OF ISOLATED HYBRID PV/WT/FC SYSTEM USING MANTA RAY FORAGING OPTIMIZATION ALGORITHM 1

Hamdy M. Sultan , Ahmed S. Menesy , Salah Kamel , Ali S. Alghamdi

, Mohamed Zohdy

Department of Electrical Engineering, Minia University, Minia, EGYPT Department of Electrical Engineering, Aswan University, Aswan 81542, EGYPT 3 Department of Electrical Engineering, College of Engineering, Majmaah University, Almajmaah 11952, SAUDI ARABIA. 4 Electrical and Computer Engineering Department, School of Engineering and Computer Science, Oakland University, Rochester, Rochester, MI 48309, USA. 2

ARTICLEINFO

A B S T RA C T

Article history: Received 22 June 2020 Received in revised form 08 September 2020 Accepted 19 September 2020 Available online 24 September 2020

This work seeks to optimize the size components of a proposed stand-alone photovoltaic (PV)/ wind turbine (WT)/ fuel cell (FC) hybrid renewable generating system. A new efficient optimization algorithm called Manta-Ray Foraging Optimization (MRFO) is adapted to design the size components of the hybrid system under multi-objective functions, minimizing the cost of energy (COE) and minimizing the loss Keywords: Hybrid energy generating of power supply probability (LPSP). The real case study is applied in Ataka city, located on the Suez Gulf (latitude 30.0, longitude 32.5) of system; Photovoltaic; Egypt. To ensure the high performance and stability of the developed Wind turbine; MRFO; Statistical analysis; algorithm, this study testes three different system configurations (PV + Optimal energy system; WT + FC, WT + FC, and PV + FC). Furthermore, statistical measures COE; LPSP. for the different configurations have been presented to affirm the robustness and reliability of the developed MRFO technique. The simulation results proved the high capability of the MRFO in solving the studied optimization problem with fast convergence and reliable results, to supply loads with the minimum COE. Disciplinary: Electrical Engineering (Electric Power Management), Sustainable Energy (Solar Energy, Wind Energy). ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Renewable resources of the electrical energy like solar PV, wind turbine, and fuel cell have an effective role in improving the diversity process in power supply markets, ensuring continuous feeding of energy in the long run as well as decreasing the atmospheric emissions (Farghally et al., *Corresponding author (Ali S. Alghamdi). Tel: +966 16 404-2568. Email: aalghamdi@mu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16H http://TUENGR.COM/V11B/11A16H.pdf DOI: 10.14456/ITJEMAST.2020.317

2014, Kamankesh et al., 2016). Generally, the PV and wind turbines are widely utilized for supplying the residential, industrial, commercial consumers with electrical energy in the rural and remote areas (Baghaee et al., 2016). The continuous fluctuations of these renewable sources along its operating time lead to the problems of grid stability and reliability. Therefore, the hybrid system is proposed to solve these problems (Wu et al., 2015, Diab et al., 2019). Different strategies of electrical energy storage systems such as FCs, batteries, super-capacitors, and hydroelectric pumped storage (HPS) are suggested to solve the continuous fluctuations problem of PV and WT systems (Bernal-AgustĂn and Dufo-Lopez, 2009). In recent years, several optimization algorithms are used for optimizing the size components of different configurations of hybrid generating systems, namely, particle swarm optimization (PSO) (Abedi et al., 2011), Hybrid Particle Swarm-Gravitational Search Algorithm (PSOGSA), Moth-Flame Optimizer (MFO), Whale Optimization Algorithm (WOA), Water Cycle Algorithm (WCA) (Diab et al., 2019), Genetic Algorithm (GA) (Ashari et al., 2010), Multi-Objective Evolutionary Algorithm (MOEA) and GA (Dufo-Lopez and Bernal-AgustĂn, 2008), and Multi-Objective Particle Swarm Optimization Algorithm (MOPSO) (Baghaee et al., 2016). This research paper introduces and applies a novel metaheuristic optimization algorithm called MRFO for optimizing the size components of isolated PV/ WT/ FC hybrid power systems. MRFO is inspired by the behavior of fancy creatures called Manta rays, which survive on eating the small organisms (plankton) in water without the need for teeth. Manta rays follow three different intelligent foraging strategies to find abundant plankton, namely, Chain foraging, Cyclone foraging, and Somersault foraging. The main target of this work is to optimally design the hybrid system components with minimum COE, minimum LPSP, and fewer fluctuations level in power exchange with the national grid. Moreover, several metrics of statistical analysis has been performed to confirm the viability and stability of the developed optimization algorithm in solving the studied problem. As well, the developed MRFO algorithm is tested on two additional configurations of the proposed system to check its reliability and efficiency.

2 HYBRID SYSTEM MODELLING The description of the proposed isolated hybrid generating system including PV, WT, and FC is provided in the schematic diagram shown in Figure 1.

Figure 1: Schematic diagram of the studied isolated system.

Hamdy M. Sultan, Ahmed S. Menesy, Salah Kamel, Ali S. Alghamdi, Mohamed Zohdy

2.1 PV SYSTEM MODELLING For a PV power plant including NPV modules at a certain temperature TC and solar radiation G, the generated power is calculated from (Sultan et al., 2018), PPV (t) N PV PPV _ rated Îˇ PV =

G (t ) 1000

(1 âˆ’ Î˛T (TC (t ) âˆ’ 25))

(1),

where PPV_rated presents the nominal generated power of the photovoltaic array working under standard atmospheric conditions (G = 1000 W/m2 and TC = 25Â°C), and đ?œ‚đ?œ‚đ?‘ƒđ?‘ƒđ?‘ƒđ?‘ƒ is the output efficiency of the PV generating system including the efficiencies of the wiring system, maximum power point tracker, and inverter.

2.2 WIND ENERGY SYSTEM MODELLING For a certain wind farm consist of a certain number of wind turbines, N WT , operating under a wind speed v, the electrical power produced from the WT farm is controlled by the wind speed limits of the WT, i.e. the rated wind speed (vrated), the cut-in speed (vcut-in) from which the WT starts generating electric power, and the speed at which the turbine is stopped for preventing the mechanical damage (v cut-off). Equation (2) provides the mathematical expression of the power generated from the wind farm (Sultan et al., 2018), ďŁą0 ďŁ´ 2 2 ďŁ´ďŁ´ NWT ÎˇWT PWT _ rated (v (t ) âˆ’ vcut âˆ’in ) 2 2 PWT (t ) = ďŁ˛ ( vrated âˆ’ vcut âˆ’in ) ďŁ´N Îˇ P ďŁ´ WT WT WT _ rated ďŁ´ďŁł0

v (t ) < vcut âˆ’in vcut âˆ’in < v (t ) < vrated vrated < v (t ) < vcut âˆ’ off v (t ) > vcut âˆ’ off

(2),

where PWT_rated denotes the rated electrical power of the WT when operating under the rated speed, ÎˇWT is the WT efficiency. In this study, 7.5 Kw/ 48 V DC WT has been used (Khan and Iqbal, 2005). The WT specifications include the cost and efficiency of other components such as the converter and the control system.

2.3 FUEL CELL/ELECTROLYZER SYSTEM MODELLING During excess produced electrical energy from the renewable PV and WT systems, the electrical power is supplied to the water electrolyzer, where the DC current is used to regenerate the original components of water molecules, i.e. oxygen and hydrogen. The hydrogen around the anode electrode is produced under a low pressure of 1.2 bar. The produced hydrogen is compressed until 30 bar and stored in special tanks (Garcia and Weisser, 2006). In this research study, to reduce the proposed system cost, it is proposed that the hydrogen is stored under low pressure as it is directly delivered to the tanks without the need for compressors. In this study, the water electrolyzer, hydrogen tank, and the fuel cell systems are mathematically modeled based on the power flow through these systems. The model of the electrolyzer utilizes the input power from the renewable sources (Pren-Elect) and power output from the water electrolyzer (PElect-tank) (Khan and Iqbal, 2005; Kaviani et al., 2009), PElect = Pren âˆ’ Elect Ă— Îˇ Elect âˆ’ tan k

(3),

where ÎˇElect denotes the efficiency of the water electrolyzer which is taken constantly during the simulation time. The hydrogen gas tank is modeled based on the electrical energy stored inside it all *Corresponding author (Ali S. Alghamdi). Tel: +966 16 404-2568. Email: aalghamdi@mu.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16H http://TUENGR.COM/V11B/11A16H.pdf DOI: 10.14456/ITJEMAST.2020.317

time t, which is formulated as follow (Kaviani et al., 2009),

ďŁŤ Ptan k âˆ’ FC (t ) ďŁś Etan = t E t âˆ’ + P t âˆ’ ( ) ( 1) ( ) ďŁŹ ďŁˇ Ă— âˆ†t k tan k ďŁŹ Elect âˆ’ tan k Îˇ storage ďŁˇďŁ¸ ďŁ

(4),

where Ptank-FC represents the electrical power produced from the tank of hydrogen and supplied to the FC, and Îˇstorage denotes the electrical hydrogen storage system efficiency which is taken as 95% (El-Sharkh et al., 2006). The time interval Î”t is taken as one hour. The hydrogen mass (Mtank) stored in the hydrogen tank is taken as a representation of the energy stored in the tank as a function of the higher heating value of the hydrogen gas (HHVH2) which equal 39.7kWh/m2 (Kaviani et al., 2009; Strunz and Brock, 2006). E (t ) M tan k (t ) = tan k HHVH 2

(5).

The FC model is depended on the output power supplied to the DC/AC converter, the power transferred from the tank of hydrogen gas to the FC, and the FC efficiency. This model can be expressed as = PFC âˆ’inv Ptan k âˆ’ FC Ă— Îˇ FC

(6),

where đ?œ‚đ?œ‚đ??šđ??šđ??šđ??š denotes the energy conversion efficiency of FC, which is taken as 50% in this study.

2.4 DC/AC CONVERTER MODELLING

For supplying the load with AC current, the DC/AC is the main device that is included in such a renewable hybrid system. Based on the power fed to the load from the renewable sources (Pren-inv) and output power from the FC (PFC-inv) as well as the efficiency of the inverter (Îˇinv) which is taken as 90% (Khan and Iqbal, 2005), Pinv âˆ’ AC = ( PFC âˆ’inv + Pren âˆ’inv ) Ă— Îˇinv

(7)

3 OPERATING STRATEGY The studied isolated hybrid generating system is working according to the following modes: â€˘

when the energy generated from PV and WT systems is greater than the needs of the load, then the extra energy is transferred to the water electrolyzer and the obtained hydrogen gas is stored in special tanks.

â€˘

If the hydrogen gas tank is full and/ or the excess energy is higher than the capacity of the electrolyzer then the electrical power is consumed in a dummy load and this part has to be minimized. Pdummy = (t ) Pren âˆ’inv (t ) Ă— Îˇinv âˆ’ Pload (t )

(8),

â€˘

If the electrical power produced from WT and PV generating systems is less than the consumption of load, then the differences are covered by the FC.

â€˘

If the hydrogen mass inside the hydrogen tank reached the minimum allowable limit and/or the power shortage exceeds the FC rated, then the LPSP will be increased. Hamdy M. Sultan, Ahmed S. Menesy, Salah Kamel, Ali S. Alghamdi, Mohamed Zohdy

4 PROBLEM FORMULATION In this work, the MRFO algorithm has been adopted and developed to optimizing the size components of the studied isolated hybrid renewable generating system and addressing all possible configurations of the system. Obtaining the optimal configuration of the studied system is the goal of this research work so that the COE generated by the studied hybrid generating system is minimized and ensuring high reliability and stability of the power supply. The LPSP is denoted as the reliability index that is supposed to be below the predefined value of 5%. The optimization problem and the MRFO algorithm are introduced in the following subsections.

4.1 THE OBJECTIVE FUNCTION The COE of the generating kWh units supplied by the hybrid generating system can be calculated from this expression (Xu et al., 2013), = COE

NPC

∑

8760 1

× CRF

Pload

(9),

where NPC denotes the net resent system cost i.e. NPC

Ctot _ ann

(10),

CRF

where Ctot_ann denotes the system annual cost. The annual cost of individual components in the presented hybrid generating system is represented as the summation of the capital cost interest, operating and maintenance cost, O&M, and replacement cost of this component. CRF denotes the capital recovery factor of the proposed system. In this work, the rate of interest is selected as 0.06 where the lifetime is selected as 25 years. The specifications of each component in the studied standalone hybrid system are introduced in Table 1 (Khan and Iqbal, 2005). For minimizing the COE of the system, ensuring high reliability of the studied generating system by minimizing the LPSP and minimizing the power consumed in the dummy load (Pdummy), the following objective function has been utilized, f min (g × COE + g 2 × LPSP + g 3 × Dload + g 4 × Dgs ) min= x x 1

(11),

where x denotes the optimization parameters (N PV, NWT, PElect_rated, Mtank, max, PFC_rated), γ1, γ2, and γ3 are obtained through trial and error principle until the optimal results are obtained. In this study, γ1 = 0.5, γ2 = 0.45, and γ3 = 0.05. Table 1: Characteristics of different components in the proposed renewable energy system. Component WT PV module Water electrolyzer Tank of hydrogen FC DC/AC inverter

Capital cost (US$/unit) 19400 7000 2000 1300 3000 800

Cost of replacement (US$/unit) 15000 6000 1500 1200 2500 750

Cost of O&M (US$/ unit-year) 75 20 25 15 175 8

Lifetime (year) 20 20 20 20 5 15

Efficiency percentage 75 95 50 90

Unit 7.5kW 1kW 1kW 1kg 1kW 1kW

*Corresponding author (Ali S. Alghamdi). Tel: +966 16 404-2568. Email: aalghamdi@mu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16H http://TUENGR.COM/V11B/11A16H.pdf DOI: 10.14456/ITJEMAST.2020.317

4.2 MRFO ALGORITHM MRFO is a recent bio-inspired optimization technique, which was inspired by the behavior of fancy creatures called Manta rays, which was firstly developed by Zhao et al. (2020). Manta rays survive on eating the small organisms (plankton) in water without the need for teeth, then using modified gill rakers the prey is filtered from the water. Manta rays are divided into two groups according to the surrounding environment, where they live. Reef manta rays and giant manta rays; the first species reaches 5.5m width and usually found in the Indian Ocean, while the second species reaches 7m width and lives in high temperatures in tropical and high-temperature oceans. Manta rays always eat 5 kg of plankton every day. These unique creatures may travel alone or in groups, but in foraging, they are observed always in groups of up to 50 individuals. Manta rays can find abundant plankton and they have three different intelligent foraging techniques. The first technique is called the chain foraging, where the manta rays act in foraging their prey. In this technique, roughly fifty manta rays formed in a line, one behind the other, and the females carry the small male manta rays on their backs. In this way, the plankton, which escaped from the first one will be caught by the one behind. This technique helps them to improve their foraging by collecting most prey in their gills. When manta rays see the planktons, they swim in their direction. The best position in MRFO is defined as the position of the most concentration on planktons. When a group of manta rays observes a concentration of planktons, they arranged in a line head-to-tail forming a foraging chain. The chain foraging technique is described in Figure 2(a). In this algorithm, except the first individual, others move towards the source of food and at the same time towards the individual in front of it, consequently, the solution for each individual is updated based on the optimal solution so far (most concentration of planktons) and the solution of the front individual.

(a)

(b)

(c) Figure 2: Foraging manta ray: (a) chain foraging, (b) cyclone foraging, (c) somersault foraging (after Zhao et al. (2020)).

Hamdy M. Sultan, Ahmed S. Menesy, Salah Kamel, Ali S. Alghamdi, Mohamed Zohdy

The second technique is the cyclone foraging. Manta rays act this technique in scooping up their prey. When the planktons in the way of the manta rays are in large amounts, a group of manta rays are shared together the head at the end of the tail and surround their prey. During the foraging process, the gathered group forms a spiral around the planktons towards the surface of the water and catches the planktons in their mouths. When a group of manta rays meets a stream of planktons in their way in deep water, they go towards them in a spiral movement. In the cyclone foraging mechanism (Figure 2(b)), manta rays do not only perform a spiral surrounding the concentration of the planktons but also each of them moves towards the one in front of him. The third technique is somersault foraging. Manta rays follow this technique in scooping up planktons. When manta rays in their way in the water meat a stream of planktons, they will perform backward to let prey to swim towards the manta rays. Somersault is a unique, random, cyclical motion that optimizes the chance of catching planktons, Figure 2(c). In this mechanism, manta rays observe the food source as a pivot and each of them swims and somersaults to his new position around that pivot. Manta rays in this technique updated their positions around the most plankton concentration (best position so far). For MRFO algorithm, the reader can refer to Zhao et al. (2020).

5 RESULTS AND DISCUSSIONS The MRFO technique is proposed for addressing the optimization problem of the optimal arrangement of the suggested renewable isolated hybrid system. A case study of the proposed system comprising PV, wind turbine, and fuel cell generating units has been applied in the Ataka region, on the Red Sea shore in Egypt, which is rich in renewable energy resources characterized by a continuous wind flow whole year and high intensity of solar radiation (Figure 3). The annual load demand on intervals of an hour of the region under study presented in Figure 4 is used in this study.

(a) (b) Figure 3: Meteorological parameters at the proposed location; (a) solar radiation, (b) wind speed. The MRFO algorithm is utilized for generating the optimal size components of the three possible configurations of the proposed renewable hybrid generating system. For obtaining the optimal design of the system, in each of the three cases, the optimization program is executed 50 times and the results corresponding to the minimum objective function has been realized. For validating the accuracy and stability of the proposed algorithm itself, statistical measurements have been accomplished. The results of the statistical study based on different metrics for the three configurations are provided in Table 2, the reader can notice the insignificant values of the main, median, and relative error (RE) which ensure the accuracy of the proposed technique. The high values of the efficiency and small *Corresponding author (Ali S. Alghamdi). Tel: +966 16 404-2568. Email: aalghamdi@mu.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16H http://TUENGR.COM/V11B/11A16H.pdf DOI: 10.14456/ITJEMAST.2020.317

values of root mean square error (RMSE), and standard deviation (SD), proved the stability of the MRFO algorithm. The convergence curves of the 50 individual run for the three different configurations are shown in Figure 5. The end values of the objective function over 50 executions for the proposed configurations are presented in the graphical form as shown in Figure 6.

Figure 4: Annual load demand of the site. The objective function convergence curves corresponding to the implement that gives the minimum fitness function value are presented in Figure 7 for the three different configurations. Table 3 provides the optimal values results obtained from the MRFO method. The MRFO successes to generate the optimal size of each subsystem in all cases that result in the minimum cost of energy while ensuring high stability of the studied standalone hybrid generating system. The best optimal results of the complete PV/wind/FC hybrid system (Table 3) are applied and the specific operation of the overall proposed system is visualized. Figure 5 provides the operation for a certain summer day (24-hour simulation). Figure 5(a) presents the load demand, renewable generation, and the resultant difference between them while Figure 5(b) emphasizes the operation of the electrolyzer, FC, and the DC/AC converter. The optimized results of the studied hybrid isolated system in Table 3 are applied to the proposed system model and the operation of the hybrid system on a certain summer day is emphasized in Figure 8. Table 2: Results of the statistical study for the three proposed hybrid systems. Case Best Worst Mean Median RE MAE SD RMSE Eff.

PV + Wind + FC 0.23873 0.23974 0.23886 0.23883 0.01498 0.02635 0.00013 0.00019 99.947

Wind + FC 0.24900 0.25272 0.25024 0.24975 0.11377 0.24905 0.00124 0.00168 99.506

PV + FC 0.31713 0.31743 0.31728 0.31727 0.00722 0.02366 0.00015 0.00017 99.953

Table 3: Simulation results of the designed system. Case Best objective function PV (units) Wind (units) Best solution Electrolyzer (kW) Hydrogen tank (kg) Fuel cell (kW) Iteration number for the best solution COE NPC LPSP P_dummy

PV + wind + FC 0.239 268.028 66.430 710.021 103.405 200.010 93 0.429 10367628.181 0.028 430297.483

Wind + FC 0.249 218.109 886.843 158.905 300.601 61 0.656 15839687.400 0.050 746938.217

Hamdy M. Sultan, Ahmed S. Menesy, Salah Kamel, Ali S. Alghamdi, Mohamed Zohdy

PV + FC 0.317 600.832 702.422 165.103 300.033 46 0.519 12541058.453 0.063 1093893.797

(a)

(b)

(a)

(b)

(c) Figure 6: End values of the objective function over the 50 runs: (a) PV/wind/FC system, (b) Wind/FC system, (c) PV/FC system. *Corresponding author (Ali S. Alghamdi). Tel: +966 16 404-2568. Email: aalghamdi@mu.edu.sa Â©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16H http://TUENGR.COM/V11B/11A16H.pdf DOI: 10.14456/ITJEMAST.2020.317

(a)

(b)

(a) (b) Figure 8: 24-hour operation of the proposed PV/wind/FC hybrid system.

Hamdy M. Sultan, Ahmed S. Menesy, Salah Kamel, Ali S. Alghamdi, Mohamed Zohdy

6 CONCLUSION The main objective of the optimal design of a hybrid energy system is to feed consumers with electrical energy with high reliability with minimum energy cost. In this research work, the lifespan of the suggested hybrid power system is 25 years and the tank of hydrogen has been utilized as an energy storage system. The MRFO metaheuristic technique has been applied to achieve the optimal design of the size components of the proposed system. Three different configurations of the hybrid system have been studied and compared. From the obtained results, it was found that the studied hybrid generating system is capable to supply the load with the minimum COE of USD0.43/kWh. Furthermore, the simulation results showed that the developed algorithm has proven its efficiency in solving the studied optimization problem with fast convergence and reliable results.

7 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

8 REFERENCES Abedi, S., H. G. Ahangar, M. Nick, and S. H. Hosseinian. (2011). Economic and reliable design of a hybrid PV-wind-fuel cell energy system using a differential evolutionary algorithm. 19th Iranian Conference on Electrical Engineering, IEEE. Ashari, M., H. Suryoatmojo, I. Robandi, and T. Hiyama. (2010). Optimal Design of Hydrogen Based Stand-Alone Wind/Microhydro System Using Genetic Algorithm. ICSIIT 2010, 71. Baghaee, H., M. Mirsalim, G. Gharehpetian, and H. Talebi. (2016). Reliability/cost-based multi-objective Pareto optimal design of stand-alone wind/PV/FC generation microgrid system. Energy, 115, 1022-1041. Baghaee, H. R., M. Mirsalim, and G. B. Gharehpetian. (2016). Power calculation using RBF neural networks to improve the power-sharing of the hierarchical control scheme in multi-DER microgrids. IEEE Journal of Emerging and Selected Topics in Power Electronics, 4(4), 1217-1225. Bernal-Agustín, J. L., and R. Dufo-Lopez. (2009). Simulation and optimization of stand-alone hybrid renewable energy systems. Renewable and Sustainable Energy Reviews, 13(8), 2111-2118. Diab, A. A. Z., H. M. Sultan, I. S. Mohamed, O. N. Kuznetsov, and T. D. Do. (2019). Application of different optimization algorithms for optimal sizing of PV/wind/diesel/battery storage stand-alone hybrid microgrid. IEEE Access, 7, 119223-119245. Dufo-Lopez, R. and J. L. Bernal-Agustín. (2008). Multi-objective design PV-wind-diesel-hydrogen-battery systems. Renewable energy, 33(12), 2559-2572.

El-Sharkh, M., M. Tanrioven, A. Rahman, and M. Alam. (2006). Cost related sensitivity analysis for optimal operation of a grid-parallel PEM fuel cell power plant. Journal of Power Sources, 161(2), 1198-1207. Farghally, H. M., F. H. Fahmy, and M. A. El-Sayed. (2014). Control and optimal sizing of PV-Wind powered rural zone in Egypt. Online Journal on Power & Energy Engineering, 2(2), 188-195. Garcia, R. S., and D. Weisser. (2006). A wind-diesel system with hydrogen storage: Joint optimisation of design and dispatch. Renewable energy, 31(14), 2296-2320. Kamankesh, H., V. G. Agelidis, and A. Kavousi-Fard. (2016). Optimal scheduling of renewable micro-grids considering plug-in hybrid electric vehicle charging demand. Energy, 100, 285-297. *Corresponding author (Ali S. Alghamdi). Tel: +966 16 404-2568. Email: aalghamdi@mu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16H http://TUENGR.COM/V11B/11A16H.pdf DOI: 10.14456/ITJEMAST.2020.317

Kaviani, A. K., G. Riahy, and S. M. Kouhsari. (2009). Optimal design of a reliable hydrogen-based stand-alone wind/PV generating system, considering component outages. Renewable energy, 34(11), 2380-2390. Khan, M., and M. Iqbal. (2005). Pre-feasibility study of stand-alone hybrid energy systems for applications in Newfoundland. Renewable energy, 30(6), 835-854. Strunz,

K., and E. K. Brock. (2006). Stochastic energy source access management: infrastructure-integrative modular plant for sustainable hydrogen-electric co-generation. International Journal of Hydrogen Energy, 31(9), 1129-1141.

Sultan, H. M., A. A. Z. Diab, N. K. Oleg, and S. Z. Irina. (2018). Design and evaluation of PV-wind hybrid system with hydroelectric pumped storage on the National Power System of Egypt. Global Energy Interconnection, 1(3), 301-311. Wu, W., V. I. Christiana, S.-A. Chen and J.-J. Hwang. (2015). Design and techno-economic optimization of a stand-alone PV (photovoltaic)/FC (fuel cell)/battery hybrid power system connected to a wastewater-to-hydrogen processor. Energy, 84, 462-472. Xu, L., X. Ruan, C. Mao, B. Zhang, and Y. Luo. (2013). An improved optimal sizing method for the wind-solar-battery hybrid power system. IEEE transactions on Sustainable Energy, 4(3), 774-785. Zhao, W., Z. Zhang, L. Wang. (2020). Manta ray foraging optimization: An effective bio-inspired optimizer for engineering applications. Engineering Applications of Artificial Intelligence, 87, 103300. DOI: 10.1016/j.engappai.2019.103300 Hamdy M. Sultan is an Assistant Lecturer in the Electrical Engineering Department, Minia University, Minia, Egypt. He received a B.Sc. in Electrical Power Engineering from Minia University, and M.Sc. in Electrical Engineering from Minia University, Minia, Egypt. He works toward a Ph.D. degree at National Research University (Moscow Power Engineering Institute), Moscow, Russia. The key research area includes Power System Plan and Operation, Power System Transient Stability, and Renewable Energy.

Ahmed S. Menesy is an Assistant Lecturer in the Electrical Engineering Department, Minia University, Minia, Egypt. He received a B.Sc. degree in Electrical Engineering from Minia University, Minia, Egypt, and a Masterâ€™s degree in Electrical Engineering from Chongqing University, Chongqing, China. His research interest includes optimization techniques, renewable energy, and smart grids.

Dr.Salah Kamel an Associate Professor at the Electrical Engineering Department, Aswan University. He received a Ph.D. degree from the University of Jaen, Spain (Main) and Aalborg University, Denmark (Host). Also, He is a Leader for the power systems research group in the Advanced Power Systems Research Laboratory (APSR Lab), Aswan, Egypt. He is currently a Postdoctoral Research Fellow in State Key Laboratory of Power Transmission Equipment and System Security and New Technology, School of Electrical Engineering, Chongqing University, Chongqing, China. His research activities include power system analysis and optimization, smart grid, and renewable energy systems. Dr.Ali S. Alghamdi is an Assistant Professor and Acting Chair, the Department of Electrical Engineering, the College of Engineering, Majmaah University, Saudi Arabia. He received his dual B.S. degree (with high honors) in Computer and Electrical Engineering from Lawrence Technological University, Southfield, Michigan, USA, respectively, and an MSc in Electrical and Computer Engineering from Lawrence Technological University, Southfield, Michigan, USA. He received a Ph.D. in Electrical and Computer Engineering from Oakland University, Rochester, Michigan, USA. His research interests include Statistical Digital Signal Processing, Communication Systems, Adaptive Filter, Modern Control in Power System, Optoelectronics Nano-materials in Renewable Energy, and Wireless Sensor Network Innovation. Professor Dr.Mohamed Zohdy works at Oakland University, Michigan, USA. He received his B.Sc. degree in Electrical Engineering, Cairo University, Egypt. He received his M.Sc. and Ph.D. degrees in Electrical Engineering, University of Waterloo, Canada. His interests are Control and Soft Computing.

Hamdy M. Sultan, Ahmed S. Menesy, Salah Kamel, Ali S. Alghamdi, Mohamed Zohdy

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

PAPER ID: 11A16I

IMPACTS OF JOB INVOLVEMENT AND KNOWLEDGE MANAGEMENT TECHNOLOGY MECHANISMS ON THE RELATIONSHIP BETWEEN ORGANIZATIONAL INTELLIGENCE AND SUPPORTING STRATEGIC DECISION-MAKING Mohammed Farag Alaqla 1

Department of Management, Taif University, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 14 August 2020 Received in revised form 07 September 2020 Accepted 18 September 2020 Available online 25 September 2020

To incorporate the smart organization, business organizations strive for the best methods and practices to achieve superiority, which distinguishes them from others. Organizational intelligence is one of the best-implemented methods for establishing a smart organization. To achieve organizational intelligence and create smart organizations, the basic infrastructure of information technology is essentially required. This study examines the relationships between organizational intelligence, job involvement, knowledge management technology mechanisms, and support of strategic decision-making. It also aims to develop business intelligence among knowledge employees in the selected private educational organizations. Descriptive and analytical methods were adopted, which involved collecting, describing, and analyzing data. The results emphasized the importance of adopting an effective strategy to develop organizational intelligence given the key role played by strategic, tactical, and operational business intelligence in achieving sustainable business competitiveness. Therefore, it is recommended that managers should be trained on how to utilize business intelligence to nurture the culture of organizational intelligence and emphasize its pivotal role in supporting the strategic decision-making process.

Keywords: Smart organization; Business intelligence; Human resource management; Educational institution; Kruskal-Wallis test; Organizational intelligence.

1 INTRODUCTION Over the era of the late twentieth century, many drastic changes have occurred in the economic environment, notably the disappearance of trade restrictions between countries. The new age has witnessed the emergence of privatization, globalization, and the combination between computer *Corresponding author (Mohammed Farag Alaqla). Tel: +96-612-727-1569. Email: mf.alaqla@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16I http://TUENGR.COM/V11B/11A16I.pdf DOI: 10.14456/ITJEMAST.2020.318

technology, communications, and electronics to create the most critically perilous technology of our time, i.e., Information Technology (IT). These fundamental changes resulted in an increasingly intensified global competition among world organizations. Competitiveness determines the success or failure of organizations. Possessing the keys to excellence and the excellence industry tools, organizations can build a better competitive reality, thereby moving from the reality of relative advantage to the competitive advantage reality. This has emphasized the importance of management of excellence as an activity, as well as planned organizational efforts to achieve permanently competitive advantages of the organization via products, markets, technology operations, in addition to new methods that ensure the organization’s competitive advantage in the market. Therefore, business organizations have recently started looking for the best methods and practices that can distinguish them from other organizations such as becoming high-performing organizations, distinguished organizations, brilliant organizations, proficient organizations, and other attributes of superiority. In this regard, organizational intelligence is one of the best methods, which can lead to the establishment of smart organizations. Organizational intelligence, including strategic business intelligence, tactical business intelligence, and operational business intelligence play a pivotal role in achieving sustainable business competitiveness. Interest in knowledge has been increasingly growing, particularly in the theoretical frameworks, which are originating from it. They address important administrative and economic issues of rapid changes in the business environment. Therefore, knowledge management is regarded as an important asset of the organization to rely on in achieving its desired goals. Accordingly, there is a crucial need for intelligent leaders and managers with intellectual capabilities and unconventional skills that are based on developing knowledge and experience and providing future-related visions and approaches to acclimatize with the current dynamic era (Al-Obaidi, 2010). Clar et al. (2008) have emphasized that organizational intelligence can provide necessary and appropriate information for managers at the right time so that they can make the right decisions. Organizational intelligence has emerged as one of the factors of competitiveness; it is also a business practice to build a smart organization. The first administrative attempts were directed towards “management excellence”. However, another process, namely “management of excellence” is essentially required in modern organizations. In any organization, performance excellence cannot be randomly achieved or carried out by chance. Considering the shift to the information age, the importance of information, and its technology as a tool for excellence in organizations has been increasing rapidly. Employees are essential for the progress of the organization and companies are striving to build up and apply knowledge to achieve productivity and multiply competitive advantages. Organizational intelligence is one of the innovative methods, which can lead to creating smart organizations with the intellectual ability to preserve the available knowledge and the ability to learn new information to be used in a competitive environment (Hanebeck, 2000). Organizations should, therefore, strive to care for intelligent minds and information technology available through an assessment system based on transparency and information disclosure to reject hierarchical structures and career centres as basic principles of the organization. To achieve organizational intelligence and establish smart organizations, the basic infrastructure of information technology is required, which is necessary for the organization. Therefore, organizations require knowledge management technology operations in support of knowledge

Mohammed Farag Alaqla

management systems such as Artificial Intelligence, Group Decision Support Systems, Expert Systems, Knowledge-Based Systems, Case-Based Reasoning Systems, and Knowledge Elicitation Systems. Another variable that may affect the relationship between organizational intelligence and strategic decision-making is job involvement, which is defined as the degree to which a person identifies psychologically with his/her work and the importance of work to one’s self-image (Ting & Ho, 2017). According to Bakker, Demerouti, and Sanz-Vergel (2014), job involvement is associated with important job output and performance. Hence, employees’ job involvement significantly influences their job performance. Keller (1997) found that employees’ job involvement significantly influences their job performance. The relationship between job involvement, organizational change, and administrative efficacy of employees in the district offices of Kaohsiung City has been examined. The results suggested that when office employees’ job involvement is higher, their performance of administrative efficacy will be higher as well. Furthermore, job involvement effectively enhances employees’ life satisfaction and job performance (Shimazu et al., 2015). Given the growing interest in the human factor, which is vital in the knowledge era, developing human mental capabilities to achieve progress, developing knowledge accumulation, integrating sources of knowledge, and the growing importance of business with cognitive content, organizations are essentially required to consider strategic knowledge to enhance organizational intelligence. This can be done through organizing, managing, and investing the organization’s experiences and employees to achieve the goals of strategic change and support the decision-making process. This will, in turn, lead the organization to function more effectively and efficiently by providing the tools of success, which are needed for survival in the ever-changing business world (Al-Abadi, 2012). To this end, this paper aims to examine the impact of job involvement and knowledge management technology mechanisms (KMTM) as mediator variables on the relationship between organizational intelligence and supporting strategic decision-making in the private education sector in Saudi Arabia.

2 LITERATURE REVIEW This section critically reviews the related literature and analyzes previous studies related to this study. Kuhlmann et al. (1999) examined the impact of organizational intelligence on upgrading the performance of organizations to seize opportunities and achieve innovations. The study also examined the impact of information as a key component of organizational intelligence on the effectiveness of the decision-making process, policies, and strategies. The results showed that organizational intelligence provides information for decision-makers. Also, more analytical abilities for managers can be provided through organizational intelligence so that they make the right strategic decisions. The increased demand for knowledge can result in an increased demand for organizational intelligence or smart organization. Conklin (1997) identified technological and cultural barriers that prevent knowledge acquisition and the impact they exert on decision-making, i.e., using email and other software. However, using such software alone may fail to create easy-to-access organizational memory. Therefore, a system was designed for knowledge display. This system can overcome the barriers that prevent the acquisition of formal knowledge during meetings. The designed system helps improve communication to support decision-making and increase its effectiveness. Another study by Pauker et al. (2000) studied several global industrial and service companies to investigate how *Corresponding author (Mohammed Farag Alaqla). Tel: +96-612-727-1569. Email: mf.alaqla@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16I http://TUENGR.COM/V11B/11A16I.pdf DOI: 10.14456/ITJEMAST.2020.318

organizational intelligence provides important and fundamental information for decision-makers, particularly strategic decisions. Moreover, they investigated how to develop strategic business intelligence, as a form of organizational intelligence, to improve the performance of companies in tackling strategic issues related to the fast-changing, technology-oriented environment and the high levels of uncertainty in the business world. It was concluded that organizational intelligence provides multiple options for decision-makers regarding the organization’s strategy in the long term. In the U.S., a study was conducted to assess organizational intelligence at the Naval Academy by investigating the academy’s efforts to develop the decision-making skills of marine officers. The study identified the extent to which the American Naval Academy has developed the decision-making skills of its naval officers. It also identified those who shoulder the responsibility of their professional development. The results of the study revealed the importance of having strategic intelligence among military leaders to enhance their skills in the decision-making process. The results also revealed that the American Naval Academy has a well-defined and detailed program, which ensures that graduates are well trained to be involved in decision-making (Healey, 2004). On the other hand, Al-Saed and Hareem (2004) examined the relationship between information technology (IT) and the competitive advantage of organizations, as well as the relationship between knowledge management and competitive advantage. The study has also identified the impact of the relationship between information technology and knowledge management on achieving the organization’s competitive advantage. Three major pharmaceutical companies were included in the study. The results suggested that there is a significant relationship between knowledge management and competitive advantage. However, there is a moderate relationship between information technology and competitive advantage. The study concluded that knowledge management contributes more to achieving a competitive advantage compared to information technology. In the same vein, another study examined how highly distinguished minds can influence the process of creating and managing knowledge to support strategic decision-making. The study concluded that the revolution in information technology and communications, as well as the Internet play a key role in developing human knowledge. The study recommended that organizations must expand their reliance on highly distinguished human minds and use them to manage knowledge and support decision-making. A significant relationship was also found between enhancing experience, the efficiency of knowledge transfer, and decision-making effectiveness (Gadman, 2005). In the context of South Africa, research was conducted to explain how Web Mining technology can be implemented to achieve organizational intelligence and enhance its development in South African organizations to support the strategic decision-making process, especially the role of strategic business intelligence in collecting information about the organization’s external environment, whereby the Internet is an effective source of strategic business intelligence. The study concluded that Web Mining can be used for strategic business intelligence to help support and make decisions. Also, consultants of intelligence in companies can use the Web to retrieve strategic information about customers (Wagner & Van Belle, 2005). In Japan, Yoshizawa (2008) conducted empirical case studies of the main initiatives of the Japanese government in using organizational intelligence to support strategic decisions related to the development of nuclear and photovoltaic technologies. The results showed that the proposed job-based framework to analyze strategic business intelligence can facilitate access to a full institutional design for policy analysis.

Mohammed Farag Alaqla

In India, a study was conducted to examine the relationship between job involvement, organizational commitment, team commitment, and professional commitment. Moreover, generational differences for these variables were examined. It was found that professional commitment is negatively related to job involvement, affective organizational commitment, normative organizational commitment, and team commitment. Job involvement, affective, and normative organizational commitment, and team commitment were positively correlated (Ajay & Bindu, 2015). In another study, the relationship between job involvement and employee performance among Makerere University lecturers in Kampala (Uganda) was investigated. The findings revealed that both job involvement and employee performance levels were relatively high. It was, therefore, concluded that there is a significant relationship between job involvement and employee performance (Turyamuhaki, 2019). In the Middle East, Madhi (2011) investigated the directors’ attitudes and perceptions in several major municipalities in the Gaza Strip, Palestine towards the concept of knowledge management, its application, alongside its impact on the functional level. The results revealed that the studied municipalities adopted the concept of knowledge management from the managers’ perspectives. Moreover, there are positive trends among managers in these municipalities regarding the knowledge management’s role in improving job performance and supporting strategic decision-making. Also, there is a statistically significant relationship between knowledge management processes and the level of job performance based on the municipal administrators’ attitudes. Another study by Al-Sabbagh (2012) defined the term “knowledge management” and identified its components in comparison with “information management”. The author has examined the strategic role of knowledge management in today’s societies and organizations in achieving the competitive progress of society or the organization and supporting the decision-making process. The results showed that although the two terms seem similar, they are different concepts. The results also indicated that knowledge management can contribute to laying the foundation of the information society through effective exchange of ideas, thereby allowing greater use of available mental resources, and a higher possibility for innovation and development. Similarly, a study was conducted to investigate the support provided by strategic knowledge. This knowledge is generated from the environmental analysis process of organizational intelligence of business managers by providing them with accumulated information about the analysis of the internal environment (i.e., strengths and weaknesses) and the external environment (i.e., opportunities and threats). It was found that the managers are not fully aware of the role of strategic knowledge in generating strategic intelligence to make plans and adapt to environmental changes to achieve a competitive advantage (Al-Kawaz et al., 2012). Additionally, a model for developing managerial innovation, which is based on organizational intelligence was formulated by Abdel-Rahman (2013). The study addressed various challenges that are encountered by the organization. A descriptive approach and a strategic analysis method were used to provide strategic alternatives, in addition to a survey to identify the factors that help in identifying and formulating alternatives and strategic options for developing management innovation. As a result, key mechanisms to apply the proposed model were identified and potential obstacles and ways of overcoming them were clarified. In the Iranian context, the relationship between organizational intelligence and performance of managers in several educational institutions in Tehran was examined. A statistically significant relationship was found between organizational *Corresponding author (Mohammed Farag Alaqla). Tel: +96-612-727-1569. Email: mf.alaqla@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16I http://TUENGR.COM/V11B/11A16I.pdf DOI: 10.14456/ITJEMAST.2020.318

intelligence and managers’ performance, which resulted in improving organizational performance and increasing productivity (Safaee & Gholami, 2012). There is no doubt that previous research has made contributions to human resources management and organizational behaviour. However, most previous studies on organizational intelligence and its impact on supporting strategic decisions were conducted in Western contexts. Studies on Arab countries are, therefore, limited, particularly in the Saudi organizations’ context. Also, despite the extensive literature in the areas of organizational intelligence, KMTM, and strategic decision-making, linking these three aspects in potentially significant relationships needs to be considered. Moreover, previous research is scarce regarding the effect of the relationship between organizational intelligence and KMTM on supporting strategic decisions to enhance the organization’s competitiveness and achieve organizational excellence. Furthermore, most previous studies were conducted on profit organizations, but this study involves service organizations (i.e., the educational services sector). This study investigates •

The level of organizational intelligence among the study respondents.

•

The relationship between organizational intelligence and strategic decision-making.

•

The relationship between KMTM and strategic decision-making.

•

The relationship between organizational intelligence and KMTM.

•

The impact of job involvement on the relationship between organizational intelligence and the strategic decision-making process.

•

The impact of KMTM on the relationship between organizational intelligence and strategic decision-making process.

3 METHODOLOGY This study examines the mediating impact of knowledge management technology mechanisms (KMTM) on the relationship between organizational intelligence and supporting strategic decision-making in private educational institutions in Saudi Arabia. Accordingly, a case study design is implemented in this research, which aims to provide detailed insights into the factors that address real-life situations related to the objectives of the study. The respondents were divided into three categories, including managers and high administration level, employees and teaching staff at the selected private educational institutions.

3.1 DATA COLLECTION The methodology of this study involves using the quantitative approach. Primary data were collected by the researcher via a survey questionnaire administered to selected categories of employees in the selected private educational institutions in Saudi Arabia. Secondary data were also used in this study, which involves previous data and studies in the field of organizational intelligence and supporting strategic decision-making. The respondents of the questionnaire are classified into three categories. They are managers and high administration level, employees, and teaching staff. The questionnaire was administered to a total number of respondents (420) from the three categories of the study population. Table 1 illustrates the total number of distributed questionnaires and the response rate of each category of respondents.

Mohammed Farag Alaqla

Table 1: Number of distributed questionnaires and response rate Respondents

Distributed Questionnaires

Managers Employees Teaching Staff Total

30 140 250 420

Returned Questionnaires No. % 27 90.0 134 95.7 245 98.0 405 96.4

Incomplete Questionnaires No. % 1 3.3 6 4.3 5 2.0 11 2.6

Complete Questionnaires No. % 26 86.7 128 91.4 240 96.0 394 93.8

3.2 RELIABILITY AND VALIDITY OF THE QUESTIONNAIRE The SPSS software was used to perform the statistical analysis of the data, including the reliability of variables and hypotheses testing. Cronbach’s alpha reliability coefficient was used for measuring the internal consistency, i.e., for assessing the reliability of a set of statements that measure a given variable, which can lead to the possibility of generalizing the results. Table 2 illustrates the values of the alpha coefficients for the main variables, which were measured by using more than one sub-variable. Table 2: Reliability of the study variables Variables of the Study Organizational Intelligence Supporting Decision-Making Job Involvement Knowledge Management Technology Mechanisms (KMTM)

Alpha Reliability 0.783 0.864 0.826 0.810 0.726 0.711 0.711 0.654

Table 2 illustrates a high internal consistency, i.e., the items on the questionnaire are closely related and, therefore, the reliability of the variables of the study was achieved. Also, the values of Cronbach’s alpha coefficient of the study variables, which ranged (from 0.6542 to 0.8643), are acceptable, which indicates that the generalization of the results can be achieved.

4 RESULTS AND DISCUSSION 4.1 THE LEVEL OF ORGANIZATIONAL INTELLIGENCE Table 3, the respondents showed positive perceptions and attitudes towards organizational intelligence. The variables’ SD is less than one, which means that there is consistency in the answers about the level of organizational intelligence in the selected institutions. Table 3: Respondents’ perceptions about the organizational intelligence level Factor Prospecting Systems Thinking Vision Motivation Partnership

Mean 4.51 4.79 4.33 4.68 4.76

Managers SD 0.34 0.41 0.32 0.37 0.46

Rank 4 2 5 3 1

Mean 4.72 4.68 4.72 4.52 4.85

Employees SD 0.42 0.39 0.41 0.36 0.51

Rank 2 4 3 5 1

Mean 4.40 4.65 4.31 4.90 4.81

Teaching staff SD Rank 0.39 2 0.36 4 0.33 5 0.40 3 0.43 1

Kruskal Wallis test was also used to test the significance of differences between the averages of the respondents’ perceptions towards the organizational intelligence level as illustrated in Table 4.

*Corresponding author (Mohammed Farag Alaqla). Tel: +96-612-727-1569. Email: mf.alaqla@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16I http://TUENGR.COM/V11B/11A16I.pdf DOI: 10.14456/ITJEMAST.2020.318

Table 4: The significance of differences between the averages of the respondents’ perceptions towards the organizational intelligence level results Variable Prospecting Systems Thinking Vision Motivation Partnership

Managers 4.74 4.63 4.79 4.29 4.55

Estimates (Ka2) Significance Type of Level Difference Employees Teaching staff Kruskal Wallis 4.79 4.81 7.121 0.037 Insignificant 4.51 4.83 0.967 0.169 Significant* 4.63 4.59 6.213 0.039 Insignificant 4.69 4.27 5.631 0.044 Insignificant 4.81 4.39 8.632 0.026 Insignificant (*) significant at 10% level of significance

Table 4 shows that there are no statistically significant differences between the averages of the respondents’ perceptions towards organizational intelligence at the level of significance 0.05, 0.01. The respondents agreed that there is a high level of organizational intelligence among those in charge of institution administration and teaching departments in the selected educational institutions. Moreover, ANOVA, F. Ratio, and T. Test were used to verify the results, which showed that there is a high level of organizational intelligence among the study respondents in the selected organizations.

4.2 THE RELATIONSHIP BETWEEN ORGANIZATIONAL INTELLIGENCE AND STRATEGIC DECISION-MAKING The relationship between organizational intelligence and strategic decision-making is tested using the Kruskal Wallis test to examine the significance of variation between averages of the respondents’ perceptions, related to the relationship between organizational intelligence and strategic decision-making. Based on the statistical results in Table 5, there are no statistically significant differences between averages of the respondents’ perceptions about the relationship between organizational intelligence and the strategic decision-making process at the level of significance 0.05, 0.01. This means that the three categories of respondents agreed that there is a relationship between organizational intelligence and strategic decision-making. Table 5: Results of the relationship between organizational intelligence and strategic decision-making test Variable Prospecting Systems Thinking Vision Motivation Partnership Supporting Strategic Decisions

Estimates (Ka2) Significance Type of Level Difference Managers Employees Teaching staff Kruskal Wallis 4.72 4.85 4.76 7.013 0.026 Insignificant 4.61 4.51 4.84 9.767 0.014 Insignificant 4.85 4.62 4.60 6.251 0.048 Insignificant 4.28 4.73 4.24 8.432 0.042 Insignificant 4.48 4.78 4.39 8.691 0.039 Insignificant 4.69 4.41 4.58 7.201 0.044 Insignificant * significant at 10% level of significance

To verify the results, T. Test, F. Ratio, and ANOVA were used to test the significance of variation between averages of the study respondents’ perceptions as illustrated in Table 6. Based on the test results, there is no significant variation between the respondents’ perceptions about the relationship between organizational intelligence and the strategic decision-making process. Also, the results showed that there is a statistically significant relationship between organizational intelligence and strategic decision-making. Moreover, the calculated F and T values are greater than the tabular values, which showed that there is a statistically significant relationship between organizational intelligence and strategic decision-making in the selected institutions.

Mohammed Farag Alaqla

Table 6: The significance of variation between averages of the study respondents’ perceptions analysis results Category

Factor

Mean

Managers Employees Teaching Staff

B1 B2 B3

4.26 4.53 4.33

0.52 0.44 0.41

Coefficient of Determination (R2) 0.419 0.550 0.466

F- value

T-value

18.926

4.83 7.39 5.81

4.3 THE RELATIONSHIP BETWEEN KNOWLEDGE MANAGEMENT TECHNOLOGY MECHANISMS AND STRATEGIC DECISION-MAKING The relationship between KMTM and strategic decision-making is examined using the “Kruskal Wallis” test to examine the significance of variation between averages of the respondents’ perceptions about the relationship between KMTM and supporting the strategic decision-making process as shown in Table 7. Table 7: Results of the relationship between KMTM and strategic decision-making test Estimates Variable Knowledge management technology mechanisms Supporting strategic decision-making

Managers

Employees

Teaching staff

(Ka2) Kruskal Wallis

4.09

4.14

4.41

8.023

0.039

Insignificant

4.73

4.41

4.59

7.205

0.046

Insignificant

Significance Level

Type of Difference

* significant at 10% level of significance

Additionally, t-test, F. Ratio, and ANOVA were used to verify the results and assess the significance of variation between averages of the respondents’ perceptions as shown in Table 8. Table 8: The significance of variation between averages of the respondents’ perceptions analysis results Category

Factor

Mean

Managers Employees Teaching Staff

B1 B2 B3

3.82 3.72 3.77

0.39 0.41 0.46

Coefficient of Determination (R2) 0.567 0.483 0.462

F- value

T-value

17.256

7.69 6.15 4.31

According to the results in Table 7 and Table 8, there is not a statistically significant relationship between KMTM and supporting the strategic decision-making process. This study finds a statistically significant relationship between KMTM and strategic decision-making.

4.4 THE RELATIONSHIP BETWEEN ORGANIZATIONAL INTELLIGENCE AND KNOWLEDGE MANAGEMENT TECHNOLOGY MECHANISMS The relationship between organizational intelligence and KMTM is verified using the Kruskal Wallis test to examine the significance of variation between averages of the respondents’ perceptions about the relationship between organizational intelligence and KMTM. Table 9 illustrates the results of this test.

Table 9: Results of the relationship between organizational intelligence and KMTM test Estimates Variable

Managers

Employees

Teaching staff

(Ka2) Kruskal Wallis

4.16

4.59

4.23

8.021

0.199

Significant*

4.55

4.11

4.89

7.096

0.39

Insignificant

Significance Level

Type of Difference

Organizational intelligence Knowledge Management technology mechanisms

*significant at 10% level of significance

To verify the results, T-Test, F. Ratio, and ANOVA were used to test the significance of variation between averages of the respondentsâ€™ perceptions as illustrated in Table 10. The results in Tables 9 and 10 showed a statistically significant relationship between organizational intelligence and KMTM.

Table 10: The significance of variation between averages of the respondentsâ€™ perceptions variation analysis results Category

Factor

Mean

Managers Employees Teaching Staff

B1 B2 B3

3.49 3.02 3.19

0.36 0.51 0.43

Coefficient of Determination (R2) 0.458 0.409 0.437

F- value

T-value

16.183

7.39 5.08 4.92

4.5 THE IMPACT OF JOB INVOLVEMENT ON THE RELATIONSHIP BETWEEN ORGANIZATIONAL INTELLIGENCE AND SUPPORTING STRATEGIC DECISION-MAKING Table 11 illustrates the regression analysis used to test the impact of the relationship between organizational intelligence and job Involvement on supporting strategic decision-making. The results showed that supporting the strategic decision-making process is affected by the relationship between organizational intelligence and job involvement. This relationship can significantly affect strategic decision-making due to the high correlation coefficient of 0.689 and the coefficient of determination (R2) value, whereby the mediating variable (i.e., the relationship between organizational intelligence and KMTM) accounted for 33% of the variance in the dependent variable (i.e., supporting strategic decision-making). Therefore, it can be concluded that the relationship between organizational intelligence and KMTM has a significant influence on supporting strategic decision-making. Table 11: Results of the relationship between organizational intelligence and knowledge management technology mechanisms on supporting strategic decision-making test. Variables Ranking 1 2 3

Variable Organizational intelligence Job involvement Relationship between organizational intelligence and job involvement

Mohammed Farag Alaqla

0.393 0.482

Coefficient of Determination (R2) 0.15 0.26

0.689

0.32

Correlation Coefficient (R)

F- value 11.365 17.362 14.859

Standardized regression T-value coefficients (Beta) 0.04 6.85 0.15 8.22 0.31

4.95

4.6 THE IMPACT OF KNOWLEDGE MANAGEMENT TECHNOLOGY MECHANISMS ON THE RELATIONSHIP BETWEEN ORGANIZATIONAL INTELLIGENCE AND SUPPORTING STRATEGIC DECISION-MAKING Regression analysis is used to test the impact of the relationship between organizational intelligence and KMTM on supporting strategic decision-making as illustrated in Table 12. The results showed that supporting the strategic decision-making process is affected by the relationship between organizational intelligence and KMTM. This relationship can significantly affect strategic decision-making due to the high correlation coefficient of 0.706 and the coefficient of determination (R2) value, whereby the mediating variable (i.e., the relationship between organizational intelligence and KMTM) accounted for 33% of the variance in the dependent variable (i.e., supporting strategic decision-making). Therefore, it can be concluded that the relationship between organizational intelligence and KMTM has a significant influence on supporting strategic decision-making.

Table 12: Results of the relationship between organizational intelligence and knowledge management technology mechanisms on supporting strategic decision-making test. Variables Ranking 1 2

Variable Organizational intelligence Knowledge management technology mechanisms Relationship between organizational intelligence and knowledge management technology

0.411

0.17

Standardized regression T-value coefficients (Beta) 12.358 0.06 7.09

0.528

0.28

16.055

0.18

8.31

0.706

0.35

15.014

0.29

5.09

Correlation Coefficient of F- value Coefficient (R) Determination (R2)

5 CONCLUSION Organizational intelligence involves the capability of an organization to create and use the knowledge that is relevant to its purpose and goals. Organizational intelligence provides important information for decision-makers, particularly strategic decisions, and how to develop strategic business intelligence as a form of organizational intelligence, thereby improving the performance of the organization. The reviewed literature has shown that genuine endeavours were exerted to enhance organizational intelligence, given that strategic, tactical, and operational business intelligence all play a key role in achieving sustainable business competitiveness, which can result in building a smart organization. This involves cultivating a set of values, ideas, and methods of doing business to achieve the required strategic change. Organizational intelligence represents one factor, among others, of competitiveness to create a smart organization. It is an effective tool to guide the organization towards achieving its goals, addressing challenges, maintaining its position, prospecting the future, enabling its leaders to seize opportunities, and adapting to on-going changes. Therefore, competitiveness and the search for new methods to access “smart” strategic information have become vital in strategic planning considering the global changes, which are characterized by complexity and uncertainty to achieve specific long-term goals of intellectual activities, which require creativity. As a result, this helps strategic managers in formulating a crystal-clear vision of an ever-changing future. Therefore, knowledge management technologies, which support knowledge management *Corresponding author (Mohammed Farag Alaqla). Tel: +96-612-727-1569. Email: mf.alaqla@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16I http://TUENGR.COM/V11B/11A16I.pdf DOI: 10.14456/ITJEMAST.2020.318

systems, are essentially required to achieve organizational intelligence and create smart organizations. These include Artificial Intelligence, Group Decision Support Systems, Expert Systems, Knowledge-Based Systems, Case-Based Reasoning Systems, and Knowledge Elicitation Systems. In the field of organization management, knowledge management is a key factor in the success of organizations, given that knowledge is the human resources’ intellectual capabilities; it depends on their intuition, expertise, unconventional skills, and innovative capabilities. Knowledge management systems play an important role in solving organizational problems and addressing challenges. Therefore, Saudi educational institutions should invest in what knowledge management mechanisms and technologies can provide to support knowledge management processes. This study contributes to the body of knowledge, particularly in the Saudi context as it examined the relationship between important variables in the widely researched field of organizational behaviour (i.e., organizational intelligence and KMTM. Another key factor, which influences the relationship between organizational intelligence and supporting strategic decision-making is job involvement. Therefore, Saudi educational institutions should consider increasing the level of job involvement or work engagement among their employees. Therefore, the private educational institutions in Saudi Arabia are required to adopt strategies of developing organizational intelligence, involving its three levels. This can be done through special computer programs to train managers on how to use business intelligence, to nurture the culture of organizational intelligence, and emphasize its role in decision-making. Moreover, it is necessary to establish an organizational intelligence unit to provide educational institutions with the required information. This can contribute to shaping their future milestones regarding beneficiaries of their educational services. It is also essential to conduct periodic assessments of the potential risks, monitor changes that affect these universities’ activities, and support decision-making. Furthermore, a focus should be placed on developing business intelligence among knowledge producers cooperating with organizational intelligence experts from abroad for training workshops on how to use strategic business intelligence and employ it to support the decision-making process. Educational organizations should attract employees and teaching staff with reflective, analytical, and predictive capabilities by including specific questions in the employment application to evaluate the applicants’ strategic intelligence. It is also recommended to raise awareness and establish the concepts of organizational learning and smart organization among the employees of Saudi educational institutions through specialized courses and workshops. Conferences and seminars can contribute to the consolidation of the smart organization concept in the Arab Gulf countries, in general, and particularly in the educational services sector to increase administrative awareness of this concept.

6 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

7 REFERENCES Abdel-Rahman, A. E.-S. (2013). Developing administrative innovation in the light of organizational intelligence. Ain Shams University, Egypt. Ajay, S., & Bindu, G. (2015). Job involvement, organizational commitment, professional commitment, and team commitment: A study of generational diversity. Benchmarking, 22(6), 1192–1211. DOI:

Mohammed Farag Alaqla

10.1108/BIJ-01-2014-0007 Al-Abadi, H. F. (2012). Organizational intelligence as a business practice towards establishing a smart organization: A conceptual perspective. The 11th Annual Scientific Conference on Business Intelligence and Knowledge Economy. Al-Kawaz, S. M., Yahya, A., & Ibarhim, T. (2012). The contribution of strategic knowledge in promoting strategic intelligence: A case study at Asiacell Communications Company in Iraq. Journal of Advanced Social Research, 1, 170-188. Al-Obaidi, A. H. (2010). Information technology and strategic thinking and their impact on organizational innovation strategy: A field study at Al-Mustansiriyah University Colleges. Al-Mustansiriyah University, Iraq. Al-Sabbagh, E. A.-W. (2012). Knowledge management and its role in establishing the information society. The International Information Network. Al-Saed, R., & Hareem, H. (2004). The Role of knowledge management and information technology in creating competitive advantage: A field study on the pharmaceutical industry sector in Jordan, The Fourth Scientific Conference on Knowledge Management. The Fourth Scientific Conference on Knowledge Management. Bakker, A. B., Demerouti, E., & Sanz-Vergel, A. I. (2014). Burnout and work engagement: The JD-R approach. Annual Review of Organizational Psychology and Behavior, 1(1), 389-411. Clar, G., Acheson, H., Hafner-Zimmermann, S., Sautter, B., Buczek, M., & Allan, J. (2008). Strategic Policy Intelligence Tools: Enabling Better RTDI Policy-Making in Europe’s Regions, Steinbeis. Conklin, J. (1997). Designing organizational memory: preserving intellectual assets in a knowledge economy. Group Decision Support Systems, 1, 362. Gadman, S. (2005). Managing Knowledge-Creating Relationships. Asian Journal on Quality, 6(2), 46–58. DOI: 10.1108/15982688200500013 Hanebeck, H. (2000). Business Processes for a Distributed Learning Environment. Turkish Online Journal of Distance Education, 1. Healey, D. P. (2004). Developing Decision-Making Skills in United States Naval Academy Midshipmen. University Circle, Monterey, CA. Keller, R. T. (1997). Job involvement and organizational commitment as longitudinal predictors of job performance: A study of scientists and engineers. Journal of Applied Psychology, 82(4), 539–545. Kuhlmann, S., Boekholt, P., Georghiou, L., Guy, K., Heraud, J.-A., Laredo, P., Lemola, T., Loveridge, D., Luukkonen, T., Moniz, A., Polt, W., Rip, A., Sanz-Menendez, L., & Smits, R. (1999). Improving Distributed Intelligence in Complex Innovation Systems. Madhi, S. (2011). Attitudes of managers in major municipalities in Gaza Strip on the role of knowledge management in job performance. Islamic University, Gaza. Pauker, B., Whitaker, J., McCauley, J., Piper, M., & Teoh, K. (2000). Strategic Intelligence, Providing Critical Information for Strategic Decision. Corporate Executive Board, Corporate Strategy Board. Safaee, S., & Gholami, S. (2012). The study of the degree of one of the Iranian governmental organizations with correspondence characteristics of a learning organization. Journal of Educational & Instructional Studies in the World, 2(3), 69–77. Shimazu, A., Schaufeli, W. B., Kamiyama, K., & Kawakami, N. (2015). Workaholism vs. Work Engagement: the Two Different Predictors of Future Well-being and Performance. International Journal of Behavioral Medicine, 22(1), 18–23. DOI: 10.1007/s12529-014-9410-x Ting, S. C., & Ho, M. H. (2017). The Influence of Workplace Friendship, Job Involvement, and Organizational Identification on Job Performance: Administrative Staffs of Private Science and Technology Universities in South Taiwan as an Example. International Journal of Humanities and Social Sciences, 9(6), 46–57. *Corresponding author (Mohammed Farag Alaqla). Tel: +96-612-727-1569. Email: mf.alaqla@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16I http://TUENGR.COM/V11B/11A16I.pdf DOI: 10.14456/ITJEMAST.2020.318

Turyamuhaki, A. (2019). The influence of job involvement on employee performance among lecturers in public universities: a case of Makerere University Kampala Uganda. Makerere University. Wagner, L., & Van Belle, J. P. (2005). Web Mining for Strategic Intelligence in South Africa. 6th IAABD Conference, Dar Es Salaam. Yoshizawa, G. (2008). What is the use of policy analysisâ€Ż? Plurality and context in perspectives on strategic intelligence in Japan. The University of Sussex. Dr. Mohammed Farag Alaqla is an Associate Professor at the Department of Management, Taif University, Taif, Saudi Arabia. He obtained a Doctor of Philosophy in Management from Universiti Utara Malaysia (UUM). His research focuses on Business, International Management, Accounting, Organizational Behavior, and Human Resource Management.

Mohammed Farag Alaqla

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

PAPER ID: 11A16J

CREDIT RISK MANAGEMENT IN ISLAMIC BANKING: A SYSTEM THINKING APPROACH Muhammad Farhan 1

, Hassan Mobeen Alam , Ammara Sattar , Sanam Khan

Hailey College of Commerce, University of the Punjab, Lahore, PAKISTAN.

ARTICLEINFO

A B S T RA C T

Article history: Received 02 May 2020 Received in revised form 03 September 2020 Accepted 15 September 2020 Available online 25 September 2020

This research article aims to develop a system dynamic mechanism for examining the Credit Risk Management (CRM) system of Islamic banking institutions (IBIs) of Pakistan. This model has facilitated to comprehend the connections among various characters of credit risk. For the development of the System Dynamic Model (SDM), this research has been carried out in three sequential stages. The system dynamic model illustrates that an upsurge in credit risk fuels IBIs to proactively form a mechanism for the management of credit risk according to the recommendations given by the State Bank of Pakistan (SBP). Therefore, the IBIs in Pakistan manage the credit risk by conducting credit risk analysis not only before providing finance to customers but also throughout the life of business relations. This analysis consists of the evaluation of a customer’s financial needs along with repaying ability, analysis of the customer’s credit history, assessment of the customer’s business proficiency, and assessment regarding the reliability, appropriateness, and adequacy of provided guarantees and collaterals. The model also describes that it is essential for IBIs to honor their contractual commitments to avoid unnecessary counterparty risk. Moreover, for abating the credit risk, it is vital for IBIs to follow effective financial and administrative CRM procedures.

Keywords: Islamic banking institutions; Islamic financial system; System dynamic model (SDM); Causal loop diagrams (CLD); Mental models; CRM; Non-Performing Asset (NPA); Credit risk analysis.

1 INTRODUCTION The growth of the Islamic financial system is substantial in numbers as well as in size across the globe. Its ample progression in the global market indicates that it is attaining huge popularity in the Muslim countries as well as in the non-Muslim world (Alawode, 2015). Having an estimated asset base of more than 2 trillion US dollars, Islamic financial services have been offered by more than 700 institutions in more than 90 countries across the world (Saba, 2017). According to Maierbrugger (2018), the way the Islamic financial market is progressing, its asset base would touch 3.8 trillion US *Corresponding author (Muhammad Farhan). Email: Farhanlatif12@hotmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16J http://TUENGR.COM/V11B/11A16J.pdf DOI: 10.14456/ITJEMAST.2020.319

dollars before 2023. It has gained massive popularity after the financial crisis of the early twenty-first century as a good substitute for conventional banking, which is being explored by the world in this era of uncertainties. Islamic banking prohibits interest and the use of unfair means to achieve profit (Khalid and Amjad, 2012). In addition to this, it also limits financing in socially and morally problematic businesses. The Islamic banking system prohibits dealing in transactions with indefinite returns (Gharar) (Hayat and Malik, 2014). Generating profit through gambling (Maysir) is also forbidden in the Islamic financial system (Hassan and Lewis, 2007). The financial system governed by Islamic Shariah is based on equity where all finances are properly backed by assets. It also promotes the norms of mutual benefits (Iqbal and Mirakhor, 2011). It connects the economy with the financial sector for shared social welfare (Ahmad, 2000). In Pakistan's history of full-scale Islamic banking is just two decades old. The State Bank of Pakistan (SBP) introduced its first policy in 2001. The main aim of this policy was the development of the Islamic financial system parallel to the non-Islamic financial system more progressively (Lewis and Algaoud, 2001). Besides this, the SBP also introduced a â€œShariah Complaint mechanismâ€? to evolve the customers. This mechanism is multi-tier and robust containing: a) Shariah Board; b) Shariah advisors; and c) Audit structure based on Shariah (Akhtar, 2007). The SBP has permitted locally existing banking institutions to initiate Islamic banking operations through Islamic windows or open separate full-scale Islamic banking branches to provide various financial services permissible by Shariah (Akhtar, 2007). In connection to this, Meezan Bank initiated full-scale Islamic banking in Pakistan, in January 2002 (El Tiby, 2011). At the moment, sixteen traditional conventional banking institutions are providing Islamic banking services in Pakistan through more than 1200 full-scale branches and 128 sub-branches across the country. Moreover, five full-scale Islamic Banking Institutions (IBIs) are also operating in the country with more than 1350 branches (SBP, 2018). According to the Islamic banking bulletin issued by the SBP in September 2018, the total profit earned by the IBIs in Pakistan was more than Rs 2,300 Million. Moreover, the report indicated that this profit figure had shown a growth of Rs 500 million as compared to last year (SBP, 2018). The SBP has developed the legal framework, which serves as the base for Islamic banking in Pakistan by combining the Bahraini and the Malaysian model. According to the SBP (2018), Islamic banking in Pakistan is growing steadily in terms of profitability as well as total market share. Moreover, despite being a small market player, this sector is giving healthy competition to its conventional peers. There is no gain without pain. Risk-taking is essential for the endurance and progression of financial organisations (Hull, 2015). Financial institutions earn good profits through risk-taking and drop a good portion of their income by not managing the risks accurately and efficiently (Furash, 1994). All financial organisations have to encounter different risks, according to the nature of their businesses. So, the IBIs have to face the risks of traditional banking along with their own risk exposures, which are specific to Islamic banking. These risk exposures are caused by different liability structures and asset classes of Islamic banking Institutions (Hassan, 2009; El Tiby, 2001; Schoon, 2016). Credit risk is a very crucial factor that can cause financial instability in the economy. So, managing credit risk is critical for the endurance and progression of not only the traditional banks but also for the Islamic banking institutions.

Muhammad Farhan, Hassan Mobeen Alam, Ammara Sattar, Sanam Khan

2 CONCEPTUAL FRAMEWORK 2.1 CREDIT RISK Whenever we question about the most important risk encountered by financial institutions, the answer is very simple and straightforward, ‘Credit Risk’ (Elgari, 2003). As far as Islamic financial institutions are concerned, the Islamic Financial Services Board (IFSB) has defined credit risk as to the probability that a counterparty fails to fulfil its promise and violates the pre-decided terms and conditions (IFSB, 2005). Otherwise speaking, if a customer fails to deposit complete or fractional payment with respect to the agreed contract, causing loss to the IBIs is termed as credit risk (Ahmed and Khan, 2007; Akkizidis and Khandelwal, 2008; Elgari, 2003; Rehman, 2016). This risk can take place in all the Islamic financial contracts including Profit and Loss sharing instruments (Mudarabah & Musharkah); working capital instruments (Mudarabah, Istisna and Salam); and receivable instruments (Murabaha and Ijarah). IBIs can face credit risk at any time throughout the life of the above discussed financial contracts (Akkizidis and Khandelwal, 2008). 2.1.1 CREDIT RISK IN DIFFERENT ISLAMIC FINANCIAL CONTRACTS A situation may arise, during the life of a Murabaha contract, when an Islamic bank provides the asset to the client on a pre-determined date. However, the client fails to provide the proceeds in accordance with the pre-decided terms. Thus, the situation when a client fails to fulfil his financial obligations in accordance with the Murabaha contract may expose the Islamic Banking Institution (IBI) to credit risk (Swartz, 2012). These circumstances may expose the Islamic banking institution to another crucial factor of financial instability known as liquidity risk. Liquidity risk, in this situation, may arise when the bank is dependent on the expected amount to cover other financial obligations (Greuning and Iqbal, 2008; Ahroum, et al., 2017). Diminishing Musharkah contracts also expose an IBI to credit risk. This particular position may arise when the customer fails to fulfil his commitment to purchase the agreed share in accordance with the agreed terms and conditions (Ahmad and VambaFofana, 2015). These circumstances may further expose the IBI to liquidity problems if it has to fulfil other financial commitments with the help of these proceeds (Abdul Rahman, et al., 2010). Financial contracts such as Salam & Parallel Salam may also expose an IBI to credit risk if the contractor does not succeed in providing the contracted asset on time as per agreed terms. In this situation, the IBI may entirely or partially lose the investment (Ahmad and VambaFofana, 2015). Similarly, Istisna and parallel Istisna contracts may also expose an IBI to credit risk if the client fails to fulfil his financial commitments. Moreover, these circumstances may expose the IBI to another crucial factor of financial instability known as market risk. Market risk, in this situation, may arise when the default of the customer forces an IBI to find another purchaser of the asset from the market. This situation leads to the sale of the asset over a much lesser price causing financial loss to the IBI (Abdul Rahman, et al., 2010; Haron and Hock, 2012). In an Ijarah contract, an IBI may have to face the credit risk if the lessee does not fulfil his commitment of paying lease rentals with respect to the agreed Ijarah terms (Ahmad and Vambafofana, 2015). This scenario may also lead to market risk. The failure of the customer to provide lease rentals may result in two different situations. Either the IBI has to find another customer for a new Ijarah contract or has to sell the asset in the market at the market price. In both situations, *Corresponding author (Muhammad Farhan). Email: Farhanlatif12@hotmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16J http://TUENGR.COM/V11B/11A16J.pdf DOI: 10.14456/ITJEMAST.2020.319

there is a high chance that IBI may get a lower price or rent (Haron and Hock, 2012; Akkizidis and Khandelwal, 2008; Swartz, 2012). 2.1.2

MANAGING CREDIT RISK

The SBP has provided guidelines to minimise credit risk faced by IBIs working in Pakistan. These principles have been described as follow. The IBIs are required to formulate a Shariah-compliant financing strategy for the identification of maximum credit risk exposures, which can occur at different levels of financing contracts. The Board of Directors may be considered responsible for their banking institution’s complete risk appetite, asset allocation, and risk divergence. This strategy should be available for every Islamic financial instrument. This may also include the catalogue consisting of all relevant and permitted financing activities for avoiding any Shariah non-compliance agreements. IBIs should take care of developing the Shariah-compliant strategy with respect to any inherited credit risk in different contracts. It is essential for IBIs to access creditability; repay ability, and financial soundness of the potential customers before entering into any agreement. Evaluation and assessment of the counterparties are also obligatory in Mudarabah financing to assess: objective of the business; legal matters; business operations; economic conditions; and operative proficiency of the project, in addition to projected cash flow activities. Moreover, taking expert review in terms of extension in persisting contracts and grasping upcoming financing projects. These experts are required to ensure Shariah-compliant evaluation throughout the life of the project. The IBIs are also needed to develop strategies to measure and report the credit risk exposures resulting from different Islamic financial contracts. These credit risk exposures may include the risk of counter-party in “Istisna” and “Salam”. Furthermore, a plan of action is also required when a counter-party violates the purchase order, which is non-obligatory. For risk mitigation, Shariah-compliant procedures may be adopted by the IBIs for each financial contract. The banks are also required to form a system to determine the return rate by including all possible risks in order to make the pricing decisions. There should be an appropriate administrative mechanism to deal with default customers. Banks are advised to develop such procedures as these can be helpful to recover the loans and to deal with problem loans. These measures may include: •

Proactive negotiation with the customer

•

Enough timeframe should be allowed to customers for payment

•

Allowing customers to reschedule or restructure the debt payment

•

Utilization of the debt collection system

•

Penalties and fines should be imposed. As per clause of Shariah rules, the amount received through penalty or fines may be used for charity purposes

•

Enforcing collaterals or guarantees

The IBIs have been advised by the Central Bank of Pakistan to place appropriate policies and procedures to fulfil their commitments with respect to parallel Salam and parallel Istisna contracts. They are also required to honour their promises regarding the leased products. The IBIs are needed to provide Shariah-based takaful coverage against the worth of the product, where it seems essential.

Muhammad Farhan, Hassan Mobeen Alam, Ammara Sattar, Sanam Khan

Finally, the IBIs must have to ensure that there is an appropriate provisioning mechanism in place with respect to doubtful loans and expected losses in case of leased assets.

2.2 SYSTEM THINKING APPROACH The system thinking approach implies observing events or data to identify the movement of behaviours across time and to look into primitive structures that caused such events and patterns. The system thinking approach also helps to understand the changing structures that are problematic and their solutions by expanding the available choices in a more satisfying way. On the whole, this approach leads to clarity and curiosity. The system thinking approach includes the passion for observing a situation with compassion and courage. This approach aims to thoroughly examine the event or data, to identify the inter-relations, to recognize the multiple interventions to a problem, and to identify the key interventions (Goodman, 1997). According to Squires et al. (2011), a system thinking approach can integrate different viewpoints conceptually. This approach may also recognize the intra/interrelationships among different behaviours. The system thinking approach may recognize various operational aspects of structure to understand the complex behaviour of the system. It may also effectively perform in the context where the nature of the issue is entirely different. Furthermore, this approach is also reliable in forecasting the impact of the change on the structure of the system. Figure 1 exhibits a telescopic view regarding the system thinking approach.

Figure 1: System thinking a telescope to observe primitive structures (Source: The Iceberg Model (Goodman, 1997)).

3 RESEARCH METHODOLOGY In this study, an inductive research mechanism has been used to achieve the research objectives. Moreover, this is a case study in which the Pakistani Islamic banking system has been considered as a case. For this study, all Islamic banking institutions constitute the target population. The purposive sampling method has been utilized to collect data from experts. The purposive sampling method is *Corresponding author (Muhammad Farhan). Email: Farhanlatif12@hotmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16J http://TUENGR.COM/V11B/11A16J.pdf DOI: 10.14456/ITJEMAST.2020.319

time-saving and very economical. It is also a very effective technique to be used when the respondents are limited who can contribute to achieving the study objectives (Black, 2012). Researchers have used semi-structured interviews to obtain the data. Twenty-one senior risk managers from all selected IBIs were interviewed. Since the research objective of this study is to grasp the architecture of causal interrelations among various variables of Credit Risk Management (CRM). So, the senior risk managers of the IBIs are the most appropriate respondents to answer the specific research questions. Being the experts of the system, these individuals can effectively endorse, ratify and refine the preliminary Causal Loop Diagram (CLD) of credit risk management. All these experts were thorough professionals having approximately more than ten years of professional experience in the field of credit risk management of Islamic banking. For the development of the final qualitative model, this research has been conducted into three sequential phases. Initially, the researchers developed a preliminary CLD by utilizing their own experience and fundamental understanding gained through an extensive review of the literature on causal interrelationships between various characters of CRM. In the second phase, the researchers conducted semi-structured interviews with field specialists of each selected IBI to effectively endorse, ratify and refine preliminary CLD. In the final phase, primary data collected through interviews were analyzed to construct the refined qualitative model.

4 DEVELOPMENT OF QUALITATIVE MODEL 4.1 INITIAL CLD FOR CREDIT RISK MANAGEMENT In this study, the researchers have used a systems-thinking methodology to comprehend and sketch a sequence of causality among various variables as determined by the CRM system in the IBIs of Pakistan. As the nature of the credit risk management system is too complicated in the mentioned banks. So, the researchers have developed a System Dynamic Model (SDM) to draw the CLDs to comprehend the dynamic actions of the CRM variables within the risk management mechanism of these institutions. To develop a broader CLD for grasping the architecture of causal inter-relations among different characters of credit risk management, the researchers of the study first developed an initial causal loop diagram (See Figure 2) based on the fundamental information gained from the extensive literature on the relationships among various characters of the CRM in these banks. For the confirmation and construction of the system dynamic model (SDM) based on causal loop diagrams, researchers carried out semi-structured interviews with specialists in the field (see Figure 3).

4.2 VALIDATED CLD FOR MANAGING CREDIT RISK The SBP defines Credit risk as the inability of a customer to fulfil his contractual commitments (SBP, 2008). A validated causal loop diagram for MCR has been depicted in Figure 3. This CLD for credit risk comprises of five balancing feedback loops, i.e. B31, B32, B33, B34 & B35 along with a couple of (R22 & R23) reinforcing feedback loops. Loop diagram B31 (Consists of Credit Risk Management→ Professional Training → Qualified/Proficient Employees → Credit Risk → RIAAMC (Risk Identification, Assessment, Analysis, Monitoring and Controlling) explains the vital function of qualified and proficient employees of the Islamic banks being the performers of credit-related activities.

Muhammad Farhan, Hassan Mobeen Alam, Ammara Sattar, Sanam Khan

Figure 2: Preliminary CLD for credit risk management. The IBIs train their employees who are directly engaged in lending activities to the maximum extent of expertise to make them competent enough to align the lending activities and operations for meeting the maximum possible standards as per the requirement of the Central Bank (Shafique, et al., 2013). Islamic banking institutions take keen interest to develop the professional expertise of their employees dealing in the credit department for maximum credit proficiency. On the other hand, incompetent staff may cause considerable losses to these institutions (Farhan, 2013). Figure 3, loop diagram B32 (Consists of Credit Risk Management → Complying with Contractual Commitments → Counter-Parties Risk→ Credit Risk → RIAAMC) describes the action plan followed by Pakistani IBIs in order to manage the counter-parties risk which ultimately leads to the reduction of credit risk. Efficient and effective monitoring and fulfilment of these contracts are crucial to evade any preventable counterparty risk (Eid and Asutay, 2016). Loop diagram B33 (Consists of Credit Risk Management → Administrative & Monetary Processes → Non Performing Assets→ Loan Losses→ Credit Risk→ RIAAMC) depicts that these banks fulfil regulatory requirements of the Central Bank by following Administrative and Monetary processes to manage the Non-performing assets which ultimately reduce the chance of bad debts. Administrative processes include frequent and pre-emptive interaction with the clients, proposing *Corresponding author (Muhammad Farhan). Email: Farhanlatif12@hotmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16J http://TUENGR.COM/V11B/11A16J.pdf DOI: 10.14456/ITJEMAST.2020.319

reorganization and restructuring of loans, and adopting the legal actions. On the other hand, monetary processes consist of all the actions taken by these banks for the enforcement of guarantees and collaterals.

Figure 3: Validated CLD of credit risk management Casual loop B34 (Comprising of: Credit Risk Management → Shariah-based Lending Policy → Credit Risk Assessment → Debtor’s Repay Abilities/Intentions → Performing Assets → Loan Losses→ Credit Risk → RIAAMC) and Casual loop B35 (Comprising of: Credit Risk Management → Shariah-based Lending Policy→ Credit Risk Assessment → Debtor’s Repay Abilities/Intentions → Non-Performing Assets→ Loan Losses→ Credit Risk → RIAAMC) basically explains the policies and procedures followed by IBIs to counter the credit risk. An increase in the credit risk induces these banking institutions to follow an effective course of action while following Shariah principles for minimizing this risk. It fuels to make an improved and efficient credit risk assessment to reduces the risk up to the maximum extent (Eid, 2012; Misman, et al., 2015). Moreover, these causal loop diagrams depict that Islamic banking institutions pro-actively assess the information relating to borrowers to analyze their ability and intent to repay the banking debt (Bilal, et al., 2013). Thus, pro-active and efficient credit risk assessment leads to an escalation in the level of performing assets and reduces the possibility of loan losses, which ultimately reduces credit risk. This qualitative model also contains a couple of reinforcing feedback loops. Loop R22 (Consists of Advances → Debtor’s Repay Abilities/Intentions) indicates that improved repayability of borrowers induces the banks to offer more loans. Moreover, the structure reinforces itself because the debtor’s repayability can directly influence the amount offered as a loan by the banks (Farhan, 2013). Reinforcing loop R23 (Consists of Unfavorable Economic Settings → Loan Losses) depicts that loan losses of Islamic banking institutions depend on the economic settings prevailing in the country. Unfavourable conditions lead to more loan losses and vice versa (Farhan, et al., 2012).

Muhammad Farhan, Hassan Mobeen Alam, Ammara Sattar, Sanam Khan

5 CONCLUSION The Qualitative System Dynamic structure of credit risk management in Pakistani Islamic institutions offering banking services explains various procedures and strategies to cope with credit risk for fulfilling the legal and regulatory obligations of the SBP. According to the model, credit risk is managed by these institutions by conducting credit risk analysis not only before providing finance to the customers but also throughout the life of business relations. This analysis consists of the evaluation of a customer’s financial needs along with repaying ability; analysis of customer’s credit history; assessment of customer’s business proficiency; and assessment regarding the reliability, appropriateness and adequacy of the provided guarantees and collaterals. Proactive, qualified and proficient staff conduct this analysis. The model also describes that it is essential for IBIs to honour their contractual commitments to avoid unnecessary counterparty risk (Eid and Asutay, 2019). Moreover, to minimize credit risk, it is vital for IBIs to follow effective financial and administrative credit risk management procedures. The qualitative system dynamic structure of this study renders productive, constructive and practical understanding to policymakers, scholars, managers, shareholders and regulators for the credit risk management mechanism of IBIs in Pakistan. Moreover, this qualitative system is also helpful and useful for the executive management and Board of Directors of local and international IBIs for developing an efficient, broad and effective credit risk management mechanism by prevailing over any deficiency in the existing mechanism or structure. Seriously, to manage credit risk, Pakistani IBIs are playing safely instead of throwing caution to the wind.

6 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

7 REFERENCES Abdul Rahman, R., Tafri, F. H., & Aljanadi, Y. (2010). Instruments and Risks in Islamic Financial Institutions. Malaysian Accounting Review, 9(2), 11-21. Ahmad, K. (2000). Islamic finance and banking: The challenge and prospects. Review of Islamic Economics, 9, 57-82. Ahmad, M., & VambaFofana, I. (2015). The Jurisprudential Principles in Managing the Risks Available in Certain Islamic Finance Contracts. Journal of Islamic Banking and Finance, 66-77. Ahmed, H., & Khan, T. (2007). Risk Management in Islamic Banking (Chapters). Edward Elgar Publishing. http://econpapers.repec.org/bookchap/elgeechap/3621_5f10.htm Ahroum, R., Touri, O., & Boujemâa, A. (2017). Murabaha and Musharakah Moutanaquissah Pricing: An interest-free approach. Journal of Islamic Accounting Research. Akhtar, D. S. (2007). Pakistan Islamic banking: Past Present and Future Outlook. State Bank of Pakistan, 7. Akkizidis, I. S., & Khandelwal, S. K. (2008). Financial risk management for Islamic banking and finance. Palgrave Macmillan. Alawode, A. A. (2015). Islamic Finance. http://www.worldbank.org/en/topic/financialsector/brief/islamic-finance Retrieved December 2018 *Corresponding author (Muhammad Farhan). Email: Farhanlatif12@hotmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16J http://TUENGR.COM/V11B/11A16J.pdf DOI: 10.14456/ITJEMAST.2020.319

Al‐Tamimi, H. A. H., & Al‐Mazrooei, F. M. (2007). Banks’ risk management: a comparative study of UAE national and foreign banks. Journal of Risk Finance, 8(4), 394-409. Bilal, A. R., Talib, N. B. A., & Khan, M. N. A. A. (2013). Remodeling of risk management in banking: evidence from the sub-continent and gulf. Journal of Risk Finance, 14(5), 468-489. Black, K. (2012). Business statistics: for contemporary decision making. Hoboken, NJ: Wiley. Eid, W. (2012). Mapping the Risks and Risk Management Practices in Islamic Banking. Doctoral thesis, Durham University. http://etheses.dur.ac.uk/3582/ Eid, W. K., & Asutay, M. (2016). Mapping the Risks and Risk Management Practices in Islamic Banking. John Wiley & Sons. Eid, W. K., & Asutay, M. (2019). Mapping the Risks and Risk Management Practices in Islamic Banking. John Wiley & Sons. El Tiby, A. M. (2011). Islamic banking: how to manage risk and improve profitability. Hoboken, N.J: Wiley. Elgari, M. A. (2003). Credit Risk in Islamic Banking and Finance. Islamic Economic Studies, 10(2), 1-28. Farhan, M., Sattar, A., Chaudhry, A. H., & Khalil, F. (2012). Economic Determinants of Non-Performing Loans: Perception of Pakistani Bankers. European Journal of Business and Management, 4, 87-99. Farhan, M. (2013). Socio-Political and Legal Determinants of Non-performing Bank Loans. University of the Punjab, Lahore, Pakistan. Fooladi, I., & Fatemi, A. (2006). Credit risk management: a survey of practices. Managerial Finance, 32(3), 227-233. Furash, E. E. (1994). Payments system under siege. ABA Banking Journal, 86(6), 55. Goodman, M. (1997). Systems Thinking: What, Why, When, Where, and How? The Systems Thinker, 8(2), 6-7. Greuning, H. van, & Iqbal, Z. (2008). Risk analysis for Islamic banks. Washington, D.C: World Bank. Haron, A., & Hock, J. L. H. (2012). Inherent Risk: Credit and Market Risks. In S. Archer & R. A. A. Karim (Eds.), Islamic Finance (pp. 94-120), Singapore: John Wiley & Sons (Asia). Hassan, A. (2009). Risk management practices of Islamic banks of Brunei Darussalam. Journal of Risk Finance, 10(1), 23-37. Hassan, & Lewis, M. (2007). Handbook of Islamic banking. Cheltenham, UK ; Northampton, MA: Edward Elgar. Hayat, U., & Malik, A. (2014). Islamic Finance: Ethics, Concepts, Practice. Research Foundation Reviews, 9(3), 1-121. Hull, J. (2015). Risk management and financial institutions. 4th Ed., Hoboken: Wiley. Iqbal, Z., & Mirakhor, A. (2011). An introduction to Islamic finance: theory and practice. 2nd Ed., Singapore: Wiley Asia. Islamic Financial Services Board. (2005). Guiding Principles of Risk Management for Institutions (other than Insurance Institutions) Offering Only Islamic Financial Services. Islamic Financial Services Board. Khalid, S., & Amjad, S. (2012). Risk management practices in Islamic banks of Pakistan. Journal of Risk Finance, 13(2), 148-159. Lassoued, M. (2018). Comparative study on credit risk in Islamic banking institutions: The case of Malaysia. Quarterly Review of Economics and Finance, 70, 267-278.

Muhammad Farhan, Hassan Mobeen Alam, Ammara Sattar, Sanam Khan

Lewis, M., & Algaoud, L. M. (2001). Islamic banking. Cheltenham, UK ; Northampton, MA: Edward Elgar. Maierbrugger, A. (2018). Islamic finance assets seen http://gulf-times.com/story/579940 Retrieved December 2018.

$3.8tn

2022.

Misman, F. N., Bhatti, I., Lou, W., Samsudin, S., & Rahman, N. H. A. (2015). Islamic Banks Credit Risk: A Panel Study. Procedia Economics and Finance, 31, 75-82. Rehman, A. A. (2016). A Comparative Study of Risk Management Practices between Islamic and Conventional Banks in Pakistan. 456p. Saba, I. (2017). Islamic Finance—Local and Global Status. In Developments in Islamic Finance, pp. 1-20, Palgrave Macmillan, Cham. SBP. (2008). Risk Management Guidelines for Islamic Banking Institutions. State Bank of Pakistan. SBP. (2018). Islamic Banking Bulletin. State Bank of Pakistan. Schoon, N. (2016). Modern Islamic banking: products, processes in practice. Chichester: John Wiley. Shafique, O., Hassan, M. T., & Hussain, N. (2013). Differences in the risk management practices of Islamic versus conventional financial institutions in Pakistan: An empirical study. Journal of Risk Finance, 14(2), 179-196. Squires, A., Wade, J., Dominick, P., & Gelosh, D. (2011). Building a Competency Taxonomy to Guide Experience Acceleration of Lead Program Systems Engineers. 9th Annual Conference on Systems Engineering Research, pp. 1-10, Redondo Beach, CA. Swartz, N. P. (2012). Risk management in Islamic banking. African Journal of Business Management, 3799-3809. Dr.Muhammad Farhan is Assistant Manager at Askari Bank Ltd. He received his M.Phil degree from the University of the Punjab, Lahore Pakistan. He got a PhD in Finance from the University of the Punjab, Lahore. Dr. Muhammad Farhan’s interests include Islamic Banking & Finance and Risk Management.

Dr.Hassan Mobeen Alam is Professor. He got a Doctor of Philosophy in Finance from Superior University. His research encompasses Corporate Finance, Banking, Quantitative Research, and Accounting.

Ammara Sattar is an Assistant Professor in Commerce and has been serving the Punjab Education Department. She has completed M.Phil in Commerce from the University of the Punjab and continued her PhD study in Finance at the same university. Her areas of interest include Finance, Risk Management, and Corporate Governance.

Sanam Khan is an Auditor/Accounts Officer and working as Audit Officer (Administration) at Punjab Employees Social Security Institution, Punjab Govt. She received her Mphil Degree from Hailey College of Commerce, University of the Punjab, and currently studying her PhD study at the same university.

*Corresponding author (Muhammad Farhan). Email: Farhanlatif12@hotmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16J http://TUENGR.COM/V11B/11A16J.pdf DOI: 10.14456/ITJEMAST.2020.319

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

PAPER ID: 11A16K

LEXICAL FUNCTIONS AND COHESION IN IMRAN KHAN’S SPEECH ON 28 SEPTEMBER 2019 AT THE UNITED NATIONS GENERAL ASSEMBLY Muhammad Asif

, Deng Zhiyong , Amal Hamid Malik , Shamila Roohi , Amir Saeed

School of Foreign Languages, Shanghai University, CHINA. Department of English, Kinnaird College for Women, Lahore, PAKISTAN. 3 Department of English, University of Gujrat, Gujrat, PAKISTAN. 4 Institute of Administrative Sciences, University of Punjab, Punjab, PAKISTAN. 2

ARTICLEINFO

A B S T RA C T

Article history: Received 15 June 2020 Received in revised form 11 September 2020 Accepted 18 September 2020 Available online 25 September 2020

This paper explores, investigates, and analyzes the lexical functions and cohesion in Imran Khan’s speech on September 28, 2019, at the United Nations General Assembly (UNGA). The purpose of this paper is to analyze the significance of functions of cohesive lexical devices and to highlight the various kinds of lexical cohesive devices used in the discourse through analyzing the speech of Imran Khan, depending on Keywords: Halliday and Hasan’s (1976) classifications of lexical cohesion; Lexical function; reiteration, collocation and language functions. These lexical devices and Collocation analysis; language functions emphasize feelings, expressions for purpose of United Nations General Assembly (UNGA); clarification. Repetition stresses the speakers’ ideas. At each use of these Imran Khan’s address; devices, there is a specific purpose. The reader can reach such purpose Lexical cohesion; Speech by using his/her knowledge of the world, which is related to this analysis. particular topic of discourse. The secondary data were used in this study. The data were collected from the website in the form of a transcription of the speech text. The study is qualitative. Only one speech of Imran Khan is selected. The findings reveal that these lexical cohesive devices have discourse value, which enables them to function as means of interaction aimed at influencing the international community. Disciplinary: Multidisciplinary (Linguistics (Speech Analysis), History, International Relations, Global Politics, Religion and Belief). ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Speech is one form of communication activity or given thinking of mind for people that are very necessary for everyday life. A good speech is that the listener can understand a word address very well. This study explores the lexical functions and cohesion in Imran Khan’s maiden speech *Corresponding author (M.Asif). Email: AsifVU@shu.edu.cn ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16K http://TUENGR.COM/V11B/11A16K.pdf DOI: 10.14456/ITJEMAST.2020.320

delivered at the United Nations General Assembly. That was the historical speech of Imran Khan in which he mentions the core issues. Imran Khan delivered his speech on September 28, 2019. He discussed four major aspects of his speech, i.e., changing climate, money laundering, Islamophobia, and the Kashmir issue. There are at least two factors that influence the speech text, cohesion, and coherence. Cohesion is the relationship between sentence and between clauses in text, either in the grammatical phase and lexical phase. There is an association of meaning of speech in discourse or meanings in a text and it is linked through coherence. Carter (1998) elaborates on the term cohesion “how texts are linguistically connected”. This connectivity of clauses and sentences forms the cohesion of a text (Gutwinski, 2011). Halliday and Hasan (1976) describe that cohesion centers the way in which the meaning of elements is construed. In specific terms, cohesion takes place where the interpretation of an item in the discourse is facilitated by the presence of another item. Predominately, cohesion is the set of “non-structural text-forming” relations. Woods (2006) argued that cohesion is defined as a set of explicit linguistic associating with devices that serve to reveal how various parts of a text are related to each other to give the text its structure and texture. Halliday and Matthiessen (2014) classified five cohesive devices, four are grammatical and one is lexical. Following reference, ellipsis, substitution, and conjunction are grammatical cohesive devices that operate within the grammatical zone of lexico-grammar. However, lexical cohesion, as the term implies, works within lexis. Mirzapour and Ahmadi (2011) illustrate that “cohesion can be seen as residing in the semantic and grammatical properties of the language”.

1.1 ASSOCIATION OF COHESION AND COHERENCE It is not so easy to define and differentiate both the terms comprehensively. Both terms have different perspectives. Čarapić (2006) argues that cohesion is the connectedness that entails manifestations in the discourse. On the contrary, coherence is realized by connectedness that is based on knowledge outside the discourse. There is a distinction that is described by Bex (1996), who contemplates that coherence is “the covert meaning relationship among parts of a text” that is made overt by readers or listeners. So, cohesion is regarded as an “overt relationship holding between the parts of the text, expressed by language-specific markers.” Still, in the same field, contextual unity is maintained by coherence, and co-textual unity is created by cohesion (Wilcox & Zuckerman, 2019). Coherence, as presented by Halliday & Hasan (1976), brings up issues about the connection between cohesive devices and textual coherence. These issues, unlike cohesion, are outside the text such as scripts (pre-existing knowledge on how to structure the sequencing of events), speech events, and rhetorical organization and maintaining the topic. Although cohesion and coherence seem to be different from each other, but they have some common features; both are evolving around meaning. Moreover, they have the functional property of merging the text segments to create a unified whole. Even though it is typically conceivable to recognize cohesive and coherent devices, this can now and again be troublesome. In any case, since they have the same work (that of making texts); it is not generally important to recognize them. They are formally instead of functionally opposite, and thus it will think of them as together here. Cohesive ties are the exhibit of semantic relations that frame the reason for attachment between the messages of a text. Halliday & Hasan (1976) take note of the idea of cohesion makes it conceivable to break down a text as far as its cohesion properties, and it gives a methodical record of its examples and surface. Moreover, the numbers and kinds of explicit devices used will point out the

Muhammad Asif, Deng Zhiyong, Amal Hamid Malik, Shamila Roohi, Amir Saeed

quality of the text, since such numbers and kinds underlie functional relations which are also incorporated in the model of discourse structure. Cohesive ties can be shown in the types of reference, substitution, ellipsis, conjunction, and lexical cohesion. Therefore, the researcher will provide much detail about these ties by integrating Halliday & Hasan's (1976) model of cohesion selecting the lexical cohesion in terms of Imran Khan's speech at UNGA.

2 LITERATURE REVIEW The concept of lexical cohesion can be elucidated from different angles. Lexical cohesion is elaborately defined as the set of relationships between open-class items, more specifically, the relations between the content words. When this cohesive dimension is troubled, deriving meaning from a piece of language appears to be difficult (Eggins, 2004). Similarly, (Bloor & Bloor, 2013) point out that lexical cohesion implies the “cohesive effect” that lexical elements have in the discourse where the selection of an element is related to the selections which have gone before. To put it in another way, lexical cohesion is a way of achieving cohesion either by repeating the same word or phrase or using chains of related words that contribute to the continuity of lexical meaning (Baker & Ellece, 2011). Lexical cohesion undoubtedly plays a salient role in deciding the coherence and readability of a text. McCarthy (1991) portrays lexical cohesion as to how words give the text a logical structure that leads to creating understanding. Giving it a more central role Hoey (1991) regards lexical cohesion as the cohesive device that “regularly forms multiple relationships.” Consequently, lexical cohesion is considered the dominant mode of creating texture. Based on Hoey's (1991) opinion, the study of the greater part of cohesion is attributed to the study of patterns of lexis in the texts. In a nutshell, the function of lexical cohesion is indicated by the role that certain basic semantic relations play in forming textuality (McCarthy, 1991). In addition to its cohesive function by tying the text together, lexical cohesion can be manipulated to cause a stylistic effect. In specific terms, lexical cohesion can create variation by substituting one content word for another. Further, this relexicalization leads to the naturalness of the text. Accordingly, the style of the text can be improved by such an elegant variation (Harwood, 2010). From another perspective, Baker and Ellece (2011) consider that the resources of lexical cohesion indicate how speakers and writers employ lexical items to make the text consistently related to their field. To characterize the features of such a cohesive type, it has to be differentiated from the grammatical cohesion. In general, Halliday and Hasan (1976) clarify that the difference between the two cohesive kinds is “one of degree”. Lexical cohesion can be considerably distinguished from grammatical cohesive devices in certain respects. With the grammatical cohesion, the effect seems to be clearer. Noticeably, Tanskanen (2000) and (Hoffmann, 2012) elaborate that grammatical forms of cohesion play a less prominent cohesive role than lexical ones because cohesive connectivity within lexical cohesion does not necessarily precede the regular conceptual interpretation of the cohesive items. Moreover, lexical links are considered more important than grammatical ones because vocabulary items contribute to cohesion and coherence in many ways. In this regard, they constitute lexical fields and establish semantic relationships. Most significantly, they can activate larger text patterns, therefore imposing structure on a whole text (Gramley & Pätzold, 2004). However, it is easy to specify grammatical cohesion since it is concerned with a finite number of grammatical words. *Corresponding author (M.Asif). Email: AsifVU@shu.edu.cn ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16K http://TUENGR.COM/V11B/11A16K.pdf DOI: 10.14456/ITJEMAST.2020.320

Lexical cohesion, on the other hand, is classified as the most problematic category of cohesion because it deals with open rather than closed-class items. At this juncture, there is an unlimited number of open-class words (Carter, 2012). Lexicon and Knowledge about all aspects of vocabularies are essential devices to understand the message in the communication process. Aspects such as word-formation, diachronic development of words, the current meaning of a word, and most important, is the relation between words in meaning and the entrance of words and how they are tackled in dictionaries, are all important issues in the process of creating meaning which is necessary to be understood by speakers and readers (Crystal, 1995). The undertaking of vocabularies to decide meaning in different discourse types and registers leads scholars to think about lexical cohesion. Halliday and Hasan (1976) note on the one hand, that cohesion occurs when the elucidation of some elements is dependent on that of another, on the other hand, present that lexical cohesion in texts occurs through the repetition of some items and complex relation of collocation. McCarthy (1991) defines lexical cohesion as ''the cohesion that arises from semantic relationships between words''. According to Halliday and Hasan (1976), there are five types of lexical cohesive ties that are commonly occurred in text and are accounted for repetition with its sub-classification and collocation. The cohesive devices that are investigated in this paper are the ones that are not only related by their relatedness with each other in the linguistic system but also according to their relatedness ''in the context of the related lexical items that provide cohesion and [give] to the passage the quality of text'' (Halliday & Hasan, 1976). Halliday and Hasan (1976) view the text as a "unified whole rather than a collection of unrelated sentences". They consider cohesion as non-structural relations over the sentence, as part of the textual component in the semantic framework. Inside the Functional Grammar Theory Structure, the semantic framework is one of three levels that constitute the linguistic framework: semantic, lexico-grammatical, and phonological (Halliday & Hasan, 1976). Three noteworthy practical parts of meaning are associated inside the semantic framework and are figured out: the ideational meaning, the interpersonal meaning, and the textual meaning (Michael Halliday et al., 2014). While the ideational part is "concerned with the expression of content", the interpersonal is concerned with the social and expressive capacity of language, i.e., the speaker/author's states of mind and judgments. The textual meaning is the 'text formingâ€™ of language that represents the surface structure of the text (Halliday & Hasan, 1976). Inside the textual component, cohesion assumes a unique part in the making of content by communicating coherence between one part in the text and another. Coherence, as presented by (Halliday & Hasan, 1976), brings up issues about the connection between cohesive devices and textual coherence. These issues, unlike cohesion, are outside the text such as scripts (pre-existing knowledge on how to structure the sequencing of events), speech events, and rhetorical organization and maintaining the topic. Although cohesion and coherence seem to be different from each other, they have some common features; both are evolving around meaning. Moreover, they have the functional property of merging the text segments to create a unified whole. Although it is typically conceivable to recognize cohesive and coherent devices, this can now and again be troublesome. In any case, since they have the same work (that of making texts); it is not generally important to recognize them. They are formally instead of functionally opposite, and thus it will think of them as together here.

Muhammad Asif, Deng Zhiyong, Amal Hamid Malik, Shamila Roohi, Amir Saeed

Figure 1: Lexical cohesion model (source: Sirithumgul and Olfman, 2013). Halliday and Hasan (1976) recommended two major types of lexical cohesion, i.e., reiteration and collocation. They further describe that lexical cohesion means sentences, topics, or phrases, each of which can be categorized by meanings or the association of meanings. Reiteration and collocation cohesion can be categorized into sub-cohesion as displayed in Figure 1. The research question is based on the gap of the previous studies, that how does lexical cohesion play a role in Imran Khan’s speech delivered at UNGA? Thus, this study explores the function of lexical cohesion in the speech of Imran Khan at UNGA, i.e., to recognize the lexical features of Imran Khan’s speech, and to analyze the function of the lexical features of the speech.

3 RESEARCH METHODOLOGY Based on the qualitative method, this research is analyzed with the descriptive method to describe the lexical cohesion devices with cohesion in Imran Khan’s speech. The secondary data were also used. The speech text is downloaded from i.e., http://www.brecorder.com/2019/09/27/524851/full-transcript-of-prime-minister-imran-khans-speech-at-the-unga

The speech of Imran Khan was analyzed in terms of lexical cohesion in tables and graphs. Only one speech is selected that was delivered at the United Nations General Assembly on September 28, 2019. In analyzing Imran Khan’s speech, the researcher focused on lexical cohesion devices and types of associative meaning. Furthermore, the findings that have been completed and classified into several types, it is then, to be interpreted. The following are the lexical cohesion devices, i.e., reiteration (repetition, synonym, near-synonym, superordinate) and collocation.

4 DISCUSSION AND FINDINGS Table 1 summarizes the results of the lexical cohesive devices and their frequency in the analyzed data. The results of the analyzed data reveal that there are 210 recurrences of lexical cohesion (Reiteration & Collocation). Among lexical cohesive devices of reiteration type, the most frequently used devices are repetition repetitive devices. Repetition is the most prolific form that is used to stress the speaker's ideas. There are 78 recurrences for repetitive devices. Imran Khan through his repetition of some words, phrases, and sentences tries to introduce some form of authenticity and emphasis to the most pressing and burning issues to make it vivid and efficient before the world leaders. However, repetition is a useful factor to help to achieve his goal. The repetitive items are seen once preceded with the definite article and another without.

*Corresponding author (M.Asif). Email: AsifVU@shu.edu.cn ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16K http://TUENGR.COM/V11B/11A16K.pdf DOI: 10.14456/ITJEMAST.2020.320

80 60 40

Frequency 35

21 8

Figure 2: Types and Frequency of Lexical Cohesion. The same reference is repeated over and over to make the discourse coherent. Moreover, repetition in the discourse is directed to add discoursal value functions at influencing the nation and achieving particular purposes. For example, the repetition of Imran Khanâ€™s first aspect of climate change, brought attention to the whole world and the second aspect was money laundering, third was Islamophobia, and finally, he discussed the Kashmir issue. This lexical cohesive device of repetition can help in conveying Imran Khan's feelings and create the spirit of enthusiasm to aware of the core issues from its reality to the world. It helps the Imran Khan to focus attention and give high value to those aspects that are neglectable in the eyes of the world. The next lexical cohesive device of reiteration that was employed in the discourse is synonymy. Synonymous types rate 34 occurrences. They are used to extend the discourse with efficient ideas. Each synonymy used adds a new sense that has at its bases of implications. Imran Khan tries to make the world leaders accounted for the ideas and subject matter through the use of this device. Synonyms take different word classes in the analyzed discourse. The afterward reiteration type is the general noun. It appears in 28 recurrences to come among reiteration types. The generalized meaning of a set of noun classes is employed in this discourse, such as human beings. Imran Khan uses the nouns like Muslims many times and the Western World. He also mentioned the name of Modi several times as a terrorist. Imran Khan used referents in his speech. The use of the full form of referents instead of their pro-forms indicates the new concepts in the text and that these referents are in the focus of attention. Halliday and Hasan (1976) state the difference between using the generalized reference of the class of the general noun and the use of the anaphoric reference is that ''the form with a general noun, the man, opens up another possibility, that of introducing an interpersonal element into the meaning, which is absent in the case of the personal pronoun''. Hence the lexical devices of the general noun are of interest in the discourse as they appear in their occurrence in the analyzed text. Also, the text contains some cohesive links through the use of subordinate devices. There are (8) instances of subordinate forms. For example, came to this forum is a subordinate form since its meaning is included in the existence of Imran Khan before the leaders of the world. A hierarchical semantic relationship also found between the role of the form of United Nations leaders (subordinates) and 'people' (superordinate). The words 'duty, country, and God' are subordinate forms which included in the meaning of the superordinate phrase.

Muhammad Asif, Deng Zhiyong, Amal Hamid Malik, Shamila Roohi, Amir Saeed

Table 1: The description of the functions of language: Function Instrumental

Personal

Interactional

Regulatory

Representational

Heuristic

Imaginative

Examples "I want to ..." "And this is where I want the United Nations to take the lead in invoking this will..." "Most important thing I want to say, to explain this Islamophobia, I’ve played cricket in the West & I know how the western mind works. One of the reasons for Islamophobia; in 1989 this book was published maligning, ridiculing our Prophet (PBUH) ". "Now I want to move on to talk about Kashmir. When we came into power, my priority was that Pakistan would be that country that would try its best to bring peace". "I stand here at this forum of world leaders where we have a chance to discuss the problems the world is facing." "I especially came to this forum despite a difficult time in my country; facing challenges…" "I would not have come...." "I don’t see world leaders realizing...." "I took charge of our government a year back...." "I’ve played cricket in the West & I know how the western mind works..." "I blame some people in the West who provoked Muslims..." "I would say and educate the world about Islam..." "I want to move on to talk about Kashmir..." "I know that India keeps saying we have militant organizations." "I invite UN observers..." "I told India to give us any proof..." "I have to explain what the RSS is..." "I picture myself in Kashmir..." "I feel we are back in 1939 Munich..." "I am not threatening here..." "We have a lot of ideas, but as they say, ideas without funding are mere hallucinations...." "Mr. President; every year billions of dollars leave poor countries & go to rich countries...." "The rich countries must show political will; they cannot allow this flight of capital from poor countries through corruption...." "In western society, the holocaust is treated with sensitivity because it hurts the Jewish community...." "No Pakistani was involved in 9/11....." "Instead of sharing proofs of any Pakistani's alleged involvement in Pulwama attack; they tried to bomb us...." "Mr. President; I have to explain what the RSS is. Mr. Modi is a life member" of RSS....." "What I know of the west, they wouldn’t stand for 8 million animals to be locked up....." "The Prophet (PBUH) announced that one of the greatest deeds is to free a slave. But if you have to; treat them as an equal member of the family....." "You can all just Google the founding fathers of the RSS like Golwalkar. This ideology of hate murdered Mahatma Gandhi...." "You think Kashmiris will accept a new status quo under revocation of Article 370...." "Don’t you think that 180 Million Muslims will be radicalized in India...." "If you are doing this to human beings, pushing them, you are leading to radicalization...." "Either you surrender, or you fight till the end". "You are the one who said Kashmir right to self-determination". "I'll tell you." "I know." "I would say and educate the world about Islam..." "I know that India keeps saying we have militant organizations." "I want to move on to talk about Kashmir..." "I feel we are back in 1939, Munich..." "I am not threatening here..." "Why is it legal to have tax havens where you have these secret accounts"? "And why has this happened' because certain western leaders equated Islam with terrorism". "Why is there Islamophobia' How will an average American differentiate between a moderate Muslim and a radical Muslim' this has nothing to do with our religion". "What is radical Islam' There is only ONE Islam and that is the Islam of Prophet (PBUH) ". "The west could not understand what the problem was. They don’t look at religion the way that we do". "Why would we ever want to disrupt peace' But it is because there is no other narrative left for India. There will be another Pulwama incident because of their cruelty in Kashmir, they will blame us and try to bomb us again". "Mr. President, I have to explain what the RSS is. Mr. Modi is a life member" of RSS" "What kind of a mind-set locks up 8 million people' Women, children, sick people", "What will happen when the curfew is lifted' Modi says this is done for the prosperity of Kashmir". "And this is why the UN has a responsibility. This is why you came into being in 1945"! "And what about 1.3 billion Muslims who are watching this knowing that this is only happening to Kashmiri Muslims" "What has been the response of the world community on any atrocities in the Muslim world". "First let me talk about climate change ..." "I blame some people in the West who provoked Muslims. But this is where the majority of the Muslim leaders let the Muslim community down...." "And then India; let me tell you my relationship with India. Because of cricket, which is followed with great passion in the subcontinent...?" "So my first move was to reach out to Modi & I said let’s work our differences, leave our past behind & our main priority should be our people as we have similar problems; poverty & climate change. The highest number of people reside in the subcontinent".

Through these forms of subordinate, Imran Khan tries to urge the world that it is time to wake now and to take action; he is also trying to provide them with the spirit of enthusiasm. The word ‘people’ in '…all for our people' is a subordinate form of the superordinate 'country'. The second type of lexical cohesion is collocation. Collocation shows 21 occurrences. They are as presented in the discourse above, create a more dynamic and comprehensive discourse which resulted from the concurrence of the lexical items employed in the text such as the occurrence, recurrence, and co-occurrence all over the discourse. Maw (1976) describes functions of language are described very comprehensively in terms of Imran Khan’s speech delivered at UNGA. This was his first speech. His speech is quoted with examples of the function of language by Halliday. These lexical devices and language functions emphasize feelings, expressions for purpose of clarification. Repetition stresses the speakers’ ideas. At each use of these devices, there is a certain purpose. The reader can reach such purpose through using his/her knowledge of the world which is related to this particular topic of discourse.

Figure 3: Halliday’s function of language is demonstrated in the bar chart. Figure 3, the bar graph demonstrates Halliday’s functions of language in terms of Imran khan’s speech. The personal pronouns are used frequently in the speech. While the heuristic function of language presented thirteen times in the speech of Imran Khan. The basic purpose of Halliday’s function of language is to convey the facts and information. Imran Khan’s speech also presents Halliday’s function of language.

5 CONCLUSION Imran Khan uses some of the explicit lexical cohesive devices to achieve his goals. First of all, the subject of scouting concerning to the communicative events of political text helps to understand and interpret the meaning of Imran Khan’s discourse. The speech of Imran Khan at UNGA provides a summary of the information about the content of the discourse. The theme of the speech is important and something crucial in the interpretation of the discourse structure as it helps withdraw the items into one point, that is, the point of interpretation that limits the reader to think only about the conventional meaning relevant to the topic of discourse topic. The lexical cohesion devices; most kinds of lexical cohesion dominant used in this speech is repetition. The second dominant used in this speech is a synonym. The third dominant used in this speech is collocation, the next dominant used in this speech is a noun and the least dominant used in this speech is superordinate. The most dominant used repetition in Imran Khan’s speech indicated

Muhammad Asif, Deng Zhiyong, Amal Hamid Malik, Shamila Roohi, Amir Saeed

that he used repetition as an affirmation of meaning and adds aesthetic value to the sentence. Related with the theory of Keraf (Zakiyah, 2015), it is mentioned that repetition is a repetition of sounds, syllables, words, or parts of the sentence that are considered necessary to put pressure in an appropriate context. In the speech, Imran Khan emphasized to the leaders of the world to focus on the core issues, i.e., Climate change, Money laundering, Islamophobia, and the Kashmir. Consequently, the speech was well-received by the members of the UN General Assembly and the serious audience globally.

6 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

7 REFERENCES Baker, P., & Ellece, S. (2011). Key terms in discourse analysis: A&C Black. Bloor, T., & Bloor, M. (2013). The functional analysis of English: A Hallidayan approach: Routledge. Čarapić, A. (2006). Introduction to Discourse Studies: Jan Renkema, John Benjamins Publishing Company, Amsterdam/New York (2004). x+ 363 pages, EUR 115: Elsevier. Carter, R. (2012). Vocabulary: Applied linguistic perspectives: Routledge. Crystal, D. (1995). Cambridge Encyclopedia of the English Language: Canadian Edition: Cambridge University Press. Eggins, S. (2004). Introduction to systemic functional linguistics: A&C Black. Gramley, S., & Pätzold, K.-M. (2004). A survey of modern English: Routledge. Gutwinski, W. (2011). Cohesion in literary texts: A study of some grammatical and lexical features of English discourse, 204, Walter de Gruyter. Halliday, M., & Hasan, R. (1976). Cohesion in English London: Longman Group. Halliday, M., Matthiessen, C. M., & Matthiessen, C. (2014). An introduction to functional grammar: Routledge. Harwood, N. (2010). English language teaching materials: Ernst Klett Sprachen. Hoey, M. (1991). Patterns of lexis in text. Vol. 299: Oxford University Press Oxford. Hoffmann, C. R. (2012). Cohesive profiling: Meaning and interaction in personal weblogs (Vol. 219): John Benjamins Publishing. Maw, J. (1976). MAK Halliday: Learning how to mean: explorations in the development of language. (Explorations in Language Study.)[xii], 164 pp. London: Edward Arnold, 1975.£ 2.75. Bulletin of the School of Oriental and African Studies, 39(1), 243-243. McCarthy, M. (1991). Discourse analysis for language teachers: Cambridge University Press. Mirzapour, F., & Ahmadi, M. (2011). Study on Lexical Cohesion in English and Persian Research Articles (A Comparative Study). English Language Teaching, 4(4), 245-253. Sirithumgul, P., & Olfman, L. (2013). A model for measuring knowledge constructions of students in online discussions. The 24th Australasian Conference on Information Systems (ACIS). Tanskanen, S.-K. (2000). Collaborating towards Coherence: lexical cohesion across spoken and written discourse in English: the University of Turku, Department of English. *Corresponding author (M.Asif). Email: AsifVU@shu.edu.cn ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16K http://TUENGR.COM/V11B/11A16K.pdf DOI: 10.14456/ITJEMAST.2020.320

Wilcox, K. C., & Zuckerman, S. J. (2019). Building Will and Capacity for Improvement in a Rural Research-Practice Partnership. Zakiyah, Z. (2015). Analysis of Figurative Language in the Advertisement Taglines in Indonesia Tatler Magazine. Brawijaya University. Asif is a PhD (Linguistics) Research Scholar at Shanghai University of China. Asifâ€™s research areas of interest are Linguistics, Applied Linguistics Rhetoric, Discourse Analysis, Stylistics, Pragmatics, and ELT.

Prof Deng Zhiyong is Dean of the School of Foreign Languages at Shanghai University, China. His areas of interest are (Western) Rhetoric; Discourse Analysis; Stylistics; Linguistics and English Composition Studies.

Amal Hamid Malik is an MPhil Scholar at Kinnaird College for Women, Lahore, Pakistan. Her research areas are Linguistics, Applied Linguistics, Semantics, Sociolinguistics, Discourse Analysis, Pragmatics, and ELT, and Applied Linguistics from a Foreign University.

Shamila Roohi is a Lecturer of English at the University of Gujarat. She got an M.Phil (Linguistics) from the University of Lahore, Punjab, Pakistan. Her research areas are Linguistics, Applied Linguistics, Discourse Analysis, Pragmatics, and ELT.

Dr. Amir Saeed is an Assistant Professor at the University of Punjab. He received his PhD degree from Utrecht University, Netherlands. His areas of interest are Policymaking, Governance, Public Policy, Health reforms, Pakistan's Economic and Political History, International Relations, Global Politics.

Muhammad Asif, Deng Zhiyong, Amal Hamid Malik, Shamila Roohi, Amir Saeed

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

PAPER ID: 11A16L

FRACTAL MODEL OF MICROORGANISMS BIO CONSOLIDATION INTO LAYING HENS INTESTINES BY FEEDING SHUNGITE MINERAL ADDITIVE Ivan Kochish

, Nikolay Vorobyov , Ilya Nikonov , Marina Selina

Department of Zoohygiene and Poultry, Moscow State Academy of Veterinary Medicine and Biotechnology MVA by K.I. Skryabin, RUSSIA. 2 All-Russia Research Institute for Agricultural Microbiology, RUSSIA. ARTICLEINFO

A B S T RA C T

Article history: Received 03 August 2020 Received in revised form 01 September 2020 Accepted 15 September 2020 Available online 26 September 2020

This study determines the index of bio consolidation of microorganisms in the intestines of laying hens and assesses the influence of the feed additive from the shungite mineral on the self-organization of the microbial-organismic biosystem in the intestines of birds. Solve this problem was in a vivarium, an experiment on laying hens (cross Hisex Brown). The experimental group's layers differed from the control one by introducing a feed additive from shungite at a dosage of 1 kg per ton of compound feed. To calculate the index of bio consolidation of microorganisms in microbial biosystems and the index of the composition of chemical elements in shungite and mixed feed was built a fractal portrait of the corresponding series of numbers. It is reflecting the sequence of numbers of microorganisms or the content of chemical elements in shungite. It is detected that shungite, with its unique ratio of chemical elemental composition, favorably affects the self-organization of microbial-organismic biosystems in the intestines of laying hens.

Keywords: Taxonomic composition, Molecular genetic method, Chicken feed; Fractal analysis; Microbial-organismic biosystem; Animal feed additive.

Disciplinary: Animal Science, Animal Feed Biotechnology, Veterinary, Biology, Biochemistry.

Bioscience

and

1. INTRODUCTION The chickens' microorganism and microflora of its intestines are an integral microbial-organismic biosystem. It is in a state of dynamic equilibrium with a relatively constant taxonomic composition of the microbiome. Some factors significantly influence the efficiency of the intestinal microbiota's transforming activity, its taxonomic design, and the level of systemic organization: age of chickens, feed composition, antibiotics, toxins, and the presence of pathogenic microorganisms (Biggs et al., 2007; Chichlowski et al., 2007; Stanley et al., 2014). In this regard, the *Corresponding author (Ivan Kochish). E-mail: kochish@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16L http://TUENGR.COM/V11B/11A16L.pdf DOI: 10.14/ITJEMAST.2020.321

intestinal microflora becomes the main object of the study of chickens' heals status and a key indicator of their physiological state. Modern molecular genetic techniques have provided researchers with expanded opportunities for studying the gut microbiome of chickens. Taxonomic analysis of the data obtained by the molecular genetic method made it possible to isolate up to 140 bacterial genera at low levels of cell concentration, of which the 16S rRNA gene identified only 10%, and the rest belong to new species or even new genera (Amit-Romach et al., 2004; Apajalahti et al., 2004). In addition to taxonomic analysis, fractal analysis (Mandelbrot, 2002) of the frequency-taxonomic spectra of microbial communities in chicken intestines makes it possible to extract quantitative and qualitative information self-organization microbial-organismic biosystems in the intestines of birds. In the gastrointestinal tract of chickens, microorganisms and enzymes of compound feed destroy vegetable fiber to monomers. It is most likely that microorganisms achieve high-speed characteristics to decompose plant cellulose only with joint concerted actions. Each enzyme is synthesized in the required amount by only one microorganism (Tsarkova et al., 2016). In this case, all microorganisms can start simultaneously and release the entire complex of enzymes. With biosystemic microbiological destruction, favorable conditions are to implement the best scenario for the orderly release of enzymes by microorganisms for the economic and rapid decomposition of fiber (Nikonov et al., 2018; Lenkova et al., 2019). In the case of biosystem destruction, the fluxes of enzymes and the number of microorganisms secreting these enzymes should be proportional in number not only to each other but also to the number of target restriction sites in organic molecules of the decomposed plant substrate. It can assume that if the first, second, and third types of restriction sites are present in organic molecules in a ratio of 3:2:1, then the fluxes of the corresponding enzymes and the number of related microorganisms should also correlate as 3:2:1. At the genetic level, the location of different types of restriction sites and their relative amounts in organic molecules obey fractal laws (Cattani and Pierro 2013; Karetin, 2016). Based on this, we formulated a unified fractal mathematical model to describe the ratio of microorganisms in destructive biosystems and to describe the content of chemical elements in a mineral feed additive and compound feed, especially in the plant part. Until the end, an unsolved problem remains to establish the relationship between self-organization microbial-organismic biosystem in birds' intestines and sanitary conditions of keeping and the chemical composition of the food rations of birds. Besides, it is necessary to find a quantitative indicator of the mismatch of biosystem biochemical processes in birds' intestines under biotic and abiotic external influences. The study determines the index of bio consolidation of microorganisms in the intestines of laying hens and assesses the level of influence of the feed additive from the shungite mineral (Vaisberg et al., 2018) the self-organization of the microbial-organismic biosystem in the intestines of birds.

2. MATERIALS AND METHODS The experiment was undertaking on laying hens (cross "Hisex Brown") in the vivarium of the International Laboratory of Molecular Genetics and Poultry Genomics of "Moscow State Academy of Veterinary Medicine and Biotechnology - MBA named after K. I. Skryabin". For the experiment, by the principle of analog, we selected the laying hens aged 205-207 days.

Ivan Kochish, Nikolay Vorobyov, Ilya Nikonov, Marina Selina

The experimental group's layers differed from the control one by introducing a feed additive from shungite at a dosage of 1 kg per ton of compound feed. Shungite has useful sorption property of non-polar mycotoxins and the property of an acidifier. The diet of layers of the parent flock was by the recommendations of All-Russian Research and Technological Poultry Institute. The fodder additive based on the shungite mineral obtained from the Zazhoginsky deposit in the Republic of Karelia had the chemical composition for crucial micro- and macroelements, see Table 1. Table 1: The element's content in shungite of Zazhoginskoye mining. Chemical elements C Si Al Fe Mg Ca S K Na P Mn Zn Cu

mg/100 g shungite 34.8 23.07 6 3.5 1.8 1.2 1.2 1.01 0.25 0.08 0.022 0.008 0.0058

mMol/100 g of shungite 2.90 0.821 0.222 0.0627 0.0741 0.0299 0.0374 0.0258 0.0109 0.00258 0.000400 0.000122 0.000091

The cecum microbiota's frequency-taxonomic composition in laying hens was determined using the high-throughput sequencing (also called Next-generation sequencing (NGS)) method based on the feeding experience results. For assessing the influence of external factors on the microbial-organismic biosystem was developed a unified fractal model (from now on referred to as the Fr1 model) (Vorobyov et al., 2019), which is a finite series of numbers decreasing according to a power law: đ??šđ??šđ??šđ??š1: 2đ?‘?đ?‘? , 2đ?‘?đ?‘? â‹… đ?‘žđ?‘ž âˆ’1 , 2đ?‘?đ?‘? â‹… đ?‘žđ?‘ž âˆ’2 , 2đ?‘?đ?‘? â‹… đ?‘žđ?‘ž âˆ’3 , . . . , 2đ?‘?đ?‘? â‹… đ?‘žđ?‘ž âˆ’đ?‘ đ?‘ 1

ďż˝1âˆ’ ďż˝

(1),

ďż˝1+ ďż˝

where đ?‘žđ?‘ž = 2 đ?‘ đ?‘ . . . 2 đ?‘ đ?‘ , đ?‘?đ?‘? = -1 â€Ś 0, đ?‘ đ?‘ = 3 â€Ś âˆž. In logarithmic form, the Fr1 model can represent by an arithmetic series of numbers (from now on the Fr2 model): đ??šđ??šđ??šđ??š2: đ?‘?đ?‘?, âˆ’đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) + đ?‘?đ?‘?, âˆ’2 â‹… đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) + đ?‘?đ?‘?, âˆ’3 â‹… đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) + đ?‘?đ?‘?, . . . , âˆ’đ?‘ đ?‘ â‹… đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) + đ?‘?đ?‘? (2),

where đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) = 1 âˆ’

đ?‘ đ?‘ ...1+đ?‘ đ?‘

b = -1 â€Ś 0; đ?‘ đ?‘ = 3 â€Ś âˆž

Each numerical position of the Fr1 and Fr2 models specifies not the absolute value of microorganisms in the microbial-organismic biosystem of birds' intestines but their relative numerical status concerning the rest of the microbial components biosystems. It had emphasizes that for any total number of microorganisms in birds' intestines, their percentages remain unchanged. Unified fractal models Fr1 and Fr2 can apply to numerical series formed from data on the content of chemical elements in Shungite or plants. Each position of the corresponding model series of numbers sets the relative range of chemical elements in Shungite or plants following the fractal power law. The actual numerical series of microorganisms and trace elements will differ from the Fr1 and Fr2 models. Namely, the degree of discrepancy between the model and existing series will further assess the strength of external factors' impact on chickens' microbial-organismic biosystem. *Corresponding author (Ivan Kochish). E-mail: kochish@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16L http://TUENGR.COM/V11B/11A16L.pdf DOI: 10.14/ITJEMAST.2020.321

In the fractal portrait, the Fr2 model can be represented by circles, which, regardless of the Fr2 model's parameters, are always located along a straight line (Figure 1). In fractal portraits, the Y- and X-coordinates of the circles depicting the members of the Fr2 model series are ďż˝

đ?‘Œđ?‘Œđ?‘—đ?‘— = âˆ’đ?‘—đ?‘— â‹… đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) + đ?‘?đ?‘? đ?‘‹đ?‘‹đ?‘—đ?‘— = "fractional part" [âˆ’đ?‘—đ?‘— â‹… đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 (đ?‘žđ?‘ž ) + đ?‘?đ?‘? ] 1

ďż˝1âˆ’ ďż˝

(3)

ďż˝1+ ďż˝

where đ?‘žđ?‘ž = 2 đ?‘ đ?‘ . . . 2 đ?‘ đ?‘ , đ?‘?đ?‘? = -1 â€Ś 0; N = 3 â€Ś âˆž; ; đ?‘—đ?‘— = 2, ..., đ?‘ đ?‘ . The first position (đ?‘—đ?‘— = 1) is not displayed in fractal portraits and is ignored in further calculations, since its coordinates are fixed (đ?‘Œđ?‘Œ = 0, đ?‘‹đ?‘‹ = 0).

A - Fr2: q = 1.89, b = 0, N = 12; Fr3: YCP = -6.0, XCP = -0.47, đ?‘Žđ?‘Žđ?‘šđ?‘š = -0.089. B - Fr2: q = 2, b = -0.5, N = 12; Fr3: YCP = -6.5, XCP = -0.5, đ?‘Žđ?‘Žđ?‘šđ?‘š = 0. C - Fr2: q = 2.11, b = 0, N = 12; Fr3: YCP = -7.0, XCP = -0.50, đ?‘Žđ?‘Žđ?‘šđ?‘š = 0.072. The circles represent the portrait of the Fr2 model, and the dashed line represents the Fr3 model.

Figure 1: Fractal portraits of the Fr2 and Fr3 models with different numerical parameters. Regardless of the values of the Fr2 model's parameters, the circles displaying by their position on the fractal portrait the members of its series are always on straight lines differing only in the inclination (tangent of the angle Ď•, Figure 1C) to the coordinate axes. This fundamental property of the Fr2 model allows one to approximate the corresponding circles' locations in the fractal portrait by the following linear dependence (from now on, the Fr3 model) (4). đ??šđ??šđ??šđ??š3: đ?‘‹đ?‘‹(đ?‘Œđ?‘Œ) = đ?‘Žđ?‘Žđ?‘šđ?‘š â‹… (đ?‘Œđ?‘Œ âˆ’ đ?‘Œđ?‘ŒCP) + đ?‘‹đ?‘‹CP

Where đ?‘‹đ?‘‹CP =

Nâˆ’1

j=N

â‹… âˆ‘j=2 đ?‘‹đ?‘‹đ??˝đ??˝ ; đ?‘Œđ?‘ŒCP =

Nâˆ’1

j=N

â‹… âˆ‘j=2 đ?‘Œđ?‘Œđ??˝đ??˝ ;

(4) đ?‘‹đ?‘‹đ??˝đ??˝ and đ?‘Œđ?‘Œđ??˝đ??˝ - coordinates of circles calculated

by Formula (3); đ?‘—đ?‘— = 2, ..., N; đ?‘Žđ?‘Žđ?‘šđ?‘š - coefficient of linear approximation of circles' location in the fractal portrait. The first position (đ?‘—đ?‘— = 1) in determining the parameters of the Fr3 model is not taken into account since its coordinates are fixed (X = 0, Y = 0) and do not determine the specifics of the location of the circles on the fractal portrait.

3. RESULTS AND DISCUSSION The calculation for the index of bio consolidation of microorganisms in microbial biosystems and the index of the composition of chemical elements in shungite and mixed feed, it is necessary to construct a fractal portrait of the corresponding series of numbers and analyze the arrangement of

Ivan Kochish, Nikolay Vorobyov, Ilya Nikonov, Marina Selina

circles in the picture depicting the sequence of numbers of microorganisms or the content of chemical elements in shungite or plants. To construct a fractal portrait of the community of microorganisms in the intestines of chickens (or the content of chemical elements in shungite and plants), it is necessary to first transform the initial numerical data into a series of decreasing dimensionless numbers, similar to how numerical sequence are in the Fr1 or Fr2 models. Table 3 shows an example of the necessary transformations of the initial amounts of microorganisms in chickens' intestines based on the feeding experience results. These data are used to dimensionless form with calculation X- and Y-coordinates of the circles representing the location of groups of microorganisms in the fractal portrait. The data in the first line of Table 2 are not displayed in the picture since they are unchanged for all illustrations. Table 2: Fractal portrait of microorganisms into intestines. Microorganism Phylum Bacteroidetes Genus Clostridiales Phylum Proteobacteria Genus Lactobacillales Gamma Proteobacteria Class Genus Enterobacteriaceae Phylum Firmicutes Genus Selenomonadales Phylum Tenericutes Phylum Synergistetes Genus Bifidobacteriales Phylum Actinobacteria

đ?‘?đ?‘?đ?‘—đ?‘— â „đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š 1 0.630666 0.365847 0.353595 0.236076 0.149816 0.073791 0.009471 0.004514 0.001838 0.001480 0.000267

đ?‘Œđ?‘Œđ??˝đ??˝ 0 -0.665 -1.451 -1.500 -2.083 -2.739 -3.760 -6.722 -7.791 -9.088 -9.401 -11.872

đ?‘‹đ?‘‹đ??˝đ??˝ 0 -0.665 -0.451 -0.500 -0.083 -0.739 -0.760 -0.722 -0.791 -0.088 -0.401 -0.872

The đ?‘Œđ?‘Œđ?‘—đ?‘— and đ?‘‹đ?‘‹đ?‘—đ?‘— are coordinates of the circles depicting their position, calculating a group of

microorganisms in the fractal portrait, as ďż˝

đ?‘Œđ?‘Œđ?‘—đ?‘— = đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 ďż˝

đ?‘?đ?‘?đ?‘—đ?‘—

đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š

ďż˝

đ?‘‹đ?‘‹đ?‘—đ?‘— = "fractional part"log2 ďż˝

đ?‘?đ?‘?đ?‘—đ?‘—

đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š

ďż˝

(5),

where đ?‘?đ?‘?đ?‘—đ?‘— â „đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š = 35.37% is the averaged over replicates relative amount of microorganisms with a

serial number ( đ?‘—đ?‘— ) in a series of numbers and the relative amount of a significant group of microorganisms (in the variant of the experiment with the use of shungite, this is Phylum Bacteroidetes) (Table 3); đ?‘—đ?‘— = 2, ..., N; N is the number of controlled groups of microorganisms or analyzed chemical elements.

In fractal portraits, those chemical elements or groups of microorganisms (đ?‘—đ?‘— = 1), which are characterized by the maximum number of đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š , are not depicted as circles since their coordinates in the portrait are fixed (Y1 = 0, X1 = 0) and do not determine specific differences in the structures of the pictures. Fractal portrait construction (Figure 2B) used Table 3 data for groups of microorganisms in the experiment's variant with shungite. Similarly, a fractal picture (Figure 2A) shows the fractal topology of chemical elements in Shungite. A fractal portrait (Figure 2C) shows the fractal topology of chemical elements plants. In fractal pictures, there are no circles associated with chemical elements or microorganisms characterized by the maximum amount since their coordinates are fixed (Y = 0, X = 0) and do not determine specific differences in the structure of the portraits. *Corresponding author (Ivan Kochish). E-mail: kochish@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16L http://TUENGR.COM/V11B/11A16L.pdf DOI: 10.14/ITJEMAST.2020.321

Rhombuses represent conditionally pathogenic microorganisms, and circles - useful microorganisms. The dotted lines represent the Fr3 model. Solid lines indicate chemical elements and microorganisms, the ratio of which corresponds to the Fr3 model. dj is the partial deviation from the fractal model Fr3 of the amount of a chemical element or the number of microorganisms with a serial number (j). 1-phylum Actinobacteria; 2-Genus Bifidobacteriales; 3-Phylum Bacteroidetes; 4-Phylum Firmicutes; 5-Genus Lactobacillales; 6-Genus Clostridiales; 7-Genus Selenomonadales; 8-Phylum Proteobacteria; 9-Genus Enterobacteriaceae; 10-Class Gamma Proteobacteria; 11-Phylum Synergistetes; 12-Phylum Tenericutes.

A - the content of chemical elements in shungite (Table 2), Fr3: XCP = -0.54, YCP = -8.04, đ?‘Žđ?‘Žđ?‘šđ?‘š = 0.009 Âą 0.003; đ??źđ??źđ??šđ??š = 0.50 Âą 0.03. B - the ratio of microorganisms in the experiment with shungite (Table 3), Fr3: XCP = -0.55, YCP = -5.19, đ?‘Žđ?‘Žđ?‘šđ?‘š = 0.012 Âą 0.003; đ??źđ??źđ??šđ??š = 0.55 Âą 0.03. C - the ratio of chemical elements in plants (according to literature data), Fr3: XCP = -0.58, YCP = -12.8, đ?‘Žđ?‘Žđ?‘šđ?‘š = -0.005 Âą 0.003; đ??źđ??źđ??šđ??š = 0.88 Âą 0.03.

Figure 2: Fractal portraits

Plants during their development and the microbial community in the intestines of birds are under the constant influence of biotic and abiotic factors, which leads to destabilization of biosystem processes and deviation of the ratio of microorganisms or the rate of chemical elements in Shungite or plants from the Fr3 model. Therefore, the standard deviation of circles (or rhombuses) from the Fr3 model will then calculate the bio consolidation index of the microbial component of the microbial-organismic biosystem of the avian intestine. The standard deviation of the arrangement of circles associated with the content of chemical elements in shungite will calculate the index of the fractal composition of chemical elements in shungite or plants. Simultaneously, we assume that the index of bio consolidation of microorganisms and the index of the chemical elements in plants and shungite equally reflect the microbial-organismic biosystem's response to external biotic, abiotic influences. In other words, the greater the deviation from the fractal power-law dependence is in the studied numerical series, the greater the disorganization of biochemical processes is in the biosystems under consideration. Thus, bio consolidation and composition indices had calculated using đ??źđ??źđ??šđ??š = ďż˝1 âˆ’ ďż˝

đ?‘ đ?‘ âˆ’1

j=đ?‘ đ?‘

â‹… âˆ‘j=2 đ?‘‘đ?‘‘đ?‘—đ?‘—2 ďż˝ â‹… đ?‘…đ?‘…

Where đ?‘‘đ?‘‘đ?‘—đ?‘— = Xđ?‘—đ?‘— âˆ’ đ?‘Žđ?‘Žďż˝đ?‘Œđ?‘Œđ?‘—đ?‘— âˆ’ đ?‘Œđ?‘ŒC.P. ďż˝đ?‘‹đ?‘‹C.P. đ?‘Œđ?‘Œđ?‘—đ?‘— = đ?‘™đ?‘™đ?‘™đ?‘™đ?‘”đ?‘”2 ďż˝

đ?‘?đ?‘?đ?‘—đ?‘—

đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š

đ?‘šđ?‘š

(6)

(Figure 1A),

ďż˝, đ?‘‹đ?‘‹đ?‘—đ?‘— = "fractional part"log2 ďż˝

đ?‘?đ?‘?đ?‘—đ?‘—

đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š

đ?‘‹đ?‘‹CP =

đ?‘ đ?‘

j=N

Ă— âˆ‘j=1 đ?‘‹đ?‘‹đ??˝đ??˝ ;

đ?‘Œđ?‘ŒCP =

đ?‘ đ?‘

j=N

â‹… âˆ‘j=1 đ?‘Œđ?‘Œđ??˝đ??˝ ;

ďż˝; đ?‘?đ?‘?đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š â€“ the relative amount of a group of

microorganisms or the relative content of a chemical element with a serial number (j) and the maximum amount of microorganisms or a chemical component of the considered number of digits; đ?‘Žđ?‘Žđ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š is the coefficient of linear approximation of the fractal model Fr3. đ?‘ đ?‘ is the total number of groups of microorganisms or chemical elements.

Ivan Kochish, Nikolay Vorobyov, Ilya Nikonov, Marina Selina

đ?‘…đ?‘… =

đ?‘ đ?‘ đ?‘€đ?‘€ đ?‘ đ?‘

- coefficient correcting the deviation of the actual series from the arithmetic series of the Fr2

model. đ?‘ đ?‘ đ?‘€đ?‘€ is the minimum number of positions in the series of numbers of the Fr2 model that fully reflect the real ratio of functional groups of microorganisms or the essential chemical elements in the substances under study. The bio consolidation index values of microorganisms and the index of chemical elements in shungite and plants were calculated using the formula (6) and given in the captions to Figure 2.

4. CONCLUSION The calculations showed that the index of bio-consolidation of microorganisms in birds' intestines with the addition of shungite to feed (đ??źđ??źđ??šđ??š = 0.55 Âą 0.03) and the composition of chemical elements in shungite (đ??źđ??źđ??šđ??š = 0.50 Âą 0.03) are close in value. The coefficients of the Fr3 model for microorganisms (đ?‘Žđ?‘Žđ?‘šđ?‘š = 0.012 Âą 0.003) and for chemical elements in shungite (đ?‘Žđ?‘Žđ?‘šđ?‘š = 0.009 Âą 0.003) and plants (đ?‘Žđ?‘Žđ?‘šđ?‘š = 0.005 Âą 0.003) are also close in value. While in plants, the fractal composition index of chemical elements (đ??źđ??źđ??šđ??š = 0.88 Âą 0.03) differs significantly from the above values. Based on the results obtained, shungite, with its unique ratio of chemical elemental composition, favorably affects the self-organization of microbial-organismic biosystems of the intestines of laying hens. The rate of chemical elements in shungite imposes a specific matrix on the ratio of various functional groups of microorganisms in birds' intestines, ensuring the best joint activity of microorganisms in converting organic substrates into nutrients. The composition index of chemical elements in plants is close to unity. It means that the average statistical content of chemical elements in plants given in the literature reflects plant formation's fundamental processes, determined by fractal power laws. Since shungite is of organic origin, the distribution of chemical elements in shungite also corresponds to fractal laws proven by the obtained data. Taking into account the observed effect of using shungite to bird feed is possible to formulate new criteria for the formulation of chicken feed. They ensure the self-organization of microbial-organismic biosystems in poultry's intestines, rapidly processing vegetable fiber into the necessary nutrients.

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

6. ACKNOWLEDGEMENT This study is financially supported by the Government of the Russian Federation (Contract No. 14.W03.31.0013).

7. REFERENCES Amit-Romach E, Sklan D, Uni Z (2004). Microflora ecology of the chicken intestine using 16S ribosomal DNA primers. Poultry Science, 83(7), 1093-1098. Apajalahti J, Kettunen A, Graham H (2004). Characteristics of the gastrointestinal microbial communities, with special reference to the chicken. Worlds Poultry Science Journal, 60(2), 223-232. Biggs P, Parsons CM, Fahey GC (2007). The effects of several oligosaccharides on growth performance, nutrient digestibilities, and Cecal microbial Populations in young chicks. Poultry Science, 86(11), 2327-2336. Cattani C and Pierro G (2013). On the fractal geometry of DNA by the binary image analysis. Bull. Math. Biol. *Corresponding author (Ivan Kochish). E-mail: kochish@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16L http://TUENGR.COM/V11B/11A16L.pdf DOI: 10.14/ITJEMAST.2020.321

75, 1544-1570. Chichlowski M, Croom J, McBride BW, et al. (2007). Direct-fed microbial PrimaLac and salinomycin modulate whole-body and intestinal oxygen consumption and intestinal mucosal cytokine production in the broiler chick. Poultry Science. 86(6), 1100-1106. Karetin YuA (2016). Fractal organization of the primary structure of DNA. Bulletin of St. Petersburg University. 6(1), 150-157. Kochish, I., Kapitonova, E., Nikonov, I., Shlykov, S., Omarov, R. (2020). Results of Using Tripoli on Zoohygienic Indicators in the Raising a Parent Herd of Meat Breed Chickens. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies, 11(15), 11A15U, 1-6. http://doi.org/10.14456/ITJEMAST.2020.309 Lenkova T, Nikonov I, Kuznetsov Y, Karpenko L, Balykina A. (2019). Development of the probiotic feed supplement based on lactobacillus Plantarum to increase broiler productivity. International Journal of Innovative Technology and Engineering, 9(1), 2452-2454. Mandelbrot B (2002). Fractal geometry of nature. Institute of Computer Research, 12-14. Nikonov IN, Romanov MN, Kochish II, Surai P. (2018). Determination of microbiocoenoses in the intestine of the hisex brown hens in ontogenesis. World's Poultry Science Association, Croatian Branch. 24-28. Stanley D, Hughes R, Moore R. (2014). Microbiota of the chicken gastrointestinal tract: influence on health, productivity and disease. Applied Microbiology and Biotechnology. 98(10), 4301-4310. Tsarkova MS, Milyaeva IV, Zaitsev SY (2016). Colloid-chemical regression model in analyzing the relationship between dynamic surface tension and the content of total protein and albumins in blood. Moscow University Chemistry Bulletin. 72(5), 251-254. Vaisberg LA, Safronov AN, Nikonov IN, Selmensky GE. (2018). Investigation of Vibrational Technology of Shungite Processing As The Basis of A Promising Mineral Fodder Additive For Poultry Farming. Journal of Pharmaceutical, Biological, and Chemical Sciences, 9(3), 973-980. Vorobyov N, Kochish I, Nikonov I, Kuznetsov Yu, Selina M. (2019). Method Development to Determine the Fractal Structures Index into the Broiler Chickens' Intestines. International Journal of Innovative Technology and Engineering, 9(1), 2792-2795. Professor Dr.Ivan Kochish is Vice-Rector for Academic Affairs, Head of the Department of Zoohygiene and Poultry. A.K. Danilova FGBOU VO MGAVMiB - MBA named after K.I. Scriabin. He holds a Doctor of Agricultural Sciences. He is an Academician of the Russian Academy of Sciences. He is a member of the World Scientific Association for Poultry (VNAP), chairman of the expert council on zootechnical and veterinary sciences of the Higher Attestation Commission of the Ministry of Education and Science of the Russian Federation, a member of the expert commission on testing and protection of breeding achievements in animal husbandry of the Ministry of Agriculture of the Russian Federation. His research involves Veterinary, Animal Science and Biotechnology, Hippology and Veterinary Science, Zootechnics, Poultry, Poultry and Poultry Products. Professor Dr.Nikolay Vorobyov is Head of Informatics and Mathematical Modeling Group, Ph.D. The direction is associated with the development of computer programs for Conducting Dispersion, Correlation, Factorial and Fractal Analyzes of biological data. The original development of the department is a program for constructing a graph of Intercomponent Relationships in Microbial-Plant Systems, based on Correlation Analysis. For the first time, the subdivision has introduced into scientific research a program for Processing Molecular Genetic Frequency Data of Soil Microbial Communities, based on a Fractal Analysis of these Frequencies. Ilya Nikonov is an Associate Professor. He is a Candidate of Agricultural Sciences. His research deals with the study of the Intestinal Microflora of Poultry, Feed, Habitat. The Developer of the Composition and Methods for Assessing the Effect of Antimicrobial Feed Additives (Probiotics, Prebiotics, Phytobiotics, etc.) and Mycotoxin Sorbents.

Marina Selina is Head of the Project Management Sector of the Research and Development Institute, an Associate Professor of the Department of Information Technologies, Mathematics and Physics, She is a Candidate of Pedagogical sciences. Her research areas are Economic Problems of the Food Industry, Import Substitution and Food Security in Russia, Automated Information Systems in the Agro-Industrial Complex.

Ivan Kochish, Nikolay Vorobyov, Ilya Nikonov, Marina Selina

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

PAPER ID: 11A16M

LEADERSHIP AND ORGANIZATIONAL CHANGE MANAGEMENT IN UNPREDICTABLE SITUATIONS IN RESPONDING TO COVID-19 PANDEMIC 1

Maqsood Hussain Junnaid , Mohammad Saleh Miralam , Vikram Jeet 1

Department of Business Administration, College of Business, University of Jeddah, Jeddah, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 14 August 2020 Received in revised form 05 September 2020 Accepted 15 September 2020 Available online 26 September 2020

Leadership plays an important role in accepting changes and challenges so that company can attain predetermined goals or objectives in a more effective manner, especially in unpredicted global pandemics situations. This report highlights the importance of effective leadership and people management in the transformation of an organization. It describes the workforce as the source of competitive advantages and as a contributor to achieving a high level of performance and purposes even in the worst pandemic situations. It also defined various strategies that are required to retain and develop employers’ brands and explain how strategies can enhance the employees' commitment and engagement within the organization. The theories and concepts also consider this for dealing with several changes. It concludes that leadership is an important resource of the business organization, in the implementation of changes forces by the external environment. To meet the aspirations of the organization, resilient leadership strategies would be a useful tool in the worse business environments.

Keywords: Change management; Leadership style; Leadership strategy; Global pandemic; Resilient leader; Unpredictable environment, High-Performance Working (HPW).

1 INTRODUCTION Change is inevitable; thus, dynamism is a key feature for any business entity's survival. The rule of everchanging applies to all organizations, hence every organization always focusing on making changes and improve their existing system to endure vying work environments. The need for change is usually forced by external and internal organizational factors. Organizational external factors such as new regulation, enlarged competition, modern technologies, labor unions, climate change, etc., whereas internal factors such as the execution of new technologies, management policies, product/service specifications, etc. However, the process of change itself a complex process, and therefore many times it gives negative results due to unexpected resistance from the different sources. *Corresponding author (Maqsood Hussain Junnaid). Email: mhjunnaidi@uj.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16M http://TUENGR.COM/V11B/11A16M.pdf DOI: 10.14456/ITJEMAST.2020.322

To successfully implement change, effective leadership and management could be the major factor in the process. At the same, it has been observed that organizational leaders had faced heightened pressure in organizational change formulation and implementation (Pawar & Eastman, 1997). While conceptualizing the organizational change, it is defined as “a relevant environmental shift that demands intentional organizational responses to contain new procedures, rules, values, processes, and personnel belief system” (Seeger, et al., 2005 Porras & Silvers, 1991, p. 52;). With the reference to the stated definition, an organizational change is considered as a robust area of analysis that primarily focused on strategic change (Kotter and Schlesinger, 1979). Organizational change has always been complemented by the planned strategies, aligned with the organizational goal. Thus, the implementation of a flexible strategic change process, it helps the organizational system and members to upgrade and modify the existing system under the requirements of new circumstances. Such as a different way to contain new technologies, contingencies, processes, and personnel values (Kanter,1983; Mintzberg, 1984; Barczak et al., 1988). Change management is defined as the conversion of the individual, team members, and organization from currents to specific future states so that vision and strategies can be implemented. This will define about workforce for competitive advantages. It formulates strategies for workforce retention and development as well as enhances their commitment and efficiency within the organization. The present research study is an attempt to define the leadership approaches, theories, concepts, tools, and techniques that are interconnected with organizational changes. It expounds intellectual capacity, leadership abilities, and managerial capabilities that are concomitant with the change management and contribution of people to achieve goals or targeted vision of the organization. The outcome of the organizational change process is highly influenced by leadership practices. Thus, leadership can be recognized as the art and quality of an individual to motivate and influence employees’ behaviors to act to attain tasks or objectives. Leadership is an ongoing practice, aimed to energies the skills and capabilities to extract the best results from the people, through positive motivation to achieve organizational goal. In such a way, leaders play a vital role in the organization as the source of bringing new ideas and to create a corrective path in the organizational change process. The importance of leadership highlighted by many researchers such as “Successful leadership not only develops vision, mission, strategy, and cultural value of the organization for change, but also empowers and motivates employees in change commitment.” (Gill, 2002). In change management, the transformational leadership style gained high attention among the researcher and academician. Transformational leaders are recognized as charismatic, vision-oriented, confident, and trustworthy leaders, easily reap the trust and belief of employees. It has been highlighted in research that transformational leadership has a significant positive relationship with the employees’ performance even in the organizational change process (Liu, 2008; Herold, et al. 2008; Paulsen, et al. 2013). In comparison to transactional leadership, transformational leadership brought positive outcomes, especially in change management (Eisenbach, et al. 1999; Hill et al., 2012). Empirically, it evident that transformational leadership has been optimistically associated with employees’ performance in change processes (Herold et al.,2008). The process of the organizational change management system requires minimal alterations in the daily activities and formal interactions, which progressively improves the performance. in implementation of the strategic change, it may impact the organization and its members in negative, thus it has been indorsed that the

Maqsood Hussain Junnaid, Mohammad Saleh Miralam, Vikram Jeet

stepwise change model would be beneficial at the operational level (Johnson & Scholes 1999). To develop effective implementation plans, Johnson & Scholes (1999), (p. 46) classified four types of strategic change stages such as continuity, flux, incremental, and transformational. In the continuation, Despite, et al. (1996, pp. 23–7) provided three categories of organizational change like developmental changes, transitional changes, and transformational changes. This study analyzes the conceptual models and qualitative researches, highlighting the importance of effective leadership and change management in the present scenario. References have been taken from the research article, studies, and theoretical models published in reputed journals, to provide insights into leadership in change management, to deal with the inverse conditions of business environments. In the current business situations where organizations are encountered with the Covid-19 pandemic, there is a need to understand the importance of leadership and change management for organizational sustainability. Thus, extensive literature has been provided in the subsequent parts of the study, which highlights and provides the guidelines to deal with the inverse business conditions with effective leadership and change management processes. This study research questions are to highlight the importance of effective leadership and change management in the transformation of the organization, to explore strategies that are required to retain and develop employers’ brands, to highlight leadership strategies that work in uncertain businesses environment like Covid 19 pandemic, and to highlight suitable change management models during unprecedented Covid 19 situations.

2 LEADERSHIP AND ORGANIZATIONAL CHANGE MODELS Every business organization has to operate in a dynamic environment that keeps on changing with time hence, there are several concepts, tools, and theories in association with organizational change. In the change, process organizations must adopt these concepts into their system so that the whole work process can be carried out effectively and efficiently (Tiwari, 2011). Some change management models that can help the organization to accept changes are described below: Lewin's model of Change: Lewin's (1947) have proposed the model of change in which three steps are formulated to accept the change can be a useful tool in global pandemic situations (Figure 1). The suggested three dimensions of the model are the best fit to diagnose and implement the change. The first step ‘unfreeze’ involves that business organization must realize the need for bringing change and hence, the current working process must be modified with several means with relevance to the current pandemic situations. In continuation, the communication of the change process has also an important impact and should be available for every organizational member (Lloyd and Walker, 2011).

Figure 1: Model of change (Lewin, 1947). *Corresponding author (Maqsood Hussain Junnaid). Email: mhjunnaidi@uj.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16M http://TUENGR.COM/V11B/11A16M.pdf DOI: 10.14456/ITJEMAST.2020.322

In the second phase of the model, implementation of the change phase involves introducing the required changes into the system so that the work process must be conducted in a new way for smooth functioning in the pandemic environment. The last step refreeze involves monitoring the changes that have been implemented so that critical evaluation can be performed, and steps must be taken to remove any barrier which has been formed. Leading organizations in the pandemic can adopt this change model so that changes can be introduced effectively and results in accomplishing the ultimate organizational goal.

Figure 2: Kotter’s (1996) Eight-step Change Model. Kotter (1996), the ‘Eight-step Change Model’ of planned change is another suitable tool for sustainable change in the pandemic work environment. The model is also based on Lewin’s change model, highlighting the focus on the organizational workforce at different levels of the change management process. In unpredictable pandemic situations, leaders can initiate the change by acknowledging the sense of urgency, forced by the external environment. Followed by creating a team of key team players for developing the new vision in such an environment. The coalition among team members shaped the organization towards successful change initiatives. Further, three steps in the process are entitled to engaging and enabling the whole organizational members in the pandemic situations, through the proper communication channel, empowering them for their respective tasks, and assigning them short-term objectives. Last two steps in the process responsible for anchoring the new changes into the organizational culture and system and ensuring the benefits attained through change endeavor are retained for a long.

3 LEADERSHIP OF MANAGING CHANGE In the successful implementation of change, the role of leadership highly significant and foremost, supported by the corporate values and communication channel. “Leadership, in The Leadership Trust’s view, is about showing the way: using personal power to win the hearts and minds of people to work together towards a common goal” (Gill, 2001). The major challenges for the global leaders in the change process are in form of creating a successful and sustainable work environment for sustainable organizational growth (Nixon 2002). In the continuation, the multiple dimensions of transformational leaders help to understand the requirement of change and face the challenges of change emotionally and intellectually (Dubrin 2001). Whereas the leader’s most difficult task in the change process is to aligning all organizational members to adopt the change, develop the future vision, strategy formulation, and synergies the efforts towards the organizational goal (Hooper &

Maqsood Hussain Junnaid, Mohammad Saleh Miralam, Vikram Jeet

Potter 2000; Heifetz & Laurie, 1997).

3.1 LEADERSHIP AND ADVANTAGES

WORKFORCE

SOURCE

COMPETITIVE

In the present scenario, it is difficult to manage the workforce and develop people due to tough competition so this study defines that how effective a team can be formulated for achieving common tasks or objectives in a well manner (Koustelios, 2014). Leaderships play a crucial role in creating effective environments in the organizations by forming a skilled team, and management of people to get work done by them. In which Human resource departments function becomes more crucial to recruit or select the best candidates for their organizations, who can complete work and can perform the activities of the organization in a well manner. Contemporary management can be considered while making the strategies and formulate an action plan to create a better workforce within the firm. There is a possibility of contributing more to sustainable competitive advantages within an organization. Change management plays a crucial role in every business firm which depends on environmental factors that affect the firm in various ways (Berger and Berger, 2011). The human resource function is very important for every business firm that must be performed in a very effective way to be succeeded. HR managers of leading organizations always focus on improving organizational performance and increase productivity with the help of formulating strategies and allocate tasks among employees as per their quality or ability so that they can focus on accomplishing particular tasks or objectives in a good manner. Organizationsâ€™ emphasis is to develop the human resource by offering extra benefits and motivate employees by appreciating their performance so that they feel more valued and important person within the firm. Managers focus on conducting several programs such as training and developing and learning sessions so that better knowledge can be given to them (Bolman, 2017). This will support enhancing worker's skills, abilities, and capabilities to perform better and attain set targets or business goals. In the competitive and global business environment, modern business setups required an effective HR system, to perform various tasks such as select, develop and produce workforces with increasing performances which will support in defining organizational positions or justify investments as well. Better workforces and skilled people always contribute more to the firm in increasing productivity and profitability by performing every task in better ways.

3.2 LEADERSHIP STRATEGIES FOR PEOPLE RETENTION & DEVELOPMENT In the present era, business leaders are generally recognized as per their workforces to achieve competitive advantages. Human resource is one the best component as well as important aspects for appropriately running an organization. This department takes responsibility to attract and retain more talented employees within the firm therefore, effective strategies are required to create a better organizational workforce in an impressive way (Deal, 2017). In the modern world, a shortage of skills can be seen because various firms are focusing on appointing skilled and experienced holder's persons for building a good brand image and increase work productivity as well. Every business has a reputation in the marketplace regarding its products or whatever it sells. They also have a reputation like an employee, so this is defined as the employer branding which is very necessary or important for every firm to achieve particular competitive advantages. Firms can improve their business performance and efficiency in the future by hiring more talented and skillful employees and also by accepting various changes and challenges within the firm. Leaders can support improving individual's *Corresponding author (Maqsood Hussain Junnaid). Email: mhjunnaidi@uj.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16M http://TUENGR.COM/V11B/11A16M.pdf DOI: 10.14456/ITJEMAST.2020.322

performances by providing better guidelines and conducts training and development programs to attain set targets. High Performance Working (HPW) concerns with various aspects that create a culture by considering transparency, open lines of the communication process, and trust within the firm. It also defines the traditional hierarchical structure which plays a vital role in increasing higher performance and most HR managers must consider while formulating better strategies or plans as well. Many organizations used this for attracting many fresh talents, ideas, and make a skilled workforce environment to achieve competitive advantages efficiently. There should be an effective structure in the organization that operates business functions, create a flatter structure for every employee so that they can feel happy, engaged, motivated and understand the visions or missions of the firm in a more efficient manner. HPW plays an important role in business firms as it is defined as the general approach used for managing entire operations or functions to stimulate employees' involvement and commitment to accomplish set targets or goals with a higher level of performance. High-Performance Working (HPW) can be defined as the fundamental series in which included processes, practices, and policies that must put into place to improve the performance of each employee. On the other side, HPW can be categorized into three major areas such as high employee involvement, human resource practices, and rewards and commitment practices as well. It is beneficial for the deployment and redeployment of employees for improving performances in well manner. Nowadays every organization requires understanding the dysfunctional behaviors within the firm which are responsible for creating disputes and conflicts among employees and also create barriers in retaining several skilled persons towards the firm, therefore, they have to consider this more effectively.

3.3 LEADERSHIP STRATEGIES COMMITMENT

FOR

ENHANCEMENT

EMPLOYEES'

Employees are key people in a successful organization because they play a vital role in getting the best possible outcomes and accomplish set targets or goals efficiently. Employees attitudes regarding any business firm have significant impacts as it describes their behaviors how they approach a particular job and also treat customers to satisfy their needs or meet desired expectations in an effective way (Caldwell, 2012). This concept was old but in recent times, many researchers and experts believe that a high level of employees' engagement always contributes more to the business firm as they bring higher profitability growth as well as increase productivity so that company can build its brand image among competitors. Employee engagement and involvement must be required to achieve better organizational goals or objectives with formulating strategies and managing the entire team workforce (Doppelt, 2017). According to (Kumar and Pansari, 2011), every business firm tries to make an effective workforce by boosting individual morals and motivate them to accomplish the set targets in a well manner. Organizations should also consider employeesâ€™ development by allowing them to come up with new innovative ideas and creative thinking so that company can grab such opportunities and try to achieve competitive advantages in the present as well as in the future. Performance management: This is an important aspect that supports managing entire tasks or work by dividing several works among employees to achieve competitive advantages in a well manner (Drucker, 2012). This included some necessary activities which must be performed by the employees so there should be proper involvement and engagement of each individual so that they will

Maqsood Hussain Junnaid, Mohammad Saleh Miralam, Vikram Jeet

be able to accomplish the set targets or objectives and meet with desired goals effectively and efficiently. Its main aims are to focus on every individual performance and manage these in the company by ensuring effectiveness as well. Every organization should consider performance management in the transformation of business in the future that supports building a strong relationship and attain various outcomes in better ways. Positive Employee Relations: This is another technique or strategy for every successful organization. It is necessary to have better relations among people that focus on both as individual as well as group of people so that effective relationships can be built more effectively. Positive relations play a vital role in the organization as in this consider the managers, supervisors, and colleagues who work with each other to accomplish particular targets or goals in a more efficient way (Fisher, 2011). This included several components for building better relationships such as communication procedures, the employment process, negotiating styles, HR culture.

3.4 LINKING LEADERSHIP APPROACHES TO HPW LEVEL It has been recommended that leadership approaches should as per the level of the firm which helps in transformations of businesses in the future (Hailey, 2013). There should be required effective leadership styles or approaches for managing team and workforce in any situation within the organization. It can be categorized by three levels of an organization such as strategic, tactical, and operational. Strategic level: Leaders play a crucial role in formulating proper planning and strategies for achieving targets or goals. This included several aspects such as strategy, directions as well as a decision-making process that should be in a favor of the firm and also maximum utilization of available resources through allocating them among different activities and also decide specific goals or visions of the firm. Tactical level: This is defined as the second level of the firm where supervisors or managements generally plan for emphasizing the current operations of different parts of the organization to achieve short-term goals or advantages. Leaders perform their tasks by allocating works and influence every individual for attaining particular goals and perform (Johnson, 2016). It is generally made for developing several areas of the company such as marketing, production, finance, plant facilities, and many more. Operational level: It is related with day to day transactions and daily operation that operated by the organization for achieving goals. It is the process of linking the tactical goals with formulating strategies and attain those more efficiently. This defines some aspects such as milestone, success, and conditions and also explain how these portions can be formed for proper planning. Therefore, leading organizations are using leadership styles or approaches which is based on Contingency theory to handle any critical situations and make better organizations. (Kumar and Antony, 2011).

3.5 INTELLECTUAL LEADERSHIP TOOLS FOR CHANGE MANAGEMENT Leadership plays an important role in achieving business goals and generate more profits for the organization. The manager generally considers the leadership instruments for creating healthy environments, effective workforces, shaping the structure, and create a culture more specific so that targets can be attained. Continuing Professional Development:(CPD) for the development of employees is a process for tracking as well as documenting the skills, knowledge, and experiences that gain maximum benefits as formally and informally as per the work. Companies should consider *Corresponding author (Maqsood Hussain Junnaid). Email: mhjunnaidi@uj.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16M http://TUENGR.COM/V11B/11A16M.pdf DOI: 10.14456/ITJEMAST.2020.322

the CPD for managing the work so that they can develop it more effectively.

4 RESILIENT LEADERSHIP ACTION IN PANDEMIC SITUATIONS Being a resilient leader, an individual easily able to regain balance and respond to the adverse situation. In the global pandemic situations, the sustainability of businesses is only possible with empathy for personnel and communities, thus resilient leadership processes are an essential component in a firm’s progressive growth (Southwick, and Charney 2012). Resilient leaders play a significant role in the adoption of crisis, recover from the setbacks, maintaining a healthy working, and harnessing the resources of wellbeing (Southwick, et al. 2014; Krystal, 2008; Reich, et al. 2010). In any pandemic situation, there is a requirement of clarity and decisiveness in the organization’s policies for managing the transactions. In which a reliant leader identifies all key contributors to the business process and ensures the interest of the stakeholders.

4.1 EMPATHETIC LEADERSHIP In adverse business conditions, leaders first need to become aware of employees’ mental situations. Employees may encounter several emotional disbalance in such environments. If leaders acknowledge, identify, and accept their employee’s situations, they will be more open and discussing the problems. Thus the need of the hour is to work on the emotional awareness and sensitivity of employees, to be “in touch with their feelings and to help followers stay in touch with their own feelings as well’ (Hein, 2008). Thus, for effective leadership in change management empathetic people, management and self-awareness are considered as the key components. Emphatic leadership behaviors enable individuals to be in a position in the shoes of staff, consumers, stakeholders, and their environments, and to interact and engage effectively with them (Silard 2009). In continuation, Goleman (2005) prompted the emphatic leadership behaviors as the growing importance of people retention, emphasis on the team’s behavior, and globalization.

4.2 PRIORITISING AND DECENTRALISING LEADERSHIP ACTION In the complex business environment, challenges created by unpredictable pandemic situations cannot be monitored and managed by a leader alone (Heifetz & Laurie, 2001). Thus, for effective management in the crisis a decentralizing hierarchical approach, setting the business priorities and collective knowledge management are likely to be more successful (Kezar & Holcombe, 2017). Berjaoui & Karami‐Akkary (2019) supported that the distributed responsibility of leadership is more effective and leads to multiple perspectives in decision making, which also keep the team members motivated and rewarded. The decentralized model allows for the enhancement of skills and abilities of the members to accomplish their roles (Sorensen & Stanton, 2013). Fernandez and Shaw (2020) emphasized that leaders utilize the concept of a shared leadership model to attain the common organizational purpose in the crisis without disruption.

4.3 DECISIVE LEADERSHIPS Decision making a crucial factor in every business situation, especially when your business encounters an unpredictable pandemic situation. A rapid response is recognized as the characteristic of decisive leadership, as the delayed decision may negatively influence performance and productivity. The decisiveness characteristic of leaders in the global pandemic situations reflects a substantial variation in decision making related to the strict measure among different countries. The rapid responses and early decision-making were found beneficial in controlling the spread of diseases

Maqsood Hussain Junnaid, Mohammad Saleh Miralam, Vikram Jeet

(Boccia et al 2020; Hale et al. 2020). In such situations, leaders also ensure the coordination and information sharing with all key factors into the system so that the early decision can be implemented effectively. Many countries leaders show an early decision making and coordination with all sectors to deal with the pandemic situations such as Singapore formed a taskforce before its first confirmed case (Lee et al. 2020), creation of the “National COVID-19 Monitoring Authority” in Tunisia in early stages (OECD, 2020)., the involvement of public and private sector in Covid 19 responses plans (Ministry of Public Health Lebanon Novel coronavirus 2019. 2020), etc., Thus, a leader must be able to take the early decisions and quick actions with coordination of all key elements to ensure the wellbeing of the workforce, society, and businesses.

5 CONCLUSION Organizations’ leaders enriched with humanistic and charismatic qualities, accelerate the way for success in the competitive and unpredictable work environment. The companies’ leadership should take effective steps in implementing the change and to identify the stakeholders of the company, who are going to get impacted by the change. All the stakeholders need to be informed and fully briefed about the risks and issues associated with the process of change management. For example, considering the branch teams, the company has prepared a variety of responses from the customers through a transition phase of implementing change, it is not just aimed to make the people understand the change but also, they embraced it. From the analysis of the facts, it can be observed that the leader's effectiveness and competencies in leading the change have become essential in initiating the change and people management. The competition laid by the long-lasting financial institutions must lead this change in the institution. the financial institutions left the company incapable of change and that made a situation is unable to evolve and grow. The company leadership should take effective steps in implementing the change. Highlighted examples of real applications of the theoretical change management models and leadership strategies in the change management process, which can be a useful tool in the current pandemic situation, thus based on the discussion some recommendations have been formed for the practitioner and managers. Suitable Change Models: Identifying the suitable change model to initiate the change depends on who is initiating the change, experiences of a group or an individual of people are equipped, and how much guidance that the employee requires during the process of change. Effective communication process: Management makes sure that proper communication process must be followed so that every individual is well acquainted with the system. Building Effective Relationship: This will support improving work performance and create a positive environment or climate in a better way. Investing in people: Underinvestment in talent only amplifies the cyclical nature of the industry. To ensure the people meet the aspirations of the organization they must emphasize continuous development and skill-building to drive performance through a wealth of courses, training centers, internships, and mentorship programs to pass on knowledge to the next generation. Putting purpose at the core: There will be a greater need to understand, articulate, and strategically plan around purpose, as it becomes even more core to business strategy. And there will be greater demand from consumers for more purposeful businesses. *Corresponding author (Maqsood Hussain Junnaid). Email: mhjunnaidi@uj.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16M http://TUENGR.COM/V11B/11A16M.pdf DOI: 10.14456/ITJEMAST.2020.322

Focus on sustainability: Businesses will be under increased scrutiny by stakeholders to ensure that they are sustainable â€“ environmentally, economically, and socially. This will be an opportunity for businesses to establish leadership in sustainability, particularly in countries where it has been low on the agenda. More collaboration: There will be a rise in the emergence and/or significance of pre-competitive collaboration within industries. The emphasis will be on collective impact to solve common challenges. In this Covid-19 pandemic situation, organizations need to have an action plan in response to the circumstances. The organizationâ€™s leadership must develop an appropriate mechanism in identifying the risks associated with the uncertain environment and must be acted on with the strategic change implementation. To begin with, acceptance of the challenges of crises, which is one of the crucial factors in the response strategy. Second, focusing on the organizational strength motivates its members to create value and initiate necessary modifications even in the worst situations. For organizational sustainability, the management approaches must be extended to all organizational members. In which open and transparent communication would be the added feature to develop an interdependent relationship among the organizational members. Further, the long-term organizational goals should be targeted to achieve by the short strategiesâ€™ implementations, makes an organization more dynamic and flexible in the erratic business environment.

6 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

7 REFERENCES Barczak, G., Smith, C. & Wilemon, D. (1988), Managing large-scale organizational change. Organizational Dynamics, 17, 23-35. Berger, L. A. & Berger, D. R. (2011). The talent management handbook: Creating a sustainable competitive advantage by selecting, developing, and promoting the best people. New York: McGraw-Hill. Berjaoui, R. R., & Karami-Akkary, R. (2019). Distributed leadership as a path to organizational commitment: The case of a Lebanese school. Leadership and Policy in Schools, 1-15. DOI: 10.1080/15700763.2019.1637900 Boccia S, Ricciardi W, & Ioannidis J, A. (2020). What other countries can learn from Italy during the COVID-19 pandemic? JAMA Intern Med. DOI: 10.1001/jamainternmed.2020.1447. Bolman, L. G. & Deal, T. E., (2017). Reframing organizations: Artistry, choice, and leadership. John Wiley & Sons. Caldwell, C., Dixon, R. D., Floyd, L. A., Chaudoin, J., Post, J., & Cheokas, G. (2012). Transformative leadership: Achieving unparalleled excellence. Journal of Business Ethics, 109(2), 175-187. Doppelt, B. (2017). Leading change toward sustainability: A change-management guide for business, government, and civil society. Routledge. Drucker, P. (2012). The practice of management. Routledge. Dubrin, A. J. (2001). Leadership: Research Findings, Practice, and Skills. 3rd Ed., Houghton Mifflin, Boston, MA, 76. Eisenbach, R., Watson, K., & Pillai, R. (1999). Transformational leadership in the context of

Maqsood Hussain Junnaid, Mohammad Saleh Miralam, Vikram Jeet

organizational change. Journal of Organizational Change Management, 12(2), 80-89. DOI: 10.1108/09534819910263631 Fernandez, A. A., & Shaw, G. P. (2020). Academic Leadership in a Time of Crisis: The Coronavirus and COVID‐19. Journal of Leadership Studies, 14(1), 39-45. Fisher, E. (2011). What practitioners consider to be the skills and behaviors of an effective people project manager. International Journal of Project Management, 29(8), 994-1002. Gill, R. (2001). Essays on Leadership. The Leadership Trust Foundation, Ross-on-Wye. Goleman, D. (2005). What makes a leader. In W. E. Robert L. Taylor, Military Leadership (pp. 53-68). Westview Press. Hailey, J., 2013. Managing for change: leadership, strategy, and management in Asian NGOs. Routledge. Hale, T., N. Angrist, & B. Kira. (2020). Variation in government responses to COVID-19 (version 6.0). Blavatnik School of Government working paper. http://www.bsg.ox.ac.uk/sites/default/files/2020-05/BSG-WP-2020-032-v6.0.pdf Heifetz, R. A. & Laurie, D. L. (1997). The Work of Leadership. Harvard Business Review, 75(1), 124-134. Heifetz, R., & Laurie, D. (2001). The work of leadership. Harvard Business Review. https://hbr.org/2001/12/the-work-of-leadership Herold, D. M., Fedor, D. B., Caldwell, S., & Liu, Y. (2008). The effects of transformational and change leadership on employees’ commitment to A change: A multilevel study. Journal of Applied Psychology, 93(2), 346-357. https://doi.org/10.1037/0021-9010.93.2.346. Hooper, A. & Potter, J. (2000). Intelligent Leadership. Random House, London. Johnson, G. & Scholes, K. (1999). Exploring corporate strategy. Prentice-Hall, London. Johnson, G. (2016). Exploring strategy: text and cases. Pearson Education. Kanter, R.M. (1983). The Change Masters. Simon and Schuster, New York, NY. Kezar, A. J., & Holcombe, E. M. (2017). Shared leadership in higher education. Washington, DC: American Council on Education. Kotter, J. P. (1996). Leading change. Boston, MA: Harvard Business School Press. Kotter, J.P. & Schlesinger, L.A. (1979). Choosing strategies for change. Harvard Business Review, 57(2), 106-14. Krystal, J. H. (2008). Resilience: Accommodation and recovery. In J. Parens, H. Blum, & S. Akhtar (Eds.). The unbroken soul: Tragedy, trauma, and resilience. Lanham, MD: Jason Aronson. Kumar, M., Antony, J. & Tiwari, M. K., 2011. Six Sigma implementation framework for SMEs-a roadmap to manage and sustain the change. International Journal of Production Research. 49(18), 5449-5467. Lee, VJ, Chiew CJ, & Khong WX (2020). Interrupting transmission of COVID-19: lessons from containment efforts in Singapore. J Travel Med, 27. Lewin, K. (1947). Field theory in social science. New York: Harper & Row. Lewin’s change management model. (1947). Understanding the three stages of change. http://www.mindtools.com/pages/article/newPPM 94.htm. (Accessed April 2016) Lloyd-Walker, B. & Walker, D. (2011). Authentic leadership for 21st century project delivery. International Journal of Project Management, 29(4), 383-395. *Corresponding author (Maqsood Hussain Junnaid). Email: mhjunnaidi@uj.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16M http://TUENGR.COM/V11B/11A16M.pdf DOI: 10.14456/ITJEMAST.2020.322

Ministry of Public Health Lebanon. (2020). Novel http://www.moph.gov.lb/en/Pages/2/24870/novel-coronavirus-2019-

coronavirus

2019.

Mintzberg, H. (1984). The Rise and Fall of Strategic Planning. Free Press, New York, NY. Nam Nguyen, H. & Mohamed, S. (2011). Leadership behaviors, organizational culture and knowledge management practices: An empirical investigation. Journal of Management Development. 30(2), pp.206-221. Nixon, B. (2002). Responding Positively to the Big Issues. Professional Consultancy, 4, 24-26. OECD. (2020). Organization for Economic Co-operation and Development Paris: 2020. COVID-19 crisis response in MENA countries. Paulsen, N., Callan, V. J., Ayoko, O., & Saunders, D. (2013). Transformational leadership and innovation in an R&D organization experiencing major change. Journal of Organizational Change Management, 26(3), 595-610. Pawar, B. S., & Eastman, K. K. (1997). The nature and implications of contextual influences on transformational leadership: A conceptual examination. Academy of Management Review, 22(1), 80-109. https://doi.org/10.5465/amr.1997.9707180260. Porras, J. I., & Silvers, R. C. (1991). Organization development and transformation. Annual Review of Psychology, 42(1), 51-78. Pritchett & Pound. (1996). The Employee Handbook for Organizational Change. Pritchett and Hull Associates, Atlanta, GA. Reich, J. W., Zautra, A. J., & Hall, J. S. (2010). In J. W. Reich, A. J. Zautra, & J. S. Hall (Eds.), Handbook of Adult Resilience. New York, NY: Guilford Press. Seeger, M. W., Ulmer, R. R., Novak, J. M., & Sellnow, T. (2005). Post-crisis discourse and organizational change, failure and renewal. Journal of Organizational Change Management, 18(1), 78-95. Silard, A. (2009). Full alignment: A practical guide to transforming your life vision into action. New York: Five Spheres Press, 2009. Southwick, S. M., & Charney, D. S. (2012). Resilience: The science of mastering life’s greatest challenges. New York, NY: Cambridge University Press. Southwick, S. M., Bonanno, G. A., Masten, A. S., Panter-Brick, C., & Yehuda, R. (2014). Resilience definitions, theory, and challenges: Interdisciplinary perspectives. European Journal of Psychotraumatology, 5, 1-14. Dr. Maqsood Hussain Junaidi is an Assistant Professor at Business College, Supply Chain Management Department, Jeddah University, Jeddah, Saudi Arabia. Dr.Junaidi received his doctorate in Supply Chain Management from the University of Kakatiya in Warangal, Telangana, India.

Dr. Mohammad Miralam is the Vice Dean of the Post Graduate Studies and Scientific Research at the University of Jeddah, Jeddah, Saudi Arabia. He is also Chair of the Department of Business Administration, University of Jeddah, College of Business, Jeddah, Saudi Arabia. His bachelor’s degree is in Mechanical Engineering from Um Al-Qura University, Makkah, Saudi Arabia. He got a master’s degree in Project Management from Colorado Technical University, USA. Dr. Mohammad earned his doctorate degree in Project Management from the University of Stirling, UK. Dr. Vikram Jeet is an Assistant Professor, Department of Business Administration, College of Business, University of Jeddah, Jeddah, Saudi Arabia. He earned his doctorate degree in HRM and OB, from the IKG Punjab Technical University, Punjab, India. His research involves Quantitative and Qualitative Social Research, Communication and Media, Managerial Economics, Business Administration, Organizational Studies.

Maqsood Hussain Junnaid, Mohammad Saleh Miralam, Vikram Jeet

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

PAPER ID: 11A16N

E-LEARNING CHAIN: A SECURE BLOCKCHAIN APPROACH TO E-LEARNING & CERTIFICATION SYSTEMS Fahad F. Alruwaili 1

College of Computing and Information Technology, Shaqra University, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 16 July 2020 Received in revised form 11 September 2020 Accepted 18 September 2020 Available online 26 September 2020

Digital transformation revamps many business models and transforms the way people dealing with their day-to-day operations. With the inception of the novel coronavirus i.e. COVID-19, many industries have become very reliant on remote teleworking and the use of all possible online means. Educational institutes are amongst those to innovate and accelerate the adoption of online education and eLearning platforms. However, this rapid trend comes with cybersecurity risks that have not been fully addressed. With these continuing efforts in innovating education delivery, the shift needs a holistic and experiential approach to ensure transparency and authenticity of the delivered educational programs. In this paper, a practical and secure e-Learning Chain (ELC) model using the Distributed Ledger Technology (DLT) and smart contracts to support the learning certification, verification, monitoring, and validation is proposed. The smart contracts are utilized to ensure to support the model certification process for better and secure automation and verification. Further research direction on implementing a blockchain-based e-learning ecosystem and the implications on other educational areas are discussed.

Keywords: Smart Contract; e-Learning technology; eLearning certification; Cybersecurity; Distributed Ledger Technology (DLT); Education; Ethereum; Decentralized Systems; Blockchain.

1 INTRODUCTION Education is one of the most important pillars of future planning (Turkanović et al., 2018). Education plays a vital role in the production of knowledge and its distribution (Arenas R et al, 2018). Learning based on the online is accepted and adopted by many educational firms throughout the world during this COVID-19 pandemic to deliver a quality of education, training, certification, and even awarding higher degrees (Harper et al., 2004). The term quality education involves learners, environments for learning, content, process, and outcomes. To increase the quality of education, teachers need to apply different instructional methods such as online-based learning, e-learning, etc. *Corresponding author (Fahad F. Alruwaili). Email: alruwaili@su.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16N http://TUENGR.COM/V11B/11A16N.pdf DOI: 10.14456/ITJEMAST.2020.323

and also should carry out proper student evaluation and assessment processes. It is also important that traditional lesson styles should be reformed to safe and online-based especially during this COVID-19 pandemic. Blockchain is a new technology and a revolution that has imposed itself on various areas of life (Zheng et al., 2017). The application of blockchain in education is still in its infancy. Only a small number of educational institutions have started to utilize blockchain-based technology. Most of these institutions are using it for sharing and validating the academic certificates that the students have obtained (Chen et al., 2018). However, various researchers in the field of blockchain believe that this technology has can actually revolutionize the education sector due to its security. The blockchain-based technology proposed by (Nespor, 2018) depicted that blockchain-based technology could undercut the educational institutionsâ€™ central role as certification agents and provide students with more learning opportunities. Various applications of blockchain have been developed by different researchers (Gervais et al., 2016, Kosba et al., 2016, Khandelwal et al., 2020) for the educational purpose. These applications can be classified into twelve categories: management of the certificates, capability building and managing the outcomes of learning, students evaluation for their ability in professional ability, preserving the objects of learning, protecting the environment for collaborative based learning, allowance and transfer of credits, getting the consent of guardian digitally, managing competitions, managing copyrights, improving the association of students in e-learning, reviewing the exam, and bracing the learning lifelong. Through various researches that have been done earlier in this field in the last few years, still there is a need for extensive research since there were various scientific gaps present in the previous researches. Blockchain and education technologies can work in tandem to improve: - The transparency and record-keeping e.g. certification process and minimize forged degrees. - Traceability and file storage of academic programs and any committed changes across different participants. - Resistant and defense procedures to cyberattack and cybercrime. - Rewards mechanism via blockchain nodes. - Lower cost of operations through smart contract and process automation. This article provides an overview of the application of blockchain in e-learning for providing the certificates by proposing a novel methodology for providing security while issuing certificates in e-learning using the blockchain technology Main target of this paper is to focus on administrators, decision-makers, academicians, and researchers working on providing security using blockchain as a novel technology and how it be applied in the field of education. The main focus of this paper is to propose a tailored e-learning framework based on a lite implementation of blockchain. Further, the paper revises current blockchain technologies with respect to online learning and education in the following sections. In the following subsequent sections, the novel framework i.e. ELC, is analyzed and implemented. The ELC model based on the DLT and smart contracts devised to support the learning certification, verification, monitoring, and validating. Besides, the work suggests a reliable, trusted, and verifiable blockchain-backed repository for academic course work and student/faculty certification.

Fahad F. Alruwaili

2 RESEARCH MOTIVATION The motivation for this work is to address the current challenges faced with misuse of issuing educational credentials by many parties involved in the educational sector. Also, the work suggests a reliable, trusted, and verifiable blockchain-backed repository for academic course work and student/faculty certification. Further, researchers found a phenomenon of an increasing number of people obtaining certificates without actually joining the learning program which indicates a criminal act. This stipulates the government and educational authorities implement an adequate method or a framework to cease such an act. Thus, this paper directs the research to propose the ELC method which will help minimize the number of increasing forged diploma and certificates and enables credible educational programs. The approach does not only enables employers and/or recruiters to verify the authenticity of someone’s credentials but also attracts honest learners to engage in such technology to continuously upgrade their skillset academically and professionally known their work is highly protected and verifiable. This transparent and efficient approach allows auditors, cultural bureaus, educational authorities, accreditors, and validators to participate and a trustless fashion. The model utilizes the structure of DLT and smart contracts (Wang et al., 2019) in ELC architecture to allow secure delivery and storage of any educational program/curricular and enables efficient and trusted verification and authorization process.

3 EXISTING RESEARCH A Smart Contract is an action performed by the computer program which is processed in between two or more entities which are bound to trust each other based on it (Cheng J-C et al., 2018). It can be a set of rules and conditions between two or more entities. Using a smart contract based on blockchain technology, the cost of third-party involvement is reduced between the transaction process by providing security in the transaction. Various researches have been done earlier by different researchers in this field in the last few decades. Blockcerts (Khandelwal et al., 2020) which was developed by MIT media lab as an open-source credentialing system coupled with the use of artificial intelligence to provide a platform for creating and verifying learning practices and certification. Currently, the use of blockchain within education is at the experimental stage (Watters et al., 2016) where blockchain is being employed within some higher education institutions to provide support for degree management and summative evaluation (Sharples and Domingue, 2018; Skiba et al., 2018). The reason for this is because blockchain records are far more specific, authentic, and revealed to be anti-theft. The application of blockchain to education leads it towards formative evaluation, the tracking of the educational development of students, and the actual implementation of learning delivery. Several interesting research projects that investigate the application of Blockchain technology to education can be found. There are some efforts from different universities in utilizing blockchain technology to manage students’ certificates received from a Massive Open Online Course (MOOC) platforms (Sharples et al., 2016). Also, The Massachusetts Institute of Technology (MIT) has developed a credentials based system which works on the blockchain. This system is designed to provide more security and control in the case of certificates provided to the students, and without having to rely on intermediaries such as third-party, employers from the University for validating and verifying the credentials present in it. A combination of Blockchain technology and cryptography has been applied in concurrence in *Corresponding author (Fahad F. Alruwaili). Email: alruwaili@su.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16N http://TUENGR.COM/V11B/11A16N.pdf DOI: 10.14456/ITJEMAST.2020.323

the process of developing an open platform called the Blockcerts to issue digital certificates (Chen et al., 2018). Moreover, the Knowledge Media Institute (KMI) in the Open University has proposed an Open BlockChain project. The main aim of this project is to facilitate a network that can spearhead blockchain projects in higher education. KMI is particularly interested in enhancing standards for badging, certification, and reputation on the web with the use of the blockchain as a trusted ledger (Jirgensons, 2018). Sony Global Education also connected blockchain technology to a global assessment platform that stores and manages degree evidence (Chen et al., 2018). Furthermore, Authors (Turkanovic et al., 2018) proposed the EduCTX platform that is a decentralized global platform for managing, storing, and sharing digital certificates based on blockchain technology. Improving the interactions of students’ in the participation of e-learning systems is categorized by a different category of application that applies the blockchain technology in order to solve some topics which are connected to the interactivity of students’ who were present in the e-learning platform. (Zhong et al., 2018) proposed a novel application based on blockchain technology to enhance the engagement of learning. It gives an award in the form of virtual currencies to learners who got top rank. This is based on predefined principles which were already located in the blockchain technology. A review of examination is another category of application that was also identified in this review. By deploying a blockchain technique, the security can be enhanced while evaluating the exam papers using the trusted ledger-based technology. (Mitchell et al., 2019) proposed a decentralized application for an examination review called “dAppER.” This system was designed by considered the standards of quality assurance while disturbing exam papers by the external examiners. Based on their analysis, their proposed application helped control the quality of examination.

4 ATTRIBUTES OF THE BLOCKCHAIN TECHNOLOGY A blockchain is a distributed digital record of transactions (Hasanova et al., 2019). The terminology comes from its setup structure where blocks are connected to each other chronologically. These blocks are linked together with each other, and in accordance with the implemented consensus protocol, in a single list which is called a chain. The current implementation of blockchains is now seeing in recording cryptocurrencies transactions. The notion of decentralization is a core component; hence, any involved transactions cannot be altered without the alteration of all concurrent blocks. The key characteristics of the blockchain include decentralization, persistence, anonymity, and audibility.

4.1 BLOCKCHAIN TECHNOLOGIES The idea of the blockchain was initially introduced by Satoshi Nakamoto and later in 2009 implemented the 1st digital cryptocurrency known as Bitcoin. The structure of the Blockchain is shown in Figure 1. Blockchain then has become a core component of bitcoin’s operation and the de facto inspirational to other projects. It provides a secure exchange and traceability in the event of any failures in case of a security breach. In a shift of paradigm, the blockchain removes centralized authority which is present in-between multiple entities that are processing the financial and other transactions on data using a public ledger which is incorruptible, immutable, and decentralized in nature.

Fahad F. Alruwaili

Hash of Current Block 1

Hash of Previous Block 2

Timestamp

Other Information

Main data 1 … … Main data N

Hash of Current Block 2

Hash of Previous Block 3

Timestamp

Other Information

Main data 1 … … Main data N

Figure 1: Structure of Blockchain Blockchain works on different kinds of technologies. A few of them are listed as follows:

4.2 COLORED COINS Protocols that allow digital assets other than Bitcoin to be transferred in across different blockchains called areas “tokens or coins”. Those coins and/or tokens can be used to transfer digital assets where they can be regarded as a metadata 4.2.1 ETHEREUM BLOCKCHAIN It is a newly developed Blockchain and it operates using digital contracts known as “Smart Contracts”. The protocol for Ethereum is different from Bitcoin operational blockchain. Blockchain has many potential application models both in the financial and non-financial industries. Multinational companies like IBM, Amazon, etc have started testing the feasibility and discovering new business opportunities, hence innovative use cases will evolve in the coming years. Many banks and governments have already collaborated to explore the implementation of blockchain technologies in their system. 4.2.2 ALTERNATIVE BLOCKCHAINS This ensures scalability by providing lesser time for validation, more easily programmable, and most importantly, a separate consensus mechanism.

5 PROPOSED METHODOLOGY The design science research (DSR) methodology is used to support the argument of this paper for devising innovative and secure educational course and credential information systems. The DSR employs a specific set of guidelines and principles to develop the architect of IT solutions (Hevner et al., 2010). The main DSR elements are summarized in Table 1. It starts with identifying the issues and setting the end results, which are discussed in the previous sections. This is followed by designing and developing the appropriate model for the IT solution, which is presented in its architecture (Table 1). The ELC approach always indicates the data stored in ELC blocks are valid and verified by all participants. The issued certificates and program courses are always validated against any unauthorized or fraudulent certification. The ELC access and authorization is implemented via the use of verified proof of consensus among engaged participants. The selection of engaged participants requires an understanding of multiple factors and criteria to provide a higher level of clearness before issuing a certification, approving a transcript, or approving a program. These sets of criteria are locked into smart contracts to allow efficient automation. Further, the model considers the selection of validators and referees using the country's official authorities coupled with community voting to *Corresponding author (Fahad F. Alruwaili). Email: alruwaili@su.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16N http://TUENGR.COM/V11B/11A16N.pdf DOI: 10.14456/ITJEMAST.2020.323

elect the most suitable subject matter experts in the field of education. Table 1: Design Science Research (DSR) Constructs Guideline 1

Design

Problem Relevance

Design Evaluation

Contributions to Research

Research Rigor

Design as a Search Process

Research Communication

Description The ELC method is suitable for encouraging the transparency, security, and authenticity of education and learning programs. It is set to counter the forgery of academic certificates and fake online programs. It is usually costly and difficult to manually, verify onesâ€™ credentials and the authenticity and credibility of their certificates. Many HR departments and recruiters from different organizations find it challenging not only verify the resume and credentials of their prospects, but also the credibility of the programs they claim attending. It is also challenging to ensure academic courses and activities are secure against any cyber-attacks or unauthorized access. Therefore, the need for an efficient, transparent, verifiable, and trustless model is critical, hence the ELC. The objective is to develop automated and smart contract enable distributed ledger of educational records and credentials that can be adopted as the next generation of education stakeholders e.g. institutes, authorities, validators, recruiters, etc. ELC approach is set to be evaluated using the Ethereum smart contract and DLT ledger to mimic real scenarios of the suggested pilot. The ELC approach contributes to the security of academic credentials (certificates, transcripts, activities, etc.) and enables an honest and trustless framework that is resistant to fraudulent credentials. A rigorous blockchain technology and information security methods are considered in the ELC. The search for an effective, transparent, secure, and verifiable eLearning security solution requires investigating all different implementation and research approaches to arrive at an optimum solution. The results and insights from this work are disseminated to the relevant communities, academic technologists, blockchain, and cybersecurity Subject Matter Experts (SMEs).

5.1 E-LEARNING CHAIN (ELC) SYSTEM ARCHITECTURE In this section, the conceptual architecture of ELC is presented. The section provides a high-level design of the ELC blockchain, which combines a hybrid implementation (private and public ledger). The goal is to provide a trustless, cost-efficient, and secure eLearning and certification mechanism. The ELC architecture includes participants (cloud users, cloud service providers, validators), consensus algorithms, smart contracts, cryptographic functions, and digital signature. The main ELC system components are described in Figure 2.

Figure 2: The e-Learning Chain (ELC) System Architecture.

Fahad F. Alruwaili

5.2 SMART CONTRACT LOGIC (ELC-SC) The ELC-SC entails an immutable software with a preset of conditions “if y happens, execute z action” stored in the ELC blockchain. It is considered a deterministic logic to automate the education program decision transactions across the ELC ledger. For example, if students pass the course, then log the grade and move student’s eligibility to the next course. Another example, if the student completed all course requirements, then updates the transcript, and issue a verifiable certificate. The advantages of embedding ELC-SC are Efficiency: where the automation is the crux of the mini-digital agreements between the student and the institute. Backend processes for enrollment, escrow, and issuance of certificates are logged as per contract agreements/program policies, eliminating the need for middleman/manual work. Security: ELC-SC is replicated every time new updates are written in a distributed ledger ensuring no central point of failure and high resistance to cyber-attack and availability issues. The ELC-SC safekeeping procedures support the security and privacy of faculty and students’ content and activities. Credibility and Reliability: enables the ELC-SC logic to be redundantly processed and verified by multiple nodes of ELC e.g. Registrar, College, and Accreditor. This counters the existing program, certification manipulation, and substantially reduces the rate of forgery. Interoperability: ELC-SC can scale to integrate with other institute or authority blockchain and smart contracts, allowing a seamless, verifiable, and creditable process of a student wishing to transfer course credits to different colleges and universities. Record Management: ELC-SC maintain information and identity management of students’ activity lifecycle. It implements an association of students’ records and accreditation authorities to facilitate the legitimacy and verification/coherence of credentials. 5.2.1 EDUCATIONAL INSTITUTE (EI) The EI plays a vital role in the ELC ecosystem as the main driver and participant in the ELC chain. It represents the certification authority and provides the underlying infrastructure for the ELC system e.g. integration from legacy and current systems, creation of cryptographic ELC keys (public and private), maintaining the course program, issuing and revoking certificates. The EI should also be ready to integrate with other ELC chains e.g. other universities, accreditors, etc. to enable information exchange via the distributed ledgers that contain, for instance, student profile (course work, transfer of credits, and issued certificates) and other relevant features such as shared services/programs e.g. employers’ gate). 5.2.2 ELC PUBLIC DLT The ELC conceptual system provides a publically peer-to-peer shared and federated ledger that contains stored students’ profiles based on the need to know the security principle. The ledger allows authorized parties such as auditors and recruiters to verify/cohere the student’s credentials. This process can be as simple as scanning the ELC generated-QR-code associated with one’s certificate to redirect the verifier to the ELC blockchain. If true, the public DLT should return the validity of the certification, name, and hash of the accreditor, name, and hash of the certification authority, and it goes along with the transcript and course work. Therefore, the ELC public ledger supports the *Corresponding author (Fahad F. Alruwaili). Email: alruwaili@su.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16N http://TUENGR.COM/V11B/11A16N.pdf DOI: 10.14456/ITJEMAST.2020.323

certification authority in aiding for trusted and distributed certification management which in time helps discover and fight fraudulent qualifications and fake learning organizations. 5.2.3 ELC PRIVATE DLT The private DLT governs the relationship within the education institute and between its colleges and departments. It tracks and logs immutably all the changes to the student profiles, program course work, university activities, and events. The main driver for this component is ELC-SC where a set of scripted agreements, policies, and conditions are stored in ELC private DLT. Modules of the private DLT are: Enrollment: prospective and transferred students complete all the onboarding requirements where the admission office holds a node within the ELC private chain. Once the student passes the required admission tests and obtains the college approval, the ELC-SC changes the status to â€œactive studentâ€? and the academic program engagement starts. A log of this transaction is stored in the private DLT and shared within the institute-engaged parties. This will unlock the next services e.g. student orientation, lecture schedule, etc. Course Program: this module is set to ensure that the digital syllabus of a specific program has been, carefully, revised, and agreed upon using the ELC consensus algorithm (voting procedure). The approved syllabus hash is stored in the ledger to track changes and updates. This augments the program's credibility and improves program quality. It is recommended to integrate and track measurable metrics/indicators such as learning objectives and learning, to be programmable into ELC-SC. Student/faculty Activities: to major the performance of a certain student, faculty, or college and to ensure fairness and credit to those who deserve recognition, this module tracks and logs accomplishments, and activities to student/faculty profile as part of his/her academic journey. Transcript: every semester this module is triggered by ELC-SC upon course completion and to update student profile. The hash of this function is stored in the private DLT and will be made available once the student completes the program or requests a transfer or program and university clearness. The ELC-SC generates a QR code for this transaction hash. Certificate: upon the successful completion of the program and student score, the ELC-SC is triggered to generate the graduation document which includes student blockchain certificate, transcript, student activities, and any miscellaneous. Every graduate will receive a unique ELC QR code printed in the diploma and points to a cryptographic address in the ELC blockchain for traceability and verification. The private DLT connects with the ELC public ledger only as a system assurance and as service level agreement (SLA) to allow verification and fraud detection.

5.3 STUDENT, RECRUITER, AND AUDITOR ELC engaged student receives a cryptographic address linked to his/her digital credentials (similar concept to a digital wallet). It ensures the student has trusted, verifiable, and credible credentials. For access simplicity, the QR code can be shared with recruiters or third parties to verify the student history and academic profile. Only upon the student consent, the verification process can move forward, which s/he can allow/reject within the digital credentials wallet. The e-Learning Chain business processes are depicted in Figure 3.

Fahad F. Alruwaili

Figure 3. ELC Business Processes.

5.4 ALGORITHM FOR THE DESIGN OF SMART CERTIFICATES This main module runs in each of the ELC business processes and also in the SC. Initially, the Private Blockchain of SC is accessed in ELC to settle the ongoing course credits of the user who is learning the course. This process is followed in order to decide whether to provide a digital-based certificate or not. If the overall credits are sufficient, then the module automatically generates the digital-based certificate. This certificate is stored in the SC Public Blockchain while completing the process of a double digital signature. The algorithm for designing the smart certificate is as follows: login = Ok, Start_time == 0, credit_course = 0 If login == Valid and Start_time <= 0.4 hour: Then: Update learning_particulars; If login == Not Valid or Start_time == 0.4 hour Then: SC = Smart_Contract(learning_particulars); Address = SC_Address; Send learning_particulars to address: Execute credit_course=SC_Address(learning_particulars); If credit_curse = 1 Then: Add block_credit to SC_Blockchain; Issue (Smart_contract); End If End If End If

6 CONCLUSION This paper proposed an application of blockchain in e-learning. It sought to develop a model of e-learning based on blockchain-based technology, where the blockchain acts as a safeguarded distributed repository. The main motivation for this proposed methodology is to overcome the current challenges faced by the misuse of issuing educational credentials by many parties involved in the educational sector. A practical and secure ELC model using the Distributed Ledger Technology (DLT) and smart contracts to support the learning certification, verification, monitoring, and validation is proposed. Besides, the work suggests a reliable, trusted, and verifiable blockchain-backed repository for academic course work and student/faculty certification. The Design Science Research (DSR) methodology is also used to support the proposed methodology for devising an innovative and secure educational course and credential information systems. Future work in this area lies in the application of blockchain technology in extending for other e-learning based models. *Corresponding author (Fahad F. Alruwaili). Email: alruwaili@su.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16N http://TUENGR.COM/V11B/11A16N.pdf DOI: 10.14456/ITJEMAST.2020.323

7 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

REFERENCES

Arenas R, Fernandez, P. (2018). CredenceLedger: A Permissioned Blockchain for Verifiable Academic Credentials. In 2018 IEEE International Conference on Engineering, Technology and Innovation (ICE/ITMC), Stuttgart, Germany, 17-20. Chen, G., Xu, B., Lu, M., & Chen, N. S. (2018). Exploring blockchain technology and its potential applications for education. Smart Learn Environ, 5(1), 511-519. Cheng, J-C., Lee, N-Y., Chi, C., Chen, Y-H. (2018). Blockchain and smart contract for a digital certificate. In the 2018 IEEE international conference on applied system invention (ICASI). Gervais, A., Karame, G. O., WĂźst, K., Glykantzis, V., Ritzdorf, H., & Capkun, S. (2016). On the security and performance of proof of work blockchains. In Proceedings of the 2016 ACM SIGSAC conference on computer and communications security, 3-16. Han, M., Li, Z., He, J.S., Wu, D., Xie, Y., Baba, A. (2018). A Novel Blockchain-based Education Records Verification Solution. In Proceedings of the 19th Annual SIG Conference on Information Technology Education, Fort Lauderdale, FL, USA, 178-183. Harper, K. C., Chen, K. Y., David, C. (2004). Distance learning, virtual classrooms, and teaching pedagogy in the Internet environment. Technology in Society, 26(4), 585-598. Hasanova, H., Baek, U. J., Shin, M. G., Cho, K., & Kim, M. S. (2019). A survey on blockchain cybersecurity vulnerabilities and possible countermeasures. International Journal of Network Management, 29(2). Hevner, Alan, and S. Chatterjee. (2010). Design Science Research in Information Systems, In Design research in information systems, 9-22, Springer Boston. Jirgensons, M., & Kapenieks, J. (2018). Blockchain and the future of digital learning credential assessment and management. Journal of Teacher Education for Sustainability, 20(1), 145-156. Khandelwal H., Mittal K., Agrawal S., Jain, H. (2020). Certificate Verification System Using Blockchain. In: Gunjan V., Senatore S., Kumar A., Gao XZ., Merugu S. (eds), Advances in Cybernetics, Cognition, and Machine Learning for Communication Technologies, Lecture Notes in Electrical Engineering, 643. Springer, Singapore. Kosba, A., Miller, A., Shi, E., Wen, Z., & Papamanthou, C. (2016). Hawk: The blockchain model of cryptography and privacy-preserving smart contracts. In 2016 IEEE symposium on security and privacy (SPâ€™16), 839-858. Mitchell, I.; Hara, S.; Sheriff, M. (2019). dAppER: Decentralised Application for Examination Review. In Proceedings of the 2019 IEEE 12th International Conference on Global Security, Safety and Sustainability (ICGS3), London, UK, 1-14. Nespor, J. (2019). Cyber schooling and the accumulation of school time. Pedagogy, Culture & Society, 27(3), 325-341. Sharples, M., and Domingue, J. (2018). The blockchain and kudos: A distributed system for the educational record, reputation and reward. Adaptive and adaptable learning, Springer, Cham, 490-496. Sharples, M., Domingue, J. (2016). The Blockchain and Kudos: A Distributed System for

Fahad F. Alruwaili

Educational Record, Reputation and Reward. In: Verbert K., Sharples M., Klobučar T. (eds) Adaptive and Adaptable Learning, EC-TEL 2016, Lecture Notes in Computer Science, 9891, Springer, Cham. Turkanović, M., Hölbl, M., Košič, K., Heričko, M., & Kamišalić, A. (2018). EduCTX: A blockchain-based higher education credit platform. IEEE Access, 6, 5112-5127. Watters, A. (2016). The blockchain for education: an introduction. com/2016/04/07/blockchain-education-guide.

http://hackeducation.

Zheng, Z., Xie, S., Dai, H., Chen, X., Wang, H. (2017). An Overview of Blockchain Technology: Architecture, Consensus, and Future Trends. In IEEE International Congress on Big data, 557‐564. Zhong, J.; Xie, H.; Zou, D.; Chui, D.K. (2018). A Blockchain Model for Word-Learning Systems. In Proceedings of the 5th International Conference on Behavioral, Economic, and Socio-Cultural Computing, Kaohsiung, Taiwan, 130-131. Dr.Fahad F. Alruwaili is an Assistant Professor in the College of Computing and Information Technology, University of Shaqra, Saudi Arabia. He is a cybersecurity and risk management consultant. He received a BS degree in Computer Engineering from King Fahd University of Petroleum and Minerals, Saudi Arabia. He received an MS degree in Computer, Information, and Network Security with first-class honors from DePaul University, Chicago, IL USA, and an MS degree in Information Systems and Technology with first-class honors from Claremont Graduate University, Los Angeles, CA, USA. He received a PhD degree in Electrical Engineering from the University of Victoria, Victoria, BC Canada. His research interests are in the Technical and Theoretical views of Cybersecurity, Blockchain, and Digital Transformation.

*Corresponding author (Fahad F. Alruwaili). Email: alruwaili@su.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16N http://TUENGR.COM/V11B/11A16N.pdf DOI: 10.14456/ITJEMAST.2020.323

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

PAPER ID: 11A16O

DYNAMIC ECONOMIC EMISSION DISPATCH OPTIMIZATION INTEGRATED WIND AND SOLAR ENERGY SYSTEMS 1*

Ismail Marouani , Chefai Dhifaoui , and Hsan Hadj Abdallah 1

Control & Energies Management (CEM-Lab), National Engineering, School of Sfax, ENIS Sfax, TUNISIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 26 June 2020 Received in revised form 31 August 2020 Accepted 15 September 2020 Available online 26 September 2020

This paper focuses on economic emission dispatch, this dispatching is able to determine the optimum operating strategy to minimize energy costs, enable reduced emissions, and better utilization of renewable energy resources such as wind and solar power. Many countries have made great efforts to save energy and make efficient use, by the development and exploitation of renewable energy such as wind and solar energy, which is a very important alternative to reduce gas emissions, reduce the bill for power generation. In this paper an algorithm (MOALO) called multi-objective ant lion optimizer, is used to solve the dynamic economic environmental dispatch problems with and without ramp rate considering the integration of wind and solar energy. This applied approach is used optimal solutions for power generations and then calculates emission and cost functions. The combined dynamic economic emission dispatch problem (Combined dynamic economic emission dispatch problem ) is employed as a muti-objectives problem in this work, respecting many equality and inequality constraints. The proposed algorithm was applied to a 10-units test power system including wind and solar power. A comparison of the results is made with those in literature. The simulations are executed in MATLAB®-Simulink.

Keywords: DEEDP; Ramp rate; Solar power; MOALO; Wind power; Transmission losses; Valve point effect.

1 INTRODUCTION Scientific research and technological development, although they seek to solve all the problems associated with electrical networks are finding the best solution. It is in this context that our work takes place which is the continuation of this paper and which revolves around the dynamic economic emission dispatch problem (CDEEDP) includes DEcDP and EEmDP. DEcDP takes into *Corresponding author (Ismail Marouani). Tel: +96 6537345692. Email: ismailmarouani@yahoo.fr ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16O http://TUENGR.COM/V11B/11A16O.pdf DOI: 10.14/ITJEMAST.2020.324

consideration ramp rate limits, and EEmDP considers not only the economy but also the environment. CDEEDP has two objectives: the optimal total amount of pollution gas emission and the optimal total cost of the thermal power units during the total scheduling periods, which are mutually competing, namely, a decrease of one objective with an increase of another one[1]. Nowadays, scholars around the world mainly study CDEEDP on the aspect of solving the multi-objective non-convex and nonlinear problem. optimization The problem of CDEED is more difficult to solve the problems EECD and DEMD [2], because it adds at the same time the constraints ramp to rate unit of production and the function of emission to the problem of distribution of the economic load of origin. Also, all outputs power must be appropriately calculated to obtain a better compromise solution that satisfies all constraints [3]. The conception of the strategy respecting all constraints of equality and inequalities and the improvement of the performance of the heuristic algorithm are taken into consideration in order to guarantee a high quality of the solutions for the CDEED problem. It is in this context that our main contribution in this work is expressed using this optimization algorithm (MOALO). Many literatures solve the CDEED problem. There were many approaches to solve the present problem. In summary, particle swarm optimization (PSO) [3], hybrid differential evolution (DE) and sequential quadratic programming (DE-SQP) [4], particle swarm optimization (PSO) and sequential quadratic programming (PSO-SQP) [4], multiobjective differential evolution (MODE) [5], multi-elite guide hybrid differential evolution with simulated annealing technique (MOHDE-SAT) [5], harmony search (HS) method with a new pitch adjustment (NPAHS) [6], Evolutionary Programming (EP) [7], simulated annealing (SA) [8] and pattern Search method (PS) [8], new enhanced harmony search (NEHS) [9], chemical reaction optimization (CRO) [10] and hybrid CRO (HCRO) [10], in reference [11] a (MAMODE) approach is detailed , improved bacterial foraging algorithm (IBFA) [12], nondominated sorting genetic algorithm-II (NSGA-II) and real-coded genetic algorithm (RCGA)[19], modified real-genetic algorithm (MRGA) and modified NSGA-II (MNSGA-II) [20], This work presents an algorithm (MOALO) proposed to solve DEcDP, DEmDP and CDEEDP.

2 OBJECTIVE FUNCTIONS 2.1 THERMAL COST AND TOTAL EMISSION FUNCTIONS Equation (1) represents a mathematical expression of the cost fuel function

đ??šđ??šâ€Ż1 = đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€â€Żđ??šđ??šđ?‘˘đ?‘˘đ?‘–đ?‘–đ?‘–đ?‘– (đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą ) = ďż˝ đ??šđ??šâ€Ż1â€Ż = ďż˝

đ?‘‡đ?‘‡

đ?‘Ąđ?‘Ą=1

ďż˝

đ?‘ đ?‘ đ?‘ đ?‘

đ?‘–đ?‘–=1

đ?‘‡đ?‘‡

ďż˝

đ?‘Ąđ?‘Ą=1

đ?‘ đ?‘ đ?‘ đ?‘

đ?‘–đ?‘–=1

đ??šđ??šđ?‘˘đ?‘˘đ?‘–đ?‘–đ?‘–đ?‘– (đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą )

2 đ?‘Žđ?‘Žđ?‘–đ?‘– đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą + đ?‘?đ?‘?đ?‘–đ?‘– đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą + đ?‘?đ?‘?đ?‘–đ?‘–â€Ż

(1)

In the CDEED problem, when the VPLE is taken into consideration, the cost function of unit generation is [12] đ??šđ??š1 = đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€â€Żđ??šđ??šđ?‘˘đ?‘˘đ?‘–đ?‘–đ?‘–đ?‘– (đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą )

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

2 min 𝐹𝐹1  = 𝑎𝑎𝑖𝑖 𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 + 𝑏𝑏𝑖𝑖 𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 + 𝑐𝑐𝑖𝑖 + �𝑑𝑑𝑖𝑖 sin �𝑒𝑒𝑖𝑖 �𝑃𝑃𝑔𝑔𝑔𝑔 − 𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 ��

(2)

Equation (3) illustrates the emission function

2 𝐹𝐹2 = 𝑀𝑀𝑀𝑀𝑀𝑀 𝐸𝐸𝑚𝑚𝑖𝑖𝑖𝑖 (𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 ) = 𝛾𝛾𝑖𝑖 𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 + 𝛽𝛽𝑖𝑖 𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 + 𝛼𝛼𝑖𝑖 +   𝜉𝜉𝑖𝑖 exp(𝜆𝜆𝑖𝑖 𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 )

(3).

Currently, electricity companies are oriented towards the use of renewable energies to reduce environmental pollution [13].

2.2 WIND POWER MODEL AND COST FUNCTION The model given to wind speed using (PDF) [14], can be expressed by Equation (4) [1] 𝑘𝑘 𝑣𝑣𝑤𝑤𝑤𝑤𝑤𝑤 𝑘𝑘−1

𝑃𝑃𝑃𝑃𝑃𝑃(𝑣𝑣𝑤𝑤𝑤𝑤𝑤𝑤) = �

�

𝑐𝑐

. exp �− �

𝑣𝑣𝑤𝑤𝑤𝑤𝑤𝑤 𝑘𝑘 𝑐𝑐

� � ,   (𝑣𝑣𝑤𝑤𝑤𝑤𝑤𝑤 > 0)

(4).

The calculation of wind power is based on Equation (5) [13] 0,     for 𝑣𝑣𝑣𝑣𝑣𝑣𝑣𝑣, 𝑡𝑡 ≤ 𝑣𝑣𝑖𝑖𝑖𝑖  𝑎𝑎𝑎𝑎𝑎𝑎 𝑣𝑣𝑣𝑣𝑣𝑣𝑣𝑣, 𝑡𝑡 > 𝑣𝑣0

𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 = � 𝑝𝑝𝑝𝑝 �

𝑣𝑣𝑤𝑤𝑤𝑤𝑤𝑤,𝑡𝑡 −𝑣𝑣𝑖𝑖𝑖𝑖 𝑣𝑣𝑟𝑟 −𝑣𝑣𝑖𝑖𝑖𝑖

� ,  for 𝑣𝑣𝑖𝑖𝑖𝑖 ≤ 𝑣𝑣𝑣𝑣𝑣𝑣𝑣𝑣, 𝑡𝑡 ≤ 𝑣𝑣𝑟𝑟

(5).

𝑝𝑝𝑝𝑝,                          for 𝑣𝑣𝑟𝑟 ≤ 𝑣𝑣𝑣𝑣𝑣𝑣𝑣𝑣, 𝑡𝑡 ≤ 𝑣𝑣0

The cost wind expressed by Equation (7) [31] 𝑁𝑁𝑁𝑁

𝐹𝐹3�𝑃𝑃𝑤𝑤𝑤𝑤𝑤𝑤,𝑘𝑘,𝑡𝑡  � = �𝑘𝑘=1 𝐾𝐾𝑤𝑤𝑤𝑤𝑤𝑤,𝑘𝑘  𝑃𝑃𝑤𝑤𝑤𝑤𝑤𝑤,𝑘𝑘,𝑡𝑡

(6).

2.3 PV POWER MODEL AND COST FUNCTION Equation (7) gives the mathematical expression of solar irradiation of PV solar [16]: 𝑃𝑃𝑆𝑆 (𝐺𝐺) = �

𝑃𝑃𝑆𝑆 �

𝐺𝐺 2

�  𝑓𝑓𝑓𝑓𝑓𝑓 0 < 𝐺𝐺 < 𝑅𝑅𝑐𝑐

𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠 .𝑅𝑅𝑐𝑐 𝐺𝐺 𝑃𝑃𝑆𝑆 � �       𝑓𝑓𝑓𝑓𝑓𝑓 𝐺𝐺 𝐺𝐺 𝑠𝑠𝑠𝑠𝑠𝑠

(7),

> 𝑅𝑅𝑐𝑐

where it is noted that PV cell temperature is neglected. The maximum penetration of PV, the system is given by max 𝑃𝑃𝑆𝑆,𝑘𝑘 ≤ 𝑃𝑃𝑆𝑆,𝑘𝑘

(8)

The Weibull distribution function is given by [17] 𝑘𝑘

𝐺𝐺 𝐾𝐾1 −1

𝑓𝑓𝐺𝐺 (𝐺𝐺 ) = 𝜔𝜔 � 1� . � � 𝑐𝑐1

𝑐𝑐1

𝐺𝐺 𝐾𝐾1

𝐺𝐺 𝐾𝐾2 −1

𝑘𝑘

exp �− � � � + (1 − 𝜔𝜔 ) � 2� . � � 𝑐𝑐2

𝑐𝑐1

for 0 < 𝐺𝐺 < ∞

𝑐𝑐2

𝐺𝐺 𝐾𝐾2

exp �− � � � 𝑐𝑐2

(9)

A cumulative distribution n function (CDF) corresponding to the Weibull PDF Equation (9), is given by Equation (10) 𝐺𝐺 𝐾𝐾1

𝐺𝐺 𝐾𝐾2

𝐹𝐹𝐺𝐺 (𝐺𝐺) = 𝜔𝜔 �1 − exp �− � � ��    +  (1 − 𝜔𝜔 ) �1 − exp �− � � ��

(10)

𝑝𝑝𝑠𝑠 = 𝑎𝑎𝑎𝑎 + 𝑏𝑏 = 𝑔𝑔(𝐺𝐺)

(11)

𝑐𝑐1

𝑐𝑐2

According to the transformations of random variables, given by Equations (11) and (12):

𝑓𝑓𝑝𝑝𝑠𝑠 (𝑝𝑝𝑠𝑠 ) = 𝑓𝑓𝐺𝐺 [𝑔𝑔−1 (𝑝𝑝𝑝𝑝)]  �

𝑑𝑑𝑔𝑔−1 (𝑝𝑝𝑝𝑝) 𝑑𝑑𝑝𝑝𝑠𝑠

� = 𝑓𝑓𝐺𝐺 (𝐺𝐺) ∗ � � = 𝑓𝑓𝐺𝐺 ( 𝑎𝑎

𝑝𝑝𝑠𝑠 −𝑏𝑏 𝑎𝑎

)∗� � 𝑎𝑎

(12)

*Corresponding author (Ismail Marouani). Tel: +96 6537345692. Email: ismailmarouani@yahoo.fr ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16O http://TUENGR.COM/V11B/11A16O.pdf DOI: 10.14/ITJEMAST.2020.324

and

𝑝𝑝𝑠𝑠 �

𝑃𝑃𝑆𝑆𝑆𝑆

𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠

𝑎𝑎 = �

� 𝐺𝐺 = 𝑎𝑎𝑎𝑎,  𝑓𝑓𝑓𝑓𝑓𝑓 𝐺𝐺 > 𝑅𝑅𝑐𝑐

𝑃𝑃𝑆𝑆𝑆𝑆

𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠

�

(14) 𝑝𝑝𝑝𝑝

𝑓𝑓𝑝𝑝𝑠𝑠 (𝑝𝑝𝑠𝑠 ) = 𝑓𝑓𝐺𝐺 �  � ∗ 𝑎𝑎

Where G is given by

And

𝑝𝑝𝑠𝑠 = � 𝑎𝑎 = �

𝑃𝑃𝑆𝑆𝑆𝑆

𝐺𝐺𝑟𝑟 𝑅𝑅𝑐𝑐

𝑃𝑃𝑆𝑆𝑆𝑆

𝐺𝐺𝑟𝑟 𝑅𝑅𝑐𝑐

𝑓𝑓𝑝𝑝𝑠𝑠 (𝑝𝑝𝑠𝑠 ) =

(13)

𝑎𝑎

= 𝑓𝑓𝐺𝐺 �

𝑝𝑝𝑝𝑝𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠 𝑃𝑃𝑆𝑆𝑆𝑆

�∗

𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠

(15)

𝑃𝑃𝑆𝑆𝑆𝑆

� 𝐺𝐺 2 = 𝑎𝑎𝐺𝐺 2 ,    for  0 < 𝐺𝐺 < 𝑅𝑅𝑐𝑐

�

(16)

(17) 1

2�𝑎𝑎𝑝𝑝𝑠𝑠

�𝑓𝑓𝐺𝐺 ��

𝑝𝑝𝑝𝑝 𝑎𝑎

𝑝𝑝𝑝𝑝

� + 𝑓𝑓𝑔𝑔 �−�  ��

(18)

𝑎𝑎

Therefore, the PDF of solar PV output power is 𝑓𝑓𝑝𝑝𝑠𝑠 (𝑝𝑝𝑠𝑠 ) =

𝑃𝑃 𝑝𝑝 2� 𝑆𝑆𝑆𝑆 𝑠𝑠 𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠 𝑅𝑅𝑐𝑐

∗ �𝑓𝑓𝐺𝐺 ��

𝑝𝑝𝑠𝑠 𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠 𝑅𝑅𝑐𝑐 𝑃𝑃𝑆𝑆𝑆𝑆

� + 𝑓𝑓𝐺𝐺 �−�

𝑝𝑝𝑠𝑠 𝐺𝐺𝑠𝑠𝑠𝑠𝑠𝑠 𝑅𝑅𝑐𝑐 𝑃𝑃𝑆𝑆𝑆𝑆

��

(19).

The cost PV solar expressed by Equation (7) [31] 𝑁𝑁

𝑃𝑃𝑃𝑃 𝐾𝐾𝑝𝑝𝑝𝑝,𝑘𝑘 𝑃𝑃𝑃𝑃𝑃𝑃,𝑚𝑚,𝑡𝑡   𝐹𝐹4�𝑃𝑃𝑃𝑃𝑃𝑃,𝑚𝑚,𝑡𝑡 � = �𝑚𝑚=1

(20).

2.4 LOAD DEMAND UNCERTAINTY MODEL This function is given by [18] 𝑓𝑓𝑙𝑙 (𝑙𝑙) =

𝜕𝜕√2𝜋𝜋

∗ exp �− ��

(𝑙𝑙−𝜇𝜇)2 2𝜕𝜕 2

��

(21),

Where: σ: standard deviation of the uncertain load. μ: mean value of the uncertain load.

2.5 MULTI OBJECTIVE FUNCTION In the multi-objective CDEED dispatch, the problem can be expressed as : 𝑀𝑀𝑀𝑀𝑀𝑀 𝐹𝐹(𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 ) =  �𝐹𝐹1(𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 ), 𝐹𝐹2(𝑃𝑃𝑔𝑔𝑔𝑔,𝑡𝑡 ), 𝐹𝐹3(𝑃𝑃𝑤𝑤𝑤𝑤𝑤𝑤,𝑘𝑘,𝑡𝑡  ), 𝐹𝐹4�𝑃𝑃𝑃𝑃𝑃𝑃,𝑚𝑚,𝑡𝑡 �, �

(22).

𝑀𝑀𝑀𝑀𝑀𝑀 𝐹𝐹 =  𝑤𝑤 𝐹𝐹1  +  𝑝𝑝𝑝𝑝 (1 − 𝑤𝑤) 𝐹𝐹2

(23).

In [4], we can formulate the CDEED problem with these multi-objective and these non-linear constraints into a mono-objective problem using the weighting method

Where 𝑝𝑝𝑝𝑝 is the price penalty factor as in Equation (24) 𝑚𝑚𝑚𝑚𝑚𝑚 )= 𝑝𝑝𝑓𝑓𝑖𝑖 (𝑃𝑃𝑖𝑖𝑖𝑖

𝑚𝑚𝑚𝑚𝑚𝑚 𝐹𝐹1(𝑃𝑃𝑖𝑖𝑖𝑖 )

𝑚𝑚𝑚𝑚𝑚𝑚 𝐹𝐹2(𝑃𝑃𝑖𝑖𝑖𝑖 )

$/𝑡𝑡𝑡𝑡𝑡𝑡

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

(24).

Where đ?‘¤đ?‘¤ âˆˆ [0, 1] is a weighting factor. It will be noted that when w = 1, the dynamic economic dispatch problem (DEcD) look Equation (2) finds the optimal amount of the power generation by minimization of the cost. If = 0, then the dynamic emission dispatch problem (DEmD) problem gives the optimal amount of power generation by minimization of the emission. If đ?‘¤đ?‘¤ = 0.5, then DEED determines power generation by minimization simultaneously of the economic and emission [12].

2.6 PROBLEM CONSTRAINTS The active power equilibrium equation

ďż˝

đ?‘ đ?‘ đ?‘›đ?‘›

đ?‘–đ?‘–=1

đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą + đ?‘ƒđ?‘ƒđ?‘¤đ?‘¤đ?‘¤đ?‘¤đ?‘¤đ?‘¤ â€Ż + đ?‘ƒđ?‘ƒđ?‘ƒđ?‘ƒđ?‘ƒđ?‘ƒ = đ?‘ƒđ?‘ƒđ??ˇđ??ˇđ??ˇđ??ˇ + đ?‘ƒđ?‘ƒđ??żđ??żđ??żđ??żâ€Ż â€Ż; â€Żâ€Żđ?‘Ąđ?‘Ą = â€Ż1,2, . . . ,â€Żđ?‘‡đ?‘‡

đ?‘ƒđ?‘ƒđ??żđ??żđ??żđ??ż = ďż˝

Generator limits

đ?‘‡đ?‘‡

ďż˝

đ?‘Ąđ?‘Ą=1

đ?‘ đ?‘ đ?‘›đ?‘›

đ?‘–đ?‘–=1

đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą đ??ľđ??ľđ?‘–đ?‘–đ?‘–đ?‘– đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą â€Żâ€Żâ€Żâ€Ż; â€Żâ€Żđ?‘Ąđ?‘Ą = â€Ż1,2, . . . ,â€Żđ?‘‡đ?‘‡

đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘” â‰¤ đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą â‰¤ đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”

(25)

(26).

(27).

2.6.1 GENERATING UNIT RAMP-RATE LIMITS At a well-determined time interval, the output power of a unit can be decreased (ramp down) or increased (ramp-up) according to the specified maximum ramp rates. This Violation of the unit ramp rates makes it possible to reduce the lifespan of electrical generations. These ramp rate limits must respect the variation in the load request [30]. đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą âˆ’ đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ąâˆ’1 â‰¤ đ?‘ˆđ?‘ˆđ?‘…đ?‘…đ?‘”đ?‘”đ?‘”đ?‘”

đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ąâˆ’1 âˆ’ đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą â‰¤ đ??ˇđ??ˇđ?‘…đ?‘…đ?‘”đ?‘”đ?‘”đ?‘”

(28.1), (28.2),

for đ?‘–đ?‘–â€Żâ€Ż âˆˆ â€Żđ?‘ đ?‘ đ?‘›đ?‘› â€Żâ€Żđ?‘’đ?‘’đ?‘’đ?‘’â€Żâ€Żđ?‘Ąđ?‘Ą = â€Ż2,â€Ż3,â€Ż. . . . . đ?‘‡đ?‘‡,

where (28.1) when generation increases, (28.2) when generation decreases. If the limits of unit ramp-rate are taken into account, the real generated power limits (9) can be modified as the following Equation: min max , đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ąâˆ’1 âˆ’ đ??ˇđ??ˇđ?‘…đ?‘…đ?‘”đ?‘”đ?‘”đ?‘” ďż˝ â‰¤ đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą â‰¤ minďż˝đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘” , đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ąâˆ’1 + đ?‘ˆđ?‘ˆđ?‘…đ?‘…đ?‘”đ?‘”đ?‘”đ?‘” ďż˝ maxďż˝đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”

(29)

3 STUDY DETAILS MULTI-OBJECTIVE ANT LION OPTIMIZER (MOALO) An algorithm called Ant Lion Optimizer (ALO) was inspired by nature, proposed by Seyedali Mirjalili in 2015. The fundamentals and steps are detailed in reference [19, 20, 21, 22]. This is one of the algorithms that are also used for the economic emission load dispatch problem (EELDP it is one of the significant recent research [23, 24]. The original random walk utilized in the ALO algorithm to simulate the random walk of ants follows Equation (28) [25]. đ?‘‹đ?‘‹(đ?‘Ąđ?‘Ą) = [0,â€Żđ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?â€Ż(2đ?‘&#x;đ?‘&#x;(đ?‘Ąđ?‘Ą1)â€Ż âˆ’ 1) âˆ’ 1),â€Żđ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?â€Ż(2đ?‘&#x;đ?‘&#x;(đ?‘Ąđ?‘Ą2)â€Ż âˆ’ 1), . . . .â€Żđ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?đ?‘?â€Ż(2đ?‘&#x;đ?‘&#x;(đ?‘Ąđ?‘Ąđ?‘Ąđ?‘Ą)â€Ż âˆ’ 1)

(30)

*Corresponding author (Ismail Marouani). Tel: +96 6537345692. Email: ismailmarouani@yahoo.fr ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16O http://TUENGR.COM/V11B/11A16O.pdf DOI: 10.14/ITJEMAST.2020.324

where đ?‘&#x;đ?‘&#x;(đ?‘Ąđ?‘Ą) expressed by Equation (31) đ?‘&#x;đ?‘&#x;(đ?‘Ąđ?‘Ą) = â€Ż ďż˝

1â€Żifâ€Ż đ?‘&#x;đ?‘&#x;đ?‘&#x;đ?‘&#x;đ?‘&#x;đ?‘&#x;đ?‘&#x;đ?‘&#x;â€Ż > â€Ż0.5 0,â€Żâ€Żđ?‘œđ?‘œđ?‘œđ?‘œâ„Žđ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’â€Ż

(31),

where (rand) random number generated with uniform distribution in the interval of [0,1], and t shows the step of random walk (iteration in this study). Equation (32) is used in the normalization of random walks, in order to prevent the ants from in research space [24] đ?‘‹đ?‘‹đ?‘–đ?‘–đ?‘Ąđ?‘Ą =

(đ?‘‹đ?‘‹đ?‘–đ?‘–đ?‘Ąđ?‘Ą âˆ’đ?‘Žđ?‘Žđ?‘–đ?‘– )Ă—â€Ż(đ?‘‘đ?‘‘đ?‘–đ?‘–đ?‘Ąđ?‘Ą âˆ’đ?‘?đ?‘?đ?‘–đ?‘–đ?‘Ąđ?‘Ą )â€Ż đ?‘?đ?‘?đ?‘–đ?‘– âˆ’đ?‘Žđ?‘Žđ?‘–đ?‘–

â€Ż + â€Żđ?‘?đ?‘?đ?‘–đ?‘–đ?‘Ąđ?‘Ą

(32).

Equations (33) and (34) represent the mathematical expressions of trapping ants used in simulation [23] đ?‘Ąđ?‘Ą = â€Żđ??´đ??´đ??´đ??´đ??´đ??´â€Ż âˆ’ â€Żđ?‘™đ?‘™đ?‘™đ?‘™đ?‘™đ?‘™đ?‘™đ?‘™â€Żđ?‘Ąđ?‘Ąđ?‘›đ?‘› â€Ż âˆ’ â€Żđ?‘?đ?‘?â€Żđ?‘Ąđ?‘Ą đ?‘?đ?‘?đ?‘šđ?‘š

đ?‘Ąđ?‘Ą = â€Żđ??´đ??´đ??´đ??´đ??´đ??´â€Ż âˆ’ â€Żđ?‘™đ?‘™đ?‘™đ?‘™đ?‘™đ?‘™đ?‘™đ?‘™â€Żđ?‘Ąđ?‘Ąđ?‘›đ?‘› â€Ż âˆ’ â€Żđ?‘‘đ?‘‘â€Żđ?‘Ąđ?‘Ą đ?‘‘đ?‘‘đ?‘šđ?‘š

(33) (34)

The method of the roulette wheel is used in the selection of the lion ant stronger for the construction of the trap. In the simulation of ants sliding towards, the limits of random walks should be adaptively reduced as follows Equations (35) and (36) [26]:

đ?‘?đ?‘? đ?‘Ąđ?‘Ą = â€Żâ€Ż

đ?‘‘đ?‘‘đ?‘Ąđ?‘Ą = â€Żâ€Ż

đ?‘?đ?‘?â€Żđ?‘Ąđ?‘Ą

(35)

đ?‘‘đ?‘‘â€Żđ?‘Ąđ?‘Ą

(36)

đ??źđ??ź

Where đ??źđ??ź = â€Ż10đ?‘¤đ?‘¤ (đ?‘Ąđ?‘Ą/đ?‘†đ?‘†), t is the courant iteration, đ?‘†đ?‘† is the maximum number of iterations and w is a constant whose value is given by system (19) [23] 2 â€Żâ€Żđ?‘–đ?‘–đ?‘–đ?‘–â€Żâ€Żđ?‘Ąđ?‘Ą > â€Żâ€Ż0.1đ?‘†đ?‘† âŽ§ 3â€Ż đ?‘–đ?‘–đ?‘–đ?‘–â€Ż â€Żđ?‘Ąđ?‘Ąâ€Ż > â€Żâ€Ż0.5đ?‘†đ?‘† âŽŞ đ?‘¤đ?‘¤ = â€Ż 4 â€Żđ?‘–đ?‘–đ?‘–đ?‘–â€Żâ€Żđ?‘Ąđ?‘Ą > â€Żâ€Ż0.75đ?‘†đ?‘† âŽ¨ 5 đ?‘–đ?‘–đ?‘–đ?‘–â€Żâ€Żđ?‘Ąđ?‘Ą > â€Żâ€Ż0.9đ?‘†đ?‘† âŽŞ âŽŠ 6â€Ż đ?‘–đ?‘–đ?‘–đ?‘–â€Żâ€Żđ?‘Ąđ?‘Ą > â€Żâ€Ż0.95đ?‘†đ?‘†

(37)

To catch ant lion ants and re-construction of the pit can be described mathematically by Equation (38) [21]: đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘—đ?‘—đ?‘Ąđ?‘Ą â€Ż = â€Żđ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘Ąđ?‘Ąđ?‘–đ?‘– ,â€Ż if â€Żđ?‘“đ?‘“(đ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘Ąđ?‘Ąđ?‘–đ?‘– )â€Ż > â€Żđ?‘“đ?‘“(đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘—đ?‘—đ?‘Ąđ?‘Ą â€Ż)

(38),

where đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘—đ?‘—đ?‘Ąđ?‘Ą indicates shows the selected position of đ?‘—đ?‘— th ant lion at đ?‘–đ?‘– th iteration,

đ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘Ąđ?‘Ąđ?‘–đ?‘–

indicates the position of đ?‘–đ?‘–th ant at đ?‘–đ?‘–th iteration, at the current iteration đ?‘Ąđ?‘Ą. Equation (39) indicates that the roulette wheel is used in the calculation of the last operator in ALO, that is elitism [26] đ??´đ??´đ??´đ??´đ??´đ??´â€Żđ?‘Ąđ?‘Ąđ?‘–đ?‘– â€Ż = â€Ż

đ?‘Ąđ?‘Ą đ?‘Ąđ?‘Ą đ?‘…đ?‘…đ??´đ??´ â€Ż+đ?‘…đ?‘…đ??¸đ??¸ â€Żâ€Ż

where đ?‘…đ?‘…đ??´đ??´đ?‘Ąđ?‘Ą â€Ż: random walk nearby the ant lion. đ?‘…đ?‘…đ??¸đ??¸đ?‘Ąđ?‘Ą â€Ż: random walk nearby the elite at đ?‘Ąđ?‘Ąth iteration,

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

(39),

𝐴𝐴𝐴𝐴𝐴𝐴 𝑡𝑡𝑖𝑖 : location of 𝑖𝑖th ant at 𝑡𝑡th iteration

4 IMPLANTATION OF MOALO TO SOLVE CDEEDP The MOALO contains the following steps [27]: Step 1: Initialization of random walks by Equation (28), ant position generation saved using a matrix

𝑀𝑀𝐴𝐴𝐴𝐴𝐴𝐴

𝐴𝐴𝐴𝐴𝑡𝑡1,1      𝐴𝐴𝐴𝐴𝑡𝑡1,2      𝐴𝐴𝐴𝐴𝑡𝑡1,3       . . .     𝐴𝐴𝐴𝐴𝑡𝑡1,𝑑𝑑 𝐴𝐴𝐴𝐴𝑡𝑡2,1      𝐴𝐴𝐴𝐴𝑡𝑡2,2      𝐴𝐴𝐴𝐴𝑡𝑡2,3      . . .     𝐴𝐴𝐴𝐴𝑡𝑡2,𝑑𝑑 =� � . . .                 . . .              . . .                . . . 𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,1      𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,2      𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,3      . . .     𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,𝑑𝑑 𝑛𝑛×𝑑𝑑

(40),

where 𝑀𝑀𝐴𝐴𝐴𝐴𝐴𝐴 : matrix to save the position for each ant. d: number of variables. 𝐴𝐴𝐴𝐴𝐴𝐴 𝑖𝑖,𝑗𝑗 : the value of the 𝑗𝑗th variable for 𝑖𝑖th ant.

𝑛𝑛 is an ant number. Step 2: evaluation of each ant, the following matrix (41) presents the fitness value of all ants during optimization

𝑀𝑀𝑂𝑂𝑂𝑂

𝑓𝑓��𝐴𝐴𝐴𝐴𝑡𝑡1,1      𝐴𝐴𝐴𝐴𝑡𝑡1,2      𝐴𝐴𝐴𝐴𝑡𝑡1,3       . . .     𝐴𝐴𝐴𝐴𝑡𝑡1,𝑑𝑑 �� ⎡ ⎤ �� ⎢ 𝑓𝑓��𝐴𝐴𝐴𝐴𝑡𝑡2,1     𝐴𝐴𝐴𝐴𝑡𝑡2,2      𝐴𝐴𝐴𝐴𝑡𝑡2,3       . . .     𝐴𝐴𝐴𝐴𝑡𝑡2,𝑑𝑑 ⎥ =⎢ ⎥                                            ...            ⎢ ⎥ ⎣𝑓𝑓��𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,1      𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,2      𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,3       . . .     𝐴𝐴𝐴𝐴𝑡𝑡𝑛𝑛,𝑑𝑑 ��⎦

(41)

where 𝑀𝑀𝑂𝑂𝑂𝑂 : fitness of each ant, saved in this matrix. 𝐴𝐴𝐴𝐴𝐴𝐴 𝑖𝑖,𝑗𝑗 : 𝑗𝑗th dimension for 𝑖𝑖th ant,

𝑓𝑓: objective function. Step 3: the previous matrices (40) and (41) described below (42) used to save the optimal generation power and the optimal corresponding cost: 𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴1,2 𝐴𝐴𝐴𝐴1,3 ⋯ 𝐴𝐴𝐴𝐴1,𝑑𝑑 ⎡ 1,1 ⎤ 𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴 ⋯ 𝐴𝐴𝐴𝐴 ⎢ ⎥ 2,1 2,2 2,3 2,𝑑𝑑 𝑀𝑀𝐴𝐴𝐴𝐴 = ⎢ ⎥ ⋯ ⋯ ⋯ ⋯ ⋮ ⎢ ⎥ ⎣𝐴𝐴𝐴𝐴𝑛𝑛,1 𝐴𝐴𝐴𝐴𝑛𝑛,2 𝐴𝐴𝐴𝐴𝑛𝑛,3 ⋯ 𝐴𝐴𝐴𝐴𝑛𝑛,𝑑𝑑⎦

(42),

where 𝑀𝑀𝐴𝐴𝐴𝐴 : matrix to save the position of each ant lion, n: ant lions number, d: variables (generators) number. Where 𝑀𝑀𝑂𝑂𝑂𝑂𝑂𝑂matrix saves the fitness for each ant lion. 𝐴𝐴𝐴𝐴𝑖𝑖𝑖𝑖 𝑗𝑗th dimension’s value of 𝑖𝑖th ant lion, 𝑀𝑀𝑂𝑂𝑂𝑂𝑂𝑂

𝑓𝑓��𝐴𝐴𝐿𝐿1,1      𝐴𝐴𝐿𝐿1,2      𝐴𝐴𝐿𝐿1,3       . . .     𝐴𝐴𝐿𝐿1,𝑑𝑑 �� ⎡ ⎤ ⎢ 𝑓𝑓��𝐴𝐴𝐿𝐿2,1      𝐴𝐴𝐿𝐿2,2      𝐴𝐴𝐿𝐿2,3       . . .     𝐴𝐴𝐿𝐿2,𝑑𝑑 �� ⎥ =⎢ ⎥                                            ...            ⎢ ⎥ ⎣𝑓𝑓��𝐴𝐴𝐿𝐿𝑛𝑛,1      𝐴𝐴𝐿𝐿𝑛𝑛,2      𝐴𝐴𝐿𝐿𝑛𝑛,3       . . .     𝐴𝐴𝐿𝐿𝑛𝑛,𝑑𝑑 ��⎦

(43)

5 FRONT PARETO AND BEST COMPROMISE SOLUTION The membership function evaluated by the Decision-maker (DM), ÂľFk in a subjective manner [28, 29] and is defined strictly monotonic decreasing and continuous function as đ??šđ??šđ?‘˜đ?‘˜đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€ âˆ’đ??šđ??šđ?‘˜đ?‘˜ (đ?‘–đ?‘–)

, đ??šđ??šđ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€ â‰¤ đ??šđ??šđ?‘˜đ?‘˜ â‰¤ đ??šđ??šđ?‘˜đ?‘˜đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€ đ?œ‡đ?œ‡đ??šđ??šđ?‘˜đ?‘˜ (đ?‘–đ?‘–) = ďż˝đ??šđ??šđ?‘˜đ?‘˜đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€âˆ’đ??šđ??šđ?‘˜đ?‘˜đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€ đ?‘˜đ?‘˜ 0, đ?‘‚đ?‘‚đ?‘‚đ?‘‚â„Žđ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’đ?‘’

(44).

The procedure is first to find and save the maximum for each objective, second Addition one of the objective functions (emission function F2) to constraints đ??šđ??š2 = đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€đ?‘€â€Żđ??¸đ??¸đ?‘šđ?‘šđ?‘–đ?‘–đ?‘–đ?‘– (đ?‘ƒđ?‘ƒđ?‘”đ?‘”đ?‘”đ?‘”,đ?‘Ąđ?‘Ą ) â‰¤ đ?œ€đ?œ€

(45).

Max ďż˝min(đ?œ‡đ?œ‡Fk )ďż˝

(46).

The đ?œ€đ?œ€ value will be varied from đ??šđ??š2đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š to đ??šđ??š2đ?‘šđ?‘šđ?‘šđ?‘šđ?‘šđ?‘š and then đ??šđ??š1 (cost function) is minimized. The final optimal solution reached, after a decision taken according to the conditions of the procedure described in the steps of the algorithm. Where đ?‘›đ?‘›đ?‘›đ?‘› number of the total solution and đ?‘›đ?‘›đ?‘›đ?‘› number of objective functions 1:đ?‘›đ?‘›đ?‘›đ?‘›

1:đ?‘›đ?‘›đ?‘›đ?‘›

6 ANALYZE AND DISCUSSION OF RESULTS In this paper, 10-units test power systems to demonstrate the performance of the proposed approach with the three following cases: Case#1: DEcD: DEcDP dynamic economic dispatch problem. Case#2: DEmD: DEmDP dynamic emission dispatch problem. Case#3: CDEEDP: Combined dynamic economic emission dispatch problem. Test Ten-unit power system, the generatorsâ€™ input data, price penalty factors for hourly load demands, and the transmission power losses coefficients of this system are given in Tables 10, 11, and 12, respectively.

Figure 1: Flow-chart of combined environmental economic dispatch using the MOALO algorithm.

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

All the simulations results are done using MATLAB R2013a and executed with i3-2310M CPU @ 2.10 GHz and 6 GB RAM PC. The system data is the same for all cases. The proposed algorithm was employed with the population size is 100 and the maximum iteration number max 100 for the 10-units test system under consideration. For each value power demand, this well is the algorithm turned in order to obtain a better result. The convergence characteristic of the proposed MOALO algorithm for the 10-units test system is depicted in Figure 2. We can see that 100 iterations take by MOALO to converge towards the best solution nearby. This proves the complexity of the CDEED problem when considering the transmission power losses and the effect of the valve point. The numerical results for the Pareto front and compromise solution for DEEDP of the 10-unit system are given in Table 1. When the best cost is 2592900 $ and the best emission is 292100 lb. Figures 3 show the Pareto and compromise solution for the case#3 obtained from the proposed method. Similarly, Tables 2 and 3 give the results of dynamic economic dispatch, dynamic emission dispatch, and combined economic emission dispatch and power losses for the 24-h period for a 10-unit system, with and without ramp rate.

6.1 CASE#1: 10-UNIT SYSTEM DECDP With a comparison of the minimum total fuel cost firstly obtained by different approaches. The minimum fuel cost obtained by MOALO (2455700$) is the best value than the value obtained by different approaches. Secondly, with a comparison of the minimum emission obtained by different approaches. The minimum emission obtained by MOALO (17853 lb) is the same value obtained by the better approach in the literature, the same remark for the value of power losses.

6.2 CASE#2: 10-UNIT SYSTEM DEMDP Case# 2 concerns a 10-unit system where w= 0 and variable values of pf for 24 hours, the transmission loss is not considered with the valve point effect. Table 3 gives a comparison between the obtained result and the literature approach in this situation case. It gives the best results for the employed method after comparison to that in literature. The emission is 291610 lb less than NEHS approach. Compared with the last situation in this case the cost increased.

6.3 CASE#3: 10-UNIT SYSTEM CDEEDP

Equation (5) is used in this case situation where the price penalty factor đ?‘?đ?‘?đ?‘?đ?‘? is computed using Equation (22). The minimum function cost given by the employed MOALO algorithm is $2529000/h among 100 trials in economic dispatch can be taken into consideration as the ever-better solution. It is also observed from the simulation results that the employed algorithm gives the best statistical simulations results in comparison with other available results given in Table 3. The corresponding emission and loss are found to 18434 lb and 189,2309 MW respectively.

6.4 EXTENDED OF DEEDP BY RAMP RATE CONSTRAINT Respect Equations (28.1) and (28.2) to solve DDP with the 10-units test system with the three cases. Table 3 gives summary results, and then the corresponding results are presented in Tables 4, 5, and 6 for the test system. Results of simulation demonstrate that when the better total fuel cost dispatch is taken into consideration, the system is facing the minimum amount of cost for a 24h time interval, where without ramp rate, it is 2455700 $. On the other hand with consideration of the better pollutant emission, the system operating at its lowest amount of emission, 291610 lb. Concerning the *Corresponding author (Ismail Marouani). Tel: +96 6537345692. Email: ismailmarouani@yahoo.fr ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16O http://TUENGR.COM/V11B/11A16O.pdf DOI: 10.14/ITJEMAST.2020.324

combined dispatch minimum emission and total fuel cost case, pollutant emission and the total fuel cost obtained by the proposed algorithm can be scaled down about 2529000$ and 295490 lb. Then with the ramp rate, it is 2462400 $. On the other hand with consideration of the better pollutant emission, the system operating at its lowest amount of emission, 303920 lb. For the combined minimum fuel cost and emission case, the fuel cost and pollutant emission obtained by the proposed method can be reduced by about 2546000 $ and 293440 lb. The ramp-up/ramp-down values of each unit for each hour in the optimization problem of the DEED is shown in Figure 4. It can be seen that the unit ramp rate constraints and in particular the constraint (10) have been respected. However, for the conventional DEED problem, from the obtained simulation results of the ten-unit system using CRO [10], HCRO [10], DE-SQP [4], PSO-SQP [4], MAMODE [11], IBFA [12], RCGA [13], MRGA [1], NEHS [9] methods, it is clearly seen that the proposed method given the best solution for the ten units systems than those reported in the literature. The generation of each unit over 24h for the best compromise solution is shown in Figure 4. It can be seen that the generators 5, 6, 7, 8, 9, and 10 reach their maximum production from a total load demand greater than or equal to 1258 MW since they are the least powerful machines, but the generated power by the committed units 1, 2, 3 and 4 follow the profile of load demand PD and work with their full capacities in peak demand times.

6.5 INTEGRATED WIND AND SOLAR ENERGY SYSTEMS FOR DYNAMIC DISPATCH WITH RAMP RATE CONSTRAINT Solar PV generator (SPVG) rating and wind power generator (WPG) rating are PS=150 MW and pr =150MW respectively. Kwin = 3.25 and Kpv = 3.5 are respectively the direct cost coefficient of WPG and SPVG. The values 150 W/m2 and 1000 W/m2 are taken by Rc and Gstd for solar radiation in certain and standard environments respectively. vr=15 m/s, vo=25 m/s and vin=4m/s are the rating value respectively of wind speeds, cut-out and cut-in. Table 13 [32] contains solar radiation and wind velocity. Tables 7, 8, and 9 illustrate the best solutions for multi-objective wind, solar, and thermal dispatch with ramp rate using MOALO for the 10- test system. The effect of the integration of renewable energy is influential, the cost and the emission for case#1, case#2, and case#3 equal 2307100 $, 283100 lb; 2501000 $, 257230 lb; 22415600 $, 253580 lb respectively, are lower than without energy renewable. Table 1: The numerical results for Pareto front and compromise solution for DEEDP of 10-unit system Sn 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

ε (106) 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.31 0.32 0.32 0.32

Fu (106) 2.66 2.63 2.62 2.61 2.60 2.60 2.59 2.59 2.58 2.58 2.58 2.57 2.57 2.57 2.56 2.56 2.56 2.56 2.55 2.55 2.55

Em (106) 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29 0.29

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

µFu

µEm

0 0.26 0.36 0.43 0.50 0.55 0.60 0.64 0.68 0.72 0.75 0.78 0.81 0.84 0.86 0.89 0.91 0.93 0.96 0.98 1.00

1.00 0.95 0.90 0.85 0.80 0.75 0.70 0.65 0.60 0.55 0.50 0.45 0.40 0.35 0.30 0.25 0.20 0.15 0.10 0.05 0

min (µFu, µEm) 0 0.26 0.36 0.43 0.50 0.55 0.60 0.64 0.60 0.55 0.50 0.45 0.40 0.35 0.30 0.25 0.20 0.15 0.10 0.05 0

2.96

x 10

2.95

Emission (lb)

2.94

Best Compromise

2.93

solution

2.92

2.91

2.9 2.54

2.56

2.58

2.62

2.6

2.64

2.66

Cost ($)

Figure 2: Convergence characteristic of MOALO for case#3.

2.68 x 10

Figure 3: Pareto and compromise solution of MOALO for case#3.

Table 2: Best solutions for multi-objective wind, solar and thermal dispatch with ramp rate using MOALO Cost ($) Emission (lb) Total cost ($) Ploss

Without wind and solar DEcD DEmD DEEDP 2462400 2658900 254600 322740 303920 293440 2633400 1282.8 1315.3 1299.6

With wind and solar DEcD DEmD DEED 2307100 2501000 2415600 283100 257230 253580 2368600 1089.7 1129.4 1112.5

Table 3: The DEcD, DEmD, and CDEED results of different algorithms for with and without ramp rate without the ramp rate

Problem type

DEcDP

DEmDP

CDEEDP

Method CRO [10] HCRO [10] DE-SQP [4] PSO-SQP [4] MAMODE [11] IBFA [12] RCGA [13] MRGA [1] NEHS [9] MOALO CRO [10] HCRO [10] MAMODE [11] IBFA [12] RCGA [13] MRGA [1] NEHS [9] MOALO CRO [10] HCRO [10] DE-SQP [4] PSO-SQP [4] MAMODE [11] IBFA [12] NSGA-II [13] RCGA [13] MRGA [1] MNSGA-II [1] NEHS [9] MOALO

with ramp rate function values Cost ($) Emission (lb) Cost ($) Emission (lb) 2 481 613.38 ---2 479 931.38 ---2.46 × 106 ---2.46 × 106 -----2 492 451 315119 --2 481 733.25 327501 --2.51 × 106 317400 2.49 × 106 ---2 463 500.84 ---2 455 700 337360 2462400 322740 -298 664.48 ---298 456.27 ---295 244 -295 244 -295 833.03 -295 833.03 -3.04 × 105 -3.04 × 105 5 -2.92 × 10 ---291 849.47 --2592900 291 610 2658900 303920 2 517 821.03 301 941.92 --2 517 076.39 299 065.50 --2.46 × 106 3.15 × 105 --2.47 × 106 3.15 × 105 ----2 514 113 302742 --2 517 116.74 299 036.71 6 --2.52 × 10 3.09 × 105 6 --2.52 × 10 3.12 × 105 2 555 180.88 299 140.86 --2 517 711.43 308 674.15 --2 533197.20 295 120.86 --2 529 000 295 490 2546000 293440 Total cost = 2633800 $ Total cost =2633400 $

P Loss (MW) 1292.96 1292.53 1289.7 1289.7 1297.6 1295.26 --

1282.8 1300.28 1300.27 -1319.95 ---1315.3 1298.47 1299.87 1290.0 1290.3 -1299.88 --1305.4 1299.3 -1299.6

Table 4: The best solutions obtained by MOALO for case#1 with ramp rate without wind and solar. PD 1036 1110 1258 1406 1480 1628 1702 1776 1924 2022 2106 2150 2072 1924 1776 1554 1480 1628 1776 1972 1924 1628 1332 1184 Total

P1 150.00 150.00 150.00 150.00 150.00 150.00 150.00 172.83 251.43 287.98 325.35 344.98 337.84 257.84 179.24 150.00 150.00 150.00 214.44 294.44 266.00 186.00 150.00 150.00

P2 135.00 135.00 135.00 135.00 135.00 135.00 173.60 229.56 309.56 378.81 432.64 460.91 383.15 303.15 223.15 143.15 135.00 158.25 238.25 318.25 295.00 215.00 135.00 135.00

P3 73.00 85.61 137.59 208.53 242.39 322.39 340.00 340.00 340.00 340.00 340.00 340.00 340.00 340.00 340.00 270.74 241.16 306.08 312.88 340.00 340.00 260.00 180.00 100.00

Dynamic Economic Dispatch (DEcD) P4 P5 P6 P7 78.67 178.86 156.57 130.00 97.25 210.03 160.00 130.00 141.42 243.00 160.00 130.00 191.42 243.00 160.00 130.00 227.90 243.00 160.00 130.00 277.90 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 250.00 243.00 160.00 130.00 220.95 243.00 160.00 130.00 270.95 243.00 160.00 130.00 277.01 243.00 160.00 130.00 300.00 243.00 160.00 130.00 300.00 243.00 160.00 130.00 250.00 243.00 160.00 130.00 200.00 234.25 160.00 130.00 150.00 217.01 160.00 130.00 Cost= 2462400 $, Em=322740 lb

P8 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00

P9 20.00 25.73 39.08 57.31 61.25 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 73.29 65.69 80.00 80.00 80.00 80.00 61.14 31.14 27.08

P10 12.87 17.95 29.19 44.53 47.84 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 51.58 55.00 55.00 55.00 55.00 48.35 21.90 19.09

PLoss 19.62 22.37 28.43 35.38 39.24 47.87 52.72 58.12 70.10 78.98 87.17 91.68 83.74 70.10 58.11 43.43 39.25 47.94 58.49 74.34 70.10 48.54 31.69 25.22 1282.8

Table 5: The best solutions obtained by MOALO for case#2 with ramp rate without wind and solar. PD 1036 1110 1258 1406 1480 1628 1702 1776 1924 2022 2106 2150 2072 1924 1776 1554 1480 1628 1776 1972 1924 1628 1332 1184 Total

P1 150.00 150.00 167.36 204.47 223.37 264.44 290.29 314.87 364.28 397.33 425.91 440.98 414.29 364.28 314.87 242.29 223.37 265.77 314.87 380.44 356.51 276.51 196.51 152.18

P2 135.00 138.32 167.36 204.47 223.37 264.44 290.29 314.87 364.28 397.33 425.91 440.98 414.29 364.28 314.87 242.29 223.37 265.77 314.87 380.44 356.51 276.51 196.51 152.18

P3 90.48 100.75 118.55 141.30 152.88 178.05 193.90 208.97 239.26 259.51 277.03 286.27 269.91 239.26 208.97 164.48 152.88 178.87 208.97 249.16 258.60 178.60 119.16 109.24

Dynamic Emission Dispatch (DEmD) P4 P5 P6 P7 90.48 130.16 130.16 97.25 100.75 145.35 145.35 108.48 118.55 171.69 160.00 127.97 141.30 205.35 160.00 130.00 152.88 222.48 160.00 130.00 178.05 243.00 160.00 130.00 193.90 243.00 160.00 130.00 208.97 243.00 160.00 130.00 239.26 243.00 160.00 130.00 259.51 243.00 160.00 130.00 277.03 243.00 160.00 130.00 286.27 243.00 160.00 130.00 269.91 243.00 160.00 130.00 239.26 243.00 160.00 130.00 208.97 243.00 160.00 130.00 164.48 239.65 160.00 130.00 152.88 222.48 160.00 130.00 178.87 243.00 160.00 130.00 208.97 243.00 160.00 130.00 249.16 243.00 160.00 130.00 235.45 243.00 160.00 130.00 185.45 215.20 160.00 130.00 135.45 172.59 160.00 128.64 109.24 157.92 157.92 117.78 Em=303920 lb, Cost= 2658900$

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

P8 97.25 108.48 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 117.78

P9 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00

P10 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00

PLoss 19.67 22.43 28.92 36.63 40.88 50.26 55.43 60.90 72.75 81.27 89.00 93.21 85.82 72.75 60.90 45.40 40.88 50.26 60.90 76.85 72.47 50.51 32.84 25.50 1326,5

Table 6: The best solutions obtained by MOALO for case#3 with ramp rate without wind and solar. PD 1036 1110 1258 1406 1480 1628 1702 1776 1924 2022 2106 2150 2072 1924 1776 1554 1480 1628 1776 1972 1924 1628 1332 1184 Total

P1 150.00 150.00 150.00 150.00 159.89 219.26 240.33 260.37 311.74 343.55 380.63 397.46 361.86 311.74 259.17 179.17 159.89 220.35 260.37 329.07 310.00 230.00 150.00 150.00

P2 135.00 135.00 135.00 152.25 175.43 237.20 261.02 283.66 336.66 370.08 406.79 425.09 390.24 336.66 280.82 200.82 175.43 238.43 283.66 354.13 326.98 246.98 166.98 135.00

Economic Emission Dispatch (CDEED) P3 P4 P5 P6 P7 P8 84.40 86.28 133.58 129.83 108.05 108.05 93.86 95.43 148.03 143.94 119.18 119.18 129.04 129.44 198.03 160.00 130.00 120.00 176.36 175.30 243.00 160.00 130.00 120.00 199.22 197.47 243.00 160.00 130.00 120.00 214.88 213.66 243.00 160.00 130.00 120.00 234.30 232.75 243.00 160.00 130.00 120.00 252.76 250.91 243.00 160.00 130.00 120.00 280.26 278.44 243.00 160.00 130.00 120.00 301.00 299.07 243.00 160.00 130.00 120.00 318.49 300.00 243.00 160.00 130.00 120.00 331.95 300.00 243.00 160.00 130.00 120.00 316.30 300.00 243.00 160.00 130.00 120.00 280.26 278.44 243.00 160.00 130.00 120.00 254.79 252.91 243.00 160.00 130.00 120.00 216.23 213.97 243.00 160.00 130.00 120.00 199.22 197.47 243.00 160.00 130.00 120.00 215.88 214.64 243.00 160.00 130.00 120.00 252.76 250.91 243.00 160.00 130.00 120.00 288.89 287.11 243.00 160.00 130.00 120.00 298.52 271.61 243.00 160.00 130.00 120.00 218.52 221.61 215.20 160.00 130.00 120.00 138.52 171.61 191.80 160.00 130.00 120.00 102.42 121.61 159.87 156.69 129.24 120.00 Cost =2546000 $, Em = 2933400 lb, , Total Cost=2633400 $

P9 65.61 72.89 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 79.47

P10 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00

PLoss 19.67 22.44 28.51 35.56 39.62 49.19 54.21 59.50 71.26 79.65 87.58 91.86 84.21 71.26 59.42 44.06 39.62 49.19 59.50 75.36 71.15 49.39 32.02 25.36 1299,6

Table 7: The best solutions obtained by MOALO for case#1 with ramp rate with wind and solar PD 1036 1110 1258 1406 1480 1628 1702 1776 1924 2022 2106 2150 2072 1924 1776 1554 1480 1628 1776 1972 1924 1628 1332 1184 Total

P1 150.00 150.00 150.00 150.00 150.00 150.00 150.00 155.61 223.51 254.61 284.19 299.13 288.03 208.03 150.00 150.00 150.00 150.00 156.97 236.97 230.00 150.00 150.00 150.00

P2 135.00 135.00 135.00 135.00 135.00 135.00 160.48 197.04 277.04 330.74 373.36 394.87 318.82 238.82 158.82 135.00 135.00 135.00 207.71 287.71 243.18 163.18 135.00 135.00

P3 73.00 85.62 137.60 208.53 242.40 322.40 340.00 340.00 340.00 340.00 340.00 340.00 340.00 302.81 297.06 217.06 196.55 276.55 316.55 340.00 340.00 260.00 180.00 100.00

P4 78.68 97.26 141.42 191.42 227.90 277.90 300.00 300.00 300.00 300.00 300.00 300.00 300.00 269.04 257.86 207.86 191.64 241.64 279.91 300.00 300.00 250.00 200.00 150.00

Dynamic Economic Dispatch (DEcD) P5 P6 P7 P8 P9 178.87 156.58 130.00 120.00 20.00 210.03 160.00 130.00 120.00 25.74 243.00 160.00 130.00 120.00 39.09 243.00 160.00 130.00 120.00 57.31 243.00 160.00 130.00 120.00 61.25 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 50.00 232.53 160.00 130.00 120.00 49.51 243.00 160.00 130.00 120.00 79.51 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 80.00 243.00 160.00 130.00 120.00 64.75 193.00 112.63 130.00 120.00 34.75 149.58 122.05 130.00 120.00 20.00 Cost =2307100 $, Em = 283100 lb

P10 12.88 17.96 29.19 44.53 47.85 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 27.95 25.00 55.00 55.00 55.00 55.00 53.17 23.17 10.00

Pwind 0 0 0 0 0 0 0 0 0 0 0 0 0 60.00 80.45 83.18 77.72 70.90 76.36 81.81 81.81 75.00 80.45 117.27

Psolar 0 0 0 0 0 0 12.32 46.65 56.25 75.45 92.55 102.90 105.45 110.40 87.90 63.75 43.65 7.40 0 0 0 0 0 0

*Corresponding author (Ismail Marouani). Tel: +96 6537345692. Email: ismailmarouani@yahoo.fr Â©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16O http://TUENGR.COM/V11B/11A16O.pdf DOI: 10.14/ITJEMAST.2020.324

PLoss 18.97 21.59 27.32 33.77 37.35 45.25 48.84 51.28 60.80 66.75 72.11 74.90 68.31 53.14 44.11 33.76 31.56 40.96 49.50 62.47 58.95 41.12 27.04 19.89 1089.7

Table 8: The best solutions obtained by MOALO for case#2 with ramp rate with wind and solar. PD 1036 1110 1258 1406 1480 1628 1702 1776 1924 2022 2106 2150 2072 1924 1776 1554 1480 1628 1776 1972 1924 1628 1332 1184

P1 150.00 150.00 167.19 204.20 223.05 265.15 285.48 298.58 344.46 370.72 393.07 404.33 377.38 306.60 258.44 204.49 192.16 240.86 288.75 351.94 330.05 250.05 170.05 150.00

135.00 138.15 167.19 204.20 223.05 265.15 285.48 298.58 344.46 370.72 393.07 404.33 377.38 306.60 258.44 204.49 192.16 240.86 288.75 351.94 330.05 250.05 170.05 135.00

90.37 100.64 118.45 141.13 152.69 178.49 190.95 198.98 227.10 243.20 256.90 263.81 247.28 203.89 174.38 141.31 133.75 163.60 192.96 231.69 236.33 159.50 111.87 94.82

90.37 100.64 118.45 141.13 152.69 178.49 190.95 198.98 227.10 243.20 256.90 263.81 247.28 203.89 174.38 141.31 133.75 163.60 192.96 231.69 219.23 169.23 119.23 94.82

Total

Dynamic Economic Dispatch (DEcD) P6 P7 P8 P9

129.99 129.99 97.12 97.12 145.19 145.19 108.37 108.37 171.54 160.00 127.86 120.00 205.10 160.00 130.00 120.00 222.20 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 205.36 160.00 130.00 120.00 194.18 160.00 130.00 120.00 238.35 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 243.00 160.00 130.00 120.00 222.05 160.00 130.00 120.00 172.05 160.00 120.66 120.00 136.58 136.58 102.00 102.00 Cost =2501000 $, Em = 257230 lb

80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00

P10

Pwind

Psolar

Ploss

55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00

19.02 21.62 27.66 34.81 38.74 47.28 51.18 53.78 63.41 69.27 74.48 77.17 70.81 55.40 46.04 34.87 32.42 42.64 51.83 65.05 61.52 42.91 27.35 20.08

0 0 0 0 0 0 12.32 46.65 56.25 75.45 92.55 102.90 105.45 110.40 87.90 63.75 43.65 7.39 0 0 0 0 0 0

18.97 21.58 27.31 33.77 37.35 45.25 48.84 51.28 60.79 66.75 72.10 74.90 68.31 53.13 44.11 33.76 31.55 40.95 49.50 62.46 58.95 41.11 27.03 19.89 1129.4

Table 9: The best solutions obtained by MOALO for case#3 with ramp rate with wind and solar PD 1036 1110 1258 1406 1480 1628 1702 1776 1924 2022 2106 2150 2072 1924 1776 1554 1480 1628 1776 1972 1924 1628 1332 1184 Total

P1 150.00 150.00 150.00 150.00 164.01 226.20 242.74 253.39 301.86 327.81 354.73 364.59 333.52 269.81 220.75 150.00 150.00 205.25 245.41 311.74 298.42 218.42 150.00 150.00

Dynamic Economic Dispatch (DEmD) P6 P7 P8 P9

135.00 135.00 135.00 158.74 180.38 245.04 263.74 275.78 325.71 352.74 378.63 389.35 359.03 290.19 238.88 159.10 142.85 221.36 266.75 335.05 305.85 225.85 145.85 135.00

83.33 92.78 128.05 172.09 193.43 208.18 223.43 233.24 258.10 273.94 283.55 291.43 278.72 230.68 203.16 172.45 156.42 188.88 225.88 260.51 266.55 186.55 114.69 86.60

85.25 94.38 128.49 171.16 191.86 207.07 222.06 231.72 256.57 272.34 282.11 289.91 277.06 229.51 202.14 171.51 155.96 188.09 224.48 259.07 243.94 193.94 143.94 93.94

134.36 148.85 198.85 243.00 243.00 243.00 243.00 243.00 243.00 243.00 243.00 243.00 243.00 243.00 243.00 243.00 240.07 243.00 243.00 243.00 243.00 225.41 179.15 139.13

130.63 144.70 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 160.00 135.50

108.03 119.13 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 130.00 111.87

108.03 119.13 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 120.00 111.87

65.35 72.61 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 80.00 67.86

Cost = 2415600$ , Em= 25358 lb, Total cost = 2368600 $

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

P10

Pwind

Psolar

Ploss

55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00 55.00

0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 60.00 80.45 83.18 77.72 70.90 76.36 81.81 81.81 75.00 80.45 117.27

19.01 27.38 37.68 50.32 62.46 73.57 69.78 45.31 31.71 50.94 60.63 27.12 19.01 27.38 37.68 50.32 62.46 73.57 69.78 45.31 31.71 50.94 60.63 27.12

21.64 33.96 46.52 52.84 68.28 76.21 54.64 34.01 41.94 64.15 42.23 20.09 21.64 33.96 46.52 52.84 68.28 76.21 54.64 34.01 41.94 64.15 42.23 20.09 1112.5

Unit 1 Unit 2 Unit 3

40 20

Generating unit ramp

Ramp UR

0 -20 -40

Ramp UR

-60 -80 0

Ramp DR

-50 0

Unit 4 Unit 5 Unit 6

Hours

(a)

(b) 30

Generating unit ramp

Unit 7 Unit 8 Unit 9 Unit 10

Ramp UR

20 10 0 -10 -20

Ramp DR

-30 0

Hours

(c) Figure 4: The ramp up/ramp down values of case#3 (a) units 1, 2, 3; (b) units 4, 5, 6; (c) units 7, 8, 9, 10 Table 10: Ten-unit power system -generators Characteristics. Unit Pmin Pmax a b c d e α β γ ζ λ UR UD 1 (MW) (MW) ($/MW2h) ($/MWh) ($/h) ($/h) (rad/MW) (lb/h) (lb/MWh) (lb/M2Wh) (lb/h) (MW-1) (MW) (MW) 1 150 470 0.15 38.54 786.79 450 0.04 103.39 -2.44 0.03 0.50 0.02 80 80 2 135 470 0.10 46.15 451.32 600 0.03 103.39 -2.44 0.03 0.50 0.02 80 80 3 73 340 0.02 40.39 1049.99 320 0.02 300.39 -4.07 0.05 0.49 0.02 80 80 4 60 300 0.03 38.30 1243.53 260 0.05 300.39 -4.07 0.05 0.49 0.02 50 50 5 73 243 0.02 36.32 1658.57 280 0.06 320.00 -3.81 0.03 0.49 0.02 50 50 6 57 160 0.01 38.27 1356.65 310 0.04 320.00 -3.81 0.03 0.49 0.02 50 50 7 20 130 0.01 36.51 1450.70 300 0.08 330.00 -3.90 0.04 0.51 0.02 30 30 8 47 120 0.01 36.51 1450.70 340 0.08 330.00 -3.90 0.04 0.51 0.02 30 30 9 20 80 0.10 39.58 1455.60 270 0.09 350.00 -3.95 0.04 0.54 0.02 30 30 10 10 55 0.13 40.54 1469.40 380 0.09 360.00 -3.98 0.04 0.54 0.02 30 30

Table 10: Price penalty factors for hourly load demands a 10-unit system. Hr (h) PD (MW) Pf Hr (h) Pf PD (MW)

1 1036

2 1110

3 1258

4 1406

5 1480

6 1628

7 1702

8 1776

9 1924

10 2022

11 2106

12 2150

3.69

4.11

8.06

10.39

11.34

13.67

11.34

10.39

8.06

4.11

8.06

11.34

10.39

8.06

4.11

3.69

2072

1924

1776

1554

1480

1628

1776

1972

1924

1628

1332

1184

Table 11: B-coefficients (B) Transmission losses of 10-unit power system (1.e-04), Bij where : column: i=1 to 10. and line : j=1 to 10. Bj1 Bj2 Bj3 Bj4 Bj5 Bj6 Bj7 Bj8 Bj9 Bj10

Bi1 0.4900 0.1400 0.1500 0.1500 0.1600 0.1700 0.1700 0.1800 0.1900 0.2000

Bi2 0.1400 0.4500 0.1600 0.1600 0.1700 0.1500 0.1500 0.1600 0.1800 0.1800

Bi3 0.1500 0.1600 0.3900 0.1000 0.1200 0.1200 0.1400 0.1400 0.1600 0.1600

Bi4 0.1500 0.1600 0.1000 0.4000 0.1400 0.1000 0.1100 0.1200 0.1400 0.1500

Bi5 0.1600 0.1700 0.1200 0.1400 0.3500 0.1100 0.1300 0.1300 0.1500 0.1600

Bi6 0.1700 0.1500 0.1200 0.1000 0.1100 0.3600 0.1200 0.1200 0.1400 0.1500

Bi7 0.1700 0.1500 0.1400 0.1100 0.1300 0.1200 0.3800 0.1600 0.1600 0.1800

Bi8 0.1800 0.1600 0.1400 0.1200 0.1300 0.1200 0.1600 0.4000 0.1500 0.1600

Bi9 0.1900 0.1800 0.1600 0.1400 0.1500 0.1400 0.1600 0.1500 0.4200 0.1900

Bi10 0.2000 0.1800 0.1600 0.1500 0.1600 0.1500 0.1800 0.1600 0.1900 0.4400

Table 13: Forecast solar radiation and wind velocity. Hr (h) Gt(W/m2 ) Vwint(m/s) Hr (h) Gt(W/m2 ) Vwint(m/s)

1 0

2 0

3 0

4 0

5 0

3.5

3.6

1.5

1.4

0.1

703

736

586

425

291

0.4

8.4

9.9

10.1

9.7

9.2

6 0

7 111

8 311

9 375

10 503

11 617

12 686

1.8

1.3

2.2

3.8

3.7

2.0

0.6

19 0 9.6

20 0 10.0

21 0 10.0

22 0 9.5

23 0 9.9

24 0 12.6

7 CONCLUSION This paper presents a MOALO algorithm used to solve a combined dynamic economic emission dispatch problem (CDEED) including transmission power losses, non-smooth cost functions associated with the point valve-point effect, ramp rate constraint, and the correlated PDF of wind power for the system consisting of thermal, wind and solar energy. We can conclude that the proposed multi-objective ant lion optimizer (MOALO) algorithm will provide valuable information and suggestions for safe, reliable, and economic operation of the power system. The DEED problem for the 10-units test system is carried out to determine the hourly generation schedule using MOALO for the optimum total fuel cost case#1, minimum pollutant emission case#2, and combined minimum fuel cost and emission case#3. Simulation results demonstrate that MOALO gives the best solution than the other method for the DEmD, DEcD, and CDEED systems and can give desirable solutions for 100 iterations. The reduction of cost and emission function, calculation efficiency, and able to convergence property of MOALO are demonstrated. Therefore MOALO algorithm optimization is a promising technique to solve complex problems in electrical power systems. Applications of the proposed algorithm to multi-objective problems in power systems including renewable energy such as the wind farms, PV system, hydro, and ESS operation are future work.

8 AVAILABILITY OF DATA AND MATERIAL Information can be made available by contacting the corresponding author.

9 ACKNOWLEDGEMENTS This work is partially supported by the research grant of the Electrical Engineering Department of ENIS Sfax University-Tunisia.

10 REFERENCES [1] Zhu, Z.J., Wang, J., Baloch, M.H. (2016). Dynamic economic emission dispatch using modified NSGA-II. Int. Trans. Electr. Energy Syst., 26(12), 2684-2698. [2] Basu, M., (2008). Dynamic economic emission dispatch using nondominated sorting genetic algorithm-II. Int. J. Electr. Power Energy Syst., 30(2), 140-149. [3] Basu, M. (2006). Particle swarm optimization-based goal-attainment method for dynamic economic emission dispatch. Electr. Power Compon. Syst., 34(9), 1015-1025. [4] Elaiwa, A.M., Xia, X., Shehata, A.M. (2013). Hybrid DE-SQP and hybrid PSO-SQP for solving economic emission problems. Electr. Power Syst. Res., 103(8), 192-200. [5] Zhang, H.F., Yue, D., Xie, X.P., Hu, S.L., Weng, S.X., 2015. Multi-elite guide differential evolution with simulated annealing for economic emission. Appl. Soft Comput., 34, 312-323. [6] Niu, Q., Zhang, H.Y., Li, K., Irwin, G.W. (2014). An efficient harmony search with new pitch adjustment for dynamic economic dispatch. Energy 65, 25-43.

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

[7] Basu, M. (2007). DEED using EP and fuzzy satisfying method. Int. J. Emerg. Electr. Power Syst., 8(4), 1-15. [8] Alsumait, J.S., Qasem, M., Sykulski, J.K., Al-Othman, A.K. (2010). An improved pattern search based algorithm to solve the dynamic economic dispatch problem with valve-point effect. Energy Convers. Manage. 51(10), 2062-2067. [9] Li, Z., Zou, D., and Kong, Z. (2019). A harmony search variant and a useful constraint handling method for the dynamic economic emission dispatch problems considering transmission loss. Engineering Applications of Artificial Intelligence 84, 18-40. [10] Roy, P.K., Bhui, S. (2016). A multi-objective hybrid evolutionary algorithm for dynamic economic emission load dispatch. Int. Trans. Electr. Energy Syst. 26(1), 49-78. [11] Jiang, X.W., Zhou, J.Z., Wang, Hao, Zhang, Y.C. (2013). Environmental economic problem using multiobjective differential evolution with expanded selection. Int. J. Electr. Power Energy Syst. 49, 399-407. [12] Pandit, N., Tripathi, A., Tapaswi, S., Pandit, M. (2012). An improved bacterial foraging algorithm for combined static/dynamic environmental economic dispatch. Appl. Soft Comput. 12(11), 3500-3513. [13] Das, D., Bhattacharya, A., & Ray, R. N. (2020). Dragonfly Algorithm for solving probabilistic economic load dispatch problems. Neural Computing and Applications, 32(8), 3029-3045. DOI: 10.10/s00521-019-04268-9 [14] Zhou, J., Lu, P., Li, Y., Wang, C., Yuan, L., Mo, L. (2016). Short-term hydro-thermal-wind complementary scheduling considering the uncertainty of wind power using an enhanced multi-objective bee colony optimization algorithm. Energy Convers Manag, 123, 116-129 [15] Dubey, H.M., Pandit M, Panjigrahi BK (2016) Ant lion optimization for a short-term wind integrated hydrothermal power generation scheduling. Int J Electr Power Energy Syst, 83, 158-174 [16] Liang, R. H., and Liao, J. H. (2007). A fuzzy-optimization approach for generation scheduling with wind and solar energy systems. IEEE Trans. Power Syst., 22(4), 1665-1674. [17] Wang, M. Q., Gooi, H. B. (2011). Spinning reserve estimation. IEEE. Power Syst., 26(3), 1164-1174. [18] Bouffard, F., Galiana, F. D. (2008). Stochastic security for operations planning. IEEE Power Syst., 23(2), 306-316. [19] Mirjalili, S., Jangir, P., & Saremi, S. (2017). Multi-objective ant lion optimizer: a multi-objective optimization algorithm for solving engineering problems. Applied Intelligence, 46(1), 79-95. [20] Kamboj, V. K., Bhadoria, A., and Bath, S. (2017). The solution of the non-convex economic load dispatch problem for small-scale power systems using ant lion optimizer. Neural Computing and Applications, 28, 2181-2192. [21]

Mirjalili, S. (2015). The ant lion optimizer. Advance in Engineering Software, 83, 80-98.

[22] Raju, M., Saikia, L. C., and Sinha, N. (2016). Automatic generation control of a multi-area system using ant lion optimizer algorithm-based PID plus second-order derivative controller. International Journal of Electrical Power & Energy Systems, 80, 52-63. [23] Mirjalili, S., Jangir, P., and Saremi, S. (2017). Multiobjective ant lion optimizer: a multi-objective optimization algorithm for solving engineering problems. Applied Intelligence, 46, 79-95. [24] Talatahari, S. (2016). Optimum design using ant lion optimizer. Science & Technology, 6, 13-25. [25] Trivedi, N., Jangir, P., and Parmar, S. A. (2016). OPF with enhancement of voltage stability using ant-lion optimizer. Cogent Engineering, 3, 1208942. *Corresponding author (Ismail Marouani). Tel: +96 6537345692. Email: ismailmarouani@yahoo.fr ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16O http://TUENGR.COM/V11B/11A16O.pdf DOI: 10.14/ITJEMAST.2020.324

[26] Singh, M., & Dhillon, J. S. (2016). Multiobjective thermal power dispatch using opposition-based greedy heuristic search. International Journal of Electrical Power & Energy Systems, 82, 339-353. [27] Dhillon, J.S., Dhillon, J.S., Kothari, D.P. (2009). Economic-emission load dispatch using a binary successive approximation based evolutionary search. IET Gener Transm Distrib, 3(1):1-16. [28] Qun Niu, Hongyun Zhang, Kang Li, George W. Irwin, (2014). An efficient harmony search with new pitch adjustment for dynamic economic dispatch. Energy, 65, 25-43. [29] Basu, M. (2019). Economic environmental dispatch of solar-wind-hydro-thermal power system. Renewable Energy Focus, 30, 107-122. [30] Liang, R.H. and Liao, J.H. (2007). A fuzzy-optimization approach for generation scheduling with wind and solar energy systems. IEEE Transactions on Power Systems, 22(4), 1665-1674. Dr.Ismail Marouani is an Associate Professor in the higher institute of technological studies of Kasserine-Tunisia. He received the Secondary Education Certificate in electrical engineering from the Superior Normal School of Technical Teaching of Tunis-Tunisia, a certificate of higher specialized studies, an M.Sc and a Ph.D. in Electrical Engineering from National Engineers School of Sfax, Tunisia. His research interests include Electrical Power Systems (EPS), the Dispatching and Unit Commitment of EPS, FACTS devices, Renewable Energy, and Intelligent Techniques Applications in EPS. Chefai Dhifaoui is a Ph.D. student and academic assistant at ISTMT-Tunis & ISSAT-Kairouan. He received the Secondary Education Certificate in Electrical Engineering from the Superior Normal School of Technical Teaching of Tunis-Tunisia, a master's degree in Industrial Informatics and Automatic_National Institute of Applied Sciences and Technology, and a master's degree in Quality Productivity from the School of Sciences and Techniques of Tunis.

Professor Dr.Hsan HADJ ABDALLAH teaches at the Department of Electrical Engineering of National School of Engineers of Sfax-Tunisia. He received his 'Maîtrise' in electrical engineering from the Superior Normal school of Technical teaching of Tunis-Tunisia, the 'Diplôme d’Etudes Aprofondies' in Electrical Engineering from the Superior Normal school of Technical teaching of Tunis-Tunisia, the Doctorat in electrical engineering from the Superior Normal school of Technical teaching of Tunis-Tunisia and Habilitation Universitaire in Electrical Engineering from the Diploma in Electrical Engineering from the National School of Engineers of Sfax-Tunisia. His research interests include Electrical Power Systems (EPS), the Dispatching and the Stability of EPS, Wind Energy, and Intelligent Techniques Applications in EPS.

Ismail Marouani, Chefai Dhifaoui, and Hsan Hadj Abdallah

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

PAPER ID: 11A16P

A GRANULATED EXPLORATION OF PUBLIC SERVICE CAREER CHOICE MOTIVATIONS IN SAUDI ARABIA: A TEST OF SELF-DETERMINATION THEORY AND PUBLIC SERVICE MOTIVATIONS Saleh Abdullah Alreshoodi 1

Faculty of Management and Information Systems, College of Business Administration, University of Ha'il, Ha'il, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 07 August 2020 Received in revised form 10 September 2020 Accepted 21 September 2020 Available online 26 September 2020

This study contributes to the public administration literature by taking a granulated approach to measuring motivational drivers to become a public servant. Taking Self-Determination Theory and Public Service Motivation as theoretical bases, the research explores the relationships between a range of extrinsic and intrinsic regulations and intent to work in the public sector. The data collected from 444 undergraduate students in Saudi Arabia was analyzed by Structural Equation Modeling. The results demonstrated direct effects of external and introjected types of regulation. Public Service Motivation fully mediated the relationship between intrinsic and identified regulation and intent to work. Practical implications are discussed and future research directs are proposed.

Keywords: Intrinsic motivation; Extrinsic motivation; Intent to work; Public sector career motivation; Introjected regulation.

1 INTRODUCTION Motivation to work in the public sector is important in the field of Public Administration, as public organizations are being increasingly under pressure to work efficiently while offering a high level of service (Papadopoulou & Dimitriadis, 2019; Serhan et al., 2018). The intent to work in the public sector is often associated with such intrinsic factors as job security and public service motivation (PSM) – a set of values and beliefs directed at benefiting society at large (e.g., Asseburg & Homberg, 2020; Bullock et al., 2015; Winter & Thaler, 2016). Accordingly, this is contrasted with the intent to work in the private sector that is linked more to the extrinsic set of factors such as better compensation, in-kind benefits, and material rewards (e.g., Christensen & Wright, 2011; Word & Park, 2015). *Corresponding author (Saleh Alreshoodi). Email: s.alreshoodi@uoh.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16P http://TUENGR.COM/V11B/11A16P.pdf DOI: 10.14/ITJEMAST.2020.325

However, viewing intention to work in the public sector through the lens of an intrinsic-extrinsic dichotomy maybe both misleading and incomplete, especially when it is considered in non-Western cultural contexts. For example, it is acknowledged that in some Asian countries, public service work is associated with family prestige (Chen et al., 2018; Elman, 2013). Similarly, in some Middle Eastern countries, public service jobs often pay more than jobs in the private sector (Al-Waqfi & Forstenlechner, 2012; Iles et al., 2012). Further, even within the context of the western developed nations, the link between Public Service Motivation and public service attraction has been mixed (Asseburg & Homberg, 2020; Hinna et al., 2019). The aforementioned findings suggest that the motivational aspect in the public career choice may be beyond the traditional intrinsic-extrinsic dichotomy. One way to offer a more granulated view on the public sector career choice is to use the Self-Determination Theory (SDT) (Ryan & Deci, 2000) which considers several types of extrinsic and intrinsic motivations, all linked to different needs and wants. In the field of public administration, SDT is being increasingly considered a valuable motivation research framework (e.g., Breaugh et al., 2017; Corduneanu et al., 2020; Ritz et al., 2016). However, SDT-based research as applied specifically to a career choice in the public sector is still relatively rare (Asseburg et al., 2020; Asseburg & Homberg, 2020; Chen et al., 2018). This study contributes to the literature on motivation in public career choice by investigating Saudi undergraduate students. Students, as a job-seeking population, have been subject to investigating public service career choice preferences in various contexts (e.g. Lee & Choi, 2016; Winter & Thaler, 2016; Wright et al., 2017). However, such studies in the context of the Middle Eastern countries are virtually absent in both general and specific literature on career choice in the region (e.g., Al-Waqfi & Forstenlechner, 2012; El-Dief & El-Dief, 2019; Iles et al., 2012). Therefore, this study aims to fill this gap in knowledge by focusing on a wide range of motivations predicted within SDT for possible influences on Saudi studentsâ€™ choice of public service careers.

2 LITERATURE REVIEW 2.1 SELF-DETERMINATION THEORY Self Determination Theory (Ryan & Deci, 2000) considers the motivation for human behavior on a continuum represented by extrinsic and intrinsic factors. Figure 1 shows that three categories of motivation are considered: amotivation, extrinsic motivation, and intrinsic motivation.

Figure 1: The Self-Determination Continuum (after Ryan & Deci, 2000).

Saleh Alreshoodi

Accordingly, the types of motivation are also distinguished by their regulatory style and perceived locus of causality. The theory proposes that even though more than one style typically play role in motivation, intrinsic is the preferred regulation since it encompasses genuine desire and choice, free from external influences. Because this study focused on motivational factors of public service career choice, amotivation, or absence of motivation, was not considered. Other regulation styles are discussed below. Extrinsic motivation is represented by four regulatory styles. Ryan and Deci (2000) describe externally regulated behaviors like the ones directed “to satisfy an external demand or reward contingency” (pp. 72-73). Individuals driven by external regulation would likely choose public service careers for the benefits they provide such as job security, good pay, and perks (Chen, 2015; Chen et al., 2018). Introjected regulation is associated with avoiding feelings of guilt or shame for not complying with contingent consequences (Ritz et al., 2016). Introjected regulation will drive individuals to choose the public sector career to avoid a feeling of regret for missing an opportunity for a lucrative position and secure future. Influenced by both higher salaries and benefits in the public sector as well as limited opportunities and less job security in the private sector, the Saudi work seeking population is likely to be pressured by applying for public sector jobs (Aamir et al., 2012; Kumar et al., 2019). Therefore, the hypotheses are formulated H1a: External regulation will be positively related to the intent to work in the public sector. H1b: Introjected regulation will be positively related to the intent to work in the public sector. More autonomous extrinsic regulatory styles are identified and integrated regulation. Identified regulation prompts behaviors that are in line with the individual’s value system even though it is recognized that such behaviors bring external benefits (Gagne et al., 2010). The choice to work in the public sector driven by identified regulation will be based on the perception that public service is a valuable activity or an ability to make a positive difference for society (Chen et al., 2018; Kim, 2009). Further, identified regulation drives engagement in behaviors that have been evaluated and “brought into congruence with one’s other values and beliefs” (Ryan and Deci, 2000, p. 73). In the context of this study, individuals driven by integrated regulation would choose public sector employment because it may be consistent with their values, identity, or life goals. Thus, H1c: Identified regulation will be positively related to intent to work in the public sector. H1d: Integrated regulation will be positively related to the intent to work in the public sector. Intrinsic motivation is regarded as the most autonomous type of motivation, unaffected by external forces. Unlike the extrinsic, “caused” motivation, intrinsic motivation emerges from within individuals being internally regulated in its entirety. People who are intrinsically motivated, initiate behaviors on their own and select their own ways to achieve the desired goals and outcomes (Ryan and Deci, 2000). As such, intrinsic motivation has the strongest degree of internal control locus (Spector, 1988) because individuals are in control of both internal drives and the consequences of their behaviors. Intrinsically motivated individuals are subject to internal regulation, which relates to self-determination (Ryan & Deci, 2000). In this study, intrinsic motivation would arise from genuine happiness or a calling to engage in public service work (Houston, 2006). Hence, intrinsic motivation can be a factor defining public service career choice (Bright, 2009; Georgellis et al., 2011). Thus, H1e: Intrinsic motivation will be positively related to the intent to work in the public sector. *Corresponding author (Saleh Alreshoodi). Email: s.alreshoodi@uoh.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16P http://TUENGR.COM/V11B/11A16P.pdf DOI: 10.14/ITJEMAST.2020.325

2.2 PUBLIC SERVICE MOTIVATION While the Self Determination Theory can be considered a general motivation theory, researchers have distinguished specific forms of motivation in the public service as well. Among these, Public Service Motivation has become a major concept in public administration research in the past several decades (Boyd et al., 2018; Corduneanu et al., 2020; Vandenabeele et al., 2018). Public Service Motivation is grounded in the logic of appropriateness within the institutional theory which posits that employees are driven by behaviors and rules inherent to institutions (March & Olsen, 1989; Ritz et al., 2016). Perry and Wise (1990) originally defined Public Service Motivation as â€œan individual predisposition to respond to motives grounded primarily or uniquely in public institutionsâ€? (p. 368). More recent definitions offer broader perspectives by describing it as a set of intentions to do good for others and society in general (Perry & Hondeghem, 2008; Ritz et al., 2016). These intentions, arguably, are best realized by working for public service organizations. Public Service Motivation is distinct from the concept of public sector motivation. Public sector motivation encompasses rational motives that arise in self-interest and the desire to maximize personal utility (Neumann & Ritz, 2015). It makes public sector motivation externally driven. Specifically, individuals choose the public sector as a place for work for the benefits it provides over the private sector. Examples of such benefits could be higher salary, promotion opportunities, favorable working hours, job safety, or attractive pension schemes (French and Emerson 2014; Ritz et al., 2016). In contrast, Public Service Motivation places more value on public service rather than public sector work itself. Individuals high on Public Service Motivation would are likely to make choices about public sector employment even if the aforementioned benefits are worse than in the private sector. In the field of public administration, Public Service Motivation is being increasingly considered in integration with Self-Determination Theory (Andrews, 2016; Chen et al., 2018; Corduneanu et al., 2020; Perry & Vandenabeele, 2015). Specifically, from the Self-Determination Theory lens, Public Service Motivation is regarded as a type of autonomous motive (Andrews, 2016; Vandenabeele, 2007) with an internal locus of causality similar to intrinsic, integrated, and identified regulation. Corduneanu et al. (2020) pointed out that intrinsic and identified types of regulation address the essence of Public Service Motivation. Therefore, it is logical to predict that there is a relationship between autonomous motivations within Self-Determination Theory and Public Service Motivation. At the same time, Public Service Motivation has been strongly linked to intent to work in the public sector (Breaugh et al., 2017; Christensen et al., 2017). Therefore, Public Service Motivation can mediate the relationship between autonomous regulation styles and intent to work in the public sector: H2a: Public Service Motivation will mediate the relationship between identified regulation, and intent to work in the public sector; H2b: Public Service Motivation will mediate the relationship between integrated regulation, and intent to work in the public sector; H2c: Public Service Motivation will mediate the relationship between intrinsic motivation and intent to work in the public sector.

Saleh Alreshoodi

3 METHOD 3.1 PARTICIPANTS AND PROCEDURE The study data were collected in Arabic through an online survey of undergraduate students of the University of Hail, Saudi Arabia in March 2020. A pilot test involving ten students was undertaken to check the items for comprehensibility and ease of understanding as well as to assess the overall cognitive load of the entire questionnaire. After the pilot study, all items in the questionnaire were retained due to high grades by the participants. The total number of responses from the online survey was 444. The sample was fairly balanced in terms of gender with 210 males (47.3%) and 234 (52.7%) females. The sample represented 14 undergraduate programs, which is indicated in Table 1. Table 1. Descriptive Statistics of the Sample Type Gender Male Female Education Program Business Administration Arts Education Nursing Shari'a Law Public Health Pharmacy Medicine Applied Medical Sciences Science Community Engineering Dentistry Computer Science Total

Frequency

Percent

210 234

473 52.7

61 43 33 17 23 41 30 21 38 28 34 23 30 22 444

13.7 9.7 7.4 31 52 92 6.8 4.7 8.6 63 7.7 52 6.8 5 100

The questionnaire consisted of 33 items. The items represented 7 sections, which corresponded to the study constructs and an additional section with the participants’ general information. The items related to the study constructs were based on a 7-point Likert scale, from 1 - “strongly disagree” to 7 – “strongly agree.” Public Service Motivation was represented by 12 items (Kim, 2009) adjusted specifically for the research in an international context. The measure has been previously used in the context of Saudi Arabia organizations, demonstrating high levels of validity and reliability (Alreshoodi, 2018). The measures of motivation were based on theoretical Self-Determination Theory underpinnings (Ryan & Deci, 2000), motivational studies in the public administration, and empirical investigations of motivation to work in the public sector (Chen et al., 2018; Chen & Hsieh, 2015). The external regulation construct was represented by six items. The items reflected the benefits that work in the public sector brings such as job security, good pay, and benefits as well as external pressures such as peer pressure, family pressure, and social pressure. These are commonly defined in the literature (Chen et al., 2018; Ritz et al., 2016; Ryan & Deci, 2000). Introjected regulation was represented by three items. The items reflected the notion of avoiding a sense of shame, guilt, and *Corresponding author (Saleh Alreshoodi). Email: s.alreshoodi@uoh.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16P http://TUENGR.COM/V11B/11A16P.pdf DOI: 10.14/ITJEMAST.2020.325

missed opportunity for not taking a public sector position (Ritz et al., 2016; Ryan & Deci, 2000). The identified regulation was represented by four items. These were developed in line with the theoretical underpinnings of Self-Determination Theory (Ryan & Deci, 2000) and the empirical studies that linked identified regulation to a perception of valuable activity, a sense of obligation to the country, ability to make a positive difference for the society, and an opportunity to engage in meaningful public policies (Chen et al., 2018; Kim, 2009; Lyons et al., 2006). Integrated regulation was represented by three items. The items were developed based on a theory that proposes that this type of regulation is in line with personal beliefs and values, identity, and life goals (Ritz et al., 2016; Ryan & Deci, 2000). Finally, intrinsic motivation was represented by three items. The items were developed from available literature to reflect pure internalized incentives to work in the public sector, which include personal calling, joy, and satisfaction (Houston, 2006; Ryan & Deci, 2000).

4 RESULT AND DISCUSSION 4.1.1 MEASUREMENT MODEL ANALYSIS The analyses of data were conducted in SPSS and Amos 26.0 software. Following McDonald and Ho (2002), a measurement model was estimated first, before structural equation modeling analysis and hypothesis testing. A confirmatory factor analysis was performed in three steps to test the model fit. First, Confirmatory factor analysis was performed for the five SDT motivation measurements in the model. Next, the analysis was performed for the mediation variable Public Service Motivation. For each of the tests, items with poor factor loadings were eliminated (6 in total). The final CFA model included all variables in the study. The model demonstrated an acceptable fit based on the Tucker-Lewis Index (.911), Confirmatory Factor Index (.917), and Root Mean Square Error of Approximation (.099). Following Kline (2013), further analysis of the modification indices factor loadings suggested that a model could be improved by eliminating two additional items. The new model showed an improvement in terms of fit (Tucker-Lewis Index = .953; Confirmatory Factor Index = .963; Root Mean Square Error of Approximation = .088). All factor loadings were above 0.7. The common method of bias risk for the model was estimated with Harman’s single factor analysis (Podsakoff et al., 2003). After loading all items into a single factor, the model demonstrated a poor fit to data. Therefore, the common method was not a problem in the analysis. 4.1.2 DIRECT EFFECT OF MOTIVATIONAL FACTORS The first analysis model was run with the independent variables representing five types of motivation in Self-Determination Theory. The model explained 41.9% variability in the dependent variable intent to work in the public sector. The individual paths are presented in Table 2.

Table 2: Direct Effects of Motivations on Intent to Work in the Public Sector. Direct effects of motivations on intent to work Hypothesis IntentToWork IntentToWork IntentToWork IntentToWork IntentToWork

Saleh Alreshoodi

    

ExternalReg IntrojectedReg IdentifiedReg IntegratedReg IntrMotivation

H1a H1b H1c H1d H1e

Sig.

Supported?

.590 .154 .116 -.026 .011

<.001 .002 .353 .157 .213

Yes Yes No No No

Table 2, external regulation significantly predicted intent to work (β = 0.590; p < .001). Likewise, Introjected Regulation was a significant predictor of intent to work (β = .154; p = .002). On the other hand, there was no significant relationship between identified, integrated, and intrinsic regulation and intent to work. Therefore, H1a and H1b were supported by the study results, while H1c, H1d, and H1e were not. 4.1.3 MEDIATING EFFECTS OF PSM The second model introduced Public Service Motivation as a mediating variable to test for indirect effects in the study. Following MacKinnon t al. (2002), mediation was measured with a Sobel test with bootstrapped standard errors based on 1000 resampling. The results of the analysis demonstrated that intrinsic motivation had a statistically significant relationship with intent to work through Public Service Motivation (Sobel = 4.41, p < .001) thereby supporting H2a. The model explained a 16.1% variation in intent to work in the public sector. The same analysis demonstrated a statistically significant relationship between identified regulation and intent to work via Public Service Motivation (Sobel = 2.646, p < .001) thereby supporting H2b. The model explained a 14.1% variation in intent to work in the public sector. Therefore, Public Service Motivation fully mediated the relationship between intrinsic motivation and identity regulation and intent to work in the public sector. The mediation model between integrated regulation, Public Service Motivation, and intent to work was not statistically significant (Sobel = -1.384, p > .05); therefore H2c was not confirmed. The mediation model with the paths is shown in Figure 2.

Figure 2. The Mediation Model (** indicates significance at p < .001) 4.1.4 DISCUSSION This paper contributes to the public administration literature by examining a wide range of motivational factors that influence individual decision to work in the public sector. An important aspect of the study is that it was undertaken in the context of Saudi Arabia, the country where individuals traditionally prefer jobs in the public sector (Aamir et al., 2012; Kumar et al., 2019). The results of the study demonstrated that an individual who intends to work in the public sector is a function of several types of motivation. Whereas external and introjected regulation directly influenced such intention, the relationship between autonomous forms of regulation (intrinsic motivation and identified regulation) was fully mediated by Public Service Motivation. These *Corresponding author (Saleh Alreshoodi). Email: s.alreshoodi@uoh.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16P http://TUENGR.COM/V11B/11A16P.pdf DOI: 10.14/ITJEMAST.2020.325

findings allow drawing some important practical implications. First, it was demonstrated that motivation to work in the public sector is a granulated concept where various forms of regulation are in play, both independently and in combinations. Therefore, even in presence of strong extrinsic factors to take positions in the public sector, other forms of motivation should be considered. Specifically, autonomous forms of motivation demonstrated positive relationships with the intent to work. It is then possible for recruiters to seek individuals with high levels of autonomous regulation that implies a more robust selection process. In the case of Saudi Arabia, likely, a shortage of candidates will not be an issue given the overall attractiveness of the public sector jobs overall. Second, Public Service Motivation demonstrated strong influence as a mediating variable to extrinsic and intrinsic forms of motivation. However, in order to tap the high potential of Public Service Motivation, it is necessary to not only hire individuals high on Public Service Motivation but also create strong organizational identification mechanisms so that extrinsic motivation does not crowd out Public Service Motivation (Miao et al., 2019). This can be done by reducing the presence of negative institutional factors such as red tape, fixed hierarchies, and limited communication (Belle, 2015) or by engaging workers through mentorship, job enrichment, and skill development in addition to formal training (Chen et al., 2018). All these management approaches are especially important for younger workers such as college graduates because they will likely remain with organizations for a long period.

5 CONCLUSION From the results of this study, the most important types of motivation for Saudi students that determine their intent to work in the public sector are external, introjected, and public service motivation. External and introjected regulation showed strong direct effects on the intent to work, which is not surprising given much better compensation schemes, job security, and work-related perks associated with public sector jobs in Saudi Arabia. The study showed that Saudi students seek public service employment both for the perceived material benefits and to avoid the feeling of a missed opportunity for a lucrative position and secure future. This suggests that the intent to work was not genuine but rather guided by personal motifs. At the same time, Public Service Motivation fully mediated the relationship between more autonomous regulation styles (intrinsic and integrated) and intent to work in the public sector. On the one hand, this suggests that Public Service motivation matters in the context of Saudi public service organizations. On the other hand, this suggests a more complicated motivational framework for job seekers in the Saudi public sector. Studies using larger samples and applying different methodologies (such as longitudinal study or qualitative study) could offer more insight into the dynamics of motivational factors for Saudi public sector job seekers.

6 AVAILABILITY OF DATA AND MATERIAL Information regarding this study is available by contacting the corresponding author.

7 REFERENCES Aamir, A., Jehanzeb, K., Rasheed, A., & Malik, O. (2012). Compensation Methods and Employeesâ€™ Motivations. International Journal of Human Resource Management, 2(3), 221-230. Alreshoodi, S. (2018). Public Service Motivation, Wasta, and Employee Outcomes in the Saudi

Saleh Alreshoodi

Public Sector. Arabian Journal of Business Management, 8(3), 1-9. Al-Waqfi, M., & Forstenlechner, I. (2012). Of Private Sector Fear and Prejudice: The Case of Young Citizens of an Oil-Rich Arabian Gulf Economy. Personnel Review, 41(5), 609-629. Andrews, C. (2016). Integrating Public Service Motivation and Self-Determination Theory: a Framework. International Journal of Public Sector Management, 29(3), 238-254. Asseburg, J., & Homberg, F. (2020). Public Service Motivation or Sector Rewards? Two Studies on The Determinants of Sector Attraction. Review of Public Personnel Administration, 40(1), 82-111. Asseburg, J., Hattke, J., Hensel, D., Homberg, F., & Fogel, R. (2020). The Tacit Dimension of Public Sector Attraction in Multi-Incentive Settings. Journal of Public Administration Research & Theory, 30(1), 41-59. Belle, N. (2015). Performance‐Related Pay and the Crowding out of Motivation in the Public Sector: a Randomized Field Experiment. Public Administration Review, 75(2), 230-241. Boyd, N.M., Nowell, B., Yang, Z., & Hano, M.C. (2018). Sense of Community, Sense of Community Responsibility, and Public Service Motivation as Predictors of Employee Well-Being and Engagement in Public Service Organizations. American Review of Public Administration, 48(5), 428-443. Breaugh, J., Ritz, A., & Alfes, K. (2017). Work Motivation and Public Service Motivation: Disentangling Varieties of Motivation and Job Satisfaction. Public Management Review, 20(10), 1423-1443. Bright, L. (2009). Why Do Public Employees Desire Intrinsic, Nonmonetary Opportunities? Public Personnel Management, 38(3), 15-37. Brislin, R.W. (1970). Back-Translation for Cross-Cultural Research. Journal of Cross-Cultural Psychology. 1, 185-216. Bullock, J. B., Stritch, J. M. & Rainey, H. G. (2015). International Comparison of Public and Private Employees’ Work Motives, Attitudes, and Perceived Rewards. Public Administration Review, 75(3), 479-489. Chen, C. A., Chen, D. Y., & Xu, C. (2018). Applying self-determination theory to understand public employee’s motivation for a public service career: An East Asian case (Taiwan). Public Performance & Management Review, 41(2), 365-389. Chen, C.-A., & Hsieh, C.-W. (2015). Does Pursuing External Incentives Compromise Public Service Motivation? Comparing the Effects of Job Security and High Pay. Public Management Review, 17(8), 1190-1213. Christensen, R. K., & Wright, B. E. (2011). The Effects of Public Service Motivation on Job Choice Decisions: Disentangling the Contributions of Person-Organization Fit and Person-Job Fit. Journal of Public Administration Research and Theory, 21(4), 723-743. Christensen, R.K., Paarlberg, L., & Perry, J.L. (2017). Public Service Motivation Research: Lessons for Practice. Public Administration Review, 77(4), 529-542. Corduneanu, R., Dudau, A., & Kominis, G. (2020). Crowding-in or Crowding-Out: the Contribution of Self-Determination Theory to Public Service Motivation. Public Management Review, 22(7), 1070-1089. El-Dief, M., & El-Dief, G. (2019). Factors Affecting Undergraduates' Commitment to Career Choice in the Hospitality Sector: Evidence from Saudi Arabia. Journal of Human Resources in Hospitality and Tourism, 18(1), 93-121. *Corresponding author (Saleh Alreshoodi). Email: s.alreshoodi@uoh.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16P http://TUENGR.COM/V11B/11A16P.pdf DOI: 10.14/ITJEMAST.2020.325

Elman, B. A. (2013). Civil examinations and meritocracy in late imperial China. Cambridge, MA: Harvard University Press. French, P. E., & Emerson, M.C. (2014). Assessing the Variations in Reward Preference for Local Government Employees in Terms of Position, Public Service Motivation, and Public Sector Motivation. Public Performance & Management Review, 37(4), 552-576. Gagné, M., Forest, J., Gilbert, M.-H.H., Aubé, C., Morin, E., & Malorni, A. (2010). The Motivation at Work Scale: Validation Evidence in Two Languages. Educational and Psychological Measurement, 70(4), 628-646. Georgellis, Y., Iossa, E., & Tabvuma, V. (2011). Crowding out Intrinsic Motivation in the Public Sector. Journal of Public Administration Research and Theory, 21(3), 473-493. Hinna, A., Homberg, F., Scarozza, D., & Verdini, V. (2019). Public Service Motivation and Public Sector Employment Preference: Comparing Italian and British Students. Public Money & Management, DOI: 10.1080/09540962.2019.1648003 Houston, D. J. (2006). “Walking the Walk” of Public Service Motivation: Public Employees and Charitable Gifts of Time, Blood, and Money. Journal of Public Administration Research and Theory, 16(1), 67-86. Iles, P., Almhedie, A., & Baruch, Y. (2012). Managing HR in the Middle East: Challenges in the Public Sector. Public Personnel Management, 41(3), 465-492. Kim, S. (2009). Revising Perry’s Measurement Scale of Public Service Motivation. American Review of Public Administration, 39, 149-163. Kumar, N.S., Haque, M.I., & Venugopal, K. (2019). Employment Challenges in Saudi Arabia: an Attitudinal Study. Entrepreneurship & Sustainability Issue, 6(4), 1637-1646. Lee, G., & Choi, D.L. (2016). Does Public Service Motivation Influence the College Students’ Intention to Work in the Public Sector? Evidence from Korea. Review of Public Personnel Administration, 36(2), 145-163. Lyons, S. T., Duxbury, L. E., & Higgins, C. A. (2006). A Comparison of the Values and Commitment of Private Sector, Public Sector, and Parapublic Sector Employees. Public Administration Review, 66(4), 605-618. March, J. G., & Olsen, J.P. (1989). Rediscovering Institutions: The Organizational Basis of Politics. New York: Free Press. Mcdonald, R. P., & Ho, M.-H. R. (2002). Principles and Practice in Reporting Structural Equation Analyses. Psychological Methods, 7, 64-82. Miao, Q., Eva N., Newman, A., & Schwarz, G. (2019) Public Service Motivation and Performance: the Role of Organizational Identification. Public Money & Management, 39(2), 77-85. Neumann, O., & Ritz, A. (2015). Public Service Motivation and Rational Choice Modeling. Public Money and Management, 35(5), 365-370. Papadopoulou, M.I., & Dimitriadis, D.E. (2019). Factors Affecting Motivation in the Public Sector under the Context of Self-Determination Theory and Public Service Motivation: The Case of the Hellenic Agricultural Insurance Organization (H.A.I.O.). International Journal of Economics and Business Administration, 7(4), 112-135. Perry, J. L., & Hondeghem, A. (2008). Editors’ Introduction. In Motivation in Public Management: The Call of Public Service, Edited By Perry. J. L., and A. Hondeghem, (pp. 1-14). Oxford University Press. Perry, J. L., & Vandenabeele. W. (2015). Public Service Motivation Research: Achievements,

Saleh Alreshoodi

Challenges, and Future Directions. Public Administration Review, 75(5), 692-699. Perry, J. L., & Wise, L. R. (1990). The Motivational Bases of Public Service. Public Administration Review, 50(3), 367-373. Podsakoff, P. M., Mackenzie, S. B., Lee, J., & Podsakoff, N. P. (2003). Common Method Bias in Behavioral Research: a Critical Review of the Literature and Recommended Remedies. Journal of Applied Psychology, 88, 879-903. Ritz, A., Neumann, O., & Vandenabeele, W. (2016). Motivation in The Public Sector. in Klassen, T.R., Cepiku, D., & Lah, T.J. (Eds) The Routledge Handbook of Public Policy and Administration (pp. 346-360). Abingdon: Routledge. Ryan, R.M., & Deci, E.L. (2000). Self-Determination Theory and the Facilitation of Intrinsic Motivation, Social Development, and Well-Being. American Psychologist, 55(1), 68-78. Serhan, C., Al Achy, E., & Nicolas, E. (2018). Public sector employees’motivation: causes and effects. People: International Journal of Social Science, 4(2). Spector, P. E. (1988). Development of the Work Locus of Control Scale. Journal of Occupational Psychology, 61(4), 335-340. Vandenabeele, W. (2007). Toward a Public Administration Theory of Public Service Motivation: An Institutional Approach. Public Management Review, 9(4), 545-556. Vandenabeele, W., Ritz, A., & Neumann, O. (2018). Public Service Motivation: State if the Art and Conceptual Cleanup. In Palgrave Handbook of Public Administration and Management in Europe, Ongaro. E & Van Thiel, S. (Eds) (pp. 261-279). London: Palgrave-Macmillian. Winter, V., & Thaler, J. (2016). Does Motivation Matter for Employer Choices? A Discrete Choice Analysis of Medical Students’ Decisions among Public, Nonprofit, and for-Profit Hospitals. Nonprofit and Voluntary Sector Quarterly, 45(4), 762-786. Word, J., & Park, S.M. (2015). The New Public Service: Empirical Research on Job Choice Motivation in the Nonprofit Sector. Personnel Review, 44(1), 91-118. Wright, B.E., Hassan, S., & Christensen, R.K. (2017). Job Choice and Performance: Revisiting Core Assumptions about Public Service Motivation. International Public Management Journal, 20(1), 108-131. Dr. Saleh A. Alreshoodi is an Assistant Professor at the Department of Management and Information System, College of Business Administration, University of Ha'il, Ha'il, Saudi Arabia. He got his PhD focused on Public Management from Cardiff University. His research interest includes HRM, Organizational Behavior, and Public Service Motivation.

*Corresponding author (Saleh Alreshoodi). Email: s.alreshoodi@uoh.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16P http://TUENGR.COM/V11B/11A16P.pdf DOI: 10.14/ITJEMAST.2020.325

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

PAPER ID: 11A16Q

NATURE AND EXTENT OF CORPORATE SOCIAL RESPONSIBILITY DISCLOSURE: A CONTENT ANALYSIS APPROACH 1

Parvesh Kumar Aspal , Inass Salamah Ali 1 2

Department of Finance and Accounting, I K Gujral Punjab Technical University, Jalandhar, INDIA. College of Business, Dar-Al-Hekma University, Jeddah, SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 20 July 2020 Received in revised form 05 September 2020 Accepted 23 September 2020 Available online 28 September 2020

In general, the organizations are created to satisfy community needs for sustaining better relationships with the shareholder groups. With this view, business organizations have executed innovative strategies with an intention to compete in the dynamic business environment. Among these strategies, Corporate Social Responsibility (CSR) is regarded as one of the leading and most effective and a strong foundation of corporate Keywords: sustainable development. This analysis aims to assess the attributes and Indian industrial sector; CSR disclosure; Industry extents of CSR disclosure among Indian companies. The study is based on the content analysis; provides insight on CSR disclosure of Indian compound growth; Sustainable management. industrial sectors. The CSR transparency in all industrial sectors has been progressively growing at an average cumulative growth of 8.68 percent. Further, industry-wise analysis reveals a subsequent overall increase in the CSR disclosure during the period of study. Disciplinary: Management Science. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION The anticipating impact of commercial activities on the ever-dwindling environmental resources and, the pressure of consumers’ more responsible choices, forces the corporate sector to incorporate sustainable and socially responsible business strategies (Fontaine, 2013). In this regard, Corporate Social Responsibility (CSR) can be referred to as the efforts of an organization to achieves a balance in social, environmental, and economic imperatives, taking into consideration shareholders’ and stakeholders’ expectations (Maon et al, 2009). The conceptualization of CSR got momentum as a serious concern for the research in the 1960s since the business entities start to be in societal concern and the paradigm of shareholders shifted to the stakeholders (Wang et al. 2016). The proponent of wealth maximization, Friedman (1970) termed it as “the social responsibility of business is to increase its profits” and named corporate leaders as the agents of the stakeholders to spend their *Corresponding author (Inass S. Ali). Email: iali@dah.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16Q http://TUENGR.COM/V11B/11A16Q.pdf DOI: 10.14/ITJEMAST.2020.326

money on social welfare activities. However, with time the shareholder’s model got substituted with a comprehensive approach of stakeholders’ theory (Freeman, 1984). Social accounting theories state that corporations are social creations and their existence depends on the willingness of society to operate (O ‘Donovan, 2002). Stakeholder theory emphasizes that companies have a social responsibility towards the interests of all parties influenced by their business activities. In recent times, the companies pursue the ‘Enlightened Self Interest’ theory, which emphasizes the development of business along with the development of the community (Cragg, 2012). The emergence of the CSR concept is as old as the business itself. Business organizations are considered as a significant agent of modernization within the society during the last two centuries (Carroll, 2008). Companies gain the advantages of CSR to reap a constructive corporate image and CSR is considered as an indispensable component for sustainable corporate management (Bhattacharya & Sen, 2004). With effective management of CSR in their external and internal operations, corporations can be benefitted through enhanced market share, government relations, research and development, human development, and risk managing. CSR initiatives not only enhance financial performance but also work as a strategy to intrigue institutional investors (Weiser & Zadek, 2000). The CSR disclosure practices, especially the voluntary disclosures demonstrate the company’s commitment to society (Perks, 1993). However, these days CSR is followed not only as donations but has also turned into a fundamental constituent of the company’s strategy (Kiran & Sharma, 2011). Presently, companies are eager to yield more benefits by sustaining benevolence relations with the community and state. Eventually, it will convert these intangible resources into strategic advantages to attain corporate objectives effectively and efficiently (Silberhorn & Warren, 2007).

2 REVIEW OF LITERATURE Since the conceptualization of CSR has been acknowledged as corporate philanthropy, it has become the center point of debate. The escalating significance of CSR among the practitioners and the corporate sector has received attention in academic research (Flammer, 2013). As per the annual report of KMPG (2019), 76 percent of Indian companies have spent 2 percent of profit in form of CSR activities, which was only 38 percent in 2014-15, and in case of CSR disclosure of amount spent to move to 99 percent in the year 2018-19. Presently, CSR disclosure has become the major concern for business sustainability, thus, transparent communication and disclosure of a corporate CSR initiative is as important as the involvement in the economic activities (Kumar & Kidwai 2018). The financial positions of the CSR disclosure organizations were found better as compared to the non-disclosure organizations in China. Comparing to past trends, from 2008-2015 a tremendous increase in CSR disclosure was observed across the Chinese companies listed on the Shanghai Stock Exchange (Naseem et al., 2019). The literature suggests that in developing countries, CSR is mainly philanthropic. The philanthropic activities were more common in the USA and Canada and Asia follows the CSR development of the West, but Asia lags behind best practices in countries such as the UK (Welford (2005). However, Asian countries are experiencing a new wave of interest in CSR, especially from Japan. In a cross-country analysis (Australia, Hong Kong, and the United Kingdom) a significant variation in the CSR reporting was observed across the nations, industries, and organizations, while the overall CSR engagement has a significant positive influence on the financial performance (Beck, et al. 2018). It has been observed that 66 percent of the Egyptian companies reported the CSR

Parvesh Kumar Aspal, Inass Salamah Ali

disclosure during 2005-2010 relatively on the product and consumer-related information (Hussainey et al. 2011). Since 2000, an incremental trend of CSR disclosure is observed in the Libya-based companies as the institutional pressure from stakeholder increases on the company’s management, which signifies the positive association of CSR disclosure with the firm’s reputation and performance (Pratten & Mashat 2009). Economic and social performances are the two strong pillars of sustainable corporate growth and have a significant influence on the economic development of a nation. Earlier research carried out in developed nations highlighted that the extent of disclosure seems to be better in developed countries such as America, Britain, Australia, etc. (Guthrie and Parker, 1990) as against developing countries such as Malaysia, Singapore, Thailand, Bangladesh, and even India (Belal, 2001). Now, Indian companies are taking a genuine interest in the social welfare and upliftment of the stakeholders. Moreover, investigations on CSR in the Indian business environment have not yet been effectively and extensively explored; therefore, companies are taking CSR as a liability rather than a means of long-term advantages for the companies as well as the community. Consequently, there is a great need to study the nature and extent of CSR disclosure among Indian companies towards community development. In light of the discussion and literature, the prime objective of the present study is to investigate the extent of corporate social responsibility disclosure practices among Indian companies.

3 DATABASE AND RESEARCH METHODOLOGY The time frame for this study is 2014-2016, as in the year 2013; the Company Act is amended to the mandatory discharge of social responsibility. A sample of 89 companies listed on the Bombay Stock Exchange is selected for the study. The companies included in the sample are categorized based on industry classification, i.e. (1) Drugs and Pharmaceuticals, (2) Automobile, (3) Paint, Chemical, Leather and Pesticides, (4) Communication equipment and computer software, (5) Energy, (6) Oil and Gas, (7) Infrastructure, (8) Fast-moving consumer goods (FMCG), (9) Mineral and Metal and (10) Textile. The content analysis technique (Bowman and Haire, 1975) is applied used to extract information from sustainability, annual, and environmental reports.

4 DATA ANALYSIS AND INTERPRETATION To analyze the CSR disclosures the CSR score, rank, and compound growth of each company within the industry and of each industry are computed.

4.1 CSR DISCLOSURE OF DRUGS AND PHARMACEUTICALS INDUSTRY There are 19 companies in the industry represents 21.34 percent of the total sample size. Table 1 reveals that the mean score of the industry is 30.05, 32.42, and 34.89 respectively. Whereas, the compound growth of the industry is 8.14 percent reveals that companies are achieving their social responsibility goal each year. Note Tables 1, values in parentheses are percentages of scores obtained by each company, referenced to the total scores.

*Corresponding author (Inass S. Ali). Email: iali@dah.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16Q http://TUENGR.COM/V11B/11A16Q.pdf DOI: 10.14/ITJEMAST.2020.326

Table 1: Drugs and Pharmaceuticals Industry CSR Disclosure Company Ajanta Pharma Ltd. Alembic Pharmaceuticals Ltd. Aurobindo Pharma Ltd. Biocon Ltd. Cadila Healthcare Ltd. Cipla Ltd. Divi's Laboratories Ltd. Dr. Reddy'S Laboratories Ltd. Emami Ltd. GlaxoSmithKline Consumer Healthcare Ltd. GlaxoSmithKline Pharmaceutical Ltd. Glenmark Pharmaceuticals Ltd. Ipca Laboratories Ltd. Lupin Ltd. Natco Pharma Ltd. Sanofi India Ltd. Strides Shasun Ltd. Torrent Pharmaceuticals Ltd. Wock Hardt Ltd. Mean Score

2014 Score Rank 25 16 (54.34) 26 15 (56.52) 28 12 (60.86) 33 6 (71.73) 36 1 (78.26) 36 1 (78.26) 25 16 (54.34) 36 1 (78.26) 30 9 (65.21) 31 8 (67.39) 35 4 (76.08) 32 7 (69.56) 27 14 (58.69) 34 5 (73.91) 29 11 (63.04) 30 9 (65.21) 25 16 (54.34) 28 12 (60.86) 25 16 (54.34) 30.05

2015 Score Rank 32 10 (69.56) 35 5 (76.08) 29 15 (63.04) 35 5 (76.09) 37 2 (80.43) 40 1 (86.96)

2016 Score Rank 33 14 (71.74) 37 3 (80.43) 37 3 (80.43) 36 8 (78.26) 36 8 (78.26) 37 3 (80.43)

33 (71.74) 36 (78.26) 31 (67.39) 36 (78.26) 32 (69.57) 33 (71.74) 28 (60.87) 35 (76.09) 29 (63.04) 29 (63.04) 31 (67.39) 31 (67.39) 24 (52.17) 32.42

40 (86.96) 42 (91.30) 36 (78.26) 36 (78.26) 37 (80.43) 34 (73.91) 35 (76.09) 37 (80.43) 27 (58.70) 33 (71.74) 33 (71.74) 29 (63.04) 28 (60.87) 34.89

8 3 12 3 10 8 18 5 15 15 12 12 19

Compound Growth Percentage 14.89 19.29 14.95 4.45 0.00 1.38

26.49

8.01

9.54

7.76

2.82

3.08

13.86

4.32

-3.51

4.88

14.89

1.77

5.83 8.14

4.2 CSR DISCLOSURE OF AUTOMOBILE INDUSTRY There are 14 companies in the Automobile Industry, which represents 15.73 percent of the total sample size. Table 2 reveals that the mean CSR disclosure score of the Automobile industry during the year 2014 is 30.42 and has enhanced to 33.14 in the year 2015, which is further increased to 36.64. As far as overall growth is concerned, the automobile industry has attained an 11.75 compound growth rate. Table 2: Automobile Industry CSR Disclosure (company-wise) Company Amara Raja Batteries Ltd. Apollo Tyres Ltd. Bajaj Auto Ltd. Bharat Forge Ltd. Bosch Ltd. Cummins India Ltd.

2014 Score Rank 31 9 (67.39) 33 6 (71.74) 34 4 (73.91) 28 10 (60.87) 37 2 (80.43) 34 4 (73.91)

Parvesh Kumar Aspal, Inass Salamah Ali

2015 Score Rank 32 10 (69.57) 33 9 (71.74) 34 7 (73.91) 32 10 (69.57) 41 1 (89.13) 38 3 (82.61)

2016 Score Rank 37 7 (80.43) 39 2 (84.78) 34 12 (73.91) 36 8 (78.26) 39 2 (84.78) 38 6 (82.61)

Compound Growth Percentage 9.25 8.71 0.00 13.39 2.67 5.72

Company Eicher Motors Ltd. Exide Industries Ltd. Hero Motocorp Ltd. MRF Ltd. Mahindra & Mahindra Ltd. Maruti Suzuki India Ltd. Motherson Sumi Systems Ltd. TVS Motor Co. Ltd. Mean Score

2014 Score 14 (30.43) 32 (69.57) 35 (76.09) 23 (50.00) 38 (82.61) 33 (71.74) 26 (56.52) 28 (60.87) 30.42

Rank 14 8 3 13 1 6 12 10

2015 Score 14 (30.43) 36 (78.26) 38 (82.61) 31 (67.39) 39 (84.78) 35 (76.09) 27 (58.70) 34 (73.91) 33.14

Rank 14 5 3 12 2 6 13 7

2016 Score 35 (76.09) 35 (76.09) 39 (84.78) 31 (67.39) 41 (89.13) 39 (84.78) 36 (78.26) 34 (73.91) 36.64

Rank

Compound Growth Percentage

58.11

4.58

5.56

16.10

3.87

8.71

17.67

10.19 11.75

4.3 CSR DISCLOSURE OF CHEMICAL AND LEATHER INDUSTRY In the Chemical and Leather industry, 12 companies consist of 13.48 percent of the total sample size. Table 3: Chemical and Leather Industry CSRDisclosure (company-wise) Company Asian Paints Ltd. Bata India Ltd. Bayer Crop Science Ltd. Berger Paints India Ltd. Godrej Industries Ltd. Jubilant Life Sciences Ltd. Kansai Nerolac Paints Ltd. PI Industries Ltd. Pidilite Industries Ltd. SRF Ltd. Tata Chemicals Ltd. UPL Ltd. Mean Score

2014 Score Rank 31 2 (67.39) 26 6 (56.52) 25 8 (54.35) 24 11 (52.17) 30 3 (65.22) 25 8 (54.35) 25 8 (54.35) 21 12 (45.65) 26 6 (56.52) 29 5 (63.04) 33 1 (71.74) 30 3 (65.22) 27.08

2015 Score 37 (80.43) 27 (58.70) 33 (71.74) 28 (60.87) 37 (80.43) 29 (63.04) 34 (73.91) 31 (67.39) 34 (73.91) 32 (69.57) 39 (84.78) 37 (80.43) 33.16

Rank 2 12 7 11 2 10 5 9 5 8 1 2

2016 Score 37 (80.43) 35 (76.09) 34 (73.91) 28 (60.87) 38 (82.61) 29 (63.04) 35 (76.09) 35 (76.09) 39 (84.78) 32 (69.57) 39 (84.78) 37 (80.43) 34.83

Rank

Compound Growth Percentage

9.25

16.02

16.62

8.01

12.55

7.70

18.32

29.10

22.47

5.05

8.71

11.06 13.73

The mean score of the industry is increased from 27.08 in 2014 to 33.16 in 2015, which further progressed to 34.83 in 2016. It reveals that companies are achieving their social responsibility goal. As far as compound growth in CSR disclosure is concerned, the industry has achieved a growth rate of 13.73 percent. *Corresponding author (Inass S. Ali). Email: iali@dah.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16Q http://TUENGR.COM/V11B/11A16Q.pdf DOI: 10.14/ITJEMAST.2020.326

4.4 CSR DISCLOSURE OF COMMUNICATION EQUIPMENT AND COMPUTER SOFTWARE INDUSTRY In the Communication Equipment and Computer software industry, six companies have been selected, which represents 6.74 percent of the total sample size. Table 4: Communication and Computer Software Industry CSRDisclosure (company-wise) Company Bharat Electronics Ltd. H C L Technologies Ltd. Infosys Ltd. Oracle Financial Services Software Ltd. Tata Consultancy Services Ltd. Tata Elxsi Ltd. Mean Score

2014 Score Rank 37 2 (80.43) 36 3 (78.26) 32 4 (69.57) 27 5 (58.70) 38 1 (82.61) 23 6 (50.00) 32.16

2015 Score Rank 38 2 (82.61) 38 2 (82.61) 36 4 (78.26) 36 4 (78.26) 41 1 (89.13) 30 6 (65.22) 36.50

2016 Score Rank 38 2 (82.61) 38 2 (82.61) 38 2 (82.61) 36 5 (78.26) 39 1 (84.78) 30 6 (65.22) 36.50

Compound Growth Percentage 1.34 2.74 8.97 15.47 1.31 14.21 7.34

The mean score of the industry is 32.16, 36.50, and 36.50 in the year 2014, 2015, and 2016 respectively revealing that companies are fulfilling their social responsibility each year. As far as compound growth of the industry in CSR disclosure is concerned, the industry has attained an overall compound growth of 7.34 percent.

4.5 CSR DISCLOSURE OF ENERGY INDUSTRY The energy industry in this study composes of 7 companies, which constitute 7.86 percent of the total sample size. Table 5: Energy Industry CSR Disclosure (company-wise) Company CESC Ltd. Havells India Ltd. NTPC Ltd. Power Grid Corporation of India Ltd. Reliance Infrastructure Ltd. Thermax Ltd. Voltas Ltd. Mean Score

2014 Score Rank 28 5 (60.87) 26 6 (56.52) 39 1 (84.78) 36 2 (78.26) 34 3 (73.91) 29 4 (63.04) 25 7 (54.35) 31.00

2015 Score Rank 35 4 (76.09) 29 7 (63.04) 39 1 (84.78) 39 1 (84.78) 37 3 (80.43) 33 5 (71.74) 33 5 (71.74) 35.00

2016 Score Rank 35 4 (76.09) 30 7 (65.22) 39 1 (84.78) 39 1 (84.78) 37 3 (80.43) 33 6 (71.74) 35 4 (76.09) 35.42

Compound Growth Percentage 11.80 7.42 0.00 4.08 4.32 6.67 18.32 7.52

The mean CSR disclosure score in Energy Industry during the year 2014 is 31.00, which has excelled to 35.00 in the year 2015 and has further enhanced to 35.42 in the year 2016. It reveals that companies are fulfilling their social responsibility towards stakeholders year by year. The overall compound growth of the Industry is 7.52 percent.

Parvesh Kumar Aspal, Inass Salamah Ali

4.6 CSR DISCLOSURE OF OIL AND GAS In the present study, the Oil and Gas industry includes 8 companies, which constitutes 9 percent of the total sample size. Table 6: Oil and Gas Industry CSR Disclosure (company wise) 2014

2015

2016 Rank

Compound Growth Percentage

9.81

11.42

8.23

-1.26

2.67

0.00

-1.23

5.13

Company Bharat Petroleum Corporation Ltd. Castrol India Ltd. G A I L (India) Ltd. Hindustan Petroleum Corporation Ltd. Indian Oil Corporation Ltd. Oil & Natural Gas Corporation Ltd. Oil India Ltd. Reliance Industries Ltd. Mean Score

Score 34 (73.91) 29 (63.04) 35 (76.09) 40 (86.96) 37 (80.43) 40 (86.96) 41 (89.13) 38 (82.61) 36.75

Rank 7 8 6 2 5 2 1 4

Score 41 (89.13) 37 (80.43) 40 (86.96) 39 (84.78) 39 (84.78) 40 (86.96) 41 (89.13) 42 (91.30) 39.87

Rank 2 8 4 6 6 4 2 1

Score 41 (89.13) 36 (78.26) 41 (89.13) 39 (84.78) 39 (84.78) 40 (86.96) 40 (86.96) 42 (91.30) 39.75

4.35

The examination of Table 6 reflects that the mean score of the industry is 36.75, 39.87, and 39.75 in the year 2014, 2015, and 2016 respectively with an annual compound growth of 4.35 percent, which reflects the industry is concerned about social welfare.

4.7 CSR DISCLOSURE OF INFRASTRUCTURE INDUSTRY The infrastructure industry in the present study includes five companies with 5.6 percent of the total sample size. Table 7: Infrastructure Industry CSR Disclosure (company-wise) Company Engineers India Ltd. Larsen & Toubro Ltd. Ramco Cements Ltd. Shree Cement Ltd. Ultratech Cement Ltd. Mean Score

2014 Score Rank 30 4 (65.22) 34 1 (73.91) 28 5 (60.87) 33 2 (71.74) 32 3 (69.57) 31.40

2015 Score Rank 39 4 (84.78) 41 1 (89.13) 32 5 (69.57) 41 1 (89.13) 40 3 (86.96) 38.60

2016 Score Rank 39 5 (84.78) 41 1 (89.13) 41 1 (89.13) 41 1 (89.13) 40 4 (86.96) 40.40

Compound Growth Percentage 14.02 9.81 21.01 11.46 11.80 13.62

The CSR disclosure means a score of the industry is calculated as 31.40, 38.60, and 40.40 for the years 2014, 2015, and 2016 respectively with the annual compound growth of 13.62 percent. This reflects that the companies are performing resourcefully for the welfare of stakeholders.

4.8 CSR DISCLOSURE OF FMCG INDUSTRY In this study, the FMCG industry contains nine companies, which constitute 10 percent of the total sample size. *Corresponding author (Inass S. Ali). Email: iali@dah.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16Q http://TUENGR.COM/V11B/11A16Q.pdf DOI: 10.14/ITJEMAST.2020.326

Table 8: FMCG Industry CSR Disclosure (company-wise) Company Britannia Industries Ltd. Colgate-Palmolive (India) Ltd. Dabur India Ltd. Godrej Consumer Products Ltd. Hindustan Unilever Ltd. ITC Ltd. Marico Ltd. Nestle India Ltd. Tata Global Beverages Ltd. Mean Score

2014 Score Rank 24 9 (52.17) 28 7 (60.87) 32 4 (69.57) 30 6 (65.22) 26 8 (56.52) 36 1 (78.26) 34 2 (73.91) 31 5 (67.39) 33 3 (71.74) 30.44

2015 Score Rank 26 9 (56.52) 33 7 (71.74) 39 1 (84.78) 35 5 (76.09) 33 7 (71.74) 39 1 (84.78) 37 3 (80.43) 35 5 (76.09) 37 3 (80.43) 34.88

2016 Score Rank 32 9 (69.57) 33 8 (71.74) 39 1 (84.78) 37 6 (80.43) 37 6 (80.43) 39 1 (84.78) 38 3 (82.61) 38 3 (82.61) 38 3 (82.61) 36.77

Compound Growth Percentage 15.47 8.56 10.40 11.06 19.29 4.08 5.72 10.72 7.31 10.29

The mean CSR disclosure score in FMGC Industry is computed as 30.44, 34.88, and 36.77 during the years 2014, 2015, and 2016 with annual compound growth of 10.29 percent, respectively. It reveals that companies are taking initiatives for the well-being of employees, society, customers, and the environment year by year.

4.9 CSR DISCLOSURE BY MINERAL AND METAL INDUSTRY Mineral and Metal in the present study is the composition of 6 companies, which constitute 6.74 percent of the total sample size. Table 9: Mineral and Metal Industry CSR Disclosure (company-wise) Company Hindalco Industries Ltd. Hindustan Zinc Ltd. N M D C Ltd. National Aluminium Co. Ltd. Tata Steel Ltd. Titan Company Ltd. Mean Score

2014 Score Rank 33 2 (71.74) 33 2 (71.74) 33 2 (71.74) 35 1 (76.09) 33 2 (71.74) 33 2 (71.74) 33.33

2015 Score Rank 40 1 (86.96) 38 5 (82.61) 39 3 (84.78) 39 3 (84.78) 40 1 (86.96) 36 6 (78.26) 38.66

2016 Score Rank 40 1 (86.96) 38 6 (82.61) 39 3 (84.78) 39 3 (84.78) 40 1 (86.96) 39 3 (84.78) 39.16

Compound Growth Percentage 10.10 7.31 8.71 5.56 10.10 8.71 8.41

The mean score of the industry has been increased from 33.33 in 2014 to 38.66 in 2015, which progressed to 39.16 in 2016, and the annual compound growth of CSR disclosure in the Mineral and Metal Industry is observed as 8.14 percent, which represents the industryâ€™s upsurge contribution towards the society.

4.10 CSR DISCLOSURE OF TEXTILE INDUSTRY Textile in the present study is composition only 3 companies which is a meager representation of

Parvesh Kumar Aspal, Inass Salamah Ali

the industry just 3.37 percent of the total sample size.

Table 10: Textile Industry CSR Disclosure (company wise) Company Aditya Birla Nuvo Ltd. Arvind Ltd. Grasim Industries Ltd. Mean Score

2014 Score Rank 37 2 (80.43) 36 3 (78.26) 40 1 (86.96) 37.66

2015 Score Rank 41 2 (89.13) 35 3 (76.09) 42 1 (91.30)

2016 Score Rank 41 1 (89.13) 35 3 (76.09) 41 1 (89.13)

39.33

Compound Growth Percentage 5.27 -1.40 1.24

39.00

1.70

The mean score of the Textile industry has been increased from 37.66 in 2014 to 39.33 in 2015, but it has slightly declined to 39.00 in 2016, managed to attain an overall annual compound growth of 1.70 percent.

4.11 INDUSTRY WISE CSR DISCLOSURE SCORE AND COMPOUND GROWTH The mean score, rank, and compound growth of different industries are presented in Table 11. Table 11: Industry Wise CSR Disclosure Score and Compound Growth Industry Drugs and Pharmaceuticals Automobile Chemical and Leather Communication and Computer software Energy Oil and Gas Infrastructure FMGC Mineral and Metal Textile Mean Score

2014 Mean Score 30.05 30.42 27.08

Rank 9 8 10

2015 Mean Score Rank 32.42 10 33.14 9 33.16 8

2016 Mean Score Rank 34.89 9 36.64 6 34.83 10

32.16

36.50

7.34

31.00 36.75 31.40 30.44 33.33 37.66 32.02 (69.60)

6 2 5 7 3 1

35.00 39.87 38.6 34.88 38.66 39.33 36.15 (78.58)

6 1 4 7 3 2

35.42 39.75 40.40 36.77 39.16 39.00 37.33 (81.15)

8 2 1 5 3 4

7.52 4.35 13.62 10.29 8.41 1.70

Compound Growth 8.14 11.75 13.73

8.68

During the period of study, the overall CSR disclosure of all the industries is consistently increased as the annual compound growth rate of CSR disclosure of all industries is computed as 8.68 percent. As far as, the compound growth rate of the industries is concerned, the highest compound growth rate of 13.73 percent is attained by the Chemical and Leather industry. Whereas the least compound growth rate of 1.70 percent is attained by the textile industry. Ismail (1994) explored that the oil exploration industry has high damaging effects on the environment, but in the present study, Oil and Gas industry has done better and it has minimal damaging effects on the environment. Likewise, the Textile industry and infrastructure industry have contributed to the environment and society. Hettige, et al. (1998) observed that the case metal industry which is responsible for emissions of organic water pollutants had a low ranking, whereas, Indian Mineral and Metal industry has improved their CSR initiatives. On the contrary, the Pharmaceutical industry and Chemical & Leather industry obtained the lowest rank 9 and 10 respectively in terms of CSR disclosure in the respective *Corresponding author (Inass S. Ali). Email: iali@dah.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16Q http://TUENGR.COM/V11B/11A16Q.pdf DOI: 10.14/ITJEMAST.2020.326

three years. These industries need to boost up as these are responsible for generating organic pollutants in the air. The findings of the study reflect that the extent of CSR disclosure of each industry varies across the industries. Numerous factors may affect the CSR disclosure level such as company size and industry type company’s profile and origin of the country (Adams et al., 1998); negative media observance, environmental prosecutions, changing societal concerns, taxes, and penalties (Lanis & Richardson, 2013).

5 CONCLUSION The descriptive findings of this study about CSR disclosure in the current period can be correlated with the historical aspects relevant in India related to CSR. In the 20th century, business socially responsible practices took the shapes of philanthropic donations to charity, service to the community, enhancing employee welfare, and promoting religious conduct. The important change that has been observed now is that the industry has accepted social responsibility as part of strategic management (Gupta, 2007). It has also been observed that now companies are liable to report CSR activities to sustain legitimacy about their operations and meet stakeholders’ expectations. In the present study, the proportion of companies disclosing CSR with narrative and monetary units are higher and is consistent with Kabir & Akinnusi (2012). But, the nature of CSR disclosure for Indian companies is different as compared to the developed nations of the world. They prefer to report both monetary and nonmonetary information (Thom and Decoutere, 2009) contrary to present findings where amongst Indian companies the nature of disclosure is more descriptive than quantitative. The findings of the study reflect that CSR disclosure of Indian companies is low as compared to their counterparts in developed countries (Bhatia & Chander, 2014). The selected companies with a very high market capitalization represent the Indian economy. But, despite being the leading companies in the Indian economy, the extent of CSR disclosure is low. Still, the appreciable aspect of the present study is that there is a fair increase in the percentage of CSR disclosure among the sample industries over the three-year study period. These findings reflect that the stakeholder groups have gained benefits when the companies maintain their expectations. The above findings are in line with the stakeholder theory that states that CSR disclosure is positively considered by stakeholders (Tilt, 1994). Moreover, it is recommended that corporate managers ought to follow the shared value creation principle which implies that corporations should achieve their economic objective along with creating value for the community by addressing stakeholders’ issues. Also, the New Company Act, 2013 has made mandated CSR reporting amongst Indian corporations. Hence, the corporate sector in India needs to pull up its socks and drive the next wave of innovation and productivity growth in the global economy, by transforming its business strategy.

6 AVAILABILITY OF DATA AND MATERIAL Information regarding this study is available by contacting the corresponding author.

7 REFERENCES Adams, C. A., Hill, W. Y., & Roberts, C. B. (1998). Corporate social reporting practices in Western Europe: legitimating corporate behavior? The British Accounting Review, 30(1), 1-21. Beck, C., Frost, G., & Jones, S. (2018). CSR disclosure and financial performance revisited: A cross-country analysis. Australian Journal of Management, 43(4), 517-537. Belal, A.R. (2001). A study of corporate social disclosures in Bangladesh. Managerial Auditing Journal, 16(5), 274–289.

Parvesh Kumar Aspal, Inass Salamah Ali

Bhatia, A., & Chander, S. (2014). Corporate social responsibility disclosure by SENSEX companies in India. Management and Labour Studies, 39(1), 1-17. Bhattacharya, C. B., & Sen, S. (2004). Doing better at doing good: When, why, and how consumers respond to corporate social initiatives. California Management Review, 47(1), 9-24. Bowman, E. H., & Haire, M. (1975). A strategic posture toward corporate social responsibility. California Management Review, 18(2), 49-58. Carroll, A. B. (2008). A history of corporate social responsibility: Concepts and practices. The Oxford handbook of corporate social responsibility, 19-46. Cragg, W. (2012). Ethics, enlightened self-interest, and the corporate responsibility to respect human rights: A critical look at the justificatory foundations of the UN framework. Business Ethics Quarterly, 22(1), 9-36. Flammer, C. (2013). Corporate Social Responsibility and Shareholder Reaction: The Environmental Awareness of Investors. Academy of Management Journal, 56(3), 758â€“781. Fontaine, M. (2013). Corporate social responsibility and sustainability: the new bottom line? International Journal of Business and Social Science, 4(4), 110-119. Freeman, R. E. (1984) Strategic Management: A Stockholder Approach. Boston MA: Pitman Publishing. Friedman, M. (1970). A Friedman doctrine: The social responsibility of business is to increase its profits. The New York Times Magazine, 13, 32-33. Gupta, A. (2007). Social responsibility in India towards a global compact approach. International Journal of Social Economics, 34(9), 637-663. Guthrie, J., & Parker, L. D. (1990). Corporate social disclosure practice: a comparative international analysis. Advances in Public Interest Accounting, 3, 159-175. Hettige, H., Mani, M., & Wheeler, D. (1998). Industrial pollution in economic development: Kuznets revisited. World Bank, Development Research Group. Hussainey, K., Elsayed, M., & Razik, M. A. (2011). Factors affecting corporate social responsibility disclosure in Egypt. Corporate Ownership and Control, 8(4), 432-443. Ismail, I. A. (1994). OPEC production: Capital limitations, environmental movements may interfere with expansion plans. Oil and Gas Journal, 92(19), 60-68. Kabir, H., & Akinnusi, D. M. (2012). Corporate social and environmental accounting information reporting practices in Swaziland. Social Responsibility Journal, 8(2), 156-173. Kiran, R., & Sharma, A. (2011). Corporate social responsibility: A corporate strategy for new business opportunities. Journal of International Business Ethics, 4(1), 10. Kumar, S. & Kidwai, A. (2018). CSR disclosures and transparency among top Indian companies. International Journal of Indian Culture and Business Management, 16(1), 57-70. Lanis, R., & Richardson, G. (2013). Corporate social responsibility and tax aggressiveness: a test of legitimacy theory. Accounting, Auditing & Accountability Journal, 26(1), 75-100 Maon, F., Lindgreen, A., & Swaen, V. (2009). Designing and implementing corporate social responsibility: An integrative framework grounded in theory and practice. Journal of Business Ethics, 87(1), 71-89. Naseem, M. A., Ahmad, M. I., Rehman, R. U., Khan, M. A., & Ali, R. (2019). The Trend and Development of CSR Disclosure in Chinese Listed Firms. Agathos, 10(1), 267-279. Perks, R. W. (1993). Accounting & Society. Chapman & Hall, London. Pratten, J. D., & Mashat, A. A. (2009). Corporate social disclosure in Libya. Social Responsibility *Corresponding author (Inass S. Ali). Email: iali@dah.edu.sa ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16Q http://TUENGR.COM/V11B/11A16Q.pdf DOI: 10.14/ITJEMAST.2020.326

Journal, 5(3), 311-27. Silberhorn, D., & Warren, R. C. (2007). Defining corporate social responsibility: A view from big companies in Germany and the UK. European Business Review, 19(5), 352-372. Tilt, C. A. (1994). The influence of external pressure groups on corporate social disclosure: some empirical evidence. Accounting, Auditing & Accountability Journal, 7(4), 47-72. Wang, H., Tong, L., Takeuchi, R., & George, G. (2016). Corporate social responsibility: An overview and new research directions: Thematic issue on corporate social responsibility. Academy of Management Journal, 59(2), 534–544. Weiser, J., & Zadek, S. (2000). Conversations with disbelievers. Retrieved February 2005. Welford, R. (2005). Corporate social responsibility in Europe, North America and Asia. Journal of Corporate Citizenship, 17, 33-52. Dr. Parvesh Kumar Aspal is an Assistant Registrar with I K Gujral Punjab Technical University Jalandhar, India. He achieved four master’s degrees including an M. Phill (Commerce), an MBA (Finance), a Master of Finance and Control, a Master of Commerce (Finance and Accounting). He earned his doctorate in Finance and Accounting, from Punjabi University Patiala, Punjab, India. Dr. Aspal is a Life Member of the Indian Society for Technical Education (ISTE), New Delhi and an honorary Rosalind Member of London Journals Press, London, UK. He is also an editorial board member of the American Journal of Management Science and Engineering, New York, USA. His main area of work is Educational Planning and Management, Financial Management, Corporate Social Responsibility and Banking. Dr. Inass Salamah Ali is Dean of Hekma School of Business & Law at Dar Al-Hekma University, Jeddah, Saudi Arabia. She earned her undergraduate degree in Mathematics from Women’s College of Education, Jeddah, Saudi Arabia. She obtained her Master’s degree from Colorado Technical University, USA, majoring in Software Engineering/Computer Science. She earned her Doctorate in Management from the University of Stirling, the U.K. with research focused on Customer Relationship Management. She was the Program Director for the Management Information Systems (MIS) program at Dar Al Hekma. Dr. Ali was also the Director of the Scientific Research Center & Library. She was Director of the Quality Assurance & Strategic Planning Department.

Parvesh Kumar Aspal, Inass Salamah Ali

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

PAPER ID: 11A16R

MODERN VISION OF THE HISTORICAL EXPERIENCE OF SECESSION LEGAL REGISTRATION: CASES OF NORWAY AND FINLAND Yuriy V. Ginzburg 1

Department of Financial and Business Law of Kursk State University; Federal Center for Educational Legislation, RUSSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 20 July 2020 Received in revised form 05 September 2020 Accepted 23 September 2020 Available online 28 September 2020

This article attempts to learn from the past through an evaluation of the successful cases of territory separation and their legal mechanisms from the point of view of modern law. To achieve the aim, we are going to describe the process of annexing the territories to the states, analyze the registration of the annexation and then depict the secession itself and make a conclusion about the possibility of using the historical experience by modern countries.

Keywords: Territory secession; War and peace; Independency process; Declaration of independence.

1 INTRODUCTION The problem of secession consisting of the desire of some territories to separate from the mother country and proclaim its independence has become usual for many states in the modern world. According to F.A. Popov, there are about 200 centers of secessionism in different world’s parts [18]. Depending on the state such processes vary in their intensity level. There are examples of demonstrations, high-profile trials, terrorist acts, and even civil wars in some countries whereas in others, the matter is limited by calls of individual politicians and discussions. Despite the attempts of solving the separation question through the use of force, a peaceful way is still a common trend while settling secession conflicts in the modern world [13]. It is provided by the development of international law and work of international organizations whose key principle is a peaceful settling of conflicts. While carrying the secession out the main part is played by the legal mechanisms of both preventing and implementing secession. In the paper, we are going to analyze the legal mechanisms of successful secession implementation and the attempts to counteract it in two Scandinavian countries – Norway and Finland. The countries were chosen for several reasons. Firstly, Scandinavian countries are included *Corresponding author (Yuriy V. Ginzburg). Tel: +79508710684 Email: yuginzbyrg@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16R http://TUENGR.COM/V11B/11A16R.pdf DOI: 10.14/ITJEMAST.2020.327

in the number of states with a high standard of living. These are the countries of Northern Europe that are often called examples of a successful social and economical policy that is closely connected to the organization of power, political and legal culture. Secondly, the countries have a similar historic way; they are united both geographically and culturally. Both the countries became parts of the states from which they separated later as a result of the Napoleonic Wars. Thirdly, both of these countries gained their independence more than a hundred years ago, which makes it possible for a modern researcher to analyze the legal design of secessions more objectively. Thus, the analysis of independence gaining of the two countries will allow not only to follow the features of the historical path of each of these states but also to identify common features for the implementation of peaceful secession.

2 HISTORY, WAR, ALLIES, FOREIGN POLICY, AND INDEPENDENCY Norway separated from Sweden in 1905 and Finland separated from Russia in 1917. To describe the process of secession, it is necessary to refer to the source and understand the way the territories were included in other states. Both countries were annexed as a result of the Napoleonic Wars. According to the results of the Treaties of Tilsit, Russia became a French ally and unleashed the war with Sweden. It resulted in annexing Finland to the Russian Empire. But a few years later, the foreign policy situation changed. The former Napoleonic general Bernadotte came to power in Sweden and Russia began to prepare for war with France. Another anti-French coalition was made and former rivals became allies. On the 5th of April 1812, an alliance agreement was concluded between Russia and Sweden whose condition was the accession of Norway to Sweden in exchange for lost Finland. At that moment Norway was formally a sovereign state but in fact, it was subordinate to Denmark by means of a real union. According to the results of the Kiel Treaty of 1814, Norway moved to Sweden. â€œThe whole Kingdom of Norway and all its residents, cities, ports, fortresses, villages and islands on all the coasts of this Kingdom â€Ś will belong in all the property and sovereignty to His Majesty the King of Sweden and will form a kingdom united with the kingdom of Swedenâ€? [17]. From the analysis of the Kiel Treaty, the Danish monarch treated the territory of Norway as his property and could dispose of it at his discretion including transferring it to the power of another state. Norway and Finland were annexed through the use of force but turned out to be in different positions. Norway had its own statehood despite the fact that it was not actually an independent state for several centuries. After signing the Kiel Treaty the Norwegians decided to take advantage of the situation and convened the Constituent Assembly that adopted the Constitution on May 16, 1814. The adoption of the Norwegian Constitution rejected the union with Denmark and resulted in ignoring the Kiel accords. It was secession that led the country to become completely independent. The Constitution of Norway of 1814 is a unique phenomenon in the history of constitutionalism. Today it is the second (after the US Constitution) oldest working constitution in the world and the first in Europe. The text of it was made at a crucial moment for constitutional law. On the one hand, the experience in framing constitutions had already been gained and on the other hand, the victory of the anti-French coalition led to the restoration and strengthening of monarchies in Europe that was reflected in many European constitutions of that time. Popular sovereignty, separation of powers, and human rights found their place in the Norwegian Constitution. The executive power belonged to the king (art. 3), the legislative one belonged to the people in the person of the National Assembly (art. 49), and the highest court was organized as the Supreme Court (art. 89) [23]. Popular sovereignty is

Yuriy V. Ginzburg

of particular importance for our study. Its ideas were borrowed from the French Constitution of 1791 and the US Constitution. The principle of popular sovereignty means that power (legislative, executive, and judicial) belongs to the people who grant it to the relevant authorities. The restoration of monarchies after Napoleon's defeat led to the fact that the principle of popular sovereignty was replaced by a contractual principle in Europe. After 1814 many European constitutions were seen as an act of the monarch that is his agreement with the people. In the latter case, sovereignty was divided between the king and the people. Popular sovereignty was not textually marked in the Norwegian Constitution. However, the very form of adoption of the Constitution (by the Constituent Assembly) and further discussions allow us to draw such a conclusion. The practical importance of the principle of popular sovereignty influenced the monarch's ability to mend the constitution including vetoing constitutional amendments. In Norwegian political practice, this question was solved in 1884 when the king was denied the right to veto constitutional amendments during the judicial constitutional review. The key argument was popular sovereignty providing the legislative and executive authorities with only granted powers [7].

2.1 FINLAND UNDER RUSSIA’S RULE AND MANAGEMENT After declaring Norway’s independence in 1814, Sweden began military actions that resulted in Norwegian joining it by means of a real union headed by the King of Sweden [14]. The union’s registration began after signing the Convention of Moss on the 14th of August in 1814. According to it, the military actions ceased, the Norwegian King Christine Frederick abdicated the throne and Sweden adopted the Norwegian Constitution taking into account its future amendments. The main one accepted by the Storting (Norwegian Parliament) was the Swedish King was simultaneously the King of Norway [27]. This is the way the real union between Sweden and Norway was registered. Carl Johan was planning to make a union at first and later to limit Norway’s independence. But during his tenure and further on the Storting objected to King’s interference into the inner affairs of the country. Moreover, it managed to dissolve the post of a governor and the executive power was headed by the major minister [5]. Finland was annexed to Russia in similar historical conditions. As the results of the Russian-Swedish war of 1808-1809, Russia took Finnish territories that belonged to Sweden. Without waiting for the end of the war Alexander I produced a manifest on Finland’s annexation on March 20, 1809. “This country, subjugated by Our arms, We are now joining forever to the Russian Empire” [25]. As a result of military actions, the Treaty of Hamina was signed. Its 4th Article proclaimed: “His Majesty King of Sweden both for himself and the successors of his throne and the Kingdom of Sweden refuses irrevocably and permanently in favor of His Majesty the Emperor of All Russia and the successors of His throne and the Russian Empire all his rights and claims to the provinces below signified, conquered by His Imperial Majesty in the present war from Sweden ... These provinces with all residents, cities, ports, fortresses, villages, and islands as well as their belongings, advantages, rights, and benefits will be the property and sovereign possession of the Russian Empire and they are annexed to it forever” [24]. In 1809 a legislative body was convened (in the Russian historiography referred to as the Seim). At its opening, Emperor Alexander I spoke and promised to keep the constitution and laws in vigor [4]. The constitution is not always a formal legal act having the highest force. In modern constitutional law, it also means the basis of the political, economic, and legal life of the state highlighting written and unwritten constitutions. For understanding and evaluating the promises *Corresponding author (Yuriy V. Ginzburg). Tel: +79508710684 Email: yuginzbyrg@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16R http://TUENGR.COM/V11B/11A16R.pdf DOI: 10.14/ITJEMAST.2020.327

about keeping the constitution for Finland, it is impossible to proceed from the modern understanding of the constitution. It is known that notions have different temporal layers the meaning of which is valid for different periods [12]. For this reason, the promise to save the constitution must be interpreted from the idea that Alexander I himself had. We agree with D.V. Timofeev that for Alexander I the constitution was such a form of relationship with the society (in this case with the Finnish people) in which the effectiveness of governance increased without limiting the powers of the monarch [26]. Increasing effectiveness is understood as a special management order established in the Grand Duchy of Finland different from the current system in the Russian Empire. The executive power was realized by the Government Council renamed into the Imperial Finnish Senate later. The formal head of the Senate was the governor-general; however, this position was largely nominal throughout the XIX century. This post was combined with other state duties for a long time and the governor-general himself was in St. Petersburg periodically visiting Helsingfors (A.A. Zakraevsky combined both the post of the governor-general and Minister of home affairs and A.S. Menshikov ruled the Admiralty [16]). The Senate was bicameral being both the highest judicial and executive branch [8]. The Seim was to be the legislative authority; however, it began to work only in 1863 after the reforms of Alexander II. The Committee on Finnish Affairs was created in St. Petersburg and the post of Minister State Secretary was established for a direct report to the emperor. Finland had autonomous customs (customs tariff and customs border), banking, tax, and monetary systems; the official language was Swedish and later Finnish [3]. This management order can be called “saving the constitution” but not keeping the Swedish laws of the XVIII century in vigor. In the terminology of the constitutional law, it is possible to say Alexander I octroyed (granted) the constitution to Finland. Having described the way the territories were annexed to the state, we shall pass over to the secession itself. The registration of the “separation” is connected with the way the area turned out to be a part of the state.

2.2 SEPARATION OF NORWAY FROM SWEDEN The separation of Norway from Sweden was a natural process that had been ripening since 1814 [19]. In the spring of 1905, the Norwegian Storting passed a new consular law but the Swedish monarch vetoed it. According to established rules, any orders of the Swedish King in Norway required countersigning by the Norwegian prime minister including a veto on the law [10]. However, in response to the veto, the entire government resigned that was not accepted by the King. The Storting regarded this refusal as a failure to perform legal duty and quitting of the union [1]. It was framed by the adoption of the declaration of independence by the Norwegian parliament on June 7, 1905. “Since all the members of the cabinet have resigned their positions; since His Majesty the King has declared his inability to obtain for the country a new government; and since the constitutional monarchy has ceased to exist, the Storting hereby authorizes the cabinet that resigned today to exercise the powers held by the King in accordance with the Constitution of Norway and relevant laws – with the amendments necessitated by the dissolution of the union with Sweden under one King, resulting from the fact that the King no longer functions as a Norwegian King” [22]. According to the Storting decision, the powers of the king were transferred to the Norwegian government. It was the beginning of the separation between Norway and Sweden. The negotiations between the two countries began.

Yuriy V. Ginzburg

2.3 THE INDEPENDENCE OF NORWAY Sweden was looking for ways to prevent secession. During the negotiations in Norway, a referendum about proclaiming Norwegian independence was initiated and its results demonstrated that the population completely supported Norwegian authorities: 386 thousand people voted for independence, 184 were against. The negotiations between countries were about to fail. The sides were preparing for possible military opposition [21]. In this situation, Denmark, France, and Russia reported the necessity of peaceful settling this question. It resulted in signing the Karlstad Treaty about quitting the union in October 1905. On 26 October, this agreement was approved by the Swedish parliament and the King abdicated the Norwegian throne. Russia was the first state to admit the independence of Norway on 29 October 1905. The question about the form of future government became one of the problems of independent Norway. It is worth mentioning that another referendum was held in Norway in November where this issue was decided. Most voted to preserve the monarchy. The son of the Danish King Karl who received the name Haakon VII at the coronation was invited to the Norwegian throne. The preservation of the monarchy helped to strengthen the international authority of the Norwegian state not only in relation to its closest neighbor Denmark but also with Great Britain since the wife of the Danish prince Karl was the English princess Maud. Norway finally gained international recognition after signing the Treaty respecting the Independence and Territorial Integrity of Norway (signed at Christiania) by Russia, Germany, Great Britain, and France in 1907. The main reason for Norway's separation was its rapid economic development in the XIX and early XX centuries leading to the national regulation of foreign economic policy. But the success of separation can be explained by international support thanks to the choice of the government form provided dynastic ties with the closest neighbors. The example of Norway is of interest in terms of the constitutional regulation of separation. As a rule, if the territory is successfully separated from the mother state then sovereignty is formalized by the adoption of the constitution. In Norway, the Constitution, adopted in 1814, remains in force. But despite the fact the independence condition was in the Constitution from the very beginning, in fact, the country became completely independent only one hundred years later. The Norwegian Constitution is not only a legal act but thanks to its rich history it turned into a national symbol [9]. Finland peacefully coexisted as a part of the Russian Empire unlike other annexed territories [6]. This can be explained by several factors. Before joining Russia, Finland was not a sovereign state. According to researchers in the Finnish language, there was not even a term denoting a state at the beginning of the XIX century [15]. In addition to it, Russia did not take any active steps to intervene in the internal affairs of Finland. However, the situation changed when Alexander III became the Emperor and tried to unify the system of public administration in the country. Many issues were removed from the Seim and submitted to the State Council, governor-generals ceased to be nominal figures. The activity of N.I. Bobrikov as the governor-general of the Grand Duchy of Finland deserves special attention. During his short tenure, he made a lot of efforts to implement the imperial manifesto of February 3, 1899, according to which legal acts on general imperial issues (army, monetary system, customs, and state language) were adopted without taking into account the opinions of the Seim and Senate. This led to the policy of russification of Finland and caused N.I. Bobrikov's murder *Corresponding author (Yuriy V. Ginzburg). Tel: +79508710684 Email: yuginzbyrg@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16R http://TUENGR.COM/V11B/11A16R.pdf DOI: 10.14/ITJEMAST.2020.327

by Finnish nationalists [2].

2.4 THE INDEPENDENCE OF FINLAND Finnish secession from the Russian Empire was on the agenda in 1917 after Nikolai II abdicated from the throne. The Russian Emperor was also the Grand Duke of Finland owning the supreme power in Finland. The Emperor’s personality was used to connect Finland to Russia. After the Emperor was deprived of power and accordingly lost the status of the Grand Duke, the question arose of who owned the supreme power in Finland. The Provisional Government considered this power to be transferred to it together with the right that the monarch used to have until the convocation of the Constituent Assembly. To support this view reference was made to the administrative law of France and transfer of power after the abdication of the king. Russian representatives tried to delay the final solution of the Finnish question until the convening of the Constituent Assembly. In their turn assessing the political and military situation, Finnish diplomats proposed to solve this issue in a different way and conclude a state agreement according to which Finland was recognized as an independent state is in an indissoluble union with Russia [20]. During the spring and autumn of 1917, diplomatic negotiations about the status of Finland were held between the representatives of the country and the Provisional Government. Due to political and military problems, Russian authorities had to make concessions not to lose Finland completely. At that time Finland was also shaken by political crises. On 18 July, the Seim was dissolved and new elections were called. On 20 October, the Seim was newly convened. But on 25 October, the October Revolution took place in Russia already. The Bolsheviks who came to power had repeatedly argued for the right of the nations forming the Russian Empire for free separation and independence [20]. After the adoption of the Declaration of Rights of Peoples on the 14th of November, the Finnish Seim assumed the supreme power and formed the government [20]. On the 23rd of November, the Finnish Senate filed a declaration of independence with the people of Finland. The text of the document repeatedly emphasizes the necessity to recognize the independence of Finland both on the part of the Russian people and the international community “... to achieve international recognition of the state independence of our country”. It is noteworthy that the appeal to the international community on the recognition of independence occurred a day earlier on the 22 nd of November. European states, primarily Germany, refused to recognize the independence of Finland before Russia did it. Preparatory negotiations with the Bolshevik government began and a special role in them was played by the Finnish Social Democratic Labor Party. On 16 December 1917, the Chairman of the Government of Finland addressed the Council of People's Commissars “with a request for recognition of Finland's independence whose proclaiming was the duty of the Seim and the Government to Finnish people” [20]. On the 18th of December, the Council of People's Commissars issued a decree recognizing the state independence of the Republic of Finland (The decree on state independence of Finland. Russia and Finland, 176p).

3 HISTORICAL EXPERIENCE Historical experience shows that the registration of secessions is determined by different factors in many respects. The most important are legal relations between the separating territory and the state and the level of legal culture. Before annexing Sweden, Norway had its own statehood and constitution. Both accession and secession from Sweden were formalized by constitutional

Yuriy V. Ginzburg

amendments. The rest of the acts adopted on the issue of secession in Norway were of a preparatory or secondary nature. Finland actually did not have its own statehood at the time of accession to the Russian Empire. The Finnish state and all its attributes matured as a part of the Russian Empire. For this reason, only the Finnish government's declaration of independence was not enough and international recognition, primarily from Russia, was necessary.

4 CONCLUSION From the review of two countries' ways of proclaiming independence, it is possible to state that both Norway and Finland had the same result: they became sovereign states that received recognition of the international community. For both the territories the same factors stimulated onto the “secession way” can be distinguished. These factors are – separate territory included in another state through the military force, – predominantly monoethnic population of these territories, the absence of inner contradictions, – the absence of a distinct economic dependence on a mother state, and – a favorable international environment when it became possible to implement plans for the declaration of independence. Both the states' way of gaining independence was also similar and it consisted of fighting not on the battlefields but in the offices and at the negotiation tables. The turbulent XX century demonstrated the possibility of a relatively peaceful secession of territories. Historical experience has been observed. The peaceful separation of Norway from Sweden proceeded because of gradual defending independence with legal ways during the XIX century. Secession became an objective process of constitutional development in both Norway and Sweden. The Finnish experience can be considered peaceful conditionally as twenty years later the Soviet-Finnish war followed. The peaceful nature of the secession is determined not by the objective reasons but by the inability of Russia to oppose the separation of territories in the conditions of world war and revolutions. The analysis of gaining independence by the two countries demonstrates the possibility of a peaceful secession in case of the gradual implementation of constitutional reforms.

5 AVAILABILITY OF DATA AND MATERIAL Information regarding this study is available by contacting the corresponding author.

6 ACKNOWLEDGEMENT The study is supported by the Russian Foundation for Basic Research (RFBR), Grant 20-01100418 “Theoretical basis of legal mechanisms for secession prevention”.

7 REFERENCES [1] Anderson I. History of Sweden. Moscow, 1951. 375p. [2] Borodkin M. M. From the modern history of Finland. N.I. Bobrikov's tenure. St. Petersburg, 1905. [3] Borodkin M.M. A Brief History of Finland. St. Petersburg, 1911. [4] Borodkin M.M. History of Finland. The time of Emperor Alexander I. St. Petersburg, 1909. [5] Danielsen R., Durvik S., Grönli T., Helle K., Hovlann E. History of Norway. From Vikings to the present. Moscow, 2003. Pp. 233-242. *Corresponding author (Yuriy V. Ginzburg). Tel: +79508710684 Email: yuginzbyrg@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16R http://TUENGR.COM/V11B/11A16R.pdf DOI: 10.14/ITJEMAST.2020.327

[6] Ginzburg Yu.V., Khashchina E.E. Separation of Poland and Finland from Russia: historical and legal aspects. Historical and legal problems: A new perspective. 2019.No 2.P. 123-136. [7] Holmøyvik, Eirik. Constituent Power and Constitutionalism in 19th Century Norway // Reconsidering Constitutional Formation II Decisive Constitutional Normativity. Cham: Springer Nature, 2018. pp 275-310. http://library.oapen.org/handle/20.500.12657/28089 [8] Ilyina T. N. Evolution of the judicial functions of the Senate as the highest judicial body in Russia in the 18th century // Historical and Legal Problems. A new angle. Vol. 14.2015. [9] Isaev M. A. Modernization of the constitution. Experience of Norway // State and Law. 2013. No. 6. Pp. 103-111. [10] Isaev M. A. Reasons and political form of termination of the Swedish-Norwegian union // Polis. Political research. 2005. No. 6. P. 142. [11] Kasiyan A.S. Russia and Norway: the establishment of diplomatic relations. Abstract of the dissertation of the historical sciences candidate. Moscow, 2009.P. 19 [12] Kozellek R. On the issue of temporal structures in the historical development of notions / History of notions, history of discourse, history of mentality: Collection of Articles / Ed. Hans Bedecker. Moscow, 2010, 25p. [13] Miall, H. The peacemakers: Peaceful settlement of disputes since 1945. Palgrave Macmillan; 1992. [14] Michalsen, Dag. Law and Politics in Swedish-Norwegian Union Law, 1814-1905 – an Elegy // Rechtsgeschichte - Legal History. 19. 2011. P. 217-219. [15] Novikova I.N. Special state or province of the empire: Russian lawyers about the state-legal status of Finland // St. Petersburg and the countries of Northern Europe. 2002. No. 3. P. 126. [16] Novikova I.N. The Grand Duchy of Finland in the imperial policy of Russia // The imperial system of Russia in the regional dimension (XIX - early XX century). Moscow, 1997. [17] Peace Treaty between His Majesty the King of Sweden and the Kingdom of Sweden on the one hand and His Majesty the King of Denmark and the Kingdom of Denmark on the other hand, the Treaty of Kiel of 14 January 1814. URL: https://web.archive.org/web/20120217094341/http://hem.passagen.se/klas.hasselstig/w_tryck/fred18 14.html [18]

Popov F.A. Geography of secessionism in the modern world. Мoscow, 2012.

[19]

Raymond E. Lindgren. Norway-Sweden: Union, Disunion, and Scandinavian Integration. 1959.

[20] Russia and Finland: from confrontation to peace. 1917-1920: a collection of documents. / comp. Zelenov M.V. Moscow, 2017.P. 59 [21] Sadova L.V. The Swedish-Norwegian conflict of 1905 in reports to St. Petersburg of Russian military agents (based on the materials of the Russian State Military Historical Archive) // St. Petersburg and the countries of Northern Europe. 2004. No. 5. Pp. 106-115. [22] Schweitzer Ch., Johansen J. To Prevent Or Stop Wars. What Can Peace Movement Do? 2016. P. 21. [23] The Constitution of the Kingdom of Norway. Christiania: Printed by Jacob Lehmann,1814. http://en.wikisource.org/wiki/Constitution_of_Norway_(Unamended) [24] The manifest on the conclusion of peace between Russia and Sweden (with the application of the Treaty of Hamina, September 5/17, 1809) // CCLRE. The first collection. Volume 30. 1808-1809. St. Petersburg, 1830. No.23883. [25] The manifest on the conquest of Swedish Finland and its accession forever to Russia // Complete collection of laws of the Russian Empire (CCLRE). The first collection. Volume 30. 1808-1809. St.

Yuriy V. Ginzburg

Petersburg, 1830. No.22911. [26] Timofeev D.V. The notion of “constitution” in Russia in the first quarter of XIX century // Social Sciences and the Present. 2007. No. 1. P. 120. [27] Writing Democracy: the Norwegian Constitution, 1814-2014 / edited by Karen Gammelgaard and Eirik Holmøyvik. New York: Berghahn, 2015. P. 13. Yuri Ginzburg is an Associate Professor of the Department of Financial and Business Law at Kursk State University, a research associate at the Federal center for educational legislation. He holds a Ph.D. in law. His sphere of scientific interest includes issues of constitutional law and financing activities of the state.

*Corresponding author (Yuriy V. Ginzburg). Tel: +79508710684 Email: yuginzbyrg@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16R http://TUENGR.COM/V11B/11A16R.pdf DOI: 10.14/ITJEMAST.2020.327

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

PAPER ID: 11A16S

EFFECTS OF LUXURY BRAND AUTHENTICITY ON PURCHASE INTENTION: AN EMPIRICAL INVESTIGATION AMONG SAUDI ARABIAN CUSTOMERS Soad Abdullah Al-Meshal

, Ghada Ahmed ALdrees , Haseebullah

, Fozi Ali Belhaj

Department of Marketing, College of Business, King Saud University, Riyadh, SAUDI ARABIA. Customer Experience Measurement Department, Ministry of Culture, SAUDI ARABIA. 3 Faculty of Business Studies, Arab Open University, Riyadh, SAUDI ARABIA. 2

ARTICLEINFO

A B S T RA C T

Article history: Received 20 July 2020 Received in revised form 05 September 2020 Accepted 23 September 2020 Available online 28 September 2020

This research investigated the effects of luxury brand authenticity on purchase intentions. An empirical investigation was conducted. A total of 184 respondent’s data were considered. Data were collected by utilizing different social media channels. These responses were validated and considered after initial screening. Constructs of the study were luxury brand authenticity, perceived value, social influence, and purchase intention. A total of five hypotheses were tested by using the Statistical Package for Social Sciences (SPSS). Results of the study show a significant relationship among the considered constructs. Such as brand authenticity and purchase intention, brand authenticity and perceived value, perceived value and social influence, social influence, and purchase intentions were found significant.

Keywords: Luxury brands, Saudi Arabia, Authenticity, Purchase intention; Social influence, Perceived value; Customer’s behavior.

1. INTRODUCTION Luxurious market growth has increased interest among researchers globally. Apart from the global increase, in recent year’s specific goods economy-based countries such as India, China, and some Gulf countries increased the growth of the luxury market (Kim & Ko, 2012). Relevant field consisting of lacking the studies in the previous years; however, some recent studies have seen a growth of luxurious marketing and services in different disciplines, which cover the research academically and practically (Berthon et al., 2009). Therefore, this study fills and provides more studied results. According to Keller (2009), any luxury brands have at-least ten characteristics, that maintaining an image, creation intangible brand associations, should be of good quality, must have identification such as “logos”, must have symbols, well packaged, secondary associations from linked *Corresponding author (Haseebullah). Email: haseebullah5@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16S http://TUENGR.COM/V11B/11A16S.pdf DOI: 10.14/ITJEMAST.2020.328

personalities, different events, global access, controlled distribution, unique and justified strategy for pricing, carefully managed brand architecture, competitors broadly defined, and the protection of legal trademarks. This definition was chosen based on covering all the attributes and characteristics. This study was conducted in Saudi Arabia. Demographically it is a huge country where the literacy ratio among the locals is high. Although Saudi Arabia is in its developing stage but still managing to maintain a high literacy ratio. According to GAS (2020), the total population of the country is (34.18) Million males/females. Survival in Saudi Arabia is not that challenging; people either are doing jobs or holding personal business. The especially new generation is more into entrepreneurial, this can be seen in the outskirt of the big cities on entry and exit points where they install the stalls of their businesses (Entrepreneur Middle East, 2019). Mostly local people are wealthy and surviving in easy manners. Young people are more technology-oriented and loved to be a part of it always. However, old and middle-aged people are not that familiar with technology but have familiarity with technology and loved to be a part of it somehow (GAS, 2020).

2. LITERATURE REVIEW 2.1 EVOLUTION OF AUTHENTICITY Perhaps the ultimate indicator of authenticity has paradoxically come through the internet. Blackshaw (2008) notes that authenticity in marketing and advertising any good or service ‘is an especially important driver of credibility in the digital age, where consumers have more tools at their disposal to prove or disprove what is real and true’ (ibid. p.51). The author notes that bloggers and the advent of mobile devices connected to the internet now make information and opinion on firms and brands and their statements as well as advertising. There is now global transparency that places even a higher premium on authenticity, as consumers grow cynical about claims of advertising and brands, although Hansen and Wänke’s (2011) claim that luxury brands’ products are couched in more abstract terms than standard brands seems to belie this assertion. Nevertheless, technology does allow consumer greater comparison of products and services, and there is indeed information on the claims to authenticity, particularly iconic cues. This is an era of global marketing where new consumers are adopting international brands to reflect their new status; however, there is also a far greater opportunity for new entrants to change the nature of luxury and the meaning of consumption.

2.2 BRAND AUTHENTICITY AND PURCHASE INTENTION Indexicality and iconicity, as aspects of authenticity, were introduced by Mick (1986) and Peirce (1998), and further developed by others (Kingston 1999; Grayson & Martinec 2004; Liu et al., 2017). Indexical authenticity is used when the features or cues of the market offers are related to ‘the real thing’. These features or cues distinguish ‘the real thing’ from a copy (Grayson & Martinec 2004. However, iconic authenticity refers to similarity, or a symbol or imitation of the genuine product or experience (Grayson & Martinec 2004; Liu et al., 2017). In this sense, fake brand-name bags are considered to be iconicity authentic. There are three conditions for assessing indexicality and iconicity: 1) truth and deceit, i.e. brand-name bags should be stated as such just as imitations should be stated as such; 2) that there is no inherent contradiction between the two, is clear when a market offering is indexically authentic and when it is iconically authentic ; 3) that authenticity evaluation depends on a specific context i.e. an Italian restaurant may not be considered as being authentic if its menu is replete of Indian food (Grayson & Martinec, 2004).

Soad Abdullah Al-Meshal, Ghada Ahmed ALdrees, Haseebullah, Fozi Ali Belhaj

However, consumers struggle to differentiate between the ‘real’ and ‘fake’ in postmodern markets (Napoli et al., 2014; Pecot et al., 2018). Throughout the literature, authenticity has historically transcended the self and the market (Fine, 2003; Kozinets, 2002; Thompson et al., 2006; Napoli et al., 2014). However, recent consumer research identifies the consumers attribute authenticity to brands (Napoli et al., 2014). To link brand authenticity with purchase intentions several past studies linked them (Lehman et al, 2019; McIntosh & Prentice 1999), specifically however earlier studies examine purchase intention (Ercis et al., 2007; Hoong, 2011;). The impact on the individual’s action and brand consumption have been researched widely and the studies show that the purchase intention having a positive influence on individual aspects and brand consumption (Schlosser et al., 2006; Yoo and Lee, 2009). Purchase intention is defined in the study of Fishbein and Ajzen (1975), as “a person’s location on a subjective probability dimension involving a relation between himself and some action”. However, consumer behavior has not been predicted by consumer attitudes and behavioral intentions (Belk, 1985). In other words, their evaluation process might be affected by products’ alternatives, brand, timing, store atmosphere, payment method, and so on (Hoong, 2011). Thus, this study considered the hypothesis. H1: There is a significant relationship between counterfeit brand authenticity and purchase intention

2.3 BRAND AUTHENTICITY AND PERCEIVED VALUE For luxury brands, Kapferer and Bastien (2009) note the proliferation of new consumer perceptions regarding luxury, not the least of which is the emergence of the internet and the devices by which it can be accessed. There is an issue with classic marketing techniques for elite brands and the difficulty the owners have in maintaining an image, desirability, and a premium price. Zara and Mango remain profitable in the accessible fashion market. ‘The codes of luxury are cultural, in as much as the luxury brand lies at the confluence between culture and social success. money is not a measure of taste. This is why the luxury brand must first encode social distinction’ (ibid. p.311). According to Yu et al. (2011), perceived value pertains to the determinants of customer choice and decisions in retailing. Value is generally defined as that which pertains to the consumers’ assessment of the overall use/utility of a product based mainly on the perceptions of what is obtained as well as what is given by the customers (El-Adly, 2019; Eid, 2015; Melsen, 2010; Zeithaml, 1988). Thus, the perceived value, in essence, is that which comprises both of the perceived quality for a product or service (the ‘get’ component) and the perceived price for a product or service (the ‘give’ component) (Melsen, 2010; Eid, 2015). The author also emphasized that the ‘get’ component mainly includes specific product attributes as well as high-level abstractions like convenience (Melsen, 2010; Eid, 2015; El-Adly, 2019). Several studies examined the direct link between brand authenticity and perceived value (Hernandez-Fernandez & Lewis, 2019). By developing a conceptual model, the authors hypothesized that brand authenticity has a positive effect on perceived value. In earlier studies these dimensions have been identified and verified, adding to the credibility of this modern research (Hernandez-Fernandez & Lewis, 2019). Thus, this study considered the hypothesis, H2a: There is a significant relationship between counterfeit brand authenticity and perceived value.

2.4 PERCEIVED VALUE AND PURCHASE INTENTION Moreover, Caruana et al. (2000) emphasize the link between the concept of perceived value and *Corresponding author (Haseebullah). Email: haseebullah5@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16S http://TUENGR.COM/V11B/11A16S.pdf DOI: 10.14/ITJEMAST.2020.328

the utility theory. According to Lancaster (1971), the utility theory provides the main theoretical basis for the ‘value construct’ as this approach emphasizes the fact that consumers do not very often buy services for their sake or based solely on one aspect of reasoning. Consumers purchase as triggered by a bundle of different attributes which together, represent, a specific level of ‘service quality’ which is being offered by the firm within a specific price level (Caruana et al., 2000). Therefore, customers derive their perceived value on the product or services they purchase or avail of in relation to the utility provided by such products and services, as dictated by the combination of attributes minus the ‘disutility’ that was represented by the paid final price (Caruana et al., 2000). In the context of services marketing, the concept of ‘value construct’ has admittedly, received very little attention. Nevertheless, when the concept of perceived value is tackled, it is always assumed that the perceived value of a product and the perceived value of service are similar or in other words, ‘analogous’ (Caruana et al., 2000; El-Adly, 2019). Several past studies considered perceived value and purchase intentions as antecedents and consequences for each other, however further studies are recommended by past studies such as (El-Adly, 2019; Peng et al., 2019). Thus, this study considered the hypothesis, H2b: There is a significant relationship between perceived value and purchase intention.

2.5 PERCEIVED VALUE AND SOCIAL INFLUENCE Perceived value is defined as “consumers’ overall assessment of the utility of a product (or service) based on perceptions of what is received and what is given” (Zeithaml, 1988), which reflects the trade-off between perceived benefit and perceived risk. Perceived benefit is related to the benefits users obtain from the products or services, while perceived risk refers to the costs incurred to obtain the products or services (Zeithaml, 1988; Wood and Scheer, 1996). Prior studies have shown that perceived value is a crucial construct in affecting user behavior in various contexts. Extant research revealed three dimensions of perceived benefits, including utilitarian value, hedonic value, and social value. In the social commerce context, values of utilitarian and hedonic are crucial for motivating user behavior; moreover, social value plays an important role in determining user behavior (Rintamäki et al., 2006). Thus, this study attempts to explore the effects of the two aspects of perceived value on purchase intention social influence. Sweeney and Soutar (2001) argued that users evaluate products and services not only by hedonic and utilitarian values (e.g. enjoyment and functional performance) but also by social value (i.e. social consequences). Social value is realized through the enhancement of status and self-esteem (Rintamäki et al., 2006). Social Influence in Purchasing occurs when individuals change their thoughts, feelings, or behaviors in response to their society or surroundings (Turner, 1991). Several times, it has been observed that people manipulate or modify their thoughts and actions to conform to other groups or society (Chen & Seock, 2002). Several studies considered the direct link of perceived value and social influences and suggest more investigation due to diversified culture and norms (Bagozzi et al., 2000; Hashimoto and Schug 2008; Thøgersen & Zhou, 2012). Thus, this study considered the hypothesis, H3a: There is a positive and significant relationship between perceived value and social influence.

Soad Abdullah Al-Meshal, Ghada Ahmed ALdrees, Haseebullah, Fozi Ali Belhaj

2.6 SOCIAL INFLUENCE AND PURCHASE INTENTION The impact of social influence on purchase intention of luxury goods or services was discussed and empirically supported by many authors (Vigneron and Johnson, 2004; Wiedmann et al.’s 2009). Wan et al. (2014) identified social influence (persuasion conformity), subjective norms, or peer pressure and it resulted from individual behavior or action that had been influenced by other people. Liu (2003) highlighted that consumers were basically will act and thought as same as their reference group no matter whether it comes from a positive side or negative thought. A social influence can impact a consumer actively or passively, further, an active social influence refers to tangible verbal or physical interactions that are both recognized and shared between two parties (i.e., actor(s) and the focal customer (Argo & Dahl, 2020). Social influence occurs when individuals change their thoughts, feelings, or behaviors in response to their society or surroundings (Turner, 1991). Several times, it has been observed that people manipulate or modify their thoughts and actions to conform to other groups or society (Chen & Seock, 2002). Its root lies in the concept of homophily which can be considered as the social dynamics in which individuals try to affiliate with others by displaying similar behavior. It may be considered as a salient factor in behavior studies because people seek social proof before trying a new product category (Thøgersen & Zhou, 2012). There are different perspectives related to social influence (Chen & Seock, 2002; Varshneya et al., 2017; Thøgersen & Zhou, 2012; Turner, 1991). Albeit the significance, not much research has been done to see the influence of social influence on purchase intention in collectivist societies (Varshneya et al., 2017), and required further investigation in diversified culture and societies. Therefore, we argue that brand authenticity will have a similar impact on purchase intention and suggested the following hypotheses. H3b: There is a significant relationship between social influence and purchase intention.

2.7 RESEARCH MODEL Based on the literature review and discussion on the relationship among the considered variables for this study, the following conceptual framework has been developed.

Figure 1: Proposed Model

3. METHODOLOGY Social media sources were used to obtain data from respondents. Data were collected from different age groups and genders with different demographic characteristics and behaviors. 184 data were collected from respondents. Link of the questionnaire was shared among the respondents through social media channels. *Corresponding author (Haseebullah). Email: haseebullah5@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16S http://TUENGR.COM/V11B/11A16S.pdf DOI: 10.14/ITJEMAST.2020.328

4. STUDY ANALYSIS The research is based on a questionnaire to collect the research data. The questionnaire was designed based on five Likert scales. Furthermore, the questionnaire was originally written in English: Social influence with three items adapted from Rizwan et al. (2014), Purchase Intention measured by four items scale, adapted from Barber et al. (2012) and Spears and Signh (2004), four items scale for perceived value adapted from Sweeney and Soutar (2001), and counterfeit brand authenticity scale with seventeen items adopted from Tran and Keng (2018). Table 1 shows all the constructs denotation with codes and items.

4.1 DESCRIPTIVE ANALYSIS Table 1 shows the descriptive analysis of the respondents, indicated that female respondents were higher as compared to male; which is 175 with 95.1%, meanwhile, the male respondents were only 9 with 4.9%. Table 1: Descriptive Analysis of Respondents (Note: 1USD = 3.75SR (Saudi Riyal)) Demographics Nationality Gender

Age

Education Level

Spending Trend

Monthly Income

Options Saudi Non-Saudi Male Female < 18 18-27 28-37 38-47 48-57 > 57 Diploma (college) degree Bachelor degree Master degree Ph.D. degree I spend nothing (0 SR) I spend 10000 SR per month I spend up to 20000 SR per month I spend more than > 20000 S.R Less than 5,000 SR 5,000 -9,999 SR 10,000-14,999 SR 15,000 -19,999 SR More than 20,000 SR

Frequency 173 11 9 175 1 35 49 51 43 5 48 121 13 2 88 85 11 0 56 39 40 23 26

Percent 94.0 6.0 4.9 95.1 0.5 19.0 26.6 27.7 23.4 2.7 26.1 65.8 7.1 1.1 47.8 46.2 6.0 0 30.4 21.2 21.7 12.5 14.1

4.2 RESULTS This study uses Cronbach's alpha for measuring reliability (Cronbach, 1951). Further, this test shows that all the items are equally fundamentally important for defining the main construct. The reliability value (Cronbach's alpha) should be greater than 0.70. Results of Cronbach’s alpha and composite reliability can be seen in Table 2. Table 2: Cronbach’s Alpha value. Variables Brand Authenticity Perceived Value Social Influence Purchase Intention

Cronbach’s Alpha value 0.825 0.812 0.818 0.882

Soad Abdullah Al-Meshal, Ghada Ahmed ALdrees, Haseebullah, Fozi Ali Belhaj

Table 3 gives the process mean and SD. All the values for mean and SD were considered as middle values. Based on Table 3 result, the research found all the values as middle to the mean level. Table 3: Means and SD. Research Variables Brand Authenticity Perceived Value Social Influence Purchase Intention

Mean 3.47 3.02 3.16 3.21

SD 0.52571 0.89652 0.84572 1.00278

Mean Level Middle Middle Middle Middle

Testing the correlation among considered hypotheses using Pearson correlation with 2-tailed significance, all the values for luxury brand authenticity, perceived value, social influence, and purchase intention, Table 4, fulfill the required and minimum criteria. Such as the values are significant at 0.01 levels, i.e., all the values <0.001. Table 4: Pearson correlation test for hypothesis (N = 184). Luxury Brand Authenticity

Variables Luxury Brand Authenticity Perceived value Social Influence Purchase intention

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

Perceived value

Social Influence

Purchase intention

1 .406** <.001 .502** <.001 .585** <.001

1 .463** <.001 .441** <.001

1 .630** <.001

**. Correlation is significant at the 0.01 level (2-tailed).

Table 5 shows the hypotheses results that all the values were found as significant (<0.001). Table 5: Hypotheses Results Variables H1: Luxury Brand Authenticity  Purchase intention H2a: Luxury Brand Authenticity  Perceived value H2b: Perceived value  Purchase intention H3a: Perceived value  Social influence H3b: Social influence  Purchase intention

T value 9.728 5.991 6.638 7.048 10.940

Sig. <0.001 <0.001 <0.001 <0.001 <0.001

Result Positive Positive Positive Positive Positive

5. CONCLUSION This study was conducted in Saudi Arabia. A total of five hypotheses were established. The study hypotheses include H1 linking between luxury brand authenticity and purchase intention, H2a linking between luxury brand authenticity and perceived value. H2b linking between perceived value and purchase intention. H3a, links between perceived value and social influence, whereas, H3b linking the association between social influence and purchase intention. All the considered hypotheses show significant relationships. This study provides insights for marketers and practitioners to effectively understand the customers’ behaviors. It also adds to the current literature on customer behavior by highlighting the impacts of perceived value and social influence on purchase intention. This study results *Corresponding author (Haseebullah). Email: haseebullah5@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16S http://TUENGR.COM/V11B/11A16S.pdf DOI: 10.14/ITJEMAST.2020.328

corroborate the findings in previous research (Argo & Dahl, 2020) and customer behavior (El-Adly, 2019; Peng et al., 2019). Other constructs can be considered as consequences of the studies such as customer patronage or customer loyalty, since purchase intention in this study could be for the time being, whereas early studies found that customer patronage is a long-term behavior.

6. AVAILABILITY OF DATA AND MATERIAL Information regarding this study is available by contacting the corresponding author.

7. ACKNOWLEDGEMENT The authors extend their appreciation to the Deanship of Scientific Research at King Saud University, for financing this study through the Research Center of College of Business Administration

8. REFERENCES Argo, J. J., & Dahl, D. W. (2020). Social Influence in the Retail Context: A Contemporary Review of the Literature. Journal of Retailing, 96(1), 25-39. Bagozzi, R. P., Wong, N., Abe, S., & Bergami, M. (2000). Cultural and situational contingencies and the theory of reasoned action: Application to fast food restaurant consumption. Journal of consumer psychology, 9(2), 97-106. Belk, R. W. (1985). Materialism: Trait aspects of living in the material world. Journal of Consumer research, 12(3), 265-280. Berthon, P., Pitt, L., Parent, M., & Berthon, J. P. (2009). Aesthetics and ephemerality: observing and preserving the luxury brand. California Management Review, 52(1), 45-66. Blackshaw, P. (2008). Satisfied customers tell three friends, angry customers tell 3,000: running a business in today's consumer-driven world. Currency. Caruana, A., Money, A.H. & Berthon, P.R. (2000). Service quality and satisfaction: the moderating role of value. Chen–Yu, J.H., & Seock, Y.K. (2002). Adolescents’ clothing purchase motivations, information sources, and store selection criteria: A comparison of male/female and impulse/nonimpulse shoppers. Family and Consumer Sciences Research Journal, 31(1), 50-77. Cronbach, L. J. (1951). Coefficient alpha and the internal structure of tests. Psychometrika, 16, 297-334. Eid, R.(2015). Integrating Muslim customer perceived value, satisfaction, loyalty, and retention in the tourism industry: An empirical study. International Journal of Tourism Research, 17(3), 249-260. El-Adly, M.I.(2019). Modeling the relationship between hotel perceived value, customer satisfaction, and customer loyalty. Journal of Retailing and Consumer Services, 50, 322-332. Fine, G.A.(2003). Crafting authenticity: The validation of identity in self-taught art. Theory and Society, 32(2), 153-180. Fishbein, Martin & Icek Ajzen (1975), Belief, Attitude, Intention and Behaviour: An Introduction to Theory and Research, Reading, MA: Addison-Wesley. GAS. (2020). Statistics of Kingdom Saudi Arabia 2020. General Authority for Statistics of KSA. http://www.my.gov.sa/wps/portal/snp/aboutksa/saudiReportsAndStatistics/!ut/p/z0/04_Sj9CPyk ssy0xPLMnMz0vMAfIjo8zivQIsTAwdDQz9LSw8XQ0CnT0s3JxDfA0MnA30g1Pz9AuyHRU B-uOoIw!! Grayson, K. & Martinec, R. (2004). Consumer perceptions of iconicity and indexicality and their influence on assessments of authentic market offerings. Journal of Consumer Research, 31(2), 296-312. Hansen, J. & Wänke, M. (2011). The abstractness of luxury. Journal of Economic Psychology, 32(5),

Soad Abdullah Al-Meshal, Ghada Ahmed ALdrees, Haseebullah, Fozi Ali Belhaj

789-796. Hernandez-Fernandez, A., & Lewis, M. C. (2019). Brand authenticity leads to perceived value and brand trust. European Journal of Management Business Economics, 28(3), 222-238. Hoong, C. Y., Jing, K. K., Yao, L. Z., & WE, S. C. (2011). Modeling Purchase Intention of Toyota Automobile Using SEM Technique. Kapferer, J.N. & Bastien, V. (2009). The specificity of luxury management: Turning marketing upside down. Journal of Brand Management, 16(5-6), 311-322. Kim, A. J., & Ko, E. (2012). Do social media marketing activities enhance customer equity? An empirical study of luxury fashion brands. Journal of Business Research, 65(10), 1480-1486. Kingston, S.(1999). The essential attitude: Authenticity in primitive art, ethnographic performances and museums. Journal of Material Culture, 4(3), 338-351 Kozinets, R.V. (2002). Can consumers escape the market? Emancipatory illuminations from burning man. Journal of Consumer Research, 29(1), 20-38. Lancaster, K., (1971). Consumer demand: A new approach. New York. Lehman, D.W., O’Connor, K., Kovács, B. & Newman, G.E. (2019). Authenticity. Academy of Management Annals, 13, 1:1-42. Liu, L. J. (2003). Enhancing sustainable development through developing green foods: China’s option. First Consume. Liu, M.T., Wong, I.A., Tseng, T.H., Chang, A.W.Y. & Phau, I. (2017). Applying consumer-based brand equity in luxury hotel branding. Journal of Business Research, 81, 192-202 McIntosh, A.J. & Prentice, R.C. (1999). Affirming Authenticity: Consuming cultural heritage. Annals of Tourism Research, 26(3), 589-612. Melsen, L. (2010). Generating customer value in the form of tourism products and services: a regional tourism enquiry. Mick, D.G. (986). Consumer research and semiotics: Exploring the morphology of signs, symbols, and significance. Journal of Consumer Research, 13(2),196-213. Napoli, J., Dickinson, S.J., Beverland, M.B. &Farrelly, F. (2014). Measuring consumer-based brand authenticity. Journal of Business Research, 67(6), 1090-1098. Pecot, F., Merchant, A., Valette-Florence, P., & De Barnier, V. (2018). Cognitive outcomes of brand heritage: A signaling perspective. Journal of Business Research, 85,304-316 Peirce, C.S. (1998). Collected Papers of Charles Sanders Peirce. 2. Peng, L., Zhang, W., Wang, X., & Liang, S. (2019). Moderating effects of time pressure on the relationship between perceived value and purchase intention in social E-commerce sales promotion. Information Management, 56(2), 317-328. Rintamäki, T., Kanto, A., Kuusela, H. & Spence, M.T. (2006). Decomposing the value of department store shopping into utilitarian, hedonic and social dimensions: evidence from Finland. International Journal of Retail & Distribution Management, 34(1), 6-24. Rizwan, M., Ali, A., Anjum, H., Naseer, M., Majeed, Z., Ali, M. A., & Anwar, A. (2014). Consumer’s purchase intention towards Counterfeit Mobile Phones. Journal of Public Administration and Governance, 4(3), 75-89. Schlosser, A. E., White, T. B., & Lloyd, S. M. (2006). Converting web site visitors into buyers: how web site investment increases consumer trusting beliefs and online purchase intentions. Journal of Marketing, 70(2), 133-148 Spears, N., & Singh, S. N. (2004). Measuring attitude toward the brand and purchase intentions. Journal of current issues & research in advertising, 26(2), 53-66. Sweeney, J.C. & Soutar, G.N. (2001). Consumer perceived value: the development of a multiple-item *Corresponding author (Haseebullah). Email: haseebullah5@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16S http://TUENGR.COM/V11B/11A16S.pdf DOI: 10.14/ITJEMAST.2020.328

scale. Journal of Retailing, 77(2), 203-220. Thøgersen, J., & Zhou, Y. (2012). Chinese consumers’ adoption of green innovation - the case of organic food. Journal of Marketing Management, 28(3-4), 313–333. Thompson, C.J., Rindfleisch, A. & Arsel, Z. (2006). Emotional branding and the strategic value of the doppelgänger brand image. Journal of Marketing, 70(1), 50-64. Tran, V & Keng, Ch. (2018). The Brand Authenticity Scale: Development and Validation. Contemporary Management Research, 14(4), 277-291. DOI: 10.7903/cmr.18581 Turner, J.C. (1991). Social influence. Bristol, USA: Thomson Brooks/Cole Publishing Co. Varshneya, G., Pandey, S. K., & Das, G. (2017). Impact of social influence and green consumption values on purchase intention of organic clothing: a study on collectivist developing economy. Global Business Review, 18(2), 478-492. Vigneron, F., & Johnson, L. W. (2004). Measuring perceptions of brand luxury. Journal of brand management, 11(6), 484-506. Wiedmann, T. (2009). A review of recent multi-region input-output models used for consumption-based emission and resource accounting. Ecological Economics, 69(2), 211-222. Wood, C.M. & Scheer, L.K. (1996). Incorporating perceived risk into models of consumer deal assessment and purchase intent. Advances in Consumer Research, 23(1), 399-404. Yoo, B., & Lee, S. H. (2009). Buy genuine luxury fashion products or counterfeits? ACR North American Advances, Vol.36, Eds. A.L. McGill and S. Shavitt, Duluth, MN: Association for Consumer Research, 280-286. Yu, U.J., Niehm, L.S. & Russell, D.W. (2011). Exploring perceived channel price, quality, and value as antecedents of channel choice and usage in multichannel shopping. Journal of Marketing Channels, 18(2), 79-102. Zeithaml, V.A.(1988). Consumer perceptions of price, quality, and value: a means-end model and synthesis of evidence. Journal of Marketing, 52(3), 2-22. Dr.Soad A. Al-Meshal is an Assistant Professor in Marketing at the College of Business Administration at King Saud University. She is the first who has PhD in Marketing in the GCC. She is a Consultant to Vice-Rector for Planning and Development, King Saud University, Saudi Arabia. Her research interests are in the areas of Customer Relationship Management, Interactive Marketing include Branding, e-Business, Retailing particularly in Franchising and Services Marketing.

Dr.Ghada Aldrees is Customer Experience Measurement Manager at the Ministry of Culture in Saudi Arabia She was an Assistant Professor at Princess Nora University. She holds a PhD in Marketing from Victoria University, Melbourne, Australia. Her research interests are in authenticity, luxury goods, COO, Acculturation, and CX.

Dr.Haseebullah is a Researcher in the Department of Marketing, College of Business Administration, King Saud University. He obtained his Master’s in Business Administration with majoring in Marketing from Pakistan. He got his PhD from University Technology Malaysia (UTM) and was nominated for the Best Thesis Writing Award. His research interest includes Services Marketing, Advertising, Consumer Behavior, Retailing.

Dr. Fozi Ali Belhaj is an Assistant Professor in Management at the Business Administration Department, Faculty of Business Studies, Arab Open University, KSA. He got a B.Sc. (Business Administration), from Aden University, Yemen, an MBA from Yarmouk University, Jordan, and a PhD (HRM) from Universiti Utara Malaysia, Malaysia. Dr. Fozi's research focuses on Management Aspects.

Soad Abdullah Al-Meshal, Ghada Ahmed ALdrees, Haseebullah, Fozi Ali Belhaj

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

PAPER ID: 11A16T

HISTOLOGICAL FEATURES OF ANGLO-NUBIAN GOATS' HEART VALVES Victor Khvatov 1

, Mikhail Shchipakin

Department of Animal Anatomy, Saint Petersburg State University of Veterinary Medicine, St. Petersburg, RUSSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 04 July 2020 Received in revised form 24 August 2020 Accepted 08 September 2020 Available online 29 September 2020

This study presents the histological features of the valvular apparatus of the heart of Anglo-Nubian goats. There were studying aortic semilunar valve, tricuspid valve, and morphometric data of its histological structures. As dated material, we used the hearts of Anglo-Nubian goats aged one year and older, obtained at slaughter from Gzhel Podvorie Farm in the Moscow, Russian Federation. A total of 10 animal corpses were examined, from which samples were taken by fine anatomical preparation in the form of one example of the cusp of the semilunar aortic valve and the tricuspid valve. For achieving this task, a complex of traditional histological methods and stains was used: Trichrome, according to Masson, toluidine blue, and Schiff-iodic acid, according to McManus. The Anglo-Nubian goat's semilunar heart valve's leaflets consist of aortic (fibrous), spongy (spongy), and ventricular layers. The aortic layer has formed by collagen and elastic fibers. The spongy layer has formed by loose small-cell connective tissue. The ventricular layer of the cusps of the semilunar aortic valve has also been formed by connective tissue and is much smaller than the aortic layer. The leaflets of the tricuspid heart valve of an Anglo-Nubian goat have formed by fibrous plates of dense high-celled fibrous connective tissue. In the spongy layer of which there are blood vessels of the mixed and muscleless type. The surfaces of the cusps of both valves had covered with endothelium. The obtained morphometric and histological data indicate the species and breed peculiarities of the heart of an Anglo-Nubian goat and the differences in the structure of the semilunar and atrioventricular valves at the micro-level.

Keywords: Aortic semilunar valve; Aortic layer; Morphometric data; Tricuspid valve; Ventricular layer; Leaflets.

1. INTRODUCTION The morphology of the heart's valvular apparatus in animals is currently a relevant and especially *Corresponding author (Victor Khvatov). Email: VictorKhvatov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16T http://TUENGR.COM/V11B/11A16T.pdf DOI: 10.14/ITJEMAST.2020.329

important area of the cardiovascular system's anatomy. Pathologies such as endocardiosis of the heart valves, stenosis of the valves, and their insufficiency, are often found in veterinary practice for working with agricultural and small domestic animals. The study of the morphology of the heart valves, namely their anatomy and histology, in animals in terms of species and breed expands the field of knowledge of veterinary cardiologists and allows you to select an individual approach to a particular animal the treatment of heart pathologies (Sabyarzyanova et al., 2019; Sergeev and Kovalev 2020). Anglo-Nubian goats in the Russian Federation and post-Soviet countries' agro-industrial complex breed in goat breeding. The combination of high productivity, quality of dairy products, and the taste of this breed of meat make Anglo-Nubian goats especially interesting for breeding (Nurushev et al., 2010; Sergeev et al., 2019). The semilunar valve in farm animals' hearts has located in the aorta's orifices and the pulmonary trunk. Each valve consists of three cusps. In the aorta's semilunar valves, they are called septal, right and left, and in the pulmonary trunk's semilunar valves - intermediate, right, and left (Kuga 2012). Atrioventricular valves, in turn, are divided into bicuspid, which consists of parietal and septal cusps, and tricuspid, to which of the above is added an angular cusp. Both valves in agricultural and small domestic animals are located between the atria and ventricles of the heart's right and left chambers (Pomanskaya 2008; Prusakov et al., 2015). The leaflets of all four heart valves in domestic animals develop from endocardial cushions formed during the endothelium conversion to the mesenchyme (Spicer et al., 2014). In adults, the semilunar and atrioventricular valves' cusps contain connective tissue, including dense fibrous formed and loose fibrous unformed tissue. During a histological examination, fibroblasts and collagen fibers were found in the interstitial substance, and in the space between them, endotheliocytes are traced (Lobko and Rombalskaya 2010; Kozlovskaya 2014). In the studies of domestic and foreign authors, it had found that the basis of the cusps of the heart valves is dense connective tissue, from the side of the atria or orifices of the aorta and the pulmonary trunk, elastic fibers prevail in it, and from the side of the ventricles - collagen fibers (Fletcher and Weber 2013; Kilany et al., 2019). Xanthos et al., (2011) also indicate that the valve cusps are covered with endothelium and do not contain blood vessels. After analyzing the available literature, we did not find a sufficient amount of information on the histology of heart valves in farm animals, particularly in small ruminants. The purpose of this work was to study features of heart valves histological structure of the Anglo-Nubian breed goat using for example tricuspid valve and semilunar aortic valve. And to establish the morphometric parameters of the histological structures of this area.

2. MATERIALS AND METHODS The study's material was the carcasses of goats of the Anglo-Nubian breed older than one year, obtained during slaughter from Gzhel Podvorie farm, Moscow, Russian Federation. For conducting the histological examination of the heart structures, the material was taken from

Victor Khvatov, Mikhail Shchipakin

Anglo-Nubian goats' fresh hearts using fine anatomical preparation. There were studying a total of 10 samples of the semilunar aortic valve and 10 samples of the tricuspid heart valve of the Anglo-Nubian goat. The material was fixed in a 10% solution of neutral formalin for 24 hours (Gushchin and Muzhikyan 2014), after which it was embedding in paraffin according to the standard technique (Muzhikyan et al., 2014). Then sections with a thickness of 3-5 μm were made, which were staining with hematoxylin and eosin. Some of the sections were stained with Trichrome according to Masson, to luidine blue, Schiff-iodic acid, according to McManus. The histological preparations analysis was carried out using a CarlZeiss Axioskop 2 Plus light-optical microscope (Germany) at a magnification of 40, 100, 400, 1000. Microphotography was performed using a CarlZeissAxioCam ERc5s digital camera (Germany) and AxioVision 4.8 software. Morphometric measurements were performed manually using the AxioVision 4.8 software, ImageJ (Germany). The variational-statistical processing of the research results was from using Excel and Statistika 6.0 (Statsoft, USA) with the calculation of the arithmetic mean and its standard error (M ± m). In the statistical analysis of the data obtained, Student's t-test was used for independent samples, while the differences were considered significant at p <0.05. All anatomical and histological terms correspond to the "International Veterinary Anatomical Nomenclature" and "International histological nomenclature" (Semchenko et al., 1999; Zelenevsky 2013).

3. RESULT AND DISCUSSION The Anglo-Nubian goat breed's semilunar heart valve's valves have a typical histological structure containing aortic (fibrous), spongy (spongy), and ventricular layers. Hill and Iaizzo (2015) point out that the valve cusps in humans consist of two layers surrounded by endothelial cells, which contradicts this study results. At the base of each valve leaflet, the annulus fibrosus and myocardium structures, containing groups of cardiomyocytes of the cardiac conduction system, are revealed. The aortic (fibrous) layer is formed by densely intertwined, predominantly longitudinally oriented collagen and elastic fibers. The thickness of the fibrous layer varies within 150-200 microns and averages 162.8 ± 26.6 microns. The spongy (spongy) layer is represented mainly by loose, few-celled connective tissue containing abundant extracellular matrix deposits in glycosaminoglycans. The spongy layer's thickness varies from 200-400 µm at the base and up to 50-90 µm closer to the distal part. The ventricular layer of the cusps of the aortic semilunar valve of the Anglo-Nubian goat is also formed by connective tissue, and multiple undulating folds are formed. This layer of the studied valve's leaflets is relatively thinner than the aortic; D.E. obtained the same results in his studies (Borgarelli et al., 2011; Weerd and Christoffels 2016). The valve's ventricular layer's thickness varies in the range of 90-140 microns and averages 125.1 ± 14.4 microns in the studied animals. *Corresponding author (Victor Khvatov). Email: VictorKhvatov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16T http://TUENGR.COM/V11B/11A16T.pdf DOI: 10.14/ITJEMAST.2020.329

The surface of the valve leaflets is covered throughout by a single layer of endothelium. The endotheliocytes covering the aortic layer were characterized by larger oval and rounded, often closely spaced moderately hyperchromic nuclei. In contrast, the nuclei of endotheliocytes lining the aortic surface were predominantly flattened.

Figure 1: Semilunar valve, scanned histological sections stained with hematoxylin-eosin (A), and Masson's trichrome (B). Abbreviations: AS - aortic side; ZhS - ventricular side; F - fibrous (aortic) layer; G - spongy (spongy) layer; Zh - ventricular layer; M - myocardium.

Figure 2: Semilunar valve, aortic (fibrous) layer. Endothelial cells are marked with arrows. Hematoxylin-eosin staining. x400

Victor Khvatov, Mikhail Shchipakin

Figure 3: Semilunar valve, aortic (fibrous) layer. Collagen fibers are colored blue. Masson's trichrome staining. x400

Figure 4: Semilunar valve, ventricular (ventricular) layer. Endothelial cells are marked with arrows. Hematoxylin-eosin staining. x400

Figure 5: Semilunar valve, ventricular (ventricular) layer. Collagen fibers are colored blue. Masson's trichrome staining. x400

Figure 6: Semilunar valve, cancellous (cancellous) layer. There is an accumulation of glycosaminoglycans in the extracellular matrix (arrow). Masson's trichrome staining. x400

Figure 7: Semilunar valve, the myocardium at the base of the valve, contains the conduction system's cells with a characteristic morphology (arrow). Hematoxylin-eosin staining. x400

Thus, the large and small diameters of the endothelial nucleus of the ventricular part of the valve leaflets are on average 7.2 ± 1.0 µm and 3.2 ± 0.3 µm. In the aortic part, 7.7 ± 1.0 μm and 5.6 ± 0.6 μm, respectively. The thickness of the subendothelial layer on the ventricular and aortic surfaces is on average 12.4 ± 1.5 µm and 13.7 ± 1.9 µm, respectively. The leaflets of the tricuspid heart valve of an Anglo-Nubian goat are formed by fibrous plates of dense high-celled fibrous connective tissue. The atrial side has a smooth surface, while the ventricular side is characterized by high outgrowths from which tendon filaments begin. The spongy layer of the valve leaflets is formed by loose, loose connective tissue rich in glycosaminoglycans in the intercellular substance, which had characteristic metachromatic staining when stained with toluidine blue. Perez et al. (2018) indicate that the aortic layer consists of spongy tissue containing collagen fibers, histiocytes, and fibrocytes, and the ventricular layer is made of fibrous tissue. It is noteworthy that in the composition of the spongy layer of the tricuspid valve heart valves of the Anglo-Nubian goat, both small and enormous dilated blood vessels of the mixed and muscular type are revealed. When carrying out morphometric measurements, it was found that the thickness of the atrial layer is 180.6 ± 21.0 μm, that of the ventricular layer is 134.8 ± 19.6 μm, and that of the *Corresponding author (Victor Khvatov). Email: VictorKhvatov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16T http://TUENGR.COM/V11B/11A16T.pdf DOI: 10.14/ITJEMAST.2020.329

spongy layer is 294 ± 55.4 μm. The surface of the valve leaflets is covered throughout the entire length with one layer of endothelial cells, sometimes overlapping and forming "tiled" layers, which do not have pronounced differences on the atrial and ventricular surfaces. The nuclei of cells are oval, elongated, less often rounded. The large and small diameter of the endothelial cell nucleus averages 9.5 ± 0.8 μm and 4.7 ± 0.4 μm.

Figure 8: Tricuspid valve, scanned histological sections stained with Masson's trichrome (A), and toluidine blue (B). Legend: PS - atrial side; ZhS - ventricular side; P - atrial layer; G - spongy (spongy) layer; Zh - ventricular layer. Arrows indicate blood vessels.

Figure 9: Tricuspid valve. In the spongy layer, closer to the atrial side of the valve, large blood vessels are visualized (arrow). Hematoxylin-eosin staining. Magnification x100

Victor Khvatov, Mikhail Shchipakin

Figure 10: Tricuspid valve. In the spongy layer, closer to the atrial side of the valve, large blood vessels (muscleless type) are visualized. Hematoxylin-eosin staining. Magnification x100

Figure 11: Tricuspid valve. In the spongy layer, the accumulation of glycosaminoglycans in the extracellular matrix is noted (arrow). Hematoxylin-eosin staining. Magnification x100

Figure 12: Tricuspid valve. Accumulation of glycosaminoglycans in the spongy layer with characteristic metachromatic staining (arrow). Toluidine blue staining. Magnification x100

The thickness of the subendothelial layer in the atrial and ventricular surfaces is on average 15.5 ± 2.3 µm and 16.9 ± 1.8 µm, respectively. Research by Tarasevich and Ryadinskaya (2020), Ateş et al., Emam, and Abugherin (2019) do not contradict our results.

4. CONCLUSION From this result, we found that the Anglo-Nubian goat breed's heart valves have a typical histological structure for this species and consist of three layers: fibrous, spongy, and ventricular. There was determined the morphometric data of the heart valves' histological structures. It can be concluded that the ventricular layer of the semilunar aortic valve's cusps is significantly inferior in thickness to the aortic one. We have established that the atrial side of the tricuspid valve cusps of the Anglo-Nubian goat has a smooth surface. The ventricular side is characterized by the presence of high outgrowths from which tendon filaments originate. The presence of blood vessels of mixed and nonmuscular types in the spongy layer of the tricuspid valve leaflets was found, which contradicts domestic and foreign authors' literature data and is an open issue for discussion research. The data obtained are especially important for domestic and foreign morphologists. They can be used in scientific research for a comparative nature. The research results expand the database on the morphology of farm animals' hearts and can also be the basis for the certification of the Anglo-Nubian goat breed in the Russian Federation.

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

6. ACKNOWLEDGEMENT The reported study was funded by RFBR, project number 19-316-90033. *Corresponding author (Victor Khvatov). Email: VictorKhvatov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16T http://TUENGR.COM/V11B/11A16T.pdf DOI: 10.14/ITJEMAST.2020.329

7. REFERENCES Ateş S., Karakurum, E., Takci, L., Başak, F., Kűrtűl, I. (2017). Morphology of the atrioventricular valves and related intraventricular structures in the wild pig. Folia Morphol, 76(4): 650-659. Borgarelli, M., Tursi, M., Rosa, G.L., Savarino, P., Galloni, M. (2011). Anatomic, histologic, and two-dimensional echocardiographic evalution of mitral valve anatomy in dogs. American journal of vet. Research, 72: 8-9. Emam, M.A., Abugherin, B. (2019). Histological study on the heart ventricle of Egyptian bovines. Open veterinary journal, 9(4): 281-286. Fletcher, T.F., Weber, A.F. (2013). Veterinary developmental anatomy. Veterinary Embryology, Embriology classes notes, 82p. http://vanat.cvm.umn.edu/vanatpdf/EmbryoLectNotes.pdf Gushchin, Ya. A., Muzhikyan, A.A. (2014). Influence of fixing liquids on the microscopic structure of organs of small laboratory animals. International veterinary bulletin, 3: 88-94. Hill, A.J., Iaizzo, P.A. (2015). Handbook of cardiac anatomy, physiology, and devices. 6th part: Comparative Cardiac Anatomy. 3rd Ed., 17-18. Kilany, M.S., El Sayed, S.A., Salem, H.F., Beheiry, R.R. (2019). Histological and ultrastructural studies on the coronary artery of adult domestic dog. Anatomia. Histologia. Embryologia, 49: 80-89. Kozlovskaya, A.A. (2014). Morphofunctional features of the structure and development of the valves of the aorta and the pulmonary trunk in ontogenesis. Bulletin of problems of biology and medicine. Ukraine, 1(106): 251-255. Kuga, S.A. (2012). Anatomical characteristics of the lungs and hearts in different representatives of the canine family. Hippology and Veterinary Medicine, 2(4): 68-69. Lobko, P.I. and Rombalskaya, A.R. (2010). Microscopic anatomy of fleshy trabeculae, papillary muscles and tendon chords of the ventricles of the human heart. Clinical anatomy and operative surgery, 9(1): 60-63. Muzhikyan, A.A., Makarova, M.N., Gushchin, Ya.A. (2014). Features of the pathological study of a group of experimental animals. International Bulletin of Veterinary Medicine, 1: 75-79. Nurushev, M.Zh., Shevchenko, B.P., Omarov, M.M. (2010). Age biology of the goat. Monograph. Kokshetau, 242-252. Perez, W., Mendez, V., Vazquez, N., Navarrete, M., König, H.E. (2018). Gross anatomy of the heart of the alpaca. Anatomia. Histologia. Embryologia, 47: 110-118. Pomanskaya, E.V. (2008). Features of heart preparation. Morphology, 133(2): 90-98. Prusakov, A.V., Shchipakin, M.V., Bartenev, Yu.Yu., Virunen, S.V., Bylinskaya, D.S. (2015). Features of the course and branching of the coronary arteries of the heart of the Central Asian Shepherd Dog. Hippology and Veterinary Medicine, 2(16): 100-104. Sabyarzyanova, L.I., Kryukova, V.V., Yashin, A.V. (2019). Echocardiographic study of cats with obstructive bronchitis with signs of bronchial asthma. Bulletin of the Buryat State Agricultural Academy. V.R. Filippov. Ulan-Ude, 4(57): 118-121. Semchenko, V.V., Samuseva, M.V., Moiseeva, M.V., Kolosov, V.L. (1999). International histological nomenclature (in Latin, Russian and English). Omsk Medical Academy, 123-125. Sergeev, D.B., Kovalev, S.P. (2020). The results of a screening study of the heart in service dogs. Theory and practice of modern agricultural science. Novosibirsk, 615-618. Sergeev, D.B., Kovalev, S.P., Ovsyannikov, A.G. (2019). Features of echocardiography results in service dogs. Questions of legal regulation in veterinary medicine, 3: 126-128. Spicer, D.E., Bridgeman, J.M., Brown, N.A., Mohun, T.J., Anderson, R.H. (2014). The anatomy and development of the cardiac valves. Cardiology in the Young, 24(6): 1008-1022.

Victor Khvatov, Mikhail Shchipakin

Tarasevich, V.N., Ryadinskaya, N.I. (2020). Anatomical and topographic features of the heart of the Baikal seal. Hippology and Veterinary Medicine, 1(35): 115-116. Weerd, J.H., Christoffels, V.M. (2016). The formation and function of the cardiac conduction system. The company of biologists, 143: 197-210. Xanthos, T., Dalivigkas, I., Ekmektzoglou, K.A. (2011). Anatomic variations of the cardiac valves and papillary muscles of the right heart. Ital J AnatEmbryol, 116(2): 111-126. Zelenevsky, N.V. (2013). International veterinary anatomical nomenclature. Fifth Ed., St. Petersburg. Lan, 176-180. Victor Khvatov is a Lecturer at the Department of Animal Anatomy, Saint Petersburg State University of Veterinary Medicine, St. Petersburg, RUSSIA. His research interests are Anatomy, Histology and Embryology.

Dr.Mikhail Shchipakin is Head of the Department of Animal Anatomy, Saint Petersburg State University of Veterinary Medicine, RUSSIA. He holds a Doctor of Veterinary Science. Research interests: Morphological and Functional Patterns of Vascularization and Formation of Structural Elements of the Mammary Gland of a Saanen Goat Breed.

*Corresponding author (Victor Khvatov). Email: VictorKhvatov@gmail.com ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16T http://TUENGR.COM/V11B/11A16T.pdf DOI: 10.14/ITJEMAST.2020.329

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

PAPER ID: 11A16U

CHANGES INTO THE HAIR CELLS IN THE MINK OF CAGE BREEDING UNDER VARIED INTENSITIES OF INFESTATION BY EIMERIIDOSES Yuri Kuznetsov

Larisa Belova , Nadezhda Kuznetsova 1 2

, Tatiana Reusova , Andrey Konovalov , 1

Department of Parasitology, Saint Petersburg State University of Veterinary Medicine, RUSSIA. Departments of Commodity Science and Technology of Raw Materials of Animal Origin, Moscow State Academy of Veterinary Medicine and Biotechnology named after K.I. Scriabin, RUSSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 08 September 2020 Received in revised form 01 September 2020 Accepted 15 September 2020 Available online 29 September 2020

This work studies indicators of commercial properties of mink skins. There have been present indicators assessing the quality of male and female caged mink skins obtained from animals with varying degrees of intensity of invasion by eimeriidoses. This study involves four experimental groups of male and female mink skins, under varied degrees of invasion intensity (II). The first group of skins - from clinically healthy animals. The second group of skins - from mink patients with eimeriidoses with a weak degree of II. The third group of skins - from minks sick with eimeriasis with a moderate degree of II. The fourth group of skins - from animals with eimeriasis with a high degree of II. The extensiveness of the invasion of minks by Eimeriids in the Russian Federation's North-West region's fur farms is analyzed. There had presented the results of studying the length and thickness of hair, height, density, and softness of the hair coat, area, and sorting parameters of male and female mink skins obtained from animals with varying degrees of intensity of invasion by eimeriidoses. Also have been described the lifetime defects that arise due to shortcomings in breeding work, improper feeding, and fur animals' maintenance. Mink general physiological state's influence and its immunological reactivity on the fur skin's quality have been studied and discussed.

Keywords: Parasitic disease; Mink furs; Mink skin; Oocysts; Hair deterioration; Mink farming; Eimeriidoses.

Disciplinary: Animal Veterinary, Biology.

Science,

Bioscience

and

Biotechnology,

1. INTRODUCTION Fur has long played an essential role in developing trade and serves as a foreign exchange source. Many countries of the world buy fur from Russia. Some colored varieties of mink obtained in our *Corresponding author (Yuri Kuznetsov) Tel: +7-965-777-55-00 Email: fish2017@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16U http://TUENGR.COM/V11B/11A16U.pdf DOI: 10.14/ITJEMAST.2020.330

country had quoted on the world market higher than skins from competitive European countries. To a large extent, furs' quality depends on the organizational and economic activities carried out in fur farms. However, industrial processing and dressing of fur cannot significantly improve the quality of skins. Intravital defects on skins often arise due to shortcomings in breeding work, improper feeding, and keeping animals (Abramov et al., 2013; Balakirev, 2016). The animal's general physiological state and its immunological reactivity can also affect fur raw materials (Berestov, 2015). Aymeriidoses are among the main reasons for the slowdown in young minks' growth, increased mortality, and deterioration in adult animals' fur (Abramov, 2014). Representatives of the general Eimeria and Isospora are in the intestinal mucosa's epithelial cells and cause catarrhal-hemorrhagic enteritis. Catarrhal-hemorrhagic enteritis manifested by hyperemia and edema the small intestine's mucous membrane, the epithelium's desquamation, and disruption of the villus structure (Eremeeva, 2013). One of the many fur-bearing animals' species is mink, breeding in fur farms (Ilyina et al., 2014). At the moment, it is mink production that is the leader in the industry. Minks are excellently breeding in captivity. They quickly adapt to life in cages and artificial feed (Kuznetsov et al., 2020). It knows that mink belongs to the group of animals producing relatively short-haired skins (Pereverzeva, 2015). Despite this, various scientists' studies have established significant differences in hair length indicators in both females and males (Shepelev and Pechenezhskaya, 2011). These fluctuations are due to each animal's characteristics, sex, age, and seasonal variability (Terashima et al., 2001; Tsarev, 2012). This indicator is also significantly influenced by factors: feeding, age, the season of the year, and conditions of keeping animals (Tsepkov, 2015; Tserevetinov, 2016). The hair of the mink has a tiered structure. According to the length, the hair categories are descending order in the following sequence: guides, guard, transitional, and downy (Tymoshenko, 2016). The research aimed to study the indicators of some commercial properties of the hair coat of male and female caged mink skins obtained from animals with varying degrees of II eimeriidoses.

2. MATERIALS AND METHODS Laboratory research for diagnosing parasitosis of fur animals was at the Department of Parasitology, named after V.L. Yakimova, from 2013-2019. For conducting a scatological study, from each animal were taken fecal samples of 10-20 g packed in plastic bags, hermetically sealed, and labeled. The temperature regime for sample storage + 4Â°C. Feces was examined by the Darling method using a universal diagnostic flotation fluid (Belova et al., 2013). The identification of the species of coccidia oocysts was by morphological method (Krylov, 1999). Eimeriid oocysts were sporulated according to the method of Arnastauskene (1985) using a 2% potassium dichromate solution. After concentration and washing, the oocysts were placed in this solution in a thermostat at a temperature of 25-28Â°C, after which oocysts were viewed daily directly in Petri dishes by microscope. For light microscopy, the obtained temporary preparations by the bright field method, the material was examined on a Microton-200M trinocular microscope manufactured by OOO PETROLAZER and a Carl Zeiss Primo Star microscope with visualization at magnification (approx. 10x, vol. - 10, 20 and 40) with a nozzle Micrometer model OMP LOMO. Photo registration was

Yuri Kuznetsov, Tatiana Reusova, Andrey Konovalov, Larisa Belova, Nadezhda Kuznetsova

carried out using microscope cameras and a Mi MIX 2 (Xiaomi) smartphone. All helmintoovoscopic methods were by GOST R-54627-2011, methodological guidelines MUK 4.2.3145-13, and the State Standard "Methods for laboratory diagnosis of coccidiosis" (Timofeev et al., 1982). The study objects were male and female minks' skins in 24 pieces of the standard dark brown (STC) color type. The skins were removed with a pipe, keeping the head, paws, tail, and preserved in a fresh-dry way. We studied the hair length, thickness, height, density, hair coat softness, area, and mink skins parameters by GOST R 55587-2013. The samples took from the ridge, belly, and rump to determine the size and thickness of dark brown mink skins' hair. At each topographic site, the hair had divided into categories: guard, transitional, and down. The average direct measurement of each hair category was by counting the method with an accuracy of 1 mm. The thickness (guard and transitional hair in the middle part) by microscope with an x7 eyepiece magnification x40 objective with 5 microns' accuracy. In each sample, 25 hairs of each declared category had studied at all topographic areas of male and female mink skins. Measuring hair length. Distinguish between natural and true length. Natural depends on the length of the unstraightened (curled or curved) hair. The true length had established by measuring the straightened hair. Length values for all hair categories are in mm. Measuring hair thickness. Before proceeding with hair thickness measurement, the price of one division of the eyepiece micrometer is setting by objective micrometer, usually with the graduation of 0.01 mm, that is, 10 microns. All hair categories are measured separately. The thickness is in microns. Measuring the height of the hairline. The hairline's height is the shortest distance from the skin to the covering hair's tip, measured with a ruler, in mm. Determination of the thickness of the hairline. Calculation of all categories of hair located on 1 cm2 of the skin. Measurement of the softness coefficient. Hair softness is defined as the degree of elasticity of the hair when compressed or bent. The hairline's softness is a complex indicator and depends on the thickness and microstructure of the hair, the ratio of the shaft's thickness to its length, and the guard and down hair's quantitative ratio. The softness coefficient is the ratio of the guard hair's thickness, expressed in microns, to their length, in mm, multiplied by 10-3. đ??žđ??ž =

đ??ˇđ??ˇ

đ??żđ??żĂ—10âˆ’3

(1),

D â€“the average thickness of the guard hair (Îźm), L â€“ the average length of guard hair (mm). Determination of the area skins. Each skin area had determined as length (between eyes to root of tail) by twice width, measured in its middle, with an error of no more than 0.5 cm. Statistical Analysis. Continuous variables are the mean Âą SD, and dichotomous variables are as numbers and percentage values. All data were analyzed using SPSS. A p-value of less than 0.05 was considered statistically significant.

3. RESULTS AND DISCUSSION From 2013-2019 of six fur farms in the Russian Federation (Leningrad and Kaliningrad regions), the study examined 6118 intact minks infected with eimeriids (Mustela vison, M. lutreola Linnaeus, *Corresponding author (Yuri Kuznetsov) Tel: +7-965-777-55-00 Email: fish2017@yandex.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16U http://TUENGR.COM/V11B/11A16U.pdf DOI: 10.14/ITJEMAST.2020.330

1761, Neovison vison Schreber, 1777). According to the results of parasitological studies, the causative agents of eimeriidoses were in 2687 animals (EI - 43.92%) (Table 1). Table 1: Extensiveness of mink infestation by eimeriids in animal farms of the Russian Federation' North-West region Types of eimeria and isospores Eimeria vison Eimeria furonis Total eimerium Isospora laidlawi Isospora eversmanni Total isospores Total monoinvasions: Eimeria vison + Eimeria furonis Eimeria vison + Isospora laidlawi Eimeria vison + Isospora eversmanni Eimeria furonis + Isospora laidlawi Eimeria furonis + Isospora eversmanni Isospora laidlawi + Isospora eversmanni Mixed invasion by two parasites: Eimeria vison + Isospora laidlawi + Isospora eversmanni Eimeria vison + Eimeria furonis + Isospora laidlawi Mixed invasion by three parasites: TOTAL:

Number of examined 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118 6118

Infected 869 48 917 1356 3 1359 2276 34 294 2 34 1 11 376 4 31 35 2687

The extensiveness of invasion, % 14.20 0.78 14.99 22.16 0.05 22.21 37.20 0.56 4.81 0.03 0.56 0.02 0.18 6.15 0.07 0.51 0.57 43.92

The predominant protozoa species were Eimeria vison, Eimeria furonis, Isospora laidlawi and Isospora eversmanni (Figure1-4).

a - unsporulated x1480 b - sporulated x1340 Figure 1: Oocyst Isospora laidlawi (original)

a - unsporulated x1440 b - sporulated x1440 Figure 2: Oocyst Eimeria vison (original).

Yuri Kuznetsov, Tatiana Reusova, Andrey Konovalov, Larisa Belova, Nadezhda Kuznetsova

Figure 3: Unsporulated oocyst Eimeria furonis x3140 (original)

a - unsporulated x1890 b - sporulated x2680 Figure 4: Oocyst Isospora eversmanni (original) Then the animals were divided into four experimental groups depending on the intensity of invasion (II). 1st group of skins - from clinically healthy animals (n = 6); 2nd group of skins - from minks sick with eimeriidosis with the weak intensity of invasion (n = 6); 3rd group of skins - from mink patients with eimeriidosis with medium intensity of invasion (n = 6); 4th group of skins - from patients with eimeriidoses with high intensity of invasion (n = 6). Simultaneously, the weak intensity of invasion was when 1 g of feces contained 1 to 280 oocysts, average from 280 to 560, and high from 560 to 1280 oocysts. Analysis of the results of the length of down hair (Table 2) showed that there is no significant difference between the indicators of both natural and true length of down hair in skins from minks' females of second, third, and fourth groups. All of them are inferior to female mink skins of the first group on average by 2-3 mm. In males, the length of downy hair in all four experimental groups did not differ significantly. Table 2: Mink downy hair length, mm, n = 25 1 group, n=6 NHL* THL* ♂ 11.2±0.2 12.8±0.2 Belly ♀ 13.0±0.3 14.0±0.3 ♂ 17.3±0.3 18.4±0.3 Ridge ♀ 13.1±0.2 14.3±0.2 ♂ 13.1±0.2 14.6±0.3 Rump ♀ 12.0±0.7 13.0±0.7 NHL* - natural hair length THL* - true hair length

Topographic areas

Sex

2 group, n=6 NHL* THL* 11.0±0.3 13.2±0.2 11.9±0.8 12.2±0.6 16.8±0.2 18.6±0.2 12.8±0.3 13.0±0.5 12.9±0.2 14.5±0.2 11.7±0.5 12.1±0.5

3 group, n=6 NHL* THL* 10.8±0.2 12.4±0.2 11.7±0.6 12.05±0.5 16.8±0.4 18.2±0.4 12.1±0.8 12.1±0.8 12.2±0.4 14.0±0.2 11.1±0.2 11.9±0.2

4 group, n=6 NHL* THL* 10.0±0.2 11.4±0.4 10.0±0.4 11.0±0.4 16.4±0.2 18.3±0.2 10.7±0.6 11.7±0.4 12.0±0.3 13.8±0.3 9.3±0.7 10.8±0.6

*Corresponding author (Yuri Kuznetsov) Tel: +7-965-777-55-00 Email: fish2017@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16U http://TUENGR.COM/V11B/11A16U.pdf DOI: 10.14/ITJEMAST.2020.330

Results of analysis of the length of transitional hairs (Table 3) indicate no significant difference between the indicators of both natural and true length in skins from animals of both sexes of first and second groups. The indices of the natural and true length of transitional hairs in the corresponding topographic areas of the skins of females of minks of the third and fourth groups are significantly less than those of the first and second groups by an average of 2 mm, in males by 2-3 mm. Table 3: Mink transitional hair length, mm, n = 25 Topographic areas Belly Ridge Rump

Sex ♂ ♀ ♂ ♀ ♂ ♀

1 group, n=6 NHL* THL* 15.5±0.3 17.4±0.2 14.2±0.5 15.4±0.5 20.9±0.3 21.9±0.3 14.6±0.3 15.4±0.3 17.9±0.3 19.9±0.3 14.1±0.4 15.2±0.4

2 group, n=6 NHL* THL* 15.3±0.2 16.4±0.2 14.0±0.2 14.4±0.8 20.0±0.3 21.5±0.3 14.4±0.3 15.3±0.3 17.4±0.4 18.6±0.4 13.7±0.4 15.4±0.4

3 group, n=6 NHL* THL* 14.4±0.3 15.2±0.2 12.9±0.2 13.5±0.2 20.0±0.3 21.2±0.4 13.5±0.2 13.6±0.2 16.4±0.4 18.0±0.3 11.1±0.3 12.1±0.3

4 group, n=6 NHL* THL* 13.7±0.3 15.1±0.2 12.3±0.5 13.5±0.5 19.4±0.4 21.2±0.2 12.8±0.5 13.8±0.5 15.2±0.2 15.8±0.2 11.3±0.3 12.0±0.3

The analysis of the obtained results (Table 4) showed no significant difference between the indicators of the length of the guard hairs in the corresponding topographic areas of females' skins and males of minks of the first and second groups. The indicators of the length of the guard hairs in female mink skins of the third and fourth groups are significantly less than those of the first and second groups by an average of 2-3 mm, and in males by 3-4 mm. Table 4: Mink guard hairs length, mm, n = 25 Topographic areas

Sex ♂ ♀ ♂ ♀ ♂ ♀

Belly Ridge Rump

1 group, n=6 24.9±0.4 19.5±0.6 27.1±0.2 20.0±0.4 24.9±0.4 19.2±0.4

2 group, n=6 24.2±0.3 18.9±0.6 26.2±0.3 19.8±0.4 24.2±0.3 18.8±0.4

3 group, n=6 20.6±0.3 17.2±0.5 24.8±0.3 17.1±0.4 20.6± 0.3 16.7±0.5

4 group, n=6 20.5±0.3 16.1±0.5 24.5±0.2 16.2±0.4 20.5±0.3 14.8±0.3

At the next stage of the work, the height of the hairline of mink skins of different sexes of four groups was studied, depending on the intensity of invasion of eimeriidoses (Table 5). As a result, this study found no significant difference between hair height indicators in skins from minks' females and males from the first and second groups. The indicators of hair height in minks' females from third and fourth groups are significantly less than those of the first and second groups by an average of 2-3 mm, and in males in the same groups by 4-6 mm. Table 5: Mink hair height, mm, n = 25 Topographic areas Belly Ridge Rump

Sex ♂ ♀ ♂ ♀ ♂ ♀

1 group, n=6 22.5±0.4 16.5±0.6 26.5±0.2 17.0±0.4 24.1±0.2 16.2±0.4

2 group, n=6 21.8±0.2 15.7±0.6 25.9±0.4 15.8±0.4 23.3±0.3 15.3±0.4

3 group, n=6 18.4±0.4 13.2±0.5 21.3 ±0.3 13.9±0.4 18.8±0.2 13.7±0.5

4 group, n=6 18.3±0.3 13.1±0.5 20.4±0.2 13.2±0.4 18.7±0.2 11.8±0.3

One of the significant properties is the thickness of a hair of various categories, which, together with their length, determines the softness, elasticity, and silkiness of the hair coat of mink skins.

Yuri Kuznetsov, Tatiana Reusova, Andrey Konovalov, Larisa Belova, Nadezhda Kuznetsova

The results of studying the guard's thickness indicators, transitional, and downy hairs in different topographic areas of male and female mink skins are in Table 6. Table 6: Mink hair thickness, μm, n = 25 Group n=6

Topographic areas Belly

Ridge Rump Belly

Ridge Rump

Sex ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀

Downy Х± mх Су, % 12.8±0.1 8.1 12.7±0.2 11.6 12.7±0.2 6.1 12.6±0.1 10.2 12.7±0.1 7.9 12.6±0.2 10.1 12.6±0.1 8.1 12.5±0.1 11.2 12.5±0.2 11.2 12.4±0.1 10.3 12.5±0.2 10.4 12.4±0.1 11.2 12.3±0.1 8.1 12.4±0.2 12.2 12.4±0.2 11.2 12.3±0.2 8.1 12.5±0.2 10.4 12.3±0.2 8.9 12.2±0.2 12.3 12.2±0.1 12.4 12.4±0.1 8.1 11.8±0.2 1.5 12.4±0.2 12.5 12.1±0.2 11.3

Hair type Transitional Х± mх СУ, % 25.8±0.2 2.3 25.5±0.1 3.5 25.9±0.2 2.8 25.4±0.1 3.4 25.8±0.2 2.4 25.4±0.2 3.6 24.8±0.1 3.2 25.1±0.1 5.2 25.7±0.2 5.0 24.9±0.1 3.8 25.6±0.3 4.6 24.7±0.2 3.6 24.3±0.2 3.2 24.4±0.2 3.2 24.5±0.1 5.0 24.2±0.1 3.6 24.5±0.2 4.6 24.0±0.1 4.6 24.3±0.1 8.0 23.8±0.1 4.5 24.4±0.2 6.7 23.7±0.1 4.8 24.4±0.2 6.9 23.2±0.2 3.9

Guard Х± mх СУ, % 99.9±0.4 3.1 98.1±0.7 4.6 98.4±0.5 3.7 96.3±0.8 6.6 98.7±0.6 4.6 95.8±0.9 3.9 98.3±0.4 1.9 96.7±0.8 6.8 97.3±0.7 3.5 96.2±0.7 3.9 96.3±0.6 3.0 95.1±0.8 4.6 95.3±0.3 1.9 95.8±0.7 4.6 94.3±0.5 3.5 95.1±0.9 4.4 94.3±0.7 3.0 94.8±0.8 5.3 95.4±1.0 6.4 94.4±0.8 5.2 95.2±0.9 6.0 93.1±0.9 6.2 94.6±1.0 6.8 92.8±0.7 4.9

Table 5, the results suggest that there is no significant difference between the thickness of down hair in the corresponding topographic areas of male and female mink skins of all experimental groups. The indices of the transitional hairs thickness in skins from minks' males and females of first and second groups exceed those of the third and fourth groups by an average of 1-2 microns. Indicators of guard hair thickness in the corresponding topographic areas of male and female mink skins of the third and fourth groups are inferior to similar indicators on average by 3.5-4.5 microns. The thickness of the hair coat of a fur animal's fur is one of the defining properties in assessing the quality of fur raw materials. Table 7 gives the study results of the density of male and female mink skins' hair. Table 7: Density of hair coat of mink skins, thousand pieces/1cm2 Group n=6 1 2 3 4

Sex ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀

The density of hair coat, Х ± mх Topographic areas Ridge Rump Belly 21148.1±411.4 21249.2±413.0 20100.9±389.4 21114.7±411.1 21159.0±411.3 20088.2±368.4 21133.2±236.6 21094.7±367.1 20097.9±322.4 21118.4±301.5 21077.0±321.0 20084.4±329.0 18840.6±315.2 18907.7±318.3 18224.0±319.4 18704.3±311.1 18801.4±308.8 18121.1±302.9 17142.8±267.5 17184.5±269.5 17074.1±250.6 17102.1±251.8 17116.5±259.5 17038.2±248.2

∑average 20832.7±411.6 20787.3±394.9 20775.2±376.6 20759.9±371.4 18657.4±373.1* 18542.2±352.3* 17133.8±341.5* 17085.6±325.2*

The data in Table 6 presented that in all male and female mink skins, the thickest hair is on the ridge and rump, and rarer on the belly. The indices of the thickness of the hair cover of male and female mink skins of the first and second experimental groups do not have significant differences. Indicators of the thickness of the hair of male and female mink skins of the third and fourth groups are significantly inferior to those of the first and second groups by an average of 10-15%. Consequently, skins obtained from male and female mink with a medium and high degree of intensity of invasion indicate that hair density indicators are noticeably lower than in healthy animals and animals with weak invasion intensity. That is a cause of negatively affects the quality of the skins and their assessment. One of the criteria affecting skins' main commercial properties is the hairline's thickness and length, determining the hairline's softness. In contrast, the hair thickness ratio to its length serves as a quantitative expression of the hair's softness and is called the softness coefficient. The results of calculating the degree of softness of male and female mink skins are in Table 8. Table 8: Softness coefficient of mink skins, Km x×10-3 Group n=6 Sex 1 2 3 4

Topographic areas Ridge Rump Belly ♂ ♀ ♂ ♀ ♂ ♀ 3.8 4.9 4.0 4.9 3.9 4.9 3.7 4.8 4.1 5.0 4.1 5.0 3.9 5.6 3.9 5.5 4.1 5.6 3.9 5.8 4.2 5.7 4.0 6.2

The softness coefficient by formula 1 of male mink skins in the corresponding topographic areas is practically the same for all experimental groups. Therefore, it is not a characterizing factor of the degree of intensity of invasion. The softness coefficient of female mink skins in the first and second groups' corresponding topographic areas is less than that of the third and fourth experimental groups, which indicates a softer hair coat in a clinically healthy animal and with a weak intensity of invasion. At the final stage of the study, the dimensional characteristics and indicators of sorting of mink skins were studying by GOST R 55587-2013. The results of studying the dimensional characteristics of male and female mink skins are in Table 9. Table 9: Dimensional characteristics of mink skins Group n=6 1 2 3 4

Sex ♂ ♀ ♂ ♀ ♂ ♀ ♂ ♀

Skins parameters Length, cm Area, cm2 Х±тх Cv, % Х±тх Cv, % 84.7±0.9 6.0 1368.7 ±14.8 6.1 66.8±0.9 6.0 1020.8±13.2 6.0 82.8±0.9 5.9 1355.5±14.6 5.9 68.7+0.8 5.9 990.7±13.5 6.1 79.1±0.9 6.0 1339.2±14.6 6.0 58.6±0.7 6.0 812.6±13.7 5.9 77.4±1.0 6.2 1316.9±15.6 6.3 55.9±0.9 6.1 715.8±13.6 6.2

There is no significant difference between the indicators of male mink skins of the first, second, and third groups. The indicator of the area of male mink skins of the fourth group is significantly less than the rest on average by 2-3%. There is no significant difference between the area indicators of female mink skins of the first and second groups. Indicators of the area of female mink skins of the

Yuri Kuznetsov, Tatiana Reusova, Andrey Konovalov, Larisa Belova, Nadezhda Kuznetsova

third and fourth groups are significantly less than those of the first and second experimental groups on average by 1.5-3%. Table 10 shows the results of sorting male and female mink skins. Table 10: Results of sorting mink skins Group n=6

Sex ♂

1 ♀

♂ 2 ♀ ♂ 3 ♀ ♂ 4 ♀

Size Especially large А Especially large А Especially large B Large Especially large А Especially large А Large Large Especially large B Especially large B Large Large Large Large Large Medium

Sub size

Number of skins

Class

Defectiveness class

Quality, %

Number of heads

0000

130.0

5.2

000

125.0

2.5

105.0

3.2

100.0

3.0

120.0

3.6

115.0

3.4

3 4

5 1

1 1

95.0 90.0

4.8 0.9

79.2

3.2

66.0

1.3

5 6 2 3 6 7

2 4 2 4 3 3

2 2 2 2 2 2

2 2 3 3 3 3

61.2 57.6 63.0 60.0 54.0 50.4

1.2 2.3 1.3 2.4 1.6 1.5

∑ heads per group 7.7

6.2

7.0

5.7

4.5

3.5 3.7 3.1

Analysis of the results obtained allows to state that the skins of males and females of minks of the first and second experimental groups were represented mainly by sizes: extra-large A and extra-large B, large (female skins), all they corresponded to the characteristics of the 1st grade (full-haired, with thick and even hair) and the 1st group of defectiveness (no defects), therefore, the quality of male mink skins of the first and second experimental groups ranged from 115 to 130%, the quality of female mink skins from 90 to 105%, which confirms their value. The following sizes mainly represented the skins of males and females of minks of the third and fourth experimental groups: large and medium (except for the skins of males of group 3 - OKB), all of them corresponding to the characteristics of the second variety (less full-haired, with a sparse and insufficiently equalized hair coat); The second and third groups of defectiveness, which significantly reduced their value, the quality of male mink skins of the third and fourth experimental groups was from 60 to 79%, the quality of female mink skins from 50 to 61%. The decrease in the group of defectiveness of male and female mink skins of the third and fourth experimental groups was by the presence of defects characteristic of this type of skin: cut-off (bitness) of the hair cover, wiped spots, dampness, twisting of the awn tops, all of them belong to lifetime. Such defects arise due to shortcomings in breeding work, improper feeding, and maintenance of fur-bearing animals. Besides, the animal's general physiological state and its immunological reactivity influence the skins' quality.

4. CONCLUSION This study examined 6118 minks infected with eimeriids (Mustela vison, Mustela lutreola (Linnaeus, 1761), Neovison vison (Schreber, 1777)) and intact minks in six fur farms in the Russian *Corresponding author (Yuri Kuznetsov) Tel: +7-965-777-55-00 Email: fish2017@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16U http://TUENGR.COM/V11B/11A16U.pdf DOI: 10.14/ITJEMAST.2020.330

Federation' North-West region (Leningrad and Kaliningrad regions). Aymeriidoses were detecting in 2687 animals (EI - 43.92%). The predominant protozoan species were Eimeria vison, Eimeria furonis, Isospora laidlawi, and Isospora eversmanni. The second group of skins from female mink females with eimeriidoses with a low intensity of invasion has the same hair length indicators (except for down hair) and hair height. Male skins did not differ significantly from the first group of skins obtained from clinically healthy animals. The skins of the third group from mink females and males with medium invasion intensity and the fourth group of skins from animals of both sexes with high invasion intensity are inferior in terms of the length of transitional, guard hairs and the height of the hairline to the mink skins of the first and second groups. The skins of male and female minks of the first group obtained from clinically healthy animals have the same indicators of the leading commercial properties of the hair coat and quality assessments with the skins of males and females of the mink of the second group obtained from animals with eimeriidosis with a low intensity of invasion, therefore, fur raw materials will have high consumer properties; In the third group's male and female mink skins, obtained from animals with eimeriidosis with an average intensity of invasion, and the fourth group, obtained from animals with a high intensity of invasion, the leading commercial's indicators properties of the hair cover significantly decreased. It had determined the deterioration of the sorting indicators, the loss of quality, and the value of fur raw materials.

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

6. REFERENCES Abramov, M.D. (2014). Mink farming. Colosss. 182-191. Abramov, M.D., Utkin L.G., Poveletsky, I.G. (2013). Age-related changes in the skin and hair of minks. Rabbit Breeding and Fur Farming. 10-12. Arnastauskene, T.V. (1985). Coccidia and coccidiosis of domestic and wild animals of Lithuania. Vilnius. Moxlas. 176. Balakirev, N. A. (2016). Feeding minks. Russian Agricultural Academy. 7-18. Belova, L.M., Gavrilova, N.A., Pudovkin, D.N., Tokarev, A.N. (2013). Liquid for the diagnosis of coccidial oocysts, balantidia and giardia cysts, helminth eggs of different classes, ticks, insects, their individual stages of development. Patent No. 2472154 Russian Federation, IPC G01N33 / 48 (2006.01), A61D99 / 00 (2006.01).: No. 2010153464/13. Berestov, V.A. (2015). Biological characteristics of fur animals. Science. 35-54. Eremeeva, K.M. (2013). The structure of the skin and hair in minks. Rabbit Breeding and Fur Farming, 19-20. GOST R. (2011). Agricultural ruminant animals. Methods of Laboratory Helminthology Diagnostics. 5-6, GOST R. 54627-2011 GOST R. (2013). Undressed skins of mink of cage breedindbreeding. GOST-R, 55587-2013 Specifications, 3-25. Ilyina, E.D., Sobolev, A.D,, Chekalova, T.M., Shumilina, N.N. (2014). Fur farming. A Textbook. Lan Publishing house, 15-18. Krylov, M.V. (1996). Keys to parasitic protozoa (humans, domestic animals and agricultural plants). St. Petersburg. 149-156; 412-414. Kuznetsov YuE, Belova LM, Gavrilova NA, Mkrtchyan ME, Sidorenko KA, Muromtsev AB (2020). Features

Yuri Kuznetsov, Tatiana Reusova, Andrey Konovalov, Larisa Belova, Nadezhda Kuznetsova

of diagnosis and pathomorphology of eimeriidosis in minks in animal farms of the North-West region of the Russian Federation. Agricultural biology. 55(2) 378-393. MUK. (2013). Laboratory diagnostics of helminthiasis and protozoses: Methodical instructions. M. FBUZ "Federal Center for Hygiene and Epidemiology" of Rospotrebnadzor. MUK 4.2.3145-13, 154. Pereverzeva, A.D. (2015). Commodity research of fur raw materials: textbook. Economy. 20-23. Shepelev, A,F., Pechenezhskaya, I.A. (2011). Merchandising and examination of fur and fur products: a textbook. Publishing Center "Mart". 34-36. Terashima M, Yoshimura K, Imai .Imai., Hozan D, Ishii Y, Shirai K. (2001). Evaluation of the light deterioration in hair examination of mink fur products. Anim. Sc. J. 72(l): 39-45. Timofeev, B.A., Koblova, I.A,, Shalova L.M. (1982). Domestic animals. Methods of laboratory diagnostics of coccidiosis. GOST 25383-82. 1-7. Tsarev, V.N. (2012). Commodity research of fur raw materials and finished products. Light and food industry. 44-46. Tsepkov, N.M. (2015). The structure of the skin and hair of standard minks of different constitutions. NIIPZK. 50-54. Tserevetinov, B.F. (2016). Merchandising of fur and fur goods. Economy. 78-92. Tymoshenko, P.N. (2016). Fertility of minks. VNIIOK. 141-159. Yuri Kuznetsov is an Associate Professor, Department of Parasitology, Saint Petersburg State University of Veterinary Medicine, Russia. He is a Candidate of Veterinary Sciences. His research interests are related to the study of Parasitosis of Small Domestic Animals.

Tatiana Reusova is an Associate Professor, Departments of Commodity Science and Technology of Raw Materials of Animal Origin, Moscow State Academy of Veterinary Medicine and Biotechnology named after K.I. Scriabin, Russia. She is a Candidate of Technical Sciences. Her researches are related to Veterinary and Sanitary Examination of Raw Materials of Animal Origin.

Andrey Konovalov is an Assistant, Departments of Commodity Science and Technology of Raw Materials of Animal Origin, Moscow State Academy of Veterinary Medicine and Biotechnology named after K.I. Scriabin, Russia. His research interests are related to Veterinary and Sanitary Examination of Raw Materials of Animal Origin.

Dr.Larisa Belova is a Head of the Department of Parasitology, Saint Petersburg State University of Veterinary Medicine, Russia. She holds a Doctor of Biological Sciences. Her scientific research is devoted to the study of Parasitic Organisms - Open Genetic Exchanges in Kinetoplastids; the Morphofunctional Organization of Blastocysts was studied, the taxonomic rank and place in the system of these organisms were determined, more than 50% of the Fauna of Blastocysts, including new species in Farm Animals, were described.

Nadezhda Kuznetsova is an Assistant, Department of Parasitology, Saint Petersburg State University of Veterinary Medicine, Russia. She is a Candidate of Veterinary sciences. Her research interests are Pharmacological Correction of Invasive Diseases of Farm Animals.

*Corresponding author (Yuri Kuznetsov) Tel: +7-965-777-55-00 Email: fish2017@yandex.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16U http://TUENGR.COM/V11B/11A16U.pdf DOI: 10.14/ITJEMAST.2020.330

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

PAPER ID: 11A16V

USING AN ELECTRIC FIELD TO STIMULATE THE VEGETABLE CROPS GROWTH Sergey Mashkov

, Sergey Vasil’ev 1

Marat Fatkhutdinov , Tat’yana Gridneva 1

Department of Electrification and Automation of Agro-industrial Complex, Samara State Agrarian University, RUSSIA.

ARTICLEINFO

A B S T RA C T

Article history: Received 30 July 2020 Received in revised form 07 September 2020 Accepted 24 September 2020 Available online 29 September 2020

This paper presents the development of a set of energy-saving elements of the technology for growing vegetables under controlled conditions. The proposed adaptive lighting method and a device for electrical stimulation form a complex of energy-saving elements of growing vegetable crops' technology. The developed methods of adaptive lighting and electrical stimulation are applicable for the cultivation of organic vegetable products, making it possible to obtain a multiplicative effect, expressed in their accelerated growth, development, and increase in productivity in general.

Keywords: Electrical technology; LED vegetation; LED phyto lamp; Biomodule; Supplementary lighting; Electric field; Electrical plant stimulation; Plant growth.

1. INTRODUCTION Growing vegetable crops in greenhouses or even more controlled conditions (in high-tech cultivation facilities) is accompanied by high energy costs, both thermal, to maintain optimal microclimate parameters, and electric, to illuminate (supplement) the plants. In the context of rising energy prices, the task of reducing energy costs becomes more and more urgent, i.e., improving the energy efficiency of lighting equipment [1]. Instead of luminescent ones, the introduction of LED phyto-lamps to illuminate greenhouses contributes to a partial solution to this problem. However, new ones arise, related to the spectral composition of the light emitted by LED lamps. The composition of the spectrum of an LED luminaire often does not match the needs of plants. As a result of this discrepancy, they may lag in development when illuminated by fluorescent light sources, the spectrum of which is more consistent with the spectrum of natural sunlight [2, 3]. *Corresponding author (Sergey Mashkov) Email: mash_ser @ mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16V http://TUENGR.COM/V11B/11A16V.pdf DOI: 10.14/ITJEMAST.2020.331

The optimal characteristics of the light spectrum for each cultivated crop, at present, are not substantiated and even poorly studied [2]. Similar problems arise in the cultivation of meristemic plants, for example, in the production of virus-free seeds of domestic breeding potatoes. In the process of breeding work, a significant part of the time is spent on growing the selected microclonal shoots to the required size. It reduces the intensity of selection and leads to an increase in material costs. A problem arises with the acceleration of microtonal shoots' growth and, consequently, the selection's acceleration. At the same time, it is important to create environmentally friendly methods and technologies to ensure the acceleration of selection. One of the options for ensuring accelerated selection and growing vegetable crops under controlled conditions is modern electrical technologies, including electromagnetic stimulation and plants' adaptive lighting [4-11]. Thus, it is obvious that there is a need to develop energy-saving devices that promote plant growth acceleration and are applicable in technologies for growing plants under controlled conditions.

2. MATERIALS AND METHODS For research, an automated biotechnological installation, the "Bio-module ESS RGB-250" was developed and manufactured (Figure 1).

a - general view;

b - adaptive lighting system

1 - case; 2 - a compartment for placement of electronic control and monitoring units (CMU); 3 - CMU compartment cover; 4 - walls of the working chamber; 5 - the door of the working chamber; 6 - the regulator of luminous flux intensity; 7 - a compartment for RGB lamps; 8 - RGB lamp; 9 - aeration fan of the working chamber; 10 - supply and exhaust ventilation system; 11 - block of temperature and humidity sensors; 12 - dielectric bottom of the working chamber

Figure 1: General view of the biomodule for accelerated plant growth under controlled conditions. Planting trays with grown plants are placed in the working chamber. A compartment for RGB lamps is located in the upper part of the unit. These luminaires contain a specially selected combination of single color LEDs (red, green, and blue), tri-color RGB LEDs and white light LEDs. With the possibility of independent regulation of each of the three groups of LEDs' brightness, this combination allows you to create a luminous flux of any spectral composition.

Sergey Mashkov, Sergey Vasilâ€™ev, Marat Fatkhutdinov, Tatâ€™yana Gridneva

The regulator carries out operational regulation of the intensity of the light flux. Fine-tuning of the luminous flux's spectral composition and intensity is carried out from a mobile application or computer using a Wi-Fi connection. In the biotechnology facility described above, plants grow in a controlled environment. Environmental parameters are controlled by factors such as temperature and humidity and the illumination of the aboveground part. The working chamber of the biomodule is periodically ventilated according to the supply and exhaust ventilation scheme. In the simulation process, a pulsed, pulsating, or other form voltage of a given frequency and amplitude is applied to the electrodes. The stimulating effect is carried out as follows: plants are located between two electrodes of different polarity (regardless of their shape and size). There is an electrode with a positive potential under the plants' roots and above the plant with a negative one. The direction of the external electric field applied to the plant will coincide with plant growth (Figure 2).

1 - upper electrode (with negative potential); 2 - lower electrode (with a positive potential); 3 - generator power plant with a control unit; 4 - bar for fixing the upper electrode; 5 - insulators; 6 - stimulated plants; 7 - soil

Figure 2: Scheme of plant electrostimulation For ensuring the safety of service personnel and plants, the upper electrode one must be reliably insulated, and the lower electrode two must be reliably grounded. In this case, the upper electrode's insulation will not affect the electric field's shape and characteristics because the insulation material is dielectric. That is, it has a high dielectric constant. The grounding of the lower electrode two also cannot affect the electrical circuit's characteristics. From the point of view of electrical safety, grounding will play potential equalization between the grounded metal parts of the electrical installation and the stimulation unit's electrode. For plant stimulation required, high-voltage equipment. At this stage of research, the equipment has been developed. That generates an alternating voltage with a frequency of 50 Hz (i.e., without a frequency generator) and regulating the output voltage value in the range from 0-50 kV. The electrical diagram of the developed installation is in Figure 3. *Corresponding author (Sergey Mashkov) Email: mash_ser @ mail.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16V http://TUENGR.COM/V11B/11A16V.pdf DOI: 10.14/ITJEMAST.2020.331

Figure 3: Diagram of a high-voltage device for electrical plant stimulation Each variant of the studied factor was set in four replicates, including the control variant, when the plants were not subjected to electrical stimulation. The arrangement of replicates by variants is in Table 1. Table 1: The layout of the plants in the experiment with "ϒ" sign (corresponding to Figure 5). Repetitions 1 2 3 4

space space space space

ϒ ϒ ϒ ϒ

Top view layout V2 space ϒ space space ϒ space space ϒ space space ϒ space

ϒ ϒ ϒ ϒ

space space space space

ϒ ϒ ϒ ϒ

Table 1 shows the top view layout of the plants in the experiment. To reduce electric fields' mutual influence, a free space is provided between neighboring options, marked with the word "space". The test plants are marked with the "ϒ" sign. This is shown in Figure 5. The V3-V1 values are described in the test. Options V3-V1 are arranged to decrease electric field strength to reduce the field's possible effect on the control option (C). The plants were also supplemented with LED phyto-lamps with a power of 100 W, produced by the RosSvet company in the experiment. Artificial supplementary lighting in research is necessary to simulate natural sunlight for normal plant growth, that is, to recreate their natural growing environment as accurately as possible. Illumination, at the level of seedlings, was 7250.6 lux, which meets the regulatory requirements.

3. RESULT AND DISCUSSION During the experiment, the plants were planted in three pieces in plastic cups. This group of plants represents one replication of the experiment. Each variant of the study contained four replicates. There are four variants of experiments, including the control variant. Thus, the total number of replicates was 16, and the test plants were 48. The scheme of experiment on dill is similar, in general, to the scheme of experiment on tomatoes, which was described earlier. Still, there are differences in the parameters of stimulation. An electric field was created between several pairs of electrodes located at a certain equal distance from each other, to which a voltage of a given value was supplied from generating installations. The voltage was rectified, pulsating. The ripple frequency in all variants was 100 s-1

Sergey Mashkov, Sergey Vasil’ev, Marat Fatkhutdinov, Tat’yana Gridneva

(sinusoidal voltage with a frequency of 50 Hz, rectified by a bridge rectifier). Three variants (gradations) of voltages equal to 40 V, 220 V, and 10 kV, and, accordingly, field strengths were investigated. For the first option (V1), the intensity was E = 0.15 kV / m, for the second (V2) option, E = 0.75 kV / m, and for the third option (V3), respectively, E = 37.0 kV / m. Additional lighting was during periods of insufficient natural lighting, in the morning from 4.00-10.00, in the evening from 17.00-23.00. The total daily duration of additional illumination was 12 hours. Plants' electrical stimulation was in the morning and evening, lasting 4 hours, from 6.00-10.00, and from 16.00-20.00. The total daily duration was 8 hours, see Figure 4.

Figure 4: Schematic of the experiment of additional artificial light and electrical stimulation. The experiment lasted 40 days. Seedlings began to appear on days 7-14. At the end of the experiment, all plants were cut at soil level, measured along the length of the aboveground part and mass.

Figure 5: General layout of plants by variants and replicates.

During the experiment, plants were watered using a measuring cup with the same volume of water. The volume of water depended on environmental factors (temperature and humidity) and changed during the experiment, but it was the same for all variants. At the end of the experiment, the plants' height and the mass of their green (aboveground) parts were measured. Table 2 shows the results of measurements of plant heights only. *Corresponding author (Sergey Mashkov) Email: mash_ser @ mail.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16V http://TUENGR.COM/V11B/11A16V.pdf DOI: 10.14/ITJEMAST.2020.331

Figure 6: Results of measurements when investigating the optimal electric field strength Table 2: The results of measuring the height of dill plants for option V1 Repetition number 1

Plant number in the i-th replication 1 2 3 181 175 192

Average repeat height, mm

Average height according to variant V1, mm

182.67

179

170

168

172.33

155

199

161

171.67

195

174

210

193.00

179.92

The replicates of each variant are groups of dill plants grown in one glass. Accordingly, in each variant, there are four replicates. Each replication contains three plants (in some, two and one, since some did not emerge). Table 2, the average plant height for variant V1 is 179.92 mm and does not correspond to this dill variety's expected height. The maximum replication height is 193 mm, and that of a single plant is 195 mm, which is closer to the standard value. Table 3: Results of the analysis of experimental data for option V1 Repetition number 1

SD of replicates σr, mm 8.62

Coefficient of variation for replicates υr 0.05

5.86

0.03

23.86

0.14

18.08

0.09

SD by option V1 σv1, mm

Coefficient of variation by variant V1 υv1

16.30

0.09

From the analysis of the data in Table 3, it can be seen that the coefficient of variation for the first and third replicates exceeds 5%. Moreover, in the third replication, it is 14%. The maximum standard deviation is close to 24 mm. That is, the plants of this experiment differ significantly from each other in height. Option V1 was carried out with the lowest field strength. The plant height must be comparable to the control, i.e., with non-stimulated plants. However, the variation coefficient is significantly higher than in the control υV1>> υC. Stimulation with a weak electric field gives the opposite effect - there is no increase in height, but the variation increases. The table's data indicate that the average height of the green mass, which is 264.7 mm, exceeds the control, but not significantly. That is, stimulation with a field strength of 0.75 kV/m is not effective.

Sergey Mashkov, Sergey Vasil’ev, Marat Fatkhutdinov, Tat’yana Gridneva

According to the V2 variant, the plants have a significantly higher height than in the V1 variant, more precisely, 162.08 mm more. That is, the result of stimulation, in this case, manifested itself significantly. Also, the plant height significantly exceeds the plant height in control (180 mm). Table 4: The results of measuring dill plants in height, according to option V2 Plant number in the i-th replication

Repetition number

1 368 360 311 352

1 2 3 4

2 362 348 344 341

3 346 356 320 332

Average repeat height, mm

Average height according to V2 option, mm

358.67 354.67 325.00 341.67

345

Table 5: Results of the analysis of experimental data for option V2 Repetition number

The standard deviation of replicates σr, mm

11.37

Coefficient of variation for replicates υr, % 0.03

6.11

0.02

17.06

0.05

10.02

0.03

Standard deviation according to variant V2 σV2, mm

Coefficient of variation for variant V2 υV2, %

17.03

0.05

Data analysis Table 5 shows that the coefficient of variation for option V2 is 5%, which is less than for control and option V1. That is, the plants, according to this option, are more aligned in height. Simultaneously, in the second replication, it is significantly less than in the control and is only 2%. Table 6: Results of measuring dill plants in height, according to variant V3 Repetition number

Plant number in the i-th replication 1 2 3

Average repeat height, mm

358

380

379

372.3

382

374

371

375.7

395

375

360

376.7

381

392

390

387.7

The average height for the V3 option, mm

378.1

That is, the plants are well aligned and have a good presentation. Moreover, in all individual replicates, the variation coefficient does not exceed 5%; incentives for this option are quite acceptable and have a positive effect. The average height of the green mass, according to this experience, is 378.1 mm, which significantly exceeds the control by 197.33 mm, and also exceeds the indicators of the previous variants V2 and V1. Stimulation with a tension of 37 kV / m has the greatest positive effect on plant growth. Stimulation with these parameters is most effective. Table 7: Results of the analysis of experimental data for option V3 Repetition number 1

SD of replicates σr, mm 12.42

Coefficient of variation for replicates υr, % 0.03

5.69

0.02

17.56

0.05

5.86

0.02

SD according to V3 variant σV3, mm

Coefficient of variation for variant V3 υV3, %

11.51

0.03

*Corresponding author (Sergey Mashkov) Email: mash_ser @ mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16V http://TUENGR.COM/V11B/11A16V.pdf DOI: 10.14/ITJEMAST.2020.331

An increase in the growth rate of plants, in this experiment, is accompanied by a significant decrease in the coefficient of variation, which is 3%, which is approximately 5% lower than in the control. It is also important that a low level of the standard deviation of plant height (11.51 mm) was obtained for the variant as a whole. It indicates the best uniformity of plant heights throughout the experiment. The greatest increase in the standard deviation was observed in the third replication 17.56 mm. In this replication, one of the plants reached a record height of 395 mm. Thus, stimulation of plants with an electric (electromagnetic) field of medium intensity allows the plants to be aligned in height and obtain maximum biomass growth for a given experiment. Table 8: Results of measuring the height of dill plants according to option C Repetition number

Plant number in the i-th replication 1 2 3

Average repeat height, mm

186

175

181

180.67

177

169

173

173.00

158

195

166

173.00

195

184

210

196.33

The average height for the C option, mm

180.75

The average plant height in the control for the variant is comparable to the plant height for the V1 variant and it is significantly less than in the V2 and V3 variants. The plants in control, without stimulation, and plants of the V1 variant, which were stimulated by the low-intensity field, have a comparable increase in biomass. Table 9: Results of the analysis of experimental data for option C Repetition number

SD of replicates σr, mm

5.51

Coefficient of variation for replicates υr, % 0.03

4.00

0.02

19.47

0.11

13.05

0.07

SD by option C σC, mm

Coefficient of variation for option C υC, %

14.40

0.08

In the control experiment, the coefficient of variation was unexpectedly high, amounting to 8%. Such a high value was because the plants have a significant variation in height, and, as a result, a large standard deviation of 14.4 mm, while the average value of the plant height is also not large. For a visual presentation of the results of the analysis of experimental data, graphs and histograms (diagrams) reflecting the height of plants by variants and replicates, coefficients of variation ν and standard deviations σ by variants and replicates, as well as by mean values in each variant, including control (Figures 5-7). The investigated options on the diagram are arranged in the same order they were located during the experiment (Figure 5). That is, they arranged in decreasing order of the electric field strength. This arrangement is necessary to reduce the influence of the electric field on the control variant. In the diagram (Figure 6), the total plant height for variant V3 is almost 1500 mm and exceeds all other variants. In terms of replicates, the highest height is observed in the 4th replication for all

Sergey Mashkov, Sergey Vasil’ev, Marat Fatkhutdinov, Tat’yana Gridneva

variants. It may be because this replica was located closest to the source of natural light.

Figure 7: Distribution of plants by height by replicates, variants, and total in each variant

Figure 8: Change in the coefficient of variation Ď… for variants and replicates in the variants The greatest value of the coefficient of variation is observed in the third replication for all variants. The reason for this is not yet known. The third replicate was located closer to the center of the container. The illumination level and field strength did not differ from the neighboring replicates. In the control experiment, there was also a significant scatter in the coefficients of variation in replicates, from 2-11%. The reason for this is not yet clear, since all control replicates were located next to each other. Diagram Figure 9 is the most informative for assessing the effectiveness of incentives. The diagram compares such parameters as plant height, coefficient of variation, and standard deviation by options. Diagram Figure 9 shows that the best result was obtained in the V3 variant. On average 378.08 mm, the coefficient of variation was only 3% with the highest plant height.

*Corresponding author (Sergey Mashkov) Email: mash_ser @ mail.ru ÂŠ2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.16 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A16V http://TUENGR.COM/V11B/11A16V.pdf DOI: 10.14/ITJEMAST.2020.331

Figure 9: The distribution of the coefficients of variation ν and SD σ by options The worst results are observed in the 1st variant V1. With a plant height of only about 180 mm, the coefficient of variation reached 9%. In this study, the effectiveness of stimulation was assessed by the state of the aboveground green part of plants. Simultaneously, not for all vegetable crops, such as tomatoes, the growth of biomass is not important, but, for example, it is fundamentally important for green vegetable crops.

4. CONCLUSION Plants of green and vegetable crops, being under the influence of an electric field, begin interacting with it. The nature of the interaction is largely determined by the nature and nature of the field: electric or magnetic; constant, pulsating, or variable. It was theoretically established that the substances of biological objects - plants, interacting with a pulsating electric field, create two types of current - through and polarizing. Electric currents and magnetic fields affect the intensity of movement of substances (which are electrolytes) in the plant body. Ultimately, this should lead to an acceleration of photosynthesis and, as a consequence, an accelerated growth of plant biomass. The most effective is stimulation with an electric (electromagnetic) field of medium intensity. It allows for alignment of the plants in height, which is fundamentally important in producing green vegetable products for sale and obtaining a significant increase in biomass compared to control. A pulsating electric (electromagnetic) field of a positive direction on plants has a positive effect. It is an environmentally friendly way and can be used in the production of green vegetable crops.

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

6. REFERENCES [1] Yudaev, I.V., Charova, D.I., Feklistov, A.S. (2017). Growing lettuce in LED irradiation. Sel'skiy mekhanizator, 1, 20-21. [2] Vasilev, S.I., Mashkov, S.V., Syrkin, V.A. (2018) Results of studies of plant stimulation in a magnetic field. Journal of Pharmaceutical, Biological and Chemical Sciences, 9(4), 706-710. [3] Kasakova, A.S., Yudaev, I.V., Fedorishchenko, M.G. (2018). New approach to study stimulating

Sergey Mashkov, Sergey Vasil’ev, Marat Fatkhutdinov, Tat’yana Gridneva

effect of the pre-sowing barley seeds treatment in the electromagnetic field. OnLine Journal of Biological Science, 18(2), 197-207. [4] Yudaev, I., Ivushkin, D., Belitskaya, M., Gribust, I. (2019). Pre-sowing treatment of ROBINIA PSEUDOACACIA L. seeds with electric field of high voltage. IOP Conference Series: Earth and Environmental Sciences. 403(1), article # 012078. [5] Budnikov, D.Đ?., Vasiliev, A.N., Vasilyev, A.A. (2019). The Application of Electrophysical Effects in the Processing of Agricultural Materials. Advanced Agro-Engineering Technologies for Rural Business Developments, 1-27. [6] Lartsev, V.V. (2005). Method of electrical stimulation of plant life. Patent 2261588 Russian Federation. [7] Loginov, V.V. (1999). Method for stimulating plant growth in greenhouses. Patent 2182759 Russian Federation. [8] Nugmanov, S.S., Gridneva, T.S., Vasiliev, S.I., Fatkhutdinov, M.R. (2015). Improvement of electrophysical methods and technical means for control and impact on agricultural objects. Research report (intermediate), 49 p. [9] Nugmanov, S.S., Gridneva, T.S., Vasiliev, S.I., Fatkhutdinov, M.R. (2018). Improvement of electrophysical methods and technical means for control and impact on agricultural objects. Research report (final), 160 p. [10] Vasiliev, S.I., Mashkov, S.V., Fatkhutdinov, M.R. (2016). Electromagnetic stimulation of seeds and plants. Sel'skiy mekhanizator. 7, 8-9. [11] Vasiliev, S.I., Mashkov, S.V., Syrkin, V.A., Gridneva, T.S. (2018). Development of intensive technology and technical means (biomodule) for the production of organic vegetable products. Innovative achievements of science and technology of the agro-industrial complex. Kinel, Russia, 576-579. Sergey Mashkov is an Associate Professor and Acting Rector of the Samara State Agrarian University. He is a Candidate of Economic Sciences. His research interests are Economic Assessment of Agricultural Machinery in Crop Production Technology

Sergey Vasil'ev is, an Associate Professor of the Department of Electrification and Automation of the agro-industrial complex. He is a Candidate of Technical Sciences. His research interests are Electrical Engineering and Electronics, Electrical Networks and Systems, Electrical Materials.

Marat Fatkhutdinov is an Associate Professor of the department of Electrification and Automation of the Agro-Industrial Complex. He is a Candidate of Technical Sciences. His research interests are Electrical Equipment Operation.

Tat'yana Gridneva is an Associate Professor of the Department of Electrification and Automation of the Agro-Industrial Complex. She is a Candidate of Technical Sciences. Research interests: Power Supply, Automation

:: 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

ITJEMAST 11(16) 2020 (TuEngr.com)