Sustainability and Public Engagement in Mining

Journal of Earth Science and Engineering Volume 5, Number 5, May 2015 (Serial Number 44)

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Publication Information: Journal of Earth Science and Engineering is published monthly in hard copy (ISSN 2159-581X) by David Publishing Company located at 1840 Industrial Drive, Suite 160, Libertyville, IL 60048, USA. Aims and Scope: Journal of Earth Science and Engineering, a monthly professional academic journal, covers all sorts of researches on (but not limited to): physical geography (soil science and remote sensing), geology, geophysics, geochemistry, geobiology, atmospheric science, marine science and space physics, etc.. Editorial Board Members: Prof. Bernhard Lucke (Germany), Prof. Nalin Chandra Wickramasinghe (UK), Dr. Zhankun Wang (USA), Prof. Manoj Khandelwal (India), Prof. Gupta Surya Prakash (India), Prof. Sergei V. Vickulin (Russia), Prof. Abdullah Abdulqader Noman (Yemeni), Prof. Evens Emmanuel (Haiti), Prof. Adina-Eliza Croitoru (Romanian), Prof. Xubo Gao (China), Prof. Abdalla Abdelsalam Ahmed (Sudan), Prof. Marco Scaioni (Italy), Prof. Tapan Kumar Nath (Japan), etc.. Manuscripts and correspondence are invited for publication. You can submit your papers via web submission, or E-mail to [email protected], [email protected] or [email protected]. Submission guidelines and web submission system are available at http://www.davidpublisher.com. Editorial Office: 1840 Industrial Drive, Suite 160, Libertyville, IL 60048, USA Tel: 1-323-984-7526, 323-410-1082 Fax: 1-323-984-7374, 323-908-0457 E-mail: [email protected]; [email protected]; [email protected]. Copyright©2015 by David Publishing Company and individual contributors. All rights reserved. David Publishing Company holds the exclusive copyright of all the contents of this journal. In accordance with the international convention, no part of this journal may be reproduced or transmitted by any media or publishing organs (including various websites) without the written permission of the copyright holder. Otherwise, any conduct would be considered as the violation of the copyright. The contents of this journal are available for any citation. However, all the citations should be clearly indicated with the title of this journal, serial number and the name of the author. Abstracted/Indexed in: Database of EBSCO, Massachusetts, USA Chinese Database of CEPS, Airiti Inc. & OCLC Cambridge Science Abstracts (CSA) Ulrich’s Periodicals Directory Summon Serials Solutions ProQuest Subscription Information: Price (per year): Print $520, Online $320 Print and Online $560 David Publishing Company 1840 Industrial Drive, Suite 160, Libertyville, IL 60048, USA Tel: 1-323-984-7526, 323-410-1082; Fax: 1-323-984-7374, 323-908-0457 E-mail: [email protected]

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David Publishing Company www.davidpublisher.com

Journal of Earth Science and Engineering Volume 5, Number 5, May 2015 (Serial Number 44)

Contents 271

3D Virtual Experience with a Transformation of the Historical Canadian Fortress in the Latest Technology Mitsuyoshi Yabe, Elizabeth Goins, Chris Jackson, David Halbstein, Shaun Foster and Sue Bazely

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Sustainability and Public Engagement in Mining: The Role of Engineers Marcello M. Veiga and Christopher Tucker

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Design of Metering Device Key Parts of Pneumatic Grass Seeder Zhai Gaixia, Wang Zhenhua, He Gang, Liu Guilin and Yang Li

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Reliability Improvements to Centrifugal Pump Performance in Conjunction with Inducers, CFD Comparative Study Said A. F. Hawash, Dalia M. S. El Gazzar and Mohamed A. El Samanoudy

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Air Ionization and Its Effects on the Health—An Outline of a Research Project Massimo Scalia, Massimo Sperini, Gualtiero A. N. Valeri and Vincenzo Isabella Valenzi

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Differences Description of the Two Different Squares of Taksim Turkey and Vatican Rome in View of Architectural Design Criteria Kevser Incı Erturk

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Institutions as Tools of Public Policy: A Comparative Asian-Sub-Saharan African Post War Development Munetsi Mandere

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Journal of Earth Science and Engineering 5 (2015) 271-279 doi: 10.17265/2159-581X/2015.05.001

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3D Virtual Experience with a Transformation of the Historical Canadian Fortress in the Latest Technology Mitsuyoshi Yabe1, Elizabeth Goins2, Chris Jackson1, David Halbstein1, Shaun Foster1 and Sue Bazely3 1. Department of Visual Communication Design, Rochester Institute of Technology, Rochester 14623, New York, USA 2. Department of Cultural Materials Science and Fine Arts, Rochester Institute of Technology, Rochester 14623, New York, USA 3. Cataraqui Archaeological Research Foundation, Kingston K7L 1E1, Ontario, Canada Abstract: The paper examines thoroughly how utilizing the latest technology, such as a PC (personal computer), an iPad, or an iPhone, can entertain many people and allow them to learn about the archaeological findings that have become broadly available through the application of new technology. The paper assesses web usage through the difference in availability and convenience of PC and compact devices by connection to 3D augmented reality applications. Modern technology has allowed access to this information to become radically altered, whereas historical records and remains are dwindling. However, the development of 3D technology means that the general public can experientially pursue the dignity of historical buildings. It also becomes easier through the use of the latest technology to decipher the effectiveness of people’s interaction with inclusive descriptions of the documentation. This research aims at verifying the visualization of Fort Frontenac by the use of a chronological renovation process. This paper is composed of five elements: an introduction, the historical records about the necessity of 3D modeling, heritage visualization by means of 3D modeling, web design, and iPad and iPhone usage, a comparison of the architectural change that occurred in the restoration of Fort Frontenac, and conclusions. Key words: Heritage visualization, 3D computer graphics, interactive virtual design, web design, iPad and iPhone use.

1. Introduction The aim of this project was to focus on how to compare the effective use of most representative technological devices, such as a computer and an iPad, which are prevalently used in modern times, to traditional research and heritage visualization and representation done on historic sites. The PC (personal computer) places a computer on the desktop, which can allow a user to watch video clips and interactive sceneries on a webpage. On a wide screen, a PC can give users time to learn the details and depth of history of the chronological changes in the fort’s renovation. Compact devices, such as an iPad or an iPhone, were designed to let users flexibly move around a particularly trackable sheet in a 360-degree view generating a 3D augmented reality while having Corresponding author: Mitsuyoshi Yabe, scientific illustrator, research field: heritage visualization. E-mail: [email protected].

a dynamic and thrilling experience in the middle-age world when Fort Frontenac was erected. These tasks are difficult because there is limited information and only a small amount of archaeological remains from the original fort. The existing archaeological and historical records regarding Fort Frontenac are limited in their release to the public. When this research was conducted, the Kingston Archaeological Centre had held important exhibitions of the valuable documentation, but the exhibition had already closed, and its reopening looked uncertain. While the original maps and plans of Fort Frontenac are incomplete, a fertile imagination and computer graphics design skills are vital to helping correct false assumptions regarding historical viewpoints. For example, questions need to be asked, such as what were the colors of the buildings? Color may be involved with an overly subjective viewpoint. Moreover, the 3D restored constructions have the

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3D Virtual Experience with a Transformation of the Historical Canadian Fortress in the Latest Technology

advantage of clearly conveying a true picture of the erected fort at that time to not only researchers, but also to various scholars and lay people, in spite of several difficulties. It is also worth scrutinizing the concept that the restored fortress rendered in 3D technology can be broadly delivered to people by means of a website and the use of an iPad or an iPhone.

2. An Expansion and Reinforcement of Fort Frontenac 2.1 Historical Background Fort Frontenac was an important military fortress for the security of the new colony of Lake Ontario, and the fur trading post that was built in Kingston, Ontario, Canada in 1673, ostensibly to secure the fort as a French trading post, protect the Iroquois, and prevent fur trade by English and Dutch merchants. However, the fort’s real purpose was to serve His Majesty the French King, Louis XIV, and to expand French settlement in America through internal exploration and Christian missionaries in favor of smooth trade [1]. The fort was changed four times, initially by replacing the log palings with masonry walls and adding bastions while it was involved in frequent outbreaks of fighting with the Iroquois. When the renovation of the fort was completed, it became a large, impressive building. However, the newly reconstructed edifice was destroyed in 1689, but was then later reconstructed in 1695 to make military activity and accommodation stronger. Over the course of 50 years, the fur trade gradually became more unprofitable, and the fort was conceded to British forces during the Seven Year’s War in 1758, who devastated it. The fort was never rebuilt, and was subsequently abandoned because the fortification was no longer needed. New buildings and streets were then erected above its ruins for more than a hundred years. In 1983, archaeological research finally successfully excavated only a small portion of the fort, the northwest bastion (Fig. 1). The fort was designated as

a Canadian National Historic Site and a part of the northwest bastion was reconstructed in 1984 [2, 3]. 2.2 Situation Analysis The following main output of this project captured the important features of the fort restoration in chronological order and was then spurred to adapt the results using modern technology. The question was raised about how the features of the outpost could be well adapted in 3D computer graphic software used for modeling and then represented on a website through videos and interactive sceneries, as well as through the use of compact devices for 3D augmented reality. (1) Changes in the Walls: As time passed, the width of the walls became obviously broader when the fort was being renovated, whereas the height of the walls remained the same. This information resulted

Fig. 1 Old map of surroundings around Fort Frontenac in 1685 © provided by Mrs. Susan Bazely, Copyright 2015 [4].


from a clear relationship between the height and weight of the fortress walls in context to the fact that the fort was constructed for the number of garrisons required. In 1673, there were 400 men who inhabited the fort, including soldiers, traders and French inhabitants, and by 1685, that number had increased to 2,000 men [1]. The number of garrisons was not clear, but the garrisons would have increased in proportion to the total of all of the men participating in the fort [5]. (2) Increases in Buildings: In 1673, the buildings constructed included the following: a well, two storehouses for provisions and ammunitions storage, as well as log palisades whose north and south sides were forty-six feet and whose other sides were twenty feet in length. On the other hand, in 1688, buildings constructed inside the fort included the following: a large tower and four small towers, wooden platforms and scaffolds, a wooden bridge, a masonry gate, and full limestone curtain walls with many casements and loopholes [6]. The increase in the number of buildings which had to be strongly reinforced was due to the improvement of military services and interior exploration. As the number of buildings inside the fort increased, the reinforcement of the buildings also increased and their materials became stronger and more highly qualified for the task. (3) Outpost: The French tried to make the fort attractive to the native people inhabiting the immediate vicinity of the fort, but the Indians were more interested in the fort’s economic purpose for furs and goods rather than the fort’s physical presence. They usually passed by the fort for beaver hunts without astonishment [1]. (4) Design Ideation: In order to achieve a true picture of Fort Frontenac as it existed in the past and then allow it to be analyzed and rendered with cutting-edge technology, such as a website and an iPad, meticulous research was required via historical maps, plans, and an examination of the architectural styles of the fort. A physical visit and an

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archeologist’s opinion were more beneficial to enhancing this exceptional research. The dates that this researcher visited Kingston, Canada, were December 3rd, 2013 and September 26th, 2014 (Fig. 2) in order to photograph and glean information about the target fort. Moreover, a consultation with a local archaeologist, Mrs. Susan Bazely, was well worth the opportunity to share her knowledge, and experience in archaeological research, as insights for research development. A good guide for the ensuing 3D modeling using Maya software was to set up to scan drawings and blueprints during this visit. The following practical software was essential to building models of the fort: Adobe Photoshop, Crazy Bumps, and Autodesk Maya. The exterior of the fortress was constructed in five steps which included the following years: 1673, 1675, 1680, 1685, and 1688. The 3D modeling techniques used included polygon modeling, shading, and lighting. The textures of the buildings were shaded, and the background of the buildings and its surrounding environment were added by lighting adjustment. The completed models were rendered to produce video clips and interactive animations through camera movement, which were set in motion as a 3D camera was placed to create a bird’s eye-view and a 360-degree view from the fort [7]. Interactive sceneries in Adobe Flash were devised to provide an effective way to implement visual communication and learning through the use of a mouse. The interactivity was integrated into the 3D

Fig. 2

The remains of Fort Frontenac.

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models of the fort with unseen clickable buttons in order to allow the viewer to learn more about the fort’s structure and historical importance. The interactive sceneries were imported into the Metaio software for 3D augmented reality that was designed to instantly feature the 3D virtual appearance of the fort building by having the user hover over a photo of the fort’s remains and its historical map with an iPad or an iPhone. Additionally, video clips and interactive sceneries were integrated into the website in order to inform the user of the fort’s social system and historical events.

Fig. 3 A displacement map of stitched textures for the fort’s curtain wall done in Photoshop.

3. Process 3.1 Modeling Buildings in Maya (1) Constructing Buildings and Environment: Maya 2014 is a professional tool that has the means of modeling physical objects and rendering sequences to create animations. By complying with the notes regarding the archaeological and historical consequences of the research, a careful operation was performed in Maya in order to fashion the length, height, and size of each building, including the log palisades, curtain walls, and moats. In addition, Crazy Bumps is a convenient software program for shading textural materials where photos were simultaneously turned into displacement and normal maps. The software is the most effective, simplest, and easiest way of creating these types of maps, since the software is beneficial to the enhancement of aesthetics and contrast. Four, six, or eight images became two or four of each image by means of flipping the images vertically and horizontally and then stitching the original whole images together with much repetition in Photoshop. The images were offset, and the clone tool was used to make seamless repeating patterns (Figs. 3 and 4). The more images that were put on the one large image in Photoshop, the more realistic the textures of the buildings were when the images were transformed into displacement and normal maps which were

Fig. 4 A normal map of stitched textures for the fort’s curtain wall done in Photoshop.

adjusted by Crazy Bumps according to intensity sharpen, detail, shade, and highlight, and were then imported into Maya in order to further adjust the respective surfaces with the UV texture editor in Maya. Finally, the normal maps were placed along with the displacement maps onto a Blinn bump map for particular buildings. Most texture images were provided by a website referenced as Cgtextures, which has abundant and wide resources for textures that range from ancient to modern. The textures for the log palisades, the roofs and the wooden walls of the two storehouses were from Cgtexture, and the limestone textures were from the actual remnants of Fort Frontenac. Following these methods of texturing buildings, a dynamic moving sky was created. The sky image was distorted using polar coordinators in Photoshop and the hemisphere modeling was mapped with the image onto the UV texture editor under spherical mapping. Moreover, geographic landscapes were created in Maya by means of tracing curves over the outline of the plans for 1685 [8], which were provided by the City of Kingston. The outline became a planar surface, and that surface was converted into a polygon surface


with numerous quarter geometries. The geometric maps were shot by UV Snapshot included in the UV texture editor in Maya and were imported into Photoshop to create color geographic topography. Furthermore, the sea was created by means of using Ocean Shader and Ocean, and minor corrections were required until the color was very similar to the color of the sea around Kingston that was dully emerald or bluish in color. Three lights were also set up: Key Light, Fill Light, and Back Light. The Key Light acted like sunlight set as a directional light, turned towards the north, and its color was slightly bright yellowish. The Fill Light acted as a secondary light set as a spot light facing southwestward, and its color was slightly bluish. The Back Light was the third light set as an additional spot light in a southern direction, and its color was dimly warm orange. Originally, the fort’s gate was turned northeast so that the entrance was in shadow in the northeastern direction. The three lights were essential materials used to strengthen an aesthetic sense of natural imagery. Lastly, in order to make shadows look realistic, AO (ambient occlusion) was used to help soften and deepen shadows and to refine a clearly visible separation between objects in a totally white scene. This technique is used to create a more realistic AO rendering (Figs. 5-8). (2) Rendering Sequences to Create Videos and Interactive Design: Regarding the camera animation, rendering was done for the PNG sequences featuring an overview of the fort and it’s inside views for the series of all of the construction dates for 1675, 1680, 1685, and 1688, as well as providing ambient occlusion renderings for those scenes in video clips. The 1673 version was not included because the inside view was too narrow to create a video. A “Two Node” camera was set as the camera body with an aim constraint. Different circular curves were created to become a motion path attached to each camera in order to make the cameras move very smoothly. Nine hundred frames were required for an overview of the

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Fig. 5

The foundation model of the 1680 fortress.

Fig. 6

The completed model of the 1680 fortress.

Fig. 7 AO.

The restoration of the entrance of 1688 fortress in

Fig. 8 The completed restoration of the entrance of 1688 fortress in 3D computer graphics.

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exterior of the 1688 fort and ambient occlusion renderings for the fort in sequence. It took an average of six to nine hours to get this smooth for the videos. Both of the completed sequences were imported into Adobe After Effects software and then placed as AO sequences under the “multiple” color sequences setting in order to be semitransparent, making the sceneries appear more realistic, and then rendered for videos. The preferable time length for the videos was twenty-four seconds for an overview of the exterior. These setups were needed to make viewers visually comfortable according to the motion and timing. Two videos were set as a chronological series showing the two kinds of entire exteriors of the forts. The images for each were simply taken from Maya, which was an easy way to ensure that each image was ordered chronologically and the corresponding chronological date texts were aesthetically put on each of the images in After Effects. For the aspect of interactive design, only thirty-six frames were required to render an overview of the exterior and interior of the forts, including ambient occlusion renderings for both locations. It took thirty minutes to set all of the frames and install the historical sequences for 1673, 1675, 1680, 1685, and 1688, respectively. 3.2 Creating Interactive Imagery in Flash Flash CC is reliable software designed to play a major role in interactivity. An SWF format generated from Flash was designed for the interactive application of this project and was equipped to become integrated with the website. From a technical view, the interactive animation was set up to play at arate of only thirty-six frames. The coding was typed and fixed on the action scripts in order to fit the interactive scenery (Fig. 8), and the names and descriptions of each of the buildings were placed in panels. These panels were placed around each building using transparent black color with high opacity on the basis of its visual effect. Once the

SWFs were published, the interactive system enabled users to hover over a certain building with a mouse where the panels, including its name and description popped out (Fig. 9). This idea can be a useful educational tool to let users learn about the fort’s historical importance and to acquire new knowledge, as well as assisting in the development of educational and study materials. 3.3 Designing the Website Using a website as a hub can encourage most of the public to learn about the archaeological and historical results of the visual transformation of the fort’s renovation process. Using the website, people worldwide can visualize the images of the fort in 3D. In terms of layout design, the color of the top bar was a slight crimson, and the main background was slightly yellowish beige or grey with high opacity under the old map. The reason for the color choices were that the outline and background of the old fort’s map plan had colors in common with the roof and wall of the National Defence College that were built on the front of the fort’s remnants. The site reanimates time reenactments of these French settlements in Canada (Fig. 10). The design of the webpage was implanted with historical descriptions, video clips, and interactive sceneries. Those people interested in history and archaeology can vicariously enjoy spending more time learning the information about altering the features of the edifices in chronological order, and this observation can promote new knowledge during their visit.

Fig. 9

The interactive scenery of the 1680 interior fortress.


Fig. 10 A 3D video of the restoration of Fort Frontenac in the website.

3.4 Effective Use of an iPad and iPhone for 3D Augmented Reality The Kingston Archaeological Center had closed, but the outcome of the research about Fort Frontenac will have the potential to be able to contribute to the commercial development of Kingston tourism if it is exhibited as something of interest at the city hall or an information center. An old map of the fort, an iPad and an iPhone could be set up at specific locations as a favorite way of entertaining citizens and tourists (Figs. 11 and 12). The interactive applications took advantage of a virtually dynamic emergence of Fort Frontenac done in Maya modeling that were then integrated with the use of an iPad or an iPhone by using Metaio software, where a completed 3D model was inventively positioned on a scenario editing area as well as the images of the old map. During the transfer from a computer, Metaio created a specific barcode called “QR code” to specify the paths needed to configure the tracking, and a QR code reader application called “Junaio” scanned the QR codes into an iPad or an iPhone. Generating 3D augmented reality with an iPad and an iPhone is one of the most cutting-edge technologies available today. Another method to accomplish this, was to simply combine an immersive photo of the remnants of Fort Frontenac with an immersive copy of an old, historical plan of the fort created in 1685, which can show the conflicts between the latest technology and the conventional prints. By

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slowly lifting the iPad to fit the outlines of the remnants of the photo with a copy of the historical plan, a virtual 3D feature of the fort buildings completed in 1688 suddenly emerged from them. This energetic appearance has fantastic messages for users that are worth thinking about working within the technical conflicts in favor of pleasantly thrilling the viewer. It draws users into moving around the map and photo in different perspectives as well as in a 360-degree view. These activities also draw users into having wonderful experience interacting with the 17th century. 3.5 Critical Analysis and Troubleshooting The ideal plan was to create the system for an iPad

Fig. 11 The scenery of using an iPad for 3D Augmented Reality.

Fig. 12 The scenery of using an iPad for 3D Augmented Reality.

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or an iPhone where users can operate and click on the chronological buttons: 1673, 1675, 1680, 1685 and 1688, in favor of making each of the buildings pop out from the same photo and copy. The system’s dynamic appearance would make users excited to interact with it. The system should have included the investigative consequences of the indispensable, altered features of the fort restoration in chronological order. Unfortunately, many 3D augmented software, such as Metaio, were unable to perform the operation for the numerous amount of buttons. In addition, some of the building textures were lost while the fort was loading and popping up. The original texture images had to be updated in order to reduce the texture sizes and to their formats in Maya. Many had been replaced with other new textures in case the size reduction was insufficient. It was required to resolve the issues with the formats and sizes in order to feature the textures in an appropriate condition for the fort. After the solutions were completed, the 3D fort became improved better and became more attractive to the website users. In addition, the requirement of the user to lift their arms and hands became frustrating because the user’s arms got tired and were shaking a lot over time, although it was necessary to avoid continuous shaking in order to bring the 3D model into true focus. Nine hundred frames were crucially required to produce a 36-second video for the outside overviews and six hundred frames were required to produce a 24-second video for the inside overviews. Rendering nine hundred frames greatly impacted the researcher’s lifestyle on a daily basis, in that it took one day to complete one video. On the other hand, creating the interactive sceneries for the outside and inside of the forts in Flash CC took only 30 minutes to render all twenty-four frames necessary to build a 360-degree interaction in Flash. At that rate, more than 10 interactions could be created on a day. However, designing a related website was influenced by the formats of the video files and the

interactive sceneries for each page. User-centered design determined the best method to incorporate the videos. Consequently, most videos were removed due to their memory-intensive usage and the time management required. Only the videos for the completed exterior fort in 1688 were uploaded for the webpage. The website featured nine interactive sceneries: the exteriors for 1673, 1675, 1680, 1685 and 1688, as well as their interiors respectively, except for 1673. The appearance of the website and 3D augmented reality created with an iPad were innovative and comfortable for users to enhance their knowledge in an effective way, while in comparison, simply watching videos was not innovative design and seemed banal. To sum up, the use of this design could assert that interactive applications are attractive to users and usefully economize the time spent creating them, but featuring videos is relatively conventional and expends considerable effort and time. Furthermore, the ability to watch the videos and interactive sceneries depends on the capacity of the user’s Internet connection.

4. Conclusions The subject of this paper was the historic virtual rendering of Fort Frontenac in 3D technology, and discussed how this virtual rendering could educationally and experientially prevail in the demonstration of archaeological research by using the development of the newest technology, and assessed the usability of this format through the creation of a website to be accessed on PCs and compact devices like iPads. In accordance with the research process and ensuing issues, a means of 3D dimension alization has been found and its advantages have been discussed. On the PC website, proving this collaborative and observable evidence needed the inclusion of videos and interactive sceneries of the front view and a 360-degree view of exterior and interior of the fortress. The information presented through the videos and


interactive sceneries, followed the gradually widening of the walls, whereas the height of the walls did not change. The number of garrisons living inside the fort also affected the direct relationship between the width and the height of the fort’s walls. In order to produce the videos and interactive sceneries, modeling the buildings and the related environment presented a lot of challenges and many difficulties because there was very little information available about 17th century Fort Frontenac. Further research and information was needed to clarify that Fort Frontenac compared with other forts that were relatively similar to the target fort according to their various sizes, such as the height, length, and width of the buildings, as well as the textures of the buildings and the environment surrounding them. In accordance with the development of 3D augmented reality, the Metaio software was critical to the appearance of the 3D fort, button operation, and physical ease of use. 3D Augmented Reality software is still developing and will be able to produce versatile button operation to create and support the use of chronological buttons. It will reduce the burden which users’ arms are subjected to by gravity while lifting the devices with their hands. By changing the consumer’s understanding to an archaeological viewpoint, the field continues to evolve step-by-step. 3D techniques and web design have gradually supported this evolution, even though the technology is still developing in areas such as comfort and convenience for modeling, importing colors and sounds, lighting, shading, setting items into motion in 3D, visually communicating 3D augmented reality on a screen, and using buttons with an iPad, an iPhone, and a mouse to interact with a website. The project can state facts backing up information regarding

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historical sites that have been abolished, are in bad condition, or that are in repair, which can then be resuscitated and examined through the use of the latest technology, including videos and interactive sceneries such as those in this research that demonstrated and proved the different sizes of the fort restoration as they occurred in chronological order. The requirements of the general public were kept in mind in order to foster research that could help to develop an area’s municipal economy and commercial tourism.

Acknowledgements The author would like to thank Dr. Elizabeth Goins, Mr. Chris Jackson, Mr. David Halbstein, Mr. Shaun Foster, and Mrs. Susan Bazely for giving useful advice about this research work.

References [1] [2]

[3]

[4] [5]

[6] [7]

[8]

Preston, R. A. 1958. Royal Fort Frontenac. Toronto: The Champlain Society. Fort Frontenc. Cataraqui Archaeological Research Foundation. Accessed September 10, 2013, http://www.carf.info/kingston-past/fort-frontenac. Fort Frontenac National Historic Site of Canada. Canada’s historic Place. Accessed September 10, 2013, http://www.historicplaces.ca/en/rep-reg/place-lieu.aspx?i d=12130. 1685 Fort Frontenac Mika. Map. Kingston, Ontario: City of Kingston. Stewart, B. W. 1982. “The Kingston Harbourfront Archaeological Project Phase II, Fort Frontenac: Results of the 1982 Test Excavations: Assessment.” EPA topic report. Bazely, S. M. Email Message to Mitsuyoshi Yabe, February 26, 2014. Frischer, B. 2013. “Rome Reborn.” Frischer Consulting. Accessed September 10, 2013, http://romereborn.frischerconsulting.com. Fort Frontenac Based on a 1685 Map. Map. 2006. Kingston, Ontario: City of Kingston.

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Sustainability and Public Engagement in Mining: The Role of Engineers Marcello M. Veiga and Christopher Tucker Norman B. Keevil Institute of Mining Engineering, University of British Columbia, Vancouver V6T1Z4, Canada Abstract: Social issues are increasingly recognized as significant inhibitors to mineral development projects. Increasingly, social risk is being recognized as a key factor determining the success of a mineral investment. Groups opposed to a mine for social or political reasons often use environmental impacts, real or perceived, to prevent mine development. These risk factors depend largely on cultural perceptions of mining activities and must be understood as such in order to be appropriately managed. A first step to addressing social issues is inclusive, transparent and meaningful engagement of stakeholders. This process allows stakeholders to understand what the other parties value in order to collectively establish a common currency for development and the creation of mutual value. Expanding the scope of benefits and values a mine can bring is of increasing importance to mining companies who typically consult outside specialists remote from the mine site and late in the development timeline for this purpose. Training technical staff, engineers and geologists, who make initial and ongoing contact with local interests, in a holistic approach to mine development is crucial to successful and economic mineral development projects. Further extending this conversation to the general public, media governments and non-governmental organizations is a necessary step in developing a meaningful discourse on the benefit of mining activities. Key words: Social issues in mining, mining and society, public engagement, sustainability of mining.

1. Social Issues in Mining The public often perceives mining operations as causing serious adverse problems to both environmental and human health. Past examples of poor performance in handling environmental and human rights issues linger in the social memory and haunt new mineral development proposals. In such cases, opponents to mineral development will often cite environmental issues such as the potential legacy of pollution left by a mine, destruction of surrounding lands and forests, water contamination and depletion, loss of access to recreational or traditional lands, noise, dust, and excessive truck traffic. Environmental impacts of most mining operations are localized and relatively small compared to many other forms of human economic activity such as agriculture, forestry and urban settlement. Nonetheless Corresponding author: Marcello M. Veiga, professor, research fields: artisanal mining, sustainability in mining, metals in the environment, recycling, mercury pollution and social issues in mining. E-mail: [email protected].

mining can negatively impact the environment especially if not well managed. More frequently companies around the world are facing problems with local communities and international environmental groups when implementing mining projects [1]. Environmental issues are often used to justify the opposition when in fact, there are larger unresolved social and/or political problems or such as the case where the initial approach of the mining company was not well received by the communities. Typically a mining company limits the focus of their perception and communication of community benefits to taxation revenues and job creation. The veracity of this position is challenged in the notion of the resource curse [2] where it is argued that countries endowed with great mineral or petroleum wealth do not see a corresponding increase in the well-being of their people with the development of those resources. As with critics of aid programs [3], resource-rich countries often see their governance structures and sovereignty challenged rather than strengthened. One

Sustainability and Public Engagement in Mining: The Role of Engineers

rationale for the unsustainable extraction of non-renewable resources is when this activity can support the development of sustainable and sustaining improvements in other areas of human wealth. For example, sustainable mining, considered by many to be an oxymoron can be used to describe the extraction of mineral resources in a manner that contributes to long-lasting wealth or wellbeing. Numerous levels of human organization may be considered for wealth creation. It is possible to look at this globally, internationally or nationally. In the latter case, financial vehicles such as Norway’s Sovereign Wealth Fund borne out of Norway’s North Sea oil extraction, can be used to create lasting well-being among a people where inclusion boundaries are clear, in this case, citizenship [4]. At a provincial or state level similar vehicles exist such as the less successful Alberta Heritage Fund designed to provide lasting benefit from the wealth created by Tar Sands development in Canada or even the various credits issued by local taxation authorities [5]. At the regional, municipal and community level, where inclusion boundaries are more porous, it is more difficult to manage distribution of benefits from resource development. As resources such as oil and gas or minerals are often more locally situated extending their benefits locally makes sense. In this case it can make sense that the benefits rather than being financial in nature are themselves locally distributed in ways such as infrastructure improvements or local quality of life enhancements. The most effective level for creating to create real improvements in human wellbeing is at the community level, where a community is defined as a local grouping of people with some commonality in strategies for meeting their needs. Many different types of communities participate in non-sustainable practices in order to meet their needs and potentially all could improve their way of life while decreasing their dependency on imperiled resources, whether they be old growth forests, wild salmon, cheap oil, or high grade gold and

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copper deposits.

2. The Changing Role of the Engineer Engineers usually define the steps of a “Mining Project” using technical-economic parameters that can be simplified in “8 Ds”: (1) Detection of geological anomalies; (2) Discovery of the mineral deposit; (3) Definition of the ore body to be mined; (4) Design of the mine; (5) Decision to go ahead with the project; (6) Development of the mine; (7) Depletion of the ore body; (8) Decommissioning of the mine. This mnemonic sequence of “Ds” does not consider that quite often another “D” happens: deception, which is usually caused by the lack of an interdisciplinary approach or lack of understanding of the socio-economic environment in which a mining project is implemented. In the past, environmental and social issues were ignored or approached at the very end of a mining project to fulfill legal exigencies. Many mining proposals have failed because mining companies did not believe that it was their responsibility to deal with the local stakeholders in the early stages of a project [6]. The lack of social license to operate has been recently stressed as one of the major hurdles for the mining companies to start a project [7]. Even when the company has an environmental permit, the public perception of the mine, associated with hidden political interests, prevents the project realization. For example in the case of Infinito Gold, in Costa Rica, a project that would have created a large number of jobs for the local community in diversified activities could not sail through because strong political players associated with international NGOs, scared the local people alleging that tailing dam failures will “lead to water contamination and landslides” [8]. This is also the case of Marlin Mine in Guatemala where many environmentalists believe that the population is

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vulnerable to cyanide spills, despite the total destruction and regeneration of the cyanide used in the mine [9]. In 2014, in British Columbia, Canada, Taseko Mines had its New Prosperity project rejected for the second time. First Nation leaders in the region opposed the project, alleging it would threaten the environmental integrity of Fish Lake, a 1 km2 productive lake in the remote region of Cariboo-Chilcotin. The project would have generated around US $10 billion in taxes directly and indirectly had the potential to generate 3,000 new jobs. The Federal Government, through two Assessment Panels, predicted environmental impacts for the lake [10]. For the general public and governments, the environmental argument was the main reason given for the project rejection, but it seems secondary in the decision process as the First Nations regard the lake as sacred and the relationship between the company and First Nations degenerated upon the failure to establish a working joint review panel [10]. All activities of the company to mitigate the environmental impacts and to preserve the lake were not enough to bring the public opinion to their side. In this situation both parties, initially willing to do business, could not find a common “currency” by which to create mutual value, resulting in a breakdown of the relationship. The above examples illustrate the importance of effective early engagement with communities. As technical people, such as geologists and engineers, are often the point of first (and ongoing) contact, it is imperative that they have an understanding of the social dimensions of their work. Frequently social issues are delegated to social scientists hired as consultants to establish a strategy to deal with the local communities. The plans may be well done but the execution will still be in the hands of technical staff permanently present at the mining site. Rarely do engineers regard understanding social factors as part of their professional capacity. They typically fail to understand the traditions, cultures and idiosyncrasies

of the local communities. This lack of understanding can lead to roadblocks and demonstrations by local community members that effectively halt production and ties up management, leading to serious cost overruns [1]. Most mining engineers have perceived education on social issues related to natural resources as a topic of secondary importance. Unfortunately, this is a common situation in the technical academic world. Even now, when the mining industry is being monitored by media, stakeholders and non-governmental organizations, few academics bring the socio-political context to the engineering classrooms. The role of mining in promoting development and reducing poverty has been challenged, since there is no clear indicator of success [11]. The most significant criticisms relate to the attitudes and performance of the mining companies in the field. Some engineers still believe that the misunderstanding between companies and communities must be resolved with legal interventions or they simply apply the philanthropic approach of providing immediate benefits to the locals. In first place, rural communities around the world typically have little faith in political systems as their politicians only appear when there is an election. Rural communities have been relatively isolated for centuries, without political clout, receiving few benefits only from central governments. This is the case with the town Paraupebas with 110,000 inhabitants in the Brazilian Amazon, near the Vale’s gigantic Carajás Project. Mining activities in the Carajás Ore District are responsible for 70% of Paraupebas’ Gross Domestic Product. In 2000, the municipal government received US $12 million from royalties of the iron-ore mining alone, which is a fraction of the taxes from all the mines in the region. Despite the high incomes of the municipal government, about 44% of the total population lives below the poverty line, the infant mortality is 30


deaths per 1,000 inhabitants per annum, hospitals have 1.6 beds per 1,000 inhabitants and various other indicators do not show much in the way of the benefits to the town from the largest mining complex in the world [12]. Clearly the wealth from the mines is not distributed to the community. The lesson learned in many rural communities is: “the closer the company is to the government, the farther they are from the local community.” The main challenge of mining companies is to engage in equitable partnership with the impacted community to create a sustainable relationship [13]. This is usually seen as a secondary task to be left with a department of public relations. All technical staff in a mine must be trained to participate in the community and engage the population in the decision process, even if this is a very technical subject. It is not a matter of communication, but engagement.

3. Public Engagement Problems with local communities are not only caused by lack of planning of the companies. Planning usually takes place in corporate headquarters remote from the mine site and in many cases the companies use local employees to implement their policies. In many instances, this is seen as a communication problem, when in fact it is a lack of participation of the locals in the decision process [14]. It is well established that mining companies have a legal duty to consult local communities. However, the term “consultation” does not ensure an open dialogue or a participatory process. Social License to operate describes a dynamic of engagement over and above legally bound consultation that is necessary for a development to have the support of local communities. Companies must account for their actions and the local communities and the general public require transparency and inclusion in the decision making process. “Organizational accountability is based on effective engagement with stakeholders” [15]. The

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practice of hiding mistakes from the local community is no longer accepted. In communicating with local communities, engineers often use facts to explain their actions. Different stakeholders come with different levels of understanding about how a mine is built and operated. These different knowledge bases combined with different value systems produce radically different perceptions about the process of mine development. The perceptions of the communities, usually in rural areas with low education, cannot be resolved with a list of facts. Technical facts may be obvious for engineers but not clear for the public. Demonstrating that you are more knowledgeable, that you have the correct facts can even be more frustrating and detrimental to the process of building trust and consensus. Facts are not very useful in dealing with perceptions as they create a hierarchy in the debate and imply the superiority of the company. The best way to deal with perceptions of the public and local communities is to understand and attend to the sources of perceptions (Fig. 1). This can encourage dialogue and shift attitudes about the project. An example of this is the most common argument presented by mining industry associations: “you need mineral products, therefore you need mining.” While this is true and world consumption of minerals is around 5 tonnes/person/a, and in developed countries this can reach 20 to 50 tonnes/person/a and still growing [16], it is not a persuasive or compelling argument. Relying on this line of reasoning further fails to look at deeper social and cultural resistance to mining activity. With this tension unresolved, we see playing out in the media crude arguments for or against mining. The reality is that mineral development is not only required but also desirable while also posing risk and tradeoffs. Accepting that both perspectives are “true” allows a more sophisticated conversation that can more effectively manage the costs and benefits of the activity. A common public perception in developing

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Perceptions

Sources ‐ Cultural ‐ Religious ‐ Environmental ‐ Political

Facts

‐ Economic ‐ “Gossips” Fig. 1

Knowing the sources of perceptions is more important than facts.

countries is that foreign companies are extracting gold to take back to their home countries. Community expectations are awoken at the beginning of the exploration phase especially with regards to job creation. During the project discovery, development and implementation the community expectations fluctuate and can create conflicts with the company expectations. Ian Thomson developed the following graphic to show the lack of syntony between the company and community expectations (Fig. 2). The simple presence of drilling in the community can create high false expectations that the mining production will start soon. The time lag of the mining industry can be as large as 10 years from exploration to construction [17]. Benefits for rural communities are important as a palliative measure to release the immediate pressures of the local population, but in many cases they are not sustainable and tend to disappear once the mineral resources are depleted. Once the mine has closed, infrastructure that has been built for the community is rarely maintained, leaving empty hospitals and schools behind. Life skills, culture, friendship, and self-respect are values that are more sustainable than benefits, and can both benefit the community-company relationship as well as leave a lasting legacy. Companies are not prepared to diversify the communities they operate in, even over the long term. They usually believe that it is the responsibility of the government to use tax revenue

obtained from the mine to accomplish these objectives. Recently, the mining industry has realized that environmental and social issues are key to changing the public image as well as to establish a long and sincere relationship with local communities. A mine can be a “showcase” of environment-friendly operations, but if the social issues are not addressed (and vice versa), this can create lots of problems with the public. “Improving environmental performance is critical to ensuring that the environment is protected, but does not necessarily ensure the social health and welfare of any associated mining community during operation and after closure” [13]. There is no formula for dealing with public engagement, since in communities, there are different perceptions and emotions. It is important to identify in a community values, perceptions, historical facts and other potential sources of conflict.

4. Sustainable Development in Mining The term “sustainable mining” has been used to call attention to the public and the mining industry to the fact that the non-renewable resources must be efficiently extracted, processed, used and recycled [18]. The community and the environment in which a mine operates must be sustained, and not the mine. The concepts of efficiency have usually been attached to the concept of sustainable development in industrial operation. However, sustainable development is an


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investments

Expectation

company

Fig. 2

production starts

construction starts

detailed engineering starts

accord with community

assessment panel

reserve established feasibility study conflict starts

prospecting or acquisition drilling starts

community

Time

Different expectations about a mining project (free adaptation of Ian Thomson’s idea).

ethical concept that is attached to “economic prosperity, environmental health, and social equity for the benefit of current and future generations” [19]. According to George Francis, professor of Environmental Studies at University of Waterloo, “sustainability is ultimately an ethical commitment based on a belief that the natural world and its component life forms, including humanity, have value in and for themselves” [13]. Even in the official UN document in which Sustainable Development was conceptualized [20], the definition makes reference to an ethical commitment to leave resources for the next generations: “…development that which satisfies present needs without compromising the possibility for future generations to satisfy theirs” [21]. According to Kazakidiset al. (2013) [22], “sustainable development issues, are often at the centre of a dispute that can make an empowered local community or group in a first world country the

strongest stakeholder in a new mineral resource development (either as advocates or opponents)”. In fact, nowadays the environmental and social arguments mix and are hard to divorce even in legal terms, when a judicial dispute is taking place. The example of Prosperity Mine shows this clearly. Taseko Mines tried to implement a mine dumping tailings in a fish-rich lake. The idea to transport the entire population of fish to an artificial lake was opposed by the First Nations, by the time the company tried another more environmentally “acceptable” solution, the relationship with locals had already deteriorated. The question is how to implement concepts of sustainable development into a mining operation. As mining operations occur in remote areas, the main challenge of the companies is to deal with impoverished communities that the only contact they had with mining was probably with artisanal mining. In Tambogrande, Peru, for example, the community

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expelled a mining company that wanted to develop a mine and was accused of generating pollution that would affect agriculture in the valley. Around 87% of the population with households in the town opposed to the project [23]. Now the town is invaded by artisanal miners dumping mercury and sediments into the local rivers. In the Piura region 10,000 miners and more that 160 processing plants are dispersed in 158,000 ha applying extremely primitive techniques to extract gold [24]. For the community, this is acceptable since artisanal mining generates more jobs for unskilled people than a conventional mine. However, sustainable benefits of a mining activity, artisanal mining cannot provide. This is observed in thousands of shanty villages in the Brazilian Amazon created during the gold rush of artisanal miners and now they have no economic alternatives [25]. Artisanal mining is regarded by most rural communities as the easiest and fastest way to getting out of extreme poverty, while the immediate environmental impacts are disregarded by the desperately poor local communities. A similar problem occurs when a developing or operating mine is a community’s sole source of income. A mine represents an opportunity to add value to a community. Traditionally, mines are said to contribute to communities through direct employment, ancillary economic activity that supports the mine, infrastructure investment, educational programs and scholarships, as well as recreational facilities. Benefits such as these are important but not sustainable either in conventional or in artisanal mining. After the mine closure most towns remain without the benefits. Towns left behind by mining companies become ghost towns. The mining companies have very little participation in helping communities in their economic diversification, i.e. to find alternatives after mining. Mining companies rarely provide useful land use (reclamation) for community use; most reclamation objectives are for wildlife. Beyond that, companies need to think about how a new mine can bring long term biophysical and socio-economic

improvement to a region which is consistent with holistic principles of sustainability. The legacy left by a mine to the community after its closure is emerging as a significant consideration in its planning. In these cases, the company must collaborate with the community to find solutions to diversify their economy and to leave behind sustainable benefits. An important step to establish a good and sustainable relationship with the community is to recognize its values. Benefits are important, but values are sustainable (Table 1). When the ore is depleted and the company closes the mine, the communities are left with hospitals without doctors, school without teachers, and infrastructure without maintenance [26]. The first step to introduce concepts of sustainability in a mining community may relate to local capacity-building and local governance [13]. Local governance can achieve several benefits including actively involving local residents in the process of making decisions, reinforcing community self-esteem, bringing creativity for new opportunities, and reinforcing the relationship with the mining company. Local governance is established with education and dialogue. When a community member is able to speak freely with a mining authority or a company representative, dialogue can be established and viewpoints understood. Co-development of projects to improve the interaction of a mine with the community and surrounding environment can help improve community relations:  reduce tailing generation;  increase metallurgical recoveries (mining and processing);  recycle materials;  find uses for tailings (bricks?);  reduce energy and materials consumption;  mine other things (garbage, sewage, thermal energy);  think holistically (and beyond the mining operation);  assist and participate in community projects.

Sustainability and Public Engagement in Mining: The Role of Engineers Table 1 Values and benefits a mining project can bring to the local community. Human values Friendship Solidarity Family Culture & Traditions Respect

Benefits Employment Schools Hospitals Paved roads Clean water

Some argue that it is the role of government to assist the local communities through the investment of mining royalties. However, companies working in rural areas of developing countries are aware that the royalties are not always well administrated by local or regional governments and at the end of mine life the populations have no sustainable benefits. “A corollary of [the resource curse] is the neglect of the competitive diversification of the non-mining tradeables such as agriculture and manufacturing” [2]. As government policies are not sustainable, especially in developing countries, companies must create mechanisms to establish projects with the local communities to diversify their economy. This is the case for example of Sullivan Mine in Kimberley, BC. The mine operated from 1909 to 2001 and the city of Kimberly was incorporated in 1944. In total it has produced: 9 million tonnes of Pb, 9 million tonnes of Zn, 280 million oz Ag, $20 billion in revenue. After a temporary closure in 1991, the community realized its dependency on mining and thanks to the leadership of the Mayor they started a public consultation to decide about the future of the town. After many debates the community decided to transform the town in a tourist destination. The town is today known as the Bavaria of the Canadian Rockies and has a steady flux of tourists to their golf courses and ski hills [27].

5. Conclusions The social, economic, cultural, and physical effects of mineral development projects need to be understood at a much greater level by not only local stakeholders including technical staff but also the general public. Meaningful, inclusive decision making

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on resource projects requires innovative approaches to mining and exploration education as well as broader communication initiatives. Real and lasting value from mineral development derives largely from developing human infrastructure or social capital and values; this in turn depends on developing a sophisticated program of engagement with the community by numerous agencies including governments and mining companies.

References [1]

Davis, R., and Franks, D. M. 2011. “The Costs of Conflict with Local Communities in the Extractive Industry.” In Proceedings of the First International Seminar on Social Responsibility in Mining, Santiago, Chile, Vol. 30. [2] Auty, R. M. 1993. “Sustaining Development in Mineral Economies.” The Resource Curse thesis, London, Routledge, 272. [3] Moyo, D. 2009. Dead Aid: Why Aid Is Not Working and How There Is Another Way for Africa. New York: Farrar, Straus and Giroux, 209. [4] Gjessing, O. P. K., and Syse, H. 2007. “Norwegian Petroleum Wealth and Universal Ownership.” Corporate Governance: An International Review 15 (3): 427-37. [5] Murphy, R. P. 2013. Reforming Alberta’s Heritage Fund: Lessons from Alaska and Norway. Vancouver: Fraser Institute, 47. [6] Owen, J. R., and Kemp, D. 2012. “Assets, Capitals, and Resources: Frameworks for Corporate Community Development in Mining.” Business & Society 51 (3): 382-408. [7] Moffat, K., and Zhang, A. 2014. “The Paths to Social Licence to Operate: An Integrative Model Explaining Community Acceptance of Mining.” Resources Policy 39: 61-70. [8] Evans, M. 2012. Canadian Mining Company in Costa Rican Legal Storm. Costa Rica Star. http://news.co.cr/canadian-mining-company-in-costa-rica n-legal-storm/16674/ Accessed April 19, 2014. [9] Jaccard, H., and Condon, G. 2013. Guatemalans Resist Invasion of North American Mines. www.globalresearch.ca/guatemalans-resist-invasion-of-n orth-american-mines/5318080. Accessed April 14, 2014. [10] CEAA. 2013. Canadian Environmental Assessment Agency. Report of the Federal Review Panel—New Prosperity Gold/Copper Mine Project. Oct 31, 2013. [11] Pegg, S. 2006. “Mining and Poverty Reduction: Transforming Rhetoric into Reality.” J. Cleaner Production 14: 376-87.

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[12] Costa, S. D. 2008. “Mineworkers’ Quality of Life in Remote Communities: A Multiple Case Study in the Brazilian Amazon.” Ph.D. thesis, Dept of Mining Engineering, University of British Columbia, 299, https://circle.ubc.ca/handle/2429/802. Accessed Jan. 30, 2014. [13] Veiga, M., Scoble, M., and McAllister, M. L. 2001. “Mining with Communities.” Natural Resources Forum 25 (3): 191-202. [14] Prno, J. 2013. “An Analysis of Factors Leading to the Establishment of a Social Licence to Operate in the Mining Industry.” Resources Policy 38 (4): 577-90. [15] Petersen, F. W., and Bullock, S. E. T. 2005. “Sustainable Development Indicators—Some Technological Changes Made in the South African Mining and Resources Sector to Meet the Challenge.” In A Review on Indicators of Sustainability for the Minerals Extraction Industries, edited by Villas Bôas, R. C., Shields, D., Šolar, S., Anciaux, P., and Önal, G. CETEM/MCT/ CNPq/CYTED/IMPC, Rio de Janeiro, 230. [16] Jones, M. P. 1987. Applied Mineralogy, London, Ed. Graham & Trotman, p. 259. [17] Aboriginal Affairs and Northern Development Canada, Minerals & Petroleum Resources Directorate. 2007. Stages of Mineral Exploration & Development. [18] Fitzpatrick, P., Fonseca, A., and McAllister, M. L. 2011. “From the Whitehorse Mining Initiative towards Sustainable Mining: Lessons Learned.” J. Cleaner Production 19 (4): 376-84. [19] Shields, D. J. 2005. USA and UN Perspectives on Indicators of Sustainability for the Mineral Extraction Industry. In A Review on Indicators of Sustainability for the Minerals Extraction Industries, edited by Villas Bôas, R. C., Shields., D., Šolar, S., Anciaux, P., and Önal, G. CETEM/MCT/ CNPq/CYTED/IMPC, Rio de Janeiro, 230.

[20] Brundtland Commission, and Brundtl and Commission. 1987. Our Common Future. [21] UN-WCED—United Nations World Commission on Environment and Development. 1987. Our Common Future. Oxford, UK: Oxford University Press. [22] Kazakidis, V., Gaidajis, G., and Angelakoglou, K. 2013. “Evaluation of Environmental and Social Parameters of a Gold-Mining Project at the Prefeasibility Stage: A Case Study.” Global Perspectives on Engineering Management 2 (2): 93-104. [23] Muradian, R., Martinez-Alier, J., and Correa, H. 2003. “International Capital Versus Local Population: The Environmental Conflict of the Tambogrande Mining Project, Peru.” Society & Natural Resources 16 (9): 775-92. [24] Veiga, M. M. 2014. Reducing Mercury Use and Release in Andean Artisanal and Small-Scale Gold Mining. Report to U.S. Department of State, Bureau of Oceans and International Environmental and Scientific Affairs Office of Environmental Policy, Mercury Program. Contract SLMAQM- l0-CA-312-RC, 79. (unpublished). [25] Veiga, M. M. 1997. Introducing New Technologies for Abatement of Global Mercury Pollution in Latin America. Pub. UNIDO/UBC/CETEM. Rio de Janeiro, 94. [26] Roberts, S., Veiga, M. M., Peiter, C. C., Sirotheau, G. J., Barreto, M. L., and Ezequiel, G. 2000. Filling the Void: The Changing Face of Mine-Reclamation in the Americas. Mine Closure: Iberoamerican Experiences. pp. 1-23. Villas-BOas, R. C. and Barreto, M. L. (Eds), Pub CYTED-IMACC/UNIDO, Rio de Janeiro, 456. [27] Ednie, H. 2006. Creating a New Economy through Closure: Sullivan Mine Closure Sets the Barrier for Sustainable Practice. Retrieved April 20, 2014 from CIM website: http://magazine.cim.org/en/May-2006/features-2/Creating -a-new-economy-through-closure.aspx.

D


DAVID

PUBLISHING

Design of Metering Device Key Parts of Pneumatic Grass Seeder Zhai Gaixia, Wang Zhenhua, He Gang, Liu Guilin and Yang Li Hohhot Branch of Chinese Academy of Agricultural Mechanization Sciences, Hohhot 010020, China Abstract: Based on the mechanical and physical properties study of forage grass seeds, multi-line with one-device type metering device was designed. It was composed of adjustable screw, stirrer, metering device housing and central metering sheave and so on. The sowing rate can be set by turning the screw to change the working length of the central metering sheave relative to the metering device housing. The stirrer inside of the sheave housing is used to prevent seeds overhead. And metering of different sizes of seed is adjusted by changing the position of internal components of the slot wheel mechanism. Innovative design on the structure of the central metering sheave was finished. According to the structure parameters and physical characteristic parameters, different seed sowing rate of per hectares was calculated. And then the working length scale of the central metering groove wheel was made. And there is a one-to-one correspondence between scale values and sowing quantity per hectare of different kinds of seed. Key words: Seeder, metering device, central metering sheave, sowing rate.

1. Introduction Metering device is the key working parts of the grass-seed seeding machine, and its performance has direct influences on the planting [1]. The design of the metering device should meet with these requirements. The metering quantity should be very uniformity and come up to advanced world standards. It should have good versatility and large metering quantity adjusting range. And there is no or less damage to the grass seed. Metering device can be divided into mechanical and pneumatic type based on the structure, mainly including horizontal disc type, tilting disc type, greapel wheel type, declined scoop type, inside-filling holes wheel type, vertical revolving scoop, picker finger type, ribbon type and pneumatic type, etc. [2]. Pneumatic type metering device can be divided into the air blowing type and air suction type [3-8]. The pneumatic type metering device has widely application because of its high adaptability and high metering quality [9-11]. Corresponding author: Zhai Gaixia, Ph.D., senior engineer, research fields: farming and animal husbandry machinery engineering. E-mail: [email protected].

Grass seeds were discharged by the revolving outside-Geneva with slot on the cylinder of the outside groove wheel metering device. The sowing performance is affected by seed size and shape. The structure of the outside groove wheel metering device is simple, and it is easy to manufacture and use, and is widely applied. It is the critical component of the seeder. In the paper, a kind of central outside Geneva wheel metering equipment which can match with pneumatic conveying type metering device was designed. And based on the analysis results of basic physical properties of grass seed, metering quantity per hectare of different size seed of the pneumatic conveying type metering device was calculated. The sheave working length scale with corresponding value with metering quantity per hectare was made.

2. Structure and Working Principle Structure and parameters of the metering device of grass seeder should be concerned with appearance, seed flow characteristics, suspension characteristics and moisture absorption characteristics and so on.

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Design of Metering Device Key Parts of Pneumatic Grass Seeder

According to the seeding problems of grass seed, such as different kind of grass seed has different physical characteristics, and geometry size is different, and grass seed is light and has irregular shape, and based on grass seed sowing process requirements, we design a central outside Geneva wheel metering equipment. When the machine is working, different size and shape seed can be metered normally by adjusting the Geneva mechanism. 2.1 Metering Device Structure Metering device is mainly composed of adjusting screw rod, stirrer, shell body and central metering Geneva and so on [12]. The central metering sheave is the main component of the metering device. It comprises Geneva mechanism, Geneva shell, stirring teeth and regulating mechanism, as shown in Fig. 1. The Geneva mechanism is comprised of Geneva, adjusting plate, variable groove bracket, big gear, variable groove plate, smooth wheel, screw thread adjusting plate, as shown in Fig. 2. When the device is running, land wheel rotates and the power is provided to central metering Geneva by the chain transmission, and then the Geneva is driven to rotate. When the Geneva dived into seed can rotates, the Geneva groove is filled with seed under the action of gravity. And then seed rotates along with the Geneva. It realizes forced metering. Seed outside of the Geneva forms a driven seed layer under the stirring action of the outer circle of Geneva and friction action between the grains. Metering seed includes seed in the groove and driven layer. The metering quantity is relatively stable. According to the seed suspension characteristic and two-phase flow fluid mechanics characteristics, seed is assigned to each row of pipe to be planted by the pneumatic type distributor. It can realize uniform planting for different kinds of seed grass by the central metering Geneva equipment supporting pneumatic conveyor metering method [13, 14]. The stirring teeth were designed to prevent

illiquid seeds overhead in the Geneva wheel casing. When metering small size seeds with awn, the small gear of the stirring teeth engages with the big gear of the Geneva mechanism, so the stirring teeth rotate. And when metering big size seeds without awn, the small gear of the stirring teeth and the big gear of the Geneva mechanism are separated. The assembled location of the stirring teeth saw in Fig. 1. In conclusion, the central metering groove wheel device has the following characteristics. Firstly, it has a strong adaptability for different size and shape seeds and can be used to seeding different size seeds by adjusting the Geneva mechanism. Secondly, it was driven by the ground wheels, and not affected by machine walking speed, the seeding quantity is uniform. Finally, the structure of the metering quantity adjusting mechanism is simple, convenient and reliable. 2.2 The Metering Quantity Adjustment of the Different Size Seeds Through adjusting the Geneva mechanism, a metering port with different flute profile and a length of H was formed inside the Geneva shell to meter the seeds. The metering groove shape of H section is 4

3

2

1

Fig. 1 Central metering groove wheel device structure diagram. 1. Geneva mechanism; 2. Geneva shell; 3. Stirring teeth; 4. Regulating mechanism.

Design of Metering Device Key Parts of Pneumatic Grass Seeder 13 12 11 10

9

8

7

6

5

4

3

2

291

Geneva

1

14 15

16

Fig. 3 Groove shape of Geneva wheel for large seed sowing. 1

2

3 4

Fig. 2 Geneva mechanism structure diagram. 1. Geneva; 2. Adjusting plate; 3. Long screw; 4. Hinge pin; 5. Screw; 6. Variable groove bracket; 7. Big gear; 8. Short screw; 9. Big bearing; 10. Bearing lining; 11. Variable groove plate; 12. Small bearing; 13. Smooth wheel; 14. Big screw; 15 Nut; 16. Screw thread adjusting plate.

fluted (Fig. 3) while the adjusting-plates engage with the big gear (Fig. 4). At the moment, it is suitable for big seeds sowing. The metering quantity can be adjusted steplessly by rotating the threaded rod of the adjusting mechanism to change the relative positions of the Geneva and Geneva shell, that is, the value of H. The metering groove shape of H section is the shape of the variable groove plate (Fig. 5) while the adjusting-plates engage with the Geneva (Fig. 6). And at the moment, it is suitable for small seeds sowing.

B

B H

Fig. 4 Geneva mechanism structure diagram for large seed sowing. 1. Geneva; 2. Variable groove bracket; 3. Adjusting plate; 4. Big gear.

Geneva Adjusting plate

2.3 Selection of the Major Parameters 2.3.1 Diameter, Rotating Speed and Working Length Geneva wheel diameter is both relevant to rotating speed and working length. When the metering quantity is definite, if the Geneva wheel diameter is oversize, the rotating speed and working length will reduce correspondingly, and it will lead to the intermittent and inequality metering. If the diameter is undersize, the rotating speed must be increased, and then damage rate of the seed will increase. In order to meter both small seed and big seed, according to Ref. [2], the diameter of the Geneva wheel is selected as 100 mm. The rotating speed range is 9-60 r/min for the stability of metering quantity each turn. In order to

Fig. 5 Groove shape of Geneva wheel for small seed sowing. 1 2

3 4 A

A H

Fig. 6 Geneva mechanism structure diagram for small seed sowing. 1. Geneva; 2. Variable groove bracket; 3. Adjusting plate; 4. Big gear.

avoid impairing seed flow inside the metering device and affecting the metering uniformity, the working

292


length should not be too small. The minimum working length should be greater than 1.5-2 times seed length. To meet with the requirements of high working speed and large metering quantity, the maximum working length of the Geneva wheel is designed as 200 mm. 2.3.2 Groove Cross-Section Shape and Slot Number The groove cross-section shape has an important influence on seed filling and metering. The cross-section area must be in line with the requirements of metering quantity. The Groove in the paper adopts arc-shaped cross section in order to carry out seed filling or metering. When metering small seeds, the trench should be shallow, and the slot number should be more, and metering quantity is small and uniform. When metering big seeds, in order to reduce the damage to seed, so the groove radius must be augmented and the depth of the slot should be decreased and no less than half the thickness of the seed. Groove radius and slot number were determined based on the literature recommended value, Geneva wheel dimension, seed dimension and groove teeth strength. Groove radius is 6.5 cm and slot number is 10. The major technique parameters of the Geneva device are shown in Table 1.

3. Calculation of Metering Quantity 3.1 Basic Physical Properties of Grass Seed Grass seeds belong to the category of agricultural seeds, has the same characteristics with agricultural seeds. But there is great difference between agricultural seeds and grass seeds. Grass seed particles are smaller, and the yield is lower. The physical properties of grass seeds have an important influence Table 2

on the design of the main structure parameters of the seeder and setting of the planting parameters. The relevant physical parameters of grass seeds including: morphological characteristics, mass of 1000-grain, density, volume density, neatness, moisture content, viability, germination rate, repose angle, sliding friction angle and internal friction angle [15]. In the paper, some typical physical properties such as morphological characteristics, mass of 1000-grain and volume density were measured (Table 2). As seen in Table 2, the dimensions, mass of 1000-grain and volume density vary with the variety of seeds. 3.2 Metering Quantity Calculation The relationship between metering quantity per hectare m and the effective length of the corresponding Geneva wheel L is as follows:

m    N  S  L R

(1)

where, N—slot number of metering device;

S —cross-sectional area of a single tank of metering device; L—the effective length of the Geneva wheel; R —the metering device rotating revolutions per hectare, R 

10000 . 3πdi

Table 1 Structure parameters of the grooved gearing equipment. Parameters

Value

Geneva wheel diameter/mm Slot number Groove radius/mm Each slot cross-section area/mm2 Valid working length/mm

100 10 6.5 400 200

Basic physical characteristic parameters of several kinds of grass seed.

Variety Alfalfa Astragalus adsurbens Pall cv Elymus Rapeseed

Length 2.6 1.6 ~6 1.2

Seed dimensions/mm Width Thickness 1.4 0.8 1.3 0.7 1.2

1.1

Mass of 1,000-grain/g

Volume density/g·cm-3

1.95 1.8 3.2 3.74

0.75

0.72


m—Planting quality per hectare;  —Volume density; d—The ground wheel diameter, d = 0.65 m; i —The transmission ratio of the ground wheel and metering wheel, i = 50 . 17

Based on Table 2 and according to the Eq. 1, the length of metering device Geneva wheel was calculated by being programmed in the Matlab Table 3

293

language. When planting small seeds, N is 20. And when planting big seeds, N is 10. Metering quantity of the pneumatic conveying type metering device was get and shown in Tables 3 and 4. And then the working length scale value of Geneva wheel per hectare can be seen clearly. According to the scale of the metering device (Fig. 7), the metering quantity can be adjusted. The volume density of grass-seed was shown in Table 5.

Seeding rate table of pneumatic conveyed seed metering device (big seeds). kg/hm2

Working length scale value of Geneva wheel 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150 160 170 180 190 200 Table 4

Metering quantity Wheat

Barley

Rye

Oat

18 39 59 79 100 119 139 158 178 198 218 239 260 279 300 318 339 359

15 33 50 70 89 100 120 144 152 180 198 210 234 252 271 290 309 326

18 39 60 81 102 123 143 164 185 205 228 247 268 288 309 320 350 370

8 18 28 40 50 64 78 91 104 110 130 142 154 166 176 190 202 215

Beans

Pea

Corn

30 55 80 100 121 142 163 184 206 228 250 273 295 318 339 360 381 402 424

20 51 76 96 117 136 150 190 200 221 242 263 284 305 326 347 300 391 412

33 63 72 91 111 131 151

Flax

Grass seed

15 33 40 66 82 99 115 132 148 154 180 196

8 22 37 51 64

Seeding rate table of pneumatic conveyed seed metering device (small seeds). kg/hm2

Working length scale value of Geneva wheel

Metering quantity Rape

Grass seed

Lucerne

Alfalfa/Medicago sativa

2.5 5 10 15 20 25 30

1.0 2.3 4.0 7.4 10.1 12.5 15.2

0.8 1.7 3.6 5.8 8.0 10.1 12.2

1.2 2.0 6.2 9.4 12.8 15.8 18.9

1.0 2.0 5.0 9.0 12.0 15.1 18.2


294 Table 4 continued

Metering quantity Rape 17.6 20.3

Working length scale value of Geneva wheel 35 40 45 50 55 60 65 70 Table 5

Grass seed 14.3 16.5 18.6 20.7 22.8 25.0 27.1 29.2

Lucerne 22.1 25.3

Alfalfa/Medicago sativa 21.3 24.3

Volume density of grass-seed.

Name

Wheat Barley Rye

Oat

Beans

Pea

Corn

Flax

Bulk density g·cm-3

0.78

0.53

0.82

0.80

0.80

0.72

0.68

0.80

Grass seed 0.36

Rape Lucerne 0.65

0.75

Alfalfa/Medic ago sativa 0.75

Table 6 Sowing rate of Alfalfa under different working length scale of metering device Geneva wheel. Scale value 2.5 Scale value adjustable range of small seeds metering

Scale value adjustable range of big seeds metering

Fig. 7 Working length scale of metering device Geneva wheel.

4. Metering Device Performance Test In order to verify the working performance of the metering device, the experiment on Alfalfa was carried out on the seeder test-bed. The metering quantity was checked on different scale value of Geneva wheel working length. The working width is 3 m, and the ground wheel diameter is 0.65 m, and the ground wheel revolves 19 rounds. The experiment was repeated three times on the same value of working length scale, and the test data were shown in Table 6. Seen from the data listed in Table 6, there are some errors in the metering quantity of the metering device when the working length scale value of the Geneva wheel is the same, and the error is less than or equal to 5%. It is caused mainly due to the physical characteristics, humidity, friction between seeds, and

Metering quantity /kg·hm-2 1

2

3

Average

0.8

1.2

1.1

1.03

20

12.3

11.5

12.1

11.97

40

24.5

25

25.5

25

friction between seeds and seed can wall which influence the fluidity of the seeds.

5. Conclusions A kind of central outside Geneva wheel metering equipment

which

can

match

with

pneumatic

conveying type metering device was designed. Through adjusting the Geneva mechanism, the metering device can meter both small seeds and big seeds, and also meter seeds with good fluidity or poor fluidity. Based on the different physical characteristics of different kinds of seeds, the metering quantity of pneumatic conveying type metering device was calculated, and the working length scale corresponded to the metering quantity. And then the working performance of the metering device was tested by the experiment on Alfalfa. The error in the metering quantity of the metering device when the working length scale value of the Geneva wheel is the same is less than or equal to 5%.


Acknowledgements The article is published with funding support from the application promotion and demonstration of TRIZ in Inner Mongolia, China, and the project number is 2013IM020800.

Reference [1]

[2]

[3]

[4]

[5]

[6]

[7]

Chang, J. L., Zhang, X. H., and Chen, Y. Q. 2007. “Design of the Quantitative Force Feed in the Air-Stream Central-Type Drill System.” Journal of Agricultural Mechanization Research 6: 66-8. Chinese Academy of Agricultural Mechanization Sciences. 2007. Agricultural Machinery Designing Handbook, Volume 1. Peking: China’s Agricultural Science and Technology Press. Bansal, R. K., Gharras, O. E., and Hamilton, J. H. 1989. “A Roller-Type Positive-Feed Mechanism for Seed Metering.” Journal of Agricultural Engineering Research 43: 28-31. Singh, R. C., Singh, G., and Saraswat, D. C. 2005. “Optimization of Design and Operational Parameters of a Pneumatic Seed Metering Device for Planting Cottonseeds.” Biosystem Engineering 92 (4): 429-38. Bereket, B. Z. 2004. “Effect of Different Operating Parameters on Seed Holding in the Single Seed Metering Unit of a Pneumatic Planter.” Turkish Journal of Agricultural Machinery 28 (6): 435-41. Orth, R. J., Marion, S. R., and Granger, S. 2009. “Evaluation of a Mechanical Seed Planter for Transplanting Zostera Marina (Eelgrass) Seeds.” Aquatic Botany 90: 204-8. Liao, Q. X., Zhang, M., and Yu, J. J. 2011. “Pneumatic

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[10]

[11]

[12]

[13]

[14]

[15]

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Centralized Metering Device for Rapeseed.” Transactions of the Chinese Society for Agricultural Machinery 42 (8): 30-4. Qi, B., Zhang, D. X., and Cui, T. 2013. “Design and Experiment of Centralized Pneumatic Seed Metering Device for Maize.” Transactions of the Chinese Society of Agricultural Engineering (Transactions of the CSAE) 29 (18): 8-15. Qi, B., Zhang, D. X., Liu, Q. W., Yang, L., Shi, S., and Cui, T. 2015. “Design and Experiment of Cleaning Performance in a Centralized Pneumatic Metering Device for Maize.” Transactions of the Chinese Society of Agricultural Engineering (Transactions of the CSAE) 31 (1): 20-7. Qi, B., Zhang, D. X, and Cui, T. 2013. “Design and Experiment of Centralized Pneumatic Seed Metering Device for Maize.” Transactions of the CSAE 29 (18): 8-15. He, J. L., and Qiu, Z. R. 2001. “Experimental Study on a New Type Seed Meter.” Transactions of the CSAE 17 (2): 80-3. Wang, Z. H. 2014. “Optimizing and Experiment of the Key Parts of the Air Seeder.” Ph.D. thesis, Peking: China Agricultural University. Li, Z. H., Wang, D. C., and Liu, G. L. 2009. “Experimental Study on Sowing Seeds by Air-Stream Metering Mechanism.” Transactions of the CSAE 25 (1): 89-93. Li, Z. H., Wang, D. C., and Liu, G. L. 2009. “CFD Simulation and Improvement of Air-Stream Distributive Metering Device.” Transactions of the Chinese Society for Agricultural Machinery 40 (3): 64-8. Wang, Q. X. 2013. “Process Selection and Technology Study on Rape-Seed Pelleting.” Ph.D. thesis, Peking: China Agricultural University.

D


DAVID

PUBLISHING

Reliability Improvements to Centrifugal Pump Performance in Conjunction with Inducers, CFD Comparative Study Said A. F. Hawash1, Dalia M. S. El Gazzar1 and Mohamed A. El Samanoudy2 1. Mechanical & Electrical Research Institute, National Water Research Center, Qallubiya, Al-Kanater13621, Egypt 2. Faculty of Engineering, Ain Shams University, Cairo 11566, Egypt Abstract: In this research, centrifugal pump unit was analysed to study the effects of using inducers on its performance. Hydraulic tests were done to obtain the optimum hydraulic performance before and after using inducer. Two types of inducers were used in this work (axial, helical). For this purpose, a test rig was specially designed with a pump system to investigate the parameters under consideration. Plots (H-Q) curves, (B.P.-Q) curves and (η-Q) curves were used to show the effect of pump performance with and without inducers. The present study introduces a simulation of centrifugal pump performance in conjunction with inducers using CFD (Computational Fluid Dynamics), to compare it with experimentally observed values. The model investigates the impact of using inducers on the head and flow of the pump. The results of the CFD model and experimental are correlated well. Furthermore, the results help the decision makers of the pumps for future developments in pump performance assuring safe and reliable running condition of the water pumps. Also it may be used for more applications of larger head and flow pumps. Key words: Centrifugal pump, axial & helical inducers, hydraulic performance, CFD simulation, NPSH.

1. Introduction Inducer is an axial impeller which is installed in the same shaft with the impeller of the pump, in front of pump. The main goal of inducer is generating an additionally specific energy on the inlet of the impeller of the pump. The inducer is used usually for the pumps with sever suction condition. It will be replaced after a certain operating time and that is why the technology for its execution has to be simple and economical. In case that using an inducer with a pumping head H, the level of the minimum pressure from the impeller of the pump is rising from correspondence with this pumping head [1]. The reliability of pumps was improved when the original stainless steel impeller and inducer were replaced by Corresponding author: Said A. F. Hawash, researcher and head of Control and Cathodic Protection Dep., research fields: hydraulics of groundwater wells, aquifers, water wells design, irrigation gates, barrages control and maintenance, pump selection, operations, control and performances. E-mail: [email protected].

titanium, which is to raise the output shaft critical speed above the pump operating speed. These improvements have lowered the shaft vibration and greatly improved the reliability of the pump. Synchronous vibration continues to be a problem [2]. The cavitation phenomena start causing both of main pump head and/or efficiency to be reduced significantly, then generates vibration and noise. In order to avoid these phenomena, the inlet of the pump is fitted with a special rotor called an inducer, which can operate satisfactorily with extensive cavitation [3]. Rotational energy is imparted to the fluid as it is propagated up the inducer blades to the impeller inlet. Once the fluid has enough rotational energy it beings to rotate with the inducer blade and no longer moves up towards the impeller inlet. Using grooves or vanes on the inducer housing in a counter rotational direction to the inducer, will catch the rotating fluid. The fluid will be pushed up in the grooves or along the vanes towards the impeller inlet. This improved

Reliability Improvements to Centrifugal Pump Performance in Conjunction with Inducers, CFD Comparative Study

NPSHR (Net Positive Suction Head Required) by approximately 1 m of head at the rated flow. The design of inducers is critical to achieving high suction performance in industrial pumps and rocket engine turbo pumps. However, the conventional design approach, based on blade angles, often causes unstable pump operation. Instabilities such as strong inlet backflow and rotating cavitation in inducers may cause mechanical failures in pumps and the entire pumping system [4].

2. Experimental Test Procedures Hydraulic tests were done to evaluate pump unit performance with and without conditions of using inducers. Firstly, the whole pump performance was analyzed before using inducer. Then, two types of inducers (helical-axial) were installed to study their effect on the hydraulic performance of the pump unit. The inducer was mounted on the threaded area of the rotor assembly (taking the place of the impeller nut) and operates as a low (NPSH) axial flow impeller in series with the main pump impeller [5]. Flow rate, suction and delivery pressure heads, power consumption, and overall efficiency are measured and calculated to determine hydraulic performance at the different operating conditions. BEP (best efficiency points) are determined by different operating speed for the pumping unit providing optimum hydraulic performance. The test rig as shown in Fig. 1 is a closed circuit where the pump sucks from and delivers water to a big tank (4 m3). Two manometers with an error reading of (±) 1% are mounted on the suction and delivery pipes to measure the pump head, while the calibrated flow-meter, with an error reading of (±) 2% is mounted on the delivery pipe to measure the pump discharge, the discharge is controlled by means of a sluice valve. The designed specifications of the pump are, 45 L/sec. discharge, 27 m head, 30 kW motor power, and 1,500 rpm motor speed as shown in Fig. 2.

297

3. Hydraulic Results and Analysis A complete set of readings were taken at different discharges from shut-off to full open delivery valve, to cover the entire range of operation of the pump with and without inducers. Flow rate, suction and delivery pressure heads, power consumption, and overall efficiency are measured and calculated to determine hydraulic performance at the different conditions. Plots (Q-H) curves, (Q-P) curves and (Q-η) curves are used to show the effect of pump performance with and without inducers and for different parameters of helical and axial inducers. Hydraulic measurements were taken before using inducer as shown in Table 1.

Fig. 1

Experimental test rig.

Fig. 2

Centrifugal pump used in the experimental test.


298 Table 1 inducer.

Hydraulic measurement results before using

Flow (L/s) 65.4 61.5 58.8 54 50.2 40.1 29.1 15.3

No. 1 2 3 4 5 6 7 8

Total head (m) 12.72 16.93 19.04 23.6 24.66 29.92 33.79 36.59

Electric power (Kw) 26.2 25.5 24.5 23.6 23 21.7 19.1 15.2

Overall eff. (%) 33.55 42.58 44.79 52.95 53.07 54.21 50.47 36.11

maximum overall efficiency was improved and increased to be 68%. 3.2 Secondly The helical inducer was manufactured with 4 turns and angle of 12°, as shown in Fig. 7. The helical inducer was installed and hydraulic measurements were taken as shown in Table 3. The

60

40

35

40

H (m)

25

30

15 20

Eff. %

20

Power (kw)

50 30

10 10 5 Q-H

Q- EFF

Q-P

0

Fig. 4 Axial and helical inducers in conjunction with tested pump, respectively.

0

0.01

0.02

0.03

0.04

3

0.05

0.06

0.07

Q (m /s )

Fig. 3

Pump performance curve without inducer.

Performance curve for H-Q relation, static efficiency and consumed power, is shown in Fig. 3. After that, inducer was mounted on the threaded area of the rotor assembly (taking the place of the impeller nut) and operates as a low (NPSH) axial flow impeller in series with the main pump impeller. Two types of inducers (axial & helical) were installed as shown in Fig. 4. The axial inducer was manufactured with 4 blades with inlet and outlet blade angles (β1-β2) of (11.5°-29.5°) [5]. The helical inducer was manufactured with 4 turns and angle of 12° and then, hydraulic measurements were repeated as shown in inducer Fig. 5. 3.1 Firstly Axial inducer was installed and hydraulic measurements were taken as shown in Table 2. Complete performance curve for H-Q relation, static efficiency and consumed power, is shown in Fig. 6. It could be seen that the head increased about 18%. The

Fig. 5

Design parameters of an axial inducer.

Table 2 inducer. No. 1 2 3 4 5 6 7 8

Hydraulic measurement results using axial

Flow rate (m3/s) 0.0654 0.0615 0.0588 0.054 0.0502 0.0401 0.0291 0.0153

Head (m) 17.7 20.33 24.60 27.87 31.98 36.81 40.74 44.63

Electric power (Kw) 26.8 26.5 26.3 25.8 25.3 23.1 20.5 15.8

Overall eff. (%) 38.72 48.84 59.47 64.62 66.82 68.00 65.27 41.12


299

50

80 75

45

70 65

40

55 50

H (m )

30

45 25

P o w e r (k w )

60 35

40

30 25

15

E ff. %

35 20

20 10

15 10

5 Q-H 0

Q- EFF

Q-P

5 0

0

0.005 0.01 0.015 0.02 0.025 0.03 0.035 0.04 0.045 0.05 0.055 0.06 0.065 0.07 0.075 3

Q (m /s)

Fig. 6

Pump performance curve using axial inducer.

Fig. 8

Pump performance curve using helical inducer.

about 26%, increased head about 20%, whereas using axial inducer improved the increasing of pump efficiency reach 22% and increased head about 18%. A CFD model will be done to compare experimental results with its numerical ones and show degree of correlation with the experimental values [6].

4. Mathematical Modeling

Fig. 7

Design parameters of helical inducer.

Table 3 inducer. No 1 2 3 4 5 6 7 8

Hydraulic measurement results using helical

Flow rate (m3/s) 0.0654 0.0615 0.0588 0.054 0.0502 0.0401 0.0291 0.0153

Head (m) 16.37 22.03 26.14 29 33.51 38.35 42.84 45.75

Electric power (Kw) 26.8 26.5 26.3 25.8 25.3 23.1 20.5 15.8

Overall eff. (%) 38.2 57.61 58.89 63.91 70.63 71.59 64.95 42.84

results of hydraulic measurements using helical inducer are shown in Fig. 8. So, using helical inducer improved overall efficiency to reach 71.59% and increased head about 20%. Experimental work illustrated that using helical inducer enhanced the increasing of pump efficiency

The CFD (computational fluid dynamic) model of the pump in conjunction with inducer is a crucial part of this study. The model investigates the impact of using inducer on the head and flow curves. The results of this phase have a huge impact on the quality of the results obtained by experimental setup and the mathematical model developed. The main problem was to model the geometry of the inducer in conjunction with the pump. Actually the CFD part of this study is only to find out the correlation between the experimentally observed data and data generated by the CFD model. If the CFD model thus develops to establish good correlation with the observed data, it could be used to analyze the various types of the system without fabricating the physical model. From a purely numerical perspective the geometric complexity of the problem is that it demands the full power of modern CFD to solve the equations of motion and turbulence models in domains that involve multiple surfaces [7].


300

Table 4 Change in head and efficiency values due to using helical and axial inducers.

53.07

68

21.96

71.59

25.87

“EquiSize Skew” of the grid were all less than 0.95, so the grid quality is good. Fig. 10 shows the 3D model and wall grid of the calculation region with 7 blades.

36.59

44.63

18.01

45.75

20.02

4.3 Numerical Simulation for Pump Model

Without Axial Change Helical Change inducer inducer % inducer % Effici. (%) Head (m)

FLUENT was used to simulate the inner flow field under non cavitations’ condition. The standard k-ε turbulence model and SIMPLEC algorithm are applied to solve the RANS equations. The simulation is steady and moving reference frame is applied to take into account the impeller-volute interaction. Convergence precision of residuals is 10-5. 4.4 Governing Equations

Fig. 9 Increasing head and efficiency values by using helical and axial inducers.

4.1 Numerical Simulation and Building Model The numerical simulation has been made after the completion of experimental measurements. The simulation has been made using CFD code i.e. FLUENT software under ANSYS version 12.0, commercial code with solving 3D flow. The FLUENT model serves as a tool that discretizes and solves governing equations for specifics geometrics using a set of finite volume [8].

The incompressible flow through the rotating impeller is solved in a moving frame of reference with constant rotational speed equal the rotational speed of the impeller. The flow through the stationary parts of the pump is solved in an inertial reference frame. The governing equations for the impeller are formulated below: 0 (1) 2 Ω Ω Ω (2) Where ρ, is the density of the fluid, P is the static pressure, ur is the vector fluid velocity in the rotating system, Ω is the rotational speed and μeff is the dynamic effective viscosity which is a linear combination of laminar and turbulent viscosity derived from k-ɛ model of turbulence. The last two

4.2 Geometry Design The basic three-dimensional geometry is prepared using CFturbo. The generated grid using GAMBIT. The meshes required for the calculations were generated and checked by using the CFD preprocessing package, GAMBIT. Due to the geometry of the pump is very complex, unstructured tetrahedral mesh is used. “EquiAngle Skew” and

Fig. 10

The pump 3D model and wall grid.


301

terms in the left hand side of Eq. (2) are the effects of the Coriolis and centrifugal forces due to the rotating frame of reference. For the stationary parts of the centrifugal pump, the governing equations are formulated in the stationary reference frame. The continuity equation remains the same, but the momentum equation reduces to: (3)

considered 100 μm. The turbulence intensity at the inlet totally depends on the upstream history of flow. Since the fluid in the suction tank is undisturbed, the turbulence intensity for all conditions is considered 5%. Water was used as a working fluid in ambient condition.

Where, u is the vector fluid velocity in the stationary frame of reference. The turbulence of the flow is modeled with standard k-ε model that is rated as the most used model that combines simplicity, robustness and reasonable accuracy. Moreover, it has been tested in a wide range of industrial flows showing satisfactory results. The differential transport equations for the turbulence kinetic energy and turbulence dissipation rate are:

5.1 Main Results

ρ

(4) (5) (6)

Where, u is the local velocity vector, k is the turbulent kinetic energy, ε is the dissipation rate, μ is the laminar viscosity, μt is the turbulent viscosity, Gk represents the generation of turbulent kinetic energy due to the mean velocity gradients, σk and σε are the turbulent. Prandtl numbers and C1k = 1.44, C2ε = 1.92 and Cm = 0.09 are the constants of the model.

5. Results and Discussion

Case 1 (pump without inducer): The hydraulic measurement results before using inducer can be illustrated as follows in Table 5 and Figs. 11 and 12. These values show that the static pressure increases gradually from inlet to outlet, the pressure difference between the outlet and the inlet is different. Heads upstream of the impeller can be computed by the pressure difference. Case 2 (pump in conjunction with axial inducer): The hydraulic measurement results using axial inducer can be illustrated as follows in Table 6 and Figs. 13 and 14. Table 5 inducer. No. 1 2 3

Hydraulic measurement results before using

Case For impeller (inlet) For impeller (outlet) or (volute inlet ) For volute (outlet)

Velocity (m/s) Pressure (psi) 4 1.2 16

26

6

34

4.5 Boundary Conditions In the present study, mass flow rate and outflow boundary conditions were used for the inlet and outlet, respectively. Outer walls were stationary but the inner walls were rotational. There were interfaces between the stationary and rotational regions. Non slip boundary conditions have been imposed over the impeller blades and walls, the volute casing and the inlet wall and the roughness of all walls are

Fig. 11

Static pressure contour of case 1.


302

Fig. 12 Table 6 inducer. No 1 2 3 4

Velocity contour of case 1. Hydraulic measurement results using axial

Case For inducer (inlet) For inducer (outlet) or impeller (inlet) For impeller (outlet) or (volute inlet ) For volute (outlet)

Velocity (m/s) Pressure (psi) 3 1.2 6

2

11

28

5

36

Fig. 14 Table 7 inducer.

Hydraulic measurement results using helical

No.

Case

1

For inducer (inlet) For inducer (outlet) or impeller (inlet) For impeller (outlet) or (volute inlet ) For volute (outlet)

2 3 4

Fig. 13

Velocity contour of case 2.

Velocity (m/s) 3

Pressure (psi) 1.2

5

3

12

30

4

39


Case 3 (pump in conjunction with helical inducer): The hydraulic measurement results using helical inducer can be illustrated as follows in Table 7 and Figs. 15 and 16. CFD model final results show that using helical inducer improved the hydraulic parameters, Figs. 15 and 16. Thus, Helical inducers improve the centrifugal

Fig. 15


pump performance by increasing both its efficiency and head, but decreasing brake power. Therefore, this research proved that adding helical inducer enhanced the increasing of pump efficiency about 26%,


Fig. 16

Velocity contour of case 3.

increased head about 20%, whereas using axial inducer improved the increasing of pump efficiency reach 22% and increased head about 18%. A CFD model thus developed showed a good correlation with the experimentally observed values. 5.2 NPSH (Net Positive Suction Head) for Centrifugal Pump One of the most important considerations in selecting and applying a centrifugal pump in the existing conditions is the pump’s suction system. These conditions are best expressed as “NPSH” (net positive suction head). This term is officially defined in accordance with the standards of the Hydraulic Institute as “The total suction head in feet of liquid absolute, determined at the suction nozzle and corrected to datum, less the vapor pressure of the liquid in feet absolute”. In simple terms, NPSH is the absolute pressure in feet of liquid at pumping temperature available at the pump suction flange above vapor pressure [6]. Since centrifugal pumps are incapable of handling large quantities of vapor the pump’s external suction system must provide sufficient absolute pressure to prevent vaporization or flashing in the impeller. This pressure is normally

303

referred to the centerline of the pump suction nozzle. When this pressure is not sufficient to prevent vaporization, the phenomenon known as (cavitations), occurs causing damage to the impeller, reduction in pump developed head and capacity, noise and vibration [6]. Pump manufacturers are determined to test the NPSH required at various capacities for a particular pump and plot it as a function of capacity. This is referred to as NPSHR (net positive suction head required). Conversely, the NPSH available in the system is referred to as NPSHA (net positive suction head available). For cavitations free operation the NPSHA must equal or exceed the NPSHR at the desired capacity. It must be realized that suction conditions and NPSHA are very important than the pumps capacity and total head. More attention to suction conditions and NPSHA will result in more trouble, free pump operation [6]. 5.3 Comparison between NPSH for Centrifugal Pump with Helical, Axial, and without Inducers In order to compare the present work with other investigators regarding the pump NPSH, the best obtained configuration of the inducers section was selected and the NPSH was calculated at these selected types at the maximum efficiency points: (1) For helical inducer, maximum efficiency (72%) at 1,000 rpm is obtained by using (3 turns-17º) helical inducer. (2) For axial inducer, maximum efficiency (62%) at 1,000 rpm is obtained by using (4) Bladed-(β1 = 11.5º, β2 = 29.5º) axial inducer. (3) For the case without inducer, maximum efficiency (54.21%) at 1,000 rpm. NPSH = {([(P)air – (P)vapor]/γ) – Hss – Hloss suction –[v2/2g]}7 Where, Pair = 1 bar; Pvapor = 2.339 kpa = 0.02339 bar at temp. = 30º; Hss: Vertical distance between pump and section level = 10 cm = 0.1 m;


304

The flow of the centrifugal pump with inducers: axial (4-blades) and helical (3 turns) are numerically simulated. The corresponding performance is carried out experimentally. The conclusions can be summarized as follows: Comparison of the simulation and experiment shows that the trends of performance curves are close. The tested pump conjunction with different inducers has different heads. The head of the centrifugal pump reaches its highest values with using helical inducers; Moreover, using helical inducer enhances pump hydraulic performance as head increased 20%. Using axial inducer enhances pump hydraulic performance as head increased 18%. On the other hand, the pump should be mechanically compatible with the addition of inducer otherwise it may produce a problem. Using helical inducer enhances both dynamic and hydraulic performances of the pump with an insignificant change than using axial inducer, but with high obviously values than using pump without inducer; The present research paper can supply significant guide for inducer’s user for different applications.

NPSH (m)

1.2 1.1 1 0.9

Helical Inducer

1.3

Axial Inducer

6. Conclusions

Without Inducer

1.4

0.0355

0.03487

0.8 0.0401

Discharge (m 3/s)

Fig. 17 Comparison between NPSH & Q for centrifugal pump with helical, axial and without inducer at 1,000 rpm.

Hloss suction = F Lv2/2gd; F = Friction factor = 0.03; L = Length, suction pipe = 0.8 m (80 cm); d = Suction pipe diameter = 4" = 0.1016 m; v = Q/(п/4) d2 at (η max). 5.3.1 Calculation of the Three Cases (Fig. 17) Case 1. Without inducer (ηmax = 54.21% at 1,000 rpm), from equation no. (7), so; for Q = 0.0401 m3/sec and v = 5.005 m/sec, Then, (NPSH)without inducer = 1.36931 m. Case 2. For axial inducer (ηmax = 68% at 1,000 rpm), from equation no. (7), So; for Q = 0.0355 m3/sec and v = 4.43036 m/sec, Then, (NPSH)Axial inducer = 1.092318 m. Case 3. For helical inducer (ηmax = 71.59% at 1,000 rpm), from equation no. (7), so; for Q = 0.03487 m3/sec and v = 4.35174 m/sec, Then, (NPSH)Helical inducer = 1.057044 m. 5.3.2 Final Results; from Fig. 17 It’s so clear that adding an inducer can improve pump performance against cavitation. Moreover, the helical inducer exhibits the best performance against cavitation; the second is the axial inducer; the third is the pump without inducer.

References [1]

[2]

[3]

[4]

[5]

Anton, L. 2008. “Numerical and Experimental Investigations of the Flow into an Inducer.” In Proceedings of the International Conference on Hydraulic Machinery and Equipment, 1-6. Wilox, E. 2007. “Reliability Improvements to a High Speed/High Energy Pump.” In Proceedings of the Twenty-Third International Pump Users Symposium, 1-6. Lee, S., Jung, K.-H., Kim, J.-H., and Kang, S.-H. 2002. “Cavitation Mode Analysis of Pump Inducer.” KSME International Journal 16: 1497-510. Ashihara, K., and Goto, A. 2002. “Effects of Blade Loading on Pump Induce Performance and Flow Fields.” In Proceedings of ASME Fluid Engineering Division Summer Meeting, 925-34. Mostafa, M. A. A. 2012 “Experimental & Theoretical Investigations on the Performance of Centrifugal Pump in Conjunction with Inducers.” Ph.D. thesis, AinShams University.

Reliability Improvements to Centrifugal Pump Performance in Conjunction with Inducers, CFD Comparative Study [6] [7]

Moawad, M. A. 2015. “Study of Improving a Centrifugal Performance.” Master thesis, Benha University. Munson, B. R. 2001. Fundamental of Fluid Mechanics. New York: John Wiley and Sons.

[8]

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Cheah, K. W., Lee, T. S., Winoto, S. H., and Zhao, Z. M. 2007. “Numerical Flow Simulation in a Centrifugal Pump at Design and Off-Design Conditions.” International Journal of Rotating Machinery 1: 1-8.

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Air Ionization and Its Effects on the Health—An Outline of a Research Project Massimo Scalia1, Massimo Sperini1, Gualtiero A. N. Valeri2 and Vincenzo Isabella Valenzi1, 2, 3 1. Sezione BEM (Bioelectromagnetism), C.I.R.P.S. (Interuniversity Research Centre for Sustainable Development), “La Sapienza” University, Via Cavour 256, Rome 00184, Italy 2. Department of Chemistry, IURS 3. Director Biomedical Science Department, UNIMEIER, ViaFruà 21/10, Milano 20146, Italy Abstract: The present paper is aimed to better illustrate the possible association between a particular extremely weak field, the air ions, and the human health response to this solicitation. Methods and instruments for this kind of analysis are here given in the form of a project: a “Ions meter”, to reveal and characterize the properties of the air ions, and “APEC 300”, an advanced electronic device, both instruments are with a HPR (high power of resolution). APEC 300 can give the response to the possible health effects by measurements of two electrocuteaneous parameter: the potential level and the impedance. The power of resolution of APEC 300 is much higher than that of other usual devices, for instance, the EAV ones (electroacupuncture), this instrument will be completely ready within few weeks. Key words: Air ions, ions meter, electrocutaneous parameters, high resolution, APEC 300, EAV (electroacupuncture).

1. Introduction 1.1 Some Data on Air Ions Properties The aerial ions have been studied as environmental important parameter for many decades, and their importance in biological maintenance of the health state is probably due to their spatial electric charge. The presence of the spatial electric charge in the atmosphere is strictly linked also with environmental physics characteristics, meteorology, pollution, climatology and bioclimatology [1-5]. Actually, a complete biophysical model to describe the whole electrical environment in the atmosphere and its biological effects does not exist [6]. We do not yet have the physical laws that rule the complex interdependence of the processes of storms, the maintenance of the natural electric field and the aerial-ion behavior, but all the electric phenomena are Corresponding author: Vincenzo Isabella Valenzi, M.D., research fields: biometeorology and climate therapy, quantum chemistry and pharmaco-electrodynamics. Email: [email protected].

usually related to the so called “normal” weather conditions. For instance, the idea of “good weather” is sometimes assumed as the framework for the studies on the effects of altitude climate-therapy of respiratory diseases as well as cardiovascular disorder. This approach will not be correct because the storms and all other weather perturbations represent the way to maintain the equilibrium of the atmosphere system with respect to the spatial electric charge and the natural air ionization, in a feedback mechanism [6]. Thus, a more subtle point of view is needed when assessing the criteria of “good weather” as an equilibrium state in view of a correlation with health conditions. Anyway, the atmospheric electric charge plays an important role in the climate genesis and the weather evolution. A high correlation exists between the electric conductivity of the low atmosphere and the air ionization, the latter determining the microclimate in which the man lives. The amount of positive and negative ions has a great importance in bioclimatology and affects both the human physiological parameters

Air Ionization and Its Effects on the Health—An Outline of a Research Project

and the behavioral ones, some features of these parameters can be recognized from the Tables 1 and 2. 1.2 A Brief Analysis of the Data From the reported data it is possible to argue that: (1) the absolute number of negative and positive ions is higher in outdoor than in indoor, unless in the case of an artificial ionization (laboratory, Table 2 row 2); (2) a n-/n+ ratio near 1, the “equilibrium”, cannot be showy taken as an index of an environment good to health; (3) less polluted areas have a higher absolute number of small ions, also indoor. In the latter case the presence of people significantly reduces the small ions concentration; (4) the subjective perception of “best conditions” seems related to the high number of small ions; (5) an electrical ionization by means of a flux of big Table 1

ions can dramatically change the characteristics of the indoor air, surely as a matter of subjective perception. This list suggests that an association of small ions with good health, beyond the perception of best conditions, can be not arbitrary. On the contrary, there are some considerations in favor of a negative answer to the question: “Is there an impact of the air ions on the human health?”. 1.3 Extremely Weak Fields In fact, their “force” seems too weak to produce biological or health effects. It’s enough to look at the electric currents induced in our body by air ions: about (0.01 ÷ 0.1) nA (1 nA = 1 nano Ampere = 10-9 A), while a wide set of usual electronic devices have an operative range centered on 1 µA (1 µA = 1 micro Ampere = 10-6 A), that is about 105 times higher. An analogue figure is shown by the concentration of air ions: it varies from 10-12 p.p.m. (part per million) at sea

Values of measures of air ions (outdoor).

Place

n- Ions

n+ Ions

n-/n+ Ratio

Country at sea level Sea, quiet, no wind Mountain 2,000 m Mountain 2,000 m Phön Town street no traffic Town street traffic

303.7 436.7 560.3 9,632 120.5 30.8

251.6 354.4 602.5 11,79 108.7 150.4

1.21 1.23 0.92 0.81 1.1 0.2

Table 2

Small Ions 1 (K ≥ 1) % 88.0 84.7 92.0 90.0 66.0 25.0

Big Ions (K < 1)1 % 12.0 15.3 8.0 10.0 44.0 75.0

Small Ions (K ≥ 1)1 % 70.0 17.2 73.0 42.0 35.7 40.1 20.2 80.3 42.6 20.6 15.3

Big Ions (K < 1)1 % 30.0 82.8 27.0 58.0 64.3 59.9 78.8 19.7 57.4 79.4 84.7

Best (++++) Worst (+) perception ++++ +++++ +++++ +++ +++ +

Values of measures of air ions (indoor).

Place

n- Ions

n+ Ions

n-/n+ Ratio

Physic lab Physic lab-Ionizer device on Gymnastic hall no people Gymnastic hall in use Hospital surgery room conditioned Classroom no children Classroom children Classroom no children near power line Classroom children near power line Library in use Young cultural center

136.6 4,305 130.3 13.2 1.8 106.3 50.3 110.7 47.9 3.7 12.5

128.3 135.5 142.6 32.5 4.2 120.5 116.5 208.7 180.6 40.8 0.41

1.06 31.7 0.91 0.40 0.42 0.88 0.44 0.53 0.26 0.09 30.4

1

307

Best (+++++) Worst (+) perception ++++ ++ +++ + + +++ ++ +++ ++ + +

“K” is the mobility coefficient of different species of ions, bigger than one as their velocity is higher than a fixed value.

308


level to 10-8 p.p.m., below an AC power line, while the concentration of O3 and SO2, responsible for well known effects on the respiratory system, are, respectively, 10-2 p.p.m. and 1 p.p.m. In spite of similar considerations, there are a lot of natural phenomena in which a solicitation of a very low intensity is at the basis of a physiological response: the electroreception in elasmobranchs is activated by 1 µV; the human eye retina is capable of detecting few photons; a concentration from 10-10 M to 10-12 M—a dilution in water equal to that of the air ions at sea level—of the aldosterone or anti-diuretic hormones is capable of saving the sodium request of the renal tubules in our body, and so on. In any case, many scientific works have tried to give an answer if the air ion, weak or less weak is the intensity of their solicitation, have some significance for the behavior of biological systems and the state of human health, in the past and also in the more recent years (see, for instance, Refs. [7-17]). Another issue has come to the attention since “the golden age of house-dust mites is over”: the “new” indoor contaminants—molds, bacteria and their metabolites—have run the gauntlet to be investigated as attacking human health. The variation of the air ion levels has been hypothesized as a stress factor acting on children [18], as well as the correlation between the change of meteorological conditions and the onset of myocardial infarction [19]. Many relevant chronobiological studies about the influence of high altitude on some physiological parameters (pressure of blood, heart rate, circadian and infradian cardiovascular rhythms, arterial stiffness and neurocardio-pulmonary function, etc.), also in relationship with the ageing of populations, are quoted in bibliography [20].

2. Materials and Methods 2.1 Measuring Electrocutaneous Parameters A latere of the previous proposed, and partly experienced, methodologies, another way to possibly

have more direct results in order to assess the effect of the air ions, or of other pollutants, on the human health is measuring the electrocutaneous parameters: the impedance and the potential level, and their variations in time. In the case of the air ions, this implies we have previously characterized the local environment—outdoor, indoor—by measuring the fundamental parameters of the air ions, that is, their current (the number of ions) and their mobility. Referring to the methodology of electrocutaneous measures, the role of the skin has to be emphasized: it cannot be more thought as a passive element of our organism, since it is deeply correlated with almost all organs of our interior (lungs, heart, respiratory organs, liver, etc.). It’s a long time that the skin has become a protagonist, surely in Western Countries, since when Reinhold Voll launched his electroacupuncture (EAV) as a diagnostic method in Medicine [21]; a method still practiced everywhere in the world [22]. Apart from the EAV method, that needs special electrodes point shaped, and a special skill, mainly the measures of the potential level, but also of the impedance of the skin, or of the derma, could be done by means of the usual electrodes and could give important information on the health state, also for a single organ, whatever is the nature of the stress acting on the body; even though these measures are not taken in correspondence to the dermatomes (dermatomera) [23]. Reliable indications on the health in children, or in other critical groups to be tested, could be obtained, restricting oneself only to measurements of the potential level of the skin—a measure without any kind of stimuli, just like an EEG or ECG, that does not require to be allowed by sanitary authorities, and comparing the results, specially the Fourier spectrum of the potential, in the two different environments: at sea level in an urban context, at altitude in a not polluted area. This methodology demands new techniques of measurement, quite more advanced than the EAV ones or the other techniques usually applied to the today


scientific research. In fact, due to the already underlined smallness of the values, these proposed measurements—air ions, electrocutaneous parameters—require electronic instruments characterized by a very high power of resolution. 2.2 HPR (High Power of Resolution) Devices: “Ions Meter” and “APEC 300” About all this matter we have got ready to a research project, the general purpose of which is to investigate biological and health effects as consequences of the climate at high altitude. The scope is to obtain results that better show the correlation among the air ions, or other climate characteristics or polluting factors, and the biological systems and, mainly, the response of the human health, by means of new techniques of measurement. In fact, the validity of the correlation strongly depends on the accuracy of measurements, which, in turn, require a high power of resolution in determining the parameters characterizing the air ions as well as determining cutaneous potential levels or impedances. Thus, an objective that coordinates with the general aim is to completely realize the two HPR electronic instruments that are necessary for reliable measures: an “Ions meter” and an electrocutaneous parameters analyzer (APEC 300). HPR is requested in both cases by the smallness of the intensities of what one wants to measure; in the case of the air ions, which act as an external stimulus, a more precise association with a health response requires an air ions measurement apparatus capable of appreciating a 10 fA2current, that is, tens of ions. On the other hand, the electrocutaneous parameters need a sensibility of 0.01 nV (1 nV = 1 nano Volt = 10-9 Volt) on a measure of 0.1 nV, which can be the values characteristic for the response in tension in the environment of many industrial areas. The first device, the “Ions meter”, has been already projected and realized. The tuning of this instrument, 2

fA: femtoAmpere, 1 fA = 10-5 nA

309

necessary to perform those profiles of the research that demand HPR, will require a considerable amount of time to be completed; nevertheless, many measures useful for the proposed research project can be done by the “Ions meter” at its present stage. The second one, APEC 300, is the apparatus to measure the electrocutaneous parameters at the required level of resolution; it needs only a few weeks to be completely tested and verified. Regarding the cutaneous response of the human organism, the values of measure vary in the milliVolt range, but the nanoVolt range is requested in order to appreciate the electric fields emitted by the skin superficial stratum. In fact, the variations of these electric fields, and their frequency spectrum, are the signals of a physiological behavior of the human organism or the onset of some pathology. The kind of pathology or benefit can be revealed by the characteristics of the frequency spectrum of the response; that can be better assessed through an examination that should operate at cell culture levels. This latter analysis needs a higher power of resolution, up to 0.1 nV. Some experiments, which have been performed on mice living in an urban context, have suggested to check their behavior at altitude (Briançon) and then extend to humans this kind of test, by the means of the project in progress: a climate cure for children, with doses of 1 week, 1 month, before Christmas break and, then, after the holidays. This objective will imply direct experiments at high altitude with children and possibly with other “critical” groups (ageing people, pregnant women); the minimal time of exposition will be one week. The physiological data taken at altitude will be compared with the values of the same parameters, registered at sea level. The experimental protocol will be derived from the literature and the previous experiences of the researchers of the group. Useful information will be obtained by an experiment with mice exposed to high altitude climate, to be compared with the one already realized at sea

310


level in an urban context, this experiment will precede the ones with human beings.

3. Results and Discussion Some interesting data for air ions in mountain climate, as a new environmental parameter, have been gathered in the early Ninety [24, 25]. They have been recently republished in a review [26]; the methods of measurements, models and correlations with human health have been republished in another review that collects a number of papers [27]. Now, in the present project, the analysis of a possibly different behavior, at sea level and at altitude, could be performed recurring to the two already mentioned devices—“Ions meter” and APEC 300—realized in the framework of the researches led by the Section BEM of C.I.R.P.S. 3 . Since the technology of high resolution instruments is very difficult to find on the market, it has become mostly an apanage of military laboratories and projects, the researchers involved in the project have overcome this situation by designing not only the whole apparatuses but also the main components of each device. Further, another relevant information can be obtained from carrying out tests also on human cell cultures, as markers of a specific action of the air ions; the latter are in fact, due to the modality provided for the experiments, the only relevant external influence which could act on cells. The recourse to the human cells as a test has been already experimented in a pair of campaigns aimed to an electromagnetic characterization of the environment [28]. It’s worthwhile to note that in literature, most of all scientific researches mention measures of impedance or resistance of the biological objects, actually ignoring the role of the cutaneous potential level. On the contrary, as it has been previously emphasized, the values of the potential level can precisely inform about the deviation from the homeostasis of a tissue or an

organ, reducing to a simple measure of a parameter the timely knowledge of which in Medicine is the supervene of a functional disturb. Our first measurements of electrocutaneous potential level and of its Fourier spectrum have shown a significance that will make unjustifiable to neglect it; the Fourier spectrum seems to characterize the specific response of every tested biological object.

4. Conclusions The challenge is to verify and improve the results already known, and also to get a better control on the phenomenological aspects. The data so acquired will be able to confirm many current hypotheses or to advance new ones, with the double advantage of an experimental check and of being able to build more well founded models or theories in this domain, and eventually to acquire a deeper insight of many biophysical mechanisms concerning the health state.

Reference [1]

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3

CIRPS-Centro Interuniversitario di Ricerca per lo Sviluppo Sostenibile (Interuniversity Research Centre for Sustainable Development), “La Sapienza” University, Rome (Italy).

[8]

Rycroft, M. J., Israelsson, S., and Price, C. 2000. “The Global Atmospheric Electric Circuit, Solar Activity and Climate Change.” Journal of Atmospheric And Solar-Terrestrial Physics 62: 1563-76. Panneerselvan, C. 2010. “Instrumentation for the Surface Measurements of Atmospheric Electrical Parameters at Maitri, Antarctica: First Results.” Earth Planet Space 62: 545-9. Crowley, J. M. 2011. “The Fair-Weather Atmosphere as a Power Source.” In Proceedings of ESA Annual Meeting on Electrostatic, 1-14. Bhattacharya, A. B. 2011. “On Some Characteristic of Tropical Atmospheric and Cosmic Radio Noise.” International Journal of Engineering Science and Technology 3 (7): 5475-86. Skromulis, A., and Noviks, G. 2012. “Atmospheric Light Air Ion Concentrations and Related Meteorological Factors in Rezekne City, Latvia.” Journal of Environmental Biology 33: 455-62. Scalia, M., Pulcini, F., and Sperini, M. 2015. Elementi di teoria: lo stato di salute. Roma: Andromeda. AA.VV. 1969. In II Simposio Annuale di Bioclimatologia Medica, 6-10. AA.VV.1971. In IV Simposio Annuale di Bioclimatologia Medica, Villa Olmo Como, 782-5. Gilbert, G. O. 1973. “Effect of Negative Air Ions upon


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impatto). [25] Marinelli, F., Sperini, M., Scalia, M., and Murri, A. 1991. “The Air Ionization: A New Environmental Parameter.” In International Symposium: Water, Atmosphere and Soil, a New Environmental Deal. Marinelli, F., Sperini, M., Scalia, M., and Murri, A. 1991. “Un importante parametro in climatologia montana. La ionizzazione dell’aria.” In Proceedings of International Medical Congressof Mountain Climatology.

[26] Scalia, M., Sperini, M., Marinelli, F., and Valenzi, V. 2013. Ioni aerei e salute umana. Roma: Andromeda. [27] Scalia, M., Sperini, M., and Guidi, F. 2014. Effetti biologici degli ioni aerei misure e modelli. Roma: Andromeda. [28] Scalia, M., and Sperini, M. 2013. “Monitoraggio elettromagnetico ambientale”. Convenzione ARPA Lazio–CIRPS. http://www. cirps.it/news/13-news-21, www.arpalazio.gov. it/servizi/eventi/index.htm?page=6

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Differences Description of the Two Different Squares of Taksim Turkey and Vatican Rome in View of Architectural Design Criteria Kevser Incı Erturk Mimar Sinan Fine Arts University, Istanbul 34427, Turkey Abstract: Principles applied to the elements of design that bring them together into one design. This research distinguishes about the architectural design criteria and the comparisonal methods of two squares; one is Taksim in Turkey and in Vatican Sen Petro Square in Rome. Key words: Hatching, inhabitant, substrate two dimentional surface.

1. Introduction Principles applied to the elements of design that bring them together into one design. How one applies these principles determines how successful a design may be Ref. [1]. A line is a fundamental mark or stroke used in drawing in which the length is longer than the width. Two connected points form a line and every line has a length, width, and direction if it is straight [2]. This research distinguishes about the architectural design criteria. This image contains contour lines (the outline of the birds) and decoration lines (hatching). Uses a line that defines or bounds an edge, but not always the outside edge, could represent a fold or color change [3]. The comparison of two different squares will give the different design properties, but it must show us the familiar design conditions in high density of inhabitant.

2. Method and Material A line that defines the edge of space can also be created by a gap of negative space. Many uses include to separate columns, rows of type, or to show a change in document type. Lines are used in linear Corresponding author: Kevser Incı Erturk, Ph.D., research fields: architectural design. E-mail: [email protected].

shapes and patterns to decorate many different substrates, and can be used to create shadows representing tonal value, called hatching. Color can play a large role in the elements of design [4] with the color wheel being used as a tool, and color theory providing a body of practical guidance to color mixing and the visual impacts of specific color combination. Color star contains primary, secondary, and tertiary colors. Uses color can aid organization to develop a color strategy and stay consistent with those colors [4]. It can give emphasis to create a hierarchy and the piece of art. Values and tints and shades of colors that are created by adding black to a color for a shade and white for a tint. Creating a tint or shade of a color reduces the saturation [4]. Saturation gives a color brightness or dullness [4]. A shape is defined as an area that stands out from the space next to or around it due to a defined or implied boundary, or because of differences of value, color, or texture [5]. All objects are composed of shapes and all other “Elements of Design” are shapes in some way [3]. Mechanical shapes or geometric shapes are the shapes that can be drawn using a ruler or compass. Mechanical shapes, whether simple or complex,

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Differences Description of the Two Different Squares of Taksim Turkey and Vatican Rome in View of Architectural Design Criteria

produce a feeling of control or order. Organic shapes are freehand drawn shapes that are complex and normally found in nature. Organic shapes produce a natural feel. The tree’s visual texture is represented here in this image. Meaning the way a surface feels or is perceived to feel. Texture can be added to attract or repel interest to an element, depending on the pleasantness of the texture [3]. Types of texture Tactile texture is the actual three-dimension feel of a surface that can be touched. Painter can use impasto to build peaks and create texture [3]. Visual texture is the illusion of the surfaces peaks and valleys, like the tree pictured. Any texture shown in a photo is a visual texture, meaning the paper is smooth no matter how rough the image perceives it to be. Most textures have a natural touch but still seem to repeat a motif in some way. Regularly repeating a motif will result in a texture appearing as a pattern [3]. In design, space is concerned with the area deep within the moment of designated design; the design will take place on. For a two-dimensional design space concerns creating the illusion of a third dimension on a flat surface [3]. Overlap is the effect where objects appear to be on top of each other. This illusion makes the top element look closer to the observer. There is no way to determine the depth of the space, only the order of closeness. Shading adds gradation marks to make an object of a two-dimensional surface seem three-dimensional. Highlight, transitional light, core of the shadow, reflected light, and cast shadow give an object a three-dimensional look [3]. Linear perspective is the concept relating to how an object seems smaller the farther away it gets. Atmospheric perspective is based on how air acts as a filter to change the appearance of distance objects. Form is any three dimensional object. Form can be measured, from top to bottom (height), side to side (width), and from back to front (depth). Form is also defined by light and dark. There are two types of form,

geometric (man-made) and natural (organic form). Form may be created by the combining of two or more shapes. It may be enhanced by tone, texture and color. It can be illustrated or constructed. Principles applied to the elements of design that bring them together into one design. How one applies these principles determines how successful a design may be Ref. [2]. According to Alex White, author of The Elements of Graphic Design, to achieve visual unity is a main goal of graphic design. When all elements are in agreement, a design is considered unified. No individual part is viewed as more important than the whole design. A good balance between unity and variety must be established to avoid a chaotic or a lifeless design [4]. 2.1 Design Rules Proximity: sense of distance between elements; Similarity: ability to seem repeatable with other elements; Continuation: the sense of having a line or pattern extend; Repetition: elements being copied or mimicked numerous times; Rhythm: is achieved when recurring position, size, color, and use of a graphic element has a focal point interruption. Altering the basic theme achieves unity and helps keep interest. Balance, is a state of equalized tension and equilibrium, which may not always be calm [4]. Types: the top image has symmetrical balance and the bottom image has asymmetrical balance. Symmetry: Asymmetrical produces an informal balance that is attention attracting and dynamic. Radial balance is arranged around a central element. The elements placed in a radial balance seem to “radiate” out from a central point in a circular fashion. Overall is a mosaic form of balance which normally arises from too many elements being put on a page.


Due to the lack of hierarchy and contrast, this form of balance can look noisy. Hierarchy: A good design contains elements that lead the reader through each element in order of its significance. The type and images should be expressed starting from most important to the least [4]. Scale/proportion: Using the relative size of elements against each other can attract attention to a focal point. When elements are designed larger than life, scale is being used to show drama [4]. Dominance/emphasis: Dominance is created by contrasting size, positioning, color, style, or shape. The focal point should dominate the design with scale and contrast without sacrificing the unity of the whole [4]. 2.2 Similarity and Contrast Planning a consistent and similar design is an important aspect of a designers work to make their focal point visible. Too much similarity is boring but without similarity important elements will not exist and an image without contrast is uneventful so the key is to find the balance between similarity and contrast [4]. Similar environment: There are several ways to develop a similar environment [4]. Build a unique internal organization structure. Manipulate shapes of images and text to correlate together. Express continuity from page to page in publications. Items to watch include headers, themes, borders, and spaces. Develop a style manual and stick with the format. Contrasts Space Filled/Empty Near/Far 2-D/3-D Position Left/Right Isolated/Grouped Centered/Off-Center Form Simple/Complex Beauty/Ugly Whole/Broken Direction Stability/Movement

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Structure Organized/Chaotic Mechanical/Hand-Drawn Size Large/Small Deep/Shallow Fat/Thin Color Grayscale/Color Light/Dark Texture Fine/Coarse Smooth/Rough Sharp/Dull Density Transparent/Opaque Thick/Thin Liquid/Solid Gravity Light/Heavy Stable/Unstable Movement is the path the viewer’s eye takes through the artwork, often to focal areas. Such movement can be directed along lines edges, shape and color within the artwork. See also, Portal icon design portal Composition (visual arts) Interior design Pattern language Elements of art Principles of art Color theory Comparisonal properties of two different square Taksim Square (Turkish: Taksim Meydanı), situated in the European part of Istanbul, Turkey, is a major tourist and leisure district famed for its restaurants, shops, and hotels. It is considered the heart of modern Istanbul, with the central station of the Istanbul Metro network. Taksim Square is also the location of the Monument of the Republic (Turkish: Cumhuriyet Anıtı) which was crafted by Pietro Canonica and inaugurated in 1928. The monument commemorates the 5th anniversary of the foundation of the Republic of Turkey in 1923, following the Turkish War of Independence. The word Taksim means “division” or

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“distribution”. The Taksim square was originally the point where the main water lines from the north of Istanbul were collected and branched off to other parts of the city (hence the name). This use for the area was established by Sultan Mahmud I. The square takes its name from the Ottoman era stone reservoir which is located in this area. Additionally, on the other hand, the word “Taksim” can refer to a special improvisational musical form in Turkish classical music that is guided by the Makam system. In front of the water reservoir (Maksem) at Taksim Square was built and also a water pool was put in 1940. After then they decided to build an opera building at this square. The construction begun at 1946, postponed finishing it during 13 years and it was completed and opened at the year 1969. Another significant building that once stood on the square was the 19th century Taksim Artillery Barracks (TaksimTopçu Kışlası, which later became the Taksim Stadium), but it was demolished in 1940 during the construction works of the Taksim Park (Taksim Gezi Parkı) 5. Taksim is a main transportation center and a popular destination for both tourists and the native population of Istanbul. İstiklal Caddesi (Independence Avenue), a long pedestrian shopping street, ends at this square, and a nostalgic tram runs from the square along the avenue, ending near the Tunel (1875) which is the world’s second-oldest subway line after London’s Underground (1863). Numerous travel agencies, hotels, restaurants, pubs, and international fast food chains such as Pizza Hut, McDonald’s, Subway, and Burger Kingare are located in Taksim Square. It is also home to some of Istanbul’s grandest hotels including the Inter Continental, the Ritz-Carlton, and The Marmara Hotel. Taksim is also a favourite location for public events, New Year celebrations, or other social gatherings. Atatürk Cultural Center (Atatürk Kültür Merkezi), a multi-purpose cultural center and opera house, is also located at Taksim Square. Taksim square is a sign of

symbol of Turkish Republic. The Red Square in the Russia, Tiennanmen squares in China, Athens Sytagma square in Greece, Trafalger Square in London, Time Square in New York and Concorde square in Paris which are not so important by comparing with Taksim Square for politicians and historical point of view it is more important. The Pera side of Istanbul is part of the Urban which is sustainable as Western Life style. Taksim Square has a history along the 19th Century first part which continues till today. The Grand Rue de Pera has the biggest the Galata Dervish House (Mevlevihane) in Islamic cultural building and finishes on the other side with Taksim Water Reservoir (Taksim Maksen). In front of this Maksen there was a natural platform. At the beginning of 19th Century Topcu Kislasi (Royal Army House) was built at the North-East of the Natural Platform. Topcu Kislasi is a square building and has an atrium at the center of the building. It has eclectics in the Islamic Architectural style which depends to the North-Africa. There were located horse stalls between Cumhuriyet Monument and Green Area, which are continuous situation on the Green Area and Cumhuriyet Monument. The Cadde-I Kebir (street which comes from Pera) is located between the Horse stalls and Maksen. The first step for the establishment of the today’s square was beginning with building of the Republic Monument. The Design of Environment was established by Italian Architect Giulio Mongeri (7) designed the Neoclassic Eclectics Building by Neo Byzantion units. On the beginning of this age the tramway is surrounded around this monument which comes from Independency Street (Istiklal Caddesi). In front of these horse stalls caffee houses were built. There is a famous coffee house which was known as Eftalopos at the end of 19th Century. The Ataturk Monument was built by Italian Sculptures Pietro Canonica. One French architect and urban planners Henry Prost [6] was invited to make a main plan for Istanbul. In this plan which is accepted by Istanbul Metropolitan Municipality in 1939, instead of


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Fig. 1 Taksim Square, http://upload.wikimedia.org/wikipedia/commons/thumb/4/4f/TaksimSquareIstanbul.jpg/800pxTaksimSquareIstanbul.jpg

Fig. 2

San Pietro Square in Vatican by Plan and Cross Section.

Fig. 3

San Pietro Square in Vatican by Plan and Cross Section.

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the Royal Army House (Topçu Kışlası) the Green Area was established. After this plan, this building is diminished. It appears a wide and green area and the Republic Monument was located on one edge of the Taksim square. In the Year of 1993 the Independecy Street (Istiklal Caddesi) was changed as walking Zone. At the beginning of the 20th Century, this square has a mobility character with the spectacular Balcony by famous Levanten Architect Alexander Valery [6]. In 1970 the Marmara Taksim Hotel is added to this square. In spite of during this process to Taksim Square lost from his meaning many things it becomes the focus point of the Republic on the social life. NTV television had its morning news studio on Taksim Square for a number of broadcasting seasons, before moving to its new studio in 2011. The Square of Vatican San Pietro is identified for finding the necessary space buildings like shopping and entertainment and for pray, conservated heritage and culture of the own country.

3. Consequences The square of Vatican is the center of Christians (Catholic) religion. By comparison this square with Taksim square at the centre of Taksim square there is monument of Ataturk, and in Vatican square there is a historical column monument which is located the central point. The plan is contributed as line which comes from the central point. The traffic way comes to one edge of the Vatican Square and acts like a gate. In comparison this square with Taksim, this square lost his central contributed plan properties by changing with the new Taksim plan orders. Taksim Square has in one edge a wider and greener healty habitat area. Now, this habitat area should be ordered in scope of healty relations with small shopping touristical buildings. Vatican square (Vatican San Pietro Square) is the centre of Christians, it has a holly meaning which has

collected the people surrounded by a religious aim. This square of Vatican San Pietro includes has San Pietro Building and Cistine Scapel. Their walls are embellished by the sculptures which tell the story of Christian’s birth. This official space supported gathering the people. Taksim Cumhuriyet square is the symbol of the Turkish Republic. Taksim square is one of the important squares like Beyazıd and Sultan Ahmet square in our political history but it is not so important like in Moscow Kremlin square in Russia, Tienman square in China, Athens Sytagma square in Greece, Trafalger Square in London, Time Square in New York and Concorde square in Paris. Taksim Cumhuriyet square has the identity of the political and coming together symbol and it has to conserve and protect its sustainability and its conservation. Here can be discussed the culture and the secular, political and democratic ideas by the people and NGO’s defined their wishes and hopes. By comparing of these two different squares they have different functions and designs. Taksim square has a character of discussing the democracy, and independency ideas and dominant lines and it is the product of a flexible design. The urban and open squares cannot be met in Islamic countries but it can be seen in European open squares except Tahrir square in Cairo and Azadi Square in Tehran. These squares are employed by themselves during the time.

References [1]

[2] [3] [4] [5] [6] [7]

Lidwell, W., Holden, K., and Butler, J. 2010. Universal Principles of Design (2nd ed.). Beverly, Massachusetts: Rockport Publishers. Lovett, J. 2012. “Design and Color.” Saw, J. 2012. “Design Notes.” Palomar College. White, A. 2011. The Elements of Graphic Design. New York: Allworth Press. http://www.en.wikipedia.org. Can, C. 1993. Yüzyılbatılıve Levanten Mimarların Korumasorunları (Doktora Tezi) YTU. Çelik, Z. 1996. Değişen Istanbul.

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Institutions as Tools of Public Policy: A Comparative Evaluation of South East Asian-Sub-Saharan African Post War Development Munetsi Mandere Nottingham Trent University, Graduate School, Clifton Campus, Nottingham NG11 8NS, UK Abstract: In general, it can be argued that institutional framework a country or region designs plays a significant role in crafting, applying or even success of public policy. Drawing lessons from how Asia exploited the developmental state’s concept by designing institutions which targeted key public policy areas such as education, health, domestic savings, and rural development, or aligned infrastructures such as roads, transport and ports, to drive economic development. The paper explores how this approach can be applied in sub-Saharan Africa (or individual countries). The objective is to extricate constant factors impacting development both in ahistorical and atemporal terms. The investigation is guided by the key question: whether quality of institutions and institutional analysis can help explain development failures in Africa? Hence, on one part, it probes institutions, institution-making, public policy making and what uniquely the Asian developmental state did that can help illuminate institutional role in policymaking and application. In pursuing this objective, the paper is cognisant of the question by Brousseau et al. asked, regarding generalizability of institutional capabilities, “If growth-enhancing institutions are identified in a specific country, can other countries learn from and transplant these”. The investigation concludes that in public policy and development strategy-making institutions do matter as they delimit or even help create possibilities necessary for development and its sustenance, and to a certain extent, they are the vital constant (factors) that explains development differentiations in different geographic spaces or time periods. Key words: Development, developmental state, institutions, IO (international organisations), public policy, SEA (South East Asia), SSA (Sub-Saharan Africa).

1. Introduction It has been argued that institutional framework that a country or region develops has a large bearing on the quality of and the application of public policy and hence on the development outcome [2, 4]. Drawing on the lessons from the Asian developmental state articulation of institutions to craft unique development approach, this article probes Sub-Saharan Africa difficult development in the post-war period, through evaluation of its contemporary experiences. Methodologically, this exercise is a desk literature Corresponding author: Munetsi Mandere, Ph.D., postgraduate researcher, research fields: institutions, international system and power, development studies, critical development approach, developmental state and development in Africa, development economics, globalisation, hegemony and the third world and concept of international society, citizenship and justice. E-mail:[email protected] or [email protected].

analysis of institutions and institutional analysis drawing largely from [5, 6] and Public Policy evaluation as highlighted by Lasswell [7, 8]. Using these frameworks to explore policymaking, policymakers and policy application, the research comparatively assesses how the Asian developmental state manipulated institutions to formulate and implement public policy and to what effect they will take. It will then compare this with Sub-Saharan African progress relative to institution-driven policymaking and application. The paper concludes by noting as Habtamu [9] argues that institutions are central to policymaking and hence the quality of institutions and skills (authority) of policymakers have a large bearing to a country, regional or international development and its sustainability as witnessed in SEA example.

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Institutions as Tools of Public Policy: A Comparative Evaluation of South East Asian-Sub-Saharan African Post War Development

In the first part, the paper explores understanding of institutions and application drawing largely arguments from Oliver Williamson [5] and institutional analysis from Keohane [10] and Eggertsson [6]. Speaking of the origins of institutions, Keohane [10] highlights that analysing world politics in the 1990s literary meant probing international institutions understood as “the rules that govern elements of world politics and the organisations that help implement those rules” [10]. This observation is a key understanding of what institutions are in this enquiry and what their objectives are. Oliver Williamson [5], on the other hand, emphasises the distinction between normative and empirical analysis of institutions. He underscores difference between what he terms institutional environment (of institutions) which underscored aspects centred on the political and legal rules that guide institution-making and as he noted, is more macro-analytic in emphasis as compared to the governance institutions that are more micro-analytic in their dealing with markets and firms [5]. In the second part, a review of conditions impacting and role of actors involved in policymaking drawing inspiration from the Harold Lasswell’s [7, 8] framework is made. The article then comparatively evaluates the Asian developmental state articulation of institutions emphasising the normative environmental framework and the key actors in the process which all have a bearing on the resultant institutions and the practical policy application outcome. This is compared to sub-Saharan African development condition cognisant of dangers of generalisation pitfalls (as hypothesised by Brousseau et al. [1]) above before drawing reflective conclusions from the observations made. In terms of relevance and limitation, it will be appreciated that the paper is a literature-based evaluation of institutions, institutional analysis and their effect on public policy—hence is non-empirical. In addition, the time period under review is overly wide (post-war to present), the data analysed are not

recent as to make some illustrations out of sync with current realities. In essence, it is an exploration of what institutions are, can do and outcome, rather than how and what specific institutions are crafted and by whom. Whatever the case, the paper is relevant as it highlights some unresolved tensions between the realist institutional purview of purported actor competition for relative power against the idealist cooperative absolute power quest notions in international relations and governance systems relative to objectives of the international system. Part of the intrigue is that when institutions are viewed from a realist perspective they mediate different objectives and outcomes to those of idealists or institution a lists where the former emphasises power, relative gains and self-interests and the later underscore cooperation and mutual interests. In the end, the exact premise why institutions are essential to international relations and governance is an area which needs continued study rendering this illuminative piece relevant to the extent of keeping the debate ongoing and not so much about its conclusions.

2. Broad Understanding of Institutions and Key Objectives Eggertsson argues that when social structures and social systems yield expected and desirable results, there is virtually no need for institutions, and institutional analysis is handy in times of change and transformation [6]. Eggertsson further noted that institutional economic analysis rose to prominence in the 1980s when it focused on economic and social organisation in an era of great change as the Soviet Empire disintegrated [6]. Hence, one key way of understanding role of institutions is the centrality of change (and possibly uncertainty) and transformation possibly in the context of game theoretic dilemmaand agony in the face of unknown (uncertain) outcomes of bargaining. However understanding and evaluating institutions is not so straight forward [11, 12], and as Keohane point out, in early post-war years around the


1960s, American International Relations students regarded international institutions as the same with IOs (International Organisations) such as the United Nations, the EU or Africa Union [10]. So, understanding what institutions are is problematic, but here as explained by Polski and Ostrom, North, Siba, institutions are taken as “rules, norms or strategies that create incentives for certain behaviour in repetitive situations” [13-15]. Polski and Ostrom (1999) also draw distinctions between an institution and an organisation, pointing out that organisation was a “set of institutional arrangements or participants who have common goals and purposes and who interact in multiple actions in various situations” [13]. North, on the other hand, defines institutions as “humanly defined constraints that structure political, economic and social interaction”. He adds that this consist of both informal constraints such as sanctions, taboos, customs, traditions and codes of conduct as well as the formal rules such as constitutions, laws and property rights [14]. These institutions as North adds have been devised by human beings throughout history to create order and reduce uncertainty in various exchanges. Equally, Torrance underscores the distinction between economic, political and cultural institutions and the impact they make to economic and social development. Here she highlights that economic institutions are necessary when their costs are less than the benefits emanating from institutional application. On the other hand, political institutions arise out of need for redistribution of resources rather than efficient manipulation while cultural institutions, though hard to characterised, Torrance adds that these are more of informal beliefs that inform collective action or system of governance tend to be context specific [12]. Underscoring the foundational premise of institution-making, on one hand, realists firmly argue that International Relations is solely about states quest for power and self-interests but this is refuted liberal

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intuitionalists. Institutionalists on another contest this, as highlighted by Devitt that, “the world should be imagined as a place where actors other than states play significant roles in world politics, without hierarch zing issues of priority and in which force in not an effective instrument of policy” [16]. Devitt like underscoring the essence of cooperation based on common values and expected mutual benefits hence asserting that states and non-state actors submit to common rules and institutions for mutual outcomes. The dividend of this cooperation, emanating from the complex interdependences as Devitt highlights is the creation of integrated communities that promote peace and economic growth. In practice, he adds the approach (institutionalism) emphasises soft power, cooperation, application of forms of international law, diplomacy and general international organisation [16]. However the notion of institutions as autonomous, independent and even alternative approach to realist notions is criticised by theorist such as Mearsheimer quoted by Andreev who observes that International Organisations (IO) (as key players in institution-making) are set-up by states (a creation of states) and are dependent on them and act for their interests especially security issues. Hence, he added that institutions were effectively a reflection of the distribution of power in the world, based on rational self-interest calculations and has no independent effect on state behavior [18]. These realist notions are vehemently refuted by institutionalists who argue that institutions (key role of institutions) alter state influence and hence change its behaviour. By doing so, they added institutions discourage calculation of self-interests on the basis of trying to achieve relative power. Effectively, as institutionalists argue, international organisations function as arenas or forms of interstate policy cooperation premised on the view that states are not the only actors in international affairs and that security is not the main focus of attention in this arena. They argue that cooperation among states and non-state actors is the product of IOs

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action along with international regimes, agreements and norms [18]. On the other hand, Thakur and Weiss highlight the weakness of the institutionalist approach if analysed through principal-agent theory perspective. As they explain, Principal-Agent theory emphasises the ability of the principal to sanction an agent by changing the contract (dismissing or not extending agent contract, changing terms of the contract, reducing authority, cutting budget etc.), which provides states with significant leverage it can use to control agents who go astray [19]. Mitchell, on the other hand, points out that both institutionalists and rationalists treat state preferences as fixed and the role of International Organisation membership as necessary to influence interstate bargaining for absolute power [20]. In Mitchell’s view, IOs act either as constraints by compelling states to negotiate efficiently (with less costs and more information) without changing much their preferences. On the other hand, from a constructivist view, states’ long, deep and sustained interaction with International Organisations can have constitutive effects on members’ preferences and behaviour (or interests and identities)—hence in this view preferences are not fixed [20]. Analysing (institutional) application, Williamson, argued that new institutional economics was constituted of two parts where one aspect dealt with the conditions (environment) underpinning the exercise and the other with the actual mechanism and the application [5]. He adds that the former is a general framework that influences the direction to be taken while the latter is a specific function that involves the exact dos and don’ts. These inter-related parts as further explained by Davis and North cited by Williamson emphasise that on one part institutional environment was a set of key political, social and legal ground rules that guided production, exchange and distribution processes. On the other, institutional arrangement was an orderly arrangement between

economic units that governed how the actors cooperate or compete [5]. However, Keohane argued that to understand conditions under which international cooperation takes place, it was necessary to probe how institutions worked and factors affecting how they come to being—the so-called source and nature of institutions [21]. He situates his analysis of institutions and key actors in what he termed complex interdependence of states in an anarchical world. In this view international institutions were implemented by International Organisations (read as actors seconded by states) which included international regimes that were more informal and more of norms at the same time [10]. According to Keohane, analysis of international cooperation in the 1980s escalated from merely explaining interdependence and international regimes to include closer review of the conditions under which countries cooperated. What was intriguing political scientist then was the apparent contradiction between the realist purview of the motivations of a state-power, selfish self-interests and optimisation of possible gains (underpinned by relative power and zero-sum game). However Keohane notes the difficulties faced when institutions were taken as superior to the state-given the concept of state sovereignty. He admits that institutions were seen as devices crafted to help states achieve their objectives within the realist framework then this made sense [10]. In practice, Keohane postulated that institutions create conditions for cooperation in mutually beneficial ways by reducing transaction costs of making and enforcing agreements. Importantly, Keohane observed that since international relations operate in a game-theoretic condition characterised by uncertainty and brinkmanship, actors do not engage in centralised enforcement of agreements, but underscore practices of reciprocity by providing incentives for states to keep their commitments to attain mutual benefits [10]. Furthermore, Keohane intimates that at one level, if institution-making and application is taken in the


context of relative gains and self-interests then it is decidedly a rationalist enterprise, or more specifically as he adds drawing from Herbert Simon [22], it was a substantive rationality. Substantive rationality implied a situation where actors sought optimal outcomes by constantly adapting to obtaining condition, hence outcome would be context specific [21]. However, from a sociological point of view, as Keohane observes, study of institutions underscores influence of impersonal social forces such as cultural practices, norms, and values that are not derived from interest calculation. Effectively, Keohane recognised that institution-making in this context was the product of these social forces, individuals, local organisations and even states. On this basis, institutions do not only reflect preferences and power of components constituting them, but the institutions themselves impact the preferences and level of power derived from the process [21]. In short, as Keohane emphasises, institutions are constitutive of actors and actors are constitutive of institutions. In addition to the discussions above and throughout this paper, institutions in general will be taken as reflected by Keohane as a general pattern or category of activity or a particular human-constructed arrangement, formally or informally organised and in particular as complexes of rules and norms identifiable in time and space [21]. Alternatively as reflected above, Williamson viewed institutional analysis from two fronts—the general normative institutional environment and the specific institutional governance arrangements. He argues that institutions matter and needed analysis and that private ordering and de facto organisation against (de jure) legalistic enforcement in economic action needed closer attention too [5]. Citing Davis and North, Williamson explained that institutional environment was a set of political, social and legal rules that guide production, exchange and distribution. However, institutional governance was an arrangement between economic units that controlled how these units cooperated or competed [5]. In

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addition to the two approaches to institutional analysis, Williamson adds that the individual actors were also relevant point of enquiry. The individual’s role in institution making comes in the context as posited by Simon, cited by Williamson in transaction costs analysis that human cognition is subject to bounded rationality in which actor behaviour is defined as intendedly rational but only limitedly so [5]. Assessing policy analysis and application, professor Montpetit noted that this depends on the approach of the chosen public policy-either from a narrow or broader view. He adds that a narrow view pertains to governmental actions where analysis is focused on characteristics and impact of these actions and the process is general normative as it is limited to advising policymakers. On the other hand, if the view is broader, Montpetit observes, the analysis often is explanatory in nature and is not concerned with improving the quality of the programme, but to investigate how (and maybe why) polices are developed and implemented [24]. In view of this clarification, in this paper policy is taken as defined by Dukeshire and Thurlow, who intimated that a policy is a declaration that defines the intention of a community, organisation or government’s goals and priorities by outlining the roles, the rules and the procedures [25]. As part of this research is to explore to what extent institutions impact public policymaking and application, it is therefore logical to unpack the meaning, objectives, and conditions underpinning the process. Bogason intimates that arguments abound in policy literatures that emphasise that policymaking is centrally concerned with authority, expertise and order [26]. The literature [26, 27] underscore that the key actors of policymaking are normally governments though not the only ones, who initiate authority relations to underpin policy propositions and principles to ensure that these are implemented. He adds that the principles are sourced or derived from certain knowledge banks (expertise) of the areas policy is directed at. Ultimately the policy framework

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is aimed at solving given problems within the target area hence ensuring order in society and progress of some shape or foam [26, 27]. In simplistic terms, as Bogason adds, Policy is created, decided upon, the good and the bad alternatives assessed, implemented step by step by collecting information, and ultimately deciding on the optimal course of action that produces the best outcome at the lowest cost [26]. As Bogason further explains, policymaking comes from several approaches although the rational approach dominates the so-called sequential policy-making models popular in constitution-making (where emphasizes on separation of the political from the administrative), managers and management consultants. The approach is top-down in that experts at the apex of an organisation design the package that achieves desired goals [26]. In the same vein, Rao quotes several authorities in policymaking including David Easton who defines public policy as the authoritative allocation of values for the whole society [27]. On the other hand, Rao cited Lasswell and Kaplan [42] who characterised public policy as a projected programme of goals, values and practices while Thomas R. Dye [28] regarded it as whatever governments choose to do or not do. From all this Rao observes, a position the author also agrees with, that the fact a government chooses to do (or not do) something means there is a goal, an objective and a purpose [27]. In addition, public policy comes in various forms, regulative, organisational, distributive, extractive and supportive [19, 27]. Equally, as Rao [27] further observes, public policy defines government relationship with its citizens and non-state actors. Therefore in this context, acceptance of a government by individuals or groups gives the government authority to act as well as conferring it with legitimacy and approval. As an action programme, Thakur and Weiss add that policy is not just the governing principle, but includes decisions to embark on certain programmes of action (or inaction),

to achieve certain goals. The need for action is premised on perceived problems that need resolving [19]. However, according to the Lasswell, framework, policymaking follows certain presumptions, a problem and the need for change or transformation one way or the other. He added that the key to managing or initiating this change follows what he called five intellectual maps/tasks: the goal, trend, condition, projection and alternatives [8]. Lasswell points out that each policy cycle broadly follows this guideline. In the Goal realm he explains, the task is to explore what need to be realised (or achieved) by the social interaction; Trend realm hypothesises what extent the past or recent events reflect the expected endpoint; Condition analysis explores what factors affected direction and depth of current and past events; Projection of developments questions whether needed goals are achievable or how far-off target position is reached if current policies are continued; Invention, Evaluation and Alternatives stage, questions what strategies and interventions can ensure realisation of preferred goals [8]. Acknowledging robustness of above, as noted by Professor Montpetit, the Lasswell framework effectively, though not universally accepted inscribe the following stages: agenda-setting, policy formulation, decision making, policy implementation, and policy evaluation [24]. However, Lasswell (1971) emphasises that his framework was both a guide on policy content and a procedure, in which as content it directs what questions to ask relative to problem at hand while as procedure, it advises on wisdom of structured and orderly articulation of policymaking and application processes [8]. Critically, Lasswell emphasized that the principles of this framework cautioned that goals are held as tentative until subjected to exposure through other stages of the process and even so, the exercise should be continuously repeated and refined to achieve higher outcomes [8].


While accepting the enormous contribution of the Lasswell [8] framework, it must be highlighted though that this was not without controversy, with several analysts [29, 30] questioning the claim that the framework synthesised the scientific based study of a problem and policy-making actions around this problem. As Turnbull [29] highlights, Lasswell [8] drew fundamentally from Dewey thought in which it was argued that knowledge as a form of experience resolved problems. In the research programme (by Dewey and Lasswell) cited by Turnbull [29] a problem was defined as “the discrepancy between goals and the actual or intended state of affairs” [29]. Turnbull argued that Lasswell formalised his vision of policy science by exploring what he (Lasswell) regarded as two orientations of policy. In that study, Turnbull [29] contends, Lasswell explored from a sociological and psychological perspective the “science of policy formation and execution” on one side and then evaluating the “content of (policy) information and interpretation available to policymakers on the other” [29]. However, Lasswell clarified his thinking by alluding that policy sciences were concerned with knowledge of and (knowledge) in decision-making process on public and civic order where knowledge of decisions is a product of “systematic, empirical studies on how policies are made, (by who) and to what effect”. On the other hand, he added knowledge in decision-making draws from “various scientific disciplines to increase stock of knowledge relevant to public policy”. Clearly as he observed, there was a normative policy conception and analysis from various sources and a policy application and explanation on the other. However, Turnbull emphatically insisted that the theoretical relationship of Lasswell two poles (aspects) of policy above was not scientific [29]. Bobrow et al. curtly intone that it was a fallacy to try and extricate “policy aspect” from the wider Political Science discipline and research agenda [30]. The details of this dispute is beyond the

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objective of this paper suffice to the say the Lasswell policy science claims are contentious though his policymaking and application framework is generally accepted as seminal.

3. The Asian Tigers: What Did They Do Right? In the opening remarks, the question partly informing this paper as borrowed from Brousseau and Raynaud [1] was highlighted in they which ask “If growth-enhancing institutions are identified in a specific country (or region), can other countries learn from and transplant these?”[1]. In the same vein and reflecting on the Asian economic miracle, Easterly observes, and quite rightly too, that the success story of the Tigers was tantalising, hence obviating questions whether this could be understood and possibly replicated in other poor countries to resolve world development problems? [31]. To partly address these questions, the author asks as many analysts do, what did the Tigers do that can possibly be emulated albeit with situational and temporal modifications. The paper does so by exploring possible constant factors and conditions that explain the relation between policy and growth by suggesting institutions (and organisations the product of and working with institutions) and institutional analysis could help explain these miracles, also bearing in mind dangers of unwarranted generalisation. According to van Donge et al., the Asia consistent development was driven by amongst other things by policies (who makes policies?) focusing on macroeconomic stabilisation; improving rural life; increasing agricultural productivity and ensuring sufficient food supply; liberalising the economy and guaranteeing condition for economic freedom especially for peasant farmers and other smaller sectors [32]. The three key pillars of this approach were the creation of robust structures that ensured macroeconomic stability, rural and agricultural economic development and economic liberalisation.

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As will be reflected later, the key to success of the development strategies here was among other things high level of bureaucratic expertise, total empowerment and protection against all forms of interference [33]. Uniquely and as part of the defining characteristics the Asian States, they took it upon themselves to create robust rules, laws and policies (read as institutions) that guaranteed bureaucratic freedom and support in implementing technocratic decisions without fear or favour, hence the key role of institutions. In a way the protected role of bureaucrats, empowerment to make decision and applying resolutions without interferences also underscores the important role of institution-making as aligned to subsequent rules which are the product of technocratic actions. Alternatively, as Hans Loof explains, in the case of the Asian Tigers (essentially Hong Kong, Indonesia, Taiwan and South Korea) the state was a key player in the turn-around by directly crafting certain institutional arrangements. Here Loof adds, the state allocated sufficient resources to key industries, built essential infrastructure to support the key areas and redoubled support for educational system [34]. Further, the state introduced a rigorous welfare public spending in which on one end it encourages domestic savings by everyone (state, corporations and households) and on another provided incentives for innovation and enterprise. The outcomes were double pronged in that higher rates of education were achieved as well as abundance of cheap labour which all drove productivity up [33, 34]. On the other hand, Roemer locates in part one source for this growth (Tigers Economy) on sheer accumulation of the factors of production’ quoting Young [36] as concluding that growth in per capita income for the four Asian tigers could be explained by factor accumulation including physical and human capital and the attendant increase in worker numbers [35]. Factor productivity was explained as the unexplained residual productivity. Viewed at this way, Roemer hypothesises that if

East Asian growth could be explained through total factor production, rise in income per capita and increased worker numbers, then Africa needed to inculcate policies that; induce higher saving (efficiency) and invest in equipment, infrastructure and education in order to accelerate growth. He added that efficiency context included requirement for balanced budgets (or even surplus budgets); reform of government expenditure, introduction of higher interest rate for savers, possibly subsidise rates for borrowers, introduce higher taxes on consumption and introduce mandatory (my emphasis) savings schemes. These policy options, Roemer felt were constant factors that potentially drove growth regardless of locality and time period. Another key development driver cited by Roemer was political stability driven surprisingly by long political stewardships of certain leaders during the transition [35]. However, it was observed that political stability alone without other factors was not sufficient to stimulate growth. For example, he noted Africa has recorded long periods of the same leaders but without any noticeable development dividends [35]. Roemer adds that there must be desire by political leaders to trade off political capital through certain government policies to achieve sustained growth. For example as he noted, South East Asian leadership appeared to focus on long-term development rather than short term political and personal gain. Roemer also observed that although in both regions rent-seeking was common, most south Asian countries barring Philippines realised that sustained rents required growing economies hence sacrificed these when they impacted on economic performance. However on the contrary, Roemer [35] argues that African leaders extracted rent without due regard to economic growth and hence this effectively declined. In addition, Roemer [35] highlights that tolerance and inclusive polices that protected the entrepreneurial ethic Chinese minorities played a big role in industrial and commercial turnaround in Indonesia, Malaysia and Thailand. This,


as observed added to the policy of protecting economic progress from politics which ensured sustained development. In contrasts, Roemer explains Africa was intolerant of for example Lebanese in West Africa, ethnic Indians in East Africa and even minority indigenous people were not protected with obvious negative results. However, Ursula Oberst noted, that the following key policy interventions drove the Tigers Economic turnaround; the Principle of Outreach which emphasized quantity NOT quality. Oberst underscores while summarising a Tracking Development Conference deliberations in Malaysia in May 2010: (a) that in (all) successful developmental states, the primary criteria on which policies and interventions are selected should be the numbers of people to whom they provide direct (measureable) material benefit. (b) The principle of “Urgency” which emphasized priorities NOT (good) plans. Here he adds that at minimum, at the beginning of the development process, successful strategies do NOT involve meticulous long-term planning based on predicted and desirable future. Rather, they involve establishing clear priorities based on what is desirable at present. (c) The principle of Expediency emphasising the results and NOT the rules. Oberst highlights that this observes that in successful developmental states, legal principles, administrative procedures, political rights, and ideological requirements all take second place to the goals of improving the material living conditions of as many people as possible and as quickly as possible. In practice achieving these goals may mean tolerating corruption, bending rules and infringing certain rights [37]. Overall various analysts have given multiple observations as underpinning the Asian Tigers development model which could possibly be emulated by Sub-Saharan Africa albeit with modifications to suit conditions, global changes and other factors. The textboxes below summaries what Asia did as compared to Sub-Saharan Africa.

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Over and above the factors raised above, it is agreed that in general the Tigers variously promoted friendly land tenure (use) systems that guaranteed property rights and assured agricultural workers long-term security. The particular land reform highlighted by Loof, included aspects of subsidies and tariff on some agricultural products designed to drive agricultural productivity and food security. Loof says emphatically that the key drivers of the Asian Tigers turnaround was underpinned by forms of state participation in the economy, fundamental educational and land reforms, agricultural promotion, sustained export strategies, promotion of foreign direct investment underpinned by stability and promotion of high domestic savings [34]. He also underscores that the Tigers, though broadly following similar strategies were underpinned by different comparable advantages: Singapore and Hong-Kong largely exploited their vast seaports and aligned ship building processes while South Korea and Taiwan leveraged cheap but highly skilled labour to manufacture high value export goods or higher quality services [34]. It was also noted that though the Asian Tigers benefitted significantly from foreign aid and foreign direct investment, as Booth pointed out these contributions were possible because of the policy of “insulated bureaucracy” and economic freedom. Here the highly skilled experts where shielded from political, powerful interests groups or corporate interference to allow them to pursue results based programmes on key areas [33]. As highlighted, this protection of bureaucrats had the added effect of reducing corruption and other rent-seeking actions. Interestingly and maybe requiring further probing, many development analysts [9, 32] noted that both regions (SSA and SEA) were formerly occupied by colonial powers who left various economic, cultural and educational legacies but absence of basic rights, accountability, political stability (normally associated with democracy) and corruption had no bearing on


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Table 1

Snapshot of interventions and policy action applied by SEA which helped their development.

Analyst/Author

Roemer [35]

Sachs Jeffrey D, Finance and Development [38]

Key requirements  Roemer contends in a nutshell that these are the areas or actions that SSA should focus on as learning from South East Asia experience.  Empower technocratic policy-makers to manage macroeconomic and development policies with strong political support.  Create Environment where all ethnic groups especially the talented and gifted can participate with minimum risk.  Design Strategies that hinge on existing comparative advantage including agriculture and labour intensive industries.  Invest in education that will create sufficient skilled workforce to will sustain new industries and service export market.  Adhere rigorously to sound macroeconomic policies including adoption of flexible exchange rates, maintain small budget deficits or even balanced or surplus budget and tight monetary policies including currency convertibility.  Ensure flexible labour markets where wages, employments and conditions are controlled by markets (hiring and dismissals without government interference).  Reform financial markets to ensure market forces determine credit allocations, interests rates, currency convertibility rates by so doing creating a good investment climate.  Conduct trade reforms to liberalise economies and open them to world markets while leaving a certain level of protection and facilitating acquisition of input material and equipment to export producers duty free and without import controls.  Argues that though “Institutions Matter, but Not for Everything: the Role of Geography and Resource Endowments in Development Should Not Be Underestimated”.  Contests the suggestion of institutions as singly able to resolve development problem-labelling this as “single factor explanations”.  Rather posits that over and above role of institutions, issues such as resource constraints, physical geography (location); economic policies; geopolitics and other social structures such as gender roles, minority roles play significant impact to development.  Cautions that institutions matter but do not matter exclusively (of other factors).  Suggest that for Africa, what is needed was institutional quality improvement, serious investment to combat disease; improve agricultural processes; and build needed infrastructures such as roads to connect populations to regional markets.  On infrastructure development Sachs critical notes and suggests that development here cannot be possible from investment as most of the projects of this type have very low rates of return hence needed for aid or subsidies.  Underscores that lack of physical and natural resources hugely impact development.  Emphasises that research has shown that most countries or regions of the world developed premised on three clear distinctions: (1) Countries or regions with robust institutions, good policies and good geography (natural resources and location) adding that most costal region countries of East Asia (China, Korea, Hong Kong, Singapore, Thailand, Malaysia, and Indonesia); (2) the second group are those geographically well-endowed and beset with bad institutions for various reasons such most East European former communist republics. Proximity to Western Europe did not help; (3) Very poor regions in poor geographic locations- this is where most SSA countries are located.  Points out to negative or failure to develop hinterlands as assisted by international donors and local resources such as both internal and international migration.  Alternatively Sachs [38] argues for regional integration to increase market size and benefit from economies of scale- shared infrastructure, policies and movement of labour and capital.  Links success in development world and South East Asian to improved transport logistics and by extension direct link to international trade which has spinoff such as increase investment, technology transfer, skills development, improved competitiveness and improved capacity to manufacture high value goods.


growth [9, 32]. They found that both regions were notorious intolerant of opposition and corruption endemic though one region progressed while the other regressed under these conditions.

4. Sub-Saharan Africa: What Is the State of Institutions and Policies? Van Donge [32] noted that despite current growth patterns, Africa has failed to attract sufficient foreign direct investment except in extractive industries and tourism sectors. He, like many other analysts (e.g. Habtamu) [9] attributed this failure variously at governance and polity as failing to create a conducive environment [32]. While steadfastly locating the African developmental problem squarely in institution-making and quality, Van Donge [32] and Habtamu [9] also noted interesting similarities and difference in the Africa and Asian situations. Van Donge observed that corruption though endemic in both regions; the origins were different though the effects were the same. He argued that the Asian corrupt actions were mutual, while the African actions were driven by the big man concept of neo-patrimonialism in which the public-private relations are the patron-client type where politicians, the rich and powerful extract rents for personal satisfaction often at the expense of development [32]. In addition, according to Henley and Van Donge, Sub-Saharan Africa rural development and agricultural support strategies have been poor and erratic and whenever support was give as in the cited Tanzania case (in the 1970s), investment was not accompanied by economic freedom hence intervention failed [39]. Admittedly, Henley and Van Donge observed that Africa had significantly improved on the macro-economic management and economic liberalisation front. However this improvement, in the absence of higher public investment in rural development, the needed breakthrough in rural economies has also failed as compared to SEA [39]. While contending that the picture of African growth

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was at best mixed with no clear-cut continent specific outcome, Habtamu [9] was emphatic in pointing out that the source of poor development in Africa, what he termed “slow growth and poor aggregate technical efficiency” was bad governance (also read as poor institutionally quality) [9]. In addition, Habtamu reflecting on the North [14] ascribed role of institutions underscored that it was agreed that they do indeed create order and reduce uncertainty but they did not increase much needed efficiency. Analysis of results of a study by Habtamu [9] and others on implications of institutions in Africa drawing from certain governance variables used by the World Bank and using various statistical models revealed interesting outcomes. In the analysis, Habtamu sought to probe the key determinants of slow development in Africa as compared to other regions. He characterised governance quality in the study as implying; rule of law, control of corruption, guarantees of (citizen) voice and accountability, political stability, government effectiveness and regulatory quality. Importantly, these governance indicators were clusters of sub-areas that related to each other but details are beyond the objective of this paper [9]. From the analysis, Habtamu [9] noted that governance (institutional quality) affected growth and by extrapolation, argued that there appeared a general correlation between governance quality and per capita income as reflected in sample analysis of South Africa, Botswana and Mauritius and compared to the Democratic Republic of Congo in the period under review i.e. 1996-2005 [9]. He adds that the coefficient of governance quality and the listed indicators was high under various specifications and estimation techniques. By the same measure, the study found out that there was no meaningful correlation between corruption and growth and hence concluded that the results supported the hypothesis that Africa’s slow growth could be explained in part through poor governance [9]. In the same vein, Bardhan [40], cited

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by Torrance [12] attributed the lack of African development to coordination failure which could not account for the complexities of industrial investment, innovation and financial markets (which occurred in the West) noting that African nationalist historiography was content on blaming neo-colonialism for the failures [12].

5. Discussing Key Outcomes While acknowledging the outcome of shrewd educational policies and skills training for Singapore, the World Bank had this right to say as quoted by the National Committee of Inquiry into Higher Education “the phenomenal development of Singapore has taken place despite lack of resources and absence of a large domestic market. This remarkable success has to been attributed to sensible and effective policies and early attention paid by Singapore to infrastructure and manpower resources” [41]. However, as a common background, most Asian Tigers polities (like their African counterparts) were military dictatorships although virtually all of them have now transformed into thriving democracies e.g. Taiwan, Thailand and South Korea (National Committee of Inquiry into Higher Education). But given this condition, Henley and van Donge [32] observed in both regions under review authoritarian polities were not significant barriers to growth (e.g. Malaysia was a dictatorship for most of its developmental phase). In addition, they noted that foreign aid, corruption, financial liberalisation, privatisation of public utilities or rise of indigenous bourgeoisie was also without much impact. Equally they observed that Industrial Policy did not seem to facilitate any significant growth and instead, massive rural development appeared to help industrialisation. In the same vein, manufacturing sectors appeared to benefit from good macro-economic strategies, guaranteed economic freedoms, adequate infrastructure development and vibrant rural economy [32]. Almost as a bonus, it was also observed that the above improvements also led to

political stability, increased private saving and investment, growth of domestic market, abundant cheap and reliable workforce. Some observers have argued that the key to all this was that Asian Tigers government key policy choices of “shared growth” based on “growth coalitions” that included peasants and small scale entrepreneurs. These prioritised redistribution of income and assets to the poor and rural areas. The state in development here recognised that government and markets were complimentary not alternatives. Hence government intervention approaches included investment, subsidies, supply of public goods, and redistribution of resources (rather regulation). As noted, government rural policy emphasised that providing inputs and rural infrastructures was futile if farmers were not free to grow crops of their choices and sell to highest bidder [39].

6. Conclusion This exercise is literature based on comparative analysis of the impact of institutions in policymaking and application in different development outcomes for Sub-Saharan Africa compared to Asia. The evaluations are made bearing in mind the dangers of unwarranted generalized ability but highlight centrality of institutions as neutral factors that impact public policy effectiveness and hence development. The undertaking also recognises the tension between institutional and policy premises from a realist power-centred approach anchored on relative gains by actors in international cooperation and institutionalism/idealism notions premised on absolute gains motivations which militates and motivates cooperation by the same measure. In the subsequent evaluation, the paper, rather than focus on probing specific institutions and institution-making as the objective of explanation, was content on illustrating and illuminating what institutions potentially can or actually able to do. By so doing, the investigation highlighted possibilities inherent in institutions as


facilitators (or inhibitors) of public policy and what emerges when they are carefully manipulated. The case for either institutional by-product was exemplified the comparative assessment of differentiated development of SSA and SEA. All what this paper has done in part was to highlight role of institutions in impacting development strategies and what it has not done was to attempt to highlight which institutions are crafted and why. This deeper understanding of specific institution making and their direct relation to specific outcomes both in SEA and SSA is left for another day.

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