PROCEEDINGS - Global Conference on Global Warming-2014

July 5-9, 2009 Istanbul, Turkey

PROCEEDINGS OF THE GLOBAL CONFERENCE ON GLOBAL WARMING-2009

Edited by

Ibrahim Dincer - Can Ozgur Colpan - Adnan Midilli

ISBN: 978-605-89885-1-4

PREFACE

In the previous GCGW last year, the program featured nine keynote presentations and nearly 200 technical presentations (including specialized session and discussion session presentations) from 48 countries. It was a great success, as it brought together researchers, scientists and engineers from different backgrounds and different countries for a common goal: TO BRING ALL DISCIPLINES TOGETHER FOR LOCAL AND GLOBAL SOLUTIONS! Some of its outcomes were: an international journal entitled “International Journal of Global Warming” (by Inderscience), an edited book “Global Warming: Engineering Solutions” (by Springer), and some special issues in various reputable journals. More than 90% of the presented papers have been utilized in these fruitful publications. This year the Global Conference on Global Warming-2009 (GCGW-09) has even become more successful with its unique goal as to bring all disciplines together for local and global solutions to combat global warming. It aimed to be a multi–disciplinary global conference on global warming (and climate change), not only in engineering and science but also in all other disciplines (e.g. ecology, education, social sciences, economics, management, political sciences, and information technology). It covered a diverse range of topics on energy and environment policies, energy resources, energy conversion technologies, energy management and conservation, energy security, renewables, green technologies, emission reduction and abatement, carbon tax, sustainable development, pollution control and measures, policy development, etc. The GCGW-09 received extraordinary international attention from every corner of the world. Here are some figures to share with you: • The number of abstracts received: 403 • The number of abstracts accepted: 333 • The number of papers received: 179 • The number of papers accepted: 136 • The number of presentation scheduled for the program: 245 (with 197 oral and 48 poster presentations) It was something truly remarkable. It featured three plenary talks and six special talks by internationall renowned researchers, in addition to many excellent general and poster presentations by various accomplished researchers, scientists, engineers, etc. There was also a short course coordinated by Professor Ozer Arnas to bring a new dimension to global warming issues. The GCGW-09 provided an exciting technical program encompassing a wide range of topics ranging from global warming modeling to ecosystem and biodiversity and a stunning social program which made the event truly an unforgettable one for so many participants. In closing, we would like to take this opportunity to thank everyone, who has helped make this event a successful one, and the GCGW-09 keynote speakers, authors, session chairpersons and attendees, whose contributions and efforts made its program a stellar one.

Ibrahim Dincer Can Ozgur Colpan Adnan Midilli GCGW-09, Istanbul

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TABLE OF CONTENTS Global Warming: Policies and Challenges 1.

“Climate change and governance: state of affairs and actions needed”, W. Leal

2.

“Global warming and climate change: contribution to the study of the European situation before and after 1998”, A.F. Miguel

3.

“Policies and strategies of reducing global warming in developing countries: an approach for Turkey”, A. Yonten

4.

“Energy policies and strategies in Turkey in relation with the energy and environmental law”, O. Armagan

5.

“An analysis of Chinese policy instruments for climate change mitigation“, B. Xu, Q. Sun, R. Wennersten, N. Brandt

6.

“Governance of large-scale environmental problems – the case of climate change”, Q. Sun, R. Wennersten, N. Brandt

7.

“Sustainability in the city scale to fight global warming”, A. Tokuç, G. Köktürk

8.

“Pollution and peace negotiations with mother earth: whose responsibility?”, M. Huleihil, H. Huleihil

Climate Change Impacts 9.

“Antarctic sea ice extent, concentration and properties derived from ship observations and satellite microwave data”, B. Ozsoy-Cicek, P. Wagner, S.F. Ackley, H. Xie, A.E. Tekeli

10.

“Modelling land cover change impact on the summer climate of the Marmara region, Turkey”, E. Sertel, C. Ormeci, A. Robock

11.

“Estimation of the economic effects of an increase in typhoon intensity in the Asia Pacific Region”, M. Esteban, C. Webersik

12.

“Linkages between climate change and desert development”, H.M. El Magerbi, I. M. Saleh, S.P. Bindra, E.O. Abughris, A.G.M. Ramadan

13.

“Perceptions relating global environmental disaster scenarios: a survey across Izmir”, E. Kamanlioglu, H. Kupeli

14.

“Evalution and mitigation strategies of global warming effects by refrigerants emitted from car recycling”, B-K. Lee, S. Byeon

15.

“Mitigating climate change through oil palm cultivation”, F.K. Yew, K. Sundram, B. Yusof

16.

“Impact of increased temperature on malaria transmission in Burundi”, H. Nkurunziza, J. Pilz

17.

“The level of awareness of farmers regarding the negative effects of pesticides on the environment in the Dawadmi region in Saudi Arabia”, A.B.A AlZaidi, E. Ahmed , S.H. Al-Otaibi

18.

“Frequency analysis of droughts using historical information new approach for probability plotting position: deceedance probability”, Y. Hamdi

19.

“Homegeneous climate regions in Pakistan”, I. Hussain, J. Pilz, G. Spoeck

20.

“Earthquake and meteorology predictors in the north of Iran-Guilan”, S.A. Sajjadi, A. Roohi, S.S. Sajjadi

21.

“Saharan desert dust radiative effects: a study based on atmospheric modeling”, D. Santos, M.J. Costa, A.M. Silva, R. Salgado, A. Domingues, D. Bortoli

22.

“Ultraviolet actinic fluxes: measurement and derivation”, A.R. Webb, A. Seroji, R. Kift

23.

“The study of beech growth in elevation levels with trend of climatic changes in north west forests of Iran”, A. Eslami, M. Roshani

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24.

“Experimental investigation on thermal properties of date palm fibres and their use as insulating materials”, B. Agoudjil, A. Benchabane, A. Boudenne, M. Tlijani, L. Ibos, R.B. Younes, A. Mazioud

25.

“Urban forestry: a natural approach to global warming crisis”, S.A. Al-Awais

26.

“Some data on the genetic structure of the human population in Albania”, M.L. Cekani, H. Mankolli

27.

“E-waste: a state of the art of end of life strategies”, M. Rouainia

Water Resources and Management Issues 28.

"Sustainability in the humber river basin", R. Baehre, B. Hearn, J.E. Luther, N. Novakowski, D. Piercey, D.W. Strickland, O.R. van Lier, P. Gill, W. Bowers

29.

“Evaluation of Artvin-Murgul black locust plantations in terms of biomass production, carbon storage, soil quality improvement and erosion control compared to adjacent grassland areas”, A. Tufekcioglu, S. Guner

30.

“Incorporating water production into forest management planning: a case study in Yalnizcam planning unit”, E.Z. Başkent, D.M. Küçüker

31.

“A multi-system climate change adaptation approach for water sustainability in regional Australia”, A. Perdomo, O. Hussain, T. Dillon, E. Chang

32.

“The importance of wastewater treatment in shipbuilding industry”, F.T. Akanlar, U.B. Celebi, N. Vardar

33.

“Review on municipal sewage sludge management in Turkey and Europe”, A. Wurz, T. Onay, K. Kuchta

34.

“Changing water consumption patterns and behaviors as means of water demand management in the Kingdom of Saudi Arabia”, K.H. Al-Zahrani

35.

“Red tide and water pollution”, S.S. Sajjadi, S.A. Sajjadi

36.

“Water masses and nutrients in a minor Mediterranean Estuary under large damming (the Mafrag Estuary, Algeria)”, M. Ounissi, A. Haridi, O-R. Ziouch, M. Khelifi-Touhami

37.

“Vertical distribution of phytoplankton community related to water quality in Boukerdene reservoir, north of Algeria”, S. Houli, A. Aouabed, N. Bouaicha, F. Ammour

38.

“Degradation of azoxystrobin in water under simulated solar irradiation”, A. Boudina, C. Emmelin, A. Baaliouamer, R. Baudot, J.M Chovelon

Education, Awareness and Training on Climate Change 39.

“The contribution of education towards meeting the challenges of climate change”, W. Leal, E. Manolas, P. Pace

40.

“Climate research and technology meet education: the field experience of a group of high school students to increase awareness on climate change”, R. Magno, S. Baronti, R. Grassi, S. Taddei, V. Grasso, F.P. Vaccari

41.

“Climate is changing, can we? A scientific exhibition in schools to understand climate change and raise awareness on sustainability good practices”, V. Grasso, S. Baronti, F. Guarnieri, R. Magno, F. Vaccari, F. Zabini

42.

“Applied research on greenhouse effect and climate change at school”, F. Ugolini, D. Marandola, L. Massetti, M. Tomassone, M. Lanini, A. Raschi

43.

“Renewable energy networks between Turkish & European universities RENET”, B. Demirel, T.T. Onay, O. Yenigun

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44.

“RENET “Network in renewable energies between Turkish and European universities””, K. Kuchta, K. Haker

45.

“Voluntary agreements as a vehicle for policy learning”, P. Stigson, E. Dotzauer, J. Yan

46.

“Identifying problems when following up the effects of local climate change mitigation projects and programmes – experiences from the city of Stockholm”, S. Johansson, N. Brandt, R. Wennersten

Energetic and Environmental Issues 47.

“Energy sustainability: illustrations of pathways”, M.A. Rosen

48.

“Population and economic growth: assessing the principal determinants of carbon emissions”, G.R. Cranston, G.P. Hammond

49.

“Effective integration of membranes for gas separation within an IGCC system for efficient downstream CO2 capture”, N.V. Gnanapragasam, B.V. Reddy, M.A. Rosen

50.

“Conception of a refuse derived fuel (RDF) incineration plant and its environmental benefit”, K. Haker, J. Krüger, K. Kuchta

51.

“Towards reducing the fuel-bound nitrogen conversion to NO in an air-staged combustor during the combustion of synthetic biomass-derived gas”, B. Adouane, W. De Jong, G. Witteveen, J. Van Buijtenen

52.

“Performance improvement of IGCC power plant by steam integration between chemical and HRSG processes”, C. Lee

53.

“A comparative energy analysis of vacuum type and conventional food cooling systems”, H.M. Ozturk, G. Kocer, A. Yılancı, H.K. Ozturk

54.

“Determination of electromagnetic pollution levels of a hybrid photovoltaic-fuel cell system”, O. Karakilinc, E. Cetin, A. Yilanci, H.K. Ozturk

55.

“Effects of a suction-line heat exchanger on the performance of pure hydrocarbon fluids as alternative refrigerants”, M.M. El-Awad

56.

“The thermal background of the life of the plants (phenomenologic and photon-electron based approach to photosynthesis)”, I. Benko

57.

“Energy conservation in buildings: reduction of cooling energy with phase change materials in mild climates”, E.H. Bouguerra, A. Hamid, N. Retiel

58.

“Experimental energy analysis of a vapor compression refrigeration system using R134A/R600/R290 mixture as working fluid”, S.M.S. Mahmoudi, B. Farzaneh, A.H. Aghdam

59.

“Environment impact from ash disposal of the thermal power plant “Kosova A””, S. Avdullahi, I. Fejza, R. Bytyqi

Renewable Energy 60.

“Environmental impact and cost analyses of residential systems for concentrated solar power and heat production”, C. Zamfirescu, I. Dincer, T. Verrelli, W.R. Wagar

61.

“Study of drying and gasification of biomass residues to produce energy”, A. Al-Kassir, J. Gañan, R.A. Al-karany, J.S.Jose

62.

“Environmental impact of solar energy storage in building envelope for passive solar heating”, Y.A. Kara, A.K. Çırakman, K. Çomaklı

63.

“Prospect of hybrid wind system in the region of Batna, Algeria”, M. Aksas

64.

"Energy life cycle assessment of biodiesel fuel obtained from waste cooking oil", Z. Utlu

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65.

“Vertically solar irradiation exergy changes in the different layers of atmosphere”, M.K. Kaymak, A.D. Şahin

Fuel Cells and Hydrogen Production 66.

“Efficiency and environmental impact analyses of biomass based power production systems”, C.O. Colpan, F. Hamdullahpur, I. Dincer, Y. Yoo

67.

“Some exergetic sustainability parameters for PEM fuel cells”, A. Midilli, I. Dincer

68.

“Efficiency and environmental impact assessments of a trigeneration plant using SOFC and ORC”, F. Al-Sulaiman, F. Hamdullahpur, I. Dincer

69.

“Direct ethanol fuel cells as alternative energy generation systems”, H. Kivrak, D. Uner

70.

“Species distribution and performance of solid oxide fuel cells”, M. Hocine, B.M. Hocine, M.M. Salah, B. Hamza, B. Djamel

71.

“Environmental impact assessment of solar electricity and hydrogen production”, A.S. Joshi, B.V. Reddy, I. Dincer

72.

“Comparative evaluation of hydrogen production potential of some clostridium species and their cocultures with undefined anaerobic mixed culture”, N. Azbar, F.T. Çetinkaya Dokgöz, T. Keskin, R. Eltem

73.

“Reducing greenhouse gas emissions by a copper-chlorine water splitting cycle driven by sustainable energy sources for hydrogen production”, C. Zamfirescu, G. F. Naterer, I. Dincer

74.

“Cost and efficiency analysis of nuclear-based hydrogen production through a copper-chlorine thermochemical cycle”, M.F. Orhan, I. Dincer, M.A. Rosen

75.

“Comparison of some geothermal-based hydrogen production methods for better environment and sustainability”, M.T. Balta, I. Dincer, A. Hepbasli

76.

“Environmental impact and cost analyses of ammonia as a hydrogen source”, C. Zamfirescu, I. Dincer

77.

“Solid oxide fuel cell waste heat recovery using organic rankine cycles”, M. Yari, N. Javani

78.

“Water and heat management in the fuel cells with protons exchanging membrane. State of art”, M. Zeroual, Z. Belkhiri, H. Ben Moussa, B. Zitouni, K. Oulmi, D. Haddad

Modeling and Simulation of Energy Systems 79.

“Analysis of performance optimization curves for hydrogen and JP8-fueled microturbojet engines”, O. Turan, T.H. Karakoc

80.

“Development of mathematical steady state model for cold box in an ethylene production line”, M.M. Adam, Y.A. Eltaweil, M.E. Ossman, A.H. Konsowa

81.

“Numerical simulation of a u-shaped type underground heat exchanger in a ground-coupled heat pump GCHP system”, S. Shafagh, A. Rostamzadeh

82.

“Heat and mass transfer in an ecosystem in transient regime”, A. Zeroual

83.

“CFD modelling of a close-coupled catalytic convertor”, E. Gemici, M. Aydin

84.

“Effect of steam injection on work output and carbon dioxide emissions for a natural gas fired combined cycle power generation system”, I. Alaefour, B.V. Reddy

85.

“A numerical study for evaluating performance of centrifugal pump”, M. Kaya, M. Aydin

86.

“A model of a photovoltaic heat pump”, C. Renno

87.

“Feasibility analysis of some photovoltaic refrigerators”, C. Renno

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88.

“Experimental and theoretical analysis of the dynamic behavior of an inverse cycle plant”, C. Renno

Energy and Exergy 89.

“Biomass based energy systems to meet the growing energy demand with reduced global warming: role of energy and exergy analyses”, B.V. Reddy

90.

“Exergo-economic analysis of micro pin fin heat sinks”, A. Kosar

91.

“Exergy based industrial ecology analysis and assessment of integrated and separate heat and power production systems”, A. Abusoglu, M. Kanoglu

92.

“Exergy cost analysis of a diesel engine fueled with various fuels”, H. Caliskan, A. Hepbasli

93.

“Exergy analysis and environmental impact assessment of a photovoltaic-hydrogen production system”, A. Yilanci, H.K. Ozturk, I. Dincer, E.Y. Ulu, E. Cetin, O. Ekren

94.

“Examination of global effects of exergetic inefficiency in the cement sector”, Z. Söğüt, Z. Oktay, H. Karakoç

95.

“Valuating heat conservation in industry by cost allocation”, S. Siitonen, H. Holmberg

96.

“Exergy analysis of a gas turbine power plant in Algeria”, F. Khaldi, B. Adouane

97.

“Exergy analysis of a photovoltaic-powered refrigeration system”, O. Ekren, A. Yilanci, H.K. Ozturk, E. Cetin

98.

“Exergetic performance comparison of gasification and pyrolysis processes”, Y. Kalinci, A. Hepbasli, I. Dincer

Chemical Aspects 99.

“Adsorption of Copper II by activated carbon prepared from Tunçbilek lignite”, İ. Orbak, R. Yavuz, N. Karatepe

100. “CO2 utilization by photocatalytic conversion to lower hydrocarbons and alcohols”, M.M. Oymak, B. İpek, D. Üner 101. “Investigation of the light hydrocarbons in Bursa atmosphere”, S. Yorulmaz, M. Civan, G. Tuncel 102. “The kinetics of carbon dioxide capture by solutions of piperazine and n-methyl piperazine”, F.P Gördesli, E. Alper 103. “Adsorption of SO2 from flue gas onto activated carbon”, I. Orbak, N. Karatepe, R. Yavuz 104. “A review on carbon capture by adsorption and storage methods”, O. Ergün, S. Borukhova, S. Aras, A. Yılmaz, D. Üner 105. “Effect of metal impregnation on flue gas desulfurization by olive stone based-activated carbon”, E. Çetinkaya, N. Karatepe, R. Yavuz 106. “Impact of surface ocean acidification on the CO2 absorption rate”, A. Shanableh, T. Merabtene, M. Omar, M. Imteaz 107. “Removal of Mercury II from wastewater effluent”, M.S. Medjram, C. Bouchelta 108. “Trace metals in the bivalve mytilus galloprovincialis from Annaba Coast, Algeria”, C. Abdennour, F. Drif 109. “Desulphurization methods of flue gases”, J. Gulen 110. “Various applications for decreasing of sulfur in lignite”, J. GULEN 111. “Adsorption of phenolic pollutants on porous copper materials. A comparative study”, K. Abdmeziem, Y. Roumila, R. Bagtache, D. Mekhezoumi, P. Couchot

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112. “Treatment of wastewater containing heavy metals studies of the extraction of Copper II and Lead II from middle chlorhydric acid”, F. Hassaine-Sadi, S. Chelouaou 113. “Mesoporous activated carbons obtained from date pits: pore structure development, characterization and adsorption of dyes from aqueous solution”, N. Bouchemal, F. Addoun 114. “Nickel effect on human health impulsional pulse polarography: a rapid method of concentration determination of metal in aqueous solutions”, Z. Hank, S. Boutamine, M. Meklati 115. “Sheep milk for production cheese kaçkavall in Kosova”, S. Maxhuni, T. Isa, I. Fejza, S. Avdullahi, A. Behrami 116. “Composition of the volatile oil from the aerial parts of Algerian bejaia inula viscose l. aiton”, M. Abdelahdi , F. Abdellatif, B. Berka, A. Hassani 117. “Biosorption of zinc and cadmium by green algae species: a comparative study”, F. Ammour, H. Derias, S. Houli, A. Kettab 118. “Essential oil composition of Melissa Officinalis l and Teucrium Polium l growing in Algeria”, F. Abdellatif, M.Abdellahdi, B.Berka, A.Hassani 119. “Study of biogenic volatile organic compounds emitted from juniperus communis and juniperus oxycedrus growing in Algeria”, Y.Foudil-Cherif, N. Yassaa, N. Boutarene, B.Y.Meklati 120. “Characterization of aliphatic alkanes and polycyclic aromatic hydrocarbons of PM10 aerosols in some northern Algeria atmospheres”, R. Ladji, N. Yassaa, C. Balducci, A. Cecinato, B.Y. Meklati 121. “Preparation and characterization of activated carbons from olive stones and their adsorption properties towards phenol”, A. Addoun, L. Temdrara, A. Khelifi 122. “Application of the environmental friendly membrane process for purification of MTBE as a fuel additive”, N.D. Hilmioglu, S. Tulbentci Greenhouse Gases and Air Pollution 123. “Air quality monitoring using a ground-based UV-VIS spectrometer at Évora station–Portugal”, A.F. Domingues, D. Bortoli, A.M. Silva 124. “Cost and benefit analysis of dry ice blasting for environmental friendly shipyards”, F.T. Akanlar, U.B. Celebi, N. Vardar 125. “Estimation of CO2 emissions from merchant ships in Marmara sea, Turkiye 1999-2008”, C. Deniz, Y. Durmusoglu, A. Kilic, B. Cetin 126. “trajectory clustering for long range transport of aerosols in northwestern Turkey”, D.D. Genc, G. Tuncel 127. “Optimum organic loading rate for semi-continuous operation of an anaerobic process for biogas production from jatropha curcas seed cake”, N. Sinbuathong, B. Sillapacharoenkul, R. Khun-anake, D.J. Watts 128. “Climate change modeling”, L. Ahmadi, A. Ahmadi, A. Ahmadi 129. “Investigation of t shape geometry for the collection of pollution particles”, M. Mercimek, H. Yıldırım, A.F. Miguel, M. Aydın 130. “A parametric study on environmental impact assessment of explosive volcanoes”, F. Aydin, A. Midilli, I. Dincer 131. “Environmental impact assessment of the St. Helens volcanic eruption: a case study”, F. Aydin, A. Midilli, I. Dincer 132. “Experimental investigation on performance and exhaust emissions of a SI engine fueled with turpentine and gasoline-like fuel produced from waste lubrication oil”, O. Arpa, R. Yumrutas, M.H Alma

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133.

“Some indicators of air pollution for the city of Tirana”, H. Mankolli, M.L. Cekani, A. Shumeli

134. “Using dry ice to stop the global warming”, H.M.I. Al-Khazraji 135. “The minimization of styrene emission in fiberglass boat production: vacuum infusion method”, F.T. Akanlar, U. B. Celebi, N. Vardar 136. “An environmental-benign fish drying technique for better quality and sustainability”, A. Kilic, A. Midilli, I. Dincer

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PAPERS

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Proceedings of the Global Conference on Global Warming-2009, July 5-9, 2009, Istanbul, Turkey

CLIMATE CHANGE AND GOVERNANCE: STATE OF AFFAIRS AND ACTIONS NEEDED Prof. Walter Leal Filho (BSc, PhD, DSc, DL) Research and Transfer Centre “Applications of Life Sciences” Hamburg University of Applied Sciences, Faculty of Life Sciences Lohbrügger Kirchstraße 65, 21033 Hamburg, Germany e-mail: [email protected]

ABSTRACT The United Nations Development Program (UNDP) by means of its “Strategy Note on Governance for Human Development” defines Governance as the system of values, policies and institutions by which a society manages its economic, political and social affairs through interactions within and among the state, civil society and private sector. The principle of Governance especially applies to climate change, since it pays due attention to the social, political and economic dimensions of the problem and does so at every level of human activity be it the household, village, municipality, nation, region or globe. This paper discusses the concept of climate change governance (CCG), outlining the current state of affairs and, by means of some examples of good practice, documents some of the on-going initiatives in this field. It also describes some of the action needed in order to make the principles of climate change governance be implemented in practice. INTRODUCTION In general terms, good governance can be defined as a process where countries strengthen their electoral and legislative systems, provide wide access to justice and public administration, and develop a gender capacity to deliver basic services, especially to those most in need. The United Nations Development Program (UNDP) by means of its “Strategy Note on Governance for Human Development” defines Governance as the system of values, policies and institutions by which a society manages its economic, political and social affairs through interactions within and among the state, civil society and private sector (UNDP 2004). Governance and politics go hand in hand (Patterson 1996). A specific area of governance is “environmental governance” (Bulkeley 2005), which can be defined as a process within the framework of which principles of governance such as democracy, human rights and ethics are applied to an environmental context and thus contribute to enhancement of livelihood of people and reduce poverty, whilst promoting environmental protection and resource conservation. Although much has already been written about governance in cities (Leal Filho, Dzemydiene, Sakalauskas 2006), there are few sectors where the principles of governance may be as needed as in respect of the climate sector (Bulkeley and Betsill 2003). Climate Change Governance (CCG) is thus an emerging field and one which is an important part of the politics of climate change (Patterson and Grubb 1992). Phenomenologically speaking, CCG can be defined as a process within the context of which principles of good governance apply to the processes surrounding climate change and offering the means to systematically address its main areas, namely mitigation (the efforts to stabilize or curtain greenhouse gas emissions) and adaptation (the ability to adjust in order to decrease the potential or real impacts of climate change). CCG suffers the same problems and limitations seen in respect of general governance. These are: a) b) c) d)

multiplicity of perspectives, conflicting interests, lack of defined priorities, low level of relevance given to climate issues

Other barriers are also encountered. The success or failure of CCG schemes is often dependent on overcoming these problems or at least acknowledging and taking into account their existence (Hurlbert, Diaz, Corkal, Warren 2009). To date, despite attempts made by Adger et al (2206) and

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Drexhage (2007), there has few systematic studies of the means to overcome the barriers seen in CCG. Many questions thus still remain unanswered. One attempt to move forward consists of the identification of the principles which influence CCG, especially at the local level (Patiño, Gauthier 2009). Research performed by the author in the process leading to the preparation of this paper has allowed the identification of a number of these governing principles. These are as follows: Principle 1: the process of dealing with climate change in the short and in the long-term needs to be supported not only by international conventions, but also by national legislation which take into account the local realities, especially in respect of access to energy supplies and access to services which are of direct relevance to life quality; Principle 2: climate change is a process which not only has a strong physical-chemical dimension, but also deep social and economic routes. In this context, CCG needs to take into account local social contexts and consider them as part of problem-solving process; Principle 3: climate change is often related to meteorological and climatic factors which affect people´s lives, especially the poor of the poorest, hence requiring measures which not only take emissions into account, but also people´s well being; Principle 4: it is not sufficient to study, research or assess the vulnerability of particular ecosystems, countries or regions to climate change. The several hundred million dollars annually spent on climate change modelling or predictions need to be complemented by action-oriented research which clearly tries to prepare countries and communities to handle the unavoidable effects of climate change; Principle 5: the process of mitigation of climate change needs universal efforts and support. The burden and the responsibility for the reduction of greenhouse gases emissions in the needs to be shared by developing and developed countries, bearing in mind the weak economic conditions of the former. Whilst in the past 20 years climate discussions have overwhelmingly been dominated by specialists from the climate and meteorological sectors, the reality is now much different. Economists, sociologists, educators and other groups have entered and enriched the climate debate, by offering a wider range of views and perspectives. This is not to say that traditional climate experts have welcomed the addition of some many new, non-technical perspectives to climate matters. Some are very critical about this state of affairs and it is seen that in some quarters some degree of resistance to the arrival of new experts has been noticed. Such concerns are however unfounded since the climate debate has, if anything, become richer thanks to the diversity of views and perspectives, as well as the various innovative ways to tackle the challenges posed by climate change which were missing in the past. Despite the increasing awareness available today in respect of CCG, the realization of goals of CCG is not simple and there are many problems attached to it. Some of these are summarized in Table 1. The last problem mentioned in the list, i.e. the lack of documented experiences is a matter of real concern since there are many interesting examples of action and projects taking place in Industrialized and developing countries, which could serve as inspiration for others. Indeed, much may be gained by documenting and disseminating such experiences and an attempt to contribute towards addressing this perceived need is made in the next part of this paper, which provides some examples of good practice on CCG. Examples of Good Practice on Climate Change Governance In order to provide clear examples of situations and contexts where principles of CCG are applied, this section will first of all present an overview of how industrialized countries see and handle CCG. Furthermore, it will introduce some current, practical projects and initiatives taking place in a number of developing countries.

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Table 1: Some problems associated with climate change governance Problem Impact Implications Complexity of the subject Lack of broad understanding Engagement in climate change matter of climate change governance is not encouraged Emphasis on national/local Priority to handling of matters of Benefits of cross-border measures local concern cooperation missed Lack of specific climate Insufficient emphasis to climate Climate issues get diluted in the governance structures change governance general governance debate Incompatibility between Uneven development of climate International climate change international and national change governance among governance often not suitable principles of governance countries for national contexts Lack of documented Limited information on good Convincing, real examples experiences on climate change practice and successful which make a case for it are governance initiatives difficult to find In trying to describe the degree of emphasis industrialized countries give to CCG, it is at the outset necessary to acknowledge that they ways they see and perceive CCG are not homogenous. Unlike in North America, South America or Asia where countries handle matters related to CCG individually, things are different in Europe. This is partly because the countries which are members of the European Union operate under a common umbrella, which makes European Directives and Regulations binding to all members. In this context, some of the on-going regulations such as the European Water Framework Directive or the Floods Directive have been playing a key role in fostering CCG. In the 2000 for example, the European Commission launched the European Climate Change Programme (ECCP). The ECCP has led to the adoption of a wide range of new policies and measures which have reflected in improved CCG, sometimes by default and sometimes as a complement to efforts at the country level. The current state of affairs shows that, although there are on the one hand some countries such as Finland, Germany or Sweden which have well organized CCG practices – which in their turn are sometimes even better than the average EU ones- there are on the other hand other countries such as Bulgaria or Romania, where CCG is driven by their obligations as EU partners. A further element which characterizes CCG is industrialized countries is the existence of clear frameworks. In the United States for example, negotiations related to the UNFCCC, Kyoto Protocol (which it has not yet ratified) and other similar treaties are coordinated by the Department of State. In Germany, the prime responsibility lies within the Ministry of Environment, which is backed up by the Ministry of Education and Technology, the government body which funds the majority of climaterelated projects in the country. In other countries, this responsibility is spread among two or more government bodies, with some decentralized “climate change agencies” on occasions. One major feature which shows the difference in the thinking regarding CCG in industrialized nations – as opposed to developing ones- is the fact that the governance systems used in the former do offer incentives for them to act unilaterally in the reduction of their greenhouse emissions. In respect of the latter, such incentives are modest, if non-existing. Therefore, a gap in respect of the emphasis given to CCG exists and is unlikely to be bridged in the near future, unless the concerns of developing nations are addressed and concrete, tangible incentives are provided. Overall, as far as the degree of evolution of CCG is concerned, countries can be divided into three main categories: Category 1: countries where CCG is well embedded into national governance processes, with active participation from all relevant stakeholders (central and local governments, the public sector, industry, NGOs and other groups) which interact with one another. Examples of such countries are the United States, Canada, Japan on the one hand and Finland, Germany, Norway, Sweden and the UK on the other hand. Category 2: countries where CCG is regarded as “work in progress” and national systems are being developed. Examples of such countries can be found in Eastern Europe and in emerging countries such as Brazil, India and China, partly due to peer pressure and partly due to the need to meet the targets set by UNFCCC.

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Category 3: countries where CCG is at initial stages, with a lack of an individual profile, with few active organizations in the field and little government support to organized responses to climate change. Examples of such countries are widely found in Latin America, Africa and South-East Asia. A matter which is worthy noting is that, at times, some regions within countries are the leading forces in CCG, being often ahead of what central governments are doing. This is the case for example, of the State of California in the United States, which has invested much time and efforts in building up a strong CCG profile and has undertaken dramatic steps in order to reduce its greenhouse gases emissions. A similar situation is seen in cities like Hamburg, in Germany, which has a well managed climate policies and where the principles of CCG are widespread among government, industry, NGOs and society at large. Both example illustrate how powerful CCG at local level can be. Moving on to a developing country context, there are some encouraging signs that CCG is finding its way into national policies and that it has been progressively incorporated into the way of thinking. The first example worthy mentioning is a project titled “UNFCCC Enabling Activities (SNS)” in Guyana, South America. Guyana is one of the 41 countries world-wide classified as a ‘highly indebted poor country’ (HIPC). Over the past few years, its economy has experienced slow growth, exacerbated by devastating floods such as the ones which occurred in 2005 and 2006. The resultant damage and losses significantly influenced the GDP, especially in 2005 when more than one third of the population suffered from the impacts of the flood. Climate change is a matter of special concern in Guyana. Thus, the country signed the UN Framework Convention on Climate Change (UNFCCC) on the 13th June 1992, and ratified it on 29th August 1994. The Convention entered into force on the 17th November 1994. The SNS project, whose aim is to strengthen the institutional and technical capacity of Guyana, allowing the country to meet its UNFCCC obligations by preparing and submitting its SNC, will assist with improving CCG and climate change knowledge in Guyana as well as assisting in the capacity building process as it relates to climate change. The project will allow Guyana to address climate change concerns at the same time that it fosters its Governance and identify adaptation options, as well as propose concrete projects for implementation. The second initiative worthy mentioning comes from Brazil, also in South America. Brazil is one of the ten largest economies in the world and hosts the Amazon rainforests. Due to various reasons, of which deforestation is one of the main ones, Brazil is third largest net-emitter of greenhouse gases in the developing world (China and India take the first and the second place respectively). A special feature of Brazil is that the contributions from the energy sector to its overall greenhouse gas emissions balance are far outweighed by the contributions provided by forestry and poor land use: around 75% o the country´s emissions come from its tropical rainforests. In order to cater for better CCG and allow a more systematic execution of policies related to climate change, the Brazilian Government set-up the "Brazilian Forum on Climate Change" (BFCC), which was created by a Presidential decree in 2000. The aim of the BFCC is to increase awareness and mobilize society about the debate and position to be taken on problems related to climate change caused by greenhouse gases. The forum, headed by the Brazilian President himself and made up of 12 Ministers as well as representatives from scientific and non-governmental organizations, is meant to assist the government to incorporate climate change issues into the different stages of public policies. In addition, a Government Commission on Climate Change, based at the Science and Technology Ministry, helped to draw up the Brazilian proposals that were incorporated into the Kyoto Protocol. Brazil proposes two key premises which ought to orient the entire debate: the historic contribution of greenhouse gases from developed countries and the concrete contribution developing countries may make to the climate change adaptation and mitigation process. In doing so, Brazil has had over 106 projects for the Clean Development Mechanism (CDM), which is the equivalent to 10 percent of the global total. As an example of what can be achieved in respect of local CCG, mention can be made to the “Juma Sustainable Development Reserve Project” which is the Amazon's first independently validated project that has created benchmarks for calculating emissions reduction and rewards locals for protecting the rainforest.

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A third example comes from India, whose main energy resource is coal. India is under some considerable international pressure to change its energy strategy based on coal, its most abundant resource, and to use other energy sources (especially oil, gas as well as biomass) instead, bearing in mind these resources are more expensive and not evenly distributed across the country. In order to systematize efforts aimed at conciliating climate change goals with renewable energy objectives, India created in 2006 the “Ministry of New and Renewable Energy” (MNRE) which is the nodal Ministry of the Government of India for all matters relating to new and renewable energy. The broad aim of MNRE is to develop and deploy new and renewable energy for supplementing the energy requirements of the country. On June 30, 2008, Prime Minister Manmohan Singh released the country´s first “National Action Plan on Climate Change” (NAPCC), which is one of the main instruments of implementation of CCG in the country (Government of India 2008). The document outlines current and future policies and programmes addressing climate mitigation and adaptation in the country. It lists eight core “national missions” running through 2017 and directs ministries to submit detailed implementation plans to the Prime Minister’s Council on Climate Change at regular intervals. A special feature of the plan is that it gives emphasis to maintaining high economic growth rates to raise living standards and pledges that India’s per capita greenhouse gas emissions “will at no point exceed that of developed countries even as we pursue our development objectives” (Government of India 2008). A final example of CCG, also at the local level is from Kenya. The project "Increasing Community Resilience to Drought in Makueni District" is one pilot project undertaken by the Canadia-based International Institute for Sustainable Development (Parry 2008), which on its turn is performed in the context of the regional project, "Integrating Vulnerability and Adaptation to Climate Change into Sustainable Development Policy Planning and Implementation in Eastern and Southern Africa” (ACCESA). By means of pilot projects in Kenya, Rwanda and Mozambique, ACCESA works with communities to introduce measures to reduce their vulnerability to climate variability and climate change, having governance embedded into it. ACCESA is also working towards the integration of adaptation to climate change into national policy- and decision-making, allowing for the amplification of benefits across a wider area and over a longer period of time. In so doing, ACCESA supports CCG from the very basis, providing a framework upon which other actions to enhance governance on climate issues in the country may be undertaken. ACTION NEEDED It ought to be noted that in all examples here given, climate change governance will have many faces and operational models. They also involve multiple sectors. Moreover, the examples and models of CCG here outlined need to take into account different interests, remits and the roles of various parties both within and outside governments. As stated by Drexhage (2007), “.. to address the multifaceted climate challenge we face, governance efforts must evolve beyond the current global regime-building model and that environmental and development policies must become much better integrated“. This is not an easy task and requires much efforts and a great degree of coordination. One trend has been identified in the analysis of successful examples of CCG: the mere recommendation of stricter emission limits or reduction in emissions as a tool for CCG does not suffice. Therefore, in respect of action needed, in order to succeed CCG needs: • • • •

Proper coordination: with one or more coordinating bodies taking a lead role and catalysing action; The use of correct incentives: so as to encourage not one or two, but different sectors of society to be involved; The mobilisation of the key stakeholders: in order to yield its expected benefits, CCG needs the active engagement of Government, the civil sector, industry, the scientific community and specific interest groups (NGOs); Adequate monitoring: CCG needs to be constantly monitored so as to allow a sense of direction to be identified and changes of direction to be made.

It should also be noted that education and communication here are important elements of the formula (Leal Filho, Mannke, Schmidt-Thomé 2007; Leal Filho, Mannke 2009). Different incentives often create specific kinds of responses and these needs to be well spread over society as a whole if these are to be part of reliable climate change governance measures.

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CONCLUSIONS The central goal of CCG is to contribute to the development of institutions and processes that are more responsive to the needs of ordinary citizens, especially the poor, in respect of climate change. The examples shown in this paper have shown how achievable this goal can be. In the specific case of countries which have wide forest resources, reduced emissions from deforestation and degradation (REDD) can help not only to conserve forests but also to combat climate change and eradicate poverty, hence being fully in line with the principles of CCG. Due to their nature and scope they ought to have a higher priority in future climate treaties and agreements. In addition, CDM (Clean Development Mechanism), an arrangement under the Kyoto Protocol which allows rich countries to fulfil part of their obligations by investing in clean projects in developing countries, may provide further, albeit indirect support to CCG by strengthening local organisations and structures. The findings from this paper indicate that coordination difficulties and the attitudes of countries towards incentives are among the main barriers to successful CCG. It is obvious that CCG cannot be detached from the general elements of governance as whole and environmental governance in particular. One possible step ahead would be to produce a document such as “Global Principles of Climate Change Governance”, which would be an internationally agreed code of good governance on climate change approved by governments. These “Global Principles of Climate Change Governance” could focus on the national and local level and are intended to provide direct assistance and guidance to governments in improving the political, legal, institutional and regulatory framework that underpins CCG. They may also provide practical guidance and suggestions for non-government bodies, donors and other parties that may play a role in the process of developing CCG. However, in order that it yields the expected benefits, the effective implementation and enforcement of CCG require that laws and regulations are designed in a way that makes them possible to implement and enforce in an efficient and credible fashion by both industrialized and developing countries. There is also a need to cater for public involvement (Leal Filho 2009) so that a long-term basis for developments may be established. It is clear that, bearing in mind the complexity of the problems caused by and associated with climate change, CCG may help to bring people together, both within nations but also around the world, to build partnerships and share ways to promote participation, accountability and effectiveness in tackling the challenges posed by climate change at all levels. REFERENCES Adger, W. N. et al (eds) (2006) Fairness in Adaptation to Climate Change. Cambridge, MIT Press. Bulkeley H. (2005) ‘Reconfiguring environmental governance: Towards a politics of scales and networks’. In Political Geography 24: 875-902. Bulkeley H. and Betsill, M. M. (2003) Cities and Climate Change: urban sustainability and global environmental governance. London, Routledge. Drexhage, J. (2007) Climate Change and Global Governance - Which Way Ahead? Winnipeg, Canada, International Institute for Sustainable Development. Government of India (2008) National Action Plan on Climate Change. New Delhi, Government of India. Hurlbert, H., Diaz, H., Corkal, D.R., Warren, J (2009) Climate change and water governance in Saskatchewan, Canada. In International Journal of Climate Change Strategies and Management 1 (2), pp. 118 - 132. Leal Filho, W., Dzemydiene, D., Sakalauskas, L. (eds.) (2006) Cities and Governance for Sustainable Development. Mikolas Romerius University Press, Vilnius. Leal Filho, W., Mannke, F., Schmidt-Thomé, P. (eds.) (2007) Information, Communication and Education on Climate Change -European Perspectives. Frankfurt, Peter Lang Scientific Publishers.

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Leal Filho, W., Mannke, F. (eds) 2009) Interdisciplinary Aspects of Climate Change. Frankfurt, Peter Lang Scientific Publishers. Leal Filho, W. (2009) Communicating climate change: challenges ahead and action needed. In International Journal of Climate Change Strategies and Management, 1 (1), pp. 6-18. Parry, J-E- (2008) Preparing for Climate Change in Kenya: Early Outcomes of the Project “Increasing Community Resilience to Drought in Makueni District”. Winnipeg, Canada, International Institute for Sustainable Development. Paterson, M. and Grubb, M. (1992) The International Politics of Climate Change. In International Affairs, 68 (2), pp. 293-313 Paterson, M. (1996) Global Warming and Global Politics. London, Routledge. Patiño, L., Gauthier, D. A. (2009) Integrating local perspectives into climate change decision making in rural areas of the Canadian prairies. In International Journal of Climate Change Strategies and Management, 1 (2), pp. 179 - 196. UNDP (2004) Strategy Note on Governance for Human Development. New York, UNDP.

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GLOBAL WARMING AND CLIMATE CHANGE: CONTRIBUTION TO THE STUDY OF THE EUROPEAN SITUATION BEFORE AND AFTER 1998 António F. Miguel Department of Physics, University of Evora, PO Box 94, 7002-554 Evora, Portugal Geophysics Centre of Evora, Rua Romao Ramalho 59, 7000-671 Evora, Portugal [email protected]

ABSTRACT Climate change mitigation is one of the top environmental priorities. The Kyoto Protocol was elaborated as a means to control the risk of global warming from greenhouse gases, while improving the human condition. The text of this Protocol was adopted on 11 December 1997, and by 1998-1999 it had received the signatures of the actual European Union member countries. This paper investigates the differences, before and after 1998, regarding CO2 emissions, energy consumption and other environmental indicators in 15 European countries. The comparison is based on two different quantities: An evolution parameter and a power law function of country´s size (population size or gross domestic product). The results obtained show that countries operate changes at different speeds and, therefore, with a different temporality. CLIMATE CHANGE AND KYOTO PROTOCOL Global warming and climate change are perhaps the greatest threat facing our planet. More than 400 million years ago the atmosphere had enough oxygen, the lands enough plant matter, and skies enough lightning for them to converge and create combustion. Fire has thrived on Earth ever since. Homo erectus (around 2 million years ago) could apparently maintain fire, and Homo sapiens (around 200 thousand years ago) make it, more or less at will (Goren-Inbar et al., 2004). Fire was used to convert dense forests into more open and richer semi-natural woody and herbaceous vegetation, for hunting and defence against wild animals, etc.. Although fossil fuels exist long before humans even use fire, our prehistoric ancestors had no use for them. Coal, the first of the fossil fuels to come into widespread use, played an extremely important role in the industrial revolution (19th century). Since then, coal, oil and natural gas made possible the modern life and are the base of widespread industrialization. Of the fossil fuels, none has had a more far-reaching effect on our society than oil. Currently, the European and the USA rely on fossil fuels for about 85% of its energy (International Energy Agency, 2008). The burning of fossil fuels for energy has important environmental impacts (Kerr, 2007). It is a major source of air pollution, and seems to contribute to global warming and climate change. As the Earths temperatures continue to rise, significant impacts can be expected from the change in infectious disease patterns around the globe (Patz et al., 2006), to the rise of global sea levels (Vaughan, 2005; Schneider, 2009). Therefore, it becomes a centrepiece about a global environmental impact. In 1992, the 192 signatories of the United Nations Framework Convention on Climate Change have committed themselves to reducing the emissions of carbon dioxide and other greenhouse gases (Meinshausen et al. 2009). In 1997, the signatories of the Kyoto Protocol (also linked to the United Nations Framework Convention on Climate Change) have committed themselves to reducing of greenhouse gas emissions to an average of five per cent against 1990 levels over the five-year period 2008-2012 (UN Framework Convention on Climate Change, 1997). This Protocol is based on principles set out in a framework convention signed in 1992(UN Framework Convention on Climate Change, 1992). On 16 February 2005 the Protocol becomes a legally binding agreement. Each country that signed the Protocol agreed to its own specific target. The overall goal was for the countries to reduce their combined total greenhouse gas emissions by 5% percent below 1990 levels by the period 2008-2012. The majority of European Union countries have committed to cut their combined emissions to 8% below 1990 levels, although countries within the European Union agreed to redistribute the overall target among themselves (example, Denmark adopted a reduction target of 21 percent). The Kyoto Protocol targets expire in 2012 and further international action is needed for the period after that. The European Union has also adopted a goal of keeping temperatures below 2 °C above pre-industrial levels as a guiding principle for mitigation efforts to reduce climate change risks, impacts and damages (Council of the European Union, 2005; Pachauri and Reisinger, 2007). The new administration of President Barack Obama has proposed reducing emissions by 80% by the year 2050 (Organizing for America, 2009). Both efforts are all intended to be solutions to the same global warming problem. THE EUROPEAN COUNTRIES AND THE KYOTO PROTOCOL In 1952 it was established the European Coal and Steel Community by six countries (Dinan, 2006; Nell, 2008): Belgium, France, Italy, Luxembourg, Netherlands and West Germany. Their aim was to pool the coal and steel resources. Economically, the Coal and Steel Community achieved early success. In 1958 this 8


Community evolved into the European Economic Community (EEC) or ‘Common Market’. The United Kingdom, Denmark and Ireland joined the European Economic Community in 1973. Greece becomes a member of EEC 8 year later, followed by Portugal and Spain in 1986 and by the reunited Germany in 1990. In 1993 the European Economic Community evolved into the European Union (EU). Austria, Finland and Sweden joined the EU in 1995. In 2004, ten countries (Czech Republic, Estonia, Latvia, Lithuania, Hungary, Poland, Slovenia, Slovakia, Cyprus and Malta) become members of the EU, and Bulgaria and Romania follow three years later. Countries like the Croatia and Turkey are candidates for future membership. The European Union member countries have been one of the major nominal supporters of the Kyoto Protocol. The EU and its member countries have signed the Protocol in 1998 and ratified it in May 2002. Turkey's parliament on February 2009 also approved its membership in the Kyoto Protocol. This study explores the differences before and after the Kyoto Protocol regarding CO2 emissions, energy consumption and other environmental indicators. The behaviour of following European countries is analyzed: France, Italy, Netherlands, Germany, United Kingdom, Denmark, Portugal, Spain, Finland, Sweden, Latvia, Lithuania, Poland, Romania and Turkey. The dynamics underlying the emission of carbon dioxide, energy consumption, paper recovered and fertilizers consumption is stressed between 1990 and 2005 (the year that the Protocol entered into force). The difference between initial member countries, recently admitted countries and countries that like to join the European Union is also studied. SELECTED SHARED TARGETS Countries do not operate in isolated environments or in vacuums. They are subject to international rules and regulations as well as events and forces around them. As a result, country performance is affected by global situation. The current global financial crisis (Highfill, 2008; Mishkin, 2009) and the recent spread of the H1N1 virus (Naffakh and van der Werf, 2009; Moloney 2009) show that things are not confined to particular country or region but are quickly spreading across continents. However, the immediate emerging pressure to deal with these problems is rather different to the one to deal with the global warming of environment. Unlike financial crisis, which brings a visible and an immediate suffering effect on the populations (falling production, rising unemployment, salary freezes or cuts, etc.), the price of the potential catastrophic impacts of global warming of the environment are not so visible. However, global warming of the environment threatens to outweigh even this global meltdown of financial markets in its potential for irreversible and catastrophic change to our climate. Even only taking economic considerations into account, it may assume shattering proportions. According to the Stern Review on the Economics of Climate Change (Stern, 2007), the climate change associated to the global warming could cost the world up to 20% of its gross domestic product (GDP). Therefore, the role that international protocols played in the adoption of measures and strategies to face this formidable challenge is very important and should be investigated. The effect of the signature of Kyoto Protocol on the policies of each EU member country can be obtained by sets of data from 1990-1997 and 1998-2005. The comparison between both periods is based on the following evolution parameter Λ=

1 n Yi +1 − Yi ∑ n i =1 Y1990

(1)

where Y is a quantity such as the CO2 emissions, energy consumed or other, and Y1990 is the value of Y in 1990. If we find that Λ > 0 it means there is an average increasing of Y in time. The parameter Λ = 0 implies that average Y does not change in time, but if Λ < 0 it means that there is an average decreasing of Y in time. We have also expanded our description. Although several measures of correlation can be explored when studying CO2 emissions and other environmental parameters, scaling has a particular meaning (Barenblatt, 2003; Miguel, 2009). Since Huxley (1932) introduced the allometric equation in biology, considerable attention has been paid to the power functions of the form (Brock, 1999; Brown and West, 2000; Miguel, 2006) (2)

Y = αX β

These scaling relations parameterize how a given quantity of interest Y depends on a measure of the size of the system X, where α is normalization constant and β is the scaling exponent. In what follows Y is a property of the system (e.g., physical, physiological, or other) and X is the basic parameter of the system (e.g., body size or number components such as the population number or GDP). The scaling of organisms’ form and function is a central feature of biological diversity (Brown and West, 2000; Bejan, 2000; West and Brown, 2005; Bejan and Lorente, 2008). Allometric scaling equations are

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observed in ectotherms and unicellular organisms but also in mammals, birds and plants (West and Brown, 2005; Bejan and Lorente, 2008). In living organisms, it has been understood as a manifestation of general underlying principles that constrain the dynamics and geometry of distribution networks within these organisms (e.g., the respiratory and the circulatory systems). Highly complex, self-sustaining structures require close integration of enormous numbers of constituent units that need efficient servicing (Bejan, 2000; West and Brown, 2005, Bejan and Lorente, 2008). This requires that the systems are sustained by optimized structures at all scales. Despite external differences in appearance and form, these features allow a predictive theory of biological structure and dynamics, despite much external variation in appearance and form. There are also evidences of allometric scaling laws not only in biology but also in physiology, economics, sociology, etc.,. Therefore, there is little doubt that there are underlying dynamical processes that generate and maintain the same scaling law among structural and functional variables over many orders of magnitude. Additionally, it exist essential general features in the very complex dynamics of living, social or economic systems. The existence of such ubiquitous allometric scaling relations implies powerful constraints at every level of the organization of these systems. Based on this idea, the allometric equation (Eq. 2) is applied to obtain the relationship between a measure of country’s dynamic Y (Co2 emission, primary energy consumption and recovered paper) and the population of the country or the GDP, X. Specifically, the following estimation equation is used  Y   X   = β ln  + ln(α ) ln Y  1990   X1990 

(3)

where X1990 is the country’s population or GDP in 1990. Data from different databases were adjusted to Eq. (3) and the coefficients α and β were then obtained. If the relationship between X/X1990 and Y/Y1990 is linearly (β =1), the quantity Y is proportional to the country’s population/GDP. The exponent β > 1means that the quantity Y scales superlinearly, β < 1 indicates that Y scales sublinearly and β < 0 indicates a decrease with respect to country’s population or GDP. THE EUROPEAN SITUATION BEFORE AND AFTER 1998 The primary focus here is concerned with the evaluation the following indicators: - CO2 emissions, - primary energy consumption, - renewable energy consumption, - fertilizer consumption, - recovered paper, - forest area. in 15 European countries (France (FR), Italy (IT), Netherlands (NL), Germany (DE), United Kingdom (GB), Denmark (DK), Portugal (PT), Spain (ES), Finland (Fi), Sweden (SE), Latvia (LV), Lithuania (LT), Poland (PL), Romania (RO) and Turkey(TR)). In order to address questions about the nature and magnitude of the evolution of these indicators during 1990 and 2005, the following databases were used: - Marland et al. (2005), International Energy Agency (2006), The Netherlands Environmental Assessment Agency (2001), World Resources Institute (2009) [CO2 emissions] - International Energy Annual (2006), World Resources Institute (2009)[energy consumption] - Food and Agriculture Organization of the United Nations (2008) [recovered paper] - Food and Agriculture Organization of the United Nations (2005) [total forest area] - World Population Prospects (2006) [total population] - The World Bank (2008), World Resources Institute (2009) [Gross Domestic Product (GDP)] The time evolution of population and GDP are depicted in Figs. 1 and 2.

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Fig.1. Time evolution of country’s population for 1990-2005.

Fig.2. Time evolution of country’s gross domestic product for 1990-2005. Next, we address the effect of the pre-Kyoto and post-Kyoto Protocol signature on environmental indicators. CARBON DIOXIDE (CO2) EMISSIONS Results for evolution parameter Λ (Eq. 1) are shown in Table 1. According to Table 1, counties show distinct behaviours regarding the CO2 emissions. In general, the parameter Λ for COE is larger in 1990-1998 than in 1998-2005 which means a decrease in carbon dioxide emissions. Germany, Latvia, Lithuania, Poland and Romania have a Λ < 0, i.e., they present an average decreasing of COE in time for 1990-1998 and 19982005. Netherlands, Portugal, Finland and Turkey have positive values of Λ (i.e., there is an increasing of COE in time) but they release less carbon dioxide in 1998-2005 than in 1990-1998. Denmark is a singular

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case. It presents a significant reduction of COE (i.e., Λ is positive in 1990-1998 but become negative in 1998-2005). On the other hand, France, United Kingdom and Spain have significant increase of CO2 emissions from 1990-1998 to 1998-2005. If we consider total CO2 emissions per person, COEP, (Table 1), the majority of the countries analyzed present a negative Λ for 1998-2005. The exceptions are Italy, Portugal, Spain and Turkey. However, Portugal and Turkey present a significant decrease of COEP from 1990-1998 to 1998-2005, Spain and Italy show an important increase of Λ. Table 1. Evolution of parameter Λ for CO2 emissions Country Total CO2 emissions (COE) Total CO2 emissions per person (COEP) 1990-1998 1998-2005 1990-1998 1998-2005 France 0.001 0.003 - 0.003 - 0.001 Germany - 0.013 - 0.007 - 0.016 - 0.008 Italy 0.011 0.017 0.009 0.015 Netherlands 0.013 0.006 0.006 - 0.001 Denmark 0.020 - 0.029 0.016 - 0.032 United - 0.006 0.001 - 0.001 - 0.002 Kingdom Portugal 0.045 0.021 0.040 0.013 Finland 0.016 0.001 0.011 - 0.001 Spain 0.026 0.061 0.024 0.057 Sweden 0.003 - 0.001 - 0.001 - 0.003 Latvia* - 0.070 - 0.009 - 0.053 - 0.005 Lithuania* - 0.039 - 0.013 - 0.043 - 0.011 Poland - 0.011 - 0.009 - 0.002 - 0.008 Romania - 0.052 - 0.009 - 0.050 - 0.008 Turkey 0.045 0.032 0.024 0.012 *reference year 1992

Total CO2 emissions per GDP (COEG) 1990-1998 1998-2005 - 0.013 - 0.015 - 0.029 - 0.015 - 0.002 0.002 - 0.015 - 0.012 - 0.006 - 0.038 - 0.025 - 0.019 0.013 0.001 0.001 - 0.006 - 0.007 - 0.026 - 0.039 - 0.034 - 0.003

- 0.002 - 0.026 0.007 - 0.023 - 0.034 - 0.005 - 0.026 - 0.032 - 0.010

In general, the evolution parameter Λ for COEG is negative for the interval of time of 1998-2005 (Table 1). Excluding Italy and Spain, all countries present a negative Λ. This means that they are more efficient to produce goods and services in regard to CO2 emissions. Table 2. Scaling exponent β (Eq. 3) for CO2 emissions vs. population size Country 1990-1998 1998-2005 2 r r2 β β France - 0.78 1.97 0.80 0.04# Germany - 2.89 0.88 - 8.11 0.64 Italy 5.32 0.80 0.88 12.18 Netherlands 2.05 0.85 2.20 0.83 Denmark 4.94 0.55 - 2.32 0.54 United - 2.48 0.70 - 0.61 Kingdom 0.07# Portugal 8.19 0.88 - 0.39 0.02# Finland 5.64 0.55 0.47 14.65 Spain 11.58 0.78 0.98 23.96 Sweden 2.33 0.50 6.75 0.35 Latvia* 6.45 0.92 - 1.87 0.62 Lithuania* 23.78 0.61 - 5.89 0.56 Poland - 3.22 0.26 4.38 0.05 Romania 23.72 0.81 - 7.81 0.35 Turkey - 0.06 0.91 1.75 0.82 *reference year 1992, # independent variable explains none of the variance by the dependent variable To check the possible scaling of total CO2 emissions (COE) with country´s size (population size and GDP), the corresponding data for the 15 countries above mentioned were analyzed. These data were fitted with Eq. 12


(3). The results found show that the carbon dioxide emissions and the GDP are not significantly correlated. Regarding the power law relationship between COE and population size, the scaling coefficient β and the adjusted r2 (in practical terms gives the percentage of variation in the dependent variable explained by the independent variable) are shown in Table 2. These results indicate that, for both time intervals corresponding to 1990-1998 and 1998-2005, the COE correlates with population size for Germany, Italy, Netherlands, Denmark, Spain, Latvia, Lithuania and Turkey. Table 2 also shows there are countries that present a significant correlation for 1990-1998 (Germany, Portugal, Latvia and Romania) and others only for 19982005 (France). For the majority of countries, the scaling coefficient β increases from 1990-1998 to 19982005 and is clearly superlinear, which signifies more population result in more carbon dioxide emissions. Table 2 also indicates that the coefficient β is negative for Germany, Denmark, Latvia, Lithuania and Turkey. For these countries, the scaling coefficient β decreases from 1990-1998 to 1998-2005 except for Turkey. Turkey has a negative β in 1990-1998 but for 1998-2005 becomes positive. A negative correlation factor β signifies a decrease of CO2 emissions with the country’s population. Therefore, the above result should be analyzed together with the time evolution of the country’s population (Fig. 1). Germany, Denmark and United Kingdom show an increase of population in time, but the population size of Latvia and Lithuania decreases during 1990-2005. This means that Latvia and Lithuania become smaller in terms of population but release more carbon dioxide. Therefore, only Germany and Denmark present a real decrease the CO2 emissions with population size in time (i.e., larger countries produce less greenhouse gas). Table 3. Evolution of parameter Λ for primary energy consumption Total primary energy Total primary energy Country consumption (PEC) consumption per person (PECP) 1990-1998 1998-2005 1990-1998 1998-2005 France 0.020 0.012 0.014 0.005 Germany - 0.001 0.001 - 0.005 0.001 Italy 0.012 0.015 0.010 0.013 Netherlands 0.014 0.023 0.008 0.014 Denmark 0.024 - 0.016 0.020 - 0.019 United 0.006 0.003 0.003 - 0.001 Kingdom Portugal 0.038 0.026 0.033 0.019 Finland 0.018 0.005 0.014 0.003 Spain 0.029 0.054 0.027 0.051 Sweden 0.001 0.009 0.008 - 0.006 Latvia* - 0.047 0.016 - 0.037 0.024 Lithuania* - 0.030 - 0.012 - 0.013 - 0.010 Poland - 0.003 - 0.006 - 0.005 - 0.006 Romania - 0.048 - 0.002 - 0.056 - 0.001 Turkey 0.065 0.053 0.041 0.027 *reference year 1992

Total primary energy consumption per GDP (PECG) 1990-1998 1998-2005 0.003 - 0.011 - 0.019 - 0.008 - 0.001 0.000 - 0.014 - 0.001 - 0.002 - 0.029 - 0.014 - 0.020 0.007 0.004 0.003 - 0.008 - 0.061 - 0.021 - 0.033 - 0.033 0.012

0.002 - 0.024 0.002 - 0.016 - 0.027 - 0.049 - 0.025 - 0.028 - 0.002

PRIMARY ENERGY CONSUMPTION Counties present distinct behaviours regarding the consumption of energy, as is shown in Table 3. Only Lithuania, Poland and Romania present a negative Λ in both time intervals (1990-1998 and 1998-2005). In the case of PECG the number of countries increases to 9 (i.e., Germany, Netherlands, Denmark, United Kingdom, Sweden, Latvia, Lithuania, Poland and Romania). France, United Kingdom, Portugal, Finland and Turkey present a decrease of the evolution parameter Λ for PEC, PECP and PECG fom1990-1998 to 19982005. On the other hand, Germany, Italy, Netherlands, Latvia show an increase of Λ. Another important result is that Spain and Lithuania present an increase of PEC and PECP but a decrease of PECG. This means that both countries are efficient to produce goods and services in regard to energy consumption. Denmark presents a significant reduction of PEC, PECP and PECG from 1990-1998 to 1998-2005. Notice that, if the evolution parameter Λ for PEC is larger in 1990-1998 than in 1998-2005 (Table 3), the evolution parameter Λ for COE presents the same tendency (Table 1). Our interest in scaling leads us to find the relationship between the total primary energy consumption (PEC) and the country’s size (i.e., population size and GDP). The data for each country were fitted with Eq. (3) and the scaling coefficients β are shown in Tables 4 and 5. Tables 4 and 5 reveal that, for both time intervals corresponding to 1990-1998 and 1998-2005, the PEC correlates with the population size and the GDP for France, Italy, Netherlands, Portugal, Spain and Turkey. Using population as the measure of country size

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(Table 4), the resulting scaling coefficient β is always larger than 1, so more population results in more primary energy consumption. For France, Portugal and Turkey the scaling coefficient β decreases from 1990-1998 to 1998-2005. For PEC versus the GDP (Table 5), we find that the relationship between the PEC versus the GDP (Table 5) is clearly positive but sublinear. Portugal, Spain and Netherlands are exceptions because the scaling coefficient is superlinear. For the time interval of 1998-2005, Latvia, Lithuania and Romania (Table 4) and Denmark (Table 4 and 5) have a negative scaling coefficient β. This means a decrease of PEC with the country’s population. Notice that the population of Latvia, Lithuania, Poland and Romania decrease in time during 1998-2005 (Fig. 1). This means that during 1998-2005, Latvia, Lithuania, Poland and Romania become smaller and consume more energy. Therefore, the case of Denmark is unique. There is an “economy” of scale in energy consumption because a larger country (i.e., country’s population increased during 1998-2005) consumes less energy. This result is confirmed by the Table 5: a larger GDP also scales negatively with primary energy consumption which didn’t occur for Latvia, Lithuania and Romania. Table 4. Scaling exponent β (Eq. 3) for total primary energy consumption (PEC) vs. population size Country 1990-1998 1998-2005 r2 r2 β β France 3.38 0.90 0.90 1.74 Germany 0.51 0.47 0.61 6.14 Italy 5.01 0.70 0.89 9.31 Netherlands 2.10 0.88 0.97 3.34 Denmark 6.20 0.82 0.58 2.14 United 2.09 0.65 0.50 Kingdom 0.79 Portugal 8.77 0.99 0.86 2.87 Finland 3.39 0.75 0.60 6.56 Spain 0.70 0.96 13.40 21.43 Sweden 0.62 0.35 0.29 0.01# Latvia* 2.85 0.58 0.54 2.99 Lithuania* 20.10 0.53 0.88 10.50 Poland 0.72 0.05 0.01# 3.59 Romania 17.20 0.56 0.70 8.29 Turkey 3.32 0.96 0.87 2.94 *reference year 1992, # independent variable explains none of the variance by the dependent variable According to Table 6, countries revelled an increasing of the recovered paper during 1990-1998 and 19982005. The exception is Netherlands and Finland. Both countries display a negative Λ for 1998-2005. Regarding the consumption of fertilizer, France, Germany, Denmark and United Kingdom present a significant reduction in both periods analyzed. On the other hand, Netherlands, Portugal, Poland and Turkey show a significant increase of pesticides. Finally, all countries studied increase their forest area or, at least, they maintain the area.

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Table 5. Scaling exponent β (Eq. 3) for total primary energy consumption (PEC) vs. GDP Country 1990-1998 1998-2005 r2 r2 β β France 0.67 0.85 0.54 0.92 Germany 0.17 0.33 0.58 0.60 Italy 0.80 0.88 0.97 0.70 Netherlands 0.35 0.81 1.50 0.96 Denmark 0.95 0.80 - 0.66 0.80 United 0.26 0.55 0.01 0.50 Kingdom Portugal 1.36 0.92 1.07 0.88 Finland 0.24 0.77 0.75 0.05# Spain 1.11 0.98 1.04 0.98 Sweden - 0.13 0.08 0.09# 0.01# Latvia* - 0.39 0.35 0.65 0.01# Lithuania* 0.79 0.60 0.44 0.86 Poland 0.08 - 0.10 0.04# 0.01# Romania 1.32 0.32 0.17 0.45 Turkey 1.28 0.98 0.88 0.99 *reference year 1992, # independent variable explains none of the variance by the dependent variable RECOVERED PAPER, FERTILIZER CONSUMPTION AND FOREST AREA Table 6 shows the evolution parameter Λ for the recovered paper, fertilizer consumption and forest area. Table 6. Evolution of parameter Λ for recovered paper, fertilizer consumption and forest area Country Total recovered paper Total fertilizer consumption Total forest area 1990-1998 1998-2005 1990-1998 1998-2005 1990-1998 1998-2005 France 0.131 0.085 - 0.019 - 0.033 0.006 0.003 Germany 0.052 0.092 - 0.015 - 0.019 0.003 0.000 Italy 0.031 0.118 0.013 0.013 Netherlands 0.075 - 0.002 - 0.017 0.036 0.004 0.003 Denmark - 0.091 0.159 - 0.044 - 0.063 0.009 0.006 United 0.081 0.121 - 0.016 - 0.026 0.007 0.004 Kingdom Portugal 0.019 0.115 - 0.012 0.001 0.016 0.013 Finland 0.058 - 0.011 0.000 0.000 Spain 0.070 0.142 0.022 0.022 Sweden 0.071 0.031 0.000 0.000 Latvia* 0.095 0.434 0.004 0.004 Lithuania* 0.004 0.008 Poland 0.070 0.202 - 0.125 0.159 0.002 0.003 Romania* - 0.029 0.251 Turkey 0.412 0.287 0.019 0.037 0.004 0.003 *reference year 1992 To check the possible connection between the total paper recovered and the population size, the corresponding data for the 15 countries studied were analyzed. The results found show that the recovered paper and the GDP are not significantly correlated which is an expected outcome. Regressing the total paper recovered on population size, we find the scaling coefficient β depicted in Table 7. These results indicate that, for both time intervals corresponding to 1990-1998 and 1998-2005, the paper recovered correlates with population size for the majority of the countries. The exception is Portugal.

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Table 7. Scaling exponent β (Eq. 3) for recovered paper vs. population size Country 1990-1998 1998-2005 r2 r2 β β France 0.87 0.82 17.27 2.88 Germany 0.89 0.99 15.45 62.48 Italy 0.86 2.73 0.01# 26.48 Netherlands 0.88 9.17 0.18 0.01# Denmark 0.94 19.10 0.04# 22.28 United 0.92 0.91 Kingdom 21.68 21.36 Portugal - 0.58 0.35 0.01# 11.94 Finland 12.00 0.82 0.47 4.05 Spain 19.13 0.82 0.87 8.90 Sweden 26.83 0.77 0.94 33.58 Latvia* - 4.78 0.35 0.95 11.55 Lithuania* - 121.33 0.82 0.95 47.99 Poland 113.30 0.35 0.99 203.90 Romania 0.97 5.77 0.05# 189.60 Turkey 0.83 0.82 9.18 4.38 *reference year 1992, # independent variable explains none of the variance by the dependent variable In general, the relationship between the recovered paper and population size is clearly superlinear (β>1). Latvia, Lithuania, Poland and Romania present a negative β during 1998-2005 (i.e., a negative β means a decrease of recovered paper with the country’s population). This result is apparently contradictory with the results displayed in Table 5 (i.e., these 4 countries present a positive Λ for recovered paper), but it is not. Notice that the population of Latvia, Lithuania, Poland and Romania decrease in time during 1998-2005 (Fig. 1). Therefore, for these countries there is an increase of the paper recovered for 1998-2005. FINAL REMARKS The Kyoto Protocol was adopted in 1998 to address the problem of global warming by reducing the greenhouse gas emissions. It is considered an important step in order to change some policies and practices. In this study, the differences between 1990-1998 (before de Kyoto Protocol signature) and 19982005 (the year that the Protocol entered into force) were evaluated based on several environmental indicators. The results obtained here show a dissimilar behaviour from the 15 European countries analyzed. Denmark present important changes from 1990-1998 to 1998-2005: Co2 emissions, energy consumption and fertilizer consumption were reduced, and recovered paper increased. On the other hand, Spain and Italy present an increase of Co2 emissions and energy consumption for the same period. Countries that recently joined European Union (Latvia, Lithuania, Poland, Slovenia and Romania) and a candidate for future membership (Turkey) present also dissimilar results. Latvia, for example, raised the primary energy consumption in 19982005, while Turkey presents a decrease. Regarding other indicators, Netherlands, Portugal, Poland and Turkey increased the consumption of fertilizers during 1998-2005. Besides, Finland and Netherlands decrease the amount of recovered paper in the same period. Here we also presented empirical evidence indicating that the CO2 emission, primary energy consumption and recovered paper follow power law functions of population size, with scaling exponents that fall into distinct universality classes. France, Italy, Netherlands, Spain and Turkey scale superlinearly for 1998-2005, 16


which signifies more population result in more carbon dioxide emissions. On the other hand, Germany and Denmark present a negative scaling coefficient for the same period. Latvia, Lithuania and Romania also present a negative scaling coefficient. As the population of Latvia, Lithuania and Romania decrease in time during 1998-2005, this means an increase of CO2 emission during this period of time. The power law relationship between the recovered paper and population size is clearly superlinear for all countries studied. Besides, carbon dioxide emissions and the paper recovered are not power law functions of the GDP. For the majority of the countries, the primary energy consumption was shown to be power law functions of population size and GDP. Exception for Denmark during 1998-2005, the scaling coefficient is clearly positive but sublinear. Portugal, Spain and Netherlands are the countries with a superlinear relationship. The results obtained here indicate that scaling seems to be a pervasive property of the countries and, using the analogy with living organisms, it can be understood as a manifestation of general underlying principles that constrain their dynamics. Scaling exponents fall into distinct universality classes. This suggests that countries present different “speeds” of changes. Denmark is the country that presents a dynamics in 19982005 with major differences when compared to 1990-1998. On the other hand, in countries like Spain, Italy and Portugal their changes in dynamics still very incipient. The evaluation of the results of the policies related with climate change mitigation, presents an urgent challenge for developing simple and fast evaluation tools. This work may bring a new and hopefully useful quantitative perspective into the evaluation of the dynamics change of the countries, by the simplest means possible. REFERENCES Barenblatt, G. I. 2003. Scaling. In: Cambridge Texts in Applied Mathematics. Cambridge: Cambridge University Press. Bejan, A. 2000. Shape and Structure, from Engineering to Nature. Cambridge: Cambridge University Press. Bejan, A. and Lorente, S. 2008. Design with Constructal Theory. New York: Wiley Brock, W.A. 1999. Scaling in economics: a readers’ guide. Industrial and Corporate Change 8:409–446. Brown, J.H. and West, G.B. (eds.) 2000. Scaling in Biology. New York: Oxford University Press Dinan, D. 2006. Origins and Evolution of the European Union. Oxford: Oxford University Press European Commission. 2005. Council of the European Union. Presidency Conclusions – Brussels, 22/23 March 2005 Food and Agriculture Organization of the United Nations. 2005. Food and Agriculture Organization of the United Nations. 2008. FAOSTAT Online Statistical Service. Goren-Inbar, N., Alperson. N., Kislev, M. E., Simchon, O., Melamed, Y., Ben-Nun, A. and Werker, E. 2004. Evidence of hominin control of fire at Gesher Benot Yaàquov, Israel. Science 304:725-72 Highfill, J. 2008. The economic crisis of December 2008. Global Economy Journal 8: article 4. Huxley, J.S. 1932. Problems of Relative Growth. London: Methuen International Energy Agency. 2006. CO2 emissions from fuel combustion (1971-2004) International Energy Annual. 2006. International Energy Outlook 2006 Kerr, R. A. 2007. Climate change: global warming is changing the world. Science 316:188-190 Marland, G., Boden, T. A. and Andres, R. J. 2005. Global, Regional, and National Fossil Fuel CO2 Emissions. In: A Compendium of Data on Global Change. Carbon Dioxide Information Analysis Center, Oak Ridge National Laboratory, U.S. Department of Energy, Oak Ridge, Tenn., U.S.A. , Meinshausen, M., Meinshausen, N., Hare, W., Raper, S. C. B., Frieler, K., Knutti, R., Frame D. J. and Allen, M. R. 2009. Greenhouse-gas emission targets for limiting global warming to 2 °C. Nature 458:1158-1162 Miguel, A. F. 2009. Quantitative study of CO 2 emission to the atmosphere from biological scaling laws. Int. J. Global Warming 1:129-143 Miguel, A. F. 2006. Shape and complexity in living systems. In: J. Hernandez and M. Cosinschi (eds.) Along with Constructal Theory. Lausanne: UNIL. Mishkin, F. S. 2009. Globalization and financial development. Journal of Development Economics 89:164169 Moloney, A. 2009. Questions raised over response to influenza A outbreak. The Lancet 373:1591-1592 Naffakh, N. and van der Werf, S. 2009. An outbreak of swine-origin influenza A(H1N1) virus with evidence for human-to-human transmission. Microbes and Infection (in press) Nell, S. S. 2008. The European Union: Economics, Policies and History. New York: McGraw Hill Higher Education Organizing for America. 2009. http://www.barackobama.com/issues/ Accessed on April 10, 2009. Pachauri, R. K. and Reisinger, A. (eds) 2007. Climate Change 2007: Synthesis Report. Cambridge: Intergovernmental Panel on Climate Change

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Patz, J. A. , Campbell-Lendrum. D., Holloway, T. and Foley, J. A. 2005. Impact of regional climate change on human health. Nature 438: 310-317 Schneider, S. 2009. The worst-case scenario. Nature 458:1104-1105 Stern, N. 2007. The Economics of Climate Change: The Stern Review. Cambridge: Cambridge University Press The Netherlands Environmental Assessment Agency. 2001. The World Bank. 2008. World Development Indicators Online, Development Data Group. UN Framework Convention on Climate Change. 1992. UN Framework Convention on Climate Change. 1997. Vaughan, D. G. 2005.How does the Antarctic ice sheet affect sea level rise? Science 308:1877-1878 West, G. B. and Brown, J. H. 2005. The origin of allometric scaling laws in biology from genomes to ecosystems: towards a quantitative unifying theory of biological structure and organization. Journal of Experimental Biology 208:1575-1592 World Population Prospects. 2006. Population Division of the Department of Economic and Social Affairs of the United Nations Secretariat http://www.un.org/esa/population/ordering.htm Accessed on May 10, 2008. World Resources Institute. 2009. http://earthtrends.wri.org/ Accessed on April 10, 2009.

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POLICIES AND STRATEGIES OF REDUCING GLOBAL WARMING IN DEVELOPING COUNTRIES: AN APPROACH FOR TURKEY Aslı YÖNTEN Dokuz Eylul University, Institute of Social Sciences, Department of Public Administration, Buca, İzmir, Turkey, [email protected]

ABSTRACT Disasters can be grouped into two: natural and man-made. Today, perhaps the most serious environmental problem threatening the whole world is global warming which can be regarded as a man-made disaster. Global warming and its immediate effect climate change have tremendous negative impacts on not only environment but also socio-economic lives of people. These impacts can be disastrous enough to justify implementation of integrated crisis administration. Global warming affects every parts of the world, including developed as well as developing countries. However, it affects them in different ways and degrees. Unlike developed ones, developing countries have limited resources to solve these problems. For example, Turkey (especially its Agean and Mediterranean regions) is facing with the problems of extreme heat and water stress. Because of the limited budget, future scenorios raise major concerns about water stress and scarcity. An integrated crisis politics and policies are necessary to address the problem effectively. Reducing global warming will not be possible with only national actions. The success of these policies regarding reducing the adverse effects of the global warming depends on the degree to which they are part of a global action plan. Developing and developed countries must collaborate. Because of the fragility of the developing economies, developed countries should provide assistance for developing countries in their effort to reduce the adverse effects of global warming and they should provide this assistance before the effects start to be felt, not after. The most important frame about global warming is the United Nations Framework Convention on Climate Change. The second is the Kyoto Protocol which is continuation of the the Convention. Turkey became part of the Convention in 2004. Turkey has just ratified the Kyoto Protocol in 2009. At national level, Turkey is preparing its integrated strategic administrative plans related to governance models which are expected to be completed by 2009. Key Words: Global Warming, Disaster, Integrated Crisis Administration, Developing Country, The Kyoto Protocol 1. INTRODUCTION At the present day, one of the most important global issues is global warming which can be regarded as a man-made disaster. Especially recently, this subject has started to excite world-wide interest. This paper presents policies and strategies for how to reduce effects of this global issue in developing countries with special reference to Turkey. The discussion proceeds in four parts. The first discussed subject is why global warming is a man-made disaster. Today, human activities increasingly cause global warming related disasters which are one of the reasons of the crisis and require integrated crisis politics and policies in the solution. In the absence of policy intervention, we will face warmer world and its consequences. Warmer world’s consequences in the developing countries are the second discussed subject of paper. It effects every parts of the world in different ways and degrees. But developing countries are more vulnerable to global warming than developed ones. Turkey is among the vulnerable countries to the future effects of global warming. The effects of global warming in Turkey is the third and policies and strategies necessary for reducing global warming in Turkey is the last discussed subjects in this paper.

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2. GLOBAL WARMING: A MAN-MADE DISASTER Disasters can be grouped into two: Natural and man-made. Man-made disasters such as ones caused by chemical spills, civil strife and wars, not only constitute a clear and ever present danger for mankind, but may also have cumulative long-term effects on climate (Pararas-Carayannis). Today, global warming and its immediate effect climate change is one of the greatest risks that modern societies are faced with. It can be defined as gradual increase in the Earth’s atmospheric and oceanic temperatures. This gradual increase in the Earth’s temperature is linked to a number of disasters. The safety of the whole world will continue be threatened by the global warming related disasters. It is difficult to define disaster. Most definitions are either too broad or too narrow. In this paper, I use the definition provided by The Center for Research on the Epidemiology of Disasters (CRED) in Brussels, Belgium: “A disaster is a situation or event which overwhelms local capacity, necessitating a request to a national or international level for external assistance”. When we look at this definition, we see some similarities between global warming and disaster like overwhelming both of them local capacity and require national or international cooperation. It is subject to debate whether global warming is natural or man-made disaster. There is a growing consensus that it results from human activities. In the United Nations Intergovernmental Panel on Climate Change (IPCC) Third Assessment Report published 2001, while the effect of human factor has been explained as 60 percent probability, in IPCC Fourth Assessment Report published 2007, this ratio has reached until 90 percent probability. So we can say global warming which has long-term effects on climate as a man-made disaster. Reported climate disasters are on a rising trend sourced from global warming coming out due to human activities. Some disasters like extreme weather events, tropical storms, droughts, sea level rises began to increase because of global warming in recent years. Between 2000 and 2004 an average of 326 climate disasters was reported each year. Some 262 million people were affected annually from 2000 to 2004, more than double the level in the first half of the 1980s (Human Development Report, 2007/2008). Global warming related disasters are the risk factors and so one of the reasons for the crisis in the world. In the World Conference on Disaster Reduction which was on 18-22 January 2005, priority was the reduction of disaster risk factors, including global warming and climate change. The inclusion of climate change as a risk factor was reflected in the documentation “Promote the integration of risk reduction associated with existing climate variability and future climate change into strategies for the reduction of disaster risk and adaptation to climate change, which would include the clear identification of climate related disaster risks, the design of specific risk reduction measures and an improved and routine use of climate risk information by planners, engineers and other decision-makers.” (International Strategy for Disaster Reduction, 2009.) The effects of global warming related disasters can be disastrous enough to justify implementation of integrated crisis politics and policies. An effective integrated crisis administration is possible with governance model “government, private sector and non-governmental organizations participitions”. Before discussing global warming related disaster risks and how to reduce effects of global warming, we will firstly look at developing countries which are the most vulnerable to effects of global warming in the world. 3. GLOBAL WARMING AND DEVELOPING COUNTRIES Global warming affects every parts of the world, including developed as well as developing countries. However, it affects them in different ways and degrees. Developing countries seem to be more vulnerable than developed ones. When we look at definition of developing country, we will see the reason of the vulnerability. A developing country is a country that has low standards of democratic governments, industrialization, social programs, and human rights guarantees for its citizens. In other words, it is a nation with a low level of material while being. As we see in the definition, developing countries have different conditions from developed countries. While the rich can cope with shocks through private insurance, by selling of assets or by drawing on their savings, the poor face a different set of choices combating global warming. Because of poverty, disparities in human development, limited acces to insurance, lack of climate defence infrastructure, they have limited resources to solve global warming related issues and have limited capacity to adapt consequences. They may have no alternative but to reduce consumption, cut nutrition, take

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children out of school, or sell the productive assets on which their recovery depends. These are choices that limit human capabilities and reinforce inequalities. (Human Development Report, 2007/2008) According to World Resources Institute Report 2003, industrialized countries are the biggest polluters. Annually, more than 60 percent of global industrial carbon dioxide emissions originate in industrialized countries. The environmental consequences of the policies of industrialized nations have had a large, detrimental and costly effect on developing countries. (Shah) Because of this, developed countries should provide assistance for developing countries in their effort to reduce the adverse effects of global warming and especially they should provide this assistance before the effects start to be felt, not after. Turkey is in the list of emerging and developing economies according to the International Monetary Fund's World Economic Outlook Report, April 2008 (World Economic and Financial Surveys World Economic Outlook, Housing and the Business Cycle, International Monetary Fund, 2008). So Turkey is one of the vulnerable countries to global warming in the world by listing in emerging and developing economies. Turkey has some threats result from global warming like the other developing countries. For the efficient crisis administration, it is important that to know the effects of global warming in order to prevent the crisis before it occurs and changing these threats to opportunities in the country. In below, we will look at which threats Turkey has now or will have in the future because of global warming. 4. THE EFFECTS OF GLOBAL WARMING IN TURKEY World faces risks of global warming. Most developing countries with rapid urbanization, industrialization and population growth will destroy needed resources for the future. Some human activities including urbanization, industrialization and increases use of fossil fuels have effects on climate change. It has tremendous negative impacts on both environmental and socio-economic lives of people. Increases in global average air and ocean temperatures, rising sea level, decreases in the biodiversity are some of the environmental impacts. According to IPCC Report 2007, possible impacts of climate change due to changes in extreme weather and climate events, based on projections to the mid- to late 21st century. Major projected impacts by sector are agriculture, forestry and ecosystems, water resources, human health, industry, settlement and society. The origins of our impact on the environment are social and so are many of its consequences (Giddens, 1994: 556). It’s both immediate and long-term consequences are horrific for human development. The threats of global warming hinders achieving Millennium Development Goals which are time-bounded set of goals for reducing poverty and improving lives that world leaders agreed on at the Millennium Summit in September, 2000 (Simonsen). Global warming in particular, represents an unprecedented threat to social stability, community livelihoods and food security. Economic losses from disasters like floods and droughts are doubling about every 10 years and have reached almost US$1 trillion over the past 15 years, posing enormous losses for the insurance industry (Duda, 2003: 2052). All regions of the world are affected by global warming related disasters in different levels. Africa, south and south-east Asia (especially India), Latin America and Organization for Economic Cooperation and Development (OECD) Europe (if catastrophic risk is included) are the most negative effects include. In contrast, China, North America, OECD Asia, and transition economies (especially Russia) should suffer smaller impacts and may even benefit, depending on the actual extent of warming. (World Economic and Financial Surveys World Economic Outlook, Housing and the Business Cycle, International Monetary Fund, 2008) When we have a look Turkey, it is one of the most harmed countries. The rates of urbanization and industrialization, growth of population are important causes of global warming. For example the urbanization rate of Turkey increased from 51,2 % to 61,3 % between 1990-2000. If the urbanization speed goes on like this, in 2015 population of cityfolk will close European Union’s countries’ average. Even though increasing rates of urbanization, industrialization and population, there is not enough water resources that will supply. Beside these, rising temperatures will have marked impacts on water resources.

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There will be widespread increase in summer temperatures especially in the western and south-western parts of Turkey. According to IPCC Turkey’s scenario, the area averaged annual mean temperature will increase for Turkey is estimated around 2-3 degrees. If necessary precautions are not taken against global warming, firstly, water stress and then water scarcity will occur. When the water usage per capita decreases under 1000 cubic meter, it is called water scarcity. In Turkey, in the coming twenty years, when the population is 87 million, this will be expected 1042 cubic meter (AB Entegre Çevre Uyum Stratejisi 2007-2023, 2006). Also winter rainfall will decrease about 20-50 percentage in Aegean, Mediterranean and Southeast Anatolia regions. So Turkey will be close to one of the water scarcity countries in the future. When the south part of Turkey will be faced with serious drought disaster, in the north part the number of flood disasters will increase according to IPCC scenario. In the “Disaster Data Inventory” which was prepared by General Directorate of Disaster Affairs in 2009, the effects of global warming were taken place. In the recent years there was a rise in the number of disasters. In Turkey the most frequent meteorologial disasters are, hail, water flood, freeze, drought, forest fire, heavy rain, heavy wind, lightning, avalanche, snow and storm. According to this inventory Turkey is one of the risky countries about global warming. When these effects are taken into account, Turkey must follow necessary policies and strategies immediately. 5. REDUCING GLOBAL WARMING IN DEVELOPING COUNTRIES: APPROACH FOR TURKEY There is a worldwide consensus that something must be done for reducing global warming. Many steps toward global warming can be taken. Sustainable development is the main way to reduce vulnerability of global warming. Global warming is one of the most important barrier in the way of sustainable development because of its environmental and socio-economics consequences. It will constrain the ability of developing countries to reach their poverty reduction and sustainable development objectives under the United Nations Millennium Development Goals (Climate Change and the UN Millennium Development Goals, 2009). These goals are eradicating extreme hunger and poverty, achieving universal primary education, promoting gender equality, reducing child mortality, improving maternal health and combating HIV/AIDS, malaria and other diseases and ensuring environmental sustainability. The Millennium Development Goals are important pathways for sustainable development. While these goals are increasing of poor people’s welfare level further sustainable development, it will decrease the vulnerability of global warming. When we look at Turkey, there are two different aproaches to attend for combating global warming crisis. One of them is, to be participating of global cooperation to reduce effects of global warming. The features of environmental problems which cross national borders make national and international cooperation necessary. It is not sufficient to be only global cooperationist. The second important thing is reflecting global solution suggestions to the national policies (Yönten, 2007:78). Success of the global environmental politics are possible with supporting public politics with the fundamental global politics. Beside this, social capital is necessity for adaption of global warming. As we see, the success of policies are possible with collective cooperation both in international and national level. Collective action is very important on making decision that requires networks and flows of information between individuals and groups to oil the wheels of decision making. These sets of networks are usefully described as an asset of an individual or a society and are increasingly termed social capital (Adger, 2003: 389). In the case of coping with global warming related disasters, social networks play an important role in adaptation of global warming. When governmental intervention to plan for and forewarn communities in disaster planning, or to assist in recovery is largely absent, social capital, in effect, takes over as a substitute for help from the state. The rolling back of the state in times of crisis or adjustment often means that this substitution of social capital is a necessity, rather than a choice (Adger, 2003:389). Achieving an effective level of crisis management requires a thorough internal analysis, strategic thinking and sufficient discussion (Integrated Crisis Management Defined CMI Staff Writer. Disaster Resource Guide, 2004). 5.1. Turkey’s International Efforts To Reduce Global Warming It is necessary for the countries to share their experiences and to make international cooperation to solve global-based problems. Reducing effects of global warming is not possible with only national actions because of the cross-border feature of global warming. So reducing global warming should apply to all countries in the world.

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IPCC which was established by the United Nations Environment Programme (UNEP) in 1988 is the most important international organization about global warming. The most important frame about global warming is the United Nations Framework Convention on Climate Change (UNFCCC) which is signed by over 150 countries at the Rio Earth Summit in 1992. It aims to minimize greenhouse gases in the atmosphere to safe levels. But however dangerous gases are not described in the Convention. Turkey is a member of OECD. For this reason, Turkey was among the countries of the Convention’s Annexes I and II, when the Convention was adopted in 1992. The decision No: 26 of 7th Conference of Parties (COP7) to the UNFCCC, convened in Marrakesh in 2001, invited Parties to recognize the special circumstances of Turkey, which place Turkey, after becoming a Party, in a situation different from that of other Parties included in Annex I to the Convention. Thus, Turkey acceeded as the 189th Party to the UNFCCC on 24 May 2004. The other important international agreement about global warming is the Kyoto Protocol which is continuation of the Convention. The major distinction between the Protocol and the Convention is that while the Convention encouraged industrialised countries to stabilize emissions, the Protocol commits them to do so. The Koyoto Protocol is adopted in 1997 and entered into force on 16 February 2005. It is the basic convention of reduction of emissions. It includes reduction emissions by 2008-2012 against to 1990 base year. Countries have different targets. The emmission targets will never met without the cooperation of developing countries. The Kyoto Protocol was opened for signatures in 1998 and entered into force in 2005. The United States of America which is the greatest carbondioxiderelease source in the world does not signed yet. The Turkish Government had postponed signing the Kyoto Protocol for a long time because of its cost to the economy. Turkey finally ratified the Kyoto Protocol on February 5, 2009. Turkey’s significition of the Protocol may be part of its concerted effects to join European Union. Turkey is not in the Annex B of the Protocol which includes 39 developed countries that are obliged to reduce their emissions to 1990 levels between 20082012. So ratifying the Protocol does not put additional burden until 2012, but Turkey has undertaken some responsibilities about legislation, infrasructure for combating global warming after 2012. As we see that, Turkey became the part of international cooperation as signing the UNFCCC in 2004 and the Kyoto Protocol in 2009. Turkey’s membership of the UNFCCC and the Protocol is a positive step that committing to being part of international aggreement. Ratification them is only the beginning. Turkey must begin to make policies, legislations, institutional structuring and precautions about global warming at national level. 5.2. Turkey’s National Efforts To Reduce Global Warming International cooperation is only beginning for the country to reduce effects of global warming. As we say in the above, the important thing is reflecting global solution suggestions to the national policies. Although Turkey has been late to international cooperation to combat global warming, The Turkish Government had done some works before ratifying the UNFCCC and the Kyoto Protocol. Firstly, Coordination Committee on Climate Change was established in 2001, before signing the UNFCCC. Eight thematic working groups were composed in this Committee for the purpose of preparing Republic of Turkey First National Communication on Climate Change, determining the policies and strategies about global warming. They are Researching the Effects of Climate Change, Inventory of Greenhouse Gasses (GHG), Mitigation of GHG from Industry, Building, Waste Management and Service Sector, Mitigation of GHG from Energy Sector, Mitigation of GHG from Transportation, Land Use, Land Use Change and Forestry, Development of Policies and Strategies and Education and Public Awareness. In order to meet one of the commitments under the UNFCCC and United Nations Development Programme, Republic of Turkey First National Communication on Climate Change was prepared in 2007. Report’s aims are preparing an inventory of GHGs in Turkey for the period of 1990-2004, an assessment of potential impacts of climate change in Turkey and propose adaptation measures, assess cost and benefits of various energy policy alternatives on climate change, capacity building in the areas of scientific and technical potential and institutional relations infrastructure and building a data network for information and data acquisition to enable the development of sustainable information supply in Turkey on a continuous basis.

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Also, public awareness activities and crosscutting stakeholder consultations have been a key part the overall course of this exercise (Republic of Turkey First National Communication on Climate Change, 2009). This report will help general knowledge and awareness on global warming and taking them into national policies and strategies. In Turkey, the Ministry of Environment and Forestry is main policy-maker for environment. It coordinates both national and international actions. Also the other ministries have some workings about global warming. For example the Ministry of Health has started to work on global warming at national level. It has warned Local Health Authorities about drought. Local Health Authorities have duty to notify ilnesses to central auuthority once a week. Moreover, the Ministry of Agriculture and Rural Affairs has some policies about combating global warming. In this context, Turkey is taking important steps. A Coordination Committee about designing new strategies decreasing effects of drought in minimum level, promoting of effective irrigation systems, supporting farmers who are effected by drought are some of them. Legal arrangements are also important environmental policy instruments for reducing global warming. In Turkey there is a work in progress to include global warming into the scope of the Disaster Law. General Directorate of Disaster Affairs set up “The Climate Change Commission” for the purpose of updating legislation concerning the subject and making an action plan. Global warming related disasters will be participate of the the other disasters like earthquake, fire, water flood and etc. in the present Disaster Law General Directorate of Disaster Affairs is planning to draw risk maps about these disasters, will create a team which will determine policies about early warning system, heat isolation in buildings, changing buildings’ style of architecture, warning systems for coastal erosion and flood. The important thing is to prevent these disasters before they occur. Determining what to be done for each region and each type of disaster, the directorate will accelerate its precautionary efforts to minimize the damage by possible disasters. So that the step taken by the General Directorate of Disaster Affairs listing global warming as a disaster in Disaster Law is a positive step for beginning but it is not sufficient. Important thing is what precautions will be taken to prevent these disasters. It needs to be followed by other steps at national level. There are two main policy options regarding global warming. One of them is reducing GHGs, the other is adapting to global warming. Preventing global warming solutions can be costy for the developing countries. But developing countries, within their budgets, should reduce GHGs. In Turkey, making policies about reducing GHGs are in the head of distress subjects because of its cost the economy. Actually adapting policies which include after global warming occurs are more expensive and harder to implement. So that it has high-cost and difficult solution policy in spite of first one. For the global warming related disasters, the most important thing is to take precautions before crisis occurs. Firstly, developing countries must combate global warming with population stabilization and resource conservation, the world will be better able to meet sustainable development. Taking actions like promoting use of renewable energy resources, energy efficiency, changes in industrial and transportation policies, precautions against misuse of land and sustainable waste management are the other main precautions. Energy sector has an important role for reducing GHGs. Turkey’s energy deficit grows every year because of young population, rapid increase rate of urbanization and industralization. Promoting use of renewable energy sources is advantageous option reducing GHGs for Turkey. Because of its geographical position, Turkey has some opportunities to have renewable resources like solar and wind energy. But Turkey does not use these sources efficiently. In 2005, Renewable Energy Law, in 2007, Energy Efficiency Law were issued. Energy efficiency is the other important subject. There are some restriction to industrial complex about emissions. In the subject of transportation Turkey has a wide highway network which raises emissions. So promoting railway and sea road, using of vehicles those have new motors and backing out old ones from the traffic must begin to become widespread in Turkey. It is expected that by The Bosphorus Marmaray Tube Canal Project that is planned to finish in 2010, 130 thousand tone GHGs will decrease. Except these, the Minister of Environment and Forestry says that forests are the main anti-poison for global warming. Between 2008-2012 years it is aimed that 2,3 million hectare square will be forested. Beside these, it is necessary to make regular storage areas and Turkey’s harmonization of legislation with European Union. In the above, we tried to say main precautions policies about global warming which Turkey is trying to take. At the national level, Turkey also began to prepare its integrated strategic administrative plans related to

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governence models. SWOT analysis is a tool for the environment. It can be first stage for the strategic planning. In the Table 1, there is a SWOT analysis of Turkey about reducing global warming. You will see strengths, weaknesses, opportunities and threats factors about reducing global warming which Turkey has. Table 1. SWOT analysis of Turkey about reducing global warming STRENGTHS WEAKNESSES Preparing Republic of Turkey First Vulnerability to global warming because of National Communication on Climate geographical position Change Disaster Data Inventory High potential of renewable energy Rapid increase rate of urbanization, resources because of geographical population and industralization position Legal arrangements about renewable Decrease in water resources because of INTERNAL energy and energy efficiency rising temperatures and water stress issue FACTORS Legal arrangements about strategic Drought planning including global warming Preparing Strategic Planning which Increased energy deficit includes global warming in national level. Ratifying the UNFCCC and the Kyoto Increased the number of global warming Protocol related disasters Sensibility of local authorities and citiziens Candidate process for European Union Fragility of the economy and adaption of European Union's legislation Being among developing and emerging On-going projects to raise institutional and countries social responsibility targets and standards

EXTERNAL FACTORS

OPPORTUNITIES Global raise of sensibility on problem United Nations Millennium Development Goals Creation of the United Nations Intergovernmental Panel on Climate Change The most important frames about global warming: the UNFCCC and the Kyoto Protocol High consensus on the UNFCCC and the Kyoto Protol Increase in integrated manner strategic planning in the world

THREATS Rapid increase rate of world population The United States of America's disagreement in the Kyoto Protocol Fragility of developing countries to combate global warming Lacking of integrated administration culture Poverty

and Disparities in human development Lack of climate defence infrastructure Limited acces to insurance The environmental consequences of the policies of industrialized nations on developing countries

When we say global warming as a reason of crisis, Turkey should firstly bring up threats and opportunities of global warming. The important thing is turning these threats to opportunity. The Ministry of Environment and Forestry is one of the responsible public administrations for preparing the strategic plan. The Ministry of Environment and Forestry has sent its plan to Prime Ministry State Planning Organisation on January, 2009 for the assessment. Strategic Plan will be in preparation between 2010 and 2014. Strategical Planning Workshop was established for evaluating strengths, weaknesses, oppotunities and threats of the Ministry which referred as SWOT analysis. Strategical Planning Workshop includes eight working groups. Seventh

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and eighth working groups say global warming and climate change as a threat. Also being global warming on the agenda continuously was brung up by seventh working group as an opportunity. Drought, decreasing of water resources are very important environmental problems which result from global warming and it is brung out that there must be solutions to these problems. One of the strategical aim is to make provision for global warming. Strategical targets are controlling of greenhouse gasses emissions, composing new carbon sinks, protecting and improving current sinks, controlling and reduction of elements which make ozone layer thin. The long term target of the Ministry is making provision for reduction of the impacts of global warming. The predicted water demand increase due to global warming could be managed by improvement of irrigation efficiency even with the present facilities. Developing techniques for nontraditional use of water resources, improving and developing new plant species to stand against drought are some of the adaption for climate change (Republic of Turkey First National Communication on Climate Change, 2009). Also both Turkey and other developing countries must integrate climate policies into national development planning and national sustainable development strategies. In Turkey, there are some preventions in developing of energy and transportation infrastructurals, urban infrastructural, protecting environment, activting of agricultural structure and combating to poverty related to global warming in Ninth Development Plan. In the subject of global warming, except national, local authorities must have responsibilities. Local authorities are the closest units to citizens. In Turkey, Izmir Metropolitan Municipality’s campaign about using water resources efficiently is the most important examples. It worked out succesfully with the participition of local citizen and private sector. For obtaining sustainable development by reducing the effects of global warming, collecting datas related to global warming, analysing these datas, using these analyses while preparing strategic planning in national and local level and provide citizens participitaion of these plans are important subjects (Kamuda Stratejik Yönetim, 2009). 6. CONCLUSIONS At the present day, global warming related disasters which are on a rising trend come out due to man made. Global warming which has long-term effects on climate can be regarded as a man-made disaster. Global warming is one of the most important barrier in the way of sustainable development because of its environmental and socio-economics consequences. It affects every parts of the world in different ways and degrees. Developing countries are more vulnerable to global warming than developed countries because of poverty, disparities in human development, limited acces to insurance, lack of climate defence infrastructure and like these. We must administer some policies and strategies reducing effects of global warming but it is more difficult than other policy challenges. Sustainable development is the main way to reduce vulnerability of global warming. It cannot be accomplished with only international or national actions. The success of policies related to collective collaboration in the global democracy system. The decions must be considered collectively to make progress. It is not sufficient to be only global cooperationist. The second important thing is reflecting global solution suggestions to the national policies. Turkey is in the list of emerging and developing economies. So Turkey is one of the vulnerable countries to global warming in the world. With ratiyfying the UNFCCC and the Kyoto Protocol, Turkey has become part of international cooperation. Although Turkey has been late to international cooperation to combat global warming, Turkey’s membership of the UNFCC and the Kyoto Protocol is a positive step that committing to being part of international aggreement. Also there are two main policy options regarding global warming at national level. One of them is reducing GHGs, the other is adapting to global warming. Preventing global warming solutions can be costy for the developing countries. In Turkey, making policies about reducing GHGs are in the head of distress subjects because of its cost to economy. Actually adapting policies which include after global warming occurs are more expensive and harder to implement.

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When we say global warming as a reason of crisis, the important thing is turning these threats to opportunity. SWOT analysis is a tool for the environment. It can be first stage for the strategic planning. At national level, Turkey began to prepare its strategic plans and legal arrangements included global warming. Beside these, local authorities have actions about the combating global warming in the country. Although they are positive steps for the beginning, they are not sufficient reducing the effects of global warming. REFERENCES AB Entegre Çevre Uyum Stratejisi, 2007-2023, Çevre Orman Bakanlığı, 2006. Adger, W. N. 2003. Social Capital, Collective Action, and Adaptation to Climate Change, Economic Geography, Clark University, Vol. 79, No. 4: 387-404. Climate Change and the UN Millennium Development Goals. Duda, A. M. 2003. Integrated Management of Land and Water Resources Based on a Collective Approach to Fragmented International Conventions, Philosophical Transactions: Biological Sciences, Vol. 358, No. 1440, Freshwater and Welfare Fragility: Syndromes, Vulnerabilities and Challenges, Published by: The Royal Society: 2051-2062. Giddens, A. 1994. Sociology Second Edition Fully Revised&Updated, Polity Press, UK. Human Development Report 2007/2008 Fighting Climate Change: Human Solidarity in a Diveded World by the United Nations Development Programme. Integrated Crisis Management Defined CMI Staff Writer. Disaster Resource Guide, 2004. International Strategy for Disaster Reduction, http://www.unisdr.org/eng/risk-reduction/climate-change/rd-cchinfolink4-05-eng.htm, Accessed on February 13, 2009. Kamuda Stratejik Yönetim, http://www.sp.gov.tr/default.asp , Accessed on February 17, 2009. Pararas-Carayannis, G. 2003. Climate Change, Natural and Man-made Disasters- Assessment of Risks, Preparedness and Mitigation, Keynote Presentation Climate Change and Disaster Preparedness, Kiev, Ukraine, October 26-30. Republic of Turkey First National Communication on Climate Change. Shah, A. Climate Justice and Equity, http://www.globalissues.org/article/231/climate-justice-and-equity, Accessed on March 5, 2009. Simonsen, J. UNDP Resident Representative, ANKARA Panel on Impacts of Climate Change on Turkey and Industry, 22 November 2005. Yönten, A. 2007. Küresel Isınmanın Azaltılması Politikaları Ve Stratejileri-Türkiye İçin Bir Yaklaşım, Danışman: Yard. Doç. Dr. Şermin Atak, Yayımlanmamış Yüksek Lisans Tezi, İzmir. World Economic and Financial Surveys World Economic Outlook, Housing and the Business Cycle,April 2008, 2008 International Monetary Fund.

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ENERGY POLICIES AND STRATEGIES IN TURKEY IN RELATION WITH THE ENERGY AND ENVIRONMENTAL LAW Ozlem Armagan Phd. On European Law Istanbul, Turkey [email protected]

ABSTRACT Energy is the driving force behind the functioning of global economy and policies. It can be said that the world was shaped by the development of energy resources Because of the cost of energy has become dominant factor in the performance indicators of societies’ economies, management of energy/ natural resources has become very important. In correlation to that energy management is a part of sustainable energy policies and involves utilizing the available energy resources more effectively. Sustainable energy covers also environmental considerations in addition to energy management which is the practice of using energy more efficiently by considering energy wastage or to balance optimum energy demand with appropriate energy supply. In correlation to that the most important target for the Turkish government is to meet energy demand in a secure, timely, economic and environmentally friendly manner. The Turkish Government is not in a position to finance all energy investments itself and seeks to fund from the private sector or foreign sources. In correlation to that, motivating private/foreign investment has been adopted as the basic strategy. The law of climate change is a new and rapidly developing area of law and includes several areas of law, such as environmental law, energy law, business law, and international law. On that paper all above topics will be discussed according to Turkish energy and environmental law and policies via defining climate change law. INTRODUCTİON It is clear that climate change will be a significant and permanent issue for Turkey and the rest of the world. The Intergovernmental Panel on Climate Change (IPCC or Panel) was established in 1988 by the World Meteorological Organization (WMO) and the United Nations Environment Program (UNEP) to provide "decisionmakers and others interested in climate change with an objective source of information about climate change." [1] The IPCC's role is to "assess on a comprehensive, objective, open and transparent basis the latest scientific, technical and socio-economic literature produced worldwide" concerning human-induced climate change. [2] The IPCC has produced four climate change assessments since 1990. The IPCC's most recent assessment, in 2007 concludes that warming is unequivocal, based on evidence of global surface temperatures, changes in precipitation patterns, and observations of ocean and arctic temperatures. [3] The IPCC's 2007 assessment reports that it is very likely (90-99% probability) that observed temperature increases are due to anthropogenic greenhouse gas emissions and also report stated that recent warming is strongly affecting terrestrial biological systems;in addition to the information on global greenhouse gas emissions increased 70% between 1970 and 2004, with the largest growth coming from the energy supply sector ( Prepared by Working Group III –The WGIII) [4] This report concludes that changes in behavior and lifestyle, advances in technology, upgrades to energy infrastructure, and improved energy efficiencies can contribute to the mitigation of climate change.[5] Reductions in greenhouse gas emissions not only have a positive effect on climate change, but can also provide co-benefits in areas such as improved health and energy security. [6] The WGIII report concludes with a description of policies and laws that are available to governments to limit or reduce greenhouse gas emissions. [7] First of all it has to be stated that policy makers often distinguish between risk assessments (like that provided by the IPCC) and risk management. But there is growing recognition that the environmental changes processed by warming will affect human well-being in several ways. This is stated in many reports on actual or projected national impacts of climate change in the world and also in Turkey. For example, the United Kingdom has published a well-known analysis under the leadership of Professional economist Nicholas Stern stating that it will

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be much less costly to act immediately to address climate change than to wait until the impacts of climate change are more fully realized. [8] To sum up climate change issues all options about climate change may be summarised under four headings. The first and old one is emissions control, which means mainly direct reductions in greenhouse gas emissions. This is the option that is most like traditional pollution control. The other ones may be seen the methods for the first heading; second way is energy efficiency and conservation, which indirectly reduces greenhouse gas emissions from fossil fuels because it reduces the amount of energy that is used (this is mainly about this paper). The third is long-term carbon storage or carbon sequestration. In this option, carbon dioxide is stored in soil, bedrock, or other places so that it is no longer in the atmosphere and cannot return to the atmosphere. [9] Some of these places work naturally (e.g., carbon dioxide storage in trees), but there is also considerable discussion about creating them to store carbon on a massive basis and carbon trading. [10] The final heading is adaptation as indicated by the IPCC reports. The aim of adaptation is to minimize the negative consequences of climate change. [11] International Law Of Climate Change United Nations framework convention on climate change The United Nations Framework Convention on Climate Change (UNFCCC) creates an international structure for climate change, including provisions for reporting of climate change, scientific and technological research, and annual meetings of the conference of the parties but it has not enough details on responsibilities and sanctions. [12] Developed countries agreed to the "aim" of reducing their greenhouse gas emissions to 1990 levels by 2000. [13] but the Framework Convention does not contain any binding commitments to reduce greenhouse gas emissions by a clear amount by a specific date. The Convention treats developed countries and developing countries via different points. UNFCCC was adopted by and came into force in Turkey on May 24, 2004. [14] While Turkey was initially included as an Annex I and II country under the UNFCCC, it obtained to be removed from Annex II and to be recognised as an Annex I country under “special circumstances”. However, Turkey wait to sign the Kyoto Protocol as it considers that reducing its GHG emissions to the 1990 level via the reason of it is not viable for its economy; and recently Turkey's parliament on Feb. 5 approved the Kyoto Protocol and The law on Turkey’s participation in the Kyoto Protocol came into effect upon being published in the Official Gazette on May 13, 2009.[15] Kyoto Protocol and Negotiations for Subsequent Protocol The Kyoto Protocol contains binding greenhouse gas emission limits for developed countries. In 2005, following Russia's ratification, the Kyoto Protocol became effective. [16] Major developed countries signed, only the United States is not a party. According to the Kyoto Protocol, developed countries agreed to reduce their net greenhouse gas emissions by at least 5% from 1990 levels by 2008-2012. [17] No comparable commitment is included for developing countries. The Protocol contains somewhat different commitments for individual developed countries or regions such as European Union. The Kyoto Protocol applies to six greenhouse gases - carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons, and sulphur hexafluoride. [18] Several different provisions in the Kyoto Protocol provide market-based trading mechanisms to reduce greenhouse reductions. Greenhouse gas emission reductions have varying costs, especially when these reductions are accomplished in developing countries. Above all, the Kyoto Protocol applies that monitoring, verification, and the effectiveness of national legal systems are all important concerns. On the other hand, parties to the Kyoto Protocol have already begun discussions for the next round of emissions cuts after 2008-12, a negotiating process that is designed to reach a decision on a post-Kyoto agreement by December 2007. [19]

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European Union The European Union's Emissions Trading System (EU ETS) is the first example of international trading system for carbon dioxide emissions in the world. The scheme is based on Directive 2008/101/EC of the European Parliament and of the Council of 19 November 2008 amending Directive 2003/87/EC so as to include aviation activities in the scheme for greenhouse gas emission allowance trading within the Community Directive 2003/87/EC. [20] The aim of the EU ETS is to help EU Member States achieve harmonise with their commitments under the Kyoto Protocol Trading systems operate with the common currency of an emissions allowance.[21] In the EU ETS, one allowance gives the holder the right to emit one ton of carbon dioxide. EU Member States determine the quantity of allowances allocated to each covered sector, and companies are then allowed to buy and sell their allowances based on the prevailing price and the relative costs of reducing emissions. There are two ways; Companies may trade directly with each other or through a broker this may be followed by an electronic registry system which tracks changes in ownership of emissions allowances. [22] The EU ETS does not cover all energy intensive sectors (such as transportation) or all greenhouse gases, but it covers carbon dioxide emissions from several electricity and industrial industries. Covered industries include oil refineries, powerplants over twenty megawatts (MW) in capacity, coke ovens, iron and steel plants, and cement, glass, lime, brick, ceramics, and pulp and paper facilities which combined, contribute about half of the EU's total carbon dioxide emissions. [23] The EU ETS is in three trading periods; The first period was between 2005 and end of 2007. The second trading period will run from 2008-2012, to coincide with the period of the Kyoto Protocol. The third trading period will perform from 2013-2020, and will add the airlines as an additional covered industry and via Bali solutions. The EU ETS is implemented through each Member State's National Allocation Plan (NAP) seperately. A special NAP is created for each trading program and determines the total quantity of carbon dioxide emissions that how many allowances to allocate in total for a trading period, and how many allowances each covered sector will receive. [24] NAPs are submitted to the EU and are determined under a set of stated criteria. For the first period, the EU also required that the emissions caps proposed in a NAP be sufficient to put the Member State on the path toward its Kyoto target. [25] And also for the second period, NAPs must guarantee achievement of Kyoto aims. [26] The results of the first period are that;in 2005, over 320 million allowances, worth more than 6.5 billion euros were traded in the EU ETS. [27] Results also show lower greenhouse gas emissions than previously expected in the first harmonisation period. Furthermore, it is expected that the original EU-15 Member States, on average, will have to reduce their emissions caps 6.8% (119 million metric tons) from their current levels to realize Kyoto targets in the second trading period. [28] Turkey Energy and climate policies of Turkey From the aspect of long-run sustainable development there is a growing concern about the measures which has to be in balance between economic, environmental and social outcomes. Energy policies of Turkey from the beginning of Turkish Republic 1923- onwards has contradictions from time to time. At the beginning it was in parallel to the world , hard coal as a national resource had a major role in energy production, than petroleum, after than an imported resource, petroleum took its place. Petroleum crises experienced between 1973 and 1979 change Turkey’s economy and get the importance of national energy sources. After 1990s, Turkey turned to imported resources again, unfortunately, natural gas took place with increasing proportion. The most important target for the Turkish government is to meet energy demand in a secure, timely, economic and environmentally friendly manner. The main instruments to realize this may summarize as follows: ❑ Upgrading energy supply security; ❑ Diversifying energy sources; ❑ Optimising assessment and use of indigenous energy sources; ❑ Promoting energy efficiency;

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❑ Decreasing energy intensity; ❑ Harmonise with the EU acquis; ❑ Apply the preventive principle in environment policy. The Turkish Government is not in a position to finance all energy investments itself and seeks to fund from the private sector or foreign sources. In correlation to that, motivating private/foreign investment has been adopted as the basic strategy. The Government has encouraged foreign investment since the 1980s in many ways. In the past, mainly three different models were used: “Build-Operate-Transfer” (BOT), “Build-Own-Operate” (BOO) and “Transfer of Operating Rights” (TOOR). According to these modifications in politics, to realize this progress, the Turkish government had adopted a radical approach and amended the Constitution to state the possibility of appealing to international arbitration in case of investor dispute.[29] The Turkish Government (and also whole world) considers pricing to be a very crucial element of its energy policy. The main aim of the strategy is to reach cost reflective pricing. The Government promotes the use of unleaded gasoline through a preferential pricing policy. Unleaded gasoline is priced lower than super gasoline.The goal is to shift entirely to unleaded gasoline. In order to attain this objective, the refineries are being upgraded via construction of hydro cracking and isomer-ation units harmonised with EU standards; on petroleum quality for both leaded and unleaded gasoline.Since January 2002, no regular gasoline is sold in the market and all imported and domestically produced new automobiles are equipped with catalytic converters and Euro/95-98 standards are in place. Unfortunately; there are no effective tax incentives to encourage energy efficiency in Turkey. Indeed, existing energy taxes are designed with the purpose of collecting revenue and environmental protection does not appear to play a significant role; only petroleum products standarts may support environmental protection. The need to control atmospheric emissions of greenhouse and other gases and substances will increasingly need to be based on energy efficiency via production, transmission, distribution and consumption of energy in the country The United Nations Framework Convention on Climate Change (UNFCCC) was adopted by and came into force in Turkey on May 24, 2004. On the other hand; The law on Turkey’s participation in the Kyoto Protocol came into effect upon being published in the Official Gazette on May 13, 2009 as explained above. Following the ratification of the UNFCCC, and with technical support of UNDP, the Ministry of Environment and Forestry initiated a project with the objective to define a climate change mitigation strategy and compile the country’s first national communication to the UNFCCC . This national communication along with a national greenhouse gas inventory were submitted in January 2007 to the UNFCCC Secretariat. Turkey adopted main part of EU acquis communautaire related to the environment. While the current regulation imposes SO2, NOx and dust emission limitations (but no tax on emissions). Current emission limits require that all new coal-fired power plants have flue gas desulphurisation but lots of investment needs are expected in order to upgrade equipments to the upcoming new standards aligned with EU ones.Inventory of Greenhouse Gas Emissions and Removals Turkey possesses the lowest per capita fossil-fuel-based CO2 emissions amongst OECD countries; 3.3 tons per capita (TURKSTAT 2006). The OECD average is 11.1, the world average is 4.0 and the EU 25 average 9.0 (2003). As may be seen from the above table Turkey’s greenhouse gas (GHG) emissions is increasing rapidly. Table 1 also provides an overall picture of the relationship between emissions and the sources. According to that table GHG emissions via energy is always in the prevail position. Energy and Climate Law in Turkey The basic objective is to supply the energy needed for economic and social development in a continuous, quality and secure manner at the least costs in a competitive free market environment. For this purpose, Turkey attaches great importance and gives priority to realizing energy market reforms and harmonizing the national energy legislation fully with the EU energy acquis. [31]

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Table 1. Annual greenhouse gas (GHG) emissions for Turkey, in Gg CO2 equivalent [30] Query results for Party: Turkey - Years: Base year(Convention), 1990 and last year - Category: Total GHG emissions including LULUCF/LUCF - Gas: Aggregate GHGs Category Base Year Last Inventory Year(2006) 132,128.43 258,206.61 1 Energy 13,070.51 27,125.29 2 Industrial Processes * * 3 Solvent and Other Product Use 18,473.36 16,366.61 4 Agriculture -44,086.92 -76,104.34 5 LULUCF 6,386.46 30,064.88 6 Waste * * 7 Other 125,971.82 255,659.06 Total The Energy Market Regulatory Authority (EMRA), which is administratively and financially autonomous, executes the function of regulation and supervision independently in the energy market (electricity, natural gas, petroleum and LPG). The decision making body of the authority is the Energy Market Regulatory Board. The Board makes its decision without being influenced by the government or any market players. Lawsuits against the Board's decisions are undertaken by the Council of State as the court of first instance. The environment law in Turkey was established in 1983 under the Ministry of Health (Which is now named Ministry of Environment and Forestry). Due to an increasing industrialization and energy production recent reforms and necessities (EU regulations, Kyoto etc) realized and the Ministry of the Environment has strengthened its administrative capacity. Regulations for preventing pollution of the environment, protection of air quality, noise control, water pollution control, solid, pharmaceutical and chemical waste management, became effective during the years to follow and also legislative arrangements for alternative energy sources enforced. Without detail it may be summarized as below. The Energy Efficiency Law No.5627 dated 2 May 2007 was put into effect which aims to provide such multiple benefits as utilizing energy and energy resources rationally, providing the national economy with saving potential, reducing environmental pollution from energy use, and creating new jobs. The preparatory works for the secondary legislation as required by the law are in progress, and it is expected that the relevant by-law will be completed in the coming year. The encouraging atmosphere created for renewable energy generation by the Law No.5346 on Utilizing Renewable Energy Sources for Generating Electricity dated 10 May 2005 was improved further by the Energy Efficiency Law No.5627. In addition to other investment incentives, the mentioned Law introduced the base price (5 c€/kWh) in renewable electricity purchases. Besides, natural and legal persons who install co-generation facilities above certain efficiency level for their own needs and small scale generation facilities and micro cogeneration facilities based on renewable sources were exempted from the obligation to obtain licenses and establish companies [32]. The Law No.5686 on Geothermal Resources and Natural Mineral Waters went into effect on 13 June 2007. The law aims to explore, analyze, develop, produce, preserve and put to economical and environmentally friendly use the geothermal and natural mineral waters. The Law No. 5710 on to Build and Operate Nuclear Power Plants and Sell the Energy (November 21,2007) is

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enforced to set the rules for qualifications for companies bidding to build and run nuclear power plants. The law enables the government to grant purchase guarantees to firms for the total energy produced in nuclear power plants. This Law is the basis for the new Turkish nuclear program which envisions building the first Nuclear power plant in Turkey. The Law No. 5346 on the Use of Renewable Energy Resources for Electricity Production Purposes (May 18, 2005) was enacted. The main aim of this Law is to ensure the widespread use of renewable energy sources for electricity production, and the utilization of these sources in a reliable, economic and qualified manner, furthermore the increase in resource diversification, reduction of greenhouse gas emissions, recovery of wastes, protection of the environment and development of the relevant manufacturing sector to achieve these goals. Via the enactment of the Oil Market Law No. 5015 (December 20, 2003) for oil products and with the Market Law No. 5307 on Amending the Liquefied Petroleum Gas (LPG) ( March 13, 2005), it is provided that EMRA (Energy Market Regulatory Authority) will perform the necessary regulating, directing, monitoring and supervising activities in order to ensure LPG market activities to be carried out in a transparent, equitable, and stable manner. The new Natural Gas Market Law (Law No. 4646) was adopted in May 2001.The law enacted significant reforms in the gas sector. The objective of the Law is to establish a liberal, financially sound, stable, transparent and competitive national gas market with independent regulation. In March 3, 2001, the main legislative document that created the current market structure, the Electricity Market Law No. 4628 (EML), was issued as part of efforts to harmonise with the EU aquis and to liberalise the market. Although the era of modern environmental law began more than three decades ago, environmental law has had a fairly limited impact on greenhouse gas emissions. The Turkish government is after Kyoto process now developing a strategy to reduce the growth of GHGs. This works will be elaborated in the context of Turkey’s adhesion to the United Nations Framework Convention on Climate Change (UNFCCC).Following adhesion, Turkey have the obligation to implement measures and polices to mitigate GHG emissions but will not be required to meet a specific GHG emission target. CONCLUSION Global temperatures are increasing in large part because of human caused greenhouse gas emissions, and this is affecting both natural systems and human wellbeing all over the world. The solution for this problem must be at international level.International legal programs to deal with climate change, particularly within the EU, are already well underway. The thrust of market policies towards a slowing in the growth of CO2 emissions via longterm energy policies and legal arrangements. The new renewable energy policy may also positive effect to hold back emission growth.Investment in air pollution and climate control has been found to be socially profitable in all countries not only for Turkey. There are several ways to fight against this poblem; one of solutio is carbon/ energy taxes. In countries where carbon/energy taxes have been implemented, several issues are generally considered in the practise of developing overall tax policies. Often, carbon/energy taxes: • are only one instrument in a package of measures aimed at reducing emissions. • are often part of a general fiscal reform; replacing other taxes on energy and reducing the distortionary impacts of traditional taxes (e.g. on labour and capital). • are usually gradually phased-in and adjusted over time to account for inflation. • include exemptions and exceptions have been granted to energy-intensive industries or to industries facing international competition. Taxes on energy products and the derived ‘implicit’ carbon taxes vary significantly between countries, and thus the average price of a ton of carbon is relatively different from country to country. This is one of the main problems to implement internationally coordinated carbon taxes.[33 ] In addition to above explanations; special importance in the capabilities for monitoring and enforcing existing and future legislation and policies will be required, if the reduction emission limits is to be effective. As explained above for energy markets, there the use of taxation as an instrument to improve air quality by placing higher taxation on more polluting fuels may be one solution.. A new renewable energy policy is being developed by the government. The prevail attention will be the development of renewable sources of electricity production. In correlation to that, retail licensees are obliged to purchase

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all renewable energy output and all entities obliged from their wastes’. In the future will see increased attention to a wide range of climate issues. International frameworks may be modified to provide a successor to the Kyoto Protocol and for other purposes. Turkey is likely to enact comprehensive climate change legislation at some point. According to these a new field of law is developing climate change law - and it is necessary not only lawyers but also other professionals and all humanbeings. REFERENCES [1] Intergovernmental Panel on Climate Change, About IPCC, http://195.70.10.65/about/index.htm (last visited May. 1, 2009). [2] Id. [3] Intergovernmental Panel on Climate Change, Working Group I Report: The Physical Science Basis of Climate Change (2007), http://ipcc-wg1.ucar.edu/wg1/wg1-report.html. [4] Id. [5] Intergovernmental Panel on Climate Change, Working Group III Report: Mitigation of Climate Change (2007), http://www.ipcc.ch/ipccreports/ar4-wg3.htm [hereinafter IPCC WG III]. [ 6] See id. at 669-672. [7] Id. at ch. 13. [8] Nicolas Stern, Her Majesty's Treasury, Government of United Kingdom, Stern Review on the Economics of Climate Change, http://www.hm-treasury.gov.uk./independent reviews/stern review economics climate change/stern review report.cfm (last visited May 10, 2009). [9] See, e.g., Thomas M. Kerr, Int'l Energy Agency, Legal Aspects of Storing CO: Update and Recommendations (IEA 2007). [10] http://www.ieta.org/ieta/www/pages/index.php (last visited May 10, 2009). [11] Ira R. Feldman and Joshua H. Kahan, Preparing for the Day After Tomorrow: Frameworks for Climate Change Adaptation, Sustainable Dev. L. & Pol'y, Fall 2007, at 61; James G. Titus, Does the U.S. Government Realize that the Sea is Rising? How to Restructure Federal Programs so that Wetlands and Beaches Survive, 30 Golden Gate U. L. Rev. 717 (2000). [12] United Nations Framework Convention on Climate Change, U.N. Doc. A/AC.237/18 (May 9, 1992), reprinted in 31 I.L.M. 849 (1992) [hereinafter Main Convention]. [13] United Nations Framework Convention on Climate Change, Status of Ratification, http://unfccc.int/essential background/convention/status of ratification/items/2631.php supra note 44, at art. 4.2(a) & (b) (last visited May 10, 2009). [14] http://www.rec.org.tr/climate.htm(last visited May 10, 2009). [15] http://www.resmi-gazete.org/sayi/17933/basbakanlik-mevzuati-gelistirme-ve-yayin-genel-mudurlugu.html (last visited May 14, 2009). [16] Kyoto Protocol to the United Nations Framework Convention on Climate Change, U.N. Doc. FCCC/CP/197/L.7/Add. 1, art. 3.1 & Annex B (Dec. 10, 1997), reprinted in 37 I.L.M. 22 (1998) [hereinafter Kyoto Protocol]. [17] Id. at art. 3.1. The Annex I or developed countries also agreed to make "demonstrable progress" by 2005 in meeting their commitments. Id. at art. 3.2. N18 Kyoto Protocol at Annex A. [19]United Nations Conference on Climate Change, Bali Action Plan, http://unfccc.int/files/meetings/cop 13/application/pdf/cp bali action.pdf. (last visited May 10, 2009) [20] http://ec.europa.eu/environment/climat/emission.htm [hereinafter C EU] (last visited May 10, 2009).and amended http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32008L0101:EN:NOT [21] Supra [22] Supra [23] Supra [24] C EU, supra note 20, at question 3. [25] Supra [26] Supra [27] http://www.euractiv.com/en/climate-change/eu-emissions-trading-scheme/article-133629 [28] Supra

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[29] For details, Kaymakcıoglu, F.2005.Uluslararası Tahkim ve Enerji Politikaları,Ankara:Paragraf and Aslan, Y.2008. Enerji Hukuku, Bursa:Ekin [30] http://www.turkstat.gov.tr/VeriBilgi.do?tb_id=10&ust_id=3 [31] http://ekutup.dpt.gov.tr/ab/kep/PEP2007.pdf [32] Supra [33]http://www.rec.org/REC/Programs/SofiaInitiatives/EcoInstruments/GreenBudget/GreenBudget6/carbon.html

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AN ANALYSIS OF CHINESE POLICY INSTRUMENTS FOR CLIMATE CHANGE MITIGATION 1

Bo Xu1, Qie Sun2, Ronald Wennersten3, Nils Brandt4

Department of Industrial Ecology, Royal Institute of Technology, [email protected] Department of Industrial Ecology, Royal Institute of Technology, [email protected] 3 Department of Industrial Ecology, Royal Institute of Technology, [email protected] 4 Department of Industrial Ecology, Royal Institute of Technology, vTeknikringen 34, SE 114 28 Stockholm, Sweden, [email protected] 2

ABSTRACT Policy instruments for climate change mitigation in China can be divided into administrative regulations, technological improvement regulations and economic instruments. This paper analyses these policy instruments on the national and provincial level. Energy consumption per unit of GDP (EC/GDP) is used by the Chinese government to indirectly measure its efforts in mitigating climate change. Since the policy instruments began to be widely adopted in 2005, national EC/GDP values have shown a declining trend, indicating the overall effectiveness of the instruments in improving energy efficiency and mitigating climate change. The administrative regulations are set up and embedded in the Chinese political system and are thus necessary for connecting national and provincial climate mitigation efforts. The effects of the technological improvement regulations increased rapidly after 2007 and this instrument has made the great contribution to date to the reduction in EC/GDP values. New or revised economic instruments have been introduced annually since 2005 but they still need further improvement. At provincial level, the trends in actual EC/GDP were analysed in two Chinese provinces, Shandong and Beijing, Shandong is using regulations and a few economic instruments to achieve reductions in EC/GDP, while Beijing has opted for more economic instruments, but only the latter has reached its annual targets. This indicates perhaps that if prioritised by governments, economic instruments have an effect more quickly in achieving short-term targets. Three major areas of concern as regards this analysis of Chinese energy efficiency were identified. While there is a declining trend, the absolute quantity of EC/GDP in China is high compared with that in other countries; there are a number of other factors affecting energy consumption efficiency apart from policy instruments; and some data were lacking and there may be inaccuracies in the existing data that could affect our conclusions.

1. INTRODUCTION Mitigation of greenhouse gas emissions, mainly by reduction of anthropogenic CO2, is necessary to avoid long-term irreversible climate change and its likely devastating consequences (Houghton, 2001; IPCC, 2007). The Chinese National Development and Reform Commission (CNDRC), which published China’s National Climate Change Program in June, 2007, has pointed out that global warming would increasingly affect China. Chinese CO2 emissions, mainly originating from the combustion of coal, increased from 3.07 billion tonnes in 1994 to 5.07 billion tonnes in 2004 (CNDRC, 2007). Although China has not signed up to the Kyoto Protocol, it attaches great importance to mitigation of CO2 emissions. The main approach adopted by the Chinese government comprises policy instruments, including administrative regulations, technological improvement regulations and economic instruments. The national strategic climate change goal published by the Ministry of Environmental Protection of the People's Republic of China (MEPPRC) is for China to make significant achievements in controlling CO2 emissions by 2010 (MEPPRC, 2008). This overall aim of this paper was to analyse existing policy instruments for climate change mitigation in China. This analysis was divided into three stages. First, the actual energy consumption per unit of GDP (EC/GDP) on the national level from 2005 to 2008 was reviewed in order to determine whether the combined policy instruments are being effective in improving overall energy efficiency and mitigating climate change. Second, the different categories of policy instrument adopted at different times were compared in terms of their effectiveness. Third, the actual trends in EC/GDP in the provinces of Beijing and Shandong province in the period 2005-2007 and the instruments adopted by these provinces were compared in order to analyse the

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effects of policy instruments on provincial level.

2. AN ALTERNATIVE INDICATOR OF REDUCTIONS IN CO2 EMISSIONS China has achieved rapid economic growth in the past decade and is still striving for growth in the coming decade. Chinese economic growth depends heavily on the consumption of huge amounts of fossil fuel, which represents the major source of CO2 emissions. According to reports from the National Bureau of Statistics of China (NBSC, 2008a), fossil fuels, i.e. coal, crude oil and natural gas, accounted for over 90% of Chinese total energy consumption from 2005 to 2007 (Table 1). Table 1. Composition of Chinese energy consumption 2003-2007 Year Coal (%) Crude oil (%) Natural gas (%) 2005 69.1 21.0 2.8 2006 69.4 20.4 3.0 2007 69.5 19.7 3.5 Source: NBSC (2008a).

Other (%) 7.1 7.2 7.3

Thus, an absolute reduction in CO2 emissions has not been adopted as the official target measuring national strategies of climate change mitigation. Instead, EC/GDP, which represents the effectiveness of energy consumption in comparison to economic development, is used by the Chinese government to indirectly measure its efforts in mitigating climate change. In measuring EC/GDP, energy consumption is calculated from end-use energy consumption of various kinds, including coal, crude oil and their products, natural gas and electricity. The reduction in EC/GDP for a given period indicates that energy was used in a more effective way than previously. Since fossil fuels dominate Chinese energy consumption, the decline in EC/GDP can indirectly reflect the Chinese contribution to mitigation of CO2 emissions. From the beginning of 2006, Chinese provinces and cities also started to measure their annual EC/GDP and to make this information available to the public. As can be seen from Table 2, which shows actual EC/GDP in China from 2005 to 2008, the value has been gradually declining over time. Table 2. Actual EC/GDP in China 2005-2008 Year 2005 2006 2007 2008 EC/GDP (tonnes of 1.226 1.204 1.160 1.103** SCE*/10,000 CNY) *SCE = standard coal equivalent. In China, the amounts of different categories of energy are converted into SCE for comparison. Note the calculation of SCE is made on the basis of standard calorific value of every type of energy, rather than on carbon content. **This value was calculated from a statement in Report on the Work of the Government 2009 (Wen, 2009) that EC/GDP in 2008 was 4.95% lower than in 2007. Source: NBSC (2008b).

3. POLICY INSTRUMENTS FOR CLIMATE CHANGE MITIGATION IN CHINA Policy instruments for climate change mitigation in China can be divided into administrative regulations, technological improvement regulations and economic instruments. 3.1 Administrative regulations

Administrative regulations adopted by the Chinese national government in recent years mainly consist of: (1) Setting national targets, (2) assigning targets to provinces, and (3) establishing a punishment system to ensure compliance. The national targets refer to annual reductions in EC/GDP. The Chinese national strategic goal as regards climate change is to decrease EC/GDP by 20% by 2010 compared with the 2005 level (MEPPRC, 2008). In order to meet this goal, the overall target reduction was divided into annual targets for 2006 to 2009 which are as references, with an average target decrease rate of 4% per annum (Table 3).

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Table 3. Chinese EC/GDP targets 2006-2010 Year 2006 2007 EC/GDP (tonnes of SCE 1.177 1.128 /10,000 CNY) Sources: SEPAC (2007) and MEPPRC (2008).

2008

2009

2010

1.079

1.030

0.981

When the national goal for 2010 had been defined, the national government broke down the overall target reduction in EC/GDP and assigned specific targets to every province. The structure of provincial energy supply and consumption was taken into consideration when these targets were assigned. Provinces are allowed to achieve their assigned targets by all legitimate means on the basis of their own situation and many provincial governments have established their own annual targets. Specific provincial annual targets for reductions in EC/GDP from 2005 to 2010 can be found in the appendix (Table A1). The provincial targets for 2010 are generally set on the same basis as the national target, i.e. decreasing EC/GDP by 20% compared with the 2005 level. However, eleven provinces are required to reduce EC/GDP more or less than 20% by 2010. The final component of the administrative regulations comprises a punishment system to guarantee achievement of the targets. In 2007, the Central People's Government of the People's Republic of China (CPGPRC) launched the Energy-Saving and Emission Reduction Program, in which a punishment system to guarantee achievement of the climate change mitigation targets is introduced (CPGPRC, 2007). If a province fails to fulfil its assigned target by 2010, the provincial government will be ‘punished’. First, the failure will carry significant weight in evaluations of the provincial government’s work and the careers of relevant officials will be affected. Second, the provincial government will have to prepare a compensatory programme within a month, specifically describing how the assigned target could be fulfilled in a given period, and will then have to implement this programme. If this also fails, the officials in charge will be punished according to relevant regulations. 3.2 Technological improvement regulations

Regulations promoting energy-saving technology have also been widely adopted in China. In September 2006, the national government launched the Outline of China’s Energy Saving Technology Policies focusing on the promotion of Chinese energy-saving technology in the long term. The Chinese authorities at national, provincial and local level have developed strict sector-based baselines regarding energy efficiency, as a result of which a large number of obsolete units have been shut down. For example, in the period 2003-2006, small thermal power plants with a total capacity of 7.19 GW were shut down. In 2007 this figure rose to 14.38 GW. By 2008 small-scale plants with a total capacity of 16.69 GW had been shut down (Wen, 2009). National and provincial governments are also encouraging industries to replace old facilities in order to improve energy efficiency, and this has resulted in a distinct decrease in the energy consumed by energy-intensive products in the past few years. For example, in 2007, the consumption of coal for power generation was reduced by 3.8% compared with the 2005 level, while the energy consumption of steel production was reduced 6.4%, which of aluminium by 1.3%, cement by 5.4% and ethylene production by 8.3%. Large pre-baking baths accounted for 52% of electrolytic aluminium production in 2000 and this rose to 83% in 2007, with a large number of smaller units being shut down (Wen, 2009). 3.3 Economic Instruments

In addition to regulations, the Chinese government has also applied a number of economic instruments, of which the major types include categories of tax, flexible pricing systems, subsidies and funding for mitigation actions. An emissions trading mechanism on the provincial level has also been proposed to reduce CO2 emissions in a more cost-effective way. In 2001, the Chinese government started to use differential tax rates to encourage the development of renewable fuels and to restrict the use of fossil fuels. Since 2001, the value added tax (VAT) on wind power plants has been kept at 8.5%, which is considerably lower than the VAT on coal power plants (17%). Energy production from biomass has been exempted from VAT, while the VAT on ethanol energy is 13% and it is exempt from the 5% consumption tax. In 2005, resource taxes on fossil fuels were raised in order to slow down their exploitation. Meanwhile, the export duties on energy-intensive products were also raised. Since 2007, the VAT on methane production and sales is being paid back to these energy-saving enterprises. In the same year, the export duties on

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energy-intensive products were raised further and the system was expanded to cover more products. In early 2009, consumption taxes on petrol increased from 0.2 to 1.0 CNY and those on diesel from 0.1 to 0.8 CNY. The coal resource tax will rise from 1% to 3% in 2009. Electricity tariffs are largely controlled by the Chinese government, and a flexible electricity tariff is an important instrument in adjusting the structure of energy consumption, i.e. an extra tariff has to be paid for excessive energy consumption. In 2004, the flexible electricity tariff approach was initially applied to six energy-intensive industries, producing electrolytic aluminium, ferroalloy, calcium carbide, caustic soda, cement and steel. Since 2005, the use of flexible electricity tariffs has been extended to every industrial sector. In order to control electricity consumption more effectively, the rights to adjust the electricity tariff and to obtain the revenue from this tariff was granted to provincial governments in October 2007. Since power plants generating electricity from renewable energy usually entail larger investment costs than fossil fuel-based plants, the Chinese government is currently subsidising electricity generated from renewables in order to make them competitive to fossil fuels. A normal way of achieving this is for power plants to be paid a higher price for the same amount of electricity if it is generated from renewable energy. In Shandong province, the tariff for wind power plants is 0.4 CNY/KWh higher than the normal tariff, while the tariff for incineration and landfill power plants is 0.25 CNY/KWh higher than the normal. In 2007, the Chinese national government allocated 1.33 billion CNY as a special fund for reducing emissions of CO2 and other pollutants. These funds can be used to: (1) build monitoring stations to record emissions of CO2 and other pollutants, (2) provide funds for mitigation programmes; (3) expand the working capacity and facilities of environmental departments, and (4) reward provinces, cities and industries that have effectively mitigated emissions. Provinces can also use the funds in accordance with ‘Reduction of Major Pollutants, the Central Financial Management of Special Funds Interim Measures’ (MFPRC & MEPPRC, 2007). For instance, Shanxi province distributed its funds in four main ways in 2008: paying the interest on loans for mitigation programmes, funding mitigation programmes (no more than 40% of total investment), building monitoring stations, and rewarding provincial cities and industries for mitigating their emissions. In addition to existing economic instruments, it is suggested that a carbon trading system be established on provincial level in order to create more incentives for climate change mitigation and improve its cost-effectiveness (Qian, 2008).

4. ANALYSIS OF POLICY INSTRUMENTS In the following, the three categories of policy instrument described above are analysed on national and provincial level. 4.1 Policy instruments on national level

Unit: Tonnes of SCE/10,000 CNY

National and provincial data on EC/GDP have been calculated and made accessible to the public since 2006. 1.3 1.25 1.2 1.15 1.1 1.05 1 0.95 0.9

Actual EC/GDP from 2005 to 2008 EC/GDP annual targets from 2006 to 2010 2005 2006 2007 2008 2009 2010

Fig.1. Actual EC/GDP in China 2005-2008 and EC/GDP annual targets 2006-2010. Sources: SEPAC (2007), MEPPRC (2008) and NBSC (2008b). Fig.1. shows the declining trend in actual national EC/GDP from 2005 to 2008, which follows the annual target decline rather closely. In comparison, Wen (2007) showed that the national EC/GDP

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increased by 4.9%, 5.5% and 0.2% in 2003, 2004 and 2005 respectively, and that the figure just started to decrease in 2005/06. Therefore, the mitigation approaches adopted in China, especially various types of policy instruments, appear to be effective in improving energy efficiency. Fig.A1, which can be found in appendix (either include in text or refer to as Fig. A1) shows the policy instruments adopted on the national level in China to date. The number of policy instruments for mitigating climate change has been rapidly increasing since 2005 and there are further policy instruments under discussion, which will be used to regulate CO2 emissions in a broader and more specific way. The administrative regulations are set up and embedded in the Chinese political system and are necessary for connecting national and provincial efforts in climate mitigation. However, the effectiveness of the administrative regulations can be better analysed on the provincial level for the years up to 2010. Technological improvement regulations have had a great increase in effect after 2007 by eliminating a large number of obsolete industries and facilities. This instrument is currently making the great contribution to reducing CO2 emissions. There have been new economic instruments or adaptations of old instruments coming into force annually since 2005 but the related taxes and financial investments are at a superficial level. Different types of economic instruments are needed to cover more detailed areas and the effectiveness of all economic instruments must be improved. It is worthy of mention that some policy instruments may not take effect as soon as they are implemented. In the case of technological improvement regulations, for example, the focus is on long-term improvement of energy-saving technology; so many effects will not be visible at present. 4.2 Policy instruments on provincial level

The Chinese national strategic goal established in 2006 in response to climate change is to decrease EC/GDP by 20% by 2010 compared with the 2005 level, and specific targets have been assigned to every province. In general, the provincial targets for 2010 are 20% less than their actual EC/GDP in 2005 but the actual level depends on the practical situation in the individual province (Table A1). Seven Chinese provinces, Guangdong, Fujian, Guangxi, Yunnan, Hainan, Qinghai and Tibet, are being required to reduce EC/GDP to a degree less than 20%, while four provinces, Shandong, Inner Mongolia, Shanxi and Jilin, need to decrease EC/GDP by more than 20%. Provinces are allowed to address their assignments by all the legitimate means at their disposal. However, Beijing, Tianjin and Zhejiang were the only three provinces that reached their annual targets in 2006. This situation improved in 2007, when 19 provinces achieved their annual targets, while the remaining provinces also came much closer to their annual targets. In the following, we look at the Shandong and Beijing provinces and discuss the policy instruments adopted by their provincial governments.

Unit: Tonnes of SCE/10,000 CNY

4.2.1 Policy instruments in Shandong Energy consumption in Shandong province is the highest in China. Economic growth in Shandong is dominated by heavy industry, which contributed 66% of the total industrial output in 2007. At the same time, 99% of electricity consumed came from coal power plants. As Fig. 2 shows, actual EC/GDP and annual EC/GDP targets in Shandong province exhibited a similar declining trend from 2006 to 2007. Although the annual targets were not reached, the actual EC/GDP in these two years was very close to the targets. 1.3 1.25 1.2 1.15 1.1 1.05 1 0.95 0.9

Actual EC/GDP in Shandong province from 2005 to 2007 EC/GDP annual targets in Shandong province from 2006 to 2010 2005 2006 2007 2008 2009 2010

Fig.2. Actual EC/GDP in Shandong Province 2005-2007 and annual targets 2006-2010. Sources: NBSC (2006, 2007, 2008) and MEPPRC (2008). The policy instruments used in Shandong province include administrative regulations, technological improvement regulations and economic instruments. According to the national target for 2010, Shandong province needs to reduce its EC/GDP by 22% compared with the 2005 level. In

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order to achieve this, Shandong province is developing provincial annual targets and dividing these targets between the various cities in the province. The cities then need to reach the targets by all legitimate means. Technological improvement regulations have also been widely used in Shandong province since 2007, e.g. in shutting down units which do not meet the sector baseline and replacing obsolete facilities. The provincial government evaluated the energy efficiency of 476 project applications, of which 20 projects were refused. Small thermal power plants with a total capacity of 1.717 GW that did not meet the baseline were shut down. In addition, a large number of obsolete facilities were eliminated in the iron and steel industry, with 2,480,000 tonnes of iron production capacity and 3,710,000 tonnes of steel production capacity being replaced (Jiang, 2009). In addition to the tax regulations imposed by the national government, Shandong province has also adopted other economic instruments. An extra tariff has to be paid for excessive energy consumption and basic caps have been set for various industrial sectors. If the amount of energy consumption is under the cap, the industry just needs to pay the normal tariff. If the amount consumed exceeds the cap, the excess is charged at a progressive tariff rate of double the normal price for less than 10% excess consumption, three times the normal price for 10%-20% excess, four times the normal price for 20%-30% excess and so forth. In order to encourage the use of renewable resources, the provincial government provides subsidies for using renewable resource in energy production. In addition, the provincial government provides special funding to encourage wind power plants and to reward industries that have saved a significant amount of energy. 4.2.2 Policy instruments in Beijing The EC/GDP for Beijing in 2005 was 0.8 tonnes of SCE, which was lower than the national average (1.226 tonnes of SCE). As Fig. 3 shows, actual EC/GDP in Beijing declined in the period 2005-2007 and its annual targets were reached in 2006 and 2007. In order to achieve the final assignment in 2010 (0.64 tonnes of SCE), the Beijing government not only followed the national administrative regulations and set up annual targets to assist in achievement of the final assignment, but also developed its own instruments. It is trying to encourage the application of 17 typical forms of energy-saving technology. In addition, it set up an evaluation system for clean products and building projects. In 2007/08, the Beijing government reduced taxes on energy-saving and emission mitigation projects by more than 2 billion CNY and provided more than 10 billion CNY of funding to encourage the development of new projects (Guo, 2009). Unit: Tonnes of SCE/10,000 CNY

1 0.9

Actual EC/GDP in Beijing from 2005 to 2007

0.8 0.7

EC/GDP annual targets in Beijing from 2006 to 2010

0.6 0.5 2005 2006 2007 2008 2009 2010

Fig.3. Actual EC/GDP in Beijing 2005-2007 and annual targets 2006-2010.

Sources: NBSC (2006, 2007, 2008) and MEPPRC (2008).

The different provinces in China have to achieve specific EC/GDP reductions by 2010. Therefore, they are not only following the national policy instruments but have also developed quite a few new instruments to assist in achieving these reductions. Heavy industry accounts for a large proportion of Shandong’s economy and coal is the main fuels used to generate power. The provincial government of Shandong opted for regulations and a few economic instruments, e.g. by shutting down small power plants with excessive energy consumption and flexible electricity tariffs. In contrast, economic instruments have been more broadly and deeply adopted in Beijing and the amount of funding and tax exemption, which aims to encourage energy-saving and emission mitigation projects, is much larger than in Shandong. Beijing has achieved its annual targets since 2006, while Shandong province has not. Since both governments adopted similar administrative regulations, the difference between Shandong and Beijing in achieving their annual targets indicates perhaps that if prioritised by governments, economic instruments have an effect more quickly in achieving short-term targets.

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5. Results and Discussion EC/GDP, rather than the quantity of CO2 reduction, is used by the Chinese government to measure the efforts to mitigate climate change. A number of policy instruments have been adopted at national level in China in order to reduce EC/GDP and mitigate CO2 emissions and provinces can further adapt these instruments and develop new ones on the basis of their own situation. These policy instruments are divided into three categories, namely administrative regulations, technological improvement regulations and economic instruments. On the basis of our analysis of these policy instruments as applied by the national government with respect to changes in EC/GDP, i.e. energy efficiency, in the past few years and as applied in two provinces, Shandong and Beijing, we found the following important results. 1) From 2005 to 2008, EC/GDP has shown a clear declining trend on both national and provincial level, which is similar to the trend for annual targets. This means that the Chinese approaches, in a general sense, have very likely been effective in improving energy efficiency and mitigating climate change as regards reducing EC/GDP. 2) The number of policy instruments has been rapidly increasing since 2005 and further instruments will be used to reduce CO2 emissions. Administrative regulations are embedded in the Chinese political system and are necessary for connecting national and provincial climate mitigation efforts. The effects of technological improvement regulations improved rapidly after 2007 and they currently make the great contribution to improving energy efficiency and mitigating climate change. A number of new or revised economic instruments have come into force annually since 2005 but this is a measure that needs further development. 3) We found similar declining trends in actual EC/GDP in our analysis of policy instruments adopted in the provinces of Shandong and Beijing. Shandong has opted for regulations and a few economic instruments, while economic instruments are being more broadly and deeply adopted in Beijing. Since Beijing has fully achieved its targets in recent years while Shandong has not, this may be an indication perhaps that if prioritised by governments, economic instruments have an effect more quickly in achieving short-term targets. However, there are three major concerns as regards Chinese policy instruments with respect to their effectiveness in improving energy efficiency. First, although EC/GDP in China has steadily declined since 2006, in absolute terms it is still much higher than the level in many developed countries (Zhu, 2004). In addition, the total amount of CO2 emissions is continuing to rise, as the growth rate of the Chinese economy is exceeding the rate of reduction in EC/GDP. Therefore, more ambitious approaches than policy instruments should be devised in order to mitigate climate change in a more substantial way without impairing the growth of the economy. Second, although policy instruments are generally very likely to be effective in saving energy and reducing EC/GDP, there are many other factors simultaneously affecting energy consumption efficiency, e.g. the structure of industry. A possible way to identify the exact extent to which categories of policy instruments can affect energy consumption efficiency and climate change mitigation would be to fit policy instruments into a general equilibrium model and simulate its impacts. Third, the data used in this paper were mainly derived from annual Chinese Statistical Yearbooks, government announcements and government reports, since these official sources were the only way for the authors to collect broad information of policies. However some data were lacking and any inaccuracies contained in the existing data would affect the conclusions of this paper. REFERENCES CNDRC. 2007. China's National Climate Change Programme. Beijing, China, Chinese National Development and Reform Commission. CPGPRC. 2007. Energy-saving emission Reduction Programme Beijing, China, The Central People's Government of the People's Republic of China. GUO, J. 2009. Report on the Work of the Government in Shandong Province 2009. Beijing, China. HOUGHTON, J. T. 2001. Climate Change 2001: The Scientific Basis. Cambridge University Press, Cambridge. IPCC. 2007. Climate Change 2007: Mitigation. Contribution of Working Group III to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change. United Kingdom and New York, NY, USA: Cambridge University Press, Cambridge. JIANG, D. 2009. Report on the Work of the Government in Shandong Province 2009. Jinan, China.

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MEPPRC. 2008. China National Environmental Protection Plan in the Eleventh Five-Years (2006-2010). Beijing, China: MFPRC & MEPPRC. 2007. Reduction of Major Pollutants. The Central Financial Management of Special Funds Interim Measures. Beijing, China. NBSC. 2006. Communiqué on Energy Consumption per Unit of GDP by Regions in 2005. Beijing, China, National Bureau of Statistics of China NBSC. 2007. Communiqué on Energy Consumption per Unit of GDP by Regions in 2006. Beijing, China, National Bureau of Statistics of China NBSC. 2008a. China Statistical Yearbook 2008. Beijing, China: China Statistical Press. NBSC. 2008b. Communiqué on Energy Consumption per Unit of GDP by Regions in 2007. Beijing, China, National Bureau of Statistics of China QIAN, Y. 2008. Model way to cut emissions. China Daily. Beijing, China. SEPAC. 2007. Annual Statistics Report on Environment in China 2006. Beijing, China, State Environmental Protection Administration Of China. WEN, J. 2006. Report on the Work of the Government 2006. Beijing, China. WEN, J. 2007. Report on the Work of the Government 2007. Beijing, China. WEN, J. 2008. Report on the Work of the Government 2008. Beijing, China. WEN, J. 2009. Report on the Work of the Government 2009. Beijing, China. ZHU, Z. 2004. International Statistical Yearbook 2003. Beijing, China: Beijing: China Statistical Press.

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Appendix Table A1. Actual EC/GDP and annual targets for all provinces in China 2005-2010 (Unit: Tonnes of SCE /10,000 CNY) Year 2005 2006 2007 2008 2009 2010

Beijing Tianjin Shanghai Shandon g Zhejiang Guandon g Jiangsu Henan Hebei Liaoning Sichuan Hubei Fujian Hunan Heilongjia ng Anhui Inner Mongolia Shanxi Guangxi Jiangxi Shannxi Jilin Yunnan Chongqin g Xinjiang Guizhou Gansu Hainan Ningxia Qinghai Tibet

Actu al EC/G DP

Tar get

Act ual EC/ GD P

0.80 1.11 0.88 1.28 0.90 0.79 0.92 1.38 1.96 1.83 1.53 1.51 0.94 1.40 1.46 1.21 2.48 2.95 1.22 1.06 1.48 1.65 1.73 1.42 2.11 3.25 2.26 0.92 4.14 3.07 1.45

— — — — — — — — — — — — — — — — — — — — — — — — — — — — — — —

0.76 1.07 0.87 1.23 0.86 0.77 0.90 1.34 1.90 1.78 1.50 1.46 0.91 1.35 1.41 1.17 2.41 2.89 1.19 1.02 1.43 1.59 1.71 1.37 2.09 3.19 2.20 0.91 4.10 3.12 —

Targ et

0.77 1.07 0.85 1.22 0.86 0.76 0.88 1.34 1.88 1.76 1.47 1.45 0.91 1.34 1.40 1.16 2.36 2.83 1.17 1.01 1.42 1.55 1.71 1.36 2.03 3.12 2.17 0.88 4.02 3.01 —

Actu al EC/G DP

Tar get

Actu al EC/G DP

Tar get

Actu al EC/G DP

0.71 1.02 0.83 1.18 0.83 0.75 0.85 1.29 1.84 1.70 1.43 1.40 0.88 1.31 1.35 1.13 2.31 2.76 1.15 0.98 1.36 1.52 1.64 1.33 2.03 3.06 2.11 0.90 3.95 3.06 —

0.72 1.02 0.84 1.17 0.83 0.75 0.86 1.29 1.81 1.70 1.44 1.40 0.88 1.30 1.36 1.12 2.29 2.73 1.15 0.98 1.36 1.53 1.64 1.32 2.01 3.06 2.11 0.88 3.94 3.06 —

— 0.97 — — 0.8 — 0.81 1.22 1.74 — 1.37 1.33 0.85 — 1.29 — 2.2 — 1.11 0.93 — 1.45 1.57 — — 2.93 2.02 0.89 — — —

0.68 0.97 0.81 1.11 0.80 0.73 0.82 1.22 1.76 1.64 1.38 1.35 0.85 1.26 1.29 1.08 2.18 2.60 1.11 0.94 1.31 1.46 1.57 1.27 1.95 2.94 2.03 0.86 3.80 2.94 —

— — — — — — — — — — — — — — — — — — — — — — — — — — — — — — —

Tar get

0.65 0.93 0.77 1.05 0.76 0.70 0.77 1.16 1.65 1.57 1.32 1.28 0.82 1.20 1.23 1.04 2.09 2.46 1.07 0.89 1.25 1.38 1.50 1.21 1.85 2.80 1.91 0.88 3.60 2.82 —

Actu al EC/G DP — — — — — — — — — — — — — — — — — — — — — — — — — — — — — — —

Tar get

0.64 0.89 0.70 1.00 0.72 0.66 0.74 1.10 1.57 1.46 1.22 1.21 0.79 1.12 1.17 0.97 1.86 2.21 1.04 0.85 1.18 1.16 1.44 1.14 1.69 2.60 1.81 0.81 3.31 2.55 1.28

Note: (1) The cities of Beijing, Shanghai, Tianjin and Chongqing have the same targets as the other provinces. However, Hong Kong, Macao and Taiwan are not included in Table A1. (2) The data on actual EC/GDP in every province in 2008 come from the relevant Report on the Work of the Government 2009 for every province. Some actual EC/GDP data for 2008 are lacking from these reports. Data on Tibet province are lacking except for the final scheduled administrative goal for 2010. (3) Some Reports on the Work of the Government 2009 in the provinces describe the actual emissions as “have achieved the goal which the central government required” without exact numbers. These numbers are given in italics as that year’s annual target in the provinces. (4) The data on EC/GDP annual targets in the provinces 2006-2009 come from Report on the Work of the Government during 2006-2009 in every province. Some of these describe their scheduled administrative goals as “will achieve the goal which the central government required” without exact numbers. These numbers are calculated as a 4% reduction in the previous year’s annual target. Sources: NBSC (2006), (2007), (2008b) and MEPPRC (2008)

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1. 2003-2006 Small thermal power plants with total capacity of 7.19 GW shut down. 2. 2001- Decrease VAT on wind power. 3. 2001- Decrease consumption tax on ethanol energy. 4. 2001- Decrease VAT on biomass.

2005 1. Raise the resource tax on fossil fuels. 2. Raise export duties on energy-intensive products 3. Begin to use flexible electricity tariff country-wide.

2006 1. Begin to use administrative instruments. 2. Encourage use of technological improvement regulations.

2007

1. Obsolete small thermal power plants to total capacity of 14,380,000 KW shut down. 2. Payback of VAT of coaled methane explosion and business. 3. Raise export duties further. 4. Income from flexible electricity tariff now controlled by provincial

2008 1. Propose carbon trading system. 2. Obsolete small thermal power plants to total capacity of 16.69 GW closed down.

2009 1. Raise consumption tax on petrol and diesel. 2. Raise coal resource tax.

gove rnme nt. 5. Provi de speci al fundi ng.

2010 1. Strategic goal. 2. Punishmen t system.

Fig.A1. Policy instruments adopted on the national level in China to date. Sources: Wen (2006), (2007), (2008), (2009), CPGPRC (2007), MFPRC & MEPPRC (2007), MEPPRC (2008) and Qian (2008).

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GOVERNANCE OF LARGE-SCALE ENVIRONMENTAL PROBLEMS – THE CASE OF CLIMATE CHANGE Qie Sun1, Ronald Wennersten2, Nils Brandt3 1

Industrial Ecology, Royal Institute of Technology (KTH), Sweden, [email protected] Industrial Ecology, Royal Institute of Technology (KTH), Sweden, [email protected] 3 Industrial Ecology, Royal Institute of Technology (KTH), Sweden, [email protected] 2

ABSTRACT Climate change represents an unprecedented large-scale environmental problem affecting every corner of the earth. There must be a reduction in emissions of greenhouse gases (GHG), and the atmospheric carbon sink must be protected in order to avoid long-term irreversible climatic change and its likely devastating consequences. This paper focuses on the management of climate change mitigation (CCM), seeking a working institution capable of addressing its cross-scale and multi-level challenges. To provide a theoretical basis, the paper first revisits the characteristics of climate change and CCM. It then discusses the two most studied forms of institution, co-management and transnational networks, referred to here as Clean Development Mechanism (CDM) projects and the ICLEI’s (International Council for Local Environmental Initiatives) Cities for Climate Protection (CCP) campaign. A common point of these two forms of institution is that they both attempt to build up cooperative networks to facilitate cooperation between multi-level stakeholders from different areas. While cooperative networks provide a possible way of handling the cross-scale and multi-level challenges of CCM, concerns as regards promoting cooperative networks as a working institution, include: (1) cooperative networks should be able to involve relevant stakeholders and allow them to reconfigure their power and responsibility; (2) economic benefits and other incentives should be created to promote the effectiveness of cooperative networks; (3) the effectiveness of cooperative networks should be tested; and (4) cooperative networks can be developed and organised in many ways. INTRODUCTION There is widespread consensus that mitigation is a necessary option to avoid long-term irreversible climatic change and its likely devastating consequences (Houghton, 2001; Ipcc, 2007). In practice, an increasing number of efforts have been made to mitigate climate change, for instance emissions trading, joint implementation and CDM as proposed by the Kyoto Protocol, the ICLEI CCP campaign, and a good many voluntary local CCM projects. Effective CCM calls for broad participation of stakeholders, their active contributions and more importantly, a working institution for managing stakeholders and actions (Dietz et al., 2003; Gustavsson et al., 2006; Sun et al., 2007). Since Hardin’s (1968) seminal paper, studies have been using the ‘commons’ perspective to look at a variety of resources and environmental problems. Common resources (or commons for short) refer to natural resource or environment systems open to all. Since the 1990s, large-scale environmental problems, e.g. climate change, have been incorporated into the scope of common problems, which originally concentrated on small-scale common-pool resources (CPRs) (Feeny et al., 1990; Ostrom, 1990; Ostrom et al., 1999; Dietz et al., 2003; Kennedy, 2003; Van Laerhoven and Ostrom, 2007; Paavola, 2008). A CPR is a natural or man-made resource system that is sufficiently large to make it costly (but not impossible) to exclude potential beneficiaries from obtaining benefits from it (Ostrom, 1990). In this paper, commons and CPRs are both used to indicate resource or environment systems, without referring to any property arrangements. On the basis of a large number of theoretical studies and empirical evidence, many common resource systems have proven of enduring and developing under effective governance institutions (Ostrom, 1990; Ostrom et al., 1999; Agrawal, 2002; Stern et al., 2002; Dietz et al., 2003). Even for large-scale environmental problems, sustainability is viable when a working institution is established, e.g. the international treaty regime to reduce the anthropogenic impact on the stratospheric ozone has been widely considered to be a successful effort to protect the global atmosphere (Barrett, 1990; Dietz et al., 2003). However, such success has not been universally achieved in handling other large-scale environmental problems. For example, the case of CCM has frequently been identified as a ‘problem of tragedy’ (Stern et al., 2002; Kennedy, 2003; Milinski et al., 2006). Large-scale environmental problems usually span time, geographical space and administrative jurisdictions, and synthesise ecological, social and economic challenges. Therefore any approach to handling these problems needs to understand their cross-scale nature and meet the multi-level challenges involved (Berkes, 2006; Cash et al., 2006). It should be pointed out that ‘scale’ in this paper has two meanings: one refers to the spatial extension of a resource system, e.g. small- and large-scale commons, while the other is the administrative scale, the levels of which encompass various points along the jurisdictional dimension: international, national, local (municipal), community (organisation and civil society) and private (commercial, household and individual). An increasing amount of evidence suggests that a traditional ‘top-down’ centralised governance system is less suitable for such challenges, and that management of large-scale commons requires the creation and implementation of a more robust governance

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institution by which cross-scale and multi-level challenges can be addressed (Carlsson and Sandström, 2008). Existing studies on governing climate change have attempted to achieve this mainly in two ways: co-management (or cross-level interplay) which aims to incorporate different actors on different administrative levels, typically national government and resource users (Adger et al., 2005; Carlsson and Berkes, 2005; Berkes, 2006; Young, 2006; Carlsson and Sandström, 2008), and transnational networks in which local actions are centrally focused (Betsill and Bulkeley, 2004; 2006). This paper seeks to improve the understanding and governance of the large-scale environmental problem, climate change. Effective management of a large-scale common problem requires a deep understanding of its intrinsic nature. Thus, this paper first revisits the characteristics of climate change, which serve as the theoretical basis for studying the large-scale common problem (section 2). Next, the paper focuses on the institutions for managing CCM. Specifically, the two most studied forms of institution, co-management and transnational networks, are reviewed with respect to their effectiveness in terms of governing the large-scale common problem of climate change (section 3). The paper then attempts to identify a general form of institution that might be able to address the cross-scale and multi-level challenges of CCM, and discusses concerns in creating such institutions with the aim of sustainable governance of climate change, before drawing final conclusions (section 4). CHARACTERISTICS OF CLIMATE CHANGE This section describes the main characteristics of climate change, including: (1) climate change as a large-scale common problem, (2) physical characteristics of climate change, and (3) property rights for governing climate change. Climate change as a large-scale common problem Early work on commons focused heavily on local and regional CPRs, for instance pasture land, drainage systems and fisheries (Feeny et al., 1990; Ostrom, 1990; Dietz et al., 2002). In the past decade, studies of commons have enlarged their scope and have started to look at large-scale resource and environment systems, such as biodiversity, climate change and other ecosystem services. While principles generated from local and regional CPRs are necessary and enlightening, they are inadequate when applied to global environmental problems (Ostrom et al., 1999; Dietz et al., 2003; Adger et al., 2005; Berkes, 2006). The difficulties include scaling-up problems and the problem of distinguishing between environmental pollution and resource management. A clear difference between small- and large-scale commons is the so-called scaling-up problem, i.e. the extent of a resource system and the number of actors using or having impacts on the system. A large-scale resource system usually involves large numbers of actors, who are usually much more heterogeneous (Dietz et al., 2002). This creates a rather complex situation, in which agreement on rules and their enforcement are very difficult. Other problems associated with the scaling-up problem include strong historical dependency, broad social settings, large cultural diversity, accelerating dynamics, and huge economic incentives and dependencies (Ostrom et al., 1999). Intertangled with many or all of these problems, global environmental problems are regarded as one of the most important challenges that require governance from international cooperation to local contributions (Dietz et al., 2003). The other problem is that of distinguishing between environmental pollution and resource management. The differentiation between stock-flow and fund-service resources is especially illuminating in understanding this distinction. CPRs usually belong to the category of stock-flow resources, i.e. resources materially transformed into what they produce (Ostrom, 1990; Daly and Farley, 2003). If the appropriation rate keeps exceeding the sustainable yield of the stock, the resource will shrink and even become extinct in the end. Sustainable management of CPRs seeks to balance provision of the stock against the appropriation rate. In contrast, managing environmental problems involves two objects, i.e. a pollutant and an environmental sink of absorption. The environmental sink, as defined in Daly and Farley (2003), is typically a fund-service resource that provides the capacity of absorbing the pollutant at a fixed rate, rather than becoming part of a product. The overall aim thus becomes restraining the amount of pollutants within the absorption capacity of the environmental sink. However, the capacity is difficult to determine in most cases. People would not stop ‘benefiting’ from emitting pollutants into the atmosphere until they noticed the capacity as being seriously deteriorated. In the case of climate change, people emit GHG into the atmosphere without considering the externalities induced by the emissions. It has taken quite a long time for people to realise the externalities, still with many uncertainties. Managing CCM entails reductions in GHG emissions, which requires information about anthropogenic GHG emissions and their impacts in relation to the absorption capacity of the atmospheric sink. Additional costs, often very large, are needed to mitigate GHG emissions and this is a significant barrier to implementation of practical CCM actions. Physical characteristics of climate change Two major physical characteristics of commons are excludability and rivalry (Feeny et al., 1990; Dietz et al., 2002; Daly and Farley, 2003; Berkes, 2006). Excludability means the arrangement of excluding people from using the

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resource other than the owners of a defined group. In some cases, the exclusive arrangement of a resource, especially one such as a large-scale environmental sink, might be too costly to achieve in practice, although it is theoretically possible. Rivalry (or subtractability, non-jointness) relates to the natural attribute of a resource, with which the consumption of one unit by one person precludes the unit from being consumed by the other. Rivalry refers not only to quantitative rivalry but also to qualitative, e.g. if a ton of waste water is disposed of in a lake, there is less capacity for the lake to process another ton of waste. Note that both excludability and rivalry are characteristics that vary in degree rather than being all or nothing (Ostrom and Ostrom, 1977). Some studies, e.g. Daly and Farley (2003), exclude qualitative rivalry resources, such as the atmospheric sink, from the rivalry category. As discussed above, two objects should be considered in the case of CCM, namely GHG emissions and the atmospheric sink. GHG are a pure externality of anthropogenic activities in terms of climate change, and are nonrival, non-excludable and undesirable (Daly and Farley, 2003). Non-rivalry means that the impacts caused by GHG emissions affect many people at the same time. Non-excludability describes the original arrangement that nobody is excluded from the right of emitting GHG and paying nothing. Therefore, significant problems of overemission are very likely to occur before excludable rules are established, especially when the costs of reducing GHG are large. Since GHG is an undesirable environmental ‘bad’, a theoretical option is to internalise the externalities of GHG into the costs of energy consumption, e.g. levying carbon tax on fossil fuels or subsidising low-carbon fuels. However, such excludable rules have only covered a corner of the arena to date, and effective rules have not been available in most fields of daily production and living. As mentioned above, the atmospheric sink represents qualitative rivalry and deterioration is not easily observed until the threshold. The atmospheric sink is also a non-excludable resource since either the harms of climate change or the benefits of atmospheric improvements cannot be divided and allocated to a specific group of people. However, this gives rise to another challenge of CCM, namely the free-riding problem – where everyone waits to benefit from reductions made by others, while everyone harms others by his/her emissions (Dietz et al., 2002). We therefore argue that effective management of climate change should contain strategies on reducing GHG and on protecting the atmospheric sink. Property rights for governing climate change A property regime under which a resource is held is an important part of institutional design. Categories of property regimes, i.e. who controls the access to a certain resource system, include: private property, government property, collective property and open access (i.e. no-one’s property) (Feeny et al., 1990; Ostrom et al., 1999; Dietz et al., 2002; Stern et al., 2002). Among these four forms of property rights, an open access system almost always leads to extinction of a resource that is in great demand. Both successes and failures, however, have been recorded in the other three types of property rights, and no single category has proven best for governing various types of commons (Stern et al., 2002). Regarding climate change, the atmospheric sink is intrinsically difficult to divide and it is thus impossible for some users to be excluded from the whole. The discussion about property rights mainly focuses on the definition and distribution of emission rights. Given that collective property could be broadly defined so as to cover government property, climate governance regulations constituted by national climate policies and international conventions can be understood as forms of collective property to restrain GHG emissions (Paavola, 2008). The right of some users to release GHG emissions, the amount they are allowed to release and the cost charged for these emissions are necessary constituents defining collective property in one way or another. Meanwhile, emission rights transferred into tradable goods are governed under private property. For example, in a CDM project, the amount of GHG reduction accredited to a developing country can be sold to an industrialised country for compliance with the Kyoto Protocol commitment of the latter. This arrangement provides large flexibility for reducing GHG emissions in a cost-effective way (Ipcc, 2007). Although the property regimes under which the emission rights are defined are important, this information has not been sufficient to draw robust conclusions on sustainable institutions for managing CCM (Feeny et al., 1990; Stern et al., 2002). INSTITUTIONS FOR GOVERNING CLIMATE CHANGE Governance of commons usually resorts to studies of developing and implementing institutions. Institutional design for small-scale CPRs has mainly focused on working principles that encourage collective actions among resource users, while studies of governing large-scale commons have concentrated on how to address the cross-scale and multi-level challenges through various forms of institution (Ostrom, 1990; Agrawal, 2002; Dietz et al., 2002; Betsill and Bulkeley, 2007; Paavola, 2008). Berkes (2008) suggests that this could be done at various levels of institution that interact horizontally (across the same level) and vertically (across various levels). Within a diversity of forms of institution, the interests of existing studies have mainly fallen into two categories: co-management (or cross-level interplay), which is intended to incorporate different actors vertically across various administrative levels (Adger et al., 2005; Carlsson and Berkes, 2005; Berkes, 2006; Young, 2006; Carlsson and Sandström, 2008), and transnational networks, in which local actions horizontally across national boundaries are the central focus (Betsill and Bulkeley,

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2004; 2006). In the rest of this section, we review the two forms of institutions and respectively refer them to CDM projects and the ICLEI CCP campaign. Co-management Co-management is the most broadly discussed form of institution to date for addressing the multi-level challenges of commons. The idea of co-management is to overcome the weakness of the traditional ‘top-down’ system of resource management and is founded on the basis of power- and responsibility-sharing between governments and local communities (World Bank, 1999; Berkes, 2006; Cash et al., 2006; Carlsson and Sandström, 2008). Carlsson and Berkes (2005) summarise the characteristics of co-management as being: (1) explicitly associated with natural resources management; (2) regarded as a kind of partnership between public and private actors; and (3) not a fixed state but a process that takes place along a continuum. Given that the administrative scale of governance encompasses international, national, local, community and private level, co-management amounts to collective actions among stakeholders spanning these levels (see Figure 1). Founded on vertical cross-level governance, comanagement aims to change the traditional top-down system into a flat social network and re-configure the power and responsibility among stakeholders (World Bank, 1999; Cash et al., 2006; Carlsson and Sandström, 2008). All stakeholders using the resource or having impacts on it, no matter to which level they belong, should take part in the co-management and cooperate with each other. In order to unravel the essence of co-management, many studies turn to investigating the relationship between a national government, or a state, and a community of local resource users. Interactions between a government and resource users may create four alternative images, namely exchange system, overlapping sectors, state-nested system and community-nested system (Carlsson and Berkes, 2005). However, if the multiple roles played by the government and the variety of actions taken by the community are considered, the relationship should be elucidated within an image of network and co-management can hence be understood as a structure of cooperative network (Carlsson and Sandström, 2008). Co-management, constituted by different stakeholders and/or with different power and responsibility arrangements, can be expressed in several other forms of institution, e.g. issue networks, policy community, polycentric systems and boundary organisations (Carlsson and Berkes, 2005; Berkes, 2006). In addition, note that co-management is not a single type of interplay vertically across levels of governance, although it might be a promising format under which management can be improved. Some other types of cross-level interplay, together with respective driving forces and appearance patterns, are described by Young (2006). Although the discussion about co-management has generally concentrated on climate change, we argue that many CCM projects with multi-level partners can be regarded as practical exercises in co-management. Worldwide, CDM is a popular type of CCM project, and can be referred to as an example of co-management. Comparisons between CDM projects and the theory of co-management can assist in (1) gathering empirical evidence to test and improve the theory of co-management, and (2) applying the knowledge of co-management to better management of CCM projects. The CDM allows GHG reduction (or removal) projects in developing countries to earn certified emission reduction (CER) credits, which can be sold to industrialised countries to meet a part of their reduction targets under the Kyoto Protocol. Worldwide, CDM has gained much interest, since it not only helps industrialised countries reduce their GHG emissions in a cost-effective way, but also aims to promote sustainable development in host countries (Sutter and Parreño, 2007; Olsen and Fenhann, 2008). Since the beginning of 2006, the mechanism has already registered more than 1,500 projects and is anticipated to produce more than 1.5 billion CERs by 2012, the end of the first commitment period (Unfccc, 2009a). Generally, a CDM project can be visualised as shown in Figure 2, where two partners participate, i.e. a project owner from a developing country and an investor from an industrialised country. In order to be registered as CDM, the project must first be approved by relevant designated national authorities (DNA), validated by a designated operational entity (DoE), and then approved by the CDM executive board (EB). After the project is registered, the practical amount of GHG reduction is monitored by the project owner (and the investor if needed) within a crediting period. This has to be verified by another DoE, and the verified CER can then be credited to the industrialised country’s account. As illustrated in Figure 2, participants in a CDM project include international organisations, national authorities, a project owner, investors and third party DoEs, spread over public and private sectors and over multiple administration levels. Every participant fulfils its own responsibility and cooperates with the others as defined under the CDM framework. The interactions between participants occur in a flat network which is established on the basis of power and responsibility reconfiguration, rather than the traditional top-down hierarchical system. Therefore, the procedure for CDM projects, i.e. from reconfiguring participants’ power and responsibility, negotiating regulations and requirements, carrying out project actions, to monitoring, verifying and approving the amount of CER, can be understood as the dynamics of co-management. Transnational networks An alternative to addressing the multi-level complexity is to focus on horizontal governance structures of large-scale commons, the so-called transnational networks (Bulkeley, 2005; Berkes, 2008). By definition, a transnational network

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involves a number of actors operating simultaneously or cooperating across national boundaries (Betsill and Bulkeley, 2004; Bulkeley, 2005). Partly as a result of globalisation, transnational actions are not rare but ubiquitous, and such actions in terms of global environment governance are becoming increasingly common (Rohrschneider and Dalton, 2008). The three most studied theoretical types of transnational networks in relation to global environmental governance are epistemic communities, transnational advocacy networks, and global civil society (Betsill and Bulkeley, 2004; Bulkeley, 2005; Betsill and Bulkeley, 2006). In epistemic community and transnational advocacy network approaches, national governments hold the central location of governance. The roles of sub-national governments are either ignored or implicitly subsumed within national governments, and their performances are measured in terms of the extent to which they shape, facilitate and change the behaviour of national governments. In the global civil society approach, the focus shifts to local level actors (mainly municipalities). Transnational collective actions by them indicate how a global challenge is being addressed by local actions. Given such a case, relevant international organisations and national governments should play the role of building up a well-functioning system that facilitates local actions (Sun et al., 2007). Regarding the governance of climate change, the analysis of transnational networks is primarily concentrated on local governments in that they do not just respond to policy goals framed in national and international arenas, but also take initiatives in their own right (Sun et al., 2007). Betsill and Bulkeley (2006) list four reasons why municipalities are significant for CCM: (1) cities are sites of high energy consumption and waste production; (2) local governments engaging with issues of sustainable development have plenty of implications for CCM; (3) local governments can foster partnerships with relevant stakeholders, encourage public participation and lobby national governments; and (4) local governments have considerable experience in addressing environmental impacts, and innovative measures and strategies can serve as demonstration projects or the basis for experiments. Moreover, transnational municipal networks can, broadly speaking, provide member cities with three types of functions that are important for managing CCM, including information sharing, capacity building and implementation, and rules setting (Andonova et al., 2007). Although a transnational municipal network is dominated by member cities horizontally interacting with each other across the same level, it may not and should not focus on a single tier of governance, but rather involve levels of stakeholders from various fields, e.g. government, NGOs, private companies and importantly universities and research institutions (Betsill and Bulkeley, 2006; Sun et al., 2007). This shows how international and local level could be interlinked within the governance network of global environmental challenges, and how a set of horizontal interactions can coalesce and turn into cooperative networks. Worldwide, one of the largest transnational networks for mitigating climate change is the CCP Campaign, which was established in 1993 and now consists of more than 700 local governments accounting for approximately 15% of global anthropogenic GHG emissions (Iclei, 2009). The CCP campaign assists cities in adopting policies and implementing quantifiable measures to reduce local GHG emissions, improve air quality, and enhance urban livability and sustainability. To assist in achieving environmental goals, ICLEI helps member cities to undertake the fivemilestone methodology and provides toolkits for monitoring and measuring GHG emissions. Through the CCP campaign, huge GHG reductions have been recorded, e.g. ICLEI helped US cities bring about 23 million tonnes of GHG reduction (CO2e) in 2005 (Iclei, 2006), while CCP Australia reported 4.7 million tonnes CO2e reduction for 2007/08 (Ccp Australia, 2008). In addition, a great amount of air pollutants and related energy costs have been reduced with the implementation of GHG reduction actions. With a decade of development of local actions for CCM, transnational municipal networks have become accepted as a legitimate area for research of CCM governance (Betsill and Bulkeley, 2007). DISCUSSION As the target of governance shifts to global large-scale commons, top-down environmental governance is becoming less capable of addressing the cross-scale and multi-level challenges (Berkes, 2008; Carlsson and Sandström, 2008). Although there is no clear picture of what a robust governance system should comprise, it is certain that a highly functioning institution should be good for: (1) linking different types and levels of organisations, (2) exchanging resources, (3) allocating tasks, (4) reducing transaction costs, (5) sharing risks, and (6) enhancing conflict resolution mechanisms (Carlsson and Berkes, 2005; Carlsson and Sandström, 2008). Researchers are seeking possible solutions in many ways, and two most studied forms of institution are co-management and transnational networks. These two forms of institution represent different ways in which the governance structure of large-scale environmental problems could be organised. Co-management aims to set up a flat cooperative network in which the power and responsibility are re-configured among stakeholders vertically across multiple administrative levels. It has been verified by empirical studies and experiments on governing commons, especially CPRs (Cash et al., 2006; Carlsson and Sandström, 2008). However, successful co-management de facto often arises from adaptive, selforganising processes of learning by doing, rather than from a deliberative design process (Cash et al., 2006). Adger et al. (2005) show that such a process occurs because of the benefits stakeholders would like to gain by undertaking the action, or the costs they want to avoid by not undertaking it. In other words, successful co-management is highly driven by practical economic benefits or incentives involving other critical resources. Co-management has not yet

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been widely analysed in the context of climate change. We therefore suggest that CDM projects be regarded as practical exercises in co-management and further tested in order to improve the theory and to galvanise future actions. Transnational networks, by contrast, summarise the actions mainly conducted by a number of local actors operating or cooperating horizontally across national boundaries. By involving levels of stakeholders from various fields, a transnational network coalesces and develops into a cooperative network. The CCP campaign is one of the largest contemporary transnational networks in the domain of climate change. Worldwide, it has gained enormous interest on the local level and can claim substantial successes in terms of GHG reduction as well as other co-benefits. However, problems arise when scholars begin to examine transnational municipal networks in a more radical way. Betsill (2001) analyses three types of barriers that local governments have to overcome when the political will of CCM is translated into actions, namely (1) bureaucratic structure: there is often no institutional home for climate change policymaking; (2) administrative capacity: many cities lack the administrative capacity to develop local policies and programmes for CCM; and (3) budget constraints: many cities are not willing to invest much in CCM since doing so often requires significant up-front costs. Successful mitigations have been recorded when there are ‘hooks’ on which CCM can attach, i.e. issues that are relevant to CCM and important on the local agenda, such as air pollution and economic growth (Betsill, 2001). Thus, researchers suspect that the intention behind cities joining the CCP programme is to seek political and financial resources rather than to mitigate climate change (Betsill and Bulkeley, 2004; Betsill, 2007). To sum up, both branches are very likely to be effective forms of institution for addressing the cross-scale and multilevel challenges of large-scale environmental problems, although fraught with challenges and criticisms. It is thus useful to devise a general form of institution that might be able to address the cross-scale and multi-level challenges of CCM. Based on previous analysis, we found that both roads lead in the direction of building up cooperative networks where stakeholders can re-configure their power and responsibilities, share experiences and know-how, and provide resources and financial assistance for each other. In other words, cooperative networks, with emphasis either on the vertical interplay between administrative levels or horizontally organised interlinks, provide a general starting point for understanding the ways in which large-scale environmental challenges could be managed within and across multiple scales and levels (Betsill and Bulkeley, 2006). While current cooperative networks indicate a possible way of handling the cross-scale and multi-level challenges of CCM, there are four major concerns as regards promoting cooperative networks as a working institution. 1) Cooperative networks must be able to involve relevant stakeholders and allow them to reconfigure their power and responsibility so as to facilitate CCM. Climate change represents an unprecedented large-scale environmental challenge that affects every corner on the earth, so every stakeholder, from international organisations to individuals and from industrialised countries to the developing world, should actively contribute to CCM. More importantly, stakeholders’ roles in a cooperative network should be re-defined on the basis of their own information and knowledge, rather than following top-down governance. 2) Economic benefits and other incentives should be created to promote the effectiveness of cooperative networks. Co-management and transnational networks have often proven to be effective in managing largescale problems when there are economic benefits or other incentives associated with CCM actions. In addition, fitting CCM actions into an agenda will be much easier when other pressing problems can be addressed simultaneously, since CCM is not always not the only concern of governmental strategies (Sun et al., 2007). 3) The effectiveness of cooperative networks should be tested every now and then. No one institution has proven capable of sustainable governance of climate change. Co-management has not been well discussed in the context of CCM, and many mitigation projects, such as CDM, can be used to verify its robustness. Transnational networks should be further developed in terms of both significance and effectiveness using any knowledge and useful information available to help in the improvement of governance institutions. 4) Cooperative networks can be developed and organised in many ways in practice. Co-management and transnational networks represent different ways in which a cooperative network can be organised. Since there is no conclusion regarding which type is superior, it is necessary to encourage a diversity of forms of institution if cross-scale and multi-level challenges can be best addressed in one way or another. CONCLUSION This paper takes a commons perspective to study the large-scale environmental problem of climate change. In contrast to small-scale CPRs, climate change requires forms of governance that are able to address the scaling-up problem, while simultaneously dealing with reduction of GHG emissions and protecting the atmospheric sink. To this end, the paper analyses the two most studied forms of institution, co-management and transnational networks, which are very likely to be effective for addressing the cross-scale and multi-level challenges posed by management of CCM. These two forms of institution focus on vertically and horizontally organised cooperative networks, respectively. While cooperative networks have a general form of viability, there is still a great amount of uncertainty about their effectiveness. Future studies should adopt more empirical methods to examine the robustness of cooperative

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networks, in any possible forms, in terms of sustainable governance of climate change. Useful information and knowledge collected from these studies can be further applied to practical actions in order to improve management of CCM.

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Milinski, M., Semmann, D., Krambeck, H.-J. & Marotzke, J. (2006) Stabilizing the Earth's climate is not a losing game: Supporting evidence from public goods experiments. Proceedings of the National Academy of Sciences of the United States of America, 103 (11): 3994-3998. Olsen, K. H. & Fenhann, J. (2008) Sustainable development benefits of clean development mechanism projects A new methodology for sustainability assessment based on text analysis of the project design documents submitted for validation. Energy Policy, 36 (8): 2773-2784. Ostrom, E. (1990) Governing the Commons: the Evolution of Institutions for Collective Action, Cambridge University Press, New York, US. Ostrom, E., Burger, J., Field, C. B., Norgaard, R. B. & Policansky, D. (1999) Revisiting the Commons: Local Lessons, Global Challenges. Science, 284 (5412): 278-282. Ostrom, V. & Ostrom, E. (1977) Public Goods and Public Choices. IN Savas, E. S. (Ed.) Alternatives for Delivering Public Services - Toward improved performance. Boulder, U.S., Westview Press. Paavola, J. (2008) Governing Atmospheric Sinks: the architecture of entitlements in the global commons. International Journal of the Commons, 2 (2): 313-336. Rohrschneider, R. & Dalton, R. J. (2008) A global network? Transnational cooperation among environmental groups. The Journal of Politics, 64 (02): 510-533. Stern, P. C., Dietz, T. & Ostrom, E. (2002) Research on the Commons: Lessons for Environmental Resource Managers. Environmental Practice, 4 (02): 61-64. Sun, Q., Johansson, S., Wennersten, R. & Brandt, N. (2007) System Analysis of Greenhouse Gas Abatement on the Municipal Level. Proceedings of Research for Sustainable Development - The Social Challenge with Emphasis on Conditions for Change. September 6-7, 2007, Linköping University, Sweden. Sutter, C. & Parreño, J. C. (2007) Does the current Clean Development Mechanism (CDM) deliver its sustainable development claim? An analysis of officially registered CDM projects. Climatic Change, 84 (1): 75-90. UNFCCC (2009a) CDM Project Database. http://cdm.unfccc.int/Projects/projsearch.html, accessed on March 7th, 2009. UNFCCC (2009b) Graph on Project Cycle for CDM Project Activities. http://cdm.unfccc.int/CommonImages/ProjectCycleSlide, accessed on March 01, 2009. van Laerhoven, F. & Ostrom, E. (2007) Traditions and Trends in the Study of the Commons. International Journal of the Commons, 1 (1): 3-28. World Bank (1999) Report from the International CBNRM Workshop. Washington D.C. May 10-14, 1998. http://www.worldbank.org/wbi/conatrem/. Young, O. (2006) Vertical interplay among scale-dependent environmental and resource regimes. Ecology and Society, 11 (1): 27.

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APPENDICES Figure 1 Levels of stakeholders and so-management

International

National

CoManagement Local

Private

Community

Adapted from WORLD BANK. 1999. Report from the International CBNRM Workshop. Washington D.C. May 10-14, 1998. http://www.worldbank.org/wbi/conatrem/.

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Figure 2 Visualisation of clean development mechanism

Project Activity Cycle

CDM Cycle

Project Activity Development

Major Participants

Project Design Project Owner and Investor

Letter of Approval from DNA1

Letter of Approval from DNA2

Registration

Validation by DoE1

DNA1 of the Developing Country, DNA2 of the Industrialised Country, and DoE1

CDM EB

Project Implementation Monitoring

Verification by DoE2

Approval of CERs

Project Owner (and Investor)

DoE2

CDM EB

Adapted from UNFCCC (2009b) Graph on Project Cycle for CDM Project Activities. http://cdm.unfccc.int/CommonImages/ProjectCycleSlide, accessed on March 01, 2009.

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SUSTAINABILITY IN THE CITY SCALE TO FIGHT GLOBAL WARMING Ayça Tokuç1, Gülden Köktürk2 2

1 Dokuz Eylul University, Dept. of Architecture, Tınaztepe Kampüsü 35160 Buca, İzmir, Türkiye, [email protected] Dokuz Eylul University, Dept. of Electrical and Electronics Engineering, Tınaztepe Kampüsü 35160 Buca, İzmir, Türkiye, [email protected]

ABSTRACT One of the biggest offenders on the fight for global warming is the fossil cities that contribute heavily to greenhouse gas emissions. United Nations forecast that nearly 61% of the world population is expected to live in cities till 2030 (United Nations, 2004), thus making the importance of designing and building cities for sustainability be more evident. But how can a city be sustainable? Alternatives to the fossil city are being researched for a long time. Concepts such as “Solar city”, “Ecological city” and “Sustainable city” have emerged and been experimented on by multinational organizations like by International Energy Agency, Organization for Economic Co-operation and Development (OECD), European Union, as well as national and local governance and conscious inhabitants of cities. Yet a number of organizational and cultural barriers that resist the change to a sustainable city model exist. Some of the ways of implementing sustainable cities are; direct legislation and standards, the provision of incentives and disincentives, corporate capital asset practice, power purchasing and pricing, institutional reform and improved strategic and general building practices, and community action development, industry alliances, information and education as brought forward by International Energy Agency (ISES, 2004). The question on how to proceed to achieve a sustainable city can better be answered by a thorough study of examples. Some of the sample cities give precedence over new technologies while some idealize a modern interpretation of the past. What these cities have targeted for themselves, their principles, what they achieved will be examined in the course of this paper, as well as the ideal of sustainable city. The aim of this paper is to determine principles for betterment of large cities, towards healthier cities in terms of both the inhabitants and the environment. Cities are a hub of activity, transition and living. From the design of the infrastructure to design of the buildings, transportation to industry, there are lots that can be done to make a city better suited to sustainability. Yet questions like “Is renovating a fossil city the way to go?” or “How much can be done to make a present city more sustainable?” or need to be answered. These answers will be searched by selecting and examining sample cities in Turkey, in terms of selected principles for sustainability in a city scale. Then they will also be compared with examples throughout the world. INTRODUCTION Global warming is a problem all over the world. Global warming is a topic in everybody’s field of interest and much researched upon, especially with it becoming visible in the recent years. The role of international and national politics is of course very important. Yet these politics can only come to life with the participation of local governments and conscious citizens. Therefore local governments, which always want their cities and citizens to head towards the better, are becoming more interested in the problems and possible solutions to global warming. Cities are social and public focus points, places for assembly and decision making. They came into human life with agricultural revolution and transition to settled living however the development of cities gained velocity after the industrial revolution. Metropolis came into being and in time the current situation has emerged. The world population increases and in 2050, the world will have 2.5 billion more inhabitants (Mega, 2005). The people living in cities reached 50% of world population in 2008 and according to United Nations forecasts; nearly 61% of the world population is expected to live in cities till 2030 (United Nations, 2004). So it seems that the cities will continue to be centers of thought, activity and human interaction in the future and will play a big role in how humanity shapes itself and its environments. It is inarguable that the way people live now is unsustainable and cities are one of the biggest contributors to climate change and global warming. While some argue that the role of humans in climate change and global warming is related to the use of technology starting with the industrial revolution, a different picture emerges when one looks at human history. Especially since the agricultural revolution, men have always tried to control the environment and lived a lifestyle based on taking what they want from nature, and not regarding the consequences. The advancing technology has only increased the reach and range of mankind thus the extent of control and exploitation on the nature has raised far more than the nature can cope with by itself (Steele, 2005).

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When humans realized the effects they caused on the environment with the global warming becoming visible in the recent times, they decided to pursuit reversing these effects. It is not possible to negate these effects with our current knowledge nevertheless it is possible to change the trend, to decrease the harm being done to the environment and bring men to a more favorable position. One of the most promising developments in this topic is being reached in decreasing the carbon emissions, which is also one of the biggest problems of cities. Cities offer great opportunities as well as great challenges in the climate crisis. What can be done to make a present city more sustainable will be examined through the use of case studies. Some indicators were determined to show sustainable development in this study. Some cities from around the world and from Turkey, where works to decrease the effects of global warming are consistently implemented, are selected and compared in light of the determined indicators. SUSTAINABILITY IN CITIES The concepts of sustainability and sustainable development are on the forefront of strategies developed against global warming. The concept of sustainability has been one of the most emblematic and dubious terms at the turn of the twentieth century (Mega, 2005). The definition of sustainable development, which was first suggested at the 1972 United Nations Conference on the Human Environment, is given by the World Commission on Environment and Development in 1987 as: “Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (World Commission on Environment and Development, 1987). Many studies were started on reaching sustainability of the city in many countries and various concepts were developed. Some of the main concepts that emerged are “solar city”, “ecological city” and “sustainable city”. They are summarized below. Solar city Solar cities, which were developed as an alternative to the fossil cities and fossil lifestyles by International Energy Agency, are mainly cities, where energy is obtained mainly from renewable energy sources such as wind and solar energy. First capacity for opportunities to make the city further away from fossil energy sources at where the city is located is examined. Then suitable measures are selected, the principles of which rely on use of mainly the use of wind turbines and solar panels to decrease carbon emissions. Also improvements in the fields of energy efficiency, sustainable transport options, new urban planning methods or goals, architectural innovation and environmental health besides the use of renewable energy within the system are implemented (ISES, 2004). More recently, cities have proposed and adopted targets for renewable energy shares. Such targets typically take the forms of either a percentage of the electricity consumption of the city government only or a percentage of total electricity consumption in the city. Some targets may specify a share of total energy consumption, not just electricity (sc.ises.org). Some solar cities around the world are Adelaide, Alessandria, Barcelona, Bonn, Boulder, Copenhagen, Daegu, Delhi, Dezhou, Dundee, Dunedin, Eppertshausen, Freiburg, Gelsenkirchen, Greenburgh, Hudson Valley, Korydallos, Linz, London, Napoli, Oxford, Oxfordshire, Sao Paulo, Southampton, The Hague, Tokyo and Toronto. Ecological City Ecological Cities Project is developed by Organisation for Economic Co-operation and Development (OECD) to emphasize the importance of the environment. Its aim is give knowledge about the polluting or damaging effects of the city life on the environment and thus raising public awareness. The main elements regarding eco-cities would be as follows: Eco-cities are sensitive to the environment; they use their resources sustainably and obtain their energy from renewable energy sources. These cities aim changing the lifestyles of their citizens and consumption habits. The transportation system is revised and the density of mass housing is increased while the environmental plant life within eco-city is taken into account. At the same time the old building stock is improved. Industry is placed along the main transportation routes. The energy needs of the eco-city are provided from renewable energy sources, especially from solar panels. Additionally the energy consumption is decreased by use of measures such as building insulation decreasing residential water consumption and the water pollution. Policies regarding encouraging public transportation, spreading the use of bicycles, decreasing

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dependence on cars are implemented. Organizations intended to develop and improve green areas are realized (Uslu, 2009). Cities such as Helsingør, Helsingborg, Tudela and Trondheim can be shown as examples to eco-cities. Besides these, some new cities are planned to be eco-cities from the starting point. Of these cities the most ambitious are Dongtan from China and Masdar from Abu Dhabi. Sustainable City The principles needed to create a balance between development and the environment and to make the concept of sustainable development a reality are proposed on the Agenda 21 Action Plan, which was accepted at the 1992 Rio Earth Summit. In this context, the eighty municipalities that signed the Aalborg Charter after the first conference on European Sustainable Cities and Towns in 1993 have taken the role of taking sustainable cities into life in the European Union. These municipalities are the forerunners of the European Campaign of Sustainable Cities and Towns started in 1994 as well as being the most important starting point of networks and movements, which create cooperation between the local administrations, in the world. Sustainability is described as “a creative, local, balance-seeking process extending into all areas of decisionmaking” in the sustainable cities charter. For this reason conserving the remaining natural resources, encouraging its growth, increasing end-efficiency, and use of renewable energy resources should be given priority. Some environmental principles such as decreasing the greenhouse gas emissions and protecting biodiversity are also determined. Social equity and community participation are seen as being essential to sustainability. Also the need for development of urban sustainability indicators as yardsticks of progress is advocated. The Charter holds values and lifestyles are responsible for the reduction of sustainability, and, hence each city has to find its own individual path towards sustainability (http://ec.europa.eu/environment/urban/pdf/aalborg_charter.pdf, 2009). Aalborg+10 Charter was declared in 2004. At the last Conference in Sevilla, 2007, more than 2500 local governments of over 40 countries have signed the Aalborg+10 Charter with the aim of becoming environmentally conscious and sustainable settlements. Albertslund, Calvia, Barcelona, Ferrara, Dunkirk, Heidelberg, Gdansk, Heidelberg, Graz, Stockholm, Munich, Oslo, Leicester, Veliko, Turnavo, Norwich, The Hague, Tampere cities were rewarded Sustainable Cities awards. Besides these projects, some local governments started using similar concepts and synthesizing the scientific works in their cities. At the same time there exist some projects and networks, which aim to support the local governances, which are willing to take on these concepts. The information and knowledge from the research before is also stored within this context. Some examples such as green cities, slow cities, healthy cities by World Health Organization, car-free cities etc. can be given. INDICATORS OF SUSTAINABILITY There exist many visions and definitions on what sustainability is and how to attain sustainability, thus the scope and boundaries of applications also show many variations. It is possible to take measures in every scale, from international to detailing. Yet different scales, climates and populations require diverse features to prevail, and make it impossible to find common indicators throughout the world. However indicators show where the cities are in the roadmap of sustainability and how much road is taken towards this goal. Benchmarks can be determined with the help of the indicators to look at the improvement over time. Usually answers to the question of “how can a city be more sustainable?” are sought on models of smaller scale experiments. New districts or developments are planned or innovations and improvements are made to existing cities to create more sustainable lifestyles. Selected cities from around the world and are studied within this context of city scale between the national and local scales in this study. Some indicators are developed to compare the cities that were studied in this paper. The three pillars of sustainable development that were accepted in 2002 by the United Nations represent environmental protection, social development and economic development. The main properties in the determination of indicators are being relevant to the three pillars, easy to understand, reliable and easily accessible. The chosen indicators that show what can be done in a city from general to more specific are:

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• • • • • • • • •

Agreements: Involvement in national and international agreements and collaborations mean that the cities contract and give some pledges on the road to becoming more environmentally, socially and economically sustainable. Political commitment: The policies of the local communities apart from governmental policies show their commitment to environmental, Social, economic sustainability Effective transport: An effective transport system is a necessary part of modern life, industry and commerce. To strike the right balance between the ability of transport to serve economic development and being ecologically sound is important. Awareness schemes: schemes targeting consumers aim to rise public consciousness and schemes such as green guides can help the citizens participate in the energy awareness serve socially. Measurement of energy: can show a positive example to the community by measuring energy in public buildings, incentives to good practices Sustainability tools: Use of analytical tools can be used to create benchmarks and evaluate the development towards sustainability Holistic projects: show and rise commitment of the citizens in local levels and create a conscious market for sustainability, district energy Environmental effects: Striving towards better air quality, land use, wildlife and habitat while cutting harmful emissions and using renewable energy is possible and important. Natural resources: use of waste, water, forestry like sorting of waste, weighing waste from residential and industrial processes

CASE STUDIES While many cities aim to reach sustainability, the most advanced examples are found in Europe. This is mainly because of European Union policies and economy. The priority area for sustainability in a European city usually are environmentally related like to decrease the CO2 emissions while the priority area for another city in a developing country could be health related like the avoidance of malaria. Still the local governments in the developing countries also show great interest in the sustainability concept as well as local governments from the developed countries. A city from each continent is aimed in the selection of cities although from Turkey one city is not focused on yet three cities with different prevailing characteristics are studied. Selected cities from different continents of the world are; Adelaide from Australia, Barcelona from Europe, Tokyo from Asia, Cape Town from Africa and San Francisco from America are studied in this work. Cities of Diyarbakır, Izmir and Bursa are studied from Turkey. The results are given respectively in Tables 1-8. Table 1. Adelaide, Australia (population: 27,510 http://www.adelaidecitycouncil.com, 2009) Internation Adelaide, established in 1836, led the world in environmental planning innovation. Since then the community has maintained an active interest in the protection, enhancement and al agreement enrichment of the urban environment. The Adelaide Green City project aims to align Adelaide's existing clean and green reputation s with actions supporting sustainability to brand Adelaide as an internationally acclaimed green city - recognized for its environmental and sustainability initiatives. In 2003 Bio City was awarded status as a University of Adelaide Research Centre. Ministerial Council on Energy Communiqué, 2004 A key priority is to be a learning city. Adelaide has joined the Cities for Climate Protection Program. The program was configurated by the International Council for Local Environmental Initiatives and the Australian Greenhouse Office Political The Environment Protection and Biodiversity Conservation Act 1999. commitme The Office of Sustainability, located in the Department for Environment and Heritage, was nt established in July 2002 Since 2003, assessment of submissions to Council for Building Rules Approval is applicable. Organic Federation of Australia was founded in October 2003. In 2005, a social sustainability agreement to support action to address social needs in the city and to build on the cooperative approach already in place. A feed-in law implemented would reduce the payback period for PV systems to an average of 10 years, massively stimulating demand for solar PV systems and greatly increasing the numbers of businesses and jobs in this sector.

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Effective transport Awareness schemes Measurem ent of energy Sustainabili ty tools: Holistic projects

Environme ntal effects

Natural resources

City of Adelaide Environmental Management Plan: Local Agenda , 1997 City of Adelaide Sustainable Energy and Greenhouse Action Plan, City Strategy Division,, 2000 Local Greenhouse Action: South Australian Councils Participating in Cities for Climate Protection Campaign. Limited driving in the city centre, Bicycle friendly transport systems and trails, Peak hours or routes for delivery trucks Energy Star office equipment. Electric cars are strongly promoted as particularly suited to journeys into the City with its many car parks, and electric charging points are a prominent feature of these, offering low cost recharging for users of electric cars or scooters. Australian Greenhouse Office, Cities for Climate Protection Australia, National Greenhouse Strategy, Office of Sustainability. Australian Building Greenhouse Rating for energy and greenhouse. The National Australian Built Environment Rating System for water Aim of The Adelaide Building Tune Ups Project was to assist building owners to identify, implement and measure improved energy and water efficiency The Christie Walk project in south-west Adelaide is constructed for the ‘eco city’ vision (it’s close to public transport and has walking proximity to all major urban facilities, including the Central Market, which greatly reduce transport energy). Aldinga Arts Eco-Village is now being built on previously farmed 33 hectares within a rural township area, 40 minutes from Adelaide. Apartment buildings have been refurbished and have delivered significant reductions in both energy use and greenhouse gas emissions. An innovative “active chilled beam” air-conditioning system that consumes at least 30% less energy than traditional systems, A new lighting system that has reduced energy consumption, Managed lighting system control Energy efficient cold cathode exit lights and emergency lighting, Energy Star office equipment. According to Energy SA, a substantial 850 to 2700 new jobs could be created in South Australia by a major program of making buildings more energy efficient. Wind energy, Solar Hot Water, Photovoltaic Cell Production, The Salisbury in metropolitan Adelaide has developed an extensive network of wetlands covering 250 hectares in total. the Parklands, with 1700 acres, are one of the largest urban parks anywhere in the world More than 45 farmers and 20 processors in the State are now producing some vegetables and bio-dynamic beef on more than 3M hectares of land. The irrigation community McLaren Vale worked closely with the Onkaparinga Catchment Water Board to determine an equitable method of re-allocating groundwater, the main source of irrigation water in the area. The Board was responsible for determining appropriate levels of water use, and to reduce existing allocations to be no higher than the sustainable yields. A new water storage concept was developed by Waterfall View Pty Ltd The construction is highly mobile and allows for location in inaccessible places where traditional tank construction is not feasible. South Adelaide urban forest biodiversity program (started at 2001)

Table 2. Barcelona, Spain (population: 1,505,581 in 1997 (http://www.bcn.es/english/ihome.htm, 2009) Agreements Signed the Amsterdam Declaration in 1993. Signed the Heidelberg Agreement in 1994 through which the city undertook to reduce its CO2 emissions by 20% over the period to 2005 in relation to 1987 levels. Solar city Signed the Aalborg Charter and is a sustainable city. Is a member of Energie-Cités, received funding and technical assistance from the French Agency for Environment and Energy Management, was also president of the EnergieCités association from 1998 to 2000. Political Barcelona Solar Ordinance in 2000 required that new buildings and those undergoing commitment major refurbishment meet at least 60% of their demand with solar thermal collectors, and required that 100% of energy to heat swimming pools be generated by solar hot water.

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Effective transport Awareness schemes

Measurement of energy Sustainability tools: Holistic projects

Environmenta l effects

Natural resources

Energy Improvement Plan 2002-2010 includes promotion of energy efficiency, use of renewable energies, information to the citizens, and cooperation with other local energy actors. Agenda 21. Mobility web page for public transport, pedestrian ways, bicycle ways and car sharing. Biking- bicycle sharing from more than 400 stations and 6.000 bikes around the city, serves nearly 9% of the citizens Began to put in place recharging stations for pilot electro-car infrastructure in 2009. Recycling bag for everyone campaign in 2006 Reduction of paper consumption in 2005 Replacing street-lighting lamps by low-consumption ones. Replacing low-efficiency bulbs and luminaries in the main Council buildings. Incorporating sustainability criteria into municipal dwelling developments such as bioclimatic, solar hot sanitary water and energy efficiency. Placing solar collectors and PV panels in municipal buildings. Introducing low-polluting fuels into its bus fleet. Handling energy supply and carrying out saving proposals in municipal buildings. Energy Observatory Barcelona Energy Agency, 2002 The Civic Table on Energy 30 indicators create a Municipal System of Sustainability Indicators European Eco-Management and Audit Scheme The solar/wind/efficient demo caravan The Sustainable City Resources Centre Solar Thermal Water Systems in all the existing municipal sports facilities. A photovoltaic solar roof at the two main buildings of the City Hall, EC Thermie Project 1,000 m2, 100 kW The largest urban solar structure in Europe in the Forum Park with 10.500 m2 surface area and 440 tons of CO2 equivalent reduction in annual emissions The largest solar panel structure for industrial use in Spain, it has also won Carles Ferrer Salat Award. Graveyard with solar panels on top of mausoleums. 3.4 tones of emissions per capita Barcelona City Council has a Plan for Energy Improvement in Barcelona which is designed to increase the proportion of energy derived from non-polluting renewable sources, with a minimum goal of 12% of total consumption coming from renewable sources, as stipulated in European Union guidelines. The use of renewable energy (especially solar energy), reduce the use of non-renewable energy sources and lower the emissions produced by energy consumption in order to meet Barcelona City Council's international protection commitments. Barcelona will reach 100.000 m2 of solar collectors by 2010. This will imply that some 15,000 metric tons of CO2 equivalent emissions could be avoided every year. His integrated plan includes a quantification of the energy used and emissions produced in the city and provide scope for municipal action to promote the solar programs and other environmentally sustainable initiatives that reduce air pollution and the consumption of fossil fuels in the process. Renewable energy for Europe Campaign take off award to promote renewable energies Climatestar award by Klimabündnis awards after Barcelona’s commitment to the environmental management of energy and its local activities in favor of climate protection Environmental and energy efficiency criteria are applied to urban housing developments. These are included in the granting of construction licenses, with tax credits for projects that apply these criteria. Introduction of environmental clauses in public contracts Biogas vaporization from organic fraction of wastes: Garraf Landfill and 3 Methanisation Plants (75,000 ton each). Acquire daily saving habits for energy and other natural resources as well as desirable shopping and consumption practices. Responsible timber procurement (Planning to import water by ship from Marseilles)

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Table 3. Tokyo, Japan (population: 35,200,000 http://www.metro.tokyo.jp/ENGLISH, 2009) Agreements Solar City Joined C40 in 2006. The Asian Network of Major Cities 21 Political Solar Policy initiative of Tokyo MetropolitanGovernment.2005 commitment In 2005, revised the Tokyo Metropolitan Environmental Security Ordinance formulated Renewable Energy Strategy in 2006 and Tokyo Climate Strategy in 2007. On 2008, the Tokyo Environmental Public Service Corporation was designated as the Tokyo Metropolitan Center for Climate Change Actions In order to reduce greenhouse gas (GHG) emissions for all of Tokyo by 25% by 2020 as set forth in the Environmental Master Plan that was enacted in 2008 Effective Deploying sustainable traffic measures indicated by the Environmental Master Plan that transport was enacted in 2008, promoting the use of low-environmental load, high-efficiency vehicles. Promoting the use of low-pollution, low-fuel consumption vehicles; hybrids and other lowpollution, low-fuel consumption vehicles on a large scale. facilitating traffic flow through the use of computer-based route guidance systems, road pricing to encourage the acceptance of public transit, Vehicle Emissions Reduction Program, Promoting use of public transportation and Eco-Driving, Reviewing of car usage-shifting away from excessive dependence on cars Awareness Setting air-conditioning temperatures in the summer to 28 and wearing of light clothing schemes recommended Promoting the Incandescent Lamp Replacement Campaign Appealing to businesses for change in conduct, such as cutting hours for neon signs and billboards Promoting energy conservation measures in buildings and high-efficiency water heaters are promoted Kids ISO14000 Program as a visiting lecture and also lessons for elementary school teachers “Action 7”: a set of energy conservation actions that can be easily undertaken right now by anyone; a check sheet of energy conservation actions that can be easily undertaken right now for students in the third year of elementary school and above. Measurement Energy Efficiency labeling system for home appliances of energy Sustainability Since 1981, has carried out Environmental Assessments at the project implementation tools stage based on the Tokyo Metropolitan Environmental Impact Assessment Ordinance, it also was revised in July 2002 to introduce Environmental Assessments at the project planning stage for plans drawn up by TMG. Condominium advertisement must state environmental performance (Green Labeling System) Holistic Umi no Mori: Creating a Sea Forest by planting trees on a landfill in Tokyo Bay, to become projects the origin of a breeze pathway from the waterfront to the city center District heating and cooling the Central Breakwater-Waste Disposal Landfill Site power generation facility the Super-Eco Town biogas power generation facility A rooftop garden to the Assembly building was added and solar power generation facilities installed. Environmenta Expanding renewable energy use to about 20 % of Tokyo’s energy consumption by 2020. l effects a target for reducing carbon dioxide emissions by 25% from the level of emissions in 2000 by 2020 in the TMG Environmental Master Plan, as formulated in 2008, Since 2001 Green planning program: Mandatory greening for buildings newly-constructed or undergoing expansion/renovation “Green Labeling System of Condominiums,” requires sellers of condominiums to express the building’s environmental performance in their advertising, so that purchasers are aware of this performance. Since 2002, “Tokyo CO2 Emission Reduction Program” to business institutions that consume a large amount of energy so the Program was strengthened in 2005.

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Natural resources

A target of installing solar power generations and solar heating systems to 40,000 households in 2009 and 2010 aiming 1 million kW solar energy by 2016 is introduced. The installations will be subsidized in exchange for the green credit that solar energy creates and the payback time shortened to 10 years In 2005, four areas in Tokyo were designated as “Heat Island Countermeasure Promotion Areas”. Introducing heat island countermeasures—including grassing schoolyards, resurfacing with water-retaining pavements, and greening rooftops and walls—are being intensively promoted in these areas. 2007 prohibition of release of fluorocarbons use as a cooling medium in freezers and airconditioners and required those concerned to recover and destroy the fluorocarbons at the time of disposal or maintenance. 10–Year project for Green Tokyo” Tokyo green building plan; Mandatory examination for introducing renewable energy and Obligation of minimum standards of energy saving performance. The Super Eco-Town project to achieve more efficient disposal of industrial waste within Tokyo and encourage the development of environment-related industries. to establish waste treatment and recycling facilities in the city’s waterfront area. Thus far, eight facilities have started their operation. A target to reduce the final disposal amount of waste to 2010 (a 35% reduction from fiscal 2004).

Table 4. Cape Town, South Africa (population: 3,200,000 http://www.capetown.gov.za, 2009) Agreement As a party to the United Nations Framework Convention on Climate Change, South Africa has to s fulfil certain obligations in terms of adaptation (2004). In 2000, a Local Agenda 21 Partnership was established between Cape Town and the City of Aachen in Germany. A variety of projects have been implemented through the partnership, such as Bicycle Recycle, 21 Households, Mural Global, Aachen Greening Award and more. Political Cape Metropolitan Council accepted in 1997 the policy statement. commitme Municipal Systems Act in Cape Town has certain implications and obligations for environmental management by local government, which must be accommodated and reflected in the nt institutional framework and policies of the local government authority (2000). Integrated Metropolitan Environmental Policy-first environmental policy for Cape Town, 2003 White Paper on Renewable Energy 2003 Integrated Household Clean Energy Strategy (2003). In response to the National Water Act, the Department of Water Affairs and Forestry has developed a draft National Water Resource Strategy (2004) The Adaptation Policy Framework developed by the United Nations Development Programme for the City of Cape Town (2005). Air Quality Management Plan (2005) A Western Cape Climate Change Response Strategy and Action Plan was developed in the Western Cape Provincial Department of Environmental Affairs and Development Planning, 2006. Integrated Approach to the Developmental Challenges of Cape Town should be engaged by Intergovernmental Integrated Development Task Team for the Cape Town Functional Region, 2006. Energy and Climate Change Strategy was adopted by the City of Cape Town in early 2007. Effective Transport Planning and Vehicle Emission Strategy, 1997 transport The Non Motorised Transport Improvements project, 2006. Awarenes The sustainable energy, environment and development programme is starded in 2007. s schemes Coastal Zone Management Strategy, Environmental Education, Training and Awareness Strategy Framework for Adaptation to Climate Change in the City of Cape Town requires that, a City Adaptation Plan of Action for the City of Cape Town will be developed and the necessary resources mobilised for its implementation. the Cape Town energy strategy focuses on poverty allevation, renewable energy, climate change and energy efficiency. In the scope of cleaner development mechanism project, low costs houses have been retrofitted with renewable energy-based solar water heaters, compact fluorescent light bulbs and insulated ceilings as energy efficiency measures. Koeberg’s Nuclear Waste Disposal Plan

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Measurem ent of energy Sustainabil ity tools: Holistic projects

Environme ntal effects

Natural resources

None. None. Sustainable building project by Tsoga Environmental Education Centre , 2005. The Kuyasa Low Cost Housing retrofit project Bicycle Recycle,2002. Blaauwberg Conservation Area Critical Ecosystem Partnership Fund Project, 2005. Reuse of Treated Effluent project started at 2004. Kuyasa: Thermal efficiency upgrade in low-income housing, 2007. Cape Khayelitsha Air Pollution Strategy, 2007. City of Cape Town’s Air Quality Monitoring Network–the International Council for Local Environmental Initiatives Tier 1 project, 2006. Integrated Energy Planning (2050), National Integrated Resource Planning, Integrated Strategic Electricity Planning Eskom Demand Side Management has developed an aggressive approach to mitigate the blackouts and load shedding (compact fluorescent lamps being distributed, geyser blankets were installed, a gas exchange programme was established, an extensive electricity conservation drive involving widespread advertising of energy saving tips an incentive scheme for backup diesel generators. State of energy report for the city of cape town by the palmer development group, 2007. is world famous for its biodiversity. The Cape Floristic Kingdom, of which Cape Town is a part, is the most species diverse ecosystem in the world. Efforts are underway in all City nature reserves to clear alien invasive species. Approximately 14% of City land under formal conservation has been cleared. City of Cape Town biodiversity report constructed by the Local Action for Biodiversity under the auspices of the International Council for Local Environmental Initiatives, 2008. The City of Cape Town’s sustainable Water Conservation Strategy is developed in 2006. The Breede and Berg water management areas, 2003. Mfuleni Integrated Water Leaks Repair Project, 2006.

Table 5. San Francisco, USA (population: 808,976 http://www.sfenvironment.org, 2009) Agreements Green City Urban Environmental Accords Political In 1996, published the San Francisco Sustainability Plan, which was created in six months commitment through a process that involved 400 citizens, business people, nonprofits, and public agencies. The Sustainability Plan became policy of the City and County of San Francisco in 1997. Developed the Sustainability Plan in 1996 to set broad goals across several key issue areas. In 2001, San Francisco voters approved a landmark $100 million bond initiative that paid for solar panels, energy efficiency and wind turbines for public facilities. Clean Construction Ordinance in 2007 aims to reduce air pollution from public construction projects. Healthy Air and Smog Prevention Ordinance requires city departments to purchase or lease passenger vehicles and light duty trucks that either rate as ultra-low emission vehicle or zero emission vehicles with the goal of being a zero emissions transit fleet by the year 2020. SForward is environmental agenda for 2008 and the coming years, including plans for a carbon neutral city government. Adopted Climate Action Plan committing the city to reducing greenhouse gas emissions by 20% below 1990 levels by 2012. 2008, San Francisco authorized a 10-year solar incentive program for city residents and business. Woodsmoke Ordinance prohibits the installation or replacement of wood burning appliances that are not pellet-fueled wood heaters, certified wood appliances, dedicated gas log fireplaces or gas stoves.

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Effective transport

Awareness schemes

Measurement of energy

Sustainability tools: Holistic projects

Environmenta l effects

Natural resources

San Francisco Bicycle Coalition has more than 10.000 members and promotes bicycle for everyday transportation. The new bike plan calls for more bike lanes and bike racks and a ten percent increase in cycling. Spare the Air is a regional campaign to promote reduced vehicle trips on days when hazardous air quality is anticipated. Improving air quality by promoting alternative fuel transportation projects in truck fleets Approximately 120 compressed natural gas taxis are operating in the city, reducing tailpipe emissions. Over 15% City and County of San Francisco employees take advantage of commuter benefits, using pre-tax dollars to purchase transportation passes. in 2007 plastic bags at major grocery stores are banned. in 2008 implemented solar incentive program City Hall’s front lawn to be plowed into a summer-long vegetable garden installation. San Francisco Green Map introduces the area's many environmental education resources by creating a graphic portrait of the region's green reality, and provides a single information resource for the myriad local environmental initiatives, educational programs, issues, services, and institutions in the City San Francisco green schoolyards project aim to plant 2012 trees by 2012. Residential customers are eligible for cash rebates when they replace their high-flow toilets with new low-flow models with a flush volume of less than 3.5 gallons. by signing up for a Free Water Wise House Call, a technician will visit your business to provide commercial water usage evaluation customized to your industry and property Energy Watch Program is a partnership to provide small businesses and multi-family units with energy saving opportunities including site audits and energy-efficient equipment at lowered costs Peak Energy Program in 2005 reduced peak demand by over 12 megawatts by installing a range of energy efficiency measures in hundreds of businesses and thousands of homes. Power Savers Program - reduced the demand for electricity by 6 megawatts by installing energy-efficient lighting in 4,000 small businesses, U.S. Green Building Council LEED Criteria (Leadership in Energy and Environmental Design) San Francisco Healthy Development Measurement Tool old ship recycled/ timber reused to make the new developments of Hunters Point and Treasure Island a model of sustainability, building to LEED Gold standards, and also aims to provide 100 percent renewable power Bayview Hunters Point residents were trained to install solar panels and worked with a solar firm to install 40 solar panels on homes in their neighborhood. Thousands of homes and businesses in Bayview Hunters Point and Potrero Hill were given combinations of weatherization, energy retrofits, and energy efficiency devices and appliances to reduce reliance on the nearby fossil-fuel burning power plant. Outreach and education aimed at low-income residents about energy conservation and renewable energy. The Municipal Green Building Pilot Project and Ordinance, adopted in 2004, set the LEED Silver Standard as the basis for all new municipal construction or major renovation. In 2003, San Francisco adopted the Precautionary Principle. A new precautionary purchasing ordinance in 2005 provides a framework for replacing a wide range of toxic cleaning products with less harmful alternatives, and completed a prioritization of city purchasing with full public input Completed "green" specifications for cleaning products, office paper, tissues and paper towels, office supplies, and lamps Installed PV Systems are a total capacity of 5.9 MW and annual Energy produced is 9,625 MWh. The city has committed to develop at least 30 MW of photovoltaics by 2017 to meet its electricity load needs. Pilot projects in tidal current and wave energy in process The Integrated Pest Management Program has eliminated use of the most dangerous substances and reduced overall pesticide and herbicide use by more than 67 percent since 1996. In place of toxic chemicals, hungry goats and corn meal mulch prevent weeds

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from taking over city parks and watersheds, and giant heaters kill termite colonies deep inside of building walls. Beaches and Bay bacteria Monitoring is conducted regularly at 14 locations. Sustainable Foods Initiative to increase the amount of fresh, local and organic food available to City residents and departments and Local Food Network with about 30 to 40 percent of the products grown or sourced locally Recycling and Composting serve nearly 150,000 residences and over 2,000 businesses. San Francisco diverted 67 percent of San Francisco waste from landfill in 2003. The city aims to achieve 75 percent waste diversion by 2010 and zero waste by 2020 Table 6. Diyarbakır, Turkey (population: 1.471.000 http://www.diyarbakir-bld.gov.tr, 2009) Agreements Affiliation to regional environmental center Turkey, 2004 Affiliation to zero carbon city project for regional environmental center Turkey, 2007. Affiliation to association of municipalities for Turkey, Diyarbakır city government Member of Southeastern Anatolian Project (SAP)-International water resources association, SAP-World water council, SAP-Global water partnership, SAP-International hydraulic energy association, SAP-International water management institute Political Diyarbakır Municipality Strategic Plan, 2006 commitment Sustainable development program project packet handled collectively with SAP region United Regions Development Program, 1997. Diyarbakır waste water and storm water drainage collection system project is continued by bilateral agreement with the framework between German Federal Republic and Diyarbakır Municipality. Effective Working out of transport main plan project was completed. transport Bicycle road projects were added to the main transportation plan. Awareness Town forest and peace forest projects. schemes Return to villages project, 2006. Measurement None. of energy Sustainability None. tools: Holistic Implementation and education park of Diyarbakır sun house. projects Investigaton project of now and the future climate conditions for SAP region. Wild life project for SAP region. Eco vineyards for Dicle basin was completed (Fiskaya region, Silvan bridge region, On Gözlü bridge, University recreation area). Sun energy utilization project in SAP region. SAP biological diversitiy investigation project. SAP environmental investigation project. Multipurpose plant growing (arboratum) project in SAP region. Proje packet for SAP forestry. SAP region solid waste management project. Environmenta Air pollution measurement station founding project, solid waste elimination project, l effects prevention from pollution of Dicle river intended project, rural development projects, Determination and design project of the urban area for redevelopment is sustained. Enhancement project of existing air quality for increasing healty level in the city of Diyarbakır is started to applicate. Until the end of 2007, the determination of industrial facilities which affects negatively the environment in the city, the construction of its inventory will implemented. According to the classification of creating pollution risks precautions will defined. Natural Sustainable product production project is continued (orcharding development and orchard resources facility, vinegrowing development project, Diyarbakır watermelon growing project, organic vegetable manufacturing project, olives development project, Antep peanut fertilization project, development and education project of agriculture). Within this project, agricultural manufacturing resources are used to produce products without any harmful effects to human health while the preserving natural equilibrium. Inventory of florae and faunae resources project. Examination identification of pollution in the natural resources project.

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Determination of the pollutants project. Table 7.Izmir, Turkey (population: 3.256.536 http://www.izmir.bel.tr) Agreements Affiliation to regional environmental center Turkey in 2004 Affiliation to zero carbon city project of regional environmental center Turkey in 2007. Affiliation to municipalities association of Turkey Affiliation to Healthy cities project in 2008. Affiliation to Association of Aegean Municipalities Political Strategic plan of Izmir Municipality in 2006, where sustainability of the city concept is commitment examined Congress of Local and Regional Authorities of Europe Turkish committee representative in 1994. One of the pilot regions in the Twinning project with German and Turkish Ministries of Environment in the area of noise management and capacity building in 2006. Effective Light rail system project is continued. transport Improvement of signalization system, More pedestrian and bicycle roads. Sea passenger transportation with ferries and car ferry. Awareness Water conservation campaign in 2007 schemes Separate collection of package papers in the source at pilot areas of Konak, Karşıyaka and Bornova districts in 2004 Waste oil recovery facilities in 2004. Since 2008 waste oil collection and recovery companies, started collection of waste frying vegetal oils from the residential and commercial buildings in selected pilot areas. Measurement None of energy Sustainability Indicators of Healthy Cities Project tools Holistic Determination of air pollution caused by motorway traffic in the city center. projects Determination of the levels, sources and effects on health of organic and inorganic pollutants in the industry zones of Izmir and air quality management plan is developed. Sasalı natural life park in 2008. Homeros valley natural park development in 2008. Reacquisition of Gediz Basin and Küçük Menderes Basin projects are continued. Biogas generation from Harmandalı waste storage area and setting up a 4 MW Electricity Plant. Environmenta Air pollution measurement stations are set up. l effects Noise map is prepared and noise action plan is developed. Has the third most potential for wind energy with 47,90MW established power and 312,8 MW more to licensed and to be operated within 2 years. Has the most potential for geothermal resources in Europe and seventh in the world. The established geothermal district heating system is one of the biggest of its kind in the world, and grows yearly. Projects on greenhouse heating and power generation from geothermal are starting in 2009. Has also high solar energy potential with 1.680 kWh/m²year and 2.816 hours of sunshine annually. Solar hot water heaters are in abundance but no ordinance or governmental body controls them. Production of biodiesel fuel project has started. Redevelopment project of Kadifekale landslide region is prepared. Redevelopment projects of Karşıyaka-Yalı and Narlıdere districts are being prepared. The environmental protection areas in the city are: İzmir Bird Paradise, Foça Special Environmental Protection region, İzmir Çamaltı Saltworks, Homa Dalyanı Marsh and Çakalburnu fishery. 444 different species live in the bay KültürPark Natural 24% of agricultural land was set for organic agriculture. resources Bay water quality is watched and protected by 6 water treatment facilities. Waste boat at bay.

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Has 23 beaches, which were awarded by blue flag in 2007. Organic agriculture projects are started at water marshes. Solid waste inventory and network is generated. Residential waste transfer stations will be built at new municipalities in 2008. Generation of new waste storage facilities. New facilities are being built according to the standards of European Union on Solid Waste Management. Recycling and collection of package papers in the source . Water treatment facilities at Çiğli (2000), Güneybatı Narlıdere (2002), Havza Menderes (2005), Foça (2004), Bağarası and Kozbeyli Foça (2004), and wastewater facilities at Atatürk, Aliağa, Kemalpaşa, Izmir Tekeli organized industrial regions, Menemen Deri free zone and Aegean Free Zone are opened. Solid wastes are eliminated at Harmandalı regular waste storage facility, Uzundere and Menemen compost facilities. Excavation soil, construction and demolition wastes, batteries and accumulators, ship wastes and wastes caused by ship dismantling are eliminated at different facilities. Table 8. Bursa, Turkey (population: (2,240,000 http://www.bursa-bld.gov.tr, 2009) Agreements Healthy City Eurovelo European Bicycle Ways Web European Bicycle Friendly Cities Web Political 2009-2014 Strategic Plan commitment 1998-2002 “City of Bursa Health Improvement Plan” with a five year implementation plan. Local Agenda 21 Effective City traffic management project with central signalization system in 2007. transport Strengthening of public transportation with newly built light rail system and integration with other modes of public transportation. New roads to avoid transit traffic to other cities, which used to pass inside the city till 1998 A bicycle municipal force of six people. A bicycle cleaning force of twenty five people. Incentives to municipality personnel coming to work by bicycle. 600 bicycles were awarded to the most successful elementary students as a result of “Who is the most diligent” competition. The new residential development areas are planned with full bicycle road system and being implemented since 2008. The cable car from Uludağ Mountain will be lengthened to the city center. Awareness Educational programs on health, youth issues and addictive substances. schemes Waste Batteries are not Waste Campaign in 2006. Prevention of Car Parking on Bicycle Roads Campaign in 2007. Residential Waste Management for a Sustainable Environment Campaign on Mudanya district to inform the public on the effects of residential waste on the environment. 10,000 elementary school students of 12 pilot schools in Yıldırım district are educated on the topics of environment and water conservation in the scope of Participatory Education for a Sustainable Environment Project in 2009. Measurement None of energy Sustainability Indicators of Healthy Cities Project tools: Holistic Nilüfer Valley; a recreational valley, which was created after rehabilitation of 5,500 km of projects riverbed, and reen zone around to isolate from noise and air pollution. 306 hectares of Merinos Park in 2008. Green redevelopment of the historic city center. Nilüfer bazaar of organic products is a meeting place of certified producers and consumers. Betterment of low quality regions inside Osmangazi municipality project. Environmenta Noise map of Bursa Nilüfer Municipality is finished. Determination of noise pollution in the l effects city and taking precautions by the end of 2009 is planned. Measurement, monitoring and data gathering for environmental and electromagnetic pollution project.

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Natural resources

Since 1996, sulfur oxide and particle matter is being measured at twelve points in the city with the “Air Pollution Measurement Network Project”. The results are announced to the public, the air pollution control unit takes precautions systematically, and factories are regularly tested with chimney smoke test equipments. Determination and taking precaution of air pollution on ten more streets by the end of 2009 is planned. New criteria were introduced to the quality of coal. Electricity generation of 1,4 MW/hour is planned from methane gas at the waste storage sites. The 1/5000 scaled development plans are reregulated, primarily with regard to healthy city parameters, in connection with the city information network. Increasing green areas with new green areas, squares and recreation. Creation of new sport areas. Rehabilitation of existing park areas. Waste water treatment plant to prevent pollution of the Nilüfer stream in 2006. Rehabilitation of discharge canals and side streams connected to the Nilüfer stream. Deep discharge works for beach cleaning. Since 1995 a project dealing with waste separation at the source and recycling is carried out. The effective area of the project will be broadened. Project to increase recycled waste by 25% till the end of 2009. The city dumping ground, which was in service since 1960, is improved and problems of methane emission and dirty water leakage are solved. Decreasing water leakage from 67% to 30% in four years by changing the existing water infrastructure. Management of water resources with “Blue Nilüfer Action Plan”. Research and implementation project on disposal of medical waste in 2009

CONCLUSIONS The countries and cities head for creating more livable and sustainable life nowadays because of different reasons; like unhealthy conditions or the problem of global warming. When the Tables 1-8, which show the state of various cities around the world, are examined; it is seen that the cities outside of Turkey have signed international agreements specifically dealing with the concept of sustainability, that have a support mechanism with specific goals and action plans. Yet the cities inside Turkey continue their studies with local partnerships. These show that the politic outlook to the sustainability concept is only locally based. Some fundamental concepts are tackled to create livable cities at the cities, which are not from Turkey. These concepts include determination of emissions, effective use of energy resources, increasing the use of renewable energy sources, raising public consciousness on energy saving, minimizing environmental damages, decreasing CO2 emissions, making inventories of natural resources and habitats, protection of natural resources, creation of more green spaces within the city, betterment of old city texture and infrastructure, incentives and regulations for new residential areas, protection of clean water sources, and decreasing pollution and emissions from traffic. Plans and projects regarding these essential subjects are made and implemented in these cities. Though when the selected cities in Turkey are examined, projects regarding the aforementioned topics are seen in local scale. Especially municipality of İzmir city continues its works effectively. The municipalities of the examined cities in Turkey have determined their strategic plans till 2020 and started to implement their projects in this direction. Especially cities with abundant renewable energy sources pursue extensive projects. Yet bigger impact and wider spread of these projects would only be possible with help from national regulations and policies on energy. The municipalities that were examined implement projects mainly on recycling and healthy storage of waste, protection of clean water basins, increasing ecologic agriculture, increasing green areas, establishment of natural parks, decreasing squatters with new residential areas. These projects show that the local municipalities in Turkey also have great interest in the topic and have various projects even if they are small and local. Thus developing countries, like Turkey, also give importance to the concepts of sustainability and sustainable development. REFERENCES ISES- International Solar Energy Society. 2004. Solar Cities-Good Practice Guide. Mega, V. 2005. Sustainable Development, Energy and the City. New York:Springer Science+Business.

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Nabara, J., Yamashita, N., and Iida, T. 2008. Solar Policy initiative of Tokyo Metropolitan Government (TMG). In 3rd Solar Cities Congress. Adelaide Steele, J. 2005. Ecological Architecture: A Critical History. Thames & Hudson. The World Commission on Environment and Development Our Common Future: The World Commission on Environment and Development, 1987. United Nations, 2004, World urbanization prospects: the 2003 revision, UN Department of Economic and Social Affairs, New York. Uslu, A. 2009. Ideas of Sustainable green cities and, examples and lessons for Turkey. In proceedings of the XXIst Life and the Environment Congress. Bursa: Chamber of Architects.

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POLLUTION AND PEACE NEGOTIATIONS WITH MOTHER EARTH: WHOSE RESPONSIBILITY? Mahmoud Huleihil1, Huriya Huleihil2 1

Academic Institute for training Arab teachers – AITAT Beit Berl College, Doar Beit Berl, 44905, Tel. 09-7476333, Fax. 09-7454104, and The Sami Shamoon College of Engineering, Mechanical Engineering Department, BeerSheva, Israel 2

Kindergarten Alhuzayyel A – Rahat, South Israel

ABSTRACT Natural disasters hit our planet day after day, while humans, as we all watch and observe, are helpless, and it seems there is nothing to do in order to stop these disasters. In this article we aim to highlight the reasons and causes of such disasters, and to suggest some activities that might reduce the destruction caused by the disasters or as we might call them, the aggressive response of nature against the harmful activities of humans. Humans pollute their environment due to their activities towards supplying their needs from energy and food, mostly based on burning fuels and other energy sources. The greedy actions of humans harm our environment, which angrily responds to stop these actions. Such a situation should more than hint to humans to check their moves and actions; otherwise humanity might be expelled from earth. Humans should be more sensitive to the "pain" of our planet. The question is: whose responsibility to do some actions and "negotiate with mother earth". In this article we suggest different activities that might increase knowledge and awareness and reduce the harm to our neighbourhood. Examples are given from Arab schools in the south of Israel. I. INTRODUCTION In this study we are concerned about the level of knowledge and awareness (locally) in the Arab society in Israel, about global warming and about developing activities to improve the situation. First we review some basic terms and phenomena about global warming, environmental changes and greenhouse effect and gases and its harmful reaction to human health. The Earth naturally absorbs and reflects incoming solar radiation and emits longer wavelength terrestrial (thermal) radiation back into space. On average, the absorbed solar radiation is balanced by the outgoing terrestrial radiation emitted to space. A portion of this terrestrial radiation, though, is itself absorbed by gases in the atmosphere (Gillenwater 1999-200). The energy from this absorbed terrestrial radiation warms the earth's surface and atmosphere, creating what is known the "natural greenhouse effect." Without the natural heat-trapping properties of these atmospheric gases, the average surface temperature of the Earth would be o about 33 C lower (Gillenwater 1999-200). Human activities are changing the atmosphere concentrations and distributions of greenhouse gases and aerosols (Gillenwater 1999-200). This activity will continue to increase. As world population rises, human-induced environmental pressures mount. By some measures, one of the most pressing environmental issues is global climate change related to rising atmospheric concentrations of CO2 and other greenhouse gases (Eshel et. al. 2006). Scientists know that carbon dioxide is warming the atmosphere, which in turn is causing sea level to rise, and that the CO2 absorbed by the oceans is acidifying the water (Socolow, 2005). The concentration of carbon dioxide since pre-industrial times, atmospheric CO2 concentrations have increased from about 280 parts per million (ppm) to over 380 (ppm) (Socolow 2005, Wang et. al. 2007). The rate of change climbs about two molecules every year ((Socolow, 2005). The case for attributing the recent global warming to human activities rests on the following undisputed scientific facts (Wang et. al. 2007):

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Carbon dioxide (CO2) is a greenhouse gas that warms the atmosphere. Independent measurements demonstrate that the increased CO2 in the atmosphere comes from burning fossil fuels and forests. The isotopic composition of carbon from these sources contains a unique "fingerprint" (Wang et. al. 2007). Since pre-industrial times, global average temperatures have increased by about 0.7 oC, with about half of the warming occurring over the past few decades (Wang et. al. 2007). As we can see that the environmental changes are due to human activities, which require fast actions to reduce the "harm" to the environment. The U.S. National Academy of Sciences-the independent organization of the country's most renowned scientists established by Congress to advice the nation of scientific and technical issues-has concluded: "The scientific understanding of climate change is now sufficiently clear to justify nations taking actions" (Wang et. al. 2007). This point is also addressed in other reports that top climate change scientists from around the globe-comprising the United Nations-sponsored Intergovernmental Panel on Climate Change (IPCC)-improved understanding of global warming. With increasing confidence, the IPCC has asserted that global warming is a serious problem that has anthropogenic influences, and that it must be addressed immediately (Boykoff et. al. 2004). Among the bad effects of pollution of CO2 may increase annual air pollution deaths and cancer (Jacobson 2008). While politicians and businessmen still debate and dispute the need for reducing greenhouse emissions take pride to evade accepting any responsibility, the process of overheating the inner core reactor of Earth, has already begun – polar oceans have become warmer and polar caps have begun to melt (Chalko 2001). Although the danger seems to come from the inside of our planet, the actual reason for the disaster is the pollution of the atmosphere, which is clearly our responsibility. At present, the atmospheric pollution increases daily (Chalko 2001). Do we have enough imagination, intelligence and integrity to comprehend the danger before the situation becomes irreversible? There will be no second chance (Chalko 2001). It is very clear from the short review that human activities produces CO2, breaks the natural balance and heats our Earth. It is our responsibility to act in order to reduce pollution. We prefer to call our activities, peace negotiation with mother Earth (as the title of the article) as opposed to fighting global warming (Ministry of foreign affairs of Denmark 2007). After all we "harm" our Earth, there is no need to fight, but rather be more "kind" to our planet. In the following sections we proceed as follows: In section II we highlight our objectives and introduce the questionnaire, in section III we summarize our findings (answers to the questions), in section IV data analysis, in section V we describe our activities and finally summary and conclusions are given in section VI. II. DATA COLLECING In order to check the need of developing actions and education activities among the different groups of the society, we prepared a questionnaire containing the following eight questions: 1) 2) 3) 4) 5) 6) 7) 8)

Define global worming! What are greenhouse gases? Give some examples How does CO2 affect the environmental changes? How does pollution affect Earth and the life on Earth? What sources of pollution are you familiar with? Do you think that pollution is caused bye humans? Do you think that it is possible to reduce pollution? How do we reduce pollution?

We asked for sex/age/education in order to see if there are any differences among the different groups.

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Our population is taken from the Arab society in Israel which includes north, middle and south of the country. The population is classified into three different groups, people without education, school teachers and teachers of the teachers. We interviewed 50 people without education, 120 questionnaires to school teachers and 25 questionnaires to teachers of teachers. The findings are summarized in the following section. III. FINDINGS In this section we summarize our findings from the different groups. While interviewing with people we read the questionnaire for them and they told us the answers. Basically they could answer question 5, about sources of pollution, most of the people see factories and cars in their neighborhood. They think that the pollution is done by humans (question 6) but they have no idea about how to solve the problem of the pollution (question 8). The picture is not much different comparing to the other groups (teachers and teachers of teachers). In the group of teachers of the teachers (college professors) most of them looked at the questions and they said it is a different field, we don’t know the answers (85 % of the group). Most of them are not science teachers. The results from five written questionnaires are summarized in table 1 as follows: Table 1: answers of the teachers of the teachers Question # Answer 1 Increased heating of earth 2 I don't know 3 pollution 4 Much work, inconvenience, very negative effect 5 Smoke, human actions, factories, trash, exhaust gases from cars and airplanes. 6 Yes of course 7 yes 8 It needs a lot of efforts Lastly, the results of the school teachers are summarized in the following tables (table – table 9), it is important to state the responses of the teachers in order to highlight the real situation: Table 2: answers of the school teachers - Answer 1 Quote # Define global worming! 1 Natural heat that we feel around us 2 Increasing of temperature of the earth 3 Heating of earth as a result of environmental pollution and increasing ozone hole 4 Heating of earth which increase in high frequency 5 The earth heats up due to the poisonous gases exhausted from earth 6 Air temperature increase more than enough, which causes heating of earth 7 Heating means increasing in temperature of any body which increase kinetic energy of the body 8 Global heating means the level of heat on earth 9 Increase in temperature and increase in CO2 10 Maybe heating up the ozone layer, maximal heating which causes imbalance on earth

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3 2 2 1 1 1 1 2 1 2

% answers


11 12

Increase of temperature due to increase on CO2 concentration I have no idea

1 87

Table 3: answers of the school teachers - Answer 2 Quote # What are greenhouse gases gazes? Give some examples 1 H2 and O2 2 Gases that block reflected sun ray from the surface of earth and thus increase the temperature 3 CO2 , CO, O2, N2 4 Gases that exist in air 5 Gases that leads to heating of earth 6 I don’t know 7 Exhaust gases from factories Table 4: answers of the school teaches – answer 3 Quote # How does CO2 affect the environmental changes? 1 Pollutes the air and causes heating of the surface of earth 2 Contributes to the green house effect and 'hurts' plants 3 High concentration of CO2 in air pollutes the air and increase the Ozone hole which leads to heating of earth 4 Increasing CO2 concentration in air disturbs the balance between O2 and CO2, this mean change in the atmosphere 5 I don’t know 6 Heats up earth and causes breathing difficulties for humans 7 Causes cancer Table 5: answers of the school teachers - Answer 4 Quote # How does pollution affect earth and the life on earth? 1 Has very strong effect 2 Pollutes water resources, "hurts" all life forms on earth 3 Disturbs the Ozone layer and causes heating of earth 4 Reduces health , more diseases, difficulties in breathing 5 Leads to environmental changes 6 Leads to melting of ice on earth and some animals disappear 7 Reduce comfort level 8 I don’t know Table 6: answers of the school teachers - Answer 5 Quote # What sources of pollution are you familiar with? 1 Trash, Chemical wastes, Plastics 2 Smoke from cars and factories, radioactive waste 3 Different industries, cutting trees 4 Power plants 5 Drains 6 Deodorant 7 Oil spots in seas, Batteries 8 I don't know

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% answers 1 2 7 1 3 85 1 % answers 5 1 4 2 86 1 1 % answers 1 3 4 5 1 1 1 84 % answers 3 11 1 1 1 1 2 80


Table 7: answers of the school teachers - Answer 6 Quote # Do you think that pollution is caused bye humans? 1 yes 2 Yes, humans are guilty in all what happens on earth 3 Yes indeed, most of the people know that human kind causes pollution and it will increase with newer technologies, human kind development is the responsible for pollution 4 No doubt in this 5 I don’t know Table 8: answers of the school teachers - Answer 7 Quote # Do you think that it is possible to reduce pollution? 1 Yes, especially after Kyoto conventions 2 Yes, certainly 3 Yes, but international agreement is needed 4 Yes, if we increase green lands and reduce pollution 5 Yes, introducing taxes on industries and other sources of pollution, increase usage of green energies 6 Yes, with help of governments 7 Yes, if we think less about profit and care more about the environment 8 Yes, especially if everyone acts to reduce pollution 9 I don’t know Table 9: answers of the school teachers - Answer 8 Quote # How do we reduce pollution? 1 Advertise the problem and increase knowledge of all people: young or old, men or women, boys and girls, educated or not educated 2 Reduce the usage of industrial goods, use more civil transportation, treatment of the sources of pollution 3 by less usage of polluting energy sources, recycling 4 Laws, legislations, and punishments in case of breaking the laws 5 Improving efficiencies of power plants, increase usage of green energies: wind energy, solar energy, hydropower, wave energy from the sea, nuclear energy 6 Improving the environment 7 Increasing knowledge and defining tasks for ever one (action plans) 8 Prevent fires, reduce usage of plastics 9 I don't know

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% answers 7 1 3

4 85 % answers 1 5 1 2 1 1 1 1 87 % answers 6 1 3 2 3 1 1 2 81


IV. DATA ANALYSIS From the data collected, the picture is very clear, all groups of the Arab society in Israel in the entire region from north to south show similar level of knowledge. Less than 20% showed interest and some knowledge about global warming and air pollution. The 80% stated we have no idea about the subject highlights a negative attitude towards this very important issue. Although there are many developed plans and actions, it seems that people don’t care much about the global warming. The reason to such behavior could be explained as follows: (1) There are no laws to protect the environment. (2) Governments themselves do not follow Kyoto conventions. This gives the people bad example of behavior and they won't care if the leaders won't care. (3) Many people are unaware of the issue, and they are busy with insuring basic things like food and energy to the family. (4) Countries are fighting for energy sources, which is necessary for insuring basic goods for life. In order to increase knowledge about the issue of global warming we suggest the following activities starting from kindergarten up to the college student level. Hopefully this way we reach parents through their kids.

V. OUR ACTIVITIES IN LOCAL EDUCATION As educators we suggest the following solutions (their description will be given in the next section), and we hope by doing that we could have contributed to protect our planet, in order to increase the level of knowledge and responsibility of our pupils and students. Through the kids we might reach the parents. At schools we suggest activities for different ages: kindergarten, ninth grades and college students. We stress that it is important to all people on earth to be aware of the challenges and take part of the activities. In order to take the problem seriously, it should be taught as a new language on schools from early stages of life. V. 1 activity program at the kindergarten The easy and best way found in the kindergarten level to approach the subject was through agriculture, i.e., planting different seeds, plants and trees. Through careful choice of planting activities of different seeds, the kids would have the chance to know all of the essential parameters of life. They will learn about the different sources of every parameter, like air (O2, CO2), water, energy and food. We discuss with them what meant by pollution and global warming and we discuss with them the effect of pollution to life and wee seek together ways how to act and reduce pollution. In the kindergarten of Huriyya, at Rahat city in south of Israel, the kids plant different seeds, pepper (different colors), tomatoes, wheat, lentils, beans and figs tree. We also visit nearby factories, in order to see the wastes and sources of pollutions. Afterwards, we discuss with the kids methods of actions and what could be done in order to save our environment. We talk about the methods of classical actions: reduce, reuse and recycle. We demonstrate these terms all over the year day by day.

V. 2 activity program at ninth grade and college Based on circular and spiral teaching models we suggest the same program for all ages, with appropriate modification to reach the level at that group age. As the elder pupils or maybe the students of the college who study different subjects, we might link the different subjects with nature. For instance at the middle school age, pupils learn about construction, food

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and natural colors. Through these subjects we can visit the different factories and we discuss and collect information about the different effects of that factory on humans and surroundings. Some of these activities took place in lakiya middle school (seventh class to ninth class).

V.3 multimedia and pollution Multimedia plays major role at all ages and levels, due to the fact it includes all the senses. So it is important to accompany the activity in the class, in the garden and every where we go with the kids to collect data as pictures, video clips, sound clips, animation and textual matters from journals or advertisements. Music and sounds has relaxing and concentration effects. We accompany our activities with the kids, by stories and movies about glaciers and the dangers that humanity is facing.

V.4 activity day with teachers – small scale conferencce On annual bases it is important to arrange one day conference for the teachers. The conference should include keynote lectures and lectures from the teachers themselves. Hopefully some teachers can help other teachers. In the city of Rahat we had one day conference with kindergarten teachers. The agriculture activity in the kindergarten of Huria was interesting to many teachers. She was asked to repeat the presentation in another activity day in different part of the country. Fortunately, we can report about positive reaction and the teachers showed interest in learning about global worming and "making peace with mother earth".

VI. SUMMARY AND CONCLUSIONS In this article we reviewed few basic terms related to global warming. We discussed some consequences resulting from global warming and what could be done to reduce global warming. We stressed the fact that the responsibility falls on all people of the world. We prepared a questionnaire to check the level of knowledge about issues related to global warming among three different groups in Arab society in Israel all over the country. The collected data from about 200 persons showed that there is about 80% of the population is unaware or does not care about global warming. These People have very little knowledge and they spend very little time thinking about it. Certainly there is a strong need to change this negative attitude of people about global warming. As teachers we could contribute in different ways: (1) following the rules to keep clean environment ourselves as individuals. (2) To educate kids and students to do that. We introduced a model of action which fit all ages. This model were used in the kindergarten and middle age school in south of Israel. (3) To arrange one day activities for teachers and bring outside lectures and inside lectures. Of course people as individuals should be responsible and should obligate themselves to do their best in order to reduce pollution. But it is very well know phenomena that humans are lazy by nature and not easy for them to volunteer their expensive time. But governments could make decisions to reduce "aggressive" energy sources and encourage green energy sources. By laws, people could act more responsibly. Usage of other energy sources which are friendly to the environment could be encouraged more, e.g. green energy sources, like solar energy, hydro power, wind power, and others. These resources are more expensive compared to oil and burning gases and coal. But humans prefer cheaper energy resources, even for the price of destroying earth. At the end, we might ask: would humans be able to control their actions and activities in order to reduce the harm to our surroundings?

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Will mankind listen to mother earth and its "pain"? Will people realize the sever danger from not taking serious actions to stop pollution? As we can see the entire world is moving like a fast arrow towards self destruction and nothing can be done to stop the big "revenge" of mother earth. REFERENCES M. Gillenwater, "Greenhouse gases and global warming potential values". 1990-2000. Inventory of U.S. Greenhouse Gas Emissions and sinks G. Eshel, P. A. Martin, "Diet, energy, and global warming". 2006. Earth Interactions, 10: 1 R. H. Socolow. 2005. "Can we bury global warming", Sci, Am.: 49-55. J. Wang, B. Chameides. 2007. "Are humans responsible for global warming?", Environmental defence. M. T. Boykoff, J. M. Boykoff. 2004. "Balance as bias: global warming and the US prestige press", Global Environmental Change 14: 125-136. M. Z. Jacobson. 2008. "On the link between carbon dioxide and air pollution mortality ", Geophys. Res. Lett., 35: 1. T. J. Chalko. 2001. "No second chance? Can earth explode as a result of global warming?", NU J. of. Dis. 3: 1-9. 2007. "How Danes fight global warming", Published by the Ministry of foreign affairs of Denmark.

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ANTARCTIC SEA ICE EXTENT, CONCENTRATION AND PROPERTIES DERIVED FROM SHIP OBSERVATIONS AND SATELLITE MICROWAVE DATA Burcu Ozsoy-Cicek, Penelope Wagner, Steve Ackley, Hongjie Xie, Ahmet Tekeli Dept of Geological Sciences, University of Texas at San Antonio, San Antonio, TX, 78249 [email protected], [email protected], [email protected], [email protected], [email protected]

ABSTRACT ASPeCt (Antarctic Sea Ice Processes and Climate) in situ observations were conducted during the SIMBA (Sea Ice Mass Balance in the Antarctic) cruise on board R/V Nathaniel B. Palmer (cruise NBP0709) in the austral winter season of 2007 to study the varied sea ice types at and inside the ice edge of western Antarctica in the Bellingshausen/Amundsen Seas. Remote sensing imagery of passive and active satellite data were obtained to determine ice concentration and types for the same time period. This paper includes ASPeCt ship-based ice observations made during SIMBA cruise, images from AMSR-E (Advanced Microwave Scanning Radiometer Earth Observing System), RADARSAT-1 SAR, and National Ice Center (NIC) ice charts. The research shown here determined the total sea ice cover around the entire continent calculated for 2007 winter period and 2008 summer period from AMSR-E and NIC. Sea ice concentration comparisons between AMSR-E and SIMBA ASPeCt observations (total 19 observations) track were made for 26-10-2007. For the same day (26-10-2007) sea ice types obtained during SIMBA ASPeCt observations were used to determine backscatter range for those ice types from RADARSAT. INTRODUCTION Sea ice simply is frozen sea water and forms as saline ocean water freezes on the surface in polar regions. Sea ice is considered to be a sensitive indicator of global climate change. It is also used as an input to global weather and climate models. Sea ice in the Antarctic is seasonal and can vary from a minimum in the austral summer month of February to a maximum in the early spring month of September. Sea ice extent varies from annual minimum of 4 to maximum of 18 × 106 km2. Response of the ice covers in both polar regions to climate forcing is complex, with winds and their variability being a primary consideration in the high energy environment of the Southern Hemisphere, and perhaps becoming relatively more important than previously considered in explaining the Arctic behavior last summer. However current climate models suggest that global warming will be felt most acutely in the Polar Regions (IPCC, 2007). That is why mapping the extent of sea ice in the earth's Polar Regions is of great interest to the scientific community. Researchers have already observed many changes in the Arctic, including the warmest temperatures in the last 400 years and a decline in the extent of spring and summer sea ice. While dramatic changes are occurring in the Arctic region, we still do not have a full picture of how Antarctic sea ice as a whole, is responding to climate change. Researchers already have utilized satellite measurements to study changes in Antarctic sea ice (Cavalieri et al., 1997, Zwally et al., 2002, Cavalieri, et al., 2003, Kwok 2005, Kwok et al., 2007). However, it is still questionable which satellite data gives better result comparing to others. Comiso et al, 2007 examined multi-sensor characterization of the Antarctic sea ice cover to provide general survey of satellite observations on sea ice cover. Comiso et al, 2007 and Comiso, 2004 mentioned the advent of passive microwave remote sensing since it is able to monitor the entire sea ice cover on a day to day, day/night almost all weather basis. They also pointed that active microwave data provides complementary information to the passive systems. On the other hand NIC charts provide consistent integration of the various satellite sources includes different type of sensors such as passive microwave, active microwave, and scatterometer to detect the sea ice edge precisely. We used combination of in situ observations collected during The Sea Ice Mass Balance in the Antarctic (SIMBA) cruise departed began September 1, and ended on October 31, 2007 and satellite remote sensing data to detect changes in the ice to be examined over a large area. Our research included active microwave data (RADARSAT1), passive microwave data AMSR-E, ice edge charts generated by the NIC and in-situ ASPeCt protocol observations (Worby et al., 1999) to determine how the ice edge and ice concentration differs or agrees between the observations for further geophysical retrievals and interpretations. RESULTS AND DISCUSSION Sea ice cover in 2006-2007 and 2007-2008 periods from NIC and AMSR-E In this part of study, we compare the Antarctic seasonal sea ice coverage of 2006-2007 and 2007-2008. Figure 1 indicates the winter through spring sea ice extent (2006-2007) for the entire continent and summer through fall sea ice extent (2007-2008) is calculated and presented in Figure 2. The 2006 to 2007 comparison is particularly interesting as the winter 06 sea ice extent exceeds the 07 value until late November when the decline crosses over (see Figure 1) so that the summer minimum 07 ends up exceeding the summer 06 value. The idea is that the winds control the ice edge variations, higher (lower) winds give a higher (lower) winter maximum followed by a 79


lower (higher) summer minimum. The main concept is that the summer minimum has a high dependence on transport for the Antarctic, the future of the Arctic summer ice in a different wind regime under climate change than present may be subjected to similar variability, making its disappearance perhaps less predictable than a linear extrapolation of the current trend. In Figure 2 results showed that the summer 2008 minimum (area bounded by the ice extent) in Antarctic sea ice exceeds last summer's Arctic summer 2008 minimum. Particularly in summer, the NIC area exceeds the AMSR-E area (max and min differences between the products are shown in Table 1). Based on the NIC, the ice extent area bottoms out at 5 million sq km (12 Feb). It must be also noted that NIC areas include the large polynyas in the Ross and Amundsen Seas, similar to the AMSR-E area.

23000000

SEA ICE EXTENT(km^2)

21000000 19000000 17000000

SIMBA Cruise 2007 15000000 13000000 11000000 9000000 7000000

ec -D 26 c e -D 19 c e -D 12 ec D 5- v o -N 28 v o -N 21 v o -N 14 ov N 7- ct -O 31 t c -O 24 ct -O 17 ct -O 10 ct O 3- p e -S 26 p e -S 19 p e -S 12 p Se 5- g u -A 29 g u -A 22 g u -A 15 g Au 8g Au 1DATE

AMSR-E_07_winter

NIC_07_winter

AMSR-E_06_winter

Figure 1. NIC and AMSR-E comparison for winter season

13000000

SEA ICE EXTENT(km^2)

12000000 11000000 10000000 9000000 8000000 7000000 6000000 5000000 4000000 3000000

ar -M 11

eb

eb

ar M 4-

-F 26

-F 19

eb

eb

-F 12

F 5-

an -J 29

an -J 22

an -J 15

n Ja 8-

n Ja 1-

DATE

AMSR-E_08_summer

NIC_08_summer

AMSR-E_07_summer

Figure 2. NIC and AMSR-E comparison for summer season

NIC and AMSR-E sea ice extent differs from each other for each season (Table 1). The maximum different was obtained on 17th of January 2008 as 2.8 x 106 km2. Also the maximum different was obtained on 14th of November 2007 as 2.4 x 106 km2 .

80


Table 1. Areal difference between NIC and AMSR-E

Between NIC_07 and AMSR-E_07 winter dataset max.diff (Nov,14) 2424525.62 min.diff (Sep 5) 324133.53 Between NIC_08 and AMSR-E_08 summer dataset max.diff (Jan,17) 2825852.45 min.diff (Feb,14) 761890.02 Sea ice concentration comparison between AMSR-E and SIMBA ASPeCt observations The objective of this part was to examine passive microwave satellite observations and in-situ observations to obtain the Antarctic sea ice concentration. Total of 100 ASPeCt observations (Figure 3) studied here were obtained as 42 inbound observations collected between 09-24-2007 to 09-27-2007, 58 outbound observations collected between 10-24-2007 to 10-27-2007. Therefore, the AMSR-E product also was ordered accordingly. It is seen in Figure 4 that 69 points of total observations show AMSR-E concentration as 100% and also ASPeCt concentration as 100%. 12 points of total observations show AMSR-E concentration as 100% and ASPeCt concentration Tt −1 . Pr ob [R > Tt −1 ] R > Tt −1

]

Pd = Pd −1 + ( 1 − Pd −1 ). Pct

(3)

Where Pct is the conditional probability of threshold t . For each threshold t , variables: • The number nt of values R , such that Tt −1 ≤ R < Tt . •

(t = 1, 2, ..., m )

consider two

The period N t (in years) between the beginning of the t th threshold and the last year of systematic records. m

Note that in the complete record, the total number of known values that can be ranked and plotted is N = ∑ n t . t =1

As opposed to common practice, we considered years when thresholds Ti (i = 1 : m ) are exceeded. The assignment of specific plotting positions to all the individual known observations which are below threshold t but greater than threshold can be generalized to the formulae: t −1

Pi = (1 − Pd ) + (Pd − Pd −1 ) .

i−a n t + 1 − 2a

(4)

Where i is the rank of the i th value Ri among the nt known values in the range [Tt −1 ; Tt [ .

Fig.2. Deceedance probabilities below and between thresholds

168


a is a constant. For the Hazen (1939) rule a = 0.5 . Other values are proposed in the literature (Table 1). One

can consider nij the number of values below the i th threshold and above the (i − 1)

th

one during the period N j .

As mentioned higher, estimates of the deceedance probabilities Pd associated with the t th threshold are needed to calculate the plotting positions for the observed values. The formulation used in this paper suggests the possibility of recursive estimation. For that we need to calculate the conditional probability that an event falls between the (t − 1) and t threshold. The conditional probability is readily estimated by the method of moments (identical to the maximum likelihood estimator) as: th

C tp =

th

n tt t −1

(5)

N t − ∫ n ( p ,t ) dp 1

Where: 2 ≤ t ≤ m .

C tp =

n11 n 22 N 1 N 2 − n12

n 33 N 3 − (n13 + n 23 )

n mm n 44 ... N 4 − (n14 + n 24 + n 34 ) N m − n1m + n 2 m + n 3m ... + n (m −1, m )

(

)

(6)

Table 1. Plotting positions used in determining the seasonal rainfall probabilities of deceedance.

Plotting Positions Hazen (1914) Weibull (1939) Blom (1958) Cunnane (1978) California (1923) Gringorten (1963) Chegodajev (1955)

Formulae

i − 0.5 n i Pr ob [R ≥ Rt ] = n +1 i − 0.375 Pr ob [R ≥ Rt ] = n + 0.25 i − 0.4 Pr ob [R ≥ Rt ] = n + 0.2 i Pr ob [R ≥ Rt ] = n i − 0.44 Pr ob [R ≥ Rt ] = n + 0.12 i − 0.3 Pr ob [R ≥ Rt ] = n + 0.4 Pr ob [R ≥ Rt ] =

By combining Eq.(3) and Eq.(4), we can easily obtain a different expression of individual deceedance probabilities as:

Pi = (1 − Pd )

 C tp i−a  1 +  . ntt + 1 − 2a   1 − C tp 

(7)

 n i−a  Pi = (1 − Pd )  1 + tt .  ntt + 1 − 2a  λt 

(8)

Now consider λ t the number of all the non observed values over the t th threshold during the N t period:

169


t

λ t = N t − ∑ n ( p ,t )

(9)

1

Eq.(7) can be re-expressed as:

Pi = Pi −1 +

 1 − Pd n tt  n tt + 1 − 2a  λ t

   

(10)

Or to introduce the initial conditions:

Pi = P1 +

n tt (i − 1)  1 − Pd . n tt + 1 − 2a  λ t

   

(11)

One can form a deceedance Hazen formula by setting a = 0.5 , and Eq.(11) becomes:

 1 − Pd Pi = P1 + (i − 1) .   λt

   

(12)

CASE STUDY Tunisia is the smallest (162155 km2) country in North Africa, wedged between Algeria and Libya. Tunisia occupies a privileged geographic position at the cross-roads of the Eastern and Western basins of the Mediterranean, between Europe and Africa. It is located at the north-eastern tip of Africa and bordered by the Mediterranean to the North and the East, to the South by Libya (459 km), and to the West by Algeria (965). Tunisian geographic coordinates are 34°00′N 9°00′E. The Tunisian climate is Mediterranean, characterised by hot dry summers and cool moist winters; precipitation is very irregular and the rainfall varies considerably from the North to South and it is also known by its scarcity. Tunisia is divided into four large geographical units: Northern, Eastern, Central and Southern regions. There are five bioclimatic zones in going from the most arid to the most humid based on rainfall (Humid, 800-1200 mm; Sub-humid, 600-800 mm; Semi-arid, 400-600 mm; Arid, 100-400 mm and Desert, 10-100 mm). Tunisia is a developing country where most of the land is either in a semi-arid or arid zone. However, once every few years, the country experiences a large-scale drought. In the last fewer years (between 1999 and 2002), Tunisia has frequently experienced severe drought events, which may be considered as exceptional and extreme. Rainfall deficits were observed in Tunisia during 1970/1971 and 1977/1978. Whereas, more severe droughts were recorded during 1981-1983, 1991-1995 and 1999-2002 periods. According to Touchan et al. (2008), the most recent drought (1999–2002) appears to be the worst since at least the middle of the 15th century. Thus, more than 20 years presented rainfall deficit on a total of 32 years (between 1972 and 2003) of survey. DATA UTILIZED FOR MODELLING Systematic records A data base consisting of 15 at-site gauging station rainfall intensity estimate records was assembled (Table 2). The stations represent different hydrologic conditions and climatic regions in Tunisia. The sites are located in the geographic unites mentioned above, with number of sites at each location in parentheses: Northern (5), Central (3) and Southern (7) regions. The majority of the sites are located in south Tunisia (Fig. 3). The gauging stations are located in diverse hydrologic regimes and bioclimatic zones that range from arid to humid. Records include climatic events caused exceptional droughts. Each station is numbered and listed by location in Table 2. Record lengths are also included. Time series data and plots are not presented in the present paper. More than one criterion to select sites were used. Statistical quality (length and continuity of records), availability of historical information, the site has experienced at least one drought event during the recording period and of course availability of data. The record length for the 15 data sets is 22 years (1985-2006). Historical information Historical information investigations are based on collaboration between historians, archivists and hydrologists for a better assessment of the climatic risk. In the present paper, the historical information was obtained from the archives published in the Web and in some cases we used memories of people who experienced drought events in their regions. A list of historical drought events from 1878 to 1984 has been drawn up and converted into annual rainfall. It is important to note that a sensitivity analysis providing errors on obtained estimates and taking into account uncertainties on annual rainfall, regional variability, temperature and evaporation effects have to be conducted. Obtained information for each site is presented in Table 2. Much more historical information exists in the archives. For example there is information about 25 drought events between 707 and 1640, 4 other events

170


between 1758 and 1900. Unfortunately we didn’t use this information because we were unable to evaluate them in terms of completeness and authenticity. Fig. 4 shows the graphical representation of systematic and historic records and information for arbitrarily selected sites. RESULTS AND DISCUSSION Droughts frequency analysis was conducted for each of 15 sites as a practical way to compare goodness of fit of all the distribution functions and all the plotting position formulas. Plotting positions and recurrence intervals presented in Table 3 concern the event of 1946. The selected event was the most severe in all the Tunisian and North African regions during the period 1900-2006. The annual rainfall was fitted to 8 distribution functions (Table 4). In order to identify a plotting position formula, we compared, in a previous work, results of frequency analysis using a large number of distribution functions and plotting positions. In the conducted comparative study, three metrics were used to compute the goodness of fit between theoretical values and data (supposed to be true): The Root Mean Square Error (RMSE), the Mean Absolute Relative Deviation (MARD) and a Mean Squared Relative Deviation (MSRD).

RMSE =

2 Rˆ i (T ) − Ri (T ) 1 N ˆ 1 N 1 N 2 ∑ Ri (T ) − Ri (T ) ; MARD = ∑ ri (T ) ; MSRD = ∑ [ri (T )] ; ri (T ) = N i =1 N i =1 N i =1 Ri (T )

[

]

Results (not presented in the present paper) showed clearly that the Weibull rule was the more adequate (in major cases) using rainfall in Tunisia. Table 2. Rainfall gauging station sites and historical information No. Name

Region

Bioclimatic Zone

Historical Information Years k Thresh.

1

Bizerte

North

Semi-Arid

1900-1984

5

2

2

Tunis-Cath.

North

Semi-Arid

1850-1984

6

3

3

Jendouba

North

Semi-Arid

1910-1984

3

1

4

Kelibia

North

Semi-Arid

1878-1984

2

1

5

Tabarka

North

Semi-Arid

1978-1984

1

1

6

Kairouan

Central

Semi-Arid

1878-1984

5

2

7

Sidi Bouzid

Central

Semi-Arid

1900-1984

5

1

8

Tala

Central-West

Semi-Arid

1878-1984

1

1

9

Sfax

South-East

Arid

1890-1984

5

3

10

Tozeur

South

Arid

1920-1984

1

1

11

Gafsa

South

Arid

1920-1984

2

1

12

Gabes

South-East

Arid

1900-1984

2

1

13

Mednine

South

Arid

1878-1984

5

1

14

Djerba

South-East

Arid

1878-1984

2

2

15

Rmada

Extreme -South Arid

1900-1984

2

1

* A WaldWolfowitz test was conducted to check whether the observations are independent and the data are stationary and homogenous. Results of the test showed that the data series can be considered as independent and identically distributed.

171


Fig.3. Map of Tunisia

Fig.4. Data utilized for the analysis. Station 9: systematic (22), thresolds (3), historical values (5). Station 2: systematic (22), thresolds (3), historical values (6);

To evaluate the proposed approach, one can try to reconstruct the 1946 drought event by comparing experimental and theoretical return periods of the selected event (using all the plotting position formulas and all the distribution functions) with and without historic information. Table 4 shows clearly that the Log-Normal type III gives the best fit for all the stations located in the East of Tunisia and the Log-Pearson type III gave the highest fit for the Western stations (Fig. 5). We consider these findings very interesting with regard to the statistical behaviour of the Tunisian climate and especially for water resources and drought related risk management in arid and semi-arid countries.

172


Table 3. Plotting positions p i and reciprocals (1 / p i ) for the 1946 drought event. Plotting position formulas: Hazen (H), Weibull (W), Blom (B), Cunnane (C), Gringorten (G). No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

pi

(plotting positions)

1 / pi

(recurrence intervals)

H

W

B

C

G

H

W

B

C

G

0.0077 0.0060 0.0039 0.0078 0.0102 0.0078 0.0078 0.0081 0.0039 0.0082 0.0061 0.0063 0.0060 0.0080 0.0039

0.0045 0.0040 0.0039 0.0049 0.0061 0.0059 0.0049 0.0043 0.0039 0.0049 0.0034 0.0048 0.0040 0.0053 0.0039

0.0049 0.0043 0.0039 0.0053 0.0067 0.0062 0.0053 0.0048 0.0039 0.0054 0.0037 0.0050 0.0043 0.0057 0.0039

0.0052 0.0045 0.0039 0.0055 0.0070 0.0064 0.0055 0.0051 0.0039 0.0057 0.0040 0.0052 0.0045 0.0060 0.0039

0.0054 0.0046 0.0039 0.0057 0.0073 0.0065 0.0057 0.0053 0.0039 0.0058 0.0041 0.0053 0.0046 0.0061 0.0039

130 167 256 128 98 128 128 123 256 122 164 159 167 125 256

129 168 256 128 98 127 128 123 256 122 164 157 168 125 256

204 233 256 189 149 161 189 208 256 185 270 200 233 175 256

192 222 256 182 143 156 182 196 256 175 250 192 222 167 256

185 217 256 175 137 154 175 189 256 172 244 189 217 164 256

Table 4. Experimental and theoretical return period for the 1946 drought event (Weibull plot. position formula) No. Experimental 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

129 168 256 128 98 127 128 123 256 122 164 157 168 125 256

With Historical Information N 12 16 89 17 15 9 13 18 10 19 34 35 51 44 196

LN2 39 79 122 88 51 17 58 51 39 16 79 143 9901 999 769

LN3 131 140 258 123 832 129 312 832 270 220 301 203 175 135 252

GAM Gum 1 22 0 21 100 64 NaN 61 NaN 119 NaN 32 NaN 78 NaN 526 NaN 29 NaN 625 NaN 9901 NaN 74 NaN 1110 NaN 526 NaN 74

Without Historical Information

GEV P3 29 31 65 48 206 194 219 34 74 44 44 44 18 67 03 09 80 46 77 70 402 760 43 37 1037 1498 55 41 1099 98

LP3 21 09 277 43 100 09 43 138 78 99 147 143 909 22 296

N 45 110 500 111 23 10 18 27 14 31 78 454 189 323 3322

LN2 76 185 167 196 69 19 79 69 52 19 116 270 192 1996 1248

LN3 GAM Gum GEV P3 39 135 400 45 62 88 223 377 57 44 208 276 312 169 161 93 323 265 233 39 536 301 287 79 77 109 269 378 53 33 164 329 301 23 53 562 207 287 11 00 188 275 243 102 65 178 298 162 61 89 709 321 200 733 671 278 305 234 06 51 170 261 209 905 888 344 227 232 86 21 631 369 401 3334 118

The Fig. 5 shows the spatial variability of best fitting distributions. It is clear that the LN3 and LP3 distribution functions perform particularly well in fitting the extreme values with high return periods. By comparing probability plots and their fitting with and without historical information (results not presented in the present paper), we can clearly see the importance of using historical information to estimate extreme values at the right and the left tails. By using only systematic record we over-estimate all the extreme events at the left plots tail.

173

LP3 41 00 307 49 163 09 44 109 102 121 139 123 1006 11 256


Fig.5. Map of Tunisia – Spatial variability of best fitting distributions

CONCLUSION A data base consisting of historical and systematic records at 15 sites located in Tunisia was compiled for droughts frequency analysis. The first part of this paper, concerns the theoretical developments of the deceedance probability approach using systematic records and historical information. Droughts records with multiple thresholds representing different historical periods were considered. In the second part of the paper, a case study was conducted. Annual rainfall datasets at 15 sites located in Tunisia were plotted against their deceedance probabilities. Five plotting position formulas were used and eight distribution functions that are commonly used in hydrological frequency analysis were fitted to the systematic records and the historical data. The performance of the selected probability distributions was assessed by comparing experimental and theoretical return periods for the 1946 drought event. In terms of practical application of the deceedance probability approach (proposed for the first time in the present paper), compilation of the 15-site data base revealed several points and the following conclusions were drawn: - The Log-Normal type III distribution had systematically and for all the Eastern selected sites the highest fit when matched with the Weibull plotting position formula; - The Log-Pearson type III distribution had systematically and for all the Western selected sites the highest fit when matched with the Weibull plotting position formula; - The use of historical information improve considerably the extreme events frequency estimation; - The 1946 drought event has a return period varying between 100 years at the station 5 (Tabarka) to 250 years at stations 3 (Jendouba), 9 (Sfax) and 15 (Rmeda). To conclude, we propose the use of the Log-Normal type III (LN3) distribution function for frequency analysis of droughts in the eastern arid and semi-arid areas of Tunisia and the Log-Pearson type III for the western ones. In a second step, one must apply the developed approach in other arid and semi-arid regions to confirm the good performance of the tow distributions. On the basis of the datasets used in the present paper, additional efforts should be invested in obtaining additional systematic and historical information relative to rainfall in developing countries and arid areas frequently ravaged by droughts.

174


NOMENCLATURE n g k

s e Ti Pd R

total period total of known observations length of the lowest values (below and between thresholds) length of the systematic records length of the systematic records below thresholds thresholds of deceedance the Deceedance Probability the studied variable (annual rainfall)

Pct

the conditional probability of threshold t

Nt a

period in years between the beginning of the t th threshold and the last year of systematic records constant (for the Hazen rule a = 0.5 )

APPENDIX: THE FAD TOOL This is a Graphical User Interface for hydrological frequency analysis with historical information. The FAD software (acronym for Frequency Analysis of Droughts) developed in a Windows platform and compiled by MATLAB 6.0, represents a user friendly tool that can be used by practitioners for solving frequency analysis problems in the field of hydrology in arid and semi-arid regions. The software represents also a decision support system for experts to assist water resources engineers and hydrologists. The frequency analysis of droughts conducted by this tool uses for the first time the notion of probability Deceedance. The seasonal rainfall were fitted to eight distribution functions (N;LN2;LN3;GAM;P3;LP3;GEV;GUM). Six plotting positions (Weibull, Blom, Cunnane, Hazen, Gringorten and Chegodajev) were used in determining their experimental probability of Deceedance. We present in the present paper only the Presentation window (Fig. 6) and the command one (Fig. 7).

Fig.6. A presentation Window of the FAD tool

175


Fig.7. Command Window of the FAD tool

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177


HOMOGENEOUS CLIMATE REGIONS IN PAKISTAN Ijaz Hussain1, 2, Juergen Pilz1,3, Gunter Spoeck1,4 1

Department of Statistics, University of Klagenfurt, Austria 2 [email protected] 3 [email protected] 4 [email protected]

ABSTRACT Spatial analysis is usually based on the assumption of stationarity. The violation of the stationarity assumption is very likely in monitoring networks which are spread over large regions. In the present study a meteorological monitoring network of Pakistan is considered that is clearly non-stationary. We identify homogeneous climate regions, whereby monthly average temperature, precipitation, wind speed, humidity and elevation are supposed to affect the climate variation. The geographic coordinates are transformed by using the Lambert projection method and are combined with the mentioned meteorological data. The monthly average meteorological data and transformed coordinates are standardized to zero mean and unit variance to remove the effect of different measurement scales. For Spatio-temporal clustering a 50% weight is assigned to the geographic or transformed coordinates and a 50% weight is assigned to the other five meteorological variables. The medoids clustering algorithm is used to aggregate data which are close in space and similar in their values. The resulting clusters have good separation and aggregation properties and the monitoring sites within the clusters have homogeneous climate. Ordinary kriging is taken as a validation measure for the precipitation data. Ordinary kriging applied to the single cluster is more accurate and has less mean square prediction error as compared to ordinary kriging on the complete monitoring network. Keywords: Climate, Lambert projection, monitoring network, medoids clustering algorithm, precipitation 1. INTRODUCTION Pakistan has much diversity in spatial and seasonal variation of the climate. Some areas are in deserts and remain very hot and waterless; coastal areas are situated along the Arabian Sea and have very warm seasons and little rainfall. Some areas are covered with mountains, have very low temperature and heavy rainfall as for instance the Karakorum. The most important variables that have an impact on the climate are temperature, precipitation, humidity, wind speed and elevation. The identification of homogeneous regions in Pakistan can be useful in many aspects: It can be helpful for the prediction of the climate in the sub-regions and for optimizing the number of monitoring sites. To our best knowledge, there is no paper in the previous literature, in which it was tried to identify homogeneous regions of Pakistan with respect to climate variation. We will make use of standard clustering algorithms to identify homogeneous climate regions in Pakistan. Steinhaus (1956) presented the well-known k-means clustering method. It can identify a predefined number of clusters by iteratively assigning centroids to clusters. Castro et al. (1997) developed a genetic heuristic algorithm to solve medoids based clustering. Their method is based on genetic recombination upon random assorting recombination. Sap and Awan (2005) presented a robust weighted kernel k-means algorithm incorporating spatial constraints for clustering climate data. The proposed algorithm can effectively handle noise, outliers and auto-correlation in spatial data. Soltani and Modarres (2006) used hierarchical and divisive cluster analysis to categorize patterns of rainfall in Iran. They only considered rainfall at twenty-eight monitoring sites and concluded that eight clusters are optimal. They classified the sites by using only the average rainfall at the sites and did not consider time replications and spatial coordinates. Kerby et.al (2007) proposed a spatial clustering method based on likelihood. They took account of the geographic locations by means of considering the variance-covariance matrix between observations. Their proposed method works like hierarchical clustering methods. But, it is inappropriate for data with time replications and does not perform well for a large number of sites. Tuia.et.al. (2008) used scan statistics for identifying spatio-temporal clusters of fire sequences in the Tuscany region of Italy. This scan statistics clustering method was developed by Kulldorff et. al. (1997) to detect spatio-temporal clusters in epidemiological applications.

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In this paper, we make use of a simple approach to clustering and create separable and homogeneous regions. Most of the clustering methods are based on the Euclidean distance between samples. It is well known that geographic coordinates are spherical and using Euclidean distance with spherical coordinates is inappropriate. As a transformation from spherical to rectangular coordinates we use the Lambert projection method. It pertains geographical distances between spatial locations on a sphere. The partition around medoids clustering is implemented and ordinary kriging applied to the single clusters is then taken as a validation measure for clustering performance. In Section 2, a data description, the partition around medoids clustering method, the Lambert projection method and the ordinary kriging method are presented. Section 3 contains the results of clustering and the ordinary kriging on separate clusters and on the full data set. We show that the accuracy of ordinary kriging predictions increases when applied to the homogeneous regions. 2. MATERIALS AND METHODS 2.1 Data Description Data on fifty-seven monitoring network sites in Pakistan is collected from the meteorology department of Pakistan. The locations of the sites are shown in Figure 1. Some observatory stations are recording data since the foundation of Pakistan in 1947; some were established later. Temperature, precipitation, humidity and wind speed are considered as variables which have an influence on climate change. Monthly average values of these variables for the moon-soon period (June to September) are considered. For spatial clustering, the geographic coordinates or the Lambert transformed coordinates and the elevations of the sites are included. The average monthly values for the variables affecting the climate have time replications, T, where T varies from 60 to 200 depending on the recording period. We replicate the geographic coordinates or Lambert transformed coordinates and elevations of the monitoring sites T times to include them in the average monthly data. The monthly average data and coordinates are standardized to mean zero and unit variance to remove the effect of different measurement scales. The geographic coordinates play an important role in climate change therefore a 50% weight is assigned to the geographic coordinates and also a 50% weight to the other five variables.

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Chitral Drosh Dir

Gilgat Bunji Chilas

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Karachi

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Padidan

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Figure 1: The locations of 55 climate monitoring network sites in Pakistan

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2.2 Partition around Medoids Clustering (PAM) As compared to the well known k-means algorithm the PAM algorithm by Kaufman and Rousseeuw (1990) is based on k representative objects or medoids of the dataset. It can operate on a dissimilarity matrix as well as on a n × p data matrix. It minimizes the sum of dissimilarities instead of the sum of squares of Euclidean distances; therefore it is more robust. The PAM graphical silhouette display helps to select the optimal number of clusters. The algorithm consists of the following two steps: BUILD-step: This step sequentially selects k "centrally located" objects, to be used as initial medoids SWAP-step: If the objective function can be reduced by interchanging (swapping) a selected object with an unselected object, then the swap is carried out. This is continued till the objective function can no longer be decreased. 2.3 The Lambert Projection Method Since the shape of the earth is spherical, the geographical coordinates are spherical, too. The spherical coordinates can be transformed to rectangular ones, pertaining spherical distance by using the Lambert conformal conic projection (Snyder, 1987): Step1: Convert geographic coordinates in terms of radians i.e.

λ1 =

latitude × π longitude × π , λ2 = , λ0 = 180 180

Origin of latitude × π 180

Origin of latitude is defined as = (maximum latitude – minimum latitude) / 2

φ1 = φ2 =

( Origin of latitude - 0.3× Range of Latitude ) × π

,

180 Origin of latitude + 0.3 × Range of Latitude ) × π ( 180

, θ = n(λ1 − λ 2 )

Step 2: Since the earth’s surface has an elliptical shape, the meridional distance is

D=

(1 − e ) 2

e=

, where a = 6378137 , b = 6356752 are the lengths of the semi-axis of the earth and

(1 − e sin φ ) (a − b ) is the eccentricity . 3 2 2 0

2

2

2

a2

Step 3: The D-plane coordinates are:

x = ρ sin(θ ) and y = ρ 0 − ρ cos(θ ) ,

(2.1)

where

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π φ  cos φ1 tan n  + 1   4 2  ,n = F= n

ln (cos φ1 sec φ 2 )   π φ   π φ  ln  tan + 2  cot + 1    4 2   4 2 

,

π λ   π λ1  +  , ρ 0 = D × F cot n  + 0  . 4 2  4 2 

ρ = D × F cot n 

Step 4: Equation (2.1) provides transformed coordinates in large scale, so we multiply equation 2.1 by 0.001; this multiplication will not affect the results but helps to visualize the coordinates in a better way:

x = 0.001 × ρ sin(θ ) and y = 0.001(ρ 0 − ρ cos(θ ) )

(2.2)

2.4 Ordinary Kriging Kriging due to Matheron (1963) is frequently used for the interpolation of random fields Z at unobserved locations. Ordinary kriging is the most common type of kriging. It is based on the assumption of an unknown constant mean. The kriging prediction at an unknown location x0 is N  Z ( x 0 ) = ∑ λi Z ( x i ) ,

(2.3)

i =1

where Z ( xi ) , i=1, 2,….N are the given data and

λi

are weights summing up to 1 to guarantee unbiasedness of Zˆ ( x0 ) .

The weights

 C11  ....  C1N   1

λi can be determined from the kriging system

... C N 1 ... .... ... C NN ... 1

1  λ1   C1x0  ..  ..   ...  , = 1 λN  C Nx0      0  µ   1 

(2.4)

which assures that the ordinary kriging predictor is a minimum variance unbiased predictor. Here

Cij , i, j= 1,2,….N are the covariances between the given data, Cix0 i=1, 2,.…N are the covariances

between the datum to be predicted and the given data and µ is the Lagrange multiplier accounting for unbiasedness. The prediction variance at unobserved locations is determined as follows:

σ 2 ( x0 ) =σ (2x ) − λ t Cx − µ0 0

(2.5)

0

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where

σ (2x ) is the variance of Z(x0) , λ = ( λ1.........λ_ N ) 0

t

(

and C x0 = C1x0 ........C Nx0

). t

3. RESULTS AND DISCUSSIONS 3.1 Clustering using Geographic Coordinates Several clustering techniques (agglomerative clustering, divisive clustering, model based clustering and bagged clustering etc.) are applied to the monthly average data to identify homogeneous clusters. The results and comparisons of fuzzy, K-means and PAM clustering are discussed below. It is difficult to obtain the membership of sites if fuzzy clustering is applied to the monthly average data. The different sites show membership to more than one cluster. As each site has more than one hundred observations and there are fifty-seven sites, it seems to be very complex to specify the membership of each site to a specific single cluster. Fuzzy clustering is applied to the overall average data to observe the behavior of the attributes including geographic coordinates. The allocation to clusters is indicated by numbers in Figure. 2 and suggests that there are two regions which have the membership to cluster one. Cluster four, three, two and five have also mixed sites.

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Figure2: The map of Fuzzy clustering allocations, the numbers represents the memberships of sites to specific clusters.

The partition around medoids clustering is also applied to the monthly average data of the monitoring network. The membership of specific sites to clusters is shown in Figure.3. The PAM shows results comparable to fuzzy clustering in this case. Cluster one has members from two sub regions and cluster two sites are still mixed with the cluster three sites. K-means clustering results are completely the same as the PAM results.

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Figure: 3: The map of site allocations to specific clusters based on PAM and k-means clustering.

As all variables affecting to climate are measured with respect to time and space, they are space-time random fields and should be spatially dependent. The sites of different clusters should be spatially separable; since we are using G-plane coordinates this is not the case. 3.2 Clustering using Lambert transformed coordinates The geographic coordinates are transformed to rectangular coordinates using the Lambert conformable conic projection method first and then standardized to mean zero and unit variance. PAM clustering and K-means clustering are applied hereafter. In Figure 4, the resulting allocation of monitoring sites when using PAM for five clusters is shown and is representing quite separable homogeneous clusters. Seven clusters seem more appropriate as silhouette comparison suggests; the allocation of monitoring sites for seven clusters is shown in Figure 5. K-means yields similar results as PAM clustering.

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Figure 4: The map of site allocations based on PAM and k-means clustering using rectangular coordinates and five clusters Seven Clusters with Rectangular Coordinates (PAM) 36

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Figure 5: The map of site allocations based on PAM and k-means clustering method using rectangular coordinates and seven clusters.

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Table 1. Silhouette Comparison Cluster No. geographic Coordinates K=5 K= 6 K=7 1 0.369 0.727 0.714 2 0.416 0.231 0.391 3 0.367 0.424 0.296 4 0.497 0.295 0.409 5 0.534 0.497 0.313 6 0.534 0.497 7 0.534 Average 0.407 0.395 0.431 silhouette

rectangular Coordinates K=5 K= 6 K=7 0.453 0.366 0.364 0.404 0.400 0.409 0.369 0.328 0.315 0.341 0.425 0.422 0.479 0.341 0.296 0.479 0.497 0.473 0.427 0.386 0.387

A silhouette comparison for selecting the optimal number of clusters K is made in Table 1. Clustering using rectangular coordinates is providing larger silhouettes than clustering with geographic coordinates. With rectangular coordinates the average silhouette for k =7 is higher than for k=5 and k=6 clusters. Thus seven clusters are suggested to be optimal. Moreover the silhouette of cluster one is 0.7141316 which suggests that there is a strong homogeneous structure in the sites of cluster one for k=7. For k=7 the 7th, 6th and 4th clusters have silhouette values of 0.5342, 0.4966 and 0.4091,respectively, which also suggests good structure in respective clusters. The clusters 2, 3 and 5 have silhouette values around 0.30 and represent reasonable structure. Table 2. Allocation of Monitoring Network Sites with rectangular Coordinates Cluster No. Name of Monitoring Sites Cluster 1 Astor, Bunji, Gilgat, Gupis, Sakardu and Chilas Cluster 2 Chitral, Dir, Drosh, Kohat, Parachinar, Zhob, Cherat, Peshawar and Risalpur Cluster 3 Balakot, Garhidupptta, Islamabad, Kakul, Kotali, Murree and Muzafarabad, Cluster4 Lahore Airport, Lahore PBO, Faisalabad, Mianwali, Sargodha, Sialkot, Bahawalnagar, Dera Ismial Khan, Multan, Rafique A.P and Bahawalpur Cluster 5 Sibbi, Chhor, Khanpur, Padidan, Hyderabad, Jacobabad, Larkana, Moenjodaro, Rohri, Badin and Nawabshah. Cluster 6 Dalbadeen, Khuzdar, Kalat, Lesbella, Nokunddi, Panjgur and Quetta Cluster 7 Jiwani, Karachi Airport, Karachi Masroor and Pasni The allocation of monitoring network sites to seven clusters is shown in Table 2. Cluster 1 contains some sites of the North-East part of Pakistan. Cluster 1 has highest average elevation (1787 ft.) and low average temperature (24.72 °C) but only little average rainfall (13.39 mm.) due to the low average humidity level (39%). Cluster 2 has the second highest average elevation (1114 ft.) and contains the sites of the north-west part of Pakistan. The average rainfall (55 mm.) of cluster 2 is increased as compared to cluster 1 because the average humidity (52.83%) and average wind speed (5.91 km/h) of cluster 2 are larger, too. Cluster 3 has an average elevation of 1022 ft and contains the native sites capital of Pakistan; heavy average rainfall (199.5 mm.) occurs in this region due to high average humidity (66%) and average wind speeds (2.4 km/h). Cluster 4 is the collection of sites of the South-East part of Pakistan known as Punjab province. This region remains warm (temperature of 32 °C) during the moon-soon period and has the second highest average rainfall (76.8 mm.); it is due to the high level of humidity (60.3%) and an average wind speed (3.87 km/h). The sites of cluster 5 are from the Sindh province and the Balochistan province. This region is the warmest part of Pakistan with an average temperature of 33 °C in the moon-soon period. Low rainfalls (29.67 mm) occur in this region due high wind speed (5.72 km/h). Cluster 6 contains some regions of the Balochistan province and remains very dry (average rainfall of 11.66mm.) in the moon-soon period; it’s a consequence of high wind speed (6.74 km/h.) and low humidity level (38.72%). Cluster 7 contains the sites located in the South-West part of Pakistan, near the Arabian Sea; in this region the humidity level is very high (77%) but the average wind speed is also very high and results therefore in little average rainfall (23.97 mm.) A detailed exploratory analysis of all the clusters is given in Table 3. The coefficients of variation applied to the single clusters are smaller than the coefficients of variation for the complete data set and suggest

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that the clustering is reducing the heterogeneity in the data. The coefficient of variation of rainfall for the complete monitoring network is 103.54% and suggests that there is more than 100% variation in the occurrence of rainfall in Pakistan. The lowest coefficient of variation in the complete monitoring network is observed for temperature (13.16%). Table 3. Comparisons of cluster averages, standard deviations and coefficients of variation Rainfall Cluster1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Cluster 6 Cluster 7

13.39 55.59 199.5 76.79 29.67 11.66 23.96

Cluster1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Cluster 6 Cluster 7

4.7 58 20.10 50.19 11.80 11.37 22.74

Cluster1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Cluster 6 Cluster 7 For complete Data

35.12 58.61 10.07 65.36 39.79 97.58 94.91 103.54

Wind speed Humidity Average 3.42 39.02 5.91 52.83 2.4 65.62 3.87 60.27 5.72 60.03 6.74 38.72 11.93 77.31 Standard Deviation 0.67 8.67 2.99 9.98 0.89 3.57 1.60 3.90 2.37 6.98 3.16 14.91 2.67 0.98 Coefficient of Variation 19.66 22.21 50.59 18.90 37.25 5.44 41.34 6.47 41.50 11.62 46.86 38.51 22.40 1.26 59.81 23.92

Temperature

Elevation

24.72 27.78 25.99 32.11 33 29.13 29.49

1787.17 1114.19 1022 179.86 520 1078.57 24.50

4.36 3.16 3.56 0.95 1.08 4.24 0.43

475.34 550.97 588.43 43.23 36.04 647.58 21.76

17.67 11.36 13.70 2.96 3.26 14.55 1.46 13.16

26.6 49.45 57.58 24.03 69.31 60.04 88.83 102.60

3.3 Ordinary Kriging The prediction maps of monthly average precipitation for cluster 4 (29o -32o latitude and 71o-74o longitude) and the complete monitoring network are estimated by ordinary kriging. The non-stationary spatial covariance matrix estimate calculated from the time replications is extended to unobserved locations by applying the Sampson and Guttorp (1992) method. Gaussian variograms are fitted for both cluster four sites and the complete monitoring network. The fitted variograms and the mappings from the so-called G-plane to the D-plane are shown in Figure 6. One hundred unknown gird points are created within the cluster 4 and ordinary kriging is applied to predict average precipitation by using variograms model of cluster 4 and complete monitoring sites. The prediction maps for cluster 4 and the complete monitoring network are shown in the top panel of Figure 7, respectively. Most of the area in cluster 4 has its precipitation between 50 and 100 millimeter. The predicted values in the map of the complete monitoring network are smaller than those of cluster four describing the same region. The cross validation method is applied to compare the prediction accuracy of cluster 4 and complete monitoring network to predict the average precipitation for the sites of cluster 4. The mean square prediction error (MSPE) for complete monitoring network is 1888 whereas the MSPE for cluster 4 is 784. The 60 % MSPE is reduced for prediction based on cluster 4 as compared to prediction based on complete monitoring network which yields that the suggested clusters have homogenous climate.

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REFERENCES Casto.V.E and Murray.A.T. 1997. Spatial Clustering with Data Mining with Genetic Algorithms, Citeseer. Kaufman.L. and Rousseeuw.P.J. 1990. Finding Groups in Data: An Introduction to Cluster Analysis. Wiley Series of Probability and Mathematical Statistics, New York. Kulldorf.M. 1997. A spatial scan statistic. Communications in Statistics-Theory and Methods 26(6), 1481-1496 Kerby.A., Marx.D., Samal.A. and Adamchuck. V. 2007. Spatial Clustering Using the Likelihood Function, Seventh IEEE International Conference on Data Mining – Workshops Matheron.G. 1963. Principles of Geostatistics. Economic and Geology, 58, 1246-1267. Sampson. P. and Guttorp. P. 1992. Nonparametric estimation of nonstationary spatial structure. Journal of the American Statistical Association, 87, 108–119 Steinhaus.H. 1956. Sur la division des corp materiels en parties. Bull. Acad. Polon. Sci., C1. III vol IV:801– 804 Snyder.J. P. 1987. Map Projection: A Working Manual. U. S. Geological Survey Professional Paper 1395. Washington, DC: U. S. Government Printing Office, pp. 104-110 Sap.M.N. and Awan. A.M. 2005. Finding Spatio-Temporal Patterns in Climate Data Using Clustering, Proceedings of the International Conference on Cyberworlds (CW’05) Soltani.S. and Modarres.R. 2006. Classification of Spatio -Temporal Pattern of Rainfall in Iran: Using Hierarchical and Divisive Cluster Analysis. Journal of Spatial Hydrology Vol.6, No.2 Tuia.D., Ratle.F., Lasaponara.R., Telesca.L. and Kanevski.M. 2008. Scan Statistics Analysis for Forest Fire Clusters. Communications in Nonlinear Science and Numerical Simulation 13, 1689-1694.

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EARTHQUAKE AND METEOROLOGY PREDICTORS IN THE NORTH OF IRAN-GUILAN Seyedeh Ameneh Sajjadi ¹*, Aboulghasem Roohi² , Seyed Saber Sajjadi³ ¹ Assistant Professor of Islamic Azad university- Rasht Branch,Meteorology Department, P.O.Box: 41635 – 3166, Rasht, Iran, e-mail: [email protected] ² Caspian Sea Research Institute of Ecology, P.O.Box: 961, Khazarabad Boolvar, Sari, Iran e-mail: [email protected] ³ Industrial Design (M. Sc), Oxford , U.K , e-mail: [email protected]

ABSTRACT Iran is one of the countries on earthquake belt. And the study of forecasting of this natural phenomena is very important and also there are many different idea about increase earthquake activity with global warming, and is researched on meteorology predicators in earthquake - Guilan (the north of Iran) in 1990-2004, such as: the soil deep temperature- sea oscillation and wind speed before earthquake till after that and we can forecast the earthquake with this study for any area. Keywords: global warming, earthquake, meteorology predicator, the deep of soil temperature. INTRODUCTION Earthquake is one of the natural disasters, which is happen in many countries including Iran. Iran is one of the most vulnerable countries all over the world, because it is on the earthquake belt. Earthquakes are so important in terms of location, time and magnificence, because relevant studies to the earthquake and taking into consideration of past earthquakes for determination of probable presages are in fundamental information category in terms of short time predictions. Instruments now permit strong-motion signals to be recorded over broader band widths, with wider dynamic range and signal resolution and with better data accessibility via computer. These advantages are utilized by the General Earthquake Observation System (GEOS) developed by the United States Geological Survey, by which a microcomputer-controlled system provides improved strong-motion data sets, as described here by a member of the development team. The paper was originally given at a joint meeting of the US/Japan Panel on Wind and Seismic Effects (Borcherdt , 2009). The region of Ilirska Bistrica is one of the most seismically active areas of Slovenia, where 15 damaging earthquakes with maximum intensity equal or greater than V EMS-98 have occurred in the last 100 years. These earthquakes have shown that strong site effects are characteristic of the parts of the town that are built on soft Pliocene clay and sand overlain by Quaternary alluvium. Since there is a lack of boreholes and geophysical and earthquake data, the microtremor horizontal-to-vertical spectral ratio (HVSR) method was applied to a 250 m dense grid of free-field measurements over an extended area and to a 200 m dense grid in the town area in order to assess the fundamental frequency of the sediments. Measurements were additionally performed in ten characteristic houses to assess the main building frequencies. The effects of wind and artificial noise on the reliability of the results were analyzed. The map of the fundamental frequencies of sediments shows a distribution in a range of (1-20 Hz). The lower frequency range (below 10 Hz) corresponds to the extent of Pliocene clays and sand overlain by alluvium, which form a small basin, and the higher frequencies to flysch rocks, but variations within short distances are considerable. The measurements inside the buildings of various heights (2-6 stories) showed main longitudinal and transverse frequencies in the range (3.8-8.8 Hz). Since this range overlaps with the fundamental frequency range for Pliocene and Quaternary sediments (2-10 Hz), the danger of soil-structure resonance is considerable, especially in the northern part of the town. Soil-structure resonance is less probable in the central and southern part of the town, where higher free-field frequencies prevail. These observations are in agreement with the distribution of damage caused by the 1995 earthquake (ML = 4.7, Imax = VI EMS-98), for which a detailed damage survey data is available (Gosar et al., 2009). TLPs are compliant structures designed to withstand moderate loads without damage and severe loads without seriously endangering the occupants. Dynamic behavior of TLPs under distinctly high sea waves in the presence of both horizontal and vertical seismic excitations is examined and method of analysis is discussed. Seismic forces imposed at tether bottom make tether tension unbalanced when the hull is under offset condition. Tether tension varies nonlinearly under vertical seismic excitations generated using KanaiTajimi ground acceleration spectrum. Analytical studies conducted on triangular TLPs show that this tension variation is much higher than the regulation values indicating the necessity for examining them for seismic safety. Clearly, the peaks seen in the response of all active degrees-of-freedom occurring near to the average sum frequencies of waves and input ground motion is a significant influence of seismic excitations on TLP tethers under high sea waves. The numerical results obtained also verify/establish the fact that TLPs 189


built in deeper sea locations show significantly lesser response to the combined wave and earthquake loading (Chandrasekaran et al., 2008). In the 1980s Russian scientists found a thermal anomaly before an earthquake and abnormal cloud above an active fault. In the following 20 years, thermal anomalies were widely studied, however abnormal cloud was seldom reported. Here geostationary satellite sensor data was used to study the abnormal cloud above the Iran active fault. The linear traces with high temperature in thick clouds spread along the main tectonic structures. Sixty - nine days later a M6.3 earthquake occurred close to the abnormal clouds. The same clouds appeared on 25 December 2005 and 64 days later a M6.0 earthquake occurred. In these two cases, the abnormal clouds indicated the rough area of the future epicentre. If geophysical measurement data, satellite thermal data and abnormal cloud data are combined, it is possible that it will contribute to earthquake studies (Guo et al., 2008). A long (15 km) and narrow (4 km) offshore positive temperature anomaly (1.7° C) is observed in the Landsat Thematic Mapper (TM) thermal infrared (TIR) image acquired the day following the large zmit earthquake (Mw 7.4) of 17 August 1999, in eastern Marmara Sea, Turkey. The earthquake was generated along the North Anatolian Fault, which ruptured for about 150 km, and the anomaly formed at the western termination of this rupture. Discussions of this anomaly may develop by processes different than the seismic activity and considerations on fault geometry and sea bathymetry characteristics suggest that the anomaly may result from aftershock activity near the western end of the earthquake fault. The formation of the anomaly requires the addition of a large quantity of hot waters to the sea. The ascent to the sea bottom of fault-driven hot fluids (seismic pumping) and formation of thermal plumes may be the processes by which the sea surface temperature increased. Recent works and the present study suggest that TIR data analysis may be used as a tool in seismological studies (Yurur, 2006). After researching about three earthquakes in China, he indicated to changing the sea level and its raise before earthquake (Zongjen, 1990). For earthquake prediction by measurement of radon and gamma in the air and soil in two location namely; Kraonodar and Stayropor , indicated double increasing of radon gas before earthquake (Tsvetkova et al., 2001).Rikitake et al., 2000, research on many possible done researches about effective causes on earthquake, the role of global warming phenomenon and significant earthquake presages parameters, it is possible to mention these below factors: after taking into consideration of 391 cases of presages and because his research was based on changing the sea level, changing the earth rind and changing the magnetic square, finally he designed a model for periods of ten days Eq.(1) : LogT = 0/6 m - 1/10 T: time of the prediction (day) M: earthquake magnificence

(1)

In connection to role of global warming there are many different ideas that one of them is mentioned below: It is theoretically possible that global warming could cause more earthquakes, due to the melting of the polar ice caps, and the redistribution of weight worldwide. Back when the three gorges dam was starting to be built, some scientists warned that the weight of the water being held behind the dam could cause earthquakes in the region.Likewise, the melting of the ice caps is going to relieve some of the weight that is now stored in the form of millions of tons of ice. In turn, due to the centrifugal forces created by the earths rotation, this water will be redistributed to the equatorial region which will increase the pressure on the sea floors around the world. This accompanied with lunar influences could lead to an increase of seismic events worldwide. All of this will be slow to occur of course, but with the polar ice caps melting at a faster rate than scientists predicted, we could theoretically see this beginning by time the sea level raises fifteen feet. That much water weight would increase stress on faults on the ocean floor, especially in subduction zones like the Cascadia Subduction Zone located off the coast of Oregon, Washington, and Canada. These earthquakes would be devastating to large cities even hundreds of miles away from the ruptured area, and seaside communities would be endangered by massive tsunami's all along the pacific rim.This subject will have to be studied more by geologists over the coming years to decide just how much of a threat this could be(Hubachek,2008). MATERIALS AND METHODS Since 1961 until now happened some ruinous earthquakes in Iran. It could be mentioned some earthquake such as 1990 in Roodbar which is located in Guilan county and in 2000 in Bam which is located in the Kerman county. The location, which is taken into consideration in this research is Guilan one of the northern county in Iran with the area of 14042/3 square kilometre (km^2) in 36 degree and 34 minutes to 38 degree and 27 minutes of northern latitude and 48 degree and 53 minutes to 50 degree and 34 minutes eastern longitude. It nearby Caspian Sea from one side and from other side is in tension of Alborz mountain range. 190


In this research all important earthquake in Guilan county take into consideration in terms of relative danger, during years (1990- 2004). In addition, the important meteorology parameters is considered from before until after earthquake such as, changing the water fluctuations, wind speed and the soil deep temperature. RESULTS AND DISCUSSION In this section after determining the time and the location of earthquake, it is researched on three important meteorology predicators: 1-Caspian Sea oscillations: The result of seismography and earthquakes related to Caspian Sea oscillation are shown in (Fig. 1). (In all of surveys the base level was considered zero),

Fig. 1 . Earthquakes Rishterz(R) related to changes of Caspian Sea oscillation(cm) during earthquakes Also the means of parameter changes are shown in (Table 1). Table 1. The mean of Caspian Sea oscillation(cm) changes during earthquakes(Rishterz-R) CASPIAN SEA RISHTERZ( OSCILLATION(CM) R) 2/5 TO 0 1 ≤ MB < 3 -2/5TO 0 ≤ MB < 3/5 3 -2/5 TO -2 MB ≤3/5 In general the level of Caspian Sea was suddenly reduced but it was mildly rised during earthquakes. In the point of time view, the level changes was highly reduced to( 8 cm) the level reduction was directly proportional with earthquakes Rishterze. 2- Maximum Wind Speed The (Table 2) shows the means of maximum wind speed changes. Table 2. The mean of maximum wind speed changes changes(knote) during earthquakes(Rishterz-R). MAXIMUM WIND RISHTERZ( SPEED(KNOTE) R) 0/6 to 5 1 ≤ MB < 3 1/1 to 0/6 ≤ MB < 3/5 3 2/5 to 1/1 MB ≤3/5 In general the wind speed was reduced during earthquakes. The results showed maximum of wind speed was reduced with time charge during earthquakes( 3.5 to 0.4 knote).In severly ones reduction is more too( Fig. 2).

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Fig. 2. The Guilan earthquakes (Rishterz-R) changerelated to maximum wind speed (Knote) changes. 3-The Soil deep Temperature: The diagram of time charges in earthquake day was shown the most resemblance with time diagram of the day before in 5cm soil deep.The basic forming change in 5 cm soil deep from broken curve to direct one(or reversely) in 3-18 h was shown the earthquake time. About the other deeps, 10 cm soil deep had the most resemblance.The cure change was direct to broken and broken to direct.In warm and cold monthes of the year respectively. We observed temperature reduction in all deep at the day in contrast to the day before.It was more in the cold monthes and commonly seen at soil surface. In general the temperature of 5-10 cm soil deep at earthquake day was reduced in contrast the day before and it reduced hourely. CONCLUSIONS 1-The Guilan earthquake( 2.3 – 3.5 Rishter) was evented in Jirandeh and Astara 64% on June - 20% on October -5% on December and the others in May , July,August,October and November monthes. 2- Caspian Sea oscillation:The level generally was reduced by 8 cm.It is directly proportional with earthquake Rishter. 3- Maximum Wind Speed:It was reduced in the earthquake time related to time changes and reduction was usually more in the sererly ones. 4- The Soil deep Temperature:The diagram of the time chang in the earthquake in the earthquake day was shown the most resemblance to the day before in 5 cm soil deep. The basic from chang in that reigon from broke to direct and revesely in 3-18 (h) was shown the earthquake evention.Finally the most change was related to soil surfaces. REFERENCES Borcherdt., R,D.2009. ، Recording strong motion studies Advances in instrumentation . Building Research & Information 16: 87 – 92. Chandrasekaran., S., M. Gaurav.2008.، Offshore triangular tension leg platform earthquake motion analysis under distinctly high sea waves . Journal of Earthquake Engineering 3: 173 – 184. Gosar., A., M. Martinec.2009 .، Microtremor HVSR Study of Site Effects in the Ilirska Bistrica Town Area (S. Slovenia) . Journal of Earthquake Engineering 13: 50 – 67. Guo., G,B, Wang.2008. ، Cloud anomaly before Iran earthquake . International Journal of Remote Sensing 29: 1921 – 1928. Rikitake, T., N. oshiman and M. Hayasshi. 1993. Macro_anomaly and its application to earthquake prediction Tectono hysics 22:93-106. Tsvetkova., T., M. Monnin .and L. Nevinsky.2001. .،Research on variation of radon and gamma background as a prediction of earchquakes in the Caucasus. Tectonophysics 33: 1 – 5. Yurur M., T.2006 .، The positive temperature anomaly as detected by Landsat TM data in the eastern Marmara Sea (Turkey): possible link with the 1999 Izmit earthquake . International Journal of Remote Sensing 27: 1205 – 1218. Zongjen, M. 1990. Earthquake prediction ، Nine Major Earthquake In china . Seismo Logical Press 44: 583 587.

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SAHARAN DESERT DUST RADIATIVE EFFECTS: A STUDY BASED ON ATMOSPHERIC MODELING D. Santos (1), M. J. Costa (1,2), A.M. Silva(1,2),R. Salgado(1,2), A. Domingues(1), and D. Bortoli (1) (1)

Centro Geofísica Évora, Universidade de Évora, Rua Romalho 59, 7000 Évora, Portugal Departamento de Física, Universidade de Évora, Rua Romalho 59, 7000 Évora, Portugal [email protected], [email protected], [email protected], [email protected], [email protected], [email protected] (2)

ABSTRACT

The investigation of the direct effect of Saharan desert dust storms, through the assessment of the desert dust aerosol radiative forcing at a regional scale is made in this work. The method uses simulated parameters obtained from regional atmospheric modeling. Also, the effect of different surfaces on the dust radiative forcing is analyzed. Another aspect considered in the study is the stratospheric ozone, in order to quantify the influence of varying concentrations on the dust radiative forcing. INTRODUCTION

Atmospheric aerosols play a significant role in the global climate system, since these particles may induce important modifications in the Earth radiation budget. The aerosol effects are generally classified as: direct, related to the scattering and absorption of radiation; semi-direct associated with absorbing aerosols that may be responsible for cloud evaporation; indirect, due to the influence of aerosols on cloud reflectivity and lifetime. The difference in net radiative flux at a given level in the atmosphere, with and without aerosols, defines the so-called aerosol radiative forcing. Accurate estimates of its magnitude give indispensable contributions for the assessment of the Earth’s radiation budget. However, the magnitude of aerosol radiative forcing and its contribution to global warming is subject to considerable uncertainty (IPCC, 2007). The net radiative forcing at the top-of-the-atmosphere (TOA) can be either positive or negative, depending on several key parameters such as the surface spectral reflectance, aerosol single scattering albedo and aerosol optical thickness (Liao and Seinfeld, 1998; Haywood and Boucher, 2000; Kaufman et al., 2002, Satheesh, 2002, Santos et al. 2008). An important fraction of the global production of tropospheric aerosols is originated in the deserts. The most important dust source in the world is the Sahara desert, being responsible for up to half of the global dust emissions. Within Europe, the Iberian Peninsula (in southwestern Europe) is a unique location for desert dust aerosol studies because it is frequently affected by the long-range transport of desert dust plumes advected from Africa (Verver et al., 2000, Wagner et al. 2008). The aim of the present work is the investigation of the direct effect of Saharan desert dust storms, through the assessment of the desert dust aerosol radiative forcing at a regional scale, using atmospheric modeling. The effect of different surfaces on the dust radiative forcing is also investigated. A study of the dust radiative forcing sensitivity to the total ozone column, based on radiative transfer calculations is also presented. METHOD

As mentioned before, this work aims to estimate the desert dust aerosol radiative through regional atmospheric modeling. Three days are chosen for the study: 27, 28 and 29 May 2006. These days correspond to a strong desert dust storm that passes over the Atlantic Ocean and over the SW of the Iberian Peninsula. The MesoNH model (Lafore et al., 1998) is the atmospheric model adopted in this work. This mesoscale, nonhydrostatic model has been jointly developed by the Centre National de la Recherche Meteorologique (CNRM, Meteo France) and the Laboratoire d’Aeérologie (LA, CNRS). A full description of MesoNH model may be found at http://mesonh.aero.obs-mip.fr/. MesoNH can be used to simulate atmospheric circulations from small to synoptic scales (horizontal resolution ranging from a few meters to several tens of kilometers) and it can be run in a two way nested mode concerning up to 8 nesting stages. Parameterizations are included for turbulence (Bougeault et al., 1989), shallow and deep convection (Bechtold et al., 2001) and cloud microphysics (Cohard et al., 2000). MesoNh is also coupled to an

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externalized surface model (SURFEX) which computes the fluxes between the atmosphere and the surface, tacking in account the soil-vegetation-atmosphere exchanges (Noilhan et al., 1996). In order to compute the shortwave and longwave radiative fluxes, the model uses the Morcrette and Fouquart (Morcrette et al.,1986a,b) ECMWF (European Centre for Medium–Range weather Forecasts) radiative transfer model. Clouds and aerosols in the shortwave spectral region are taken into account using the Delta Eddington approximation (Joseph et al., 1976). The dust emission processes are represented by the DEAD (Dust Entrainment and Deposition) Model (Zender et al., 2003). DEAD compute dust fluxes taking into account the surface layer friction velocity, the soil wetness and the percentage of clay and sand in the soil. Dust advection and diffusion are quantified by the MesoNH transport processes. The presence of dust aerosols are tacking in account in the radiation and in the cloud microphysical schemes used in the model. A set of two numerical simulations for the same case study were performed: One considering the dust emissions, through the activation of the DEAD model, and another dust free. In the simulations performed, the MesoNH were initiated and forced by ECMWF analyses. The simulations started at 0000 UTC on 26 May 2006 and ended at 0000 UTC 30 May 2006. The first day of simulation has been used as a model spin-up period. In this work, MesoNH is run in 50km (greatest area) and 10km (smallest nested area) horizontal resolutions, as shown in Fig. 1.

Fig.1. MesoNH nested areas, used in this work, 50km (greatest area) and 10km (smallest nested area) horizontal resolutions. The largest domain is defined between 25º S and 50ºN latitude and 25ºW and 10ºE longitude (which contains the potential dust source) and the smallest domain defined between 28º S and 46ºN latitude and 20ºW and 0º longitude. The vertical resolution, used in this work, consists of 49 layers from the surface up to 24km altitude. The instantaneous direct shortwave (SW) and longwave (LW) dust aerosol radiative forcing ( F ), expressed in units of energy per unit time and area, is defined as:

F = F AER − F CLEAN net

net

(1)

The first term on the right hand side of the equation corresponds to the total net irradiance that suffer an external perturbation due to aerosols and the second term to the total atmospheric net irradiance, at the net

same level, that did not suffer the perturbation. F CLEAN is the net irradiance obtained in the dust free net

simulation and F AER is the net irradiance in the simulation where desert dust scheme is activated. RESULTS AND DISCUSSION

The results presented are related to the smallest embedded domain (10km resolution). The MODIS RGB images for the selected days, 27, 28 and 29 of May 2006, are shown in Figs. 2a, 3a and 4a. For the same days, the modeled cloud fraction, when desert dust is not considered (dust scheme switched off) is presented in Figs. 2b, 3b and 4b and the modeled cloud fraction in the presence of desert dust aerosols (dust scheme switched on) is presented in Figs. 2c, 3c and 4c.

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When desert dust scheme is not taken into account in MesoNH calculations, the total cloud fraction, for the three days considered in the study, is minor than the total cloud fraction in the presence of desert dust aerosols.

a)

b) c) Fig.2. MODIS RGB image (a) and corresponding simulated total cloud fraction in the absence of desert dust aerosols (b) and in their presence (c), for 27 May 2006 (1200UTC).

a)

b) Fig.3. Same as Fig. 2 for 28 May 2006.

c)

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Nevertheless, for the 27 and 28 May the total cloud fraction simulated results seems to be in a good agreement with the actual situation (represented by MODIS RGB images in Figs. 2a, 3a and 4a). Though, on 29 May 2006, the simulated results obtained seem to overestimate the cloud fraction quantities, particularly when desert dust aerosols are considered in the simulations.

a)

b) Fig. 4. Same as Fig.2 for 29 May 2006.

c)

The simulated aerosol optical depth (AOD) in the dust simulation, at 1200 UTC, for the 27, 28 and 29 May is presented on Figs. 5a, 6a and 7a, respectively. On the 27 May, the AOD values are higher then the AOD values for 28 and 29 of May. The dust plume, with its source in the North of Africa, travels through the South of Continental Portugal and Atlantic Ocean, dispersing all over the center of Continental Portugal and towards Madeira Island. Since the main objective of this work is to estimate the direct radiative forcing due to desert dust aerosols, the cloudy regions are not considered and the assessment of desert dust radiative forcing is therefore only made for clear sky conditions. Figs. 5b, 6b and 7b present the simulated AOD values considered for clear sky conditions, on 27, 28 and 29 May 2006.

a) b) Fig.5. Simulated aerosol optical depth (AOD) for all sky conditions (a) and considering only the clear sky areas (b) for 27 of May (1200 UTC).

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Fig.6. Same as Fig. 5 for 28 May 2006.

a)

b)

a)

b)

Fig.7. Same as Fig. 5 for 29 May 2006.

In order to investigate the effect of Saharan desert dust storms, an assessment of the desert dust aerosol direct radiative forcing [Eq. (1)] is made. Figs 8, 9 and 10 show the SW and LW radiative forcing (SWF and LWF, respectively), at the TOA and at the surface levels, obtained for the small nested area modeled (Fig.1) for the days considered in this study. Considering the SWF at the TOA (TOA SWF) and at the surface (SurfSWF) for 27 and 28 May (Figs. 8a, 8b, 9a and 9b), over the Iberian Peninsula and nearby Atlantic Ocean regions, it is possible to observe that the presence of desert dust aerosols in the atmosphere provoke, in the majority of the cases, a cooling effect both at the TOA and at the surface, since negative values of TOASW and SurfSWF are found. Nevertheless this cooling effect is more pronounced at the surface than at the TOA. This situation also occurs for the 29 May (Figs. 10a and 10b) but not so evident, due the fewer data available over the Iberian Peninsula and nearby Atlantic Ocean regions. Considering now the LWF at the TOA (TOALWF) and at the surface (SurfLWF) for all the days under study (Figs. 8c, 8d, 9c, 9d, 10c and 10d), the differences are not so prominent as for the SW radiation. The TOALWF and SurfLWF simulated values are very close.

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a)

b)

c)

d)

Fig.8. Surface (a) and TOA (b) SW radiative forcing and surface (c) and top of the atmosphere (d) LW radiative forcing, for 27 May 1200UTC.

a)

b)

c) Fig.9. Same as Fig. 8 for 28 May 2006.

d)

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a)

b)

c) Fig.10. Same as Fig. 8 for 29 May 2006.

d)

In order to investigate the effect of different surfaces on the dust radiative forcing, two clear sky regions are selected: one region over the Atlantic Ocean, near the Continental Portugal Coast, and another region over land, in Continental Portugal. This selection is made ensuring that the aerosol optical depth (AOD) presents similar values over the land and over the oceanic regions selected. Considering the large lack of simulated clear sky results over the sea region for the 29 May, it is decided not to include this day for the subsequent studies. Figs. 11 and 12 show the simulated results obtained for the vertical profiles of the aerosol optical depth (Figs. 11a and 12a) and desert dust aerosol SW and LW radiative forcing (Figs. 11b and 12b), respectively, averaged over the area of study (land and ocean), during the selected period. 25

25 27 May 28 May

20

Height (km)

Height (km)

20 15 10

15 10

5

5

0 0.00 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 Aerosol Optical Depth

0

a)

27 May SWF 28 May SWF 27 May LWF 28 May LWF

-105 -90

-75 -60 -45 -30 -15 Radiative Forcing (Wm-2) b)

Fig.11. Aerosol optical depth (a) and desert dust aerosol SW and LW radiative forcing (b) over land, for 27 and 28 May 2006.

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0

15


Fig. 11a show the AOD values found, for 27 and 28 May, over the land region. On the 27 May, a maximum averaged AOD value of 0.08 is found and on 28 May the maximum AOD value found is 0.05, in accordance with the fact that the desert dust event was more effectual on the 27 of May, starting then to disperse. Considering Fig. 11b, over the land area, it is possible to observe that, for the SW radiative forcing (SWF), on the 27 May, lower values are found (SWF averaged value of -103 W/m2 at the surface and -24 W/m2 at the TOA) compared with the corresponding values for 28 May (SWF averaged value of -86 W/m2 at the surface and -17 W/m2 at the TOA) .This difference can be related to the fact that the AOD values found for 27May are higher than the corresponding ones for the 28 May. As for the LW radiative forcing (LWF) at the surface (Fig. 11b), a cooling LW effect is found for the 28 May, but for 27 May a warming LW effect is found. This may be related to the fact that the AOD values on 27 May are higher than the corresponding AOD values on 28 May, although not always evident from Fig. 11a; in fact, dust aerosols can, effectively, reduce the earth’s LW emission leading to a LW warming effect (Tegen et al., 1996). Nevertheless, the LWF values in altitude, for days, have a tendency to approximate and, at the TOA, the values are very close (-3 W/m2 for 27 May and -2 W/m2 for 28 May), also because, the dust layer is located well below. 25

25 27 May 28 May

20 Height (km)

Height (km)

20 15 10

15 10 5

5 0 0.00

27 May SWF 28 May SWF 27 May LWF 28 May LWF

0.02

0.04 0.06 0.08 Aerosol Optical Depth

0 -120

0.10

a)

-100

-80 -60 -40 -20 Radiative Forcing (Wm-2)

0

20

b)

Fig.12. Aerosol optical depth (a) and desert dust aerosol SW and LW radiative forcing (b) over ocean, for 27 and 28 May 2006.

Over the sea region, regarding now Fig. 12b, for the LWF values found, on 27 May, it is possible to observe, for the most part, a LW warming effect (positive LWF values) , on the other hand, on 28 May, and below 5km altitude, a LW cooling effect (negative LWF values) is found. Nevertheless, as the altitude increases, the LWF values, for 28 May, tend to -4 W/m2 and, for the 27 May the corresponding values come near 1 W/m2. Considering Fig. 12c, for the SW radiative forcing (SWF), for the 27 May, lower values are found again (SWF averaged value of -23 W/m2 at TOA and -116 W/m2 at the surface) compared with the corresponding values for 28 May (SWF averaged value of -17 W/m2 at TOA and -69 W/m2 at the surface). This difference can, once again, be related to the fact that the AOD values (Fig. 12a), on 27 May, are higher (maximum averaged value of 0.1) than the AOD values for 28 May (maximum averaged value of 0.04). Regarding now the SWF values found for oceanic and land regions (Figs. 11b and 12b) it is possible to observe that, for similar type of aerosols (similar AOD values found in Figs. 11a and 12a), on the 27 May, over sea region, the SWF values, at the surface, are more negative than the corresponding values found over the land region. This may be related to the fact that, the AOD values over ocean are slightly higher than the corresponding values found over land, meaning that, if more desert dust diffusing aerosols are present over ocean, they will reflect more SW radiation backwards. However, when one looks at 28 May, the SWF values over the sea region, at the surface, are less negative than the corresponding values found over the land region. Taking into account that the AOD values found (Figs. 11a and 12a), for this day, don’t differ much; the effect that can explain this difference in SWF values may be the underlying surface. The land surface reflects more SW radiation than the ocean surface, meaning then, for almost the same AOD values, a more negative SWF is found over land. As for the TOA SWF values, presented before, for both days and both regions, it is possible to observe that, the underlying surface does not appear to have a great impact on the estimation of the TOA SWF. The effect of the underlying surface doesn’t seem, apparently, to interfere in the estimation of LWF at TOA (Figs. 11b and 12b) over sea or over land regions. A study of the dust radiative forcing sensitivity to the total ozone column, based on radiative transfer calculations with libRadtran radiative transfer model (Mayer et al., 2005), is presented. The results shown in 200


Fig. 13 illustrate the changes in SW and LW dust radiative forcing, at the surface, as a function of ozone column and solar zenith angle (for the SW). To note that great changes in the ozone column have very low impact on the dust radiative forcing. This is probably connected to the fact that radiative forcing is obtained from broadband calculations (SW: 250-4000nm; LW: 4000-100000nm) and ozone bands do not contribute significantly to the whole spectral band. Surface SW: SZA=0º SW: SZA=20º SW: SZA=40º LW

SW radiative Forcing (W/m2)

-65

16 15.5 15 14.5

-70

14 -75

13.5 13

LW radiative Forcing (W/m2)

-60

-80 12.5 -85 150

200

250

300

350

400

12 450

Ozone Column (DU)

Fig.13. SW and LW dust radiative forcing, at the surface, as a function of ozone column and solar zenith angle.

CONCLUSIONS

This work aims to investigate the direct effect of Saharan desert dust storms that occurred in the end of May 2006, through the assessment of the desert dust aerosol radiative forcing (both the SWF and LWF at the TOA and at the surface levels) at a regional scale. Also, the effect of different surfaces (land and sea surfaces) on the dust radiative forcing is analyzed. The method uses simulated parameters obtained from regional atmospheric modeling. The simulated results are generally in agreement with the reality although the model overestimates the total cloud fraction parameter for the regions under study. When desert dust aerosols are present in the atmosphere, a SW cooling effect is found both at the TOA and at the surface, being more negative at the surface than at the TOA. The LW forcing sign shows a dependency on desert dust AOD. A LW warming effect is found when highest AOD values are also found. For similar AOD values the underlying surface seems to interfere in the assessment of the aerosol radiative forcing taking into account that, over land region, a more negative SW forcing is found when compared with the corresponding value over the ocean. The change of the total ozone column seems to have a small impact upon the SW and LW dust radiative forcing, at the surface, suggesting the need of further investigation. Acknowledgements

The work was funded by the Portuguese FCT through grant SFRH/BD/27870/2006 and through project PTDC/CTE-ATM/65307/2006. NOMENCLATURE F aerosol radiative forcing W/m2 net

F AER net irradiance when desert dust aerosols are present W/m2 net F CLEAN net irradiance when desert dusts aerosols are not present W/m2

TOASWF shortwave aerosol radiative forcing at the top of the atmosphere W/m2 SurfSWF shortwave aerosol radiative forcing at the surface W/m2 TOALWF longwave aerosol radiative forcing at the top of the atmosphere W/m2 SurfLWF longwave aerosol radiative forcing at the surface W/m2

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REFERENCES Alfaro, S. C., and L. Gomes. 2001. Modeling mineral aerosol production by wind erosion: Emission intensities and aerosol size distributions in source areas. J. Geophys. Res..106(D16): 18,075–18,084. Bechtold, P., E. Bazile, F. Guichard, P. Mascart, and E. Richard. 2001. A mass-flux convection scheme for regional and global models. Q. J. R. Meteorol. Soc.127: 869-886. Bougeault, P., and P. Lacarrére. 1989. Parameterization of orography-induced turbulence in a meso-beta model. Mon. Weather Rev., 117: 1872-1890. Cohard, J., and J. Pinty. 2000. A comprehensive two-moment warm microphysical bulk scheme. II: 2D experiments with a non-hydrostatic model. Q. J. R. Meteorol. Soc., 126: 1843-1859. Costa, M. J., A. M. Silva, and V. Levizzani. 2004. Aerosol Characterization and Direct Radiative Forcing Assessment over the Ocean. Part I: Methodology and Sensitivity Analysis. J. Appl. Meteorol. 43:1799-1817. Costa, M. J., B. J. Sohn, V. Levizzani, and A. M. Silva. 2006. Radiative Forcing of Asian Dust Determined from the Synergized GOME and GMS Satellite Data - A Case Study. J. Meteorol. Soc. Jpn. 84(1): 85-95. Grini, A., Tulet, P., and Gomes, L., " Dusty weather forecast using the MesoNH atmospheric model, " J. Geophys. Res., 111. doi:10.1029/2005JD007007 (2006). Haywood, J., and Boucher, O. 2000. Estimates of the direct and indirect radiative forcing due to tropospheric aerosols; a review. Rev. Geophys. 38:513-543. IPCC. 2007. Climate Change 2007: The Physical Science Basis. Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Solomon, S., D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M. Tignor and H.L. Miller (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.

Joseph, J., W. Wiscombe, and J. A. Weinman .1976. The Delta-Eddington approximation for radiative flux transfer, J. Atmos. Sci., 33, 2452–2459. Kaufman, Y. J., Tanré, D., and Boucher, O. 2002. A satellite view of aerosols in the climate system, Nature 419: 215-223. Lafore, J.-P., J. Stein, N. Asencio, P. Bougeault, V. Ducrocq, J. Duron, C. Fischer, P. Héreil, P. Mascart, V. Masson, J.-P. Pinty, J.-L. Redelsperger, E. Richard, and J. Vilà-Guerau de Arellano. 1998. The Meso-NH Atmospheric Simulation System. Part I: adiabatic formulation and control simulations. Scientific objectives and experimental design. Ann. Geophys. 16: 90-109. Liao, H., and Seinfeld, J. H. 1998. Radiative forcing by mineral dust aerosols: sensitivity to key variables. J. Geophys. Res. 103:31637-31645. Masson, V. 2000 . A physically-based scheme for the urban energy balance in atmospheric models Boundary Layer Meteorol. 94: 357–397. Mayer, B., and A. Kylling. 2005. Technical note: The libRadtran software package for radiative transfer calculations: Description and examples of use. Atmos. Chem. Phys. 5 : 1855–1877. Morcrette, J.-J. and Fouquart, Y., 1986a. The overlapping of cloud layers in shortwave radiation parameterizations. J. Atmos. Sci.43:321-328. Morcrette, J.-J., Smith, L. and Fouquart, Y. 1986b. Pressure and temperature dependence of the absorption in longwave radiation parametrizations. Beitr. Phys. Atmos. 59 : 455-469. Noilhan, J., and J. Mahfouf .1996. The ISBA land surface parameterization scheme, Global Planet. Change 13: 145–159. Santos, D., M. J. Costa, and A. M. Silva. 2008. Direct SW aerosol radiative forcing over Portugal, Atmos. Chem. Phys. 8:5771-5786. Satheesh, S.,K. 2002. Aerosol radiative forcing over land: effect of surface and cloud reflection. Ann. Geophys. 20: 2105-2109.

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Suhre, K., et al. .1998. Physico-chemical modeling of the First Aerosol Characterization Experiment (ACE 1) Lagrangian B: 1. A moving column approach J. Geophys. Res. 103(D13) 16:433–16,455. Tegen, I., A. A. Lacis, and I. Fung. 1996. The influence on climate forcing of mineral aerosols from disturbe soils. Nature, 380: 419-422. Tulet, P., M. Mallet, V. Pont, J. Pelon, and A. Boone. 2008. The 7-12 March dust storm over West Africa: Mineral dust generation and vertical layering in the atmosphere. J. Geophys. Res., 113: D00C08, doi:10.1029/2008JD009871. Tulet, P., Carssier, V., Cousin, F., Shure, K., and Rosset, R. 2005. Orilam, a three moment lognormal aerosol scheme for mesoscale atmospheric model.on-lin coupling into the MesoNH-c model and validation on the Escompte campaign. J. Geophys. Res.,110. doi:10.1029/2004JD005716. Verver G, F. Raes, D. Vogelezang and D. Johnson. 2000. The 2nd Aerosol Characterization experiment: meteorological and chemical overview. Tellus, 52B:126-140. Wagner, F., D., Bortoli, S. Pereira, M.J. Costa, M. J., A. M. Silva, B. Weinzierl, M. Esselborn, A. Petzold, K. Rasp, B. Heinold and I. Tegen. 2008. Properties of dust aerosol particles transported to Portugal from the Sahara desert. Tellus, 61B:297-306. Zender, C., H. Bian, and D. Newman. 2003. The mineral dust entrainment and deposition (DEAD) model: Description and global dust distribution. J. Geophys. Res. 108 (D14):4416.

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ULTRAVIOLET ACTINIC FLUXES: MEASUREMENT AND DERIVATION Webb, Ann Ruth, Seroji, Abdulaziz and Kift, Richard University of Manchester Institute of Science and Technology Physics Department, P.O.Box 88, Manchester, M60 1QD, UK Phone +44 161 200 3917, Fax +44 161 200 3941 E-mail [email protected]; [email protected]; [email protected]

ABSTRACT The majority of radiation monitoring sites measure irradiance (the radiation incident on a flat surface), either spectrally or in one or more wavebands. For some applications other measures of radiation may be more appropriate, for example in atmospheric chemistry the actinic flux (radiation incident on a very small sphere) is the desired quantity. Simultaneous measurements of actinic flux and irradiance with both spectral and multi-band radiometers have been used to derive empirical algorithms for converting from UV irradiance measurements to either spectral actinic fluxes or directly to atmospherically important photolysis rates. Using only spectral irradiance data and solarimeter data to identify sky conditions, the spectral actinic flux can be estimated to within 10% of measured values. Where sky conditions are unknown or unstable the uncertainty increases to 20%. Multi-band (5-channel) radiometer irradiance data can be used to estimate photolysis rates for ozone (O 3 ) and nitrogen dioxide (NO 2 ) to within 6% of measured values in clear conditions, the uncertainty rising to between 8 and 16% in overcast and changeable conditions. Keywords: ultraviolet radiation, actinic flux, irradiance, photolysis rates, empirical methods 1. INTRODUCTION Ultraviolet (UV) radiation is a significant driver of atmospheric chemistry since photodissociation of several important species occurs at these wavelengths. The vast majority of solar ultraviolet (UV) measurements, spectral or broadband, refer to irradiance that is the radiation incident on a flat, horizontal surface. However, for atmospheric chemistry where the targets are molecules, the actinic flux (or scalar irradiance, the radiation incident on the surface of a very small sphere) is more appropriate. Since UV irradiance measurements are most commonly available, the ability to convert such measurements into actinic fluxes or photolysis rates, with an acceptable level of uncertainty, would extend the use of irradiance measurements and provide additional information for studies in which actinic fluxes may be a more appropriate measure of the incident radiation. The relationship between irradiance and actinic flux depends on the radiance distribution across the sky hemisphere, and so on the scattering that takes place in the atmosphere. This in turn is a function of wavelength, solar zenith angle, aerosol and cloud. Surface reflectivity can also be important, especially in a highly reflective environment (eg snow cover) where reflected radiation contributes directly to the full spherical actinic flux, but only indirectly (via atmospheric backscattering) to the irradiance. 2. UV MEASUREMENTS Actinic fluxes were measured directly by a Bentham DTM300 scanning spectroradiometer covering the wavelength range 290-500nm with actinic (no angular weighting) input optics. The instrument measured radiation from the sky hemisphere only, but close to the ground in a low reflectivity environment this is virtually equivalent to the full actinic flux. Both the irradiance and actinic fluxes from this instrument had previously been subject to intercomparison with other measures of the same quantities and found to agree within 4% (Webb et al., 2002a). Spectral irradiances were measured with a Bentham DM150 scanning spectroradiometer (at Reading, UK) and a GUV-541 multi-band radiometer (at Manchester, UK). Both instruments have input optics with a cosine weighting. The spectroradiometer covers the same wavelength range as for actinic fluxes and the radiometer measures over five narrow bands in the UV, centred at 305, 313, 320, 340 and 380nm. The Bentham DTM300 was collocated at the two sites for several periods of simultaneous measurement of actinic flux and irradiance.

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Synchronised spectral measurements of irradiance and actinic flux from Reading were used to derive the empirical inputs to an equation giving the ratio of actinic flux to irradiance (F/E). Thereafter, if irradiance is known the actinic flux can be derived. Since the ratio F/E depends on the variable scatterers in the atmosphere, the derived actinic flux has lower uncertainty if some additional information is available about the atmospheric conditions, ideally direct sun measurements. Large changes in aerosol type, with season for example, would also affect the empirical conversion. At Reading there were no direct beam measurements. However, it was possible to determine whether or not the sky was overcast from a combination of solarimeter data and the output of a visible photodiode monitored during each scan. The disadvantage with the scanning instruments is that they can take several minutes to gather a spectrum, during which time sky conditions (cloud) can change significantly. The multi-band GUV radiometer at Manchester samples all five channels virtually simultaneously at a rate of 2-3Hz. Initial comparisons with the DTM300 spectroradiometer were made in clear conditions, averaging the GUV data over the time period of the Bentham scan. The resulting empirical equations were then tested under a range of sky conditions including broken cloud and fully overcast. Since the GUV provides only coarse spectral data the actinic fluxes were not explicitly derived from the GUV irradiances, instead the empirical derivation gives photolysis rates directly. 3. DERIVATION PROCEDURES 3.1 Spectral actinic fluxes The ratio of actinic flux to irradiance close to a non-reflecting surface can be reduced to the expression as in Eq. (1) (Webb et al., 2002b)

 Eo 1 F = α +  − α  E E µ

(1)

The actinic flux F = F0 + F↓ + F↑ where F0 is the direct beam component, F↓ is the downward diffuse component, and F↑ is the upward diffuse component. Similarly E = E0 + E↓ and α = F↓ / E↓, β = F↑ / E↑. In the Reading monitoring situation only E and µ were known, and the challenge was to determine α and E 0 , and hence F. When the sky is completely overcast, E 0 = 0, and if the radiation is isotropic, then F/E = α = 2. Van Weele et al. (1995) measuring broadband UVB and UVA over a range of sky conditions, concluded that F/E = 2.0 +/- 0.5. For overcast conditions at Reading an average α was calculated over a range of solar zenith angles and wavelengths, and this average value of 1,75 was then applied to all other measurements identified as overcast. In clear conditions α acquires both a wavelength and solar zenith angle dependency, and a dependency on atmospheric aerosol (scatterers). The latter cannot be accounted without some measure of atmospheric aerosol and is a major source of uncertainty in α and hence in the derived value of F. To define empirical values of α some figure for E 0 was required. This was calculated from a simple radiative transfer model (Gueymard, 2001) using aerosol optical depth representative of urban conditions, and for the range of solar zenith angles experienced at Reading (51,5N). Matching E 0 to the measurements of F and E, by zenith angle and wavelength, on a number of clear days enabled corresponding values of α to be produced, resulting in a look-up table of α and E 0 values as a function of solar zenith angle and wavelength. Thereafter, the site specific look-up table could be used to find the ratio F/E and hence F. Conditions that have not been dealt with directly are those where there is some direct beam radiation but it is strongly reduced by either thin cloud, e.g. a layer of cirrus, or a heavy haze layer. In such cases the F/E ratio rapidly loses much of its zenith angle and wavelength dependency (as observed in Webb et al., 2002a) and approaches the overcast sky value. These situations are the most difficult to identify and correctly allocate to either a clear or overcast conversion process. Fig. 1 shows the ratio of derived and measured values of F/E for measurements made over a 4 month period (March – June, 2001) at Reading. The matching plot for the UVA waveband is very similar, though with slightly fewer outliers. The majority of the predictions, and virtually all those for clear and overcast skies,

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lie within 10% of the measured values. The uncertainties for broken sky conditions increase, but in general lie within a 20% error boundary. Allocating the conversion procedure becomes more difficult in these cases especially when the measurements were not perfectly synchronised (as sometimes happened), and cloud was changing rapidly.

Fig. 1. The ratio of predicted to measured values of F/E for all sky conditions at Reading as a function of 1/ (cosine SZA) for the integrated UVB waveband. 0.01 Ben.NO2 GUV.NO2

J(NO2) (1/s)

0.0075

0.005

0.0025

0 4:00

6:24

8:48

11:12

13:36

16:00

18:24

20:48

Time (GMT)

Fig. 2. Measured (Ben) and derived (GUV) values for the photolysis of NO2 on an overcast day.

3.2 Photolysis rates The photolysis rate of a species depends on the incident actinic flux, F (λ), the absorption cross-section, σ(λ), and quantum yield, φ(λ) over the effective wavelength range, for example for ozone:

J (O 3) =

λ = 375

∫σ

φ ( λ ) F ( λ ) dλ

(λ )

(2)

λ = 280

In order to derive photolysis rates empirically from the GUV radiometer measurements, the simultaneous spectral actinic fluxes from the Bentham were used to calculate the photolysis rates for J(O3) and J(NO2) (wavelength ranges 280-375nm and 280-420nm respectively) using Eq. (2). The calculation was made for the full waveband, and also over the five discrete wavebands matched to the bandpass functions of the GUV channels. A relationship between actinic flux and irradiance could then be found for each channel, and is

206


implicit in the next step which was to derive an empirical relation between the weighted sum of the radiometer bands and the full photolysis rates. For J(O3) the GUV-541 channels centred at 305, 313, 320 and 340nm were used (weighting decreases with wavelength), while for J(NO2) all the channels were used (weighting increases with wavelength). The agreement between the GUV-derived photolysis rates from the empirical equation and those calculated from the spectral actinic flux measurements at different solar zenith angles agreed within ±16% under all sky conditions tested. In clear conditions the uncertainty was only ±6%, while in fully overcast conditions (Fig. 2) it was ±7% around an average ratio of measured to derived photolysis rates of 0,99 for both O3 and NO2. In partially cloudy and changing conditions the uncertainties increased to ±16% while the ratios measured to derived photolysis rates were 0.99 and 0.95 respectively. This compares well with other methods of measuring photolysis rates. Applying this empirical method to GUV data monitored in Manchester (UK) shows the UV driven photolysis rates for this city centre site over the period of a year (Fig. 3). Note the greater annual variation in the photolysis rates of O3 compared to NO2, due to its greater dependence on short UVB wavelengths.

2.5E-05

1.2E-02

1.0E-02

J[NO2] (1/s)

J[O3] (1/s)

2.0E-05

1.5E-05

1.0E-05

8.0E-03

6.0E-03

4.0E-03

5.0E-06

2.0E-03

Jul01 Sep -01 Nov -01 Dec -01 Feb -02

Jun -01

Apr -01

Feb -01

Nov -0

0 Jan -01

Jul01 Sep -01 Nov -01 Dec -01 Feb -02

Jun -01

Apr -01

0.0E+00

Feb -01

Nov -0

0 Jan -01

0.0E+00

Fig. 3. The annual derived photolysis rates for O3 (left) and NO2 (right) for Manchester for year 2001.

CONCLUSION It has been shown that UV spectral or multi-band irradiance measurements can be converted into spectral actinic fluxes and photolysis rates for O 3 and NO 2 within a reasonable uncertainty. Spectral actinic fluxes have an uncertainty of 10% in clear or stable overcast conditions, increasing to 20% in broken cloud or rapidly changing situations. Photolysis rates have an uncertainty of 6% in clear conditions, increasing to 16% in partial cloud conditions. Both empirical methods could be improved with supporting measurements e.g. direct sun data, the above uncertainties apply to the simple UV monitoring situation when only the irradiance data is available. ACKNOWLEDGEMENTS The derivation of spectral actinic fluxes was supported by the European Commission as part of the ADMIRA project (EVK2-CT-1999-00018). The irradiance monitoring was supported by the UK Department of the Environment, Food and Rural Affairs. The photolysis work was part of Mr Seroji’s postgraduate studies sponsored by the Saudi Arabian Government.

REFERENCES Van Weele, M., De Arrelano, J.V-G., And Kuik,F. 1995. Combined Measurements Of Uv-A Actinic Flux, Uv-A Irradiance And Global Radiation In Relation To Photodissociation Rates. Tellus, 47b, 353-364.

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Webb, A.R, Bais, A.F., Blumthaler, M., Gobbi, G-P., Kylling,A., Scmitt,R., Thiel, S., Barnaba, F., Danielsen, T., Junkermann, W., Kazantzidis, A., Kelly, P., Kift, R., Liberti, G.L., Misslbeck, M., Schallhart, B., Schreder, J. And Topaloglou,C. 2002a. Measuring Spectral Actinic Flux And Irradiance: Experimental Results From The Admira (Actinic Flux Determination From Measurements Of Irradiance) Project. J. Atmospheric And Oceanic Technology, 19(7), 1049-1062. Webb, A.R., Kift, R., Thiel,S. And Blumthaler M. 2002b. An Empirical Method For The Conversion Of Spectral Uv Irradiance Measurements To Actinic Flux Data. Atmos. Env., 36, 4397 – 4404. Gueymard, C. 2001. Parameterized Transmittance Model For Direct Beam And Circum-Solar Spectral Irradiance. Solar Energy, 71, 325-346.

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THE STUDY OF BEECH GROWTH IN ELEVATION LEVELS WITH TREND OF CLIMATIC CHANGES IN NORTH WEST FORESTS OF IRAN Alireza Eslami1, Mahmoud Roshani2 1

Assistant professor, Islamic Azad university Rasht branch, Rasht, Iran 2 Instructor Islamic Azad university Rasht branch, Iran Email: [email protected] & [email protected]

ABSTRACT Tree growth is following climatic variable conditions so that climatic elements variations effect directly on its growth and distribution. The purpose of this study was to investigate the relationship between radial growth and climatic parameters variations (temperature and precipitation). The present study was conducted in the Asalem forests, Guilan province which located in northern part of Iran. The 180 sample discs were selected by selective sampling method in three elevation levels with respect to climatic data in 38 year-old period (1966-2003). Results revealed that the growth trend with 7-10 years-old period were different in diameter classes and there is not the same growth trend in the different diameter classes. So that Data analysis showed that there is a reversed relation between the growth and elevation (three elevation regions), the growth trend index had no conformity with temperature and precipitation at winter and autumn; however there were conformity with temperature index in small diameter classes and with rainfall index in large diameter classes in the seasons of spring and summer. KEYWORD: climate variables, growth, elevation levels, selective sampling, north west of Iran INTRODUCTION

The Caspian region is a humid zone in northern Iran with an annual precipitation of between 600 mm in the east and 2000 mm in the west of the region. The Fagus Orientalis is the common dominant tree species in northern forest of Iran that it is situated in a belt which lies between 700 and 2000 m a.s.l. (Sagheb-Talebi & Schutz, 2002 and Sagheb-Talebi et al., 2004) and due to height, physiological tolerance and competitiveness, it would be the dominant tree species at most of the sites so it covered 17.5% of the surface and accounted 30% of volume (Sagheb-Talebi & Eslami, 2008 and Marvie-Mohadjer, 2005). The Fagus orientalis, as climax specie, is under climatic variable conditions so that climatic elements variations effect directly on its growth and distribution. Beech growth depends on climatic conditions. Piovesam et al. (2005)'s study with respect to diameter increment in beech forest of Apennines zone, Italy indicated that there was significant relationship between the growth trend and annual temperature. Investigation of annual climatic variations on canopy growth at rain forests of Costa Rica by Clark and Clark (1994) showed that there was not any relationship between seven rainy years and growth pattern, although the most growth has occurred in two nearly-dry years. Likewise mature trees have the most reactions to rainy years (Clark and Clark, 1994). Skomarkova et al. (2006), studied variability of radial growth and tree-ring structure using beech (Fagus sylvatica L.) from Central Germany (Hainich and Leinefelde site) and Italy (Collelongo). At this study tree-ring width is correlated with the climatic conditions at the beginning of the growing season, maximum density correlates with temperatures. Hoshino et al. (2008) analyzed the radialgrowth variations of Japanese beech using two site chronologies for the northernmost part of Honshu Island. He found that the raw ring-width series showed abrupt growth depressions at interannual to bidecadal intervals. In addition, the climate–growth response analysis suggested that the optimal growth of Japanese beech largely depends on above-average temperature in the previous summer. The purpose of this study was to investigate the relationship between radial growth- climatic parameters variations (temperature and precipitation) in northern forest of Iran. MATERIAL AND METHODS SITE OF STUDY

The present study was conducted in Asalem region, Talesh County, Guilan province, which located in the southwestern part of Caspian Sea. The Asalem region is located between 37 ۫ 38′ 00″ N and 37 ۫ 40′ 30″ N, 48 ۫ 43′ 30″E and 48 50 ۫ 22″ E. This research carried out in the 1, 2 and 3 districts of Nav Forestry Design, in the beech site of mountainous regions (Table 1).

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Table.1. the characteristics of the investigated regions

Series

Longitude

Latitude

Height

1

48°50´22

37°40´30˝

850-1000

2

48°45´06˝

37°38´00˝

1000-1300

3

48°43´30˝

37°40´30˝

1440-1650

In order to determine the measure of beach radial growth on the base of environmental and economic regards, we selected samples from 850-1600 m a.s.l. METHOD

From each diameter classes (10 to 105cm) 3 discs were selected from removed trees by using selective sampling method and general characteristics of site and samples were recorded (north and northwestern direction and 10 to 40% of slope gradient). A total of 180 samples of discs (60 samples in each site) were selected. The data were collected between April 2007 and September 2007.To compute annual rings-width were used gauge loop in two directions at a 38 year-old-period (1966-2003). Growth data was normalized and F test at 0.05 levels was significant by Kolmogorov-Smirnov statistical test for three elevation levels, but this was not significant between radial classes (Table 2). Table.2. Statistical analysis of the elevation and growth classes

Variation source

Freedom degree

Mean squares

F

2 2

14.96 4.20

0.0015* 0.147

Elevation classes Radial classes *p≤0.05

Therefore, regarding the lack of a distinct difference, mean growth of three elevation levels in every radial class has been considered as growth of this radial class. Annually relationship of elevation with temperature was estimated 0.998 (R2=0.998, an equation 1 degree), while this relationship with rainfall is 0.967 (R2=0.967, an equation 3 degree). This equation for temperature is following:

T=-0/0039h+15/79

(1)

And for rainfall is following: P=-7E-07h3+0/0027h2-2/8366h+1551/7

(2)

Climate records in this region are obtained from two meteorological stations, Kharjegil and Pilambera stations. To analysis climatic data Z scores were used. The range of Z scores were changed between +4 to -4. This index compared with zero score as a base line, so positive coefficients indicate increasing precipitation and negative

210


coefficients indicate decreasing precipitation rather than mean of the period. Excel software was used to analysis data. RESULTS AND DISSCUSSION

A significant difference of the mean growth is observed between low elevation region and other two regions. The greatest and the lowest growth, therefore, are seen in the low and high elevation regions, respectively, although it does not exist a significant difference with moderate elevation region (Fig.1).

4 3.5

Growth

3 2.5 2 1.5 1 0.5 0 region1

region2

region3

Figure.1. Growth in different elevation levels As shown figure 2, increasing trend of growth in 45 cm diameter class had conformity with oscillation trend of precipitation and especially temperature. Increasing trend of temperature and precipitation at 70 cm diameter class had not conformity with growth index in spring, and it has acted inversely. On the other hand, growth trend, especially in the late of the period, were declined by increasing temperature and precipitation. 7

D-B-H70/radius growth spring precipitation

D-B-H45/radius growth spring temperature

D-B-H95/radius growth

5

value of index

3 1

-1 -3 -5 -7 1966

1971

1976

1981

y ear

1986

1991

1996

2001

Figure.2. relationship between growth, temperature and precipitation indexes in 45, 70 and 95 cm diameter classes (spring) Overall trend of three indexes was positive in the 95cm diameter class; however the increasing periods of growth index had conformity with the decreasing periods of temperature and precipitation. These periods have been repeated in 8-10 years alternatively (Fig.3).

211


7

D-B-H45/radius growth annual temperatur


D-B-H70/radius growth annual precipitation

5

value of index

3 1

-1 -3 -5 -7 1966

1971

1976

1981

y ear

1986

1991

1996

2001

Figure.3. Relationship between growth, temperature and precipitation indexes in 45, 70 and 95 cm diameter classes (annual) Investigation of growth index trend in compared to climatic parameters revealed that, the precipitation have increased periodically. Also, temperature had increasing trend too. This trend had agreement with 45cm and 95 cm diameter classes, but trend of these three indexes in 95 cm class had less gradient rather than 45cm class. Examination of annual radial growth with temperature and precipitation index (1966-2003) indicated that increasing temperature and precipitation index caused to increasing growth index (45-95 cm diameter classes). However, the 70 cm diameter class had inversely reaction with regard to increasing trend of temperature and precipitation (Fig.4). It be concluded that in annually scale, temperature, precipitation and growth index have been increased. Analysis of growth curve with temperature and precipitation index in autumn and winter indicated that there was no any trend between above-mentioned indexes; however there was conformity between increasing trend of growth index and decreasing trend of two parameters in the beginning of period (1966-2003). But after 1974 there weren't any significant trends between them (Fig.5 and 6).

7

D-B-H45/radius growth autumn temperature


D-B-H70/radius growth autumn precipitation

5

value of index

3 1

-1 -3 -5 -7 1966

1971

1976

1981

y ear

1986

1991

1996

2001

Figure.4. relationship between growth, temperature and precipitation indexes in 45, 70 and 95 cm diameter classes (autumn)

212


7

D-B-H45/radius growth winter temperature

D-B-H70/radius growth winter precipitation


5

value of index

3

1

-1

-3

-5

1966

1971

1976

1981

y ear

1986

1991

1996

2001

Figure.5. relationship between growth, temperature and precipitation indexes in 45, 70 and 95 cm diameter classes (winter) 7

D-B-H45/radius growth summer temperature


D-B-H70/radius growth summer precipitation

5

value of index

3 1

-1 -3 -5 -7 1966

1971

1976

1981

year

1986

1991

1996

2001

Figure.6. relationship between growth, temperature and precipitation indexes in 45, 70 and 95 cm diameter classes (summer) According to Mir Kazemi and Mir Badian et al. (2005)'s study beech has two different seeding period (plentiful period: 3-18 and slight period: 1-5 years) that it could be effected on growth trend. According to affection of climate parameters (precipitation and temperature) on beech species there was not any conformity pointy (year– to-year), while there was logical relation between growth index and climatic parameters in different seasons. Considering to conformity of growth trend with climatic indexes in autumn, in same case there was not any special trend in precipitation and temperature index (Fig. 4). There was same trend in winter season too (Fig.5). Increasingly trend of precipitation and temperature index in spring and summer had different effects on growth index in different diameter classes. This mean that by increasing temperature and precipitation, growth index was positive in low diameter class, while this index was negative in medium classes. In high diameter classes, the growth index was positive by soft gradient. In annual scale, this relation is similar to spring and summer seasons (Fig.1 and 5). Sensitive of low diameter classes (lower than 45cm) to temperature and precipitation changes (especially in warm season and annually) is more than high diameter classes (up to 90cm). In the other word, mature trees had more interaction to climatic variations. In the most cases of pointy analysis there is conformity between temperature and growth index in low diameter classes and between precipitation and growth index in high diameter classes. Increasing of winter precipitation can be caused to increase growth

213


index in the next year. These results underpin Piovesam et al. (2005)'s study in beech forests, Italy. While Garfinkle and Brubaker (1980) reported that there was relationship between diameter growth with temperature in autumn and winter seasons, but there was not the same relationship in the site of this study. CONCLUSION

Data analysis (Fig.7) showed that there is a reversed relation between the growth and elevation (three elevation regions), so that growth decreases with increase in elevation. Thus in every diameter class, regarding several factors effects on growth in different ages (such as competition in primary ages, done interferences, social conditions of trees and physiological features), there is no significant difference in three elevation levels. 4 3.5

3.19

2.99

3

2.73

Growth

2.5 2 1.5 1 0.5 0 >55

55-85 Diameter class

85>

Figure.7. Relationship between diameter classes with growth rate Based on the reversed relation between the growth and elevation; figure 1 shows that the greatest growth is observed in younger trees (diameter less than 55 cm). In order to examine the relationship between growth index and climatic parameters, (temperature and propitiation), three samples were selected from each diameter class in three different altitudes (districts 1, 2 and 3). Analysis of growth curves in specific duration (38 years) of study reveal that there is not the same growth trend in the different diameter classes, however diameter classes which were between 10-50 cm had positive growth trend (increasing), and diameter classes between 50-65 cm had no conformity with any special trends (however the maximum annual radial growth was seen in this class). The growth trend was negative in 65-85cm diameter classes and amount of growth have been decreased rather than lower diameters in the period of study. In addition, from 90 cm diameter class is increasing growth trend again, and from 105 cm diameter class is decreasing growth trend again. This finding underpins the multi-growth theory of beach. The important point is that gradient of growth in higher diameter classes was lower than low diameter classes (10-50cm). On the other hand the older trees had higher growth extremes. Totally, growth index in the most of diameter classes had 7 to10 years period growth. It seems that same factors such as plant physiology, productivity, and climate parameters, rooting and seeding are effective factors for it. REFERENCES Clark, D. A, and Clark, D.B., 1994. Climate-induced annual variation in canopy tree growth I a Costa Rican tropical rain forest. J. Ecology, 82:865- 872. Hoshino, Y., Yonenobu, H., Yasue, K., Nobori, Y. and Mitsutani, T., 2008. On the radial-growth variations of Japanese beech (Fagus crenata) on the northernmost part of Honshu Island, Japan. J Wood Sci, 54:183–18. Garfinkle, H.L. and Brubaker, L.B., 1980. Modern climate − tree-growth relationships and climatic reconstruction in sub-Arctic Alaska. Nature 286, 872 – 874. Marvie-Mohadjer, M.R., 2005. Silviculture. 1st Edn. Tehran University Press, Tehran. ISBN: 964-03-5098-2. (In Persian)

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Mir Kazemi, S.Z.A. and Mir Badian, A.R., 2005. Determination of beech (Fagus Orientalis Lipsky) seeding cycle in Ziarat forst. Iranian J. Forest, Poplar 13:111-134. Piovesan, G., Di Filippo, A., Alessandrini., A., Biondi, F. and Schirone, B., 2005. Structure, dynamics and dendroecology of an old-growth Fagus forest in the Apennines. J.Vegetation Sci., 16:13-28. Sagheb-Talebi, K. and Eslami, A., 2008. Nature-based silviculture- How can achieve the equilibrium state in unevenaged oriental beech stands? In: proceedings of 8th IUFRO international beech symposium, 8-13 September 2008. Hokkaido, Japan, pp: 59-61. Sagheb-Talebi, K. and Schutz, J. P., 2002. The structure of natural oriental beech (Fagus Orientalis) forests in the Caspian region of Iran and potential for the application of the group selection system. Forestry, 75:465-472. Sagheb-Talebi, K., Sajedi, T. and Yazdian, F., 2004. Forests of Iran. Research Institute of Forests and Rangelands, Tehran. ISBN: 964-473-196-4. Skomarkova, M. V., Vaganov, E. A. Mund, M., Knohl, A., Linke, P., Boerner, A., and Schulze, E.D., 2006. Interannual and seasonal variability of radial growth, wood density and carbon isotope ratios in tree rings of beech (Fagus sylvatica) growing in Germany and Italy. Trees, 20: 571–586.

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EXPERIMENTAL INVESTIGATION ON THERMAL PROPERTIES OF DATE PALM FIBRES AND THEIR USE AS INSULATING MATERIALS Boudjemaa AGOUDJIL1, Adel BENCHABANE2, Abderrahim BOUDENNE3, Mohamed TLIJANI3,4, Laurent IBOS3, Rachad BEN YOUNES4, Atef MAZIOUD3 1

Laboratoire de Physique, Energétique Appliquée (LPEA), Université El-Hadj-Lakhdar 1, rue Chahid Boukhlouf Mohamed El-Hadi, 05000 Batna, Algeria Corresponding author. e-mail: [email protected], 2 Laboratoire de Génie Mécanique, LGM, Université Mohamed Khider Biskra B.P. 145 R.P. 07000 Biskra, Algeria 3 Centre d’Etude et de Recherche en Thermique, Environnement et Systèmes Université Paris 12 Val de Marne, 61 Av. du Général de Gaulle, 94010 Créteil Cedex, France 4 Faculté des Sciences de Gafsa, Université de Gafsa, Tunisia

ABSTRACT The motivations for the development of new bio-insulating materials were to provide a high level of thermal comfort in buildings and to save natural resources by reducing energy consumption which straight concerns the environmental problems like global warming. This paper reports the results of a preliminary experimental investigation on the thermo physical behaviour of natural fibre materials of date palm (Phoenix dactylifera L.). The goal is to use this natural material in the manufacture of thermal insulation for buildings which not systematically investigated in the literature. In this steady, palm frond base and trunk parts of three varieties of date palm fibers were tested, corresponding to the Deglat, Ftimi and Rtoub date palms from the EL Elgetare oasis, Tunisia. Several samples were prepared for different thicknesses. A simultaneous determination of the thermal conductivity and the diffusivity was achieved using a periodic method. The results of the investigation have shown that date palm fibres have low thermal conductivity and permittivity. Thus, these renewable materials, especially the palm frond base, can be used as insulating in building structure. INTRODUCTION Since the beginning of the last century, average global temperature has risen by about 0.6 K according to UN Intergovernmental Panel on Climate Change (IPCC). It is also warned that the temperature may further increase by 1.4–4.5 K until 2100 (IPCC Third Assessment Report, 2001). Indeed, current cooling, heating and air-conditioning system for buildings contribute significantly in an opposite way to the concept of sustainable development. With the fossil fuel consumption, which accompanies them, and the resulting air pollution, our daily urban activities have caused changes in climate and air quality (Yannas, 2001). As example, we cite here the case of the traditional refrigeration cycles which strongly increases the consumption of electricity and fossil energy. The International Institute of Refrigeration in Paris (IIF/IIR) has estimated that approximately 15% of all the electricity produced in the whole world is employed for refrigeration and air-conditioning processes of various kinds, and the energy consumption for air-conditioning systems has recently been estimated to 45% of the whole households and commercial buildings (Fan et al., 2007). In that sense, a good insulation material becomes the key tool in designing and constructing a energy thrifty buildings. The insulation materials are not independent energy production or conservation systems, but part of the complex structural elements which form a building’s shell. In that sense, they cannot be evaluated in the way, energy producing systems, like solar thermal systems or photovoltaics can, but they have to be evaluated as an integral part of a building’s design and construction (Papadopoulos, 2005). Furthermore, the quality of an insulating material depends on its adaptability to national, regional or even local building ways and traditions. In that sense, materials that are wide-spread in specific regions are rare in others, though, from the scientific point of view, any material could be used instead of the other (Papadopoulos, 2005). The scope of this paper is to evaluate the possibility of using the trunk and the palm frond bases of three varieties of date palms, as a component of an insulating material. This preliminary investigation is conducted on the natural fiber materials without a polymer matrix, to discuss the thermophysical behaviour of these natural fibre materials and the suitability of using these composites to reduce the heat loss in buildings. The date (Phoenix dactylifera L.) has been an important crop in arid and semiarid regions of the world. It has always played an important part in the economic and social lives of the people of these regions. The fruit of the date palm is well known as a staple food. It is composed of a fleshy pericarp and seed. In some date-processing countries, date seeds are discarded or used as fodder for domestic farm animals (Barreveld, 1993; Besbesa et al., 2004). Besides fruit, the date palm over the centuries has also provided a large number of other products which have been extensively used by man in all aspects of daily life. Barreveld (1993) reported that practically all parts of the date palm are used for a purpose best suited to them. A main division of date palm parts is made as follows: a) the palm trunk, b) the leaves (whole leaves, frond bases, midribs, leaflets and spines, and the sheath at the leaf base), c) the reproductive organs (spathes, fruit stalk, spikelets and pollen) and d) a number of palm extracts.

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Recently, modern technological developments and improved communications have influenced the use of the date palm products (excluding dates). The aim subject is the introduction of the date palm fiber in the conception of new natural fiber-reinforced composite materials. On the other hand, we have to look at the date palm as a raw material source for industrial purposes (Al-Sulaiman, 2002 and 2003; Barreveld, 1993; John and Anandjiwala, 2008a & 2008b; Kaddami et al., 2006; Kahraman et al., 2005). Indeed, natural fiber-reinforced composites have attracted the attention of the research community mainly because they are turning out to be an alternative solution to the ever depleting petroleum sources. The production of 100% natural fiber based materials as substitute for petroleum-based products is not an economical solution. A more viable solution would be to combine petroleum and bio-based resources to develop a cost-effective product with diverse applications (John and Anandjiwala, 2008a). For these authors, date palm leaves (Phoenix dactylifera) are one of an important natural fibers used as reinforcement in composites where the applications has been extended to almost all fields. We can cite here the Kaddami et al. (2006) and Kahraman et al. (2005) works. relating to the effect of chemical modification on date palm fibers. These last , were subjected to maleic and acetic anhydride modifications and used for reinforcement in epoxy and polyester resin. The dynamic mechanical properties of the composites were evaluated and it was observed that the glass-transition temperature of modified composites (388°C) was slightly higher in comparison to the unmodified composites (328°C). The influence of MA-grafted PP (epolene g-3003) as a coupling agent on the mechanical behavior of date-palm fiber-reinforced PP composites was recently reported (Kahraman et al., 2005). Using Epolene g-3003 allows the improvement of the adhesion fiber - matrix, which result a significant improvement in composite performance. The tensile strength was found to increase by 5%. Furthermore, Al-Sulaiman (2003) studied the date palm fibre reinforced composite as a new insulating material. The author presented a literature survey on mechanical properties of date palm frond investigations (Al-Jurf et al., 1988; Uzomaka, 1976; Al-Sulaiman, 2002). On one hand, Al-Sulaiman (2003) reported the abundance of the date palm leaves in the Middle East and North Africa which presents an exciting opportunity to develop a low cost construction material. Worldwide, an estimated 1130000 tons of palm leave panels are produced annually. On the other hand, the author concluded that the palm leave panels could be a good candidate for the development of efficient and safe insulating materials. Al-Sulaiman (2003) reported that the panels exhibited very low thermal conductivities ranging between 0.17 and 0.24Wm–1K–1 for the phenolic resin (depending on the curing pressure) and between 0.16 and 0.20Wm–1K–1 for the bisphenol. The main factors affecting the thermal conductivity were the resin type, fibre to resin ratio and curing pressure. Note that this conclusion is in good agreement with the thermal conductivity value established by Al-Jurf et al. (1988) on the date palm fronds reinforced gypsum boards (0.258Wm–1K–1). Thus, the fibre orientation and size had no measurable effect on the thermal conductivity. The produced laminates were very stable to handle, all required machining processes as construction panels. These panels are well suited as insulation and construction panels for indoor and outdoor usage. EXPERIMENTAL Materials and samples preparation The natural materials used in this research were from the turn of the date palms, obtained from El Elgetare oasis in Tunisia. Three varieties of date palm fibers were investigated, corresponding to three palms: Deglat (D), Ftimi (F) and Rtoub (R). All samples, cut out from the trunks or the frond bases, were naturally dried before measurements. Their shapes are square plate of 45 mm × 45 mm, with thicknesses of 3, 4.5 and 5.5 mm corresponding respectively to D, F and R palms. For D and F palms, two configurations of trunk part samples were studied and the measurements were obtained in: (i) a parallel (longitudinal) direction to the plane of the sample (respectively: DL and FL) and (ii) a transverse direction to the plane of the sample plate (respectively: DT and FT). Likewise, only the second configuration was studied for Rtoub trunk part samples (RT) and the Deglat frond bases (DFT) as summarized in table 1. Experimental measurements The thermal conductivity and diffusivity of samples were determined simultaneously using a periodic method (Boudenne et al., 2004). The periodical method is based on the use of a small temperature modulation in a parallelepiped-shape sample and allows obtaining all of these thermophysical parameters in only one measurement with their corresponding statistical confidence bounds. The specific heat capacity (Cp) values were then determined using the density (ρ) and thermal conductivity (k) and diffusivity (a) values:

Cp =

k ρa

(1)

RESULTS AND DISCUSSION Two types of measurements were performed for the same sample. First, thermal properties of materials have been obtained at atmospheric pressure, and then the same samples were used to measure the thermal conductivity and

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diffusivity in vacuum chamber. The aim of performing measurements in vacuum chamber was to verify the effect of humidity and convection heat coefficient on the thermal conductivity of date palm wood. The results were presented in tables 2 and 3.

Tables 2 and 3 show that the thermal conductivity of studied materials depends on the varieties and on the part of the date palm of the tree. It is obvious that the frond base of D date palm was the most insolating date palm part studied in this work. For the best analysis of the results shown in tables 2 and 3, it is convenient to compare thermal conductivity values of all samples (Fig. 1).

Fig. 1 shows that for D and F date palm types, the longitudinal thermal conductivity is higher than the transverse one. We noticed a same behavior for thermal diffusivity (tables 2 and 3). Since natural fibres consist of crystalline cellulose lattice that are radially arranged around its axis, they are highly anisotropic, which gives less thermal resistance along the axis compared to across the axis (John et al., 2008b). Moreover, the number of fibre walls in longitudinal oriented direction would be much less than the number of fibre walls in transverse direction. Therefore, there are more fib re walls to cross in the transverse direction and consequently more resistance to the heat flow (Behzad et al., 2007). Thus, the fiber orientation has a significant effect on thermophysical properties of the date palm wood. This result shows that the thermophysical properties of this kind of material are anisotropic, and then the use of date palm material as insulating should be in the transverse direction to the fiber orientation plane. Table 1. Properties of materials. Type of palm

Reference

Thickness (mm)

ρ (Kg.m-3), after drying

Deglat (//)

DL

3

760

Deglat (┴)

DT

3

760

Ftimi

(//)

FL

4.5

355

Ftimi

(┴)

FT

4.5

355

Rtoub (┴)

RT

5.5

332

frond base(┴)

DFT

3

173

Table 2. Thermal properties of date palm fibres in vacuum chamber. Type of palm

Sample

-1 -1 k (W.m .K )

a (m2.s-1)×10-7

Cp (J.kg-1.K-1)

Deglat

(//)

DL

0.109 ± 0.003

1.387 ± 0.295

1034 ± 222

Deglat

(┴)

DT

0.095 ± 0.002

1.019 ± 0.090

1227 ± 112

Ftimi

(//)

FL

0.114 ± 0.004

3.861 ± 1.090

832 ± 237

Ftimi

(┴)

FT

0.051 ± 0.002

1.994 ± 0.435

720 ± 160

Rtoub

(┴)

RT

0.042 ± 0.001

1.237 ± 0.132

1023 ± 112

DFT

0.032 ± 0.001

2.364 ± 0.913

782 ± 303

frond base (┴)

Table 3. Thermal properties of date palm fibres at atmospheric pressure. Type of palm

Sample

-1 -1 k (W.m .K )

a (m2.s-1)×10-7

Cp (J.kg-1.K-1)

Deglat

(//)

DL

0.168 ± 0.005

1.921 ± 0.422

1151 ± 255

Deglat

(┴)

DT

0.126 ± 0.010

1.771 ± 1.374

936 ± 730

Ftimi

(//)

FL

0.144 ± 0.007

4.808 ± 1.362

844 ± 243

Ftimi

(┴)

FT

0.103 ± 0.005

2.533 ± 0.430

1145 ± 203

Rtoub

(┴)

RT

0.102 ± 0.005

4.368 ± 1.903

703 ± 308

DFT

0.058 ± 0.004

2.867 ± 1.662

1169 ± 683

frond base (┴)

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0,20 In vacuum chamber At atmospheric pressure

k (W.m-1.K-1)

0,16 0,12 0,08 0,04 0,00 DL

DT

FL

FT

RT

DFT

Variety of palm Fig.1. Thermal conductivity of different varieties of date palm materials

In addition, Fig. 1 indicates that for the same sample, the thermal properties measured in vacuum chamber were lower than the ones measured at atmospheric pressure. This behavior is due to the absence of convection heat transfers inside sample porosity in the case of vacuum measurements. At low pressures, only conductive and radiative heat transfers are present inporous materials. Moreover, at atmospheric pressure samples water content increases and thus the thermal conductivity increases too. The ratio between the thermal conductivity measured in vacuum and at atmospheric pressure is given by table 4. A high value of k minisculeKatm / Kvac was obtained for Rtoub date palm type and was about 2.43, this value is not a nuisance and this material remains a good insulator. The frond base of date palm samples studied in this work exhibited very low thermal conductivity value, k = 0.058 W.m-1.K-1 at atmospheric pressure. This value is close or lower than the thermal conductivity of many natural insulating materials like Sisal (k = 0.070 W.m-1.K-1; Kalaprasad et al., 2000), cork (k = 0.039 W.m-1.K-1; Incropera et al., 2007), hemp (k = 0.115 W.m-1.K-1; Behzad et al., 2007) and banana (k = 0.117 W.m-1.K-1; Paul et al., 2008). A comparison between the transverse thermal conductivity and the density of these materials and the properties of the frond base is shown on Fig. 2. Fig. 2 indicates that except for cork, the frond base of the date palm exhibits lower thermal conductivity. The density of the frond base is lower than the density of sisal, banana and is slightly higher than the one of cork and hemp. Moreover, according to the authors (Faleh et al., 2003) there are approximately 100 million trees in the world. Each year the trees are pruned to remove old dead or broken leaves. This produces approximately 1 130 000 tons of date palm frond base annually. This makes palm date frond base a good candidate for the development of efficient and safe insulating materials. The energy conservation needs in the hot and humid areas makes the development of such insulating materials, from abundantly available resources, highly suitable. Table 4. Ratio of the thermal conductivity measured in vacuum to the thermal conductivity measured at atmospheric pressure. Type of palm

Sample

kKatm / Kvac

Deglat (//)

DL

1.54

Deglat (┴)

DT

1.33

Ftimi(//)

FL

1.26

Ftimi(┴)

FT

2.02

Rtoub (┴)

RT

2.43

frond base(┴)

DFT

1.81

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10

k / kleafbase ρ / ρleafbase

8

Ratio

6 4 2 0 Frond base

Cork

Sisal

Hemp

Banana

Insulator Fig.2. Comparison between thermal conductivity and density of the frond base (DFT), hemp, cork, sisal and banana.

CONCLUSION This paper reports the results of a preliminary experimental investigation on the thermo physical behaviour of natural fibre materials of date palm (Phoenix dactylifera L.). The goal is to use this natural material in the manufacture of thermal insulation for buildings which not systematically investigated in the literature. The motivations for the development of new bio-insulating materials were to provide a high level of thermal comfort in buildings and to save natural resources by reducing energy consumption which straight concerns the environmental problems like global warming. Experimental work was conducted to study the thermal properties of three varieties of date palm material. Palm frond bases and trunk parts of these palms were tested. The effect of pressure and of fibers orientation were also studied. The main factors affecting the thermal conductivity were the fibres orientation, the date palm variety and the date palm part. It has been also shown that the thermophysical properties of this kind of material are anisotropic, and then the use of date palm material as insulating should be in the transverse direction of the palm frond part. These palms are well suited as insulation and construction panels for indoor and outdoor usage. NOMENCLATURE k thermal conductivity, W/ m.K specific heat, J/kg.K cp a thermal diffusivity, m2/s ρ density, kg/m3 REFERENCES Al-Jurf, R. S., F. A. Ahmed, I. A. Allam, H. H. Abdel-Rehman. 1988. Development of heat insulation material using date palm leaves. Journal of Thermal Insulation 11:158–164. Al-Sulaiman F. A. 2002. Mechanical Properties of Date Palm Fiber Reinforced Composites. Applied Composite Materials 9: 369-377. Al-Sulaiman, F. A. 2003. Date palm fibre reinforced composite as a new insulating material. International Journal of Energy Research 27: 1293-1297. Barreveld, W.H. 1993. Date Palm Products. Food and Agriculture Organization of the United Nations Rome, FAO Agricultural Services Bulletin No. 101. Behzad T, Sain M. 2007. Measurement and prediction of thermal conductivity for hemp fiber reinforced composites. Polymer Engineering and Science 47(7):977-983. Besbesa, S., C. Bleckerb, C. Deroanneb. 2004. Date seeds: chemical composition and characteristic profiles of the lipid fraction. Food Chemistry 84: 577–584.

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Boudenne A, L. Ibos, E. Gehin, Y. Candau. 2004. A simultaneous characterization of thermal conductivity and diffusivity of polymer materials by a periodic method. Journal of Physics D: Applied Physics 37:132-139. Fan Y, L. Luo, B. Souyri. 2007. Review of solar sorption refrigeration technologies: Development and applications. Renewable and Sustainable Energy Reviews 11:1758–1775 Incropera F.P., D.P. Dewitt, T.L. Bergman and A.S. Lavine. 2007. Fundamentals of heat and mass transfer. USA: John Wiley & Sons. IPCC Third Assessment Report, 2001. Climate Change 2001 - The Scientific Basis. Third Assessment Report, UN Intergovernmental Panel on Climate Change. Cambridge University Press, ISBN 0521 01495. John, M. J. and R. D. Anandjiwala. 2008a. Recent Developments in Chemical Modification and Characterization of Natural Fiber-Reinforced Composites. Polymer Composites 29: 187–207. John M.J, and S. Thomas. 2008b. Biofibres and biocomposites. Carbohydrate polymers 71:343-364. Kaddami H., A. Dufresne, B. Khelifi, A. Bendahou, M. Taourirte, M. Raihane, N. Issartel, H. Sautereau, J.-F. Gerard, and N. Sami. 2006. Short palm tree fibers - Thermoset matrices composites. Composites: Part A 37: 1413–1422. Kahraman, R., S. Abbasi, and B. Abu-Sharkh. 2005. Influence of Epolene G-3003 as a Coupling Agent on the Mechanical Behavior of Palm Fiber-Polypropylene Composites. International Journal of Polymeric Materials 54: 483-503. Kalaprasad G, Pradeep P, Mathew G, Pavithran C, Thomas S. 2000. Thermal conductivity and thermal diffusivity analyses of low density polyethylene composites reinforced with sisal and glass intimately mixed sisal/glass fibres. Composite Science an Technology 60:2967-2977. Papadopoulos A.M., 2005. State of the art in thermal insulation materials and aims for future developments. Energy and Buildings 37:77–86 Paul S.A, Boudenne A, Ibos L, Candau Y, Joseph K, Thomas S. 2008. Effect of fiber loading and chemical treatments on thermophysical properties of banana fiber/polypropylene commingled composite materials. Composites Part A 39:1582-1588. Uzomaka O.J. 1976. Characteristics of akwara as a reinforced fiber. Magazine of Concrete Research 28(96):162– 167. Yannas S., 2001. Toward More Sustainable Cities. Solar Energy 70:281–294.

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URBAN FORESTRY: A NATURAL APPROACH TO GLOBAL WARMING CRISIS Dr. Saeed Ahmed Al-Awais College of Architecture & Planning, King Faisal University P.O. Box 2397, Dammam 31451, Saudi Arabia [email protected]

ABSTRACT Desertification is spreading rapidly on our planet and in every year thousands of hectares of fertile land are lost due to natural or manmade factors. Unfortunately forestation efforts are not moving on the same speed which means that the vegetation cover of the earth is reducing dramatically. This means that the role of such cover in reducing the temperature of the earth and treating its wounds and healing them is almost going down. Therefore, it is essential to think green and put the Urban Forestry (Plants which we grow in our urban settlements) in our highly recommended list of strategies on our search for effective and feasible solutions for global warming. Urban Forestry needs to be addressed on a world wide scale to develop it from both cultural and scientific viewpoints. There are many administrative, managerial, design and construction techniques, policies and ideas that must be introduced in order to move forward. Early people understood the concept and message of survival through preserving the green and enhancing it and we should do so if we are looking to live upon the roof of the earth for more times. This paper is to shed light on the ways of urban forestry to counter the global warming severity and its benefits that must be marketed to the decision makers and public to buy the theme of urban forestry for their urban settlements. The overall results found that urban forestry theme can provide a lot of benefits to the society in general and to the efforts of reducing the global warming crisis. INTRODUCTION In the life of urban trees time is measured in decades and the mature trees which are enjoyed now are the investment of the older generations. Urban trees are very valuable elements and a single tree may provide as much as $ 57,151 dollar-value benefits in 50 years (Moll and Young, 1992). So a country like Malaysia which is planning to plant twenty millions new trees by 2020 will have annual revenue more than $ 20 billion just from this ambitious plan alone. Accordingly, the existence of solid and clear, researched standards and guidelines is an essential matter for the protection and improvement of the urban forestry program. This paper is an attempt to establish for Urban Forestry Program that will contribute to the international efforts that are taking place to reduce the temperature of the world and bring it back under control. At the far end the aim is to highlight one of the approaches in the search for natural and practical solutions for Global Warming Crisis. Urban Forestry will be a promising solution for political and environmental leaders to consider as a strong point in their campaigns or plans for more safe and green future environment. DEFINITION OF URBAN FORESTRY Urban forestry is becoming a very important planning issue that must be addressed during the early planning stages together with other urban elements. Urban forestry might not be ranked among the most essential elements but its existence will be very valuable for human comfort and survival. In terms of defining urban forestry there are several diverse opinions. One group of specialists defines urban forestry as a wide field which covers all the plants in, around and outside the urban areas that are mainly owned by local governments. Another group limits the definition to natural or man-made large scale planted areas such as natural forests or mass plantation projects. A third opinion believes that urban forestry is related to plants which are growing in or around urban areas and which are mainly planted by man with a special emphasis on street trees and parks. In fact, each group looks to the definition from its own professional or organizational point of view. It is the author’s belief that urban forestry can be defined as the science of managing urban plants and planting within the urban area (Al-Awais, 1991).

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BENEFITS OF URBAN FORESTRY Urban plants have many valuable contributions to make towards contemporary human settlements. Unfortunately, there are many people today who have only a limited understanding of the role and benefits of urban forestry. They mainly appreciate urban forestry for its various aesthetic values. From such a narrow perspective it might be cheaper to replace the urban plants with manufactured ones which might fulfill the necessary aesthetic requirements and reduce the high maintenance cost of live plants. In fact, even the aesthetic values will not be achieved by plastic plants since they lack the character of changing and reacting to the various seasons which adds more beauty to live plants. Eventually such narrow attitudes towards urban forestry must be changed by promoting the short and long term benefits of urban plants for our contemporary and future settlements. The benefits of urban forestry range from direct to indirect benefits and from physical to moral benefits. Perhaps in every area and time there might be different principles and procedures for evaluating the sequence of the importance of urban plant benefits. For example, shade can be considered among the essential benefits in hot arid communities where it might not be given the same weight in the temperate zone. Indeed knowing the priorities of each location is an essential issue for the sake of more reliable urban forestry program. The benefits can be divided into five major categories; climatic, environmental, economic, artistic and architectural and moral and psychological benefits. 1. Climatic Benefits One of the critical functions of urban forestry in hot arid countries is to modify the harsh climatic conditions. Urban plants can ameliorate the climate in four ways; reducing the temperature, reducing solar radiation, controlling wind movements and preserving the moisture balance. 1.1. Reducing temperature The findings of much empirical research show that urban plants play a major role in lessening the temperatures of the micro climates, In one of the study it was found out that trees within urban green context can reduce the temperature up to 4°C from the upper daily maximum temperatures (Shashua-Bar and Hoffman, 2000). In another study in Frankfurt during a hot summer day the urban green reduced the temperature by 3.5°C in comparison to an adjacent bare area (Bernatzky, 1983). In fact, three degrees centigrade make a lot of difference in classifying a certain region from a climate point of view. For instance, in Montreal the average air temperature was found to be 3.1° F (1.7° C) less around parks on clear sky summer evening than other places within the city (Schmid,1975 ). In Riyadh (Capital of Saudi Arabia) it was found that the temperature is more than 10° C less in tree shaded ground (1 meter above ground surface) than bare asphalt surface of a car parking lot and 6° C less in comparison with un shaded adjacent bare ground (Al-Hemiddi, 2002 ). These are only some examples from the results of many experiments which prove that urban forestry can enhance the micro climate of a certain area by reducing the high temperatures. 1.2. Controlling solar radiation It is possible to divide solar radiation into two types; direct and indirect. Direct radiation is the rays that reach the ground directly from the sun. Indirect radiation is that which reaches the ground by one or more of the following means; reflection, conduction and convection. Urban vegetation will not be able to control all the existing radiation but it will improve the situation and modify the human environment. Plants have the ability to reflect, obstruct and absorb solar radiation. Controlling the radiated heat can also be achieved by shading the ground and other surfaces or objects. This process creates cool zones and reduces the sources which generate the radiated heat in the micro climate. For example, cars which are parked in a sunny location will increase the micro climate temperature. In fact, it was found that plants may use up to 60 - 70% of the total solar radiation (Bernatzky, 1983). As a result, the air will maintain a lower temperature. However, the reflecting and absorbing efficiency will depend upon color, texture, density and size of foliage and canopy. 1.3. Wind control Wind can be a desirable thing in some locations but can also be undesirable in other locations. Urban plants can control the winds by; obstructing the main stream, deflecting the direction, filtering dust from the air and controlling the speed. For example, a study shows that wind speed can be reduced by 20% by a normal green belt (Clouston and Alex Novell, 1981). In another study it was found that within a distance equal to 10 to 20 times a tree's height wind can lose up to 50% of its original speed in that distance (Johnson et al., 1982). Interval planting rows are used to keep the wind away from the ground in case of undesirable wind.

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1.4. Preserving the moisture balance in the air Urban forestry plays a great role in increasing the moisture percentage of the air. One mature tree in an adequately moist soil may add to 88 gallons of water to the air (400 liters) daily through transpiration (Grey and Deneke, 1992). This large volume of transpired water acts as an air conditioner that modifies the hot dry micro climate. From an energy point of view, the cooling energy which a mature tree provides is equal to the effect of 5 small cooling units which are working for 20 hours a day (Grey and Deneke, 1992). In fact, plants are very successful in preserving the moisture balance of the air which can reduce its temperature at the same time. 2. Environmental Benefits Urban plants provide many valuable benefits which aim to strengthen the links between the urbanized area and the natural environment. The environmental category is a very wide topic but the discussion here will concentrate on five basic benefits; 1;preserving the ecosystem, 2;supporting wild life, 3;pollution control, 4;preserving soil moisture and 5;preventing soil erosion. 2.1. Preserving the ecosystem Due to the various contemporary development forces the urbanized area has lost its natural environmental balance (ecosystem). The destruction of the ecosystem of an area might lead to many severe disasters. Both geological and historical information point to the fact that the existing deserts of the Middle East might be a result of heavy use and mismanagement as well as natural factors (Epstein, 1978). Urban plants have great roles to play in protecting the ecosystem with the condition that these plants should be classified among the native or naturalized species. 2.2. Supporting the wildlife Wildlife is a significant element of daily life which should be protected. As was discussed in the previous point urban forestry can afford adequate homes for wild flora and fauna of the region. In fact, the introduction of wildlife through urban forestry will be a very beneficial issue for the future survival of mankind and for the various educational programs (McCullen and Webb, 1982). 2.3. Pollution control One of the main functions of urban forestry today is to reduce the various types of pollution which are threatening human health and comfort. 2.3.1. Reducing green house gases and solid particles Urban forestry purifies the micro climate in various ways. Increasing the oxygen percentage and decreasing the carbon dioxide through photosynthesis process is one of the most important phenomena that human survival is based upon. One study shows that an area of 30 - 40 sq meters of vegetation can supply the daily need of oxygen for one person (Robinette, 1972). In another study it was found that one acre of different plants may provide enough oxygen for 18 persons (Weiner, 1992). Plants absorb carbon dioxide during the day and produce it during the night but the produced volume of CO2 is only equal to about 20 - 30% of the absorbed CO2 volume (Robinette, 1972). But it is important to realize that terrestrial vegetation only produces about 12% of the total supplied oxygen and the rest is produced through the photosynthesis process which takes place in the seas and oceans (Grey and Deneke, 1992). However, this small percentage will remain as a vital figure which can enhance the air quality and maintain better health for urban settlers. It is estimated that a tree may be able to capture 39.66 kg of CO2 per year which can be considered as a direct contribution to the global warming treatments list (Liisa et al., 2005). In a study regarding role of urban forestry in reducing energy in California results show up to 14.5% can be saved from energy which means less carbon emissions will be added to the atmosphere (Donovan and Butry, 2009). Urban plants act as filtering devices for the air around them. Plants have significant capabilities to absorb many harmful gases from the air. Current research confirms that plants can keep the ozone (O3) balance under control. For example experiments in Los Angeles suggest that 20,000 regularly distributed trees can absorb about 90 lbs of harmful concentrated ozone per day (Hanson and Thorne, 1972). They also can absorb sulfur dioxide (SO2), carbon monoxide (CO) and many other dangerous gases which are emitted by automobiles, machineries and factories. Plants act as dumping stations for dust particles by holding or absorbing them with their leaves. For example, dust particles were found to be 7000-9000 particles per volume unit less in a street with trees than nearby bare streets (Robinette, 1972). 224


Urban plants can provide useful information in monitoring the micro climate and detecting different gas concentrations. Obviously various plants have different resistance capabilities for the various pollutants. Consequently, a certain species may die or show weakness or disease symptoms when a specific pollutant starts to spread or concentrate in the area (Schmid, 1975). Regular urban forestry maintenance can notice such problems and find out the reason behind them. So urban plants might aid the city authority in monitoring the undesirable pollutant and give them enough time to get it under control. Besides dumping the dust and other dangerous gases and originating oxygen, urban plants also freshen the air. Many plants produce nice fragrances which attenuate and mask bad odors which are originated from different chemical and organic sources. 2.3.2. Controlling acoustical pollution Urban plants play a small but crucial role in attenuating the level of undesirable sounds. Perhaps the plants themselves should not be planted only for this purpose but their role in lessening the noise should be appreciated. In fact the urban plants are able to abate the sound by diffusing, reflecting and absorbing. For example a green belt of 20 ft in width may reduce the sound level by 8-15 dba (Schmid,1975). In another study, it was found that a planting row 25-35 ft wide gives very good and effective results in lessening motorway noise (Clouston and Alex Novell, 1981). It is also suggested to place plants next to the sound's source and not next to the receiver in order to obtain better results. Obviously the attenuation level and quality vary in accordance with the plants' texture, density, size and location and the site conditions. For example, dense plants and soft foliage may give better performance in sound attenuation than open and hard, smooth foliage plants. 2.3.3. Controlling visual pollution Urban plants can enhance or hide the undesirable views such as industrial complexes, undeveloped sites, parking lots, dumping sites and ugly architecture. They are also able to protect the human eye from the direct and indirect glares of the sun, shiny surfaces and automobile and street lights. Another important environmental function that urban plants can perform is to preserve the natural beauty of the sky at night by obstructing the light of automobiles and streets from reaching the sky. 2.4. Controlling soil moisture Plants can protect the balance of urban areas’ ground moisture. For instance, in over-moisture situations there are some species which can improve the condition by absorbing the moisture from the ground. For example, Eucalyptus and Concarpus species are very suitable for high water table areas and might be a very good choice in reducing the moisture to a normal level. Urban plants also control the moisture balance by conserving the ground water table by shading the ground surface which reduces the soil temperature and saves the moisture from evaporation from the ground. Another way is to by retaining the rain in the ground and prevents the fast run off of rainwater. In fact, leaves and branches hold the rain and give more time for the soil beneath to absorb the rain especially in desert climates where it rains heavily for a very short time. A third way of increasing the moisture balance of the ground is by condensing the dew from the air into water and charging it into the ground. 2.5. Preventing soil erosion Urban plants are capable of reducing soil erosion problem from urban locations such as road shoulders and fill back sites. Soil erosion may occur due to rain or wind storms. Plants keep the top soil attached to the ground by both horizontal and vertical roots. Shrubs and groundcovers are more reliable in protecting the soil surface than trees. Various plants intercept direct rain and reduce its falling speed where, in exposed locations, heavy rain might wash away the top soil. 3. Economic Benefits Urban forestry becomes an important financial source for many contemporary communities. In arid dry land the vegetation should extend its function beyond the beauty values towards harvesting as many economic benefits as possible (Adams et al., 1979). With the current world-wide energy problem, urban forestry may be viewed as a feasible source of energy and money for the local communities. There are two types of economic benefits; direct and indirect.

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3.1. Direct economic benefits Direct benefits are those which can be utilized in physical form from the urban forestry. Those benefits are mainly produced by plants used for food, wood and other products. 3.1.1. Food production Plants are always the main source for human and animal food. Urban forestry might be able to contribute different types of edible fruits for the community. For example, Phoenix dactylifera produces dates which are considered one of the fruits with the highest nutritional value. Prosopis species produces edible beans (pods) which can be utilized as a valuable food source (Adams et al., 1979). Obviously such food sources can be of great benefit for famine relief purposes. Furthermore, urban forestry can produce food for many wild and domestic animals. 3.1.2. Wood Urban plants can provide a large quantity of wood for the community. For example, urban forests in Zurich produce 1.5 million sq feet of boards annually with a sale price of $80,000 in 1960 (Schmid, 1975). In fact, there are many cities today which are maintaining considerable profits from the surplus wood which is generated by routine annual maintenance work on urban forestry. Wood may be utilized as a timber for construction and furniture or as chopped wood for fuel or landscape mulching purposes. Fortunately, there are some portable machines which can chop the wood to the various market desirable sizes instantly on the site. 3.1.3. Other products There are many other commercial products beside food and wood which can be obtained from urban forestry. Pure honey might be produced in large urban forest such as green belts. Henna is also a minor but valuable colorful fragrant make up item which can be produced from the dry leaves of Henna species. Another good and traditional shampoo can be obtained from the Ziziphus species dry leaves. Certainly harvesting some beautiful and or fragrant flowers and useful seeds may also bring some money for the community. Perhaps there are some other commercial benefits like medical products, for instance, which might be obtained from urban forestry in the future. In fact, it only requires a little thought in order to obtain more commercial products out of the urban plants. 3.2. Indirect economic benefits There are many indirect economic benefits for the urban plants. But the discussion at this point will only cover the major benefits which are strongly influenced by urban plants from an economic perspective. 3.2.1. Reduction in energy cost Urban plants may be able to reduce the cooling energy of various buildings by shielding them against solar radiation. A study in New Jersey revealed that shading a wood-sided house with trees can reduce its temperature by 16° F from the un shaded house temperature (Hitchings,1981). Another study shows a difference of about 11° F less between shaded and un shaded similar structures (Johnson et al., 1982). Due to such valuable reduction from the high temperatures, there will be a saving from the money which is paid for the cooling energy in the hot season. Research which was done in some U S cities found that plants around the house are able to reduce the cooling energy by 27-42% and can reach up to 50% based on site different environmental features and conditions (Akbari et al., 2001). Urban plants can also reduce the heating bill of the buildings if planted properly to make a natural shield against the cold winds. 3.2.2. Increasing property values Many empirical studies show that urban plants are one of the essential factors which might add more money to the value of the land or building and most people prefer to live in well planted areas (McPherson, 2005). A study in Massachusetts City in the U S shows that urban forestry increased the land value by 27% and there is a 13% gain in sale price for a house on a planted site in comparison with the same quality house in treeless lot (Schmid, 1975). Another study in Dublin argues that the well planted residential area can increase the property value between 5-12% (McCullen and Webb, 1982). In Seattle USA it was noticed that there are less vacancies and higher rental rates in well planted streets than adjacent treeless streets (Bartentein, 1981). Accordingly, plants can be considered as very valuable elements which enhance the beauty of the site and increase its price.

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3.2.3. Increasing the community income Urban forestry plays a critical role in attracting businesses and commercial investments to the community. In his book Urban Green, Frensh said "The measure of any great civilization according to John Ruskin, is its cities and the measure of a city's greatness is to be found in the quality of its public spaces ...its parks and squares" (French,1973). Indeed a good urban forestry will support the tourism and real estate businesses and that will increase the income of the city or the region. 4. Artistic and Architectural Benefits Urban plants have very strong relationships with the art and architectural values of the community. They are used in different locations to support the architectural forms and enrich the aesthetic values of the urban society. 4.1. Aesthetic values Urban forestry has powerful capability of enhancing and beautifying the built environment. To exhibit their beauty, urban plants depend on various growing characters. Some of the important characters are form, size, color and texture. Plant form is an essential issue in conjunction with the other community structures such as buildings and roads. Plants have several forms such as rounded, oval, columnar, horizontal, natural and artificial forms. Each type of these forms has its own aesthetic and functional values. Size of urban plant has valuable architectural effects. For instance size may be used to give some visual effects such as enlarging a certain structure by using small size plants and vice versa. Color adds more beauty to the built environment by the different green tunes and seasonal colors of their leaves flowers and fruits. Texture is also a very essential aesthetic item. The plant's foliage texture can be integrated with the function and appearance of buildings or other structures. For example, soft textures may be encouraged in places where public attendance is desired and rough texture plants may be used where public contact is discouraged. Eventually, it is clear that the first impression of a person visiting a certain city is going to be developed in accordance to the aesthetic values of its streets where the urban plants form the best item for such duty (Correy, 1972). 4.2. Hiding the ugliness Urban forestry helps in enhancing the human settlements by hiding the unpleasant views and places such as industrial complexes, parking lots, undeveloped sites and ugly structures. Location of plants in relation to both people and the unwanted view or structure is very critical to ensure the best results. Size and density of plants are also critical factors for a successful masking design. Evergreen plants are the only choice for such job except if a certain view is desired only at a certain time of the year, for a certain character or purpose, then deciduous plants could be integrated. 4.3. Unifying effects Urban plants have a great role in homogenizing the diverse parts of the community's urban design and architecture (Correy, 1972). Usually the urban design planning divides the city into various sections and neighborhoods from a personal income point of view (i.e. low, middle or high income class). In fact urban forestry can provide a valuable contribution in unifying the whole city together which may reduce the social problems that might occur due to the income diversity. Tree canopies tie the various sections of the city and cover the building facades which might help a lot in the process of homogenizing the community. 4.4. Traffic control Street trees and other plants can be used to guide the pedestrian and auto traffic towards certain locations. Good street trees design makes it easier for the drivers and travelers to reach their desired destinations. It is also possible to coordinate urban plants with the various traffic warning and guiding signals to achieve easy and clear traffic movement. For example, changing the species of street trees next to main intersections might give the drivers a natural warning to reduce their speed in advance. 4.5. Privacy control Urban plants can be considered as very good elements for enhancing the privacy of the community. Contemporary cities have become very crowded and multi-storied buildings invaded the private territories of the small houses. Urban trees can provide privacy for lower buildings to open their windows or use their private gardens. Moreover, urban trees look nicer than the ugly artificial privacy devices such as metallic, plastic or concrete barriers which are used insure privacy.

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4.6. Moral and Psychological Benefits Besides all the physical benefits of urban forestry there are also moral or psychological benefits. These benefits are associated with the social structure of contemporary society. Urban forestry enhances human life by adding some seasonal changes which might help in breaking the dull routine of the contemporary life. Bringing nature to the cities is another basic benefit to relieve the urban dwellers from the various stresses and pressures of modern city life (Lafortezza et al., 2009). DISCUSSION In our contemporary global society the need for urban forestry is rapidly increasing. Indeed, the demand is due to the various emerging hazards which are threatening human survival and his environment. Today we are facing many wild various environmental crises which may lead to worldwide catastrophic results if not tackled properly at the right time by the right tools and management. Global warming, desertification, pollution, water shortage, population growth and economical shrinking are some of the current global crises which are facing the international community and threatening its future existence. In fact, these problems in many cases were mainly caused by human mismanagement of the different natural resources that existed in our planet. The climate system should be viewed as a comprehensive linkage between the atmosphere, the hydrosphere, the biosphere and the geosphere and disturbing the eco system of any will affect the global climate (Bridgman and Oliver, 2006). Accordingly, the sever deforestation operations that still occurring on our earth caused a lot of damage to our climatic system. Urban forestry as a theme is able to enhance the efforts of forestation to replace the lost from the natural forests. These benefits which were introduced in this paper must be submitted to the various levels of leaderships (political, environmental and social) to understand, appreciate and implement. All these benefits can be related to the issue of reducing the world warming process in a way or another. Reducing high temperature and air pollutants will contribute directly to the efforts while saving energy or improving life quality will contribute indirectly (Table1). In the U S the estimated energy saving from urban trees annually is around $ 4 billion which should attract everybody to think about (Miller, 1996). In fact the cost benefit studies reveled a lot of encouraging results. The estimated figure of benefits of urban forestry is 1.85-1.52 times higher than actual cost of the whole project from planning all the way to maintenance and management phases (Liisa et al., 2005). As a result Urban Forestry is a winning project that all countries should invest in it without any delay but it should be structured and planned based on the latest knowledge and technology of urban forestry. CONCLUSIONS Urban forestry is a very important issue to be considered when thinking of global warming crisis. Urban plants can contribute in many ways to our environment with the minimum cost benefit concept results. But to get the maximum out of Urban Forestry Program there should be some of the recommendations that must be applied in order to have a successful healthy program. 1. For a successful urban planting scheme, urban forestry must be considered during the very early comprehensive planning stage in order to harvest the maximum possible benefits. 2. Reducing heat from the streets is one of the major urban forestry requirements in the hot arid areas and to achieve this dense green cover that will create cool, shaded areas must be introduced. In fact asphalt, as the dominant pavement material, absorbs heat and increases the microclimate temperatures. Therefore, maximum surface of the street must be shaded. Residential streets are usually designed with two moving lanes and side parking lanes. The lane width varies from one area to another depending on the area's age, population density and income rate. This point stresses the idea of shifting trees from sidewalks into the parking lanes so that trees will cast the shade on more areas on the streets especially during the afternoon hours when the sun takes a vertical angle and the heat reaches maximum. 3. Urban plants should be able to resist the various environmental factors; high temperatures in the summer season (more than 45° C), water neglect or drought, high velocity wind (up to around 70 km/h), high water salinity and tremendously saline soil. 4. Urban plants must tolerate expected future pollution high rates and should have the ability to absorb various pollutants.

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Table 1. List of Urban Forestry Benefits and their possible influence on reducing the Global Warming Crisis. No 1 1.1

BENEFIT Climatic Reducing Temp.

1.2

Controlling Solar Radiation Wind Control

1.3 1.4 2 2.1 2.2 2.3 2.3. 1 2.3. 2 2.3. 3 2.4 2.5 3 3.1 3.1. 1 3.1. 2 3.1. 3 3.2 3.2. 1 3.2. 2 3.2. 3

Preserving moisture balance in air Environmental Preserving ecosystem Supporting wildlife Pollution control Reducing GHGs Acoustical pollution

DIRECT INFLUENCE Up to 4° C reduction Up to 60-70% of solar radiation may be used by plants Reducing Temp. inside Buildings in summer and winter Cooling effects

Absorbing the different GHGs and other particles from the air

Protect people health which also reduce the cost of treatment Protect people health which also reduce the cost of treatment Reduce stress and related costs of treatment and problems Better soil conditions and water saving

Reducing dust from air

Preserving the ability of cultivation and reducing the dangers of floods Harvesting food will enhance society income, save energy Provide source of income for the society, save energy Provide source of income for the society, save energy

Other product

4 4.1

Artistic and Arch. Aesthetic

4.2

Hiding ugliness

4.3 4.4

Unifying the city or neighborhood Traffic control

4.5

Privacy control

4.6

Moral and psychological

RE (in winter reducing heating energy and emissions related) RE Better conditions for the climatic system to work Helping the Eco-system

Wood

Indirect economic Reducing energy cost Increasing property value Increasing community income

Reducing Emissions from electricity generation plants (RE) RE

Reduce the effects of deforestation

Visual pollution Preserving soil moisture Preventing soil erosion Economic Direct economic Food

INDIRECT INFLUENCE

Shading will reduce temperature in and around buildings

RE More income, save energy Reducing transportation time by local jobs around; save energy, less emissions

Less emissions from automobiles Reducing use of other devices for privacy which mean less heat

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Reduce stress and costs of its treatments and problems, More income Reduce stress and costs of its treatments and problems Friendly society better health and less problems Easy traffic better life and less stress, diseases and accidents Better health, less expenditures on treatment, saving energy


5. Urban plants must be capable of tolerating deliberate vandalism caused mainly by teenagers and automobiles and soil compaction, which is a common problem in urban locations. 6. Since pollens of some trees is highly associated with allergy, urban plants must not be among the worst plants list from the allergy point of view and they should maintain clear records from exposing human life to any type of hazards and not to cause damage to nearby structures at least under normal prevailing circumstances. 7. A major issue in the improvement of the existing situation is to have a department of urban forestry within each municipality. All the departments are linked together with regional and or national authority to achieve the goals of urban forestry. 8. Publicity is a very important matter to ensure better relationships and understanding between the public and the urban forestry program.

REFERENCES Adams, Robert and others. 1979. Dry Lands: Man and Plants. New York: St. Martin's Press,Inc. Akbari, H., M. Pomerantz and H. Taha. 2001. Cool surfaces and shade trees to reduce energy use and improve air quality in urban ares. Solar Energy Vol. 70. 3:295-310. Al-Awais, Saeed A. 1991. Urban Forestry in Saudi Arabia: with special reference to street trees in the Eastern Province. (Unpublished Ph.D. Thesis), University of Newcastle Upon Tyne, U.K. Al-Hemiddi, Nasser A.2002. Climatic design for neighborhood guidelines in desert region of Riyadh, Saudi Arabia.In Urban Development in Arid Regions & Associated Problems Symposium. Ministry of Public Works and Housing. Saudi Arabia. Vol 1: 409-419. Bartentein, Fred. 1981. The Future of Urban Forestry. Journal of Arboriculture 7.10:261-267. Bernatzky, Aloys. 1983. The Effect of Trees on the Urban Climate. In Trees in the 21st Century. U.K, Herts: B Academic Publishers. Bridgman, Howard A. and John E. Oliver. 2006. The Global Climate System: Pattern, Processes, and Teleconnections. UK, Cambridge: University Press. Clouston, Brian and Alex Novell. 1981. The Tree and the City. In Trees in Towns: Maintenance and Management, edited by Brian Clouston and Kathy Stansfield. London: The Architectural Press Ltd. Correy, Allan. 1972. Trees in Streets Rethought. Architecture in Australia 61.5: 535-546. Donovan, Geoffrey H. and David T. Butry. 2009. The value of shade: Estimating the effect of urban trees on summertime electricity use. Energy and Building 41:662-668. Epstein, Jeremy. 1978 . Techniques of Desert Reclamation. In Landscape Design for the Middle East, edited by Timothy Ali and Jane Brown. London: RIBA Publication Ltd. French, Jere Stuart. 1973. Urban Green. Dubuque, Iowa USA: Kendall/Hunt Publishing Co. Grey, Gene W. and Frederick J. Deneke. 1992. Urban Forestry. Malabar,FL: Krieger Pub. Hanson, George P. and Linda Thorne. 1972 . Vegetation to Reduce Pollution. Lasca Leaves 22.3: 60-65. Hitchings, David. 1981. Urban Forestry in Arizona. Tucson, USA: University of Arizona. Johnson, Craig and others. 1982. Community Forestry Manual: For The Cities and Towns of Utah and Southern Idaho. Logan USA: Utah State University Cooperative Extension Service.

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Lafortezza,Raffaele, Giuseppe Carrus, Giovanni Sanesi and Clive Davies. 2009. Benefits and well-being perceived by people visiting green spaces in periods of heat stress. Urban Forestry & Urban Greening 8:97108. Liisa Tyrväinen, Stephen Pauleit, Klaus Seeland and Sjerp de Vries. 2005. Benefits and uses of urban forest and trees. In Urban Forests and Trees, edited by Cecil C. Konijnendijk, Kjell Nilsson, Thomas B. Randrup and Jasper Schipperijn. Berlin:Springer. McCullen, John and Richard Webb. 1982. A Manual on Urban Trees. Dublin: An Foras Forbartha. McPherson, E.G., J.R. Simpson, P.J. Peper, S.E. Maco and Q. Xiao. 2005. Municipal forest benefits and costs in five U.S. cities. Journal of Forestry 103: 411-416. Miller, Robbert W. 1996. Urban Forestry: planning and managing urban greenspaces. New Jersey: PrenticeHall. Moll, Gary and Stanley Young. 1992. Growing Greener Cities: A Tree-planting Handbook. Living Planet Press, California. Robinette, Gary O. 1972. Plants People and Environmental Quality. Washington D.C.: U.S. Government Printing Office. Schmid, James A. 1975. Urban Vegetation. Chicago: Dept. of Geography, The University of Chicago. Shashua-Bar L, Hoffman ME. 2000. Vegetation as a climatic component in the design of an urban street. An empirical model of predicting the cooling effect of urban green areas with trees. Energy and Buildings 31:231-255 Weiner, Michael. 1992. Plant a Tree: choosing, planting and maintaining this precious resource. New York: Wiley.

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SOME INDICATORS OF AIR POLLUTION FOR THE CITY OF TIRANA Hysen Mankolli1*, Mirela Lika (Çekani)2, Arjan Shumeli1 1

Agricultural University of Tirana, Kamëz, Tirana, Albania, Department of Agro-Environment and Ecology E-mail: [email protected] 2 University of Tirana, Faculty of Natural Science, Albania, Department of Biology E-mail: [email protected] Corrensponding author : Hysen Mankolli; E-mail: [email protected]

ABSTRACT The problem of the stable development is very wide. Recognition of ecological aspects of stable development composes a guarantee of health in ecosystems and especially for the community. Even in Albania the ecosystems present deviations regarding natural equilibriums for known and unknown causes and reasons, but the provision of a better ecological and environmental alternative depends greatly on the predisposition of the community, scientific and institutional potentials. Some ecological aspects of stable development which are scientifically and practically noticed and evaluated are also presented with improving alternatives. The main resources of the pollution of the atmosphere are the industrial activity, burning resources in the atmosphere, burning of charcoal, engine vehicles for transport and recently the explosions and atomic centrals. Air pollution has constantly increased with the development of different industries. The monitoring of the air that is carried out in Tirana shows that the most important polluters continue to be the total dust LGS and respiratory dust PM 10. The PM 10 of the urban area of Tirana on the average is 432 µgm-3 “ 21 Dhjetorit”.The causes include the intensive urban traffic and streets which are not paved yet. At present are seen tendencies of the increase of the contents of solid particles PM,of lead Pb and bioxide of nitrogen NO2 in the air. These indicators of pollution, and also according to current international classifications, are considered dangerous for the health (especially regarding the content of PM 10). The average quantity of lead in the monitored air drops has been increased from 0,19 to 0,29 µgm-3, that is an amount of 50 Pb which is constantly increasing in the content of urban air almost in all monitored places of the country. The content in percentage within two recent years. Nowadays the atmospheric pollution has greatly increased. In many places with developed industries it threatens seriously the life and activity of people every day. The air can never be totally pure. Many sources of air pollution have always existed. Key words: atmosphere, gas, indicators, pollution, health

INTRODUCTION The most noticed and sensible aspect presented nowadays is the change of atmosphere. In the atmosphere is released the whole gas content of ecosphere. But in the atmosphere occur many physical and physicalchemical phenomena which isolate the life of living creatures in the ecosystem. These atmospheric phenomena reflect their result in climatic deviation. Climatic deviation holds the change of energy and consequently there are deviations in the parameters of stable and natural development. The climate with the values of its components gives instability of ecological equilibriums stimulating antagonist relations of competition between living creatures for survival [Boyles,S. 2002; National Environment Agency,1999]. Human technologies during the second half of the last century have brought high effects for the recent welfare of generations, but defects for the future of people. The risks of the technologies which were not seen yesterday flourished today and the scientific world is placed before the dilemma between a short luxurious life and a moderated long life. Many of the technologies in the system of industry, agriculture etc. have also carried the deviations in the atmosphere and climate.

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The aspects of gas pollution of the atmosphere are the most sensible for the community in the ecosystems. Because of the overdose of some chemical substances in the form of gas which are released in the atmosphere by technological resources such as CO, SO, Hidrocarbide,CO2 , NO, and other gas mixtures have indirectly caused climate changes such as the warming of the atmosphere, disorder of hydrologic cycle, bad health of the people, increase of mortality and respiratory diseases. From the ecological point of view the most considerable damages are mainly noticed in water and forest ecosystems. The atmospheric and climatic have carried the increase of average values of temperature and the decrease of average values of rain in different eco-zones. Consequently, in water ecosystems e.g. lakes, rivers, Laguna there is a decrease of the volumetric amount of water while in forest ecosystems there is an annual low increase,frequency of fires, loss of forest surfaces. Because of abovementioned phenomena there are disorders in the ecological pyramid of the ecosystem,the elimination of special species, and decrease of biodiversity [Barker,A.V.2002;Lushaj,Sh.2001; Mills,W.B.1985]. The main resources of the pollution of the atmosphere are the industrial activity, burning resources in the atmosphere, burning of charcoal, engine vehicles for transport and recently the explosions and atomic centrals. Nowadays the atmospheric pollution has greatly increased. In many places with developed industries it threatens seriously the life and activity of people every day. The pollution of atmosphere is composed of gas pollution (90%) and pollution from solid parts (10%). The most important polluters in the form of gas we can mention: Oxide of carbon is naturally found in the atmosphere with a concentration 0.1 ppm. Its resources are sea organisms, burning of forests, plants, warming and petrol engines. According to studies results that its concentration increases to 1 in industrial areas, while in big cities up to 100 ppm. Hydro-carbides derive from the evaporation of the tankers of oil production and mainly by their non complete burning in engines and in different warmers. Oxide of nitrogen, nitric oxides (N2O), azotes oxide (NO) and bio-oxides (NO2) are the common components of the atmosphere. They derive from volcanic eruptions, natural releases while nitric oxides derive also from bacterial activity, especially in non-aired lands. Bio-oxide of azotes stays in the atmosphere only a few days. Then it is transformed in contact with water vapors in nitric acid and later in salts (nitrate), mainly in ammonium nitrate brought by rain in the earth. It can also participate, in the formation of nitrate of peroxide acetate which composes the so-called “oxide smoke”. Sulfured anhydrite SO2,is in the atmosphere in the condition of signs with volcanic origin, but its concentration increases by the burning of carbon as well as by metallurgic industry. The air of industrial cities is rich in SO2, especially in cold winter, and this is why the pollution caused by this element influences mainly cities with wet climate and cold winter. The air can never be totally clean. There have always existed many resources of air pollution. The ashes coming from volcanic eruptions, pollen and spores released by plants, smoke and the burning of forests and bushes and the dust raised by the wind are examples of “natural pollution of the air”. But this pollution has constantly increased through the development of different industries. The contrary occurs in the oceans where the spread of pollution is low and in other reservoirs of the earth pollution occurs only in geographical timely scale for million of years. Some kinds of air pollution have been created recently, others have existed for centuries. E.g. pollution of London by the smoke created from the burning of charcoal. Prohibition of the burning of charcoal caused the use of the alternative fuel-wood and the massive burning of wood caused a drastic reduction of English forests. The air is a mixture of gases that compose the atmosphere of the earth or its cover layer. Its approximate composure in the sea level is azotes 78%, oxygen 21%, argon 0.9%, carbon dioxide 0.03%. The air contains also small amounts of other gases [Mankolli,H.2003]. General information for the country Albania Albania is located on the western part of the Balkan Peninsula, between 39 38’ and 42 39’ latitude and between 19 16’ and 21 4’ longitude. It is bordered by Greece in the East and South east, by Macedonia in the EastNortheast and by Kosova in the northeast, North and Northwest: Adriatic and Joni an Seas from the west and southwest borders of the country. The country covers a surface of about 28.748 km². The coastal area is 7000 km2 or 25% of the national territory; the Mediterranean watershed includes 28748 km2. Country’s Protected area is app.162 529 ha which means 5.8% of the territory.

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Table 1. Type of gases, percentage in volume against dry air Type of gases Chemical symbol % Percentage in volume against dry air AZOTES N2 78.10 OXYGEN O2 20.95 ARGON Ar 0.9325 DIOXIDE CARBON CO× 0.033 NEON Ne 0.0018 HELIUM He 0.0005 KRYPTON Kr 0.0001 XENON Xe 0.000009 OZONE O3 0.00006 HYDROGEN H× 0.01 MONOXIDE CARBON CO 0.03-0.04 METHANE CH4 1.4 MONOXIDE AZOTES NO 0.3 DIOXIDES AZOTES NO× 0.02-0.07 DIOXIDE SULPHUR SO× 0.02 Sources: Short report: Industrial polluters in the environment and agro-ecosystems, Conference, “Industrial pollution and Bioorganic Agriculture” ELBASAN, 2003 The country consists generally of high mountains, a narrow fertile plain and the Adriatic coast. The coastline has a length of about 470 km. The longest distance North to South measures 340 km and the greatest width East-West is about 150 km. The street of Otranto has a distance of only 72 km between Albania and Italy at the peninsula of Karaburun. Albania is noted for it’s broad altitudinal range (2,750 m), a feature that is accompanied by large differences in geology and landform. This high elevation range is also accompanied by substantial vertical division of climate, hydrographical, pedologic (soil), and vegetation features. Regarding to the Albanian’s geography it can be divided in: the North-Albanian Alps, the Lower West, the Central Mountains Region and the Southeast part [ Mankolli,H. 2008]. Sources of air pollution in Albania The generating activities of air pollution have increased as a result of the development of some economical sectors, especially of transport, construction, insufficient and arrhythmic supply with electric power etc. Transport Movable resources generate a complex of polluters that make the pollutions diffusive and recycle the deposited dust. According to the data of literature is estimated that the vehicles are responsible for releasing in the environment 24% of dust, 77%te CO, 49% NO× approx. 90% of Pb etc. The number of vehicles that circulate in Tirana has reached about 100 000 vehicles, or about 30% of the total ,including the vehicles coming every day from the other districts ,etc. Construction The construction sector is a powerful resource of pollution regarding the mass of dust which increases pollution in the spaces where constructions are carried out and the amount of deposited dust. Even though it is mainly dealt with categorized dust such as “dust from construction garbage” this type of dust affects the mass of dust registered by monitoring, increases the level of internal pollution, creates a strong sense of dirt to the citizens and carries microbes.

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Energy Regarding the energy it is difficult to evaluate its positive and negative contributions in air pollution. The fact that the people use” abundantly” energy by hydro resources continues to play a positive extraordinary role. Any reduction of this energy in favor of that from fossil materials would aggravate the existing situation. Social-economical periods in air quality in Albania In order to give an evaluation on the quality of air in Albania we refer to two social-economical periods, that before 1990 and that after 1990. In the period before 1990 are noticed some indicators which played a considerable role in the quality of air in Albanian environment. Some characteristics were: controlled demographic movements, industrial activities located in the suburbs, road transport with a limited number of vehicles, few constructions etc. economical social period after 1990 caused profound changes, reflected also in the content of the air, where its quality in many cities of Albania was considerably aggravated. Characteristics of this period are: uncontrolled and rapid movement of population, almost total collapse of industry with a high potential of pollution, increase of the number of vehicles of road transport, high and uncontrolled number of constructions etc. Based on the indicators of air quality and its monitoring in Albania ,apart from totally clean areas , there exist also many environments where the quality of air is in low levels based on the standards specified by Albanian and international bodies. Some indicators of air pollution in city of Tirana An environmental indicator can be defined as being “a characteristic of the environment that, when measured, quantifies the magnitude of stress, habitat characteristics, degree of exposure to a stressor or degree of ecological response to the exposure”. “Sharra” place is the main point of the collection of urban garbage in Tirana. The greatest part of urban garbage non-industrial and hospital garbage are collected and burned in Sharre. The place of unload is located in a valley side, in the water collection basin of Erzen river in the southwest of Tirana. Even though the place of unload is set up on clay layers, the bed of the valley contains sand and gravel. The place of unload has no protection layer in the lower part and in the side parts. There is also no drainage system for the flow and filtering of garbage. On the other hand, solid garbage pollute the air through the production of smells, of methane, particles of dust containing heavy metals and burnings associated with emissions with inorganic and organic content (dioxin, furane etc). Nowadays the place of unload presents an enormous threat for the health of the habitants of the area as well as for the adults and children, who collect and recycle garbage from this place. Monitoring environment of crossroads of vehicles (Tirana, 21 Dhjetori, Zogu i Zi and in Durres, Train station). METHOD AND RESULTS Monitoring and provision of results of air quality carried out by the Institute of Public Health. Air monitoring is carried out in the points and terms determined in the study based on the methods of receipt and analysis of samples as well as on the calculation of average values. Based on norms is carried out the comparison of the real condition and the results are discussed. The average results presented in table’s as a summary indicate the development of a situation already stabilized, of the quality of urban air. The most important polluters continue to be the total dust LGS and the respiratory one PM10. Tirana continues to be on the top exceeding almost twice the average, where the point of 21 Dhjetori is considered dangerous for the health of the people, exceeding the order over 6-7 time. According to the official classification of Great Britain, respiratory dust PM10 considered as the most important polluter of urban air in Europe and worldwide, is treated as very dangerous for the health of people -3 when encountered in urban air with a content more than 100 µgm . It is considered normal in contents lower 3 than 49 µg/m . In the results that we have provided, 7 drops out of 14 monitored throughout the territory contain over 100 µgm-3, in the point of 21 Dhjetori the air contains 432 µgm-3.

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Table 2. The average annual results of air quality– year 2007

Monitoring of teritory

Indicators of air quality

µg m -3

LGS

PM10

Tirana 1

280

126

Tirana 2

233

108

Tirana 3

151

67

Tirana 4

965

432

Tirana 5

219

99

Norm ME

140

60

Norm EU 80 50 Sources : Public Health Institute of Tirana, Albania

Fig.1. The average annual results of air quality,PM10 and LGS, Tirane – year 2007

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Table 3. The average annual results of air quality– year 2007



µg m -3

NO2

O3

Tirana 1

40

97

Tirana 2

31

100

Tirana 3

23

102

Tirana 4

57

93

Tirana 5

21

103

Norm ME

60

120

Norm EU

40

120

Sources : Public Health Institute of Tirana, Albania

Fig. 3. The average annual results of air quality, O3 and NO2, Tirane – year 2007 Table 4. The average annual results of air quality– year 2007



µg m -3 Tirana 1

Pb 0,2

SO2 16

Tirana 2

0,16

13

Tirana 3

0,13

14

Tirana 4

0,3

26

Tirana 5

0,2

13

Norm ME 1 60 Norm EU 0,5 50 Sources : Public Health Institute of Tirana, Albania

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Fig.4. The average annual results of air quality, SO2 and Pb, Tirana– year 2007 Tirana continues to be “the big factory” of air pollution in Albania. Apart from the direct influence of the more intensive urban traffic and of the roads which are not yet systematized and the measures taken , have been noticed tendencies of the secure growth of the content of solid particles PM, of lead Pb, of bio-oxide of azotes NO2 in the air of Tirana. These phenomena mark the entrance of the problem in a phase, that even according to today’s international classifications of the field, is considered very dangerous for the health (especially regarding the content of PM 10), and this requires the intensification of technical-legal measures in order to handle the situation with fewer loss of human lives. Even though its content is within the permissible norms of our country in EU, this rapid growth and its extremely toxic effects on the population in general and especially on kids, oblige the taking of drastic legal measures for lowering the permissible limit of the content of Pb in the fuel of vehicles to approximate levels with those of EU. The quality of air pollutions in Tirana city are same, from data basse environmental monitoring, we have result below: • • • • • •

-3 to 965 µg m -3 , same control point are over standart ME and EU. LGS result from 151 µg m -3 to 432 µg m -3 , oll control point are over standart ME and EU. PM10 result from 67 µg m NO2 is on boundary from 21 µg m -3 to 57 µg m -3 with valleys correctly bassed on standarts. O3 is on boundary from 93 µg m -3 to 103 µg m -3 with valleys correctly bassed on standarts. SO2 is on boundary from 13 µg m -3 to 26 µg m -3 with valleys correctly bassed on standarts. Pb is on boundary from 0.16 µg m -3 to 0.3 µg m -3 with valleys correctly bassed on standarts.

CONCLUSIONS Different kinds of dust cause different damages in the lung tissue. In general these damages are similar to each other and that is why they are known with the common term the disease of “pneumoconiosis”. According to the type of the dust that damages the lung tissue are known several types of “pneumoconiosis”, and because of the entrance and activity of free biocuid of silicium in the lungs is caused the disease of silicosis , because of the activity of carbon dust is caused anthracnose, because of the activity of the dust of iron is caused syderosis etc. because of the activity of dust for a long time , skin damages may appear (glandules of grease are blocked and consequently appear pimples and are created chances for suppuration infections of the skin). The rate of the

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damage of organisms depends mainly on the concentration and dimensions of dust particles, on the chemical content and solvable characteristics of harmful dust in body liquids, by the ways of entrance etc. the more the quantity of dust in the air and the smaller the dimensions of particles , the more is the dust that will penetrate in the organism. The people who suffer from lung tuberculosis and chronic bronchitis and emphysema are more vulnerable toward the pollution of dust and gases. Biooxide of sulphur (SO2) when increases in the atmosphere above the norm ,it prohibits the normal activity of photosynthesis in cooperation with air and humidity is provided sulfuric acid (H2CO3) which is very harmful for the health of people and living creatures , animals or plants. Removal of urban residues on time and their deposit in the place of treatment tests shall be carried out time after time for the health of the employees who collect urban garbage and of habitants in the areas with high air pollution. The care of local institutions shall be increased regarding the environmental education for reducing the resources of air pollution. The indicators with impact in pollution air in Tirana sity, are LGS and PM10. REFERENCES [1]Boyles,S. 2002. Livestock and water. Ohio State University Extenson Beef specialist,The Scientific World Jornual, www.ummass.edu/umext/soilsandplant/. [2]Barker,A.V.2002.Bioremedation of heavey metals andorganik toxicants by compositing, The Scientific World Jornual, www.ummass.edu/umext/soilsandplant/. [3]ESCAP.1994.Water Quality and Aquatic Ecosystems. Bangkok. Expert Group Meeting on Water Resources.17-21 Oct. 1994. [4]Lushaj, Sh.2001, Monitoring of agriculture land pollution and erosion, Journal, BSHB.2, p. 25. [5]Mankolli,H.2003.Short report: Industrial polluters in the environment and agro-ecosystems,Conference, Industrial pollution and Bioorganic Agriculture, ELBASAN. [6]Mankolli,H. 2008.International Geological Congress.Soils resources in the ecoclimatic area of Prespa-Albania. www.cprm.gov.br/33IGC/Ma-Me.html. [7]MANKOLLI,H.2008. Int. Environ. Appl. & Sci.; 3(4):258-264. ICID: 875505,Article type: Original article, journals.indexcopernicus.com/abstracted.php?icid=875505. [8]Mills,W.B.1985.Water Quality Assessment: A Screening Procedure for Toxic and Conventional Pollutants, EPA-600/6-82-004a & b. Volumes I and II. U.S. Environmental Protection Agency, Washington DC. [9]National Environment Agency. 1999. Report on the state of environment 1997-1998, Eldor, p.25-96.

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E-WASTE: A STATE OF THE ART OF END OF LIFE STRATEGIES Mounira Rouaïnia LARMACS Research Laboratory, University of Skikda. Algeria

[email protected]

ABSTRACT The electric and electronic equipments occupy a more and more important place in our daily environment and are the object of an increasing demand from the consumers. Nevertheless, the boosted rhythm of their replacement engenders a more and more important dangerous mass of waste called E-waste or Waste Electrical and Electronic Equipment (WEEE). This particular kind of waste which presents now the most important increasing rate constitutes the subject of our research. The scope of our study focuses on the state of the art of End of life strategies currently implemented in industrialised economies. We begin by exposing the Environmental problems generated by E-waste dangerous components. We also present most important e-waste policies in the world the current official laws for their management. After that, we detail the state of the art of End of life strategies for waste management of electric and electronic equipment. We will see that, globally these strategies encourage in first the re-use then the servicing then the remanufacturing and the recycling of end of life products. The principal goal is to limit the mass of dangerous waste.

1- INTRODUCTION During the last few decades, the electronic and electric industries have presented accelerated growth aided by sustained technological development. Such a trend leads to the rapid replacement and disposal of products even before the end of their functional cycles. The rising flow of discarded products is usually included in the municipal solid waste stream. Therefore, the common end-of-life (EOL) route for these waste products is disposal into landfill or Incineration. It is known that this practice leads to severe environmental impacts and significant losses of valuable components, materials, and energy. Hence, new regulatory frameworks have been implemented in order to prevent such negative effects. With a focus on the extended producer responsibility (EPR) principle, most contemporary regulations attempt the diversification of EOL strategies from common disposal. In this context, recycling and re-use are emerging as formal downstream activities with potential benefits for the environment and the economy. This article analyzes and discusses the performance and logistic aspects of EOL strategies for electronic and electric equipment currently implemented in several counties. The state of the art of such strategies is discussed in order to identify logistic issues that may contribute to the further improvement of waste management policies. 2- OVER VIEW OF E-WASTE 2.1-Definition Electrical and electronic equipment include all the objects or the components of objects which work thanks to electric or electromagnetic currents. EEE are present in households, work places, vehicles or quite simply in our pockets (cell phones, cameras). Electrical and electronic equipment becomes a WEEE or E-waste when it is abandoned by it’s owner. 2.2-Alarming e-waste growth These last years, the upgrade frequency is increasingly high and the products are very quickly obsolete because of the quick evolution of technologies. That’s why the quantities of waste of EEE (WEEE) increase by 3 to 5% per year. And similarly to other types of waste, the WEEE can be classified according to their origins (professional or domestic), of their weight (inferior or higher than 30kg) or of their composition (see fig 1). Indeed, in addition to metals and plastics, WEEE can contain polluting or dangerous products like cadmium, lead, mercury or refrigerants fluids. These pollutants are well known to have very harmful effects on health and environment. The professional WEEE originate from specific equipment in industrial and commercial activities, and the domestic WEEE from households equipment, and they account for 50% of the total volume of the WEEE in Europe [1]. All over the world the estimated mass of e-waste is between 40 and 50 millions tons per year [2], and distributed as represented in figure 2. This is equivalent to more then 1 kg of e-waste per capita. The challenge is then to make this important and fast increasing mass of waste be a sustainable business in respect to environment.

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Non ferrous metals 20% Ferrous metals 50%

Inert and others mat 15% Plastics 15%

Fig I. WEEE average composition [1]

Africa

Asia

Europe

Latin America

North America

Oceania

Fig 2- Estimated E-Waste by Continent (in thousand tons) 3- E-WASTE POLICIES Several governments around the world have started these last years instituting policies to tackle the growing problem of e-waste. In Europe, Members of the European Union (EU) have recognized the scope of the e-waste problem and have instituted a system of extended producer responsibility (EPR) to address it. On February 13, 2003, two EU Directives entered into force: Directive 2002/96/EC on waste electrical and electronic equipment (WEEE) and Directive 2002/95/EC on the restriction of the use of certain hazardous substances in electrical and electronic equipment (RoHS) [3]. WEEE Directive requires producers of electronics to take back and recycle waste electronic equipment. RoHS Directive, on the other hand, requires the substitution of lead, MR, mercury cadmium, hexavalent chromium,

polybrominated biphenyls (PBBs) and polybrominated diphenyl ethers (PBDEs) in new electrical and electronic equipment put on the market from July 1, 2006.

In The United States, after the adoption of the EPR principle, several initiatives regarding the recycling and re-use of end-of-life electronic products have been developed . Sponsored by the Environmental Protection Agency (EPA), the National Electronics Product Stewardship Initiative (NEPSI) proposed in 1999, is aimed at promoting greater

product stewardship of electronic devices. Product stewardship means that all who make, distribute, use, and dispose of products share responsibility for reducing the environmental impact of those products [4].

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In China where more than 70 % of the e-waste of the United States goes, a series of regulations have been issued to tackle the problem facing this kind of waste recycling. The China’s WEEE ordinance Issued on Feb 28, 2006, resumed management measures for the prevention of pollution from electronic products, such as restrictions on the use of hazardous substances; green design; provision of information on the components, hazardous substances, and Recycling [5, 6] In Japan The Japanese government enacted the Designated House- hold Appliance Recycling Law (DHARL) in 1999.10 This basic policy enforced in 2001 based on an interpretation of the Extended Producer Responsibility principle, concerns the collection, transportation, and recycling of waste products from household appliances. Together, the four targeted products represent 80% of the total number of appliances discarded by householders, and approximately 2% of the total municipal solid waste generated annually in Japan.[6, 7].

4- END OF LIFE STRATEGIES FOR E-WASTE 4.1- Products life cycle All products have a life cycle that covers a sequence of interrelated stages from the acquisition of raw materials until their end-of-life, when the product’s functionality no longer satisfies the requirements of the original owner. At the end of life, the product can be disposed of or its life cycle extended over time [7](see fig 3).There are five basic end-of-life strategies. In accordance with their potential economic and environmental efficiency, the strategies can be ranked as follows: 1. re-use 2. servicing 3. remanufacturing 4. recycling 5. disposal

Fig 3- Generic product’s life cycle [7] Re-use represents the recovery and trade of used products or their components as originally designed. Servicing is a strategy aimed at extending the usage stage of a product by repair or maintenance. Remanufacturing considers the

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process of removing specific parts of the waste product for further re-use. Recycling (with or without disassembly) includes the treatment, recovery, and reprocessing of materials contained in used products or components in order to replace virgin materials in the production of new goods. Finally, disposal entails the processes incineration (with or without energy recovery) or landfill. Frequently, EOL strategies are combined in order to maximize profitability and efficiency [8]. In general terms, it is known that both the design process and the collection method to recover discarded products have a fundamental role in determining the efficiency of a given end-of-life strategy. The design process defines all product characteristics such as material composition, performance, and costs. Therefore, design has an implicit role in defining the best end-of-life practice for a given product. In this context, the design toolbox or “design for X” (DfX) in a contemporary design process is an integrative method for cost-effective and high-quality life-cycle management. Some examples of DfX in relation to specific EOL issues are the design for environment (DfE or eco-design), disassembly, serviceability, re-use, repair, and recycling [7, 8]. On the other hand, the collection method entails the action of recovering waste products once they are discarded. In general, the volume and quality of the incoming flow of recovered products constrains the efficiency of certain EOL strategies such as recycling and re-use. The most common collection methods are based on five models: drop-off; permanent collection depot; curbside collection; point-of-purchase and combined/coordinated models. The drop-off model is a 1-day collection event that is generally organized using existing municipal facilities. The permanent collection depot is a continuous event in which a designated site is permanently used for the collection and temporary storage of specific types of products. The curbside collection, in contrast, means the recovery of used products or wastes either on a periodic basis or by request. The point-of-purchase model is the collection of used products by a retailer. Finally, a combined/coordinated model is a program in which various collection methods are implemented simultaneously. Another concept closely related to EOL strategies is product take-back, aimed at recovering sold products or their components for specific industrial purposes such as recycling or re-use. Often, a take-back system is based on either a point-of-purchase model or curbside collection by request. When choosing an EOL strategy for a given product, diverse logistic and environmental issues need to be considered. In particular, electric and electronic equipment has a high residual value after discard. In fact, a significant amount of disposed equipment is appropriate for re-use or remanufacturing. In addition, the material composition of these products allows profitable recycling. From an environmental point of view, the most significant impacts throughout the product’s life cycle occur during the usage stage, followed by the extraction of raw materials and disposal. This particular situation implies that EOL strategies must focus on reducing the impacts at three different life-cycle stages. Therefore, it is likely that an adequate EOL scenario for these products requires the integration of several strategies into a coordinated logistic system. Such a system entails the adjustment of the design process to diverse demands, the adequate implementation of a take-back program, an appropriate infrastructure, and the development of an efficient business model. All these factors represent the coordinated participation of the corporate and social participants in the system. In this context, the extended producer responsibility (EPR) principle [9] has been one of the main driving forces while regulatory frameworks for the environmental and economic management of waste electronic and electric products have been developed. EPR is the principle in which actors along the product chain share responsibility for the lifecycle environmental impacts of the whole product system. The greater the ability of the actor to influence the environmental impacts of the product system, the greater the share of responsibility for addressing those impacts should be. These actors are the consumers, the suppliers, and the product manufacturers. Consumers can affect the environmental impacts of products in a number of ways: choosing environmentally friendly products, by maintenance and the environmentally conscious operation of products, and by a careful disposal. Suppliers may have a significant influence by providing manufacturers with environmentally friendly materials and components. Manufacturers can reduce the life-cycle environmental impacts of their products through their influence on product design, material choices, manufacturing processes, product delivery, and product system support. From an economic perspective, EPR is a referential strategy to promote the integration of the environmental costs associated with product life cycles into the market prices of the products. This economic approach to EPR focuses on the role of producers, and consequently of corporate organizations. The minimization and prevention of wastes, the increased use of recycled materials in production, and the internalization of environmental costs in product prices are fundamental while implementing an EPR program in companies. In this context, the responsibility of the producers lies in a legal duty enforced by governments or in a voluntary action. The responsibility for product recovery has become essentially synonymous with product take-back. The potential environmental benefits of EPR include the efficient use of resources, cleaner products and technologies, an efficient reduction in manufacturing and the banning of hazardous substances used in production, increased recycling and recovery and greener consumption.

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4.2- End of life strategies In this section we expose different EOL strategies for electronic and electric equipment currently implemented in most developed countries. We must note that many other countries have began to put on policies and regulation in order to manage and treate e-waste in regards of health and environment needs. United States of America Under the coordination of the EPA, several programs and pilots have been implemented in the USA. Two examples are the Waste Wise plan on the recycling and reuse computer hardware, and the Computer Display Project with a focus on recycling the cathode ray tubes (CRTs) contained in TV sets and computer monitors. In a more advanced stage of development, the Electronic Product Recovery and Recycling Project (EPR2) is aimed at encouraging the recycling and re-use of diverse electronic equipment by the implementation of cost-effective dismantling processes. The EPR2 initiative considers a series of pilot programs in different geographic locations, diverse collection methods, and different data sets. The pilots focused on the collection of over ten domestic products classified into five categories. Among the targeted products, TVs, computers, printers, VCRs, audio equipment, and telephones showed the highest collection rates. In all cases, the participation of concerned stakeholders was voluntary, and local authorities and businesses shared collection and recycling costs. Therefore, no operational costs were charged to consumers. The general end-of-life strategy implemented in the pilot is shown in figure 4. The strategy focuses on the reduction of incoming flows of wastes to landfills or incinerators while maintaining profitability. Priority is given to the extended lifespan of products or components via repair and re-use. When re-use is not possible, products are disassembled and the components are refurbished for re-use in domestic or overseas industries. Recycling takes place when no other re-use route is feasible. This strategy attempts the maximal reduction of hazardous waste inputs into landfill sites or incinerators. From an economic viewpoint, the study concluded that the net costs of the pilot were broadly driven by demanufacturing costs. Moreover, the kerbside collection method presented the highest efficiency [10,11].

Fig 4- End of life strategy in USA

European Union The current end-of-life model in the European Union (EU) is based on the Directive on Waste from Electronics and Electronic Equipment (WEEE) and the Directive on Restriction of Hazardous Substances (RoHS)[3], approved in October 2002.The initiative covers 81 products divided into ten categories from small domestic appliances to medical

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equipment. The WEEE directive attempts to standardize the requirements for the collection and recycling of electronics in the community, but also to extend the regulations to imported products. The objective of the directive is to prevent waste generation by encouraging re-use, recycling, and other forms of recovery, and to improve the overall environmental performance of products during their life cycle. The scope of this directive includes producers, distributors, consumers, and all parties involved in treatment of the waste. Producers are requested to finance the collection, treatment, recovery, and environmentally sound disposal of used products or wastes from households and other entities. The RoHS directive bans the trade of any new equipment containing mercury, lead, cadmium, hexavalent chromium, polybrominated biphenyls, or polybrominated diphenyl ethers. This initiative is expected to have a great influence on the current design process and disposal methods. As a complementary measure, the Community has recently dictated new legislation aimed at regulating design innovation in the electronics and electrical industries. Under this proposal, manufacturers selling their equipment in the European Community would have to perform a conformity assessment of their products according to specific DfE guidelines. The implementation of an “internal design control” to satisfy the basic product requirements becomes mandatory, and manufacturers who comply will be awarded an “EC label” of product certification conformity.. In the context of end-of-life strategies, the initiative encourages design for disassembly, re-use, repair, and recycling. The WEEE directive imposes a high recycling rate for all targeted products. The rate varies from 50% to over 80%.The recovery consists of a take-back system with combined collection methods. The projected annual yield is 4kg/inhabitant. The end-of-life strategy focuses on collective re-use and recycling. The strategy includes the following sequence of processes: collection, sorting, refurbishment, dismantling, shredding, treatment of recyclable components/materials, treatment of hazardous components/ substances, and landfill or incineration (with heat recovery) of remaining wastes. Figure 5 illustrates the European union e-waste EOL strategy.

Fig 5- European Union End of Life strategy

Japan The Designated House- hold Appliance Recycling Law (DHARL) represents the first attempt to implement a full scale private-sector-based post-consumer waste recycling system in Japan. The system entails the coordinated

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participation of several stakeholders such as manufacturers and importers, retailers, consumers, and municipal offices (Fig. 6). Manufacturers and importers have an obligation to take back their products at designated collection sites, and to recycle them according to standards set by the government. In this context, recycling is defined as the action of removing valuable parts and materials and re-using them as substitutes in manufacturing or as fuel (thermal recycling) [7]. The current recycling target for air-conditioners is 60%, 55% for TVs, and 50% for refrigerators and washing machines. Alternatively, retailers are requested to take back used home appliances that they have sold and to transfer them to the corresponding manufacturer or importer. Municipal offices can also collect discarded appliances in order to transfer them to manufacturers or “independent bodies” for recycling. However, in some cases municipalities are allowed to perform recycling activities. Consumers are obliged to cooperate in transferring used appliances to retailers or municipalities, and to pay the necessary fees for collection, transportation, and recycling. Therefore, the Japanese strategy is an obligatory take-back system broadly based on combined kerbside and point-of-purchase collection programs. After collection, products are delivered to the recycling plant to be sorted, treated, dismantled, and crushed. Valuable materials such as glass, aluminium, certain types of plastics, copper, and iron are recovered with a high level of purity via electromagnetic, centrifugal, and gravity separation techniques. Hazardous substances are recovered and destroyed via thermal or chemical processes. After recycling, materials are re-used in manufacturing new products In general terms, this end-of-life strategy focuses on recycling with or without disassembly. Therefore, in companies the design toolbox has been broadly focused on design for disassembly and recycling [12, 13].

Fig 6- End of Life strategy in Japan

CONCLUSION In this paper we considered End-of-life strategies for electronic and electric equipment implemented in developed countries. All strategies aim to reduce the e-waste flow to preserve environment from it’s dangerous and pollutant components. The analyzed strategies present several conceptual and logistical differences. However, we can conclude that current EOL strategies regarding e-waste present economic and environmental advantages compared with traditional disposal practices. Although recycling was the predominant EOL route, the re-use presents greater

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benefits for both the environment and the economy. Further improvements in waste management policies regarding ewaste should focus on re-use strategy and all related treatments and management, such as servicing. This task implies additional considerations regarding the diversification of the design during the production process. REFERENCES [1] M Rouaїnia. 2008. Waste electrical and electronic equipment management and treatments. RETBE Int Conf. Alexandria. Egypt [2] EMPA. 2005. International E-waste generation. http://www. Ewaste.ch/facts_and figures/statistical/quantities accessed in December 2008 [3] European parliament. 2003. Directives 2002/95/EC and 2002/96/EC. Official journal of the European parliament February 2003 [4] United States Environmental Protection Agency EPA. 2005. Product stewardship: report on electronic products EPA. USA [5] Hicks C, Dietmar R, Eugster M. 2005 The recycling and disposal of electrical and electronic waste in Chinalegislative and market responses. Environmental Impact Assessment Review n° 25. p: 459-471 [6] A Terazono and All. 2006. Current status and research on E-waste in Asia. Journal of Mater cycles waste management 8. p 1-12 [7] Outline of the Home Appliances recycling law of Japan. http:/www.env.go.jp/en/lar/wastelaw/08.pdf. Accessed on December 2008 [8] M Rose. 2000. Design for environment: a method for formulating product end of life strategies. PHD Thesis. Stanford University. Department of Mechanical engineering [9] White A, Stoughton. 1999. Servicizing, the quiet transition to extended product responsibility. Tellus Institute. USA [10] Fishbein B, Ehredfeld J, Young J (2000) Extended producer responsibility: a materials policy for the 21st century. EPA, USA [11] United States Environmental Protection Agency EPA 2007. Electronic waste management in the USA. Technical report. [12] Sakai S. 2004. E-waste recycling and chemical issues in Japan. Third Workshop on material cycles and waste management in Asia. Japan [13] CJC. 2002 Recycle-oriented society. II.Towards sustainable development. Clean Japan Center, Tokyo

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SUSTAINABILITY IN THE HUMBER RIVER BASIN Rainer Baehre1, Brian Hearn2, Joan E. Luther2 Nick Novakowski1, Doug Piercey,2 Dean W. Strickland1, Olivier R. van Lier,2 Pamela Gill1 and Wade Bowers1 1

Sir Wilfred Grenfell College, Memorial University of Newfoundland, 1 University Avenue, Corner Brook, Newfoundland, Canada A2H 6P9 2 Canadian Forest Service, Natural Resources Canada, P.O. Box 960, Corner Brook, NL, A2H 6P3

ABSTRACT The Humber River Basin project was initiated by Sir Wilfred Grenfell College of Memorial University of Newfoundland and its partners to heighten research collaboration in response to critical issues facing decision makers concerning the sustainability of the Humber River Basin and its environs. The basin and its component watersheds represent an excellent platform from which to develop and integrate science and policy. The research identified by Grenfell College and its partners is considered an important prerequisite to developing a more scientifically sound and ecosystem-based strategy for management of the basin ecosystem(s). It is recognized by both scientists and policy makers in the province of Newfoundland and Labrador, Canada, that our most vital natural resources are directly or indirectly linked to water in the form of marine, fresh, and estuarine systems. This paper highlights selected current research activities and presents preliminary findings. The investigators seek input from potential collaborators and knowledge of practices for future development of the basin initiative. In particular, we seek to foster collaboration at an international level, building a stronger network of researchers with an interest in basin ecology and related fields.

INTRODUCTION Sustainability rests on the principle that we must meet the needs of the present without compromising the ability of future generations to meet their own needs; therefore, stewardship of both human and natural resources is of prime importance to the future of humankind. Stewardship of land and natural resources involves maintaining or enhancing resource assets for the long term. Landscapes are healthy when their components and processes are functioning properly. In Newfoundland and Labrador, as elsewhere around the globe, a key challenge is to achieve sustainable (eco)systems considering the context of the requirements and desires of society. Sustainable ecosystems which have adapted over time to gain greater resilience to local disturbance and lower susceptibility to catastrophic events are necessary to achieve the needs and desires of present and future generations. In 2002 at the Johannesburg World Summit on Sustainable Development (WSSD), the Technical Advisory Committee of the Global Water Partnership defined Integrated Water Resources Management (IWRM) “as a process, which promotes the coordinated development and management of water, land and related resources in order to maximize the resultant economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems,” and emphasized that water should be managed in a basin-wide context, under the principles of good governance and public participation. Several agencies including the United Nations Environment Programme (UNEP) have advocated a basin-wide approach to ecosystem studies. Recently, a number of workers have drawn attention to the importance of basin ecology in understanding complex ecosystems and climate change phenomena (Carpenter et al. 1992; Hannah, et al. 2007; Kundzewicz et al. 2008; Middelkoop et al. 2001; Palmer et al. 2008; Payne et al. 2004; Reid and Brooks 2000). In summer 2006-2007, as part of a wide-reaching plan under the Centre of Environmental 1 Excellence (CEE) to build local research capacity in the western region of the province, the government of Newfoundland and Labrador (Innovation Trade and Rural Development) supported a comprehensive research project led by Sir Wilfred Grenfell College, a campus of Memorial University of Newfoundland, to develop a means to monitor and assess the long-term ecological health of the Humber River Basin (HRB)

1 The CEE is a long-term strategy which aims to diversify the Western Region, and indeed the Province of Newfoundland and Labrador, Canada, through aggressive expansion of research and development and post-secondary education capacity in the environmental sector complemented by the establishment of industry clusters and enterprise development.

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ecosystem. The assessment project was supported by the Atlantic Canada Opportunities Agency 2 and by the Canadian Forest Service (CFS) of Natural Resources Canada 3. In 2007-2008, the research partnership was strengthened with direct input from the provincial Department of Education and with student funding support from the Institute for Biodiversity, Ecosystem Science & Sustainability (IBES). The HRB project was initiated by Grenfell College and its partners to respond to critical issues facing decision makers concerning the sustainability of the river basin and its environs. The initiative identifies common priorities across provincial, federal, and university domains; through a coordinated action plan, the HRB project addresses key issues associated with land-use planning and the broader context of economic development and sustainability. Within the basin, rapid development of the land base offers new economic opportunities in areas such as business, (eco)tourism, recreation, and cultural industries. Current research addresses the environmental history of the basin and attempts to support the sustainability strategies of various provincial government departments, most notably those dealing with climate change, biodiversity, environment, and innovation. Such strategies require an understanding of terrestrial and aquatic ecosystems, including the human dimension, to mitigate the impacts of disturbance and to promote innovation as a means of sustainable economic development. The research identified by Grenfell College and its partners is a prerequisite to developing a scientifically sound and ecosystem-based strategy for management of the HRB system. It is recognized by provincial scientists and policy makers that our most vital natural resources are directly or indirectly linked to water in the form of marine, fresh, and estuarine systems. Only through more integrated approaches to land-use management that take into account the ecological integrity of these systems will it be possible to meet key targets identified under the provincial government’s Climate Change Action Plan, Energy Plan, Sustainability Act, and Innovation Strategy. Moreover, the Northern Strategic Plan for Labrador specifically calls for increased attention to the monitoring and assessment of water quality in Labrador. Finally, the initiative aligns with the principles that underpin the Government of Canada’s new economic plan, Advantage 4 Canada . The basin, located in the western region of the island of Newfoundland, encompasses a drainage area of 9800 km2 (Figure 1). Within the basin, the 150 km long rivers’ headwaters flow from the Long Range highlands; first southeast, then southwest through Deer Lake, and finally into the Bay of Islands near the city of Corner Brook. River tributaries within the basin exhibit complex meandering patterns; along its path the river falls nearly 660 m from its sources. The river is rich in Atlantic salmon and was, from the 1800s, a waterway for European trappers. The mouth of the river was charted by James Cook in the 1760s with settlement taking place in the region until the mid-1800s. Flowing through great stands of timber, the Humber has been used by loggers since the late 1800s. As urban development continues to alter landform and modify basin hydrology, there is an urgent need to better understand factors affecting land use in the basin. The basin is an example of a watershed which typifies the vast boreal landscape, rich in human and natural resources. Like many watersheds it continues to undergo rapid development resulting in significant cultural, economic, social and environmental change. A key prerequisite to sustainable development in the region is an increased understanding of its natural and economic systems. Indeed, business development in the region was largely founded on the rich resources, natural beauty and unique landscapes. Despite some attempts to document the resource base and the natural and human dimensions of the region, there is a paucity of data describing the basin’s ecosystem(s). There is a particular need for baseline data on terrestrial and aquatic ecosystems, the riparian interface and the long-term consequences of global phenomena such as climate change. These data are critical in the development of analytical tools used to developed integrated land-use policy. As the demand for land development increases and the effects of global change become more acute, the ability to plan and forecast in the natural environment will be an essential tool to assist decision makers.

2

Atlantic Canada Opportunities Agency (ACOA) is a federal government agency. Headquartered in the Atlantic Region, ACOA's goal is to improve the economy of Atlantic Canadian communities through the successful development of business and job opportunities 3 The Canadian Forest Service (CFS) is a science-based policy organization within Natural Resources Canada. 4 Mobilizing Science and Technology to Canada’s Advantage, 2007 249


Fig. 1. Location of the Humber River Basin in western Newfoundland, Canada.

RESULTS AND DISCUSSION General assessment Elements (i.e. studies) of the basin project were established to integrate science with policy, thereby more effectively promoting sustainable development in the region. The primary knowledge base generated through discrete research studies is designed to facilitate long-term ecological assessment of the basin. Core scientific studies within the project will help elucidate the environmental history of the basin, physical aspects of the land base, patterns of plant and animal distribution, and the functional dynamics underpinning the ecological integrity of the basin. It is recognized that substantial improvements are required in the current suite of available models to better assess and understand ecosystem health, biogeochemical trends, and to more accurately predict future responses to global change, particularly due to anthropogenic perturbations. Thus, as part of the basin Project, a Climate Transect has been established in western Newfoundland and into Labrador. The transect, represented by permanent research plots, provides study areas for interdisciplinary and collaborative research in forest science, soil science, estuarine science, and potentially wetland, lake, and peat land science. At present, major impediments faced by scientific and policy advisors, resource managers, and decision makers include the lack of reliable indicators (to measure progress towards sustainability; to assist in environmental assessment; to assess land-use change), insufficient understanding of ecosystem processes (nutrient cycling), inadequate representation of multi-element cycling (physical and biogeochemical), as well as poor knowledge of community structure (biota). Thus, one focus along the gradient will be to identify and develop potential indicators. Environmental gradients are a useful tool for understanding the role of current climate in structuring communities (Harrison, 1993; Hodkinson et al., 1999) and have been used as a surrogate for predicting responses to future climate change (Fielding et al.,1999; Fleishman et al.,2000). Both latitudinal and altitudinal gradients have been examined for this purpose (Calder 1992; Hillebrand 2004; Kendall and Aschan 1993; Rohde 1978, 1992, 1999; Sanders 2002). To better examine current and future developments in the basin, this paper first examines the human dimensions and natural history of the basin.

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The Natural and Human Environment of the Humber River Basin of Western Newfoundland The Humber River Basin region of western Newfoundland illustrates well the complexity of human-created environmental change. Indeed, it would be impossible to understand the “nature” of this region without taking into account its historical developments, especially recent ones. A major objective of the basin study, “The Human Module through Time,” has therefore been to explore how “global” (or macro) and “local” (or micro) histories can be linked and to explain the interconnections between the natural and human environments of the region in a series of studies – how human activity has affected and been affected by its natural surroundings. This approach can also determine the extent to which the region’s inhabitants and communities have adapted to past environmental change, which has on numerous occasions altered their means of economic survival. Apart from adding to the scholarly knowledge of the basin, this study of the region’s human ecology provides useful applications. For example, this research has required collecting, documenting and thus conserving the identity of the region through a wide range of resources: cartography, topography, local knowledge, and traditional textual sources. One of the first tasks at hand was to compile a multi-disciplinary bibliography of the basin region with relevant sources in the social sciences, humanities, and sciences – this had previously never been done. Collectively, this material reflects the basin’s geographical, economic, political, social, and cultural identity and constitutes the region’s primary intellectual heritage. These materials and their interpretation suggest public history applications (i.e., local museums, schools) and offer a more reliable and scholarly basis for explaining the context of environmental change in this specific setting; they also facilitate additional research, heritage preservation, and cultural tourism. Overall, this study contributes to a more holistic and multi-disciplinary understanding of the region and its relationship within a constantly shifting natural and historical environment. Such a broad interpretative context and working knowledge of the basin have to date been lacking.

Herein, the human history of the basin region is divided into two major periods: pre-1860 and 1860 to present. The pre-modern period represents the earliest aboriginal settlement phases during which the region was inhabited by nomadic and migratory peoples, which prior to 1850 was followed by a small scattering of permanent Euro-American settlers. Throughout this early period, the region’s environment was affected only marginally by human activity because of its relative isolation, climate, and abundance of resources. In contrast, the post-1860 period is marked by a once-growing population within a commercial and industrial economy which has lately flattened out and even declined. These historic developments illustrate how the issues of sustainability have been long-standing in the basin, and how they have left a deep impact on the region, its inhabitants, and their social, economic, and cultural identities. Pre-1860s Ten thousand years ago the region remained in the grips of the last Ice Age. Known archaelogical sites are few in the basin, but one can trace the beginnings of the exploitation of this region’s natural resources as far back as three thousand years, and perhaps longer. Evidence of the Maritime Archaic Indians exists in the Deer Lake and Upper Humber River area from approximately three millennia ago. A later migratory peoples, the Groswater Paleoeskimo, were also present in the Middle Arm of the Bay of Islands, based on a preliminary archaeological survey (Reader 1993). These cultures proved to be sustainable for long periods of time, existing on subsistence economies of hunting, fishing, and gathering. Yet eventually, like the much later Beothuk, they disappeared for reasons that remain unclear. The exception in western Newfoundland has been the Mi’kmaq of relatively recent origin, who have lived primarily in Bay St. George, but also in the basin. Annual caribou migrations through the basin, along with marine resources and other fur-bearing animals may well have attracted early Native peoples as hunters and gatherers. The historic migration of caribou resulted in the topynym of Deer Lake (initially “Lake of the Deer”), a fresh-water body of inland water through which the Humber River flows. While the topynym has survived, however, the number of caribou has declined drastically, especially in the last few years. This project undertook a systematic search for historical maps and topynyms by which the basin first came to be “geovisualized” (O’Dea 1971). For example in the early sixteenth century, western Newfoundland was designated La Cote Des Basques (Home of the Basques). The explorer Jacques Cartier identified St. Julian’s Bay [la baye Sainct Jullian] (later Bay of Islands) in his 1534 voyage into the Gulf of St. Lawrence as well as its three identifying islands, as “les Coulonbiers” (Barkham, 2001). European interest in Newfoundland waters revolved around its abundant supply of cod, whales, and seals. Even during the early modern period, what happened in the basin region cannot be understood by considering the natural 251


environment without its human component. The few extant records mention a remote local Basque migratory fishing station at Governor’s Island in the Bay of Islands, part of the Humber Arm, a symbol of early European mercantilist expansion into the New World. In the seventeenth and early eighteenth century, as the Basque presence waned and France’s power grew, a French migratory fishery increasingly took place, venturing into the Bay of Islands and the Humber Arm. Seal Island in the Bay of Islands owes its origins to the Basques, then the French, who hunted seals there as late as the early eighteenth century, using their skins in the production of footwear at home. Nowadays, the biomass has been sharply reduced, and there are comparatively few whales, seals, and cod to be found in this region. Geopolitical international conflict shaped the early human environment of this region, especially between the expansionary mercantilist powers Britain and France. Following the Treaty of Utrecht (1713), Britain gained control over Newfoundland but France was not entirely dispossessed. In the interests of preserving international peace, Britain continued to allow access by the French to the Newfoundland fishery, at least a fifth of which initially occurred along western Newfoundland. War continued to interrupt the fishery. A further shift in jurisdiction over the region and the Newfoundland fishery came during the Seven Years’ War. The Treaty of Paris (1763) placed all former French possessions in North America under British control, except for the islands of St. Pierre and Miquelon, yet the French once more retained their former fishing rights. To help ensure jurisdiction over Newfoundland waters, however, the British government commissioned a thorough hydrographic charting. The then obscure but talented naval cartographer James Cook was assigned to chart the entire island (Janzen 1993). This task also encompassed the Humber River Basin region from the Bay of Islands to Deer Lake. Cook renamed a number of existing place names and invented others, in part, to assert British sovereignty over the French. For example, Lark Harbour in the Bay of Islands was named after one of Cook’s accompanying naval vessels, the H.M.S. Lark. Despite Britain’s victory, France pressured for a restoration of its historical fishing rights in the region. Under the Treaty of Paris (1783), the first “French Shore” was established along the northerly coasts of Newfoundland. The outbreak of the war between France and Britain began again in 1793, but a second French shore was agreed upon with the Treaty of Paris (1814/15), again designed to preserve peace (Baehre 2008a). This new French Shore formally encompassed the entire west coast of Newfoundland including the Humber River Basin region. In 1828 approximately ten per cent of the French fishery operated on the west coast with several summer stations (“fishing rooms”) in the basin. To satisfy French demands for an unhampered (“exclusif”) fishery, Britain also agreed to severely restrict Anglo-fishers from interference in the fishery and settlement. This arrangement lasted until the Entente Cordiale in 1904 and explains, in part, the relatively small population in the basin region prior to the twentieth century (Hiller 1996). The Convention of 1818, signed between Britain and the United States, established an American shore in Newfoundland, resulting in an American maritime presence in the region that lasted well into the twentieth century. Britain’s willingness to give France and United States large-scale access to Newfoundland’s maritime resources was done to reduce international conflict but came at the expense of the island’s resident population. The American fishing presence in the basin continued into the twentieth century, though mitigated by The Hague Tribunal of 1910. Lobbying and protests to the imperial government by western Newfoundland fishers secured their interests, allowing the basin region and its residents to come under full control of the Newfoundland government. Despite these conditions, an aboriginal presence remained evident in the region. Some Beothuk who disappeared from the island, as a society and culture, in the 1820s of Newfoundland, appear to have been present in the basin. However, since at least the 1760s, western Newfoundland had also been populated by Mi’kmaq peoples originally from Nova Scotia and Cape Breton (Martijn 2003). Intermarried with the French, many of Acadian background, the Mi’kmaq made their presence known as far north as Bay St. George and into the Bay of Islands where they carried out a traditional, subsistence economy of hunting, fishing, and gathering. However, until recently, they were not identified as “Indians” and given legal status by government. Rather, from the nineteenth century onwards, they were often characterized as “jacques au terre,” or “jackatar,” a derogatory term for Métis, meaning persons of French and Mi’kmaq background. This ethnohistory is also important in light of the recent Native resurgence and the efforts of Mi’kmaq peoples to gain status under Canada’s Indian Act and assert traditional aboriginal land use. Current estimates suggest that today as many as 20,000 inhabitants in Newfoundland have some Mi’kmaq ancestry, with at least 7,500 and perhaps twice that many living in the basin, making them one of the largest concentrations of Native peoples in Canada. Part of the basin study, therefore, consists of documenting the history of the “jack-a-tar” in the region, particularly those who lived in the former community of Crow Gulch within Corner Brook, the urban centre of the basin since the 1920s (since relocated as part of a 1960s urban renewal project). Part of 252


the environmental history also attempts to reconstruct that aboriginal-based history by looking at whether, and how, Traditional Ecological Knowledge (TEK) has perhaps been culturally transmitted through folklore and folkways. This fragmented history is slowly being recovered through genealogy, oral history, and comparative ethno-historical research. The first Anglo-European settlers in the basin were also attracted to the region’s natural resources. By the early 1780s a few Anglo-Europeans had also begun moving to the coast and inland into the Humber Arm when France’s rights to the fishery were abrogated during the American rebellion. These residents survived economically by trapping and salmon fishing, or engaging in other activities permitted under the Treaty of Paris. The region’s reputed first “planter,” or permanent resident, was Ralph Brake who arrived in the late 1770s in Newfoundland with his brothers, as an indentured servant from Somerset. He was sent to the Bay of Islands by his merchant master and subsequently lived there for sixty years, married a Mi’kmaq woman, raised a family, and worked for the region’s principal merchant, Joseph and Thomas Street Bird Company. His principal occupation in the latter part of the century was trapping and salmon fishing for which the Humber River is well known to this day. The French Shore treaty did not apply to Brake, because he was sufficiently inland at the mouth of the Humber and fishing salmon, not cod. The commercial salmon fishery which Brake initiated reached its peak at the turn of the twentieth century. More recently as stocks declined the salmon fishery became a highly regulated sport fishery, as it remains today. Brake’s Cove, now part of Corner Brook, is believed by his living descendants who remain in the basin to be the site once occupied by Brake. Other parts of the basin were named after his descendants. In this sense, local and genealogical knowledge sheds light on why communities in the basin were established or abandoned in relation to the natural and human environment. In general, the early inhabitants of the basin region, who came primarily from west country England, the Channel Islands, Ireland, and eastern Newfoundland, participated in the merchant truck system but also practiced a seasonal, local economy which allowed them to be selfsupporting. This mixed-economy was much easier to carry out when natural resources were abundant and competition was comparatively minimal. They depended on exporting fish and furs for cash and trade goods, yet also learned to live off the land: they cut their own wood for housing, fishing and fuel, raised small amounts of livestock for food, made much of their own clothing, and supplemented their diets through personal fishing, hunting, gathering berries, and growing vegetables. This was a household and barter economy under which natural commodities were traded with merchants for cash and supplies, and with neighbours for goods and services. To some extent, though a wage and market economy now clearly dominate, this “barter” economy survives today as an “underground economy.” While this study has now collected early census data to document demographic patterns, eventual plans are to analyze this geospatial data in the context of quantitative economic interpretations. In addition, because the sea was a fundamental element of the natural and human environment, cartographic, social and cultural information is being collected related to the incidence and impact of maritime disasters in basin communities (Baehre 1999).

The 1860s to the Present The history of the basin region during this period illustrates how externally market-driven economic activity and industry changed the environment through the systematic and profit-driven exploitation of natural resources, eventually using them up rather than finding ways of balancing and harmonizing with them. Although permanent settlement was generally prohibited along the French Shore until 1904, in the 1860s there began a steady influx of settlers who moved inland along the Humber Arm, outside of the French Shore, and established homesteads and some farms. There were only 36 persons listed in the region in 1808, eighteen families and 86 inhabitants in 1838, and minimal in-migration before 1860 (Mannion 1977). In part, this was because the settlements were far from the coastal cod fishery. In the 1860s, however, a herring fishery boom and growing American markets resulted in annual exports – initially for bait herring and then smoked herring – reaching as high as 50,000 to 60,000 barrels. This created work not only for fishers, but coopers. By the late 1870s, however, the stock had declined dramatically and brought hardship to an estimated sixty families, a sizeable proportion of the population. Herring continued to be important to the outport economy of the basin until the early 1950s when stocks became permanently depleted. The practice of lobster canning, a New England invention, was brought into the region in the 1880s, perhaps to counteract the decline in herring production. Of twenty-nine lobster factories in western Newfoundland, five of them were built in the basin region at Wood Island (2), Liverpool Cove, Lark Harbour, Crabb’s Brook, and Shoal Point (Prowse 2002). Within a decade this rapid expansion and overexploitation contributed to the collapse of this industry; in recent years, a shellfish industry has been reestablished though it remains vulnerable to declining stocks and low global prices. Outside the fishery, two major components of growth in 253


the late-nineteenth century basin were a lumber boom and the transinsular railway. In the 1860s, some members of the Newfoundland government promoted industrialization: mines, a railway, and timber exploitation. Surveys based on the Geological Survey of Canada were made of the island, including the basin. These plans faltered when the majority rejected joining Canada in 1869. Regardless, more detailed surveys were made in the early 1870s and the potential of the basin was slowly realized. The logging boom had developed in the 1850s when Nova Scotian timber merchants, their imported workers, and their families established a major sawmill at Corner Brook. The appeal was the abundant white pine which populated the valleys and fiords of the basin. Though the lumber industry led to the establishment of at least three other mills in the area, following World War I it went into a serious decline with the depletion of white pine. Worse, the white pine never regenerated and what was left consisted of trees now common to the boreal forest but generally unfit as commercial lumber. The transinsular railway was not completed until 1897 and changed the area permanently. Humbermouth, for example, was established as a regional railway service centre, and when the railway made its way along the south rather than north shore of the Humber Arm, the south shore outport of Curling became more important than its previous north shore rival of Summerside. The railway made a direct impact on the natural environment, by requiring enormous amounts of wood to lay the track but also by contributing to forest fires. “Flankers” of the first steam engines posed a continual fire hazard to the forest and communities. In 1899, for example, the railway was held responsible for the destruction by fire of dozens of houses in Curling. Nevertheless, it remained pivotal in the transport of peoples and goods in and out of the basin area. Despite the abundance of natural resources, the region remained sparsely settled because of the French Shore provisions. In addition, the area’s long winters lasted up to five months; the often massive ice-pack in the Gulf of St. Lawrence closed off the basin, and during extremely cold conditions, created an ice-cover of up to eight feet in thickness. By 1901, however, the Bay of Islands grew to 475 households (Hackett 1992). Elsewhere in the basin, a short-lived copper mine opened, the second largest mine on the island, bringing three hundred workers and their families, which led to the creation of York Harbour. There were also slate quarries established at Summerside and Birchy Cove (Curling). The most dramatic transformation in the basin occurred at Corner Brook in the early 1920s with the construction of a pulp and paper mill by the English firm Armstrong, Whitworth and Company. During the construction phase, thousands of temporary workers from Newfoundland came to Corner Brook. Thousands more casual and permanent employees worked at the mill and in the forest industry. The mill became the region’s main employer and primary economic engine. The mill owners also constructed a company town known as Townsite, based on the international model of the “city beautiful,” which entirely transformed the former village of Corner Brook (White 2004). Corner Brook now displaced other communities in the basin in economic importance – particularly the fishing outport of Curling – and became segregated from surrounding communities along company, class, and ethnic lines as a preserve of select mill managers and employees. It was also the first major example of secondary manufacturing in Newfoundland, becoming the island’s largest construction project in its history. It necessitated a major hydro development in Deer Lake, led to the first electrification project in the island’s history along the Humber River Valley, and resulted in the construction of dams, roads, a port, and other necessary large-scale infrastructure (White 2007). The impact of the pulp and paper operations, together with its logging operations, also profoundly affected the natural environment in terms of the waterfront, logging roads, forest depletion, and major CO2 emissions. The global Depression after 1929 affected the basin, but mostly in the hard-hit outports and logging communities, as opposed to Corner Brook. While the mill suffered from capital and operating losses and declining markets, it remained operational, though at reduced levels. It was purchased by Bowater’s Ltd. of England in 1938 (Hiller 1990; Reader 1981). The complexity of this history has led to a number of studies, including an edited collection of essays on the history of Newfoundland’s forest industries and an essay on local folk art which interprets the forest landscape as it was experienced by loggers prior to the widespread mechanization of the industry (Baehre 2008b). Because of the war economy and a growing demand for newsprint, in 1946 Bowater’s became the largest integrated pulp and paper mill in the world. Nearly half of Newfoundland’s forests were leased to the company to meet its wood supply needs. External political and economic factors also converged in the basin, when in 1949 Newfoundland became part of Canada. In the 1950s the ardent pro-Confederation supporter and Newfoundland’s first premier, Joey Smallwood, embarked on a controversial programme of modernization and economic diversity. Again, the role of politics and economic development had a direct impact on the region’s natural environment. One consequence was the building of a major cement plant in Corner Brook. The most important product of these policies was in the growth of a local building supply company owned by W.J. Lundrigan, who began to prosper during World War II with the building of an air force base in Stephenville, for which he supplied goods and services. His links to Smallwood led to a rapid growth and diversification of his business between then and the 1970s into 254


engineering and concrete production. Most of the roads, bridges, hospitals, schools, and other infrastructure developments were built by the Lundrigan group. In the 1970s this company reached its limits of growth and started to pursue expansion outside of Newfoundland and in the emerging off-shore oil industry. It also absorbed Comstock, a major Canadian engineering company, and its workforce grew from roughly two thousand employees to seven thousand, with annual revenue of between $300 to $600 million per year. The previously unwritten history of this company has also been part of the basin study. The net result of these developments was the ongoing political and economic modernization of the basin, particularly in Corner Brook, which became an incorporated city in 1956 and integrated Humbermouth, Corner Brook West, Curling, and Townsite into a single municipality (Horwood 1986; Harley 1998). While fishing and logging continued to be the mainstay of the small outports, increasingly more activity was focused on the regional metropole of Corner Brook, now the second-largest urban centre in Newfoundland, with its population of around 30,000. The city also became the region’s government, health, education, service sector, and retail hub. In 1968 the city had the highest per capita income in eastern Canada, but the fragility of the natural resource-based economy and regional limits to growth soon made itself apparent. The city was impacted by Bowater’s decision in the early 1980s to abandon the mill, the historic collapse of the cod fishery throughout Newfoundland in the late 1980s, followed by the subsequent cod moratorium which devastated the fishing industry (Candow and Corbin 1997), and the bankruptcy in 1992 of the Lundrigan group. Despite its remarkable growth in the previous decades, Lundrigan’s kept its headquarters in Corner Brook. Its demise came late in the 1980s when it placed an unsuccessful bid on the construction of the concrete base of the proposed multi-billion dollar Hibernia off-shore oil rig. Suffering from a debt and credit crunch, the company was forced to close operations – a serious economic blow for the region’s second largest employer and the tenth largest construction company in the country. On a brighter note, with the help of government, Bowater’s was purchased by the Quebec-based, private Kruger company which modernized the mill according to the principles of “lean production” and instituted important environmental controls hitherto lacking (Norcliffe 2005). In recent years, however, shrinking global markets, overcapacity in the production of newsprint, credit woes, the financial and credit disaster epitomized by Wall Street, and a reduced wood supply in the basin have raised new concerns about long-term sustainability of this industry. Resource-based industries have had a long-term impact on the basin region. The environmental history of the area encompasses political, economic, social and culture developments, as well as the natural environment. These sectors have a historical interrelationship that needs to be taken into account and better understood, as part of establishing a primary knowledge base for any environmental theoretical or future planning initiative. Further exploration into what historical geographers and anthropologists have termed “the invisible landscape” is necessary. That is, the underlying history and “stories” which give a “living” meaning to the micro-level everyday world in which people have lived. In turn, the often overlooked “local knowledge” needs to be evaluated within the general context of macro-history of the region – the collective human adaptation to and impact on the natural environment of the nineteenth and twentieth centuries, as reflected in fishing, logging, settlement, capital infrastructures, and the issues surrounding secondary manufacturing in a global economy. Integrated Land Management Framework Taking into account the historical context of the basin as discussed above, the need for a more sustainable management approach to the basin is evident. Large ecosystems are arenas of interdependence and complexity. Addressing such complexity requires an ability to conduct integrated land management in support of ecosystem sustainability through a programme of multi-disciplinary integrated research and applications delivery. Previously, an Integrated Land Management (ILM) framework was developed within which proposed land management practices can be evaluated in a holistic approach (Hearn et al., 2008). The framework components: 1) characterize the attributes of any given landscape (e.g., catchment, watershed, forest management district, ecoregion, province, etc.); 2) predict (i.e. model) future conditions under various scenarios; 3) forecast the potential impact of these scenarios on various economic, social and ecological values; and 4) intergratively assess the effects of the predicted future conditions on multiple forest values. The ILM framework for the basin is currently being implemented. The basin is centered on a pulp and paper mill that is essential to the economic livelihood of many individuals and communities in the greater area. Some of the land management issues that are being assessed include: 1) maintenance of a sustainable timber supply for the mill, and the direct and indirect socio-economic benefits to the region; 2) protection of habitat for a small forest-dependent carnivore that is a listed species at risk (i.e. Newfoundland marten, Martes americana atrata, Hearn 2007); 3) public perspective on viewscapes produced via forest harvesting; 4) protection of productive forests from insect defoliation, in particular, defoliation outbreaks of hemlock looper (Lambdina fiscellaria fiscellaria); and 5) carbon sequestration consequences for proposed 255


forest practices. A land management application tool to combine geospatial data and models developed by our collaborators in an integrated system is being advanced to further develop and implement the framework. Geospatial Information and Application Delivery Most of the information linked to ILM issues can be related directly to geographic features, be that an individual tree or the distribution of a particular wildlife species. The geographic element within this information allows data to be correlated in new and intuitive ways (Morgan 2004). In this manner, geospatial data is vital to understanding ecosystem components and their interactions. Within an ILM framework it is essential to look at data using a holistic approach. This means issues are addressed in multiple subject areas (ecological, social, economic) and across multiple spatial (local, regional, national, international) and temporal (past, present, future) scales. In order to accomplish this using geospatial data there are several challenges. The data is often proprietary and has access restrictions stored in multiple locations, or silos in multiple formats and projections variable in quality and description updated on a regular basis required in different format depending on needs and/or geospatial skill sets. In addition, such a varied set of data and data holders often results in a duplication of efforts in mapping or modeling a particular attribute associated with the land base. Subsequent datasets are likely different in scope, scale and quality. This can lead to conflicting interpretations regarding the same resource. The first phase of geospatial information and application delivery addressed these challenges and problems through the integration of data into a single database and subsequent delivery via the internet (Fig. 2). The resulting system will address access restrictions, be located and managed in a single location, contain geospatial data in single format and projection, be assessed for quality, be described using standardized metadata, be updated as new data becomes available and deliver data in alternative formats. A single set of geospatial data representing the study area also ensures that all users are utilizing the same data and resulting interpretations are comparable.

Fig. 2: Humber River Basin – Geospatial Information and Application Delivery

Integration of the geospatial data into a single database involved three steps. First, all available datasets were identified and collected for the study area. This involved an internet search using various discovery portals (e.g. GeoGratis) as well as discussions with local data users and managers. In some cases permission was obtained for use of the data within the project. Second, the data were assessed for quality prior to further processing. Third, data of adequate quality were converted to a common projection and area of coverage, then imported into a single geodatabase. The compilation of metadata using industry standards 256


was critical at this stage. Metadata not only provide important information to the user on such parameters as data source, restrictions and quality; they also allow the data to be searchable using discovery portals on the internet. Delivery of geospatial data via the internet is accomplished using several methods depending on the target user. Research scientists and modelers will have direct access to the raw geospatial data (geodatabase) to allow querying and downloading to a local desktop. Users wanting to integrate basin data into existing GIS maps/software may do so through the use of internet-available data in Canadian Geospatial Data Infrastructure formats (CGDI). These formats are endorsed standards such as Web Map Service (WMS), Web Coverage Service (WCS), Geographic Markup Language (GML) and KML (Google Earth). Future work towards geospatial information and application delivery deals with making a variety of tools available via the internet. Phase 2, as indicated in Figure 2, involves the serving of various landscape value models (assessing visual quality, pine marten habitat, and hemlock looper susceptibility) and trade-off analysis tools (for conducting multi-criteria decision analysis (MCDA) or decision support systems (DSS)). In tandem with Phase 2, research in GeoAnalytics (GeoVisualization) will take place to create tools designed to aid in the development of new landscape models. This area of research involves the study of how people interact with computers and data in order to improve the user’s ability to utilize geospatial data. Within the context of the basin project, the goal is to develop tools that will provide researchers and modelers with an efficient method for data-mining extremely large volumes of geospatial and aspatial data in order to provide a preliminary view of inter- and intra- data relationships. The user can then concentrate on the more important task at hand: a more detailed analysis of the datasets illustrating the strongest contribution to the landscape value being studied. Geospatial Data and Methods Development Geospatial data and methods development are central to the development and implementation of integrated land management frameworks. However, selecting approaches for providing the necessary geospatial information is a fine balance between the potential of the approach and the complexity of implementation. For example, given the wide range of data types, formats, and scales of remote sensing images (reviewed in Groom et al. 2006) and ancillary geospatial data available, there are significant choices to be made to determine the most effective use of remote sensing data and geospatial products. Remote sensing data are important for capturing information that is highly dynamic; however, image data alone are often insufficient to model ecosystem values. Rather, remote sensing information is optimally used in combination with a hierarchy of other more static information in a geographic information system (GIS), e.g., reference maps and site characteristics. Geospatial applications development can target the direct mapping of cover types or modeling of ecosystem attributes but integration is essential to advance decision-making. Decision-making goes one step beyond the model results by introducing indicators linked to multiple values that are considered important to the decision. A structure of increasing complexity for geospatial applications development within the basin was designed that involves mapping land cover and forest attributes, parameterizing ecosystem models over time, and monitoring values representing indicators of sustainable development. Model parameterization requires that geospatial products are linked to the input requirements of ecosystem models. When ecosystem models are developed independent of the geospatial application, this requires a translation or modeling of the relationships between the model requirements and available geospatial product. Alternatively, the geospatial product could be targeted to meet the requirements of the ecosystem model directly, or the ecosystem model could be redeveloped to use a more generic product, but at an added cost and complexity. Using more generic geospatial products for multiple models within an integrated framework simplifies integration. Since remotely sensed images capture the dynamic component of the landscape, development and parameterization of ecological models using attributes measured through remote sensing are important for assessing changes in ecological values over time (Luther et al. 2007). Once the required spatial databases and models have been implemented in a GIS, replacing or updating the dynamic component of the landscape with remotely sensed inputs allows efficient assessment of forest values on a temporal scale from a historical context to the present. Values can then be assessed relative to historical conditions and to other values in a tradeoff assessment.

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Monitoring Sustainability: Land Cover and Forest Change An important prerequisite to improved land-use planning and managing risks associated with global warming is defining indicators to monitor changes and predict trends in land cover and forest characteristics which influence climate change, biodiversity, net primary productivity and other ecosystem values and services. Building on prior operational land cover classification procedures (Wulder et al. 2003, 2008) and change detection methodologies (Leckie et al. 2008) developed by the Canadian Forest Service, the Canadian Space Agency and partners, methods to monitor land and forest cover transitions through time were developed (van Lier et al. 2009) . Application of the methods resulted in a historical time series of land cover maps for the basin representing four time periods from 1976 and 2007 using a combination of Landsat Multispectral Scanner and Thematic Mapper images (Fig 3). Then, from the land cover products, the authors quantified changes in the basin landscape across time based on several land cover change indices including areal distributions of cover types, annual rates of change and net percent forest depletion and regeneration. Spatially explicit maps of change further provide support for resource management decision making.

Fig. 3. Classified land cover in 1976, 1990, 2001 and 2007 for the Humber River Basin. The vegetated treed surface area comprised 70.6% of the total area in 1976; 70.3% in 1990, 67.1% in 2001, and 67.7% in 2007 (Fig. 4). The forest cover (i.e. aggregation of all treed land cover types) changed at a rate of -0.03%/yr for the 1976 to 1990 transition period, -0.42%/yr for the following transition period (i.e. 1990 to 2001), and increased at a rate of 0.16%/yr for the final transition period (i.e. 2001 to 2007). The coniferous land cover type decreased at a rate of 0.21%/yr and was accompanied by increasing change rates for the vegetated non-treed (0.65%/yr), broadleaf (1.45%/yr), mixed wood (0.61%/yr), and wetland treed (0.09%/yr) types. For the overall analysed time period (i.e. 1976 to 2007), depletions were quantified at 10.2% of the basin while 7.4% of the basin was regenerated, albeit in subsequent years as observable on the forest transition maps generated for each time period (Fig. 5). The forest area had an overall net forest change of

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CaSO3 + H2O Ca(OH)2 + SO3 -----> CaSO4 + H2O Ca(OH)2 + 2 HCl -----> CaCl2 + 2 H2O Ca(OH)2 + 2 HF -----> CaF3 + 2 H2O Ca(OH)2 + CO2 -----> CaCO3 + H2O Simultaneously to the described removal of acid corrosive gas components furthermore heavy metals and organic toxic matter e.g. polychlorinated dibenzodioxins and furans are removed. The measurements for ascertainment of emissions or combustion conditions as well as the detection of reference values according to state-of-the-art in measurement technique measurement, is utilized by monitoring the plant in continuous operation mode. In special the mass concentrations of emission of carbon monoxide, total dust, organic substances, denoted as total carbon, sulphur dioxide and trioxide, denoted as sulphur dioxide, nitrogen dioxide and nitrogen monoxide, denoted as nitrogen dioxide, inorganic gaseous chlorine compounds and mercury are registered and evaluated during the process. Besides, volume content of oxygen in the flue gas and other operational parameters that are necessary for a proper operation in special temperature of the flue gas, flue gas flow rate, water content and pressure are registered and evaluated. EMISSIONS AND ENVIRONMENTAL IMPACT General emissions The German „Bundes-Immissionschutzgesetz (BImSchG)“, German law on immission control, defines the standards that have to be reached by, inter alia, incinineration plants. Part of the BImSchG which serves to protect human and environment from damages caused by emissions to water, soil and air, are the German immission orders (BImSchV) where emission limit values are defined. For incineration plants which uses wastes or RDF as fuel the 17th BImSchV defines how an incineration plant has to be operated. To fall below these limit values the RDF incineration plant needs a sophisticated gas cleaning system. The removal of nitrogen is ensured via the SNCR-process which products are elementary nitrogen and water vapour. The optimal temperature for this reduction process is between 850 and 1.050 °C. This process has after long-term experiences the ability to surely meet the thresholds preset by 17th BImSchV. The following daily operating limit values are not permitted to be exceeded. All of them are certainly undergone by the RDF incineration plant introduced by SRHH and HAW Hamburg.

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Table 3: Operating emission limit values after the German 17th BImSchV Parameter Total dust Organic substances, given by total carbon Gaseous inorganic chlorine compounds, given as hydrogen chloride Gaseous inorganic fluorine compounds, given as hydrogen fluoride Sulphur dioxide and sulphur trioxide, given as sulphur dioxide Nitrogen monoxide and nitrogen dioxide, given as nitrogen dioxide Mercury and ist compunds, given as mercury Carbon monoxide

Operating limit values 10 mg/m3 10 mg/m3 10 mg/m3 1 mg/m3 50 mg/m3 200 mg/m3 0,03 mg/m3 50 mg/m3

Greenhouse gas emissions In waste management sector there are three of the six Kyoto-protocol GHG-emissions parameters relevant. These are CH4, CO2 and with less importance N2H. The parameter with the highest effect on climate change regarding waste incineration and co-incineration plants is CO2. To evaluate incentives of incineration plants against other waste treatment methods it is necessary to divide carbon content of wastes in fossil and biogenic contents. Biogenic contents of wastes are not considered to have an effect on climate change, because this part is part of the natural carbon cycle. The same amount that is necessary to build up the biogenic content is emitted during incineration. Processes relevant for GHG-emissions of waste incineration plants occur differently in different operational units of the plant. There are three main parts of the plant where GHG-emissions occur. Bunker where CH4 (by anaerobic digestion processes during storage) and CO2 (by composting processes) are emitted, the incineration process where CO2 and N2H are emitted and the exhaust gas cleaning unit where CO2 is emitted. Additionally transport processes could also be factored, but are not reckoned here. About 44 million tons of CO2 emissions across Europe were reduced through improvements in waste management sector (landfill, waste treatment plant and waste water treatment) which is more than half of the 73 million tons of total emission reductions in EU-15. Round about 90% of these reductions are considered to be caused by reduced emissions of methane on controlled and uncontrolled landfill sites (G. Dehoust et al. 2005). This shows that landfilling has a high potential to reduce GHG emissions significantly. Substantial and energetic (Incineration and co-incineration) recovery of wastes, that are not landfilled, is estimated to have a potential of 30 million tons of CO2-emission reduction (G. Dehoust et al. 2005). The production of RDF itself causes at least two different types of environmental impacts: Firstly. the burdens due to consumption of process energy (mostly electricity from the public grid or on-site production of steam) and secondly, process discharges to the air (particulate matter from mechanical treatments, vapors from drying or pressing processes) or to the water (in the case of aqueous processes like washing or skimming). Negative impacts due to odor and hygiene problems (microbiological pollutants) can occur at every stage where the waste materials are handled. CONCLUSION Incineration of wastes guarantees the disposal and delivers heat and electricity for the use in households or industry. Fossil fuels like oil and coal can be substituted by wastes and the emission of round about 4 million tons of carbon dioxide (CO2) can be avoided using wastes as a fuel. This equates to exhaust emissions from 1,6 million cars per year. Waste incineration contributes to climate protection and can prevent environment from damage. With the construction and the connected extension of incineration capacities landfill sites are becoming obsolete. In consequence methane emissions, which are 21 times more harmful to climate, can be avoided, so that significant load removals of the environment can be achieved. Presented RDF incineration plant uses

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state-of-the-art in waste incineration and, if constructed, would be able to contribute to reduce GHGemissions from wastes with savings of about 300.000 tons CO2 annually. REFERENCES A. Gendebien, A. Leavens, K. Blackmore, A. Godley, K. Lewin, K.J. Whiting, R. Davis, J. Giegrich, H. Fehrenbach, U. Gromke N. del Bufalo and D. Hogg. 2003. Refuse Derived Fuel, current Practise and perspectives (B4-3040/2000/306517/MAR/E3), final report. W. Terhorst, DGAW (German Association of waste industry), regional congress Recovery of wastes with fire and flame, 2008 T. Obermaier and S. Lehmann, DGAW (German Association of waste industry), regional congress, From demand to surplus supply of incineration capacities in Germany and outlook for Europe, 2008 Turkish Court of Accounts, Waste Management in Turkey, National regulations and implementation results, Performance Audit Report, 2007 C.-A. Radde and H. Wendenburg, German Ministry of Environment, Nature Conversation and reactor safety, ITAD (Pool of thermal waste treatment plants in Germany) Climate and Resource protection conference, 2008 FFact Management Consultants, Waste-to-Energy and the revision of the Waste Framework Directive Opportunities to reduce climate change by using energy from waste, 2007 G. Dehoust, K. Wiegmann, U. Fritsche, H. Stahl, W. Jenseit, A. Herold, M. Cames, P. Gebhardt, R. Vogt and J. Giegrich, Status report regarding the contribution of waste management industry to climate protection and possible potentials, Research report German Ministry of Environment, Nature Conversation and reactor safety, 2005 Kraftwerk Peute Projektmanagement GmbH & Co. KG, Application for installation and operation of a RDF incineration plant according to the German German law on immission control, 2007 German Ministry of Environment (UBA), Waste incineration is no rival to source reduction of wastes, 2008 U. Lahl, W. Steven, State of the art technology and statutory provisions achieve a high level of environmental protection in thermal waste treatment industry, Müllmagazin, 2008

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TOWARDS REDUCING THE FUEL-BOUND NITROGEN CONVERSION TO NO IN AN AIRSTAGED COMBUSTOR DURING THE COMBUSTION OF SYNTHETIC BIOMASS-DERIVED GAS Belkacem Adouane*,1, Wiebren de Jong*, Guus Witteveen**, Jos van Buijtenen* *

Delft University of Technology, Energy Technology Section, The Netherlands ** Winnox Combustion Systems b.v. 1 Currently at Batna university, Algeria [email protected], [email protected], [email protected], [email protected]

ABSTRACT Fuel bound nitrogen (FBN) content in the biomass-derived LCV (Low Calorific Value) gas compromises the neutral aspect of biomass gas regarding CO2 emissions. This because, the FBN, once in the combustion chamber, it will mainly form NO. Many approaches are applied to reduce the conversion of FBN to NO; these approaches could be applied upstream of the combustion chamber, like wet scrubbing or downstream using selective or non selective catalytic reduction, or optimizing the combustion process itself to result in the lowest possible conversion of FBN to NO. In this paper, the third approach is adopted, where a newly designed combustor called Winnox-TUD, fueled with synthetic biomass-derived gas, was tested and modeled. The LCV gas is made in a mixing station, from the main components of Biomass gas. Ammonia is added to the LCV gas to simulate the presence of the fuel-bound nitrogen. The aim of the experiments is to find out an optimal combustion regime resulting in lowering the conversion of FBN to NO and thus lowering net NOx emissions. It was found that stoichiometry level in the first stage is a key parameter in reducing NOx emissions. as low as 5% conversion of FBN to NO was achieved at the optimum stoichiometry. In this paper some experimental results are presented in this paper showing the potential of primary measures in reducing NOx emissions from FBN. INTRODUCTION According to the International Energy Agency (IEA), the global energy consumption will double in the next 20 years; this will increase the sharing of renewable energy sources in this period, (Mayerhofer et al., 2002). Rising oil prices and the necessity to meet the Kyoto targets for CO2 reductions are all driving forces towards developing technologies related to the application of sustainable energy sources. The application of biomass derived LCV gas as a main or a secondary fuel in gas turbines or engines is a very promising and challenging area for green energy. Many research topics related to the combustion of biomass derived LCV gas are currently under investigation. At the Energy Technology laboratory of Delft University of Technology, a newly designed combustor was developed and tested. The newly designed combustor is an air staged combustor with a swirling Winnox® burner head. The combustion chamber has an embedded inner cylinder reducing the secondary stage to an annular zone. (See fig. 1). The new combustor has been designed after a series of initial experiments and simulations using commercial software packages, namely Chemkin and Fluent. This newly designed combustor has been tested first in an atmospheric environment, using natural gas diluted with nitrogen and doped with ammonia as the gas simulating the biomass derived LCV gas.

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In the current paper, LCV gas made from mixing the main components of biomass-derived LCV gas is made in a mixing station, where CO, H2, CO2, natural gas and nitrogen are mixed to form the synthetic LCV gas. The mixture is then doped with ammonia to simulate the presence of the FBN DESCRIPTION OF THE WINNOX-TUD COMBUSTOR The Winnox-TUD combustor was developed in the frame work of the Novem RLB project, and tested further under SenterNovem following project. It contains a swirling Winnox® burner head. The combustor consists of three air stages (Fig. 1). The different air flows are independently controlled. This in-dependence is intentionally made in order to establish accurately the different stoichiometry levels in each stage. The special aspect of this combustor comes mainly from the annular zone in the second stage, see fig. 1. This zone is being narrowed by the inner cylinder. The Winnox-TUD combustor was developed in the frame work of the Novem RLB project, and tested further under SenterNovem following project. It contains a swirling Winnox® burner head. The combustor consists of three air stages.

Fig.1. Sketch of the Winnox-TUD combustor

The philosophy behind the inner cylinder is to enhance the mixing in the second stage, which gives the reacting gases in the combustor an improved recirculation and increased residence time in the first stage. This is expected to result in a better CO burnout and low FBN to NOx conversion. Furthermore, the independence of different airflows control, gives more freedom in tuning the different stoichiometry levels in different stages to result in an optimum conversion of FBN to NOx, while maintaining low CO emissions. This combustor is meant for experimental purposes. For the actual combustor, many other aspects should be addressed, including cooling, material selection and taking into account the combustor application; for example an atmospheric or pressurized environment. DESCRIPTION OF THE EXPERIMENTS The Winnox-TUD combustor is mounted in a testing setup, which is coupled to a mixing station, where LCV gas could be prepared from its elementary components as compared to the real biomass-derived LCV gas. The mixing station uses bottles of pure gases for CO, H2, CO2, and N2; however natural gas comes from the network. See fig. 2. To simulate the presence of the FBN in the LCV gas, NH3 is injected in the LCV gas. The flows of each fuel stream and ammonia in addition to the three air streams are adjusted using flowmeters for the required test setting.

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Fig.2. Sketch of the combustion setup

Two main types of LCV gas were made up in the mixing station; with and without natural gas, this in order to check out the effect of methane on the conversion of ammonia to NO, knowing that methane is the main component of natural gas. The startup is made with solely air and natural gas and after warming up and reaching a steady combustion, we pass to the LCV gas mode. The power for all the experiments presented in this paper was about 47 kW. The setup presented in fig. 2, offers a good flexibility in terms of investigating the effects of different combustion parameters on the conversion of ammonia, in addition to the possibility of investigating different LCV gas compositions. RESULTS AND DISCUSSION In this paper the effect of four main parameters on the conversion of FBN to NO are presented and discussed, the four parameters are: ammonia concentration in the LCV gas, stoichiometry in the first stage, Methane content and secondary air. Below the details of the effect of each parameter. The conversion of FBN to NOx can be defined as:

C fuel N → NO

(( [ NH ]

( [ NO]

3 LCV fuel gas

(1)

flue gas

⋅ Φ v , flue gas )

⋅ + [HCN ] LCV

fuel gas

⋅ ) Φ v , LCV

fuel gas

)

⋅100%

Effect of NH3 concentration in the LCV gas Fig. 3, presents the effect of ammonia concentration in the LCV gas on the conversion of FBN to NO. Here a comparison is made between LCV gas free of natural gas and LCV gas containing natural gas. Fig. 3, shows that NH3 concentration in the LCV gas affects drastically the conversion of NH3 to NO. Both curves are inversely proportional to the square root of the ammonia concentration in the gas, but with different constants of proportionality. The effect of methane in natural gas is clear from the difference between the two curves, methane is believed to be responsible for the divergence between the two curves. It is believed that methane is responsible on adding a new path to the conversion of NH3 to NO via HCN which is the result of the recombination of CH radicals with NH3. These results present a significant reduction in NH3 conversion to NO when compared to the results of (Hoppesteyn, 1999), who investigated the combustion of biomass derived LCV gas, NH3 was varied from 2500 ppm to about 3700 ppm, and no significant effect was for the ammonia concentration and the conversion was about 30 %

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Fig. 3. NH3 conversion to NO, versus NH3 concentration in the fuel gas

Effect of stoichiometry in the first stage Fig.4 shows a comparison between LCV made from diluted natural gas with nitrogen, and LCV gas made at the mixing station, and it is natural gas free. The two experiments are performed at the same power setting, 47 kW, the same heating value of the LCV gas, 7.9 Mj/nm3, and at almost the same NH3concentration, about 2000ppm. It is clear from fig.4, that the minimum in conversion when no natural gas is present is much lower than in the case of nitrogen-diluted natural

Fig. 4. NH3 conversion to NO, versus ¸ primary stage for LCV gas (NG free) and natural gas diluted with nitrogen

gas and this has been already discussed, i.e. the effect of methane in the natural gas, which is opening a new path for the conversion of NH3 via HCN, which results in an increase in the conversion and therefore the increase of the minimum. Fig. 4, shows that a minimum in conversion is achieved at λprimary between 0.72 and 0.75. A difference in the slope on the right branches of the curves is noticed. This is due to the difference in mechanisms undergoing the conversion of ammonia in the case of natural gas diluted with nitrogen and LCV gas free of natural gas. There is an additional path for the conversion of NH3 via HCN in the case of natural gas diluted with nitrogen. Effect of methane concentration To check the effect of methane in the LCV gas on the conversion of NH3 to NO, natural gas fraction was varied, however it is not very accurate to speak here on the net effect of methane since natural gas is mixed with CO, H2 and N2 to form the LCV gas, and no pure methane is used, but since the major part of the natural gas is methane, which is 81.3 % (vol), one can assume that this is mainly the effect of methane. The results from (Kelsall et al. 1994) and (Nakata et al. 1994) show that the presence of methane in the LCV gas has a great influence on the conversion of ammonia to NO. 472


Fig. 5. NH3 conversion to NO versus ¸ primary stage at different methane concentration in the LCV gas

Fig. 5, shows the conversion of ammonia to NO at different natural gas fractions, in other words at different methane concentrations, all the other combustion parameters are kept non-changed. As the natural gas fraction increases the minimum of conversion increases, and it seems also that the locus of the minimum is moving a bit to the right hand side. The increase of the minimum is because of the hydrocarbons and in our case methane, which enhances the conversion of NH3 via HCN path. About the locus move towards the right hand side of the λ axis, this could be explained by the effect of temperature, as when decreasing natural gas proportion in the LCV gas, and in order to keep the same combustion parameters in terms of power and heating value, the natural gas is substituted by CO and H2, thing which will affect the adiabatic flame temperature The different flame temperature will affect the minimum position. These results are in agreement with the results of (Hasegawa et al., 2001). A small fluctuation is noticed in fig. 5 for the highest curve with NG= 25.5 %, this deviation might be because of a measurement error. Effect of secondary air Fig. 6 shows the effect of secondary air, the conversion of NH3 to NO is around 5 % and the small fluctuations shown on this curve are not significant. The secondary air seems to not having a significant effect on the overall conversion of NH3 to NO. This result could also be explained in terms of overall stoichiometry at the secondary stage, and also the fact that the major part of NH3 is converted in the primary zone, no or very few NO precursors are arriving to the second stage

Fig. 6. NH3 conversion to NO versus ¸ (primary + secondary) stages (NH3= 3000 ppm, ¸ λprimary = 0.8)

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CONCLUSIONS The experimental results presented in this paper show the effect of the following four parameters on the conversion of FBN to NO in an air staged combustor: • FBN concentration in the LCV fuel gas • Stoichiometry in the first stage • Methane concentration in the LCV gas • Secondary air Below are the main conclusions: • Stoichiometry in the first stage, ammonia concentration and methane content in the LCV gas have a significant effect on the conversion of FBN to NO • Secondary air was found to have a non-significant effect on the conversion of FBN to NO. To summarize, this is the suggested order required to minimize the conversion of FBN to NO: • Trying to minimize the FBN content in the LCV gas upstream of the combustion system; during gasification or by gas cleaning. • When possible, reducing methane content, thing difficult to realize inside the gasifier, might be possible using a methane reformer • Optimizing stoichiometry in the first stage of the combustion system. There is an optimal stoichiometry at which a minimum conversion of FBN to NO is achieved, this is around λprimary = 0.7 It is clear from the results presented in this paper that the main parameter we can tune to the optimal conversion rate of FBN to NO is stoichiometry in the first stage, which plays a key role in staged combustion. Methane and NH3 content in the LCV gas depend more on the type of biomass and the gasification process. Acknowledgement The authors would like to thank SenterNovem for supporting and funding this project, SenterNovem is an agency of the Dutch Ministry of Economic Affairs. It promotes sustainable development and innovation NOMENCLATURE [NH3]LCV fuel gas NH3 concentration in the LCV fuel gas NO concentration in the flue gas [NO]flue gas NH3 conversion to NO CNH3→ NO HCN Hydrogen Cyanide Ammonia conversion to NO, [%] NH3 → NO FBN Fuel Bound Nitrogen LCV Low Calorific Value LHV Lower Heating Value NG Natural Gas SCR Selective Catalytic Reduction SNCR Selective Non Catalytic Reduction TUD Delft University of Technology Winnox-TUD A newly jointly designed combustor by Winnox b.v. and Delft university. Greek Letters Air number in the primary stage λprimary LCV fuel gas volume flow rate Øv,LCV fuelgas Flue gas volume flow rate Øv;fluegas REFERENCES P.Mayerhofer, B.de Vries, M. den Elzen, D. van Vuuren, J. Onigkeit, M. Posch, and R. Guardans. Temperature impact on SO2 removal efficiency by ammonia gas scrubbing. Environmental Science & policy, 5:273{305, 2002. J.W. Erisman, P Grennfelt, and M. Sutton. The European perspective on nitrogen emission and deposition. Environment International, 29:311{325,2003. P.D.J. Hoppesteyn. Application of low calorific value gaseous fuels in gas turbine combustors. In PhD thesis, Delft University of Technology, 1999. T.M. Geerssen. Physical properties of natural gases. Gasunie, 1988. G.J. Kelsall, M.A. Smith, and M.F. Cannon. Low emissions combustor development for an industrial gas turbine to utilise LCV fuel gas. Engineering for gas turbines and power, 116:559{566, 1994. T. Nakata,M. Ninomiya, andM. Yamada. Effect of pressure on combustion characteristics in lbg-fueled 1300 deg C-class gas turbine. Engineering and power, 116:554{558, 1994. T. Hasegawa, M. Sato, and T. Nakata. A study of combustion characteristics of gasified coal fuel. Journal of Engineering for Gas Turbine and Power, 123:22{32, 2001.

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PERFORMANCE IMPROVEMENT OF IGCC POWER PLANT BY STEAM INTEGRATION BETWEEN CHEMICAL AND HRSG PROCESSES Chan Lee Department of Mechanical Engineering, the University of Suwon Hwaseong, Gyeonggi, Republic of Korea, Email: [email protected]

ABSTRACT Waste heat recovery process designs and performance analyses are conducted on the IGCC(Integrated Gasification Combined Cycle) power plants integrated with two different coal gasification and gas cleanup processes by Shell and GE/Texaco. The present study provides the steam integration concept between the HRSG and the chemical processes of IGCC power plant, and investigates the effect of steam integration on the power generation of IGCC power plant. The present simulation results show less steam power output and higher overall IGCC efficiency of the Shell-based power plant than the GE/Texaco. 1. INTRODUCTION Recently IGCC is being considered as a next generation fossil power plant type because of its higher overall cycle efficiency and superior environmental performances compared with conventional coal-fired boiler power plants, so it is expected to be a very suitable power plant option for meeting worldwide climate change regulations and standards in near future. However, because IGCC shows typically very complicated process combination of gasification, gas clean-up, gas turbine, HRSG(Heat Recovery Steam Generator) and ASU(Air Separation Unit) systems with various energy and mass integration schemes affecting the overall performances and the emission characteristics of IGCC[1,2]. Among these IGCC integration schemes, heat and mass integration between HRSG and coal gasification/gas cleanup processes is called as steam integration, and it is very difficult for the design engineers in power industry to determine the optimum steam integration conditions of the subsystems. Commercially available coal gasification process for IGCC is wet type GE/Texaco or dry type Shell process, and the gas cleanup to remove acid gas component of the syngas produced from coal gasification can be made by one of the low temperature processes as shown in Fig.1. However, because coal gasification is high temperature process operating at 1300∼1500 oC but gas cleanup as the post-process of coal gasification is generally is operated near 100 oC, a lot of waste heat and heat loss are inevitable during cooling the temperature of syngas down to the gas cleanup temperature. The amount and the quality of waste heat and heat loss depend mainly on which and how coal gasification and gas cleanup processes are combined, and furthermore steam integration design method and condition can have also different technical options to utilize these waste heat and heat loss for HRSG. Therefore, the present study conducts steam integration designs for two different coal gasification-gas cleanup process combinations, and then examines the effects of steam integration design conditions on overall IGCC performance.

Fig.1 Acid gas removal processes

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2. STEAM INTEGRATED IGCC POWER PLANT DESIGN 2.1 Coal Gasification and Gas Cleanup Processes The present study considers two commercial coal gasification processes by GE/Texaco and Shell, all of which use pure oxygen supplied from ASU as oxidizer. Fig. 2 shows GE/Texaco coal gasification process where coal is fed to gasifier as coal-water slurry mixture, the raw syngas produced from gasifier reactor is passing through quencher and its temperature is lowered to meet the gas cleanup operation condition. The cleaned syngas is used as the fuel of gas turbine combustor. As also shown in Fig. 2, the heat loss in gasifier can be recovered by HP(High Pressure) feedwater entering the water jacket installed on the outside wall of gasifier, and HP feedwater is evaporated to steam and then the HP steam is redirected to HRSG[2,3].

Fig. 2 GE/Texaco coal gasification process Fig.3 shows dry-feeding type Shell gasification process where, like in the GE/Texaco process, the heat loss recovery by HP feedwater is available in gasifier water jacket. In addition to the HP steam integration, the raw syngas discharging from gasifier is passing through shell-and-tube type heat exchanger where the waste heat of syngas is recovered by IP(Intermediate Pressure) feedwater and IP steam goes back to HRSG[2,3].

Fig. 3 Shell coal gasification process The raw syngas produced from gasifier is cooled down to low temperature and enters gas cleanup process to remove the acid gas component of syngas. The present study considers two different gas cleanup processes for the cleanup of the syngas discharged from GE/Texaco or Shell gasification process as shown in Table 1. Sufinol process uses both chemical MDEA and physical solvents to absorb the acid gas component(H2S) of syngas while SulFerox process uses iron cheated to reduce acid gas component directly to element sulphur[2]. Two gasificationgas cleanup process combinations of the present study are summarized in Table 1. 476


Table 1 Gasification-Gas Cleanup Processes Gasification process Gas cleanup process GE/Texaco

SulFerox

Shell

Sulfinol with SCOT-Claus

The present study conducts process simulations for two process combinations with the feedstock of Chinese Tatong coal by using ASPEN Plus code[4]. For the process modelling of coal gasification, Gibb’s free energy minimization method is applied to the gas phase and the char reactions of coal as follows: • Char reactions C(s) + 1/2 O2 ↔ CO , C(s) + O2 ↔ CO2 , C(s) + CO2 ↔ 2 CO , C(s) + H2O↔ CO + H2 , C(s) + 2H2 ↔ CH4

(1)

• Gas phase reactions CO + 1/2 O2 ↔ CO2 , CO + H2O ↔ CO2 + H2 , N2 + 3H2 ↔ 2 NH3, COS + H2O↔ H2S + CO2 , S + H2 ↔ H2S

(2)

In Sufinol-SCOT-Claus process modelling, the series of ASPEN reactor models are used to separate the acid gas component from syngas stream in Sulfinol process and to desulfurize separated acid gas component in SCOT-Claus processes[5]. • MDEA process H2S + CH3(CH2OHCH2)2N ↔ CH3(CH2OHCH2)2NH+ + HS-

(3)

• Claus process H2S + 3 O2 ↔SO2 + H2O, COS + 3/2 O2 ↔ SO2 + CO2 , 2 H2S + SO2 ↔ 3 S + 2 H2O

(4)

• SCOT process COS + H2O ↔ H2S + CO2 , SO2 + 3 H2 ↔ H2S + 2 H2O, CO + H2O ↔ CO2 + H2

(5)

In SulFerox process modelling, with the use of ASPEN reactor model, acid gas component is absorbed and reacted with chelated-ion catalyst to reduce H2S to element sulphur[6]as described in eqn.(6). • SulFerox process H2S + Fe3+(OH-)Ln- ↔ Fe3+(SH-)Ln- + H2O Fe 3 + (SH-)Ln- + Fe3+(OH-)Ln- ↔(Fe3+Ln-)2S2- + H2O (Fe3+Ln-)2S2- →2Fe2+Ln- + S

(6)

Simulation results for the clean syngases obtained from two different gasification-gas cleanup process combinations are summarized in Table 2, and they can be used as fuel input conditions of gas turbine combustor. It is noted in Table 2 the heating values of syngases range between 1/3∼1/4 of the natural gas. Table 2 Fuel inlet condition of gas turbine Gas comp. ( vol %) GE/Texaco Shell

Fuel flow

Fuel temp

LHV

H2O

CH4

Ar

N2

[kg/s]

[oC]

[kJ/kg]

47.76 31.70 10.48 8.32

0.05

0.74

0.95

47.70

343.3

10,255

64.57 29.33 0.71

0.04

0.72

4.49

40.53

287.8

12,358

CO

H2

CO2

0.14

477


Fig. 4 Basic simulation model of IGCC power block 2.2 Gas Turbine and HRSG The present study considers GE’s MS7001FA gas turbine model[7] burning the synags fuel mentioned in Table 2. The MS7001FA gas turbine is originally designed with natural gas at the pressure ratio of 14.2 and the TIT(Turbine Inlet Temperature) of 1260oC. The present study uses Gate/Cycle code[8] to model gas turbine components such as compressor, combustor and expander as shown in Fig. 4, and calculates thermodynamic states and the operation conditions of each component. Air compressor is modeled by combining the thermodynamic calculation for isentropic air compression and its performance characteristic curve representing relationship between air flow, efficiency and pressure ratio. Combustor model calculates heat and mass balances for the incoming streams of the air from compressor, the clean syngas fuel through upstream chemical processes and the returned nitrogen from ASU. The expansion process of turbine expander is thermodynamically modeled by stage-by-stage analysis. Turbine expander inlet pressure is computed from choking conditions for both natural gas firing and IGCC cases as expressed in the equation (7).

(m air + m CG + m N2 ) TIT (m air + m NG ) TIT = = const. PA t PA t (7) where P, TIT and At mean the inlet pressure, the temperature and the throat area of turbine expander, and mair, mN2, mCG and mNG represent the flow rates of air from compressor to combustor, returned nitrogen from ASU, coalderived syngas and natural gas entering combustor respectively. When gas turbine burns coal-derived syngas instead of natural gas and is integrated with ASU, the air flow condition of compressor is shifted to off-design point where corresponding pressure ratio and efficiency are determined from compressor characteristic curve. As deduced from the section 2.1 results of this paper, 3∼4 times fuel flow consumption of syngas compared with natural gas is required to meet the same thermal input of natural gas. And the returned nitrogen from ASU is additionally fed to IGCC gas turbine, so, from the equation (7), the mass addition at expander inlet due to syngas and returned nitrogen causes the air flow reduction of compressor accompanying with higher pressure ratio and lower efficiency than the on-design point operation of the natural gas case. These off-design effects are modeled by combining the choking condition and the compressor performance map and reflected to predict gas turbine performance[9]. The gas turbine of IGCC power plant is integrated with ASU, so the ASU integration scheme severely affects overall IGCC performance and efficiency. However, because the concern of the present study is only to examine the effect of steam integration on overall IGCC performance and efficiency, ASU integration conditions for the GE/Texaco and the Shell plants are maintained at fixed air extraction ratio of 20∼23%. The present study considers triple pressure HRSG for high pressure(HP; 103 kg/cm2a and 538 oC), intermediate pressure(IP; 22∼26 kg/cm2a) and low pressure(LP; 8∼9 kg/cm2a) steam generations. As shown in Fig. 4, the heat exchanger arrangement of the present triple pressure HRSG along flue gas path is made as follows: HP superheater → reheater → HP evaporator → HP economizer#2 → IP superhea ter → IP evaporator → IP economizer → HP economizer#1 → LP superheater → LP evaporator In addition, the present study considers reheat steam turbine scheme and the flue gas temperature at stack above 100 oC.

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2.3 Steam Integration Design Steam integration is technology utilizing the heat loss and the waste heat of coal gasification and gas cleanup processes to generate steam which can be used in HRSG, and Table 3 shows the general steam integration criteria and methods used in IGCC power plant[2]. Table 3 General Steam Integration Methods

Syngas

Equipment( the state of working fluid )

temp.( oC) HP 1500∼ 370

HRSG economizer(feedwater)→ syngas cooler(saturated steam) →

feedwater HRSG superheater(superheated steam) and

HRSG economizer(feedwater) → gasifier water jacket(saturated steam)

steam

→ HRSG superheater(superheated steam)

IP 370∼ 250 steam/ water LP 250∼ 120 steam/ water

HRSG economizer(feedwater)→ syngas cooler(saturated steam) → SCOT-Claus process(process steam) → HRSG HRSG deaerator(feedwater)→ Claus process(saturated steam) → HRSG HRSG deaerator(feedwater)→ Claus process(saturated HRSG

steam) →

Steam integration design and its effectiveness depend mainly on which coal gasification and gas cleanup processes are selected and combined in IGCC power plant. In the present study, as shown in Figs. 2 and 3, HP, IP and LP steam integrations through gasifier water jacket, syngas cooler and gas cleanup process are considered for the Shell IGCC plant while only HP steam integration through gasifier water jacket being considered for the GE/Texaco IGCC plant. 3. PERFORMANCE ANALYSIS RESULTS AND DISCUSSIONS 3.1 GE/Texaco IGCC Power Plant Fig. 5 shows the configuration of the steam cycle integrated with GE/Texaco-SulFerox processes. As shown in Fig. 5, HP feedwater is extracted from HRSG, introduced into gasifier water jacket and evaporated to saturated steam by the heat loss of coal gasifier, and finally HP steam comes back to HRSG. Fig. 5 also illustrates that the parts of LP and IP steam streams are extracted from HRSG and used as the heat sources for syngas preheating and coal drying. Fig. 6 shows the temperature profiles of exhaust gas and feedwater/steam in the heat exchangers of HRSG, which are arranged as described in section 2.2. As shown in Fig. 6, the waste heat recovery effectiveness of exhaust gas in HP superheater and reheater is more enhanced by the increased HP steam flow rate through the steam integration of gasifier water jacket. However, because two exhaust gas streams out of HP superheater and reheater are mixed and the temperature of mixed exhaust gas is maintained at higher temperature than the saturation temperature of HP steam, the somewhat large temperature difference between exhaust gas and steam is observed and then it reduces the waste heat recovery effectiveness in HP evaporator.

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Fig. 5 Stem integrated IGCC power plant

Fig. 6 HRSG temperature profiles of

with GE/Texaco-SulFerox processes

GE/Texaco-SulFerox Processes

3.2 Shell IGCC Power Plant Fig. 7 shows the configuration of steam cycle integrated with Shell-Sulfinol-Claus processes. As shown in Fig. 7, HP feedwater is extracted from HRSG, evaporated to saturated steam by using the heat loss of gasifier and the HP saturated steam is returned to HRSG. IP feedwater extracted from HRSG is directed into the shell-and-tube type heat exchanger for syngas cooling, is evaporated to saturated steam and the IP steam is returned to HRSG. LP feedwater passing through LP steam turbine and condenser is evaporated to saturated steam with the use of the waste heat of chemical processes. Like the GE/Texaco case, the parts of LP and IP steam streams extracted from HRSG are used as the heat sources for syngas preheating and coal drying .

Fig. 7 Steam integrated IGCC power plant

Fig. 8 HRSG temperature profiles of

with Shell-Sufinol-Claus processes

Shell-Sulfinol-Claus processes

Fig. 8 shows the temperature profiles of exhaust gas and feedwater/steam in the heat exchangers of HRSG. As can be seen in Figs. 7 and 8, Shell process has more various steam integration points than the GE/Texaco, but the waste heat utilization of HRSG during HP steam production seems less effective than the GE/Texaco. This result can be explained by that the flow rate of the exhaust gas as heat source is relatively small compared with largely increased steam flow rate through various steam integrations, so it results in the big temperature difference and the heat exchange performance deterioration between exhaust gas and steam. However, as shown from the IP

480


steam/feedwater and the exhaust gas temperature profiles in Fig. 8, the waste heat of exhaust gas is more effectively recovered during IP steam generation than the GE/Texaco because of the additional increase of IP steam flow rate due to IP steam integration. 3.3 Overall Plant Performance Comparisons Overall performance comparison results for two steam-integrated IGCC power plants are summarized in Table 4. As mentioned in section 2.2, burning syngas in IGCC power plants causes the increases of pressure ratio and exhaust gas flow rate of gas turbine because of the pressure rise to meet the choking condition of gas turbine expander and the nitrogen mass addition to gas turbine from ASU. For this reason, the gas turbine power of IGCC power plant is shown to be much larger than the natural gas firing case. From the results for coal feed rate and cold gas efficiency, the amounts of recovered waste heat available through steam integration can be compared for the GE/Texaco and the Shell plants. Cold gas efficiency is defined as how much percent of coal’s chemical energy is converted to thermal energy of syngas in gasifier, so lower cold gas efficiency means more heat loss in gasifier. As shown in Table 4, the GE/Texaco case has more heat loss than the Shell, and can produces more HP saturated steam by recovering this heat loss. So, as can be seen in Table 4, the steam turbine power of the GE/Texaco plant is more enhanced than the Shell. Table 4 Performance comparison on the IGCC power plants with steam integration Model

Texaco

Shell

NG

Turbine Inlet Temperature(℃)

1260.0

1260.0

1260.0

Pressure Ratio

17.65

17.50

14.20

Nitrogen Flow Rate to GT GT Exhaust Mass Flow Rate(kg/s)

70.44 500.63

47.36 494.37

0.00 416.30

Net Power

ST

138.6

123.7

72.2

(MW)

GT

204.5

205.0

139.1

43.1

43.9

48.5*

IGCC Plant Efficiency(HHV), (%)

Note) ST: Steam Turbine, GT: Gas Turbine, NG: Natural Gas, HHV: Higher Heating Value, *: NG combined cycle As observed in Figs. 5-8, the GE/Texaco plant’s steam integration is focused only on HP steam generation by using gasifer’s heat loss while the Shell plant produces HP, IP and LP steams through various steam integration conditions. It is expected from these results that the Shell plant is more flexible to integrate various kinds of steam streams with and to make efficient waste heat recovery of chemical processes. Therefore, although the Shell plant has less amount of waste heat as heat source for steam integration than the GE/Texaco, its overall IGCC efficiency can be raised through to higher value, 43.9%, through various steam integration designs, than 43.1% of the GE/Texaco. The result of Fig. 6 also implies further efficiency improvement would be achieved by the optimization of the arrangement and the operation conditions of HP steam/feedwater heat exchangers in HRSG. 4. CONCLUSIONS The present study provides the process design and simulation method of coal IGCC power plant, and it is applied to the GE/Texaco- and the Shell-based IGCC power plants to examine the effect of steam integration on overall IGCC performance. The GE/Texaco plant has more amount of heat loss and waste heat as the heat source for steam integration, so giving more steam turbine output than the Shell plant. However, the Shell plant has more various steam integration options, so its overall IGCC is higher than the GE/Texaco case. ACKNOWLEDGEMENT The present study was conducted under the sponsorship of Korean Energy Management Corporation and Coal IGCC R&D Corporation of Korea. NOMENCLATURE A turbine expander throat area, m2 m mass flow rate, kg/sec P pressure, Pa TIT turbine expander inlet temperature, K h heat transfer coefficient, W/m2°C

481


Subscripts air air CG coal synthetic gas N2 nitrogen t throat REFERENCES 1. Smith, A.R., 1997, "Next Generation Integration Concepts for Air Separation Units and Gas Turbines", ASME J. of Eng. for Gas Turbine & Power 119 :.298-304 2. Kim, J.Y., 1997, IGCC Technology Development(I), TR92GJ11.97.26-1, KEPRI 3. Phase I Study : IGCC Process Evaluation, 1995, Bechtel Corporation 4. ASPEN User's Manual, 2006, ASPEN Plus Inc. 5. Manuel A. P. and Gary T. R., 1998, “Rate-Based Modeling of Reactive Absorption of CO2 and H2S into Aqueous Methyldiethanolamine”, Ind. Eng. Chem. Res..37 :.4107-4115 6. Wubs, H.J. and Beenackers, A.A.C.M., 1993, “The Kinetics of Oxidation of Ferrous Chelates of EDTA and HEDTA in Aqueous Solution,” Ind. Eng. Chem. Res. 32 : 2580-2590 7. Brandt, D.E., 1991, "MS7001FA Gas Turbine Design Evolution and Verification," General Electric State-of-the Art Seminar Proceedings(9) 8. GateCycle User's Manual, 2003, ENTER Software Inc. 9. Lee, C., Lee, S.J. and Yun, Y., 2007, "Effect of Air Separation Unit Integration on Integrated Gasification Combined Cycle Performance and NOx Emission Characteristics," Korean J. of Chemical Engineers 24(2) : 368373

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A COMPARATIVE ENERGY ANALYSIS OF VACUUM TYPE AND CONVENTIONAL FOOD COOLING SYSTEMS Hande Mutlu Ozturk1, Gunnur Kocar2, Ahmet Yilanci3, Harun Kemal Ozturk4 1

Solar Energy Institute, Ege University, Bornova, Izmir, Turkey, e-mail: [email protected] Solar Energy Institute, Ege University, Bornova, Izmir, Turkey, e-mail: [email protected] 3 Pamukkale University, Energy Research and Application Center, 20070, Kinikli, Denizli, Turkey, e-mail: [email protected] 4 Pamukkale University, Energy Research and Application Center, 20070, Kinikli, Denizli, Turkey, e-mail: [email protected]

2

ABSTRACT The importance of refrigeration is expected to increase for the future since it will be an essential factor to conserve enough and safe food for the increasing world population. The use of low temperatures constitutes a major means of conservation of perishable foods during storage and distribution and it is widely applied in the developed countries. Cooling of the food consumes large amount of energy. In the last years, the growing demand for refrigeration has caused a significant increase in demand for primary energy resources. The energy and environmental world problems have increased interest to work on new cooling systems to refrigerate foods with the low energy consumption. Vacuum cooling is a rapid evaporative cooling technique, which can be applied to specific foods and in particular vegetables which have many advantages such as shorter processing times, consequent energy savings, improved product shelf life, quality and safety The objective of the present study is to conduct an energy analysis of vacuum cooling systems and compare their results with the ones obtained for conventional cooling system. Also, cooling time and weight lost have been given for conventional and vacuum cooling systems. Keywords: Vacuum cooling, cooked potato, conventional cooling, energy, pressure, temperature. INTRODUCTION Vacuum cooling is a widely used rapid cooling method, which has been proven to be one of the most efficient cooling methods available and therefore, it is extensively used for cooling some agricultural and food products [Da-Wen and Wang, 2000; Brosnan and Da-Wen, 2001; Wang and Da-Wen, 2002]. Vacuum cooling technique is used for pre-cooling of leafy vegetables and mushroom, bakery, fishery, sauces, cooked food and particulate foods. Vacuum cooling has some advantages such as short processing time, extension of product shelf life and improvement of product quality and safety. Vacuum cooling mainly depends on latent heat of evaporation to remove the sensible heat of cooled products and the quantity of the heat removed from the product is directly related to the amount of water evaporated of the product surface. Thus vacuum cooling method can be considered a rapid and evaporative cooling method. Generally, vacuum cooling can be applied for any porous product which has free water [Houska et al., 1996; Mc Donald and Sun, 2000; Wang and Sun, 2001; Wang and Sun, 2002; Dostál and Petera, 2003]. Vacuum cooling can be considered one of the most effective cooling methods to cool fresh fruit, vegetables, cut flowers, meat production, fish and sauces [Tambuna et al., 1994; Shewfelt and Phillips, 1996; Sullivan et al., 1996]. The main components of a typical vacuum cooler are vacuum chamber, vacuum pump and vapor condenser. Vacuum is provided in the vacuum chamber with the vacuum pumps and vapour–condenser. The function of the vacuum chamber is to keep the products to be cooled with vacuum cooling. When the vacuum pump start to run and vacuum established, the pressure inside the chamber is reduced to the saturation pressure corresponding to the initial temperature of the product, therefore some water boils away from the food until new equilibrium condition is achieved. Vacuum cooling causes to evaporate the large amount of vapour in from the food in the chamber. This vapour evacuated from the chamber is removed by the vacuum pump and/or through condensation when a vapour condenser is installed inside the chamber. Vacuum cooling can be applied any food product including free water and whose structure will not be damaged by water removal from the product [Wang and Sun, 2001]. Cooling occurs due to the evaporation of water from the food. When water evaporates, it needs to absorb heat in order to maintain higher energy level of molecular movement at gaseous state. The amount of heat required is called latent heat, which must be supplied from the product or from the surroundings that consequently are refrigerated. The temperature at which water starts to evaporate is directly dependent on the surrounding vapour pressure.

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Vacuum cooling is one of the most effective rapid cooling methods for providing all of these. The main requirements for using the vacuum cooling are: (a) the product should have a large surface area for mass transfer, (b) product water loss should not represent an economic or sensory problem, due to weight reduction and possible changes in structure or appearance [Mc Donald and Sun, 2000]. Any porous food can be cooled with vacuum cooling because the water vapour generated within the sample easily diffuse to the surrounding atmosphere. The heat and moisture transfer is a complicated process and therefore it has been investigated by many researchers. Vacuum cooling is extensively used for cooling some agricultural and food products [Thompson and Rumsey, 1984; Da-Wen and Wang, 2000; Mc Donald and Sun, 2000]. It has been widely applied in pre-cooling treatment for lettuce [Haas and Gur, 1987, Tambuna et al, 1994; Varszegi, 1994; Shewfelt and Phillips, 1996; Sullivan et al., 1996; Rennie et al., 2001], cut flowers [Da-Wen and Brosnan, 1999], mushrooms [Frost et al., 1989]. There are several advantages of vacuum cooling. First of all, foods can be cooled in extremely short period. The difference between the cooling rate of vacuum cooling and conventional cooling is due to different cooling mechanisms involved. The advantages of vacuum cooling are several. Mainly products can be cooled in extremely short time. The reason for difference between the cooling rate of vacuum cooling and conventional cooling is due to different cooling mechanisms. The mechanism for vacuum cooling is water evaporation from the products, however, the conventional cooling became mainly by conductive heat transfer. Since the ratio of conductive to evaporative heat transfer is less than up to 1:16 [Da-Wen and Wang, 2000] vacuum cooling therefore is much quicker. Due to this exceptionally fast cooling rate, vacuum cooling has been demonstrated to provide many benefits to the food processing industry, e.g. shortening product hold up time, increasing production throughput, reducing energy consumption [Chen, 1986], minimizing microbial growth for cooked meats, etc. [Wang and Sun, 2001]. Cooling the foods with vacuum cooling also consume less energy when it is compared with conventional cooling systems. VACUUM COOLING PROCESS Vacuum cooling is based on the rapid evaporation of moisture from the surface and within of the products due to the low surrounding pressure. Water evaporation absorbs heat from the products. Water evaporation directly depends on the surrounding vapour pressure and causes the temperature decrease. Water evaporates at 100 °C at atmospheric pressure of 1 atm, while, water start to evaporate at lower temperature when the pressure is decreased to below 1 atm. When any free water containing product is placed in a closed chamber and the pressure is decreased with a vacuum pump to below the atmospheric pressure, due to the pressure difference between the water in the product and the surrounding will cause evaporation and the vapour move from the product to the surrounding atmosphere. Heat removed from the product will be equal to the latent heat required for evaporation. As a result, product temperature start to decrease with decreasing of the pressure and cooling is thus achieved. In order to remove the large amount of water vapour and keep the cooling cycle within a reasonable length of time, the vapour-condenser is used to economically and practically handle the large volume of water vapour by condensing the vapour back to water and then draining it through the drain valve. For maintaining steady cooling process, it is necessary to evacuate the chamber continuously. Desired final temperature of the product can be controlled adjusting the final surrounding pressure. Process of a vacuum cooling can be given as follow: Vacuum chamber is used to keep the food products. After placing the food into the vacuum chamber, the door is closed and the vacuum pump is switched on. When the pressure is reduced and water starts to evaporate, the food temperature begins to decrease. Cooling of the food continues until it reaches the desired product temperature. When the determined temperature is achieved, the pump is stopped, the ventilation valve is opened and atmospheric air is allowed into the chamber. After the process is finished, finally, the products are removed from the chamber. Theoretical Approach In this section, a simple theoretical analysis of vacuum cooling process based on thermodynamic principles is presented. This analysis is limited to the mass loss based on temperature drop observed during vacuum cooling process. Average Specific Heat (Cavg) of any vegetable can be calculated by the following expression:

C avg = 3349a + 837.36 (J/kgK)

(1)

where a is the water content. For instance, water content of potato is 75% by mass. Therefore, specific heat of potato is:

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C potato = 3349.11 J/kgK Then the heat required to lower the temperature of a 1 kg potato from 95°C to 5°C could be calculated by the following expression:

Q = mC∆T

(2)

ENERGY ANALYSIS In this section energy analysis of the conventional and vacuum cooling system will be given. For the both vacuum cooling and conventional refrigeration system temperature of cooked potatoes desired to decrease from about 95 °C (cooking temperature) to 5 °C (storage temperature). Energy Analysis of Conventional Refrigeration System For the conventional refrigeration system, it is considered that the cooked potato is placed in an isolated and cooled area. The refrigerated area is considered at 5°C and 95 °C cooked potato placed into the refrigerator. Flowing equation can be used to calculate the heat removed from the hot potato to cool from 95°C to 5°C:

QL = mair C v ∆Tair + m potato C potato ∆Tair

(3)

If temperature of the refrigerator is considered at 5°C, first term at the right side of the equation can be neglected, and in this case, the amount of heat is needed to remove from refrigerator will be as

QL = m potato C potato ∆Tair

(4)

From Equation (4), in order to cool 1 kg potato from 95°C to 5°C, removed heat from potato will be;

QL = 301.4235 kJ If the process is considered reversible and cycle is considered as Carnot refrigerator, the input work will be

W = QH − QL

(5)

For the Carnot cycle, QH can be calculated from following equation;

QH = QL (TH TL ) = 301.4235(298 278) = 323.638

(6)

Since the temperature of the refrigerator is 5°C and ambient temperature 25°C work can be found as;

Wrev = 21.72 kJ Energy Analysis of Vacuum Cooling System As expressed earlier, for the vacuum cooling, the pressure of the cooling area needs to be decreased. For the vacuum cooling, pressure decreased from atmospheric pressure to the vacuum pressure at the constant volume. In this case, reversible work will as;

Wrev = VdP

(7)

If the vacuum chamber volume is taken as 29 l (0.029 m3) and the atmospheric pressure is considered as 101.3 kPa,

Wrev = 0.029 × 101.3 = 2.93 kJ

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It can be seen easily that vacuum cooling is consume about 7 times less energy than conventional refrigeration system for this example. It also should be also noted that the energy consumption for the conventional refrigeration systems increase linearly with weight of the products. However, energy consumption does not change for vacuum cooling with the amount of the product. MATERIALS AND METHODS Vacuum Cooling System, Measurements and Data Collection In order to compare the cooling time and weight lost, experimental studies has been carried out. A vacuum cooling system is designed. The basic components of a vacuum cooling system used in this study are a vacuum chamber, vacuum pump and vapour condenser (heat exchanger). The experimental apparatus is presented in Fig. 1. The vacuum chamber (Memmert VO-200, Schwabach, Germany) is used to keep the food product and cooled in. The rotary vane vacuum pump is used to generate vacuum (Edward, RV8, New Jersey, USA) with 1.5x10-3 mmHg (2x10-3 mbar). Pumping speed of 8.5 m3/h and rotary speed 1800 rpm is used to evacuate the air in the vacuum chamber and the vapour evaporated from the products from atmospheric pressure to the given vacuum pressure. Since a great amount of vapour is generated during vacuum cooling, vapour condenser is installed between the vacuum chamber and vacuum pumps in order to condense the vapour back to water to be discharged through the water evacuation. Variation of surface and center temperature of the products determined with two calibrated thermocouples (Highly accurate immersion/penetration probe, precision of ±0.01°C, TESTO, Lenzkirch, Germany). Thermocouples are inserted into the samples and connected to the data logger (TESTO 350 M/XL-450, Lenzkirch, Germany). Humidity and temperature (highly accurate reference humidity/temperature probe, precision of ±1 % and ±0,4 °C, TESTO, Lenzkirch, Germany) of vacuum chamber have been measured with the same probe and data are recorded to the data logger in the vacuum chamber. Pressure (low pressure probe, TESTO, Lenzkirch, Germany, the accuracy of ±0.1%) has been measured from the pipe between the vacuum pumps and vacuum chamber and data are recorded to the control unit (TESTO 350 M/XL-450, Lenzkirch, Germany). Vapour evacuated from the vacuum chamber is condensed in the heat exchanger via coolant (POLYSCIENCE 9506, Niles, Illinois, USA).

Fig.1. Schematic diagram of the vacuum cooler system. Center and surface temperature of the iceberg lettuce, ambient temperature and humidity of vacuum chamber have been measured and recorded with the data logger in the vacuum chamber (see Fig. 1). On the other hand, control unit that records the pressure data is located outside the vacuum chamber (see Fig.

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1). The data logger measures and saves readings without any connection to the control unit in the vacuum chamber for each 10 seconds. The control unit displays the measurement data and controls both the data logger and control unit. Pressure data also recorded for each 10 seconds. Measured data are transferred from control unit and data logger to the computer using ComSoft3 Software (TESTO, Lenzkirch, Germany). Air filter is used to grasp the dirt before the pumps. Before cooling, vacuum pump was warmed up for half an hour so that the system was stable. Experiments carried out for three different pressures (0.7 kPa, 1 kPa and 1.5 kPa) and three replicates were performed for each pressure and average data were used. Conventional cooling was carried out in a no-froze refrigerator (Beko D 9470 NE, Gebze, Kocaeli, Turkey). The average temperature of the refrigerator was set to 6°C, -16°C and -20°C. Three replicates were performed for each experiment. The weights of the foods before and after the cooling process are determined with an electronic balance (Precisa XT 1220 M). The weight difference is the mass loss during the vacuum cooling process. The accuracy of the balance is ±0.001 g. Freshly harvested potato was bought from a local distribution centre and transported to the Pamukkale University-Clean Energy Center, Denizli, Turkey. Experiments have been carried out for fresh potato. Potato was weighted before and after the cooking and after the cooling. RESULTS AND DISCUSSION The aim of this study is to determine the effect of the pressure on the vacuum cooling of cooked potato and comparison of the results with conventional cooling. In order to determine the mass loss and mass loss ratio before and after the vacuum cooling, the weights of the cooked potatoes have been taken. In order to determine the variation of the centre and surface temperature of the cooked potato, vacuum chamber humidity and temperature, variation of pressure during the vacuum cooling are measured for three different set pressure 0.7 kPa and 1.5 kPa. In Figs. 2 and 3, the results for the three different pressures are given. As can be seen from the Figs., vacuum chamber temperature has not been changed during cooling period, and it is nearly equal to ambient temperature or initial temperature of potato before the cooking. Since cooling effect for vacuum cooling directly comes from water evaporation from the cooled product, almost no temperature change occurs at the ambient (temperature in the vacuum chamber). However, vacuum chamber humidity fluctuates through the process as can be seen in the Figs. It can be seen from the Figs. 2 and 3 that vacuum pressure in the vacuum chamber decreased rapidly from atmosphere to about 2 kPa in 200 seconds (3.33 min), then decline slightly. When it reaches to set pressure it keeps almost constant value. When the pressure is lower or equal to the saturated pressure at the local temperature, water starts to boil in the food and the evaporation of the water causes to the cooling. For three different set pressures (0.7 kPa and 1.5 kPa), in the first 50 seconds, the surface temperature is lower than the centre temperature as expected. The cooling effect comes from water boiling from the samples, and therefore evaporation and cooling of the sample starts from the surface. Therefore, the surface temperature of the samples for the different pressures lowers than the centre temperature. However, with decreasing the pressure, evaporation and cooling occurs through the cooked potatoes and temperature decrease together.

Centre Temperature [°C] Surface Temperature [°C] Ambient Temperature [°C] Humidity [%rF] Pressure [kPa]

Temperature (°C) and Pressure ( kPa)

90 80 70

100 90 80 70

60

60

50

50

40

40

30

30

20

20

10

10

0

0 0

100

200

300

400

500

Humidity ( %)

100

600

Time(s)

Fig. 2. Variation of pressure, center and surface temperature of cooked potato, temperature and humidity of vacuum chamber with time for set pressure of 0.7 kPa.

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Centre Temperatutre [°C] Surface Temperature [°C] Ambient Temperature [°C] Humidity[%rF] Pressure [kPa]

90 80 70

100 90 80 70

60

60

50

50

40

40

30

30

20

20

10

10

0

Humidity (%)

Temperature (°C) and Pressure (kPa)

100

0

0

100

200

300

400

500

600

700

Time (s) Fig. 3. Variation of pressure, center and surface temperature of cooked potate, temperature and humidity of vacuum chamber with time for set pressure of 1.5 kPa. The total cooling time is dependent on the shape of the product, porosity, pore size and the pore distribution within the samples, and the availability of free water in the pores, and set pressure. Temperature of cooked potatoes desired to decrease from about 95 °C (cooking temperature) to 5 °C (storage temperature). When Fig. 2 compared with Fig. 3, it can be seen that cooling time almost 700 second for both of them. However, it can be seen from the Figs. that it is not possible to achieve 5 °C for 1.5 kPa pressures. For 1.5 kPa set pressures, the temperature of the potato can not be decrease to below 10 °C. Weight loss occurs during vacuum cooling since cooling effect directly comes from water evaporation (boiling) from potatoes. Weight losses of potatoes during vacuum cooling for three different pressures are given in Table 1. Weight loss and the percentage weight loss are closely related to final set pressure. As shown in the Table, cooling time depends on set pressure and for low pressure cooling time is shorter. Also, final temperature depends on set pressure and it is not possible to achieve 5 °C storage temperatures for 1.5 kPa pressure. Table 1. Variation of mass lost and mass ratio with pressure and temperature Vacuum Pressure (kPa)

0.7 kPa

1.5 kPa

5°C

-18°C

Mass Before Cooking (g):

154.094

160.656

159.842

126.658

Mass After Cooking (g):

154.132

162.800

162.600

128.101

Mass After Cooling (g):

135.245

144.209

158.440

126.997

Mass Loss (g)

18.887

18.590

4.16

1.104

Mass Loss Ratio (%)

12.25

12.89

2.56

0.86

Conventional cooling was carried out in a refrigerator at the set temperature of 5°C and -18°C. The results have shown that, surface temperatures cool much faster than the centre temperatures (see Figs. 4 and 5). Also, temperature differences centre and surface get lower as the ambient temperature (temperature in the refrigerator) decreases. It can also be concluded that provides conventional cooling much slower than vacuum cooling. A comparison of Figs. 4 and 5 with Figs. 2 and 3 shows that vacuum cooling at 0.7 kPa pressure is about 55 times faster than conventional cooling (cooling time is 20730 s) with the ambient temperature of 5°C for the cooked potato. For the case, cooling with vacuum is about 10 times faster than conventional cooling (cooling time is 3930 s) with -18°C.

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Cooling time and mass loss of cooked potato have been given for the conventional cooling at the Table 1. As can be seen from the Table, mass loss is higher at the cooling of 5°C than -18°C. Mass loss ratio is higher for vacuum cooling than conventional cooling. However, cooling time for vacuum cooling is shorter than the conventional cooling.

100 90 80 70 60 50 40 30 20 10 0

Temperature (°C)

Centre Temperature[°C] Surface Temperature [°C] Ambient Temperature [°C]

0

2500

5000

7500 10000 12500 15000 17500 20000 Time (S)

Fig. 4. Variation of center and surface temperature of cooked potato with time for 5°C storage temperature.

100 Centre Temperature[°C] Surface Temperature [°C] Ambient Temperature [°C]

80

Temperature (°C)

60 40 20 0

-20

0

500

1000

1500

2000

2500

3000

3500

4000

-40 Time (s) Fig. 5. Variation of center and surface temperature of cooked potato with time for -18°C storage temperature. CONCLUSIONS In this study, two different cooling methods have been tested; vacuum cooling and conventional cooling. Results show that the vacuum cooling is a rapid and efficient cooling method when it is compared with conventional cooling method. Also, it consumes less energy than conventional cooling system. On the other hand, it has been noted that the mass loss is higher for vacuum cooling when it is compared with conventional cooling. It can be concluded that for the high vacuum pressure it is not possible to achieve desired storage temperature of 5°C. The results also show that the temperature decrease of cooked potato at the surface and at the centre is decrease nearly together. However, for conventional cooling, the surface temperature of cooked potato decrease faster that the centre temperature. Also, for the low temperature of -

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18°C, surface of the cooked potato is freezing which is not desired. This study confirmed that vacuum cooling is an efficient method and is suitable for cooling of cooked food such as potato.

Acknowledgements The authors are grateful to TUBITAK (Scientific and Technological Research Council of Turkey) for the financial support of the project entitled “Developing a Vacuum Cooling System and Application in the Food Industry” (Project Number: 106 M 262) and Pamukkale University in Turkey. REFERENCES Brosnan T, Sun Da-Wen. 2001. Precooling technique and applications for horticultural products-a review. International Journal of Refrigeration. 24(2):154–70. Chen Y.I. 1986. Vacuum cooling and its energy use analysis, Journal of Chinese Agricultural Engineering. (32), pp. 43–50. Dostál, M.; Petera, K. 2003. Vacuum cooling of liquids: mathematical model. Journal of Food Engineering. 61, 533– 539. Frost CE, Burton KS, Atkey PT. 1989. A fresh look at cooling mushrooms. Mushroom Journal. 193:23–9. Haas, E., & Gur, G. 1987. Factors affecting the cooling rate of lettuce in vacuum cooling installations. International Journal of Refrigeration. 10, 82–86. Houska, M.; Podloucký, S.; Zitné, R.; Grée, R.; Sesták, J.; Dostàl, M.; Burfoot, D. 1996. Mathematical model of the vacuum cooling of liquids. Journal of Food Engineering. 29, 339–348. Mc Donald, K.; Sun, D.W. 2000. Vacuum cooling technology for the food processing industry: A Review. Journal of Food Engineering. 45, 55–65. Rennie, T. J., Raghavan, G. S. V., Vigneault, C., and Gariepy, Y. 2001.Vacuum cooling of lettuce with various rates of pressure reduction. Transactions of ASAE. 44, 89–93. Shewfelt RL, Phillips RD. 1996. Seven principles for better quality of refrigerated fruits and vegetables. In: Refrigeration science and technology proceedings. new developments in refrigeration for food safety and quality, Lexington (KY, USA). p. 231–6. Sullivan GH, Davenport LR, Julian JW. 1996. Precooling: key factor for assuring quality in new fresh market vegetable crops. In: Janick, editor. Progress in new crops. Arlington: ASHS Press.p. 521–4. Sun Da-Wen, Brosnan T. 1999. Extension of the vase life of cut daffodil flowers by rapid vacuum cooling. International Journal of Refrigeration. 22: 472–8. Sun Da-Wen, Wang L.J. 2000. Heat transfer characteristics of cooked meats using different cooling methods. International Journal of Refrigeration. 23 (7):508–16. Tambuna AF, Morishima H, Kawagoe Y. 1994. Measurement of evaporation coefficient of water during vacuumcooling of lettuce. In: Yano Nakamura, editor. Developments in food engineering. UK: Chapman and Hall. p. 328–30. Thompson J; Rumsey T R. 1984. Determining product temperature in a vacuum cooler. ASAE Paper No: 84-6543. Varszegi T. 1994. Vacuum cooling of vegetables. Hungarian Agricultural Engineering. (7) 67–8. Wang L.J, Sun Da-Wen. 2002. Modelling vacuum cooling process of cooked meat-part 2: mass and heat transfer of cooked meat under vacuum pressure. International Journal of Refrigeration. 25(7):861–2 Wang, L.; Sun, Da-Wen. 2001. Rapid cooling of porous and moisture foods by using vacuum cooling technology. Food Science and Technology. 12, 174–184.

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DETERMINATION OF ELECTROMAGNETIC POLLUTION LEVELS OF A HYBRID PHOTOVOLTAIC-FUEL CELL SYSTEM Onder Karakilinc 1, Engin Cetin 2, Ahmet Yilanci 3, Harun Kemal Ozturk 4 1

Department of Electrical and Electronics Engineering, Pamukkale University, 20070, Denizli, Turkey, e−mail: [email protected] 2 Energy Research and Application Center, Pamukkale University, 20070, Denizli, Turkey, e−mail: [email protected] 3 Energy Research and Application Center, Pamukkale University, 20070, Denizli, Turkey, e−mail: [email protected] 4 Energy Research and Application Center, Pamukkale University, 20070, Denizli, Turkey, e−mail: [email protected]

ABSTRACT Nowadays in the modern life, production and extensive use of electrical energy affects human health and environment. Fossil based energy producing technique as well as nuclear power stations caused lot of damage risk for environment and human health. Beside these effects, it contributed to global warming and the other significant subject electromagnetic pollution. Hybrid photovoltaic-fuel cell energy system does not emit any hazardous gases like carbon dioxide and greenhouse gases. In any energy system, the components which disperse high electromagnetic pollution should be determined to take some actions against it. In this study, advantages of using hybrid photovoltaic-fuel cell energy system are emphasized and electromagnetic pollution analysis of a hybrid photovoltaic-fuel cell system installed at Pamukkale University in Denizli, Turkey is performed. INTRODUCTION Electricity has entered into many areas of our life from its discovery up to today and significantly facilitated our life. Hence, energy demands are increase day by day. Moreover, currently more than 80% of the world’s energy supply comes from fossil fuels, with serious ecological and environmental consequences (BP, 2008; Kothari et al., 2008). It is a reality that every product facilitating our life has leaved a set of negative effects. Global warming, greenhouse affect, climate change, ozone layer depletion and acid rain are lots of mentioned in the literature (Sen, 2004). About half of greenhouse gases which rise the earth’s temperature due to the emissions of gases into the atmosphere are emitted by burning the fossil fuels (Yilanci et al., 2008) Carbon dioxide is the most important greenhouse gas with significant man-made sources, about 40% of the total (Owen et al., 2002). Some of these concerns arise from observable, chronic effects on, for instance, human health, while others stem from actual or perceived environmental risks such as possible accidental releases of hazardous materials (Dincer, 2007). Today an effect called electromagnetic pollution has become the case recently as well as environmental pollution, global warming and noise pollution being human being’s own impact (Atalay, 1999; Sevgi 2000). We can deem as electromagnetic pollution essentially the electromagnetic areas which conductors carrying electricity and every kind of device and equipment using this electricity spread. When any device connected to the socket is run, an electrical current passes inside it. Being parallel to this current, a magnetic area occurs in proportion to the power of the source. Magnetic area occurs very closely to this kind of electrical devices and is very powerful near the device. As far as it becomes far away from the device, the violence of magnetic area decreases. Almost everyone living in modern societies are subject to electromagnetic areas eternally. Electrical lines, high-voltage lines, transformers and mobile phone base stations are active electromagnetic pollution sources as well as many electrical devices we use in our daily life. Multiple storey constructions, large commercial buildings have become important tools of economic activity area. Such constructions become complex in the point of installations they included and both their power intensities and also the ratio of the use of sensitive electronic devices increase continuously. For meeting increasing need of power in large buildings, conductors having high current carrying capacity are used. The use of conductors carrying high current causes the formation of magnetic area attempts having low frequencies in the buildings (Dirlik, 2004). It is necessary to separate electromagnetic radiation into the two as ionizer and non-ionizer radiation as seen in Fig. 1. Ionizer (nuclear) radiation neutron, proton, alpha, beta particles, x and gamma rays are high-energy rays. The radiation being non-ionizer is electromagnetic radiation group not having energy to be able to cause ionization in live systems. Types of susceptibility to these different type non-ionizer radiations, their effects on human body and effects on health are totally different from each other. It is generally said that electromagnetic areas have two effects. The first is heat effect. Because the energy it propagated is some absorbed and hold while passing through human body and a heat accumulation occurs inside. This heat can cause undesirable outcomes. Another effect not being thermal affects and corrupts molecules and atoms being connected to each other inside living organism. Also, psychological effects can be categorized into this class (Sevgi, 2000). Effects and harms of electromagnetic pollution on human health are stated by scientists and it is accepted that these effects will be seen within long term and measures should be taken early. There are publications declaring that some findings have been got in the direction that electromagnetic areas have caused increase in many diseases such as cancer, behavioral changes, and weakness in the memory, Parkinson and Alzheimer and also in depression case frequency (Sevgi 2000; Seker at al , 2005; Atalay 1999). According to the researches made, it is a well known reality that high-voltage lines caused leukemia or brain cancer in children (Seker at al, 2005). The researches made in the USA in 1988 and 1991, in Sweden and Mexico in 1992 and in Denmark in 1993 have 491


revealed that there is a relation between cancers (especially leukemia) seen in children and living close to communication lines (Who, 2002; Sevgi 2000). These possible health effects of electrical and magnetic areas should be highlighted more clearly and this subject is an active research subject (OET 1999, Who, 2007). So it is necessary to determine electromagnetic pollution especially in life areas and to take measures in places where electromagnetic pollution is high (Lin et al., 2008;Gotsis et al. 2008). To transform that into the map form in sense of showing the measurement level results facilitates to determine the regions where electromagnetic pollution is high and to take measures (Durduran, 2007; Seker et al. , 2005).

Fig. 1. Frequency spectrum and classification (OET, 1999) In this sense, “Pamukkale University Clean Energy House”, which carries the characteristic of being one of the first founded places in our country, in the body of our university is a structure which meets heating need by passive and active use of solar energy, provides electrical need by solar energy and hydrogen energy and is also used as an energy research laboratory. In this study, electromagnetic pollution analysis of this structure taking place in the university was made and presented in the map form. It was tried to determine how demonstration such a system founded with clean energy understanding exhibited in sense of electromagnetic radiation. IMPORTANCE OF HYBRID PHOTOVOLTAIC-FUEL CELL ENERGY SYSTEMS Nowadays, increasing need for energy and the decrease in fossil sourced fuels have caused increased environmental pollution and new energy seeking. Oil reserves have left only 40.5 years if production were to continue at the rate of the year 2006. Similarly, the static depletion times of the proved natural gas and coal reserves are expected to be 63.3 and 147 years, respectively (BP, 2008). The other important energy source nuclear energy has different negative properties like risk of nuclear weapon proliferations, probability of damage alive in case of accident, high production cost and not suitable for everywhere (Palz, 1994). Important proposes of global energy sustainability implies the replacement of all fossil fuels usage by clean renewable energy sources such as solar, wind, geothermal, hydro and wave energies (Sen, 2004). Among these sources, solar energy comes at the top of the list due to its abundance. The amount of solar energy received by the surface of the earth per minute is greater than the energy utilization by the entire population in one year. Another future perspective use of solar energy is its combination with water and as a consequent electrolysis analysis generation of hydrogen gas, which is expected to be another form of clean energy sources. Combination of solar energy and water for hydrogen gas production is called solar-hydrogen energy (Sen, 2004). One of the most important things is the requirement for a supply of energy resources that is fully sustainable (Dincer, 2000). Hydrogen appears to be one of the most effective solutions, and can play a significant role in providing better environment and sustainability. Using renewable energy sources seems a promising option; however, there are still serious concerns about some renewable energy sources and their implementation, e.g.: (i) capital costs, and (ii) their intermittent nature in power production. Renewable energy resources--such as wind and solar energies-cannot produce power steadily, since their power production rates change with seasons, months, days, hours etc. To overcome the intermittency problem, a storage medium or energy carrier is needed. Hydrogen appears to be one of the most effective solutions, and can play a significant role in providing better environment and sustainability. Like electricity, it must be produced and transported--although hydrogen has one additional advantage: It can be stored. Electricity must be used as it is produced; it can be stored only if converted to another energy form, such as chemical energy in batteries or as hydrogen, capacitors etc. (Ro, 1997). Hydrogen can be produced from renewable energy sources, which have fluctuation problems. Even relatively dependable renewable

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sources, such as geothermal and hydropower, can benefit economically from an energy storage system to meet peak power requirements, and hydrogen produced from off-peak or surplus power can be used to store energy for delivery as electricity when needed. Solar hydrogen is described as a potential energy storage medium to offset the variability of solar energy (Conibeer et al., 2007). Fuel cells offer a more efficient and sustainable use of hydrogen for transportation, stationary and portable applications. Of the solar hydrogen production methods water electrolysis using photovoltaics is the most mature method for producing hydrogen. Hydrogen appears to be an environmentally benign and sustainable fuel. Beside, hydrogen production methods are very important to intend CO2 reduction. If it is produced from renewable energy sources and used in fuel cells, the only by-products are heat, water and small amount of NOx, and it is a convenient option for reducing CO2 emissions. It is important to keep in mind that hydrogen production methods from fossil fuels suffer from the same problem, emission of CO2 to the atmosphere (Sigfusson, 2007). However, CO2 emission due to hydrogen production from electrolysis by using PV and wind electricity seems to be equal to zero (Kothari et al., 2008). CO2 and NOx emission values from hydrogen production and utilization systems from electrolysis by using wind and PV are very low (Granovskii et al., 2007; Dincer, 2007, Kothari et al., 2008). Solar hydrogen utilization systems in the world consist mainly of photovoltaic-hydrogen systems for transportation and stationary applications. Nowadays, usage of solar-hydrogen energy increases in the world. There are more than ten hydrogen fueling stations in the world that use photovoltaic system (FC, 2007). Stationary power production will be important for building an energy secure future, because small-scale decentralized power sources--designed to satisfy the needs of individual homes, factories, or office buildings--rather than a few large centralized systems, will become much more common (Brown, 2001). Hence, photovoltaic-hydrogen/fuel cell hybrid energy systems may supply the energy demands for these buildings. Determination of electromagnetic pollution levels of photovoltaic-hydrogen/fuel cell hybrid energy systems which are suitable for individual usage become very important. In this study, it was tried to determine how demonstration such a system founded with clean energy understanding exhibited in sense of electromagnetic radiation. INTERNATIONAL STANDARDS Many foundations such as the United Nations (UN), World Health Organization (WHO), European Union (EU), International Labor Organization (ILO) and International Commission on Non-Ionizing Radiation Protection (ICNIRP) are working concerning electromagnetic pollution and its effects. The limit values and levels stated in the ICNIRP guidebook are got by compiling and reviewing all scientific data. Derived limit values are given in the form of electrical and magnetic areas or power intensity and change with frequency. These standards according to frequency are like shown in Table 1 and 2 (ICNIRP, 1998). Table 1. ICNIRP Reference levels for general public exposure to time-varying electric and magnetic fields (unperturbed rms Values)

In Turkey, the standard forming studies have been made on this topic (TS ENV 50166-1, 1996; TS ENV 50166-2, 1996), “the regulation about the determination of electromagnetic area violence limit values sourced from fixed telecommunication devices running in the 10 kHz-60 GHz frequency band, measurement methods and control” has been prepared and published in the official gazette dated July 2001 and numbered 24460 (TK, 2001). In the determination of limit values taking place in the regulation, the limit values taking place in the ICNIRP guidebook have been based.

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Table 2. ICNIRP Reference levels for occupational exposure to time-varying electric and magnetic fields (unperturbed rms values)

ELECTRICAL ENERGY PRODUCTION SYSTEM AND COMPONENTS OF CLEAN ENERGY HOUSE In big buildings, resultants of currents in normal and harmonic frequency are important low-frequency magnetic medium. In general, conductors carrying currents until 2500 A’s take place in transformer rooms, near main table rooms, in corridors (horizontal main distribution) and shafts (vertical main distribution) where main distribution is available. Devices like transformer and electrical motors have reluctance magnetic circuits of low value. In multiple storey high buildings, the biggest low-frequency magnetic attempt sources are power cables having high current capacity and bus-bars. Formed magnetic area violence can be stated by using Ampere law. In balanced current conditions, magnetic area violence B, for one phase circuits:

B=

µ 0 .I .d 2.π .r 2

(1)

For three phase circuits conductors of which have been arranged side by side (flat configuration):

B=

3µ 0 .I .d 2.π .r 2

(2)

For three phase circuits conductors of which have been arranged triangularly (trefoil configuration):

B=

6 µ 0 .I .d 2.π .r 2

(3)

These formulas are necessary only if r value (the distance of the point, in that area value is tried to detect, to the area source) is much more than d value. In some situations, bus-bar or cables can be so shorter according to r distance. In such states, in magnetic area modeling, it can be gone to the point source application. Every point source is considered as a magnetic dipole. Every dipole is attributed with its own dipole momentum and it is stated as m = I.A. Here I is current, A is a framed dipole area. The direction of magnetic momentum is found by right-hand rule according o the current direction. So a magnetic area being ar far away from a dipole is stated as:

B=

µ 0  − m 3(m.a r ).a r  +   4.π  r 3 r3 

(4)

Here ar is the unit vector between dipole and observation point (Dirlik, 2004; Kosalay et al., 2007). In a photovoltaic system, DC current coming from the photovoltaic panels is transformed into AC current through inverter and presented to the usage. Inverters making this transformation, in switching frequencies they have made, are electromagnetic area a foot attempt sources (Jennings et al., 1997). In such a system the panels and cables carrying current in the panel together form resonance circuit and undertake a low-frequency electromagnetic source service (Degner et al. 2000). In addition, it is evident that the cables carrying the current the screening of which hasn’t been made well and the distribution panels are each electromagnetic radiation source. In the studies made until now, a standard about electromagnetic compatibility has been tried to be formed and still these studies continue (Henze et al., 2001).

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In this study, being different from the studies made before, a hybrid system accommodating energy production from photovoltaic and also hydrogen was considered. Today photovoltaic and also hydrogen energy are one of important renewable energy sources. Electricity production system consists of two main components. These are photovoltaic panels and fuel cells. Namely electricity production is met from the sun and hydrogen. In Fig. 2, the hybrid energy system in Denizli and its main components are presented. Today in addition to widespread use of photovoltaic panels and hydrogen being energy carrier is got by using electricity produced from solar energy in electrolysis operation and stored in solid state (metal hydride tanks), and stored in fuel cells if needed, and electricity is produced from hydrogen. In Table 3 the properties of components of electricity production system are available.

Fig. 2. Photographs from outside and inside of the Clean Energy Center at Pamukkale University in Denizli, Turkey. Table 3. Main components of the system and their properties Properties • Sun tracking (two passive thermal sun tracking mechanisms) (2.5 kWp) and fixed PVs (2.5 kWp) – each panel 125 Wp. Photovoltaic • PV Manufacturer: Kyocera. • Two Sun tracking racks are produced by Zomeworks. • Total installed capacity is 5 kWp. • 1st Inverter: 220 VAC, 5 kW, pure sine Inverter • 2nd Inverter: 220 VAC, 2.5 kW, pure sine • 6 pieces, 45 A, Charge Controllers • Manufacturer: Morningstar. Batteries • 16 pieces; Lead Acid Batteries – 12 V, 150 Ah. • Water production: maximum 1.2 l/min Deionizer • ASTM Type I water. • Easypure II, Line Feed. • Water requirements: 0.47 x10-3 m3/h; 1.5-4 barg; ASTM Type I-II Deionized water. Electrolyzer • Net H2 production: 0.53 m3/h, 99.9995% purity. • Power consumed: 6.7 kWh/m3. • Manufacturer: Proton Energy Systems Inc., (HOGEN S20). • 5.4 Nm3 (6 pieces of 900 sl metal hydride tanks). Metal Hydride Canisters • Manufacturer: Ovonics Inc. • 2 units (total rated net power capacity: 2.4 kW). • Power: 1.2 kW, 22-50 VDC, Rated Voltage: 26 VDC, Rated Current: 46 A. PEM fuel cell modules • Fuel: 99.99% H2; 1.11 m3/h; 0.7-16 barg. • Water emission rate: 0.87x10-3 m3/h. • Manufacturer: Heliocentris Energy Systems Inc., Ballard (Nexa Fuel Cell Power Module). Components

MEASUREMENT METHOD Measurements were taken both for electrical and magnetic area by using PMM 8053 model electromagnetic radiation measurement device, low-frequency measurements with 0-100 kHz frequency probe. Measurements were realized taking mean for 6 min as determined by International Committee of Non-Ionized Radiation Protection (ICNIRP) in the standard. Volt/m was used as measurement unit for stating electrical area violence and MicroTesla 495


was used for stating magnetic area violence. When taking measurements, a method often used in the literature was utilized. The measurement area was divided into small cells in the grill shape to determine electromagnetic area violence and measurements in reasonable number were taken at 60 cm height from the ground in the intersection points of cells (Seker et al., 2005). To get a visual result, it was united to electromagnetic pollution sources in Clean Energy House and transformed into the map form by the help of the PC software, Mapinfo. RESULTS AND DISCUSSIONS Measurements were taken in sunny weather, between 10:00-14:00, average outside temperature 12oC and average solar irradiance 500 W/m2. Solar irradiance is measured by a pyranometer with the accuracy of ±1%. When photovoltaic panels are in running and not in running, and in addition, in loaded and unloaded situations the area violence in the medium and around the used devices was measured. 880 W air conditioner and 720 W fluorescent lamps were used as load. In addition, inverter has been pulling some power from equipment like charge regulator. For example, when electricity production both with photovoltaic panels and hydrogen fuel cells are running, it is seen that 590 watt power is pulled from the system. Measurement is made also in max 8 A current pulling situation and the measurement results are compared. A calibrated PMM 8053 electromagnetic radiation measurement device with the accuracy of ±0.1% is used. It was looked at frequency spectrum pertaining to electrical and magnetic areas spreading in front of hydrogen and fuel cells. The electrolyzer providing the necessary hydrogen for fuel cells is measured on its own. Graphics of the measurement results are seen in the figures below. In addition, components of the system in the building are numbered and shown in the figures. Fig. 3 and 4 present distributions of electric and magnetic fields radiation around the components for two cases (with/without load) while PV system is in operation. It is seen from these figures that electric field radiation is intensified around data acquisition panel while magnetic field is high around inverter.

(a) (b) Fig. 3. Case-I, only PV systems and without load (PV, batteries and inverter) a) Electric field radiation b) Magnetic Field radiation (1-Electrical Energy Distribution Box, 2-Charge Controllers and DC/AC Inverters, 3-Data Acquisition Panel, 4-Battery Bank, 5-PEM Fuel Cell Module and Hydrogen Canisters, 6-PEM Fuel Cell Module and Hydrogen Canisters, 7-Electrolyzer, 8-Deionizer)

(a) (b) Fig. 4. Case-II, PV systems under the load (PV, batteries, inverter, load (air conditioner)) a) Electric field radiation b) Magnetic field radiation (1-Electrical Energy Distribution Box, 2-Charge Controllers and DC/AC Inverters, 3-Data Acquisition Panel, 4-Battery Bank, 5-PEM Fuel Cell Module and Hydrogen Canisters, 6-PEM Fuel Cell Module and Hydrogen Canisters, 7-Electrolyzer, 8-Deionizer) Moreover, electromagnetic field intensity values are measured under the load for the case of battery usage. In this case, field intensity values increase mainly around battery bank as seen in Fig. 5.

496


(a) (b) Fig. 5. Case-III, without PV and load (Batteries, inverter, loads (air conditioner)) a) Electric field radiation b) Magnetic field radiation (1-Electrical Energy Distribution Box, 2-Charge Controllers and DC/AC Inverters, 3-Data Acquisition Panel, 4-Battery Bank, 5-PEM Fuel Cell Module and Hydrogen Canisters, 6-PEM Fuel Cell Module and Hydrogen Canisters, 7-Electrolyzer, 8-Deionizer) In the measurements for Case I-III, values around fuel cell modules are relatively low since they are not running in these experiments. Fig. 6 shows distributions of electric and magnetic field radiation while PV system and fuel cell modules are running and supplying 590 W electrical power. In this situation, measurement values around fuel cell modules are low but the values around electrical energy distribution box are measured very high. As the last case, measurements are obtained while electrolyzer which supplies hydrogen for fuel cell modules is consumed electricity for hydrogen production. The results are seen in Fig. 7. The values are high at the back part of the electrolyzer where the electronic control card is placed. Fig. 8 shows the changes and comparison of electric and magnetic field radiation in front of the inverter which is running continuously. The field values are high when electricity is consumed. As seen from the figure, the values are decreased with the increase in distance.

(a) (b) Fig. 6. Case-IV, PV and Hydrogen Systems with load (PV, batteries, electrolyzer, load (590 W total)) a) Electric Field radiation b) Magnetic Field radiation (1-Electrical Energy Distribution Box, 2-Charge Controllers and DC/AC Inverters, 3-Data Acquisition Panel, 4-Battery Bank, 5-PEM Fuel Cell Module and Hydrogen Canisters, 6-PEM Fuel Cell Module and Hydrogen Canisters, 7-Electrolyzer, 8-Deionizer)

(a) (b) Fig. 7. Electrolyzer a) Electric Field radiation b) Magnetic Field radiation (1-Electrical Energy Distribution Box, 2Charge Controllers and DC/AC Inverters, 3-Data Acquisition Panel, 4-Battery Bank, 5-PEM Fuel Cell Module and Hydrogen Canisters, 6-PEM Fuel Cell Module and Hydrogen Canisters, 7-Electrolyzer, 8-Deionizer) 497


(a) (b) Fig. 8. Changing of (a) electric and (b) magnetic field radiation with distance in front of the inverter. CONCLUSION In this study, advantages of using hybrid photovoltaic-fuel cell energy system have been mentioned and it has been tried to determine the electromagnetic behavior of hybrid systems using clean energy sources. Measurements were taken by a calibrated PMM 8053 electromagnetic radiation measurement device and probes in a sunny weather, between 10:00-14:00, at average outside temperature 12oC and average solar irradiance 500 W/m2. When it is looked at the results, it is generally seen that the measurement values did not exceed standards. It is observed that measurements which are only taken from batteries have lower values comparing to in case that both of the PV and batteries give electricity to this system. Moreover, it is seen that higher values revealed around the panel including bare conductors in unguarded state for electrical area. High magnetic areas intensified around inverter. It is also observed that electricity production system using hydrogen fuel cell made quite low radiation and high values only resulted from the distribution panel taking place near fuel cells. If necessary screening and protection installations are made in the panel and some installations which include such bare conductors, these values can be decreased. So hybrid photovoltaic-fuel cell energy system is clean for environment as well as electromagnetic pollution. It is apparently that hydrogen generated from renewable sources is likely to play an important role as an energy carrier in the future energy supply, and the world has to switch gradually to renewable energy sources using hydro, wind and solar. Electromagnetic pollution tests will be widened in our future studies and standard forming studies for systems using fuel cell will be made. Since solar irradiance in a summer day is much more than in a winter day; and battery usage is less during the day, battery charging time is short; in future studies, measurements will be taken in summer days and will be compared to measurements in winter days. Acknowledgements The authors gratefully acknowledge the support provided by the Turkish State Planning Organization (TSPO-DPT), the Scientific and Technological Research Council of Turkey (TUBITAK), Pamukkale University, Bereket Energy Inc., Nexans Inc. and Siemens in Turkey. NOMENCLATURE V (Volt) A (Ampere) AC (Alternating current) DC (Direct current) W (Watt) E (Electric Field) B (Magnetic Field) T (Tesla) rms (Root mean square) ƒ (Frequency) Hz (Hertz) eV (Electron volt) µ 0 (Permeability of vacuum) m (Meter)

REFERENCES Atalay N. S.,1999. Bilişim Toplumuna Giderken EM Kirlilik Etkileri Sempozyumu, Bilişim Derneği Kitapçığı, Gazi Üniversitesi, Ankara (In Turkish). BP. 2008. Statistical review of world energy 2007. http://www.bp.com. 498


Brown L. R.. 2001. Eco-Economy: Building an Economy for the Earth. Earth Policy Institute. Conibeer G.J. and B.S. Richards. 2007. A comparison of PV/electrolyser and photoelectrolytic technologies for use in solar to hydrogen energy storage systems. International Journal of Hydrogen Energy 32: 2703 – 2711. Dirlik L., 2004. Büyük Binalarda Alçak Frekanslı Manyetik Alanların Etkileri, ETMD. Durduran S., Kent Yaşamında Elektromanyetik Kirlilik, Sağlığımıza Etkileri ve Kent Bilgi Sistemi İçin Önemi, Konya Ticaret Odası Yeni İpekyolu Dergisi, Konya, 2007 (In Turkish).. Degner T, Enders W., Schülbe A., Daub H., 2000. EMC and Safety Design for Photovoltaic Systems, 16th European Photovoltaic Conference and. Exhibition, Glasgow. Dincer I. 2007. Environmental and sustainability aspects of hydrogen and fuel cell systems. International Journal of Energy Research. 31:29–55. Dincer I. 2000. Renewable energy and sustainable development: a crucial review. Renewable and Sustainable Energy Reviews. 4:157-175. FC. 2007. Fuel Cells 2000. http://www.fuelcells.org/info/charts/h2fuelingstations.pdf. Gotsis A., Papanikolaou N., Komnakos D., Yalofas A., Constantinou P., 2008. Non-Ionizing Electromagnetic Radiation Monitoring in Greece, Ann. Telecommun., 63: 109–123. Granovskii M. I. Dincer and M. A. Rosen. 2007. Exergetic life cycle assessment of hydrogen production from renewables. Journal of Power Sources 167: 461–471. Henze N, Bopp G., Degner T, Haberlin H. and Schattner S., 2001. Radio Interference on the Dc Side of PV Systems Research Result and Limits of Emission, 17th Europen Photovoltaic Solar Energy Conference and Exhibition, Munich, Germany. ICNIRP,1998. International Non-Ionizing Radiation Committee of the IRPA Guidelines on limits of Exposure to Radio Frequency EM Fields in the Frequency Range from 100kHz to 300GHz., Health Physics, 74: 4494-522. Jennings C., Chang G., Reyes A. and Whitaker C., 1997. AC Photovoltaic Module Magnetic Fields, IEEE 26th PVSC, Anaheim, CA.. Lin F., Li C. and Wang J., 2008. Analysis of Individual- and School-Level Clustering of Power Frequency Magnetic Fields, Bioelectromagnetics, 29: 564-570. Koşalay İ., İnan A., 2007. Investigation of Electromagnetic Field Values in Medium Voltage Transformer Substation, YTÜ Journal of Engineering and Natural Sciences Mühendislik ve Fen Bilimleri Dergisi, Sigma 25:1. Kothari R. D. Buddhi and R.L. Sawhney. 2008. Comparison of environmental and economic aspects of various hydrogen production methods. Renewable and Sustainable Energy Reviews 12: 553–563. OET Bulletin 56, Questions and Answers about Biological Effects and Potential Hazards of Radiofrequency Electromagnetic Fields, Federal Communications Commission Office of Engineering & Technology, 1999. Palz W. , 1994. Role of new and renewable energies in future energy systems. Int J Solar Energy, 14:127–40. Ro K. 1997. Two-Loop controller for maximizing performance of a grid-connected Photovoltaic-fuel Cell hybrid power plant. PhD Thesis, Faculty of the Virginia Polytechnic Institute and State University. Sen Z., 2004, Solar energy in progress and future research trends, Progress in Energy and Combustion Science 30: 367–416 Sigfusson T.I. 2007. Pathways to hydrogen as an energy carrier. Philosophical Transactions of the Royal Society A , 365: 1025-1042. Sevgi L., 2000. Elektromanyetik Kirlilik ve EMC Mühendisliği–I, TÜBİTAK-MAM Teknolojik İşbirliği Dergisi. (In Turkish). Şeker S.S., Gökmen D., Kunter F., 2005. Modeling and Experimental Study of Electromagnetic Pollution in a Turkish Hospital, Eleco'2005 4th International Conference On Electrical and Electronics Engineering, Bursa, Turkey. 499


Who World Health Organization, 2002. Establishing a Dialogue on Risks From Electromagnetic Fields, Geneva, Switzerland. World Health Organization, 2007. Extremely Low Frequency Fields, Environmental Health Criteria 238, Geneva.. TS ENV 50166-1, 1996. İnsanların Elektromanyetik Alanlara Maruz Kalması-Düşük Frekanslar (0 Hz-10kHz), Türk Standartları Enstitüsü (In Turkish). TS ENV 50166-2, 1996. İnsanların Elektromanyetik Alanlara Maruz Kalması-Yüksek Frekanslar (10 kHz-300GHz), Türk Standartları Enstitüsü (In Turkish). TK, 2001. 10 kHz - 60 GHz Frekans Bandında Çalışan Sabit Telekomünikasyon Cihazlarından Kaynaklanan Elektromanyetik Alan Şiddeti Limit Değerlerinin Belirlenmesi Ölçüm Yöntemleri ve Denetlenmesi Hakkında Yönetmelik (In Turkish).

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EFFECTS OF A SUCTION-LINE HEAT EXCHANGER ON THE PERFORMANCE OF PURE HYDROCARBON FLUIDS AS ALTERNATIVE REFRIGERANTS Mohamed M. El-Awad Mechanical Engineering Department, Faculty of Engineering, University of Khartoum, PO Box 321 Khartoum, Sudan.

ABSTRACT This paper studies the effect of adding a suction-line heat exchanger on the performance of three hydrocarbon refrigerants (R290, R600 and R600a) as compared to that of R134a. The results obtained from a computer-based theoretical model show that the heat exchanger increases the refrigeration effects of the four refrigerants, but the refrigeration effects of R290 and R600a increase at higher rates than those of R600 and R134a. Although the heat exchanger also increases the specific volume at the compressor's suction, by reducing the mass-flow rate it also reduces the displacement volume for the four refrigerants. In this respect, the refrigerant that benefits most from the suction-line heat exchanger is R600a. By reducing the mass flow rate, as well as the volume flow rate, the heat exchanger reduces the system’s power for the four refrigerants, but R600 and R600a require less power, and have higher COPs, compared to R290 and R134a. With an effective suction-line heat exchanger, R600a achieves the highest COP among the four refrigerants. However, the heat exchanger increases the discharge temperature for the four refrigerants. The increase in discharge temperature is higher for R600 and R600a than for R290 and R134a. INTRODUCTION Natural hydrocarbon (HC) refrigerants have zero ozone-layer depletion potential and almost zero globalwarming potential (Akash and Said, 2003, Colbourne and Suen, 2000). Unlike carbon-dioxide, which is another natural refrigerant, the operating pressures of HC refrigerants are close to those of the synthetic refrigerants commonly used in refrigeration and air-conditioning systems. Therefore, they can be used as “drop-in” substitutes without costly modifications of the original systems. Another advantage of HC refrigerants is their compatibility with low-cost HC-based lubricants (Akash and Said, 2003). However, the flammability of HC refrigerants incurs additional initial costs to ensure the safety of the HC system. This makes the energy efficiency of HC refrigerants crucial for their acceptability as alternative refrigerants. Efficiency of the HC-based refrigeration systems should be optimised by taking advantage of the superior thermal and hydrodynamic characteristics of HC fluids compared to the conventional synthetic refrigerants (Maclaine-cross and Leonardi, 1995). Adding a suction-line heat exchanger (SLHX) to the basic vapour-compression system has been shown to improve the performance of some refrigerants (Klein et al, 2000, Jahnig at al, 2000). The effect of a SLHX on the performance of HC and conventional refrigerants can be investigated by using theoretical analytical models. However, theoretical analysis of the refrigeration cycle with a SLHX is somewhat complicated compared to that of the basic cycle. Apart from having to appropriately model the heat transfer process that occurs in the SLHX, the theoretical model has to determine the refrigerant properties in the superheated region where they depend on both temperature and pressure. Therefore, the early theoretical studies that did not use specialised computer-based models had to limit their scope by neglecting the effects of a SLHX on the system’s performance (Colbourne and Suen, 2000, Maclaine-cross and Leonardi, 1995). Thus, the findings of these studies fell short of determining the full potential of HC refrigerants. A main concern for computer-based theoretical models is the accurate determination of the refrigerants properties, particularly in the superheated region. Although property packages, such as REFPROP (NIST, 1993), allow accurate point-wise determination of these properties, the coefficient of performance (COP) of a complete system can only be obtained by determining the properties at a few points in the cycle. In order to be able to calculate the compression work and, therefore, the COP, theoretical models usually model the compression process by adopting the ideal-gas property relationships together with the polytropic k relationship Pv =C (Klein et al, 2000, Jahnig at al, 2000). However, these simplifying assumptions introduce significant errors in the estimated values of the COP particularly when the compression process occurs in the proximity of the saturated-vapour line (El-Awad, 2009). The present paper describes a computer-based analytical model that can be used to analyse the effect of a SLHX on the performance of HC and conventional refrigerants without the aforementioned simplifications. The model determines the compressor’s discharge temperature from the temperature-entropy relationship and the compression work from the change in enthalpy across the compressor. The paper describes the main aspects of the model's

501


theoretical formulation and computer implementation and investigates the effects of adding a SLHX on the performance of three pure HC refrigerants (R290, R600 and R600a) as alternative refrigerants to R134a. THE THEORETICAL MODEL Fig. 1.a shows the main components of the vapour-compression refrigeration system which include the compressor, evaporator, condenser, suction-line heat exchanger, and expansion valve. The SLHX facilitates heat transfer between the hot refrigerants at the condenser’s exit with the cold fluid entering the compressor. Domestic refrigerators usually replace the SLHX and expansion valve by using a capillary tube in close thermal contact with the compressor suction line. Fig. 1.b shows the T-s diagram of an ideal refrigeration cycle, in which pressure drops in the condenser and evaporator tube are assumed to be negligible so that the evaporation and condensation processes can be treated as constant-pressure processes. 2 2s

T

3 4 5

1 7

s

(a) (b) Fig. 1. The vapour-compression refrigeration system: (a) schematic diagram, (b) T-s diagram of the ideal cycle. The refrigerant enters the compressor (point 1) where it is compressed to the condenser pressure. Discharged from the compressor (point 2), the refrigerant enters the condenser where it rejects heat to the surroundings (process 2-3-4). After the condenser, the refrigerant is sub-cooled in the SLHX (process 4-5) before entering the expansion valve where it undergoes an adiabatic expansion process that reduces its pressure to that of the evaporator (process 5-6). The saturated refrigerant then passes through the evaporator where it absorbs heat from the refrigerated space to vaporize (process 6-7). More heat is absorbed in the SLHX so that the refrigerant becomes superheated at the compressor inlet. The important performance parameters in the refrigeration cycle are: Refrigeration effect (q) q = (h7 – h6)

(1)

) Refrigerant mass flow rate ( m

Ca for a given Ca q Po for a given Po m = w m =

(2) (3)

Compressor displacement volume ( V )

V = m v1 / ηV

(4)

Coefficient of performance (COP)

502


q (5) w where, h is the enthalpy in kJ/kg, Ca is the refrigeration capacity in kW, Po is the compressor's power input in kW, ν1 is the specific volume at the compressor's suction in m3/kg, ηv is the compressor's volumetric efficiency, and w is the compressor’s specific work in kJ/kg. The actual specific work (w) is related to the ideal isentropic work (ws) by the compressor's isentropic efficiency (ηs):

COP =

w=

ws

(6)

ηs

2.1. The suction-line heat exchanger sub-model The SLHX allows heat transfer between the high and low pressure sides of the system. The cooling of the condensate in the high pressure side serves to increase the refrigeration effect and reduce the likelihood of liquid refrigerant flashing prior to reaching the expansion valve (Jahnig et al, 2000). A major benefit of the SLHX is that it reduces the possibility of liquid carry-over from the evaporator which could be harmful to the compressor. However, the heating process increases the temperature of the vapour entering the compressor and the pressure losses reduce the refrigerant pressure, both of which increase the specific volume of the refrigerant. For a given compressor volume displacement, increasing the refrigerant specific volume at the compressor's suction decreases the mass flow rate and, consequently, the refrigeration effect. The effectiveness of the SLHX (ε) is defined as: ε = (T1-T7)/(T4-T7).

(7)

Given the values of T4, T7 and ε, Eq. (7) is used to determine the compressor’s suction temperature (T1). Once T1 is determined, the temperature T5 can be found from the first-law of thermodynamics. Neglecting the minor changes in kinetic and potential energies across the SLHX, conservation of energy dictates: (h1 - h7) = (h4 - h5)

(8)

Using constant specific heats, Eq. (8) becomes: Cp7 (T1 - T7) = Cp4 (T4 - T5)

(9)

where, Cp4 and Cp7 are values of the specific-heat taken as those of the saturated refrigerant at point 4 and point 7 on Fig. 1.b, respectively. 2.2. The adiabatic-compression sub-model The temperature after isentropic compression (T2s) is determined by making use of the temperature-entropy relationship in the superheated region. In the ideal adiabatic compression, the entropy at point 2s is the same as that at point 1 (i.e. s2s = s1). Using the isobaric temperature-entropy relationship, T2s can be found from:

T2 s = T3 × e ( s1 − s3 ) / Cpavr

(10)

where, Cpavr is the average specific heat given by: Cpavr = ½ (Cp3 +Cp2s )

(11)

Since T2s is not known in advance, the average specific heat is initially taken as that at point 3 on the saturation line. The calculated T2s is then used to obtain a value for Cp3, which is then used in Eq. (10) to obtain a corrected value of T2s. Treating the compression process as adiabatic, and neglecting the minor effects of potential and kinetic-energy changes, the first law of thermodynamics reduces to the following simple equation that gives the compressor’s isentropic work (ws): ws = h2s - h1

(12)

By calculating T2s from isobaric temperature-entropy relationship (Eq. 10) and ws from the first law (Eq. 12), the present method does not adopt the polytropic model. Although, the accuracy of the present method

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depends on that of evaluating enthalpy and entropy changes across the compressor, El-Awad (2009) showed that it is more accurate than the polytropic model. THE COMPUTER MODEL The theoretical model described above was coded in a MATLAB computer program. The computer code offers its user the choice to compare the refrigerants performance, with or without a SLHX. Given the evaporator and condenser temperatures (or pressures), the program calculates the following cycle parameters: 1. 2. 3. 4. 5. 6.

The evaporator and condenser pressures (or the temperatures if pressures are given) The refrigeration effect and compressor’s specific work The mass flow rate and compressor volume displacement, The compressor discharge temperature, The compressor power (or cooling capacity), The coefficient of performance

If a suction-line heat exchanger is included, the program requires as input the SLHX effectiveness. If a suction-line heat exchanger is not included, the program requires as input the degrees of superheat and subcooling (both of which can be zero). The program can be used to compare the refrigerants' performance on a new design with a specified capacity (Ca) or compressor power (Po). When Ca is specified, the required mass flow rate for each refrigerant is calculated using Eq. (2). In this case, the compressors of different refrigerants will have different power inputs and displacement volumes. Alternatively, if Po is given instead of Ca, Eq. (3) is used to calculate the mass flow rate. Then, different refrigerants will give different refrigeration capacities and the compressor displacement volumes will also be different. The program can also be used to compare the performance of a HC refrigerant as a “drop-in” substitute for a synthetic refrigerant on a system with or without a SLHX. In this case, the program initially determines the required mass flow rate, refrigeration capacity (or power input), and compressor displacement volume for the synthetic refrigerant. The compressor’ displacement volume is then used to calculate the mass flow rates and refrigeration capacities (or power input) of the HC refrigerants. Another situation arises when we want to compare the refrigerants performance if a SLHX is added to a system that is originally designed for a specified capacity (or compressor power). In this case, the compressor’s displacement volume of the original design is kept constant for the same refrigerant and the respective mass flow rate is calculated from Eq. (4). Adding a SLHX will reduce the refrigerant mass flow rate since v1 will increase. Accordingly, the refrigeration capacity (or power input) will change. A graphical post-processor, which uses MATLAB plotting functions (The Math Works, 2008), displays the results in absolute values and as reduced by those at a base condition. The base condition can be that of the same refrigerant without a SLHX or that of a synthetic refrigerant with or without a SLHX. The computer model requires properties of the refrigerant to be evaluated at various points in the refrigeration cycle. As shown on Fig. 1.b, some of these points lie in the compressed and saturated liquid phase regions, while others lie in the saturated and superheated vapour phase regions. The following sections describe how the model determines the refrigerant’s properties along the cycle. 3.1. Thermodynamic properties of saturated and sub-cooled refrigerants Properties of three synthetic refrigerants, R134a R12, and R22, and three hydrocarbons refrigerants, propane (R290), n-Butane (R600) and i-Butane (R600a), as saturated liquid and saturated vapour, were extracted from ASHRAE Handbook (ASHRAE, 1997). For a given temperature, the refrigerants' data include the saturation pressure and specific volumes, enthalpies, entropies, and specific heats as saturated liquid o o o and saturated vapour. The temperature ranges from −60 C to +90 C, with a 10 C step, for all refrigerants. To obtain a value at an intermediate temperature, MATLAB’s interpolation function (interp1) is used. The enthalpy in the sub-cooled region (h5) is approximated by the saturation value at the given temperature, i.e., h5 ≈ hf (T5). 3.2. Enthalpy and entropy of superheated refrigerants To find the enthalpy and entropy of all refrigerants in the superheated region (e.g. at points 1 on Fig. 1.b), the following property relationships were used: h1 = h7 + ½ (Cp1 + Cp7)(T1 –T7)

(13)

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s1 = s7 + ½ (Cp1 + Cp7) ln (T1/T7)

(14)

where, point 7 is the saturation point at the same pressure as point 1. Values of h7, s7 and Cp7 could be obtained directly from the saturated property values extracted from ASHRAE tables (ASHRAE, 1997). The variation of Cp1, which lies in the superheated region, was obtained from the following third-order polynomial in temperature: Cp = a + bT + cT2 + dT3

(15)

where, the temperature (T) is in K and the constants a, b, c and d are refrigerant-dependent (Cengel and Boles, 2002, Sonntag et al, 2003). 3.3. Specific volume of superheated refrigerants The refrigerant’s specific volume at the compressor’s suction (point 1 on Fig. 1.b) is required for the calculation of the displacement volume by Eq. (4). When point 1 lies close to the saturation line, the value obtained from the ideal-gas equation of state significantly departs from the actual value. The present model reduced the error by applying the Soave-Redlich-Kwong equation of state (Sonntag et al, 2003): P=

Ru T aα − v~ − b v~ (v~ + b)

(16)

~ is the molar specific volume, and T is the temperature in Kelvin. where, Ru is the universal gas constant, v The values of the constants a, b, and α depend on the refrigerant’s pressure and temperature at the critical ~ which is solved numerically by using point (Sonntag et al, 2002). Eq. (16) leads to a non-linear equation in v Newton-Raphson method. THE EFECTS OF A SUCTION-LINE HEAT EXCHANGER El-Awad (2009) verified the present theoretical model by comparing its estimates for the main cycle parameters with those obtained by previous studies for an ideal cycle without a SLHX (Maclaine-cross and Leonardi, 1995, ASHRAE, 1997). The results were compared for R134a and three HC refrigerants (R290, R600 and R600a) on a cycle between −15 oC and 30oC. The present study analyses the effect of a SLHX on the performance of the vapour-compression system. The system’s key performance parameters were compared at different values of the SLHX effectiveness (ε) for R134a, R290, R600, and R600a. The cycle limits of -20oC and 40oC were the same limits considered by Klein et al (2000). A system of 1 kW refrigeration capacity was simulated. Fig. (2.a), which shows the refrigeration effects of the four refrigerants, shows that the refrigeration effects of HC refrigerants are about twice that of R134a. Fig. (2.b) shows the refrigeration effects at different ε values normalised by the respective refrigerant refrigeration effect with ε =0, i.e. without a SLHX. Although the refrigeration effect for all refrigerants increases with ε, the SLHX increases the refrigeration effect of R290 and R600a at a higher rate that it does for R134a. For R600, the rate is lower. These results agree with those obtained by Klein et al (2000). 400

1.45 R134a R290 R600 R600a

R134a R290 R600 R600a

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Refigeration Effect (normalsied)

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(a) (b) Fig. 2. Effect of the suction-line heat exchanger on the refrigeration effect.

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Mass flow rate (normalised)

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(a) (b) Fig. 3. Effect of the suction-line heat exchanger on the mass flow rate. 3.5

1 R134a R290 R600 R600a

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(a) (b) Fig. 4. Effect of the suction-line heat exchanger on the displacement volume. 0.34

1 R134a R290 R600 R600a

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(a) (b) Fig. 5. Effect of the suction-line heat exchanger on the compressor’s power. Fig.(3.a) shows that the HC refrigerants require about half of the mass flow rate of R134a. Adding a SLHX reduces the mass flow rates of all refrigerants, but Fig.(3.b) shows that an effective SLHX reduces the mass flow rate of R290 and R600a more than it does for R134a and R600. By reducing the mass flow rate and, therefore, the mass required to charge the system, the SLHX minimizes the hazard of HC refrigerants. Fig.(4) shows the effect on the compressor’s displacement volume. Although the SLHX increases the specific volume at the compressor's suction, by reducing the mass-flow rate, Fig.(4.a) shows that an effective

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SLHX actually reduces the displacement volume for the four refrigerants. Fig.(4.b) also shows that the refrigerant that benefits most from the addition of a SLHX in this respect is R600a. Practically, the SLHX reduces the pressure at the compressor’s intake, which increases the specific volume further (Klein et al, 2000)). Therefore, the decrease in displacement volume depicted on Fig.(4.a) may not be materialised. Fig.(5) shows that, by reducing the mass and volume flow rates, the SLHX reduced the system’s power for the four refrigerants. Although R290 requires more power than R134a, both R600 and R600a require less power. The SLHX helped to reduce the power requirements of all three HC refrigerants, but R600a is the refrigerant that benefits most from it. Fig.(6.a) shows that the COPs of both R600 and R600a are higher than that of R134a, but the COP of R290 is lower. Fig.(6.b) shows that the SLHX helps to improve the COP of R600a more than it does for the other three refrigerants, and saves more than 10% in the system’s energy consumptions. The effect on the compressor discharge temperature is shown on Fig.(7). The figure shows that the discharge temperature of R290 is close to that of R134a, but the discharge temperatures of both o R600 and R600a are lower than that of R134a by about 10 C. Although an effective SLHX increases the discharge temperature for all refrigerants, it does so for R600 and R600a more than it does for R134a and R290. 3.7

1.15 R134a R290 R600 R600a

3.6

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COP (normalised)

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3.4 3.3 3.2

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(a) (b) Fig. 6. Effect of the suction-line heat exchanger on the COP. 2.8 R134a R290 R600 R600a

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(a) (b) Fig. 7. Effect of the suction-line heat exchanger on the compressor’s discharge temperature. CONCLUSIONS Adding a suction-line heat exchanger increases the refrigeration effect, and reduces the mass flow rates, for R134a as well as the three HC refrigerants. However, an effective suction-line heat exchanger increases the refrigeration effect of R290 and R600a at a higher rate that it does for R600 and R134a. Although a SLHX increases the specific volume at the compressor's suction, by reducing the mass-flow rate, the net effect of the SLHX is to reduce the displacement volume for the four refrigerants. In this respect, the refrigerant that benefits most from the addition of a SLHX is R600a. By reducing both the mass and volume flow rates, an

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effective SLHX reduced the system’s power for the four refrigerants. Among the four refrigerants considered, R600 has the highest COP, but R600a is the refrigerant which benefits most from the SLHX. Acknowledgement The author acknowledges the contributions of Abdul Aziz Mat Ali and Khairul Arifin Bin Mohd. Zainal, both graduates of UNITEN University (Malaysia), to the early developments of the present computer model. NOMENCLATURE Ca refrigeration capacity, kW Cp specific heat, kJ/kg.K h specific enthalpy, kJ/kg mass flow rate, kg/s m P pressure, kPa Po power, kW q refrigeration effect, kJ/kg s entropy, kJ/kg.K T temperature, K or oC

V

v w

compressor's volume displacement, m3/s specific volume, m3/kg specific work, kJ/kg

Greek letters ε effectiveness of the suction-line heat exchanger η efficiency Subscripts avr average value of property s isentropic process v volumetric Superscripts . time rate of property ~ molar value of property REFERENCES [1]. Akash, B.A. and S.A. Said. 2003. Assessment of LPG as a possible alternative to R-12 in domestic refrigerators, Energy Conversion and Management 44: 381 – 388. [2]. Colbourne, D. and K.O. Suen. 2000. Assessment of Performance of Hydrocarbon Refrigerant, IIF-IIR – Commission B1, B2, E1 and E2, Purdue University, USA, 2000. [3]. Maclaine-cross, I.L. and E. Leonardi. 1995. Performance and safety of LPG refrigerants, Proc. Fuel for Change Conf. ISBN 0 646 24884 7, Surfers’ Paradise Queensland, February 28, 1995. 149 - 168. [4]. Klein, S.A. D.T. Reindl, and K. Brownell. 2000. Refrigeration system performance using liquid-suction heat exchangers. The international journal of refrigeration 23(8): 588-596. [5]. Jahnig, D.I., D.T. Reindl, and S.A. Klein. 2000. A semi-empirical method for representing domestic refrigerator/freezer compressor calorimetric test data. ASHRAE transactions 2000, Volume 106, Pt. 2. [6]. NIST. 1993. Standard Reference Database 23, NIST Thermodynamics properties of refrigerant mixtures database (REFPROP), Version 4.0, Gaithersburg, MD. 1993. [7]. El-Awad, M.M. 2009. A computerised model for the compression process in vapour-compression rd refrigeration systems. The 3 Int. Conf. Modelling, Simulation and Applied Optimization (ICMSAO’09), ISBN 978-9948-427-12-4, Sharjah, U.A.E. January, 20-22, 2009. [8]. The Math Works (2008), MATLAB (http://www. mathworks.com/) accessed 12 November 2008. [9]. ASHRAE. 1997. Handbook-Fundamental [SI edition]. American Society of Heating, refrigeration and Air Conditioning (ASHRAE), Atlanta, USA, 1997. [10]. Cengel, Y.A. and M.A. Boles. 2002. Thermodynamics an Engineering Approach. 4th edition. McGraw Hill, 2002. [11]. Sonttag, R.E., C. Borgnakke, and G. Van Wylen. 2003. Fundamentals of Thermodynamics, 6th Edition, John Wiley & Sons, Inc.

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THE THERMAL BACKGROUND OF THE LIFE OF THE PLANTS (PHENOMENOLOGIC AND PHOTON-ELECTRON BASED APPROACH TO PHOTOSYNTHESIS) Imre BENKO Prof., Dr.techn., Faculty of Mechanical Engineering, Budapest University of Technology and Economics, H-1521 Budapest, Muegyetem rkp. 3. / D. 301, Hungary, Phone and fax: +361-310-0999, Mailing address: H-1112 Budapest, Cirmos u.1. 6/38, Hungary. e-mail: [email protected], [email protected]@mtesz.hu

ABSTRACT The paper presents the photon-electron based approach to the photosynthesis from point of view of bioengineering. Reactions of photosynthesis occur in the chloroplast, so it is a solar cell and ‘sugar factory’, while mitochondria are a ‘powerhouse’. During photosynthesis sunlight drives the oxidation of water and the reduction of carbon dioxide. It means that light energy is used to remove electrons in a high state from water and then add to CO2 , thus capturing their energy. and the trapped solar energy is converted to chemical energyThese events make up the first phase, or so called light-dependent reaction of photosynthesis. The second phase of photosynthesis, the light-independent or dark reactions, during which the bond energy in the carriers is released and stored in the bonds of glucose molecules.So during the light reactions, solar energy converted to and stored as chemical energy in the bonds of ATP and NADPH molecules, and during the dark reactions, this chemical bond energy is released and stored in a more stable form: the bonds of sugars and other nutriens. Thermodynamic approaching to ecosystems is an other way of the presentation of the photosynthesis: the energy balance and entropy production of photosynthesis. Entropy flow and entropy production: calculation of entropy production of photosynthesis. Finally we have to thinking about that the plants and other autrophs use less than 1% of the energy of sunlight in photosynthesis.

Keywords: Thermal-, chemical-, electrical- and bioengineering, thermodynamics, photosynthesis, plants. INTRODUCTION Thermal-, chemical-, electrical- and bioengineering research has also discovered and uses a lot of phenomena existing in nature. Each such example announces that biology is an exciting field of intellectual experience. It is clearly and interestingly seen and illustrated how much could be learned from nature. The paper has chosen it subject as a novel example: thermodynamics of an ecosystem, namely the photosynthesis (I.Benko and L.I.Kiss,1977). The original energy source for virtually all living things is the sun, and light energy is converted by plants to chemical energy and stored in the bonds of carbohydrate molecules. Plant cells can then use the energy from these molecular storehouses to fuel their activities, and animals, fungi, and many kind of microorganisms can obtain their energy indirectly by consuming plant matter or other plant eaters as food. Ecosystem: a community of organisms interacting with a particular environment. Photosynthesis: the reciprocal of aerobic respiration. Phenomenologicaly the photosynthesis uses CO2 and H2O, generates O2 and traps and stores solar energy in the chemical bonds of sugar molecules.

ENERGY INTER-CONVERSIONS AND THE LAWS OF THERMODYNAMICS IN THE PLANTS The first law states that energy can be changed from one form to another but is neither created nor destroyed. Here, nuclear energy from atomic fusions taking place in the sun is converted to light, to chemical energy in the plant’s tissues, and to mechanical energy in the animal’s tissues. Some of the light is reflected as the green light we see as the plant’s colour. and a small amount is absorbed as light and is converted by the plant to chemical energy; but during this process, still more heat is lost. The second law of thermodynamics states that all such inter-conversions are inefficient to some degree. Thus, with each inter-conversion in the chain, some energy is lost as heat, diffuses away, and becomes more disorganized. There is no doubt that this cascade of energy conversion: sun - plants – organic molecules – life processes within cells , satisfies the second law, because it takes place spontaneously and heat is lost at every step. But within the cell, there is a delicate balance between order-producing activities such as maintenance, repair, and protein synthesis, and activities that mainly generate heat. A living cell, in a real sense, is a temporary repository of order purchased at the cost of constant flow energy. If that energy flow impeded, order quickly

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fades, disorder reigns, and the cell dies. The impediment can be lack of food or an injury or aging of the cellular constituents that maintain order (such as the nucleus and ribosomes). AN OVERVIEW OF PHOTOSYNTHESIS There is spectacular symmetry to the metabolic processes of respiration and photosynthesis that is revealed by their nearly opposite overall equations. When oxygen is present, aerobic respiration in mitochondria (power for cell) allows cells to break down glucose into carbon-dioxide and water and to release chemical energy: C6H12O6+6O2 results 6CO2+ 6H2O + chemical energy. In photosynthesis, nearly the reverse takes place in the chloroplast. Light energy trapped, transformed, and then used to convert carbon-dioxide and water into glucose and oxygen: 6CO2+ 6H2O +light energy results C6H12O6 + 6O2 In the first equation, chemical energy is released from glucose, the products have less energy stored in their chemical bonds than do the reactants. In the second equation, solar energy is stored in chemical bonds of glucose; thus, the products contain more energy than the reactants. Clearly, living things must have both a means a source of energy as well as means of releasing it, and for green plants and most other autotrophs, the direct energy source in sunlight. During photosynthesis sunlight drives the oxidation of water and the reduction of carbon dioxide. Another way of saying that is that light energy is used to remove electrons in a high energy state from water and then add them to CO2 , thus capturing their energy. This all sounds simple enough, but what does it really mean? The answer recalls the definitions of oxidation and reduction: the respective loss and gain electrons and hydrogen ions. When sunlight strikes green chlorophyll or other coloured pigments in the chloroplast of a leaf, let us say, some of the solar energy becomes trapped as a boosts electron in the pigment molecules to higher energy level. Then, before the electrons drop back to their original energy levels, they pass down an electron transport chain much like the one in the mitochondrial membrane, and the trapped solar energy is converted to chemical energy. COMPARISON OF PLANT AND ANIMAL CELLS These are generalised drawing of the cellular component of plant’s cells and animal’s cells(J.H.Postlethwait and J.L.Hopson,1989). Mitochondrion exists in animal and plant cells and stores the energy. Chloroplast transfers the energy.

Fig. 1.A Generalised drawing of plant’s cells

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Fig. 1.B Generalised drawing of animal’s cells.

POWER FOR THE CELL: MITOCHONDRIA Matrix: contains a concentrated mixture of the genetic material DNA (deoxyribonucleic acid), ribosomes, and many different enzymes involved in producing ATP for energy (adenosin triphosphate can transfer energy from one molecule to another).

Fig. 2. Power for the cell: mitochondria

THE CHLOROPLAST: SOLAR CELL AND SUGAR FACTORY I. Chloroplast is organells of photosyntesis contain green colored pigments that trap the energy from sunlight(I.Benko,1981). Chloroplast exist only in plant cells. As energy is released from the light-boosted electrons bit by bit, it is stored in the chemical bonds of the high-energy carriers ATP (adenosin triphosphate) and NADPH (nikotinamid adenine dinucleotid phosphate). (ATP and its lower-energy partner ADP are the carriers that link metabolic energy exchange in the cell.) These events make up the first phase, or so called light-dependent reaction, of photosynthesis. The reactions are driven by light energy and can take place only when light is available. The above mentioned high-energy carriers ATP and NADPH then supply the energy needed for second phase of photosynthesis, the light-independent or dark reactions, during which the bond energy in the carriers is 511


released and stored in the bonds of glucose molecules. The dark reactions can take place in darkness, but they do not require darkness; they simply do not require the presence of light. During the dark reactions, energy from the carrier molecules converts CO2 molecules to compounds containing carbon and hydrogen, such as glucose, C6H12O6 .These compounds can be used in glycolysis within the same plant cell, or can be used to build cellulose or starch. The hydrogen are atoms donated by H2O molecules, which are split and oxidized during the light reactions. Thus, the overall chemical conversion of photosynthesis can be described as the oxidation of water and the reduction of CO2 and the major consequences are twofold: a./ during the light reactions, solar energy is converted to and stored as chemical energy in the bonds of ATP and NADPH molecules; and during the dark reactions, this chemical bond energy is released and stored in a more stable form: the bonds of sugars and other nutrients.

Fig. 3. Chloroplast: organelles of photosyntesis contain green colored pigments that trap the energy from sunlight. Chloroplast exist only in plant cells.

Fig. 4. Chloroplast structure: chloroplast are membrane-bound organelles with outer and inner membranes and an intermembrane space between them, as well as a third set of membranes forming stacks of disc-like sacs called thylakoids. Each thylakoid has its own membrane and internal space, plus a stroma, or matrix surrounding the thylakoid stacks. The chloroplast form a tomato leaf shown here is magnified 25,000 times. (DNA: deoxyribonucleic acid, contains genetic information.)

From the light-boosted electrons bit by bit, it is stored in the chemical bonds of the high-energy carriers ATP (adenosin triphosphate). Then supply the energy needed for second phase of photosynthesis, the light-independent or dark reactions. Photosynthesis occur in the chloroplast. Mitochondria are ‘powerhouse’ that generate ATP, chloroplast are more a combination of a solar cell and sugar factory that captures sunlight and generates glucose and other carbohydrates.

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THE CHLOROPLAST: SOLAR CELL AND SUGAR FACTORY II. Reactions of photosynthesis occur in the chloroplast (Fig. 4.). Each leaf cell may contain 40-50 chloroplast, and each square millimetre of leaf surface more than 500,000 of the organelles. Chloroplast are analogous to mitochondria, both have their own DNA(deoxyribonucleic acid), however, while mitochondria are ‘powerhouse’ that generate ATP, chloroplast are more a combination of a solar cell and sugar factory that captures sunlight and generates glucose and other carbohydrates. The light dependent reactions of photosynthesis take place in thylakoid membrane. Chlorophyll and other coloured pigments are embedded in his membrane, along with electron transport protein. COLORED PIGMENTS IN LIVING CELL Role of pigments in utilization of solar radiation Coloured pigments in living cells trap light. Light and pigments are vital to important biological processes. There is an essential difference between chlorophyll molecules and the other pigments (e.g. those in the coat of animals): chlorophyll participates in photosynthesis as well as giving a green leaf its colour.

Fig. 5. Different pocesses of photosynthesis overwiew of the light-dependent and light-independent reaction of photosynthesis

Visible light and the electromagnetic spectrum We are constantly bathed by electromagnetic energy, from radio waves to infrared rays(heat), X-rays, and gamma rays(I.Benko,1993). Each category has a range of energies measured in oscillating waves of specific lengths. Only the small portion of the entire electromagnetic spectrum with wavelengths in the range 380-750 nm is visible to us as white light that can be broken into coloured light, each colour with different wavelengths (see Figure 6.).The shorter the wavelength, the more energetic the wave; the longer the wavelength, the less energetic. Pigments and absorption spectra The colours we see in a given object depend on which wavelengths of light the pigments in that object absorb and which are reflected back to our eyes. A white fur looks white because all wavelengths are reflected. Black pigment in a coat absorbs light throughout the whole colour spectrum and reflect nothing.; thus, it looks black to us. A leaf contains chlorophyll-‘a’, which absorbs most strongly around 450 and 670 nm, and chlorophyll –‘b’ , which absorbs most strongly around 490 and 650 nm; green light in the 500 nm range is reflected, and thus the leaf looks green. The peelings of fruit often contain carotenoids, which absorb, wavelengths from 400 to about 550 nm and over 550 nm reflect back red, yellow and orange light (Fig.6.). Because a leaf often contains both kinds of chlorophyll plus carotenoid, its pigments can absorb and use for photosynthesis most of the wavelengths of visible light that strike it. However plants, algae, and other autrophs use less than 1 percent of the energy of sunlight in photosynthesis. PIGMENT COMPLEXES: ENERGY CAPTURE IN THE REACTION CENTRE: ’Antenna Complex’ Leaves literally have antennae: embedded in the thylakoid membrane of each chloroplast in every photosynthetic cell are so-called antenna complexes. These are clusters of 200-300 chlorophyll, carotenoid, and other pigment molecules. The pigment molecules are arranged around a central chlorophyll ‘a’, the reaction centre (Fig.4.). The molecule absorbs slightly lower energy than the other pigments; thus, when the other pigment molecules are struck by photons of light, they pass the energy they absorb(in the form of

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electrons) from one molecule to the next until the electrons are finally transferred to the reaction centre that actually participates in photosynthesis. Somewhat like ping-pong balls bouncing off a hard surface, the electrons bounce from pigment to pigment within the antenna complex at high speeds; each electron transfer takes only 10-12 second.

Fig. 6. Visible light and electromagnetic spectrum: pigments and absorption spectra. White light can be broken into coloured light. The shorter the wavelength, the more energetic the wave; the longer the wavelength, the less energetic.

Fig. 7. ’Antenna complex’: a cluster of pigment molecules. In the chloroplast inside a plant’s photosynthetic cells, the thylakoid membranes contain antenna complexes, cluster of light-absorbing pigment molecules. These complexes channel the energy from impinging photons of light to a central chlorophyll molecule, the reaction center.

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Two kinds of chlorophyll ‘a’ molecules function as reaction centres: one is called P700 and the other P680 (see Fig.6.). The former absorbs wavelengths around 700 nm, the latter around 680 nm. Each kind of chlorophyll is associated in the thylakoid membrane with its own set of pigments and with both an electron acceptor and an electron donor in a photosystem. P700 at the centre of photosystem I and P680 at the centre of photosystem II. The actual conversion of the light energy to chemical energy takes place within the photosystems , and each photosystem play a different but crucial role in photosynthesis. A short overview of what happens, as shown in Fig.8.

Fig. 8. Conversion of light energy in ’photosystem II.’: the reaction center chlorophyll is called P680 because it absorbs wavelengths of visible light around 680 nm. When light energy is funneled to P680 from the ’antenna complex’ pigments, a pair of electrons is boosted from the reaction center molecule and accepted by an electron acceptor. A water molecule is simultaneously spit via the process of photolysis), and an electron pair replaces the electrons lost from P680.

Photosystem II receives light energy funnelled down through the antenna complex to P680 (see step 1. in Fig.8.). A pair of reaction centre’s own electrons is then ejected with high energy (step 2.).This energetic pair is quickly transferred to an special electron acceptor molecule (step 3.), thus trapping the light energy as chemical energy. To replace the missing electrons, another electron pair is passed from water (step 4.), the actual electron donor, to take place of the electrons ejected from P680. (A water molecule is split during this passage form 2H+ and O (step 5.); this is called photolysis, the splitting of water by light.) During this sequence, light energy has successfully been converted to chemical energy by means of oxidation-reduction. The remaining steps of photosynthesis merely shuffle about this chemical energy trapped in the electron acceptor, eventually storing it in the bonds of carbohydrate molecules. ENERGY FLOW THROUGH ECOSYSTEMS Tropic levels and food webs describe the general routes of energy flow and material cycling in ecosystems(I.Benko,2003). Whether an organism is a producer or a consumer, it needs energy for movement, for active transport of nutrients and ions, and for synthesis of proteins, nucleic acids, and other large molecules for growth and repair. Producers obtain their energy directly from the environment in the form of light (in most ecosystems) or organic molecules (in deep-sea vents and few other ecosystems). Consumers, however, can get their energy only from producers. Hence, the activities of producers in a community set a limit for the amount of energy that can be captured and channelled throughout the entire ecosystem. Ecologists have closely studied the hardwood forest ecosystem to precisely measure available energy and how it is spent.

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Experimental Study: Energy Budget for an Ecosystem During the growing season (June-September) in an experimental forest was monitored energy flow and material cycling through a lot of specific experiments (Table 1.) [4]. About 15 percent of the sun’s radiant energy striking the forestland immediately reflects back into the atmosphere as light (Table 1Ab.). Another large fraction (41 percent) warms the ground and the photosynthesizing plants and eventually radiates back to the atmosphere as heat (Table 1Ac.). Still an amount of the incoming energy (41.8 percent) is used to evaporate water from the soil and cells of plant leaves, a combined process called evapotranspiration (Table 1Ad.).

Fig. 9. Energy interconversion and the laws of thermodynamics. Some of the light is reflected, a small amount is absorbed as light and is converted by the plant to chemical energy; but during this process, still more heat is lost.

Fig. 10. Energy flow through ecosystem

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Table 1. Energy budget for an ecosystem Table 1. A Energy balance of a hardwood forest: the flow of the energy through an ecosystem (marked from ’b.’ to ’j.’).

Item

Fraction

Percent, %

a. b. c. d. e. f. g. h. i. j. Sum

Solar radiation Reflected light Heat Evapotranspiration Gross primary productivity Plant respiration Net primary productivity Above-ground storage Litter Root storage Energy fixed in organisms

+ 100.0 - 15.00 - 41.00 - 41.80 + 2.20 - 1.20 + 1.00 - 0.20 - 0.60 - 0.05 (g.-j.) = +0.15

(= - 97.8)

(= -0.85)

Table 1. B As sunlight strikes the forest, light and heat are returned to the environment, and a small fraction of the original energy is fixed in organisms and their waste products (marked from ’k.’ to ’n.’).

Item k. l. m. n.

Sum

Fraction

Percent, %

Ingestion by consumer Excretion, mortality Consumer respiration: grazing & detritus Export in stream, storage in soil (decomposition, detritus food web) Energy lost by organisms

- 0.01 - 0.06 (= - 0.07) - 0.07 - 0.01 (= - 0.08)

(k.-n.)= - 0.15

Clearly, over 82.8 percent of the solar energy that reaches the hardwood forest flows through as heat and other 15 percent as light - for a total of 97.8 percent that returns rapidly to the physical environment. The 2.2 percent or so remaining is the amount of energy that producers convert by photosynthesis to chemical energy in the form of sugars and other organic compounds. Ecologist call this small fraction an ecosystem’s gross primary productivity (Table 1Ae.), and ultimately, it limits an ecosystem’s structure, including how many birch trees will grow and how many chipmunks will thrive. Not all the chemical energy that a plant initially traps will be stored in newly formed leaves, and fruits. Plant cells themselves use a little more than half of this energy to fuel their own cellular respiration, eventually losing it as heat (Table 1Af.). The small amount of energy remaining after respiration is called the net primary productivity, the amount of chemical energy that is actually stored in new cells, leaves, roots, stems, flower and fruits (Table 1Ag.). Of all the energy impinging on the ecosystem, only the net primary productivity is available to consumers. During a growing season, plants retain some of the net primary productivity in permanent organ (new stems and roots, for example (Table 1Ah.), but most becomes litter on the forest floor (Table 1Ai.). In fact, nearly twice as much energy is stored in litter and decomposing humus as in the majestic banks of leaves overhead in a forest. Most of the energy contained in the litter fuels the detritus food web (Table 1Ai.). Only a small fraction of the energy stored aboveground in the forest enters the grazing food web (Table 1Aj.), and some of that enters the detritus food web owing to the excretion and mortality of consumers from the grazing food web (Table 1Bk.). Energy dissipation continues as the consumer that graze plants or eat detritus radiate heat via respiration (Table 1Bl.). Only a tiny amount of energy then remains in the soil or exits the ecosystem in the stream that drains the watershed (Table 1Bm,n.). Clearly, despite the essentially limitless power flowing from the sun to the earth, plants can store only a small fraction of that energy, and that fraction sets up an upper limit to the energy available to all other organisms in the ecosystem.

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The information in Table 1. allows ecologists to formulate general principles about the energy budget of a hardwood or similar. First, even in a lush, leafy green forest, plants or other producers convert only a small fraction (approx. 2 percent or less) of the solar energy that enters the ecosystem into stored chemical energy. Second, animal ingest an even smaller amount (in the case, 0.01 percent of the energy) in the grazing food web. Finally, as energy flows through the tropic levels of the ecosystem, metabolic activities (mostly respiration) release it back to the air, where it ultimately returns to space as heat. INCREASE OF ENTROPY IN A BIOLOGIC SYSTEM Entropy production of the green leaf’s photosynthesis The entropy change of leaf (dS) relating the biomass growth at the initial state in an open system (I.Benko,2005) dS=daS + diS , where daS - the net absorbed light energy, diS - the thermal dissipation in the leaf. We have the Equation (1) in the form of energy Ebm=(El - E’) - Ei , where Ebm - the energy change relating to the biomass’ growth, El - the sunlight’s energy striking the leaf, E’ - the thermal loss due to the photosynthesis, Ei - thermal dissipation (irreversibility) due to metabolic process.

(1)

(2)

The entropy production per unit time (diS/dt) is the entropy flow rate (Eq.3. ). For calculation of values of (diS/dt) and (dEi/dt) (thermal dissipation) we have to choose an indirect way for deduction. The way is based on the calculation of the total metabolic heat that is back to the physical environment: (diS/dt) = (dEi/dt) . (3) To provide for the flow rate of entropy we can deduce from the analysis of the irreversible heat transfer system (diS/dt)q=q. (ΔT/T2), where (4) q. - the heat flow rate per unit area between the leaf and the environment (J.cm-2.min-1), ΔT - temperature difference between the leaf and the environment (deg), T - mean temperature of the leaf and the environment (K). We have for the evapotranspiration between the leaf and the environment (diS/dt)T,q = r.e. (Δx/T), where

(5)

r - the heat of vaporisation of water (J/g), e. - the mass flow rate per unit area of evapotranspiration (g.cm-2.min-1), Δx - the relative humidity difference between the leaf and the environment(g/deg). Substituting the Equations (4) and (5) to the Eq.1. we deduce Eq.6. diS= q. (ΔT/T2) + r.e. (Δx/T) .

(6)

Multiplying the Eq.6. by T , we can get the dissipation function β= Ei=T (diS/dt) .

(7)

An example of calculation of photosynthesis’ efficiency Different experiences show that β=Ei and can be calculated by this way the efficiency of the photosynthesis (see Table 1.). The mean productivity of the biomass by leaves during a year: Ebm= 1809 J.cm2year . The entropy production in the same period: diS/dt=1.37 J.cm2year.K . The dissipation function in a similar condition: β = Ei=( diS/dt)T=390.45 J.cm2year . (El-E’) = Ebm+ Ei = 1809+390.45= 2139.45 J.cm2year. The total yearly sunshine radiation (El)=223.9 kJ.cm2year . Efficiency of photosyntesis : ηph = (Ebm + Ei)/(El)= 2.139/223.9=0.0098 ~ 0.1 % (see Table 1.). CONCLUSIONS To sum up, it might be superficially stated that ‘there are nothing novelty in the world’. However some biologist compare the passage of electrons in the antenna complex to the movement of energy between metals atom in a radiowave antenna or between silicon and metal atoms in a solar cell or computer chip. But 518


he antenna complexes are biological molecules, and the funnelling of light energy among them results in an excited chlorophyll ‘a’ molecule ready to pass electrons on to an electron acceptor. So it means that we are only within the limit of our knowledge/skills and that is the process of the discovery. Biology is a material sciences, and visualising the central biological structures and processes in the key to understanding them. However the biological structures have a lot of thermal and thermodynamic connections. That inspires the thermal scientists, engineers to learn more about the nature of life. Finally we have to thinking about that the plants and other autrophs use less than 1% of the energy of sunlight in photosynthesis and searching the tasks relating to it. REFERENCES

I.Benko & L. I. Kiss.1977. The struggle of mankind to ensure a comfortable thermal environment. The River Valley as a Focus of Interdisciplinary Research; Proceedings of the International Conference to Commemorate Maupertuis’ Expedition to the River Tornio, Northern Finland, 1736 – 1737.,p.8, (1977). Oulu, Finland. I.Benko & L. I. Kiss. 1981. Effects of isolation and integration on the development of systems. Proceedings of the International Conference: The Archipelago as a Focus for Interdisciplinary Research. Turku, Finland (1978), (1981), pp. 49-68. Hamdan Foundation Pakistan, Karachi I.Benko.1981. Possibilities of utilising renewable energy sources. Periodica Polytechnica, Mech. Eng. Vol. 25, No. 1, pp. 67-86, (1981). Budapest, Hungary. J.H.Postlethwait & J.L.Hopson.1989. The Nature of Life (1989), McGraw-Hill.. I.Benko.1993. Examination of low emissivity coatings by infrared imagery. Advanced Infrared Technology and Applications,pp.185-197, (1993), Grafiche Troya Publ.,Firenze. I.Benko,2003. The role of exergy and entropy in thermal engineering applications, The 1st International Exergy, Energy and Environment Symposium (IEEES-1),p.81, (2003)., Izmir, Turkey. I.Benko. 2005. Some examples of thermal Behaviour of living organisms and use of entropy, The 2nd International Exergy, Energy and Environment Symposium (IEEES2),p.21, (2005), Kos Island., Greece.

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ENERGY CONSERVATION IN BUILDINGS: REDUCTION OF COOLING ENERGY WITH PHASE CHANGE MATERIALS IN MILD CLIMATES 1

El Hadi Bouguerra, 1Abdelkader Hamid and 2Noureddine Retiel 1

Department of Mechanical Engineering, Saad Dahleb University Route de Soumaa, BP 270 Blida, Algeria 2 Department of Mechanical Engineering, University of Mostaganem BP 300 Mostaganem, Algeria [email protected], [email protected]

ABSTRACT The global warming is essentially due to CO2 emissions caused by fossil energies in particular for electricity generation. The increasing use of air conditioning in mild and hot climates aggravates the problem and causes peak electricity demands that stress strongly the grid. It is essential to reduce the energy consumption in buildings where the biggest potential of savings exists because each saved kWh is a kWh that is not needed to be produced. Incorporating phase change materials (PCMs) in building materials to reduce the cooling needs was investigated by many studies but most of the promising results were obtained in not very realistic situations and do not permit to conclude about the real benefits. In this study, the effect of PCMs integration in building materials is investigated on the Mediterranean’s mild climates. These climates are characterized by low day/night temperature variation. Simulations in a typical family house were made and the effect of insulation and PCMs on different building components was investigated. Results show relative mitigated performances because low day/night temperature swings in mild climates make nighttime ventilation less efficient to discharging the PCM. Removing heat by mechanical cooling (for discharging PCM) is relevant only if there is differentiated electricity price for off peak periods. Anyway, reduction of about 20% on energy consumption can be achieved by the PCM integration in noninsulated building. The better position is on surfaces that experience large temperatures variation (connected to the outside air for example). This point out the potential use of PCMs in rehabilitation programs for existing buildings where insulation is often costly or impossible. INTRODUCTION In their best hypothesis, the IPCC (Intergovernmental Panel on Climate Change) has estimated that to limit the earth average temperature increase to a maximum of 2.4°C by 2050. The rate of greenhouse gases (in particular CO2) should be brought back down to between 50 to 80% of their level of before 2000. However, this hypothesis is certainly already obsolete (Climate change conference, 2009). Even with the actual economic crisis, the reference scenario of the International Energy Agency (IEA) has predicted in 2008 that the 2030 energy demand could exceed by 45% the level of the current demand so an annual increase of 1.6%. More than a half of this increasing demand is in China and India. The energy mix of these two countries implies that it is coal that will undergo the strongest increase of about 85% essentially for electricity production. As revealing figure, to maintain its development growth, China has to increase before 2030 its electricity production by 1300 GW, or more than the total power installed in the USA (IEA, 2007). The major part of this demand will be satisfied with the coal-based power plants, which emits 70% more CO2 than the gas ones, for example. Electricity has energy efficiency only between 0.3 and 0.5 compared to the primary energy and in 2002, 40% of the CO2 emissions were due to electricity generation (Goswami, 2007). A priority action must be taken to reduce electricity generation since global warming is essentially due to the fossil fuel using. ENERGY CONTEXT IN BUILDING We can consider roughly speaking that the energy demand in the world falls into approximately 1/3 for the building, 1/3 for the industry/agriculture and 1/3 for the transport. For the transport and industry, the potential savings are low. A great effort was already made in energy conservation, especially in developed countries. The research/development is only eroding the consumption and few gained savings are widely balanced by

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the increase of the transport fleet and industrial estate. Anyway, hydrocarbon fuel can hardly be substituted for those two sectors and will then remain the main source of energy for long time to come. Remain the huge potential of the building since about 70% of this demand concerns the heating/air conditioning. For example, in the USA, the energy consumption of the new houses can be reduced by 50% without practically any supplementary cost only by adopting a new concept of construction (NREL). On the average, every German low energy building ‘Passivhauss’ saves up to 80% on the heating energy and so avoids 2.4 tons of CO2 emission a year (Krarti, 2007). For the new buildings, the actual target is to reach by 2050 quasi-null fossil energy consumption with the needs reduced by about 70 % and consequently, the renewable energy contributing by 30% (Zero energy concept). Indeed, by keeping the current building consumption, substituting fossil fuels by renewable energies is technically practicable but economically illusory. Reducing energy consumption is giving a chance of success to the renewable energies. However, more than a half of 2050’s buildings are already built with a little or no energy preoccupation. Assuming a housing park yearly renewal rate ranging from 0.1 to 0.5% (developed countries rate), 200 to 1000 years would be needed to replace the current park of buildings. To fulfill the 2050’s objectives of CO2 reduction for Kyoto, it requires besides the transition to 'low energy' of all the new housing which will be in the meantime built, but also the renovation of the existing sector at the rate of 2 to 5% a year. Those goals are very far because numerous problems of costs and implementation. With estimated shipments of about 70 million units, the global market of room air conditioners (RACs) hit a high record in 2006. The global residential market, which includes windows, portables and moveable, represents about a 14% increase from the previous year (Wasaku, 2007). The total Mediterranean countries market can be estimated to 12 million units with a rapid grow of 10% year. In light of their easy implementation in existing buildings and relatively low cost, splits system units continued to be the largest market segment. Formerly, these equipment were reserved for the service sector only but are now accessible to the residential sector even in countries with lower income. Unfortunately, their energy efficiency is often proportional to their prices. World electricity consumption is expected to double by 2025 and a strong growth averaging 3.5 % yearly, is projected for the developing world. Robust economic expansion drives demand for electricity to run newly purchased home appliances and air conditioning. Cooling of residential buildings contributes significantly to this increasing electrical consumption and peak demand, mainly due to very poor load factors in milder and hot climates. This simultaneous energy demand in summer requires utilities to build, operate and maintain peak-power plants, and size their distribution network accordingly with a real risk of blackouts and energy shortage. To attenuate this problem, many countries set up a differential pricing system for the peak and off peak periods of electricity use. Actually, the human comfort is mainly obtained with use of electrical cooling. Potential energy saving in buildings is then crucial because each kWh saved is a kWh that is not needed to be produced. For each saved kWh, it is between 440 and 860 gCO2 that are not released in the atmosphere. Houses with very low energy consumption are built today and meet some success because the technical solutions can be easily integrated. There is no significant difference as regards the aesthetics, the rooms’ arrangement or the methods of construction. To reach this target of low energy buildings, three axes of intervention are followed: 1-Reduction of the energy consumption: by the constructive systems, the insulation of the opaque walls and the treatment of the transparent walls (windows). 2-Use of renewable energies, PV (photovoltaic) electricity, combined heating-warm water solar systems, heat storage, micro-network heat etc. 3-Efficient use of the fossil energy, double ventilation with heat recovery, compact HVAC systems, microcogeneration etc.

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Fig 1. Energy reduction demand is the most important step toward a sustainable energy (Hans, 2007) Whatever is the model used, any action must start with an important reduction of the energy demand in the housing. Figure 1 is a perfect didactic example. For the Mediterranean warm to hot climate countries, the problem of summer comfort can become essential. The principles of low energy building design must be modified to take into account the most important contribution of solar irradiation. This heat contribution reduces the thermal loads in winter but increases presently the problems of summer overheating. This aspect is particularly important because due to the endemic crisis of housing in many Mediterranean countries, buildings were built without any preoccupation with energy. However, with the actual development of the human comfort, these buildings are now equipped with air-conditioning and become very voracious consumers on electrical energy what lead to a boom on demand in the summer period. PCM IN BUILDINGS AND THE MILD CLIMATE PROBLEM The main issue with energy conservation is often the heat storage. Thermal storage could either take the form of sensible heat storage or latent heat. Latent heat storage is accomplished by changing a material’s physical state whereas sensible storage is accomplished by increasing a material’s temperature. To store the same quantity of energy smaller quantities of material are required for latent storage. This could be illustrated by using a common building material such as concrete, which has a sensible heat capacity for approximately 1.0 kJ/kg whereas a phase change material (PCM) such as calcium chloride hexa-hydrate can store/release 193 kJ/kg of heat on phase transition (Kenneth, 2000). A further advantage of latent is that heat storage and delivery occur at a constant temperature. An exhaustive review on PCMs characterization and their applicability to various devices and heating/cooling systems can be found in (Sharma 2005). The order-of-magnitude increase in thermal storage capacity for PCMs and their almost isothermal discharge allows the storage of high amounts of energy without significantly changing the temperature of the room envelope. This effect could be exploited to stabilize ambient temperatures inside buildings. Melting temperatures must be in range that is relevant to housing requirements. In buildings, thermal mass can be used to store energy and attenuate indoor temperature fluctuations. By minimizing deviations from the comfortable temperature range, the need for energy intensive heating and air conditioning can be significantly reduced. Nevertheless, the advantages of a thermally massive building often conflict with practical considerations in the design process. Aesthetics and cost pressure often require modern buildings to be increasingly lightweight. Solutions that increase the thermal mass of a building without increasing the structural weight are therefore particularly desirable. Incorporating PCM in buildings is a mean to increase artificially thermal mass of lightweight structures (Zalba, 2003) and (Zhang, 2007).

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The walls and ceilings for a building offer a large area for passive heat transfer within every zone of the building. So, incorporating PCM in building material like gypsum wallboards, plaster, concrete to increase the thermal mass seems to be an interesting idea. The manufacturing of phase change material PCM implemented in gypsum boards, plaster or other wall-covering material would permit the thermal storage to become part of the building structure. As heat storage takes place inside the building, where the load occurs, rather than externally, additional transport energy is not required (Neeper, 2000). Phase change materials have to be accessible from the rooms and the molten PCM must not soak construction materials. Therefore, they need some form of containerization in order for them to be used for thermal storage in buildings. Encapsulation is a containment method for PCM to avoid leakage or reacting and changing materials matrix. Several proposed systems encapsulate the PCM in building material in tubes, pouches or spheres. The drawback of this method is the poor heat transfer rate due to the low conductivities: freeze is only near the interface. Actually, the available commercial micro encapsulated PCMs are made with paraffin waxes embedded within small polymer spheres, about 10-20 μm in diameter. These are then mixed directly into the building material or facing wallboards. Significant PCM mass fractions, up to 30%, are achievable. The PCM is chosen to melt in the working temperature range of the thermal mass. The additional latent heat capacity for the distributed PCM increases the overall effective heat capacity compared with sensible storage alone, potentially allowing improved temperature attenuation from a smaller amount of the thermal mass (Khudhair, 2004). The micro-encapsulation in small spheres increases also heat transfer area since the surface to volume ratio increase (Gschwander, 2006), reducing the PCM reactivity towards the outside environment and controlling the change in the storage material volume as phase change occurs. Further, plastic encapsulation is safe as PCM is not in direct contact with the material. Incorporating PCM in gypsum plaster or gypsum wallboards has the advantage of great heat transfer surfaces in direct contact with the indoor temperature and avoids interfering with the structural strength of buildings. As the interior lining is usually made with multilayer gypsum plaster, PCM can be easily added to the plaster and installed both in new constructions and during the rehabilitation process of existing buildings with no additional cost (except for the material). Most of the promising results (Metivaud, 2004), (Castellon, 2006), (Imperadori, 2006) and (Ravikumar, 2008) were obtained in not very realistic situations. In these studies (mainly experimental and/or reduced scale), situations of wide outdoor day/night temperature variation allows to the PCM to swing widely around the melting temperature and so accomplish completely the charge/discharge cycle. The night ventilation with cooler outside air is generally sufficient to discharge and remove heat from the PCM. In another hand, (Stetiu, 1998) has found that the reduction levels in cooling needs when using PCM is not the same in the different California climates but is significant only in areas with very wide day/night temperature variation. Since the Mediterranean climate has some similarities with Californian, it is interesting to see if the same trends exist and conclude about the effect of PCMs in buildings of every day in this region. Tempered outdoor temperatures with a low day/night variation characterize this Mediterranean mild climate. The level of temperature is higher in southern seaside countries and less warm in northern side. In coastal cities, day/night temperature swings are only 3 to 5°C in July, August and early September. Further, high relative humidity could cause a real discomfort. Therefore, night ventilation is less effective and the higher outdoor night temperature does not allow to the PCM to discharge completely. The resort to mechanical cooling is generally required to provide acceptable summer comfort conditions. Our aim is to see how PCM can reduce or delay thermal loads in this kind of mild to hot climates and if an active cooling (air conditioning) can act as a cold source to discharge PCM. Particularly, we would reply to the following questions: - Where PCM is more efficient, in the relatively well or less insulated houses? - Where is best place for PCM wallboards, in walls or ceilings positions? THE BUILDING MODEL Among the numerous factors that influence energy consumption performance of dwellings and PCM integration, we can identify the following as key parameters:

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- Local construction systems. - Local climate: solar irradiation and ambient outdoor temperature. - Internal loads: the personal occupancy and electrical appliances (lights, TV, computers etc.). The studied case is a typical residential single-family house of 4 rooms and about 96 m2 total area. The constructive system is typical for south Mediterranean countries with a heavy envelope (solid concrete endterrace roof and brick walls). Windows shading in summertime is by roof eaves and Persian shutters (shade factor G=0.5). Table 1. Thermal characteristics of building components. Case U-value roof U-value exterior wall W/m2K W/m2K Standard 2.70 1.20 Insulated 0.75 0.64

U-value floor slab W/m2K 4.60 4.60

Exterior walls are the traditional double brick walls with an air gap for the standard configuration and 4 cm expanded polystyrene layer for the insulated case (see table 1 for building components thermal characteristics). These levels of insulation seem to be lower in comparison to continental European countries, but they are sufficient in Mediterranean region. When present, the PCM is embedded in wallboard of gypsum plaster of 30 mm thickness containing 26% mass fraction of paraffin and are set to the interior wall’s face or on the ceiling. The study is carried out for the case of Algiers, a typical coastal city with a mild-warm climate. The day temperatures are not very high even in the summer and the night ones are just lower. Relative humidity is often more than 70% in summer period. A space could be said to be thermally comfortable if the perceived temperature experienced by the occupants falls within a narrow temperature range about 23°C. The perceived temperature is not only determined by the air temperature, but depends also on diverse factors such as the radiating temperatures of objects in the room, air speed, humidity and occupant dress. However, it is often approximated by the average of the ‘dry bulb’ air temperature and the mean radiating temperature of the surfaces in the room (operative temperature). Natural windows ventilation is assumed for the nighttime cooling if the temperature of the room exceeds the ambient one. 2 Heating is with conventional radiators with 100 W/m power and the temperature is set to 19°C. Cooling is by 2 split system room air conditioner with 100 W/m power and is activated when the indoor temperature exceeds 26°C. The furnishing is typical and internal charges are fixed to 10 W/m2 with typical family hourly use distribution. Free ventilation is estimated to 1 volume change per hour.

RESULTS AND DISCUSSION The heat and cooling demand was determined by mean of dynamic thermal building simulation software (Valentine). Different cases of insulation and PCM integration are evaluated with the following criterions: - Space heat demand: the amount of energy that needs to be supplied to the house during one year to ensure an indoor temperature of 19°C in the building. - Useful cold demand: the amount of energy which needs to be removed from the building by active cooling system in order to confine indoor air temperature to a maximum of 26°C. Figure 2 shows the heating and cooling energies for the standard case (standard roof and exterior walls) and the insulated case (insulated roof and exterior walls). If PCM seems to have no influence on heating energy, demand, it reduces the cooling energy especially in the standard case. For heating, the switch temperature of the PCM is too high (26°C) so it is not reached in winter and then the PCM do not melt. It acts only as sensible heat storage and so is not efficient because the lower heat capacity for gypsum. In fact, the comfort temperature varies with the season, making the choice of PCM melting point non-trivial. It must be chosen and optimized initially at conception stage for heating or cooling purpose.

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Fig 2. Heating and cooling energy demand for the standard and insulated cases. The best performances are for the standard case for cooling. The non-insulated roof has a wider temperature variation because it receives solar irradiation during the day and emits radiation to the sky and transmits heat by free convection to the cooler outdoor ambient air at night. This variation is transmitted to the PCM, which experienced cycles of charge/discharge many days in the year, especially in the midseason. This effect is lesser in the insulated case because the temperature variations are less transmitted to the PCM because the additional resistance of the insulation. The mechanical cooling of the indoor temperature is not efficient for changing the state of PCM because the weakness of heat transfer by free convection.

Fig 3. Cooling energy demand for different configuration of insulation. Removing heat from PCM by conduction, even with low conductivity of gypsum (non insulated roof), is more efficient than by natural convection (insulated roof) because the poor temperatures gradient between wallboard interface and indoors air. The convective heat transfer coefficient is only about 5 W/m2°C. Anyway, regardless the presence of PCM, the insulation reduces with a factor of four the cooling demand. It is interesting to see where the PCM performs better relative to standard or insulated building components. In figure 3, cooling energy demand in a different configuration of insulation is displayed. As seen before, it is with standard construction and especially with non-insulated roof where PCM reduces more the cooling energy because the wide day/night temperature variations.

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The end of terrace roof as a flat area is exposed all day long to solar irradiation, unlike the exteriors walls which are partially irradiated, depending on their orientation. The PCM perform more on standard roof because the main part of heat enters from there to the building. Further, the ceiling is a clear area and then exchange directly heat by convection with room air without any obstacles like furniture as with walls. It has also a higher view factor and then a good exchange by radiation to the floor that is the cold source in summer. 25

4000 3500 3000 2500

15

2000 10

Cooling Gain % PCM Quant kg

5

1500

PCM Quantity [kg]

Gains [%]

20

1000 500

0

0 Ext Walls

Ceiling

Ceiling+Ext Walls

Ceiling+Ext Walls+Int Walls

Fig 4. Cooling energy gain and PCM quantities (standard case). Figure 4 shows the gain of energy cooling by incorporating PCM in different components and the amount of PCM material used (standard case). The investment cost is directly related to this quantity. We have the better gain/quantity ratio with PCM on the ceiling. Adding PCM on the exterior walls do not enhance the gain more than 4% but double the PCM quantity (and then the cost). However, for the economic efficiency analysis and length of the amortization period, rather than gains in percentage, it is the saved energy quantity that is of importance. Adding more PCM on internal walls does not enhance more the reduction but add more PCM quantity. PCM on internal walls acts only as sensible storage since their temperature is affected only by indoor temperature, which is almost constant at 26°C. Figure 5 displays cooling energy demand for some Mediterranean cities with the same house model. In fact, these results are only relative since construction systems are very different for each country. The same level of energy reduction with PCM incorporation is observed (between 20 and 30 %). Even with different levels of cooling demand, the same mechanism of PCM reduction exists. Somewhat great quantities of PCM are used for about 20% reduction on cooling energy in non-insulated buildings and less than 10% in insulated ones. This relative low performance of PCM in coastal Mediterranean climates is due to low day/night temperature swings. In this situation, nighttime ventilation strategies do not provide a really effective way for cooling the building and then discharging the PCM. Removing heat by mechanical cooling for discharging PCM is interesting only at periods where electricity energy is cheaper. To discharge completely the PCM, the indoor temperature must be widely down 26°C. This must be done efficiently only at night when the gradient with outdoor temperature is the least. In reality, PCM has not single switch temperature but rather a melting range. Figure 6 show variation of the heat capacity with temperature for a PCM that is rated 24°C melting point. About 90% of the melting enthalpy is located in a temperature range of 4°C. To be efficient, PCM need to cross frankly on both sides of the melting range. In fact, in the majority of the days on the year, PCM is only partially loaded and discharged that what their theoretical efficiency is diminished.

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Fig 5. Cooling energy demand with and without PCM in some Mediterranean cities (standard case). PCM is efficient only in mid-seasons (May, early June, September and early October) when daytime temperatures still hot but night temperatures become fresher. In fact, PCM only delays the resort to mechanical cooling for only really hot days.

Fig 6. Heat capacity as function of temperature for PCM Maxit Climat 24 (Schnieders, 2006). The main problem with gypsum wallboards is their lower conductivity (only 0.18 W/m2K) that cannot allow heat to diffuse away from the surface as quickly as in concrete for example (which have conductivity 10 times higher), and so heat accumulates in a surface boundary layer. The smaller temperature gradient between the air and the mass surface results in lower energy storage in comparison to concrete. However, even if the micro encapsulation of PCM in concrete is very effective, it may affect the mechanical strength of the concrete (Sharma, 2005). Since energy storage would be significant only in the first few centimeters (Richardson, 2008), adding PCM to concrete at walls surface seems to be a better solution because it improves the performance of energy storage without affect the structural requirements of the building walls. PCM needs to be applied only in a thin facing layer to achieve the thermal benefits. A solution is to mix PCM with cement mortar and use it in the rendering (coating) which is a common practice in southern countries. CONCLUSION In this study, incorporation of encapsulated PCM in material building as gypsum wallboards was investigated in Mediterranean mild climates in order to reduce cooling energy.

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PCMs are found to have relatively mitigated performances because those climates are characterized by low day/night temperature swings, which make nighttime ventilation inefficient of discharging the PCM. Removing heat by mechanical cooling for discharging PCM is relevant only if there is differentiated electricity price for off peak periods, otherwise it will be a null energy balance. Phase change materials can only store energy, but not remove it. Anyway, about 20% of cooling energy is obtained but with relative large quantity of PCM. An economic efficiency analysis must confirm the process profitability. The PCMs have better performance in non-insulated building and the better position is on surfaces that experience large temperature’s variation as those connected to the outside air. This potential can be exploited for the rehabilitation programs of existing buildings.

REFERENCES Castellón C., Nogués M., Roca J., Medrano M., Cabeza L. 2006. Microencapsulated phase change materials (PCM) for buildings. Ecostock Conference. New Jersey. Goswami D. Yogi and Kreith F. 2007. Global energy systems. Handbook of energy efficiency and renewable energy, CRC Press Taylor and Francis Group. Gschwander S. and Schossig P; 2006. Phase change slurries as heat storage material for cooling applications. Burek, S.: EuroSun 2006 Conference, Glasgow. Hans de Keulenaer and Rob van Gerwen. 2006. The passive house in the electricity of the future, Passive houses symposium 2006, Heusden-Zolder, Belgium. IEA, World energy outlook 2007, Publications de l’AIE, 9 rue de la fédération, Paris cedex. Imperadori M, Masera G., Iannaccone G. and Dell’Oro D. 2006. Improving energy efficiency through artificial inertia: the use pf phase change materials in light, internal components. 23rd Conference on passive and low energy architecture. Geneva, Switzerland. Kenneth I. and Gates J. 2000. Thermal Storage for Sustainable Dwellings. Sustainable Building 2000, 2225, Maastricht, Netherlands. Khudhair A.M. and Farid M.M. 2004. A review on energy conservation in building applications with thermal storage by latent heat using phase change materials. Energy Conservation and Management vol 45. Krarti M. 2007. Energy audits for building. Handbook of energy efficiency and renewable energy, CRC Press Taylor and Francis Group. Metivaud V., Ventola L., Calvet T., Cuevas-Duarte M. Mondieig D. 2004. Thermal insulation of buildings th using phase change materials. Annex 17, 6 Workshop, Arvika, Sweden June 2004. Neeper D.A. 2000. Thermal dynamics of wallboard with latent heat storage. Solar Energy 68: 393-403. Ravikumar M. and Srivinassan S. 2008. Natural cooling of buildings using phase change materials. International journal of Engineering and Technology, Vol 5, N°1. Richardson M.J., Woods A.W. 2008. An analysis of phase change material as thermal mass, Proc. R. Soc., 2008 464:1029-1056. Sharma S.D. and S. Kazunobu. 2005. Latent heat storage materials and systems: A review. International Journal of Green Energy, 2: 1–56. Schnieders J. 2006. Influence of thermal insulation and phase change material on energy demand and CO2 emissions in different European climates, PassivHauss Inst, www.corporate.basf.com/basfcorp. Stetiu C. and Feustel H. 1998. Phase-change wallboard and mechanical night ventilation in commercial buildings. Lawrence Berkeley National Laboratory. Report. LBL-38320. Wasaku Ishida. 2007. Overview of the world air-conditioning market. September Appliances Magazine. Zalba B., Marin J.M., Cabeza L. and Mehling H. 2003. Review on thermal energy storage with phase change materials: Materials, heat transfer analysis and application. Applied Thermal Engineering Vol 23. Zhang Y., Zhou G., Kunping Lin K., Zhang Q and Hongfa D. 2007. Application of latent heat thermal energy storage in buildings: State-of-the-art and outlook. Building and environment. Vol. 42. www.nrel.gov/buildings/analysis.html http://climatecongress.ku.dk/newsroom/congress_key_messages/

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EXPERIMENTAL ENERGY ANALYSIS OF A VAPOR COMPRESSION REFRIGERATION SYSTEM USING R134A/R290/R600 MIXTURE AS WORKING FLUID S.M.S. Mahmoudi, B.Farzaneh, A.Hajizadeh Aghdam Department of Mechanical Engineering, University of Tabriz, Tabriz, Iran [email protected] [email protected] [email protected]

ABSTRACT

An experimental study on the replacement of R134a in a vapor compression refrigeration system by new hydrocarbon/ hydrofluorocarbon refrigerant mixtures is presented in this paper. Based on experimental data parameters and factors of importance to the performance characteristics of the unit with this mixture have been compared to those with R134a. The hydrocarbon percentage was varied from 10 to 25 %.The results show that R134a/propane/butane mixture provides an excellent performance in terms of COP. For the same operating o o conditions an enhancement of 7.5% and 25% in COP was gained at Te= -30 C and Te= -10 C respectively. o o o Also having kept Te at -20 C, COP was improved by 7% and 10% as Tc was 15 C and 30 C respectively. In addition, the results support the possibility of using butane/ propane/ R134a mixture in domestic refrigerators designed to work with R12. With this change of working fluid there will be no need to change the lubricating oil of the compressor, the mixture will not harm the ozone layer in the atmosphere and the Global warming potential (GWP) of the working fluid will be greatly reduced. Keywords: energy, R134a/propane/butane mixtures, vapor compression refrigeration 1. INTRODUCTION

Following the Montreal protocol, the developed countries have already phased out CFCs and the developing countries are due to do the same by 2010. Among the alternative refrigerants available, HFC-134a is not miscible with conventional mineral oil and the substituted POE oil is highly hygroscopic and expensive. On the other hand, HC blends have the problem of flammability and consequently limitation in the charge quantity due to safety (fire hazard) regulations [1]. M. Formeglia et al, used a mixture of HFC and HC to replace R12 in domestic refrigerators. They reported that it is possible to mix hydrocarbon refrigerants with other alternative refrigerants, such as HFC, to replace R12 in domestic refrigerators [2]. The flammability disadvantage of HCs can be reduced by mixing with HFCs [3]. The COP of the domestic and commercial refrigeration systems have been reported to be increased by 10–20% with the use of HC blends that contain HC600a and HC-290. This HC mixture has been taken as a viable additive to HFC-134a to work with mineral oil compressor [4]. Regarding the compressor lubrication, Janssen and Engels have reported that a minimum of 5% HC is to be added to take care of oil return [5]. Hammad and Alsaad looked at replacing R12 with four ratios of propane, butane and isobutene. The parameters investigated were the evaporator capacity, the compressor power, the coefficient of performance and the cooling rate characteristics. Their work showed that a mixture of 50% propane, 38.3% butane and 11.7% isobutane was the most suitable of the hydrocarbon mixtures investigated [6]. Akash and Said studied the performance of LPG (30%propane, 55% n-butane and 15% isobutene by mass fraction) as an alternative refrigerant for CFC-12 in domestic refrigerator with various mass of the mixture. The results showed that cooling capacity could be three- to four times higher than that for R12 [7]. Sekhar et al, carried out an investigation to retrofit a CFC-12 system to eco-friendly system using HFC134a /HC290 /HC600a without changing the mineral oil and found that the new mixture could reduce the energy consumption by 4 to 11% and improve the actual COP by 3 to 8% compared to that of CFC-12 [8]. Tashtoush et al, carried out an experimental study on the performance of domestic vapor compression refrigerators with new hydrocarbon/ hydrofluorocarbon mixtures as refrigerant for the replacement of CFC-12. The results revealed that a mixture of butane, propane and HFC-134a gave a slightly an efficient performance. However with this mixture same enhancement was achieved regarding the volumetric efficiency of the compressor. 2. EXPERIMENTAL DETAILS A schematic diagram of experimental apparatus used for this study is presented in Fig.1. The system had been designed to work with R12 and with some modifications it could be used to work with R134a. The general view of refrigeration unit has been shown in Fig. 2. Also, in order to determine the performance characteristics of the refrigeration system, a thermodynamic model was developed utilizing the equations of state for R134a, and for

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a mixture of R134a, R600 and R290 with different component percentages to evaluate thermodynamic properties at different states.

Fig.1. Schematic diagram of the refrigeration unit

Fig.2. General View of the refrigeration unit

Work Procedure Experiments were carried out with different working fluids. These fluids were R134a and multi-component refrigerant consisting of R134a and R600 and R290 with various contents of hydrocarbons. The mass fractions for R134a/R290/R600 used in mixtures were; (90% / 5% / 5%), (85% / 7.5% / 7.5%), (80% / 10% / 10%), and (75% / 12.5% / 12.5%). A parametric study was carried in order to specify the effect of evaporator and condenser temperature on the performance characteristics of the system. Evaporator temperature was varied o o o o from -30 C to -10 C and condenser temperature range was 15 C to 30 C. Only one parameter was changed in each test. The readings were done when the system was working under steady state condition. As the working pressure is increased with changing the refrigerant from R12 to R134a or the mixtures, the connection lines were tested to avoid leakage. A ten point electronic thermometer with copper-constantan o thermocouples (Type 1621) with an accuracy of ± 0.5 C were used to measure the temperature of the

2

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refrigerant at inlet/outlet of each component of the system. Pressures were measured using calibrated pressure gauges with an accuracy of ± 10 kPa. Two flow meters were used to show refrigerant and cooling water mass flow rates with an accuracy of ± 0.25 g/s and ± 1 g/s respectively. The range and accuracy of equipment used in the experimental set up are summarized in Table.1. Therefore, the accuracy in the calculated refrigeration capacity, COP and second law efficiency is in the order of 2, 3 and 2 percent respectively. Table.1. Range and accuracy of the equipment used in the test setup

Item

Range

Accuracy

-60 to 160

± 1 oC

-100 to 600

± 5 kPa

Pressure gauge 2 Refrigerant flow meter

0 to 1600 0 to 14

± 10kPa ± 0.1 g/s

Water flow meter

0 to 50

± 0.2 g/s

Voltmeter

0 to 250

±1V

Ammeter

0 to 10

± 0.05 A

Temperature Pressure gauge 1

3. THERMODYNAMIC ANALYSIS The coefficient of performance of a vapor-compression refrigeration cycle is an important system performance indicator. It represents the refrigeration effect per unit of compressor work required and is expressed by;

COP =

qe w comp

(1)

Where, q e is the refrigeration capacity and calculated as:

q= h 6 − h5 e

(2)

And w comp is the adiabatic compressor work and obtained from the following

( h2 − h1 )

w comp =

Where, the enthalpy difference ( h2 − h1 ) is proportional to the actual compressor input power.

(3)

4. RESULTS AND DISCUSSION In the present work experiments were conducted for mixture proportions of 10, 15, 20 and 25% HC blend (by weight) in HFC134a. These mixtures are further referred in this paper as M10, M15, M20 and M25 mixtures.

The parameters evaluated and compared included the refrigeration capacity, Qe the compressor work, Wcomp , COP, in the present study are plotted vs. the evaporating temperature, Te vs the condensing temperature, Tc, as shown in Figs. 3-7 A. Effect of Evaporator and Condenser Temperature on refrigerating capacity The refrigeration effect is the main purposes of refrigeration system. The liquid refrigerant at low pressure side enters the evaporator. And as passes through the evaporator, it boils and absorbs heat, from the surroundings. Finally the entire refrigerant have evaporated and superheated before entering the compressor. Fig. 3 shows o the variation of the refrigeration capacity with evaporator temperature at a condenser temperature of 25 C. At this condition the cooling water flow rate was 22 g/s. It shows that the refrigeration capacity increases with

3

531


increasing Te for all refrigerants. It is also evident that the mixtures with higher concentration of HC exhibit a

Qe . However this increase of Qe is pronounced more with a lower concentration of HC, so that as the HC concentration in the mixture increases from 1000 to 550 percent. Regarding the Qe variation higher value of

decreases from 10 to 16 percent. Regarding the variation of HC concentration in the mixture, it is found that at a specific Te the increase of q e as a result of an increase in HC concentration is higher at higher Te (Fig.4). At any specific Te, higher concentration results higher value of

Qe due to higher latent heat of evaporation of HCs.

The increase in Qe at lower Te is relatively less than that at higher Te.

M25

M20

M15

M10

Te=-30

R134a

Te=-25

Te=-20

Te=-15

Te=-10

800

800

600

Q'e(w)

Q'e (w)

600

400

400

200

200

-28

-24

-20

-16

0 0/0/100

-12

Te(°c)

5/5/90

7.5/7.5/85

10/10/80 12.5/12.5/75

R600/R290/R134a (%)

Fig.3. Effect of evaporator temperature on Q



Fig.4. Effect of Hydrocarbon percentage on Q at various 

e

e

groups of evaporator temperatures (˚C)

at 25°C condenser Temperature

Fig.5 shows the variation of refrigeration capacity Qe with condenser temperature at a Te of -20 C and o

condenser water flow rate of 22 g/s for the various refrigerants. It can be clearly seen from this Fig. both for R134a and the hydrocarbon mixture, the refrigeration capacity is reduced as the condenser temperature increases which is expected due to an increase of pressure ratio through the compressor and consequently a reduction of refrigerant mass flow rate through the cycle. M25

M20

M15

18

21

24

M10

R134a

315

Q'e(w)

300

285

270

255

240 15

Tc (°c) 

27

30

Fig.5. Effect of condenser temperature on Qe at -20 °C evaporator Temperature

4

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B. Effect of Evaporator and Condenser Temperature on Coefficient of Performance The coefficient of performance of a refrigeration cycle assesses the cycle performance and is a major criterion for selecting a new refrigerant as a substitute. The variation of COP with Te is shown in Fig.6 for all the refrigerants used. Better COP is achieved with higher evaporation temperature and HC concentration as indicated in Fig.7. The change of COP with condenser temperature which is shown in Fig.8 is similar for all the refrigerants used. It decreases as the condenser temperature increases as expected. This Figure also indicates that an increases of HC concentration results in an increase of COP. M25

M20

M10

M15

R134a

Te=-30

Te=-25

Te=-20

Te=-15

Te=-10

6

5

5

4

4

COP

cop

6

3

3

2

2

1

-28

-24

-16

-20

0/0/100

-12

5/5/90

7.5/7.5/85 10/10/80 12.5/12.5/75

R600/R290/R134a (%)

Te(°c)

Fig.6. Effect of evaporator temperature on COP at 25°C Condenser Temperatures M25

Fig.7. Effect of Hydrocarbon percentage on COP at various groups of evaporator temperatures (˚C)

M20

M10

M15

R134a

4

Cop

3.5

3

2.5

2 15

18

24

21

27

30

Tc (°c)

Fig.8. Effect of condenser temperature on COP at -20°C evaporator Temperature

C. Effects of heat exchanger on COP All the experiments were repeated with the heat exchanger in use (Fig.1). Because of limitation in page numbers only those results which are associated with the effects of heat exchanger on COP are presented here. Fig.9 shows these results. In general no matter of the working fluid, presence of the heat exchanger and/or having a higher amount of HC concentration improves the first law efficiency of the system. From the figure it can be concluded that the increase of COP, due to an increase of HC concentration, is comparatively higher when the heat exchanger is used.

5

533


Te= -20 Without H.E.

Te= -20 With H.E.

4.5

4

COP

3.5

3

2.5

0/0/100

5/5/90

7.5/7.5/85 10/10/80 12.5/12.5/75

R600/R290/R134a (%) Fig.9. Effect of Hydrocarbon percentage on COP efficiency at Tc = 25

o

C and Te=-20 oC

5. CONCLUSION A parametric study was performed in order to evaluate the effects of different parameters such as Te, Tc, and HC concentration on Qe , first law efficiency. Based on the experimental results the following conclusions are

drawn. The following conclusions were obtained a mixture of R134a/R290/R600 with a mass fraction of 75%/12.5%/12.5% respectively was utilized in the system instead of R134a and there was no heat exchanger used in the cycle. • Adding hydrocarbons to R134a enhances first law efficiency of refrigeration system. • Utilizing mixtures of R134a and hydrocarbons makes possible to use mineral oil instead of POE oil. • Better performance is achieved at higher evaporator temperature and higher HC concentration. o o • At Tc = 25 C increases of 51% and 167% in refrigeration capacity was achieved at Te = -10 C and Te = -30 o C respectively o o • At Te = -20 C, an increase of 10% and 30% in refrigeration capacity was obtained at Tc = 15 C and Tc = 30 o C respectively. o o • A COP enhancement of 7.5% and 25% was gained at Te = -30 C and Te = -10 C respectively. o o o • Having kept Te at -20 C, COP was improved by 7% and 10% when Tc was 15 C and 30 C respectively. o o o • At Tc = 25 C a decrease of 16 and 9 percent was achieved at Te = -30 C and Te = -10 C respectively. Nomenclature COP CFC

Coefficient of performance chlorofluorocarbon

HFC HC

hydrofluorocarbon hydrocarbon

refrigeration effect……..(kj/kg)

h

enthalpy………….....(kj/kg)

Compressor work..……. (kj/kg)

Qe

refrigeration capacity…(kw)

entropy……………........(kj/kg)

w

compression work ....(kj/kg)

Compression power…….. (kw)

Ve

POE Polyol Ester LPG liquid petroleum gas o Te Evaporator temperature..... ( C )

qe w comp s

Wcomp M10 M15

m mass flow rate……….(kg/s) GWP Global warming potential o Tc Condenser temperature..( C )

voltage……………..….......(V)

R134a/Propane/Butane mixture with (90/5/5) mass fraction R134a/Propane/Butane mixture with (85/7.5/7.5) mass fraction

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M20 M25

R134a/Propane/Butane mixture with (80/10/10) mass fraction R134a/Propane/Butane mixture with (75/12.5/12.5) mass fraction

Subscripts comp compressor ex expansion valve i inters r refrigerant

cond ev e w

condenser evaporator exits water

REFERENCES [1] S. J. Sekhar, D.M.Lal, HFC134a/HC600a/HC290 mixture a retrofit for CFC12 system, International journal of refrigeration 28(2005) 735-743. [2] M. Formeglia, A. Bertucco, S. Brunis, Perturbed hard sphere chain equation of state for applications to hydrofluorocarbons, hydrocarbons and their mixtures, Chem. Eng. Sci. 53 (17) (1998) 3117–3128. [3] R.N. Richardson, J.S. Butterworth, The performance of propane/isobutane mixtures in a vapourcompression refrigeration system, Int. J. Refrig. 18 (1) (1995) 58–62 [4] S. Devotta, M. Murthy, N. Sawant, Performance of two door refrigerators retrofitted with a HC blend, IIF– IIR commission B1, B2, E1 and E2. New Delhi, India; (1998) 210–220. [5] M. Janssen, F. Engels, The use of HFC134a with mineral oil in hermetic cooling equipment. Report 95403/NO 07. Presented in the 19th international congress of refrigeration, The Hague; August 1995. [6] Hammad MA, Alsaad MA. The use of hydrocarbon mixtures as refrigerants in domestic refrigerators. Appl. Therm. Eng. 19 (1999) 1181-1189. [7] Akash BA, Said SA. Assessment of LPG as a possible alternative to R-12 in domestic refrigerators. Energy Conv. Manag. 44 (2003) 381-388. [8] S.Joseph Sekhar,D.Mohan Lal,S.Renganarayanan, Improved energy efficiency for CFC domestic refrigerators with ozone-friendly HFC134a/HC refrigerant mixture, International Journal of thermal Science 43(2004) 307-314.

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ENVIRONMENT IMPACT FROM ASH DISPOSAL OF THE THERMAL POWER PLANT KOSOVA “A” Sabri AVDULLAHI1, Islam FEJZA1, Raif Bytyqi2 1

Faculty of Mining and Metallurgy, University of Prishtina, Mitrovica- Kosova 2 Institut “INKOS” Environment Department, Prishtina, Kosova [email protected], [email protected], [email protected]

ABSTRACT

Mining activities impact on environment is as old as these activities themselves. There are several stages in the mining evolution in what regards human impact on the environment with different intensities and developments. The paper discusses the problems of the environment pollution from ash disposal coal at the thermal power plant ‘Kosova A”. Geologically, Kosova’s lignite mines exploit one of the most favorable lignite deposits in Europe. The average stripping ration 1.7m3 of waste to one tone of coal and the total estimated economically exploitable resource represents one of the richest in Europe, which would allow ambitious power generation and expansion schemes in forthcoming decades. The lignite is of high quality for the generation of electricity and compares well with the lignite resources of neighbouring countries on a range of parameters. Kosova’s lignite varies in net calorific value (NCV) 6.289.21 MJ/kg, averaging 7.8 MJ/kg. The deposits (Pliocene in age) can be up to 100 m thick, but average 40m, and possess an average strip ration of 1.7 – 1. Kosovo Thermal Power Plant which is situated near Prishtina presents major industrial capacity production in our country. From their production capacity after coals is burned a huge amount of ash is obtained, which is disposed near of the thermal power plant. The management of fly ash produced by coal fired power plants remains a major problem in many parts of the world. It is estimated that thermal power plants in Kosova produce about 1.6 million tons of ash per year, and all ash produced is disposed as waste material. The main problem for environment pollution are the ash dumps containing more than 40 million tons of ash covers about 150 ha of land, as well as the pits created during the coal extraction in the lignite open pit mines. The ash dumps sites of the thermal power plant Kosovo “A” which is situated among settlement presents one of the most serious problems in the environment and is one of the potential dangers for underground and surface water. Key words: coal mining, ash dumps site, water quality, impact assessment INTRODUCTION The electric power system in Kosova currently bases on two neighbouring opencast mines, located near Pristina. The mines supply two thermal power plants (Kosova A and Kosova B), constructed between 1964 and 1985 in the direct vicinity of the mines (Fig. 1). The currently operation mines of Bardh and Mirash, with remaining lignite reserves of less that 30mt, cannot provide the long-term service security due to insufficient lignite reserves (Atanackovic M. 1977).

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Fig.1. Surface model of area under review The two thermo power plant and the overburden and ash deposits are also indicated in the fig 2, as well as the location of selected villages and the main watercourse Sitnica River (Avdullahi et al., 2008). Kastrioti is the major settlement, a small town of about 33.000 lying about 8 km west of Prishtina. Kosova A power plant is less the 2 km SE of Kastrioti, the ash storage facilities are south of the plant such that the current area of deposition of ash is about 4 km from the centre of Kastrioti. Kosova B power plant lies immediately to the northwest of Kastrioti. The ash dumps of Kosova B power plant is situated closely north of the powerhouse, to the west bordered by the Sitnica River, which in the area of consideration generally flows towards north.

Fig.2. General mine layout with main features, overburden and ash dumps ASH DUMP POWER PLANT “KOSOVA A” The ash dumps of Kosova A power plant is situated immediately SE of the plant side. The volume of 3 3 deposited material is estimated to about 34 Mill m of which 30 Mill (~20 Mill m ) would be ash, leaving the 3 2 overburden volume to ~14 Mill m . An area of 1.52 km are covered by ash, 0.69 km2 by overburden states a total area of 3.2 km2, including the slurry ponds (Fig. 6). Besides the overburden, the ash of both of the thermo power plant was also dumped on outside dumps for a long time (Anonym. 2003). Whereas the ash dumping of thermo power plant Kosova B has been changed to 537


inside spoiling in the residual hole of the former Mirash-East mine, the ash of thermo power plant Kosova A is still dumped on an outside dump located in the D-Field in direct vicinity of thermo power plant Kosova A. The high dust emission from the ash dump is a great impact to the environment (Blasing, et al., 1996). The place of this dump was already used for overburden in the past. In the southern part of the dump, the overburden material forms the basis of the ash (Denih et al., 1990). Presently the dry ash is dumped by two spreaders, in former times ash was also pumped via pipes (Karin et al., 2003). Basically the dump can be divided in three main parts: -The northern section consists of 20 to 30 m high wet ash dump. Only small deformations can be observed without any negative aspects to the public safety. While the slopes are naturally re-greened, the flat surface is more or less barely covered. -South of the wet ash dump follows the middle section of the ash dump, built from dry ash. This part of the ash dump is about 10 to 20m, partly 30m high and covers a former underground mining area. One of problems is the old underground galleries extend over the ash dump (Fig. 4). -The southern section of the ash dump is the current operating area. The dump is divided into 2 parts the south-eastern and the south-western wing. The height of the dump comes up to 40m. Just in the last year the south-eastern slope of the eastern wing has been shaped and a sprinkled since then. That’s why considerable dust pollution results from the ash dump, especially when the weather is dry and windy. Because of the dipping basis of the dump and the contact of the dumped overburden stability problems occurred in the last years, which lead to ash and overburden displacements and cracks in the ash body. (Fejza et al., 2007) Caused by the creeping overburden some private properties at the western boundary of the dump are endangered (Fig. 3). Another environment aspect is the contamination of the ash and the underground with phenol and other byproduct gasification plant (Tremblay 2000). These chemicals have been discharged in the ash dump and the old underground mining galleries lying below the dump.

Fig.3. Slope movements and endangering of private properties

EXPLORATION IN THE ASH OF THERMAL POWER PLANT KOSOVA A In the ash dump of thermal power plant Kosova A are made a total of 16 drilling. The total drilling length is 785 m. Drilling locations are shown on the map (Fig. 5). In addition, 60 are also used by the drilling campaign of the past research in this area with the purpose of evaluation and geological interpretation.

Fig.4. Active ash dump area and structures of old mining galleries

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Fig.5. Overview map ash dump and overburden dump Dragodan

Fig.6. 3D-Illustration of the thermo power plant Kosova A ash dump from south west

Investigation of Core Samples Geotechnical analyses in samples are taken from the new drilling: CLR, 2, 3, 4, 6, 7, 8, 9, 10, 11, 12 and 13, was made by INKOS's. In these tests has been done measuring the pH value and percentage of capacity for sharing cation Ca, Mg, C, and us, and sulphuric, arsenic, index phenol and heavy metals (Ni, Cr, Pb, Cd, and Hg) (Ensminger, et al., 1998). Samples are taken from all formations encountered and include humus in up to 81 m depth below ground (Tab 1).

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Table.1 Summary of geochemical analyses made on drill hole core material Parameter No of samples Maximum Minimum H2O 147 11.6 5.8 pH KCl 147 11.5 5.2 Cation Ca 147 27.9 1.5 Exchange Mg 147 3.8 0.02 Capacity in KCl 147 0.9 0.1 ME/100 g Na 147 1.6 0.1 147 32.9 2.8 Total S 137 15,724.3 44.5 Ni 137 655.6 39.7 Cr 137 1,798.9 116.0 in mg/kg Pb 137 404.3 16.7 Cd 137 127.1