2020_11(6) _TJEMAST Multidisciplinary Research Articles @ TuEngr.com

Volume 11 Issue 6 (2020) ISSN 2228-9860 eISSN 1906-9642

http://TuEngr.com IMPACTS OF FOREIGN DIRECT INVESTMENT ON INDIAN RETAIL BAZAAR: AN EMPIRICAL STUDY ALGORITHMIZATION FOR PROCESSES OF REGIONAL DIFFERENTIATION AND CONCENTRATION OF INVESTMENTS IN RUSSIAN AGRICULTURE FACTORS AFFECTING ACCEPTANCE AND THE USE OF TECHNOLOGY IN YEMENI TELECOM COMPANIES STUDENTS' FINANCIAL LITERACY AND POLICIES FOR ITS DEVELOPMENT 3D MODELING IN AUTOCAD? AS A BASIC COMPONENT OF THE INITIAL TRAINING OF MECHANICAL ENGINEERS USE OF FULL-FAT SOY FLOUR IN COMPOUND FEEDS FOR MEAT CHICKENS OF THE INITIAL LINES AND BROILER CHICKENS A ROBUST VIDEO STABILIZATION ALGORITHMS FOR GLOBAL MOTION ESTIMATION USING BLOCK MATCHING EVALUATION OF ERGONOMIC DESIGN OF DESK AND CHAIR FOR PRIMARY SCHOOLS IN ERBIL CITY

MICRO AND MACRO FINANCIAL INCLUSION AND THEIR IMPACTS ON ECONOMIC GROWTH: EVIDENCE FROM ASIAN ECONOMIES WITH ALTERNATIVE APPROACHES DEVELOPMENT OF TECHNOLOGY FOR THE PRODUCTION OF MULTICOMPONENT FEED SUPPLEMENT HOSPITAL ANXIETY AND DEPRESSION OF PATIENTS WITH HEART FAILURE IN SOUTH PUNJAB PAKISTAN: A SECTIONAL SURVEY STUDY ROLES OF PHYSICAL ENVIRONMENT IN CHARACTERIZING THE IDENTITY OF MALAY ROYAL TOWN IN ALOR SETAR, KEDAH GREEN HUMAN RESOURCE MANAGEMENT PRACTICES AND ORGANIZATIONAL CITIZENSHIP BEHAVIOUR FOR ENVIRONMENT: THE INTERACTIVE EFFECTS OF GREEN PASSION CHARACTERISTICS OF POST-GLOBALIZATION APPLICATION OF NUMERICAL MODELING TO PREDICT AND EVALUATE THE EFFECTS OF MANAGEMENT SCENARIOS IN GROUNDWATER RESOURCES EFFECTS OF IRRIGATION SCHEDULING AT DIFFERENT MANAGED ALLOWABLE DEPLETION IN SALINE SOIL ON THREE RICE VARIETIES DYNAMIC NEXUS AMONG GOLD PRICE, EXCHANGE RATES, AND EQUITY RETURN OF PAKISTAN SMALL SPACES NEED SMART SOLUTIONS: IMPACTS OF SMART INTERIOR DESIGN SOLUTIONS ON ACHIEVING FLEXIBLE SPACES STATE AND EFFECTIVENESS OF THE RUSSIAN ENTERPRISE OF HORTICULTURE PRODUCTION IMPACTS OF SUBSTANTIAL STRATEGIC ISSUES AND TRENDS OF FOREIGN DIRECT INVESTMENT ON INDIAN RETAIL CONSUMER SERVICE INDUSTRY

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

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International Editorial Board

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

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

Editorial Board:

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

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

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

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

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

Volume 11 Issue 6 (2020) http://TuEngr.com

ISSN 2228-9860 eISSN 1906-9642

FEATURE PEER-REVIEWED ARTICLES

MICRO AND MACRO FINANCIAL INCLUSION AND THEIR IMPACTS ON ECONOMIC GROWTH: EVIDENCE FROM ASIAN ECONOMIES WITH ALTERNATIVE APPROACHES

11A06A

DEVELOPMENT OF TECHNOLOGY FOR THE PRODUCTION OF MULTICOMPONENT FEED SUPPLEMENT

11A06B

HOSPITAL ANXIETY AND DEPRESSION OF PATIENTS WITH HEART FAILURE IN SOUTH PUNJAB PAKISTAN: A SECTIONAL SURVEY STUDY

11A06C

ROLES OF PHYSICAL ENVIRONMENT IN CHARACTERIZING THE IDENTITY OF MALAY ROYAL TOWN IN ALOR SETAR, KEDAH

11A06D

GREEN HUMAN RESOURCE MANAGEMENT PRACTICES AND ORGANIZATIONAL CITIZENSHIP BEHAVIOUR FOR ENVIRONMENT: THE INTERACTIVE EFFECTS OF GREEN PASSION

11A06E

CHARACTERISTICS OF POST-GLOBALIZATION

11A06F

APPLICATION OF NUMERICAL MODELING TO PREDICT AND EVALUATE THE EFFECTS OF MANAGEMENT SCENARIOS IN GROUNDWATER RESOURCES

11A06G

EFFECTS OF IRRIGATION SCHEDULING AT DIFFERENT MANAGED ALLOWABLE DEPLETION IN SALINE SOIL ON THREE RICE VARIETIES

11A06H

DYNAMIC NEXUS AMONG GOLD PRICE, EXCHANGE RATES, AND EQUITY RETURN OF PAKISTAN

11A06I

SMALL SPACES NEED SMART SOLUTIONS: IMPACTS OF SMART INTERIOR DESIGN SOLUTIONS ON ACHIEVING FLEXIBLE SPACES

11A06J

STATE AND EFFECTIVENESS OF THE RUSSIAN ENTERPRISE OF HORTICULTURE PRODUCTION

11A06K

IMPACTS OF SUBSTANTIAL STRATEGIC ISSUES AND TRENDS OF FOREIGN DIRECT INVESTMENT ON INDIAN RETAIL CONSUMER SERVICE INDUSTRY: AN EMPIRICAL INVESTIGATION

11A06L

i

IMPACTS OF FOREIGN DIRECT INVESTMENT ON INDIAN RETAIL BAZAAR: AN EMPIRICAL STUDY

11A06M

ALGORITHMIZATION FOR PROCESSES OF REGIONAL DIFFERENTIATION AND CONCENTRATION OF INVESTMENTS IN RUSSIAN AGRICULTURE

11A06N

FACTORS AFFECTING ACCEPTANCE AND THE USE OF TECHNOLOGY IN YEMENI TELECOM COMPANIES

11A06O

STUDENTS' FINANCIAL LITERACY AND POLICIES FOR ITS DEVELOPMENT

11A06P

3D MODELING IN AUTOCAD? AS A BASIC COMPONENT OF THE INITIAL TRAINING OF MECHANICAL ENGINEERS

11A06Q

USE OF FULL-FAT SOY FLOUR IN COMPOUND FEEDS FOR MEAT CHICKENS OF THE INITIAL LINES AND BROILER CHICKENS

11A06R

A ROBUST VIDEO STABILIZATION ALGORITHMS FOR GLOBAL MOTION ESTIMATION USING BLOCK MATCHING

11A06S

EVALUATION OF ERGONOMIC DESIGN OF DESK AND CHAIR FOR PRIMARY SCHOOLS IN ERBIL CITY

11A06T

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: +66-2-5643022 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.

P l P id i MALAYSIA/THAILAND Side image is the colorful models of Corona COVID19 virus.

ii

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

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

PAPER ID: 11A06A

MICRO AND MACRO FINANCIAL INCLUSION AND THEIR IMPACTS ON ECONOMIC GROWTH: EVIDENCE FROM ASIAN ECONOMIES WITH ALTERNATIVE APPROACHES Jamshed Ali 1 2

1*

, Muhammad Arshad Khan

2

Department of Management Science, COMSATS University Islamabad, PAKISTAN. Department of Economics, COMSATS University Islamabad, PAKISTAN.

ARTICLEINFO

Article history: Received 19 June 2019 Received in revised form 10 December 2019 Accepted 27 December 2019 Available online 06 January 2020

Keywords:

Micro-FII; Macro-FII; Financial inclusion indices; Economic growth; Dynamic Factor Model (DFM); Financial development indicators; GMM.

A B S T RA C T

This study examines the impacts of financial inclusion on economic growth in a panel of 20 Asian economies using annual data over the period 1995-2017. Two separate indices, namely microfinancial inclusion and macro-financial inclusion were constructed following Sarma (2008) and the Dynamic Factor Model. The impact of each index, as well as individual indicators of financial inclusion, is analyzed to get deeper insights into the impact of financial inclusion on economic growth in Asian economies. The impact of the microfinancial inclusion index based on Saram’s (2008) methodology is found to be significant, while the impact of macro-financial inclusion index remains insignificant. In contrast, the impact of DFM-based micro and macro-financial inclusion indices exerts an insignificant impact on economic growth. The difference in results could be due to the fact that Sharma’s index measures the level of financial inclusion, while DFM-based indices reflect the growth of financial inclusion indicators. With regard to the individual indicators of financial inclusion, the results show that a number of banks, borrower accounts, and deposit accounts have a significant positive impact on economic growth, while financial system deposits and insurance premium exerts an insignificant impact on economic growth.

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

1 INTRODUCTION Financial inclusion is a multi-dimensional term used to describe a financial system that provides easy access to financial services at affordable costs to households and businesses, irrespective of their size and market value (Mohan, 2006). It is a process that ensures access to financial services to every member of society in a transparent manner and at affordable prices through the proper institutional setup. World Bank (2008, p. 27) defines financial inclusion as “the *Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

1

access to financial services without non-price and price barriers to all members of society”.

Deposits, credit, payments, and insurance are generally considered as the main indicators of financial inclusion. Allen et al. (2012) argued that bank account increases savings, empowers women, boost household consumption and raise productive investment, which in turn accelerate economic growth. Financial inclusion enables institutions to operate under comprehensive regulations, organizational framework and industry-specific performance standards. It brings sustainability in the performance of institutions and ensures financial stability through continuity of funds. It helps in allocating financial risks to those agents who have the capacity to bear it without hurting their financial position (Demirguc-Kunt et al, 2008). Financial inclusion enhances market competition through increasing choices among different financial products and affordability for potential customers. It also augments inclusive growth, economic development, and financial deepening thereby reduce poverty and income inequality. In contrast, financial exclusion leads to the emergence of unorganized and exploitative financial markets and financial illiteracy (Sharma, 2016).

Schumpeter (1911) is the pioneer detecting a link between finance and economic growth that an effective and organized financial system is important for facilitating economic growth through the channelization of funds. Economic growth can be simulated by having a well-functional financial system with reasonable financial depth. The deepening of the financial sector increases the supply of financial services, which in turn stimulates economic growth. In the modern socioeconomic development policy agenda, broader accessibility to various financial products and services is considered an important enabling factor (Buera et al, 2011). Financial inclusion is vital for economic development and decreasing poverty (Beck & Torre, 2006).

The available literature on the impact of Asian financial inclusion and economic growth is scant. Many studies concentrated on specific geographical areas like the Organization of Islamic Countries (OIC) and the Middle East and North Africa (MENA), while Asian has been largely neglected. It would be very interesting to examine the impact of financial inclusion on Asian economic growth. Asia is diverse in terms of culture, political system, economic size and level of economic development. Asia is the biggest continent on the basis of population as it hosts 60% of the world’s population and it covers 30% of the land area. The average Asian GDP growth rate was more than 5% per annum. The Organization for Economic Cooperation and Development (OECD, 2017) projected that the Asia-pacific region is expected to grow at a rate of more than 5% in the coming years. The growth of China and India is exceptional in the region. The other economies are also growing at an average rate of 5%. The nominal GDP of Asia was $31.58 trillion; while per capita income was $7351 (IMF, 2019). Despite the large economic size and exceptional economic growth, a large number of population has still a very low level of financial access in Asia as compared to other parts of the world. According to the Global Findex (2017) more than half of the financially excluded peoples living in China, India, Bangladesh, Pakistan, Indonesia, Nigeria, and Mexico. This indicates that Asia is also hosting the largest segment of the world’s financially excluded peoples. Thus, improving financial access can lead to Asia as an important stimulus for achieving sustainable economic growth.

Several empirical studies (inter alia by Demirguç-Kunt et al, 2013; Efobi et al, 2014; Allen et al, 2016; Muhammad et al, 2017) focused on individual characteristics of financial inclusion and

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Jamshed Ali, Muhammad Arshad Khan

overlooked the role of a macro-level factor in determining economic growth. Given the importance of financial inclusion in economic growth, the main objective of this study is to examine the impact of micro-based and macro-based indicators of financial inclusion on economic growth for a panel of 20 Asian countries for 1995-2017, as no previous studies found. This study uses the Dynamic Factor Model (DFM), which is a relatively new approach for the construction of micro-based and macro-based financial inclusion indices. The DFM method is useful to deal with the issues of multicollinearity and dimensionality. To check the robustness we also construct micro-based and macro-based financial inclusion indices using Sarma (2008) methodology. The empirical analysis based on micro and macro-based indices of financial inclusion allows us to understand their relative importance in the determination of economic growth in the Asian region. This study also investigates the impact of each component of financial inclusion on economic growth in 20 Asian countries.

2 LITERATURE REVIEW Theoretically, Schumpeter (1911) argued that a well-functional financial sector facilitates the real sector’s growth which enhances the economic growth of an economy. Shaw (1973) and Mckinnon (1973) asserted that a well-developed financial sector decreases monitoring and transaction costs and minimizes asymmetric information and thus enhances financial intermediation in an economy. Financial inclusion received much attention after the late 1990s and the early 2000s.

In 2010, G20 countries accepted financial services accessibility as one of the major pillars of the world development agenda (Zins & Weill, 2016). Many researches on financial inclusion shown mixed results on the relationship between finance and economic growth, divided into three groups.

The first group concluded positive relationships between financial inclusion and economic growth, using a variety of financial inclusion indicators (FII). For example, Wong (2015) found positive impacts of financial access on economic growth in developing countries. Inoue and Hamori (2016) detected positive impacts of commercial bank branches on economic growth in 37 Sub-Saharan African economies. Subrahmanyam & Acharya (2017) demonstrated that financial inclusion as a component of the supply-leading strategy of the financial development model can clearly create faster economic growth. Kim et al. (2018) examined the impact of financial access on economic growth in 55 economies of the OIC region. Their results showed that a high level of financial access causes faster economic growth. Likewise, Sethi & Acharyaa (2018) concluded that financial inclusion exerted a positive impact on economic growth in a panel of 31 countries.

At the country level, the positive effects of financial inclusion on economic growth were reported by (Aduda & Kalunda, 2012; Onalapo, 2015; Babajide et al, 2015; Sharma, 2016) using different approaches. They concluded that access to finance spurs economic growth in different countries. For instance, Dev (2006) demonstrated that in India financial inclusion can work as a strategic tool for improving rural enterprises and livelihood of underprivileged farmers. Mehrotra et al. (2009) reported that access to financial services enables saving, transferring and investing money, which faster economic growth. Similarly, Swamy (2010) emphasized the importance of access to finance for long term inclusive growth. Lenka & Sharman (2017) revealed a positive association between economic growth and access to finance in India. The second group demonstrated that financial inclusion has a negative impact on economic growth. For example, *Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

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Naceur et al. (2007) explored that in MENA region bank development adversely affected economic growth, meaning that banking sector development has a negative effect on economic growth. They also observed that private sector credit exerted an insignificant impact on growth in MENA countries. Pearce (2011) demonstrated that financial inclusion enhances the economic growth of a smaller social class, while the disadvantaged groups like underprivileged, elders, women and uneducated populations cannot get benefits from the financial system. Thus, financial inclusion does not affect the economic growth of disadvantaged groups. The third group explored the causal links of financial inclusion and economic growth. For instance, Apergis et al. (2007) found bidirectional causality between financial inclusion and economic growth in a panel of 65 OECD and non-OECD countries. Sharma (2016) explored bi-directional causality between financial inclusion and economic growth. Similarly; Kim et al. (2018) also revealed the presence of a bi-directional causal relationship between financial inclusion and economic growth in OIC countries.

The conflicting evidence with respect to the link between financial inclusion and economic growth creates a need for an investigation to gain new insights. It is worthwhile for developing regions like Asia to examine how micro and macro-level financial inclusion impacts economic growth. Since financial intermediaries work as catalysts for economic growth in developing economies like Asia, therefore, economic growth is assumed to be dependent on financial sector development.

3 MODEL, METHODOLOGY, AND DATA The present study investigates different dimensions of financial inclusion in 20 Asian countries in a more comprehensive way. To get deep insights into financial inclusion and economic growth nexus, we have used different statistical techniques such as Sarma (2008), DFM and dynamic panel Generalized Moment Method (GMM) estimator.

3.1 FINANCIAL INCLUSION AND ECONOMIC GROWTH To examine the impact of financial inclusion on economic growth, we have used a two-step procedure. In the first step, we have examined the impact of financial inclusion on economic growth in a panel of 20 Asian countries. We have constructed two separate indices for micro and macrofinancial inclusion. Then, we have examined the impact of individual indicators of financial inclusion on economic growth. Following Kim et al. (2018), we specify the empirical model LnGDPPCit = β 0 + θLnGDPPCit −1 + β1INFit + β 2 POPit + β 3 SEit + β 4Tradeit + β 5Unempit + β 6 FII it + n i + e it

(1), where cross-sectional units are represented by i, while t represents the time period, that is, 19952017. The term vi represents country-specific effects, while the error term ε it is assumed to be identically and independently distributed ( iid ) over the whole sample period. In Equation (1), one lag of LnGDPPCit is included to control the endogeneity problem. The dependent variable LnGDPPC is the logarithmic value of GDP per capita which is used as a proxy of economic growth, FII is the financial inclusion index. INF is the inflation rate, POP is the population

growth rate, SE indicates school enrolment and Unemp represents the unemployment rate. To examine the impact of individual indicators of financial inclusion on economic growth, we can rewrite Equation (1) as:

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Jamshed Ali, Muhammad Arshad Khan

LnGDPPCit = β 0 + θLnGDPPCi t −1 + β1 INFit + β 2 POPit + β 3 SEit + β 4Tradeit + β 5Unempit 6

+ ∑ γ i {, LnBanksit , LnDAit , LnBAit , LnIPit , LnFSDit , LnPCit } + n i + e it i =1

(2),

where DA , BA , IP , FSD and PC are the deposit accounts, borrower accounts, insurance premium relative to GDP, total deposits in the financial system and private sector credit relative to GDP, respectively. The description of variables and data sources is given in Table 1.

Table 1: Definition of variables and data source.

Variable Real GDP per capita

Population growth

Symbol

GDPPCit POPit

Unemployment rate

Unempit

Inflation rate

INFit

School enrolment

SEit

Trade Openness

Tradeit

Deposit accounts

DAit

Borrower accounts

BAit

No of banks

Banksit

Private sector credit relative to GDP Financial system deposits relative to GDP Insurance premium relative to GDP

PCit

FSDit IPit

Definition of Variable Real GDP per capita is obtained as gross domestic product adjusted for inflation dividing by the population of each country.

The population growth rate for the year t is the growth rate of the midyear population from t − 1 to t .

The unemployment rate measures the number of people actively looking for jobs as a percentage of the total labor force.

Inflation is calculated as changes in Consumer Price Index (CPI) with base year 2010=100.

Net primary enrollment is obtained as the ratio of school age who are enrolled in school and population of official school age.

Sum of exports and imports relative to GDP. A number of deposit accounts with commercial banks per 100000 of the population.

A number of borrower accounts with commercial banks per 100000 of the population.

Number of commercial bank per 100000 of population Total credit distributed to the private sector as a percentage of GDP. Total demand, time and saving deposits with banks and other financial institutions as a percentage of GDP. Total life and non-life insurance premium as a percentage of GDP.

Data Source World Bank

World Bank International Labour Organization World Bank/ International Monetary Fund (IMF) UNESCO Institute of Statistics World Bank/IMF IMF/World Bank’s World Development Indicators and respective country central bank and statistics department World Bank/IMF World Bank/ IFS World Bank

3.2 DATA This study main object is to explore the impact of financial inclusion on economic growth in 20 Asian economies. The available 1995-2017 data on various variables shown in Table 1 are extracted from the World Development Indicators (WDI), IMF’s World Governance Indicators, United Nations Education, Scientific, and Cultural Organization (UNESCO), United Nation Development Programme (UNDP), International Financial Statistics (IFS), Oxford University Database, Central Banks, and Statistical Ministries of respective countries.

3.3 METHODOLOGY One objective of this study is to construct a financial inclusion index to overcome the issues of multi-dimensionality and multicollinearity among the different indicators of financial inclusion. To this end, we have used Sarma’s (2008) methodology and DFM advanced by Stock and Watson (2002) for the construction of micro-based and macro-based financial inclusion indices.

*Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

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3.3.1 SHARMA’S METHODOLOGY Following Sarma (2008), we have constructed a micro-based financial inclusion index by considering the following indicators (justification given in Pina (2018)): o o o

A number of branches of commercial banks per 100,000 adults.

A number of commercial banks deposit accounts per 100,000 adults.

A number of borrowers from commercial banks per 100,000 adults.

For the construction of macro-financial inclusion index, we consider the following indicators: o o o

Private credit as a percentage of GDP. Insurance premium as a percentage of GDP. Deposits in the financial system as a percentage to GDP.

The average of each indicator for the selected economies is computed first and then we calculated the index of each indicator following Sarma (2008) as

Di =

Aj − m j

(3),

M j − mj

where A j is the actual value of the indicator j , m j is the minimum value of indicator i and M j is the maximum value of the indicator j . Financial inclusion index for the country I is measured by the normalized inverse of Euclidean distance of point d i computed in Equation (3) from the ideal point which is considered as 1. We used the following formula to compute financial inclusion index ( FII ): FII i = 1 −

(1 − d1 ) 2 + (1 − d 2 ) 2 + ................ + (1 − d n ) 2 n

(4),

where numerator of the second term in Equation (4) is the Euclidean distance from an ideal point which is assumed to be 1, it is normalized by the square root of the number of observations and subtracting d i from ideal value 1, giving the inverse normalized distance. All indicators are normalized for making it standardized and its value lies between 0 and 1, where 1 shows the highest level of financial inclusion and 0 reflects the lowest level of financial inclusion.

It can be argued that Saram’s (2008) methodology is based on static factor models that involved the issue of multicollinearity. It also reflects the level of financial inclusion regardless of growth in FII. To overcome this issue, we have used the DFM technique to construct the financial inclusion index that is a relatively new methodology.

3.3.2 DYNAMIC FACTOR MODEL The DFM has the ability to overcome problems of high dimensionality and multicollinearity.

The DFM method can decompose each variable into common and idiosyncratic components which make the variables different. Following Stock & Watson (2002) we have constructed micro-based and macro-based financial inclusion indices using the DFM methodology.

3.4 TRENDS OF FINANCIAL INCLUSION INDICES The trends of financial inclusion index based on Sarma’s (2008) methodology are depicted in Figure 1. In order to get deeper insights into the accessibility and usage of financial services, we have constructed two different indices, the micro-FII that reflects the micro-side of financial inclusion. Micro-FII is constructed using the information on number of bank branches per 100,000

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Jamshed Ali, Muhammad Arshad Khan

adults, number of deposit accounts per 100,000 adults and number of saving accounts per 100.000 adults, while macro-FII deals with macro-side of financial inclusion, which is constructed using the financial development indicators such as insurance premium relative to GDP, private sector credit relative to GDP and total deposits in financial system of economy. The score of FII lies between 0 and 1, 0 indicates a minimal level of financial inclusion; while 1 reflects the highest level of financial inclusion.

Figure 1: Trends of Macro and Micro financial inclusion indices (1995-2017) (Sources: Authors calculations) Figure 1, Japan has the highest score in micro-FII and macro-FII, followed by Indonesia, South Korea, and Singapore. The relatively high discrepancy between micro and macro-financial inclusion indices in some countries could be due to the difference between the level of financial accessibility and financial sector development. For example, Thailand has quite a good financial development level as compared to the level of financial accessibility. We have ranked countries based on the level of financial inclusion. Table 2 depicts macro-FII and micro-FII ranking.

Table 2: Ranking of Asian Countries by Micro-FII and Macro-FII (1995-2017).

Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

(Sources: Authors calculation).

Country Micro-FII Rank Country Japan 0.601 1 Japan South Korea 0.356 2 South Korea Singapore 0.325 3 Thailand Brunei-DS 0.317 4 China Magnolia 0.256 5 Singapore Malaysia 0.206 6 Malaysia Uzbekistan 0.182 7 Kyrgyz rep India 0.146 8 India Thailand 0.145 9 Brunei-DS Indonesia 0.116 10 Magnolia Sri Lanka 0.104 11 Vietnam Khazikistan 0.088 12 Indonesia Azerbaijan 0.085 13 Sri Lanka China 0.074 14 Philippine Bangladesh 0.070 15 Bangladesh Pakistan 0.070 16 Khazikistan Philippine 0.063 17 Pakistan Tajikistan 0.042 18 Azerbaijan Kyrgyz Rep 0.039 19 Tajikistan Vietnam 0.038 20 Uzbekistan

Macro-FII 0.735 0.591 0.421 0.277 0.276 0.265 0.234 0.205 0.174 0.171 0.135 0.133 0.114 0.109 0.109 0.084 0.046 0.043 0.037 0.035

Table 2, on the basis of micro-FII, Japan has the highest level of financial inclusion, followed *Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

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by South Korea, Singapore, and Brunei Darussalam, while Vietnam and the Kyrgyz Republic have the lowest level. Pakistan is in the 16th position; it means that access to financial services in Pakistan is better than Philippine, Tajikistan, Kyrgyz Republic and Vietnam.

Macro-FII reflects the level of financial sector development. Again, Japan has the highest score, followed by South Korea, Thailand, China, Singapore, and Malaysia, while Uzbekistan has the lowest score. Pakistan is in the 17th position based on the level of financial sector development.

3.5 DYNAMIC FACTOR MODEL-BASED FINANCIAL INCLUSION INDICES The micro-FII and macro-FII based on the DFM approach are depicted in Figure 2.

Figure 2: Trends of Macro-FII and Micro-FII based on DFM Approach (1995-2017) (Sources: authors’ calculations).

The Micro-FII depicted in Figure 2 shows higher variation across countries. This means that countries with a high level of financial inclusion have a higher score based on the DFM approach.

However, macro-FII indicates relatively less variation as compared to the fluctuation associated with micro-FII. This clearly indicates that micro-FII is more volatile than macro-FII and in terms of access to finance because Asian economies are more heterogeneous.

4 RESULT 4.1 DESCRIPTIVE STATISTICS In Table 3, the mean values of all variables are positive. More importantly, positive mean values of Micro-FII and Macro-FII indicates an important role of access to financial services and financial development in economic growth in selected Asian countries. The mean value of microlevel financial inclusion, such as the number of bank branches, the number of deposit accounts and a number of borrower accounts is positive. Among the micro-level FII, the mean value of a number of deposit accounts is highest (112865.6), followed by a number of borrower accounts (23755.96), showing the key role of these variables in economic growth. Similarly, the large difference between maximum and minimum values for all variables indicating that the selected sample is heterogeneous with large and small countries. On the other hand, the mean value of macro-level FII is also positive with a mean value of private sector credit is 53.40, followed by financial system deposits relative to GDP (49.46). The standard deviation of all variables is positive. However, the standard deviation of deposit accounts (DA) and borrower accounts (BA) has the highest variation among all the variables, showing large volatility in these variables. The standard deviation of

8

Jamshed Ali, Muhammad Arshad Khan

Sarma’s micro and macro-financial inclusion indices is lowest because of the standardization of indices values between 0 and 1.

Table 3: Descriptive statistics.

Variable LnGDPPCit

Mean 8.93

SD 1.15

Min 6.65

Max 11.45

DFM : Macro − FII it DFM : Micro − FII it

0.37

0.99

-2.51

6.66

1.58

2.55

-5.02

8.10

Sarma : Macro − FII it

0.21

0.18

0.01

0.79

Sarma : Micro − FII it

0.17

0.15

0.01

0.67

SEit

91.08

8.91

42.23

99.92

Tradeit

95.73

74.67

16.68

437.3

Unempit

5.15

3.10

0.39

16.5

POPit

1.30

0.79

-1.75

5.32

INFit

9.49

32.38

-8.52

512.3

Banksit

13.55

13.38

0.081

71.61

DAit

112865.6

153097.5

462.79

726909

BAit

23755.96

26136.8

207.42

123300

PCit FSDit

53.40

48.40

0.94

192.46

49.46

48.58

1.42

221.13

IPit

2.33

2.83

0.02

13.18

To examine the possibility of multicollinearity among the variables under consideration, we performed Pearson’s correlation analysis and the results are reported in Table 4.

Table 4: Correlation analysis.

Ln (GDPPC)

SE Trade Unemp POP INF Banks DA BA PC FSD IP

Ln (GDPPC)

SE

1.00 0.44 0.38 -0.23 -0.12 -0.24 0.41 0.62 0.81 0.38 0.44 0.51

1.00 0.32 0.02 -0.29 -0.13 0.22 0.35 0.37 0.45 0.34 0.36

Trade Unemp POP

INF

Banks

DA

BA

PC

FSD

IP

1.00 0.01 0.27 0.02 0.01 0.01 0.39 0.01 -0.09 0.16

1.00 -0.10 -0.13 -0.16 -0.16 -0.15 -0.13

1.00 0.39 0.33 0.34 0.19 0.09

1.00 0.77 0.55 0.84 0.79

1.00 0.37 0.61 0.68

1.00 0.64 0.50

1.00 0.74

1.00

1.00 -0.12 0.27 -0.09 -0.17 -0.21 -0.33 -0.19 -0.28

1.00 -0.01 -0.02 -0.35 -0.13 -0.38 -0.39 -0.33

The correlation coefficients reported in Table 4 show that unemployment, population growth, and inflation rate are negatively correlated with real GDP per capita. The reason for the negative correlation of these variables with real GDP per capita could be the adverse effect of macro and micro variables on economic growth. Population growth without a proper plan and economic resources leads to serious socioeconomic problems; the main issue is that it can cause unemployment. An increase in unemployment may decreases productivity and reflects the underutilization of human resource. Similarly, inflation adversely affects a household’s consumption and savings, which in turn have a negative impact on real GDP per capita growth.

Among the financial inclusion indicators, BA and DA have a positive correlation with real GDP per capita with correlation coefficients are 0.62 and 0.81 respectively. It reflects that an increase in borrower accounts and deposit accounts causes to increase in real GDP per capita in Asian *Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

9

countries. The positive correlation could be due to the fact that it facilitates a pro-growth environment that enables inclusive growth.

4.2 IMPACT OF MICRO FINANCIAL INCLUSION ON ECONOMIC GROWTH Using a dynamic GMM estimator, we have estimated five models by considering micro-FII and individual components of financial inclusion. The main aim of using individual indicators of financial inclusion is to get deeper insights regarding the impact of each indicator on economic growth. Table 5 presents the estimated result when micro-level FII is considered.

Table 5: Estimates of micro-FII and economic growth. (Dependent variable: LnGDPPCit ).

Variable

LnGDPPCit −1 SEit Tradeit INFit POPit Unempit Sarma : Micro − FII it DFM : Micro − FII it

Model (A) 0.787*** (7.05) 0.0024 (0.53) 0.0015** (2.05) 0.00007 (0.09) -0.16 (-1.10) -0.041** (-2.11) 0.022** (2.19) -

Model (B) 0.90*** (12.13) 0.0043 (0.63) 0.0013* (1.89) -0.0008 (-1.64) -0.094* (-1.99) -0.03** (-2.18) -

LnBanksit

-

-0.007 (-1.15) -

LnDAit

-

-

LnBAit

-

Model (C) 0.085*** (11.75) 0.0008 (1.55) 0.0003** (2.05) -0.010*** (-3.75) -0.024** (-2.22) -0.0023 (-0.74) -

Model (D) 0.81*** (7.02) 0.0032 (0.36) 0.0022*** (3.07) 0.00023 (0.26) -0.11 (-1.48) -0.042*** (-3.53) -

Model (E) 0.76*** (9.73) 0.002** (2.26) 0.0012* (1.82) -0.052** (-2.05) -0.028 (-0.76) -0.038*** (-2.91) -

-

-

-

0.004** (2.15) -

-

-

0.024** (2.21) -

-

0.029** (2.14) Observations 460 460 460 460 460 AR(2) 0.27 0.13 0.21 0.19 0.52 Hansen test 0.63 0.68 0.64 0.55 0.71 F-state 230.23*** 435.16*** 683.4*** 110.86** 184.01*** Note: Values in parentheses are the t-stat. *, **, *** respectively indicate significance at the 10%, 5% and 1% level.

-

-

The results associated with Model (A) indicate the impact of the financial inclusion index based on Sarma’s (2008) method. The finding shows that financial inclusion based on micro indicators exerts a significant positive impact on economic growth. This implies that an increase in the accessibility of financial services plays an important role in enhancing economic growth in the Asian region. Furthermore, one period lagged GDPPC, trade openness and unemployment has a statistically significant impact on economic growth. Concerning the control variables, the result reveals that trade openness exerts a significant positive impact on economic growth as it improves the usage of financial services and also increases the circulation of capital. The impact of the unemployment rate on economic growth is negative and significant. It could be due to the fact that when unemployment increases, economic activities slowed down, which in turn deteriorates economic growth. Other control variables such as school enrolment, inflation rate, and population growth exert an insignificant impact on economic growth. Model (B) shows the impact of DFMbased micro-FII on economic growth. The result indicates that DFM-based micro-FII exerts an insignificant negative impact on economic growth in Asian countries. Other variables such as lagged GDPPC, trade openness, population growth and unemployment rate have a significant

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Jamshed Ali, Muhammad Arshad Khan

impact on economic growth, while school enrolment and inflation rate are insignificant.

With regard to the individual indicators of financial inclusion, in the model (C) a number of bank branches are positively related to economic growth. This implies that an increase in the number of bank branches providing access to financial services, which in turn exerts a positive impact on economic growth. The positive association shows that the increase in banking penetration is a key factor in deriving economic growth. Furthermore, the impact of lagged GDPPC, trade openness, inflation rate and unemployment rate are statistically significant. Model (D) indicates that the impact of deposit accounts on economic growth is positive and statistically significant. This reveals that an increase in the number of deposit accounts enhances economic growth in Asian countries. This finding is important in the sense that an increase in the number of deposit accounts is a very basic step towards achieving financial inclusion. Additionally, lagged GDPPC, trade openness, inflation rate and population growth have a significant impact on economic growth.

Finally, in Model (E) the impact of borrower accounts on economic growth is positive and significant, implying that an increase in loan accounts leads to enhances economic growth in Asian countries. Other variables entered in the Model (E) with a statistically significant impact on economic growth. Overall, the results reported in Models (C) to (E) reveal a positive and significant relationship of a number of banks, deposits accounts and borrower’s accounts with economic growth which supports the financial inclusion-growth nexus in selected Asian countries.

4.3 IMPACT OF MACRO FINANCIAL INCLUSION ON ECONOMIC GROWTH Table 6 estimates the impact of macro-financial inclusion index as well as individual macroindicators of financial inclusion on economic growth. It gives useful insights into the impact of financial deepening on economic growth in Asian countries.

Table 6: Estimations of macro-FII and economic growth in Asian countries (Dependent variable: LnGDPPCit ).

Variable

LnGDPPCit −1 SEit

Tradeit INFit POPit

Unempit Sarma : Macro − FII it

DFM : Macro − FII it

Model (F) 0.877*** (10.08) 0.006 (0.45) 0.001* (1.94) -0.0004 (-0.20) -0.160 (-1.41) -0.043* (-1.88) -0.007 (-0.56) -

Model (G)

Model (H)

Model (I)

Model (J)

0.867*** (8.24) 0.011 (1.08) 0.001 (1.33) 0.001 (1.13) -0.21 (-1.34) -0.470** (-2.15) -

0.961*** (13.05) -0.022** (-2.20) 0.002*** (3.07) 0.001 (-1.35) -0.054* (-1.86) -0.037*** (-2.77) -

0.864*** (11.74) 0.0027 (0.20) 0.001** (2.28) 0.0007 (0.32) -0.13 (-1.02) -0.052** (-2.22) -

0.910*** (13.34) 0.0032 (0.51) 0.001*** (3.24) -0.0001 (-0.04) -0.190 (-1.37) -0.046 (-1.39) -

-

-

-

-

-

0.003** (2.06) -

-

LnPCit

-

-0.010 (-0.58) -

LnFSDit

-

-

0.003* (1.73) -

LnIPit

-

-

-

-0.029 (-1.18) 460 0.23 0.77 429.2***

460 460 460 460 Observations 0.21 0.20 0.89 0.14 AR(2) 0.80 0.39 60.4 0.45 Hansen test 309.05*** 340.35*** 88.41*** 141.01*** F-stat Note: 1) Values in parentheses are the t-stat. *, **, *** respectively indicate significance at the 10%, 5% and 1% level. *Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

11

It is evident from Table 6 (Model (F)) that the impact of macro-financial inclusion index (macro-FII) due to Sarma’s (2008) on economic growth is insignificant. This means that the financial deepening-side of financial inclusion does not influence economic growth significantly in selected countries of the Asian region. In addition, lagged GDPPC, trade openness and the unemployment rate has a statistically significant impact on economic growth. Similarly, in Model (G) the impact of macro-financial inclusion index based on DFM (DFM-macro-FII) on economic growth has also insignificant. However, lagged GDPC, trade openness, and the unemployment rate has a significant impact on economic growth in selected Asian countries. This implies that the growth of the financial sector does not produce any significant impact on economic growth in Asian countries.

With respect to individual macro components of financial inclusion, Model (H) reflects that private sector credit relative to GDP has a significant positive impact on economic growth. This implies that an increase in private sector credit exerts a positive impact on economic growth, although the impact of this variable on economic growth is too small. The impact of total deposit with the financial sector ( LnFSDit ) on economic growth in Model (I) is positive and statistically significant. This also implies that the growth of total deposits of the financial system has a positive impact on economic growth. However, the coefficient of this variable is also too small. On the other hand, in Model (J) the effect of insurance premium ( LnIPit ) on economic growth is found to be negative but statistically insignificant. This means the insurance sector does not play any role in economic growth in Asian countries. The impact of lagged GDPPC and other control variables, such as trade openness, population growth, and the unemployment rate is statistically significant in Model(s) (H) through (J), suggesting the key role of these macroeconomic variables in the growth process in Asian countries.

Overall, this study result is consistent with the existing literature. For example, Kendall et al.

(2010) revealed that economic development is associated with bank branches, deposit accounts, loan accounts and ATM’s availability. Andrianaivo & Kpodar (2011) found a positive and statistically significant effect of financial inclusion on economic growth. Similarly, Demirguc & Klapper (2013) observed that those economies where the commercial bank branches and the volume of deposits are high, the income level of households in those areas also increases at a faster pace. Wong (2015) revealed that growth in developing countries was positively affected by access to finance. Likewise, Inoue & Hamori (2016) detected the positive impact of financial inclusion on the economic growth of selected countries. More recently Kim et al. (2018) found that a high level of financial access causes faster economic growth in OIC economies. They also detected the significant positive impact of ATMs, bank branches, borrower accounts, deposit accounts and private sector credit was significant on economic growth, while the role of insurance premium on economic growth was insignificant. Likewise, Sethi & Acharyaa (2018) concluded that economic growth in OIC economies was positively affected by financial inclusion. They reported bidirectional causality between financial inclusion and economic growth. Thus, the above-cited literature confirms that financial access is among the main drivers which cause economic growth in various part of the world.

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Jamshed Ali, Muhammad Arshad Khan

5 CONCLUSION To measure financial inclusion, we have constructed two separate indices, namely micro and macro-financial inclusion, using Sarma (2008) and Stock & Watson’s (2002) Dynamic Factor Model. The result of micro-financial inclusion based on Sarma’s (2008) method reveals a positive association of financial inclusion and economic growth, while the impact of DFM-based financial inclusion index on economic growth is insignificant. The difference between the results could be due to the fact that Sarma’s index measures the level of financial inclusion, while DFM considers the growth of FII. This suggests that the level of financial inclusion contributes to economic growth rather than the growth of financial inclusion. Furthermore, we have also examined the impact individual indicator of micro-level financial inclusion on economic growth and the results show that the number of banks, number of borrower accounts and number of deposit accounts have a statistically significant positive impact on economic growth in selected Asian countries. The impact of macro-financial inclusion indices based on Sarma and DFM methods on economic growth was found to be insignificant. Additionally, the impact of individual indicators of financial deepeningside of financial inclusion is also examined. We find that the impact of private credit relative to GDP and financial system deposits relative to GDP has a significant impact on economic growth, while the impact of insurance premium on economic growth remains insignificant.

The results show that micro-level financial inclusion index and indicators of financial inclusion such as the number of bank branches, number of borrower accounts and number of deposit accounts have a significant positive impact on economic growth in Asian countries. Therefore, to stimulate economic growth in Asian economies, policymakers may strengthen financial services accessibility.

It can be argued that improved accessibility of financial services works as a stimulus of capital accumulation and financial resources mobilization, which in turn gradually promotes economic growth and social welfare. Therefore, Asian countries may increase the penetration of financial services and eliminate barriers to financial access in order to stimulate economic growth in the region. Furthermore, the expansion of the financial sector can also contribute to economic growth in these economies.

6 DATA AND MATERIAL AVAILABILITY Information regarding this study is available by contacting the corresponding author.

7 ACKNOWLEDGEMENT The authors acknowledge the financial support provided by the Higher Education Commission of Pakistan for the first author’s PhD study. The authors acknowledge the contribution of Mr. Abdur Rehman Rana, a PhD scholar at Department of Management Sciences COMSATS University Islamabad in construction of the financial inclusion indices via DFM for this study.

8 REFERENCES Aduda, J., & Kalunda, E. (2012). Financial inclusion and financial sector stability with reference to Kenya: A review of literature. Journal of Applied Finance and Banking, 2(6), 95-120.

Allen, F. (2012). Trends in financial innovation and their welfare impact: an overview. European Financial Management, 18(4), 493-514. *Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

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Apergis, N., Filippidis, I., & Economidou, C. (2007). Financial deepening and economic growth linkages: a panel data analysis. Review of World Economics, 143(1), 179-198.

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Demirguc-Kunt, A., Klapper, L., & Randall, D. (2013). Islamic finance and financial inclusion: measuring use of and demand for formal financial services among Muslim adults. The World Bank: Washington DC. Dev, S. M. (2006). Financial inclusion: Issues and challenges. Economic and Political Weekly, 4310-4313.

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En, F., Demirguc-Kunt, A., Klapper, L., & Peria, M. S. M. (2012). The foundations of financial inclusion: Understanding ownership and use of formal accounts. The World Bank: Washington DC. Global Findex (2017). Global Findex database. http://globalfindex.worldbank.org.

Hariharan, G., & Marktanner, M. (2012). The growth potential from financial inclusion. ICA Institute and Kennesaw State University.

Inoue, T., & Hamori, S. (2016). Financial access and economic growth: Evidence from Sub-Saharan Africa. Emerging Markets Finance and Trade, 52(3), 743-753.

Kim, D. W., Yu, J. S., & Hassan, M. K. (2018). Financial inclusion and economic growth in OIC countries. Research in International Business and Finance, 43, 1-14.

Kpodar, K., & Andrianaivo, M. (2011). ICT, financial inclusion, and growth evidence from African countries. IMF Working Paper No. 11-73, International Monetary Fund, Washington DC. Lenka, S. K., & Sharma, R. (2017). Does financial inclusion spur economic growth in India?. The Journal of Developing Areas, 51(3), 215-228.

Mckinnon, R. I. (1973). Money, capital and banking. Brooklyn Institution, Washington DC. Mehrotra, N., Puhazhendhi, V., Nair, G., & Sahoo, B. B. (2009). Financial inclusion-an overview.

Occasional Paper No.48, Department of Economic Analysis and Research, National Bank for Agriculture and Rural Development (NABARD).

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Pearce, D. (2011). Financial inclusion in the Middle East and North Africa: Analysis and roadmap recommendations. The World Bank: Washington DC. Pina, G. (2018). Macro and micro financial liberalizations, savings and growth. Journal of Financial Economic Policy, 10(2), 290-309.

Sarma, M. (2008). Index of financial inclusion. Working Paper No. 215, Indian Council for Research on International Economic Relations (ICRIER).

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Sharma, D. (2016). Nexus between financial inclusion and economic growth: Evidence from the emerging Indian economy. Journal of Financial Economic Policy, 8(1), 13-36.

Shaw, E. S. (1973). Financial deepening in economic development. New York Oxford University Press.

Stock, J. H., & Watson, M. W. (2002). Macroeconomic forecasting using diffusion indexes. Journal of Business and Economic Statistics, 20(2), 147-162.

Subrahmanyam, G., & Acharya, D. (2017). Financial inclusion fosters growth: Simple multiplier and AK growth model analysis. Universal Journal of Accounting and Finance, 5(3), 55-59.

Swamy, V. (2010). Financial development and inclusive growth: Impact of government intervention in prioritized credit. Zagreb International Review of Economics and Business, 13(2), 55-72.

Wong, Y. H. (2015). Quantifying macroeconomic impacts of financial inclusion. Available at: http://mastercardcenter.org/insights/imf-mit-study-shows-financial-inclusion-drives-economicgrowth World Bank (2008). Banking the poor: Measuring banking access in 54 economies. World Bank: Washington, DC. Zins, A., & Weill, L. (2016). The determinants of financial inclusion in Africa. Review of Development Finance, 6, 46-57.

Jamshed Ali is a PhD scholar at the Department of Management Sciences, COMSATS University Islamabad, Pakistan. He got his Master’s degree in Finance, from SZABIST Islamabad, Pakitan. His research interests include Financial Development, Financial Inclusion, Economic Growth, Poverty, Indices Construction, Sovereign Rating and Dynamics of Financial Markets Cointegration.

Dr. Muhammad Arshad Khand is an Associate Professor and Chairman, Department of Economics, COMSATS University Islamabad, Pakistan. Dr. Khan holds a PhD in Economics from the Pakistan Institute of Development Economics (PIDE), Islamabad. He is interested in Financial Engineering & Financial Dynamics, International Economics, Econometrics, International Money and Finance, Environmental Economics, Agricultural and Resource Economics and Data Science.

*Corresponding author (Jamshed Ali) Tel: +92-343-5262476 Email: jamshed_ali1991@yahoo.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.5 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06A http://TUENGR.COM/V11/11A06A.pdf DOI: 10.14456/ITJEMAST.2020.101

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

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

PAPER ID: 11A06B

DEVELOPMENT OF TECHNOLOGY FOR THE PRODUCTION OF MULTICOMPONENT FEED SUPPLEMENT Sergei Dotsenko a*, Lyudmila Kryuchkova b, Andrei Burmaga

c

Department of Building Production and Engineering Structures, Far Eastern State Agrarian University, RUSSIA. b Department of Higher Mathematics, Far Eastern State Agrarian University, RUSSIA. c Department of Transport and Energy Means and Mechanization of Agribusiness, Far Eastern State Agrarian University, RUSSIA. a

ARTICLEINFO

Article history: Received 06 April 2019 Received in revised form 12 December 2019 Accepted 24 December 2019 Available online 09 January 2020

Keywords:

Feed technology; Insoluble pulp residue; Calcium supplement feed; Protein supplement; β-carotene supplement; Energy intensity; Feed production efficiency.

A B S T RA C T

This article presents the results of the development of a new highly effective feed additive based on the use of secondary fractions in the production of a substitute for whole milk. The resulting additive is characterized by high calcium content (10.8 times), as well as a content of β-carotene for 2 mg/100g of the product, which provides it with high biological and nutritional value, as well as antioxidant activity. The developed technology for energy intensity is more than 3 times lower than the base one recommended for small and medium capacity farms.

The implementation of the developed technology, as well as the set of equipment adopted for it, makes it possible to increase the efficiency of the functioning of the mechanized system of feeding animals on small and medium-sized farms by reducing the cost of energy, labor, and money.

Disciplinary: Animal Sciences (Animal Nutrition and Feed Technology). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION An analysis of the data characterizing the condition of the feed base at small and medium-sized enterprises for the production of livestock and poultry products shows that currently there is a shortage of protein, vitamins, macro and micronutrients in feed rations. So, in particular, the use of low-fat soybean meal does not allow to have vitamin E in the diets, and the absence of a root component in the diets, in the form of pumpkin or carrot - β–carotene (Tutelian, 2004, Dotsenko et al., 2020).

When developing substitutes for milk-containing feeds, still few include vegetable protein and vitamin substances, and in particular, soy, root, vegetable, and others. Low energy-intensive technologies and technical means for extracting proteins and vitamins from soy grain and root crops *Corresponding author (Sergei Dotsenko). Tel: +7-989-99-87887. Email: lyudmila0511@mail.ru

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06B http://TUENGR.COM/V10A/10A06B.pdf DOI: 10.14456/ITJEMAST.2020.102

1

have not been developed. Today, neither small nor medium producers have special small-sized modular-block technology for these purposes (Tutelian, 2005).

Protein-vitamin supplements, protein-vitamin calcium supplements, and others are homogeneous mixtures of high-protein fodder products and micro additives, crushed to the required size, used for the preparation of animal feed based on grain fodder.

Obtaining soy protein feed products of high nutritional and biological value is a promising direction in the development of complete feeds. Get fodder products from soy flour and carrot, or beetroot, or pumpkin pastes or their compositions, or their combinations based on the principle of averaging dry matter content under mild conditions and a shorter cooking time with a higher protein and fat content, the presence of biologically active substances in them - carotene and vitamins C and R (Kochetkova, 1999).

At the same time, non-fat-free flour is prepared on the basis of soybean seeds, which contains vitamin E and more than 40% protein, balanced for essential amino acids.

In this regard, obtaining protein-vitamin products based on these raw materials, for example, in granular physical form, is an urgent task.

Deficiency of proteins and calcium can be eliminated in diets by using meat or fishmeal meals, but the cost of their production is very high (Petibskaya, 2012).

A theoretical approach to achieving the goal is that upon receipt of soy protein feed products, including mixing, molding and heat treatment of a mixture of soy protein and carbohydrate-vitamin components, soy protein-free flour containing dry matter 88-92 is used as a soy protein component %, and carbohydrate and vitamin - carrot, beetroot or pumpkin paste or their composition, or combinations thereof with a solids content of 8-12% (Dotsenko et al., 2018).

At the same time, the production technology of so-called “soy milk” based on soy-pumpkin or soy-carrot compositions, a waste fraction in which soy-pumpkin or soy-carrot pulp residue is known (Dotsenko, et al, 2016).

Using this waste product in combination with chalk in powder form, you can get granular feed protein-vitamin-calcium supplement (Ostroumov, 1998).

This study develops a technological scheme for producing protein-vitamin-calcium supplements and justifies the technology using soya-pumpkin and soya-carrot pulp residue in the technology for producing granular protein-vitamin-calcium supplements with less labor and money.

2. MATERIALS AND METHODS Studies have established that pulp obtained as a waste in the production of soya-pumpkin or soya-carrot product in the form of a substitute for whole milk contains 60-70% water, δ = 10% protein, β-carotene on average up to 10 mg/kg, however, it has a limited shelf life [1, 2].

According to the proposed technology (Figure 1), on the basis of pre-soaked soybean seeds and crushed root crops (carrots and pumpkins), with the help of a grinder-extractor -1 (Figure 2), so-called "soy milk" and the waste fraction - insoluble soybean - are obtained pulp root crop, in which in a weight ratio of 1: 1, is mixed with chalk, transformed into flour form using a mixer -3. At the same time, chalk is fed from the feeder - 2.

The moisture content due to its diffuse transition into the chalk component of the composition.

A composition with average humidity is formed into granules with a diameter of 2-3 mm using a

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Sergei Dotsenko, Lyudmila Kryuchkova, Andrei Burmaga

screw - 4 and a matrix - 5. The granules are accumulated in a mesh tray - 6 and dried in a cabinet - 7 with active ventilation.

3. RESULT AND DISCUSSION The energy intensity of traditional and innovative technologies is determined by the formula.

E=

100 × N Ql × Pr

(1)

where N – energy consumption for producing granulate, kW; Ql – line productivity kg/h; Pr – pellet strength, %.

The installed power of electric motors in the set of equipment K7 - FKE is Nt = 254.5 kW, with a pellet strength of Pr = 93% and a productivity of Q l = 100 kg / h, which gives an indicator value = Et

100 × 254.5 kWh . = 2.736 100 × 93 kg %

Figure 1: The technological scheme of the process of obtaining feed products based on soy-pumpkin and soy-carrot compositions.

For an innovative technology variant,= Ei is Ei

kWh 100 × 83.4 . = 0.877 kg % 100 × 95

Comparative characteristics of the energy intensity of production and nutritional value of feed additives are given in Table 1. An analysis of the data given in Table 1 shows that the energy intensity by innovative technology is 3.119 times lower compared to the basic version. Comparative characteristics of the energy intensity of production and nutritional value of additives. *Corresponding author (Sergei Dotsenko). Tel: +7-989-99-87887. Email: lyudmila0511@mail.ru

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06B http://TUENGR.COM/V10A/10A06B.pdf DOI: 10.14456/ITJEMAST.2020.102

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Figure 2: Structural-technological (hardware) scheme of the line for producing karate-calcium additives for farm animals and poultry.

Table 1: The results of evaluating the effectiveness of the developed technology Electricity costs, Product

kWh kg %

The product according to a known method (K7 - FKE) Protein-carotene-calcium supplement

2,736 0,877

Content Calcium, β-carotene g/100 g mg/kg 1,8 19,5 2,0

Strength, % 93,0 95,0

Moreover, in an innovative product, the calcium content is 10.8 times higher. At the same time, the presence of β-carotene in the additive in an amount of 2 mg / 100 g provides it with high biological and nutritional value, as well as antioxidant activity.

The developed non-waste technology, with the specified values of the modes and parameters, allows obtaining granules with a diameter of 2-3 mm and a length of 2-3 cm (see Figure 3). The strength of the granules was 93-95% and moisture content 92%.

Figure 3: Multicomponent feed supplement.

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Sergei Dotsenko, Lyudmila Kryuchkova, Andrei Burmaga

4. CONCLUSION Based on the adopted innovative approaches, the possibility and feasibility of obtaining an effective additive using soya-pumpkin and soya-carrot pulp residue, which is a waste fraction in the production of a substitute for whole milk using soya-pumpkin and soya-carrot compositions, are substantiated.

The implementation of the developed technology, as well as the set of equipment adopted for it, makes it possible to increase the efficiency of the functioning of the mechanized system of feeding animals on small and medium-sized farms by reducing the cost of energy, labor, and money.

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

6. REFERENCES

Dotsenko, S.M., Goncharuk, O.V., Makarenko, V.V., et al. (2016). Monograph. Scientific and practical aspects of creating food products of a given composition and properties using soy-plant compositions.

Blagoveshchensk. 355.

Dotsenko, S.M. (2018). A unit for continuous preparation of a substitute for whole milk and animal feed. etc.

RF patent No. 2663610 Published in B.I. No.22.

Dotsenko, S., Kryuchkova, L., Samuylo, V. (2020). Development of Technology for Production of Protein-Vitamin Granulate. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. 11(5), 11A05M: 1-6.

Tutelian, V.A. (2004). Nutrition and Health. Food Industry. 5, 5-6.

Tutelian, V. A., Poznyakovsky, V.M. (2002). The policy of healthy eating. Federal and regional levels.

Novosibirsk Siberian University Publishing House, 144.

Kochetkova, A. A. (1999). Functional products in the concept of a healthy diet. Food industry. 4, 4.

Tutelian, V.A. (2005). Health is in your hands. Food industry. 4, 6-8.

Petibskaya, V.S. (2012). Soya: chemical composition and use. Maykop, 432.

Stepanova, L.I. (1999). Handbook of a dairy production technologist. Technology and recipes. SPb. GIOGD, 190.

Ostroumov, L.K. (1998). Combined dairy protein products using plant materials. Storage and processing of agricultural raw materials. 38, 28 - 30.

Ginzburg A.S. (1976). The technology of drying food. Food Industry, 248.

Professor Dr.Sergei Dotsenko is Professor, Far Eastern State Agrarian University. He holds a Doctor of Technical Sciences degree. His research includes Animal Nutrition, Production Line, Feed Technology, Binder, Vitamins, Protein Substances, Biological Value.

Lyudmila Kryuchkova, is an Associate Professor, Department of Higher Mathematics, Far Eastern State Agrarian University. She is a Candidate of Technical Sciences. Her research involves Applications of Math.

Professor Dr.Andrei Burmaga is Professor, Department of Transport and Energy Facilities and Mechanization of Agriculture, Far Eastern State Agrarian University. He holds a Doctor of Technical Sciences. His researches are Feed Technology, Production Line, Feed Technology, Binder, Vitamins, Protein Substances, Biological Value.

*Corresponding author (Sergei Dotsenko). Tel: +7-989-99-87887. Email: lyudmila0511@mail.ru

Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06B http://TUENGR.COM/V10A/10A06B.pdf DOI: 10.14456/ITJEMAST.2020.102

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

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

PAPER ID: 11A06C

HOSPITAL ANXIETY AND DEPRESSION OF PATIENTS WITH HEART FAILURE IN SOUTH PUNJAB PAKISTAN: A SECTIONAL SURVEY STUDY 1

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Abdul Sattar Ghaffari , Ruqia Safdar Bajwa , Mureed Hussain , 4 5* 6* Muhammad Tahir , Shagufta Bibi , Arslan Khalid Zhongtai Securities, Institute for Financial Studies, School of Mathematics, Shandong University, Jinan, CHINA. 2 Department of Applied Psychology, Bahauddin Zakariya University, Multan, PAKISTAN. 3 Department of Psychology, International Islamic University, Islamabad, PAKISTAN. 4 School of Medicine, Shandong University, Jinan, CHINA. 5 School of Psychology, Shaanxi Normal University, Xi’an, CHINA 6 Department of Health Psychology, School of Nursing, Shandong University, Jinan, CHINA. 1

ARTICLEINFO

Article history: Received 15 July 2019 Received in revised form 16 December 2019 Accepted 26 December 2019 Available online 09 January 2020

A B S T RA C T

Depression and anxiety are highly prevalent in Heart failure patients. The main objective of the study is to check the prevalence of anxiety and depression and associated factors of Heart Failure Patients of South Punjab Pakistan. A sample of 192 Hospital admitted patients whose age range was between 27-71 years were selected from various cardiac hospitals of south Punjab Pakistan for January-July 2017 through Keywords: a purposive sampling technique. The Hospital Anxiety and Depression Heart failure patients; Scale (HADS) was used to assess the level of depression and anxiety Hospitalized Patients; Borderline of anxiety and among patients. The social and psychological parameters including depression; Hospital family care, gender, and relevant support were identified. Findings Anxiety and Depression revealed a highly significant correlation between the level of anxiety and Scale (HADS); Heart depression among Hospitalized heart failure patients. According to failure (HF). results anxiety and depression is higher among unmarried and patients with low family care and support. In addition, data has indicated that economic factors associated with poverty mediate the frequency of anxiety and depression. It was determined that approximately 50% and 54% of peoples were involved in anxiety and depression respectively, however, 31% of people were regarded in the borderline of anxiety and depression and most patients were accompanied by heart disease.

Furthermore, marital status, the difference in income level also promotes anxiety and depression in patients associated with heart disease.

Disciplinary: Health Sciences (Health Management), Psychological Sciences. ©2020 INT TRANS J ENG MANAG SCI TECH.

*Corresponding author (S.Bibi, shaguftamalik409@yahoo.com; A.Khalid arslankhalid1989@yahoo.com) ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06C http://TUENGR.COM/V10A/11A06C.pdf DOI: 10.14456/ITJEMAST.2020.103

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1. INTRODUCTION Heart failure (HF) is a serious chronic progressive disease with significant worldwide prevalence and mortality [1]. The clinical picture of HF patients manifested by a group of symptoms including pleurisy, difficult breathing, wheezing cough, generalized edema, decrease appetite, tiredness, fatigue, malaise, rapid heartbeat, sleep apnea, confused thinking, loss of memory, poor social and psychological functioning due to resultant depression, anxiety and stress [2].

The leading pathological factors of HF are hypertension, cardiomyopathy, congenital heart disease, lung disorder, diabetes and obesity [3]. Anxiety and depression are common among the patients of HF. It may worsen their symptoms requiring hospitalization for intensive emergency care[4]. Such malign psychological disorders eventually distort patients' physical health.

Research also highlights that cardiologists only focus on the clinical pictures of HF by ignoring the resultants psychological stressors i.e. anxiety and depression, which further deteriorate the HF patient's health. Depression plays a vital role to cause high blood pressure and many other cardiac ailments including CVD and CAD [5, 6].

Several studies revealed that anxiety and depression and CAD are correlated with one another[7].

Recently research revealed that depressive patient with MI has a high mortality rate whereas during hospitalization the depressive state of patient leads to CVD [8,9]. The hospitalized HF patients who seldom visit by their family or those who are unmarried often seek a high level of anxiety and depression which may cause impairments of their routine activities [10, 11]. Several types of research show that there is an association between anxiety, depression and hospitalized HF patients[9].

Although it is highly critical to surviving with advanced heart failure because of the sudden worsening situation the patient has to be readmitted in the hospital.

In the modern developed countries, health care teams adopted various strategies with the aim to improve quality of life, enhancing patient endurance along with reduced hospital stay. Such action may play a vital role to curtail the rate of anxiety and depression among HF patients. Patients with heart failure admitted to the hospital have a high incident rate (>50%), have a 10 to 15% mortality rate whereas it is up to 30 to 40 % in case of re-hospitalization within 6 months duration of discharge [12,13]. Studies revealed that approximately less than 1/3 hospitalized HF patients were assessed by a cardiac health professional in the early 90 days after discharged from hospital [13, 14]. To reduce the re-hospitalization rate it is necessary to adopt new strategies including family care at home, long-term hospital care programs involving palliative care treatment [15].

Another study [16] shows that depression expressed by physical complaints or hospitalization the non-serious attitude by a cardiologist, nursing staff, and attendants to ignoring the magnitude of depression ultimately damage the HF patient's health and quality of life. Early understanding, delectation, and curative treatment of anxiety and depression certainly improve the HF patient’s health and quality of life[9]. During hospitalization HF patients generally observe anxiety and depression which can intensify clinical physical ailments, along with sluggishness and social isolation [10]. Unfortunately, even after coronary artery bypass grafting (CABG), depression remains untreated then certainly the morbidity rate and mortality will be high [17].

Heart failure patients with depression remain anxious to readmit in the hospital also have a high risk of mortality [14]. Numerous studies show that HF patients living style and standards associated with anxiety and depression such as poor diet, alcohol consumption, smoking/tobacco habits, lack of exercise and social support will interfere with treatment and allied healthcare support [18]. The

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A.S. Ghaffari, R.S.Bajwa, M. Hussain, M. Tahir, S. Bibi, A. Khalid

cardiac patient plus generalized anxiety disorder has a high risk of severe morbidity as compared to those who not suffered from anxiety or generalized anxiety disorder (GAD) [19]. Social and family environment also affects cardiac events. The studies found that there is a positive correlation between the socioeconomic statuses, family psychosocial environment and cardiovascular diseases [20].

The literature clearly indicates a high level of prevalence of depression and anxiety among heart failure patients in different regions of the world. As such study has not conducted in Pakistan, so it was planned to check the prevalence of hospital anxiety and depression and related social and psychological factors in the south part of Pakistan.

2. METHODS For this study, the samples were collected from 192 Hospitalized Heart failure (HF) patients were chosen from Nishtar Hospital, Multan, Pakistan and Chaudhry Pervaiz Elahi Institute of Cardiology, Multan, Pakistan (78 and 114 respectively) from January 2017-to- July 2017 by using the method of purposive sampling. Most of HF patients were re-hospitalized. The demographic variables were age, education, residential area, gender, marital status, and family care and support. To collect the detailed information and observing basic parameters including anxiety and depression among hospitalized heart failure patients. Purposely, heart failure patients with the phenomena of anxiety and depression issues were targeted. The questionnaire was filled completely by the consent of all participants. All the instructions and relevant assistance were provided from the hospital team to fill this Performa honestly. The same methodology was applied to observe the differences among people with low and high income and support from the family Ethics and Consent: Ethical approval was taken from Shandong University China to conduct the study and verbal consent was taken from patients after briefing them about the purpose of the study.

The Hospital Anxiety and Depression Scale (1983).The Hospital Anxiety and Depression Scale (HADS) developed by Zigmond and Snaith[21] to gauge anxiety and depression in a general therapeutic populace of patients. The scale consisted of 14 items with responses being scored on a scale of 0-3 where a higher score reflects frequencies of symptoms. In spite of the fact that the tension and despondency questions are blended inside the survey, it is indispensable that these are scored independently. Cut-off scores are accessible for evaluation, for instance, a score of at least 8 for uneasiness has a specificity of 0.78 and affectability of 0.9, and for gloom a specificity of 0.79 and an affectability of 0.83.

Before starting, patients were made a request to give permission that they have complete knowledge about this study and willing to take an interest in this study. Instructions were provided to all candidates to complete the questionnaire with honesty to minimize any chances of error. The demographic sheet and Hospital Anxiety and Depression Scale were provided to all candidates to examine the anxiety and depression index in these patients. Purposive sampling method was applied to collect the sample from these enrolled patients associated with heart failure disease. Subjects were also given the assurance that their information will not be disclosed. Participated patients were approached at hospitals to administer the study instruments and help to complete the questionnaire.

The questionnaire took 2 to 5 minutes to complete. To determine the scoring scale of HADS, the data were analyzed by using SPSS 21. Pearson correlation coefficients tool was used to finding the linkage of all the variable parameters with each other. Comparisons between marital status for depression and *Corresponding author (S.Bibi, shaguftamalik409@yahoo.com; A.Khalid arslankhalid1989@yahoo.com) Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06C http://TUENGR.COM/V10A/11A06C.pdf DOI: 10.14456/ITJEMAST.2020.103

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anxiety were analyzed via an independent samples t-test with corrections made for assumed variance equality. We adopted the same methodology to find the difference among participants with less family support and care with participants with more family support and care. One way ANOVA and post hoc tests were used to analyze the differences between depression and anxiety among different income levels. A P-value of less than 0.05 was considered significant.

3. RESULTS Table 1 shows descriptive statistics of socio-demographic variables for this study. From overall 192 patients, most patients 122(63.5%) are between the age of 31 to 45 years, 112 (58%) male and 119 (62%) are single. Furthermore, 104 (54%) of the respondents who give their response as low family care. Similarly, 51 (27%) of the patients have less than 15000 PKR, 50 (26%) belong to 30000-45000 PKR of the patients’ monthly income level.

Table 1: Descriptive Statistics of sociodemographic variables of the participants (n=192) Individual factors Age

Gender Marital Status Family Care and Support

Monthly Income (Rupees)

Category <31 Years 31-45 Years 45-60 Years > 60 Years Male Female Single Married Low High <15000 15000-3000 30000-45000 45000-60000 >60000

Frequency (%) 33(17.2) 122(63.5) 33(17.2) 4(2.1) 112 (58.0) 80 (42.0) 119 (62.0) 73 (38.0) 104 (54.0) 88 (46.0) 51 (27.0) 36 (19.0) 50 (26.0) 31 (16.0) 24 (12.0)

Table 2: Categories of Anxiety and Depression on the Basis of Scores Categories Normal Borderline Abnormal Abnormal

Anxiety Frequency (%) 36 (19.0) 60 (31.0) 96 (50.0)

Depression Frequency (%) 28 (15.0) 59 (31.0) 105 (54.0)

Table 2 and diagram 1 shows the prevalence of hospital anxiety and depression level in the sampled patients. There are 60 (31%) and 96 (50%) of the patients who have a borderline abnormal and abnormal level of anxiety respectively. Similarly, 59 (31%) and 105 (54%) of the heart failure patients show borderline abnormal and abnormal depression level respectively.

Table 3: Pearson Correlation between anxiety and depression (n=192).

Anxiety

Depression 0.736***

(***p<0.001) Table 3 explores the correlation between anxiety and depression in patients associated with heart failure. The value of the correlation coefficient shows that anxiety and depression are significantly positively correlated with each other.

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A.S. Ghaffari, R.S.Bajwa, M. Hussain, M. Tahir, S. Bibi, A. Khalid

Table 4: Mean, Standard Deviation and t- value for the score of single (n=119) and married (n=73) on the scale of anxiety and depression.

Variable Anxiety Depression

Marital Status Single Married Single Married

N 119 73 119 73

M 10.85 9.64 11.26 9.90

SD 2.91 2.72 2.73 2.70

T

P

2.856

<.003

3.357

<.001

Table 4 depicts the frequency of depression and anxiety for the single and married hospitalized heart failure patients. The results show that the level of anxiety and depression is higher in single as compared to married patients.

Table 5: Mean, SD and t-value for the score of low family care and support (n=104) and high family care and support (n=88) on the scale of anxiety and depression.

Variable Anxiety Depression

Family Care and Support Low High Low High

N 104 88 104 88

M 10.85 9.85 11.20 10.24

SD 2.94 2.75 2.81 2.68

T

P

2.404

<.009

2.502

<.007

Table 6: One Way ANOVA: Anxiety and depression level among hospitalized heart failure patients with variation in income.

Variable Between Groups Anxiety Within Groups Total Between Groups Depression Within Groups Total

Sum of Squares 106.952 1488.752 1595.703 147.364 1339.131 1486.495

Df 4 187 191 4 187 191

Mean Square 26.738 7.961

F 3.359

Sig. <.011

36.841 7.161

5.145

<.001

Table 7: Post Hoc Tests Multiple Comparisons.

Dependent Variable

(I) Income Status

Up to 15000 Anxiety

15000-30000 30000-45000 45000-60000 Up to 15000

Depression

15000-30000 30000-45000 45000-60000

95% Confidence Interval

(J) Income Status

Mean Difference (I-J)

Std. Error

Sig.

Lower Bound

Upper Bound

15000-30000 30000-45000 45000-60000 Above 60000 30000-45000 45000-60000 Above 60000 45000-60000 Above 60000 Above 60000 15000-30000 30000-45000 45000-60000 Above 60000 30000-45000 45000-60000 Above 60000 45000-60000 Above 60000 Above 60000

.312 .518 1.956* 1.743* .2056 1.644* 1.431 1.439* 1.225 -.214 .444 .767 2.151* 2.333* .322 1.707* 1.889* 1.384* 1.567* -.183

0.614 0.562 0.643 0.698 0.617 0.691 0.744 0.645 0.701 0.767 0.583 0.533 0.609 0.662 0.585 0.656 0.705 0.612 0.665 0.728

0.612 0.358 0.003 0.013 0.739 0.018 0.056 0.027 0.082 0.781 0.446 0.152 0.001 0.001 0.582 0.010 0.008 0.025 0.019 0.802

-0.900 -0.590 0.689 0.365 -1.011 0.280 -0.036 0.166 -0.157 -1.727 -0.705 -0.284 0.948 1.027 -0.832 0.413 0.498 0.177 0.256 -1.618

1.524 1.625 3.224 3.121 1.422 3.008 2.897 2.711 2.607 1.300 1.594 1.817 3.353 3.640 1.476 3.000 3.280 2.591 2.878 1.253

Table 5 explores that the index of anxiety and depression was higher in patients with less care *Corresponding author (S.Bibi, shaguftamalik409@yahoo.com; A.Khalid arslankhalid1989@yahoo.com) Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06C http://TUENGR.COM/V10A/11A06C.pdf DOI: 10.14456/ITJEMAST.2020.103

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and support from the family compared to the patients having more family care and support.

The significant difference in anxiety and depression among different income levels patients was observed in Tables 6 and 7 that the p-value for anxiety and depression are 0.011* and 0.001** respectively, which show that there is a highly significant difference in depression and anxiety among different income status.

Furthermore, from the Post Hoc test, we can also conclude that the maximum difference in the level of anxiety is between income group “up to 15000” and “45000-60000”. Similarly, depression is much higher in the patients belongs to the “up to 15000” income group also the group belongs to “above 60000 income group”.

Table 8: Regression Analysis: Anxiety and Depression on Age, Gender, Marital Status, Family Care and Support and Income Level.

Predictor

Β

SE (β)

T

P

Age Gender Marital Status Family Care and Support Income level Age Gender Marital Status Family Care and Support Income level

0.025 1.211 -1.207 -0.693 -0.527 0.023 0.158 -1.364 -0.765 -0.616

0.023 0.390 0.400 0.392 0.144 0.022 0.375 0.384 0.376 0.139

1.065 3.102 -3.018 -1.769 -3.652 1.034 0.421 -3.555 -2.035 -4.446

<.288 <.002 <.003 .079 <.001 .302 .674 <.001 <.043 <.001

Dependent

Anxiety

Depression

95% Confidence Interval for β Lower Bound Upper Bound -0.021 0.071 0.441 1.981 -1.996 -0.418 -1.466 0.080 -0.812 -0.242 -0.021 0.067 -0.581 0.897 -2.122 -0.607 -1.507 -0.024 -0.889 -0.343

Results Table 8 shows that gender, marital status, and income level have a significant effect on anxiety while no significant effect seen on the basis of age and support and care from family.

Similarly marital status, support, and care from family and income level have significant on depression which there is no significant effect of age and gender on depression.

4. DISCUSSION The heart failure patients generally experience frequent hospitalization within 3 to 6 months due to their sudden health situation. About one-half of heart failure patients have to experience re-hospitalization. In this way, the mortality rate among heart failure patients is higher generally.

Hospitalization incurs depression and anxiety among heart failure patients which further deteriorates the status of the heart. The study revealed that epidemiology of anxiety and depression is mainly due to the poor prognosis of heart failure and longer hospitalization. Results revealed a high level of abnormal depression and anxiety in the majority of the candidates associated with a heart problem.

Upon extensive review, it has been found that several patients associated with heart problems were involved in anxiety and depression during the course of their disease [22, 23]. Almost 15-20 percent of hospitalized patients with heart failure is diagnosed with major depressive disorder [24, 25]. A systematic review revealed that Anxiety is a big predictor of hospitalization in heart failure patients[26]. A meta-analysis [27] reported the incidence and frequency of anxiety disorders in heart failure patients.

A highly significant positive correlation was found between anxiety and depression among hospitalized heart failure patients. According to existing literature anxiety and depression are highly

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A.S. Ghaffari, R.S.Bajwa, M. Hussain, M. Tahir, S. Bibi, A. Khalid

prevalent among heart failure patients [28, 29, 30, 31].

It was hypothesized in this study that single patients who don’t have life partners will have more anxiety and depression as compared to married counterparts. The results supported the hypotheses and found a significant difference in both married and unmarried groups. The frequency of depression and anxiety was higher among young unmarried patients. Previous literature also supports this finding that elderly unmarried patients have depressive symptoms and it had a strong impact on their recovery as well[32, 33, 34]. Another remarkable finding of this study discusses that lack of family care and support also triggers the anxiety and depression among hospitalized heart failure patients. Studies have enormously focused on the role of social support, it has been found as a very protective factor against unpleasant effects [35,36]. Re-hospitalization has a strong association with anxiety and depression [37].

Further, the study revealed a highly significant difference in anxiety and depression among patients with different income status [38]. Depression epidemiology among HF hospitalized patients is higher and associated with fear of readmission. Re-hospitalization ultimately exerts a havoc blow on the economic status of HF patients [39]. This triggers the level of anxiety and depression among hospitalized HF patients.

5. CONCLUSION In conclusion, anxiety and depression among hospitalized heart failure patients are certainly significant. The level of the psychological clinical picture entirely depends upon the state of HF and admission or readmission in the hospital. Acknowledgment of this causative factor and their outcomes is essential for future studies to curtail the barrier to curative effective HF treatment. The cardiologists should try their best to adopt certain advance approaches to reduce the hospitalization rate among HF patients. The psychologist should also visit HF patients to reduce the level of depression.

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

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*Corresponding author (S.Bibi, shaguftamalik409@yahoo.com; A.Khalid arslankhalid1989@yahoo.com) ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06C http://TUENGR.COM/V10A/11A06C.pdf DOI: 10.14456/ITJEMAST.2020.103

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[13] Leong KT, Wong LY, Aung KC, Macdonald M, Cao Y, Lee S, Chow WL, Doddamani S, Richards AM. Risk Stratification Model for 30-Day Heart Failure Readmission in a Multiethnic South East Asian Community. American Journal of Cardiology. 2017, 119(9):1428-32.

[14] Ou L, Chen J, Hillman K, Flabouris A, Parr M, Assareh H, Bellomo R. The impact of post-operative sepsis on mortality after hospital discharge among elective surgical patients: a population-based cohort study. Critical Care. 2017, 21(1):34.

[15] Feldman DI, Valero-Elizondo J, Salami JA, Rana JS, Ogunmoroti O, Osondu CU, Spatz ES, Virani SS, Blankstein R, Blaha MJ, Veledar E. Favorable cardiovascular risk factor profile is associated with lower healthcare expenditure and resource utilization among adults with diabetes mellitus free of established cardiovascular disease: 2012 Medical Expenditure Panel Survey (MEPS).

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[19] Tully PJ, Cosh SM, Baumeister H. The anxious heart in whose mind? A systematic review and meta-regression of factors associated with anxiety disorder diagnosis, treatment and morbidity risk in coronary heart disease. Journal of Psychosomatic Research. 201, 477(6):439-48.

[20] Alter DA, Franklin B, Ko DT, Austin PC, Lee DS, Oh PI, Stukel TA, Tu JV. Socioeconomic status, functional recovery, and long-term mortality among patients surviving acute myocardial infarction. PloS one. 2013, 8(6):e65130.

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[21] Zigmond AS, Snaith RP. The hospital anxiety and depression scale. Acta psychiatrica scandinavica. 1983, 67(6):361-70.

[22] Carney RM, Freedland KE. Depression in patients with coronary heart disease. American Journal of Medicine. 2008, 121(11): S20–S27.

[23] Koszycki D, Lafontaine S, Frasure-Smith N, Swenson R, Lespérance F. An open-label trial of interpersonal psychotherapy in depressed patients with coronary disease. Psychosomatics. 2004, 45(4):319-24.

[24] Carney RM, Freedland KE, Sheline YI, Weiss ES. Depression and coronary heart disease: a review for cardiologists. Clinical Cardiology. 1997; 20(3):196–200.

[25] Milani RV, Lavie CJ. Impact of cardiac rehabilitation on depression and its associated mortality. American Journal of Medicine. 2007; 120(9):799–806.

[26] Vongmany J, Hickman LD, Lewis J, Newton PJ, Phillips JL. Anxiety in chronic heart failure and the risk of increased hospitalisations and mortality: A systematic review. European Journal of Cardiovascular Nursing. 2016, 15(7):478-85.

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[29] Katon W, Lin EH, Kroenke K. The association of depression and anxiety with medical symptom burden in patients with chronic medical illness. General hospital psychiatry. 2007, 29(2):147-55.

[30] Konstam V, Moser DK, De Jong MJ. Depression and anxiety in heart failure. Journal of cardiac failure. 2005, 11(6):455-63.

[31] Yohannes AM, Willgoss TG, Baldwin RC, Connolly MJ. Depression and anxiety in chronic heart failure and chronic obstructive pulmonary disease: prevalence, relevance, clinical implications and management principles. International journal of geriatric psychiatry. 2010, 25(12):1209-21.

[32] Frasure-Smith N, Lespérance F, Talajic M. Depression following myocardial infarction: impact on 6-month survival. Jama. 1993, 270(15):1819-25.

[33] Koenig HG, Meador MD, Cohen HJ, Blazer MD. Depression in Elderly Hospitalized Patients.

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[34] Rogers AE, Addington-Hall JM, Abery AJ, McCoy AS, Bulpitt C, Coats AJ, Gibbs JS. Knowledge and communication difficulties for patients with chronic heart failure: qualitative study.

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[35] Sarason IG, Sarason BR, Brock DM, Pierce GR. Social support: Current status, current issues.

Stress and emotion: Anxiety, anger, and curiosity. 1996, 16:3-27.

[36] Zimet GD, Dahlem NW, Zimet SG, Farley GK. The multidimensional scale of perceived social support. Journal of personality assessment. 1988, 52(1):30-41.

[37] Strik JJ, Denollet J, Lousberg R, Honig A. Comparing symptoms of depression and anxiety as predictors of cardiac events and increased health care consumption after myocardial infarction.

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[38] Gaziano TA, Bitton A, Anand S, Abrahams-Gessel S, Murphy A. Growing epidemic of coronary heart disease in low-and middle-income countries. Current problems in cardiology. 2010, 35(2):72-115. *Corresponding author (S.Bibi, shaguftamalik409@yahoo.com; A.Khalid arslankhalid1989@yahoo.com) ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06C http://TUENGR.COM/V10A/11A06C.pdf DOI: 10.14456/ITJEMAST.2020.103

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Abdul Sattar Ghaffari is a PhD Scholar, Zhongtai Securities, Institute for Financial Studies, School of Mathematics, Shandong University, Jinan, China. He holds Master of Philosophy in Statistics. His research interest is Psychological and Medical Data Analysis.

Ruqia Safdar Bajwa is a Lecturer at Department of Applied Psychology, Bahauddin Zakariya University, Multan, Pakistan. She holds a Master of Philosophy in Applied Psychology. Her research interest is Applied Psychology.

Dr.Mureed Hussain is Director, Multan Postgraduate College, Multan, Pakistan. He holds a PhD degree in Psychology. His research interest is Psychology.

Muhammad Tahir is a PhD Scholar, School Medicine, Shandong University, Jinan, China. He holds Master of Philosophy in Medicine. His Research interest is Clinical Medicine.

Shagufta Bibi is a PhD Scholar, School of Psychology, Shaanxi Normal University, Xiâ&#x20AC;&#x2122;an, China. She holds Master Degree in Psychology. Her research interest is Applied Psychology.

Dr.Arslan Khalid does a Post-Doctorate in Health Psychology from Department of Health Psychology, School of Nursing, Shandong University, Jinan, China. He holds a PhD Degree in Medical Psychology from Department of Medical Psychology, School of Basic Medical Ethics, School of Medical Science, Shandong University, Jinan, China. His research interest is Medical Psychology.

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

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

PAPER ID: 11A06D

ROLES OF PHYSICAL ENVIRONMENT IN CHARACTERIZING THE IDENTITY OF MALAY ROYAL TOWN IN ALOR SETAR, KEDAH 1*

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Sharyzee Mohmad Shukri , Mohammad Hussaini Wahab , 2 3 Rohayah Che Amat and Mohamad Zafarullah Mohamad Rozaly Faculty of Architecture & Built Environment, Infrastructure University Kuala Lumpur, MALAYSIA. Razak Faculty of Technology & Informatics, Universiti Teknologi Malaysia, MALAYSIA. 3 School of Architecture, Building and Design, Taylor’s University, MALAYSIA. 1 2

ARTICLEINFO

Article history: Received 03 July 2019 Received in revised form 21 October 2019 Accepted 29 November 2019 Available online 09 January 2020

A B S T RA C T

Malay Royal towns (MRTs) in Malaysia are the best examples of early Malay towns’ evolution dating from the 16th century. However, the identity of MRTs nowadays remains unclear as it continues threatened due to rapid urbanisation and development. This paper aims to discover the physical environment (PE) elements in characterizing the identity of MRT in Alor Setar, Kedah. This research employs a Keywords: qualitative approach which encompasses of a literature review of old Architectural identity; Malaysia town evolution; scholarly articles and reports, historical map overlay, semi-structured interview and field observations. Alor Setar, Kedah were selected as a Urban form and setting; Cultural significance; case study due to the rich significance to the identity of the MRT in Physical environment Malaysia. The findings gathered from this research too are deemed a (PE); Architectural comprehensive understanding of PE elements of the MRT in Alor Setar physical characters. and may further help in strengthening the identity and Malaysian history.

Disciplinary: Multidisciplinary (Architecture and Town Planning, History, ASEAN Studies). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Physical environment (PE), human activities, meaning and cultural significances play an important role in shaping the identity of Malay Royal towns (MRTs) in Malaysia. MRT in Alor Setar, Kedah in particular, have high values of history and culture that are worthy of preservation.

Nevertheless, extensive urbanisation and development have eroded the importance of these MRTs. This paper primary aims to discover the elements of the PE in characterizing the identity of the MRT in Alor Setar, Kedah. The first objective is to identify elements of the PE which inform the identity of the MRT. By using historical map overlay, field observations and semi-structured interviews used to achieve the result of this research. The resulting findings on elements of the PE will be categorized *Corresponding author (S.M.Shukri) Tel: +6010-9548978. Email: sharyzee@iukl.edu.my. ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06D http://TUENGR.COM/V11/11A06D.pdf DOI: 10.14456/ITJEMAST.2020.104

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according to their physical significance in the MRT. The second objective is to understand the roles of the PE elements in characterizing the identity of MRT in Alor Setar, Kedah. The elements of the PE identified in the MRT are of a high potential to become part of the urban identity, portraying the image of MRT. As the research focuses only on a single case study in Alor Setar, an overall picture of the characteristics of MRTs in Malaysia cannot be generalized. However, it hoped that this study would offer insights into the importance of MRTs with relations to the nation's identity.

2. PHYSICAL ENVIRONMENT (PE) McDonogh (2017) and Mehta (2013) mentioned town infrastructure and physical characteristics such as street, buildings and settings are the most significant elements in establishing the forms of a place, as seen from numerous perspective of views, either metaphorically or literally because the forms and settings which is society, culture and economics are related and influenced by each other.

Rapoport (2016) suggested that natural elements, climate and tangible features were the part inside the PE. Greene (1992) described the PE as the experience of actual people towards the environment.

It includes the characters that form the physical elements of community design. According to him, landforms, buildings, natural structures, spaces such as parks and open areas and path associated with these elements. Relph (1976) also suggested space as a part of the elements of the PE. He also stated that physical elements such as earth, sky, sea and the environment have their distinctive characters for an experience that might be different.

Physical surroundings also include nonvisual elements, which affects the senses. Although the PE is fundamentally three dimensional, there is, however, a need for urban design to handle the non-visual dimensions of the environment. Clouse and Dixit (2017); Pocock and Hudson (1978) mentioned that for space to turn into place, the visual, as well as other elements, need to be outstanding. Some of the other elements such as noise, smell and feelings, will also promote the attribute of the area (Gosling & Maitland, 1984; Hu & Chen, 2018; Rapoport, 2016). The occurrence in an area becomes history after a while and remains embellished there. In other words, a historical product is also the physical feature of place (Jaâ&#x20AC;&#x2122;afar et al., 2014; Kropf, 1996). Feature, which defines a town, tend to lean more to the history and culture side. Characters act as the matter which brings the features of the town together, defining the town, resonating history and culture including the economic and social aspects of the community (Jaâ&#x20AC;&#x2122;afar et al., 2014; Warnaby, 2009). Kropf (1996) depicted these characters in his study as the distinguished place elements, particularly the form and setting of the street, space planning and architecture of the community. Under the aegis of urban design, a city and its fundamental elements are explored, specifically through the creative mapping of its forms, settings and circumstances (Oppong et al., 2018; Peterson, 1979).

It is therefore evident of objects or elements, spaces, networks of circulation and nonvisual aspects are then developed into the PE. Thus, it proved that the PE encompasses entities such as forms, features, spaces, linkages and non-visual elements. It demonstrated from the review of the literature that the characteristics of the PE have a connection with the identity of place and can be perceived by the people. Rapoport (2016) commonly used the phrase 'potential noticeable differences' rather than other terms and stated that the specific terms needed for the city and town identity. Oppong et al. (2018) recommended that differences that are noticeable between the physical characters easily identified and, it confers to the place identity. In summary, identification of the PE elements that correlate with identity as physical form and setting, location factors, spatial

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organisation and structure, and also urban spaces such as streets and open space are easy to determined.

3. METHODOLOGY To identify the PE elements of MRT in Alor Setar, Kedah, historical map overlay, field observation and semi-structured interviews used for data collection. To determine the results, which lead to achieving a comprehensive understanding of the findings on the data will analyse. Field observation was conducted and documented through two main techniques namely a visual survey, which is to analyse the structure of the town, and a townscape appraisal, which is to analyse the visual and experiential fabric of the townscape that gives identity and image of the town. Through the field observation, the factors causing the blend between PE and townscape are be measured and established using modified attributes from the operational definitions of Ewing and Handy (2009).

Finally, the content analysis method used to gather in-depth knowledge of the historical morphology of the historic Royal town context (Rosengren, 1981).

4. FINDINGS AND DISCUSSIONS The results of the analysis indicate that several components defined the identity of the MRT of Alor Setar. These components can be categorized into three groups, which are the PE, human activities, meaning and cultural significance (Shukri et al., 2018). This paper only focuses on the PE in characterizing the identity of MRT in Alor Setar, Kedah. The PE component comprises of the profile characteristics and setting, urban structure, urban form and pattern, building, street, the space between, urban quarters and natural elements.

4.1 PHYSICAL ENVIRONMENT OF MALAY ROYAL TOWN IN ALOR SETAR Understanding the PE of the MRT in Alor Setar is deemed to be crucial in related the study by Lynch about defining the character of a town which includes five main categories of the elements that shape the image of the city including paths, edges, district, nodes and landmarks (Kevin, 1960). Like other historic cities, Alor Setar royal town primarily determined by paths that positioned within the town. Royal towns with development impose high significance into the role of paths. These paths have categorised into two groups. The first group is the primary path which subdivided into two types namely main path that connected with the urban boundaries and protocol path that used for the royal event which is starting from Wisma Darulaman (Jalan Anak Bukit) until Medan Bandar (Darulaman Highway). The types of path included in this first group are Kedah and Raja rivers and off-roads that primarily linked one town to another. The second group is the residential path which provides access to properties and through routes within a residential area which is usually smaller, allowing movement in the royal town. This path is subsequent of the fact that these paths support the needs and purpose to commute from a point to another via streets, pavements, canals and rivers (Harun et al., 2015). There are two groups of paths in the MRTs. Other than paths, a district partakes in giving definition and the planning of the Alor Setar Royal town. Part of the town divided into three (3) primary districts. The first district is known as the Royal administrative district, with the Pelamin palace complex and Zahir mosque in its area. Settlements make up the second district, which is at Jalan Kampung Perak for Malay nobleman residential district *Corresponding author (S.M.Shukri) Tel: +6010-9548978. Email: sharyzee@iukl.edu.my. Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06D http://TUENGR.COM/V11/11A06D.pdf DOI: 10.14456/ITJEMAST.2020.104

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and Kampung Teluk Yan for local people, located on the northwest of Alor Setar. Finally, the third district consists of marketplace and jetty, forming the commercial district, which is at Pekan Cina and Melayu. This third district located near the residential district on the south of Alor Setar and the residents in their daily activities uses it. Nodes are known to be the third element and serve as the place where people gather for various reasons and seen as a centre stage where social activities of the town take place which is the Padang (Medan Bandar), marketplace (Pekan Rabu) and jetty (Royal jetty).

Meanwhile, landmarks are usually the point of reference used to navigate oneself (Shukri et al., 2020). For example, the Zahir mosque and the Pelamin palace complex are situated on higher grounds in the town becoming the tallest buildings in the area from all angles. Finally, the edge was as borders and barriers that outline the different region of the town distinctly. Nonetheless, the traits of the borders were very clear in MRTs such as the palace gateway, fortress and the riverbank. The embodiment of the MRTs character includes historical, cultural, physical and social character, which in the end permitted the town to be of a historical masterpiece, made possible through the setting of urban forms and patterns (Nasir, 1990).

The need to identify and protect these towns have become a priority, as they are evidence of the glorious Royal Institution system in Malaysia (Mohidin et al., 2012). However, the tangible characteristics have to be identified first before presuming to sustain a MRTâ&#x20AC;&#x2122;s character and identity.

MRTs greatly influenced by numerous physical characteristics of the MRT settings, and the said characteristics that have identified. Samsudin et al. (2018) define Malaysian Royal towns as having a kingâ&#x20AC;&#x2122;s palace, traditional Malay settlements and systems of fortification. In the latest iteration whereby Shukri et al. (2018) stated that there are eight prominent physical characters in MRTs namely, royal palace complex, fortress, mosque, public open space, the marketplace, settlement, gateway, and river and jetty.

Figure 1: The profile and setting of MRT in Alor Setar, Kedah.

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4.1.1 PROFILE AND SETTING The spatial arrangements of the major features common to all cities and how they influence the place cognition made up the identity of place (Shamsuddin, 2011). This element contributes towards the concept of imageability that consists of identity, structure and meaning (Lynch, 1960). Urban settings of MRT is considered common and is dominated by the palace complex and mosque as its urban feature, but natural features appear to be the prominent aspect of royal towns (Harun et al., 2015). MRT in Alor Setar urban setting and image dominated by Pelamin palace and Zahir Mosque along the Kedah and Raja rivers. Such features make the setting unique and easy to be predetermined from afar due to the location that appears as a soothing background, providing a unique identity and image to the town (Figure 1).

The Malay nobleman residential located at Jalan Kampung Perak meanwhile local people settlements is located at Kampung Teluk Yan, Malay and Cina town and the administrative building placed at the back of the vicinity. Consistent to other MRTs, the urban form and setting coordinated by the palace complex, surrounded by paths such as the Raja road that goes all around the MRT (Harun et al., 2015). The roads previously carried an important function which was to allow circulation and distribution of goods to merchants and traders (Kathiritham & Reid, 1993). At present, the road is paved for vehicles, enabling commuters to travel on a direct connection from the surrounding town to a MRT core which is in the Zahir mosque and Pelamin palace district. Although the physical characteristics of the road back then have changed to tar or asphalt, the connotation of the road is still the same, which represents organic growth of the town seen at that curvy road following the river and the unevenness in the road levelling caused by the contour of the earth underneath.

It is a common sight to the roads aligned with some form of foliage or trees. The view goes back to the time when the town depended a lot on agriculture, for both food and economy purposed (Gullick, 2003). With relations to that, another common sight is to find coconut trees as well as palm trees in forms of plantations, creating a physical barrier dividing between the road and the housing areas (Walker, 1991). Enhancements were made towards the surrounding town, harnessing compliments towards the royal town residing there at the same time. The gateway in the royal town of Alor Setar, generating a sense of welcoming just by the existence of the entrance archway, is an example of how these towns transcend the notion of the local royal institution.

4.1.2 URBAN STRUCTURE It knowns that MRTs took pride in its history including those of PE and human activities, whereby these factors help to carve this town into a historic masterpiece with its urban form and pattern in mind (Nasir, 1990). Identifying as well as protecting these MRTs are mandatory because to lose this priceless evidence also means the loss of the perseverance of strength and greatness of Malaysiaâ&#x20AC;&#x2122;s royal institution system (Muslim et al., 2013). The MRT in Alor Setar is a district with a single centre that centralized between the Padang (Medan Bandar), Zahir mosque and Pelamin palace complex. It oriented by the residential area and administrative building at the back. To date, the palace complex of Istana Pelamin in Kota Setar (as shown in Figure 2) and another important place maker, Masjid Zahir are still standing tall in the townscape arrangement.

Royal Palace Complex: Pelamin Palace as Administrative District The Royal palace complex became the pivotal point of sovereign power and administrative of *Corresponding author (S.M.Shukri) Tel: +6010-9548978. Email: sharyzee@iukl.edu.my. Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06D http://TUENGR.COM/V11/11A06D.pdf DOI: 10.14456/ITJEMAST.2020.104

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MRT (Sheppard, 1962). Ever since the 16th century, the Malay administrative centre associated with the Grand Palace, where the administration and development of the town as a whole were entirely in the power of the Sultan. The Pelamin Palace is the first palace in Alor Setar which is a timber building built by Sultan Muhammad Jiwa Zainal Adilin Muazzam Shah, the 19th Sultan of Kedah (1710-1778) and the founder of Alor Star town in 1735. Countless attacks from the Bugis (1770) and the Kingdom of Siam (1821) have caused the building to undergo several demolitions. The concrete building construction completed during the reign of Sultan Ahmad Tajuddin Mukarram Shah (1854-1879).

The Pelamin palace complex in Alor Setar has a great influence on the setting and establishment of the Alor Setar royal town. By its location near to the Padang (Medan Bandar) and Zahir Mosque, the palace symbolises the importance of people and religion respectively to the Malay royal institution back in the days. Beyond just a mere building, the Pelamin palace complex is a transfusion of local royal families’ identity, symbols related to architecture as well as the local culture of the area (Shukri et al., 2018).

Figure 2: Berahman Indera @ Balai Besar and Pelamin Palace in Alor Setar Source: Archive Kedah Royal Museum Taken into consideration the fact that the characters of Malay culture are the type where the community is closely related to nature, it comes as no surprise that the Royals’ identity and attributes are a representation of the philosophy and beliefs embedded of the traditional Malay (Latif et al., 2008). The design of the Pelamin palace has a feature which incorporates a certain culture of the palace, which is the gender segregation of family members. The placement of the palace complex is exclusive as it is surrounded by villages, making it the focal point of the area where activities took place (Daud et al., 2012). There are also areas where the palace complex was elevated compared to the surrounding villages and the reason behind such positioning is to take advantage of the view and also for defensive measures (Daud et al., 2012). All in all, for an area, to qualify as a MRT, there must be a palace complex, dedicated to royal residents and administration centres (Abidin et al., 2017; Harun & Said, 2009; Shukri et al., 2018).

Fortress: Kuala Bahang ( Kota Kuala Kedah) as Defensive Wall The Kuala Kedah Fort or Kuala Bahang fort was built in 1771 on the northern shores of the Kedah river to protect the state of Kedah and its capital, Alor Star. It was built during Sultan Muhammad Jiwa’s reign and completed in 1780. A gateway built in the northern part of the fort facing Alor Melaka which was called “Pintu Gerbang Kadapun” (The Kadapun Gateway). A unique feature found in the design of the fortress in the MRT of Alor Setar is the opening, which primarily used as a defence mechanism against enemy attacks, see Figure 3.

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Figure 3: Kuala Bahang (Kota Kuala Kedah) as a Defensive Fort in MRT of Alor Setar.

The open section of the fort usually faces a part of the river or sea, forest, marshes or hills, to deter the enemy from marching forward (Nasir, 1990). Kuala Kedah fortress faced the Straits of Malacca and was used to defend the town of Alor Setar from enemy attacks. The materials used to build this fortress in early days were soil, wood or bamboos and stone. In the case of abandonment, the building of a new one will carry out in another area. Old Malay historiographical texts mention that the King is to be accounted for his fort or with the assistance of royal administrative of the royal palace namely King fort. King Fort built with the intent of protecting the royal complex only, leaving the rest of the urban area vulnerable (Aziz, Ossen, & Idid, 2010). Other roles of the kingâ&#x20AC;&#x2122;s fort often used by the Malay Sultanate are as a centre of defence, the handling of governing matters, a place to detain subjects and an administrative office (Nasir, 1990).

Figure 4: Zahir Mosque setting in 1950 (left) and 2019 image (right) Source: Archive Kedah Royal Museum.

Mosque: Zahir Mosque as Religious Centre Dated back in the 16th century, Islam has been the main religion in the Malay Peninsula and through this; the mosque personifies greatness throughout the Malay Kingdom. In addition to that, the mosque bears the role as a social influence as well as developing Malay people intellectually (Rasdi & Tajuddin, 2007). Therefore the placing of Zahir mosque is close to the complex of the Pelamin palace and the villages. The Zahir Mosque is one of the grandest and oldest mosques in Malaysia, was built in 1912. The site of the mosque was originally an old mosque and burial ground of the Kedah heroes who had died while fighting against the state of Kedah from the Siamese attack in 1821. The design of the Zahir Mosque inspired from the Azizi Mosque of the Langkat Sultanate in North Sumatra and used with five main domes as the symbol of five Pillars of Islam. Education is an important factor related to the mosque, which also serves as a centre to learn Islam through education. *Corresponding author (S.M.Shukri) Tel: +6010-9548978. Email: sharyzee@iukl.edu.my. Š2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06D http://TUENGR.COM/V11/11A06D.pdf DOI: 10.14456/ITJEMAST.2020.104

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It is observable that the architecture of the mosque is heavily influenced by Islamic architecture, which is originally brought into the vicinity by Arab traders (Utaberta et al., 2012). Figure 4 shows the original design with a white surface colour of the Zahir Mosque in 1950 and the current yellow colour of Zahir Mosque.

Public Open Space: Medan Bandar as a Centre for Activities The common form and function of Padang in Royal towns, where the place where the royals and the public interconnect (Harun & Said, 2009; Shukri et al., 2017). Medan Bandar in Alor Setar Royal town is one of the main physical characters in characterizing the identity of MRT in Alor Setar.

Medan Bandar (Padang Court) is in a special location, the central area of Alor Setar from where the high court used to be since it was built in 1893 after the area was named. The activities taking place at Medan Bandar are the royal events, public gathering which extends into the pavilions, the marketplace and the bazaars around the Royal town. This Padang functions similarly like a distributing hub, catering to the migration of people to major buildings within the area and also connecting to nearby paths (Home, 2013; Kostof, 1992). Other than a stop for people who are commuting, the Medan Bandar serves as a venue for daily public activities, be it formal or informal.

An activity example of a public event organized by the royal administration is the Sultanâ&#x20AC;&#x2122;s coronation and birthday celebrations (Ariffin, 2007; Zakri, 2008). In these situations, the Padang put into the light as a true civic centre of the town (Kostof, 1992). Figure 5 shows the original setting of Medan Bandar in 1950, with a great influence on the image and identity of the Alor Setar back days.

Figure 5: Medan Bandar setting in 1950 (left) and current image (right) Source: Archive Kedah Royal Museum Marketplace: Pekan Rabu as Commercial Centre The market place in the MRT sets itself as an important place due to it becoming the venue where people carry out trading and commercial activities (Shukri et al., 2018). Pekan Rabu is one of the marketplaces located within walking distance in the Alor Setar Royal town. It initiated by the late Tunku Yaacob Almarhum Sultan Abdul Hamid, a prince from the Kedahâ&#x20AC;&#x2122;s royal household as an impetus and encouragement for a greater number of Malays to play a more active role in commerce. It was in the early 1920s that the prince mooted the idea of a weekly market opening only on Wednesdays, along the Kedah river near Tanjung Chali, which also made the area possible to be accessed freely thus cultivating the area by the riverbanks, intensifying the trading activities and drawing more attention from the public. The open-air market was seen by many as a primer for the Malays to trade. Its success grew, and eventually, it evolved into a daily market and was relocated to Jalan Tunku Ibrahim in 1932 as an iconic symbol of Alor Setar. Where a lot of people meet others, it

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quickly becomes a space for socializing and networking. A marketplace is a platform where the local people could meet and gather whereby the tangible and intangible culture detected within the sense of place (Qamaruz-Zaman et al., 2014). Malay settlers, who were actively involved in trade and commerce found it easy to have their settlement built close to the marketplace and the river whereby used as their main route of transportation (Shukri et al., 2018). Successful and vibrant marketplaces are the centre of the meaning of the city in its ability to infuse new energy, purvey social and economic activities, and contribute to the vitality of the urban environments (Shamsuddin, 2011).

Successful marketplaces are not only nodes that become the physical settings for human activities in the urban fabric but also placed with a certain level of robustness where it is versatile enough to support for the progressive change in the activities taking place to ensure vibrancy and vitality (Ibrahim et al., 2018). Figure 6 shows the image and setting of Tanjung Chali, where the original of Pekan Rabu located in 1905.

Figure 6: Tanjung Chali where the Pekan Rabu located in 1905 (left) Pekan Rabu in Jalan Tunku Ibrahim founded in 1932 (centre) and new building of Pekan Rabu in 2018 (right) Source: Archive Kedah Royal Museum River and Jetty: Kedah and Raja Rivers as Main Transportation The role of the rivers and sea were pertinent as these two-water elements serve as the primary source of the economy as well as fulfils the need of the local community for a mode of transportation dated back to the 17th century. Malay traditional towns became the talk of people from all around during the said period (Chen 1998). The blossoming trade and economic activities eventuated at a strategic area often by the river banks of the shores of the sea. The trading and economic activities happening at the said places are seen to be convenient and thus contributed to the preference of local Malays to opt for settlements near riverbanks, and along the coast (Abidin & Arbina, 2017). The role of the Kedah and Raja rivers expanded to include functions other than just the use for trading. The physical attributes of the river furnished the users with transportation links to districts further into the hinterland areas. The city also has water transportation that plies the two rivers.

Based on history, the name ‘Raja’ is to personally associate the river with the Sultans who made it a royal routine to use the river for showering and other water-based activities. The lifeline between the north and south parts of the city are the water taxis more popularly known as ‘bot penambang’.

These are engined, roofed-over timber boats made to carry passengers from Kedah River Jetty, which happens to be the easiest and shortest way to get into town. At present, the Raja river converted into a monsoon drain as the use of water taxis became outmoded. The value of the river providing the main transportation route was equivalent to the importance of the river as a source of food and water. It was being acknowledged as the best transportation route for MRTs, whereby it helped cut travelling time and was also the easiest method of travelling (Abidin & Arbina, 2017). Other than that, the river made *Corresponding author (S.M.Shukri) Tel: +6010-9548978. Email: sharyzee@iukl.edu.my. ©2020 International Transaction

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it possible to trade and bringing goods closer to the people in the village to town. Two types of jetties were available at that time, one for the use of royals and the other one for public use (Hassan, 2010).

Figure 7 shows the existing Raja river that has become into a monsoon drain in late 1980.

Figure 7: Image of Raja River from Tunku Ibrahim Road, Alor Setar that has become a monsoon drain.

Settlement: Jalan Kampung Perak as Traditional Malay Villages The local people lived in traditional Malay villages, known as the residential area, which built in a manner that it surrounds the palace complex as well as public buildings aforementioned in MRTs (Shukri & Wahab, 2019; Shukri et al., 2020). As the people themselves seen as a symbol of power for the Sultan, that bigger settlements illustrate that the Sultan is more powerful and prosperous. The location of the settlements also constructed close to the town centre and facilities such as the palace complex, mosques, and Padang (Aziz et al., 2010). Besides that, the necessity to access a means of transport considered why settlements positioned near the river. Jalan Kampung Perak located on the northwest of the Zahir Mosque. Base on the in-depth interview, Jalan Kampung Perak is inhabited by state nobility. It is observable that the lifestyle, as well as the viewpoint of traditional Malay community towards architecture, didnâ&#x20AC;&#x2122;t go through much change. A trait which can see even nowadays, which is rooted from those days, is the design of houses built in clusters or groups. It is easy to figure out that each cluster belongs to a group of a family.

Gateway: Istana Kota Tengah Gateway as Symbol and Landmarks Ever since the beginning of Malay civilization in Southeast Asia, a gateway was used as their symbol and landmark by the early Malay kingdom. Old Malay historiographic documents of the king referred to, and through this, discovered that the gateway acted as the townâ&#x20AC;&#x2122;s main entrance, whereby it would always be guarded and protected. Istana Kota Tengah gateway was built by Sultan Abdul Hamid Halim Shah (1881-1943), who had a great influence on the Sultane institutional symbol but has been demolished and replaced by Wisma Negeri building in 1973. Overall, the gateway serves multiple purposes such as a symbol, as an entrance which lead to the villages, disconnecting the rest of the world when it shuts (Aziz et al., 2010). For the gateway to serve its function, hardwood became the choice of materials ranging from cengal, meranti, and teak, as well as the use of stones (Nasir, 1990).

4.1.1 URBAN FORM AND PATTERN Content analysis reveals that the Alor Setar continuously recorded since 1735. Alor Setar was earlier known as Kota Setar and opened by the late Sultan Muhammad Jiwa Zainal Adilin Mu'azzam Shah II and evolved into what is now Alor Setar: it is both a physical and symbolic setting for the

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royal institution (Musa, 2015; Winstedt, 1920). The orientation and settings of the natural Kedah and Raja Rivers showed clear imageability in terms of distinctiveness, legible visual, a highly recognisable location and excellent relationship with both rivers, streets, open spaces and buildings which in turn, reinforced pedestrian permeability and interconnectivity in the urban fabric on the town. The findings also showed that the town was located strategically on the west of Raja River and it lies along the Kedah River as a significant point that reaffirms the important role of the river back in the days.

Istana Pelamin also showed significant role in the establishment of Alor Setar as the centre of meaning, together with the Medan Bandar (Padang) and the Zahir mosque which formed the genius loci based on thematic levels such as the royal town physical location in urban topography and symbolic settings in Islamic influences and cultural landscape, establishing a context in the townscape of Alor Setar royal town. In the former days, Jalan Raja (or King's Road) which began from the Sultan Abdul Halim Bridge and continued through to the front of Wan Muhammad Building and the Balai Besar established as the main thoroughfare that connects the town. The setting of the Alor Setar evolves starting from the main central location, which is the Pelamin palace complex and Zahir Mosque since 1730, see Figure 8.

Figure 8: Urban morphology study of MRT of Alor Setar, Kedah

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CONCLUSION

Roles of MRT of Alor Setar are examined through a literature review of old scholarly articles and reports, historical map overlay, in-depth interview and semi-structured observations to discover the PE elements that characterize the identity of MRT in Alor Setar, Kedah. The key features concerning the PE in MRT in Alor Setar have been identified by analysing those physical settings and how it was perceived and influenced to the people surrounding. From the semi-structured observations, this study suggests that palace complex, fortress, mosque, public open space, marketplace, river and jetty, traditional settlements and gateway have played important and significant roles in shaping the urban structured of MRT in Kedah. This physical character must be able to be located within walking distances from each other, except for the fortress such as Kuala Bahang, which has its purpose of defence. The MRT in Alor Setar is a district with a single centre that centralized between the Medan Bandar, the Zahir mosque and Pelamin palace complex and oriented by the residential area and administrative buildings in the background. All these characters connected by the paths that circulate the royal town. The diversity in the PE of the Alor Setar royal town together with its urban form and *Corresponding author (S.M.Shukri) Tel: +6010-9548978. Email: sharyzee@iukl.edu.my. Š2020 International Transaction

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setting variety lend the town its unique identity and is worthy of preservation. This research also concludes that the PE of Alor Setar royal town will add diversity to the urban identity while acting as the representation of the original identity of local culture in Kedah and Malaysia.

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

6. ACKNOWLEDGEMENTS The authors would like to acknowledge the Fundamental Research Grant Scheme No.FRGS/1/2018/WAB03/IUKL/03/1 from the Ministry of Higher Education for the support of this research.

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Ts. Sharyzee Mohmad Shukri is a Lecturer and Researcher at Faculty of Architecture & Built Environment, Infrastructure University Kuala Lumpur (IUKL). He obtained a Bachelor of Architecture degree from Universiti Sains Malaysia (USM) and Master of Sustainable Urban Design from Universiti Teknologi Malaysia (UTM). His research is related to Malay Urbanism in Malaysia.

Ts. Dr. Mohammad Hussaini Wahab is a Senior Lecturer of Department of Management, Science and Design at Razak Faculty of Technology and Informatics Universiti Teknologi Malaysia. He received his B.Eng. in Architecture and Building Engineering, Master of Engineering in Architecture and Civil Engineering and PhD in Regional Environmental System from Shibaura Institute of Technology, Tokyo, Japan. His interests involve Regional Environmental System, Architectural Planning and Design and Sustainable Urban Design.

Ar. Mohamad Zafarullah Mohamad Rozaly is Principal of ZFRA. He holds a Masterâ&#x20AC;&#x2122;s degree in Sustainable Urban Design (UTM). He has taught design studios in many public and private architecture schools in the Klang Valley. As a registered architect, he has practised in both consultancy as well as development and has designed and completed numerous built projects specialising in multinational corporate offices for Business Process Outsourcing and ICT facilities.

LAr. Dr. Rohayah Che Amat is a Senior Lecturer of Department of Management, Science and Design at Razak Faculty of Technology and Informatics Universiti Teknologi Malaysia. She received her Bachelor (Hons) of Landscape Architecture, Master of Architecture and PhD in Historic Urban Landscape from Universiti Teknologi Malaysia. Her interests involve in the Historic Urban Landscape, Heritage and Conservation and Sustainable Urban Design.

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

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

PAPER ID: 11A06E

GREEN HUMAN RESOURCE MANAGEMENT PRACTICES AND ORGANIZATIONAL CITIZENSHIP BEHAVIOUR FOR ENVIRONMENT: THE INTERACTIVE EFFECTS OF GREEN PASSION a*

a

a

Nida Mohammad , Zainab Bibi , Jahanvash Karim , Dilawar Durrani 1 2

b

Department of Management Sciences, University of Balochistan, PAKISTAN. Department of Commerce, University of Balochistan, PAKISTAN.

ARTICLEINFO

Article history: Received 05 August 2019 Received in revised form 22 November 2019 Accepted 16 December 2019 Available online 10 January 2020

A B S T RA C T

Sustainability is an emerging area that enables organizations to gain a competitive edge. One of the reasons for the success of the fast-moving consumer goods firms is their concern about greening the human resource management. This study is aimed at analyzing the potential mediating role of green passion in the connection between green human resource management (GHRM) and organizational Keywords: citizenship behavior for the environment (OCBE). There are few Green Human Resource studies that explained the direct relationship among the two constructs Management (GHRM), such as OCBE and GHRM, however, the roles of green passion (GP) as Green Passion, Organizational a mediator are not explored by earlier studies. The data was collected Citizenship Behaviour for from a total of 210 top and middle-level managers of FMCG firms Environment (OCBE); across various cities of Pakistan. The developed hypotheses were tested Fast Moving Consumer using a simple linear regression method and process macro for SPSS by Goods; Roles of green Hayes’s. Findings suggested that GHRM has a positive effect on green passion. passion and OCBE. It was further revealed that green passion significantly mediated the relationship between GHRM and OCBE. Disciplinary: Management Sciences (Human Resource Management), Environmental Study (Environmental Awareness, Environmental Corporate Social Responsibility). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Climate change has become a crucial subject for all individuals, businesses and societies.

Environmental deterioration, globalization, depletion of natural resources and industrialization are the serious threats and challenges for every dweller on the planet earth (Peng & Yew, 2019). To overcome these challenges, a focus is needed on the major drivers that can help in achieving sustainable goals such as green human resource management (GHRM), passion for preserving the green environment and organizational citizenship behavior for the environment. The research has *Corresponding author (N.Mohammad). Tel: +92-3337931458. Email: nidamkhan786@gmail.com

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shown that GHRM practices have an encouraging influence on the environment (Kramar, 2014).

Green training and rewards would increase the passion of an organizationâ&#x20AC;&#x2122;s human resources in resolving environmental issues and getting economic benefits for the firms (Kim et al., 2019).

Pakistan is a developing country, now trying to promote environmental management and overcome the challenges towards sustainability, hence making it a suitable location for the current study.

Through GHRM, the firms can now transform the threats into opportunities and can acquire a green edge (Renwick, 2013). Considering the importance of the green environment for individuals, organizations, and society as a whole, this study aims to explore the indirect and direct effect of GHRM on organizational citizenship behavior for the environment (OCBE) in the fast-moving consumer goods (FMCG) companies.

2. LITERATURE REVIEW 2.1 GHRM It is the integration of environmental management with traditional human resource management (HRM) (Bombiak & Kluska, 2018). Green HRM is using HRM policies in order to promote sustainability. It can also be referred to as those policies and practices that can create a green workforce in order to benefit the individuals, businesses and natural environment. GHRM is considered as a broader framework of corporate social responsibility. Renwick et al. (2013) originated a framework including HRM functions such as recruitment & selection, training & development, reward system, performance management system and employee that are considered to be the powerful tools of linking employees with organizational environmental strategy. Various researchers approved the significance of environmental training and communication, organizational learning and the execution of environmental management programs (Sammalisto and Brorson, 2008; Triana and Ortolano, 2005).

2.1.1 GHRM AND ENVIRONMENTAL SUSTAINABILITY HRM practices empower organizations to create green activities and bestow employees with chances to engage in efforts related to greening the organization (Renwick et al, 2013). One of the major responsibilities of HR professionals is to get employeesâ&#x20AC;&#x2122; support in implementing initiatives that are for the sustainability of the environment (Priya et al, 2014). Transforming normal employees into green employees in an organization benefiting the natural environment and society by performing green practices for the development of a system is basically the process of GHRM (Arulrajah, 2014). Literature suggested four roles for an employee to be called a green employee that are conservationist, preservationist, maker, and non-polluter. Taking care of the natural environment so that it may last as long as possible is called conservationist, they are of the view that using natural resources at a minimum level will benefit future generations. Protecting the natural environment from loss or harm is known as a preservationist. Building parks and creating gardens or places containing plants, trees and grass are known to be a maker. Last but not least is non-polluter that prevents air, atmosphere, and water from being contaminated, they act as a shield and safeguard the planet from endangers.

2.1.2 GHRM FUNCTIONS HRM functions when linked with greening, play a significant role in the firmâ&#x20AC;&#x2122;s success and environmental management (Opatha & Arulrajah, 2014). Organizations are now using job

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Nida Mohammad, Zainab Bibi, Jahanvash Karim, Dilawar Durrani

descriptions to incorporate social and environmental tasks, duties and responsibilities for the protection of the environment. Firms are also using teamwork techniques as the job design for managing the environmental issues of the organization and it is a valuable initiative from HRM perspective to keep a sustainable environment (May & Flannery, 1995; Clement, 1997; Santos & Nagano, 2010). It is the hiring process of employees that possess knowledge, skills, and behaviors towards environmental management. The recruitment practices ensure that hired new employees are aware of the environment and organizational culture (Wehrmeyer, 1996). Literature suggested that environmental goals and sustainability can be achieved through parameters such as including green job descriptions by the employer, paperless interviews, environment-friendly locations, video recruiting in order to minimize travel expenses, inviting candidates over emails, online application forms and attracting recruits aware of the environmental policies.

Nowadays companies select those employees who have environmental concerns and interests.

Environment-related questions are asked from candidates in interviews in evaluating them for selection (Crosbie & Knight, 1995). The organization should ensure that the upcoming recruits comprehend environmental responsibilities, are familiar with safety arrangements, able to adopt environmental policy and appreciate the environmental culture of the organization (Revill, 2000).

Long term skill requisites are reflected by the firm’s selection process. The interview before selection should be accustomed to evaluating individuals whether they match with the organization's environmental objects. It is an important function of green HRM in developing the required skills and knowledge of employees by organizing green orientation programs and providing them environmental training (North & Daig, 1997). The reward management system can be integrated into the skills and competencies of achieving green environmental activities (James, 1996). It is divided into two heads like non-financial and financial rewards. Many organizations have made policies in regard to rewarding employees for their eco-friendly behavior, ideas, activities, and practices (Crosbie & Knight, 1995). On the other hand, companies have established recognition rewards due to the scarcity of financial rewards. Satisfaction and productivity rise when work is valued (Bhushan & Mackenzie, 1994). Sustainable strategies have been created by many companies for stabilizing the conducive environment and preventing various health issues. The redesigned post has a wider scope than the traditional one and it has to ensure environmental and safety management.

2.2

ORGANIZATION CITIZENSHIP BEHAVIOUR FOR ENVIRONMENT (OCBE)

It is shaped as the employees’ engagement in favorable and positive activities that help the organization to achieve its goals sustainably (Jackson et al, 2011; Daily et al, 2009). The framework of OCBE was developed stating that individual voluntary behavior contributing to environmental management systems not acknowledged by the formal reward system (Boiral, 2009). Voluntary green activities include; maximum walk instead of using car/bus or train while going to work or home, usage of natural light during work, plantation at offices or home will absorb pollution, buying organic foods, working with minimum bulbs, switching off bulbs, air conditioners and other electronic items before leaving rooms or offices and re-use various items such as bags, bottles, cans, and jugs instead of throwing. Organ (2006) classified OCB for the environment into six categories.

Sportsmanship includes the willingness of accepting supplementary tasks and necessary time in performing them and the tolerance for hardships regarding ecological issues. Organizational loyalty includes supporting organizational environmental activities, assistance in organizational citizenship *Corresponding author (N.Mohammad). Tel: +92-3337931458. Email: nidamkhan786@gmail.com

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behavior for the environment including favorable and positive environmental delegation of the firm in public interactions. Organizational compliance includes conformity with clear and unclear policies of organization and values concerning the environment. Individual initiatives are the internal participation and involvement of the whole organization in environmental activities, knowledge sharing, and waste minimization. Self-development involves the development of personalized understanding in order to improve and minimize environmental issues within the organization.

2.3 GREEN PASSION (GP) Green passion is a positive feeling of the individual to engage in voluntary practices considering the environment. Employees green passion is a positive attitude towards the environment occurring from favorable organizational situations and the appraisals (Jia et al., 2018). Participation in environmental practices can summon green passion when employees are familiar with the pros and cons of environmental protection and degradation.

2.4 THEORETICAL FRAMEWORK AND HYPOTHESIS DEVELOPMENT 2.4.1 GHRM AND OCBE GHRM practices positively enhance OCBE (Pinzone et al, 2016; Boiral et al., 2014). A study by Sudin and Saad (2018) found that GHRM practices like training and development, employee involvement and performance management are significantly related to OCBE. Green training enhances employees' required abilities, skills, and knowledge related to the environment in achieving organizational environmental goals (Jabbour et al., 2010). Green performance management practices increase environmental performance, aligning employee’s behavior with environmental objectives and motivating them to engage in environmental activities (Harvey et al., 2013). Appraising and monitoring the environmental performance of employees can help them to adopt green voluntary behaviors. Therefore, we propose the hypothesis H1: GHRM is positively related to OCBE. 2.4.2 GHRM AND GREEN PASSION GHRM mainly focuses on the features of HRM practices towards the environment which motivate employees and their commitment level to engage in greening activities. Green training facilitates employees to strive for better environmental performance. Green pay and reward stimulate employee’s passion to make extra efforts for promoting environmental sustainability. Jia et al. (2018) posit that green performance management motivates employees to participate in green practices. t can play a vital role in generating employee’s green passion (Jia et al., 2018). Thus, we propose the hypothesis H2: GHRM is positively related to green passion.

2.4.3 GREEN PASSION AND OCBE Vallerand et al, (2007) argued that employee’s harmonious environmental passion is an energizing experience that inspires individuals in making a difference and motivates them to engage in voluntary activities. As passion is an emotional state, intense enthusiasm and strong inclination towards an activity, therefore, Positive emotions such as happiness and joy influence OCB (Russell, 2010). Emotional affection is a strong motivational force for employees to engage in environmental behavior (Vining, 1992). Both the negative and positive emotions can play a strategic role in eliciting passion and in the adoption of environmental behavior (Fineman, 1996). When employees are motivated then they think beyond their individual needs and engage in behavior that is not part of

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Nida Mohammad, Zainab Bibi, Jahanvash Karim, Dilawar Durrani

their job description but that benefit to the organization (Bass & Riggio, 2006). Thus, we make the hypothesis H3: Green passion is positively related to OCBE. 2.4.4 GP AS A MEDIATOR BETWEEN GHRM AND OCBE Green passion is expected to play a facilitating role (Chen et al., 2011). The functions of GHRM like green performance, green recruitment and selection and reward management, green training and development and green involvement motivates an employee and enhances their green passion to engage in producing green ideas for green activities (Jia et al., 2018). GHRM measures likewise the green training and appraising can improve employee’s green passion, competitiveness and environmental performance (Jabbour, 2013). Literature also suggested that employee’s passion leads to organizational citizenship behavior for the environment (Cardon et al, 2009). Thus, we propose the hypothesis H4: GP mediates the relationship between GHRM and OCBE.

Figure 1: Relationships between studied variables.

3. METHOD 3.1

RESEARCH APPROACH The research is based on the positivist approach associated with quantitative research methodology. The objective measurement and statistical techniques were applied to test the hypothesis. The study focused on the most recent literature to measure the mediating role of green passion between GHRM and OCBE. The study checked the correlation among variables such as GHRM, GP, and OCBE and also predicted the change in one another. SPSS was used for measuring the quantitative data. Relationships between studied variables are given in Figure 1.

3.2

POPULATION AND SAMPLE The study incorporates causal design. A sample of 210 was selected using a convenience sampling method. The targeted population was the top and middle-level management of the fast-moving consumer goods sector. 200 accurate responses were collected from FMCG companies within Pakistan among which 161 were filled by males and 39 by females making 80.5% males and 19.5% females. Most of the participants were at a young age making 48% in the category of 30 to 39 years of age, 22.5% were in the category of 20 to 29 years and closely followed by 22% that is between 40 to 49 years of age. The rest 6.5% falls in the category 50 or older years of age. The highest percentage of the respondents are having a master’s degree in education making 51% of the overall *Corresponding author (N.Mohammad). Tel: +92-3337931458. Email: nidamkhan786@gmail.com

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06E http://TUENGR.COM/V11/11A06E.pdf DOI: 10.14456/ITJEMAST.2020.105

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sample, closely followed by 41.5% having a bachelor’s degree. The rest of them are having a minimum percentage in their corresponding categories with 2% above the master’s degree and 5% below the bachelor’s level which shows the low level of education.

3.3

MEASUREMENT The scales used in the questionnaires were adopted thoroughly. The instrument comprised of four parts. Demographics, GHRM, GP, and OCBE. The demographics section consists of gender, age, qualification, etc. The following scales were used in the questionnaire.

3.3.1 GHRM SCALE GHRM was measured through scale established by Shen & Benson (2016) consisted of five questions. The items were measured on a 5-point scale ranging from “1 = Strongly Disagree” to “5 = Strongly Agree”. The sample items are: “My institution relates employees eco-friendly behavior to rewards and compensation” etc. Cronbach’s alpha was found significant with a value of 0.889.

3.3.2 OCBE SCALE For this study, we used “Organizational Citizenship Behavior for Environment” developed by Paille and Boiral (2013). The scale consists of 13 items measured on a 5-point Likert scale ranging from (1 = Strongly Disagree) to (5 = Strongly Agree). Cronbach’s alpha was .881 and the sample items include: “I actively participate in environmental events organized by my institutions” “I stay informed of my institution’s environmental initiatives” etc.

3.3.3 GREEN PASSION SCALE Employee’s green passion was measured using 10 items scale developed by Robertson & Barling (2013) rating on a 5-point scale ranging from (1 = Strongly Disagree) to (5 = Strongly Agree). Items include: “I am passionate about the environment” “I enjoy engaging in environmentally-friendly behavior” etc. Cronbach’s alpha for the scale was .893.

4. RESULT AND DISCUSSION 4.1 DESCRIPTIVES AND CORRELATION ANALYSIS Descriptive statistics and correlation analysis were performed first so as to analyze the relationship between the variables under consideration. The results are described with the aim to examine the desired relationships.

Table 1: Descriptive statistics and correlations for all measures.

Variable GHRM OCBE

Cronbach’s alpha .889 .881

Mean 3.617 3.757

SD 0.859 0.591

GHRM 1 .502**

OCBE

GOC

.919

3.649

0.866

GP

.893

4.137

0.601

.369** .430**

.339** .385**

GOC

GP

1 1 .398**

1

Table 1 shows descriptive and correlation analysis results along with standard deviations and means. The reliability is a vital issue for confirming the consistency of the construct used in the research (Bryman & Cramer, 2012). The reliability Cronbach’s alpha test in Table 1 all more than 0.8 indicating a reliable dataset. Correlation analysis results showed a positive significant correlation amid GHRM and OCBE at r = 0.502. There was significant positive correlation amid GHRM and green passion (GP) with r = 0.430, amid GHRM and green organizational climate (r = 0.369)

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respectively. The correlation analysis of OCBE revealed that it was moderately related to GOC and GP with r = 0.339 and r = 0.385. Lastly, the green organizational climate has a moderate correlation with GP at r = 0.398.

4.2 REGRESSION ANALYSIS Regression analysis was used to empirically test the hypothesis and analyze the impact of the variables in the given model on each other. The following were the results revealed by the regression analysis.

Relationship between GHRM and OCBE (Hypothesis 1)

Table 2 shows the coefficient of determination R2 measures the percentage of “variance in the dependent variable explained by the model”. When tested the relationship between GHRM and OCBE, the proposed model explained a 25% variation in the dependent variable. The results from the F test showed that our overall model was significant F (1, 199) = 66.72, p <.01). The results further revealed that GHRM had a significant positive relationship with OCBE (β = .345, t = 8.168, p <.01).

Moreover, we also checked the unstandardized confidence interval. The results revealed that the confidence interval did not include the value of zero so Hypothesis 1 was substantiated.

Table 2: Regression Analysis between GHRM and OCBE (** = p <0.01) Relationship GHRM  OCBE

Unstandardized β .345**

t

R2

F

8.168

.252

66.72

Confidence Interval Lower Upper .262 .428

Relationship between GHRM and GP (Hypothesis 2)

Table 3, it was found that GHRM explicated an important portion of the variation total in green passion, which is 18.5%. The significance of the model is also revealed by the F test (1, 199) = 44.81, p <.01). Further, the linear regression analysis revealed that GHRM had a significant positive relationship with green passion (β = .30, t = 6.694, p <.01). Therefore, hypothesis 2 was also accepted.

Table 3: Regression Analysis between GHRM and GP (** = p <0.01).

Relationship GHRM  GP

Unstandardized β .30**

t

R2

F

6.694

.185

44.80

Confidence Interval Lower Upper .212 .389

Relationship between GP and OCBE (Hypothesis 3)

Table 4: Regression Analysis between GP and OCBE (** = p <.01) Relationship GP  OCBE

Unstandardized β .378**

t 5.864

R2

F

.148

34.381

Confidence Interval Lower Upper .251 .505

The results Table 4 shows simple linear regression analysis depicted that green passion significantly predicted organizational citizenship behavior for the environment (β = .378, t = 5.864, p <.01). It was found that GP significantly explained 15% of the variation in OCBE and F test results are significant at (1, 199) = 34.381, p <.01). Hypothesis 3 was supported. To examine the mediating role of green passion in connection amid GHRM and OCBE, we used methods proposed by Baron, & Kenny (1986). Baron, & Kenny (1986) advise testing the mediating effects by using three steps. The first one is testing the total effect of the independent variable on dependent termed as path c. The *Corresponding author (N.Mohammad). Tel: +92-3337931458. Email: nidamkhan786@gmail.com

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06E http://TUENGR.COM/V11/11A06E.pdf DOI: 10.14456/ITJEMAST.2020.105

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succeeding step involves testing the relationship between independent and the mediator (testing for the path a) and finally third step involves the independent and mediating variable predicting the dependent variable through multiple regression (testing for path b and path c/). As the first 2 steps were already conducted while testing hypotheses 1 and 2, for the third step we applied multiple regression by considering GHRM and GP and independent variables and keeping OCBE as dependent in the regression analysis. The following results were obtained from the multiple regression analysis.

Table 5: Regression Analysis between GHRM, GP, and OCBE Unstandardized β

Relationship GHRM  OCBE GP  OCBE

.284** .204**

t

R2

F

6.20 3.11

.287

39.66

Confidence Interval Lower Upper .194 .374 .075 .333

The results from Table 5 showed the substantial connection amid the GHRM (independent variable) and OCBE (dependent variable) hence total effect of GHRM on OCBE (path c) was significant (β = .345 t = 8.168 p <.01). The results further showed that the relationship between GHRM independent variable and GP mediator (path a) was also significant (β =.30, t = 6.694, p <.01).

For testing the mediation, we regressed both the independent variable (GHRM) and mediator (Green Passion) on the criterion variable (OCBE). The results showed that the mediator (GP) was significantly related to the DV (OCBE) hence path b was also significant (β = .204 t = 3.11, p <.01).

It was further seen that the direct effect of predicting variable on criterion variable (path c/) was significant (β = .284, t = 6.20, p <.01) but was reduced and less than the total effect (c/ =.284 < c = .345), thus showing that GP partially mediated relationship between GHRM and OCBE. The indirect effect of GHRM on OCBE mediated through GP can be calculated by subtracting the direct effect from the total effect (0.345 - 0.284 = 0.061) or by multiplying path ‘a’ and path ‘b’ (0.30 x 0.204 = 0.061).

In order to test the significance of the indirect effect, we used an online calculator that calculates the significance of the mediating effect (indirect effect) by applying the Sobel Test.

Test Sobel test Input

a = .30

Table 6: Sobel Test.

Test Statistics Std. Error 2.84 0.022 b = .204

Sa = .045

p-value 0.005 Sb = .065

The results of the Sobel test, Table 6 showed that the indirect effect of GHRM on OCBE mediated over GP was significant (Indirect effect = .061, Sobel Test statistic = 2.84). Hence hypothesis 4 was also accepted.

5. CONCLUSION From this study, it is proved that green human resource management practices play a critical role in organizational citizenship behavior for the environment.

The findings of the study have practical and theoretical implications for GHRM and OCBE. It integrated environmental psychology and environmental management “which is a unique contribution to the literature”. The study carried out a “mediating role of green passion between green HRM” and OCB for the environment in the FMCG sector throughout the various cities of Pakistan.

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The analysis confirmed that the GP mediates the relationship. The results of this study may assist various organizations and researchers to carry out similar studies in other organizations or other countries. We hope that this paper can bestow firms in taking responsibility for sustainability and better understanding for researchers in global areas such as environmental management and environmental behavior.

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

7. REFERENCES Ahmad, S. (2015). Green human resource Business & Management, 2, 1030817.

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Alharbi, K., Yusof, R., & Al-Matari, E. (2017). The moderating effect of organizational climate on the relationship between TQM on organizational sustainability: the case of hotel industry in Saudi Arabia . International Business Management.

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Boiral, O., 2009. Greening the corporation through organizational citizenship behaviors. J. Bus. Ethics 87, 221e236.

Boiral, O., & Paille, P. (2012). Organizational citizenship behavior for the environment: Measurement and validation. Journal of Business Ethics, 109(4), 431–445.

Boiral, O., Talbot, D., & Paillé, P. (2013). Leading by example: A model of organizational citizenship behavior for the environment. Business Strategy and the Environment. Advance online publication.

Bombiak, E., & Kluska, A. M. (2018). Green Human Resource Management as a Tool for the Sustainable Development of Enterprises. Faculty of Economic and Legal Sciences.

Crosbie, L. and Knight, K. (1995), Strategy for Sustainable Business: Environmental Opportunity and Strategic Choice, McGraw-Hill, Maidenhead: England.

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Jabbour, C. J. C., and F. C. A. Santos. (2008). The central role of human resource management in the search for sustainable organizations. International Journal of Human Resource Management 19 (12):2133- 2154.

Jabbour CJC, ABLS Jabbour, K Govindan, AA Teixeira and WRS Freitas (2013) Environmental management and operational performance in automotive companies in Brazil: the role of human resource management and lean manufacturing. Journal of Cleaner Production 47, 129–140.

Jackson, S., Renwick, D., Jabbour, C. J. C., & Muller-Camen, M. (2011). State-of-the-art and future directions for Green Human Resource Management. German Journal of Research in Human Resource Management, 25, 99–116.

*Corresponding author (N.Mohammad). Tel: +92-3337931458. Email: nidamkhan786@gmail.com

©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06E http://TUENGR.COM/V11/11A06E.pdf DOI: 10.14456/ITJEMAST.2020.105

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Kim, Y. J., Kim, W., Choi, H., & Phetvaroon, K. (2019). The effect of green human resource management on hotel employees’ eco-friendly behavior and environmental performance. International Journal of Hospitality and management.

Kramar R (2014) Beyond strategic human resource management: is sustainable human resource management the next approach? International Journal of Human Resource Management 25(8), 1069–1089.

North, K. (1997), Environmental Business Management – An Introduction, 2nd Ed., International Labour Office: Geneva.

Opatha, P., & Arulrajah, A. (2014). Green human resource management: Simplified General Reflections.

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Renwick, D. W.S., Redman, T., & Maguire, S. (2013). Green Human Resource Management: A review and research agenda. International Journal of Management Reviews, 15(1), 1–14.

Revill, C. (2000). The Greening of Personnel/Human Resource Management an Assessment, International Journal of Applied HRM, Vol.1, No. 3, pp. 1-30.

Stringer, L. (2009), The Green Workplace. Sustainable Strategies that Benefit Employees, the Environment, and the Bottom Line, Palgrave Macmillan: New York.

Wehrmeyer, W. (1996), Greening People – Human Resources and Environmental Management, Sheffield, England: Greenleaf Publishing.

Nida Mohammad is an MS Scholar at Institute of Management Sciences, University of Balochistan, Pakistan.

His area of research is Management and HRM.

Professor Dr. Zainab Bibi is Professor at Institute of Management Sciences, University of Balochistan, Pakistan. Her PhD is from University of Karachi. Her area of interest is HRM.

Professor Dr. Jahanvash Karim Professor at Institute of Management Sciences, University of Balochistan, Pakistan. His PhD is from Aix-Marseille 111, France in Emotional Intelligence. His area of specialization is HRM.

Dr. Dilawar Durrani is a faculty member in Department of Commerce, University of Balochistan. He got his PhD in Management Science from Harbin Institute of Technology, China. His main research interests are Organizational Empowerment Practices, Organizational Behavior.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

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Nida Mohammad, Zainab Bibi, Jahanvash Karim, Dilawar Durrani

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

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

PAPER ID: 11A06F

CHARACTERISTICS OF POST-GLOBALIZATION Ekaterina Viktorovna Bagrova 1, Sergei Vasilievich Kruchinin 1

1*

Department of Applied Mathematics and Natural Sciences, Noyabrsk Institute of Oil and Gas (Branch), Tyumen Industrial University, Noyabrsk, RUSSIA.

ARTICLEINFO

Article history: Received 16 August 2019 Received in revised form 14 December 2019 Accepted 24 December 2019 Available online 14 January 2020

A B S T RA C T

Globalization is one of the most important phenomenon that characterizes modern development. Globalization tendencies change.

There are a lot of articles concerning post-globalization. Many scientists suppose that the new age is a post-globalization one.

However, there is no definition of post-globalization itself. Each of the studies covers just a part of this phenomenon. The post-globalization Keywords: stage substantially differs from globalization one. The article is Globalization era; dedicated to the definition of post-globalization and its main Global development; characteristics. To archive this, all scientific works in the field of Changes in the global post-globalization were combined in several groups: studies that economy; National examine post-globalization or some aspects of it directly, and different state; Export scientific works that are dedicated to the end of the globalization era.

Import-substituting The research is based on previous studies and mentions of industries; Globalization process; post-globalization in different contexts. The results of the research National culture; Social proposed five key characteristics of post-globalization and eight economic statements about differences between the globalization and inequality. post-globalization stages, including directions of business development, basis of the economic growth, level of social inequality, key industries, and others. It was concluded that post-globalization was the arrangement of social dynamics processes, the basis of which were previously ones of globalization. These processes have had social, economical, cultural, political, and military aspects. Post-globalization is the period of society's development. This period has some specific characteristics. The article helps to predict changes in the future global development.

Disciplinary: Multidisciplinary (Global Studies, Philosophy Sciences, Sustainable Development, Educational Sciences; Economic Sciences). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Globalization is one of the most important and often discussed social processes in the modern world. This process concerns, on the one hand, a vast majority of countries and, on the other hand, a *Corresponding Author (K.S. Vasilievich) Tel: +7-922-06-04-382 Email: Kruchinin.s.v@bk.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06F http://TUENGR.COM/V11/11A06F.pdf DOI: 10.14456/ITJEMAST.2020.106

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vast majority of people in these countries. The globalization process penetrates many industries and affects social development. When discussing this issue, scientists usually specify economic, political, and cultural aspects of globalization (Babons, 2007). Moreover, globalization processes are interconnected and mainly generated by development of telecommunication and transportation.

There are a lot of articles dedicated to globalization. This is the most common definition of globalization: the process of international integration arising from the interchange of world views, products, ideas, and other aspects of culture (Albrow and King, 1990). According to James and Steger, the modern globalization process was formed in the 1970's (2014).

This paper was concentrated on the study of post-globalization. The vast majority of authors who used the term and studied the phenomenon, named it the post-globalization era. However, this paper uses the term â&#x20AC;&#x2DC;post-globalization.â&#x20AC;&#x2122; Post-globalization is a broader term than post-globalization era due to the fact that it does not concentrate on a definite period of time and the social processes occurring during this period. Moreover, the term post-globalization was observed both in the philosophical and social dimensions, and as a broad term, it could not be restricted by a definite time period.

In modern science, many researchers state that sustainable development is a key to a stable future (Khandegar and Saroha, 2013). The vast majority of researchers concentrate on ecological and environmental issues and, simultaneously, on rising consumption standards. Nevertheless, the main idea of this concept is providing high living standards to future generations. These standards include the ecological aspect, food and water quality, accessible goods, and healthy lifestyles. The rise in consumption standards does not assure huge private capital accumulation or overconsumption (Sachs, 2012). Globalization is the stage of intensive development and capital accumulation, while post-globalization is assumed to be a period of stabilization and achievement retention. Thus, sustainable development is a characteristic of post-globalization.

In the article, it was suggested that post-globalization is interconnected with globalization; however, it has not been just the consequence of the former. In this study, we discuss studies related to recent post-globalization and to the end of the era of modern imperialism, US dominance in economic, political, and cultural fields, which has been correlated with the process of modern globalization. We formulated the authors' definition of post-globalization and identified its specifics, based on current scientific research, the definition of globalization, and the concept of sustainable development.

This article aimed to propose a definition of post-globalization and present a list of economic characteristics of the stage of global development. To achieve this aim, all scientific works in the field of post-globalization were divided into several groups. The first group consisted of papers and studies that examined post-globalization or some aspect of it directly. Different scientific works that were dedicated to the end of the globalization era were combined into the second group. After the analysis of both of the groups was represented in the authorâ&#x20AC;&#x2122;s definition of post-globalization, we looked at its relationship with sustainable development and formed a list of economic characteristics for this stage of global development.

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Ekaterina Viktorovna Bagrova, Sergei Vasilievich Kruchinin

2. LITURATURE REVIEW 2.1 ASPECTS OF POST-GLOBALIZATION There are many different opinions about post-globalization. They were analysed one by one to determine what post-globalization was. One of the most controversial issues was raised by Berry. He specified three approaches to define post-globalization (Berry, 2010). According to the first one, post-globalization means ‘globalized,’ generic, homogeneous, and ‘the erasure of history and the loss of identity.’ The second approach claims knowledge and respect of history and local specificity. This approach associates post-global with national or local. The third approach supposes that post-globalization should be characterized by transformation and urbanization. Simultaneously, Nordtveit (2010) argued that post-globalization states global and local unification in one capitalist discourse. In other words, he combined the first and the second approaches proposed by Berry (2010).

Chu and Wood (2008) got similar results for Brazil that post-globalization combines both global and local development tendencies and cultural specifics.

Latham (2016) supposed that the post-globalization era is the epoch when permanent war on terror has been transformed into a permanent war on society. He pointed out that modern society has a broad number of social problems and the most significant among them are the results of the globalization era. Moreover, he showed that these problems would lead to power-holders changing through instruments of public opinion expression, such as video blogging. He also emphasized that both material and mental borders are thickened. In other words, there are many western mental influences on the East and eastern on the West; countries have become similar to each other and have to form and protect their own national uniqueness. Flew (2016) found similar tendencies in China's aspirations especially in promotion of national culture and traditions. There was a growth ‘of investments on the part of nation states in international media projection in order to promote national culture in media and cultural studies’ in China.

Parker (2016) suggested another point of view on post-globalisation, as an era of knowledge economy, based on the high quality of education available. Salunkhe et al. (2013) considered post-globalisation as a new higher education characteristic. However, knowledge and education were defined as important production points of economical forces in the early 1970s (Webster, 2006).

Therefore, knowledge economy cannot be specified as a solely post-globalisation characteristic; nevertheless, it is impossible not to notice that higher education had been transformed in the globalization era. Nowadays it is impossible to imagine an isolated national education system independent from global science and education. Modern higher education is based on the works of the global scientific community. Thus, it is supposed that in the sphere of higher education, post-globalisation assumes an integrated community and its achievements serve as the base of a new educational standard. This standard is a part of high living and is even with consumption standards, both important parts of sustainable development.

Nordtveit (2010) supposed that there is an opportunity of "uniformisation" as a characteristic of a post-globalisation society. In this society, "the poor would remain poor within a framework of ‘justice’ and ‘liberty’" (Nordtveit, 2010). Some social groups would be excluded from modern education and the knowledge economy, disconnected from information and education systems and, *Corresponding Author (K.S. Vasilievich) Tel: +7-922-06-04-382 Email: Kruchinin.s.v@bk.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06F http://TUENGR.COM/V11/11A06F.pdf DOI: 10.14456/ITJEMAST.2020.106

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as a result, would have no chance to escape from these groups. At present the difference in living standards between developed and developing countries is huge. Despite the fact that developed countries declare ‘justice’, ‘liberty’ and ‘equal rights’, they establish their manufacturing in the poorest countries. Many key economic figures include the results of corporation production at overseas factories. In the post-globalisation era each country is going to preserve its achievements and concentrate on national uniqueness. Therefore, developed countries will sustain their positions, especially in the fields of technology creation and education provision.

Even the creation and development of massive open online courses (MOOCs) can not equalize students all over the world. MOOCs are available for everybody (Nikolaevich et al., 2019). However the vast majority of them are in English due to their producers being English native speakers or those who use this language for work. Some courses are payable (about $50-$100 each) and all the courses demand high quality Internet for watching educational videos. Videos and communications via the Internet are the basics of MOOCs. Despite the fact that the vast majority of MOOCs are free, there are many underprivileged students in the poorest countries who cannot afford even the access to these courses (Evans and McIntyre, 2014). Thus, it is possible to assume that Salunkhe et al. (2013) are right in their description of the post-global society. It is the society with high quality educational standards and knowledge economy in many countries and, simultaneously, the exclusion of the poorest countries from these processes because of the development gap.

Menon examined modern communities of music and their technological background. He determined the role of their technological-based networks as an instrument of investment attraction.

His research found that post-globalisation is understood like an era of stable community relationships in different spheres including economical and financial worlds (Menon, 2013). Moreover, he wrote about hip-hop in Kerala that highlights intercultural connections and membership of developing countries. Menon (2013) and Salunkhe et al. (2013) suggested that post-globalisation era is similar to ‘era after globalisation’. They supposed that the post-globalisation world would be quite integrated in different spheres and developed via communities by network principles. Nordtveit (2010) adheres to the same opinion, that post-globalisation would occur when and where the movement of integration of economies would be completed, and when the world would be more or less unified in one capitalist discourse, that he considered equal to "completed globalisation" (Nordtveit, 2010).

Banerjee and Nag (2010) had interesting results. They found that welfare in labour-surplus economies would depend on foreign direct investments. Thus, some groups or even nations could be excluded from international markets due to external impacts. Banerjee and Nag (2010) showed that developed countries still have influence on the development other countries, and the difference between these two groups of countries is incredible. Developed countries create standards of living, consumption, technologies, and education. To be included within these standards, developing countries have to satisfy the minimum requirements and many, unfortunately, do not. These countries cannot evolve without foreign direct investments because they will not satisfy these requirements and have no domestic savings and capital for increased living and educational quality. The same is true for production increases in developing countries.

By looking at continuing analysis of studies that concern India and developing countries, it is important to admit that feminism itself has become in some ways ‘unspeakable’ and the worst kind of

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stereotyping (Phadke, 2013). Feminism, which is one of the most significant attributes of the globalization epoch, at present has become a kind of stereotyped behavior that begets new gender and social conflicts. A lot of women have forgotten about the origins of feminism and some have even forgotten about the rights which they were fighting for. Instead of this, they consider feminism as an instrument for obtaining power. Thus, in the post-globalization era, countries and societies reconsider information and dominant social strategies that had been created during globalization era and popularized via mass media. Each country, whether it is developed or developing, concentrates on its own cultural specifics and reconsiders key social concepts of the globalization era.

Distinctive characteristic of new media have become cross-cultural film production (Khorana, 2013; Singh, 2012). In other words, each country tries to defend and promote its own culture to other regions of the world and, simultaneously, has become less receptive to foreign cultures.

Along with economic characteristics, Nordtveit (2010) specified cultural characteristics and questioned whether post-globalization society could ‘accommodate radical Islam’ in case of ‘core ideological fundaments of unhindered global exchanges and universal capitalism remain unthreatened’. He discussed the cultural difference exchange and its acceptance during global standardization of economic operations and trading as a new reality of post-globalization society.

Thus, the post-global epoch raises an issue of international cultural exchanging and, simultaneously, protection of domestic traditions. Whereas globalization is an era of intensive cultural interchange, post-globalization, as a partly controversial epoch, has to be a period of concentration on national tradition retention.

Moreover, post-globalization is considered to be a new period of stability in contrast to period of rapid development in the globalization era (Kennedy, 2013). Yeralan and Baker (2009) characterized post-globalization as a sustainability system (2009). However, Srirangarajan and Bhaskar (2011) found that post-globalization ‘was marked by a sense of insecurity and high stress on both the economic and the employment fronts’ (2011). Thus, stability in post-globalization era led to development of insecurity because the new era is significantly different from globalization.

Srirangarajan and Bhaskar (2011), in contrast to Menon (2013), Salunke et al. (2013), supposed that society needs more spiritual integration in the post-globalization era.

Simultaneously, Borissov and Hellier (2013) found that post-globalization inequality does not strongly depend on the pre-globalization proportion of skilled workers and of the globalization intensity. Thus, post-globalization is not just a continuation of pre-globalization and globalization periods, it is the result of social, economic, and political transformations that are interconnected with labour quality and efficiency, technology development, and integration into information society.

Nevertheless, the issue of inequality, social development, and economic growth in post-globalization is still quite controversial. Murthy (2010) showed that ‘the divide between the poor and the rich in India is getting wider and deeper day by day during globalization and due to privatization (since the 1990's)’. Harvey (2004) presented his conception of accumulation by dispossession that had characterized information society, that social and economic development was guided by four practices: ‘privatization, financialization, management and manipulation of crises, and state redistributions’. These practices have been realized with the help of information technology development since the 1970's. However, they do not characterize the post-globalization era, but the *Corresponding Author (K.S. Vasilievich) Tel: +7-922-06-04-382 Email: Kruchinin.s.v@bk.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06F http://TUENGR.COM/V11/11A06F.pdf DOI: 10.14456/ITJEMAST.2020.106

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globalization one.

In contrast, the post-globalization epoch should be characterized by nationalization, strict monetary policy (expensive money), sustainable development, and stable high standards of living. Possibly, the world is tired of intensive development, high rates of GDP growth, and prefers to concentrate on private standards of living, life quality, and more equal distribution of welfare. This idea correlates with Paul Krugman's (2009) results, that show replacement of the period of rapid growth by sustainable development and personal welfare protection. He showed that periods of rapid growth are usually correlated with high levels of equality in welfare distribution. Sustainable development is the next stage after rapid growth. In the vast majority of cases, authorities are changed in these periods. The new authorities’ policy aim is to preserve and multiply the welfare of the richest parts of society.

Some authors connect transnational political violence and globalization. Mohamedou (2013) stated that the end of the globalization era and beginning of post-globalization one would happen simultaneously with the reduction of transnational political violence and political, economic, and technical pressure on developing countries. In other words, he suggested that post-globalization should be characterized by growing power, authority, and independence of developing countries.

However, he did not suppose that this would happen without war in any form, including international terrorism. Previously, Benhafaiedh (2006) showed that international terrorism affected foreign education and academic mobility of students from Islamic countries, like Tunisia. As a result, these countries had to develop other forms of mobility, like partnerships with different Mediterranean universities. Simultaneously, Coward (2006) proposed the dual choice between ‘statism’ and globalization, that was the basis of international relations, led to development of ‘post-globalization’ nature as phenomena, such as terrorism and the war on terror launched in response.

Bagrova (2016) assumed that post-globalization could be defined as the arrangement of social processes, as opposed to the globalization process that, simultaneously, characterized current social developments. She supposed that post-globalization and globalization processes could occur simultaneously, however, one of them should be dominant. Undoubtedly, post-globalization processes have arisen after globalization ones that currently are not important. Developing her ideas further, Bagrova (2016) supposed that post-globalization was based on advantages and disadvantages of the previous stage — globalization. Thus, globalization determined the post-globalization basis.

The quotation by Kagarlitsky (2015) dedicated to post-globalization is given that "The global crisis that started in 2008 signaled the end of the era of neo-liberal globalization but not the end of the processes it engendered. In this sense, the present period may be described as the era of 'post-globalization.' It is impossible to overcome the consequences of neo-liberalism without accepting that the current changes are irreversible but by no means final."

Thus, Kagarlitsky (2015) supposed that the era of neo-liberal globalization was over. However, according to events of the fourth quarter of 2016, there was no confidence about it. Nevertheless, post-globalization is becoming a new social trend, even if it is not so obvious now.

2.2 SCIENTIFIC WORKS DEDICATED TO THE END OF THE GLOBALIZATION ERA There are specific studies dedicated to the end of the globalization era. The vast majority of them analyze globalization as a process that was strongly interconnected with technological development,

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information society, development and the extension of financial markets, universal financial and economic values, and liberalization. Moreover, they reasoned that these processes were caused by US foreign policy. Therefore, these studies showed changes in American global power and authority, including economic and military aspects and international policy that affected the globalization process.

Wallerstein (2007) showed that globalization would be fundamentally changed due to the lack of real military victories of the US, which they had substituted by an appearance of victory manufactured by mass media. As a result, authority of the US has reduced significantly.

Simultaneously, many political leaders, for instance, Madeleine Albright, asked: “What is the point of having the most powerful armed forces in the world if one can never use them?” The lack of real victories showed that there was no point. Understanding this aspect led to the review of foreign policies, including military, by many developing countries and after all — by globalization process changes. Bello (2006) and Engdahl (2004) stated that the post-globalization epoch would come when developed countries stop attacking developing ones. War in developing countries would not provide any benefits and the ‘new cold war’ could be stopped (Bello, 2006; Engdahl, 2004).

Social development of the beginning of the XXI century was characterized by the reduction of cultural differences (Amin, 2010) that were determined by capitalism and imperialism. These two forces aligned different cultures, religions, and regions. As a result, in these regions, exploitation of the working class grew substantially. The working class was not provided with the means of improving their livelihood. Amin (2009) supposed that in the epoch after globalization, local cultural societies would become new regions of growth which would develop due to their cultural specifics.

Sommers (2009) supposed that technologies created by different countries in the multipolar world led to real social and technical development. He suggested that cultural differentiation would lead to differences in produced technologies. Simultaneously, the multipolar world would provide the opportunity of ‘equal’ exchange. Thus, Sommers (2009) proposed that after the globalization era, we would see a rise of nation states with developed social structures and mighty governments. These states would be more or less equal to each other and that would determine the multipolar world and lead to technological development.

Robinson and Barrera (2012) found that borders and nationality were used by strong and privileged transnational capital for the maintenance of control and domination over the working class.

Moreover, they showed that the working class' division into citizens and immigrants was the core problem of inequality all over the world. This division caused other problems with inequality.

Robinson and Barrera supposed that post-globalization society had to be much more equal, especially in the working context.

Thus, the authors of this group proposed that the new ‘after-globalized’ world should be better than the previous one. They supposed that social equality, agreements instead of war and national state would be the future of the post-globalized world. However, all of them understood that society at the beginning of the XXI century was quite far from these characteristics.

*Corresponding Author (K.S. Vasilievich) Tel: +7-922-06-04-382 Email: Kruchinin.s.v@bk.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06F http://TUENGR.COM/V11/11A06F.pdf DOI: 10.14456/ITJEMAST.2020.106

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3. METHOD The article is based on scientific review in the field of post-globalization. Key literature is presented in the previous part. In the main part of the study, tendencies and ideas, presented in the actual scientific literature, are combined, systematized, and analyzed to provide post-globalization and its economic characteristics. As a result, the definition of post-globalization is provided.

4. RESULT AND DISCUSSION 4.1 DEFINITION OF POST-GLOBALIZATION Summarizing the research and the viewpoints of authors from both group, it can concluded that post-globalization is an arrangement of reversed globalization social dynamic processes. These processes have social, economic, cultural, political, and military aspects. Simultaneously, post-globalization is the period of society development. This period has some characteristics. First of all, post-globalization is the period following globalization, when society is globalized enough, and the issue of the national state becomes rather important. The issues of national specifics, especially cultural specifics, have become one of the most discussed. Some authors supposed that post-globalization integrates both global and local tendencies of development and cultural specifics.

However, the vast majority of the authors proposed that the defending and developing of national culture have become one of the priorities for the countries in the post-globalization era. Thus, there occurs a growth of investments in order to promote national culture in media and cultural studies.

Countries re-evaluate information that has been brought via media in the globalization era and concentrate on their own cultural specifics.

Secondly, after the rapid development in the globalization era, post-globalization is considered to be a new period of stability and an era of stable community relationships in different spheres, including the financial realm. Despite the necessity of growth and development, governments in the post-globalization era do not use just monetary instruments and low interest rate policies.

Thirdly, post-globalization society was defined as one of inequality. The vast majority of the authors consider social equality to be an essential feature of a successful society. Thus, some social groups would be excluded from international systems of exchange, including international markets and access to high quality education due to external impacts. Similar inequality would develop between countries. As a result, some working class groups will be disconnected from information systems which will lead to the fact that the vast majority of their members will have no chance of escape from these groups.

Fourthly, post-globalization should be characterized by the growth of power, authority, and the independence of developing countries. However, scientists did not agree what tendencies would bring this change in global socio-economic development. Some of them supposed that this would not happen without a war in some form, including international terrorism. Others proposed that these countries could develop their own technologies based on national cultural specifics.

Fifthly, post-globalization should be the process of social adaptation to the new level of international integrity, interdependence, and interconnection, which is based on the change of how physical borders, distance, and space are perceived. Meanwhile, post-globalization is not just the

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Ekaterina Viktorovna Bagrova, Sergei Vasilievich Kruchinin

continuation of pre-globalization and globalization periods, it is a result of social, economic, and political transformations that are interconnected with labour quality.

4.2 ECONOMIC CHARACTERISTICS OF POST-GLOBALIZATION In the previous part, the definition of post-globalization was given. In this part, economic characteristics at this stage of global development are discussed. Following that, the author compares economic characteristics or globalization and post-globalization stages.

The national state becomes very important at the post-globalization stage in all spheres of social development, including economy, culture, politics, and others. Due to this fact, the economy of many countries will be oriented on national production development instead of production transfer into developing countries. For example, J. Trump induces American companies to return nation production to US territory. Simultaneously, during the globalization stage, exports have been one of the most important economic indicators. During post-globalization, domestic demand and consumption are important. The defending and developing of national culture becomes a priority for the countries in the post-globalization era. Therefore, investments in these fields have to grow substantially.

In the post-globalization era, sustainable development oriented on the quality of present and future life and consumption will be the basis of economic growth. In other words, society will move from the predominance of quantity estimations to quality ones. Undoubtedly, economic and financial figures will be important but they will not be the key indicators of life quality.

National state protection and defence will lead to increasing gaps between different countries, especially between developed and developing. In the globalization era, several countries, such as Japan, South Korea, and China, caught up to the development model. This model was based on exports of goods in several rapid growing industries, which led to intensive development of the countryâ&#x20AC;&#x2122;s economy and a substantial raise of GDP per capita. In the post-globalization stage, concentration on national production and consumption will lead to import and, as a result, export reduction. Thus, developing countries will lose an opportunity of catch up and develop. This statement does not mean that developing countries will have no opportunity for economic growth at all, but it should be based on domestic market extension. This type of development takes more time.

Social adaptation to new levels of international integrity will lead to the increase in value of agriculture and other basic industries. Each country or group of countries will try to create and grow a more independent economy system then in the globalization era. This independence, first of all, will be based on separate food production, then on some technological manufacturing. Therefore, some domestic producers in telecommunication, vehicle, and IT industries can promote their goods. This process will be take place in several countries simultaneously. The effectiveness of developing domestic companies will depend on government politics in the field of separation from other countries.

Thus, key changes in global development during the post-globalization era in comparison with the globalization era can be combined into Table 1.

*Corresponding Author (K.S. Vasilievich) Tel: +7-922-06-04-382 Email: Kruchinin.s.v@bk.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06F http://TUENGR.COM/V11/11A06F.pdf DOI: 10.14456/ITJEMAST.2020.106

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Table 1. Key differences in global development at the globalization and post-globalization stages Sphere of changes production placement basis of economic growth key industries

economy politic priorities directions of business development key measures of effectiveness government and social priorities level of social inequality

Globalization stage production transfer into developing countries export industries with increasing economic scale; industries with unified products that can be sold all over the world; industries that export culture values or promote unified cultural values extension on foreign markets international, market extension

Post-globalization stage domestic production

quantitative cultural change, integration into international organizations and communities economic gap increases in many cases and decreases in several (catch up development)

qualitative national culture, values and economy protection

domestic demand and consumption industries oriented on the domestic market; import-substituting industries; industries that develop and defend national cultural values protection of domestic market domestic, import-substituting

sustainable; developing countries can grow quicker or slower than developed ones; development become more independent on each other

Thus, at the post-globalization stage, many business and economic processes will be changed.

Domestic production, import-substituting industries, and industries that promote and protect national culture and values will develop rapidly. The role of export will reduce and the rode of domestic demand and consumption will increase. The most important characteristic of this period of development will be separation of domestic economies from integrated international society that influence on all spheres of production.

The large number of authors considered globalization as a cycle process (Djachaya, 2014; Galinskaya, 2006; Hasanshina, 2011; Mazrui, 1996; Kalburgi, 1995; Aggarwal, 2011). For instance, the age of discovery is considered to be the first stage of globalization (Axtmann, 1998). Moreover, some other authors supposed that globalization is a cycle process that is similar to Kondratiev waves, Kitchin cycle, Juglar cycle, and Kuznets swing (Korotayev and Tsirel, 2010). Undoubtedly, periods of globalization are very different from these phenomena. However, the authors assumed that they had the same nature.

Bagrova (2016) assumed that four stages of post-globalization could be defined as •

mercantilism (XVI-XVIII centuries),

•

protectionism (the second half of XIX century),

•

‘cold war’ age,

•

upcoming period of post-globalization.

It could be noticed that all of these periods had some similar characteristics which were formulated above, especially in the sphere of national economy and welfare protection. Thus, in each of the periods, issues of national state and development of national production were extremely important as well as monetary, financial, and economic stabilization; social inequality and rights of different classes and interactions between developing countries (colonies) were more or less stable

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without any dramatic changes. Undoubtedly, each of these periods have dealt with social adaptation to the new level of international integrity, which were archived at the previous stage of globalization.

For mercantilism, the most important social changes took place during the Age of Discovery. For protectionism, it was the development of manufacturing, international trade, and specialization. For the ‘cold war’ age, it was colonialism, imperialism, and the world wars. It could be considered that the basis of the upcoming period of post-globalization would be informatization, financification, and informational imperialism (Harvey, 2004; Webster, 2006).

5. CONCLUSION It can said that modern post-globalization has just arisen and developed as an arrangement of social processes, including educational, economic, political, military, and cultural. Post-globalization took place simultaneously with globalization. Meanwhile, the first of them has not become so obvious yet.

The post-globalization stage will be characterized by many changes in social and economic global development. It will lead to the development of a new kind of world. In this world, opinions and dominant philosophical ideas about economy will be substantially different from the current ones. At present, the key directions of philosophical thought about post-globalization were discussed.

Many of these thoughts are interconnected with economic ideas and behaviours. In the article, key differences were presented in the global economic development during the globalization and post-globalization stages.

The main disadvantage and limit of the presented research is lack of valid information about the post-globalization stage. This stage is going to start in different parts of the world, but it has not become extremely obvious at the present. Thus, in circumstances of trustworthy information deficit, the research can be based only on previous studies and mentions of the post-globalization era.

Definitely, they cannot be exhaustive. However, previous research which combines different opinions and covers many scientific fields can provide the most extensive and valid definition of post-globalisation that is possible.

6. AVAILABILITY OF DATA AND MATERIAL The research is partially based on open PISA data. No data is obtained from this stidy.

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Bello, W. (2006) Humanitarian intervention: Evolution of a dangerous doctrine. Focus on the Global South, Vol. 19, pp. 6-14.

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Singh, S. (2012) Defining a Non-Pakistan-centric Post-globalisation self in Hindi Cinema 1996-2006, in Bharat M. and Kumar N. (Eds.), Filming the Line of Control: The Indo-Pak Relationship through the Cinematic Lens, Routledge, London, 111-127.

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Wallerstein, I. (2007) Precipitate decline: the advent of multipolarity. Harvard International Review, 29, 50-59.

Webster, F. (2006) Theories of the Information Society. Routledge, London. *Corresponding Author (K.S. Vasilievich) Tel: +7-922-06-04-382 Email: Kruchinin.s.v@bk.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06F http://TUENGR.COM/V11/11A06F.pdf DOI: 10.14456/ITJEMAST.2020.106

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Yeralan, S., Baker, D. (2009) Sustainable systems engineering. Proceedings - Frontiers in Education Conference, FIE. Dr. Ekaterina Viktorovna Bagrova holds a PhD in Philosophy from Department of Applied Mathematics and Natural Sciences, Noyabrsk Institute of Oil and Gas (branch) TIU in Noyabrsk, Russia. Her scientific interests covers different issues, Interconnected with Philosophy and Social Development Processes.

Dr. Sergei Vasilievich Kruchinin holds a PhD in Philosophy from the Department of Applied Mathematics and Natural Sciences at Noyabrsk Institute of Oil and Gas (branch) TIU in Noyabrsk, Russia. His researches is dedicated to Modern Education in Different Forms and the Factors that Affect it.

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Ekaterina Viktorovna Bagrova, Sergei Vasilievich Kruchinin

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APPLICATION OF NUMERICAL MODELING TO PREDICT AND EVALUATE THE EFFECTS OF MANAGEMENT SCENARIOS IN GROUNDWATER RESOURCES 1

Fereshteh Valivand , Homayoon Katibeh 1

1*

Department of Mining and Metallurgical Engineering, Amirkabir University of Technology (Tehran Polytechnic), Tehran, IRAN.

ARTICLEINFO

Article history: Received 24 May 2019 Received in revised form 10 December 2019 Accepted 07 January 2019 Available online 14 January 2020

Keywords:

Groundwater management; Numerical modeling; Varamin plain aquifer; Water Management; Water recharge and discharge management plan; Aquifer management.

A B S T RA C T

Using numerical models, it is possible to predict with the governing process or different management scenarios, how the aquifer reacts to abstraction and recharge. In this study, the hydraulic behavior of Varamin Plain aquifer was simulated using the MODFLOW code of GMS software. The main aim of this simulation is to evaluate the effect of current aquifer management plans and the Jajrood River basin on changes in the water table of the unconfined aquifer and the piezometric level of the confined aquifer. After calibrating the model, the hydrodynamic coefficients were corrected and then using the obtained model, the quantitative behavior of the aquifer was predicted for two management scenarios for the future years. The results of the study showed that the implementation of recharge and discharge management plans can only lead to a decrease in groundwater level in the aquifer if it does not significantly reduce the percentage of water entering the aquifer.

Disciplinary: Hydrology Engineering, Groundwater Engineering. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Nowadays, groundwater is considered as a vital and strategic water resource for people living in the arid and semi-arid regions. Therefore, the study and management of the aquifers in the low-water areas have become a dynamic field of study in recent years (Al-Shaibani 2008). Most of the cities in Iran are located in areas where people do not have access to surface water; therefore, the main water source in these areas used for drinking and agricultural purposes is groundwater. One of the consequences of long-term and immethodical abstraction of groundwater is a reduction of the water table in the plains, which causes the land subsidence phenomenon. The land subsidence phenomenon has become a major concern in Iran and across the world. Land subsidence is one of the natural hazards, which occurs vertically in most cases and is not apparent during a short period of time.

Inattention to this phenomenon leads to irreparable damages; therefore, the future behavior prediction *Corresponding Author (H.Katibeh) Tel: +98 21 64542926. Email: katibeh@aut.ac.ir ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06G http://TUENGR.COM/V11/11A06G.pdf DOI: 10.14456/ITJEMAST.2020.107

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of the aquifer to abstraction is very important (Foster et al. 2013). In fact, predicting areas of the aquifer, which are more vulnerable, is a powerful tool for the optimized management of the groundwater resources. Today, using models to illustrate the facts and better understand the facts, as well as to make accurate decisions about phenomena is very common. One of these models is the simulation model of the groundwater flow used by experts in many countries, which has affirmed the accuracy and validity of their results (Harbaugh 2005). Groundwater numerical modeling is an important tool to manage aquifers. These models can be used to estimate the hydraulic parameters and also to manage water resources (Regli et al. 2003). Using numerical models, it can be predicted how the aquifer reacts to abstraction and recharge with the governing process or different management scenarios. Today, quantitative simulation of groundwater has been expanded via MODFLOW code using pre and postprocessor software. MODFLOW code has been used for groundwater flow simulation in various parts of the world, including the Nile Valley aquifers in the Tahta area and the Central Delta in Egypt (Shamrukh et al. 2001; Ghoraba et al. 2013), aquifers in the Croydon basin (one of the most important agricultural production areas in Europe), Cumbria area in France (Mol´enat and Gascuel-Odoux 2002; Serhal 2009), Sumas Blaine aquifer in Washington State, USA (Almasri and Kaluarachchi 2007), Willmore River Basin on Edmonton Canadian Island (Jiang and Somers 2009), Sherwood aquifer in West Nottingham Shire, England (Zhang and Hiscock 2011), Thessaly area in Greece (Stamatis et al. 2011), and Zagreb alluvial aquifer in Croatia (Marković et al. 2013). Since 50 years ago, Varamin Plain has always been the focus of attention due to its significant economic and social capacities, especially in the development of agricultural and industrial activities. Groundwater quantitative assessment of Varamin Plain is important because it supplies a large amount of agricultural and drinking water. In this study, the hydraulic behavior of Varamin Plain aquifer was simulated using the Modflow code of GMS software in stable and unstable states. The main aim of this simulation is to evaluate the effect of current aquifer management plans and Jajrood River basin on changes in the water table of the unconfined aquifer and the piezometric level of the confined aquifer in Varamin Plain. After calibrating the model, the hydrodynamic coefficients of the plain were corrected and then using the obtained model, the quantitative behavior of the aquifer was predicted for two management scenarios for the future years.

Considering that the unstable simulation period of the model ends in the 2008 water year, implementing the model in future conditions has been carried out from this year onwards, from 2009 to 2041.

2. MATERIAL AND METHOD 2.1 THE STUDY AREA Varamin plain is situated in the southeast of Tehran plain and northwest of the central desert of Iran. This plain is located in the southern slopes of the Alborz Mountains, northern Iran. The study area is about 1595 km2. The study area is situated between the longitudes of 55° 29′ and 56° 08′ and latitudes of 28° 49′ and 29° 58′ (Karami et al. 2017). The annual average rainfall is approximately 172 mm and the evaporation rate is roughly 2439 mm per year. The climate of this area is dry to semi-dry, but the southern part tends to be hot and dry due to its location in the desert border (Mokhtari and Espahbod 2009). The average altitude of the area is 1024 m. Figure 1 shows the location of Varamin Plain in Iran and in Tehran Province.

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Figure 1: Geolocation of Varamin Plain in Tehran Province (Iran).

2.2 VARAMIN AQUIFER MANAGEMENT PLANS AND JAJROOD RIVER BASIN The ever-increasing development of Varamin Plain led to the exploitation of water resources development plans, including the plan of irrigation network and drainage of the plain, Varamin diversion dam, artificial recharge plan of the aquifer and Varamin canal. However, under current conditions, the water crisis caused by the immethodical abstraction of groundwater has increased and affected the region. In future years, with the complete exploitation of Mamlou storage dam, artificial recharge plans of Varamin Plain, southeast treatment plant of Tehran, increasing the capacity of Varamin Canal, and changes in the allocation plan of Latyan storage dam, Varamin Plain will encounter various changes in the quantity and quality of aquifer storage. In general, the effects of the implementation of each of the mentioned plans on Varamin aquifer can be summarized as follows: - The implementation of Mamlou storage dam and the transfer of 120000000 m3 to supply drinking water of Tehran which will bring about the decrease in the water entering through Jajrood River at the entrance to Varamin Plain.

- Complete exploitation of the south treatment plant of Tehran and increasing the capacity of transferring Varamin Canal, which will allocate 203000000 m3 water to the Varamin irrigation network and 65000000 m3 water to artificial recharge plans including basins No. 2, 3, and 4 of Varamin Plain.

Simulation of the Varamin Plain aquifer was carried out for two stable and unstable states. After calibrating and preparing the final model, two different scenarios, one without the above management plans and the other based on the two above management plans, were applied for the model to assess the response of the aquifer to these two plans in the future years. The evaluation process performed in these two scenarios is examined. *Corresponding Author (H.Katibeh) Tel: +98 21 64542926. Email: katibeh@aut.ac.ir Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06G http://TUENGR.COM/V11/11A06G.pdf DOI: 10.14456/ITJEMAST.2020.107

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2.3 AQUIFER SIMULATION SCENARIOS In order to predict the aquifer quantitative situation in the future years, two scenarios are considered. The purpose of these scenarios is to assess the implementation effect of water resources development plans on Varamin Plain. The first scenario is related to the continuation of existing conditions. This scenario, which has the same boundary and initial conditions as the simulated situation, indicates the current quantitative situation of Varamin aquifer. That is, if the current situation continues, Varamin aquifer will encounter certain risks in the future years. The second scenario indicates the situation of the aquifer if the plans are carried out by the relevant organizations.

Under these conditions, the assigned values from the discharging of the southeast wastewater treatment plant of Tehran enter the study area and due to the implementation of the Mamlou storage dam, a significant portion of the surface water resources of Jajrood River will not enter the study area.

Therefore, in the horizon of the plan, about 203000000 m3 of discharging of Tehran wastewater treatment plant will be allocated to agricultural purposes in Varamin plain, and about 65000000 m3 will be transferred to artificial recharge in basins No. 2, 3, and 4.

2.4 SIMULATION OF THE GROUNDWATER FLOW GMS software (Ver: 7.1) was used to simulate the groundwater flow of Varamin aquifer. The steps of the model implementation involve the gridding of the study area, spatial and temporal classification, the definition of the model boundaries, and how to assign the initial parameter values to the various model nodes.

2.4.1 GRIDDING A mathematical model grid of Varamin aquifer has been designed from the regular and equal-sized cells (500m*500m) and in three separate vertical layers. The number of grids covering the entire extent of the unconfined and confined aquifers is more than 82 rows and 98 columns.

2.4.2 AQUIFER HYDRODYNAMIC COEFFICIENTS In order to assign the K values to the model cells, the equation T = K Ă&#x2014; b was used, where T is transmissibility, K is permeability coefficient and b is the aquifer thickness. It is clear that the permeability coefficient in each cell is equal to the division result of the transmission coefficient by hydrous layer thickness in that cell. The values obtained from this method were corrected during calibration.

2.5 BOUNDARY CONDITIONS AND INITIAL CONDITIONS OF THE MODEL IN STABLE AND UNSTABLE FLOW 2.5.1 BOUNDARY CONDITIONS Boundaries are classified into two general types including physical boundaries and hydraulic boundaries. Physical boundaries are formed by the physical existence of an impermeable phenomenon or massive body of surface water. Other boundaries such as groundwater division line and flow lines, which are invisible and are formed as a result of the hydrological conditions, are called hydraulic boundaries (Anderson and Woessner 1992).

Varamin Plain aquifer is formed from a hydrous unconfined layer in the northern alluviums, which extends to the middle of the plain. Due to the existence of a less permeable layer between the more coarse-grained alluviums, the aquifer in the southern parts of the plain is divided into two hydrous layers with different hydraulic characteristics. The surface hydrous layer in these parts is the

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unconfined hydrous layer type and underlying layers are confined (TRWA 2014).

In Varamin aquifer, the actual boundary between the unconfined and confined area is not clear, and this is problematic in determining the confined aquifer. To solve this problem, the hydraulic and hydrodynamic properties of layer 2 (the impermeable layer between two aquifers) and layer 3 (confined aquifer) in the northern part of the plain are assumed to be equal to layer 1 (unconfined aquifer). This means that in the northern part of the plain we will have an unconfined aquifer in the prepared model. The boundary of the unconfined aquifer is defined as a known discharge type, and the boundary of the lower layer is defined as an active cell type. These values have been initially estimated and corrected during calibration (TRWA 2014). Figure 2 shows the assumptive structure of the aquifer.

Figure 2: Model structure of Varamin plain aquifer.

2.5.2 INITIAL CONDITIONS After determining the type of aquifer boundaries, recharge and discharge data from both the surface and underground were imported into various coverages of the conceptual model. In the next step, information of abstraction and piezometric wells were imported. After importing the coverages information, the quantitative model was implemented. Initial conditions of the aquifer to implement the model in a stable state are the same as the groundwater level at the beginning of the adjustment period, early September 2006. Similarly, the model was adjusted and implemented in an unstable state for seasonal stress periods from 2006 to 2008.

2.6 CALIBRATION AND ADJUSTMENT OF THE AQUIFER QUANTITATIVE MODEL Calibration is one of the most important and most difficult steps in preparing a numerical simulation model for groundwater. PEST is one of the most suitable codes for parameter estimation, created by Doherty et al. (1994) for MODFLOW. This code has a wider application than other existing codes, due to the ease of use and attachment to MODFLOW. For this reason, the PEST code was used for calibration in this research. In the next step, during calibration of the stable state, the permeability coefficient and during calibration of the unstable state, specific yield and storage coefficient of the aquifer were corrected. Based on the simulation results, it was found that the specific yield of the unconfined aquifer varies from 0.03 to 0.20. Also, the storage coefficient of the confined aquifer varies from 0.002 to 0.008.

Figure 3 shows the correlation between observational and computational water level values in the unconfined aquifer after calibration for the summer of 2008. The correlation of the above values is very high (R2=0.993) and indicates the high adaptation of the model in the unstable flow regime. *Corresponding Author (H.Katibeh) Tel: +98 21 64542926. Email: katibeh@aut.ac.ir Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06G http://TUENGR.COM/V11/11A06G.pdf DOI: 10.14456/ITJEMAST.2020.107

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Figure 4 shows the correlation between observational and computational water level values in the confined aquifer after calibration for the summer of 2008. The correlation of the above values is very high (R2=0.987) and indicates the high adaptation of the model in the unstable flow regime.

Figure 3: Correlation between observational and computational values of water in observational wells of the unconfined aquifer in unstable flow.

Figure 4: Correlation between observational and computational values of water in piezometric wells of the confined aquifer in unstable flow.

3. RESULTS 3.1 SIMULATION IN AN UNSTABLE STATE After calibrating the model parameters, simulation results obtained from the model in unconfined and confined aquifers in the unstable state were calculated for different periods and compared to the observed values. Results obtained from the calculations in observational and piezometric wells are consistent with the observed values in these wells. Figure 5 shows the results of the two wells.

The water table isopleth map of the unconfined aquifer, and piezometric level of the confined aquifer in the years 2005 to 2008 obtained from the model are shown in Figures 6 and 7. During this period of time, there were 12 stress periods, and so 12 isopleth maps were obtained.

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P66

P89

Figure 5. Comparison of observational and computational water levels in observational wells in an unstable period.

Figure 6. Isopleth lines of the groundwater level in the unconfined aquifer during 3 different stress periods. (A: Fall 2005, B: Winter 2006, C: Summer 2008).

Figure 7. Isopleth lines of the piezometric level in the confined aquifer in three different stress periods. (A: Fall 2005, B: Winter 2006, C: Summer 2008). *Corresponding Author (H.Katibeh) Tel: +98 21 64542926. Email: katibeh@aut.ac.ir Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06G http://TUENGR.COM/V11/11A06G.pdf DOI: 10.14456/ITJEMAST.2020.107

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3.2 PREDICTING THE QUANTITATIVE CHANGES OF THE AQUIFER IN FUTURE YEARS In order to import the model data for assessing the reaction of Varamin alluvial aquifer in the future, the prepared model should be readjusted and some changes made. Considering the unstable period simulation of the mathematical model that ends in 2008-2009, implementation of the model will be made from this year onwards. The prediction period of the mathematical model of the plain was conducted during a period of 2009-2041. Two proposed scenarios (Section 2.3) were implemented and the obtained results were compared in this period of time. During the simulation period, all the recharge and discharge factors that have not been seen in the scenario, have been considered as constant and similar to quantitative simulation in stable conditions. Recharge values from the aquifer surface related to the rainfall are considered constant. The other factors have changed in line with the estimate reported in the scenarios.

Figure 8. Aerial map of Varamin Plain and location of the irrigation canal network.

3.3 RESULTS OF THE FIRST SCENARIO The most important conditions applied in the first scenario are the non-exploitation of the Mamlou dam during the entire simulation period and the non-implementation of artificial recharge plans (basins 2, 3 and 4). Water transmission through the Varamin canal network to the Varamin irrigation network (Figure 8) is about 2 m3/s. Also, the amount of water needed for agricultural, drinking and industrial purposes and its supplied sources are similar to the simulation period. Figures 9 and 10 show the situation of groundwater level drop and piezometric level in the years 2021 and 2041 compared to the summer of 2008.

3.4 RESULTS OF THE SECOND SCENARIO In the second scenario, the assigned values from the discharging of the southeast wastewater treatment plant of Tehran enter the study area and due to the implementation of the Mamlou storage dam, a significant part of Jajrood River surface water resources will not enter the study area (2017).

In implementing the model to simulate these conditions, amounts of return water caused by surface water consumption are applied to the model. In this scenario, agricultural, drinking and industry water needs according to predictions have been considered after carrying out the plans. By applying these assumptions, the model was re-implemented to predict quantitative changes of the plain. Figures 11

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and 12 show the groundwater level drop in this scenario in unconfined and confined aquifers for two horizons of 2021 and 2041.

Figure 9. Groundwater level drop in the first scenario in the unconfined aquifer (right) and piezometric level drop in the confined aquifer (left) in the year 2021 compared to the summer of 2008.

Figure 10: Groundwater level drop in the first scenario in the unconfined aquifer (right) and piezometric level drop in the confined aquifer (left) in the year 2041 compared to the summer of 2008.

In the maps obtained from the first scenario (Figures 9 and 10), situation of groundwater level drop continues as in previous years, but in the second scenario (Figures 11 and 12), considering the utilization of the discharge of the wastewater treatment plant, the groundwater drop rate of the aquifer has decreased, although this decrease continues. *Corresponding Author (H.Katibeh) Tel: +98 21 64542926. Email: katibeh@aut.ac.ir Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06G http://TUENGR.COM/V11/11A06G.pdf DOI: 10.14456/ITJEMAST.2020.107

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Figure 11: The situation of groundwater level drop in the second scenario in the unconfined aquifer (right) and confined aquifer (left) in 2021.

Figure 12: The situation of groundwater level drop in the second scenario in the unconfined aquifer (right) and confined aquifer (left) in 2041.

4. CONCLUSION In this study, using simulation, the trend of the groundwater level drop has been predicted in two scenarios for future years. As shown in the maps obtained from the model in the first scenario (Figures 9 and 10), the situation of the groundwater level drop continues as in previous years, and the aquifer instability indices are clearly recognizable. The highest drop of the groundwater level is observed in the northern part of Varamin Plain, and as shown in Figure 10, a large part of the aquifer (northern half of the plain) will decline by more than 20 meters in the next 30 years. Under these conditions, the average annual reduction in the reservoir of Varamin aquifer will be 127000000 m3. In general, in spite of the local uncertainties in the model results, a continuation of the existing conditions will cause the quantitative instability of the aquifer.

As shown in the maps derived from the model in the second scenario (Figures 11 and 12),

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considering the utilization of the wastewater treatment plant discharge, the aquifer quantitative situation is more appropriate than the present situation (scenario 1). However, the trend of the groundwater level drop continues and the aquifer balance will be decreased. Under these conditions, the highest drop in groundwater level occurs in the northern part of the aquifer. In the southern areas of the plain, due to the existence of the impermeable layer between the unconfined and confined aquifers, the groundwater level of the unconfined aquifer will slightly increase. In the second scenario, due to the supply of Pakdasht’s drinking water from the Mamlou dam and in order to remove the drinking water wells, the drop rate of the water table in the south of Pakdasht has slightly decreased.

A comparison of the model implementation in the first and second scenarios shows that with the implementation of planned projects, part of the aquifer’s quantitative problems, especially in the northern areas of the plain, will be decreased so that in some areas the groundwater drop (results of the first scenario) has decreased about 30 to 40 meters by 2041. In the second scenario, despite the increase in the water of Tehran wastewater treatment plant and the implementation of the artificial recharge plan, a balance of the groundwater has been decreased with an annual reduction of about 100000000 m3 in aquifer storage. Therefore, the reduction of water allocation from the Jajrood River to Varamin Plain should be proportional to the increase in water resources from wastewater treatment plant discharge in the south of Tehran. Otherwise, in a short-term period, a significant drop and also land subsidence will undoubtedly occur in the northern areas of the aquifer.

In general, the implementation of recharge and discharge management plans in Varamin aquifer can only lead to a decrease in groundwater level in the aquifer if it does not significantly reduce the percentage of water entering the aquifer. Certainly, the use of current management methods (second scenario) will not have much of an effect on the improvement of the aquifer situation. In addition to the entrance of Tehran treatment plant wastewater into Varamin plain, the plain recharge from Jajrood River should be continued as a suitable natural recharge source.

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

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Foster, S., Hirata, R., Andero, B. (2013) The aquifer pollution vulnerability concept: aid or impediment in promoting groundwater protection. Hydrogeology Journal. 21(7), 1389–1392.

Harbaugh, A.W. (2005) The U.S. Geological Survey Modular Ground-Water Model (MODFLOW). U.S. Geological Survey, Reston, Virginia.

Regli, C., Rauber, M., Huggenberger, P. (2003) Analysis of aquifer heterogeneity within a well capture zone, comparison of model data with field experiments: a case study from the river Wiese, Switzerland, Aquat. Sci 65: 111-128.

Shamrukh, M., Corapcioglu, M.Y., Hassona, F.A.A. (2001) Modeling the effect of chemical fertilizers on groundwater quality in the Nile valley aquifer, Egypt.

Groundwater. https://doi.org/10.1111/j.1745- 6584.2001.tb00351.x.

*Corresponding Author (H.Katibeh) Tel: +98 21 64542926. Email: katibeh@aut.ac.ir ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06G http://TUENGR.COM/V11/11A06G.pdf DOI: 10.14456/ITJEMAST.2020.107

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Ghoraba, S.M., Zyedan, B.A., Rashwan, I.M.H. (2013) Solute transport modeling of the groundwater for quaternary aquifer quality management in Middle Delta, Egypt. Alexandria Engineering Journal, https://doi.org/10.1016/j.aej.2012.12.007.

Mol´enat, J. and Gascuel-Odoux, C. (2002) Modelling flow and nitrate transport in groundwater for the prediction of water travel times and of consequences of land use evolution on water quality.

Hydrological Processes. https://doi.org/ 10.1002/hyp.328.

Serhal, H., Bernard, D., El Khattabi, J., Sabine, B., Shahrour, I. (2009) Impact of fertilizer application and urban wastes on the quality of groundwater in the Cambrai Chalk aquifer, Northern France.

Environ Geol J. Almasri, M.N. and Kaluarachchi, J.J. (2007) Modeling nitrate contamination of groundwater in agricultural watersheds. Journal of Hydrology, https://doi.org/10.1016/j.jhydrol.2007.06.016.

[10] Jiang, Y. and Somers, G. (2009) Modeling effects of nitrate from non-point sources on groundwater quality in an agricultural watershed in Prince Edward Island, Canada. Hydrogeology Journal.

17(3),.707–724.

Zhang, H. and Hiscock, K.M. (2011) Modelling the effect of forest cover in mitigating nitrate contamination of groundwater: a case study of the Sherwood Sandstone aquifer in the East Midlands, UK. Journal of Hydrology. https://doi.org/10.1016/j.jhydrol.2010.12.042.

Stamatis, G., Parpodis, K., Filintas, A., Zagana, E. (2011) Groundwater quality, nitrate pollution and irrigation environmental management in the Neogene sediments of an agricultural region in central Thessaly (Greece). Environ Earth Sci. 64(4), 1081–1105.

Marković, T., Brkić, Z., Larva, O. (2013) Using hydrochemical data and modelling to enhance the knowledge of groundwater flow and quality in an alluvial aquifer of Zagreb, Croatia. Science of The Total Environment. https://doi.org/10.1016/j.scitotenv.2013.04.013.

Karami, Sh., Madani, H., Katibeh, H., Fatehi Marj, A. (2017) Assessment and modeling of the groundwater hydrogeochemical quality parameters via geostatistical approaches. Applied Water Science, https://doi.org/10.1007/s13201-018-0641-x.

Mokhtari, H.R. and Espahbod, M.R. (2009) The investigation of hydrodynamic parameters potentiality of the Varamin Plain regarding the variation of salinity gradient. J Earth 4:27–47.

Anderson, M.P. and Woessner, W.M. (1992) Applied Groundwater Modeling. Acadeic Press, Inc., San Diego, California.

TRWA. (2014) Report of groundwater resources studies in Varamin area. Tehran regional water authority.

Professor Dr. Homayoon Katibeh is Professor in the Department of Mining and Metallurgical Engineering of Amirkabir University of Tehran. His research encompasses Groundwater Pollution and Water Modelling

Fereshteh Valivand is a PhD student in Mining Exploration, Department of Mining and Metallurgical Engineering, Amirkabir University of Technology (Tehran Polytechnic). She is interested in Groundwater Modelling.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

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PAPER ID: 11A06H

EFFECTS OF IRRIGATION SCHEDULING AT DIFFERENT MANAGED ALLOWABLE DEPLETION IN SALINE SOIL ON THREE RICE VARIETIES Galadima Umar Idris Tanee Sreewongchai

c

a*

, Sudsaisin Kaewrueng

b

,

, Saowanuch Tawornpruek d

Department of Tropical Agriculture, International Program, Faculty of Agriculture, Kasetsart University Bangkok, THAILAND. 2 Department of Farm Mechanic, Faculty of Agriculture, Kasetsart University Bangkok, THAILAND. 1

3 4

Department of Agronomy, Faculty of Agriculture, Kasetsart University Bangkok, THAILAND. Department of Soil Science, Faculty of Agriculture, Kasetsart University Bangkok, THAILAND.

ARTICLEINFO

Article history: Received 07 September 2019 Received in revised form 26 December 2019 Accepted 20 January 2020 Available online 21 January 2020

A B S T RA C T

The increasing scarcity of freshwater is threatening the sustainability of irrigated rice. Irrigation scheduling when water is inadequate within the paddy sodic soil can be an alternative to sustain rice crop production. This study focuses on observing the crop growth parameters and yield response of three rice varieties. Three salinity levels were prepared to 1.05 dS/m, 1.55 dS/m and 2.08 dS/m. Four Keywords: moisture contents were set up to flooded water content, 0.1 to 0.33 bar, Rice crop production; 0.45 MAD and 0.60 MAD. Three rice varieties, Pathum Thani 1 Environmental stress; (PPT1), PPT1 mutant, and Nerica3 were assigned to the treatments. At Rice yield; EC tolerant; Irrigation scheduling; flooded water content, both growth and yield were higher, the highest Rice response to drought; yield recorded was 26.11 g pot-1 in PPT1 mutant at 1.05 dS/m with Soil moisture content decreases in yield at higher electrical conductivity at saturation extract (MC); Electrical (ECe) levels in PPT1 variety. All three varieties responded to lower conductivity at saturation yield in more delayed irrigation scheduling. At 0.1 to 0.33 bar, the yield extract (ECe); gap was around 34.5, 35 and 27% lower than that of the flooded water Manageable allowable content for PPT1, PPT1 mutant, and Narica3. At 0.45 and 0.60 MAD, depletion (MAD). yield appeared in Narica3 only. Crop water use was higher in PPT1 mutant at 1.05 dS/m in all the moisture contents, with 5.61 mm/day recorded at flooded water content. The study concludes that the reduction in moisture content from flooded water content to 0.1 to 0.33 bar up to 0.45 MAD and 0.60 MAD has affected both crop growth and yield of rice among all varieties.

Disciplinary: Agricultural and Irrigation Sciences. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION The increasing scarcity of freshwater due to demand by several bodies is threatening the *Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th ©2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

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sustainability of irrigated rice (Bouman & Tuong, 2001). As less water will be available for growing rice, an increase in rice production must keep pace to meet up with the population growth which was estimated to reach 8 billion people by 2025 as projected by the United Nations (Khush, 2005).

Producing more rice with less water is, therefore, a challenging task for the food, economic, social and water security of rice production regions globally (Facon, 2000). Reduction in rice yield can be termed as a threat to food security and can also affect the livelihood and economy of more than 3 billion people which rely solely on rice as their primary food source (Van Nguyen & Ferrero, 2006).

Rice may not necessarily require much flood as the existing conventional practice as most of the water applied is lost due to seepage, deep percolation and high evapotranspiration due to the high flooding level. Excessive flooding in the paddy field increases percolation which contributes reasonably to water loss than providing the required water need by the rice plant for optimum productivity (Tuong & Bhuiyan, 1999).

Effective water management practice within the salinity threshold of rice can serve as an alternative means to sustain rice crop production in the growing challenges of water scarcity (Maas & Hoffman, 1977). Reported that, rice can withstand a salinity level of up to 3.0 dS/m but will suffer a decrease in yield loss of about 12% for every increase in a unit of dS/m. This study, therefore, aimed at producing rice, by using four different moisture contents within the salinity tolerant limit of rice and focused on observing the crop growth parameters and yield response of three different varieties of rice.

2. METHODOLOGY The study was conducted in a greenhouse at Kasetsart University, Bangkok of Thailand. The average temperature and the average relative humidity at the greenhouse were 320C and 65% respectively. Enclosed pot with a top opening measuring 40 cm Ă&#x2014; 40 cm to prevent losses due to seepage and percolation were filled with a sandy loam soil volume of 48,000 cm3 with a plant density of four plants per pot. Three salinity levels were adjusted using sodium chloride (NaCl) according to the salinity adjustment method provided by (Rhoades & Chanduvi, 1999). However, little adjustments were made: 20 g and 30 g of sodium chloride (NaCl) were diluted in separate containers with an equal volume of water, and another container was filled with water without sodium chloride (NaCl) at all, the solution was then poured into the experimental soil. The samples were further collected and the electrical conductivity at saturation extract (ECe) was determined in the laboratory.

The corresponding electrical conductivity at saturated extract were 1.05 dS/m, for the experimental soil which no sodium chloride was added (actual ECe of the experimental soil), 1.55 dS/m for the sample which 20 g of sodium chloride (NaCl) was added and 2.08 dS/m for the sample which 30 g of sodium chloride (NaCl) was added. Fertilizer was applied based on the nutrient requirements of the soil at a recommended rate.

Four different moisture content were prepared based on the soil moisture tension relationship of the experimental soil. The experimental soil has the following moisture content, tension relationship: At 15.47% moisture content, the soil tension is 0.1 bar, at 10.13% moisture content (field capacity), the soil tension is 0.33 bar, at 9% moisture content, the soil tension is 0.5 bar, at 7.72%, the soil tension is 1 bar and at 4.4% moisture content (permanent wilting point), the soil tension is 15 bar.

Hence, the four (4) different levels of water content were prepared as follows: The control is maintained at flooded level which was named moisture content 1 (MC1), MC2 was managed between

2

Galadima Umar Idris, Sudsaisin Kaewrueng, Tanee Sreewongchai, Saowanuch Tawornpruek

soil moisture tensions of 0.1 bar to 0.33 bar (above field capacity which is 0.33 bar), MC3 was managed at 0.45 manageable allowable depletion (MAD), thus, the volumetric water content has to deplete to 0.45 MAD before irrigation water is applied up to field capacity. Similarly, MC4 was managed at 0.60 MAD. Thus, the volumetric water was allowed to deplete up to 0.60 MAD before irrigation water is applied up to field capacity (Figure 1).

18

MC1 (Flooded)

Moisture content (%)

16 14

MC2 ( 0.1 to 0.33 bar)

12 10

MC3 ( 0.45 MAD)

8

MC4 (0.60 MAD)

6 4 2 0 0

5

10

15

20

Tension (bar) Figure 1: Preparation of different irrigation frequency schemes MC1 (flooded) represent irrigation scheme at flooded water content, MC2 (0.1 to 0.33 bar) represent irrigation scheme for moisture content managed between 0.1 bar to 0.33 bar soil tension, MC3 (0.45 MAD) represent irrigation scheme managed at 0.45 MAD and MC4 (0.60 MAD) represent irrigation scheme managed at 0.60 MAD. Three different rice varieties namely, Pathum Thani 1, Pathum Thani 1 mutant and new rice for Africa (Nerica3) were assigned to the treatments in randomized complete block design. The treatment combination of moisture content (MC), soil ECe and rice variety is 4x3x3 factorial with a total of 36 treatments, replicated three times.

2.1 IRRIGATION APPLICATION AT VARIOUS SOIL MOISTURE CONTENTS (MC) Irrigation water was maintained at 2.5 cm above the soil surface after planting for one (1) week at all pots. Adjustment begins after one week at all the MCâ&#x20AC;&#x2122;s. Volumetric water content was monitored regularly at all treatments on a daily basis using ProCheck 5TE (water content, EC and temperature sensor, Decagon Device). The depleted percentage of moisture content is then calculated and recorded. đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192; =

đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;

đ??ˇđ??ˇ

Ă&#x2014; 100

(1),

where đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192;đ?&#x2018;&#x192; is the percentage of volumetric water content đ?&#x2018;&#x2018;đ?&#x2018;&#x2018; refers to the depth of the total available water and đ??ˇđ??ˇ depth of soil.

Hence, the equivalent volume of water depleted is been calculated and applied in volume (liters). *Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th Š2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

3

đ?&#x2018;&#x2030;đ?&#x2018;&#x2030; = đ??´đ??´ Ă&#x2014; đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;

(2),

where đ?&#x2018;&#x2030;đ?&#x2018;&#x2030; the volume of water applied is, đ??´đ??´ refers to area irrigated and đ?&#x2018;&#x2018;đ?&#x2018;&#x2018; refers to the depth of total available water depleted.

Crop water use was determined by dividing the volume of irrigation water applied by the irrigated area (mm3â &#x201E;mm2). Rice growth and yield parameters data were collected in line with the standard evaluation system for rice provided by the International Research Institute of Rice (IRRI 2002). Rice root was removed using an electric pressure pump and measured. The plant dry weight (above-ground biomass) was oven dried for 72 hours at 700 C and weighed using an electronic digital weighing scale.

2.2 EXPERIMENTAL VARIETIES Pathum Thani 1 (PPT1): PPT1, is a semi-dwarf photoperiod insensitive low land rice variety, which can be grown all year round. It is widely grown in the dry season in Thailandâ&#x20AC;&#x2122;s irrigated areas with plenty of water during the dry season (Sreethong et al., 2018). Pathum Thani 1 mutant (PPT1 mutant) is an induced mutant of PPT1using gamma-ray (Mekaroon et al., 2013). New Rice for Africa (Nerica3) is a variety developed from crosses between Oryza glaberirima and Oryza sativa species which is specifically targeted at upland and dry areas of sub-Saharan Africa (Jones et al., 1997).

Harvesting duration among varieties differs as the varieties reach maturation differently. Nerica3 was harvested at 90 days after planting while PPT1 and PPT1 mutant were harvested at 115 days after planting.

3. RESULTS AND DISCUSSION 3.1 CROP WATER USE OR CONSUMPTION RATE The irrigation frequency among the MCâ&#x20AC;&#x2122;s generated more and more drought starting from MC1 MC2, MC3, and MC4 (Figure 1). Crop water use among the varieties was high in PPT1 mutant followed by PPT1 and Nerica3 at all MC. Consequently, the consumption rate was high among all the varieties at the lowest ECe level (1.05 dS/m) and the water use decrease with an increase in ECe. The highest crop water use recorded was 5.61 mm/day in MC1 at 1.05 dS/m ECe in the PPT1 mutant (Figure 2a). There was no significant difference statistically at P â&#x2030;Ľ 0.05 among three (3) ECe levels in crop water use at MC1 in same variety The higher crop water use, as well as yield recorded in PPT1 mutant, can be attributed to it higher above-ground biomass which is link to high crop water use as reported by (San-Oh et al., 2008). Which reported that high yielding rice varieties are characterized by higher above-ground biomass as well as high water uptake. Similarly, crop water use recorded at 1.55 dS/m and 2.08 dS/m are lower than that of 1.05 dS/m which could be the influence of salinity stress over the plant water uptake as reported by (Castillo et al., 2015).

3.2 PLANT HEIGHT Plant height decreases with a decrease in MC among all the varieties and with no significant difference at ECe level within MC at P â&#x2030;Ľ 0.05. However, there is a highly significant difference in plant height among the varieties at P < 0.01, as PPT1, and PPT1 mutant with more height compared to that of Nerica3 (Figure 3). The decrease in plant height with a decrease in MC could be due to the stress response of rice to avoid both drought and salinity stress as reported by (Vani et al., 2017).

4

Galadima Umar Idris, Sudsaisin Kaewrueng, Tanee Sreewongchai, Saowanuch Tawornpruek

Plant height recorded at MC3 is similar to that of MC4 in this experiment despite the higher drought before irrigation in MC4 over that of MC3. Lower plant height difference both in MC3 and MC4 compared to that of MC1 in Narica3 revealed the better tolerant in drought and ECe.

3.3 ROOT LENGTH Root length among varieties was higher in Nerica3 at all the MC levels and the highest root length was recorded in MC2 at 1.05 dS/m in Nerica3 (61 cm) (Figure 4b). The root length among all varieties increased at MC2 compared to MC1 this could be due to drought response of the rice crop as reported by (Anupama et al., 2019). However, at MC3 and MC4 the root decreased compared to that of MC2 and the root length decreases with an increase in ECe among all the varieties, this could be due to combining the stresses of drought and salinity which were said to hinder both growth and development (Hussain et al., 2017). They reported that salinity decreases both growth and development of root thereby affected rice water uptake, growth, and yield. Under severe drought, rice roots seize to grow (Pandey & Shukla, 2015).

Crop water use (mm/day)

a

ab

b

5 4

6

a b

d

d

Crop water use (mm/day)

a

6

d

3 2 1 0

5 c

4 3

d e

g-h

PPT1

g-k

2 1

1.55 dS/m

2.08 dS/m

PPT1 mutant

Nerica3

1.05 dS/m PPT1

1.55 dS/m PPT1 mutant

(a) MC1 6

6

5

5

4 3

i-n

g l-p

n-r

g-l

2.08 dS/m Nerica3

(b) MC2

m-g

j-n

r

pqr

1 0

Crop water use (mm/day)

Crop water use (mm/day)

gh

0 1.05 dS/m

2

e

f

g

4 3 2

ghi h-m

l-p

l-p k-o

m-g

qr o-r o-r

1 0

1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

1.05 dS/m PPT1

1.55 dS/m PPT1 mutant

2.08 dS/m Nerica3

(c) MC3 (d) MC4 Figure 2: Crop water use among PPT1, PPT1 mutant and Nerica3 at different MC level under different ECe levels Crop water use determined in this experiment does not include losses due to percolation, and *Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th Š2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

5

seepage. MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1 to 0.33 bar, at 0.45 MAD and 0.60 MAD. PPT1, PPT1 mutant, and Nerica3 represent rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa.

140

ababc

abc

a

140 a-d

a-h

a-h

120

a

abc a-e

a-f a-g

120

b-1

a-i

100

Plant height (cm)

Plant height (cm)

e-k 80 60 40 20

100

kml

80 60 40 20

0

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m

1.05 dS/m

Nerica3

PPT1

(a) MC1

PPT1 mutant

2.08 dS/m Nerica3

140

120 f-l g-l f-l

d-j

120 f-k jkl

h-lh-l l

80 60 40 20

Plant heigth (cm)

100

1.55 dS/m

(b) MC2

140

Plant height (cm)

i-l

jkl

100

f-l

d-j

a-i f-k

f-l f-l

c-j d-j

jkl

80 60 40 20

0

0 1.05 dS/m 1.55 dS/m 2.08 dS/m

PPT1

PPT1 mutant

(c) MC3

Nerica3

1.05 dS/m PPT1

1.55 dS/m PPT1 mutant

2.08 dS/m Nerica3

(d) MC4

Figure 3: Interactions between MC, ECe, and varieties on plant height MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1 to 0.33 bar, at 0.45 MAD and 0.60 MAD. 1.05 dS/m, 1.55 dS/m and 2.08 dS/m, represent values of electrical conductivity at saturation extract (ECe). PPT1, PPT1 mutant and Nerica3 represent rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa.

3.4 TILLER NUMBER The tiller number among the varieties was recorded higher at MC2 in PPT1 and PPT1 mutant with no significant difference among ECe within MC, and PPT1 mutant recorded the highest tiller number among the varieties (Figure 5b). Nerica3 has the least tiller number at all MC and at all ECe

6

Galadima Umar Idris, Sudsaisin Kaewrueng, Tanee Sreewongchai, Saowanuch Tawornpruek

levels and the tiller number decreases with a decrease in moisture content in the case of Nerica3. High tiller number were recorded in both MC3 and MC4 at all ECe levels for PPT1 and PPT1 mutant, even though the tillers were not productive. Both PPT1 and PPT1 mutants have productive tillers at only MC1 and MC2, while Nerica3 produces productive tiller at all MC levels.

3.5 PLANT DRY WEIGHT The Plant dry weight of the above-ground biomass was recorded high in PPT1 mutant followed PPT1 with Nerica3 yielding the least among the varieties. The highest plant dry weight was recorded in the PPT1 mutant at MC1 under 1.05 dS/m (Figure 6a). Statistically, there is no significant difference at P â&#x2030;Ľ 0.05 in the plant dry weight at all the ECe levels. Moreover, there is a highly significant difference at P < 0.01 in plant dry weight among varieties as well as among MC levels.

The weight decreases with a decrease in moisture content among all the varieties.

70

70 60

60

Root length (cm)

b-e 40

c-i

b-f

e-i

g-m

f-k

i-m

i-m

30

Root length (cm)

ab

50

a

20

ab

abc

50

c-i

e-i

g-m f-l

40

i-m

h-m

30 20 10

10

0

0 1.05dS/m PPT1

1.55 dS/m

PPT1 mutant

1.05dS/m

2.08 dS/m Nerica3

PPT1

1.55 dS/m

2.08 dS/m

PPT1 mutant

(a) MC1

Nerica3

(b) MC2

70 70

50 40

b-g e-k g-m

60 e-i

e-k i-m j-m

30

m klm

20 10

Root length (cm)

Root length (cm)

60

50

a-d d-i

b-h

e-i

g-m i-m

40

e-j j-m lm

30 20 10 0

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

(c) MC3 (d) ( MC4) Figure 4: Integrations between MC, ECe, and varieties on root length MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1 *Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th Š2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

7

to 0.33 bar, at 0.45 MAD and 0.60 MAD. 1.05 dS/m, 1.55 dS/m and 2.08 dS/m, represent values of electrical conductivity at saturation extract (ECe). PPT1, PPT1 mutant, and Nerica3 represent rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa.

12

12

a

ab bcd

8

def

e-f

fgh

e-f efg

6 klm

4

bc bc

10

lmn

l-m

Tiller (number)

Tiller (number)

10

8

fgn fgn

6 4

mno

2

0

0

1.05 dS/m

1.05 dS/m 1.55 dS/m 2.08 dS/m PPT1

PPT1 mutant

PPT1

Nerica3

2.08 dS/m Nerica3

(b) MC2

12

12 bc bcd

10

8

Tiller (number)

cde efg Tiller (number)

1.55 dS/m

PPT1 mutant

(a) MC1

10

mno

o

2

e-h hij

6 4 no

mno

no

2

8 ijkhij

ghi

6

ijk

4

l-o

ghi jkl

no

no

2 0

0

1.05 dS/m 1.55 dS/m 2.08 dS/m 1.05 dS/m 1.55 dS/m PPT1 PPT1 mutant

2.08 dS/m Nerica3

PPT1

PPT1 mutant

Nerica3

(c) MC3 (d) MC4 Figure 5: Interactions between tiller MC ECe and varieties on tiller number MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1 to 0.33 bar, at 0.45 MAD and 0.60 MAD. 1.05 dS/m, 1.55 dS/m and 2.08 dS/m, represent values of electrical conductivity at saturation extract (ECe). PPT1, PPT1 mutant, and Nerica3 represent rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa.

8

Galadima Umar Idris, Sudsaisin Kaewrueng, Tanee Sreewongchai, Saowanuch Tawornpruek

80

a

70

70

ab

abc b-f

60

b-g

a-e

50 40

h-n

j-n

j-n

30 20

Plant dry weight (g/pot)

Plant dry weight (g/pot)

80

abc a-d

60

c-i b-h

50

e-k 40 k-o

k-p

k-p

1.05 dS/m

1.55 dS/m

2.08 dS/m

30 20 10

10 0

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m

PPT1

Nerica3

PPT1 mutant

(a) MC1 80

80

70

70 b-f

60 50

d-f f-l

g-m

40 30

k-p

l-p

20 op

10

Nerica3

(b) MC2

Plant dry weight (g/pot)

Plant dry weight (g/pot)

d-k

p

p

0

60 50

c-j d-k

f-l

40

e-k k-n

30 20

m-p

nop

1.05 dS/m

1.55 dS/m

i-n nop

10 0

1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

PPT1

PPT1 mutant

2.08 dS/m Nerica3

(c) MC3 (d) MC4 Figure 6: Interactions between MC, ECe, and varieties on plant dry weight MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1 to 0.33 bar, at 0.45 MAD and 0.60 MAD. 1.05 dS/m, 1.55 dS/m and 2.08 dS/m, represent values of ECe. PPT1, PPT1 mutant and Nerica3 represent rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa.

3.6 FILLED GRAIN PERCENTAGE Filled grain percentage was high among all the varieties at MC1 with Nerica3 and PPT1 mutant having the highest percentage, followed by PPT1. However, the percentage of filled grain among varieties has decreased at MC2, MC3, and MC4 compared to that of MC1 but decreased severely in PPT1 and PPT1 mutant at MC3 and MC4 compared to that of Nerica3. Both PPT1 and PPT1 mutants suffer more than 90% grain abortion at MC3 and MC4 (Figures 7a and 7b). Nerica3, on the other hand, produces the highest filled grain percentages from 37% to 55% at both MC3 and MC4.

3.7 YIELD The highest yield was recorded in MC1 among all the varieties. PPT1 mutant yielded higher among the varieties in MC1 and MC2 with the highest yield recorded at MC1 under 1.05 dS/m as *Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th Š2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

9

26.11 g pot-1. The yield decreases with a decrease in MC among all varieties. All the varieties have produced yield at MC2, with a significant difference at P < 0.05 among ECe levels within the MC in PPT1 and PPT1 mutant. However, there was no significant difference at P â&#x2030;Ľ 0.05 in yield among ECe levels within the MC2 in Nerica3. At MC3 and MC4 no yield was recorded for PPT1 and PPT1 mutant except Nerica3 which produces yield at both MC3 and MC4 (Figure 8). The ability of Nerica3 to produce at all the MCâ&#x20AC;&#x2122;s is due to its stress-tolerant morphological features such as low above-ground biomass and deeper root as reported (Bernier et al., 2008). That, stress-tolerant varieties are characterized by low above-ground biomass and deeper root. However, the yield is not comparable to MC1 and MC2. The yield recorded in MC4 for Nerica3 is higher than the yield observed in MC3, this could be due to a higher depth of irrigation water at MC4 compared to MC3 which has closer irrigation frequency but lower irrigation depth as reported by (Wang et al., 2010).

Higher irrigation depth in sodic soil results in higher yield in rice.

a

90 abc

bcd

ab ab

abc bcd bcd

80

70 Filled grain (%/pot)

Filled grain (%)/pot)

80

90

ab

60 50 40 30 20

70

cde

efg fgh

50

hij

40

ijk

jk

30

k

10

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

0

2.08 dS/m

1.05 dS/m

Nerica3

PPT1

(a) MC1 90

90

80

80

70

70

60

efg

50

g-j

hij

40 30 20 l l

l l

l l

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

(b) MC2

2.08 dS/m Nerica3

Filled grain (%/pot)

Filled grain (%/pot)

hij

20

10

10

de

60

ef

60

ef f-i

50 40 30 20 l l

10

l l

l l

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

(c) MC3 (d) MC4 Figure 7: Interactions between MC, ECe and varieties on filled grain percentage MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1

10

Galadima Umar Idris, Sudsaisin Kaewrueng, Tanee Sreewongchai, Saowanuch Tawornpruek

to 0.33 bar, at 0.45 MAD and 0.60 MAD. 1.05 dS/m, 1.55 dS/m and 2.08 dS/m, represent values of ECe. PPT1, PPT1 mutant, and Nerica3 represents rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa 30

30

25

ab

ab

bc

Yield (g/pot)

cd

25

de

20 15 gh

10

gh

gh

Yield (g/pot)

a

20

ef of

15 g 10

hij

ghi ijk

5

5

jkl

ijk ijk

0 0

1.05 dS/m 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

Nerica3

PPT1

30

30

25

25

20

20

15 10 k-n o mno

k-o o no

l-o o o

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m

PPT1 mutant

Nerica3

(b) MC2

Yield (g/pot)

Yield (g/pot)

(a) MC1

5

1.55 dS/m

2.08 dS/m

2.08 dS/m Nerica3

15 10 jkl

5

klm o no

o o

klm o o

0 1.05 dS/m PPT1

1.55 dS/m

PPT1 mutant

2.08 dS/m Nerica3

(c) MC3 (d) MC4 Figure 8: Interactions between MC, ECe, and varieties on yield MC1, MC2, MC3, and MC4 represent soil moisture content at flooded level, at tension from 0.1 to 0.33 bar, at 0.45 MAD and 0.60 MAD. 1.05 dS/m, 1.55 dS/m and 2.08 dS/m, represent values of ECe. PPT1, PPT1 mutant, and Nerica3 represent rice varieties: Pathum thani 1, Pathum thani 1 mutant and new rice for Africa.

This study is in accordance with the finding of (Tao et al., 2007). Which reported that reduction in soil water content reduces both above-ground biomass and yield in a compared study between flooded paddy, a non-flooded, and plastic-film-covered system of rice production. However, there are other growth parameters such as tiller number which were recorded higher under a non-flooded moisture content compared to the flooded water content in this experiment.

*Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th Š2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

11

4. CONCLUSION Based on the findings of this study, at flooded water content (MC1), plant height among all the varieties at all ECe has not been affected by the ECe, but root lengths are higher at 1.05 dS/m and lower at 2.08 dS/m. At 0.1 to 0.33 bar (MC2) plant height decreased compared to that of flooded water content and tiller number increased higher than that of flooded water content with PPT1 mutant having highest tiller number followed by PPT1, for Nerica3 however, tiller number were recorded higher at flooded water content than the moisture content managed at 0.1 to 0.33 bar, 0.45 MAD and 0.60 MAD. The root length is higher at the moisture content managed from 0.1 to 0.33 bar (MC2) among all varieties and is it higher at 1.05 dS/m compared to 1.55 dS/m and 2.08 dS/m. At 0.45 MAD and 0.60 MAD, the plant height, tiller number, and root length were higher at 1.05 dS/m. The plant height among the varieties is higher in PPT1 and PPTT1 mutant, while Nerica3 has the least plant height among the varieties. Tiller number was recorded higher in PPT1 mutant, followed by PPT1 and Nerica3 has the least tiller number among the varieties. Crop water use is higher in PPT1 mutant, followed by PPT1 and Nerica3, at all MC levels. The crop water use is high at 1.05 dS/m in water flooded control and it decreases with an increase in ECe level among all the varieties. When more drought applied in the experiment, all varieties could give the growth parameters, but lesser in yield competition. Narica3 behaved the best variety for drought in sodic sandy loam soil. Grain yield has been affected by the decrease in water content from flooded to 0.1 to 0.33 bar moisture content.

Moreover, the grain yield recorded at 0.1 to 0.33 bar moisture content was higher than that of 0.45 MAD and 0.60 MAD among all varieties. Grain yield among the varieties was recorded higher in PPT1 mutant at flooded water content and 0.1 to 0.33 bar followed by PPT1 and Nerica3. Percentage of filled grain was higher at flooded water content among all the varieties with PPT1 mutant having the highest followed by Nerica3 and PPT1. Filled grain percentage decreased at 0.1 to 0.33 bar, 0.45 MAD and 0.60 MAD among all varieties with Nerica3 having the highest at 0.1 to 0.33 bar, 0.45 MAD and 0.60 MAD. At 0.45 MAD and 0.60 MAD Nerica3 has the highest yield while no grain yield was recorded for PPT1 and PPT1 mutant. Plant dry weight among the varieties was recorded higher in PPT1 mutant at all MC levels followed by PPT1 and Nerica3

5. DATA AVAILABILITY Relevant information is available by contacting the corresponding author.

6. ACKNOWLEDGEMENTS This research was supported by “Advancing Co-design of Integrated Strategies with Adaptation to Climate Change in Thailand (ADAP-T)”, (Grant number: JPMJSA1502) supported by the Science and Technology Research Partnership for Sustainable Development (SATREPS), JST-JICA.”

7. REFERENCES Anupama, A., Bhugra, S., Lall, B., Chaudhury, S., & Chugh, A. (2019). Morphological, transcriptomic and proteomic responses of contrasting rice genotypes towards drought stress.

Environmental and Experimental Botany, 166, 103795.

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10.1016/j.envexpbot.2019.06.008 Bernier, J., Atlin, G. N., Serraj, R., Kumar, A., & Spaner, D. (2008). Breeding upland rice for drought resistance. Journal of the Science of Food and Agriculture, 88(6), 927-939.

DOI:10.1002/jsfa.3153 Bouman, B. A. M., & Tuong, T. P. (2001). Field water management to save water and increase its productivity in irrigated lowland rice. Agricultural Water Management, 49(1), 11-30. DOI: 10.1016/S0378-3774(00)00128-1 Castillo, E. G., Tuong, T. P., Ismail, A., & Inubushi, K. (2015). Response To Salinity In Rice: Comparative Effects Of Osmotic And Ionic Stresses. Plant Production Science, 10(2), 159-170. DOI: 10.1626/pps.10.159 Facon, T. (2000). Water management in rice in Asia: Some issues for the future. Bridging the rice yield gap in the Asia-Pacific region. FAO RAP, Bangkok, 178-200.

Hussain, S., Zhang, J.-h., Zhong, C., Zhu, L.-f., Cao, X.-c., Yu, S.-m., Jin, Q.-y. (2017). Effects of salt stress on rice growth, development characteristics, and the regulating ways: A review.

Journal of Integrative Agriculture, 16(11), 2357-2374.

DOI: 10.1016/S2095-3119(16)61608-8 International Rice Research Institute. (2002). Standard evaluation system for http://www.knowledgebank.Irri.org./image/docs/rice-standard-evaluation-system.pdf.

rice.

Jones, M. P., Dingkuhn, M., Aluko/snm, G. K., & Semon, M. (1997). Interspecific Oryza Sativa L. X O. Glaberrima Steud. progenies in upland rice improvement. Euphytica, 94(2), 237-246. DOI: 10.1023/A:1002969932224 Khush, G. S. (2005). What it will take to feed 5.0 billion rice consumers in 2030. Plant Mol Biol, 59(1), 1-6. DOI: 10.1007/s11103-005-2159-5 Maas, E. V., & Hoffman, G. J. (1977). Crop salt tolerance–current assessment. Journal of the irrigation and drainage division, 103(2), 115-134.

Mekaroon, A., Jompuk, C., Kaveeta, R., Thammasamisorn, B.-o., & Jompuk, P. (2013).

Development of A, B and R Lines by gamma irradiation for hybrid rice. Kasetsart J.(Nat. Sci.), 47, 675-683.

Pandey, V., & Shukla, A. (2015). Acclimation and Tolerance Strategies of Rice under Drought Stress.

Rice Science, 22(4), 147-161. DOI: 10.1016/j.rsci.2015.04.001 Rhoades, J., & Chanduvi, F. (1999). Soil salinity assessment: Methods and interpretation of electrical conductivity measurements (Vol. 57): Food & Agriculture Org. San-Oh, Y., Kondo, M., Ookawa, T., & Hirasawa, T. (2008). Ecophysiological Analysis on Effect of Planting Pattern on Biomass Production and Grain Yield in Rice. Japan Agricultural Research Quarterly: JARQ, 42(2), 79-89. DOI: 10.6090/jarq.42.79 Sreethong, T., Prom-u-thai, C., Rerkasem, B., Dell, B., & Jamjod, S. (2018). Variation of Milling and Grain Physical Quality of Dry Season Pathum Thani 1 in Thailand. Chiang Mai University Journal of Natural Sciences, 17(3). DOI: 10.12982/cmujns.2018.0014 Tao, H., Dittert, K., Zhang, L., Lin, S., Römheld, V., & Sattelmacher, B. (2007). Effects of soil water content on growth, tillering, and manganese uptake of lowland rice grown in the water-saving ground-cover rice-production system (GCRPS). Journal of Plant Nutrition and Soil Science, 170(1), 7-13. DOI: 10.1002/jpln.200625033 Tuong, T. P., & Bhuiyan, S. I. (1999). Increasing water-use efficiency in rice production: farm-level *Corresponding author (Galadima Umar Idris) Email: galadimaumar.id@ku.th ©2020 International Transaction Journal of

Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06H http://TUENGR.COM/V11/11A06H.pdf DOI: 10.14456/ITJEMAST.2020.108

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perspectives.

Agricultural Water 10.1016/S0378-3774(98)00091-2

Management,

40(1),

117-122.

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Van Nguyen, N., & Ferrero, A. (2006). Meeting the challenges of global rice production. Paddy and Water Environment, 4(1), 1-9. DOI: 10.1007/s10333-005-0031-5 vani, S., Dwivedi, D. K., Husain, R., Gyanendra, K., Yadav, G., Kumar, G., . . . Khan, N. A. (2017).

Physiological, Morphological and Molecular Mechanisms for Drought Tolerance in Rice.

International Journal of Current Microbiology and Applied Sciences, 6(7), 4160-4173. DOI: 10.20546/ijcmas.2017.607.431 Wang, M.-m., Liang, Z.-w., Wang, Z.-c., Huang, L.-h., Ma, H.-y., Liu, M., & Gu, X.-y. (2010). Effect of irrigation water depth on rice growth and yield in a saline-sodic soil in Songnen plain, China. Journal of Food, Agriculture & Environment, 8(3&4), 530-534.

Galadima Umar Idris is a Master of Science degree student in Tropical Agriculture (MS Tropical Agriculture) at the Department of Tropical Agriculture (International program), Faculty of Agriculture, Kasetsart University, Bangkok, Thailand. His research focuses on Irrigation Water Management on Rice Production.

Dr. Sudsaisin Kaewrueng is an Assistant Professor at Department of Farm Mechanics, Faculty of Agriculture, Kasetsart University, Bangkok, Thailand. He got his Ph.D. degree in Water Engineering and Management from Asain Institute of Technology, Thailand. His research focuses on Irrigation Science and Technology in Tropical Crops.

Dr. Tanee Sreewongchai is an Associate Professor at the Department of Agronomy, Faculty of Agriculture Kasetsart University, Bangkok. He got his Ph.D. in Genetic Engineering from Kasetsart University Bangkok, Thailand. His research focuses on Rice Breeding by using Conventional and Biotechnology Approaches.

Dr. Saowanuch Tawornpruek, is an Assistant Professor at Department of Soil Science, Kasetsart University, Bangkok, Thailand. She got her Masterâ&#x20AC;&#x2122;s and Ph.D. degrees in Soil Science from Kasetsart University Bangkok, Thailand. Her research focuses on Soil Quality, Soil Genesis and Classification.

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Galadima Umar Idris, Sudsaisin Kaewrueng, Tanee Sreewongchai, Saowanuch Tawornpruek

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

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

PAPER ID: 11A06I

DYNAMIC NEXUS AMONG GOLD PRICE, EXCHANGE RATES, AND EQUITY RETURN OF PAKISTAN 1*

Muhammad Nehal Hussain , Imran Riaz Malik Muhammad Bilal 1 , Nazakat Ali 1, Ali Raza 2 1 2

1 ,

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

ARTICLEINFO

Article history: Received: 14 August 2019 Received in revised form: 26 December 2019 Accepted: 08 January 2020 Available online: 21 January 2020

Keywords: Unit Root; Stationarity; Cointegration Granger Causality test; Stock price and exchange rate; Relationship of Stock price and gold price; Pakistan Stock Exchange (PSX).

A B S T RA C T

This paper investigated the relationship between the gold price and the exchange rate on the equity return of Pakistan. The equity market provides an opportunity for investors to capitalize on diverse markets and expand their investment portfolio. This paper consisted of monthly Gold prices in the US dollar; monthly exchange rates of US dollar in terms of Pakistani Rupee and stock market index were taken for the period of January 2010 to December 2019. The unit root is used for the stationary test, Cointegration, Granger Causality test for a lead-lag relationship. The empirical result shows that exchange rates and stock prices data series are non-stationery and integrated of order one. The result showed that there is a long-run relationship between stock price and exchange rate and gold price. Finally, we applied a Granger causality test to find out and the casual relationship among gold price, exchange rate, and stock prices. Outcomes show that there is no causal relationship between stock price and exchange rate. However, there is a causal relationship between stock price and gold price.

Disciplinary: Management Science (Financial Management). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Equity market plays a very imperative position in a country’s economic and financial system due to the fact that it collects, assembles and allocates local wherewithal and directs them towards the dynamic investments. Hence, due to this resource allocation function, it shares a significant association with the overall economy. Besides the allocation of resources at the right places to ensure optimum use, equity markets in any economic system act as an effective and interactive medium through which local and foreign investors can interact with each other. Mobilization of the equity in the form of financial resources is made from lenders to borrowers on such platforms. As per Pervaiz et al. (2018), the investigation of previously mentioned factors is significant enough to dissect the presentation of the stocks. While, on the opposite side, expanding the development and *Corresponding author (M. Nehal Hussain). Tel: +92-3335711764 Email: nehalhussain81@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06I http://TUENGR.COM/V11/11A06I.pdf DOI: 10.14456/ITJEMAST.2020.109

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significance of financial exchange has likewise opened another skyline for the analysts. In such a manner, the causal connection between macroeconomic variables and instability in financial exchange returns is the piece of numerous looks into. As a result of it, the markets have made momentous development and enhancement of strength and volume. Investors, economists, policymakers and financial analysts have done extensive research and made substantial efforts to comprehend the dynamic and multidirectional interaction between equity prices and major economic indicators. Still, there is a strong need to further explore those dynamic relationships among macroeconomic variables of Asian states and their equity prices.

Equity markets are considered as the prime drivers that play an active part in moving the funds from lenders to borrowers for the development of the economy. In general, the exchange of equity is likely to accelerate economic development by facilitating the liquidation process of financial assets. Furthermore, it also assists in the diversification of the risk at the global platform as it provides the opportunity to international investors to invest in different markets and diversify their investment portfolio. Nonetheless, due to the prevailing uncertainty in the microenvironment of these developing countries, international investors feel hindered while entering in these stock markets.

The underlying Paper would examine whether a statistically momentous relationship prevails amid the exchange rate, gold price and Pakistani equity market or not. The study would also consider the impact of uncertain and unpredictable circumstances on that relationship. In addition, the research seeks to explore whether the recent variations in the equity stock market from the past few years are the result of fluctuations in the macroeconomic environment of the country or there are some other factors responsible for volatility. The shock of the financial crisis on the returns from the Pakistani equity market would also be analyzed to underline the major factors that have the strongest influence. In order to execute the research, the research has selected prime economic indicators that play a very vital role in shaping the economy of Pakistan.

Zamir et al. (2017), the exchange rate means the rate at which onesâ&#x20AC;&#x2122; money is exchanged for a substitute. As it were the expense of a country's money in wording to a substitute country is the exchange rate. It is also seen as the valuation of one country's money as far as to substitute cash and the proportion of units of money that can purchase a proportion of units of money. The Nominal exchange rate is a rate at which the overall costs of the two amounts of money or monetary standards are estimated, for example, Rupee in connection to the US Dollar. Subsequently, the ostensible exchange rate is a money related idea, while the real exchange rate is without a doubt seen as a genuine idea.

Equity markets provide the opportunity for investors to capitalize on diverse markets and expand their investment portfolios at the international stage. Moreover, the exchange of equity accelerates economic development by facilitating the liquidation process of financial assets. It is a place that enables parties to trade or market the shares either over the counter or through an exchange phenomenon. The future cash flowsâ&#x20AC;&#x2122; net present value of any enterprise based on market price. In general, it is a place that presents the future of major and minor companies in the form of cash flows discounted to the present date. It is considered as the vital component of a market economy as it enables the local individuals and foreign investors to get a small percentage of ownership in an organization. Afterward, they would be entitled to profits of that company provided

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

the performance of that organization remains satisfactory in the future. We can split the whole equity market into two subclasses, the primary market as one class and the secondary market as other class. The primary market contracts with the trading of shares that are being sold and purchased for the first time. After the first purchase, if someone wants to sell or exchange it, then the shares would be traded on the secondary market.

1.1 PAKISTAN STOCK EXCHANGE Pakistan Stock Exchange, established in 1947, was formally incorporated in 1949 under the name of Karachi Stock Exchange. The second stock exchange was established in 1970 in Lahore to full fill the needs of stock trading. To cater to the investors of the northern parts of the country Islamabad Stock Exchange was established. These three stock exchanges had separate indices, management, and trading interfaces and had no mutual structure so these exchanges are integrated their operation in January 2016 under the new name Pakistan Stock Exchange (PSX).

PSX has made gigantic strolls in its history, having a small presence of five listed companies from the outset with a total paid-up capital of Rs 37 Mn. In 1960 there were 81 companies with a market capitalization of Rs 1.8 Bn whereas now there are 546 companies listed with a market capitalization of Rs 7.692 Tn. The listed companies consist of 35 sectors.

1.2 GOLD PRICES AND EQUITY RETURN If an investor chooses to capitalize on the stock, then the investor would get a return on invested. Whereas, if an investor decides to invest in gold, s/he would be storing the return on invested value. Bonds and stocks function efficiently when there is stability in the economic and political environment of that region. In instability prevails, then it would be better to store the value instead of getting a lower return due to bad economic conditions.

1.3 EXCHANGE RATE AND EQUITY RETURN If the currency of a local market appreciates its value, then the market would gain the attraction of various investors. It would increase the overall demand for equity in the stock exchange market, consequently increasing the equity prices.

The underlying study has been executed with the following research objectives: To examine if any long-run nexus prevails among Pakistan Stock Exchange, Exchange Rate and Gold Price.

2. LITURATURE REVIEW Franck and Young (1972) confirmed that there is evidence of an insignificant relationship among macroeconomic variables and the equity market. However, Agarwal (1981) evidenced that an association prevails between the exchange rate of the US dollar and US equity price indices. A positive causal association was confirmed. Giovannini and Jorion (1987) showed agreement with the Franck & Young (1972) by proposing that the rate of exchange and USA equity price indices shared a positive correlation with each other. An interesting insight emerged during the review of literature when Smith (2001) explored the same relationships among the same variables in the same market and proposed clearly opposite results to the previously conducted studies by certifying a negative association between understudy variables. However, the difference prevailed because the researcher chose a different time frame than previously conducted studies. *Corresponding author (M. Nehal Hussain). Tel: +92-3335711764 Email: nehalhussain81@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06I http://TUENGR.COM/V11/11A06I.pdf DOI: 10.14456/ITJEMAST.2020.109

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Solnik (1987) reported no significant impact of the exchange rate prevails on the stock prices.

The research has been done in a quite unique manner where the researcher has attempted to explore the influence of various major economic indicators including the rate of exchange on equity prices.

The conclusion negated the probable existence of any association between two variables. Similarly, Jorion (1990) proved the association among the returns of the US stock market entailing huge multinationals and US dollar effective exchange rates, suggested a moderate association among both research variables.

A negative nexus between the equity market and the exchange rates Pakistan also maintained

by Raza and Afshan (2017). Liang et al. (2013) utilized the board data approach to study the association between swapping scale and stock expense in ASEAN-5 countries and found that there exists a contrary association between the cheapening of the change scale and stock expenses.

In Asian countries, Zeng and Yang (2014) looked into the association between transformation scale and stock expenses by using the quantile backslide approach. Results revealed that the change standard and stock expenses are antagonistically compared in nine Asian countries anyway quantile results showed that relationship is heterogeneous.

Muhammad et al. (2002) examined the relationship among some major money related markers and worth returns of huge South Asian countries including Pakistan, India, Sri-Lanka, and Bangladesh. Major financial markers consolidated the pace of exchange of all of these states. The assessment attested that no causal alliance wins among the pace of exchange and worth returns neither right now short-run in India and Pakistan. In any case, a bidirectional connection won among the Sri-Lanka and Bangladesh.

Bhattacharya and Mukherjee (2005) found no huge alliance wins among the transformation scale and stock expenses. The assessment was driven in the Indian setting, and experts examined the relationship by removing the data on macroeconomic components including the pace of exchange and worth expenses of the Indian market.

Nishat (2004) examined the short-run equilibrium relation among a different set of major economic indicators and the Karachi stock exchange index. Moreover, the contemporary era has witnessed a clear upsurge in the importance of the stock market that has consequently led the researchers worldwide to assess the association between economic growth and the development of the stock market. Right from the creation of this state, the nation has faced serious challenges in terms of resource allocation and economy. The socio-political instability has also caused major national troubles. These issues have prevented the country from understanding its true potential in the world economy. However, the country has consistently fought against all these problems. The government has formulated various economic reforms on liberal grounds as a solution. It comprises giving permission to foreign investors to invest in the local market.

The major fiscal variables that were not picked by the past researchers were studied at the present time. The assessment viewed the causal relationship among protections trade expenses and major money related markers from the timespan 1990 beyond what many would consider possible of 2008. The adjustment of trade, growing, pace of exchange and present-day creation record were assessed as standard examination factors, on the other hand, the general worth rundown was the specialist of stock exchange costs. In order to overview the Karachi Stock Exchange 100 rundown, the investigators used the Granger causality test. Results of the test uncovered in the correlational

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

relationship among the Pakistani stock exchange market and major budgetary pointers. Despite the Granger causality test, inspectors used the co-integrational model of Johansen close by unit root Augmented Dickey-Fuller test. Revelations of the assessment required consistency with the investigation coordinated by Nishat and Shaheen (2004).

Various sources have witnessed the association among major economic indicators and share prices in the US and other developed economies of the world (Gay, 2016). With regard to the developing economies, researchers and analysts are still confused, and the association between both variables lacks a piece of clear evidence due to the presence of other factors. Due to this fact, researchers advised conducting future research so to understand the reason behind this.

Maysami et al. (2004) investigated the Singapore equity market by assessing the short-run equilibrium association among the equity stock market index of Singapore and the prevailing major economic indicators. The equity market index consisted of the hotel index, the finance index as well as the property index. As defined earlier, one thing that defines the efficiency of the stock market is its power to deter the investor from making abnormal profits and allowing investors to earn profit through the use of instantly available stock market information. In such a market, the forecasts related to the movement in stock prices are made only on the basis of open information.

Khan (2018) analyzed the Turkish stock exchange to confirm the shock of a major economic factor on the equity returns of the Turkish exchange market. The study used a macroeconomic model and the economic indicators selected for the research were IPI, growth rate, variation in the consumer price index, variation in the rate of exchange, money supply, MSCI world equity index return, the rate of interest and international crude oil growth rate.

On the other hand, Hong Kong, Australia, and Thailand exhibited a causal unidirectional flow, which ran only from M1. Li (2003) attempted to explore the causal association between bond and stock returns. During the last four decades, the major trends have been documented for the first time in the bond-stock causal association for the G7 states. A similar pattern has been followed.

Moreover, steady development has been witnessed, starting from scratch in the decade of 1960 to around 0.5 by the mid of 1990 decade.

Mishra (2004) analyzed the Indian Stock Exchange market by assessing the causal short term association among the major economic indicators and equity market. The variables included the rate of interest, foreign exchange rate, and money supply for 1992-2002. By using vector autoregression technique together with the Granger causality test on a monthly basis to explore the trend of the relation and figure out any proof for the uni-direction causality directing from the exchange rate to the demand for money and rate of interest, the result found absolutely no evidence for the granger causality among return on the foreign exchange rate and return on equity.

Hamidi et al. (2018 ) found that economic development mainly relies on the rate of interest and stock exchange market functionality. The influence of the rate of interest upon stock exchange offers satisfactory implications for practices related to risk management, valuation of financial securities, federal strategy towards the stock and bond market and overall state monetary policy.

The research offers a significant empirical association among the rate of interest and stock index of 15 states comprising Venezuela, Chile, Spain, South Africa, Philippines, Mexico, Australia, Italy, Japan, Jamaica, Germany, Colombia, Canada, and Bangladesh. Moreover, the study extracted the data for 1988-2003 to seek the certification of the prevalence of efficiency in the share market. *Corresponding author (M. Nehal Hussain). Tel: +92-3335711764 Email: nehalhussain81@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06I http://TUENGR.COM/V11/11A06I.pdf DOI: 10.14456/ITJEMAST.2020.109

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Sohail and Hussain (2009) explored the short and since quite a while prior run relationship among the five noteworthy money related markers and Lahore stock exchange. Data were extracted for 2002-2008 on a month-to-month premise. The eventual outcomes of the examination recommended that from the beginning differentiation, the time game plan was stationary, and at the level, the time course of action was not stationary. The assessment prescribed that the customer esteem record and extension passed on a turnaround association with the stock return. On the other hand, the money supply and mechanical age had a positive effect in the short run. At any rate, the treasury charge rate (latest three months) had a positive yet immaterial effect in the short abrupt spike sought after for stock return. It was foreseen by the investigation that in order to control growth, account administrators are urged to get adequate money related exercises to lessen the assortment in the monetary trade. Pakistani capital markets are truly affected by the positive employment of mechanical age. Therefore, the game plan of the systems that help the stock expenses through mechanical age progression is proposed to the policymakers.

3. METHOD This paper explores the dynamic interaction between economic variables and the equity market.

In order to execute the research, the data were extracted for 2010-2018 on a monthly basis. This study chooses two macroeconomic variables including exchange rate and gold price. The reason for choosing the monthly basis data is to follow Chan & Faff (1998) as they explored the association among the capital market and exchange rate in the short-run by extracting the data on a monthly basis.

3.1 SOURCE OF DATA The research seeks to assess the influence of macroeconomic indicators including gold prices and exchange rate on PSE 100 index for the time period starting from 2010 to 2019. Monthly data is collected from official websites of the relevant stock exchange, world Gold Council, Oanda, Yahoo Finance and Bloomberg.

3.2 MEASUREMENTS 3.2.1 EQUITY MARKET RETURNS The underlying study has calculated the stock market return through Rt = ln (Pt / Pt-1)

(1).

The Rt indicates the return for the month represented as ‘t’; moreover, the Pt and Pt-1 depict the closing Index values for the month ‘t’ and ‘t-1’ correspondingly.

3.2.2 CHANGE IN FOREIGN EXCHANGE RATE The study has measured the variation in the foreign exchange rate by using the month-end Rupees / USD rate of exchange and the variation in value has been calculated through log differencing, viz.

Exchange Rate = ln (EXRt / EXR t-1)

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

(2),

where the EX indicated the Exchange Rate of Rupees /USD

4. RESULT AND DISCUSSION 4.1 DESCRIPTIVE STATISTICS Table 1 shows the descriptive statistic for this research. It is clearly presented that the Karachi Stock Exchange result of standard deviation amounts to 9.02 percent. Whereas, the return on equity amounts to 1.46 percent. It is not big enough to outweigh the associated risk. Moreover, the table shows that the Pakistan stock exchange has a maximum stock return of 24.1 percent. The minimal loss amounts to -0.44 in a 1-month period.

Table 1: Descriptive Statistics Mean Median Max Min SD Skewness Kurtosis

PSE 0.014 0.019 0.241 -0.448 0.090 -1.118 7.701

PKREX 0.003 0.001 0.061 -0.025 0.012 2.117 9.756

USGOLD 0.012 0.009 0.102 -0.124 0.038 -0.268 3.926

4.2 CORRELATION From Table 2, it is clear that the Pakistan Stock Exchange has a negative association with the gold rate and exchange rate. However, the table also suggests a weak correlation association among the Pakistan stock exchange equity return and rate of exchange. It indicates that the variation in the PSE and rate of exchange is not intense. The correlational analysis is considered as a weaker method as only limited insights could be extracted from it. Hence, to overcome this weakness, the study employed the multivariate co-integrational analysis that could efficiently explore the causal association between stock markets and economic variables including gold rate and exchange rate.

The co-integrational technique provides information regarding the short-term association between stock return and selected macroeconomic variables. The co-integrational technique involves two major steps. At first, the order of integration is determined by searching the time series. To find the integration order, the study has employed two different tests, including Phillips and Perron (1988) and Dickey and Fuller (1979) unit root test.

Table 2: Correlation PSE PKREX USGOLD

PSE 1 -0.225 -0.046

PKREX

USGOLD

1 -0.168

1

4.3 UNIT ROOT ANALYSIS The first step involves the assessment of the index series’ stationery. In order to do this, the present research has used the ADF unit root test at first difference and level. Table 3 indicates the findings of the ADF unit root test that openly demonstrates the time series non-stationary nature at the level. However, series’ logarithmic transformations are stationary at the first level. Hence, series show integration at the order I (1). The ADF test entails the statistical independence of the error term. Moreover, it requires data homoscedastic. Anyhow, in some of the cases, such suppositions *Corresponding author (M. Nehal Hussain). Tel: +92-3335711764 Email: nehalhussain81@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06I http://TUENGR.COM/V11/11A06I.pdf DOI: 10.14456/ITJEMAST.2020.109

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might be wrong for some time series. In that scenario, another technique named as the PhillipsPerron test is executed to assess the time series stationary. The above table also shows the findings of this test that certifies the findings of the previous test. Hence, it can be concluded that the time series is I (1).

Table 3: Unit Root Analysis PSE PKR Ex US Gold 1% Critical Value 5% Critical Value 10% Critical Value

ADF-Level -0.847 0.136 2.405 -3.480 -2.883 -2.578

ADF-1st Diff -9.920 -6.758 -10.343 -3.481 -2.883 -2.578

PP-Level -0.944 0.133 2.530 -3.480 -2.883 -2.578

PP-1st Diff -9.895 -6.904 -10.331 -3.481 -2.883 -2.578

4.4 GANGER CAUSALITY TESTS

It is important to note that the variable coefficient reaches the significance at α = 0.05. As per the representation theorem, in co-integration prevails among the two variables, then it indicates that at a minimum, Granger causality occurs in one direction. Table 4 reports the Granger Causality test results. As the null hypothesis has been rejected at 5 percent significance, it shows that the Granger causality prevails among the Pakistan stock exchange and exchange rate in one direction.

Table 4: Granger Causality Test.

Null Hypothesis PKREX does not Granger Cause PSE PSE does not Granger Cause PKREX USGOLD does not Granger Cause PSE PSE does not Granger Cause USGOLD USGOLD does not Granger Cause PKREX PKREX does not Granger Cause USGOLD

Obs. 119 119 119

F-Statistic 6.551 1.965 3.638 0.986 0.010 5.625

P-value 0.001 0.144 0.029 0.375 0.989 0.004

5. CONCLUSION In the execution of this work, the investigators have assessed the relationship between two significant factors of an economy, including gold prices and stock prices. At first, the researcher employed the unit root test to explore the data series’ stationery nature. The study findings exhibited that at first difference, all data series proved to be non-stationary. Afterward, the research employed the Johansen technique to assess any chance of a co-integrational association. Findings negated any possibility of such co-integrational relation among the stock price and gold prices, however; the study confirmed a co-integrational association among the gold prices and stock price. It proposes that investors cannot predict behavior and trend of one variable on the basis of other’s information and no co-variation among the variables exists in the short-term. If no co-integrational association prevails among the variables, then in the absence of it, the researcher is advised to shift to a standardized Granger causality test to explore the chances of occurrence of any causal association among the gold price and stock prices. The findings exhibit that stock price does not Granger-cause the gold prices and gold prices do not Granger cause stock price. Hence, there is no chance of any sort of causal association among the gold prices and stock price.

A common belief prevails between the investors that a causal relation exists among the stock return and gold prices. And they can use the information of one market if they want to forecast the trend of another one. However, the study results have shown a contrast. As per research findings, no co-integration prevails among the study variables. It suggests that investors cannot predict one

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

variable by getting information about the past value of the other one. Moreover, the non-stationary results of data series also propose that investors cannot speculate profitably in the foreign exchange market or the stock market. As no possibility exists for the causal association among gold prices and stock return, market players would be unable to predict the behavior of one market on the basis of other market’s information. In addition, policymakers in all investigated states cannot employ a rate of exchange as a strategic tool to appeal overseas portfolio investment. Instead of the exchange rate, state authorities can employ other policy tools including the production of a conducive investment environment, improvement in the country’s law and order situation, reduction of political instability, efficient use of the rate of interest and much more.

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

7. REFERENCES Agarwal, N. C. (1981). Determinants of executive compensation. Industrial Relations: A Journal of Economy and Society, 20(1), 36-45.

Bhattacharya, B., & Mukherjee, J. (2005). An analysis of stock market efficiency in the light of capital inflows and exchange rate movements: The Indian context. ICRA Bulletin Money and Finance.

Franck, P., & Young, A. (1972). Stock price reaction of multinational firms to exchange realignments.

Financial Management (pre-1986), 1(3), 66.

Giovannini, A., & Jorion, P. (1987). Interest rates and risk premia in the stock market and in the foreign exchange market. Journal of International Money and Finance, 6(1), 107-123.

Granger, C. W., Huangb, B. N., & Yang, C. W. (2000). A bivariate causality between stock prices and exchange rates: evidence from recent Asian flu. The Quarterly Review of Economics and Finance, 40(3), 337-354.

Gay, R. D. (2016). Effect of macroeconomic variables on stock market returns for four emerging economies: Brazil, Russia, India, and China. International Business & Economics Research Journal (IBER), 15(3), 119-126.

Jorion, P. (1990). The exchange-rate exposure of US multinationals. Journal of business, 63(3), 331-345.

Hamidi, H. N. A., Khalid, N., & Karim, Z. A. (2018). Revisiting relationship between Malaysian stock market index and selected macroeconomic variables using asymmetric cointegration. Jurnal Ekonomi Malaysia, 52(1), 341-350.

Khan, M. A. (2018). Assessing the Role of Macroeconomic Variables on Stock Price Volatility: a Case of Pakistan Stock Exchange. Pakistan Business Review, 19(4), 928-943.

Liang, J. J., Qu, B. Y., Suganthan, P. N., & Hernández-Díaz, A. G. (2013). Problem definitions and evaluation criteria for the CEC 2013 special session on real parameter optimization. Computational Intelligence Laboratory, Zhengzhou University, Zhengzhou, China and Nanyang Technological University, Singapore, Technical Report, 201212(34), 281-295.

Li, L. (2003). Macroeconomic Factors and the Correlation of Stock and Bond Returns. Yale School of Management.

Muhammad, N., Rasheed, A., & Husain, F. (2002). Stock prices and exchange rates: Are they related?

*Corresponding author (M. Nehal Hussain). Tel: +92-3335711764 Email: nehalhussain81@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06I http://TUENGR.COM/V11/11A06I.pdf DOI: 10.14456/ITJEMAST.2020.109

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evidence from south Asian countries [with comments]. The Pakistan Development Review, 41(4), 535-550.

Maysami, R. C., Howe, L. C., & Hamzah, M. A. (2004). Relationship between Macroeconomic Variables and Stock Market Indices: Cointegration Evidence from the Stock Exchange of Singapore’s All-S Sector Indices. Jurnal Pengurusan, 2004(24), 47-77.

Mishra, S. (2004). Student retention in online, open and distance learning. British Journal of Educational Technology, 35(2), 251-252.

Nishat, M., & Shaheen, R. (2004). Macroeconomic Factors and Pakistani Equity Market. The Pakistan Development Review, 43(4), 619-637.

Pervaiz, J., Masih, J., & Jian-Zhou, T. (2018). Impact of Macroeconomic Variables on Karachi Stock Market Returns. International Journal of Economics and Finance, 10(2), 28-34.

Raza, S. A., & Afshan, S. (2017). Determinants of exchange rate in Pakistan: Revisited with structural break testing. Global Business Review, 18(4), 825-848.

Solnik, B. (1987). Using financial prices to test exchange rate models: A note. The journal of Finance, 42(1), 141-149.

Smith, G. (2001). The price of gold and stock price indices for the United States. The World Gold Council, 8(1), 1-16.

Sohail, N., & Hussain, Z. (2009). Long-run and short-run relationship between macroeconomic variables and stock prices in Pakistan. Pakistan Economic and Social Review, 47(2), 183-198.

Zamir, M., Amin, A., Ullah, S., & Khan, S. U. (2017). Exchange Rate Volatility in Pakistan and Its Impact on Selected Macro Economic Variables (1980-2014). iBusiness, 9(4), 167-187.

Muhammad Nehal Hussain is a PhD Scholar at Iqra University Islamabad Campus, Pakistan. He received his MS (Finance) degree from Muhammad Ali Jinnah University, Islamabad, Pakistan. He is a Lecturer (Commerce) at Islamabad Model Postgraduate College of Commerce, Pakistan. His interests involve Portfolio Management and Financial Management.

Dr. Imran Riaz Malik is an Associate Professor of Finance in Iqra University Islamabad Campus. He has done his PhD (Finance) degree from the Institute of Management Sciences, Peshawar, Pakistan. His interests involve Financial Risk Management and Financial Econometrics.

Dr. Muhammad Bilal is a Researcher/Trainer in the field of Qualitative and Quantitative data analysis. He got his PhD in Business Administration (Finance) from Iqra University Islamabad Campus, Pakistan. His interests involve Risk Management and capital budgeting in Financial Institutions.

Dr. Nazakat ALi is an Assistant Professor in the College of Commerce, Sultana Foundation Islamabad, Pakistan. He earned his PhD in Business Administration in Business Administration (Finance) from Iqra University Islamabad Campus, Pakistan.

Ali Raza is a Researcher/Trainer in the field of Branding and Digital Marketing. He received his M.Phil(Marketing) degree from Preston University Islamabad Campus, Pakistan.

Trademarks Disclaimer :All product names including trademarks ™or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only .The use of them does not imply any endorsement or affiliation.

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

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

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

PAPER ID: 11A06J

SMALL SPACES NEED SMART SOLUTIONS: IMPACTS OF SMART INTERIOR DESIGN SOLUTIONS ON ACHIEVING FLEXIBLE SPACES Salahaddin Yasin Baper 1

1*

and Aisha Rashid Saied

1

Department of Architecture, College of Engineering, Salahaddin University-Erbil, Kurdistan, IRAQ.

ARTICLEINFO

Article history: Received: 02 September 2019 Received in revised form: 16 December 2019 Accepted: 10 January 2020 Available online: 21 January 2020

Keywords: Smart analog model (SAM); Small Spatial Spaces (SSS); Environmental influence; Studio apartments, Technological influences; Smart technology; Formal influence; Holistic change; Flexibleness of small spaces.

A B S T RA C T

Small spaces are results from lodging improvement and ongoing increasing residents; growing urbanization empowers individuals to less space. User's requirements are as yet the equivalent. The wellbeing risk of lodging improvement is discussing and highlighting by numerous articles; both claustrophobically and crowding sensing is demonstrated in flexible spaces. Physical flexibility relates to spaces that have the capability of being altered. A flexible space provides occupants some decisions over how interior space is organized according to his or her actions and preferences. This study explore effects of utilizing smart material on the process of construction and design and will analyze the structure of moving, fields of design, and interior architecture components for multi-functional usage with smart solutions to investigate the best approach to make interior architecture with flexible qualities, to reach the flexibleness state through prototyping for a studio apartment in the empire-Erbil city and detailed questionnaire, to improve recently recommended models.

This research demonstrates the significant association between factors influencing the flexibleness small space from smart materials independent factors in terms of technological, formal, environmental effects, and holistic changes. In view of that prototyping, clarify flexible spaces and two route connections between smart analog model (SAM) and digital module (DM) cooperatively in the shape of models, these techniques are proper for smart spaces. SAM return smart spaces modeling by incorporating ICT implanted elements as actuators and sensors utilizing new innovations provide more possibility for interior elements not to be rigid.

The outcome concluded that smart solutions would allow interior spaces to more flexibleness state.

Disciplinary: Architectural Sciences (Spatial Spaces Management). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Today's society is influenced by urbanization and on-going developing populace, bringing *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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about an expanding interest for bigger spaces (Lem, 2009). Using the idea of flexibility in interior architecture has profits in crises, altering the furnishing and structures for interior spaces that ought to be in a piece of execution and functionality (Emamgholi, 2011).

For thirty years ago a floor spaces that offering by small spaces around 55m2, the impression of what small spaces are completely altered (Jorgensen, 1990), occupants needs are as yet the same or possibly higher than previously to make human prosperity that is a lot of crucial needs that should be satisfied and kept up (Schmidt, 2009). The Royal Institution of British Engineer indicated the most widely recognized reason for user's dissatisfaction is the lack of space return to their spaces.

The existing interior architecture has utilized the most recent strategies and improvements in which arrived at the contemporary interior materials, and their procedures include smart materials, which provide substantial architectural conceivable outcomes for interior spaces (Rubnicu, 2012).

The different researches managed with the meaning of these materials' potentials and utilization (Saidam, 2017). so the research issue in the lack of clearness of the effect of using smart interior design solution in modern interior design for achieving flexible spaces to find the impact of utilizing the characteristic of smart materials and advantages of systems of smart materials in interior architecture field, to investigate the best approach to make interior spaces with enhanced flexible qualities, to eventually reach the "flexibleness" state This significant improvement has fortified progression in control solutions and Pc integrated systems for interior design systems that utilize smart interior design solutions in which can predict users' preferences, thus expanding comfortable lifestyle and flexibility, raising energy productivity that leads to accomplishing progressively flexible interior design (Wacks, 2002). Internet of things (LOT) and systems of building management make up the interior design essence and able to be utilized to energy control the systems of interior design, these systems give data about interior spaces and occupants preferences which able to be evaluated to accomplish better performance, and progressively efficient interior design arrangement(Smart buildings, 2013).

1.1 SMALL SPACES A small space overwhelmed with light feels greater and brilliant and also gives a connection with outsides, which creates a lot of dissimilarity in terms of how you feel about the place. For a small space, smart solutions are an unquestionable requirement to display creativity. Maxâ&#x20AC;&#x201C;Neef (1992) isolates the major human needs for nine critical factors which are protection, understanding, identity, leisure, subsistence, participation, affection, freedom, and creation, that each is significant for occupants prosperity, however, living in small spaces, the accompanying components ought to be generally fundamental including affection, subsistence, identity, and protection (Table 1).

Table 1: Explanation of the essential factors for small spaces (after Max-Neef, 1992).

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

1.2 FLEXIBLE SPACES The flexibility of spaces in interior architecture is to furnish interior spaces with simply altering that regard to changing in application and performance requirements. Even though interior spaces should be restricted and recognized through physical components as a wall, ceiling, floor, and etc., it ought to be designed such that changes flexibility.

1.3 PREVIOUS STUDIES ABOUT SMART INTERIOR DESIGN SOLUTIONS CONCEPT AND FLEXIBILITY IN INTERIOR ARCHITECTURE The concepts of smart interior spaces have made a turning point over the recent three decades in interior architecture and construction fields. This turning position parallels development in computer technology, envelope designing, and building science, with the advanced techniques and innovations different smart buildings have been developing to grow high performing of interior buildings, because of these developments, smart interior design spaces are usually observed to be the future of the built environment. (Buckman et.al, 2014).

Albert (2002) suggested a model for smart technologies and trending interior design in the form of smart surfaces, materials, sensors, and systems of buildings to provide a gainful and practical built environment by enhancement of its four fundamental - management, structure, services, and systems (Figure 1).

Figure 1: a combination of components of smart interior design to accomplish inhabitants and owner needs (after Albert, 2002) Sekkei (2009) uses smart programming capable for estimating up building prerequisites for example (BIM) programming building information modeling, that BIM programming presented as a data archive for resources and sharing information for various design functions and qualities, Thus, BIM programming able to build up high practices with different advancement of interior design constructions and technologies. That supports designers to evaluate performance efficiency and also form a dependable reason for choice during lifestyle design.

Addington & Schodack (2005) demonstrate smart solutions for flexibility of interior design applying smart construction technologies to provide dynamism for design that required for contrasting functions: for example, phase changing pellets support to keep up and also control environmental impacts in interiors giving flexibility in smart materials and also in lighting to exchange the design atmosphere.

Ruuska & Hakkinen (2014) suggested a model for smart material's impact on the flexibility of interior design solutions. Materials that are smart have at least one characteristic that able to be substantially changed, for example, opacity, consistency, color, and form. There are different kinds of smart materials characteristics and concentrating on their actuation capabilities and ability to *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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reacting to the flexibleness of spaces, which used in interior designs as dynamic and self-acting surfaces. Smart materials' main characteristics with property change capability, energy exchange capability, discrete size/location, reversibility properties.

Figure 2, Leupen (1997) demonstrate various degrees of flexibility in architecture design. This distribution depends on performative and innovative parameters in which show particular characteristics, so the performative and technical progressions increment in complexity terms from the left to right side.

Figure 2: Levels of flexibility in the order of sophistication (Leupen, 1997) Liu et.al. (2010) defined. The third system of smart interior design is the system of (IoT) sensors for the structure of interiors to assemble information about light, space use, movement, and formation of a new area. Information analysis transforms the designs of the smart materials into expectant, responsive, and customized modifications to the environment of the buildings in realtime, subsequently fitting.

Mohammed (2015) links the use of smart materials and the possibility for introducing better interior design for more flexible to accommodate different users' needs that make them more convenient and comfortable. Smart materials, through their behavior and their properties, have a significant role in the flexibility of the space. The application of advanced technologies, using smart materials, has the capacity to improve the flexibility of interior spaces significantly. So, the development of smart materials reflected on the existing sensors and smart actuators for the interiors.

Saidam (2017) investigates the importance and the meaning of smart materials when utilized, which include the structural and physical, also an adjustment to extreme condition, and provide the research the most significant applications, and smart materials classification, in which upgraded the interior space's performance.

These previous studies deal with smart interior design solutions in small spaces for achieving space flexibleness, which shows the relationship between the smart material with interior architecture and physical elements of interior design. There can be three influences of smart material which are, formal, environmental, technological influences and holistic changes, these techniques work to make small spaces big and achieving flexible spaces by smart solutions for interior design as appeared in (Figure 3) Smart Smart design system

Formal

Integrated system

Technological

Holistic change

Smart materials

Environmental

Flexible interior design

Figure 3: smart interior design solutions parameters (researcher)

2. METHODOLOGY The methodology consists of three steps

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

Step 1) virtual tour by prototyping through smart interior design solutions In this step, occupants obtain practical tours and look for a few prototypes about smart technologies.

Step 2) interior space arrangement In this step are called the “daily living arrangement,” for seven prototypes, each of them with three different options, through smart interior design solutions.

Step 3) the final questionnaire The second instrument for collecting data surveys designed regarding smart materials, formal, environmental, technological influences, and holistic changes, consists of 50 questions.

In this research, that include four independent factors that intended to cover the component of flexible spaces and one dependent variable (small space) to demonstrate the small spaces flexibleness, the hypothetical model (Tables 2 and 3) consist of one dependent and four independent variables organized to build up the survey.

Table 2: Sub factors summary of DV Variables.

NO. 1

Factors Flexible Small spaces

Sub factors Affection subsistence

Table 3: Sub factors summary of IV

Relationship between spaces

Saving of materials

shape related

Separated

Resilience and rigidity

confrontation to natural features

3-technological influences

transparency surfaces

Resources fortification

Color

energy consumption

permanence

opportunity of alteration

2-Environment influences

conventional contemporary

structural level

1-Formal influences

Modulation

Slack change

Phase change Function change

Energy change

The interior surfaces as a whole

4-The holistic change

light control

Quality of Smart materials

Property change

Materials using

Interactive surface

solar energy controlling organize Ventilation system

Materials function

Double skin surfaces Self-adaptive

Surfaces type

Parts of Wall, roof or ceiling

Activity change

formation

structural Aesthetic environmental

2.1 PRACTICAL TOUR THROUGH PROTOTYPES FOR SMALL SPACES For prototypes applying, utilizing developed prototype application as a proposal for performing the task, so we take empire residential wings apartment studio about 67 m2 in Erbil city as a case study for our prototyping design, the practical smart interior design solutions introduced in these prototypes compose of various smart techniques. Because of that a prototyping, through two route *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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integration between smart analog module (SAM) and digital module (DM) for flexibility of spaces is defined that SAM return to smart spaces models by ICT (information communication technology) that implanted for physical elements of interior design like actuators and sensors, utilizing these new technologies for interior spaces provide great possibility for elements to achieve more flexible state as in (Figures 4 and 5).

Interior designer

Digital versions

Simulation (ETS5 - KNX)

Digital versions

Digital module (DM)

Extend BIM (BIM ++)

Smart Analogue module (SAM)

Holistic changes Formal influences

Achieving flexible interior space

Technological influences Environmental influences

Interior building components

Smart devices Sensors & actuators

Figure 4: the objective of the prototype for achieving flexibleness in small spaces (researcher)

Figure 5: Prototyping design by ICT (Yi and Kim, 2012) A model surveyed that either reacts to interior mood state or occupants task by SAM and DM collaboration.

1) Extended building information modeling(++ BIM) use occupants information joined with BIM 2) Simulation: integrated information of occupants is utilized for occupants task evaluating by simulation device 3) When the current model isn't completely satisfied with the occupant's performance, able to make a new prototype (Figures 6 and 7).

2.2 DAILY INTERIOR SPACE ARRANGEMENT FOR PROTOTYPES Table 4 exhibits seven prototypes with different three options used in this study.

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

Flexible interior spaces components Interior building components

Smart object

Action type

Smart appliances Phase change Material change Motion change

Smart interior spaces components

Interior building components Smart object

Smart appliances

Figure 6: Extended BIM considering flexible space (researcher) Smart object Flexible interior spaces components Interior building components

Action type Color change

Phase change

Motion change

Material change

Smart appliances

Smart interior spaces components

Interior building components Smart object

Smart appliances

Figure 7: Extended BIM considering flexible space (authorsâ&#x20AC;&#x2122; work). *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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Table 4: Daily interior space arrangements (authorsâ&#x20AC;&#x2122; work).

Prototype NO. A

Option 1

Option 2

Option 3

B

C

D

E

F

G

In this section, the factors existing in the hypothetical framework and analyzing the statistics of selected models will be evaluated (see Table 5).

2.3 THE FINAL QUESTIONNAIRE The research aim is to explore the significant relationship between variables influencing the small spaces, moreover, to test the relation of the variables to create an equation to show the best prevision for flexible spaces from smart solutions independent variables. The survey design is depending on the elements variable extracted from the literature review; in this way, the proportion of altering interior spaces would be concluded to achieve the flexibleness space through smart interior design solutions.

In surveys, the four principle qualities of smart materials for interior spaces were dividing into various sub-variables. The researcher gathered all data from the architects by hand, the furthermore statistical analysis estimated by utilizing IBM SPSS statistics 25.

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

Table 5: frequency rate for prototypes Table 4 (authorsâ&#x20AC;&#x2122; work).

Item

Flexible spaces

X1 Formal influences

Surfaces type Modulation Structural level opportunity of alteration

Relationship between spaces Environment influences

X2 Self-adaptive Resources fortification

technological influences

Permanence X3

holistic change

X4

Quality of Smart materials Materials using Materials function

A

B

C

D

E

F

G

Double surfaces Interactive surface conventional contemporary Color transparency surfaces shape related separated

Solar energy controlling Organize the Ventilation system Light control Energy consumption Saving of materials Resilience and rigidity Confrontation to natural features Property change Phase change Energy change The interior surfaces as a whole Parts of Wall, roof or ceiling Structural Aesthetic Environmental

Slack change Function change Activity change formation

2.3.1 DATA COLLECTION The advanced arrangement of this survey intended to decrease errors for measurement and improving the reaction ratio. The questioners dispersed arbitrarily to architects who work in various sectors, as consultant architect, private sector, governmental sector, and engineering teaching staff at Tishik international university and Salahuddin University, who they have an alternate scholarly capability, from 150 questioners, 121 returned, 20 disposed due to missing answers. Thus, 101responded questionnaires are usable.

3. RESULT AND DISCUSSION 3.1 PROTOTYPING FREQUENCY RATIOS As indicated by analyzing, the graphical investigation of criterion has been completed by dividing the number accomplished by one standing on the overall amount that multiplies by rate to get a percentage.

3.1.1 FORMAL INFLUENCE The analyzing result at formal level to achieve flexible spaces through smart solutions of double skin interactive surfaces spread in a perfect world must have a different layer and optional covered profoundly layer of the exterior surfaces 39% utilizing this procedure, giving users the capability for decrease and increase the interior spaces easily, by having slack spaces as a long-term for systems of flexibility in which additional space left around the unit with the possibility to work in later, in which give the occupants make their small spaces bigger according to their preferences.

3.1.2 ENVIRONMENTAL INFLUENCE Smart cover attempts to energy converse for interior spaces, 61.1% to lessen the use of energy for interior spaces, smart procedures that cooperate to make flexible spaces, energy proficient, and *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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comfortable space for users. Smart glazing gives day-lighting and pleasant prospect to interior spaces, and also by completely opening mainly for small spaces, provides the chance to break down the exterior and interior barrier for small spaces to look bigger.

3.1.3 TECHNOLOGICAL INFLUENCES Smart materials technologically can respond to the flexibleness of space by different properties %80 in which prompts change our senses to interior spaces either look enormous or small.

3.1.4 THE HOLISTIC CHANGE The holistic influences accordingly leads to changing interior spaces functions %75 changes the role of smart object, interior spaces able to be arranged and used by creating proper connections as indicated by users activities, needs, smart analog model (SAM) by adjusting digital parameters of movements mechanically, when current model couldnâ&#x20AC;&#x2122;t satisfy user's performance just by altering advanced versions to create new prototype according to user's preferences.

3.2 STATISTICAL ANALYSIS RESULTS 3.2.1 DESCRIPTIVE ANALYSIS The descriptive analysis aim with the variables is to check the relationship between respondentsâ&#x20AC;&#x2122; distinctiveness and their attitude toward the flexibleness for small spaces factors.

Consequently, by following statistical analysis was performed, in which the maximum mean among the smart materials Parameters was for technological influences with mean 3.45 and 1.13 for standard deviation (SD). Despite the fact that the minimum range of mean was for environmental impacts with 2.87 for mean and 1.10 for standard deviation. So the means of Formal, holistic change, small spaces were 2.97, 3.14, and 3.39, and for standard deviation 1.10, 1.12, 1.20 respectively, as appeared in (Table 6).

Table 6: Basic statistical analysis. factors Formal Environmental Technological Holistic changes Small space

Mean 2.97 2.87 3.45 3.14 3.39

SD 1.10 1.07 1.13 1.12 1.20

Rate of agreement (%) 59.43% 57.39% 68.91% 62.72% 67.83%

3.2.2 CORRELATION ANALYSIS The correlation analysis aim is to evaluate the relationships of smart interior design solution factors (Formal, Environmental, Technological, and holistic change) and flexibleness for small spaces, accordingly, to describe the significant association between factors in achieving flexible spaces for small areas, also, to test the hypothesis.

In the context of that, correlation analysis (Pearson Product Moment Correlation Coefficient Test) used to investigate the relations between the factors, also to explain the strength and direction of the linear correlation between variables. Each independent variable is associated with a dependent variable. Correlation coefficients range from -1.00 to +1.00. The value of -1.00 represents a perfect negative correlation, whereas a value of +1.00 represents a perfect positive correlation. A value of 0.00 represents a lack of correlation (Kumarmake et al., 2005).

The correlation method was subjected to a two-tailed test of statistical significance from 0.05to 0.01. The data in (Table: 7) is illustrative of the outcome of Correlation Analysis to (Smart interior

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

design solutions with achieving flexible spaces). The analysis reason is to verify the significant correlation between the independent factors (smart interior design solution) and the dependent factor (flexibleness of small space) by following the hypothesis were invented.

Table 7: Smart interior design solutions with achieving flexible spaces.

S H1 H2 H3 H4

hypothesis there is a significant relation between smart material's formal impact parameter and flexibleness for small spaces. there is a significant relation between smart material's environmental impact parameter and flexibleness for small spaces. there is a significant relation between smart materials Technological impact parameter and flexibleness for small spaces there is a significant relation between smart materials holistic changes parameters and flexibleness for small spaces

flexibleness for small spaces Corr.Coeff.

0.317** (p-value) 0.001 Corr.Coeff.

0. 203* (p-value) 0.043 Corr.Coeff.

0. 321** (p-value) 0.001 Corr.Coeff.

0. 144 (p-value) 0.155

Result significant significant significant Nonsignificant

**. significant Correlation at level 0.01 (2-tailed), *. Significant Correlation at the level 0.05 (2-tailed).

Table 7, the Smart materials formal impact parameter, Smart materials environmental impact parameter and smart materials Technological impact parameter have significant positive correlations with the (flexibleness for small spaces).

Likewise, the Except (Smart materials holistic changes parameters) variable is not significant correlated with flexibleness for small spaces. Consequently, the hypotheses H1, H2, and H3 are accepted, but H4 is rejected.

3.2.3 MULTIPLE REGRESSION ANALYSIS The general purpose of multiple regressions in this study is to test the relationship between independent variables (smart interior design solutions) and a dependent variable (small spaces flexibleness).

In view of that, an equation stands for the best calculation of the flexibility of small spaces from independent variables of smart interior design solutions.

The recommended model was accessible by determining the cooperative impact of the independent factors, namely, (1) formal impact, (2) technological impact, (3) environmental impact, (4) and holistic changes impact concerning the general perceived of the small spaces flexibleness.

In light of the previously mentioned, a regression model improved in resolving the relationships among factors. The subsequent model formed as: Flexible space = β + β1 formal + β2 environmental + β3 technological + β4 holistic + ε

(1)

Where, flexible space = the flexibleness for small space β = constant of beta value β1 = beta value of formal β2 = beta value of environmental β3 = beta value of technological β4 = beta value of holistic, and ε = error term The summary of the multi regression model is appeared in (Table: 8), whereas the R2 for the model is 0.386, suggesting that the smart interior design solutions variables explained 38.6% of the difference to the flexibleness of small spaces. *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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Table 8: Model Summary of multiple regression between independent and dependent factors Model 1

R .386a

R Square Adjusted R Square Error of the Estimate .149 .113 0.707 a. Predictors: (Constant), F, E, C, D

Durbin-Watson 1.328

Generally, the smart material's formal impact parameter (β=0.390, p= 0.033) and the smart materials technological impact parameter (β =0.458, p=0.036) have significant positive relationships with the small spaces flexibleness. Results prove that "formal impact parameter" is most prominent in construing the flexibility of small spaces as each unit of the change in this parameter is interrelated with a 0.390 change in the small spaces flexibleness and each unit of "technological impact parameter" is interrelated with 0.458 changes in the small spaces flexibleness. Entertainingly, even non-significant, Environmental (β=0.041, p= 0.836), holistic changes (β= -0.076, p= 0.666) have positive associations with flexibility for small spaces (Table: 9) Table 9: independent factors summarize by multiple regression analysis.

Parameter constant formal environmental Technological holistic

B .837 .390 .041 .458 -.076

Std. Error Standardized Coefficients Beta .718 .180 .241 .196 .024 .215 .234 .175 -.049 R2=0.149 Adjusted R Square=0.113 F=4.165 significance F=0.004 Significance at level 0.05 p<0.05 N=101

t 1.167 2.162 .207 2.133 -.432

p .246 .033 .836 .036 .666

Table 9 shows the multiple regression results analyzing. The beta values signify the unique contribution of all variable and which formulate in the model final equation as following.

Flexible =0.837 + 0.390 formal+ 0.041environmental + 0.458 technological + -0.076 holistic changes

4. CONCLUSION Smart solutions are becoming more empowering to the interior design process, and we were able to implement them to create flexible spaces in a different way than was previously probable.

As the flexibility of spaces for small spaces defined for multi-layers of functions throughout controlling functions and forms of interior building elements modified to user's needs, that prototyping was essential to realize smart solutions to allow interior spaces to more flexibleness state. This research determines the positive relationship between smart interior design solutions factors and the flexibleness of small spaces for studio apartments of residential wings in empire city /Erbil. The framework consists of Four factor (formal, Environmental, technological influences, and holistic changes) have begotten from recently proposed models. Throughout statistical results, the Pearson product-moment coefficient correlation revealed that (Smart materials formal impact parameter, Smart materials environmental impact parameter and smart materials Technological impact parameter) significant positive correlations with the (flexibleness for small spaces).

Similarly, except for Smart materials holistic changes parameters, variables has very weak relationship with the dependent variable (flexibleness for small spaces).

Otherwise, multiple regressions results indicate that variables explained 38.6% of the difference to the flexibleness of small spaces, and illustrate that the smart materials formal and

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

technological impact parameters have significant positive associations with the small spaces flexibleness. Results verify that "formal and technological impact parameter" is most influential in interpret the flexibility of small spaces as each unit of the change in these parameters is associated with the significant positive change in flexibleness for small spaces. While, even non significant, environmental, holistic changes have positive associations with flexibility for small spaces.

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

6. REFERENCES Addington, D.M. & Schodek, D.L., Smart materials, and new technologies: for the architecture and design professions, Routledge: New York, 2005.

Albert, (2007). Intelligent Building Systems.

Buckman, A., Mayfield. M., Stephen B.M. Beck (2014). What is a Smart Building?, University of Sheffield, Sheffield, UK. Emamgholi, A. (2011). Flexible Spaces in Architecture. 5thSASTech 2011, Khavaran Higher-education Institute (pp. 1-8). Mashhad, Iran: Khavaran Higher Education Institute.

Jørgensen, I. (1990) ”Funker femti’n” Husbanken og Byggforsk. Oslo Kumar, R. (2005). Research Methodology (fourth ed.): SAGE Publication LTD. Lem, C. (2009). Økt prispress på leiligheter. Magma.Web: https://www.magma.no/oekt- prispress-paa-leiligheter Liu, K., Nakata, K., & Harty, C., Pervasive informatics: theory, practice, and future directions.Intelligent Buildings International, 2(1), pp. 5–19, 2010.

Leupen, B. (1997). Design and analysis. Rotterdam, 010 Publishers.

Max-Neef, M. (1992). Development and human needs.Real-Life Economics: understanding wealth creation.Web:http://3awww.alastairmcintosh.com/general/resources/2007-Manfred-Max-NeefFundamental-Human-Needs.pdf Maja, G.(2015). Flexibility and comfort in limited dwelling interior. Ph.D. Thesis, Department of Architecture and Urban Studies (DAStU).Politecnico di Milano.

Nikken Sekkei, Design with Real-time Analysis Reporting. Japan Architecture + Urbanism Journal, Special Issue, 2009.

Rubnicu, A.(2012). Intelligent Systems In Architecture Façade Systems.Gheorghe Asachi, Technical University of Iaşi, Faculty of Architecture .G.M.Cantacuzino.

RAENG, Smart buildings – people and performance report, Royal Academy of Engineering: London, 2013.

Ruuska, A. & Häkkinen, T., Material Efficiency of Building Construction. Buildings, 4(3), pp. 266–294, 2014.

Schmidt, L. (2009). Små boliger – enkunnskapsoversikt. Report number: NIBR-rapport 2009:1 Web: http://www.hioa.no/extension/hioa/design/hi oa/images/nibr/files/filer/2009-1.pdf Saidam,m & Other,(2017).smart materials application in building facades, Eco. Env. & Cons. 23 (Nov. Suppl. Issue): 2017; pp. (S8-S11).

Wacks, K.P., Best-Practices Guide for Evaluating Intelligent Building Technologies. Continental Automated Buildings Association: Ottawa 2002. *Corresponding author (S.Baper) Tel: +964-7504091111. Email: salahaddin.baper@su.edu.krd ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06J http://TUENGR.COM/V11/11A06J.pdf DOI: 10.14456/ITJEMAST.2020.110

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Yi I.G., Kim S. A. (2012), Communication between virtual and physical prototypes for intelligent façade design, Journal of Architectural Institute of Korea 28, NO. 11, pp 67-74

Dr. Salahaddin Yasin Baper is a Lecturer in the Department of Architecture, the University of Salahaddin-Erbil, Kirkuk Road, Erbil City Kurdistan Region, IRAQ. He obtained his BS and M.Sc. in Architecture from the University of Technology, Baghdad Iraq. He earned his Ph.D. in Architecture from the School of Housing, Building, and PlanningUSM Malaysia. His research encompasses Architecture, Design Studies, Architectural Technology, Architectural Identity.

Aisha Rashid Saied is a joint master student in the Department of Interior Architecture at Tishik International University and Salahaddin University-Hawler. She obtained her BS in Architecture from the University of Salahaddin, Erbil Iraq, in 2014. She is a Teaching Staff at the Architecture Department, Tishik International University. Her research interests include Spatial Small Spaces (SSS), Flexible Spaces.

Trademarks Disclaimer :All product names including trademarks ™or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only .The use of them does not imply any endorsement or affiliation.

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Muhammad Nehal Hussain, Imran Riaz Malik, Muhammad Bilal, Nazakat Ali, Ali Raza

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

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

PAPER ID: 11A06K

STATE AND EFFECTIVENESS OF THE RUSSIAN ENTERPRISE OF HORTICULTURE PRODUCTION 1*

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Konstantin Ternovykh , Natalia Leonova , Victoria 3 4 1 Malitskaya , Maria Chirkova , Alena Markova Department of Farm Production Management and Entrepreneurial Business in Agro-Industrial Complex, Voronezh State Agrarian University named after Emperor Peter the Great, Voronezh, RUSSIA. 2 Department of Economics in Agro-Industrial Complex, Voronezh State Agrarian University named after Emperor Peter the Great, Voronezh. RUSSIA. 3 Department of Accounting and Taxation, Plekhanov Russian University of Economics, Stremyannyi per., 36, 117997 Moscow, RUSSIA. 4 Department of Accounting and Audit, Voronezh State Agrarian University named after Emperor Peter the Great, 394087 Voronezh, Michurina, 1, RUSSIA. 1

ARTICLEINFO

Article history: Received 05 August 2019 Received in revised form 18 December 2019 Accepted 08 January 2020 Available online 21 January 2020

Keywords: Horticultural crops; Intensive gardening; Horticulture farming enterprise; Fruit crops; NPK Fertilization; Orchards and berry plants; Horticulture effectiveness.

A B S T RA C T

The horticulture effectiveness depends on its species composition.

Most Russian region, natural conditions do not allow growing fresh vegetables and fruits all year round. Winter varieties of apples are of great importance. From the gross collection of CJSC Agrofirm named after 15 Years of October, the main share (48%) belongs to five winter varieties. A high planting material cost and cultivation technologies predetermine a large production cost. Agrofirm makes 15 treatments a year with Serbian modern complex fertilizer, providing growth stimulation, root system development and increase productivity. At ZAO Agrofirm, fertilizers for planting fruit crops in intensive cultivation technologies are applied to the entire garden area (between crops) and under fruit trees. Sparingly soluble forms of phosphate fertilizers (phosphorite flour), citrate-soluble (precipitate, defluorinated phosphate, thermophosphate) are added to the period of pre-planting soil preparation, and water-soluble (superphosphates) for the main fertilizer and fertilizing. Doses adjustment and the nutritional conditions control, the leaf diagnostics method is used.

Agrofirm considers the most efficient in-line technology for harvesting and transporting apples from the orchard. It increases in labor productivity by 1.5–2 times, increases the output of standard products 1.5–2 times (10–15%). The technology includes five operations: loading rye containers, transporting it to the garden, picking fruits, and transporting and unloading containers with fruits. All of them are performed in a single cycle, one after another without time gaps.

Disciplinary: Modern Fruit Science, Economic and Management Science (Enterprise Economic and Management). ©2020 INT TRANS J ENG MANAG SCI TECH.

*Corresponding author (Konstantin Ternovykh) Email: solzeworot@mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06K http://TUENGR.COM/V10A/11A06K.pdf DOI: 10.14456/ITJEMAST.2020.111

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1. INTRODUCTION Horticulture is one of the most important sectors of agriculture, the products of which are used both fresh and as raw materials for canning, wine-making, and other industries. Despite modern methods of processing and storage of fruits, this industry can satisfy the needs of Russian people in fruit and berry products only by 40-45%. The lack of a domestic market with quality fruits and berries forced agricultural enterprises to take measures to maintain a stable situation in the agricultural sector of the region [8].

It should be noted that at the present stage, which is characterized by the aggressiveness of the influence of the external environment of the enterprise’s functioning and the ongoing sanctions of Western countries, the specialized horticultural enterprise ZAO Agrofirm named after 15 years of October has to produce and sell products from other industries, including competing ones with the horticulture industry. In particular, the enterprise has developed the production of grain and industrial crops, the cultivation of pedigree cattle. But the horticulture industry is still leading. In the structure of commercial products for 2013–2017 the proceeds from the sale of pome fruit, stone fruit, berries, as well as products of their processing amounted to over 60%, of which 53% fall on pome fruits and about 5% on berries [1, 2, 5].

The condition for effective gardening is the creation of highly productive intensive gardens.

Currently, the reproduction of orchards and berry plants at the enterprise is constrained by the insufficient production of high-quality planting material. There is a substantial lack of seedlings of a certain pedigree and varietal composition on dwarf rootstocks and new promising seed and stone varieties. Also, seedlings on the market do not meet the requirements of intensive gardening.

Therefore, many specialized horticultural enterprises, including and CJSC “Agrofirm named after 15 years of October” are moving to the cultivation of high-quality planting material both for their use and for sale. At the same time, the requirements for the selection of planting material are taken into account: high frost resistance, good rooting, resistance to diseases and pests. Applied modern technologies for the production of apple seedlings in the plant nursery provide branched plantings with a laid generative sphere, the output of seedlings of the highest quality categories, guaranteeing the onset of commercial fruiting of apple trees in the garden for 4–5 years after planting; growing apple trees with specified parameters for laying intensive gardens of various types. In CJSC Agrofirm named after 15 years of October, in recent years the volume has been increased to 872 thousand units. pome seeds and 147 thousand pcs. shrubs, which allows increasing the garden area by 800 ha [4, 6, 9].

The purpose of the study is to develop scientific and practical recommendations for improving the economic efficiency of horticulture production.

2. MATERIALS AND METHODS The degree of validity of scientific and applied provisions, conclusions and recommendations presented in this article is confirmed by the use of the materials of the Federal State Statistics Service of the Russian Federation, the territorial body of the Federal State Statistics Service in the Lipetsk Region, annual reporting forms of CJSC Agrofirm named after 15 years of October in the research process Lipetsk region, materials of legal reference and electronic media, as well as periodicals and personal observations of the author. The reliability of the research results is ensured by the application of general scientific and special methods of scientific knowledge.

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K.Ternovykh, N.Leonova, V.Malitskaya, M.Chirkova, A.Markova

3. RESULTS AND DISCUSSION Based on the performance indicators of horticultural enterprises in the Lipetsk Region, it was established that the CJSC Agrofirm named after 15 years of October, located in Lebedyansky District, is one of the most advanced that provides the largest share in the production of fruit and berry products in the region.

This enterprise has gone from a pilot-demonstration farm to the Troekurovsky state farm, and during the reform period, the state farm, like most other horticultural enterprises, adopted the status of an agricultural company, which over the past few decades has grown and become one of the largest not only in the Lipetsk region but and in the Central Black Soil Region, having established itself as a reliable supplier of high-quality and environmentally friendly horticultural products.

For the analyzed period, the total area of pome and stone fruits with was 1589 ha, 125 hectares of berries. From 2013–2017 the area of intensive gardens with drip irrigation increased by 430 hectares and reached 521 hectares, which indicates the desire of the enterprise management to develop horticulture in the innovation and investment direction (Table 1). Moreover, as part of the horticulture development program for the period 2014–2020. In the agricultural company, the laying of intensive orchards and berry plants is planned to be increased to 1026 ha and production and processing volumes to 30 thousand tons of fruits and berries.

Table 1: The area of plantations in CJSC "Agrofirm named after 15 years of October", ha Types of plantations Pomegranate (apple, pear, quince) including intensive type gardens Shrub berry berries (raspberries, currants, gooseberries, chokeberry) Wild strawberry Other plantings including nurseries of fruit and berry plantations

2013 1911 91 54 32 32

2014 1518 177 82 8 47 47

2015 1297 289 86 8 90 90

2016 1174 289 86 36 68 68

2017 1589 521 125 39 56 56

The additional commissioning of intensive orchards and berry plants increased the cost of planting them by 94.4 million rubles, respectively, there was an increase in the cost of caring for perennial plants by 42.7 million rubles, including 32.5 million rubles for intensive gardens (Table 2).

Table 2: The cost of laying and caring for perennial plantings in CJSC "Agrofirm named after 15 years of October", thousand rubles Types of plantations Pome fruits - total including on 1 ha intensive type gardens including on 1 ha Shrub berry Wild strawberry Pome fruits - total including on 1 ha intensive type gardens including on 1 ha Shrub berry including on 1 ha Wild strawberry including on 1 ha

2013

2014 2015 tree planting costs 27833 52582 68937 14.56 34.64 53.15 18855 52582 68937 207.20 297.07 238.54 2646 8060 8633 3616 Tree care costs 11479 18542 29254 6.01 12.21 22.55 3990 9128 15797 43.85 51.57 54.66 242 1497 1293 4.48 18.26 15.03 28 3.50 -

2016

2017

-

122200 86.77 122200 234.55 4416 4416

79106 67.38 64963 224.78 1674 19.46 -

54131 38.43 36467 69.99 1405 11.24 535 13.72

*Corresponding author (Konstantin Ternovykh) Email: solzeworot@mail.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06K http://TUENGR.COM/V10A/11A06K.pdf DOI: 10.14456/ITJEMAST.2020.111

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It should be noted that the quality and timing of the sale of produced fruits and berries had a significant impact on the functioning of the analyzed enterprise. This is due to the specifics of the organization of entrepreneurial activity in horticultural enterprises. Horticultural products belong to the goods, firstly, requiring special conditions for their storage, and secondly, objectively having high prices in winter and spring.

The agricultural firm pays special attention to the quality of products, the proper organization of storage contributes to the improvement of which allows prolonging the season of consumption of fresh fruits and berries in the winter-spring period. At the same time, specially equipped warehouses for storing apples, built by the German company Plattenhardt + Wirth, create a special microclimate and gas environment, which ensures a fresh appearance of fruits for a long time, fully preserving all the taste and vitamins [7]. To date, the company has six storage facilities with a controlled gas environment with a capacity of 15 thousand tons of one-time storage. In 2017, about 65% of the fruits and berries were stored, which allowed the continuous process of selling apples in the spring at higher prices, as well as the production of juices from their raw materials.

The effectiveness of the main branch of horticulture depends on the species composition of its structure. When choosing varieties, the fact that the natural conditions of the region do not allow growing fresh vegetables and fruits all year round is also important. In solving this problem, winter varieties of apples are of great importance. In the structure of the gross collection of CJSC Agrofirm named after 15 Years of October, the main share (48%) belongs to five winter varieties (Antonovka 18.02%, Bogatyr 13.61%, Ligol 6.11%, Belorussky Sinap 5.64%, Veteran 5.73%).

Winter varieties are the main ones when laying and selling in the winter, as well as the main raw materials for the production of juices of the â&#x20AC;&#x153;Beautiful Swordâ&#x20AC;? line. Summer varieties are used for making mashed potatoes.

In our opinion, the company should pay special attention to the variety structure, removing varieties with low productivity and inefficient production lines from the garden turnover.

To expand the range of products Agrofirma named after 15 years of October, CJSC, in addition to apples, grows currants, strawberries, raspberries, and Aronia, which are used in the production of juices, jams, mashed potatoes produced under the Beautiful Sword brand. In the agricultural company, the planting of fruits and berries is carried out using elite planting material. The high cost of planting material and cultivation technologies predetermine such a large cost of production. So, the unit cost of production at ZAO Agrofirm named after 15 years of October is as follows: Aronia 1037.86 rubles/cent, apples - 1148.29 rubles/cent, strawberries - 3903.95 rubles / cent, currants 4385, 93 rubles/cent, raspberries - 18,924.16 rubles / cent [7].

We note that the main suppliers of plant protection products and fertilizers to the Russian market until 2014 were European countries, with which cooperation with the onset of the crisis was difficult.

This gave an impetus to the development of domestic production of analog products with the equal active ingredient, and the missing volume - for imports from China, Serbia. CJSC Agrofirm named after 15 years of October makes 15 treatments a year with modern complex fertilizer of the Serbian production FITOFERT ENERGY, providing stimulation of growth, development of the root system and increase yield (Tables 3 and 4).

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K.Ternovykh, N.Leonova, V.Malitskaya, M.Chirkova, A.Markova

Table 3: The processing scheme of the 1st phenological phase of plants (from swelling of the buds to the formation of the ovary) in ZAO Agrofirm named after 15 years of October Phenological phase "Mouse ear" SZ

Start bud isolation D3-E

Pink bud E-E2

The end of flowering, falling petals, the formation of the ovary

Treatment 1 treatment Fitofertenergy NPK 5-55-10 start + me (4kg / ha)

Purpose of treatments Compensation of deficiency of nutrients due to insufficient activity of the root system and stimulation of its development

2 processing Phytofertenergy NPK 5-55-10 start + me (4kg / ha) phytofertenergy NPK2-0-2 bioflex liquid + me (2l / ha) phytofertenergy NPK1-0-0 bormax 20% (1kg / ha) magnesium sulfate (1kg / ha) 3 processing Phytofertenergy NPK2-0-2 bioflex liquid + me (2l / ha) phytofertenergy NPK1-0-0 bormax 20% (1 kg / ha) phytofertenergy NPK0-5-3 mancine 6% (2kg / ha) magnesium sulfate (1 kg / ha) 4 processing Phytofertenergy NPK2-0-2 bioflex liquid + me (2l / ha) phytofertenergy NPK1-0-0 20% (1kg / ha) bormax phytofertenergy NPK20-20-20 balance + me (2kg / ha) magnesium sulfate (1 kg / ha)

Stimulate flowering, reduce stress

Ensuring normal energy metabolism, and reducing the impact of stress (low temperatures, cloudy weather), improving the quality of the flower

Reducing the effects of stress, increasing cell division, ensuring good leaf quality

Processing the first phenological phase compensates for the deficiency of nutrients due to insufficient activity of the root system and stimulates its development, and also prevents the effects of stress on the formation of the leaf plate.

Table 4: The processing scheme of the 2nd phenological phase of plants (from the formation of the ovary to the leaf fall) in ZAO Agrofirm named after 15 years of October Phenological phase Ovary diameter (diameter 7 mm)

Hazelnut fruit (ovary diameter 14 mm)

Treatment 5 processing Phytofertenergy NPK 20-20-20 balance + me (4kg / ha) phytofertenergy NPK2-0-0 calcifol 25% (3kg / ha) 6 treatment Phytofertenergy NPK2-0-0 calcifol 25% (3kg / ha) urea (1kg / ha)

Walnut fruit (ovary diameter 30 mm)

7 Phytofertenergy treatment NPK2-0-0 calcifol 25% (3kg / ha) urea (1 kg / ha); 8 processing Fitofertenergy NPK2-0-0 its max-10% (2kg / ha)

Pouring fruit

9 Phytofertenergy treatment NPK2-0-0 calcifol 25% (3kg / ha); 10 treatment (Fitofertenergy NPK0-15-45 finish + me (4kg / ha) Fitofertenergy NPK4-0-0 aminoflex liquid + me (2kg / ha) * 11 processing Fitofertenergy NPK0-15-45 finish + me (4kg / ha) Fitofertenergy NPK4-0-0 aminoflex liquid + me (2kt / ha) 12 treatment (Fitofertenergy NPK0-0-5 calcimax 40% (2kg / ha) 13 Phytofertenergy treatment NPK0-0-5 calcimax 40% (2kg / ha)

The beginning of fruit ripening Fruit ripening After cleaning

Purpose of treatments Stimulate growth and metabolism, activate enzymes, ensure good quality of the leaf, ensure the laying of flower buds Ensuring normal growth and development of fruits, balanced metabolism Ensuring normal growth and development of fruits, balanced metabolism, ensuring the processes of photosynthesis, respiration, protein metabolism Improving the quality of fruits, reducing the effects of stress (high temperatures)

Improving the color of the fruit. increase in keeping quality. stress reduction Improving the quality of fruits Providing the best quality fruit buds and increasing winter hardiness

*Corresponding author (Konstantin Ternovykh) Email: solzeworot@mail.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06K http://TUENGR.COM/V10A/11A06K.pdf DOI: 10.14456/ITJEMAST.2020.111

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In the second phenological phase, ten treatments are carried out that ensure normal growth, fruit development, and improvement of their qualities. And after harvesting, they help maintain the quality of fruit buds and increase winter hardiness.

At CJSC Agrofirm named after 15 years of October, the system of fertilizers for planting fruit crops in intensive cultivation technologies is aimed, first of all, at increasing soil fertility, therefore fertilizers are applied both over the entire garden area (in the row-spacing of crops) and under fruit trees. At the same time, sparingly soluble forms of phosphate fertilizers (phosphorite flour), citrate-soluble (precipitate, defluorinated phosphate, thiophosphate) are added to the pre-planting soil preparation, and water-soluble (superphosphate) - for the main fertilizer and fertilizing.

To adjust the doses and control the nutritional conditions of plants, the leaf diagnostic method is used.

At this enterprise, when cultivating fruit crops, a complex system of machines is used, which allows you to perform work in agro-technical terms, reduce labor costs and get high yields of apples.

Garden care is differentiated depending on the age and type of plantings. It includes soil care in rows and rows, crown formation and pruning, fertilizer, protective measures, garden irrigation.

The first post-landing pruning consists of choosing the main skeletal branches and giving a dominant position to the central conductor. In the year of planting, pruning is not carried out, as it weakens the trees; also, it is unclear which of the branches will be better preserved and will occupy a dominant position [8, 10].

The Agrofirm named after 15 years of October CJSC uses a promising drip irrigation method that requires 30–50% less water than with traditional methods. Drip irrigation provides the flow of water into the root zone of the plant. Therefore, when using this method, crusts do not form on the surface of the earth, that is, there are no obstacles to the respiration of the roots even during irrigation. With drip irrigation, the likelihood of the spread of diseases in the area (especially fungal and pests), as well as rotting of the fruits, is reduced, since the leaves remain dry.

The optimal harvesting dates for fruits from their physiological maturity are considered to be those in which the mass of fallen fruits is less than or less than the increase in the mass of fruits on the tree. In this case, the longest storage time of fruits is ensured with the preservation of taste and marketability.

The Agrofirm named after 15 years of October CJSC considers the most efficient in-line technology for harvesting and transporting apples from the orchard. It provides an increase in labor productivity by 1.5–2 times, increases the output of standard products by at least 1.5–2 times (by 10– 15%). The technology includes five operations: loading empty containers, transporting them to the garden, picking fruits, and transporting and unloading containers with fruits. All of them are performed in a single cycle, one after another without time gaps. The entire technological process is served by nine integrated teams (horticultural and tractor), in terms of their number of personnel they can be described as average.

Because agriculture is seasonal, the company attracts temporary workers during more intense periods of work, as a rule, during the harvest period of pome fruits and stone fruits and berries. For temporary and seasonal nonresident workers housing, food is provided. Temporary workers are paid both in kind and in cash.

Payment for the implementation of the norm for each worker is made in the amount of 750 rubles. with KTU. All employees of the company engaged in trimming, receive a surcharge for

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K.Ternovykh, N.Leonova, V.Malitskaya, M.Chirkova, A.Markova

classiness in the amount of 20% of piecework earnings. At the end of the month, a premium of 30% of piecework earnings is calculated for quality garden cutting work, including KTU, but without class.

The premium is accrued provided that the norm is not less than 80%.

For the analyzed period, the increase in the wage fund in the whole agricultural company occurred by 27%. The increase in the fund led to an increase in the average monthly wage both in the enterprise and in certain categories of workers. In 2017, the average monthly salary in the enterprise amounted to 34,229 rubles, for gardening workers 21,100 rubles, which is 36% and 25% higher than in 2013.

After analyzing the monetary component of the motivational policy of the enterprise, we believe that for a modern enterprise, the wage system is outdated and does not meet the realities of today.

The focus of the incentive system should be consistent with the tactics and strategies of managing the enterprise, its units, and personnel; incentive payments should be more closely linked to individual and collective outcomes; wage growth relative to labor productivity growth (sales performance) must be regulated by planning objectives; incentive system should be perceived by employees as understandable and fair. It should also be noted that the company needs to develop a single regulation on remuneration for all types of work.

The organizational and economic assessment of the horticulture industry at ZAO Agrofirm named after 15 years of October indicates the instability of the production of fruits and berries (Table 5). In 2017, the gross harvest of horticultural products amounted to 15041 tons, which is 1961 tons less than the level of 2016. This is due primarily to frost during the flowering period. Accordingly, the yield decreased by 1.5 times and amounted to 209.9 kg/ha.

Table 5: Key indicators of horticulture development in ZAO Agrofirm named after 15 years October" Indicators Gross tax, t including gross harvest of intensive type gardens, t Productivity c / ha including productivity of intensive type gardens, kg / ha Area of fruiting stands, ha including intensive type gardens The cost of laying perennial plantings in total, thousand rubles: including on 1 ha intensive type gardens including on 1 ha The costs of caring for perennial plantations in total, thousand rubles including on 1 ha intensive type gardens including on 1 ha Labor costs per 1 centner, thousand people - hour.

The production cost of 1 centner of products, rub.

The total cost of 1 centner of products, rub.

The selling price of 1 centner of products, rub.

Profit per 1 ha of fruiting plantations, thousand rubles Profitability level,%

2013 20851 252.4 -

2014 18688 276.6 -

Year 2015 13279 235.4 -

2016 17002 8197 311.5 283.6

2017 15041 13120 209.9 251.8

826 91 31517

676 177 70765

564 289 77570

546 289 -

717 521 126616

14.56 18855 207.20 11863

34.64 52582 297.07 20251

53.15 68937 238.54 30547

80780

76.90 122200 234.55 55536

6.01 3990 43.85 1.3 612 991 2357 138.7

12.21 9128 51.57 1.1 602 1308 2529 145

22.55 15797 54.66 1.4 1073 1545 3772 343.6

67.38 64963 224.78 1.3 1116 2249 4812 362.8

34.07 36467 69.99 1.0 1148 2110 3912 254.9

137.8

93.3

144.1

114.0

85.4

*Corresponding author (Konstantin Ternovykh) Email: solzeworot@mail.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06K http://TUENGR.COM/V10A/11A06K.pdf DOI: 10.14456/ITJEMAST.2020.111

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4. CONCLUSION Applied modern technologies for the production of apple seedlings in the enterprise nursery provide branched plantings with a laid generative sphere, the output of seedlings of the highest quality categories, guaranteeing the occurrence of commodity fruiting of apple trees in the garden for 4–5 years after planting; growing apple trees with specified parameters for laying intensive gardens of various types. In Agrofirm named after 15 years of October, in recent years they have increased the volume to 872 thousand units. pome seeds and 147 thousand pcs. shrubs, which allows increasing the garden area by 800 hectares At this enterprise, when cultivating fruit crops, a complex system of machines is used, which allows you to perform work in agro-technical terms, reduce labor costs and get high yields of apples.

The Agrofirm named after 15 years of October CJSC uses a promising drip irrigation method that requires 30–50% less water than with traditional methods. Drip irrigation provides the flow of water into the root zone of the plant. Therefore, when using this method, crusts do not form on the surface of the earth, that is, there are no obstacles to the respiration of the roots even during irrigation. With drip irrigation, the likelihood of the spread of diseases in the area (especially fungal and pests), as well as rotting of the fruits, is reduced, since the foliage remains dry.

In the Agrofirm named after 15 years of October CJSC, the most effective is the in-line technology for harvesting and transporting apples from the garden. It provides an increase in labor productivity by 1.5–2 times, increases the output of standard products by at least 1.5–2 times (by 10– 15%). The technology includes five operations: loading empty containers, transporting them to the garden, picking fruits, and transporting and unloading containers with fruits. All of them are performed in a single cycle, one after another without time gaps. The entire technological process is served by nine integrated teams (horticultural and tractor), in terms of their number of personnel they can be described as average.

Thus, the organization of horticulture production in "CJSC" Agrofirm named after 15 years of October "is characterized by high efficiency. Newly laid gardens allow you to get a high-quality crop and bring it to the consumer with minimal losses and, ultimately, get a steady profit and achieve high-performance indicators from year to year.

5. DATA AND INFORMATION AVIALABILITY Relevant information can be made available by contacting the corresponding author.

6. REFERENCES [1] Tasks of the agricultural department of the Lipetsk region for 2017. Available at: http://ush48.z4.ru/about/tasks.

[2] CJSC "Agrofirm named after 15 years of October". Available at: http://krasivaya-mecha.ru.

[3] Information on the results of the work of the agro-industrial complex of the Lipetsk region for 2016.

Available at: http: //www.admlip.ru/economy/industry/agroprom/itogi-raboty-za-2016-god.

[4] Information on the results of the work of the agro-industrial complex of the Lipetsk region for 2017.

Available at: http://www.admlip.ru/economy/industry/agroprom.

[5] Leonova N.V. (2018). Organizational and economic aspects of the development of Russian gardening. Bulletin of the Voronezh State Agricultural University. Vol. 11, № 1(56):205–213.

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K.Ternovykh, N.Leonova, V.Malitskaya, M.Chirkova, A.Markova

[6] Leonova N.V. (2019). The main directions of increasing the economic efficiency of gardening: dis. cand. econ. Sciences: 08.00.05. Voronezh.

[7] Minakov I.A. (2013). Strategy for the innovative development of horticulture of the Russian Federation: monograph. Michurinsk: Publishing house of the Michurinsky GAU. [8] The current state of the apple market in http://ikc.belapk.ru/assets/files/issledovaniya/yablok_2015.pdf.

the

world.

Available

at:

[9] Territorial authority of the Federal State Statistics Service for the Lipetsk Region. Available at: http://lipstat.gks.ru.

Professor Dr.Konstantin Ternovykh is Professor, Meritorious Scientist of the Russian Federation, and Head of the Dept. of Farm Production Management and Entrepreneurial Business in Agro-Industrial Complex. His scientific interests are Agricultural Enterprise Planning, Strategic Planning and Analysis of the Agricultural Business.

Natalia Leonova is a Docent, the Dept. of Economics in Agro-Industrial Complex. She is a Candidate of Economic Sciences. Her scientific interests are organizational and economic aspects of horticulture development, economic efficiency of agricultural production

Professor Dr.Victoria Malitskaya is Professor of the Accounting and Taxation Department. She holds Doctor of Economics. Her scientific interests are accounting, analysis and audit of financial assets, consolidated financial statements.

Dr.Maria Chirkova is an Associate Professor of the Accounting and Audit Department. She has a Doctor of Economics degree. Her scientific interests are accounting, analysis and audit in trade, accounting and analysis of bankruptcies

Alena Markova is a Docent, the Dept. of Farm Production Management and Entrepreneurial Business in Agro-Industrial Complex. She is a Candidate of Economic Sciences. Her scientific interests are organization of production and entrepreneurship in agriculture, enterprise planning, business planning

*Corresponding author (Konstantin Ternovykh) Email: solzeworot@mail.ru Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06K http://TUENGR.COM/V10A/11A06K.pdf DOI: 10.14456/ITJEMAST.2020.111

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

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PAPER ID: 11A06L

IMPACTS OF SUBSTANTIAL STRATEGIC ISSUES AND TRENDS OF FOREIGN DIRECT INVESTMENT ON INDIAN RETAIL CONSUMER SERVICE INDUSTRY: AN EMPIRICAL INVESTIGATION Asma Zaheer a

a*

Department of Marketing, Faculty of Economics and Administration, King Abdulaziz University, Jeddah.

KINGDOM OF SAUDI ARABIA.

ARTICLEINFO

Article history: Received 28 March 2019 Received in revised form 06 December 2019 Accepted 10 January 2020 Available online 24 January 2020

Keywords:

Indian personification; Retail Industry, Organized and unorganized stores sector; Income-based Purchase; Intention purchase products.

A B S T RA C T

Retail industry of India is one of the boom sectors with growth potential. However, Indian retail industry growth is comparatively slower than other parts. This study assesses the strategic issues related to the impact of foreign direct investment (FDI) on the retail industry of India and the Indian retail industry’s trend along with the foreign companies’ entry into the Indian market. Certain factors have been found crucial in the existing scenario which forces unorganized retailers to bring change in their business operations.

This study was carried out in western Uttar Pradesh of India. The data was collected through a structured questionnaire by personal interview. This study indicates that 47% of the consumer purchase/ buy from unorganized shops and 53% buy from organized shops/outlets on the other side, 38% consumer purchase from conventional stores and from neighbourhood shops while 25% buy from other sources. The analysis shows that 41% of the respondents prefer to buy from supermarkets, however, 33% of the respondents prefer to buy from chain stores. Similarly, 18% of the respondents buy groceries from unorganized shops while 14% of respondents each prefer textiles and vegetables from unorganized stores, The study shows that 18% of respondents buy durable products/ items from organized stores followed by 17% respondents who buy textiles also from organized shops. It is also concluded that 17% of consumers buy from unorganized shops due to affordable prices and/or low prices while 15% of respondents stated that they get better customer care services whom they buy from unorganized retailers.

Disciplinary: Economic and Management Sciences (Marketing). ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION The high economic growth, increase in per-capita income clubbed with an increasing number of *Corresponding Author (Asma Zaheer) Email: ameraj@kau.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06L http://TUENGR.COM/V11/11A06L.pdf DOI: 10.14456/ITJEMAST.2020.112

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consumers, brand awareness has given potential growth to retail deviation in India. Various international brands have entered the domestic market due to liberalization and globalization. The increase in consumer awareness has led consumers to experiment with different international brands.

A large number of foreign retailers and domestic corporate houses have been attracted to invest in this sector and subsequently many companies all over the world are encouraged to enter India’s retail market looking widespread India’s growing retail boom.

The Indian sector of trading is different from that of the developed. As a matter of fact, systematic retail ranges from 75-80% of total retail in contrast to developing economies where the unsystematic sector dominates the business of retail.

The Indian retail sector has witnessed intense growth over a period of time due to changing consumer demographics, credit availability, a vast improvement in infrastructure, technology advancement. Hence, foreign direct investment (FDI) can be a powerful tool to spear the Indian retail industry competition.

2. LITERATURE REVIEW Gupta (2012) stated that the quality of foreign direct investment (FDI) is the key factor that matters most rather than quantity for a country like India. The attractiveness of countries for FDI inflows is largely dependent upon the infrastructure availability of export orientation of MNC production (Sinha, 2003). Sengupta et al. (2011) mentioned that the pillar of the Indian economy is retail industry reasoning thereof employing 7 percent of the total workforce and contribution of 14 percent of national GDP. Vaidine and Alekhya (2012) opined the rapid evolution of retail in India due to the ever huge foreign investors and worldwide firms are investing in this retail sector. Kinra (2006) found that Indian consumers need foreign brands as of superior quality compared to brands of India. Basu (2012), endorsed centre’s conclusion is to permit FDI in multi-brand retail in ten states only.

Mukerjee and Patel (2005) mentioned that the crucial beneficiaries of retail thunder are consumers due to initiation by organized retailers to track and study consumer behaviour and consumer loyalty programs to retain consumers. Joseph and Soundararajan (2009) suggested that these current outlets must provide better product quality at a low price and multiple choices under one roof.

Ferndes et al. (2012) illustrate that the Indian retail industry is one of the most boom Indian economy sectors. Venkateshwarlu and Rajani (2007) highlighted the severe impact of malls on the chaotic retail shop which are especially running close by the mall area.

Chandrachud and Gajalakshmi (2013) suggest the industry of retail and India Government to make certain sufficient measures to accept challenges at the time when the global retailers are taking entry. Ankush et al. (2012), analyzed the critically stated that the Government of India decides to the unlock sector of retail for FDI in two sections. One is a single brand and the other is multiple brands that will impact on different components of the economy of India. McKinsey (2012) argues that compared to International counterparts, the retail productivity in India still very less.

This study is an attempt to assess the impact of FDI on the retail industry in India. Both, the organized and unorganised retailers are in dilemma as regards to consumer’s perception and preferences for various products. Because of the foreign players’ entries in the Indian markets, the retailing field has noticed substantial changes. Moreover, the unpredictable behaviour of consumers,

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Asma Zaheer

both organized and organized retailers are finding difficulties in framing strategies, therefore, the present study has become very important because of the various issues and concerns which require an in-depth study. The study will be useful to evaluate the shortcomings in the present market operation, problems related to the changing business environment.

3. METHOD This study collects both primary and secondary data. The primary data has been collected through direct interview method. The secondary data are taken from Indian government publications, department of planning publications as well as work of scholars to assess the complete circumstances of FDI on retail industry in India. A structured questionnaire with suitable scaling is used. A survey was carried out based on convenience sampling comprising 143 consumers/respondents in the Western UP region of India including adjoining NCR region as well (Noida and Geater Noida), with different age groups, location, income levels, educational background, and gender.

4. RESULTS Table 1 exhibits the demographic descript of the sample, with 143 questionnaire respondents.

Table 1: Description of sample Demographic data Age (Years) Less than 30 31-40 41-50 Above 50 GENDER Male Female QUALIFICATION Intermediate Graduation PG/ Professional OCCUPATION Student Employees Housewife Business/ Trade MONTHLY INCOME Less than Rs. 15000 Rs. 15000- 30000 Above 30000 LOCATION Urban Semi Urban Rural MARITAL STATUS Single Married FAMILY STRUCTURE Single Married Married with Children

Total Number

% of Respondents

32 33 55 23

23 23 38 16

51 92

36 64

27 62 54

19 43 48

29 37 28 49

20 26 19 35

49 45 49

34 32 34

65 45 33

45 32 23

56 87

39 61

45 37 61

33 25 42

*Corresponding Author (Asma Zaheer) Email: ameraj@kau.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06L http://TUENGR.COM/V11/11A06L.pdf DOI: 10.14456/ITJEMAST.2020.112

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Table 2 shows the finding on consumerâ&#x20AC;&#x2122;s shopping preference that gives more or less about the same for purchases from unorganised and organised shops.

Table 2: Source of Purchase S.NO 1 2

Purchase source Unorganised Shops Organised Shops Total

Number of Respondents 67 76 143

% 47 53 100

Table 3: Purchase Preferences in Unorganised Stores S.N. 1 2 3

Source of Purchase Conventional Stores Neighbourhood Shops Others Total

Total number 55 53 35 143

% 38 37 25 100

Based on Table 3 responses, the consumers buying from unorganized sector states that about 37-38% of respondents purchase from conventional stores and neighbourhood shops, while 25% of respondents buy from other sources.

Table 4: Purchase Preferences in the Organised Stores.

S.N. 1 2 3

Source of Purchase Super Market Chain Store Others Total

Total number 59 46 38 143

% 41 33 26 100

It is evident from Table 4 that 41% of respondents who buy from organized stores prefer supermarkets for purchase while 33% of respondents prefer chain stores, while 26% prefer to purchase from other sources including online buying etc. Table 5 clearly indicates that 18% of respondents buy groceries from unorganised retailers while 14% each prefer textiles and vegetables while 15% of respondents prefer durable goods and 13% buy almost all the products from unorganized shops.

Table 5: Product Purchased from Unorganised Retailers S.N. 1 2 3 4 5 6 7

Item purchased from Grocery Textiles Vegetables Food Items Stationary Durables All of the above Total

Total number 26 20 27 19 17 22 18 143

% 18 14 14 13 13 15 13 100

Table 6: Product Purchased from Organised Retailers S.N. 1 2 3 4 5 6 7

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Asma Zaheer

Item purchased Grocery Textiles Vegetables Food Items Stationary Durables All of the above Total

Total number 19 24 18 18 27 25 12 143

% 14 17 12 12 15 18 12 100

Table 6 clearly indicates that 18% of respondents buy durable from organised retailers while 17% of respondents purchase textiles besides 15% but stationary from organized stores and 12% of respondents purchase all of the mentioned products from the organized stores.

Table 7: Factors affecting buying from Unorganized Retailers S.N. 1 2 3 4 5 6 7 8

Reason for buying Good Quality Affordable Price Offers Customer Care Attractive Schemes Home Delivery Credit Facility Others Total

Total number 18 25 17 22 17 15 15 10 143

% 13 17 13 15 13 10 10 9 100

From Table 7, 17% of respondents are impacted to buy from unorganized stores due to affordable prices or low prices whereas 15% mentioned due to better customer care while 13% each buy due to good quality, offers and attractive schemes.

Table 8: Factors Influencing buying from Organized Retailers S.N. 1 2 3 4 5 6 7 8

Reason for Buying Good Quality Affordable Price Offers Attractive Schemes Door Delivery Self Sense/ Satisfaction Discount Credit Facility Total

Total number 29 19 18 18 19 23 17 -` 143

% 20 13 13 13 13 16 12 100

From Table 8 it is evident that 20% of respondents are of the opinion that they buy from organized retailers for good quality while 13% of respondents each buy for an affordable price, offers, door delivery and rest 12 % respondents buy for the discount they get from these stores.

Table 9: Income-based Purchase.

S.N. 1 2 3

Income (Rs.) Less than Rs.15,000 Rs.15,000-25,000 More than Rs. 25,000 Total

Organized % 32 51 60 143

Unorganized % 59 34 30 100

Table 9 clearly indicates that 59% of respondents with an income level of less than Rs. 15,000 and 32% of respondents buy from organised stores within the same income level whereas 60% of respondents with income level more than Rs. 25,000 purchase from the organized stores and the remaining 30% purchase from unorganized stores in the same income group.

Table 10: Purchase Made based on Location S.NO 1 2 3

Location Urban Semi-Urban Rural Total

Organized % 79 36 28 143

Unorganized % 42 67 34 100

*Corresponding Author (Asma Zaheer) Email: ameraj@kau.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06L http://TUENGR.COM/V11/11A06L.pdf DOI: 10.14456/ITJEMAST.2020.112

5

From Table 10, it is evident that 79% of urban respondents purchase products from organised retailers while 42% of urban respondents purchase from unorganized stores while 67% semi-urban respondents buy products from unorganized stores and 36% semi-urban respondents purchase products from organized stores. However, 28% of rural respondents purchase products from organized retailers while 34% of rural respondents buy from unorganized stores.

5. CONCLUSION Based on the analyses of data, this study understands the changes that take place in the minds of the consumers with respect to organized and unorganized retailing. Also, there are tremendous changes in the demographic system of consumers in India. They have been found as they buying different products both from the organized as well as unorganized retailers. From the major observations, the entry of big/major retail players is giving competition in the market and giving the consumers a better deal of prices and better choices of products. The external/international players need to offer products at low and affordable prices to attract buyers.

6. AVAILABILITY OF DATA AND MATERIAL All information has been included in this article.

7. REFERENCES Ali, H., Khan, A.M., Li, B., Khan, A., Muham. (2020). An Empirical Study of Sustainable Buying Behaviors of Pakistani Consumers toward Chinese Products. International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. 11(4), 11A04L: 1-12.

Chandrachud & Gaya Ladshmi (2013). The Economic Impact of Foreign Direct Investment in India,” International Journal of Humanities and social science Invention, 2(2), 47-52.

Gupta, A, (2012). Foreign Direct Investment in Indian Retail Sector: Strategic issues and implications.

ISMMR, 1(1), 55-68.

Joseph, M S.R. (2009), Retailing in India A Critical Assessment. Academic Foundation, N. Delhi.

Kinra, N. (2006). The effect of country of Origin on Foreign Brand Names in the Indian Market.

Marketing Intelligence and Planning, 24(1), 15-30.

Mukerjee, A., Patel, N. (2005). FDI in Retail Sector: India, Academic Foundation, New Delhi, 29-33.

Sengupta, D., Ray. (2011). A Comparative study on FDI in Retail: A Boon or a Bane. Indian Journal of Marketing, 41(4), 15-22.

Sinha, P.K. (2003). Shopping Orientation in the Evolving Indian Market Vikalpa. 28(2), 13-22.

Venkateshwarlu, H. and Rajani, C. V. (2007), Small v/s Mall, Indian Journal of Marketing. 37, 29-33.

Dr. Asma Zaheer is an Assistant Professor at the Department of Marketing, Faculty of Economics and Administration,-King Abdulaziz University, Jeddah-Saudi Arabia, She got a PhD degree in Marketing. Dr. Asma’s Marketing research includes Service Quality, Digital Marketing, Retailing and related topics.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

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Asma Zaheer

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PAPER ID: 11A06M

IMPACTS OF FOREIGN DIRECT INVESTMENT ON INDIAN RETAIL BAZAAR: AN EMPIRICAL STUDY Anis ur Rehman 1

1*

, Faraz Ahmad Abbasi

1

Department of Management and Information System, College of Business Administration, University of Hail, KINGDOM OF SAUDI ARABIA.

ARTICLEINFO

A B S T RA C T

Keywords: Single brand retailing; Organized retailing; Single-brand stores; Indian retail sector; Managers’ perception of FDI; FDI impacts.

For nations following the pursuit of development, foreign direct investment (FDI) is seen as the basis of sustainable development of economy, revenue, and job creation. Many nations liberalized their policies to accommodate FDI. A significant change is seen in the Indian retail sector vis-à-vis foreign direct investment with the introduction of favorable policies. This paper attempts to find the managers’ perceptions regarding numerous FDI concerns of the retail sector in India. A total of 153 managers employed in the retail industry were selected as the respondents for this study. The perception of managers on FDI in retail is analyzed using the mean score and examined using correlation and regression. The results indicate that FDI in retail will provide better prices to suppliers, create new employment opportunities and develop better infrastructural facilities. It was also found that employment and pricing benefits are significantly impacting managers’ perception vis-à-vis foreign direct investment in the retail sector of India, as compared to value chain and economic & external factors benefits.

Article history: Received 09 August 2019 Received in revised form 07 January 2020 Accepted 15 January 2020 Available online 24 January 2020

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

1. INTRODUCTION The knack to draw foreign direct investment (FDI) is crucial to economic progress, growth strategies and successful governance. Foreign direct investment by transnational corporations influxes the economy with foreign currency, creates jobs, introduces advanced technologies, develops functional and managerial skills, and improves productivity and efficiency leading to a higher level of competitiveness (Kearney, 2011).

The new generation of consumers are different as compared to their predecessors, they value their shopping experience as much as the product itself and expect the experience to be flawless at every level, be it a hypermarket, or across the corner store, an e-seller, a shopping app on their *Corresponding author (Anis ur Rehman). Tel: +966-501382300. Email: anisur.rehman11@gmail.com ©2020 International

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handheld devices, or a telephonic call with customer care executive. The new age of technology has rewritten the rules of retailing and transformed the retail industry. The benefits of modern technology have created unique opportunities in all fields ranging from customer service, supply chain, electronic transactions, and inventory management. The retailers worldwide are striving hard in pursuit of competitive advantage and are leaving no stone unturned. They are using technologies of all sorts from robotics employed by Amazon (more than 40000 robots engaged in warehouses, and different legs of supply chain and logistics), drone delivery (Amazon successfully delivered an order using a drone in England as early as in 2016), using the e-commerce and anti-fraud tools.

Amazon started testing smart shelves that inform about low inventory levels, uses Radio Frequency Identification (RFID) sensors that keep the track of products in real-time till it gets to the customer and has smart digital assistants like Alexa (of Amazon) and appliances such as refrigerators that can place orders for groceries.

In the Indian context, the retail sector became a leading sector of the economy. It was estimated to be worth US$600 billion approximately by 2015, with a Compound Annual Growth Rate (CAGR) of 7.45 percent ever since the millennium year. As per recent estimates, it is likely reaching a level to a tune of USD 1.3 Trillion as early as 2020, with a CAGR of 9.7 percent from the years 2000-20 (Vyas, 2015).

Figure 1: Estimated number of online shoppers in India (in millions).

Source: Euromonitor, IAMAI, Media Reports, 2020.

In order to make the retail sector more lucrative to global players, the Government of India (GOI) has permitted a hundred percent FDI for internet-based retailing of products via automatic route. Lately, GOI accomplished the implementation of GST (Goods and Services Tax). The intention to implement this tax is to facilitate the smooth distribution of goods Pan-India thus simplifying the retailing process for national retailers leading to reaching of benefits to the final consumer.

2. LITERATURE REVIEW The organized Indian retail sector is slated to witness a ten percent growth by 2020 (CRISIL report, 2017). CRISIL report states that a sharp rise in a number of stores is expected due to easing of rules and emerging conducive ambience for single-brand retailing.

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Anis ur Rehman, Faraz Ahmad Abbasi

Nasir (2015) highlighted higher jobs, affordable products, income growth, contract farming, and better infrastructure as advantages of FDI. He also mentioned various drawbacks of FDI like more control of foreign companies, a threat to local retailers, shutting down of small local players.

He concludes that the overall impact of FDI will be constructive and India should follow the example of China where both foreign and local retailers grow and prosper with each other.

Kumar & Bansal (2015) highlighted that farmers, consumers, cottage industries and rural people will benefit from FDI. On the other hand, FDI has a negative impact on local retailers. They concluded that local retailers can survive the competition from big foreign players by using their regional knowledge of consumer preference.

Grover & Gupta (2014) made use of regression analysis to identify the descriptive variables affecting the entry of FDI in India. They also developed the FDI model and Economic growth model to understand the effect of FDI on the growth of India. They found a positive relationship between foreign direct investments and GDP and trade GDP. They also found a negative relationship between FDI with R&D GDP and exchange rate GDP variables.

Manik & Singla (2013) tried to study the effect of FDI on Indian retail by using SWOT analysis techniques and five forces framework of Michael Porter. They suggested that new reforms by the government in foreign direct investments would lead to higher economic growth. Modern retail is a booming word but must be carefully monitored and controlled for fair usage of extended retail power.

Fulzele & Zodage (2013) studied the influence of foreign direct investment on the retail market in India. They discuss that India is a lucrative market for foreign investors because of its unique prospects. They pointed out that foreign direct investment has many benefits for the Indian economy such as more job openings, support to farmers, affordable prices to consumers, support to small and cottage industries, the influx of investment, better infrastructure, stable economy, enhanced services, the influx of advanced technology, etc.

Elahi et. al. (2013) deliberate on the impact of FDI on the Indian retail sector with a focus on various issues and challenges associated with FDI in retail. They suggest that FDI in Retail will provide better prices to suppliers especially farmers and it will create new employment opportunities.

Aggrawal et.al. (2012) have focused on the policy of the Indian government in a single brand and multi-brand retail categories. They suggest that the Indian government should consider foreign direct investment in multi-brand retail. They posit that permission to foreign players to operate in Indian markets would provide global reach to the Indian retail market.

Jain and Sukhlecha (2012) have discussed the pros and cons of government reforms on foreign direct investment. They are in favor of allowing international players in Indian retail. However, they warn that the top limit for international retailers even in single brands should not be higher than fifty-one percent, which is important in order to have tight control over the retail business.

Devajit (2012) suggested that the Indian economy needs foreign direct investment for its longterm progress through higher job opportunities, an extension of industries and new projects in various sectors.

Sharma and Sahu (2012) explored that earlier government policy required single-brand stores to use thirty percent of their goods from Indian producers. Nevertheless, the foreign marketers were *Corresponding author (Anis ur Rehman). Tel: +966-501382300. Email: anisur.rehman11@gmail.com Š2020 International

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allowed full proprietorship if they create something new in Indian retailing.

According to Dikshit (2011), around forty million of the population in India is employed by the retail sector and supply chain business in India. The majority of the retail industry in India is composed of unorganized small retail shops. According to the 2010 government data (Consolidated FDI Policy Circular 1 of 2010), big organized retail chains comprised only four percent of the total retail sector in India. This situation was partly due to government policies that did not allow foreign direct investment in multi-brand retail. At the same time, the ownership permitted to single-brand retail was also restricted to fifty-one percent and that too was given after the foreign players followed a rigorous bureaucratic procedure.

Mckinsey & Company (2007) predicted the worth of retail business in India to be four hundred and fifty billion US dollars. The study assessed the share of retail in Indian gross domestic product to be around 15% and Indian retail stood among the top-five retail markets at the global level in terms of market worth. India also stands among one of the most rapidly rising retail sector across the globe due to its fast-growing population of more than one billion potential buyers.

3. FDI IN INDIAN RETAIL SECTOR Foreign direct investment is both value-adding and supporting local markets and investments. It enables an organization to achieve enhanced access, top of the line technology and additional funds.

In addition, the organization gets exposure to the best and latest management practices from across the globe and gets an opportunity of being part of the international market structure. The farming segment productivity is expected to increase by exploiting the latest equipment and knowledge (Sailaja, 2015). The Indian government has introduced a mandatory condition of procuring 30 percent material from the domestic market to give a stimulus to Indian industries. The chances of having more jobs in rural, suburban and urban areas are better because of greater backend and frontline operations resulting due to higher FDI. Current retail establishments and merchants are also likely to improvise and improve their practices and raise their efficiencies as an outcome of this decision. Consumers & customers will get superior services and manufacturers providing raw material items will gain from higher prices for their products (Bhardwaj et. al. 2005).

The multi-billion-dollar Indian retail sector has received a booster from the governmentâ&#x20AC;&#x2122;s recent order permitting a maximum 51 percent FDI in multiband retailing & 100 percent in singlebrand retailing. The policy mandated a hundred million dollars investment, of which fifty percent has been planned in backend facilities such as cold storage, cooling plants, storages, transit, inventorying facilities, etc. Additionally, overseas retailing companies must rope in a minimum of 30 percent of resources from the small and cottage industry of India.

The Indian government increased foreign direct investment in single-brand retailing from 49 percent to 100 percent in January 2018 via automatic route. The foreign players could earlier acquire 100 percent ownership with the approval of DIPP (Department of Industrial Policy and Promotion). Currently, the foreign direct investors can be sole owners of Indian operations without the DIPP approval (Press Note 3 of 2006, DIPP, GOI).

The Indian government is considering the relaxation of regulations vis-Ă -vis the mandatory 30 percent local procurement for foreign single-brand retail investors. It is proposed that unlike the present situation, single-brand retailing companies will be able to operate online even without

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Anis ur Rehman, Faraz Ahmad Abbasi

starting a physical outlet. The government is considering the relaxation of provisions for foreign retailing companies by allowing them to adjust sourcing of goods from the Indian market for their international operations to meet the compulsory Indian sourcing condition. Indian Minister of Finance, Ms. Nirmala Sitharaman stated in her budgetary address that local sourcing rules would be relaxed for Foreign Direct Investors in single-brand retailing.

Execution of Goods and Services Tax (GST) is a consideration while discussing FDI in retailing because GST regulations affect the business landscape in India to a large extent. The logistics costs have been lowered after GST implementation, as there is a smooth movement of goods throughout different states. The clearance time for goods at borders of states has reduced drastically, resulting in an increase in the inventory velocity. It adds to competitive advantage for the multi-national companies by providing an array of functional and cost benefits.

Approximately more than USD450 billion (out of total USD500 billion of Indian retail market) is run by family-owned small enterprises. As per Deloitte's report (2016), the food and grocery segment covers a total of 60 percent of the share of the market. Many amongst the biggest name operating in India or planning to establish operations are into this category. A share of less than 10 percent held by organized retailers is set to increase to 20 percent by the year-end of 2020.

STRENGTH • Increased purchasing power • Demographics of population • Low penetration in retail • Middle-class aspirations

OPPORTUNITY • R&D and modernization capacity • Technology investments • Digital change • Focus on the customers • Dynamic nature of the regulatory framework

WEAKNESS • Political uncertainty • Regulatory conditions • The bad state of Infrastructure • Low quality of Supply management

chain

THREAT • Availability of land and real estate • Human capital

Figure 2: SWOT analysis of the Indian retail sector (Source: Compiled by author)

4. RESEARCH METHODOLOGY A questionnaire survey has been selected as a tool for gathering data in this study. The existing body of literature has been extensively used for developing the questionnaire. The research design is exploratory. The study is conducted with a sample size of 153 which includes retail industry professionals. These professionals consist of senior and middle-level managers involved in various retail outlets in Uttar Pradesh and NCR region in India. They are selected using purposive sampling.

The questionnaire consists of 10 attributes related to FDI in Indian retail which are expected to be analyzed. The Likert scale was used to collect responses regarding the listed attributes. Data was

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gathered using a personal interview. It took three months' time to collect data from June to August 2019.

The influx of foreign direct investment in the Indian retail market is presumed to bring various benefits. However, it is important to understand the significance of these benefits from the perspective of managers working in the Indian retail sector. A conceptual framework (shown in Figure 3) has been developed to verify the following hypotheses that have been developed for this study: H01: Employment benefits will determine the managers’ perception of FDI in Indian retail.

H02: Supply chain benefits will determine the managers’ perception of FDI in Indian retail.

H03: Pricing benefits will determine the managers’ perception of FDI in Indian retail.

H04: Economic and external factors benefits will determine the managers’ perception of FDI in Indian retail.

The data analysis has been carried out using descriptive statistics (mean), correlation and regression analysis.

Employment Benefits

Supply Chain Benefits

H01

H02 Managers’ H03

Prices Benefits

Perception of FDI

H04

Economic & External Factors Benefits

Figure 3: Conceptual model of various FDI benefits and managers’ perceptions.

5. DATA ANALYSIS Tables 1 to 6 present the analysis of data gathered from managers. Tables 1 and 2 show the age

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Anis ur Rehman, Faraz Ahmad Abbasi

and educational profile of respondents. Table 1 shows that 38.6% of the respondents are in the age group 31-40 and 36.6% of the respondents are in the age group 41-50. Table 2, 67.3 % of the respondents are post-graduate.

Table 1: Age group Age group 20-30 31-40 41-50 51-60

No. of respondents 17 59 55 22

Table 2: Education profile Age group Undergraduate Post-graduate Ph.D.

No. of respondents 42 103 8

Table 3 shows the mean of managers’ responses and rank of each statement. The rank is decided on the basis of higher mean values. Higher rank means managers strongly agree with the respective statement.

Table 3: Managers’ Perception of FDI in Indian retail Item 1 2 3

4

5

6

7 8

9 10

People’s Perception on FDI in Retail SA A NAND Employment benefits Better and more employment opportunities will 84 33 19 be created by FDI in retail The educated youth of the country will have 65 46 18 jobs as a result of FDI in retail.

FDI in Retail will result in new short-term 22 18 30 courses in retail at the college level.

Supply Chain benefits Better control of intermediaries who dominate 76 41 16 the supply chain will be helped by the FDI in retail The present Public procurement and Public 53 39 23 Distribution System (PDS) will improve with the help of FDI in retail FDI in retail will assist in developing better 77 39 17 Infrastructure facilities particularly logistics.

Pricing benefits FDI in retail will make the products’ prices 21 30 22 more competitive.

Suppliers especially farmers will get better 87 32 14 prices as a result of FDI in retail Economic and external factors benefits There will be an upward push to the GDP 41 43 27 because of FDI in retail FDI in retail will provide better technical 31 32 28 knowledge and international exposure.

D

SD

Mean

Rank

8

9

4.14

2

14

10

3.93

5

31

52

2.52

10

16

4

4.10

3

22

16

3.59

6

12

8

4.08

4

34

46

2.65

9

13

7

4.17

1

26

16

3.48

7

27

35

2.98

8

In Table 3, out of three statements on employment benefits, the mean score of Item 1 is above 4 on the Likert five-point scale. Therefore, most of the respondents strongly agree that FDI in retail will create better and more employment opportunities. The mean score of the other statement in Item 2 is 3.93, which shows a high level of agreement that educated youth of the country will have jobs as a *Corresponding author (Anis ur Rehman). Tel: +966-501382300. Email: anisur.rehman11@gmail.com ©2020 International

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result of FDI in retail. The last statement on employment benefits has a low mean score of around 2.5 (Item 3) which implies that respondents disagree that FDI in Retail will result in new short-term courses in retail at the college level.

Out of three statements on supply chain benefits, the mean score of Items 4 and 6 is higher than which implies that most of the respondents strongly agree that FDI in retail will enable better control of intermediaries who dominate the supply chain, and will assist in developing better Infrastructure facilities particularly logistics. The mean score of Item 5 is 3.59, which shows a high level of agreement that presents Public procurement and Public Distribution System (PDS) will improve with the help of FDI in retail.

The mean score of Item 8 in pricing benefits is above 4 which suggests most of the respondents strongly agree that suppliers especially farmers will get better prices as a result of FDI in retail. The mean score of Item 7 is 2.65, which shows disagreement over the statement that FDI in retail will make the products’ prices more competitive.

The mean score of Item 9 in economic and external factors benefits is 3.48 which suggests a high number of respondents agree that there will be an upward push to the GDP because of FDI in retail. The mean score of Item 10 is 2.98, which shows mixed responses over the statement that FDI in retail will provide better technical knowledge and international exposure.

To sum up, managers show a favorable response towards FDI in the Indian retail sector and believe that FDI will bring many benefits to the retail sector and other areas of the Indian economy.

5.1 HYPOTHESES TESTS As shown in Table 4 below, the value of the correlation coefficient, R= 0.548 which implies that a reasonable positive correlation exists between different factors and managers’ opinions of FDI. However, there is 30.1% (R-square values of 0.301) variation in managers’ perception of FDI caused because of factors like employment, supply chain, pricing, and economic and external factors.

Table 4. Relationship between various factors and managers’ perception of FDI. Model 1

R .548

R square .301

Model Summary Adjusted R square .281

Std. error of the Estimate .913

In Table 5, we have conducted multiple regression analyses to study the connection among various factors and managers’ perceptions of FDI. Four factors have been suggested, and results are recorded in table 5. We see from F value (f = 16.496) that it is significant at 1 % level (sig. f < 0.01) with 4 and 195 degrees of freedom. This confirms the fitness for the model.

As shown in Table 4 above, the adjusted R2 is 0.281. This implies that the four factors can significantly account for a 28.1% variance in the managers’ perception of FDI. Table 5: Confirm the model fitness (Analysis of variance).

Model Regression Residual Total

8

Sum of Squares 68.804 161.820 230.610

Anis ur Rehman, Faraz Ahmad Abbasi

ANOVA Df Mean Square 4 13.762 195 .834 199

F 16.496

Sig. <0.001

The hypotheses were tested using linear regression with operationalized variables determined by considering the mean of the variables measured within each construct. The regression results for the hypotheses are shown in Table 6.

Table 6. Hypotheses test results from Regression analysis Parameters Regression Constant Employment benefits Supply chain benefits Pricing benefits Economic and external factors benefits

SE 0.437 0.124 0.108 0.087 0.093

Std. β 0.276 0.056 0.264 0.094

T -0.273 3.754 0.684 3.564 1.358

Sig. 0.748 < 0.001 0.514 < 0.001 0.181

In Table 6, the hypothesis fits the data. It is also found that out of four parameters, only two have a significant impact on managers’ perception of FDI in Indian retail.

The first parameter that is significant is employment (std. β = 0.276, t-value = 3.754, p < .001).

Thus, we find that hypothesis H01 is supported. This implies that employment has a significant impact on the managers’ opinion of FDI in Indian retail.

The second parameter is supply chain which is insignificant (std. β = 0.056, t-value = .684, p > .001). Thus, we find that hypothesis H02 is rejected. This implies that the supply chain has an insignificant impact on the managers’ perception of FDI in Indian retail.

The third parameter is pricing which is significant (std. β = 0.264, t-value=3.564,p <.001).

Therefore, only hypothesis H03 is supported.

The fourth parameter is economic and external factors which is insignificant (std. β = 0.094, tvalue = 1.358, p > .001). Thus, we find that hypothesis H04 is rejected. This implies that economic and external factors have an insignificant impact on the managers’ perception of FDI in Indian retail.

6. CONCLUSION The permission by the Indian government to allow 100 percent Foreign Direct Investment via automatic route for single-brand retail trading contains an intrinsic value for the foreign retailing brands as well as the Indian customers – the foreign corporations are able to exploit the huge Indian market and the customers' benefits from superior quality products. The government's proactive approach has been appreciated by global retailers. Those who fear the adverse effects of FDI in the Indian retailing sector should look at the examples of Thailand and China. Those who are against the giant retailers should remember that India is an enormous market enough for both the foreign and the local businesses to co-exist. At the time when companies like McDs, KFC and other similar companies came to the Indian market; the opponents claimed that businesses of local Indian restaurants and small vendors will be finished. However, nothing of this sort was seen and all businesses have prospered. Even now, the local vendors remain the preferred food joints of Indians. Therefore, the giant retail stores should not be seen as a threat. The findings also suggest a favorable response of managers towards FDI in Indian retailing. It has been discovered that employment and pricing benefit significantly impact managers’ perception of Foreign Direct Investments in the retail sector of India. *Corresponding author (Anis ur Rehman). Tel: +966-501382300. Email: anisur.rehman11@gmail.com ©2020 International

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Foreign retailers are likely to bring in high proficiency in the manufacturing and sales process.

Their entrance will also emphasize the requirement for connecting remote villages with cities through a better infrastructural network. Better inventory management and transport arrangements are expected in order to accommodate new foreign retailers. The connectivity between manufacturers, farmers and the organized retail chains is also expected to improve through new and innovative logistics and supply chain companies. This, in turn, will yield higher returns to manufacturers and farmers for their supplies. The Indian retail sector needs substantial capital, innovative technology, and best practices to reach its full potential, which is possible through FDI. Although the Indian government has made favorable policies for FDI, it remains to be seen whether the foreign retailers consider India as a favorable FDI destination to set up their businesses.

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

8. REFERENCES Aggrawal, S., Singh, A., Aggrawal, R. (2012). ‘Foreign direct investment in India’, International Journal of Computational Engineering & Management, 15(5), 93-105.

Kearney, A.T. (2011). Retail Global Expansion: A Portfolio of Opportunities. Global Retail Development Index, A.T. Kearney.

Bhardwaj, V.T., Swaroop, G.M., & Vittal, I. (2005) Winning the Indian consumer, The McKinsey Quarterly, Special Edition, 43–51.

Consolidated FDI Policy Circular 1 of 2010 [online]. Department of Industrial Policy & Promotion, Ministry of Commerce & Industry Government of India. http://dipp.nic.in/English/Publications/Manuals/fdi_circular_1_2010.pdf Devajit, M. (2012). ‘Impact of foreign direct investment on Indian economy’, Research Journal of Management Sciences, 1(2), 29-31.

Dikshit A. (2011). 'The Uneasy Compromise - Indian Retail’, The Wall Street Journal.

Elahi, Y. A., Rehman, A., Misra, A. (2013). An Empirical Study of Businessmen's perception of various issues and challenges associated with FDI in Indian retail sector. GBAMS: VIDUSHI, 5(2), 59-70.

Fulzele, H. V., Zodage, B.V. (2013). Growth and Necessities of FDI in Retailing in India, Research Front. 1(1), 33-38.

Grover, G., Gupta, N.K. (2014). An Empirical Study on the Flows of FDI in India: with Special Reference to Retail Sector. International Journal of Management Research and Trends.

5(2).

Jain, M., Sukhlecha, M. L. (2012). 'FDI In Multi-Brand Retail: Is It The Need Of The Hour', Zenith International Journal of Multidisciplinary Research. 2(6).

Kumar, P., Bansal, S. (2015). SWOT Analysis: What does FDI hold for the Indian Retail Sector in 21th century? International Journal of Research in Management, Economics &Commerce, 5(1).

Manik, P., Singla, R. (2013) ‘Qualitative Analysis of FDI in Indian Retail Industry’, International

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Journal of Computational Engineering & Management. 16(2).

Nasir, S. (2015). FDI in India’s Retail Sector: Opportunities and Challenges. Middle-East Journal of Scientific Research. 23(3).

Press Note 3 of 2006, Department of Industrial Policy & Promotion, Ministry of Commerce & Industry, Government of India. http://dipp.nic.in/English/policy/changes/pn3_2006.pdf Sailaja, K. (2015) Foreign Direct Investment Policy in Retail Sector', International Journal of Research and Development A Management Review. 4(3).

Sharma A., Sahu P. (2012). India Lifts Some Limits on Foreign Retailers. The Wall Street Journal.

Vyas, A.V. (2015). An Analytical Study of FDI in India, 2000-2015. International Journal of Scientific and Research Publications. 5(10).

Dr. Anis ur Rehman is an Assistant Professor of Business Management at University of Hail, Kingdom of Saudi Arabia. He has more than twelve years’ experience of teaching Business Management at postgraduate and undergraduate levels. His research interest includes Marketing Management, Consumer Behavior, Public-Private Partnerships and Entrepreneurship. His Google scholar link is http://scholar.google.com/citations?user=EHG_cbsAAAAJ&hl=en Faraz Ahmad Abbasi is a Lecturer at Department of Management and Information System, College of Business Administration, University of Hail, Hail, Kingdom of Saudi Arabia. His area of interest is Business Communication and Operations Management.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

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PAPER ID: 11A06N

ALGORITHMIZATION FOR PROCESSES OF REGIONAL DIFFERENTIATION AND CONCENTRATION OF INVESTMENTS IN RUSSIAN AGRICULTURE Tatiana Vorozheykina a*, Vadim Demichev b, Vesta Maslakova b, Marina Leshcheva c Department of Production Organization, Russian State Agrarian University - Moscow Timiryazev Agricultural Academy, RUSSIA. b Department of Statistics and Econometrics, Russian State Agrarian University - Moscow Timiryazev Agricultural Academy, RUSSIA. c Department of Economic Analysis and Audit, Stavropol State Agrarian University, RUSSIA. a

ARTICLEINFO

Article history: Received 15 July 2019 Received in revised form 26 December 2019 Accepted 14 January 2020 Available online 24 January 2020

Keywords:

Algorithmization; Agricultural investment; Differentiation; Credit resources; State subsidies; Statistical groups; Lorentz curve.

A B S T RA C T

This work presents the results of the development of an algorithm for assessing regional differentiation and concentration of investments in Russian agriculture. The stages and methods of researching these processes are formulated. The analysis of the dynamics of investments in agriculture and the forecast of the dynamics of the regional concentration of investments and production are presented. The study is done at the macro level. The selection of units by the type of study population was carried out using statistical groups. The degree of regional differentiation and concentration of investment and production was determined on the basis of the calculation of the Herfindahl-Hirschman coefficient and the Gini coefficient.

Recommendations were made on adjusting the investment process, taking into account the implementation of state programs to improve the efficiency of investments in agriculture.

Disciplinary: Agricultural Economics and Investments. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION In modern conditions of economic development, investment is the key factor stimulating production growth, increasing its economic efficiency. Investments are one of the main tools for the implementation and distribution of financial resources. Investments in agriculture allow conducting effectively expanded reproduction using new technologies, means of production, innovative solutions. That results in increased competitiveness of both individual economic entities and the country's economy as a whole. The period of implementation of state programs is the period begins in 2006.

From 2006 to 2017, investments in Russian agriculture increased by 68.5%. It allows increasing *Corresponding author (T.Vorozheykina). Tel: +7-495-765-7823. Email: Vorozheykina@gmail.com

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volumes of agricultural production by 18.6% under the study period. This period is connected with the implementation of the “State program of development of agriculture and regulation of markets of agricultural products, raw materials and food for 2008-2012” and for the period from 2013 to 2020 [17]. Let’s examine some results of these programs.

During the period under review, 1,852 new facilities were constructed, 948 of them are dairy farms, 497 beef cattle farms, 282 pig farms and 125 poultry farms. During the period of state programs implementation 1,562 farms were reconstructed, 1028 of them were dairy farms (Table 1).

However, with the growth of new premises, the number of reconstructed objects in dairy cattle compared to 2009 decreased by 60.2%.

Investors prefer new construction, as it makes it possible to build an object using modern technologies, and the renewal of existing facilities can cost more than new construction [15].

It is also worth saying that, despite the additional production of 1535.5 thousand tons of milk for the analyzed period, the indicator of food security Doctrine for dairy cattle breeding has not been fulfilled by this moment. With the required volume of milk production in the total resource 90% at the end of 2017, it was produced 82.4% in the country [12].

Otherwise, the situation in beef cattle breeding differs a lot. For the first time in 2015, the actual indicator "share of meat and meat products in total resources" (87.4%) exceeded the indicator of Doctrine of food security (85%). At the end of 2017, the indicator amounted to 90.4%. It should be noted that the increase in the production of cattle meat is unstable. The increase in production volumes in 2015 in contrast with last year amounts to 5.6 times, which is explained by the implementation of the Miratorg agricultural project for the construction of a slaughterhouse and processing of cattle. The increase in agriculture also resulted in changes in the qualitative composition of cattle herds: it is marked the growth of specialized beef and crossbred cattle in the total structure of cattle, which share in 2008 amounted to 2% and in 2015 and 15.7% [12].

A significant increase in production volumes for the analyzed period in the amount of 100% is observed in poultry. This growth is achieved by a comprehensive modernization of the industry. In just 9 years, 1635 thousand tons of poultry meat were produced at new and reconstructed facilities.

Additional production of pork meat for the analyzed period amounted to 730,2 thousand tons.

About 4% of all pork products are produced at new and reconstructed facilities. However, the economic sanctions imposed by the EU countries, the devaluation of the national currency led to a cost increase of 15-17% [12].

It should be concluded that the high capital intensity of projects in the field of dairy and beef cattle, as well as long-term payback, make them less attractive to investors. Taking into account the fact that these areas are a priority for the country's economy, the indicators of the Doctrine of food security are not fulfilled by dairy cattle. The cattle population has decreased by 15.2% in eleven years since 2006, including dairy herd that has decreased by 15.0% [6]. It should also be noted that, despite the positive dynamics, the share of specialized beef cattle in the total cattle population remains at a low level to meet the demand for beef. According to the experience of developed countries, the share of specialized livestock should be 40-85% [3], while in Russia this figure is about 16%.

These changes in the volume of investment and production of agricultural products have a number of features that reveal the significant problems of the modern economy of agriculture in Russia.

Investment is a process of allocation money associated with a certain level of risk in the

2

Tatiana Vorozheykina, Vadim Demichev, Vesta Maslakova, Marina Leshcheva

expectation of some benefit in the future. This paper is related to a large literature on investment.

Investment as a subject of study is researched by Favara and Morellec (2017), Frank and Shen (2015), Guadalupe et al. (2012), Hsu et al. (2014), Edmans et al. (2015), Bebchuk et al. (2017). Favara and Morellec (2017) characterize investments as capital expenditures in the year. An alternative measure of investment is asset growth, which is a growth in total assets for a period of time.

Risk is the potential for uncontrolled loss of value. Investment risk is caused by a lack of an effective price regulation system, the high dependence of natural and climatic conditions, low rates of modernization, poorly developed infrastructure, financial instability and a shortage of qualified personnel. According to Frank and Shen (2015) in the asset pricing literature, tracing out the impact of risk on returns is often the key issue. Taking into account a certain level of risk investor place financial resources in order to obtain a benefit, which ought to be not an only financial one.

Guadalupe (2012) show that direct investment has a positive impact on innovation in local firms through technology and know-how transfer. Hsu et al. (2014) find that equity market development positively affects innovation. Direct investments also lead to infrastructure development, contribute to logistics and transportation.

A number of papers focus on the same methods of study the author applies during the research, among them: regional differentiation and concentration, statistical grouping, coefficient calculation method and charting.

The concentration of institutional ownership of the twenty largest US corporations which shows a result of the rise of institutional investors is analyzed by Bebchuk et al. (2017). Statistical grouping is widely applied by Favara et al. (2017), for instance, authors analyze the correlation between default probability and debt enforcement grouping firm characteristics. The coefficient calculation method is used by Frank and Shen (2015), while the authors study how the weighted average cost of capital (WACC) affects corporate investment. Edmans et al. (2016) compute coefficients of return on assets ratio, the value of debt divided by total assets, change in the ratio of cost of goods to sales and change in the ratio of operating expenses to sales in order to study the link between real investment decisions and short-term price concerns.

Charting is one of the most widely applied methods. Lin (2013), Tang et al. (2014), Carlson et al.

(2006) present obtained results by means of charting.

2. METHOD Regional differentiation and concentration of investment are the most important characteristics of the sustainable reproduction of the Russian agricultural economy. This is due to the natural and climatic and territorial diversity of the country. The study includes several methods (Table 1), the consistent use of which allows us to achieve the goals. We use the method of constructing an interval series of distribution in order to group regions in terms of the proportion of investments in agriculture in the total volume of investments. Groups were allocated by allocating intervals, which included regions with a low, medium and high level of the indicator. The same method was used to group regions by the share of investments in Russian agriculture. For each selected group, a system of indicators was calculated, revealing the features of regional differentiation and concentration of investments. The main indicators used are the various indicators, including the coefficient of variation, concentration indices, including the Herfindahl-Hirschman coefficient, determined by the *Corresponding author (T.Vorozheykina). Tel: +7-495-765-7823. Email: Vorozheykina@gmail.com

Š2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06N http://TUENGR.COM/V11/11A06N.pdf DOI: 10.14456/ITJEMAST.2020.114

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formula (1), the Gini coefficient calculated by the Bernoulli formula (2).

HHI = ∑ S n2 where

S n2

(1),

– expressed (%) share of the characteristic in n groups.

G= |1 − ∑ k = 2 ( xk − xk −1 )( yk + yk −1 ) | n

(2),

where xk; xk-1; yk; yk-1 - the share of the region and the studied trait in n groups.

In order to study the influence of subsidies and credit resources on the change in agricultural production resources, the method of factor grouping was used during the implementation of state programs.

Then, we analyze the features of investing in small, medium and large agricultural organizations.

The Russian agribusiness tends to enlarge the size of organizations. According to the Russian agricultural census 2006 and 2016 years, in 2006, one agricultural organization accounted for an average of 2.2 thousand hectares, and in 2016 it was 2.5 thousand hectares, the average number of cattle was 587 and 785, respectively (see more source 20). Thus, it is advisable to consider investment processes in organizations of different types.

Table 1: Stages and methods for studying regional differentiation and concentration of investments in agriculture in Russia Stage 1.

2.

3.

4.

Method Analysis of dynamics (in this case investment in agriculture) The statistical grouping of regions The calculation of the Gini coefficient.

The construction of the Lorenz curve The calculation of the Herfindahl-Hirschman coefficient

5.

The factor group of regions

6.

Analysis of dynamics indicators (in this case, the system of investment indicators in organizations of different types)

Expected result Assessment of the overall situation and identification of key investment trends Determining the distribution of regions by share of investment in agriculture Assessment of the degree of regional differentiation in terms of investment and agricultural production Measurement of the degree of regional concentration of investments and production Study of the impact of subsidies and credit resources as indicators related to investment on the change in the resource potential of agriculture in the regions Identification of differences in the dynamics of indicators of investment in agricultural organizations of different types

It should be noted that the process of investing in Russian agriculture has some more features that can be continued as the next stages of the study. These features include the regional differentiation of the efficiency of the state subsidies use, the effectiveness of the subsidies distribution in the sectors of agriculture, as well as the effectiveness of investments in large, medium and small agricultural organizations.

3. RESULT AND DISCUSSION In this article, we examine the results of the study of the concentration and distribution of investment in agriculture in Russia. As initial data, information was used on the volume of investment in agriculture in Russia and the volume of production of agricultural products by regions of the

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Tatiana Vorozheykina, Vadim Demichev, Vesta Maslakova, Marina Leshcheva

Russian Federation. At the first stage of the study, an interval variation of subjects was constructed according to the indicator "the share of investments in agriculture in the total volume of investments", which combined nine interval groups, which were later combined into three groups: lower, average and higher (Table 2).In the constructed typical grouping, the smallest share of investments is concentrated in the lower group (2.5%), whose representatives are the regions of the Dalnevostochny and the North Caucasus federal districts. Regions - leaders in terms of investment are Rostov, Bryansk, Voronezh and Krasnodar regions.

Table 2: Grouping of regions by the share of investments in agriculture in the total volume of investments in 2017, % Groups of regions

1 (lower) 2 (average) 3 (higher)

Grouping of regions by the share of investments in agriculture in the total volume of investments < 0.40 0.40 1.60 1.60 > Total

The number of regions, units

The share of regions

The share of investments of the regions by group

Share of production of the regions by group

25 32 21 80

32.1 41.0 26.9 100.0

3.9 31.2 64.9 78.0

12.2 34.0 53.8 100.0

At the same time, based on the use of the interval variation series described earlier, the Lorenz curve presented in Figure 1 was constructed and the Gini coefficient was calculated by Formula (2) in terms of the share of investment in agriculture and the share of agricultural production. Thus, the differentiation of investments in the form of the degree of deviation of the actual distribution of investments from the absolutely equal distribution of their distribution is 46.4%, while in terms of production the degree of inequality of distribution is 32.8%.

Figure 1: The Lorentz curve.

In order to assess the concentration and nature of the distribution of investment on a territorial *Corresponding author (T.Vorozheykina). Tel: +7-495-765-7823. Email: Vorozheykina@gmail.com

Š2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06N http://TUENGR.COM/V11/11A06N.pdf DOI: 10.14456/ITJEMAST.2020.114

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basis, the regions were grouped by federal districts of Russia. Grouping of regions was carried out according to data for 2017 (Table 3).

Table 3: Grouping of regions by the share of investments in agriculture in Russia Federal district

Number of regions

ะกentral The North-West Southern The North Caucasus Privolzhsky Ural Siberian Dalnevostochny Total

18 8 6 7 14 7 11 8 79

The share of regions in total number, % 22.8 10.1 7.6 8.9 17.7 8.9 13.9 10.1 100.0

The share of investment in agriculture, % 39.8 6.7 11.4 5.6 16.7 5.5 8.3 6.0 100.0

The share in the production of agricultural products, % 26.1 3.9 16.8 8.7 23.8 6.5 11.1 3.1 100.0

The coefficient of variation (investment)

The coefficient of variation (production)

88.2 60.5 118.0 140.0 73.5 65.8 83.3 124.6 108.2

82.7 102.2 92.0 98.2 65.0 38.3 74.2 90.5 100.0

The distribution of Federal districts is not uniform. It should be noted that the coefficient of variation on Federal districts indicates heterogeneity of groups of regions on the presented indicators.

Table 4: The Herfindahl-Hirschman coefficient on the Federal districts Federal district ะกentral The North-West Southern The North Caucasus Privolzhsky Ural Siberian Dalnevostochny Total

The investment

Number of regions

The Herfindahl-Hirschman coefficient (investment)

The Herfindahl-Hirschman coefficient (production)

18 8 6 7 14 7 11 8 79

1587.0 45.2 129.7 31.3 277.7 30.6 68.4 36.0 2205.8

679.0 15.0 283.2 76.5 567.3 41.8 122.9 9.8 1795.5

market in Russia

is highly

concentrated, as

indicated

by the

Herfindahl-Hirschman coefficient (2,205.8 at a threshold of 1,800). The greatest concentration of investments is achieved in the Central Federal and the Privolzhsky districts, in such regions as Belgorod, Bryansk, Voronezh, against the background of lack of investments in the North-West, theNorth Caucasus, Ural, and Dalnevostochny Federal districts (Table 4).

The concentration of investments in some regions exceeds the production of agricultural products, as can be seen from the chart of the Lorenz curve (Figure 1), where the differences in the distribution of investments in agriculture are higher than in production. The situation under consideration indicates a lack of investment in certain regions if they have a productive capacity.

Differences in the distribution of agricultural production are lower than differences in investment by 13.6%, as indicated by the Gini coefficient.

It is also worth noting that for the period of 11 years, since 2006, when the national project for the

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Tatiana Vorozheykina, Vadim Demichev, Vesta Maslakova, Marina Leshcheva

development of agriculture enters into force, the concentration of the investment market has decreased, as evidenced by the dynamics of the Herfindahl â&#x20AC;&#x201C; Hirschman coefficient (Figure 2).

Figure 2: Concentration of agricultural investments in the Russian economy.

The totality of regions in terms of investment in fixed assets is very heterogeneous, on average the investment volume of an individual entity deviates by 120% from the average level in Russia. For the period from 2006 to 2017, the differences decreased by 18%. However, the problem of regional differentiation is still relevant [16].

Government investment is to a large extent expressed by subsidizing part of the interest rate on loans that enterprises take for current needs or the development of production. That is, investment is closely related to the volume of subsidies and loans to agricultural producers. Regional heterogeneity of investments also affects the differentiation of subsidies and credit resources used in agriculture in the regions. As a result, the degree of reproduction varies considerably from region to region.

Table 5: Impact of the share of agricultural enterprises receiving subsidies and credit resources Groups of regions by the share of agricultural enterprises receiving subsidies in 2015, % I. from 4.8 to 21.0 II. from 21.1 to 37.3 III. from 37.4 to 53.6 On average

Subgroups of regions on the share of agricultural enterprises receiving credit resources in 2015, % 1.from 0.0 to 7.9 2. from 8.0 to 23.5 -24.3 -20.5 -23.5 -12.0 12.3 -13.4 -18.4 -13.5

On average -23.5 -15.2 -13.0 -15.0

On average, the total number of regions, the area of agricultural land decreased by 15.0% (Table 5). A comparison of the average growth rate of the indicator shows that the degree of decrease in the area of agricultural land in 2016 compared to 2006 is naturally reduced. That is, the increase in the share of those who use subsidies and credit resources leads to a slowdown in the reduction of agricultural land. It is especially worth noting that with a high level of subsidies and a low level of loans to agricultural enterprises, the resource potential can be increased. That is, with the share of enterprises receiving subsidies in the range from 37.4% to 53.6% and the share of enterprises using credit resources, the area of agricultural land has not decreased, but on the contrary, it has increased *Corresponding author (T.Vorozheykina). Tel: +7-495-765-7823. Email: Vorozheykina@gmail.com

Š2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06N http://TUENGR.COM/V11/11A06N.pdf DOI: 10.14456/ITJEMAST.2020.114

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by 12.3%. The increase in state support, it is more even distribution across regions, will contribute to the reduction of negative trends in the reduction of the resource potential of agriculture. Investment processes in large and small enterprises also vary significantly. Consider the results of the analysis of investing in large and small organizations.

Table 6: Agriculture fixed capital investments of large and medium-sized enterprises Indicators Fixed agricultural capital investments in total, bn. rub.

The growth rate of investments in fixed assets, total, % Investments in fixed assets of large and medium-sized enterprises, bn. rub.

The growth rate of investments in fixed assets of large and medium-sized enterprises, % Federal budget capital investments, bn. rub.

The growth rate of federal budget capital investments, % Profitability of agricultural production, %

2011

2012

2013

2014

2015

2016

2017

2017/ 2016, %

446.9

476.4

516.6

510.3

505.8

611.2

545.4

89.2

134.8

101.0

103.9

94.7

88.1

112.3

89.2

-23.1

346.2

376.5

425.0

414.0

408.8

490.1

412.5

84.2

-

108.8

112.9

97.4

98.7

119.9

84.2

-35.7

4.9

5.0

6.6

7.0

9.4

11.3

9.5

84.2

-

102.0

132.0

106.1

134.0

120.0

84.2

-35.8

9.9

12.0

5.8

18.6

19.0

16.8

17.0

0.2

The volume of investments sent to large enterprises in 2017 is 3 times higher than the index for small business entities (see Tables 6 and 7). Large enterprises for the period from 2011 to 2013, in contrast to small companies demonstrate a positive dynamics of investment growth. In 2013, the increase was 12.7%, which is 6.4% higher than the inflation of the corresponding year. The slowdown in investment growth in 2014 is due to the embargo imposed by EU countries in 2014 on the import of agricultural products. However, the annual growth rate of large enterprises shows positive dynamics.

Investments in fixed assets of small enterprises are growing during the period from 2014 to 2017. In 2016, 2017, the rate of growth in investment in the fixed assets of small enterprises exceeds a similar indicator of large enterprises.

Table 7: Agriculture fixed capital investments ofsmall enterprises Indicators Investments in fixed assets of small enterprises, bn. rub.

The growth rate of investments in fixed assets of small enterprises, % The inflation rate, % Profitability of agricultural production, %

2011

2012

2013

2014

2015

2016

2017

2017/ 2016, %

100.7

99.9

91.6

96.3

97.0

121.1

132.9

109.7

90.0

99.0

92.0

105.0

101.0

125.0

109.7

-15.1

106.1

106.6

106.5

111.4

112.9

105.4

102.5

-2.9

9.3

10.6

6.7

11.4

18.1

15.6

16

0.4

Investments of capital under existing conditions are economically justified mainly in large organizations, they generate profits from the capitalization of investments. The profitability of agricultural production in the large organizations exceeds the index of small business entities on average by 1.5%. For small enterprises, it is necessary to conduct a special state policy that allows forming the mechanism of investment development.

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Tatiana Vorozheykina, Vadim Demichev, Vesta Maslakova, Marina Leshcheva

Figure 3: The dynamics of fixed assets investments of large, medium-sized and small enterprises The total amount of investments in agriculture is increasing (Figure 3). Agriculture is becoming one of the leading industries providing economical growth. Only for the last 5 years, investments increased by 36.8%. In recent years there has been a tendency to outstrip the growth rate of investments in small organizations over the same indicator for medium and large organizations.

4. CONCLUSION There are results of increasing the production of individual agricultural products. As a result, the total investment in agriculture has also increased. However, the problems of regional differentiation of investment and production, excessive concentration of production, uneven distribution of agricultural subsidies remain unresolved. The solution to these problems will allow increasing the stability of the agriculture economy of Russia. State programs should not only aim at increasing investment in absolute terms but should also contribute to economic stability, reduce regional differentiation and preserve equal opportunities for all agricultural producers.

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

6. REFERENCES

[1] Bebchuk, L.A., Cohen, A., Hirst, S. (2017). The Agency Problems of Institutional Investors. Journal of Economic Perspectives, 31, 89; 112.

[2] Carlos, M., Fisher, A., Giammarino, R. (2006). Corporate investment and asset price dynamics.

Implications for seo event studies and long-run performance. Journal of Finance, 61, 1009-1034.

[3] Ferma.

(2018).

Development of beef cattle breeding in Russia. http://www.agro-ferma.ru/dayatelnost/ferma-krs/ferma-krs-stati/razvitie (Accessed 27.01.2018).

[4] Edmans, A., Fang, V. W., Lewellen, K. A. (2017). Equity Vesting and Investment. The Review of Financial Studies, 30, 2229-2271.

[5] Favara, G., Morellec, E., Schroth, E., Valta, P. (2017). Debt enforcement, investment, and risk-taking across countries. Journal of Financial Economics, 123 (2017), 22-41.

[6] GKS. 2018. Federal State Statistics Service. http://www.gks.ru (Accessed March 2018).

[7] Frank, M. Z., Shen, T., 2015. Investment and Weighted Average Cost of Capital. Journal of Financial Economics, 119, 300 â&#x20AC;&#x201C; 315. *Corresponding author (T.Vorozheykina). Tel: +7-495-765-7823. Email: Vorozheykina@gmail.com

Š2019 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06N http://TUENGR.COM/V11/11A06N.pdf DOI: 10.14456/ITJEMAST.2020.114

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[8] Guadalupe, M., Kuzmina, O., Thomas, C. (2012). Innovation and foreign ownership. American Economic Review, 102, 3594-3627.

[9] Hsu, P., Tian, X., Xu, Y., 2014. Financial development and innovation: cross-country evidence. Journal of Financial Economics, 112, 116-135.

[10] Liu, L., Whited, T., Zhang, L., 2019. Investment – based expected stock returns. Journal of Political Economy, 117, 1105-1139.

[11]

Lin, X., Zhang, L., 2013. The investment manifesto. Journal of Monetary Economics, 60, 351-366.

[12] National report "On the progress and results of implementation in 2013 to 2017. State program of agricultural development and regulation of agricultural products, raw materials and food for 2013-2020 years, Official website of the Ministry of Agriculture of the Russian Federation. http://www.mcx.ru/news/news/show/50734.355.htm (Accessed: 07.04.2018).

[13]

Neshetoy, A.S. 2013. Investments: textbook. 8th Ed. – Moscow, Dashkov and Co, P. 370.

[14] Petty, V., Smith, A., Ricardo, D., Keynes, J.M., Friedman M. Classics of economic thought. M, EKSMO PRESS, 2000. P. 896.

[15] AgroInvestor. 2013. Play in large scale. №1 http://www.agroinvestor.ru/ technologies/article/15008 (Accessed 20.03.2018).

[16] Polyakov, E. Reasons for the recession are internal 20.02.2018).

http://expert.ru/expert/ 2013/46 (Accessed

[17] State program for development of agriculture and regulation of agricultural products, raw materials and food for 2008-2012 and 2013 - 2020 years. Official website of the Ministry of Agriculture of Russia. http://www.mcx.ru (Accessed 06.04.2018).

[18]

Tang, Y., Wu, J. G., Zhang, L., 2014. Do anomalies existexante? Review of Finance, 18, 843 – 875.

[19] The statistical book "Russian Agribusiness in 2015".

Agriculture. www.mcx.ru.

Official site of Russia’s Ministry of

Dr.Tatiana Vorozheykina is an Associate Professor, Department of Production Organization, Russian State Agrarian University - Moscow Timiryazev Agricultural Academy. She holds a Doctor of Economics.

Vadim Demichev is an Associate Professor, Department of Statistics and Econometrics, Russian State Agrarian University-Moscow Timiryazev Agricultural Academy. He is a Candidate of Economic Sciences.

Vesta Maslakova is a Lecturer at Department of Statistics and Econometrics, Russian State Agrarian University - Moscow Timiryazev Agricultural Academy. She holds a Master’s degree

Professor Dr. Marina Leshcheva is Professor, Department of Economic Analysis and Audit, Stavropol State Agrarian University. She holds a Doctor of Economics. She is interested in Integration Processes in the Agribusiness and Agriculture.

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Tatiana Vorozheykina, Vadim Demichev, Vesta Maslakova, Marina Leshcheva

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

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

PAPER ID: 11A06O

FACTORS AFFECTING ACCEPTANCE AND THE USE OF TECHNOLOGY IN YEMENI TELECOM COMPANIES Mohammed Abdulrab 1

1*

Department of Management and Information Systems, College of Business Administration, University of Ha'il, Hail, SAUDI ARABIA.

ARTICLEINFO

Article history: Received 07 August 2019 Received in revised form 10 December 2019 Accepted 14 January 2020 Available online 24 January 2020

Keywords: Information systems’ success; Success model; Computer Usage Model; Applied information Systems (IS), telecommunications companies; Delone and Mclean Model; new model; Technology Acceptance Model.

A B S T RA C T

The factors leading to technology acceptance and use vary from country to country. For example, developing countries face many challenges that lead to the failure to apply technology, including the low level of efficiency and expertise for technology users, in addition to some technical factors, including the quality of the technology used. Although previous studies in this field examined acceptance factors and successful technology use, there is still a need for many studies in this field. This study aims to examine briefly the common individual acceptance and usage models. In addition, it identifies the factors that apply technology and affects acceptance in the Yemeni context. Data from employees in three telecommunications companies in Yemen were collected quantitatively. 300 completed questionnaires were received. Data have been analyzed using statistical programs, AMOS and SPSS. The study is expected to develop a model consistent with the Yemeni context. This survey reveals that a significant link with technology acceptance and use exists between device automaticity, user experience, system efficiency, and information quality. This study is limited to only influential factors mentioned on four common theories named Technology Acceptance Model, Computer Usage Model, Personal Computing Acceptance Model and Delone and Mclean Model. The second limitation of this study concerns the fact that the study is conducted in the capital city of Yemen, Sana'a. This study mainly contributes to developing a new model and conduct a test on it. According to the study findings, the adoption of this model will have an important part in the successful application of the new technology in Yemeni companies.

Disciplinary: Management Sciences, Information Technology. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Technology is an essential tool that affects the entire organization. The use of technology has become essential to improve the performance of any organization (Al-Mamary et al., 2015a). *Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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Organizations can identify key factors leading to technology adoption and acceptance. Identify the factors correctly, will play a beneficial part in overall effective technology adoption. In the field of using and adopting technology, various theories are adapted. One of the dominant theories is in the area of individual acceptance of technology, Theory of Reasoned Action (TRA), Innovation Diffusion Theory (IDT), DeLone and McLean IS success model, Technology Acceptance Model (TAM), Unified theory of user acceptance of technology (UTAUT), Theory of planned behavior (TPB), Technology-Organization-Environment framework (TOE), Diffusion of innovation theory (DOI), personal computing acceptance model and computer usage model. In order to study technology acceptance, IDT was one of the first hypotheses used. Furthermore, in the field of the success of the information system (IS), the most common theories are, DeLone & McLean (1992); Delone & Mclean (2003); Petter et al. (2013) have stated about the factors in the information systemsâ&#x20AC;&#x2122; success. According to the literature review in the context of Arab countries, it was found that the IS performance has many variables, except for machine efficacy and user experience, which were most discussed in previous theories. In previous common hypotheses, these variables were ignored. This study highlights four common models in the field of technology adoption namely: TAM and IS success model, personal computing model and computer usage model.

The model of technology acceptance focuses on the factors of technology for successfully adopting systems of information, ignoring the rest of the factors. Moreover, Delone and Mclean model is based primarily on or related to technology factors and human factors (Al-Mamary et al., 2019). Additionally, computer usage is another model and the modelâ&#x20AC;&#x2122;s theoretical grounding majorly comes from the theory of reasoned action (TRA), social cognitive theory (SCT), the theory of planned behavior (TPB) and technology acceptance model (TAM). The focus of this model is the human factors and support from organizations (computer anxiety, self-efficacy, experience with computers).

Furthermore, one more model is known as the personal computing experience. Its focus is on only the organizational factors (extra-organizational and intra-organizational factors). The four models are explained in the next part of the study. The models that present the relationship between these variables with acceptance and use of the technology are well-known. But, to identify the generalizability of the study model, more practical studies are needed in the contexts of geographical locations.

2. REVIEW OF LITERATURE The Technology Acceptance Model (TAM) in 1989, proposed that users should determine the time and process of using the technology on several factors: perceived utility and perceived ease of use at the time of the introduction of new technology to the users. The success Model by Delone and Mclean IS defined six variables (quality of information, usage, the satisfaction of users, system quality, impact by organizations and individual effects) that could be used to successfully implement IS in 1992. Six variables for the use of technology were established in 1995, and these are (experience with computer, support from the organization, self-efficacy, computer anxiety, obtained necessity and obtained ease of use). The personal computing acceptance model defined two key acceptance variables for the program in 1997, which (support from extra-organization and intra-organization) were suggested to influence the ease of use and the perceived usefulness of the technology. The modified model of Delone and Mclean (2003) in 2003 included the quality of service as an independent factor. Furthermore, two variables were merged with it for net advantages (impact by

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Mohammed Abdulrab

individuals and organizations).

Optional choice for Technology Acceptance Model and Delone and Mclean model are the common models in the technology adoption and the success of IS. Based on Surendran (2012), one of the most extensively known study models is the Technology Acceptance Model for predicting the acceptance and use of systems of information and technology by individual users. One of the most influential models which are extensively used to determine the acceptance of IS/IT, according to Agrawal (2013). According to Urbach et al. (2009), the D&M IS success model gained massive popularity from IS researchers, who have frequently treated the success of IS. According to Al-Mamary (2019), Delone and Mclean IS Model is an influential theory in the field of the success of IS. Optional reason for personal computing acceptance model and computer usage model is these models which are rarely discussed in previous literature.

2.1 TECHNOLOGY ACCEPTANCE MODEL The Technology Acceptance Model, created by Davis (1989), was one of the most important research models to predict the intention of people to use IS and information technology. There are two determinants in the Technology Acceptance Model, including perceived ease of use and perceived usefulness (Chen et al., 2011).

Figure 1: Technology Acceptance Model Davis (1989) described perceived usefulness as "the degree to which an individual thinks that using a specific system would improve the performance of his or her job." People tend to use or not to use an application in so far as they believe it will help them to do their job better. The perceived usefulness defines the user's belief that technology improves workplace efficiency. In the meantime, perceived ease is defined as far as a person believes that a particular system would be easy to use.

Users believe that a specified application is worthwhile, but they may feel while the technology is too hard to use and that the performance benefits of the app are superior to the effort. Perceived ease of use explains how much effort the user needs to use the program or to what degree a user feels it is easy to apply a particular technology (Davis, 1989). It was found by Legris et al. (2003) that perceived ease of use is calculated by a simple way of learning how to work for me. I can easily find what I want to do. Researchers have commonly used the Technology Acceptance Model (TAM) to obtain a better knowledge of the variables affecting technology acceptance (Al-Mamary et al., 2015a).

In summary, TAM defines two primary variables for effective technology adoption, And the accessibility and ease of use of these variables are interpreted. The layout is mainly concentrated on the technical side. Note that in certain cases the acceptance of technology requires top-ranking *Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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support in order to encourage end-users to accept or need self-efficacy or training. Consequently, the end-user is encouraged to accept technology in several areas. The knowledge gap is, therefore, the paradigm that does not exist in all the conditions that result in the use of technology effectively by the organization.

2.2 DELONE AND MCLEAN'S IS MODEL DeLone & McLean (1992) conducted a review of the studies released between 1981 and 1987 and based on this assessment generated IS success taxonomy. Six factors of IS success were recognized in their 1992 article (Petter et al., 2008) figure 1 shows these factors.

Figure 2: Delone & Mclean IS Success Model.

Quality of system is one of the most widely studied aspects of system quality IS performance. It refers mainly to how well hardware and software work together with the measures of the information processing system itself (DeLone & McLean, 1992). Although the quality of the information is the measurement of the output of the IS and is not the measurement of the quality of the operation of the system, the quality of the output of the IS, especially in the form of reports, is preferred by other IS researchers (DeLone & McLean, 1992). In addition, DeLone & McLean (1992) reported, in many IS conceptual models and research studies, device use was suggested as a positive measure. System use is the extent to which employees and customers use IS capabilities. For example quantity of use, frequency of use, nature of use, adequacy of use, the scope of use and intent (Petter et al., 2008). In the meantime, user satisfaction is considered one of the most important measures for the overall IS success investigation (Urbach et al., 2010). Petter & McLean (2009) Defined user satisfaction as IS approval and output likeability. According to DeLone & McLean (1992), the recipient's response to the use of the IS output will be user satisfaction. In addition, DeLone & McLean (1992) defined the effect of individual data on a recipient's behavior, suggesting that this is closely related to the performance of an individual. According to Cho (2007), The individual impact is whether the IS gives users a better understanding of the context of their decisions, assists them in improving their decision-making efficiency, empowers them to do their jobs, and enforces their perceptions of an IS's importance or usefulness. The impact of the IS on organizational efficiency. Many measures of the organizational impact include reductions in staff, overall gains in productivity, higher sales revenues, increased profits, an increase in work volume, quality of products and the contribution towards achieving objectives, etc. (DeLone & McLean, 1992). Furthermore, the accumulation of the end results of all the activities and work processes of the organization is known as organizational

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Mohammed Abdulrab

performance (Robbins & Coulter, 2002).

2.3 COMPUTER USAGE MODEL According to Igbaria & Iivari (1995), Seven computer experiments were evaluated to ask the respondents to indicate their experience in the use of applied systems, different types of computer software packages (e.g. spreadsheet, word processing), languages (third and fourth generation), financial modeling and the participation in non-technical analysis and technological computer design (feasibility studies and computer requirements analysis). The overview of these observations was the overall machine experience. In addition, the organizational support measures included general support including administrative support and resource allocation. In addition, Management is really keen to see that whether we are happy by using the microcomputers"; "Management has provided most of the necessary help to get us used to the microcomputer quickly"; "the management always supported to use the microcomputer in the job"; and "the management know that there are a lot of benefits which can be achieved with the use of microcomputers" (Igbaria & Iivari, 1995).

Furthermore, self-efficacy is a conviction of a consumer about his or her technical capacity (Lui & Hui, 2011). The self-efficacy of the two-point scale was measured. The first item "I will understand how computers work"; and the second item "I am confident that I could learn computer applications."

In addition, computer anxiety refers to a person's s propensity for computing, in general, to be awkward, apprehensive and/or phobic (Igbaria & Iivari, 1995). Computer anxiety was concerned about the effects of computer use such as fear of potential errors (Chou & Chen, 2009). Emotional discomfort, fear and phobia felt by the people when they consider or use computer technology are described as computer anxiety (Kim et al., 2011). Meanwhile Petter & McLean (2009) defined device is used as an IS consumption or its performance defined for real or independent use.

According to Igbaria & Iivari (1995), microcomputer usage was measured using a two-item scale first item " perceived daily use of computers"; and the second item" perceived frequency of use of computers".

Figure 3: Computer Usage Model.

2.4 PERSONAL COMPUTING ACCEPTANCE MODEL The possible inter-organizational factors that impact user computing success have identified three constructs. First, internal user computing assistance was defined as technical assistance for individuals (or groups) with internal computer expertise to the small enterprise. Second, internal training refers to the level of training received by other computer users or company computer specialists. Thirdly, management support refers to the perceived level of overall support in small companies offered by management. (Igbaria et al., 1997). Meanwhile, the possible *Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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extra-organizational factors affecting personal computing acceptance have been described as two constructs. First, external computer support was defined as technical support for computer experts (or groups) outside of a small enterprise. The second extra-organizational factor was external computer support. This refers to the level of training received by relatives, suppliers, consultants or schools outside of the organization (Igbaria et al., 1997).

Figure 4: Personal Computing Acceptance Model.

2.5 UPDATED DELONE & MCLEAN IS SUCCESS MODEL Based on a review of the literature, Delone & Mclean (2003) again suggested an updated model.

They added quality of service as a significant dimension. It also added the intention to use it as an alternative measure as an attitude is worth assessing in some contexts. Eventually, the person and organization's effects were combined into one dimension known as net benefits.

Figure 5: Updated D & M IS Success Model.

According to Petter & McLean (2009), service quality was described as IS user support for departments, often measured by the support organization's capacity to reaction, reliability, and empathy. Delone & Mclean (2003) explained the quality of service as overall support provided by the service provider, whether provided by the Internet Service Provider (ISP), a new organizational department, or outsourced to a service provider.

The net benefits, however, are to the degree that IS contributes to individuals, communities, organizations, business and nations ' progress. Examples of these include better decision-making, improved productivity, increasing sales, cost reductions, increased income, quality of the industry, customer welfare and job creation. (Petter et al., 2008) In summary, the performance model of Delone and Mclean IS defines six variables for positive IS adoption, and those variables (system quality,

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knowledge quality, user satisfaction, personal impact, organization-related impact) are the independent variables of the model, which concentrate on only the technical side. In addition, the updated model of Delone and Mclean (2003) added service quality as a factor independently. In addition, two variables (individual impact and organizational effect) were combined to achieve net benefits. Although the redesign, the model is still technologically based, with the other variables largely ignored. The knowledge gap is, therefore, the paradigm not included in all the factors that lead to the successful implementation in companies of the IS.

3. CONCEPTUAL MODEL AND MEASUREMENTS 3.1 CONCEPTUAL MODEL The model of the study consists of technological ability (soft aspect, and hard aspect). The soft (intangible) aspect, which is the computer's self-efficacy and user experience, the hard (tangible) aspect which is the quality of the system, the quality of service, and the quality of information. The model for the research is shown in Figure 6.

Figure 6: Study Model.

In Figure 6 the researcher assumed that the effect of computer self-efficacy, user experience, system quality, information quality, and service quality on technology acceptance and utilization.

3.2 DEFINITION OF VARIABLES AND MEASUREMENTS 3.2.1 COMPUTER SELF-EFFICACY (CSE) Computer self-efficacy is, according to Al-Shawabkeh et al. (2012), the efficacy of the individual computing capabilities in performing duties. Zhao (2010) defined computer self-efficacy as an individual's belief that he or she has the skills and abilities to achieve an assignment in an effective way. Computer self-efficacy is related to a person's belief in the ability, understanding, and ability to use the technology to perform duties. Six-items adopted from Brown (2002) and Igbaria & Iivari (1995) were used in this study to measure the computer self-efficacy construction. These items *Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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understand the system process, they are confident to use the system, they are comfortable to use their own system, they apply the system features, apply the system if there is none around me to explain the process of using it, the expertise and the kills are required.

3.2.2 USER EXPERIENCE (UE) Experience is the prior experience of a person with a specific technology (Chuttur, 2009).

Experience is the duration or degree of an individual's prior use of computers or IS (Sabherwal et al., 2006). This study defines user experience as "the extent of the experience in using the technology".

Six items are from Igbaria & Iivari (1995) for the measurement of the construct for user experience. Certain subjects include the understanding with different types of IS, the experience of using Microsoft Office applications, feasibility studies, analysis of specifications, language programming expertise and the role of computer systems.

3.2.3 QUALITY OF SYSTEM (SYQ) System consistency is the quality of the processing of IS, which includes software and data components and tests the technological sound of the systems (Popoola et al., 2014). Alla (2013) defines system quality as the term used to explain the content of the quality of the IS. For measurements of the consistency of the device construct, six objects were used from Petter et al.

(2008). Such products are user-friendly, learnable, reliable system, response time, scalable and sophisticated.

3.2.4 INFORMATION QUALITY (IQ) Data quality refers to the consistency of the IS that is delivered by records or internet screens.

Informative consistency. The quality of information is described in four dimensions: completeness, accuracy, precision and currency (Wei, 2012). Gable et al. (2008) define information quality as a measure of the quality of (IS) outputs: that is, the quality of information generated by the scheme in reports and on-screen. This study defined the quality of information as "the desirable features that measure system output."

In this study, six items adopted from Petter et al. (2008) were used to measure information quality. Those items are relevant, accurate, timely and user-friendly, comprehensible.

3.2.5 QUALITY OF SERVICE (SERQ) According to Baraka et al. (2013), the quality of service Reflects the quality of service offered by agents to clients. Quality of service is the quality of support IS department and IT support staff receive from system users. This study defined quality of service as "quality of assistance received by customers from the department of IS and technical support team."

In this analysis, six times adopted from Delone & McLean (2003) & Petter et al. (2008) are applied to assess the efficiency of the service model. Such elements include prompt service, efficient service, reliable, technical skills, employee empathy, and security.

3.2.6 USE OR ACCEPTANCE OF THE TECHNOLOGY (UAOT) Al-Mamary & Shamsuddin (2015b) defined the use and acceptance of technology as the degree to which the individual believes he/she is content with using the technology. Six items adopted from Seddon & Kiew (1996) & Palvia (1996) Measuring acceptance and use of the technology constructs were applied. These items meet our requirements, Efficiency, Effectiveness, Successful, complies

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with our expectations, we accepted the system in general.

4. METHODOLOGY 4.1 DATA COLLECTION METHOD: SURVEY Surveys are amongst the most popular methods used by the research community of IS. A survey is a way of gathering information about a broad group of people's attitudes, habits, or beliefs, referred to as a population. The researcher had submitted a questionnaire survey for this analysis.

4.2 RELIABILITY Reliability is compatible with what is to be evaluated insofar as a variable or group of variables.

The generally accepted reduced limit for Cronbach's alpha is 0.70 (Hair et al., 2010). Table 1, indicates the reliability of each variable.

Table 1: Reliability Testing Result.

Item CSE UE SysQ IQ SerQ AoT

Cronbach’s Alpha 0.848 0.942 0.854 0.885 0.910 0.949

N of Items 6 6 6 6 6 6

5. RESULTS Structural equation modeling (SEM) is used to test theories emerging from the conceptual model.

Figure 7: Initial CFA. *Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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To carry out the SEM analysis the two-stage approach was adopted. In the first stage (measurement model) the study was carried out by defining the causal relationships between the observed variables (items) and the theoretical constructs underlying them. For this feature, AMOSÂŽ21 performed confirmatory factor analyses. The structural model (second phase) stipulated the process or causal link between the underlying exogenous and endogenous buildings.

5.1 MEASUREMENT MODEL Confirmatory factor analysis (CFA) has been used for testing the calculation models for each construct in this report. Confirmatory factor analysis (CFA) on the measurement model was performed to determine the uni-dimensionality, precision, and validity of the measurements. The CFA has adopted two specific methods for testing the calculation model. First, health consideration (GOF), and second, quality assessment and measurement pattern reliability. CFA was conducted on the six-factor measurement model, which included: computer self-efficacy (CSE), user experience (UE), system quality (SyQ), quality of information (IQ), quality of service (SerQ), and technology acceptance and use. Figure 7 illustrates the initial CFA model.

The goodness of fit indices (GFI) of the initial run of CFA was not within the recommended level. According to Hair et al. (2010) the size of the factor loading is one important consideration.

For the first step, any measuring item having a factor loading less than 0.6 should be deleted from the measurement model. Selecting factor loading more than 0.6, the final CFA model is depicted in Figure 8.

Figure 8: Re-Specify CFA Model

5.2 VALIDITY AND RELIABILITY OF A MEASUREMENT MODEL The validity of the building was evaluated by determining convergent validity and biased validity in this study. In addition, internal reliability (Cronbach alpha >= 0.70) and building reliability (CR >= 0.70) are used to measure the reliability. Measurements of the measuring model's validity and reliability are shown in Table 2.

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Table 2: Summary Report of CFA for Constructs Item Factor Loading Cronbach’s Alpha (≥ 0.7) CR (≥ 0.7) AVE (≥ 0.5) cse1 .672 0.827 0.835 0.504 cse3 .687 cse4 .784 cse5 .686 cse6 .714

Construct

Computer_Self_efficacy

.726 .866 .847 .888 .882

0.923

0.925

0.712

User_Experience

ue1 ue2 ue4 ue5 ue6

.641 .740 .825 .756 .729

0.857

0.858

0.548

System_Quality

syq2 syq3 syq4 syq5 syq6

.719 .821 .723 .792 .762

0.873

0.875

0.584

Information_Quality

Iq1 Iq2 Iq3 Iq4 Iq5

.806 .853 .779 .791 .780

0.894

0.900

0.644

Service_Quality

serq2 serq3 serq4 serq5 serq6

.857 .893 .924 .871

0.936

0.936

0.786

Acceptance_ and_Use_of_The_Technology

aot3 aot4 aot5 aot6

The AVE square root is the diagonal values (in bold) while the other values are the relation of the respective structures. When a diagonal value in its row and column is larger than the values, it becomes unequal (Fornell & Larcker, 1981). Table 3 shows the validity of the discriminants.

Table 3: Discriminant Validity Index Summary Construct CSE UE SyQ IQ SerQ AOT

CSE (0.710) 0.553 0.408 0.486 0.397 0.439

UE

SyQ

IQ

SerQ

UAOT

(0.844) 0.606 0.643 0.451 0.486

(0.741) 0.740 0.517 0.257

(0.764) 0.621 0.433

(0.802) 0.359

(0.887)

5.3 STRUCTURAL MODEL As shown in Figure 9, according to GOF indexes the proposed model didn't fit well. TLI, CFI, and GFI are under 0.90 and 0.80.

*Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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Figure 9: Initial Structural Model The suggested model fits well on GOF indexes, as shown in Figure10. TLI, CFI, and RMSEA were < 0.90, NFI, GFI < 0.80, ChiSq/df < 3.

Figure 10: Revised Structural Model

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6. A TEST OF RESEARCH HYPOTHESES 6.1 HYPOTHESIS 1 #H1 – There is a positive relationship between acceptance and use of technology and computer self-efficacy.

• The research findings in this study suggest that, in support of the H1 hypothesis, machine self-efficacy (CR= 2.730, p= 0.006 < 0.05) has a strong and positive relationship with the acceptance and use of the technology.

6.2 HYPOTHESIS 2 #H2 – There is a positive relationship between user experience and acceptance and use of the technology.

The research findings in this study suggest that, in support of the H2 hypothesis, user experience (CR= 3.824, p=0.000 < 0.05) is found to have a strong and positive relationship with the adoption and use of the technology.

6.3 HYPOTHESIS 3 #H3 – There is a positive relationship between system quality and acceptance and use of the technology.

Research findings in this study show that system quality (CR= 2.776, p= 0.005 < 0.05) in support of #H3 hypothesis is found to have a significant and positive relationship with technology acceptance and use.

6.4 HYPOTHESIS 4 #H4 – There is a positive relationship between information quality and acceptance and use of the technology.

Research findings in this study indicate that, in support of the H4 hypothesis, information quality (CR= 2.352, p= 0.019 < 0.05) has a significant and positive relationship with the acceptance and use of the technology.

6.5 HYPOTHESIS 5 #H5 – There is a positive relationship between service quality and acceptance and use of the technology.

Research findings in this study suggest that the quality of service (CR= 1.558, p= 0.119 > 0.05) is not important for the adoption and use of the technology. No support is provided for hypothesis H5.

Table 4 provides an overview of the hypotheses for the study.

Table 4: Summary of Hypotheses Testing.

Path CSE-->AOT UE-->AOT SyQ-->AOT IQ-->UAOT SerQ-->UAOT

Critical Ratios 2.730 3.824 2.776 2.352 1.558

p-value .006** *** .005** .019* .119

Result Supported Supported Supported Supported Not Supported

Note: * p < 0.05; ** p < 0.01; *** P< 0.001; CSE = Computer Self-Efficacy; UE = User Experience; SyQ = System Quality;IQ = Information Quality ; SerQ = Service Quality ; UAOT=Use or Acceptance of The Technology. *Corresponding author (M.Abdulrab). Email: abdulrabd@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06O http://TUENGR.COM/V11/11A06O.pdf DOI: 10.14456/ITJEMAST.2020.115

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7. RESEARCH LIMITATION This study presents several limitations. The data collected from a subset of telecommunications workers in Yemen's capital, Sana'a, at first sight. Testing the model using a particular dataset is important to assess the generalization of the Research Model before generalizing the results.

This review has also been the subject of four common theories in the field of technology acceptance and use. Many ideas are identifying the key factors in acceptability and use of technology that can be addressed in future research.

8. CONCLUSION This Yemen studies continue to address issues related to technology adoption success. This study allows Yemeni researchers to recognize the factors that influence the successful utilization of technology by the company in order to use technology effectively. The aim of this study was to investigate the significant factors that affect the technology's acceptance and use. The proposed model was tested on AMOS. The modified model fitting indicators are suited to the model (Chisq / df=2.142, TLI=0.920, CFI=0.929, NFI=0.876, GFI=0.841, RMSEA=0.062). This study found that computer independence, user experience, system performance and quality of information were affected by the adoption and use of the technologies. The overall fitness-of-model metrics show statistically the research is applied to organizations in Yemen. The companies can use the model proposed for their company to successfully adopt the technology to improve their performance.

9. DATA AVAILABILITY Relevant information is available by contacting the corresponding author.

10. ACKNOWLEDGMENT The author would like to thank the University of Ha'il for financial support.

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Al-Mamary., Yaser Hasan., Shamsuddin., Alina. (2015b). Impact of Top Management Support, Training, and Perceived Usefulness on Technology Acceptance. Mediterranean Journal of Social Sciences 6 (6S4), 1-17.

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Dr.Mohammed Abdulrab is an Assistant Professor at Department of Management and Information Systems, University of Ha'il, Saudi Arabia. He got his PhD degree in Business Administration from the Islamic Science University of Malaysia. His research focuses on topics such as Human Resource Management, Organizational Behavior, Technology Adoption, and Entrepreneurial Orientation.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

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

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

PAPER ID: 11A06P

STUDENTS’ FINANCIAL LITERACY AND POLICIES FOR ITS DEVELOPMENT Sergei Vasilievich Kruchinin

a*

, Olga Vilenovna Pavlovskaya

b

Department of Applied Mathematics and Natural Sciences, Noyabrsk Institute of Oil and Gas (Branch) Tyumen Industrial University, Noyabrsk, RUSSIA. b Department of Philosophy, Tyumen State University, RUSSIA. a

ARTICLEINFO

Article history: Received 02 September 2019 Received in revised form 23 December 2019 Accepted 14 January 2020 Available online 24 January 2020

Keywords:

Parental factors; Youth financial literacy; School factors; International Socio-Economic Index of Occupational Status (ISEI); PISA test; Family income; Mother’s role; Father’s role.

A B S T RA C T

The paper is dedicated to students’ financial literacy development.

The study is based on PISA data and analyses factors of two types: family and school ones. The Kruskal– Wallis H test, Jonckheere-Terpstra test is used to find significant differences between the groups. Regression research is based on the ordinary least squares method and t-statistics. Financial literacy is not knowledge, it is a skill or even an ability. Therefore, parental behavioral factors are very important for its improvement and development. Financial literacy is the only type of literacy that positively correlates with parental International Socio-Economic Index of Occupational Status (ISEI), including the highest ISEI of the father or mother. Thus, the first and most important issue in policy that will stimulate the development of each type of literacy is the creation of positive work environments for single parents. However, each model includes just one explanatory variable. The most significant for all students and female students is the father’s ISEI. Whereas, for male students, it has the highest ISEI. Thus, this type of literacy does not directly depend on the mother's ISEI, unless it is the highest one. Financial literacy does not depend on school factors. The overall effect of the family factors that were analyzed is about 0.35 percent of literacy variations.

Disciplinary: Education Sciences, Family Studies, Financial Education. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION At the beginning of the XXI century, the ways of thinking about student literacy changed. Family values began to dominate human thought all over the world, which was reflected in scientific research at that time. New types of literacy, such as financial literacy, began to appear. According to Investopedia, “financial literacy is the education and understanding of various financial areas *Corresponding Author (S.V.Kruchinin) Tel: +7-922-06-04-382. Email: Kruchinin.s.v@bk.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06P http://TUENGR.COM/V10A/11A06P.pdf DOI: 10.14456/ITJEMAST.2020.116

1

including topics related to managing personal finance, money and investing. This topic focuses on the ability to manage personal finance matters in an efficient manner, and it includes the knowledge of making appropriate decisions about personal finance such as investing, insurance, real estate, paying for college, budgeting, retirement and tax planning.” Thus, financial literacy is not any less important than other types of literacy and, possibly, even more important in the modern world.

Currently, there are five key concepts of financial literacy: •

basics of budgeting, including resources such as special sites that help plan incomes and expenses;

•

understanding interest rates, including mortgages, bank deposits, and credits, it is extremely important to understand different types of percentage calculations;

•

prioritizing savings instead of living on credit;

•

credit-debt cycle traps and knowledge of proper use of credit instruments, such knowledge will help pay for credit before it becomes a debt;

•

identity theft issues and safety, that is especially important nowadays.

Thus, financial literacy includes many aspects and issues that are extremely important nowadays but are not a part of any school subject in many countries. This study covers PISA data and financial literacy in different countries and regions.

PISA has provided literacy tests since 2012. Therefore, Table 1 presents data for two years: 2012 and 2015. Table 1 shows all available data for financial literacy during these years. For countries that have participated in the research at both periods, the present research provides comparative statistics.

Table 1. PISA results. Financial literacy. Years 2012 and 2015.

2015 Country PISA score Belgium 541 Poland 485 Slovak Republic 445 Spain 469 United States 487 Russia 512 Italy 483 Lithuania 449 Peru 403 Canada 533 Brazil 393 B-S-J-G (China) 566 Chile 432 Croatia 480 Netherlands 509 Average

479

2012 Country PISA score Belgium 541 Poland 510 Slovak Republic 470 Spain 484 United States 492 Russia 486 Italy 466 Slovenia 484 Australia 526 Latvia 501 New Zealand 520 Colombia 379 Czech Republic 513 Estonia 529 France 486 Israel 476 492

Change to the previous period absolute (%) 0 -0.06 -25 -4.85 -25 -5.37 -16 -3.23 -4 -0.84 26 5.31 17 3.68

-13

-2.64

Thus, average financial literacy scores have reduced during the observed period by 13 scores or 2.64 percent. In 7 countries that have taken part in both periods of research, one has shown zero changes, two have shown positive change, and four have shown negative. Overall, financial literacy has reduced during this period. This part of the research is comprised of 33 independent observations

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Sergei Vasilievich Kruchinin, Olga Vilenovna Pavlovskaya

for both years. That is significantly less than in data for other types of literacy.

2. LITERATURE REVIEW Studies in this field began at the end of the XX century. At that time, the research focused on statistical and psychological factors (in the way of parents’ involvement with their children), as well as the analysis of other factors. The statistical direction provides different research, both directly in regard to students' educational achievements (Willms 1999) and their future employment opportunities based on academic results (Nickell 1997). The psychological direction concentrated on psychological aspects of parents’ involvement in children's education. There were many studies in this field that analyzed different school programs and inspired teachers to involve parents in their children's education (Walde and Baker 1990; Greenwood and Hickman 1991; McLaughlin and Shields 1987; Vincent 1997). However, it was later found that these programs had a limited effect.

The main work of that time is the research by Hoover-Dempsey and Sandler (1997): ‘Why do parents become involved in their children’s education?’ This study changed views in this sphere. It provided several important statements about the psychology of parents’ involvement. The first is that each parent or family separately established the range of activities that they considered important, necessary, and permissible on behalf of children. The second is each parent's personal belief in her or his own influence on their children's education results and achievements. In other words, in case the parent does not believe in their own authority or ability to affect the child, the parent will not try to be involved in their children's education. The third statement claims that parents’ involvement depends on their estimation of the child, and whether or not the school wants them to be included. Thus, parents’ involvement significantly depends on their own beliefs and incentives, and no school program can affect them enough to change internal convictions. Later, Reed, Jones, Walker, and Hoover-Dempsey (1997) tested the theoretical model and found that the best way to affect parents’ involvement is to construct the proper role in their own mind. Teachers and other school workers have to concentrate on this detail when presenting parents’ involvement programs. In regard to the analysis of other factors, the study aimed to find a variety of issues that influenced scholars’ academic achievements. Thus, Reynolds found that previous academic results were the main influence on seventh-grade students’ achievements in math and science (1991). He explained that this result reflected the schooling process from the very beginning until the measured seventh grade. In other words, it is impossible to provide a high level of knowledge in seventh-grade students, in case they have missed previous years. The schooling process, according to Reynolds, also includes educational standards and quality principles. However, other factors, including parental expectations, motivation and classroom context, can improve academic results before middle school years (Reynolds 1991).

After that period, their influence reduces. Moreover, the author estimated that sex variable influence is negative (in favor of girls). The analysis of "other factors" also included an analysis of parents’ characteristics. Thus, Willms found that the higher the parents’ education level, measured in years of education, the higher the child's literacy (1999b). The effect of each additional year of parents’ education was more or less equal for Sweden, Netherlands, Switzerland, Germany, Canada, Poland, and the United States. However, the countries have some differences in the basic level of controlled variables. Willms also found that socioeconomic status does not influence similarly in each country *Corresponding Author (S.V.Kruchinin) Tel: +7-922-06-04-382. Email: Kruchinin.s.v@bk.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06P http://TUENGR.COM/V10A/11A06P.pdf DOI: 10.14456/ITJEMAST.2020.116

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(1999b). There were two types of countries with high and medium effect correspondingly. Moreover, the scientist showed that girls typically had higher scores, and mothers’ education level influenced children's literacy more than fathers’. In the case of occupation, dependence is the opposite. Fathers’ occupation substantially and positively influenced children's academic achievements, whereas mothers’ had a slightly negative affect. Household income influence was about zero, although being raised by a single parent provoked lower academic achievements. This study was extremely important for that time, due to its inclusion of important family characteristics. It encountered many limits, the most significant of which was the small group of countries that were supposed to be further developed. Would these results be similar to developing countries? Moreover, all studies presented above were based on individual family data. Models helped to find out why separate children had better or worse results. Data included many family characteristics but was not standardized among different countries, including literacy measures. At that time, two types of literacy were supposed to be the most important: mathematical and science. Therefore, the presented studies concentrated on them, whereas reading and financial literacy were out of focus.

Upon analysis of financial literacy, several points must be mentioned. The first is that the key issue in this sphere is low literacy (Van Campenhout 2015; Lusardi, Mitchell, and Curto 2010). Many studies specified this issue and provided different educational policies. Van Campenhout proposed that youth financial literacy programs should be proactive and provide some collaborative education (2015). Financial literacy was integrally connected with risk-taking and the ability to deal with various uncertain financial decisions. Therefore, it was much more about making decisions than about knowledge or skills. Parental involvement could help to form proper behavior. Isolated school programs would not have any significant effect, due to the necessity of interactions with others for risk modeling and taking. Parents’ role should be more than just creating adaptable financial consumers; they have to teach their children how to make financial decisions. The other research showed that a ‘college-educated male whose parents had stocks and retirement savings is about 50 percent more likely to know about risk diversification than a female without high school education whose parents were not wealthy (Lusardi, Mitchell, and Curto 2010). In other words, sex, education level, family income, and financial behavior formed youth financial literacy. The other research in this field affirmed that young entrepreneurs in South Africa had financial literacy levels that were higher than average among youth populations of the country (Kojo Oseifuah 2010). Thus, financial literacy increased the probability to become an entrepreneur.

2.1 HYPOTHESIS The issue of students’ literacy improvement is very important, due to low levels of literacy in many countries — including developed ones. Previous studies provide some results for literacy improvement, but they do not cover all types of literacy simultaneously. The main question of how to develop students’ literacy and provide a stable level is still open. Data show that sometimes the rise of literacy can be changed by a significant reduction of literacy. Therefore, it is important to develop a policy for sustainable growth of youth literacy. The study analyzes financial literacy. Regression models for financial literacy are presented. The models cover different social groups: female and male students. Overall, there are 3 resulting models in the research.

The results of the study can be used for educational policy development and extension. Due to

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Sergei Vasilievich Kruchinin, Olga Vilenovna Pavlovskaya

the analysis of family and school factors, the suggested policy includes both directions. Moreover, the results of the study provide new scientific issues. The most important details of current research include: • lack of obvious explanatory variables, such as family income and parental educational level; • direct variables for determination of family factors are substituted by indirect ones, which are more reasonable in explaining literacy; • inter-correlating variables, such as educational level and income, are combined into one variable for each parent; • family and school factors are compared with different regression models for each dependent variable; • separate models for all students, female and male, are calculated.

According to these specifics, the hypotheses cover several directions. Thus, the hypotheses are: 1. Financial literacy does not depend on school factors at all.

2. Family explanatory factors are much more important than school factors.

3. METHOD Research methods include several statistical instruments, based on research issues. At the first stage, the absence of statistical differences between parts of the samples has been proven. To prove this fact, several non-parametric tests for K independent samples are used to find significant differences between the groups. The Kruskal– Wallis H test, Jonckheere-Terpstra test, and the median test are applied to define differences between parts of the sample. These tests are applied to all independent variables; however, none of them indicated any significant differences.

The second stage includes regression. Regression research is based on the ordinary least squares method and t-statistics. The result is a set of regression models with significant variables. Models are different from each other in the variables used. Differences between similar models for one dependent variable provides distinctions in the R-square. Thus, it is possible to calculate an explained share of variance for each significant variable. Result models for each independent variable are defined.

There is one table with correlations and another with significant coefficients and R-squares for all models, estimated by the ordinary least squares method for each type of literacy.

3.1 DATA The research is based on the Programme for International Student Assessment (PISA) data. PISA observes 15-year-old students at finance. PISA is a triennial international survey with standardized questions, including localization. Estimation of financial literacy is provided only for the years 2012 and 2015. The results of PISA do not provide any information about the particular knowledge of observed students. The data show common literacy in each field, understanding basic principles, and an ability to deal with information in four highlighted fields. 15-year-old students are close to the end of their compulsory education. Therefore, their literacy is significant for personal and social *Corresponding Author (S.V.Kruchinin) Tel: +7-922-06-04-382. Email: Kruchinin.s.v@bk.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06P http://TUENGR.COM/V10A/11A06P.pdf DOI: 10.14456/ITJEMAST.2020.116

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development, as well as future life prospects. For each country, PISA results can introduce information about the readiness of adolescents for adulthood.

There are several explanatory variables, used in the study. Students’ reports are in the International Socio-Economic Index of Occupational Status (ISEI). This index converts information about parents’ education and occupation into income. PISA specialists created this index to maximize the indirect effects on education by occupation and minimize direct effects in its calculation. Thus, ISEI definitely correlates with the socioeconomic status of parents, based on income and education level. Simultaneously, ISEI does not duplicate this variable and can be used as an instrumental variable. PISA's highest ISEI is based on either the father's or mother’s occupations (whichever is higher). The index of parents' high occupational status has grown slightly during this period.

Mothers’ ISEI has grown more than 1 point from the highest of the fathers ' status.

The class size is defined as ‘the average number of students per class, calculated by dividing the number of students enrolled by the number of classes. In order to ensure comparability between countries, special needs programs have been excluded. Data include only regular programs. Variables for government and student fees present average among observed schools for each country. The average mean for class size was 29 in the period from 2003-2015. Share of schools with government funding has decreased a bit, and with student fees, funding increased. However, average means for all independent variables have changed less than for the resulting ones. Class size, government funding, and student fee funding can be understood as " school factors."

4. RESULT AND DISCUSSION Two models describe the dependence of a general level of financial literacy on independent variables. The first model is based on fathers’ ISEI, and the second is based on the highest ISEI. Both models have quite similar explanatory power. R-square for the first model is 0.312 and is 0.310 for the second. Thus, according to econometric theory, the first model is a bit better. However, in a meaningful sense, the higher the family's ISEI, the better the students’ financial literacy. Mothers’ ISEI does not directly influence the general level of financial literacy. Thus, if mothers’ ISEI is higher than that of fathers’, it will have a positive effect on students’ financial literacy. In other cases, mothers’ ISEI does not influence financial literacy at the general level. Moreover, parental influence on children's financial literacy is very high. For general models, this value varies from 4.3 to 5.5 scores for each additional point to ISEI. These data help to understand that students’ basic level of financial literacy is quite moderate, and financial literacy is formed with the help of parents’ positive socio-economic behavior. Undoubtedly, parental ISEI variables are not the only explanatory variables, although they determine over 30 percent of students' financial literacy.

School factors do not influence financial literacy in any stable way. There is a lack of models that include any school factor. In other words, it does not matter if students attend a government-sponsored school or a private institution; what matters is how many students are in class.

None of these factors have any significant effect on students’ financial literacy (Table 2). Thus, financial literacy is a type of literacy that does not form at school. It forms at home and through interactions with other people, social contacts, or other specific activities. It is not similar to mathematical, science, or reading literacy. It is not a skill or simple knowledge. Financial literacy is

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more of a behavior pattern than a particular set of knowledge.

Table 2. Regression models for students’ financial literacy Gender

Variables

General

Constant Highest occupational status of parents Mother occupational status Father occupational status Size of class Funding government Funding student fees R-square Constant Highest occupational status of parents Mother occupational status Father occupational status Size of class Funding government Funding student fees R-square Constant Highest occupational status of parents Mother occupational status Father occupational status Size of class Funding government Funding student fees R-square

Female

Male

Model 1 B t-statistics 255.78 4.02 5.452 3.63 0.312 240.27 4.02 5.88 3.9 0.346 281.895 4.32 4.8 3.1 0.251 -

Model 2 B t-statistics 270.59 4.52 4.346 3.61 0.310 269.24 4.6 4.407 3.75 0.326 276.99 4.46 4.19 3.36 0.280 -

Model 3 B t-statistics 326.85 5.73 3.6 2.8 0.216 335.6 5.82 3.32

2.6

0.189

Models for female and male students are similar to a kind of general model. For both, there are three regression models, each of which includes just one explanatory variable among parental ISEI. Mothers’ ISEI has the least explanatory power for female students. R-square for this model is just 0.216. Each additional percent of mothers’ ISEI adds a 3.6 score to female students’ financial literacy.

Male students’ results are quite similar. Thus, the explanatory power of the model with mothers’ ISEI as an independent variable is just 0.189, and each additional percent of the variable adds a 3.32 score to male students’ financial literacy. Other models for female and male students are not so similar. For female students, the variable with the highest explanatory power is fathers' ISEI. R-square for this model is 0.346. However, for the model with the highest ISEI, the R-square is 0.326. Each percent of the fathers’ ISEI adds 5.88 scores to female students’ financial literacy, and the highest ISEI (in the other model) adds 4.41. Therefore, for female students, fathers’ ISEI is more significant for financial literacy than either the highest or that of the mother. Fathers’ financial behavior affects female students’ financial literacy more than mothers, even if mothers’ ISEI is higher than the fathers’. This relationship should be analyzed more precisely in the future. For male students, models are different.

The model with the highest explanatory power provides the relationship between male students’ financial literacy and the highest parental ISEI. This model’s R-square is 0.28. Each additional percent of the highest ISEI adds 4.19 scores to male students’ financial literacy, whereas each additional percent of fathers’ ISEI adds a score of 4.8 with R-square at level 0.251. Moreover, according to regression models, the basic level of male financial literacy is determined by fathers’ ISEI and is higher than the second model. Thus, fathers’ ISEI explains male students’ financial *Corresponding Author (S.V.Kruchinin) Tel: +7-922-06-04-382. Email: Kruchinin.s.v@bk.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06P http://TUENGR.COM/V10A/11A06P.pdf DOI: 10.14456/ITJEMAST.2020.116

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literacy less than the highest one, but its influence is higher. Boys from families where the highest ISEI is equal to fathers' are financially literate. However, the highest ISEI is more important for male students as an explanatory variable of financial literacy. Dependencies of financial literacy for each group are similar in one sense: each of them has the highest influence by fathers’ level of literacy.

This specifies the most important part of financial literacy variance for everyone but male students.

Thus, fathers’ ISEI is the most influential and significant factor, excluding male students. For male students, the highest parental ISEI is more significant. In other words, male students more vulnerable to family ISEI, no matter whose ISEI it is, whereas the financial literacy of female students is generally more determined by fathers’ ISEI. Table 3 presents correlations between mothers’, fathers’ and the highest ISEI. All correlations are about 0.5. In other words, they are quite high. Relations between explained and explanatory variables are quite close. Therefore, none of the independent variables can be considered as instrumental.

Table 3. Correlations for students’ financial literacy Financial literacy General Female Male

Highest occupational status of parents 0.56 0.57 0.53

Mother occupational status 0.44 0.47 0.44

Father occupational status 0.56 0.59 0.5

Financial literacy is the type of literacy that positively depends on parental ISEI, including the highest of their father and mother. However, each model includes just one explanatory variable. The most significant for all male and female students is a father's ISEI, and for male students, the highest ISEI. Thus, this type of literacy does not directly depend on a mother's ISEI, unless it is the highest one. Nevertheless, the ISEI of either parent does not negatively influence financial literacy. As mentioned above, positive parental socio-economic behavior forms financial literacy in children.

Financial literacy does not depend on school factors. It is the only type of literacy that does not depend on it in any model. Thus, financial literacy forms in families. Moreover, financial literacy is the only type of literacy in which a female student ’s basic level is significantly lower than the male 's.

None of the models for financial literacy include an instrumental variable, while other types of literacy are specified with their help.

Financial literacy is quite diverse from other types of literacy. Undoubtedly, it is not a subject, because it is not determined by school factors, only family socioeconomic status, and parental behavior. Besides these issues, financial literacy has other specifics. It is the type of literacy discussed in the research for which a female student's model is similar to the model for all students. Whereas, the model for male students differs.

For financial literacy, each ISEI has a positive effect. Thus, the first and most important issue in policy that will stimulate the development of each type of literacy is the creation of positive work environments for single parents. Single parents in this context are parents who raise their children alone. This program should be especially directed toward women who have recently become single parents. The program should provide not just any employment, but current employment and opportunities for future development. The main goal of the program is to maintain the previous socio-economic status of a family, should the parent with the highest ISEI separate. According to

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Sergei Vasilievich Kruchinin, Olga Vilenovna Pavlovskaya

statistics, that is most likely to be the single mother.

Social policies regarding mothers are more or less popular and widespread, whereas programs directed at fathers are unusual. This study shows that a father's role in the family, especially in the context of socio-economic behavior, is important for a student’s literacy development, especially females. The best opportunity to improve all types of knowledge literacy is to create the opportunity for children to live in families with a working father (of high socio-economic status) and a non-working mother (or a mother who works significantly less than the father). To provide such circumstances, social programs have to involve fathers as well. Undoubtedly, female students’ fathers need such programs more than the fathers of male students. However, this kind of separation is discriminatory and unacceptable. Therefore, this social program should provide opportunities for personal socio-economic growth and development for all fathers.

Overall, there are four directions of proposed social policy: • for married women – a stable job that retains enough time for family activities, such as raising and supporting children. It is an important combination of stability and retaining time for family.

Undoubtedly, this kind of job should be suggested to women, but not first; • for women who have recently become single mothers – any job opportunities that retain time for family. The best option for these jobs has a possible future promotion. Where no promotion is available, additional educational opportunities for future career development may be. The key issue is the literacy of female students who previously have grown up in families with two parents, one of which is a non-working mother. How can we improve the literacy of such female students if their mothers are single? This issue should be analyzed more thoroughly in the future; • for single mothers – programs for welfare and socio-economic status improvement, especially with the help of additional educational opportunities; • for fathers – similar to single mothers.

The program should be addressed to parents and include opportunities for education, as well as career promotion and development. Additional educational technologies should include such opportunities as massive, open, online courses and mobile applications. New formats of distance learning help to involve adults in extra activities. They provide many opportunities to study anywhere, including at home. Moreover, educational programs that are created with the help of such modern technologies are directed towards the development of particular skills. This can be useful for career promotion and development. One more benefit of distance learning opportunities is that they can be realized as profitable projects. For example, a large, open, online course can cover the costs during payable certificates. Parents who participate in the program can obtain these certificates for free. In any case, any digital educational project assumes high fixed, non-refundable costs, and rather moderate variable costs. Government support is necessary at the stage of primary financing. It can be realized directly and during bank systems, which has been discussed previously. Anyway, the costs for each additional student in these programs is quite low. In other words, this system will be effective anyway and can even earn some money after several years. *Corresponding Author (S.V.Kruchinin) Tel: +7-922-06-04-382. Email: Kruchinin.s.v@bk.ru ©2020 International Transaction

Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06P http://TUENGR.COM/V10A/11A06P.pdf DOI: 10.14456/ITJEMAST.2020.116

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A father's role for female students is providing a positive example of socioeconomic behavior. It is also important for all students’ financial literacy. A mother's role in this context is the role of a parent who spends her time with children. A mother cannot be substituted by a father. However, fathers are important for financial literacy. It is a bit similar to Esping -Andersen's results, but an issue not of significance, but of gender differences between students. Moreover, Esping -Andersen showed that a mother's employment is generally positive for children's lives due to a reduction in the risk of poverty (2007).

The overall effect of the family factors that were analyzed is about 0.35 percent of literacy variations. The key difference with Martins’ and Veiga’s research is that scientists calculated the average explanatory power of schools in 15 countries of the EU as 42.38 percent of literacy variation (2010). Whereas, the current study shows that school factors do not explain financial literacy at all, according to R-square.

Much like previous studies, current studies show that students have low basic and average levels of financial literacy (Van Campenhout 2015; Lusardi, Mitchell, and Curto 2010). The basic level of financial literacy is significantly lower than of mathematics, reading, or the sciences. Van Campenhout proposed that financial literacy programs for youth should be proactive and provide some collaborative education (2015). Current research finds that school factors do not influence financial literacy. Therefore, an assumption about out-of-school activities seems rational. Research

by Lusardi, Mitchell, and Curto showed that males with a college education whose parents had stocks and retirement savings are about 50 percent more likely to know about risk diversification than females with less than a high school education whose parents were not wealthy (2010). This research shows that there is indeed a difference in the basic level of financial literacy between female and male students. The basic level of financial literacy for male students is significantly higher. Due to quite similar regression models, and all other things being equal, it is reasonable to suppose that the expected level of financial literacy for male students is higher than for female students. The most important result of this research, relating to financial literacy, is that it is a quite diverse type of literacy. It is not like mathematics, reading, or the sciences. Financial literacy is not knowledge, but a skill or even an ability. Therefore, parental behavioral factors are very important for its improvement and development.

5. CONCLUSION Financial literacy is the only type of literacy that positively correlates with parental ISEI, including the highest ISEI of the father or mother. However, each model includes just one explanatory variable. The most significant for all students and female students is the father ’s ISEI. Whereas, for male students, it's the highest ISEI. Thus, this type of literacy does not directly depend on the mother's ISEI, unless it is the highest one. Financial literacy does not depend on school factors.

It is the only type of literacy that does not depend on them in any model.

The results of this study are important for future education development due to the proposal for the models of both sexes. The fathers’ role as an example of positive socio-economic behavior is more important for female students, Simultaneously, female students are less dependent on overall family socio-economic status and welfare in comparison to male students. These differences can be

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the basis of future social policy in the educational sphere. There are other significant results, such as the absent role of school factors in financial literacy.

This study, such as any other, has some restrictions. The first of them is the data. Data are based on PISA results and limited due to the survey questions and provided statistical information.

Secondly, indirect measures of family variables are limited by ISEIs. Future research can specify them more precisely. Thirdly, variables for school factors are specified with the help of currently available PISA data. They provide general information about the influence of class size and the number of public and private schools. Extension of these variables and their specification will lead to more accurate results. Fourthly, the research does not take into account cultural and country diversity.

Further studies can specify these models for cultural and country diversity.

6. AVAILABILITY OF DATA AND MATERIAL The research is based on open PISA data. No data is generated from this study.

7. REFERENCES

Esping-Andersen, G. (2007). Sociological explanations of changing income distributions. American Behavioral Scientist, 50(5), 639–657.

Greenwood, G. E., Hickman, C. W. (1991). Research and practice in parent involvement: Implications for teacher education. The elementary school journal, 91(3), 279-288.

Hoover-Dempsey, K. V., Sandler, H. M. (1997). Why do parents become involved in their children’s education? Review of educational research, 67(1), 3-42.

Kojo Oseifuah, E. (2010). Financial literacy and youth entrepreneurship in South Africa. African Journal of Economic and management studies, 1(2), 164-182.

Lusardi, A., Mitchell, O. S., Curto, V. (2010). Financial literacy among the young. Journal of consumer affairs, 44(2), 358-380.

Martins, L., Veiga, P. (2010). Do inequalities in parents’ education play an important role in PISA students’ mathematics achievement test score disparities? Economics of Education Review, 29(6), 1016-1033.

McLaughlin, M. W., & Shields, P. M. (1987). Involving Low-Income Parents in the Schools: A Role for Policy? Phi Delta Kappan, 69(2), 156-60.

Nickell, S. (1997). Unemployment and labor market rigidities: Europe versus America. Journal of Economic Perspectives, 11(3), 55–74.

Reynolds, A. J. (1991). The middle schooling process: Influences on science and mathematics achievement from the longitudinal study of American youth. Adolescence, 26(101), 133.

Van Campenhout, G. (2015). Revaluing the role of parents as financial socialization agents in youth financial literacy programs. Journal of Consumer Affairs, 49(1), 186-222.

Vincent, C. (1997). Community and collectivism: the role of parents’ organizations in the education system. British Journal of Sociology of Education, 18(2), 271-283.

Walde, A. C., Baker, K. (1990). How teachers view the parents' role in education. The Phi Delta Kappan, 72(4), 319-322.

Willms, J. D. (1999). Inequalities in literacy skills among youth in Canada and the United States.

Statistics Canada. *Corresponding Author (S.V.Kruchinin) Tel: +7-922-06-04-382. Email: Kruchinin.s.v@bk.ru ©2020 International Transaction

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Willms, D. J. (1999b). Quality and inequality in children's literacy. In D. P. Keating, C. Hertzman (Eds.) Developmental Health & the Wealth of Nations (pp. 72-93). New York: Guilford Press.

Sergei Vasilievich Kruchinin holds a PhD from the Department of Applied Mathematics and Natural Sciences, Noyabrsk Institute of oil and gas (branch) TIU in Noyabrsk, Russia. His researches are dedicated to Modern Education in Different Forms, and Factors Affecting on it.

Olga Vilenovna Pavlovskaya holds a PhD from the Department of Philosophy, Tyumen State University, Russia. Her scientific interests cover different issues, Interconnected with Philosophy and Educational Process, including new Directions of Education.

Trademarks Disclaimer: All product names including trademarksâ&#x201E;˘ or registeredÂŽ trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

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

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PAPER ID: 11A06Q

3D MODELING IN AUTOCAD® AS A BASIC COMPONENT OF THE INITIAL TRAINING OF MECHANICAL ENGINEERS a

Viktor Valerievich Telegin , Igor Viktorovich Telegin a

a*

Institute of Mechanical Engineering, Lipetsk State Technical University, Moskovskaya, 30, Lipetsk, 398055, RUSSIA.

ARTICLEINFO

A B S T RA C T

Keywords:

The design of engineering facilities is currently based on solid modeling methods. Development of design documentation is carried out in a semi-automatic mode based on the created models. The role and content of such disciplines as descriptive geometry and mechanical engineering drawing in the training of mechanical engineering specialists in this regard requires a significant rethinking. At the same time, according to the authors, when integrating with modern 3D technologies of these disciplines, their foundations should be preserved.

The article is devoted to the integration of descriptive geometry and 3D-modeling methods in the educational process of training engineers in the field of machine-building.

Article history: Received 19 August 2019 Received in revised form 16 December 2019 Accepted 10 January 2020 Available online 24 January 2020

Descriptive geometry; Engineering graphics; Computer modeling; Computer Drawing; Computer graphics; Engineering drawings; AutoCAD 3D modeling.

Disciplinary: Engineering Education and Curriculum, Mechanical Engineering, Computer Graphics. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION For many decades, one of the main disciplines of the system of training the highest technical qualifications (engineers of mechanics, engineers of builders and other specialists) is descriptive geometry. It was created more than two hundred years ago [1, 2] by the French scientist Gaspar Monge, "descriptive geometry was cultivated in the technical school as a science, without which it is inconceivable the formation of an engineer" [1]. As a rule, the "birth" of any product, practically regardless of the field of application, is associated with three stages: design and conceptualization of the idea in the engineer's mind, creation and processing of documentation, production of the product itself on the basis of this documentation. Obviously, these stages are not only closely interrelated, but they do not exhaust all the nuances of preparing and ensuring the production of the finished product.

If the product is a construction, in reality a three-dimensional, then the second stage necessarily includes the presentation of information about this design in the form convenient for processing it.

Currently, this is a three-dimensional computer model [3, 4, 5], the necessary calculations [6 – 12] *Corresponding Author (I.V.Telegin) Email: v.telegin@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06Q http://TUENGR.COM/V10A/11A06Q.pdf DOI: 10.14456/ITJEMAST.2020.117

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and drawing. Drawing, according to Monge, is the language of technology, and the grammar of this language is descriptive geometry [1].

The technology of creating 3D models of three-dimensional objects and the development of design documentation on their basis became available to students and teachers of universities in the early years of the 21st century. Currently, the design process carried out by the vast majority of enterprises is based on the following scheme: the creation of a 3D model of the product, the execution on its basis of calculations (kinematic, dynamic, strength and others), the development of the designed product on their basis and, in a semi-automatic mode, the development drawings and other documentation necessary for the subsequent organization of his (product) production. At first glance, with such an approach, the knowledge of many disciplines studied in higher education institutions is not necessary. The authors may exaggerate, but among such disciplines, mathematics – numbers can be multiplied on a calculator, and, for example, solving an equation in Maple, MatLAB or MathCAD, mechanics – problems in the theory of mechanisms and machines, machine parts, material resistance are easily solved in within the framework of many 3D modeling systems: Autodesk Inventor Professional, Autodesk Simulation, SolidWorks, descriptive geometry – for example, the line of intersection of geometric objects can be constructed without difficulty in any of the three-dimensional modeling systems. However, the essence of higher education, according to the authors, is not the acquisition of a set of skills and the ability to use them mechanically, but the formation of an engineer's special structure of thinking and knowledge base in a whole range of sciences that allowhim to creatively approach the task assigned to him, just copy, but get the best possible solution.

2. “DESCRIPTIVE GEOMETRY” IN THE EDUCATIONAL PROCESS This article material is associated with the graphic preparation of students in discipline descriptive geometry, described in [3, 4, 5]. As noted above, descriptive geometry, being one of the basic disciplines that form the ability of an engineer to work with 3D geometric objects, both mentally and on a plane, cannot and should not distance himself from modern computer 3D technologies. For several years, the authors have been developing and testing a methodology for preparing students, which the framework of the standard course of descriptive geometry:   

to teach students practical skills in graphical works using the Autodesk AutoCAD program; to form basic concepts about methods and tasks of discipline descriptive geometry; to master the practical skills of applying computer 3D modeling methods for solving typical tasks of descriptive geometry.

It is three tasks, different in its nature, content and laboriousness. Their decision, with a minimum of time costs (1 hour of lectures and 1 or 2 hours of practice per week for 17 weeks of the first semester), requires the availability of comprehensive guidelines and the availability of appropriate software. Students are trained on the basis of Autodesk software products [3, 4, 5], in this case Autodesk AutoCAD.

3. STRUCTURE OF DESCRIPTIVE GEOMETRY COURSE Conditionally, the content of the course can be divided into three parts: work in Autodesk AutoCAD, study of theoretical and practical methods of descriptive geometry, acquisition of 3D modeling methods for solving practical problems of descriptive geometry.

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Viktor Valerievich Telegin, Igor Viktorovich Telegin

The first and second parts of the course in the first six weeks of training are combined in time.

During this period, practical classes of 80 percent are devoted to the development of the AutoCAD system, the theoretical material of the course is studied during lectures, in part, in practical classes and independently. The way of control at this stage of training: the execution of test tasks in testing systems. There is one self-dependent work. Topics – projection methods, drawings of a point and a line segment. The practical result of mastering the first part of the discipline is the acquisition of skills for performing flat drawings in AutoCAD. The practical component of the second part of the course and the third part of it is combined in time. Approximately this stage of preparation of students begins with the 7th week of training and lasts for 10 weeks before the end of the semester.

4. CONTENT OF DESCRIPTIVE GEOMETRY COURSE Individual task №1. Draw the intersection line of two general planes defined by triangles.

Determine the inclination angles of these planes to the projection planes. Define visibility. Solution methods: traditional (the method of cutting planes) and 3D modeling in Autodesk AutoCAD. The image of the 3D model is built in the model space. When building, 3D editing commands are used.

The results of the work are shown in Figure 1.

Individual task №2. Draw the intersection line of the polyhedrons. The construction of the flat patterns, the production of the physical model of the projected body, is glued from the paper on the basis of the flat pattern. Methods of solution: traditional (descriptive geometry) and 3D-modeling.

The results of the work are shown in Figure 2.

(a) (b) Figure 1: Plane in general position: plotting the line of intersection of planes using the methods of descriptive geometry (a) and 3D modeling (b). *Corresponding Author (I.V.Telegin) Email: v.telegin@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06Q http://TUENGR.COM/V10A/11A06Q.pdf DOI: 10.14456/ITJEMAST.2020.117

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(a) (b) (c) Figure 2: Polyhedron draw intersection line by methods of (a) descriptive geometry and (b) 3D modeling in the space of model and (c) sheet.

To build up the flat pattern of pyramid and prism 3D methods are used. One of the ways is sequential placement of the polyhedron faces in the plane of the screen (model space), then the construction of the base view in sheet space and the stroke of faces. The flat images obtained in sheet space of the sheet are combined along common faces into a single image of the sweep. The result is not informative, so in Figure 2 it is not given.

Individual task № 3. Draw a line of intersection of the surfaces of revolution. Task № 3 is similar to task №2. Difference: the construction of the flat pattern is carried out using the methods of descriptive geometry. The results of the work are shown in Figure 3.

Any rather complicated construction, which is the object of the professional activity of an engineer, this is most often the result of performing Boolean operations on three-dimensional bodies, which include the simplest (point, straight, plane) and more complex geometric images – the curved line, the surface and the body.

Figure 4 shows the front section of the product and its three-dimensional model. Probably one of the main tasks of descriptive geometry is to learn how to see in the image not a set of lines, but the result of combining three cylindrical surfaces with two conical surfaces and one torus with the subsequent subtraction of the surfaces of two conical, one cylindrical (hole) and screw (thread). The ability to work with three-dimensional structures in this way is one of the most important features that distinguish a professional engineer from the corresponding theoretical training.

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Viktor Valerievich Telegin, Igor Viktorovich Telegin

(a)

(b)

(c) Figure 3: Surfaces of revolution: draw intersection line by methods of descriptive geometry (a), 3D modeling in model space (b), and constructing a cone scan (c).

(а) (b) Figure 4: Representation of a complex object: (a) a drawing (b) a 3D model. *Corresponding Author (I.V.Telegin) Email: v.telegin@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06Q http://TUENGR.COM/V10A/11A06Q.pdf DOI: 10.14456/ITJEMAST.2020.117

5

5. CONCLUSION This article articulates the basic teaching of descriptive geometry via the use of Autodesk AutoCAD software as a learning tool. This is mechanical engineering 3D drawings help students in trainings of mechanical engineering and related disciplines to better apprehend the subject through visualization of the created models. Many vital complex computer graphic examples are included in this articles, from drawings to 3D models.

6. AVAILABILITY OF DATA AND MATERIAL No data is generated from this study.

7. REFERENCES [1] G. Monj, Descriptive geometry. Translation by V.F. Gaze. Under the general wording of TP. Kravtsa, Publishing of the Academy Sciences of Russia, 1947, p. 291.

[2] D.I.Kargin, G.Monj, “The creator of descriptive geometry “Gaspar Monj,” Collection of articles on the bicentennial Publishing of the Academy Sciences, 1974, http://www.detskiysad.ru/raznlit/monge2.html (Accessed July 2017).

[3] V.V. Telegin, A.M. Kozlov, A.V. Кirichek, Solid modeling in Autodesk Inventor at initial stage of training of specialists in field mechanical engineering. In: Radionov A, Kravchenko O, Guzeev V, Rozhdestvenskiy Y (eds) Proceedings of the 4th International Conference on Industrial Engineering.

ICIE 2018. Lecture Notes in Mechanical Engineering. Springer, 2019, Cham: 1241-1247, DOI: 10.1007/978-3-319-95630-5_130.

[4] V.V.Telegin, I.V. Telegin, A.V. Kirichek. Solid-state modeling and basic training of specialists in the field of mechanical engineering. IOP Conf. Series: Materials Science and Engineering, 483, 2019, 012004. DOI: 10.1088/1757-899X/483/1/012004.

[5] V. Telegin, I. Telegin, Solid Modeling in Professional Training of Specialists for Machine-building Enterprises, International Journal of Innovative Technology and Exploring Engineering, 8(9), 2019, DOI: 10.35940/ijitee.I3002.0789S319.

[6] V. Telegin, A. Kozlov,“Computer realization of research into the dynamics of mechanical systems,”IOP Conf. Series: Materials Science and Engineering 124, 2016. DOI: 10.1088/1757-899X/124/1/012101.

[7] I.V. Telegin, I.M. Volodin,P.I. Zolotukhin. The mathematical modeling for assessing the effectiveness of hot forging extruded round in plan forgings on crank presses. International Journal of Engineering & Technology, 7(2.2), 2018, pp. 30-34. DOI:10.14419/ijet.v7i2.2.9896.

[8] Telegin, A. Kozlov, A. Zhirkov, “Component simulation in problems of calculated model formation of automatic machine mechanisms,” MATEC Web of Conferences: ICMTMTE 2017, 129, 2017, pp.

03016. DOI:10.1051/matecconf/201712903016.

[9] P.I.Zolotukhin, I.M.Volodin, E.P.Karpaitis, A.I.Volodin, A.A.Schmidt. Study of the spring back of calibres in material forming processes of roll forging mills. Ironmaking and Steelmaking, 2017, pp.

1-5.

[10] I.V. Telegin, A.M. Kozlov,V.I. Sakalo. Solid Modeling and Dynamic Analysis of Mechanisms of Pressforging Machines, International Conference on Industrial Engineering, ICIE 2017, 206, 2017, 1258-1263. DOI:10.1016/j.proeng.2017.10.628.

[11] V. Telegin, A. Kozlov, T. Shumilova. Development and research of the rotating lever object as a dynamic model of a cycle mechanism. MATEC Web of Conferences: ICMTMTE 2018, 224, 2018, 02078. DOI:10.1051/matecconf/201822402078.

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Viktor Valerievich Telegin, Igor Viktorovich Telegin

[12] I.V. Telegin, V.V. Telegin. Mathematical model of the part shape and automation on its basis of the process of developing the drawing parameters of the axisymmetric forging. The Turkish Online Journal of Design, Art and Communication – TOJDAC, ISSN: 2146-5193, March 2018 Special Edition, pp. 458–464. DOI:10.7456/1080MSE/154.

Viktor Valerievich Telegin is an Associate Professor, Institute of Mechanical Engineering, Lipetsk State Technical University, Lipetsk, Russia. He is interested in research of Mechanical Engineering and Education.

Igor Viktorovich Telegin is an Associate Professor, Institute of Mechanical Engineering, Lipetsk State Technical University, Russia. His research encompasses Mechanical Engineering and Education.

Trademarks Disclaimer: All product names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. The use of them does not imply any endorsement or affiliation.

*Corresponding Author (I.V.Telegin) Email: v.telegin@yandex.ru ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06Q http://TUENGR.COM/V10A/11A06Q.pdf DOI: 10.14456/ITJEMAST.2020.117

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

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

PAPER ID: 11A06R

USE OF FULL-FAT SOY FLOUR IN COMPOUND FEEDS FOR MEAT CHICKENS OF THE INITIAL LINES AND BROILER CHICKENS Ivan Egorov

a*

a

a

a

, Vardges Manukyan , Tatyana Lenkova , Tatyana Egorova , Ilya Nikonov

b

Poultry Nutrition Department, Federal State Budget Scientific Institution Federal Scientific Center "All-Russian Research and Technological Poultry Institute" of Russian Academy of Sciences, RUSSIA. b Agrotehnopolis Scientific Research Unit, Perm State Agro-Technological University named after Academician D.N. Pryanishnikov, RUSSIA. a

ARTICLEINFO

Article history: Received 07 August 2019 Received in revised form 27 November 2019 Accepted 08 January 2020 Available online 24 January 2020

Keywords:

Initial lines B6, B7 and B8 of meat chickens; Chicken live weight; Feed for broiler chickens; Chemical composition of full-fat soy flour; Feed conversion.

A B S T RA C T

The article presents the results of studies on the use of full-fat soy flour in compound feeds for meat chickens of the three source lines and broiler chickens of the selection SSC “Smena”.

The studies were carried out on three initial lines of the bird: B6 - the maternal line of the paternal parent form of the Cornish breed, fast-growing, fast-changing.

The main breeding traits are growth rate, feed conversion, meat quality, egg production; B7 - paternal line of the maternal parent form of the Plymutrok breed, fast-fledged, breeding by egg production, hatchability, growth rate, feed conversion, viability; B8 is the paternal line of the maternal parent form of the Plymutrok breed, which is slowly changing and is selected for egg production, hatchability, growth rate, feed conversion, and viability. It has been established that 10% can be included in compound feeds for meat chickens, broilers 15% soy flour, provided that they are balanced in nutrients.

Disciplinary: Animal Sciences (Poultry Science, Animal Nutrition and Feed Technology), Biotechnology. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Soybean seeds processed by Russian oil and fat enterprises occupy second place after sunflower in the total amount of oilseeds. Their uniqueness is due to the possibility of simultaneously producing high-quality vegetable oil and high-protein meal and meal that can be used in the production of feed and serve as raw materials for the development of a wide range of food protein products - various types of soy flour, isolates, protein concentrates, as well as textured soy proteins. Soybean seeds also produce milk, tofu, miso, various sauces and other types of soy products, the interest in which in Russia in recent years has grown significantly (Arkhipov, 2007). *Corresponding author (I.Egorov). Tel: +7-81223166-83 Email: egorov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06R http://TUENGR.COM/V11/11A06R.pdf DOI: 10.14456/ITJEMAST.2020.118

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The leading countries in the field of industrial technologies for soybean processing are the USA and China. Russia also has experience in the processing of soybean; equipment has been developed for the production of soybean oil and protein products for food and feeds purposes (Domoroschenkova, 2012). The shelf life of soybean meal is short, so it is more profitable to purchase soybeans and process them at Russian oil and fat plants.

Soybeans contain up to 45% protein with a high level of essential amino acids, including lysine, threonine, tryptophan, as well as 13â&#x20AC;&#x201C;20% vegetable fat. Soybeans are not used in the feeding of poultry in its natural form due to the presence of anti-nutritional substances in them that inhibit trypsin activity, reduce feed efficiency or have a toxic effect. Raw soybeans contain about 20 mg / g trypsin inhibitor (at a maximum allowable concentration of 4.5 mg / g), as well as lipoxidase, hemagglutinins, and allergens. All of them are protein compounds, which under certain processing conditions undergo denaturation, and their activity decreases to a safe level (Fisinin, et al. 2000).

The quality of soy protein meets the most demanding requirements: it is easily digested (86â&#x20AC;&#x201C;98% depending on the type of product) and contains a set of all essential amino acids. The composition of proteins in soybean seeds varies significantly depending on the varieties and growing conditions. Soy protein improves the total amount of dietary protein when used in combination with other low-value cereals.

Toasted non-fat soya is a high-energy supplement to animal feed due to its high content of fat-rich in lecithin, plant steroids, and unsaturated fatty acids. It favorably combines starch and sugar, there are vitamins of groups B, C, and E, provitamin A. It is not inferior to highly valuable proteins of animal origin in the digestibility of iron. Also, soybean oil contains up to 55% linoleic acid, which is limiting (Mikhailova, et al. 2014). Toasted soybeans contain an average of 40% crude protein, 20% fat, and 7% crude fiber.

From the economy, full-fat toasted soy is not inferior to soybean meal and oilcake traditionally used in feeding and even surpasses them. If we take into account the greater energy value and lower production costs, then it has undeniable advantages. The low risk of compound feeds for poultry containing this product is also important because of the lower bacterial contamination due to the rejection of the use of animal products; improving their taste thanks to fried soybeans and reducing the intake of oils and fats. Soy products in the form of meal, oil, and flour are widely used in the feeding of farm animals and poultry (Egorova, et al. 2019).

In recent years, there has been an intensive study of full-fat soy flour as a source of essential amino acids, fatty acids, and energy when growing broiler chickens, as well as in the diets of breeding birds.

The purpose of this work is to study the effectiveness of using full-fat soy flour in compound feeds for meat chickens of the three source lines B6, B7 and B8, and broiler chickens.

2. METHOD The studies were carried out on three initial lines of the bird: B6 - the maternal line of the paternal parent form of the Cornish breed, fast-growing, fast-changing. The main breeding traits are growth rate, feed conversion, meat quality, egg production; B7 - paternal line of the maternal parent form of the Plymutrok breed, fast-fledged, breeding by egg production, hatchability, growth rate, feed conversion, viability; B8 is the paternal line of the maternal parent form of the Plymutrok breed,

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Ivan Egorova, Vardges Manukyan, Tatyana Lenkova, Tatyana Egorova, Ilya Nikonov

which is slowly changing and is selected for egg production, hatchability, growth rate, feed conversion, and viability (Egorova, 2018).

The studies determined the effect of full-fat soy flour in animal feed from plant components on the zootechnical parameters of broiler chickens and meat chickens of the initial lines B6 (Cornish breed), B7 (Plymouth breed) and B8 (Plymouth breed), and also evaluated blood biochemical parameters. To achieve this goal, zootechnical and physiological experiments were conducted under the conditions of the FSBI SGC "Zagorsk EPH" VNITIP. The chickens were kept in special cages of 25 animals in a group from 21 to 62 weeks old; broiler chickens were raised in Big Dutchman type cell batteries from daily to 35 days of age. The light, temperature and humidity conditions, the front of feeding and watering were by the recommendations of VNITIP (2015). The bird was fed with loose feed with nutrition according to the standards of VNITIP (2018). The level of exchange energy in feed for broiler chickens up to 21 days of age was 12.98 MJ/kg; for 22-28 days 13.19 MJ/kg and from 29 days to slaughter 13.4 MJ/kg with a crude protein level of 23, 21, 20, respectively, and the fiber level was in the range of 3.7–4.2%.

The norm of compound feed for meat chickens, taking into account live weight 147–162g per day per 1 goal, with a metabolic energy level of 11.3 MJ/kg up to 49 weeks and 11.1 MJ/kg from the 50th week with a crude protein level of 17.0 and 16.0%, respectively, age. When preparing recipes for compound feeds, the normalization of amino acids was carried out taking into account their digestibility, and all vitamins and minerals were introduced into compound feeds through a 1% premix. The experiments on broiler chickens and meat chickens were carried out according to the scheme shown in Table 1.

Table 1: Scheme of the experiment on broilers and meat chickens Group 1st - control

Feeding Features * The main diet (OR), balanced in all nutrients, by the norms of VNITIP OR with the inclusion of 15% full-fat soy flour for broiler chickens and 10% for chickens to 2nd - experienced replace part of soybean meal and sunflower oil **. * the experiment was carried out according to a single scheme for chicken lines B6, B7 and B8, and rational levels of input of full-fat soy flour in mixed feeds were determined in previous studies; ** Sunflower oil was not added to the diet of laying hens of the experimental group.

The study took into account the following indicators: the chemical composition of full-fat soy flour; preservation of livestock by accounting for waste and establishing its causes; live weight of broilers at the age of 1, 21 days and 35 days, and chickens at 21 and 62 weeks by individually weighing the entire population in groups; average daily gain in live weight. Also, the cost of feed per 1 kg of gain in live weight was taken into account at the end of the experiment; feed consumption for the entire growing period (1 kg per 1 goal); the digestibility and use by birds of the main nutrients of compound feed according to the results of physiological experience at the age of 30–35 days; the chemical composition of broiler pectoral muscles at the end of cultivation, egg-laying on the initial laying layer in 62 weeks, egg mass at 30 weeks of age, and incubation egg yield.

3. RESULT AND DISCUSSION An analysis of the chemical composition of full-fat soy flour showed that its crude protein content was 34.5% at a level of crude fat of 17.4%, crude fiber 6.80%, calcium 3.95% and phosphorus *Corresponding author (I.Egorov). Tel: +7-81223166-83 Email: egorov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06R http://TUENGR.COM/V11/11A06R.pdf DOI: 10.14456/ITJEMAST.2020.118

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0.67%. The exchange energy was at the level of 14.65 MJ/kg. By the content of crude protein, full-fat soybean meal was 7.7% less than soybean meal, and by 39.84% and 4.10 MJ/kg in terms of fat and metabolic energy, respectively. The chemical composition of full-fat soy flour is presented in Table.

2. Table 3 gives the content of polyunsaturated fatty acids in soybean oil was significantly higher than in beef fat.

Table 2: The chemical composition of full-fat soy flour, flakes, and meal.

Indicator Full Fat Soya Meal Soybean flakes Soybean meal Moisture, % 9.92 9.28 10.11 Exchange energy, MJ/kg 14.39 10.29 11.07 Crude protein, % 35.1 48.8 35.4 Fat, % 18.04 1.35 6.01 Crude fiber, % 7.29 7.57 7.35 Linoleic acid, % 8.33 0.61 3.02 Ash, % 4.35 7.02 6.85 Calcium, % 0.22 0.40 0.37 Phosphorus, % 0.65 0.64 0.62 Total acidity, oN 5.02 5.77 6.44 Peroxide value, mol 1/2/0 0.37 0.41 0.49 Toxicity, % Nontoxic Nontoxic Nontoxic Amino acids, %: lysine 1.82 2.69 2.19 histidine 1.07 1.20 0.99 arginine 2.77 3.44 2.57 Aspartic acid, % 2.20 3.25 3.04 Threonine, % 1.47 1.69 1.61 Serine, % 1.35 1.80 1.47 Glutamic acid, % 10.62 9.04 9.01 Proline, % 1.51 1.84 1.59 Glycine, % 1.95 1.99 1.54 Alanine, % 1.90 1.81 1.74 Cystine, % 0.49 0.64 0.52 Valin, % 1.65 1.99 1.90 Methionine, % 0.48 0.62 0.45 Isoleucine, % 1.50 1.72 1.70 Leucine, % 2.66 2.77 2.81 Tyrosine, % 1.42 1.60 1.40 Phenylalanine, % 2.02 2.20 2.12 Urease activity, pH 0.24 0.17 0.20 Soluble protein, % 79 77 75

Table 3: Fatty Acid Composition of Soybean Oil and Beef Fat Indicator Soybean oil Palmitic, % 11.01 Stearic, % 4.44 Oleic, % 24.02 Linoleic, % 54.45 Linolenic, % 8.29 Tocopherols, mcg/g: α 140 β 25 γ 710 δ 305

Beef fat 29.70 14.92 39.01 2.69 0.47 – – – –

The main fatty acids that enter the body of a bird with soybean oil are p-6 and p-3 polyunsaturated fatty acids, cis and trans isomers of monounsaturated fatty acids. Each category of these fatty acids has a significant effect on lipid metabolism and the degree to which fats are

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Ivan Egorova, Vardges Manukyan, Tatyana Lenkova, Tatyana Egorova, Ilya Nikonov

consumed by the body.

Zootechnical indicators obtained in the experiment on broilers are presented in Table. 4.

Table 4: Zootechnical indicators in the experiment on broiler chickens.

Group 1 2 Preservation, % 100.0 100.0 Average live weight, g: 1 day.

42.9 ±0.10 43.2 ±0.11 4 days 91.4 ±0.36 93.4 ±0.42 7 days 144.2±1.41 151.3±1.35 14 days 407.5±5.02 439.2±6.01 21 days 820.5±12.5 867.0 ±16.4 35 days., G (on average), including 1975.7 2064.9 cockerels 2134.7±35.4 2220.9±37.5 chickens 1816.7±31.1 1908.9±32.3* The average daily gain in live weight, g 55.22 57.76 Feed intake 1 goal., Kg, for 35 days 3.047 2.992 The cost of feed per 1 kg of increase in live weight, kg, for 35 days 1.542 1.480 Slaughter yield, % 72.3 72.5 * Р≤0,05.

Indicators

According to Table. 4, the introduction of full-fat soy flour in an amount of 15% in the diets of broilers provides 100% safety of young animals. The live weight of broilers in the experimental group at 21 days of age was 867.0 g; in the 35-day-old - 2064.9 g, which is higher than the control bird by 5.7 and 4.5%, respectively, of the age periods. At the age of 35 days, the live weight of the hens in the experimental group was 5.1% higher (P≤0.05), and the males were 4.0% higher than the control group. The research results showed that males and hens reacted almost equally (in terms of live weight) to the inclusion of full-fat soy flour in mixed feeds.

When using 15% full-fat soy flour in broiler diets, the average daily gain in live weight was higher than the control by 5.0%. The large live weight of the experimental young by the end of the cultivation provided a high feed conversion. Feed costs per 1 kg of live weight gain in the experimental group amounted to 1.480 kg and were lower than in the control group by 4.0%.

Table 5 presents the main indicators of digestibility and use of feed nutrients.

Table 5: Key indicators of digestibility and nutrient utilization of feed in broiler chickens aged 30-35 days Group 1 2 Digestibility, %: dry matter 70.88±0.17 72.14±0.14*** protein 91.77±0.22 93.37±0.30* The use of nitrogen, % 62.40±0.15 63.27±0.14** Availability, %: lysine 82.7±0.27 82.9±0.25 methionine 80.4±0.22 81.7±0.24* Digestibility of fat, % 71.21±0.31 75.07±0.20*** Use, %: calcium 36.3±0.21 37.9±0.22 phosphorus 56.5±0.17 56.4±0.19 Indicators

* P≤0,05; ** P≤0,01; *** P≤0,001.

The digestibility of dry matter and protein in the experimental group of chickens, which were *Corresponding author (I.Egorov). Tel: +7-81223166-83 Email: egorov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06R http://TUENGR.COM/V11/11A06R.pdf DOI: 10.14456/ITJEMAST.2020.118

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obtained in the feed composition of 15% full-fat soy flour, was 72.14 and 93.37%, which is 1.26 and 1.60% higher than the control (P≤0.001 and P≤ 0.05). The use of feed nitrogen in the experimental group was higher by 0.87% compared with the control group (P≤0.05). The availability of lysine and methionine from experimental feed was 82.9 and 81.7%. The digestibility of fat from animal feed containing 15% full-fat soy flour in broilers of the experimental group was at the level of 75.07%, exceeding the control by 3.86% (P≤0.001). The use of calcium and phosphorus by experienced broilers practically did not differ from the control.

When using full-fat soy flour in animal feed in experimental young animals, there was a tendency to increase the level of protein in the pectoral muscles, compared with the bird of the control group by 0.4%. The content of fat and ash in the pectoral muscles of the experimental and control groups was practically the same. There were no significant differences in the content of dry matter broilers in the pectoral muscle.

In the experiment on laying hens of the initial lines B6, B7, and B8, it was found that the safety of the livestock for the period of 21–62 weeks was at the level of 100% (Table 6).

Table 6: Zootechnical indicators of meat chickens of the initial lines B6, B7 and B8 for 21–62 weeks Indicators The safety of the livestock, % Live weight g: at the beginning of the experiment (21 weeks) at the end of the experiment (62 weeks) Egg production for the initial laying hen in 62 weeks, pcs.

The mass of eggs at 30 weeks of age, g The output of hatching eggs, %

Б6

Б7

Б8

1st group 100.0

2nd group 100.0

1st group 100.0

2nd group 100.0

1st group 100.0

2nd group 100.0

2408±34.5

2420± 31.1

2281± 32.4

2297± 39.2

2275± 31.4

2281± 37.7

4490±45.0

4501± 38.2

4025± 40.7

4030± 43.4

4037± 45.5

4040± 38.4

118

120

158

161

157

160

62.3±0.19 91.2

62.4± 0.21 91.8

60.6± 0.20 93.4

60.8± 0.24 93.6

60.2± 0.23 93.3

60.4± 0.24 93.5

Studies on the baseline lines of meat chickens showed that replacing soybean meal with full-fat soy flour with the exclusion of vegetable oil from animal feed made it possible to ensure high productivity of the experimental poultry. Egg production for the initial laying hen for 62 weeks along the B6 line in the experimental group was 120 eggs, in the control - 118; along the B7 line - 161, in the control - 158; along the line B8 - 160 eggs, in the control - 157. According to the mass of eggs on each line at 30 weeks of age, no significant differences were found between the control and experimental birds. The yield of hatching eggs along line B6 was 90.2 and 91.8%; along the line B7 - 93.4% and 93.6% and along the line B8 - 93.5% in the control and experimental groups. Thus, full-fat soy flour is a valuable protein and energy product. It contains 14.39 MJ of metabolic energy per 1 kg, 35.1% of crude protein, 18.04% of crude fat.

4. CONCLUSION This study showed that the inclusion of 15% full-fat soy flour in mixed feed broilers and 10% in mixed feed chickens of the original lines B6, B7 and B8 with a balanced feed for amino acids and other nutrients makes it possible to obtain high zootechnical indicators.

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Ivan Egorova, Vardges Manukyan, Tatyana Lenkova, Tatyana Egorova, Ilya Nikonov

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

6. ACKNOWLEDGEMENT The study was performed at the FSC ARRTPI RAS, with the aid of the Russian Science Foundation, grant No. 16-16-04089-P, for the study of the physiological and microbiological characteristics of the embryonic and postembryonic digestion in meat chicken to develop feeding programs ensuring complete use of genotype potential”.

7. REFERENCES Arkhipov A.V. (2007). Lipid nutrition, poultry productivity and quality of poultry products. M. Agribusiness Center. 440.

Domoroschenkova M.L. (2012). Oilcake and oilseed meal as the most important source of feed protein.Feed production. 3, 38–39.

Efimov D.N., et al. (2018). Poultry selection of the initial lines of the Plymouth breed using marker genes “K” and “k”. Agricultural Biology. 53(6), 1162–1168.

Egorov, I., Manukyan, V., Lenkova, T., Egorova, T. (2020). Use of White Lupine in the Diets of Meat Chickens of Baseline and Broiler Chickens of Selection of SGC "SMENA". International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies.

11(5), 11A05T: 1-7.

Egorova A.V. (2018). The use of modifier genes in working with meat chickens. Poultry farming.

10, 2–7.

Egorova A.V., Emanuylova Zh.V., Efimov D.N. (2019). Autosex maternal parent form of meat chickens of the Smena breeding and genetic center. Poultry farming. 5, 8–13.

Egorova A.V., et al. (2018). Assessment of meat chickens of the initial lines of the breeding herd by the growth rate at an early age. Poultry farming. 6, 8–13.

Egorova A.V., et al. (2019). Perfection of the bird of the paternal line of the paternal parental form of the cress breeding herd “Change 8”. Chief livestock specialist. 4, 36–45.

Emanuilova J., et al. (2018). Criteria for increasing the yield of hatching eggs of meat chickens.

Poultry farming. 3, 2-6.

Fisinin V.I., et al. (2000). Feeding poultry. Sergiev Posad. 375.

Fisinin V.I., et al. (2018). Dynamics of the activity of digestive enzymes and the content of deposited nitric oxide in the blood plasma of males after feeding. Russian Physiological Journal THEM. 8, 976–983.

Laporte J.C., Tremolieres J. (1971). Regulation hormonale de la sécrétion enzymatique du pancréas exocrine. Comptes rendus de l'Académie des Sciences. 273, 1205-1207.

Linnikov P.I. (2018). Russian soybean market: trends, development prospects. Agrarian scientific journal. 10, 81–86.

Mikhailova A.G., et al. (2014). Cloning, sequencing, expression, and characterization t thermostability of oligopeptidase B from Serratia proteamaculans, a novel psychropr. *Corresponding author (I.Egorov). Tel: +7-81223166-83 Email: egorov@gmail.com ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN 2228-9860 eISSN 1906-9642 CODEN: ITJEA8 Paper ID:11A06R http://TUENGR.COM/V11/11A06R.pdf DOI: 10.14456/ITJEMAST.2020.118

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protease. Protein Expres. Purif. 93, 63–76.

Ponomarenko Yu.A., Fisinin V.I., Egorov I.A. (2012). Safety of feed, feed additives, and food.

Minsk. Ecological perspective. 864.

Ponomarenko Yu.A., Fisinin V.I., Egorov I.A. (2013). Feed, biologically active substances, safety.

Minsk. Belstan. 872.

Rothman S., Leibow C. and Isenman L. (2002). Conservation of Digestive Enzymes. Physiological Reviews, 82, 1–18.

Dr.Ivan Egorov is Head of Scientific Direction - Poultry Nutrition, Federal State Budget Scientific Institution Federal Scientific Center "All-Russian Research and Technological Poultry Institute" of the Russian Academy of Sciences (FSC ARRTPI RAS). He holds Doctor of Biological Sciences. He is interested in Poultry Nutrition and Feed Technology.

Dr.Vardges Manukyan is Head of Poultry Nutrition Department, Federal State Budget Scientific Institution Federal Scientific Center "All-Russian Research and Technological Poultry Institute" of the Russian Academy of Sciences (FSC ARRTPI RAS). He holds a Doctor Of Agricultural Sciences. He is interested in Poultry Nutrition and Feed Technology.

Dr.Tatyana Lenkova is a Principal Researcher, Scientific Secretary, Federal State Budget Scientific Institution Federal Scientific Center "All-Russian Research and Technological Poultry Institute" of the Russian Academy of Sciences (FSC ARRTPI RAS). She holds a Doctor of Agricultural Sciences. She is interested in Poultry Nutrition and Feed Technology.

Tatyana Egorova is a Deputy Director for Science, Federal State Budget Scientific Institution Federal Scientific Center "All-Russian Research and Technological Poultry Institute" of the Russian Academy of Sciences (FSC ARRTPI RAS). She holds a Doctor of Agricultural Sciences degree. She is interested in Poultry Nutrition Development.

Ilya Nikonov is a Leading Researcher, Scientific Research Unit “Agrotehnopolis”, Perm State Agro-Technological University named after Academician D.N. Pryanishnikov. He is a Candidate of Biologic Sciences. He is interested in Poultry, Nutrition, and Feed Technology.

Trademarks Disclaimer: All products names including trademarks™ or registered® trademarks mentioned in this article are the property of their respective owners, using for identification and educational purposes only. Use of them does not imply any endorsement or affiliation.

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Ivan Egorova, Vardges Manukyan, Tatyana Lenkova, Tatyana Egorova, Ilya Nikonov

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

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

PAPER ID: 11A06S

A ROBUST VIDEO STABILIZATION ALGORITHMS FOR GLOBAL MOTION ESTIMATION USING BLOCK MATCHING 1

1

2

Syed Shuja Hussain , Muhammad Nazir , Sunil Kumar Sharma , M. A. Rahim Khan 1 2

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Department of Computer Science, Majmaah University, Majmaah 11952, SAUDI ARABIA. College of Computer and Information Sciences, Majmaah University, Majmaah 11952, SAUDI ARABIA.

ARTICLEINFO

Article history: Received 02 September 2019 Received in revised form 03 January 2019 Accepted 14 January 2020 Available online 25 January 2020

Keywords: Global motion vectors; Video stabilization; Block matching, Camera motion; Smooth motion vector; Low pass filter; Block Matching Algorithm.

A B S T RA C T

In a camera dictionary, shakiness jitters are normally used. Jitteriness problem is encountered due to frequent use of a phone camera. Shooting video from moving vehicles or by using a handheld phone camera causes Shakiness. Block matching algorithms can be used for implementing the video stabilization process. The proposed algorithm in this paper avoids shakiness from a raw video of YUV and results in stabilizing in YUV video. The proposed method works on extracting motion among consecutive frames of any raw video. With respect to every scene of the video, premeditated camera motions like panning and translation motion are smooth with slow variations in the time realm from frame to frame.

Fast motion variation with respect to frame to frame is increased while sponging the camera motion. A low pass filter can be used to find the recovery of the calculated motion parameters. The corrective shifting of noisy components of the motion vector stabilized the video images. The accurate result can be achieved by a successful run on shaky video without hampering its quality. The parallel processing techniques have been applied for the estimation of motion vectors, the results improved by applying to modify the proposed algorithm for dropping the operation time of the program.

Disciplinary: Computer Science and Engineering. ©2020 INT TRANS J ENG MANAG SCI TECH.

1 INTRODUCTION Video quality is reduced while taking the video from moving vehicles or by the handheld camera due to shaking. Video stabilization by using digital image processing methods is useful to avoid the camera motion (Zhang, et al, 2015). In this paper, video stabilization & various real word stabilizing video applications along with YUV videos i.e. Raw format videos are discussed. This is the preprocessing of data captured by the camera before saving it in standard formats as .avi or .mpeg for the stabilization process. There are some handshaking effects in the videos captured by these devices (Rawat, et al, 2013). These effects from videos can be removed by using digital stabilization methods. *Corresponding author (M. A. Rahim Khan) Email: m.khan@mu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06S http://TUENGR.COM/V11/11A06S.pdf DOI: 10.14456/ITJEMAST.2020.119

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Video stabilization plays an important role in dynamic image coding and processing to remove hand-shaking effects in a handheld camera or PC (Yang et al., 2015). The proposed application can be installed in these handheld cameras or PC to get converted stabilized video and its further processing from a raw video (Okayed et al., 2015).

2 BACKGROUND OF PROBLEM The vibrations and undesired motion occur in the video during the video acquisition process make the video unstable so that the video stabilization techniques are required to fix the issues related to detecting and correcting the malfunctions. Several video stabilization techniques have been developed till today for a wide range of performance, the fast strategies are the most significant to get real-time video stabilization on embedded devices (Giovanni et al. 2011). The adaptive Gaussian filters are a powerful technique for video stabilization (Souza, 2018).

The challenges in the video stabilization in the block â&#x20AC;&#x201C;matching algorithm to reduce the computing requirement and complexity to obtain high accuracy with various constraints to achieve the optimum video stabilization and tracking of the path of the original video (Li et al., 2014).

Many schemes have been proposed for video stabilization that uses various transformations and estimation approaches. Hung-Chang et al. (2004) proposed to use the Affine Transformation in the video stabilization process. The motion estimation between sequential frames has been calculated by the 6-parameter affine transformation đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ľđ?&#x2018;Ľ, đ?&#x2018;Śđ?&#x2018;Ś, đ?&#x2018;Ąđ?&#x2018;Ą) and đ?&#x2018;&#x201C;đ?&#x2018;&#x201C;(đ?&#x2018;Ľđ?&#x2018;Ľ, đ?&#x2018;Śđ?&#x2018;Ś, đ?&#x2018;Ąđ?&#x2018;Ą â&#x2C6;&#x2019; 1). The proposed affine model can capture various attributes of the motion like scale, rotation & translation, etc. This model can be extended to incorporate polynomials with higher orders that can handle motion in a better manner. A quadratic error function is minimized to estimate parameters of an affine transformation. The proposed model can manage and recognize rotation, translation & scaling motions among the various frames however it is computationally extensive as large no of parameters is to be examined.

The k-means clustering algorithm helps in stabilized the video by eliminating the local motion vector due to the shaking videos (Wu et al., 2017). This method's advantage is to provide robust security effectively.

Liu et al. (2009) discussed a procedure that changes a video from a camcorder, so it shows up as though it were taken with a coordinated camera movement. The proposed technique changes the video to show up as though it were taken from adjacent perspectives, permitting 3D camera developments to be reenacted. The structure form â&#x20AC;&#x201C; motion is a very powerful technique for the smoothing motion of a three-dimensional model (Liu et al., 2011) in this technology the quality of stabilization is high but it required the high computing requirement.

This strategy first recuperates the first 3D camera movement and a meager arrangement of 3D, static scene focuses on utilizing an off-the-rack structure-from movement framework. At that point, an ideal camera way is figured either consequently (e.g., by fitting a straight or quadratic way) or intelligently. At long last, its strategy plays out a slightest squares advancement that registers a spatially-changing twist from each info video outline into a yield outline.

Battiato et al., (2009) proposed a framework in which the SHIFT feature tracked to handle inter-frame motion in consecutive frames. The proposed approach doesnâ&#x20AC;&#x2122;t lean on a point detector taken before the criteria of the SHIFT descriptor. So the performance is measured depending on various point detection approaches by selecting proper detectors for increasing the quality of stabilization (Xie et al., 2015).

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S.S.Hussain, M.Nazir, S.K. Sharma, M.A.R. Khan

First, the Feature points are identified & then by using fuzzy logic modeling and geometric error measures, its stability is calculated. For evaluating the matching quality, two types of error measures are used (Abdullah et al., 2012): i.

The approach Angle between the two local motion vectors is acquainted with rotational components.

ii.

The other approach Euclidean remove among expected and genuine points: well suited for coordinating that does not agree with got translational parts is rejected. It may not create the right outcome for fringe focuses amid the event of turn. The fluffy model can be utilized to remunerate this which takes two blunder measures as info and gives a solitary quality record as yield. The yield is a genuine incentive in the range [0, 1] that speaks to the level of coordinating among the different sets of focuses.

Another approach for video stabilization is content-based video retrieval [CBVR] is widely used for the data likewise visual, audio or metadata. CBVR techniques have the three main features: Key-frame detection, Shot boundary detection and video retrieval. The techniques are effective to extract the texture, local and global color and preserve the motion features of the videos (Mohamad et al., 2016).

3 FORMULATION OF PROPOSED RESEARCH WORK The proposed research problem is formulated sequentially as per shown with the following steps in Figure 1.

Frames are read from Video Sequences Motion is calculated with respecte to previous frames Formation of Global Motion Vector from the recoreded frames Extraction of Desired motion Extraction of Noisy Motion To write the Stabilized Frames for Noisy Motion Figure 1: YUV Format Process flowchart There are three parts in YUV arrange that are utilized to encode a video or shading picture i.e. one Luma segment Y' (White and Black Component) and the important is a feature that the color chrominance components U and V. Y'UV was presented by researchers amid the structure of shading TV in the highly contrasting framework. A flag transmission technique was required that was good with high contrast TV and ready to include hues [Kalvein Rantelobo, et al,2016]. The Luma part is *Corresponding author (M. A. Rahim Khan) Email: m.khan@mu.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06S http://TUENGR.COM/V11/11A06S.pdf DOI: 10.14456/ITJEMAST.2020.119

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now there as a dark and white flag. The UV flag is added as an answer to the said necessity. The structure of the YUV420 outline appears in Figure 2.

Figure 2: UV420 signal Frame.

For every pixel, Y esteems are extraordinary. As appeared in Figure 2, 2*2 squares of pixels are utilized to share U and V esteems. Y esteems are put away first, at that point U esteems lastly V esteems at adjoining memory areas to frame a byte stream. Since the proposed research work needs to appraise the movement between persistent edges, so just Y esteems are utilized and remunerated U and V outline esteems are adjusted by assessed movement (Yang et al., 2015).

3.1 DIGITAL VIDEO STABILIZATION ALGORITHMS For Digital Video Stabilization, several different approaches are available. Few of them are Differential based, matching based, Energy-based, and Phase based approaches (Suneja et al, 2010).

The video stabilization approaches are - NR Iterative Approach for Video Stabilization, Affine Transformation Based Video Stabilization and Block Matching Algorithm and Dual-Tree complex wavelet transform (DT-CWT) (Pang, 2010).

The proposed research focuses on Block Matching Algorithm. In Block Matching Algorithm, motions between consecutive frames are estimated. It is done by matching the current frame-blocks with previous frames.

Figure 3: Motion Stabilization Architecture Block Diagram.

The Motion Estimator reads video frame sequences first and then compute the differences between consecutive frames. Further, the possible motion is expected, and a motion vector is generated. This generated motion vector is produced to Motion Smoother that eliminates unwanted motions. Finally, based on smoothed motion vector sequences, the Motion Corrector does require adjustments to produce output as stabilized video sequences or frames (as shown in Figure 3). In the proposed research, the basic assumption is taken that the motion is translational only.

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S.S.Hussain, M.Nazir, S.K. Sharma, M.A.R. Khan

3.2 VIDEO STABILIZATION PROCESS: MOTION ESTIMATION In motion estimation there are thee three steps, In the first step, the image is divided into a small block of the size16 * 16 pixels. The frame comparison iteratively takes place. It has been compared that the next frames matched a block to the previous frame with the proximity of 8 pixels in each direction (Mostafa et al., 2016). The Sum of Squared Differences (SSD) is calculated to decide the local and global motion vector of each block.

Figure 4: Key Block for the reference and Current image for Best Match The video captured have the sequential frames, the key block is important in the whole image for the block matching. The local motion vectors have been obtained by the fast block and used to generate the Global motion vector between the iterative frames through the affine model using the method of least squares (Hong et al., 2010).

Figure 5: (a) Quiver plot of the motion vector, (b) Histogram of the motion vector.

Figure 5, the quiver plot in the form arrows displays the local motion vectors for the image. If the components ( đ?&#x2018;˘đ?&#x2018;˘(đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;) , đ?&#x2018;Łđ?&#x2018;Ł(đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;)) transform in (đ?&#x2018;Ľđ?&#x2018;Ľ (đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;), đ?&#x2018;Łđ?&#x2018;Ł (đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;) ) . The dimension of the matrices đ??´đ??´ = [ đ?&#x2018;˘đ?&#x2018;˘, đ?&#x2018;Łđ?&#x2018;Ł ] đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; đ??ľđ??ľ = [ đ?&#x2018;Ľđ?&#x2018;Ľ, đ?&#x2018;Śđ?&#x2018;Ś] should be the same size and hold the correspondence between position and velocity components. The Global Motion of video sequences is represented by these Local Vectors.

Some random values in the graph represent the variation from the desired motion. Local motions of the objects in the frame are represented by these local vectors. The local motion in a video has been considered for the objects and global motion as the motion of the background.

Figure 5(b) depicts the histogram of the Local Motion Vectors for the objects in the horizontal & vertical direction of the frames. The horizontal component Global Motion đ??şđ??şđ??ťđ??ťđ??ťđ??ťđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = |â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ??ťđ??ťđ??śđ??śđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; |

where đ??ťđ??ťđ??śđ??śđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; is the of Local Motion Vectors in the horizontal direction. Similarly, the other components in The horizontal component Global Motion đ??şđ??şđ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; = |â&#x2C6;&#x2018;đ?&#x2018;&#x203A;đ?&#x2018;&#x203A;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ??śđ??śđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; | where đ?&#x2018;&#x2030;đ?&#x2018;&#x2030;đ??śđ??śđ?&#x2018;&#x2013;đ?&#x2018;&#x2013; is the of Local Motion Vectors in the vertical direction.

The sequence of the frame makes the series of vectors that represent the motion of the sequential *Corresponding author (M. A. Rahim Khan) Email: m.khan@mu.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06S http://TUENGR.COM/V11/11A06S.pdf DOI: 10.14456/ITJEMAST.2020.119

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blocks of the key-frame. The histogram approach has been used for the robustness of the model. The bivariate variance of the blocks of the image is 1

đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; ���� đ?&#x153;&#x17D;đ?&#x153;&#x17D;2 = đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161;đ?&#x2018;&#x161; â&#x2C6;&#x2018;đ?&#x2018;&#x161;đ?&#x2018;&#x161; đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;=1 â&#x2C6;&#x2018;đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;=1ďż˝đ??ľđ??ľđ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; (đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;, đ?&#x2018;&#x2014;đ?&#x2018;&#x2014;) â&#x2C6;&#x2019; đ??ľđ??ľđ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; ďż˝

2

(1),

where, đ??ľđ??ľđ?&#x2018;&#x2DC;đ?&#x2018;&#x2DC; denotes the block need to register. Higher values of the standard deviation result that the image has a high level of residual.

3.2.1 LOCAL MOTION VECTOR (LMV) The components of the LMV in the horizontal and vertical are denoted by the symbols đ?&#x2018;&#x2039;đ?&#x2018;&#x2039; đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D;đ?&#x2018;&#x17D; đ?&#x2018;&#x152;đ?&#x2018;&#x152; respectively. The local motion vector has the instances the same as the total number of the frames in the videoâ&#x20AC;&#x2122;s sequences reduced by one. The size of the vectors is calculated by the number of blocks discretize in a frame. Each frame of the videoâ&#x20AC;&#x2122;s sequences has a motion of the blocks of the frame and results in mapping with a correspondence block.

3.2.2 GLOBAL MOTION VECTOR (GMV) The GMV has the horizontal and vertical components and represents by X and Y. The size of GMV is obtained by the count of the video frames and reduced by one. i.e. n-1 relative motions are stored if there exist n frames in a video. This global motion vector is used to find the complete motion of the new frame with the corresponding old frame.

3.2.3 MOTION SMOOTHER The motion smoothing the videos the global motions plays a key role. The Global for the consecutive frames of the video sequences the following method is applied due to the block matching of the consecutive frames. đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; (đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;) = đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; (đ?&#x2018;&#x2013;đ?&#x2018;&#x2013; â&#x2C6;&#x2019; 1) + đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;đ?&#x2018;&#x201A;(đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;)

(2).

For removing the shakes and jitters, this New GMV is required to be smoothed. In this work, the window size đ?&#x2018;&#x203A;đ?&#x2018;&#x203A; = 5 is considered and MA (Moving average) is taken as a smoothing filter. The GMV gives the displacement between any two frames that can be found. This vector has the limitation; the motion cannot be compensating due to the involvement of all the desired motion in smoothing the motion. All unwanted motion must be compensated. There is no need to remove the desired motion. Smooth Motion Vector can be found by smoothing New Global Motion Vector which contains only the required motion as all unwanted random motion has been removed by its smoothing.

Figure 6 shows that by using the smoothening process, all unwanted random shakes are removed that resulting only in the synthesized frame for the corresponding vector, in the smoothening process known as New GMV. The camera motion should be used in such a way that no black borders appear in the stabilized video frame. This new GMV is used to smoothing the motion vector. However, the size and structure of the new GMV do not affect in the smoothing process.

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Figure 6: Smooth motion & original new global motion vector (a) vertical and (b) horizontal directions.

3.2.4 MOTION CORRECTION In the frames of the video, the time elapsed for the two frames is very less, this small-time acquisition results in the poor quality of the images. In many applications like brain imaging lot of physiological change takes place results in poor images. The series of images must produce some functional information. The information gathered with the help of the statistical analysis of the data obtained by the series of the frames. To fit the data for the analysis of the motion it should be well corrected. Motion compensation is performed through Motion corrector. It is also used to construct the smoothed frames. The error in motion must be found after calculating all the required motion is called as the smooth motion vector. The stored difference vector calculated as đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;đ?&#x2018;&#x2018;đ?&#x2018;&#x2018; [đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;] = đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; đ?&#x2018; [đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;] â&#x20AC;&#x201C; đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2020;đ?&#x2018;&#x2020; [đ?&#x2018;&#x2013;đ?&#x2018;&#x2013;]

(3).

When unwanted motions are found, this motion is compensated while finding the new stabilized video sequences.

Figure 7: Process of entire video stabilization.

In Figure 7, Input frames are represented by I1, I2, I3, components of Global Motion Vector are represented by GMV1, GMV2, components of smooth motion vectors are represented by SMV1, SMV2, components of difference Vectors are represented by DV1, DV2 and final smoothed stabilized frames are represented by O1, O2. DV1 is applied by Motion corrector on frame 1 to generate smoothed frame 2 and DV2 is applied on input frame 2 (I2) to generate smoothed frame 3 *Corresponding author (M. A. Rahim Khan) Email: m.khan@mu.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06S http://TUENGR.COM/V11/11A06S.pdf DOI: 10.14456/ITJEMAST.2020.119

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and continued sequentially. The thick lines represent the motion correction in the entire video stabilization process.

4 DESIGN Following modules are used to modularize the proposed application: i.

GrabFrame: Frames from input video sequences are garbed through this module and total numbers of frames are calculated. Some data structure is used to store Y, U, V pixel values separately.

ii.

Get motion: this module compares two consecutive frames. Further local motion vector and global motion vectors are calculated through it.

iii.

Calmotion: A block matching algorithm is implemented through this module. Also, the current and previous frames are compared. The frame is divided into a block of 16 * 16 pixels. Each current frame block and its corresponding previous frame-blocks are compared in the proximity of 16 pixels.

iv.

Mode: Mode function is implemented through this module. The global vector depends on the mode value of the Local motion vectorâ&#x20AC;&#x2122;s mode.

v.

MovingAvg: This module is important and has a similarity with the low pass filter. An accumulated version of GV and new GV are the inputs of this module. Due to movement of the camera & desired motion, shaky motions are contained in this vector and it is the component of a high pass in new GV which has been removed because of the low pass filter. So smooth vector is the output of this module. The element of vector that gives the noisy component information can be achieved by Subtracting the smooth vector from the new global vector that is called diffvector.

vi.

Write: Through this module, stabilized frames are written back to the corresponding output file.

The first input frame is written as same. Due to camera vibration, diffvectorâ&#x20AC;&#x2122;s ith element is like the forward shift operator of the frames. Therefore, the backward shift of the frame associated with the diffvector [i]. The black color is used to fill the edges (Suneja, et al, 2010).

5 TESTING AND ANALYSIS Virtual videos are used to examine all the code first. Even small jitter ware removed with high precision so we get results of fine quality. Then using a digital camera, some videos were shot with heavy shakes & vibrations. By some debugging and modifications, we get similar results when tested the code with these videos.

Video stabilization results for YUV video was shown in the given demo. The video was captured

by Cannon digital camera in mp4 format that is converted to YUV format by using yuv_tools with resolution 176 * 144 pixels.

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S.S.Hussain, M.Nazir, S.K. Sharma, M.A.R. Khan

Figure. 8: Support Window after running code on information video Z.yuv Figure 8 shows the video file name (input), width & height of the video output video name, which are the inputs to the program.

Figure 9: Sequential frames of Input Video.

Figures 9 and 10 show the mapping between the sequential frames and stabilized frames. The figure clearly shows that after applying the block matching video stabilization techniques the image is less shaky.

Figure 10: Stabilized frames of corresponding output video. *Corresponding author (M. A. Rahim Khan) Email: m.khan@mu.edu.sa Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06S http://TUENGR.COM/V11/11A06S.pdf DOI: 10.14456/ITJEMAST.2020.119

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The shaky motion, all frames have been compensated. Since some frames are shifted corresponding to the defector, so some pixels are required to be filled to keep the same frame size.

That’s why there is some black color is there at the frame’s edges.

6 CONCLUSION The proposed worldwide movement assessment calculation depends on 3 stage assessment demonstrate that can be utilized to expel hand-shaking impacts with great execution for translational video movements. C++ is utilized to actualize the proposed calculation. Recordings can be balanced out correctly by evacuating instability with the created Video Stabilizer with no quality debasements.

The outcomes delivered by the proposed calculation are worthy of genuine and virtual or mimicked recordings. The proposed calculation can be utilized to expel the hand-shaking impacts by video adjustment that is difficult to dispense with close by held gadgets like cameras or cell phones. The square coordinating calculation is utilized to execute a video adjustment process that requires tremendous calculation for SSD calculation. Parallel preparing (like Compute Unified Device Architecture (CUDA®)) for estimation of movement vectors can be utilized to change the proposed calculation for dropping the activity time of the program.

7 DATA AND INFORMATION AVAILABILITY Relevant information can be made available by contacting the corresponding author.

8 ACKNOWLEDGMENT The authors thank Deanship of Scientific Research at Majmaah University for supporting this work under Project Number No. 1441-88.

9 REFERENCES Mohamad, A., and H. Farsi. (2016). Content Based Video Retrieval Based HDWT and Sparse Representation, Image Anal Stereo. 35, 67-80.

Suneja A., and G. Kumar. (2010). An Experimental Study of Edge Detection Methods in Digital Image, Global Journal of Computer Science. 10(2), 17-19.

Battiato S., Gallo G., Puglisi G. (2009). Fuzzy based Motion Estimation for Video stabilization Using SIFT interest points. Conference on Digital Photography, CA, USA. Pang, D., Huizhong Chen and Sherif Halawa. (2010). Efficient Video Stabilization with Dual-Tree Complex Wavelet Transform. EE368 Project Report.

Liu, F., M Gleicher, J Wang, H Jin, A Agarwala. (2011). Subspace video stabilization. ACM Trans. Graph.

30(1).

Liu, F., M. Gleicher, H. Jin, and A. Agarwala. (2009). Content Preserving Warps for 3D Video Stabilization, ACM Transactions on Graphics. 28(3).

Puglisi, G., S. Battiato. (2011). A Robust Image Alignment Algorithm for Video Stabilization Purposes, IEEE Transactions on Circuits and Systems for Video Technology. 21(10), 1390–1400.

Hung-Chang Chang, Shang-Hong Lai, Kuang-Rong Lu, (2004). A robust and efficient Video Stabilization Algorithm, Multimedia and Expo, IEEE International Conference on Multimedia and Expo (ICME), Taiwan.

Kalvein Rantelobo, Hendro Lami, Wirawan, (2016).Video Transmission using Combined Scalability Video Coding over MIMO-OFDM Systems, Indonesian Journal of Electrical Engineering and Computer Science, 4(2), 390 -396.

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S.S.Hussain, M.Nazir, S.K. Sharma, M.A.R. Khan

L. M. Abdullah, N. M. Tahir & M. Samad. (2012). Video Stabilization based on Point Feature Matching Technique, IEEE Control & System Graduate Research Colloquium, (ICSGRC 2012). Shah Alam, Selangor, Malaysia.

Lengyi Li, Xiaohong Ma, and Zheng Zhao. (2014). Real-Time Video Stabilization Based On Fast Block Matching And Improved Kalman Filter, Fifth International Conference on Intelligent Control and Information Processing, Dalian, Liaoning, China.

M. Okade, G. Patel, P.K.Biswas. (2015). Robust Learning Based Camera Motion Characterization Scheme with applications to video stabilization, IEEE Transactions on Circuits and Systems for Video Technology. 26(3), 453–466.

Mostafa, S.A. K., Abdelrahman Ali, Multiresolution. (2016).Video Watermarking Algorithm Exploiting the Block-Based Motion Estimation, Journal of Information Security, 7, 260-268 Rawat, P., J. Singhai. (2013). Efficient Video Stabilization Technique for Hand-Held Mobile Video, International Journal of Signal Processing, Image Processing and Pattern Recognition. 6(3), 17-32 Souza, M. & Pedrini, H. (2018). Digital video stabilization based on adaptive camera trajectory smoothing” J Image Video Proc. 37.

Hong, W., Wei D., and Batur, A. U. (2010). Video Stabilization and Rolling Shutter Distortion Reduction.

2010 IEEE 17th International Conference on Image Processing. 3501-3504.

Wu, M., Li, X., Liu, C., Liu, M., Zhao, N., Wang, J., & Zhu, L. (2017). Robust global motion estimation for video security based on improved k-means clustering. Journal of Ambient Intelligence and Humanized Computing, 1-10.

Zheng, X., C.Shaohui, W.Gang, L. Jinlun. (2015). Video Stabilization System Based on Speeded-up Robust Features, International Industrial Informatics and Computer Engineering Conference, Published by Atlantis Press, 1995-1998.

Zhang, Y., Y Leng, Xu He. (2015). A fast video stabilization algorithm with unexpected prediction strategy, IEEE International Conference on Advanced Intelligent Mechatronics (AIM), 571- 576 Zhang, Y., Y.Leng, X. He. (2015). A Fast Video Stabilization Algorithm with Unexpected Motion Prediction Strategy, IEEE International Conference on Advanced Intelligent Mechatronics, Busan, Korea.

Syed Shuja Hussain is a Lecturer in Computer Science at Majmaah University, Kingdom of Saudi Arabia, and information security specialist in the Department of Information Security in the Deanship of Information Technology at Majmaah University, Saudi Arabia. He received a BS in Computer Engineering from Sir Syed University of Engineering & Technology, and MS (Telecom Engineering) from University of Engineering and Technology (UET), Peshawar. His research interests include Network Security, Information Security, Cybersecurity and IoT Security.

Muhammad Nazir is a Lecturer in Computer Science at Majmaah University Kingdom of Saudi Arabia. He received a Bachelor of Science Degree from the University of Punjab, Pakistan, and a Master’s Degree from International Islamic University, Islamabad Pakistan. His research interest includes Data Mining, Distributed Data Base and Image Processing.

Dr. Sunil Kumar Sharma is an Assistant Professor of Mathematics at the College of Computer and Information Sciences. Majmaah University, Saudi Arabia. He received his Ph.D. in Mathematics from Gautam Buddh Technical University, Lucknow India. His areas of research interest are to deal with the Mathematical Modeling, Numerical Computation of Biomechanics of Diarthrodial Joints, Multicriteria Decision Model for Production Systems, Robot in the field of education. The current research involves Mathematical Modeling of Physical and Biological Problems in general and Numerical Analysis.

Mohd Abdul Rahim Khan is a Lecturer at Majmaa’h University. He got a Master's degree in Technology in Information Technology from GGSIP University Delhi. He is pursuing a Ph.D. at Lingaya's University Faridabad. His research areas are Information Security, Android security, Computer vision, Artificial Intelligence, etc.

*Corresponding author (M. A. Rahim Khan) Email: m.khan@mu.edu.sa ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06S http://TUENGR.COM/V11/11A06S.pdf DOI: 10.14456/ITJEMAST.2020.119

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

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

PAPER ID: 11A06T

EVALUATION OF ERGONOMIC DESIGN OF DESK AND CHAIR FOR PRIMARY SCHOOLS IN ERBIL CITY 1

Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

2*

Department of Architecture Engineering, College of Engineering, Tishik International University-Hawler, Kurdistan, IRAQ. 2 Department of Architecture Engineering, College of Engineering, Salahaddin University-Erbil, IRAQ. 1

ARTICLEINFO

Article history: Received 19 August 2019 Received in revised form 18 December 2019 Accepted 15 January 2020 Available online 25 January 2020

Keywords: Ergonomic for pupils, Classroom furniture; Elementary schools; Human factors; Ergonomic furniture; Physical ergonomics; Anthropometric measures.

A B S T RA C T

Classroom ergonomic chairs and desks are important elements for students in terms of comfort and concentration in the schooling environment. This is very important for pupils that spent most of the time in classroom furniture. Most of the furniture is not able to fit for different ages students in different body figures in the classroom in some primary schools in Erbil city. This study evaluates the existing school furniture ergonomically as compared to students’ anthropometric measures, i.e., examining if dimensions of primary school furniture agree with pupils' anthropometric measures for first to sixth graders.

Anthropometric dimensions in eight schools for 487 students of grades 1-6 were measured, and their data were analyzed via IBM®SPSS Statistical Package and MS Excel®. The results showed that group of grades 1-3 pupils have major mismatch accordance to the anthropometric measures (sitting elbow height, stature, sitting shoulder height, popliteal height, knee height, buttock-popliteal length, shoulder breadth, hip breadth, and upper limb length) and classroom furniture dimensions more than group of grades 4-6.

Disciplinary: Architecture and Human Factors and Ergonomics. ©2020 INT TRANS J ENG MANAG SCI TECH.

1. INTRODUCTION Pupils during their lives, approximately spend most of the day at schools, and 80% sitting down in classrooms doing their schools work, for example, reading, drawing, writing, and other activities, which lead pupils for a long time constantly sit on their seats. Pupils requirement needs to have suit school furniture, in consideration that spends an amount of time at school, especially whereas sitting [1]. Although numerous studies have demonstrated that pupils commonly used inappropriate furniture to their anthropometric measures [2]. School learning can be influenced by mismatch as awkward body postures can hurt pupils ’learning enthusiasm and interest, even during stimulating *Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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and interesting lessons. Commonly, sitting postures of pupils are affected by design characteristics of furniture, activities performed in the classroom, and measurement of anthropometric pupils in schools. School furniture design is one of the factors to decrease wariness and incredibly assists to enhance the concentration of pupils during their study. Advancement of such symptoms among pupils of school [3]. Also, Additionally, another study discovered that pupils between (1 and 2) that seated in fit furniture essentially well performed and better on an in-hand manipulation test as a comparison to their furniture who seated that was too big for them [4]. Henceforth, the design of ergonomic is essential to fit furniture classrooms, reduce mismatch while deliver a enhanced learning environment [5].

Although dimensions of anthropometric for pupils are various than the elders. Hence, the design of furniture classrooms should be separated for them to follow the ergonomic criteria, concentrating on pupils' adjustability and comfort. Any chair design that needs aesthetics, relaxation, and comfort characteristics for pupils. A chair used for pupils could differentiate easily by the factors that related to relaxation and comfort while she/he often finds it hard to differentiate between the features of ergonomics of chair. For example, most of the features of ergonomic are assumed indistinguishable and discomfort in sitting because they cannot be perceived [6]. This study examines if primary schools’ furniture dimensions match students’ anthropometric measures for first to sixth graders because there is not ergonomically designed chair in a classroom environment; the results demonstrate an abnormality in postures. This causes generate muscular back, neck, and head pains, enhanced physical strain, loss of restlessness, and concentration in an attempt to find a better position to get an active learning environment.

2. ERGONOMIC Ergonomic is the study that related to the performance of peoples in their working atmosphere and helps to figure out how to design products which work both for and with peoples. It is ‘scientific discipline concentrating between the interaction of peoples and other elements of system’ [7].

Ergonomic classroom furniture contribute to the pupils' motivation and attention during lectures.

Along with the motivation and attention matters, also a poor furniture design is reasonable for the problem related to pupils’ body parts such as joints, the spine, and ligaments [8]. The fundamental functionality of an ergonomic furniture classroom environment delivers pupils’ expectations such as comfort, enough writing space, school bag space, relaxation, etc. to achieve different ergonomics features or qualities. The ergonomics primary task in the school environment is to adapt classroom of the physical conditions and subjects into bio morphological and psychophysiological features of pupils and to select such a technological functionality solution of the learning space that is extremely adapted to the pupils the psychophysical structure of a particular age [9]. Designed of chair school, conformity with the principle of ergonomic has a great influence on the working place effectiveness and abilities of pupils. Concentration, Visible calmness, reduced fatigue, and the correct position of the body illustrate that suitable height of the table according to the chair suitable [10]. Generally, existing chairs pupils are mostly designed traditionally are not much designed according to the principles of ergonomic [11].

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

3. METHODOLOGY 3.1 SAMPLES FOR ANTHROPOMETRIC DATA COLLECTION The samples from which the anthropometric data were obtained consist of 487 pupils grades 1-6 from eight elementary schools in Erbil city (four Private (Pr); International of Choueifat (A), Montessori (B), Runakie international, (C) and Cambridge international (D) and four public schools (Pb); Fakher Mergasori (E), Mawlawe (F), Shayda (G) and Aryna (H)). Participants were chosen randomly from grader 1-3 and 4-6 group pupils. Information about the study was given to the school administration and teachers.

3.2 METHODS AND EQUIPMENT USED FOR MEASUREMENT All measurements are taken for eight primary schools Pb and Pr with the pupils wearing regular school uniforms and shoes. The consents of the students were obtained before starting the measurements. The data were collected on a working day for three months during mid-2019. The equipment, tape, and steel rule was used for dimensions measurements with an accuracy of 0.1cm.

3.3 MEASUREMENTS In this study, two types of measurement were applied.

3.3.1 FURNITURE DIMENSIONS MEASUREMENT For the ergonomic evaluation in this study, measurements of the existing locally made classroom desk and chair are carried out. Figure 1 gives the definitions and their characteristics [12].

Figure 1: Furniture dimensions studied. o o o o o o o o o o o

Seat Height (SH): the perpendicular distance from the floor to the middle point of the front edge of the seat.

Seat Depth (SD): Horizontal distance of the seat surface from the front edge to the back edge.

Seat width (SW): Horizontal distance of the seat surface from the left side to the right side.

Lower Edge Back Rest Height (LEBH): the vertical distance between the lower edge of backrest and seat.

Upper Edge Backrest Height (UEBH): the upright distance between the seat and the upper edge of the backrest.

Height of Back Rest: the horizontal distance between two lateral edges of the backrest.

Desk Top Height (DH): the vertical distance from the floor to the top of the rear edge of the desk.

Desk Top Depth (DD): the distance from the back to the front of the top surface of the desk.

Desk Width (DW): Horizontal distance of the desk surface from the front side to the backside.

Underneath Desk Height (UDH): the vertical distance from the floor to the lowest structure point below the desktop surface at the end of the knee zone.

Seat to Desk Height (SDH): the horizontal clear distance underneath the desktop from the rear edge of the desktop or front edge of seat measured at seat/knee height.

*Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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3.3.2 ANTHROPOMETRIC MEASUREMENT For classroom furniture ergonomical designs, the anthropometric dimensions are considered as the foundation. So, the measurements of anthropometric are dependent on the methods of Pheasant and Haslegrave [13] and defined by Dianat et al.[14], which are shown in Figure 2. a) Stature (S): the perpendicular distance between the top of the head and the floor. b) Popliteal Height (PH): the upright distance from the foot relaxing surface to the posterior surface of the knee. c) Hip Breadth (HB): the horizontal distance between the right side of the pelvic and the left side when sitting. d) Buttock Popliteal Length (BPL): the horizontal distance from the back of the knee to the back of the buttock. e) Subscapular height (SSH): the perpendicular distance between the sitting surface of the object and the tip of the shoulder. f) Sitting Elbow Height (SEH): the vertical distance from the sitting surface to the bottom of the elbow when sitting. g) Should breadth (SB): with sliding right and left upper plaque on the backrest. h) Knee Height(KH): the vertical distance from the top of the right knee cap to the floor. i) Thigh Thickness (TT): the perpendicular distance between the highest point on the top of the right thigh to the sitting surface of the object.

Figure 2: Anthropometric measures investigated.

3.3.3 COMPATIBILITY MEASUREMENT The measures of anthropometric are related to school furniture based on the methodology developed by Gouvali and Boudolos [15], later revised by Castellucci and coworkers [16] the following anthropometric dimensions which are a study in this work are: A. Popliteal height (PH) which is related to SH, is referring to the distance between the footrest and popliteal surface, (PH + 3) cos 30° ≤ SH ≤ (PH + 3) cos 5°

(1).

B. Buttock-popliteal length (BPL) is necessary to determine SD. In order to achieve a comfortable depth, Parcells coworkers [19] suggest the criterion given 0.80 BPL ≤ SD ≤ 0.95 BPL

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

(2)

C. Hip Breadth (HB) is used to determine Seat Width (SW). Match and mismatch rule is controlled by 1.10 HB ≤ SW ≤ 1.30 HB

(3).

E. Elbow height sitting (EHS) is taken with a 90◦ angle elbow flexion to find the criteria DH. Also, considering that the extraordinary tallness of DH should not be higher than 5cm over the SHE, viz. [13] SEH ≤ DH ≤ SEH + 5

(4).

F. Thigh thickness (TT) is needed to determine SDC. In order to permit leg movement, the minimum perfect seat to desk clearance ought to be 2cm higher than thigh clearance. In this manner, a matching paradigm is supposed by SDC > TT + 2

(5).

4. ANALYSIS METHOD For the purpose of quantitative data analysis, the SPSS (Statistical Package for the Social Sciences) software and Microsoft Excel 2017 was used to provide statistical analysis of data and give details for in-depth data access and preparation, analytical reporting, graphics and modeling.

5. RESULTS AND DISCUSSION 5.1 MEASURED ANTHROPOMETRIC DIMENSIONS The anthropometric dimensions are very important for designing primary school furniture. because proper posture is a critical factor for the prevention of musculoskeletal disorders [18]. The anthropometric characteristics of 487 pupils of two groups (1-3 and 4-6) in all eight schools were by descriptive statistics are depicted of (Tables 1 and 2). The collected anthropometric data were thoroughly analyzed with the help of IBM SPSS 25 as Statistical Package. According to mention tables for both groups mean and standard deviation (S.D.) were determined. The mean stature for the group (1-3) is 126.56 cm and for the group (4-6) is143cm. Therefore, the mean popliteal height for (4-6) is 43.11 cm, and for (1-3) is 42cm (S.D. 1.915). Popliteal height of the (4-6) as an average greater than compared to(1-3). The average Hip Breadth for (1-3) is 33 cm (S.D. 2.531) and for (4-6) is 37cm (S.D. 3.458). Buttock Popliteal Length of the (4-6) is, on average, 46 cm. It is approximately the same with (1-3) groups. Similarly, Subscapular height for both group (1-3) and (4-6) the average 49, 50 cm respectively, sitting elbow height of group (1-3) is 21cm that smaller than group (4-6) which is 27cm, Shoulder Breadth average 33cm and 36 cm for group (4-6) greater than (1-3), the knee height average is 49 cm in group (1-3) while in group (4-6) is 52 cm, Thigh Thickness (TT) is nearly the same for both groups which are 11 and 12 cm. So this means and S.D. were utilized for finding suggested desk and chair dimensions for pupils in different grades (1-6). *Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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Table 1: Descriptive statistics for measured anthropometric dimensions for (243) pupils group (1-3).

Body dimensions

Min

Max

S ULL Popliteal Height (PH) Hip Breadth (HB) Buttock Popliteal Length (BPL) Subscapular height (SSH) Sitting elbow height (SEH) Shoulder Breadth (SB) Knee Height (KH) Thigh Thickness (TT)

116 50 35 28 35 38 16 28 42 7

138 69 43 38 54 60 25 38 57 14

5th 118 52 35 29 37 41 17 29 43 8

Percentile 50th 95th 126 135 59 66 38 43 33 37 44.5 52 49 56.95 20 25 33 37 49 55 11 13

Mean

S.D.

126.56 59 38 33 44.55 49 20 33 49 11

5.3 4.24 1.787 2.531 4.305 4.69 2.309 2.55 3.508 1.763

Table 2: Descriptive statistics for measured anthropometric dimensions for (244) pupils group (4-6).

Body dimensions

Min

Max

S ULL Popliteal Height (PH) Hip Breadth (HB) Buttock Popliteal Length (BPL) Subscapular height (SSH) Sitting elbow height (SEH) Shoulder Breadth (SB) Knee Height (KH) Thigh Thickness (TT)

130 58 38 30 41 44 21 29 48 9

158 65 48 45 50 58 33 44 56 16

5th 133 59 39 32 42 45 22 30 49 9

Percentile 50th 95th 143 153 62 65 43 48 37 43 46 49 50 56 27 32 36 42 52 55 12 15

Mean

S.D.

143 62 43.11 37 46 50 27 36 52 12

6.09 1.78 2.409 3.458 2.191 3.278 2.81 3.587 2.138 1.836

5.2 NORMAL DISTRIBUTION ANALYSIS Anthropometric measurements data are normally distributed. For all collected data of groups (1-3) and (4-6) pupils, the normal distribution curves that it means to examine the shape and spread of all collected anthropometric data and are presented in (Figures 3 & 4).

a. Stature

b. ULL

c. Popliteal Height

d. Hip Breadth

e. Buttock Popliteal Length

f. Shoulder Breadth

g. Subscapular height

h. Lumber Height

i. Knee Height

j. Thigh Thickness

Figure 3: Normal distribution of anthropometric parameter a,b,c,d,e,f,g,h,I and j of group (1-3).

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

a. Stature

b. ULL

c. Popliteal Height

d. Hip Breadth

e. Buttock Popliteal Length

f. Shoulder Breadth

g. Subscapular height

h. Lumber Height

i. Knee Height

j. Thigh Thickness

Figure 4: Normal distribution of anthropometric parameter a,b,c,d,e,f,g,h,I and j of group (4-6).

5.3 THE OUTCOMES OF ANTHROPOMETRY IN RESOLVING DESK AND SEAT DIMENSIONS The anthropometry-based measurements utilized for the design of seats and desks in elementary school. Depending on the computation of the desks’ and seats’ dimensions, with a few changes from the focus group, and the final sizes are shown in (Table.3). As specified by the anthropometric data used as a reference for new desk and seat designs, different sizes were earlier used for the seats and desks. The appropriate seat and desk sizes are as follows: For seat size, designing front seat height (A) was based on PH. To get suitable measurements, a 2 cm allowance accounting for shoe height was used [19]. For Group (1-3) and (4-6) is 37cm and 41.2 cm respectively. Size of seat depth determination depends on BPL for (1-3) group 37.24 cm and 42.39 cm for the group (4-6). HB was applied as a reference for determination seat width. The HB was adopted to ensure that pupils with big hips would be able to sit comfortably [20]. So the size in Group (1-3) 39.16 cm and for Group (4-6) 44.7 cm.

Desk size: The front desk height was determined in accordance with SEH, with a added allowance 3-5 cm [20]. Otherwise, the measurement is adjusted to elbow height [19]. In this work, the measurement depended on SEH, added 10 cm for eliminating pressure during writing and reading.

For group (1-3) are 72 cm and 81cm in Group (4-6). Size desk width in Group (1-3) and in Group (4-6) is 74 cm and 84 cm respectively. The desk depth size is 57 cm and 64 cm for Group (1-3) and (4-6), respectively.

*Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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Table 3: Seat and desk sizes conforming to anthropometry.

Seat and desk sizes Dimensions Front seat height Back seat height

Group 1-3 4-6 1-3 4-6

Seat depth

1-3 4-6

Seat width

1-3 4-6

The upper edge of the backrest

1-3 4-6

The lower edge of the backrest

1-3 4-6

Height of Backrest

1-3 4-6

Backrest length

1-3 4-6

Front desk height

1-3 4-6

Back desk height (J)

1-3 4-6

Desk width (K)

1-3 4-6

Desk depth (L)

1-3 4-6

Underneath Desk Height (M)

1-3 4-6

Floor-to-desk clearance (N)

1-3 4-6

Measurement Mean of PH – (1.645 × S.D.)) + 2 cm 38 – (1.645 × 1.787) + 2 = 37 cm 43.11 – (1.645 ×2.409) + 2 = 41.2cm 37 – 2 = 35 cm 41.2– 2 = 39.2 cm Mean of BPL – (1.645 × S.D.) 44.55 – (1.645 × 4.305) = 37.24 cm 46 – (1.645 × 2.19) = 42.39 cm Mean of HB + (1.645 × S.D.) 33+ (1.645 ×2.531) + 2 = 39.16 cm 37 + (1.645 ×3.458) + 2 = 44.7 cm Mean of SSH – (1.645 × S.D.) 49 – (1.645 × 5.69) = 39.63 cm 5o – (1.645 × 3.278) = 44.6 cm 5/9 × Upper edge of the backrest 5/9 × 39.63 = 22 cm 5/9 × 44.6 = 24.8 cm 4/9 × Upper edge of the backrest 4/9 × 39.63 = 17.61 cm 4/9 × 44.6 = 19.8 cm Mean of SB – (1.645 × S.D.) + 2 cm 33 – (1.645 × 2.55) + 2 = 30.8 cm 36 – (1.645 × 3.587) + 2 = 32 cm Mean of SEH + 10 cm + Front seat height (20 + 10) + 37= 67 cm (27 + 10) + 44= 81cm (Desk depth × tangent of 5°) + front desk height (57× 0.087) + 67 = 72 cm (64 × 0.087) + 81= 87 cm Mean of SB + (1.645 × S.D.) + twice the forearm length 33 + (1.645 × 2.55) + 2 (126 × 0.146) = 74 cm 36 + (1.645 × 3.587) + 2 (143 × 0.146) = 84 cm Mean of ULL – (1.645 × S.D.) + 5 cm 59 – (1.645 × 4.24) + 5 = 57 cm 62 – (1.645 × 1.78) + 5 = 64 cm Mean of KH + Shoe Correction + 2 cm 49 + 2.50 + 2 = 54 cm 52 + 2.50 + 2 = 57 cm Mean of KH + 1.645 S.D. + 2 cm 49 + (1.645 × 3.508) + 2 = 57 cm 52 + (1.645 × 2.138) + 2 = 58 cm

5.4 CLASSROOM FURNITURE IN PUBLIC AND PRIVATE SCHOOLS In Figure 5, each school has only one set of chairs and desks used across all grade 6 sections.

Therefore, mainly dual desk, i.e., combined bench and desk design is commonly used design in all the public schools. In this design, the writing desk and seating bench are combined together in one fixed unit, and two pupils share one unit. In each of the private schools, there is a variation of furniture design as in schools A and D they have the combined table with a single chair, also in school A and C have a single chair with a table, that used as a group in school B.

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

A,D A,C B All Public Figure 5: variation of furniture design in Private and public schools.

As seen in (Table 4), Measurements of the various dimensions of the desks and tables from eight different schools were carried out. The furniture size value of both groups (1-3) and (4-6) are the same in Pb schools. Whereas in Pr schools there is a variation of the seat and desks size values are being used for age groups; the measured dimensions are compared with the suggested dimension.

Table 4: Dimensions (cm) of existing private and public classrooms with suggested furniture.

Component

Furniture dimensions

Seat

Seat Height (SH) Seat Width (SW) Seat Depth (SD) Upper Edge of Backrest (UEBR) Lower Edge of Backrest (LEBR) Height of Backrest (HBR) Desk Height (DH) Desk Depth (DD) Desk Width (DW) Underneath Desk Height (UDH) Seat to Desk Clearance (SDC) Seat to Desk Height (SDH)

Backrest

Desk

Interaction between desk and seat

A 45 40 40 45 20 25 80 60 100 70 20 30

Present Dimensions Private Public B C D E F G 40 40 45 40 40 40 40 37 40 90 90 90 35 40 40 20 20 20 30 45 40 32 32 32 15 20 15 12 12 12 15 25 25 20 20 20 70 75 80 70 70 70 125 45 45 38 38 38 63 60 90 90 90 90 68 65 65 50 50 50 20 20 20 20 20 25 30 35 28 28 28

H 40 90 20 32 12 20 70 38 90 50 20 28

Suggested Dimensions (1-3) (4-6) 37 41.2 39 44 37 42 39 44 22 24 17 20 67 81 57 64 74 84 54 57 25

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From the results of the study dimensions depending on the model used (see Table.3), a suggested dimension of desk and chair was obtained to improve the active learning system for pupils as indicated in Figure 6.

Figure 6: Proposed Furniture dimensions (first number for Group 1-3, and later for Group 4-6). *Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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5.5 DISCREPANCIES BETWEEN ANTHROPOMETRIC AND SCHOOL FURNITURE Classroom furniture and body dimensions identification of a match or mismatch is important for designing and evaluating furniture. To describe the range in which every furniture dimension is viewed as fitting, related anthropometric measurement, and ergonomic standards can be utilized.

Based on the methodology developed by Gouvali and Boudolos [15], later revised by Castellucci et al. [16] and in order to compare anthropometric dimensions of pupils with furniture dimensions for one-way models, two categories were defined to measure compatibility: ‘Match’ and ‘Mismatch.’ If the equation does not satisfy, then it is considered as a mismatch, i.e., as the irregularity among the school furniture dimensions and the student anthropometric measurements [4]. For two-way models, three categories were defined as [16] 1. If the anthropometric measure is between the limits, it is considered ‘Match’, 2. ‘High mismatch’ when the minimum limit of the criterion model is higher than the anthropometric measure, and 3. ‘Low mismatch’ when the maximum limit of the criterion model is lower than the anthropometric measure.

Different associations have been established to identify a match or mismatch. For the determination of match percentile and mismatch between the furniture design and anthropometric data, match analysis was utilized, depending on the intervals or mention relation, and this was performed through the compassion between the criteria dimensions of the chairs and desks with the anthropometric data.

5.5.1 SEAT HEIGHT (SH) As demonstrates in (Figure7), it was indicated that SH was high, i.e., a low mismatch occurred of pupils in Group 1-3 which 100% for both schools A and D but 55%for B, C, and Pb. Whereas in Group 4-6, pupils have a low mismatch 60% in A and D schools, while in B, C and Pb have the highest match 52%.

In outcome, SH is more than PH for all pupils in (1-3) groups which indicates that they unable their feet on the floor and that they are unlikely to experience high tissue pressure on the posterior surface of the knee, SH in all schools is considered appropriate [19] but, however, a slightly lower SH might be slightly more comfortable for many pupils. While in (4-6), SH is suitable for many schools except A and D schools.

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Figure 7: Pupils Percentages of Group 1-3 and 4-6 by match/mismatch level for PH against SH. 5.5.2 SEAT DEPTH (SD) From the values of SD against (BPL), it was found that SD in Group 1-3 pupils Pr A, C, and D

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

schools have the same low mismatch 50% while school B shows the highest match 45%. Whereas in Pb, 100% low mismatch. It was illustrated in Group 4-6 pupils have the highest match 90% in A, C and D school samples, though in C and Pb 75%, 100% high mismatch, respectively (Figure8). This result in hindered blood circulation and discomfort because the thighs of pupils were not sufficiently stayed [19,23]. Because Seats were not found to be deeper for same school samples of Groups 1-3 than required for any pupils, in Groups 4-6 most of the schools the seats are comforted, but in Pb, in both groups, it is not sufficient this pointing suggesting that kyphotic postures are far to occur [16].

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Figure 8: Pupils Percentages of Group 1-3 and 4-6 by match/mismatch level for BPL against SD. 5.5.3 SEAT WIDTH (SW) In Figure 9, group (1-3) has the same match and low mismatch in Pr schools A, B, and D 40% while school C shows the highest match 56% but Pb schools have the low mismatch 65%. The Pr schools A, B, D, and C have the highest value of high mismatch for (4-6) group, in 50% and 75%, respectively. All Pb schools have a high match of 40%. The result illustrated that in (1-3) groups, the SW suitable seat for pupils in Pr, except in Pb have wide seat mismatch. Whereas Pr (4-6) group has narrow seats. Therefore, those school pupils were not able to dissipate the pressure at the buttocks causing discomfort and mobility restrictions [19]. But in Pb schools are nearly suitable for pupils (4-6) group.

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Figure 9: Pupils Percentage of Group 1-3 and 4-6 by match/mismatch level for HB against SW. 5.5.4 SEAT-TO-DESK HEIGHT (SDH) From the correlation in Figure10, for Group 1-3 pupils, Pr schools A and C have the same low mismatch 90% but D100% while 65% match indicated B school whereas 70% in Pb. Whereas in Group 4-6, 45% match for both A and C schools but in schools B and Pbs have a low mismatch 70% *Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. Š2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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and 55% respectively except school D has a 60% low mismatch. The result showed that a desk which has the high mismatch cause pupils to work with shoulder flexion and abduction or scapular elevation, which might cause increased muscular workload, discomfort, and pain in the shoulder region. If its high mismatch, which could cause pupils to bend forwards to work on the desk. This also has the potential to cause shoulder and back problems [20].

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Figure 10: Pupils Percentage of Group 1-3 and 4-6 by match/mismatch level for SEH against SDH. 5.5.5 SEAT-TO-DESK CLEARANCE (SDC) Figure11 displayed that SDC of pupils in all Pr and Pb schools in both groups (1-3) and (4-6) have the high matched 100 %. This means that all pupils have their thighs not contact with the desk; thus, there is no problem for legs movement [20].

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Figure 11: Pupils Percentage of Group 1-3 and 4-6 by match/mismatch level for TT against SDC.

6. CONCLUSION This paper indicated that there is a potent association between the furniture dimension and anthropometric measurement in the classroom to enhance their learning attention and increase the comfortable seating of pupils. From the analysis of this study, which included the existence of the abnormality of furniture dimension with anthropometric measurement of pupils in several private and public primary schools in Erbil city. It was concluded that the most studying parameters of chairs and desks for Group 1-3, pupils are unsuitable in both schools just in the seat to desk height parameter that is convenient for pupils to move legs freely and fell relax seating in the classroom. While the desks and seats for Group 4-6 pupils in private school samples are appropriately convenient, but for public schools, there is uncomfortably just in the seat depth parameter. Although the a match or mismatch is significant for evaluating furniture that indicated from the combination of the existing furniture with anthropometric data with those equation which indicated them, all schools for pupils Group 1-3 have mismatched between classroom furniture dimensions and pupils anthropometry those mismatches

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

cause several types of pain and unwanted permanent poor sitting posture habits that create lack of comfort. Whereas for Group 4-6 for most private schools, the high match occurred than public schools. The research suggests designing two different sizes of classroom chairs and desks for each grade Groups pupils 1-3 and 4-6 should be made based on anthropometric measurements of the pupils to avoid discomfort, pain, decrease the occurrence of musculoskeletal disorder, in addition to ensuring comfort for pupils. This lessening is attributed to the fact that the new seat and desk designs conform to the requirements of pupils anthropometry.

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

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[4] Smith-Zuzovsky N. and Exner C. E., (2004)“The effect of seated positioningqualityontypical6-and 7-year-oldchildren’sobject manipulation skills,” American Journal of Occupational Therapy , 58(4), 380-388.

[5] Castellucci H.I., Arezes M., Catal´an, P.M., and Molenbroek J.F.M., (2016). Evidence for the need to update the Chile a standard for school furniture dimension specifications,” International Journal of Industrial Ergonomics, 56, 181-188.

[6] Helander M.G,(2003) “Forget about ergonomics in chair design? Focus on aesthetics and comfort!,” Ergonomics, 46(13-14), 1306-1319.

[7] Rani Lauder, V. J. (2008). Ergonomics for Children: Designing products and places for toddlers to teens. Boca, Florida, US: Taylor and Francic Group.

[8] Onawumi A.S., Oyawale F.A., and Dunmade I.S.,(2016) “Ergonomic assessment of school furniture in primary schools in Nigeria,” International Journal of Applied Science and Technology. 6(1), 92-101.

[9] Bennet, C. (2002). Changing Education Ergonomics. The Proceeding of the XVI Annual International Occupational Ergonomics and Safety Conference, Toronto.

[10] Nasr, A., Mahmood, K., and Ahm Sh. (2018). An Ergonomic Student Chair Design and Engineering for Classroom Environment.in Finland.

[11] Xu, J., and Zhang H. (2013). Modern office furniture design based on ergonomics. Advanced Materials Research, 628, 57-62.

[12] Prakash Salunke, et al (2015). Identifying Anthropometric Parameters Considered for the Improvement in Ergonomic Design of Classroom Furniture. International Journal of Industrial Engineering, Research, and Development. 6(1), 01-13.

[13] Pheasant S. and Haslegrave C.M. (2016). Bodyspace: Anthropometry, ergonomics and the Design of work. CRCPress. *Corresponding author (Adeeb N.Ahmad) Email: adeeb.ahmed@su.edu.krd. ©2020 International Transaction Journal of Engineering, Management, & Applied Sciences & Technologies. Volume 11 No.6 ISSN2228-9860 eISSN1906-9642 CODEN: ITJEA8 Paper ID:11A06T http://TUENGR.COM/V11/11A06T.pdf DOI: 10.14456/ITJEMAST.2020.120

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[14] Dianat I., Karimi M. A., Hashemi A. A., and Bahrampour S. (2013). Classroom furniture and anthropometric characteristics of Iranian high school students: proposed dimensions based on anthropometric data. Applied Ergonomics. 44(1), 101-108.

[15] Gouvali M.K, Boudolos K. (2006). Match between school furniture dimensions and children’s anthropometry. Applied Ergonomics. 37: 765-773.

[16] Castellucci H.I, Arezes P.M, and Viviani C.A. (2010). Mismatch between classroom furniture and anthropometric measures in Chile schools. Applied Ergonomics. 41: 563-568 [17] Parcells C., Stommel M., Hubbard R.P. (1999). Mismatch of classroom furniture and student body dimensions: empirical findings and health implications. J Adolescent Health. 1999; 24: 265-273.

[18] Cranz G. (2000). The Alexander Technique in the world of design: posture and the common chair. J Body Work MovTher. 4: 90–98.

[19] Salaheddine B., Khalid A.S., Abdulsamad A.K. (2013). Ergonomic assessment of primary school furniture in UAE. [20] Parvez M.S.; Parvin F.; Shahriar M.M.,and Kibria G. (2018). Design of Ergonomically Fit Classroom Furniture for Primary Schools of Bangladesh.in Bangladesh.

Rawaz Najmaddin Abdullah is a joint master student in the Department of Architecture, Salahaddin University and Tishik International University – Erbil. She obtained a BS in Architecture from University of Salahaddin, Erbil Iraq. She is a teaching staff at Architecture Department, College of Engineering-Tishik international. Her research interest is Ergonomic and Human Factors Design.

Dr. Adeeb Nuri Ahmed Jabari is an Assistant Professor at Department of Architecture- College of Engineering-University of Salahaddin-Erbil-Iraq. He got a Bachelor’s Degree in Architectural Engineering from University of Baghdad, a Master’s Degree in Architectural Engineering from Baghdad University, a PhD in Architectural Engineering from University of Technology in Baghdad. His research encompasses Urban Design, Landscape Design, Interior Design, Building Restoration, Building Technology, Architectural Environment, Architectural Building Design for Civil Engineering.

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Rawaz Najmaddin Abdullah and Adeeb Noori Ahmad

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