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IJSRK Internat ional Journal of Scient if ic Research in Knowledge

www.i jsrpub.com

August 2013

Volume 1, Issue 8

Pages 238 – 307

Table of Contents

Article Author(s) page

The Relationship between Power Resources and the Procedures of Overcoming Employers’ Resistance against Organizational Changes among Managers of the University of Isfahan and Isfahan University of Medical Sciences, Iran

Azizollah Arbabisarjou, Sayyed Ali Siadat, Zahra-al-Saadat Mahmoudy, Narges Moayed, Shekoofe-al-Saadat Rezazadeh

238

Calculation of Lattice Parameters and Energy Band Structure and Density of States the β-ZrNCl with Ab Initio

Khatereh Sarvazad, Soroosh Zarghani

245

Democratic Regression in Nigeria: A Critical Discourse on the Character and Tendencies of the Political Parties as Explanatory Factors

Emma E.O. Chukwuemeka, Dennis S. Amobi, Bartholomew I. Ugwuanyi

254

An Investigation into Factors Affecting Productivity of Produces by Karoun Agriculture and Industry Company

Mehdi Basirat, Mehrafarin Latif, Ali Asghar Esfandiari

263

Assessing Relationships in Kenyan Sorghum Landraces by Use of Simple Sequence Repeat Molecular Markers

Kahiu Ngugi, Rachael Maswili, Cecilia Muchira

276

Inward FDI, Growth and Environmental Policy Maryam Asghari 288

Solvent-free Synthesis and Spectral Studies of Some 9-Anthryl-1H-Pyrazolines

Krishnamoorthy Guna Sekar, Ganesamoorthy Thirunarayanan

299

International Journal of Scientific Research in Knowledge (IJSRK), 1(8), pp. 238-244, 2013 Available online at http://www.ijsrpub.com/ijsrk

ISSN: 2322-4541; ©2013 IJSRPUB

http://dx.doi.org/10.12983/ijsrk-2013-p238-244

238

Full Length Research Paper

The Relationship between Power Resources and the Procedures of Overcoming

Employers’ Resistance against Organizational Changes among Managers of the

University of Isfahan and Isfahan University of Medical Sciences, Iran

Azizollah Arbabisarjou1, Sayyed Ali Siadat

2*, Zahra-al-Saadat Mahmoudy

3, Narges Moayed

3, Shekoofe-al-Saadat

Rezazadeh4

1Faculty member, Health Promotion Research Center, Zahedan University of Medical Sciences, Zahedan, Iran

2Faculty member, School of Educational Sciences and Psychology, University of Isfahan, Isfahan, Iran

3M.A in educational administration, School of Educational Sciences and Psychology, University of Isfahan, Isfahan, Iran

4M.A in Curriculum, School of Educational Sciences and Psychology, University of Isfahan, Isfahan, Iran.

*Corresponding Author: E-mail: [email protected]

Received 12 May 2013; Accepted 18 June 2013

Abstract. The purpose of this study was to examine the relationship between power resources and the procedures of

overcoming employers‘ resistance against organizational changes among managers of the University of Isfahan as well as

Isfahan University of Medical Sciences in 2012-2013 academic years. The research was descriptive-correlative and samples

consisted of all the managers of the university of Isfahan as well as Isfahan University of Medical Sciences in 2012-2013

academic years using random sampling by which 108 managers were selected. The instruments used to collect data were two

questionnaires designed by the researcher consisting of 30 questions related to power resources of managers extracted from

French and Raven viewpoint and 28 questions covering procedures of overcoming employers‘ resistance against changes

according to Likert scale and classification. Stabilization coefficient was obtained by means of Cronbach alpha (0.86) in the

two questionnaires. The analysis of data was performed in descriptive (frequency, percent, mean, and deviation) as well as

inferential (analysis of multi –variable variance, and regression coefficient) statistics through SPSS. The results of the study

showed that there were no significant differences between the legal power of managers and the procedures used to overcome

the resistance of employers against organizational changes. There was a negative and significant relationship between

obligatory power and cooperation procedure. There was a positive and significant relationship between referential power and

cooperation procedure.

Key words: Manager‗s Sources of Power, Organizational Change, Resistance to Organizational Change, University.

1. INTRODUCTION

The change trend and the instrument diversity have

been increased in the beginning of the third

millennium (Caddy and Cochrane, 2001). These

changes and revolutions are observable in every

aspects of the daily life. Therefore, the organizational

change is an inevitable phenomenon. This is designed

and managed for improving organizations. According

to the global change, the organizations must change

themselves for adapting with environmental demands.

It is necessary that mankind, organizations, and

societies change themselves to survive in the today‘s

world. Hoy and Miskel (2012) pointed out that change

refers to the forces that maintain the fixed behavioral

styles in the organization. Generally, organizational

change is influenced by different internal and external

forces. In the today‘s competitive world, the

successful organization is one that adopts change in its

structural framework. The diversity and

comprehensiveness of change in so much that the

organizations are forced to adapt with them. It is

should be remembered that resistance to change may

leads to decrease efficiency and productivity, increase

job turnover, and increase group and organizational

conflicts. This also leads to decrease employees‘

satisfaction from their job and organization (Hoy and

Miskel, 2012). Many authors define resistance to

change differently for example Zander (1950) is the

first author that defines resistance to change refers to

the behaviors that tend to maintain individuals from

the effects of actual or fanciful change (Dent and

Gallway Goldberg, 1999; Bolognese, 2002). Zaltman

and Duncan (1977) define resistance to change as

―any conduct that serves to maintain the status quo in

the face of pressure to alter the status quo‖. Resistance

to change is a natural response of a human being or an

institution to any changes that disrupt the existing

equilibrium of living conditions or organizational

activities (Watson, 1971; Zaltman and Duncan, 1977).

The power is defined as the individuals‘ ability in

acquiring desirable results (French and Bell, 2006).

French and Raven (1960) recognized five sources of

power including legitimate, reward, coercive, expert

Arbabisarjou et al.

The Relationship between Power Resources and the Procedures of Overcoming Employers’ Resistance against

Organizational Changes among Managers of the University of Isfahan and Isfahan University of Medical Sciences, Iran

239

and referent (Robbins and Coulter, 2013; Hoy and

Miskle, 2012). The present study has been focused on

these sources. The methods of dominating the

resistance to change are including communication,

participation, offering facilities, transaction, using

individuals, and force (Robbins and Coutler, 2012;

Kotter, 1996). According to the above explanations,

this study was carried out to examine the relationship

between power resources and the procedures of

overcoming employers‘ resistance against

organizational changes among managers.

2. MATERIALS NAD METHODS

Given that this study is concerned with the status quo,

it employed descriptive research and since it studies

the relationship between power resources and the

procedures of overcoming employers‘ resistance

against organizational changes among managers, it

utilized correlation procedures (Law, 2004).

The study has been carried out in 2011- 2012

academic years. The settings researches were the

University of Isfahan and Isfahan University of

Medical Sciences in IRAN. The participants of the

research included 259 managers (including

chairpersons, assistants, deans of faculties, and head

of departments) in University of Isfahan and Isfahan

University of Medical Sciences. The sample size has

been determined through sampling formula in the

SPSS18. It implied that a sample of 108 managers is a

suitable sample for this population. In order to select

the sample members, stratified random sampling has

been employed.

Also, the results obtained from the formula are

completely consistent with the values of Kerjeci and

Morgan's Table( Kerjeci and Morgan,1970).The data

required for this study was compiled through library

research including studying textbooks, internal and

external journals or texts and surfing the databases in

the Internet and Intranet to achieve theoretical

fundamentals and use other . The instruments used to

collect data were two questionnaires designed by the

researchers consisting of 30 questions related to

power resources of managers extracted from French

and Raven viewpoint and 28 questions covering

procedures of overcoming employers‘ resistance

against changes according to Likert scale and

classification. . French and Raven's (1960 bases of

power are all founded on the perceptions of

individuals over whom the power might be exerted.

The Power resources are coercive, reward, legitimate,

referent and expert power (Hoy and Miskle, 2012). It

has used for data-collection instrument in the present

study. Validity of the questionnaire was content and

face validity that has been examined and confirmed by

some faculty members (Educational Administration,

Education, Psychology and Management) and

professors‘ modification and corrections. In order to

examine and confirm reliability of the questionnaire,

Cronbachs‘ Alpha Coefficient has been used. This

coefficient obtained 0.86 for our questionnaires that

confirm their reliability. To analyze the statistical

data, descriptive statistics techniques (including:

adjusting descriptive tables, mean, standard deviation)

and inferential (analysis of correlation, analysis of

variance) have been used.

3. RESULTS AND FINDINGS

The first question of this study to know is there any

relationship between manager‘s source of authority

and the methods of dominating employees‘ resistance

to change? The results that answer this question have

been presented in table 1.

Table 1: The results of regression test of net and gross weights of manager‘s source of authority and the methods using for

dominating the employees‘ resistance to change

Sources of authority Standard error Regression coefficient T Sig

Communications 0.14 0.19 1.55 0.12

Participation 0.08 0.19 1.62 0.11

Using facilities 0.16 0.14 1.07 0.29

Transaction 0.08 0.10 0.79 0.43

Using individuals 0.08 0.17 1.13 0.26

Coercion 0.09 0.17 1.65 0.11

The regression test revealed that the manager‘s

source of authority does not have any effect on the

methods used to dominate over employees‘ resistance

to change when P value is 0.11 (P > 0.05).

The second question of this study to know is there

any significant relationship between the manager‘s

reward authority and the employees‘ resistance to

change. The results that answer this question have


International Journal of Scientific Research in Knowledge (IJSRK), 1(8), pp. 238-244, 2013

240

Table 2: The results of regression test of net and gross weights of manager‘s reward authority and the methods using for


Sources of authority Standard error Regression

coefficient

T Coefficient of

determination

(R2)

sig

Communications 0.17 0.19 1.62 0.09 0.11

Participation 0.09 0.42 3.26 0.17 0.001

Using facilities 0.09 0.35 2.36 0.17 0.02

Transaction 0.09 -0.009 0.08 0.09 0.95

Using individuals 0.09 -0.34 2.36 0.17 0.02

Coercion 0.11 -0.32 3.16 0.17 0.002

The regression test cleared that the manager‘s

reward authority influences communications,

participation, using facilities, transaction, using

individuals, and coercion. This also has not any effect

on the methods of employees‘ resistance to change.

The third question of this study to know is there any

significant relationship between the manager‘s

coercion authority and the employees‘ resistance to

change. The results that answer this question have


Table 3: The results of regression test of net and gross weights of manager‘s coercion authority and the methods using for



coefficient

T Coefficient of

determination

(R2)

sig

Communications 0.17 0.06 0.37 0.08 0.71

Participation 0.19 -0.17 2.04 0.12 0.04


Transaction 0.10 0.04 0.29 0.08 0.77

Using individuals 0.09 0.11 0.75 0.08 0.45

Coercion 0.11 0.19 1.84 0.08 0.07

The regression test demonstrated that the manager‘s coercion authority influence communications, participation, using facilities, transaction, using individuals,

and coercion. This also has not any effect on the methods of employees‘ resistance to change when P value is 0.07 (P > 0.05).

The fourth question of this study to know is there


expertise authority and the employees‘ resistance to

change. The results of this question have been

presented in table 4.

Table 4: The results of regression test of net and gross weights of manager‘s expertise authority and the methods using for



coefficient

T sig

Communications 0.20 0.043 0.35 0.72

Participation 0.11 0.11 0.98 0.33

Using facilities 0.24 0.03 0.20 0.84

Transaction 0.12 0.07 0.55 0.58

Using individuals 0.11 0.25 1.65 0.10

Coercion 0.14 0.06 0.56 0.58

The regression test indicated that the manager‘s expertise authority has not any significant effect on the manager‘s source of authority (including

communications, participation, using facilities, transaction, using individuals, and coercion) when P value is 0.58. (P > 0.05).

Table 5: The results of regression test of net and gross weights of manager‘s reference authority and the methods using for



coefficient

T Coefficient of

determination

(R2)

sig

Communications 0.17 0.13 1.18 0.09 0.24

Participation 0.09 0.28 2.76 0.29 0.007


Transaction 0.10 -0.26 2.39 0.29 0.02

Using individuals 0.09 -0.31 2.37 0.29 0.02

Coercion 0.12 0.01 0.15 0.09 0.88

The regression test showed that the manager‘s reference authority influence participation, transaction, and using individuals. This also has not any effect on the communications, using facilities, and coercion when P value is 0.88 (P > 0.05).

Arbabisarjou et al.



241

The fifth question of this study to know if is there


reference authority and the employees‘ resistance to

change. The results of this question have been

presented in table 5.

4. DISCUSSIONS AND CONLUSIONS

This study was aimed to study the relationship

between manager‘s source of authority and the

methods used for dominating the employees‘

resistance to change. Kan, Parry and Ken (2004)

reported that the present of rule is necessary to

accepting changes from employees‘ perspective in any

organization. They also believed that the employees

accept the actual and legal changes. Akmal and Miller

(2003) pointed out that the flexibility is one of the

most effective factors on the accepting change by

employees. Based on the results of our study and

similar studies, it can be concluded that the employees

accept the legal changes more easily than other

changes. On the other hand, it is necessary that the

managers have more flexibility in the changes

implementation so much that the employees can adopt

the changes in their works.

The results revealed that the managers‘ reward

authority can influence participation, using facilities,

using individuals, and coercion. Therefore, it can be

concluded that the managers use their reward

authority for designing the changes in accordance

with employees‘ abilities, consulting to solve

employees‘ problems. This also results in the

employees‘ less resistance to the organizational

changes. Hajiabadi (2001) and Safari (2003) indicated

that the manager‘s source of authority and the degree

of using every source influence the organizational

climate and the employee‘ trust positively.

The results of this study in terms of the

relationship between coercion authority and the

methods used by managers for dominating the

employees‘ resistance to change indicated that there

was a significant negative relationship between

manager‘s coercion authority and the employees‘

participation. On the other hand, these results reveal

that there is not any significant relationship between

other sources of manager‘s authority (including

communications, using facilities, transaction, using

individuals, and coercion) and the employees‘

resistance to change. In other words, using coercion

authority by managers influences employees‘

participation and even decreases its extent, while other

sources of manager‘s authority (including

communications, using facilities, transaction, using

individuals, and coercion) cannot influence the

employees‘ resistance to change. Therefore, it can be

concluded that using coercion authority not only has

not any positive effectiveness for organization, but

also this can decrease the employees‘ participation.

The results of the studies that have been done by

Safari (2003); Hoseyni (2003); Norbakhsh and

Mohamadi (2004); Mozafarian and Tatabaeian (2003)

indicate that the manager‘s coercion and punishment

authority is considered as the final mechanism for this

purpose. Because the managers believe that coercion

and punishment has not any positive benefits for their

managerial system.

Also the results of this study in terms of the

relationship between the manager‘s expertise reward

and the methods of dominating the employees‘

resistance to change indicate that there is not any

significant relationship between the manager‘s

expertise reward and the methods used for dominating

employees‘ resistance to change. In other words, the

use of expertise authority by organizational managers

cannot influence the methods of dominating the

employees‘ resistance to change (including

communications, using facilities, participation,

transaction, using individuals, and coercion). It is

should be remembered that final comment in this area

needs more studies and researches. Folger and

Skarlicki (1999); Akmal and Miller (2003); Ford

Ford, and D‘amelio (2008) found that prejudice and

injustice are the most effective factors on the

employees‘ resistance to change. Based on these

findings, it can be concluded that if the employees

perceive any injustice and prejudice in the

organization they will not accept these changes. On

the other hand, if the managers have desirable

knowledge and expertise in this area, they will believe

on the security, safety, and silence as the main

effective factors on the change acceptance. The results

of this study in terms of the relationship between the

manager‘s reference authority and the methods used

for dominating employees‘ resistance to change

indicate that there are significant correlations between

the reference authority and the methods of employees‘

resistance to change. In other words, if the

organizational managers use the reference authority

can improve their employees‘ participation positively.

This also can influence transaction methods and using

individuals negatively. Therefore, it can be concluded

that if the managers have favorable personality traits

can get the employees‘ confidence and increase their

employees‘ participation in the organizational. This

leads that they perceive the changes as instruments for

promoting the organizational goals and so decrease

the employees‘ resistance to change. Jameison and

Thomas (1998) indicated that using reference

authority is one of the most important sources of

authority for increasing organizational trust level. This

also increases the employees‘ participation in the

organization. Based on the results of the previous


242

studies and the results of our study, it can be

concluded that the reference authority has favorable

benefits for organizations and especially accepting

changes by employees. In order to this, the

psychological education is a suitable strategy for

improving managers‘ health. This also can be used to

promote the managers‘ personality traits and increase

employees‘ trust so much that the employees accept

the changes. Based on the results of this section that

indicates there is a significant relationship between

employee‘s reference authority and the methods used

by manager for dominating the employees‘ resistance

to change, it is suggested that the organizational

managers use the reference authority to improve the

employees‘ participation in the organizational efforts

and accepting changes. This means that the manager

must get employees‘ confidence, reward them,

promote their positions, and increase their salaries.

* Isfahan is located on the main north-south and

east-west routes crossing Iran, and was once one of

the largest cities in the world. It flourished from 1050

to 1722, particularly in the 16th century under the

Safavid dynasty, when it became the capital of Persia

for the second time in its history. Even today, the city

retains much of its past glory. It is famous for its

Islamic architecture, with many beautiful boulevards,

covered bridges, palaces, mosques, and minarets. This

led to the Persian proverb ―Esfahān nesf-e jahān ast‖

(Isfahan is half of the world). Numerous universities

have established in it and the University of Isfahan,

the Isfahan University of Medical Sciences and

Industrial University of Isfahan are the largest and

oldest public universities (Rajaeepour et al., 2011).

ACKNOWLEDGEMENT

The authors are thankful to Dr. Shakiba, Maryam,

M.D and Nosrati, Farimah ( MSc) for providing the

necessary facilities and technical assistants.

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change: a case study of revision and renewal in

a US secondary education teacher preparation

program. Journal of Teaching and Teacher

Education, 19(4).

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Organizational change. pp: 1-4. [online].

Available: www.new foundations.com.

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management past and present and some future

perspectives for the third millennium. Ocean &

Coastal Management, 44: 653–682.

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Challenging "Resistance to Change. Journal of

Applied Behavioral Science, 35: 25. DOI:

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resistance to change: Hardship as mistreatment.

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Resistance to Change: The Rest of The Story.

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377

French W, Bell H.C (2001). The Change Management

in Organization, translated to Persian by Sayyed

Mahdi Alvani and Hassan Danaeifard, Saffar

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power. In D. Cartwright and A. Zander (eds.),

Group dynamics (pp. 607-623). New York:

Harper and Row.

Hajiabadi M (2001). Examining the Relationship

between the Use of Different Types of

Authority by Manager and Organizational

Climate in Mashahd High Schools, M.A. Thesis

Department of Educational Management,

University of Ferdwossi Mashahd, Mashahd,

Iran.( In Persian).

Hoseyni ST (2003). Examining the Relationship

between Authority Sources and Leadership

Styles. M.A. Thesis, Department of

Management, Kerman Branch, Islamic Azad

University, Kerman, Iran. ( In Persian).

Hoy K.Wayne, Miskel G. Cecil (2012). Educational

Administration: Theory, Research, and Practice,

9th ,The Mcgraw-Hill companies.

Jamieson DW, Thomas KW (1988). Power and

conflict in the student– teacher relationship.

Journal of applied behavioral science,

10(3):321-336

Kan M, Parry M, Ken W (2004). Identifying Paradox:

A grounded theory leadership in overcome

resist once to change. The leadership quarterly,

15(4).

Kotter JP (1996). Leading change. Boston, MA:

Harvard Business. School Press.

Krejcie RV, Morgan DW (1970). Determining

sample size for research activities. Educational

and Psychological Measurement, No.30, P.607-

610

Law J (2004). After Method: Mess in Social Science

Research. Published by Routledge,

www.books.google.com, P124.

Mozafari SA, Tabatabaeian SA (2003). Examining the

Relationship between Sources of Authority and

Effectiveness of the Performance of the Head of

Faculities and Head of the Physical Education

Departments from Faculty Members‘

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243

Perspective. Journal of Sport and physical

Sciences, 4: 123-136. ( In Persian).

Norbakhsh M, Mohamadi S (2004), Examining the

Relationship between Leadership Styles and

Sources of Authority among Head of Physical

Education Departments from Faculty Members‘

Perspective, Vol. 19, pp. 109-124.

Rajaeepour S, Arbabisarjou A, Amiri Z, Nematiniya

A, Ajdari Z, Yarmohammadzadeh P (2011).

Effect of Female Principal‘s Management

Styles on Teacher‘s Job Satisfaction in Isfahan-

Iran, Girls High Schools. International

Education Studies, 4(3): 124-132.

doi:10.5539/ies.v4n3p124.

Robbins, Stephen P, Coulter Mary (2013).

Management, 12th Edition, Prentice Hall.

Safari Shahrbano (2003). Examining Different

Authorities of Managers and its Relationship

with Organizational Climate in High Schools of

Tehran, M.A. Thesis, Department of

Management, Alzahra University, Tehran, Iran.

(In Persian).

Thomas, Craig W (1998). Maintaining and Restoring

Public Trust in Government Agencies and their

Employees, Administration & Society May

1998 vol. 30 no. 2 166-193. doi:

10.1177/0095399798302003.

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Behavioral Scientist, Vol. 4, May – June, pp.

745 – 766.

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244

Assistant Professor, Dr. Azizollah, Arbabisarjou, RN,MSN, PhD, obtained his first academic degree in

1997 in the Nursing management field. He joined as faculty member to Zahedan University of Medical

Sciences, IRAN. He received his doctorate from University of Isfahan in field of Educational

Administration in 2011.Currently, Serves School of Nursing and Midwifery and the manager of

Curriculum development in EDC. He has published numerous referred papers about patient teaching,

knowledge management, management and so on in ISI, Non-ISI and Scientific-professional journals.

Dr. Arbabisarjou is teaching for Master students of Information Technology management, MBA and

Educational Administration. Also, he has conducted numerous consulting and research works for

masters‘ student and colleagues.

Professor in Education, Dr. Seyyed Ali, Siadat, PhD and faculty member at University of Isfahan. He

has obtained his doctorate from United States of America. He is teaching for undergraduates and

postgraduates students ( Masters and PhD) about Educations principles, Educational Administration,

Budgeting in Education, Accounting in Education, Theory and concepts in educational administration,

Knowledge Management, special English for postgraduates candidates. He has published numerous

referred papers about patient teaching, knowledge management, management, education and so on in

ISI, Non-ISI and Scientific-professional journals. Dr. Also, he has conducted numerous consulting and

research works for masters‘ student and colleagues and PhD candidates.

Narges Moayed obtained B.A in field of Educational Planning and Administration from University of

Isfahan in 2006. She received M.A from University of Isfahan in field of Educational Administration in

2008. She has published articles in the field of educational management and on topics related to it.

Currently, she teaches in schools and universities.

Zahra -Sadat Mahmoudi obtained B.A in field of Educational Planning and Administration from Isfahan

University in 2006. She received M.A from Isfahan University in field of Educational Administration in

2008. She interested in teaching and research activities and writing articles in the field of educational

management. Currently, she is preparing for entrance exam of PhD right now.

Rezazadeh, Shekoofe-al-Saadat, M.A in Curriculum, School of Educational Sciences and Psychology.

She has graduated from University of Isfahan. She interested in doing research in the field of

Knowledge management, Organizational Health, Cultural activities of students. Currently, she teaches

educational administration, Principles of planning, Methodology in behavioral sciences Payam Noor

university.


ISSN: 2322-4541; ©2013 IJSRPUB


245


Calculation of Lattice Parameters and Energy Band Structure and Density of States

the β-ZrNCl with Ab Initio

Khatereh Sarvazad*, Soroosh Zarghani

Department of Physics, Abadan Branch, Islamic Azad University, Abadan, Iran

*Corresponding Author: [email protected]

Received 18 April 2013; Accepted 29 June 2013

Abstract. In this article we will compute structural parameters, band structure and density of state for the β- ZrNCl compound,

based on the Density Functional Theory and the solution of the Kouhan-Sham equations. The calculations have been done

through PWscf software. In this study, soft pseudopotentials have been used for this compound. The volume of β-ZrNCl unit

cell decreases by increase of pressure. The pressure may cause different effects from various directions on the bonds. By

increasing the pressure, the amount of decrease in “c” constant is 1.3 more than of “a” constant and the reason is that β-ZrNCl

is an anistropical structure. Since the compressibility is low, it can be said this compound is very hard. The band structure

shows that this compound is a semiconductor with an indirect bandgap of 2.75 eV. By the partial density of state, it is

identified that the Nitrogen atom plays an important role in β- ZrNCl properties and the electrons of “ P” orbital in the” N”

atoms are very effective. The calculations have a good correlation with the experimental results.

Key words: density functional theory - structural parameters - pseudopotential - lattice constant - band structure-density of

state.

1. INTRODUCTION

Layered compounds have attracted a great deal of

attention due to their structural flexibility and

interesting physical properties including

superconductivity. Zirconium nitride chloride have

two forms: form “α” low temperature with layered

structure type FeOC1 and form “β” high temperature

with layer structure type CdBr2. The form “α “is very

resistant in humidity while the form “β” which is

considered in the research is stable even in the water.

β-ZrNCl has been found by Yamanaka in 1996

(Yamanaka, 1996). This compound is a special

layered structure and is composed of structural slabs

of {Cl –Zr -N–N –Zr- Cl}. Three such slabs are

stacked rhombohedrally along the c-axis to build the

unit cell (Chen, 2001).

β-ZrNCl was prepared by the reaction of Zr

(99.9%,325 mesh) with NH4CI(99.5%)at 650 0C for

30 min under the flow of NH3 gas(99.9,20-

50cm3/min). Obtained samples were purified by a

chemical vapor transport method (Kawaji, 1997;

Yamanaka, 1998). This composition is an n-type

semiconductor with an activation energy of 50-60

meV and it has a band gap of 3.4 eV(Ohashi, 1989).

Upon Li intercalation, the system turns into a metal

and superconducting state at low temperatures. This

is the first superconducting layered nitride (Taguchi,

2006; Takano, 2008). Figure (1) shows the crystal

structure of β-ZrNCl (Shamoto, 1998). According to

the studies, very few theoretically studies have been

done on this material. In this paper, calculations are

performed on the structural and electronic properties

of the β-ZrNCl composition which include computing

the lattice parameters, equilibrium volume V0 ,total

equilibrium energy E0, bulk module B0, its drive B0`,

compressibility, band structure, and density of the

states which later ,computation and comparing the

results made by the other researcher will be studied.

Fig. 1: The crystal structure β-ZrNCl

2. MATERIALS AND METHODS

The calculations have been done by using pseudo

potential method in the framework of Density

Functional Theory. In this study the method of

Sarvazad and Zarghani


246

instability (us-pp) was used, therefore, it is very

important to determine the pseudopotential exactly.

β-ZrNCl has the trigonal structure with the space

group mR3 and the lattice constants that have been

measured experimentally, are a=3.604 0A and

c=27.672 0A and used in the calculations (Adelmann,

2000). The calculations have been done with or

without considering spiny interactions. To

implementation energy convergence program is

considered that with 10 cycles. The kinetic energy

cutting the electronic wave functional based on plane

waves 40 ridberg are elected which a lattice of

12*12*14 k-mesh is created.

3. RESULTS AND DISCUSSION

3.1. Calculation of lattice parameters

One of the most important parameters in the

calculations is the lattice constant .It is experimentally

measured and is available; however, it should be

calculated in order to be conically.

After optimization “k” points and cut energy, there

is need to draw an energy graph the lattice parameters

and the smallest volume is obtained which is the

optimum volume and regarding to the studied

structure, the lattice parameters can be extracted. To

do this, convergence eigenvalue of structure energy

for the different parameters have been calculated.

Due to being self-equations, we can calculate the

amount of energy to arbitrary precision. Energy

changes based on volume is given by Mvrnagan, s

state equation; the minimum energy is obtained for

this compound by using this equation. One of these

results is shown in figure (2).

-150.86

-150.84

-150.82

-150.8

-150.78

-150.76

-150.74

-150.72

-150.7

-150.68

1400 1600 1800 2000 2200 2400 2600 2800

volume((a.u)^3)

en

erg

y(R

y)

Fig. 2: Energy diagram in terms of volume β-ZrNCl.

Following these calculations, other parameters

such as lattice constant, bulk module, derivate of the

bulk module to the pressure and compressibility has

been calculated. The results are given in table (1) and

compared with the both experimental and theoretical

data made by others. In this table a&c are lattice

constants, V0 is optimum volume, B is bulk module,

B` is derivative of bulk module, k is compressibility

and Emin is the minimum energy. According to

researches, very few studies have done on this

compound and no theoretical results have been

obtained.

The result show considering spiny interactions

have a little effect on the structural parameters and

improves the volume. Compressibility is defined

converse to the bulk module and the bulk module

represents the stability of the crystal, in other words,

the more module volume means the more crystal

stability.

Now we will study effect of pressure on β-ZrNCl.

The graph of dependency of volume on the pressure

for the combination has been shown in figure (3). The

graph clears that the volume of unit cell decreases by

increasing pressure. Since the compressibility is low,

it can be said this compound is very hard.

Graph of lattice parameters changes of a/a0 and

c/c0 based on the pressure were shown in figure (4).

According to the figure the lattice parameters

decreases by increasing pressure, and it also can be

seen that the amount of decrease in “c” constant is 1.3

more than of “a” constant and the reason is that β-

ZrNCl is anistropical structure and this is due to the

difference in the type of bonds along with a,c.


247

Table 1: The structural parameters calculated

Experimental

results(Istomin,

1999)

In view of the

interaction of spin

Regardless of

the spin

interactions

The calculated

parameters

311.38 321.486 321.484 30

0 )(AV

3.604 3.65916 3.65915 )( 0Aa

27.672 27.7586 27.7581 )( 0Ac

7.6769 7.5860 7.5859 ac /

- 131 131 )(kbarB

- 5.24 5.24 B

- 7.63*10-3 7.63*10-3 1)( kbarK

- -150.84007 -150.84005 )(min RyE

2000

2020

2040

2060

2080

2100

2120

2140

2160

2180

0 2 4 6 8 10 12 14

P(kbar)

V((

a.u

.)^

3)

Fig. 3: Diagram of dependency of volume on the pressure β-ZrNCl

0.975

0.98

0.985

0.99

0.995

1

1.005

0 2 4 6 8 10 12 14

P(kbar)

a/a

.,c/c

.

Series1

Series2

Fig. 4: Diagram of β-ZrNCl lattice parameters changes based on the pressure

3.2. Band structure calculations

Another important result that can be derived from

simulation of crystal properties is the graph of band

structure. Nature of the crystal whether it is metal or

not, measure of energy gap, if there is and its type

whether it is direct or not, also method of distribution

of the electron states in the different energies can be

derived from this graph. Accordance of this graph to

density curve of the states could be a reason to

accuracy of the calculations. Structures of the energy

band β-ZrNCl along with different symmetric lines

are shown in figure (5).



248

Energy

Fig. 5: Diagram structure of the energy band β-ZrNCl regardless of the spin interactions.

In this curve Fermi energy is located in the

coordinate system origin, as it is clear from the figure

(5) the levels of energy did not cut the Fermi level .It

shows that β-ZrNCl compound has indirect band gap

of 2.75 eV in the point of . Table (2) shows the

calculated band structure of this method with other

methods. The structure of energy band of β-ZrNCl

combination regarding to spiny interaction shows that

this spiny interaction has no effect on the structure and

the calculated gap has a good agreement with other

results.

Table2: Band gap compared with the results obtained by others

Theoretical

results(Hase, 1999)

Experimental

results(Ohashi, 1989)

Experimental

results(Ohashi, 1984)

The

interaction

of spin

No

interaction of

spin

Band gap

1.6-2 3.4 3 2.75 2.75 )(eVEg

- - - indirect

indirect

Type of

gap in point

Γ

3.3. Density of states

Electron distribution in energy spectrum is described

by density of states. Density of state diagram β-ZrNCl

has been drawn based on energy at the range -10 eV to

10 eV in figure (6).

L Γ ∆

X


249

)(eV

state Dos

)(eV energy

Fig. 6: The β-ZrNCl total density of states diagram

In the density of state diagram, zero energy scale

presents Fermi level that it has been shown with

vertical line. As it is clear from figure, maximum of

the density of states is expanded from -4.5 eV to 0eV

and approximately density of states is zero from -4.5

eV to later. For more accurate investigation about

different orbitals participation, partial density of state

of atoms energy has been shown in the next figures.

According to these figures, it can be seen that N

atoms’ share to Zr and Cl is more in dos of all

compound. Therefore it can be concluded that N

atoms have a basic role to determine the electronic

properties of β-ZrNCl. In figure (7) dos share of each

Zr atom orbitals were compared to each other. As it is

clear from figure, in Fermi level, density of states “s”

orbital in the Zr atom is almost zero. For “d” orbital N

(Ef) is about 3 state/eV and for “p” orbital is about

0.3state/eV.

Dos share of “s” and “p” orbitals in the N atom are

compared in figure (8), for “s” orbital of N atom,

peaks of energy have been located in limits 1eV to

4eV. Density of states for “s” orbital in Fermi level is

almost 0.1 state/eV. It shows that “s” orbital of N

atom has a small role in compound properties

determining.

Energy peaks for “P” orbital in the N atom are

almost expanded from -3eV to 0eV. The “P” orbital of

Nitrogen atom has basic role in electronic properties

of all compound β-ZrNCl. The N(Ef) for “p” orbital of

N atom is about 4.5 state/eV.

)(eV

state Dos

)(eV energy

(a)



250

)(eV

state Dos

)(eV energy

(b)

)(eV

state Dos

)(eV energy

(c) Fig. 7: The zirconium partial density of states diagram for a) d orbitals b)s orbitals c)p orbitals

)(eV

state Dos

)(eV energy

(a)


251

)(eV

state Dos

)(eV energy

(b) Fig. 8: The partial density of states diagram of nitrogen atom for a) s orbitals b) p orbitals

Curve of partial density of states of “s” and “p”

orbitals for Cl atom is shown in figure (9). As it is

clear from figure N (Ef) of “s” orbital of the chlorine

atom is about 0.1state/eV.

Therefore “s” electrons of Cl atom have little share

in total density of state and it basically shows

unoccupied states also the N(Ef) of “p” orbital of Cl

atom is about 2.5 state/eV.

The “p” orbital of Cl atom in fact has a greater role in

the electronic properties of total compound.

4. CONCLUSION

Calculation has been done by using Ab initio

method and looking at spiny interaction and obtained

structural parameter have good compatibility with

experimental consequences. Obtained consequences

determine that spiny interaction has insignificant

effect on structural parameters and the consequences

are an emphasis on the more difficulty and less

compressibility of β-ZrNCl compound.

According to compound band structure, it is

distinguished that energy levels have not been cut

fermi level, this expresses that β-ZrNCl is a

semiconductor with band gap of 2.75eV.

By looking at to the partial density of states

diagram, it is distinguished that N atoms have

important role to determine electronic properties of β-

ZrNCl. The partial density of state of N atom shows

that s orbital of N atom has an insignificant role, and p

orbital of Nitrogen atom has basic role in electronic

properties of all compound β-ZrNCl.

)(eV

state Dos

)(eV energy

(a)



252

)(eV

state Dos

)(eV energy

(b) Fig. 9: The partial density of states diagram of chlorine atom for a) s orbitals b) p orbitals

ACKNOWLEDGEMENT

This article is adapted from the research projects

“Calculation of lattice parameters and energy band

structure and density of states the β-ZrNCl with Ab

initio” which is supported by Islamic Azad Universit

(IAU), Abadan Branch-Iran.

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Fernandez-Diaz F (2000).Structural Study of

Superconducting Li-doped beta-ZrNCl. J of

Low Temp. Phys., 117: 449.

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(1984). Superconductivity of Alkali Metal

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253

Khatereh Sarvazad is faculty member of physics department of Islamic Azad University, Abadan

Branch, Iran. She holds MSc in Physics from IAU, Khouzestan Science and Research Branch. She is

interested in research on her educational field; she organized a research project in Physics field.

She has written the present article based on her research project’s findings on Energy Band Structure

and Density of States. She wrote this manuscript as corresponding author with the assistant of Dr.

Soroosh Zarghani.

Dr. Soroosh Zarghani is faculty member of Physics department of Islamic Azad University of Abadan,

Iran. He holds MSc in Physics from Tehran Science and Research Branch. Iran. Then He was recruited

by Islamic Azad University of Abadan, Iran as a course instructor in Physics department since 2007; and

now he is student of physical occanography in University of Khoramshahr. He is interested in research

on his educational field, he organized a research project in Physics area. He has written the present

article based on his research project’s findings on Calculation of lattice parameters and energy band

structure and density of states the β-ZrNCl with Ab initio. He wrote this manuscript with the assistant of

Khatereh Sarvazad, faculty member of Physics department of Islamic Azad University of Abadan, Iran.


ISSN: 2322-4541; ©2013 IJSRPUB


254


Democratic Regression in Nigeria: A Critical Discourse on the Character and

Tendencies of the Political Parties as Explanatory Factors

Emma E.O. Chukwuemeka1*

, Dennis S. Amobi2, Bartholomew I. Ugwuanyi

3

1Associate Professor/Head, Department of Public Administration, Nnamdi Azikiwe University, Awka Nigeria

2Senior Lecturer, Department of Public Administration, Nnamdi Azikiwe University, Awka Nigeria

3Institute of Management and Technology, ENUGU, Nigeria

*Corresponding Author: Email: [email protected]

Received 19 June 2013; Accepted 12 July 2013

Abstract. Nigeria is being confronted with many problems. Very critical and cardinal among them, is the regression in

democratic practice. Indeed, observations and research findings point to the fact that proper democratic practice in Nigeria is

increasingly becoming elusive. This situation has become a source of worry to proponents of democracy and good governance.

In realization of the centrality of political parties in democratic activities and processes, the study examined the dominant

character and the tendencies of the political parties in Nigeria in an attempt to establish their relationship with the prevailing

democratic regression in Nigeria’s Fourth Republic. In doing this, the qualitative research method of gathering data through

secondary sources was adopted. Consequently, analysis in the study was based on content analysis technique. The basic

finding is that the character and tendencies of the political parties vitiate their will and capacity to play politics democratically

and to encourage or promote democratic ideals among the citizenry. To reposition the political parties to play the role of

enhancing democratic practice in Nigeria, it was recommended that political parties should embrace competition, co-operation

and compromise as necessary ingredients of democratic politics and embarks on political education to socialize the entire

citizenry into accepting, imbibing and exhibiting democratic values in their political activities. Political parties should be more

interested in politics based on ideology and principles and for national interest and not just for selfish personal, party or ethnic

gains.

Key words: Democracy, Democratic Regression, Political parties, Ideology, Electoral fraud

1. INTRODUCTION

In the contemporary world, all nations particularly the

developing ones, are striving for the enthronement of

democracy, for the enhancement and sustenance of its

proper practice. Indeed, the democratic craze

sweeping across the whole world is as a result of its

immense advantages of serving as a critical

framework for the expression and execution of the

will of the people and for overall good governance.

Nigeria embraced Democratic ideals since her

independence 53 years ago. She however has not all

this while been lucky to realize its proper and

sustainable practice (Alfa, 2011; Idala and

Uhunmwuangho, 2012; Ugwuanyi, 2011), rather what

she has over the years, witnessed is democratic

regression as evidenced in gross violation of basic

democratic tenets as reflected in the pervasive cased

of electoral fraud, irregular elections, irresponsible

and unaccountable political representation among

others.

Extreme cases of such violations in some cases led

to the truncation of democratic civilian government

and the enthronement of military rule. For instance,

the military takeover in January, 1966 and that of

1983 were partly as a result of gross undemocratic

practices (Ogundiya and Baba, 2004).

No doubt, various institutions such as the

government, the judiciary, the police, the electoral

bodies and the political parties contribute, in varying

measures, to the democratic regression in Nigeria. In

this study, however, the focus of discourse is on the

political parties and as they exist and operate in the

on-going Nigeria’s Fourth Republic. We feel impelled

to take this focus in realization of the relationship

between the character, activities and behavioural

tendencies of political parties and the extent, manner

and nature of democratic practice (Suileman, 2011).

In the context of the focus of the study, we shall

examine and discuss the dominant character and

prevailing tendencies of the political parties in the

democratic process, highlight their implications on the

realization of enhanced democratic practice and

ultimately make recommendations for repositioning

the political parties to play expected positive roles

towards enhancing the democratic practice in the on-

going Fourth Republic.

mailto:[email protected]

Chukwuemeka et al.

Democratic Regression in Nigeria: A Critical Discourse on the Character and Tendencies of the Political Parties as

Explanatory Factors

255

2. EXPLICATION OF THE MAJOR CONCEPTS

It is a common knowledge that most concepts and

terms in the social sciences discipline are ambiguous

and controversial in meaning as a result of the

differing angles and perspectives from which authors

and scholars define or explain them. We will attempt

to remove such contradiction on the key concepts here

through defining and particularly operationalizing

those to capture the contextual meaning which we

seek to impose on them. For this study, we explain the

following two key terms thus:

(1) Political party: Basically, a political party is an

organized group within a country with the aim of

gaining political power either alone or in co-operation

or alliance with other parties (Emma, 2008). It could

also mean an organization under which ambit people

aspire to and acquire political power in a state (Oji,

1997). Sartori (1976) simply defined a political party

as any political group indenfiable by an official label

that presents, at election, candidates for public office.

Leed (1968), in a more elaborate form, defines

political party as a group publicly organized with the

aim of gaining political power so as to carry out

policies which it feels will serve the national interest.

In the context of this definition, political parties

acquire their meaning and relevance in terms of the

purpose for which they are formed which essentially

and usually is better organization and management of

the affairs of the state for enhanced development.

Overall, the basic creteria or features of a political

party are that:

(I) It is pre-occupied in seeking the control of

governmental powers either singly or in coalition with

another or other parties; (II) Members of the party

have common interest, values, ideals and aspirations;

(III) Its basic interest is the promotion of national

interest; (IV) It is organized under a recognized label

or name.

Generally, without political parties, the

representative model of democracy would be

practically impossible. For this, in Nigeria, like in

other democratic climes, political parties have become

an established institution of democratic politics and as

such, operate a multi-party system. As at 2011, there

were 63 registered political parties that participated in

the general elections of 2011. Some of these political

parties are Peoples Democratic Party (PDP), Action

congress of Nigeria (ACN), Labour Party (LP), All

Peoples Grand Alliance (APGA), All Nigerian

Peoples Party (ANPP), Congress for Progressive

Change (CPC), Alliance for Democracy (AD),

Democratic Alternative (DA), Democratic People’s

Party (DPP) etc.

(2) Democracy: Democracy is a system involving

institutions and processes by which leaders acquire

power through popular mandate while institutions of

state derive their mandate from the constitution

(Oshimole, 2005). Democracy, in essence is about the

sovereignty of the power of the people and the

processes and institutions through which it is

delegated.

The earliest conceptualization of democracy points

to the direct and full participation of the adult citizens

in a polity in the decision on issues and events that

affect them and their country. Such, indeed, was

called direct democracy. However, in modern times

such direct and full participation of people is no more

very feasible and practicable as the modern societies

have become very complex. Indeed, given their sheer

geographical size, population and complex nature,

democracy at the national or state level has become

the indirect or representative type. Specifically, the

indirect or representative democracy is a democracy

in which people participate in taking and

implementing decisions on the common affairs of the

community indirectly through their representatives

elected or selected for that purpose. This modern idea

of democracy has made political parties very essential

and inevitable in its processes as its effective

functioning is built on the freedom of the citizens to

choose people to govern them from the political

parties.

In all, some of the basic features of democracy as

indentified and articulated by scholars like Nwabuzor

and Mueller (1986), Dahl (1981) Wiseman (1990)

include the facts that;

- There is more than one political party competing

for powers in a non-violent manner.

- There are regular elections based on universal

suffrage.

- Elections are fairly and freely conducted.

- There is the protection of civil and political

liberties.

- There is the rule of law.

- There is tolerance for opposition.

- Rulers and political representatives are held

accountable to the ruled by means of a variety of

political arrangements.

1.2. POLITICAL PARTIES AND DEMOCTARIC

PRACTICES: THE INTERFACE

Fundamentally, the developments of political parties

are linked to the emergence and growth of

representative democracy (Oji and Okafor, 2000).

Indeed, in modern democracies, political parties have

become the traditional platform for organizing and

carrying out political activities. In reality, ofcourse,

politics would be virtually impossible to conduct

effectively nor would elections be possible to conduct

or organize properly without political parties. This


256

point is becoming axiomatic in view of the fact that in

contemporary democratic governance, there is rapidly

increasing reliance on the electoral process as the

principal way of constituting and legitimizing

government at both the national, state or local

government levels (Alfa, 2011).

Scholars, in their various studies, have identified

the importance of the party system to the practice of

democracy. Katz (1986), for instance, notes that

modern democracy is essentially party democracy and

that political institutions and practices that are the

essence of democratic government would be

unthinkable without the political parties. Hilder

(2003) notes to the importance of political parties in

democratic governance as he observes that political

parties are the main intermediary between people and

power and that they, as well, organize and rationalize

politics. For Tyoden (1994), no political system can

be adjudged democratic without the central placement

of political parties in its political process. Adele

(2001) also notes the importance of political parties in

a democratic governance as he argues that the political

parties are the lubricant of democracy and without

which democracy cannot function as they provide the

only credible means of harnessing the variety of

public interests and opinions that are essential for

sustaining a democratic polity.

Another very fundamental importance of political

parties in a democracy is that it makes government

effective and responsive. This is because opposition

parties functions as pressure groups and as shadow

government. In this case, such pressure makes the

ruling party conscious of the fact that it could be voted

out and replaced in subsequent elections if it fails to

perform or run government effectively. In all and as

Diamon (1997: 23) notes; “Political parties remain

important as essential instrument for representing

political constituencies, aggregating interests,

demands and preferences, recruiting and socializing

new candidates for office, crafting policy alternatives,

setting the policy making agenda, forming effective

government and integrating groups and individuals

into the democratic process”.

In the specific context of Nigeria, the 1999

constitution, in recognition of the importance of

political parties in democratic practice, provides in

section 221 that political parties shall be the basis for

any candidate to canvass for votes at any election.

The political parties in Nigeria have a plethora of

roles to play in enhancing proper democratic practice.

Very fundamental is the socializing of their party

members and the general citizenry into imbibing and

exhibiting basic democratic values. For instance, the

political parties through conscious and systematic

political education and mobilization could inculcate

not only in their members but on the general public

the following democratic values of:

(I) seeing competition and opposition as necessary

ingredients of politics; (II) approaching the game of

politics with the spirit of sportsmanship where the best

have to win and the looser, at the end of the game,

congratulates the winner; (III) being accountable to

the electorates when they are voted into political

office; (IV) ensuring effective representation of the

electorates and their constituencies; (V) eschewing the

sit tight mentality or syndrome; (VI) eschewing

prebendal orientation to politics and public political

office; (VII) exhibiting participant political culture by

being interested and actually participating in the

politics of the state and governance.

3. AN OVERVIEW OF THE STATE OF

DEMOCRATIC REGRESSION IN NIGERIA’S

FOURTH REPUBLIC

From the preceding discussion, the fact that the

political parties play critical and tremendous role in

enhancing democratic practice is no more in doubt.

However, in Nigeria’s Fourth Republic (as it even was

in the First, Second and Third Republics), the

character, and tendencies of the political parties have

not in any reasonable measure, enhanced democratic

practice. Rather, they have posed serious challenges to

democratic consolidation, deeping and sustenance and

have resulted generally to democratic regression.

These unsupportive characters and tendencies to

proper democratic practice include the following:

(I) One, formation of political parties not based on

distinct and sustainable ideology: Basically, an

ideology is a set of ideas that constitute a political

party’s goals, expectations and actions. It crystallizes

and communicates the widely shared beliefs, opinions

and values of a party (Erikson and Tedin (2003). The

issue of ideology has been central to politics,

democracy and activities of political parties across

time and space (Shola, 2009). Unfortunately, political

parties in Nigeria lay less emphasis on organizing the

society better through a given ideology (Tatalo, 2013).

Rather, the emphasis is primarily and usually on

ephemeral and ad-hoe arrangements that do not

usually offer adequate guide and framework to run the

serious business of state governance. It appears that

other forces of identity particularly ethnicity and

religious have taken the place of ideology. This

character, no doubt has far reaching implications for

proper democratic practice. Indeed, as Umezulike

(1993:181) notes; “Where the existence and

operations of political parties do not rest on or are not

informed by any difference in opinion or fundamental

issues of principle, then their democratic values is

greatly reduced”.

Chukwuemeka et al.


Explanatory Factors

257

The pervasive electoral fraud in Nigeria could,

partly, be attributed to the inability of the political

parties to work out sustainable ideology that will

endear them to the electorates. As Oji and Okafor

(2000) observe, the lack of articulate and sustainable

ideology has reduced party politics and democratic

practice to a bread and butter game where

monetization of the political process is the bed rock of

loyalty and support. This, no doubt, significantly

erodes the aim and process of democratization. Ezeife

(quoted in Aina, 2002) notes too that political parties

in Nigeria are not ideology based and that the

emphasis is on just winning election when ordinary

political parties are supposed to base their political

actions and election program on ideology. This

situation in Nigeria is unfortunate as ideology based

politics is essential in deepening democracy and in

giving the electorates a clear idea as to which party or

candidate to vote for in an election. Beyond this, clear

and distinct ideology and manifestoes provide a clear

benchmark and templates by which the performance

of political parties is eventually measured by the

electorates and the general public. Further, through a

distinct ideology, a political party is able to proffer an

alternative world view for the electorates which is

very essential in deepening democracy.

(II) Two, low institutionalization of the political

parties in Nigeria: Political institutionalization

basically refers to a process by which political parties

become established and acquire value and enduring

stability (Huttington, 1965). Although, the extent of

political party institutionalization varies with party

systems, it is usually measured based on some factors

such as age, internal democracy, splits and mergers,

electoral stability, leadership change, party coherence,

factionalization (Janda, 1993). Kaura (2008) argues

that the level of political party institutionalization has

a direct bearing on the extent to which a political party

can contribute to proper democratic practice.

Unfortunately, virtually all the political parties in

Nigeria’s Fourth Republic have not acquired the

required and necessary attributes of

institutionalization (Shola, (2009); Alfa, (2011). For

instance, in the case of party congruence, which

according to Janda (1980), refers to the degree of

compatibility in the attitudes and behaviour of party

members, the political parties in Nigeria are very low

on this point as people join political parties for

purposes other than national interest and service to the

people. In most circumstances, people with differing

orientation in life philosophy and principles, political

attitudes and behaviour come together as members of

one political party. This low level of party congruence

explains the weakness and instability of the political

parties in Nigeria. Further, there is no significant

existence of internal party democracy among the

political parties in Nigeria (Alfa, 2011). For instance,

the scale of the participations of party members in the

nomination process for candidates for general election

is very low. This is because most of the political

parties are extremely centralized that decision in

respect of the nomination of candidates are usually

made by the top party hierarchy or the “political God

fathers” or political merchants who “buy” certain

positions for their political godsons. The issue of

automatic return tickets for PDP incumbent members

in the National Assembly, State House of Assembly

and for state governors for 2011 general elections is

no doubt, far from reflecting internal party democratic

practice. Again, on the factor of leadership stability,

Nigeria political parties have so far not fared well. For

instance, it is observed that among the leading

political parties in Nigeria such as PDP, ACN, ANPP,

CPC, and others, there are regular dissolution of party

executives, suspension of party executives and

stalwarts for alleged anti-party activities and the

emergence of parallel executives. This, currently, is

the problem in APGA, Anambra state chapter. The

PDP, Enugu state chapter witnessed similar problem

in 2011 as two parallel executives existed then. Then

again, on the factor of factorization and defection

Nigeria political parties have been characterized by

high level of factionalization and defection of party

members. It may not be far from the truth that there

are usually not less than two factions or “line-ups” in

each of the major political parties in Nigeria. Again

party defection is very rampant in Nigeria and appears

to have become a permanent feature of Nigeria

democracy (Mba, 2011). More worrisome is that most

of the cases of defection are primarily results of

failure to realize one’s selfish personal ambition,

problems in power sharing formular and dwindling

fortunes of a party (Mba, 2011). Indeed, the regularity

and reasons for defections in Nigeria belittles the

essence of ideology and spirit of opposition in a

democracy.

Indeed, on a general note, 100% of the political

parties in Nigeria could be adjudged fragile entities

that are far from being described as institutionalized.

This situation is not supportive of enhance democratic

practice as political parties can only meaningfully

perform the necessary roles in advancing democracy

if it is highly institutionalized (Shola, 2009; Saliu and

Omotala, 2006).

(III) Three, ethnic leaning of the political parties:

Nigeria is a state consisting of several ethnic groups

with the three major or dominant ones being Hausa,

Yoruba and Ibo in the Northern, Western and Eastern

parts of the country respectively. Political parties in

Nigeria since her independence in 1960 have

continued to be formed on the lines of the ethnic

groups and for their interests. For instance, in the First


258

Republic, Northern Peoples Congress (NPC), and

Action Group (AG) and the National Council of

Nigeria Citizens (NCNC) emerged as Hausa, Yoruba

and Igbo party respectively. In the Second Republic,

National Party of Nigeria (NPN), Peoples Redemption

Party (PRP) and Great Nigeria Peoples Party (GNPP)

essentially had northern (Hausa) origin while Unity

Party of Nigeria (UPN) and Nigeria Peoples Party

(NPP) had mainly Yoruba and Ibo orientation in their

activities and leaning respectively. In the Third

Republic, the two political parties then, the Nigeria

Republican Convention (NRC) and the Social

Democratic Party (SDP) were not so much ethnic

oriented as the two political parties were formed by

the then military government and political aspirants

just had to join. In the Fourth Republic, however,

most of the parties still assume ethnic inclination or

leaning except the PDP that has, so far, assumed a

national spread and ownership. The CPC, ANPP, LP,

ACN and APGA among others all tend to lean

ostensibly either towards the Hausa, Yoruba or Igbo

ethnic group. In the circumstance of the political

parties assuming ethnic spread, ownership and

interest, it becomes very difficult for the political

parties to co-operate in the process of democratization

as the major emphasize and interest or concern is this

circumstance is primarily on how to win elections and

control the national resources for ethnic interest.

(IV) Four, encouragement and perpetration of

electoral fraud: Ordinarily, political parties are usually

of immense assistance in controlling electoral fraud

by first discouraging party members from using

fraudulent means to gain electoral victory. Second, by

providing assistance or information for successful and

conclusive prosecution of cases of electoral fraud.

Contrarily, electoral fraud in Nigeria is committed

with the active support and connivance of the political

parties (Human Rightswatch, 2003). This explains

why the political parties are usually very eager and

willing to secure the realize of their party members,

supporters or thugs accused of perpetrating electoral

fraud. Unfortunately by this action, the political

parties make their members and the general public to

believe that electoral fraud is not only good but a

veritable and easiest way to win elections. This

behavioural tendency has far reaching implications for

the enhancement of democratic practice in Nigeria.

Ijeoma (2002) in this respect notes that in the

circumstance of electoral fraud, the norms, ethics,

values and ethos of democracy are set aside while

people are forced or deceived into supporting or

voting for given political parties or candidates. In this

circumstance, the beauty of democracy which lies in

effective competition and opposition between or

among political parties is lost. This situation becomes

more critical and worrisome in consideration of the

fact that democracy thrives or flourishes better in a

multi or two party systems. In the circumstance of

intolerance to opposition as it obtains in Nigeria, a

ruling party, at the national, state or local government

level, would always use its power or position of

incumbency to force out opposition parties from the

electoral game or force them to join it. Following the

experience in the general elections of 2003, 2007 and

2011 in Nigeria, opposing political parties have come

to realize that it is not easy to dislodge a ruling party.

Hence, the need to join it. In this circumstance,

politicians versed in the art of political dialogue,

constructive criticism and skillful negotiations are

increasingly becoming irrelevant in Nigeria. In this

circumstance, indeed, the entire objective of political

pluralism becomes unrealizable.

Certainly, electoral fraud particularly as it relates

to election rigging and stealing of electoral mandates

harms the democratic process by, for instance, making

the people to become politically apathetic, alienated

and indifferent to the democratic process as they

realize that their votes may not eventually count in

determining who wins an election. Again, it does not,

on the side of political parties inculcate in them the

zeal and need to produce better policies, programs or

manifestoes or to present credible candidates for

election and does not, on the part of the individual

politicians too help to motivate or nuture their

political or democratic competences or potentials.

(V) Five, poor representation by the elected

candidates/poor governance by the ruling political

party: Indeed, political parties have become inevitable

in the context of representative democracy practiced

in most countries of the world today (Oji, and Okafor,

2000). Further the positive relationship between

democracy and good governance is globally

acclaimed. This is borne out of the belief that

democracy as based on the principle of the rule of law

and constitutionalism is capable of ushering in good

governance and societal development. Basically in a

representative democracy, people elect candidates to

represent them in government. The election and

representation could be in the status of the president

of the country, a state governor, a local government

chairman, a senator, a member of the House of

Representatives, a member of the state house of

Assembly or a councilor in the legislative arm of the

local government. The election of these

representatives is invariably on the basis of political

parties. The expectation of the electorates is that the

elected candidates will individually represent them

effectively and that the elected ruling party would

provide over all good governance for them and for the

entire period between elections. Such effective

representation and good governance if provided by the

candidates and political parties respectively re-enforce

Chukwuemeka et al.


Explanatory Factors

259

people’s interest on a democracy as a system of

government. In Nigeria, however, what people have

been witnessing since the inception of the Fourth

Republic in 1999 is poor political representation and

bad governance. These are re-enforced by the

prevailing tendency of the political parties to concern

themselves more with enhancing their corporate

interest and that of their individual members at the

expense of the overall good governance for national

development. The implication of this for proper

democratic practice is that such induces the citizens to

develop feelings of apathy and cynicism towards

democratic and electoral activities specifically as they

begin to conceive acquisition and utilization of

political offices arising from elections as not serving

their interests or advancing their well being. Indeed, in

Nigeria, the prevalent and common observation is that

political representatives like senators, members of

House of Representatives, and members of the State

House of Assembly and even the local government

councilors pursue primarily their selfish private

interest and abandon all the pre-election commitments

and promises of effective representation. Rather, they

amass stupendous wealth, fly into their respective

poor constituencies in private jets, drive around in

posh cars and erect luxurious edifices, all to the

chagrin of the poor people that elected them (Akin,

2010).

(VI) Six, undue antagonisms by the political

parties against each other: It is a commonly held

belief that the survival of the democratic process is

directly linked to the ability of the political parties to

aggregate freely, articulate and organize sentiments in

the quest for acquisition and use of political power.

Two, democracy is all about competition, bargaining

and compromise that are expected to be facilitated by

political parties. However, the contrary is the case

among the political parties in Nigeria as there are

usually and frequently antagonisms, conflicts and

misunderstanding among them. For instance, the

ruling party in Nigeria, the PDP is always critical of

any move or opinion expressed by other political

parties. So also are the non-ruling or governing parties

(opposition parties) reigning invectives and

sometimes, unconstructive criticism on the ruling

party, PDP at every available opportunity

(Mohammed, 2006). Under these circumstances the

political parties cannot co-operate to ensure the

consolidation and sustainability of democracy in

Nigeria.

Following the character and behavioural

tendencies of the political parties in Nigeria as

discussed above, the democratic practice in Nigeria

since independence down to the Fourth Republic has

continued to be characterized by regression instead of

growth. This has continued to dim the hope of

democratic consolidation and sustenance. The

experience becomes more disturbing as 53 years is a

time long enough for democratic practice in Nigeria to

have become fully and properly entrenched. It is,

therefore, unfortunate that the undemocratic activities

of the political parties as witnessed in the First,

Second and Third Republics are still being

experienced today.

4. RECOMMENDATIONS

Putting Nigeria’s democratic practice on the path of

growth and sustainability lies essentially on the

following:

(1) The political parties generally eschewing

tendencies and activities that are in themselves

antithetical to the proper practice of democracy. In

this case, the political parties should:

(i) Allow for free and fair conduct of elections both

at inter-party and intra-party levels. It is further in this

direction recommended specifically that the ruling

party, the PDP at the national level need to allay the

fears of domination and marginalization by other

parties by creating grounds for free and fair political

activities and electoral conducts; (ii) Not be engaged

in politics primarily for selfish personal gains; (iii)

promote high quality representation of the electorates

and ensure general good governance

(2) The political parties must have a clear and

comprehensive ideology on which to operate and then

attempt to achieve electoral victory through presenting

good manifestoes. It is the ideology and the

manifestoes that will help to sharpen, clarify, and

crystallize the basis for choice of candidates or party

by the voters or the electorates.

(3) Politicians in Nigeria should eschew tribal or

ethnic politics and should form political parties with

national spread and ownership and which philosophy

and activities will be guided by national interest and

the need for advancement in the nation’s democratic

practice. They need too, to adhere to the provision in

the 1999 constitution of the Federal Republic of

Nigeria in section 222 paragraph (e) that the logo or

symbol of political parties should not contain ethnic or

religious connotation or give the appearance that the

activities of the party are confined to a part of the

geographical area of Nigeria.

(4) For the fact that building and sustaining a

democratic culture depends more on the internalized

democratic values and attitudes by the citizen than on

the drafting and existence of political or electoral

laws, we recommend with greater emphasis, that the

political parties should engage in systematic and

continuous mass political education and mobilization

of the people. Through this, the right political or

democratic attitude could be inculcated into the


260

citizens who would always naturally exhibit such in

their political life and activities. Indeed, the

performance of this function is very imperative

because the whole essence of the political parties

getting involved in democratization basically relates

to the mobilization and conscentization of the people

to accept, imbibe and exhibit democratic values and

tendencies in their political activities. It is possible

that through political education and sensitization, as

may be provided by the political parties, the Nigerian

citizens’ political attitudes and values could be

reformed and mobilized in the direction supportive of

proper and sustainable democratic practice.

Hopefully, with such a solid democratic culture

among the citizens, the nation’s democratic practice

could move from the state of regression to the state of

growth, consolidation and sustainability.

5. CONCLUSIONS

Political parties play critical roles in enhancing proper

democratic practice. Contrarily, in Nigeria, the

political parties make their own contribution, in more

measures, in the direction that results to regression of

democratic practice. Indeed, Nigeria political parties

are not helping to build democracy. Rather, they are

assisting in building institutionalized culture of

intolerance to opposition, formation of political

parties not based on a given ideology, formation of

political parties based on ethnic or religious sentiment,

prebendalism, poor political representation, bad

governance, electoral fraud/violence etc. For them to

play meaningful roles in growing democratic practice

in Nigeria, the political parties need to adopt the

recommendations as made above. This we believe is

possible if they realize that sacrifices need to be made

to ensure the growth and proper enthronement of

democracy and that when this is done, the dividends

of democracy would be enjoyed by all and sundry.

This is because democracy, if fully and properly

entrenched, creates on its own enabling condition or

framework for having good leaders, effective

representation and their corollary good governance.

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262

Emma Chukwuemeka has a PhD in Public Administration. He is an Associate Professor and Head,

Department of Public Administration, Nnamdi Azikiwe University, Awka Nigeria. He is widely

published and Editor of many International Journals.

Dennis S. Amobi is currently a Senior Lecturer and Deputy Director of The Continuing Education

Programme of Nnamdi Azikiwe University Awka Nigeria. He is widely published and married with

children. He hails from Anambra State of Nigeria.

Ugwuanyi Bartholomew has a PhD in Public Administration and Currently a Lecturer at Institute of

Management and Technology, Enugu Nigeria. He is married with children and widely published.


ISSN: 2322-4541; ©2013 IJSRPUB


263


An Investigation into Factors Affecting Productivity of Produces by Karoun

Agriculture and Industry Company

Mehdi Basirat1, Mehrafarin Latif

2*, Ali Asghar Esfandiari

3

1Assistant Professor and Head of Economics Department, Science and Research Branch, Islamic Azad University, Khouzestan,

Iran 2MA Student, Department of Economics, Science and Research Branch, Islamic Azad University, Khouzestan, Iran 3Assistant professor, Department of Economics, Science and Research, Islamic Azad University, Khouzestan, Iran

*Corresponding Author: [email protected]


Abstract. Due to the limitation of production factors, our world today is in a vital need for enhanced productivity, in both

developed and developing countries. Hence, productivity and provision of proper approaches will lead to the improvement of

economic situation. This study investigates productivity of production factors in Karoun agriculture and industry in the period

between 1981 and 2010. The results obtained from the fitting of the model indicate that variables have the condition for the

convergence test and there is a long-term balance correlation between the variables. In order to investigate the short-term

dynamics and its correlation with long-term relationships, error correction model (ECM) was used. Results obtained from this

model indicate that, as expected, ECM sign is negative and its value is 0.61. In order to calculate productivity, detailed

productivity method (mean and final productivity) was used. The results obtained from this study demonstrate that the main

variables, such as labour and capital, affect productivity. Tensions obtained from fitting of the model demonstrate the share of

each factor. The tension of capital and labour is respectively 0.013 and 0.373 in a way that productivity of capital was

increased in some years and decreased in some others, showing a fluctuant decreasing trend on the whole. On the other hand,

productivity of labour increased in some years and decreased in some years, but it showed a fluctuant increasing trend on the

whole.

Key words: productivity, production function, Karoun Agriculture and Industry Co., Total factor productivity (TFP),

Regressive distributed Lags (ARDL)

1. INTRODUCTION

Productivity is regarded as one of the important

concepts of economics as it shows the relationship

between the use of production factors and the

produce. On the whole, productivity could be

considered a combination of efficiency and

effectiveness. Efficiency refers to conducting a task

accurately and is related to beneficial use of the

resources. Effectiveness means accurate task, meaning

that it is possible to produce more outputs by a lesser

use of inputs although the output might not have the

quality desired by the consumer. In terms of

productivity, the first important issue is that the task

needs to be accurate and beneficial and then this tasks

needs to be performed in the best possible way. If

these two conditions are met, it could be ensured that

productivity has been realized. The increase in

productivity of production process will be translated

into usage of a certain level of inputs to have more

production (Abtahi and Kazemi, 2006).

The significant production inputs are the labour

and capital factors. Therefore, the two concepts of

productivity of labour and productivity of capital are

in fact the efficient use of the labour and capital

factors. In addition, total factor productivity (TFP)

shows the efficient use of the combination of the

mentioned factors. Growth of TFP not only effects of

quantitative growth of production inputs, but is also

one of the important factors that lead to economic

growth. It is in fact a type of management in the use

of production resources. Nowadays, sugar is regarded

as an important and strategic good and the ability is

producing this produce is both economically and

politically significant. However, the recent efforts of

the government in producing sugarcane and its

secondary produces are of great importance. Karoun

Sugarcane Agriculture and Industry is among the

centres for producing sugarcane and refining it into

sugar and the related produce in Iran (Khoozestan

province) (Saeedi, 2001). This article aims to answer

the following questions:

Is there is a strong and direct correlation between

capital and productivity in Karoun agriculture and

industry?

Has productivity of capital and labour increased in

the period under study?

Basirat et al.


264

1.1. Theoretical Foundation

Productivity is one of the new criteria for measuring

progress in production. This concept adopts an

economic perspective to investigate the application of

production factors as well as the access to pre-

determined goals. There is a difference here between

the concepts of production and productivity.

Production does not necessarily mean higher

productivity, but it is the produced output. On the

other hand, productivity is the ratio of produced

outputs to consumed inputs. Therefore, it is possible

that in a given year, production is increased but

productivity is decreased. For instance, the total

annual sugarcane harvest or sugar production of an

agency might be satisfactory without any satisfaction

with regard to improvement of productivity of the

inputs. In other words, the increase in production is

the result of the higher use of materials and inputs.

Meanwhile, if the ratio of the increase in production to

the increase in used materials shows a decrease in the

ratio of output to input, it indicates productivity of the

agency has decreased. In other words, productivity

decreases when the input illogically increases in

comparison to the output (Rahmati Andami, 2007).

When analysing the performance of an agency,

productivity, efficiency, and effectiveness are usually

considered to be the same and are used alternatively.

However, it should be noted that these words are

different from one another. Efficiency is the ratio of

actual output to the standard or required output, or it is

the ratio of the work that is done to the work that

needed to be done. Effectiveness refers to the degree

of achieving the goals and productivity refers to the

ratio of outputs to inputs.

A significant issue is that according to physical

laws in machines, efficiency, which is the result of

face capacity to present capacity, is never 1 and it is

always lower than 1. However, when it comes to

human beings, proper motivation and leadership could

help to make this quotient higher than 1.

Effectiveness is the degree of achieving the set goals.

In other words, effectiveness shows to what extent

efforts have been translated into the intended results.

However, the usage and productivity of resources for

achieving the goals is related to efficiency. In fact,

effectiveness is related to performance and human

satisfaction of performed efforts. Efficiency is related

to proper exploitation of resources; in other words,

productivity is the combination of efficiency and

effectiveness. It could be seen that efficiency has a

quantitative aspect but effectiveness has a qualitative

aspect. In addition, efficiency and effectiveness are

not necessarily in the same direction and their changes

are not the same. This is due to the fact that efficiency

includes the results and outputs that are not

necessarily all desirable and ideal. Therefore, proper

attention should be paid when using such terms as

efficiency, effectiveness and productivity. Based on

the above explanations, it could be said that

productivity has three criteria:

1. Efficiency (doing a task successfully); 2.

Effectiveness (performing the right task); 3.

Consistent application of production factors; in other

words, it means consistently performing a task

without wasting time or resources or without wasting

labour and machines. Therefore, productivity is

consistent performance of the right task and it

indicates efficiency, effectiveness and the consistency

of performance. The increase in productivity as the

result of better application of the inputs used in the

production process of an agency is usually translated

into an increase in production and a decrease in the

costs of production, thus benefiting the agency.

However, the opposite of this trend is not necessarily

right. In other words, the increase in profits could not

always be regarded as the increase of productivity.

This is because profits of an agency could be the

result of the increase in demands or the increase in the

products’ prices, thus not being related to the better

use of resources by an agency. Even when

productivity is low, an agency’s profits might

increase. The increase in profits could be the result of

better application of production resources (Varzeshi

and Esfandiari, 2009).

2. PREVIOUS STUDIES

Tavakoli et al. (2000) measured and analysed

productivity of production factors in large industry

groups in Iran in the period between 1972 and 1993.

They investigated the indices of productivity in the

two groups of detailed and total productivity of

production factors. In terms of detailed indices,

productivity of labour and capital was considered as

the ratio of production to the related input and in

terms of total productivity indices, productivity

growth was measured and analysed with regard to the

a series of production factors using basic solo and

divisia indices. Moreover, they used an exponential

function to estimate capital inventory. The results

obtained from calculation of productivity indices

indicated that detailed labour productivity had a 48.9

percentage growth and capital productivity had a 13

precent negative growth in the period under study.

Study of detailed productivity as per industrial

activities indicated that labour productivity had an

increasing trend except for paper and carton

industries. However, capital productivity showed a

growing trend only in the resources belonging to non-

metal mineral products, fundamental metals, and other

various industries and demonstrated a decreasing

trend in other industries.


265

Amini (2002) measured and analysed the factors

affecting productivity in non-oil sectors of the Iranian

economy and economic prospect in the third

development plan. He first explained the factors

affecting labour and capital productivity and then

investigated the total performance of non-oil sector

and the performance of each sub-sector in the period

between 1956 and 1999. He then provided a prospect

for them in the third development plan and calculated

the share of productivity of total factors of growth in

the period between 1956 and 1999. In this study,

agriculture sector demonstrated the best performance

and “other services” sector (including services other

than transport, warehousing, and communications)

had the worst performance with regard to efficiency of

using production factors. On the whole, production

sectors enjoyed a high degree of productivity in the

use of resources. In contrast, service sectors were

either not successful or only slightly successful in

terms of efficient use of production factors. Share of

productivity in production growth in the whole non-

oil sector was 13.8 precent and it was predicted to

increase to 20.6 precent in the Third Development

Plan.

Ghalambaz et al. (2008) estimated the production

factor and productivity models in Karoun Gas and Oil

Exploitation Co. productivity and its production

factors was estimated for the period between 1986 and

2008. In order to conduct this study, first the

reliability of variables was tested using the augmented

Dickey–Fuller test (DFT). Then, the error correction

model was estimated using Engle and Granger co-

integration approach. The results demonstrated that in

the period under study, the function is Cobb–Douglas

and the mean of productivity growth in Karoun Gas

and Oil Exploitation Co. is 8.3 precent. The tension is

0.64 for the labour, 0.15 for the capital and 0.55 for

energy. The result obtained by Wald test indicates that

in comparison to the scale, the return in increasing is

1.34. Ernesto (2002) conducted a study on the

productivity of industries in Mexico and found out

that the increasing competition in import and accesses

to US markets have a positive and significant effect

on the total productivity of production. In addition,

foreign investments too have a positive effect on the

productivity of factors in industries in this country,

although the overflow resulting from this capital to the

country’s industries is slight. Krueger and Tuncer

(2006) studied productivity growth in manufacturing

industries in Turkey based on public and private

sectors and claimed slower productivity growth

coincided with periods of a more stringent trade

regime their study also showed that despite the fact

that the rate of growth of TFP was about the same in

the public and private sectors, levels of inputs and

production factors in the public sector enterprises

were much higher than in their private sector

counterparts. Dirk Pilat (2009) compared productivity

of industries in South Korea with the productivity of

similar functions in the US and Europe. Although in

this study, productivity of some industries like leather,

metals and machineries was to a similar level as

European industries, the TFP of Korean industries was

26 precent of the productivity in the American

industries. According to Pilat, such factors as capital

intensity, savings as the result of production scales in

industries, and levels of education of the labour force

were among the most influential factors in the

difference between productivity of industries in South

Korea and the US. and Reddy (2010), studied the

productivity trend in Andhra Pradesh products in

India. In order to calculate the productivity of the four

industries of cotton, tobacco and coke, food products

and paper, Trans log production function and divisia

index were used. Their explanatory variables in

functions included capital inventory, labour force, and

consumed fuel. The variable of time was added to the

production functions as an input to study the technical

progress and the GDP was also used as a dependent

variable. After calculating TFP using divisia index,

they concluded that TFP in all industries except for

cotton products industry had a decreasing trend. TFP

index of cotton products industry was increased

during this period despite having some slight

fluctuations. Desini et al. (2010) used econometric

methods to study and test the role of internal

restructuring (such as using modern technology and

structural changes) and external restructuring (such as

entering and exiting the market and changes in market

share) on productivity growth in industries in

England. They concluded that external restructuring

affects 50% of changes in labour productivity and

90% of changes in the TFP. Thirtle and Bottomley

(2012) measured productivity of total production

factors in agriculture. This paper analyses the

relationship between production functions and TFP

index. The results showed that intensive growth in

agricultural productivity was proportional to other

economic sectors. Rosegrant and Evenson (2012)

investigated changes of efficiency in a paper whose

title was “Agricultural productivity and Growth

resources in south Asia”. The results showed that a

high rate of efficiency was estimated to invest in

public researches, which is indicative of profitability

and need for continuity of this investment. Efficiency

is the origin of wealth and growth possibility is

prepared in long-term based on new theories of

economic growth of efficiency.

Basirat et al.


266

Table 1: Summary of series Unit-Root test

Table 2: Summary of series Unit-Root test

Table 3: Autoregressive Distributed Lag Estimation ARD(1,2,0,1,1,2,0,0)

3. METHODOLOGY

The methodology used in this study is descriptive-

analytic. Te data used in this study was collected

using the library method from Karoun Agriculture and

Industry Co. in the period between 1981 and 2010.

3.1. Calculation of Productivity

In order to calculate productivity, two methods have

been recommended by economists: econometric and

non-parametric methods. In the econometric method,

calculation of productivity is performed through

estimating a production function or a cost function. In

the non-parametric method, productivity is determined

by using mathematical planning or by calculating the

index value (Abtahi and Kazemi, 2006). This study

used the first method. Therefore, if the production

functions is assumed to be as follows:

y= (x1 , x2 , … , xn) (1)

It is possible to calculate average productivity

APxi and final productivity MPxi of each production

factor, assuming that the following conditions are

fixed:


267

(2)

(3)

By estimating one production function, MPxi

could easily be calculated. With regard to Cobb–

Douglas function, MPxi is as follows:

(4)

Where Y refers to the product, Xi the input, and ei

the elasticity of each input.

3.2. Total Factor Productivity (TFP)

After the Second World War, many economists

focused their studies on TFP. TFP (labour and capital

simultaneously) in fact indicates the average

production for each unit of the whole production

resources. This index indicates the balance of the

changes in productivity of labour and capital. GDP

growth or added value in each economic sector is

performed in two resources (Valizadeh Zonooz,

2005).

1. Input Increase (Labour and Capital); 2.

Structural Improvement (machineries, equipment for

improving the quality of labour and management)

Detailed productivity, including labour and capital

productivity, might not be able to explain the increase

in the efficiency of production factors and thus the

current conditions of the industry. Meanwhile, TFP

could explain how production factors could be used

properly and productively as it takes into account the

changes in those factors that leave the biggest role in

the production process, and thus it could be used to

have proper economic policies by industrial-economic

policy-makers.

TFP growth rate could be calculated using the

following equation:

KPALPAPFT kL

(5)

where TFP is the total factor production growth,

APL is labour productivity growth, APK capital

productivity growth, nL is the productive tension of

labour input, nK is the productive tension of capital

input.

3.3. Regressive distributed Lags (ARDL)

Unreliability of the variables might lead to artificial

regression, and thus damage the confidence about

estimated coefficients. Therefore, based on the co-

integration theory in modern econometrics, when

using time series in estimation of the models, it is

necessary to use the approaches that take into account

both reliability and co-integration.

Using the models that have short-term dynamics

will help to have more exact estimated coefficients.

On the whole, a dynamic model is one in which

variables’ lags could be considered as in equation 6

(Tashkini, 2005).

(6)

In order to decrease biased estimators in smaller

samples, it is recommended to enter a large number of

lags for variables in the model.

(7)

The above model is called ARDL, in which:

(8)

(9)

L is the operator of the lag, Lnxt=xt-n is a vector of

fixed variables like intercept and the virtual variables

of time trend. Microfit software estimated the

equation times (m+1)k+

times. M is the maximum

number of lags that is set by the researcher and k is

the number of explanatory variables. Then, one

Schwartz-Bison, Akaike, Hannan Quinn criterion is

used to choose one of the questions:

3.4. Error Correction Model (ECM)

Co-integration between a series of economic variables

is the basis for using ECM. ECM is in to fact related

short-term fluctuations (short-term imbalance) of

variables to their long-term values. According to

Engle and Granger, each long-term correlation has a

short-term ECM that guarantees the balance and vice

versa.

These models are in fact a type of detailed balance

models in which forces affecting short-term

conditions and the speed of getting close to long-term

balance value are measured by entering the stable

error terms of a long-term correlation (Tashkini,

2005).

3.5. Research Model

The model used in this model is linear and Cobb–

Douglas (Debertin, 1997; Darisavi, 2001).

Ln SHT = Ln A+α1Ln Szk +α2Ln MAM+ α3 Ln

N+α4Ln I+α5Ln IM+α6Ln KF+ α7Ln MSIB

where SHT is produced sugar, SZK is the area

under cultivation; MAM is consumed water; N is the

labour, I is the Capital (equipment), IM is the

agricultural machinery asset, KF is the phosphorous

fertilizer, and MSIB is total frost time.

Basirat et al.


268

4. RESULTS

4.1. Reliability

Use of traditional econometric approaches for

experimental studies is based on the assumption that

variables are reliable. Therefore, augmented unit root

DFT is used. Based on the conducted tests, it could be

concluded that in Table 1, SHT, IM, N, MSIB, KF,

SZK variables are reliable and I and MAM variables

become reliable after one difference(Table 2).

Using the dynamic model’s coefficient, the long-

term correlation between the variables is tested. To do

this, the following equation is used to calculate the

required statistic.

106/0

138/0 -5/84

The statistic is -5.84. Therefore, comparing the

calculated value of -5.84 and the critical value

presented by Banerjee, Dolado and Master at the level

of 99%, (-5.04), the null hypothesis of the model is

rejected and the existence of a balance long-term

correlation between the model’s variables is

confirmed. The results obtained from estimating the

dynamic model indicate that capital, machinery assets,

labour, area under cultivation, and amount of

consumed water leave positive and significant effects

on production. In addition, phosphorous fertilizer and

the total frost hours have negative and significant

effect on production. Determining coefficient of the

model is 97% and the value of statistics of Durbin-

Watson test (2.76) and f=37.7620, show the high

explanatory feature of the model and lack of co-

integration and significant between general

coefficients in the estimated model (Table 3).

The following results could be gained by observing

the pathological tests:

a). F statistic to determine the presence or absence

of co-integration is 3.08 and the minimum level of

significance of the value in parenthesis is 0.10. Taking

into account the error level of 0.05 and comparing it

with the minimum level of significance in the null

hypothesis, which indicates there is no co-integration,

the hypothesis with regard to existence of co-

integration is rejected(Table 4).

b). F statistic to determine the right or wrong

function shape is 0.0017. Taking into account the

error level of 0.05 and comparing it with the minimum

level of significance of 0.96, the null hypothesis,

which indicates there is an accurate function shape, is

confirmed(Table 4).

c). F statistic for determining the similarity

variance is 0.33. Taking into account the error level of

0.05 and comparing it with the minimum level of

significance of 0.56, the null hypothesis, which

indicates there is no different variance, is

confirmed(Table 4).

The long-term correlation between the model’s

variables is estimated using the following equation:

LnSHT=0/013LI+0/059LIM+0/373LN+0/167LSZ

K-0/073LKF+2/02LMAM-0/112LMSIB-16/39C

(2/08) (2/10)(2/92)(3/03)(-2/21)(2/46)(-

3/17)(-1/78)

Values in the parenthesis are the t-statistic relayed

to the coefficients. The results obtained from

estimating the long-term dynamic model indicate that

production is positively and directly correlated with

labour, capital, machinery assets, area under

cultivation, and amount of consumed water. In other

words, each 1% increase in labour, capital,

machineries assets, area under cultivation, and the

amount of consumed water increase production as

much as 0.37, 0.013, 0.059, 0.16, and 2.02 precent

respectively. Production has a negative correlation

with the total number of frost hours and phosphorous

fertilizer, meaning that for each 1% increase in the

total number of frost hours and phosphorous fertilizer,

production decreases as much as 0.11 and 0.073

precent respectively(Table 5).

The Coefficient for the error correction term is

significant and its expected sign is negative. The value

of this coefficient is 0.61, meaning that about 61

precent of the deviations in the variable of production

from the long-term balance value is balanced after one

period (Table 6).

4.2. Stability Test

The stability of the coefficients is studied using the

CUSUM test, showing that the coefficients of the

estimated model in the period under study are stable

(Figure 1).

4.3. Reaction Function

Reaction functions show the reaction of endogenous

variables to shocks imposed on the model’s variables

(Figure 2).


269

Table 4: Diagnostic Tests

Table 5: Long-Run Estimation ARDL

Table 6: Error Correction Representation for the Selected ARDL Model

Table 7: Variance Decomposition

Basirat et al.


270

Fig. 1: CUSUM and CUSUMQ tests for coefficients stability of ARDL model

Fig. 2: Reaction Function

4.4. Variance Analysis Test

If a shock is imposed on the dependent variable, it

will show what the percentage of the fluctuations is

the result of the variable itself and which percentage is

the result of the fluctuations in the other variables.

The results obtained from this test indicate that on

average 55% of the fluctuations in the first five years

was the result of production logarithm, 4% was the

result of machineries assets logarithm, 2% was the

result of the logarithm of the area under cultivation,

18% was the result of the logarithm of the amount of

consumed water, 15% was the result of the logarithm

of the phosphorous fertilizer, and 2% was the result of

the logarithm of the total frost hours (Table 7).

Fig. 3: Variance Decomposition

4.5. Calculation of Productivity

The results obtained from calculating the detailed

productivity (final productivity and average

productivity) and TFP are provided in Table 8 and 9

based on the following equations:

(10)

(11)

where Y is the product, Xi is the input, and ei is the

tension of each of the inputs.


271

5. CONCLUSION

Enhancement of productivity is production factors

translated into a decrease in prices. The decrease in

the level of prices, including production factors, leads

to the decrease of average costs of production of

goods and services in the market and the increase of

profitability of products of manufacturing enterprises.

From the perspective of micro-economics, capital and

labour are two important factors in the function of

production and they play a significant role in

increasing production. Based on the type of

production function, which is linear and Cobb–

Douglas, it directly and increasingly affects

production. Agricultural section is one of important

economic sections in the country. Much attention is

payed to this section for its important role to supply

the people’s food and to provide the primary materials

of many industries. Low productivity is one of the

serious problems in Iran. This problem is observable

in all pre- and post-productivity steps. Efficiency

growth is a necessary factor for continued economic

growth in each country. In order to increase of

efficiency in Iran’s economy, we must pay special

attention to agricultural section which is one of the

important sections and the main economic activities in

the country. Because increasing of efficiency growth

according to special economic structure of the country

in this section can help us achieve economic goals.

Realizing direction of efficiency growth in Iran

agricultural section, either for having poor economic

infrastructures or for competition on the international

scene to reach better economic success, help us to lead

our productivity equipments and resources, according

to which we can reach our proper place in

international relations. So, doing productive projects

and their appropriation in different agricultural sub-

sections are necessary. The main variables like labour

and capital impact productivity. Productivity of the

labour was increased in some years and decreased in

some others, but it shows a fluctuating decreasing

trend on the whole. On the other hand, the results

obtained in this study demonstrate that capital

increased over the period of the study. On the other

hand, productivity of capital was increased in some

years and decreased in some years, but it showed the

highest amount of decrease in 2000. On the whole,

capital productivity has a fluctuant decreasing trend.

Therefore, labour and capital productivity was not

increased over the course of the study. Therefore,

since two types of capital is used, the productivity

trend of both types of capital is studied. Since the TFP

was increased in some years and decreased in some

others but had a fluctuant-increasing trend on the

whole and since capital and machinery asset was

increased over the course of the study, it could be said

that there is not a strong and direct correlation

between capital and productivity (Table 9). Based on

the estimation of the long-term coefficients of the

model, it could be claimed that all variables of the

model, except for phosphorous fertilizer and total frost

hours, are positively and significantly correlated with

production. In better words, each 1% increase in

labour, capital, machineries assets, area under

cultivation, and amount of consumed water increase

production as much as 0.37, 0.013, 0.059, 0.16, and

2.02 precent respectively. On the other hand, each 1%

increases in the total number of frost hours and

phosphorous fertilizer decreases production as much

as 0.11 and 0.073 precent respectively (Table 5).

Policy Recommendations:

1. Increasing labour productivity through increasing

the share of educated labour force in the total labour

force due to the high capability of the skilled

workforce in using modern technologies in production

2. More attention to the problems in the sugar

production machinery lines, and particularly with

regard to the sources of producing sugar wastage at

factories;

3. More beneficial use of dry days during the period

of harvest and doing harvest in the cooler months in

order to prevent the reduction of harvested sugarcane

at the end of the period, which usually coincides with

the hot days of the year;

4. More attention to destroying the weed and

particularly resistant weeds like cockspur grass, which

have become the main target of chemicals in recent

years.

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Table 8: Total Factor Productivity and partial productivity

Average

productivity

of Capital

Average

labor

productivity

Average

productivity

of Capital

Machinery

Average

productivity of

the Acreage

Elasticity

of

Capital

Elasticity

of

Capital

Machine

Elasticity

of Labor

0631 36-E 1900/3 9003990/1 19- E

49309/0

044949004/9 106994/1 140119/1 696/1

0630 33- E

6943/9

10330999/3 13- E

30069/6

966999699/3 106994/1 140119/1 696/1

0633 33- E

0040/0

19613199/0 13- E

33013/0

394360309/9 106994/1 140119/1 696/1

0636 39- E

9169/9

30996636/1 13- E

99939/0

393439630/9 106994/1 140119/1 696/1

0639 39- E

6693/9

96939160/1 19- E

03016/9

139149090/9 106994/1 140119/1 696/1

0634 34- E

1913/0

00969999/3 14- E

91660/3

919934490/9 106994/1 140119/1 696/1

0633 39- E

0663/9

31366109/1 14- E

99694/3

931109009/3 106994/1 140119/1 696/1

0639 60-E 0919/0 04069949/1 14- E

04409/3

163409069/6 106994/1 140119/1 696/1

0639 64- E 39100043/0 13- E 104933903/9 106994/1 140119/1 696/1


273

3033/9 33333/6

0630 69-E 334/3 3309106/1 19- E

66900/9

963933049/9 106994/1 140119/1 696/1

0691 63-E 3166/0 9393109/1 10- E

94434/0

96004936/9 106994/1 140119/1 696/1

0690 64-E 9999/6 94099499/0 14- E

93964/3

033990944/6 106994/1 140119/1 696/1

0693 63- E

9963/0

09603639/3 13- E

49130/3

649499404/4 106994/1 140119/1 696/1

0696 69- E

9943/6

39963090/1 13- E

33306/0

60494904/3 106994/1 140119/1 696/1

0699 60- E

1314/3

6399939/0 19- E

91169/3

940963393/3 106994/1 140119/1 696/1

0694 93-E4603/0 0010314/6 13- E60303/0 443419900/4 106994/1 140119/1 696/1

0693 96-E 9199/0 9134303/1 19- E

30094/6

300434363/4 106994/1 140119/1 696/1

0699 96-E 6666/3 39091990/1 19- E 9446/0 940399439/9 106994/1 140119/1 696/1

0699 93- E

9014/0

39363669/1 19- E

36369/0

61619994/30 106994/1 140119/1 696/1

0690 36- E

3409/6

9939340/0 19- E 0433/3 399990004/9 106994/1 140119/1 696/1

0691 93-E 1939/0 39069019/1 19- E

99309/3

933064493/9 106994/1 140119/1 696/1

0690 93-E 3369/3 1119919/0 13- E

10399/0

941069006/9 106994/1 140119/1 696/1

0693 99-E 0960/0 39990399/3 13- E

93036/0

143119609/9 106994/1 140119/1 696/1

0696 99- E

9330/9

33610103/1 19- E

30694/6

303930963/3 106994/1 140119/1 696/1

0699 93- E

3990/9

91016139/0 13- E

90990/0

199936630/9 106994/1 140119/1 696/1

0694 99- E

3404/3

40413949/1 13- E

99660/0

999309934/6 106994/1 140119/1 696/1

0693 93- E 303/0 60490993/1 13- E

09036/3

199341130/4 106994/1 140119/1 696/1

0699 93- E

0949/6

09430619/3 19- E

99969/3

309090046/4 106994/1 140119/1 696/1

0699 94- E

9990/3

06399099/3 13- E 130/9 406139090/3 106994/1 140119/1 696/1

0690 41- E

9693/3

99309093/1 19- E 1003/3 303643969/0 106994/1 140119/1 696/1

Table 9: Total Factor Productivity and partial productivity

Elasticity

of Acreage

Marginal

Productivity

of Capital

Marginal

Productivity

Capital

Machinery

Marginal

Productivity

of labor

Marginal

productivity

Acreage

Total Factor

productivity

0631 03939/1 99349/3 E 34- 66499/0 E 10- 043600160/1 939000309/1 09460/1

0630 03939/1 13909/3 E 39- 0649/3 E 19- 941913306/1 033930343/0 999039/0

0633 03939/1 4639/0 E 39- 99946/0 E 19- 690130444/1 399909699/0 339043/0

0636 03939/1 14614/3 E 30- 16033/0 E 19- 330304909/1 399063099/0 406963/0

0639 03939/1 04963/4 E 30- 39919/9 E 19- 394636339/1 093699369/0 949919/0

0634 03939/1 99109/0 E 39- 90904/0 E 13- 999333099/1 963993603/1 434969/0

0633 03939/1 99000/3 E 33- 91360/6 E 13- 193030044/1 990960030/1 499309/1

0639 03939/1 93334/3 E 66- 3933/0 E 13- 649943390/1 419390933/1 933066/1

0639 03939/1 99009/3 E 69- 03900/0 E 19- 333040404/1 390939903/1 309900/0

0630 03939/1 33614/6 E 63- 44909/3 E 19- 19330949/1 903694300/1 994196/1

Basirat et al.


274

0691 03939/1 34600/0 E 69- 90433/4 E 01- 390333014/1 900939303/1 13614/0

0690 03939/1 99109/9 E 69- 33904/0 E 13- 346910310/1 333993394/1 603394/0

0693 03939/1 09639/0 E 69- 43399/0 E 19- 003900013/0 904906019/1 119969/3

0696 03939/1 39493/4 E 91- 99009/9 E 19- 019094009/1 130960919/0 099109/0

0699 03939/1 96306/3 E 90- 34394/0 E 19- 909130303/1 190336369/0 496306/0

0694 03939/1 00339/3 E 99- 93300/9 E 19- 001339339/0 039936394/1 000143/3

0693 03939/1 99339/3 E 94- 90009/0 E 19- 041091449/1 091169399/1 101094/0

0699 03939/1 91403/9 E 94- 49993/9 E 10- 019036999/1 904063139/0 4310/0

0699 03939/1 64019/3 E 99- 30469/9 E 01- 343396463/1 436491363/6 904939/6

0690 03939/1 16136/4 E 34- 36334/6 E 10- 916993130/1 699990309/0 199393/3

0691 03939/1 96609/0 E 99- 36904/0 E-10 349049690/1 309496933/0 443969/0

0690 03939/1 31043/9 E 99- 99993/3 E 19- 696639469/1 936933493/0 969140/0

0693 03939/1 33939/0 E 90- 01300/0 E 19- 943330194/1 091639903/0 163449/3

0696 03939/1 06934/3 E 90- 90369/0 E 19- 399613900/1 031343693/0 639444/0

0699 03939/1 03309/0 E 99- 9639/9 E 19- 43443999/1 099043343/0 910930/0

0694 03939/1 04690/0 E 90- 99309/4 E 19- 003000199/1 339110633/1 900030/1

0693 03939/1 66390/0 E 99- 39403/0 E 19- 009903969/1 990633603/1 039004/1

0699 03939/1 9393/4 E 99- 39999/0 E 19- 904336414/1 043340339/1 939004/0

0699 03939/1 03096/6 E 99- 03344/9 E 19- 90390399/1 013999999/0 900990/0

0690 03939/1 33163/0 E 43- 36930/0 E 19- 390404330/1 490196140/0 961440/0


275

Mahdi Basirat holds a Ph.D. in economics and Assistant Professor and Head of Economics Department,

Science and Research Branch, Islamic Azad University, Khouzestan, Iran. His areas of interest include

econometrics and macroeconomics.

Mehrafarin Latif is a graduated student of M.A economics, Department of Economics, Science and

Research Branch, Islamic Azad University, Khouzestan, Iran in 2013.

Ali Asghar Esfandiari holds a Ph.D. in economics. His areas of interest include econometrics and

microeconomics.


ISSN: 2322-4541; ©2013 IJSRPUB


276


Assessing Relationships in Kenyan Sorghum Landraces by Use of Simple Sequence

Repeat Molecular Markers

Kahiu Ngugi1*

, Rachael Maswili1,2

, Cecilia Muchira1

1Department of Plant Sciences and Crop Protection, Faculty of Agriculture, College of Agriculture and Veterinary Sciences,

University of Nairobi, PO Box 30197-00100, Nairobi, Kenya 2Kenya Agricultural Research Institute- Katumani, PO Box 340-90100 Machakos, Kenya

*Corresponding Author: Email: [email protected]


Abstract. In the semi-arid areas of Kenya, the effects of climate change are accelerating the genetic erosion of many crops and

threatening food security of resource-poor farmers. This study analyzed the genetic diversity of the available Sorghum bicolor

L. germplasm using simple sequence repeat (SSR) markers with the aim of identifying varieties that can be selected to meet

food security needs of these marginal environments. Accessions from four agro-ecological regions were genotyped with 39

SSR markers chosen on the basis of their position in the genome and the large repeat sizes they represented. The alleles were

called using the Gene Mapper software (version 3.7), sizes assigned with the allelobin software and the subsequent data

analyzed with the Power Marker software (version 3.25). The Arlequin software (version 2.0) was used to calculate the

diversity indices and the intra-population structure. Genetic distances were calculated according to Rogers modified distance

and the accessions were clustered using principal component analysis (PCA). A mean polymorphic information content (PIC)

value of 0.536 was observed, indicating moderate levels of polymorphism. The variability within accessions among the

populations was 56.37%, within individual accessions was 38.85% and among geographical origins was 4.78%. A low level of

genetic differentiation (FST = 0.048) and a high inbreeding level (FIS = 0.59) showed an increased degree of allele fixation. The

results showed that though most of the accessions were similar, there was sufficient genetic diversity among and within

sorghum landraces in Kenya, which would be useful in the improvement of sorghum productivity.

Key words: genetic diversity; germplasm; microsatellites; Sorghum bicolor

1. INTRODUCTION

Sorghum (Sorghum bicolor (L.) Moench is the fifth

most important grain crop worldwide as far as

production and acreage are concerned (FAO, 2010).

It is the second highly produced cereal in Africa after

maize (Gerda and Christopher, 2007). Sorghum is a

drought-tolerant crop, well adapted to marginal and

semi-arid areas (Gerda and Christopher, 2007) where

annual rainfall is between 350 to 750 mm (Markus

and Gurling, 2006). The mean grain yield for sorghum

in Kenya has been reported to be as low as 700 kg/ha

(MOA, Kenya, 1996) and the crop is grown in the

drought-prone marginal areas of North Eastern,

Eastern, Nyanza and Coast Provinces (EPZ, 2005).

As in other crops, improved grain yield has been

realized by utilizing genetic variability (Rai et. al.,

1999). Selection of varieties to meet specific food,

feed and industrial needs from the local biodiversity is

of high importance in a country such as Kenya,

because most of the preferred traits have been

consciously accumulated across years. However,

many sorghum accessions have been lost or are under

serious risk of extinction and genetic diversity has

been decreasing at a high rate mainly because of

effects of climate change (Kabubo and Karanja,

2007). As a result, many useful alleles have been

eliminated. There is a need therefore to undertake a

comprehensive assessment of the current diversity

present in the local sorghum population for use in

crop improvement (Mohammadi and Prasanna, 2003).

Assessment of genetic variability provides a

foundation for making informed decisions regarding

the management and utilization of sorghum genetic

resources. The characteristics of the germplasm

analyzed here have been described by Ngugi and

Maswili (2010). In an effort to consolidate all the

information pertaining to genetic diversity of sorghum

land races in Kenya, an earlier study had analyzed 139

accessions of sorghum collected from diverse regions

of the country (Ngugi and Onyango, 2012) but unlike

the present study, breeders’ accessions had not been

included. This study sought to widen the assessment

of genetic diversity present in the land races by

including variation generated by plant breeders while

utilizing SSR molecular markers that have been

successfully applied in other studies for the same

purpose (Mohammadi and Prasanna, 2003).

In sorghum, a number of SSR markers developed

from various sources (Bhattramakki et al., 2000;

Ngugi et al.


277

Brown et al., 1996) are in the public domain and have

been employed to analyze genetic diversity. SSR

markers are preferred since they are codominant and

able to reveal a higher level of polymorphism than

other marker systems (Schloss et al., 2002). SSR

alleles can be separated by gel electrophoresis and be

visualized by silver-staining. SSR analysis is

amenable to multiplexing and allows genotyping to be

performed on large numbers of lines. SSR markers are

reproducible, exhibit uniform genome coverage and

are transferable between mapping populations

(Agrama and Tuinstra, 2004). These features, coupled

with the fact that they are highly informative and

abundant, makes SSRs ideal molecular markers for

genetic diversity analysis.

2. MATERIALS AND METHODS

A total of 148 sorghum accessions comprising

landraces and farmers’ varieties were collected from

the sorghum growing areas of Kenya, namely, the

North Eastern (Turkana, 19 accessions), parts of

Eastern Kenya (28 accessions), Coast (17 accessions)

and Western Province, (45 accessions) which included

Nyanza and Kakamega. A selected number of

breeders’ lines (39) were also included from Kenya

Agricultural Research Institute (KARI) Katumani,

KARI Lanet and KARI Kakamega. The accessions

were planted out for evaluation at KARI, Embu

station in a trial replicated three times using a 14 x 14

balanced lattice design. Each accession was sown in a

plot of three rows, each row being 3 m long, with a

between-row spacing of 75 cm and within-row

spacing of 25 cm. Phenotypic data was collected from

the middle two rows of each plot and recorded using

the International Plant Genetic Resources Institute

(IPGRI) characterization descriptor list.

Table 1: Summary of the phenotypic traits of the 148 sorghum accessions analyzed by SSR for their genetic diversity

Region/accessions No. of

accessions

D/FL

GW

(gm)

Leaf

no.

Node

no

PanBr

Panl

(cm)

Western 45 89 1.6 8 8 41 20.95

Turkana 19 92 1.4 10 10 40 22.09

Coast 17 99 1.7 10 10 55 24.6

Eastern 28 85 1.5 9 9 46 19.9

Breeders’ (KARI) 39 85 1.4 8 8 42 21.26

mean 88 1.5 9 9 43.2 21.07

ANOVA

Error 175.2189 0.3739 4.5668 4.3609 213.1441 39.0345

Mean squares 480.1 0.7964 18.130 18.534 488.1 79.24

V.R 2.74 2.13 3.97 4.25 2.29 2.03

F pr. <.0.001** <.0.001** <.0.001** <.0.001** <.0.001** <.0.001**

CV(%) 15.04 40.76 23.74 23.20 33.79 29.65

Broad-Sense H 0.943 0.044 0.423 0.422 0.957 0.868

Key : D/FL =Days to 50% flowering, GW (gm) =Weight of 100 grains in grams

Leaf no. =Number of leaves at maturity, Node no. =Number of nodes at maturity PanBr =Number of panicle branches, Panl (cm) =Panicle Length

V.R.= variance ratio; Fpr.=F probability; Broad-Sense H= broad-sense heritability

The following parameters were measured: (i) days

to 50% flowering (days); as the mean number of days

from sowing to the day on which 50 % of the plants

flowered scored on 5 randomly selected plants (ii)

100 seed weight; as the mean weight of 100 well-

developed grains collected from 5 selected plants and

expressed in grams (iii) number of leaves at maturity ;

as the mean number of 5 randomly selected plants

scored during physiological maturity (iv) number of

nodes at maturity; as the mean number of nodes

bearing branches from 5 randomly selected plants

scored at physiological maturity (iv) panicle branches;

as the mean number of panicles from 5 randomly

selected plants scored at physiological maturity (v)

panicle size; as the mean length of panicle in

centimeters scored from 5 randomly selected plants.

The analysis of variance (ANOVA) was done using

the GenStat Discovery Edition 3 soft-ware and the

results presented in Table 1. Broad-sense heritability

(H) was calculated as; (H) = s2G/ s2p = s2G /[s2G +

s2e/r] where; s2G is the genetic (or genotypic)

variance, s2p is the phenotypic variance, s2e is the

plot residual or error variance from the ANOVA and r

is the number of replications. Thirty-nine SSR

markers obtained through ICRISAT (International

Crops Research Institute for the Semi-Arid Tropics)

from diverse sources (Table 2) were used to genotype

the 148 sorghum accessions. The 39 SSR markers

were chosen firstly because they represented a wide

range of the repeat sizes (from di-nucleotides to hexa-


278

nucleotides) and secondly because these markers

revealed a high number of alleles and had wide

genome coverage as reported in previous studies

(Table 2). DNA of 14 days old seedlings was

extracted from leaves of 5 randomly selected plants

using a modified CTAB protocol (Mace et al., 2003)

and was loaded in the gel as one sample per well. The

samples were analyzed using agarose (0.8%) gel

electrophoresis and stained with ethidium bromide (10

mg mL-1). The concentration of DNA fragments was

estimated using the intensity of the band and diluted.

The results of successful amplification of a few of the

primers with lambda standards placed at ends of the

gel for comparison are shown in Fig. 1.

The PCR reactions for the 39 primers were done

using the GeneAmp" PCR SYSTEM 9600

thermocycler (PE-Applied Biosystems) and touch-

down PCR amplification. Genotyping was conducted

through capillary electrophoresis using the ABI

PRISM 3730 (PE-Applied Biosystems) sequencer and

the microsatellite alleles were sized within 0.3 base-

pair fragments. The alleles were called using Gene-

Mapper software and the internal GeneScanTM

–500

LIZ® Size Standard. A control sample DNA of the

accession BTx623 was included during the PCR and

capillary electrophoresis.

2.1. Genotypic Data Analysis

The Gene-Mapper version 3.7 software was used to

call the alleles and the sizes were assigned with the

Allelobin software. The Allelobin software also

generated the quality index of each marker as

indicated in Table 3. The data generated from the

Allelobin software were analyzed using the Power-

Marker version 3.25. The Power-Marker software was

used to calculate the polymorphic information content

(PIC), expected and observed heterozygosity,

genotype and allele numbers and frequencies for each

marker. Genetic diversity estimated by the Allelobin

software considered allele numbers, their allelic

frequencies and Nei’s unbiased estimate of gene

diversity (H) (Nei, 1987). The data were further

analyzed with the Arlequin version 2.0 software. This

software, in addition to calculating diversity indices,

analyzes disequilibrium tests, neutrality tests and

Hardy-Weinberg equilibrium (Schneider et al., 2000).

The analysis of molecular variance (AMOVA) was

done in Arlequin version 2.0 software to estimate the

significance of the variance components associated

with the different possible levels of genetic structure

(within individuals, within populations, within groups

of populations, among groups). Population

differentiation was elucidated using F-statistics

provided in the Arlequin software ((Schneider et al.,

2000), where FIS is the degree of inbreeding by the

total population, FIT reflects the total population

variability (non-homozygosity) and FST measures

genetic differentiation. Significance tests were

calculated based on 10,000 permutations. Tolerance

was set to a 5% level of missing data per locus. The

analysis considered the regions of origin namely,

Western, Turkana, Coast, Eastern and breeders’

material as sub-populations. Genetic distances were

calculated using Rogers modified distance (Wright,

1978). Pairwise genetic distance matrix was

calculated based on dissimilarity index by simple

matching, using Darwin software version 5.25. The

dissimilarity distance matrix was subjected to PCA

using Darwin Version 5.25 software (Apple Inc.,

APSL) to reveal a scatter plot (Fig. 2) of the first and

second axes of non-metric multi-dimensional scaling

(MDS).

3. RESULTS AND DISCUSSIONS

Most of the landraces flowered at 88 days and had

mean 100-grain weight of 1.5 g (Table 1). One

accession from Western Kenya had the highest 100-

grain weight. Both the number of leaves and number

of nodes at maturity for the majority of the accessions

were 9. Most of the accessions had 43 panicle

branches. The panicle length ranged between 5.6 cm

to 50.1 cm, with most of the sorghums having 21.07

cm long panicles. The highest coefficient of variation

(CV %) was found for 100-grain weight (40.76%),

followed by number of panicle branches (33.79%) and

panicle length (29.65). The lowest coefficient of

variation was 15.04 % for days to 50% flowering

(Table 1). There was less experimental error in the

measurement of days to flowering compared to the

other two traits.

The accessions from the Coast region were the

latest maturing (99 days), followed by those from

Turkana region (92 days). Eastern Kenya accessions

and breeders’ materials were the earliest maturing (85

days). The Coast region accessions had the highest

grain weight of 1.7 g, the highest number of panicle

branches (55) and the longest panicles (24.6 cm).

Turkana and Coast region landraces were the tallest,

as shown by the means of number of nodes and leaves

(10) and also had the largest panicle size. Again, as

shown in the ANOVA in Table 1, there were highly

significant differences among the landraces for all the

traits. Number of panicle branches and days to 50%

flowering had the highest broad-sense heritability

values of 0.957 and 0.943 respectively. The

phenotypic diversity in the land races did not vary

significantly. Indeed in all the traits recorded, the

breeders’ germplasm did not show any significant

variation from the local landraces, meaning that

whatever the differences observed, they were slight.

Ngugi et al.


279

Table 2: Location, composition and source of the 39 SSR markers used to genotype 148 Kenyan sorghum accessions


280

Table 3: Molecular characteristics of the 39 SSR markers used to analyze the 148 Kenyan sorghum accessions

A total of 349 alleles were observed across all loci

(Table 3). The number of alleles per locus ranged

from 2 for marker Xcup14 to 24 for marker Xtxp012.

Markers Xgap206 and CIR 238 had high number of

alleles (23 and 22 alleles, respectively). The highest

quality index was 0.516, which was scored by marker

CIR238, which also had the highest number of rare

alleles (Table 3). Marker Xtxp278 had the lowest

quality index of 0.088. The highest percentage of

abundant allele was 98.46% (allele 204) for marker

Xisep0310 and the lowest was 13.93 % (allele 200)

for marker Xtxp12. The total number of rare alleles

(alleles with frequencies of less than 5%) was 154,

giving a mean of 3.95 alleles per marker. Markers

Xcup02, CIR329, CIR300, CIR306 and CIR262 had

the lowest number of rare alleles (one each), whereas

the rest of the alleles had two or more rare alleles.

Markers CIR 238, Xgap206 and Xtp012 detected the

highest number of alleles, had the highest gene

diversity, the highest heterozygosity and PIC values

and were therefore the most informative (Table 4).

Ngugi et al.


281

Table 4: Allelic frequencies, Genetic diversity and Heterozygosity values of SSRs genotyped in 148 Kenyan sorghum

accessions

Marker

Major

Allele

Frequency

Genotype

Number

Allele

Number

Gene

Diversity

Heterozygosity

PIC

Xtxp40 0.8345 10.0000 7.0000 0.2917 0.0608 0.2751

CIR286 0.4218 15.0000 8.0000 0.6429 0.2245 0.5758

Xcup02 0.7448 5.0000 4.0000 0.4112 0.0350 0.3729

Xtxp10 0.2872 19.0000 9.0000 0.8018 0.2297 0.7743

CIR329 0.4797 14.0000 6.0000 0.6749 0.2905 0.6280

Xtxp114 0.5980 6.0000 4.0000 0.5533 0.1284 0.4885

CIR238 0.2432 52.0000 22.0000 0.8804 0.4589 0.8707

Xtxp141 0.4830 24.0000 12.0000 0.7243 0.1837 0.7032

CIR223 0.6750 15.0000 8.0000 0.5071 0.2571 0.4729

Xtxp273 0.5426 16.0000 9.0000 0.6494 0.2248 0.6149

CIR276 0.9054 5.0000 4.0000 0.1731 0.0541 0.1613

Xcup061 0.7931 7.0000 6.0000 0.3374 0.0828 0.2952

Xtxp21 0.4759 17.0000 10.0000 0.7176 0.3034 0.6901

Xtxp278 0.9830 5.0000 4.0000 0.0336 0.0204 0.0334

CIR283 0.4595 18.0000 9.0000 0.6727 0.4595 0.6208

Xtxp321 0.3414 30.0000 16.0000 0.7770 0.2000 0.7490

CIR300 0.6351 7.0000 4.0000 0.5193 0.0743 0.4556

Gpsb067 0.6058 11.0000 7.0000 0.5278 0.3650 0.4502

SbAGB02 0.3818 18.0000 7.0000 0.7080 0.2095 0.6605

Xsep310 0.9831 4.0000 3.0000 0.0334 0.0203 0.0331

CIR240 0.4660 19.0000 14.0000 0.6837 0.2925 0.6361

Xgap84 0.5986 29.0000 17.0000 0.6248 0.4286 0.6126

Xtxp15 0.3209 21.0000 10.0000 0.7869 0.1689 0.7568

Xcup063 0.8571 5.0000 4.0000 0.2485 0.0136 0.2238

CIR306 0.6216 6.0000 3.0000 0.4803 0.1014 0.3772

Xcup53 0.9493 8.0000 5.0000 0.0980 0.0811 0.0967

CIR248 0.6276 9.0000 5.0000 0.5302 0.3931 0.4690

CIR262 0.7432 6.0000 3.0000 0.3927 0.1149 0.3320

Xgap72 0.4223 12.0000 7.0000 0.7122 0.0743 0.6665

CIR246 0.8074 7.0000 5.0000 0.3346 0.0405 0.3170

Xtxp136 0.4899 5.0000 3.0000 0.5570 0.6149 0.4580

Xcup14 0.6892 3.0000 2.0000 0.4284 0.1757 0.3366

Xtxp057 0.2329 32.0000 14.0000 0.8434 0.3904 0.8244

Xgap206 0.2153 52.0000 23.0000 0.9020 0.3942 0.8950

Gpsb123 0.2891 23.0000 10.0000 0.7924 0.2266 0.7635

Xtxp12 0.1413 52.0000 24.0000 0.9114 0.3623 0.9047

Xtxp145 0.4926 21.0000 13.0000 0.6973 0.3824 0.6661

Xtxp265 0.2245 42.0000 17.0000 0.8711 0.6463 0.8586

Xtxp320 0.2813 26.0000 11.0000 0.8052 0.2361 0.7798

Mean 0.5473 17.3333 8.9487 0.5727 0.2313 0.5359


282

The PIC values ranged 0.03 0.9, with an average

value of 0.536. Similar mean PIC values for SSR loci

were reported by Brown et al., (1996); Kong et al.,

(2000); Geleta et al., (2006) and Agrama and Tuinstra

(2003). However, in the present study, the ranges of

PIC values were wider than those reported by the

foregoing authors. The mean diversity index per SSR

locus was 0.57. Pei et al., (2011) also detected an

overall genetic diversity of 0.60 for accessions and

0.54 for inbred lines using 29 SSR markers. The SSR

markers used here were able to detect high allelic

variability compared to those used by Agrama and

Tuinstra (2003). In Eritrean sorghum landraces, a total

of 208 alleles were observed, with a range of 7 to 28

alleles and a mean of 13.9 alleles per locus (Ghebru et

al., 2003). Menz et al., (2004) obtained a mean of 7.8

alleles among sorghum inbred lines. However

Perumal et al., (2007) recorded between 4 and 21

alleles using seven SSRs, which were similar to the

number of alleles found in this study. The differences

in the number of alleles observed in all these studies

can be attributed to sample sizes and to the number of

markers used. The bigger the sample size and the

more markers screened, the higher was the degree of

polymorphism that was detected. Menz et al., (2004)

analyzed 50 sorghum inbred lines and detected a mean

number of 7.8 alleles with a set of 100 SSRs, 1318

EcoRI/MseI Amplified Fragment Length

Polymorphism (AFLP) and 496 PstI/MseI AFLP

markers, whereas Pei et al., (2011) sampled 45

accessions and non-hybrids of sweet sorghum with 46

SSR markers and recorded a mean of 4.96 alleles per

locus. Another important factor contributing to the

differences in the data reported in these studies is the

manner in which the markers were distributed in the

genome. Where markers were uniformly distributed in

the genome, as was the case in this study, there was a

higher likelihood of obtaining more informative

diversity measures.

Table 5: Intra population Molecular diversity parameters of the 148 Kenyan accessions calculated according to Nei (1987).

Sub-population Western Turkana Coast Eastern Breeders' Mean Total

No. of polymorphic Loci 33 26 29 33 30 30.200

Number of gene copies 90 38 34 56 78 59.200 296

Number of alleles 6.28 4.44 4.79 5.51 6.48 27.510 1,073

Mean expected

heterozygosity(He)

0.558 0.497 0.5597 0.531 0.574 2.719

Mean Observed

heterozygosity (Ho)

0.229 0.172 0.273 0.218 0.254 1.146

Theta (H) under the infinite-

allele model

1.264 0.987 1.271 1.131 1.349 1.206

Table 6: AMOVA for 148 Kenyan sorghum accessions calculated according to Weir and Cockerham, (1996)

Source of variation Variance

components

Percentage

of variation

P-value FST

Among sub-populations 0.41544 4.78 <0.001

Among individuals

within sub-populations

4.89634 56.37 <0.001 0.0478

Within individuals 3.37500 38.85 <0.001

Fixation Indices

FIS 0.592

FST 0.048

FIT 0.612

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283

Fig. 1: A 2.5% Agarose gel image showing some of the amplifications of the optimised primers from the extracted genomic

DNA

Fig. 2: Principle co-ordinate scatter plot showing genetic distance estimates in the 148 Kenyan sorghum accessions

The mean observed heterozygosity level per

marker in the accessions was low (0.23) as compared

to the mean expected heterozygosity measured as

gene diversity (0.57), (Table 4). The major differences

between the observed heterozygosity and gene

diversity for all the microsatellite markers was an

indication of the presence of inbreeding among the

accessions (Table 4). The expected heterozygosity

(He) across the 39 loci was higher than the observed

heterozygosity (Ho), again confirming that there was

low cross-pollination rate among the accessions

(Table 5). The breeders’ germplasm presented higher

diversity than the Turkana accessions as implied by

the higher number of alleles in the population. The

Western region landraces had the highest gene copies

(90), whereas Coast region had the lowest gene copies

(34) (Table 5). A total of 296 gene copies, with a

mean of 59.2 per population were detected. All the

populations had a high number of polymorphic loci

ranging between 26 and 33. The overall mean

expected heterozygosity of 2.719 was higher than the

overall mean observed heterozygosity of 1.146 for all

the accessions. The theta (H) for all the five

populations (Table 5) had positive values, again

indicating the lack of heterozygotes (Table 4).

A clear genetic differentiation both among regions,

among individuals within the regions and within the

individuals is shown in Table 6. Of the total diversity,


284

56.37% was attributed to variation among accessions

within the sub-populations, 38.85% was attributed to

differences within the accessions whereas only 4.78%

was attributed to variation among the regions. In the

earlier study (Ngugi and Onyango, 2012) the

percentage variation among populations of 6.48% was

comparable to the one reported here but the within

accessions variation in the earlier study of 18.67%

was less, suggesting that inclusion of breeders’

germplasm indeed widened the genetic base. As

shown in Table 6, the value of FIS (level of

inbreeding) was 0.592 and this was almost equal to

the value of FIT (level of non-heterozygosity) which

was 0.612. This relatively high level of inbreeding is

consistent with earlier findings of increased degree of

allele fixation as shown in Tables, 4 and 5. The FST

(0.048) value observed in this study, although lower

than reported for other sorghum populations, was

significant and consistent to the one found earlier in

Kenya (Ngugi and Onyango, 2012). Ghebru et al.,

(2003) and Djé et al., (2000) recorded higher FST

values of 0.50 and 0.68 respectively than was the case

in this work. The high level of inbreeding among the

accessions may have arisen from the high degree of

selection practiced by farmers and breeders within

their germplasm leading to reduced effective

population sizes and therefore increasing the

opportunity for allelic fixation.

As shown in Table 7, Western, and Eastern regions

and the breeders’ germplasm had almost the same

inbreeding coefficient value. Sorghum material from

Turkana region had the highest FIS value, whereas

accessions from Coast region had the lowest, probably

because the accessions from the Turkana region were

more isolated from other populations but those from

the Coast region were exchanged more frequently

between farmers. The P (theta) values for the all the

sub-populations were positive another implication of

low heterozygosity in the germplasm.

The breeders’ germplasm and the Western region

accessions had the highest diversity with an average

number of alleles of 6.48 and 6.28 alleles per

accession respectively (Table 5). The lowest diversity

was in the Turkana sorghum with an average of 4.44

alleles per accession. The higher diversity detected

among breeders’ and Western region sorghum

populations may be attributed to the fact that Western

sorghums were collected over a broader area. They

also grow in an area bordering Uganda, providing an

additional opportunity for introgression with exotic

genetic material. Breeders’ germplasm has been

selected from diverse origins and crossed with

germplasm from other areas hence the higher

diversity. Turkana germplasm was genetically distant

from the rest of the germplasm but had low diversity

due to lack of introduction of land races and breeders’

varieties from other parts of the country. In addition,

the Turkana region is geographically isolated from the

rest of the regions and the local farmers who are

normally pastoralists do not consciously select for

grain or fodder traits. Associations among the 148

sorghum accessions based on cluster analysis revealed

a genetic distance range of 0.4 to 0.8. The accessions

grouped into three clusters, on the basis of their

geographical origins (Fig. 2) with a few accessions

from the Western, Coast, Eastern and breeders’

germplasm scattered across all the groups. Save for a

few exceptions, the accessions from Turkana were

found in cluster 2, those from Western and Eastern

regions were in cluster 3 while those from the Coast

region and breeders’ materials were placed in cluster

1.

The clustering indicated that although there is

considerable diversity among and within the

individual accessions, the Western, Coast, Eastern and

breeders’ sub-populations were not very different

from each other, a scenario that is possible where

there is unrestricted continuous movement of seeds by

farmers in these regions. Only the Turkana accessions

were able to group into their own sub-cluster again

confirming that the region may have received fewer or

no introduced sorghums from the other regions

leading to uniformity among the accessions within the

region.

Table 7: Population specific FIS indices (10,000 permutations) from sub-populations of the 148 Kenyan accessions

Pop Name FIS P ( FIS>=Obs FIS)

1 Western_Accessions 0.59870 0.000000

2 Turkana_Accessions 0.65132 0.000000

3 Coast_Accessions 0.54789 0.000000

4 Eastern_Accessions 0.60720 0.000000

5 Breeders_Accessions 0.56722 0.000000

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285

4. CONCLUSION

The high number of alleles observed for most of the

loci indicated that there is medium to high levels of

diversity in the landraces. High genetic variability was

observed among the three clusters and within the

accessions but there was less diversity between the

different geographical domains. The germplasm from

the Turkana region appears to be genetically distant

from the other domains and in addition has a low

within population diversity. High genetic diversity

was detected among the breeders’ germplasm and also

in the Western Kenya sorghum populations perhaps

due to increased diverse germplasm introductions in

both cases. The SSR loci in this study were able to

uniquely identify each sorghum accession and

therefore they would be useful in assessing the genetic

value of sorghum germplasm in future breeding

programs.

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Dr Kahiu Ngugi is a Senior Lecturer in Molecular Genetics and Plant Breeding at the Department of

Plant Sciences and Crop protection, Faculty of Agriculture, College of Agriculture and Veterinary

Sciences, University of Nairobi, Kenya. Dr Ngugi holds PhD and MPhil degrees in genetics from the

University of Cambridge, UK. He has worked previously with the Kenya Agricultural Research Institute

(KARI) for over 18 years and with CIMMYT, Mexico for 3 years. He has developed over 15 crop

varieties, has authored over 45 articles in peer-reviewed journals and written 2 books.

Rachel Maswili is a sorghum breeder and Senior Research officer with Kenya Agricultural Research

Institute (KARI) Katumani, Kenya and obtained her MSc degree in Plant Breeding and Genetics from

the University of Nairobi. She is actively involved in the development of crop varieties with different

agronomic, grain quality, biotic and abiotic stress tolerance parameters under arid agro-climate. She is

also involved in running of farmer participatory breeding trials and technology dissemination

technologies.

Cecilia Muchira is a Senior Technologist at the Department of Plant Sciences and Crop Protection,

Faculty of Agriculture, University of Nairobi, Kenya. She holds a Higher National Diploma and has

been working in Tissue culture and Molecular Genetics Laboratory for over 15 years and has been part

of the sorghum improvement research group.


ISSN: 2322-4541; ©2013 IJSRPUB


288

Review Paper

Inward FDI, Growth and Environmental Policy

Maryam Asghari

Assistant Professor at Shahid Ashrafi Esfahani University, Esfahan, Iran; E-mail: [email protected]

Received 01 May 2013; Accepted 16 July 2013

Abstract. Persistent disparities in regional economic conditions within developed countries continue to offer challenges to

policymakers. Yet the process of regional growth has become even more complex, owing in part to the expending role of inward

foreign direct investment. The role of FDI in stimulating regional growth is likely to be as strong as there is environmental

policy context. The main objective of this study is to empirically examine FDI inflow effect on the gulf Persian region‘s

economic growth as environmental policies improve over the period 1980 – 2012. The results show that FDI inflow help

increase of the region‘s economic growth, as environmental policy has improved. Porter hypothesis is valid in this region.

Key words: Foreign Direct Investment, Environmental Policy, Economic Growth, Porter Hypothesis and Gulf Persian Region.

JEL Classification: O13, O44, O53.

1. INTRODUCTION

The issue of foreign direct investment interacting

with economic growth in developing countries has

become increasingly important because many

developing countries have adopted a more liberal

policy towards FDI since the mid-1980s in order to

accelerate their economic growth.

According to Hermes and Lensink (1999), there

are different channels through which positive

externalities associated with FDI can occur: i)

competition channel: increased competition leads to

increased productivity; efficiency and investment in

human and/or physical capital, and also increased

competition may lead to changes in the industrial

structure towards more competitiveness and more

export-oriented activities; ii) training channel:

increased training of labor and management; iii)

linkages channel: foreign investment is often

accompanied by technology transfer; such transfers

may take place through transactions with foreign

firms; iv) demonstration channel: domestic firms

imitate the more advanced technologies used by

foreign firms.

To sum up, economic theory identifies a number of

channels through which FDI may exert an impact on

economic growth. These effects may be direct as well

as indirect. a. Direct impact: FDI flows can promote

growth if they lead to an increase in the investment

rate. b. Indirect impact: FDI flows can promote

growth if they lead to investments that are associated

with positive spillovers, which may enhance the

productivity of labor and capital in the recipient

economy.

Relevant literature on this issue might be divided

into two groups. The first is based on growth theory in

which FDI has been shown to boost economic

growth through technology transfer and diffusion

(Dimelis, 2005; Schneider, 2005), spillover effects,

productivity gains, and the introduction of new

processes, managerial skills and know-how in the

host countries (Girma, 2005; Li and Liu, 2005). In

addition, FDI can create an international network that

can help domestic products move across borders.

Also, a number of studies including those by Barro

and Sala-i-Martin (1995), Grossman and Helpman

(1991), Hermes and Lensink (2003), suggest that

FDI plays an important role in modernizing the

economy and promoting economic growth in host

countries, especially developing countries.

Several empirical studies indicate that the growth

effect of FDI is strongly dependent on the

institutional circumstances of the host or receiving

countries (Hermes and Lensink, 2003). While

others find that FDI inflow is positively

associated with economic growth only when

countries have previously achieved a certain level

of wealth (Blomstrom and Wolff, 1994), education

(Borenzstein et al., 1998), or financial development

(Alfaro et al., 2004; Hermes and Lensink, 2003).

On the other hand, Carkovic and Levine (2002) find

that these results are not robust when controlling for

simultaneity bias, while Townsend (2003) confirms

this result using data for less developed countries.

Overall, the diversity of these findings highlights the

difficulty in making generalised comments on the

FDI-growth nexus based on simple correlation based

analysis.

The second group of studies focuses on the


Asghari


289

importance of factors explaining the existence of

multinational firms, which suggests that FDI is

attracted to host countries because of the possibilities

of higher returns. Viewed as a substitute for

domestic capital, FDI inflows increase with higher

domestic demand for capital generated by economic

growth in host countries. Expanding domestic

markets also make it possible for multinational firms

to exploit economies of scale (Ignatius et al., 1995).

Moreover, improvements in human capital

development, labour productivity and infrastructure

through economic growth would increase the

marginal return to capital, thereby expanding the

demand for investment including FDI (Zhang and

Markusen, 1999). In short, better economic

performance in host countries provides foreign

investors with a better investment environment and

greater opportunities for making profits, suggesting

the hypothesis of growth-driven FDI.

Mainstream economic theory has long held that

environmental regulations act as a major constraint on

economic growth (Jaffe et al., 2002; Magat, 1979;

Milliman and Prince, 1989). Environmental

regulations, according to the argument, increase a

firm‘s costs of production because of higher factor

costs and increased environmental compliance costs.

As a consequence, firms have fewer resources to

invest in research and development, productive

capacity, and other forms of technology. In the long

run, environmental regulations place firms at a

competitive disadvantage in the marketplace when

compared with their unregulated rivals. Moreover,

most economists argue that firms will adjust to

environmental regulations by relocating to regions or

countries where environmental regulations are less

stringent or nonexistent, resulting in significant job

loss and economic deterioration in the communities

left behind. The long-run effects of environmental

regulations on the economy, according to standard

economic theory, are a decline in firm productivity, job

loss, and a reduction in the U.S. standard of living.

Empirical research in economics has supported the

theoretical claim that environmental regulations

impede economic growth. In a highly cited study,

Jorgenson and Wilcoxen (1990) constructed a detailed

model of the economy that incorporated the

determinants of long-term economic growth. They

estimated the impact of environmental regulations on

the U.S. economy by simulating the growth of the

economy between 1973 and 1985 with and without

environmental regulations. According to their

findings, environmental regulations reduced annual

economic growth by about 0.2% per year. Gross

national product (GNP) by the early 1990s would

have been about 2.5% higher in the absence of the

regulations. In another study using the same

methodology, Jorgenson and Wilcoxen (1992)

assessed the impacts of the CAA Amendments of

1990 on the U.S. economy. They estimated that GNP

would have been about 3% higher by 2005 if it had

not been for the CAA regulations.

Barbera and McConnell (1986) attempted to

measure the effects of the environmental regulations

of the 1970s on economic productivity in several

manufacturing industries, including paper, chemicals,

stone, clay and glass, iron and steel and nonferrous

metals. Comparing industry productivity in the 1970s

with that in the 1960s, they found that environmental

regulations caused an annual reduction in the rate of

productivity growth of between 0.12% and 0.43% in

these industries. Gollop and Roberts (1983) measured

and analyzed the effect of sulfur dioxide emission

restrictions on the rate of productivity growth in the

electric power industry between 1973 and 1979. Their

econometric model incorporated the severity of the

emission standard, the extent of enforcement, and the

unconstrained emission rate of each facility. They

concluded that the annual productivity growth of

electric utilities declined by 0.59 percentage points

over the period. Gray and Shadbegian (1995) used

data from the Pollution Abatement and Control

Expenditures (PACE) survey to assess the effects of

environmental compliance costs on the productivity of

oil refineries. The PACE survey collects information

on the capital and operating costs of environmental

regulations for manufacturing industries in the U.S.

economy. Their cross-sectional estimates indicated

that $1 spent on pollution abatement by oil refineries

induced a productivity loss of $1.35.

Jaffe and Palmer (1997) studied the effects of

environmental regulations on technological innovation

among firms and industries in the U.S. economy. The

traditional economic assumption is that innovation

leads to higher levels of productivity and economic

growth but environmental regulations restrict this

process. Specifically, Jaffe and Palmer examined

pollution control expenditures, research and

development (R&D) spending data, and patent data in

a panel of industries between 1976 and 1989. Data on

pollution control expenditures were taken from the

PACE survey. They found some evidence that

increases in PACE spending were associated with

increases in R&D spending but no evidence that this

spending produced greater innovation as measured by

successful patent applications. In another study on

this question, Schmalensee (1994) argued that

although R&D devoted to environmental compliance

may increase with stricter environmental regulation;

this increase will likely come at the expense of other

research efforts that could have been more profitable.

The remainder of this paper is organized as

follows: Section 2 sets up an overview of the


290

relationships between technology transfer and FDI

inflow; Section 3 examines the relationships between

environmental policy and foreign direct investment;

Section 4 describes the dataset, the methodology used

and the main empirical results, and Section 5

summarizes the results.

2. ENVIRONMENTAL POLICY AND

TECHNOLOGY

If the imposition of environmental requirements can

stimulate invention and innovation that reduces the

cost of complying with those requirements, this has

profound implications for both the setting of

environmental policy goals and the choice of policy

instruments. It is useful to identify two major strands

of thought regarding the determinants of innovative

activity. We call these two broad categories of

modeling approaches the ―induced innovation‖

approach and the ―evolutionary‖ approach.

Within the induced innovation approach, firms

undertake an investment activity called ―R&D‖ with

the intention of producing profitable new products

and processes. The recognition that R&D is a

profit-motivated investment activity also leads to

the hypothesis that the rate and direction of

innovation are likely to respond to changes in relative

prices. Since environmental policy implicitly or

explicitly makes environmental inputs more

expensive, the ―induced innovation‖ hypothesis

suggests an important pathway for the interaction of

environmental policy and technology, and for the

introduction of impacts on technological change as

a criterion for evaluation of different policy

instruments. This raises the possibility that

environmental regulation can lead to a ―win-win‖

outcome in which pollution is reduced and profits

increased.

The traditional view among economists and

managers concerning environmental protection is that

it comes at an additional cost imposed on firms, which

may erode their global competitiveness.

Environmental regulations such as technological

standards, environmental taxes, or tradable emissions

permits force firms to allocate some inputs (labor,

capital) to pollution reduction, which is unproductive

from a business perspective. Technological standards

restrict the choice of technologies or inputs in the

production process. Taxes and tradable permits charge

firms for their emissions pollution, a by-product of the

production process that was free before. These fees

necessarily divert capital away from productive

investments.

The Porter hypothesis Asserts that stricter

environmental standards can spur innovations that

enhance competitiveness, and therefore that the right

kinds of environmental policies can greatly reduce

the costs of environmental policies and can even

make companies more profitable. This paper

provides an epilogue to a 1995 debate on the

Porter hypothesis that appeared in the Journal of

Economic Perspectives. Porter and van der Linde go

on to explain that there are at least five reasons that

properly crafted regulations may lead to these

outcomes:

First, regulation signals companies about likely

resource inefficiencies and potential technological

improvements.

Second, regulation focused on information

gathering can achieve major benefits by raising

corporate awareness.

Third, regulation reduces the uncertainty that

investments to address the environment will be

valuable.

Fourth, regulation creates pressure that motivates

innovation and progress.

Fifth, regulation levels the transitional playing

field.

Finally, they note, ―We readily admit that

innovation cannot always completely offset the cost of

compliance, especially in the short term before

learning can reduce the cost of innovation-based

solutions‖ (Porter and van der Linde, 1995).

Porter and other ―win-win‖ theorists have

argued that in a non-optimizing world, regulation

may lead to ―innovation offsets‖ that ―can not only

lower the net cost of meeting environmental

regulations, but can even lead to absolute

advantages over firms in foreign countries not

subject to similar regulations‖ (Porter and van der

Linde, 1995). Of course, the fact that firms engage in

non-optimizing behavior creates a possibility for

profit improvements, without suggesting that such

improvements would be the norm, would be

systematic, or even likely.

Porter and van der Linde (1995) provided case

studies of firms which adopted new technology in

response to regulation, and appear to have benefited,

but win-win theorists do not claim that all

environmental regulations generate significant

innovation offsets. Indeed, they emphasize that

regulation must be properly designed in order to

maximize the chances for encouraging innovation.

Quantitative evidence is limited—much of it from a

large related literature on the impact of environmental

regulation on productivity and investment— and

results seem to be industry and methodology

dependent.

Economists have been skeptical of the win-win

theory (Palmer et al., 1995; Oates et al., 1993). From

a theoretical perspective, it is possible to model

apparently inefficient firm behavior as the (second-

Asghari


291

best) efficient outcome of imperfect information

and divergent incentives among managers or

between owners and managers in a principal/agent

framework.

From this perspective, the apparent inefficiency

does not have normative implications. Since firms are

doing the best they can give their information

environment, it is unlikely that the additional

constraints represented by environmental policy

interventions would be beneficial. On a more

concrete level, Palmer et al. (1995) surveyed firms

affected by regulation—including those cited by

Porter and van der Linde as success stories — and

found that most firms say that the net cost to them of

regulation is, in fact, positive.

For regulation to have important informational

effects, the government must have better information

than firms have about the nature of environmental

problems and their potential solutions. Furthermore,

while it seems likely that environmental regulation

will stimulate the innovation and diffusion of

technologies that facilitate compliance, creation and

adoption of new technology will typically require real

resources, and have significant opportunity costs.

Overall, the evidence on induced innovation and the

win-win hypothesis seems to be a case of a ―partially

full glass‖ that analysts see as mostly full or mostly

empty, depending on their perspective.

3. TECHNOLOGY TRANSFER AND FDI

INFLOW

While technology is an abstract term, three main

characteristics of technology can be identified

(Bassant and Chandra, 1999). Technology can be

characterized by the knowledge that is embodied in

products, processes and practices. Products comprise

the knowledge of how things work, their design, and

their interface with other products. Processes

comprise knowledge on how a product can be

produced or changed. And practices consist of the

routines necessary to manage the product-process

combination and the knowledge re-generation process.

There are many ways a firm can acquire new

technology besides its own investments into R&D

capital. Despite trade, FDI is potentially the most

important international vehicle of technology

transfer for firms. This source of productivity

growth has been particularly important for firms in

transition economies because of the urgent need to

restructure quickly. Foreign ownership often

provides local firms with efficient corporate

governance, as they, mainly privatized to insiders; do

not have incentives to restructure (Blanchard, 1997).

FDI may also be the cheapest means of technology

transfer, as the recipient firm normally does not have

to finance the acquisition of new technology. And

it tends to transfer newer technology more quickly

than licensing agreements and international trade

(Mansfield and Romeo, 1980). And since it has a

more direct effect on the efficiency of firms, it

also has the potential to create positive spillover

effects to local firms.

Multinational firms are among the most important

players in the world responsible for creating and

controlling technology. They facilitate putting

tangible and intangible resources available in

different countries to their most productive uses. As

part of the global profit-making operations of

multinational enterprises, FDI, by its nature, involves

the transfer of capital, technology and knowledge

from home to host countries. Using better

technologies offers possibilities to increase

productivity and hence economic growth and

development. Hence it is not surprising that many

countries view investments by those MNEs as one of

the most important means to acquire technology and

knowledge to upgrade their own production base.

However, it is difficult to paint an unambiguous

picture as to how FDI can transfer technology, and

how this technology is going to contribute to

development. It is not a priori clear that every type

of technology transferred is appropriate, and not

every investment made is by definition beneficial to

host country development.

While FDI is only one of several means

available for a firm to transfer technology outside

its home country (e.g. exporting products that

embody the technology or licensing its technology

to an agent abroad), for developing countries it

remains the most important means of acquiring new

technology. Technology transfer through FDI offers

benefits that other modes of transfer do not, for at

least three reasons:

Unlike trade in goods, where host countries

must try to imitate and learn from reverse

engineering, FDI involves the explicit transfer of

technology. In addition to the technology itself,

FDI brings needed complementary resources such as

management experience and entrepreneurial abilities,

which can be transferred through training

programmes and learning by doing. A World Bank

study using firm- level survey data on Czech

enterprises of different ownership shows that

domestic firms receiving FDI or involved in joint

ventures tend to provide training programs and

acquire new technologies more frequently than those

with no foreign partners (Djankov and Hoekman,

1999).

Technology spillovers through FDI can occur

between firms that are vertically integrated with the

MNC (inter-industry spillovers) or in direct


292

competition with it (intra-industry spillovers).

Kokko (1992) identifies at least four ways that

technology might be diffused from foreign

investment enterprise (FIE) to other firms in the

economy: (1) demonstration - imitation effect, (2)

competition effect, (3) foreign linkage effect, and (4)

training effect. Not all spillovers are positive as FDI

can generate negative externalities when foreign

firms with superior technology force domestic firms

to exit. These negative externalities are often called

also competition effect, crowding-out effect or

business-stealing effect.

Recent analyses of importance of technology

transfer and spillovers through FDI are typically

carried out using firm panel data. As mentioned

above, the evidence provides support for direct

technology transfer from MNCs to their affiliates,

while there is only a weak evidence of spillovers

to indigenous firms.

However, with the very recent exceptions of

Blalock (2001), Schoors and van der Tool (2001),

Smarzynska (2002) and Smarzynska and Spatareanu

(2002), all of the studies have focused on intra-

industry spillovers. Aitken and Harrison (1999) show

significant technology transfer to the affiliates and

some positive spillovers to domestic firms in

Venezuela located close to the affiliate, but there

were also negative spillovers to the domestic

economy as a whole. There were some positive

spillovers in other developing countries, but these

were limited to certain industries, such as those with

relatively simple technology in Morocco (Haddad

and Harrison, 1993), are export oriented as in

Indonesia (Blomström and Sjöholm, 1999), or have

sufficient human capital as in Uruguay (Blomström et

al., 1994). Earlier studies that did not use panel

data often found evidence of intra-industry

spillovers. These include a study by Caves (1974) of

Australian manufacturing in 1966, a study by

Globerman (1979) of Canadian industry in 1972 and

studies of Mexico in the mid-1970s by Blomström

and Persson (1983) and the mid-1980s by Blomström

and Wolff (1994). However, a study of US firms in

Europe shown that spillovers were localized and that

competition forced many local competitors out of

small markets (Cantwell, 1989). Recent analyses of

panel data for advanced countries provide little or no

evidence of spillovers in the 1990s. Girma, Green-

away and Wakelin (2001) provide evidence for the

United Kingdom, (Berry, et. al. 2001), for Ireland,

and Alverez et al. (2002) for Spain. There was also

some evidence of negative spillovers in Ireland.

On the other hand, empirical evidence (Kokko,

1994; Borensztein et al., 1998 and Kinoshita, 2000)

demonstrate that FDI can contribute to overall

domestic productivity growth only when technology

gap between domestic and foreign firms is not too

large and when a sufficient absorptive capacity is

available in domestic firms. In other words,

technology spillovers from MNCs tend to occur more

frequently when the social capabilities of the host

country and the absorptive capacity of the firms in

the economy are high. While relatively backward

countries have a certain advantage in catching-up, it

becomes increasingly more difficult for the country

to build the necessary social capabilities and

absorptive capacities that allow firms to take

advantage of the technology spillovers that are

available in the economy. For this reason, R&D can

be thought of as having two complementary effects

on firm‘s productivity growth (Cohen and

Levinthal, 1989). First, R&D directly expands firm‘s

technology level by new innovations, which is called

innovation effect. On the other hand, it increases

firm‘s absorptive capacity ability to identify,

assimilate and exploit outside knowledge, which is

usually called learning or absorption effect. These

two important effects have to be included into a

serious investigation of spillovers through FDI.

4. ANALYTICAL FRAMEWORK AND DATA

4.1. Aggregate production function

The nature of relationship between FDI and economic

growth is not clearly understood. The theoretical and

empirical literature has identified some of the ‗pre-

conditions‘ necessary for FDI to stimulate national

growth, yet their importance may vary dramatically by

region. Although the mechanisms through which it

stimulates regional economies have largely been

ignored, ―new‖ growth theories imply a pivotal role for

FDI.

The endogenous growth literature has emphasized

the importance of both human and knowledge capital

in forestalling decreasing returns to capital

accumulation. As such, growth is not limited to

exogenous forces that drive the rate of technical

change; environmental policy or conditions that foster

human capital development, R&D, or an influx of

FDI may actually spur growth. Fundamental,

environmental policy is a composite bundle of

―know-how‖ and pollution reduction by FDI that

enhances technology transfer, skill diffusion and

pollutant industry replacement within the regions. As

such, besides directly affecting growth via

environmental policy is also expected to generate

indirect impacts via FDI. The role of environmental

policy in stimulating regional growth is likely to be as

strong as it is in a national context.

Observing from theory the possible growth

promoting role of FDI, our data analysis is modelled

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293

in an aggregate production function (APF)

framework. The standard APF model has been

extensively used in econometric studies to estimate

the impacts of FDI inflows on growth in many

developing countries. The APF assumes that, along

with ―conventional inputs‖ of labour and capital used

in the neoclassical production function,

―unconventional inputs‖ like FDI may be included in

the model to capture their contribution to economic

growth. The APF model has been used by

Kohpaiboon, 2004; Mansouri, 2005; Feder, 1983;

Fosu, 1990 and Ukpolo, 1994).

Following Herzer et al. (2006), the general APF

model to be estimated is derived as:

(1)

where Yit denotes the aggregate production of

the economy (real GDP per capita) at time t, i is

country and Ait , Kit , L

it are the total factor

productivity (TFP), the capital stock and the stock of

labour, respectively.

Since we want to investigate the impacts of

interaction between environmental policy (EP) and

FDI inflows (FDIIN) to capture Porter hypothesis and

trade openness (OP) on economic growth through

changes in TFP, we assume therefore that TFP is a

function of EP*FDIIN and OP. Thus

(2)

Combining equations (2) with (1), we get:

(3)

Where and are constant elasticity

coefficients of output with respect to the Kit, Lit,

EPit*FDIINit and OPit . From equation (3), an explicit

estimable function is specified, after taking the

natural logs of both sides, as follows:

(4)

where all coefficients and variables are as

defined, t are the time specific intercepts, i

represents country-specific effects that summarize

the influence of unobserved variables such as

infrastructure, period average climate, history and

culture, and which are assumed to be distributed

independently across countries, with variance 2

,

is a constant parameter and is the white noise error

term.

4.2. Data descriptions

From equation (4) Y is defined as real GDP per capita;

FDIIN is the value of real gross foreign direct

investment inflows; EP is country‘s change in energy

production intensity (energy production/GDP) over

the period 1980 – 2012, together with the level of

energy production intensity in 1980. OP is the sum

of export and import values to GDP ratio; L is

measured as the volume of the total labour force, K is

proxied by the real value of gross fixed capital

formation. The annual time series data used is

sourced from the World Development Indicators

2013 edition published by the World Bank and covers

the period from 1980 to 2012.

4.3. The Results

We test the stationarity of variables in the model.

Therefore, we make the unit root test of Levin, Lin &

Chu and Im, Pesaran & Shin W-stat to test for it. The

results show that all variables are stationarity at level

(Table 1).

Given that OLS will yield biased results in the

presence of unobserved heterogeneity, either random

effects or fixed effects could be employed to obtain

consistent results. While the fixed effects model

treats the t and

i as regression parameters, the

random effects model treats them as components of

the random disturbance. We employ a Hausman test

to test for the inconsistency of the random effects

estimate. Furthermore, since heteroscedasticity

may be present in the sample because of large

variations in the variables, it needs to be tested for

in the estimations. A likelihood-ratio test is used that

compares a feasible general least squares regression

(FGLS henceforth) that is corrected for

heteroscedasticity with one that is not. Where the

null hypothesis of homoscedasticity could be rejected,

robust standard errors are used. A final

methodological issue concerns serial correlation in

the error term. A Wooldridge test for

autocorrelation in panel data is used to test for

autocorrelation.


294

Table 1: Variables Stationarity Tests in the Region

Variables Levin, Lin & Chu- Test Im, Pesaran and Shin W-stat -

Test

Statistic Prob Statistic Prob

Ln Yit -4.76166 0.0000 -5.38136 0.0000

Ln Kit -1.70375 0.0442 -9.23834 0.0001

Ln Lit -3.76847 0.0001 -3.94342 0.0000

Ln EPit 2.66335 0.0000 4.02245 0.0000

Ln FDIINit -5.33756 0.0000 -5.22526 0.0000

Ln OPit 5.20648 0.0000 3.58352 0.0000

Ignoring first order serial correlation still

results in consistent, but inefficient estimates of

the coefficients and biased standard errors (Baltagi,

2006). Therefore, where necessary, additional FE

models with (FGLS) correcting for AR(1) and FE

regressions with Driscoll and Kraay (1998) standard

errors are estimated and compared with the results of

the other specifications.

We estimate the equation (4) using fixed and

random effects using 1980–2012 panel data for the 4

Gulf Persian countries (Bahrain, Iran, Kuwait, Oman

and Saudi Arabic). All results are discussed in Table

2.

The all coefficients of the variables are

significantly, except OP coefficient. The results show

that the coefficients of physical capital, human capital,

and interaction between environmental policy and FDI

inflows are positive and significant.

A restrictive environmental policy lowers

aggregate output because it imposes an additional

constraint on the production possibilities set. But,

more stringent environmental policy stimulates

innovation and FDI inflow increases, so economic

growth increase. This result indicates that Porter

hypothesis is valid in this region.

Table 2: The Determinants of Economics Growth in the Region

Variables Random Effect Fixed Effect(1)

C

Ln Kit

Ln Lit

Ln EPit*FDIINit

Ln OPit

R2

Groups

Number of observation

Time periods

Breusch and Pagan LM test

Prob > chi2

Modified Wald Test for group-wise

heteroskedasticity(3)

Prob > chi2

7483.709 * (16.34)

-5.46e-08 * (-3.02)

2.79e-07 *

(11.37)

.000021* (6.55)

.0751517 (0.25)

0.6313

5

151

31

279.08

0.0000

5338.974* (11.49)

5.30e-08**

(2.12)

3.73e-07* (13.22)

7.14e-06**

(2.50)

.0438312 (0.20)

0.7284

5

151

31

52.481

0.0000

Hausman Test (2)

Prob > chi2

Wooldridge test for autocorrelation

in panel data

Prob > F

2(2)= 0.02

0.8759

47.809

0.0023 Note: T-statistics are shown in parentheses. Significance at the 99%, 95% and 90% confidence levels are indicated by * , **and ***, respectively.

The robust standard errors are White‘s heteroskedasticity-corrected standard errors

(1) The acceptation of model by the Hausman test. (2) The hausman test tests the null hypothesis that the coefficients estimated by the efficient random effects estimator are the same as the ones estimated by the

consistent fixed effects estimator. If they are (insignificant P-value, Prob>chi2 larger than .05) then it is safe to use random effects. If you get a significant P-

value, however, you should use fixed effects. (3) For FE regression model, the modified Wald test for groupwise heteroskedasticity is used while the Woolridge test for autocorrelation in panel data (Ho:

no autocorrelation) is applied.

5. CONCLUSIONS

Does FDI contribute relatively more to growth as

environmental policy has improved? Inward FDI

(foreign capital inflow) is an important vehicle for

augmenting the supply of funds for domestic

investment thus promoting capital formation in the

host country. The stringent environmental policy may

bring adoption of superior production technology and

innovation by FDI inflow to developing countries.

Asghari


295

Firms learn or adopt better and highly developed

production technology and innovation, either through

intensive international markets competition or act as

sub-contractors to foreign business concerns.

In this paper, we examine the role of stringent

environmental policy in the relation between FDI

inflow and Gulf Persian region‘s economics growth

over 1980-2012. The results show more stringent

environmental policy stimulates innovation and FDI

inflow increases, and so economic growth increase in

the region.

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Assistant Professor Dr. Maryam Asghari got B.A in Mathematics from Isfahan University/Iran in

1998. She obtained M.A in economic science from Islamic Azad University, Khorasgan / Iran in

2002. She researched in CEMAFI laboratory, Sophia-Antipolis-Nice University/France, for

receiving PH.D over 2003-2009. She published many papers in international and Iranian journals the

issues of environmental economics, international economics, tourism and national security. She

teaches many courses such as natural resources, energy economics and microeconomics in Shahid

Ashrafi Esfahani University, Iran. She is the manager of research department of this university. Dr.

Maryam Asghari got best researcher award in Esfahan province in 2012. She is The Director-in-

Chief of International Journal of Economic Research and Analysis and cooperates closely with

several international journals.


ISSN: 2322-4541; ©2013 IJSRPUB


299



Krishnamoorthy Guna Sekar1,*

, Ganesamoorthy Thirunarayanan2

1Department of Chemistry, National College, Tiruchirappalli-620 001, India

2Department of Chemistry, Annamalai University, Annamalainagar-608002, India

*Corresponding Author: E-mail: [email protected]; [email protected]


Abstract. Totally ten 3-(9-anthryl)-4,5-dihydro-5-(3-substitutedphenyl)-

1H-pyrazolines have been prepared by solvent-free

cyclization of 2(E)-1-(substituted phenyl)-3-(9-anthryl)-2-propen-1-ones and hydrazine hydrate in presence of fly-ash:H2SO4

catalyst. These pyrazolines were characterized by their physical constants and spectroscopic data. The assigned infrared

νC=N, NH(cm-1

), NMR chemical shifts(ppm) of δNH, H4, H4′, H5 and C=N data are correlated with Hammett substituent

constants, F and R parameters using regression analysis. From the results of statistical analysis, the effects of substituent on

the above group frequencies have been discussed.

Key words: Solvent-free synthesis; 1H-Pyrazolines; IR and NMR spectra; Hammett correlations

1. INTRODUCTION

The 1H-pyrazolines are bi-nitrogen five membered

heterocyclic compounds. The substituted 1H-

pyrazoles have important biological activities due to

the presence of –N-N=C moiety in the pyrazoline ring

(Rahman and Siddiqui, 2010; Elguero et al., 1984).

The important biological activities are analgesic, anti-

inflammatory, anti-microbial (Sahu et al., 2008; Amir

et al., 2008), anti-amoebic, (Abid and Azam, 2006),

anti-tubercular (Shahar Yar et al., 2007),

antidepressant and anti-convulsant activities (Ozdemir

et al., 2007). Numerous solvent assisted and solvent-

free synthetic methods are reported for the synthesis

of pyrazoline derivatives (Levai, 2005; Siddiqui et al.,

2011; Azarifar and Ghasemnejad, 2003). Now-a-days

scientist and chemists preferred solvent-free synthetic

methods, due to the less hazardousness, lesser amount

of solvent usage, unpolluted for the environment, easy

handling procedure, shorter reaction time and higher

yields (Sasikala et al., 2012; Thirunarayanan et al.,

2013; Thirunarayanan and Sekar, 2013a; Siddiqui et

al., 2011; Azarifar and Ghasemnejad, 2003).

Many catalysts were employed for the synthesis of

pyrazoline derivatives by solvent assisted or solvent-

free methods such as Lewis-acids, bases and their

salts, aprotic organic acids (Sarkar et al., 2011;

Kalirajan et al., 2009; Misra and Sasmal, 2011), fly-

ash:H2SO4(Sasikala et al., 2012), pre-heated fly-ash

(Thirunarayanan and Sekar, 2013a), fly-ash:PTS

(Thirunarayanan and Sekar, 2013b), SiO2-H3PO4

(Thirunarayanan et al., 2013) with microwave

irradiation and ultrasound (Pizzuti et al., 2009).

Spectroscopic data are utilized for prediction of

ground sate equilibration of organic molecules such as

unsaturated ketones, aldehydes, alkenes, alkynes, acyl

halides and its esters (Sathiyamoorthy et al., 2013).

The effect of substituents on the functional group

of the molecules can be evaluated by the correlation

of the respective spectral group frequencies with

Hammett substituent constants, F and R parameters

using linear regression analysis (Shorter, 1973). The

correlation analysis is applied for the study of

electrochemical behaviour of organic molecules, E, Z,

s-cis- and s-trans configuration and isomers of

unsaturated systems, cis- and gauche- forms of

rotomers of ω-halo acyl compounds( Thirunarayanan

et al., 2011). Sasikala et al. (2012) have synthesised

some 5-bromo-2-thienyl based pyrazoline derivatives

by solvent-free method and studied the antimicrobial

activities. Sakthinathan et al. (Sakthinathan et al.,

2012) have synthesised and studied the effects of

substituent on 2-naphthyl based pyrazolines.

Ranganathan et al. (2012) have studied the effects of

substituents and solvent-free synthesis of some 5-

bromo-2-thienyl based pyrazolines.

The solvent-free synthesis and the Hammett

linearity on some pyrazoline-1-carbothioamides have

been studied by Thirunarayanan and Sekar (2013a, b).

Within the above view there is no information

available about solvent-free synthesis and the study of

spectral linearity on 9-anthryl based 1H-pyrazolines.

Therefore the authors have taken efforts to synthesize

some 3-(9-anthryl)-4,5-dihydro-5-(substituted

phenyl)- 1H-pyrazolines by solvent-free cyclization of

substituted styryl 9-anthryl ketones and hydrazine

hydrate and record their infrared and NMR spectra for

studying the effect of substituents.



Sekar and Thirunarayanan


300

2. EXPERIMENTAL

2.1. General

All chemicals used were procured from Sigma-

Aldrich and Merck chemical companies. The fly-ash

was collected from Thermal-II, Neyveli Lignite

Corporation, Neyveli, Tamilnadu. The infrared

spectra of all pyrazolines were recorded with KBr

discs in SHIMADAZU Fourier Transform

spectrophotometer. The NMR spectra of all

synthesised compounds were recorded in BRUKER

AV400 NMR spectrometer applying 400 MHz for 1H

and 100MHz frequencies for 13

C NMR spectra using

CDCl3 solvent and tetramethylsilane as standard. The

mass spectra of all pyrazolines were recorded in

SHIMADZU spectrometer using chemical ionization

technique.

2.2. Preparation and characterization of fly-ash:

H2SO4 catalyst

The fly-ash: H2SO4 catalyst was prepared by the

procedure published in literature (Thirunarayanan et

al., 2012). In a 50 mL Borosil beaker, 1 g of Fly-ash

and 0.8 mL (0.5 mol) of sulphuric acid were taken and

mixed thoroughly with glass rod. This mixture was

heated on a hot air oven at 85° C for 1 h, cooled to

room temperature, stored in a Borosil bottle and

tightly capped. This was characterized by infrared

spectra and SEM analysis.

Infrared spectral data of fly-ash: H2SO4 is ν (cm-1

):

3456(OH); 3010 (C-H); 1495, 1390(C-S); 1336,

1154(S=O); and op modes: 1136, 1090, 976, 890, 850,

820, 667, 658, 620, 580, 498, 425.

The SEM images of pure Fly-ash and Fly-ash:

H2SO4 at two different magnifications are shown in

Fig. 1(ad). Figures 1a and 1b depicted that the

crystallinity is found to be more in pure fly ash. The

spherical shaped particles are clearly seen at both

magnifications in Fig 1a and 1b. Fig. 1a reveals that

the globular structure of pure fly ash (round shaped

particle). This also seen from Fig. 1c and 1d that some

of the particles are slightly corroded by H2SO4

(indicated by arrow mark) and this may be due to

dissolution of Fly-ash by H2SO4. This will further

confirmed by Fig 1d, the well-shaped particles of pure

Fly-ash. Fig 1b is aggregated to Fig 1d due to

presence of H2SO4.

Fig. 1: SEM images of fly-ash: H2SO4 catalyst


301

2.3. Synthesis of 1H-pyrazolines

Appropriate equi-molar quantities of E-1-(substituted

phenyl)-3-(9-anthryl) ketones (0.2 mmol), hydrazine

hydrate (0.2 mmol) and 0.5 g of fly-ash: H2SO4 were

taken in a borosil glass tube and closed with lid.

These contents were subjected to microwave

irradiation (Scheme 1) for 4-6 m at 550W in a

microwave oven (Samsung Grill, GW73BD

Microwave oven, 230 V A/c, 50 Hz, 2450 Hz, 100-

750 W (IEC-705). The completion of reaction was

monitored by Thin Layer Chromatogram. The

reaction mixture was cooled to room temperature,

extracted with 10 mL of dichloromethane.

Evaporation of dichloromethane afforded the crude

product. Further it is purified by crystallization with

ethanol. The solid catalyst was reused for further

reaction runs. The analytical, physical constants and

mass fragments data are presented in Table 1.

Scheme 1: Solvent-free synthesis of 3-(9-anthryl)-5-(3-substituted phenyl)-4,5-dihydro-

1H-pyrazolines

Table 1: Analytical, physical constants and mass fragments (m/z) of 3-(9-anthyl)-4,5-dihydro-5-( substituted phenyl)-1H-

pyrazolines

[a]= (Misra and Sasmal, 2011)



302

3. RESULTS AND DISCUSSION

3.1. Infrared spectral study

In the present study on infrared correlaion, we

recorded the infrared spectra of ten synthesised 3-(9-

anthryl)-4, 5-dihydro-5-(substituted phenyl)- 1H-

pyrazolines, assigned the νNH and C=N (cm-1)

stretching frequencies as presented in Table 2. The

assigned frequencies are subjected to correlate with

Hammett substituent constants, F and R parameters

using single and multi-regression analysis (Swain and

Lupton, 1968). In infrared spectral correlations, the

Hammett equation was taken as shown in equation

(1).

ν = ρσ + νo (1)

where ν is the frequency of the pyrazoline series, ρ

is the slope with the meaning of linear coefficient, σ is

the constant in the Hammett equation and νo is the

frequency of parent member of the pyrazoline series.

Table 2: The infrared and nuclear magnetic resonance spectral data of 3-(9-anthyl)-4,5-dihydro-5-( substituted phenyl)-1H-

pyrazolines

The results of statistical analyses (Sakthinathan et

al., 2012; Sathiyamoorthy et al., 2013;

Thirunarayanan et al., 2013; Thirunarayanan and

Sekar, 2013a, b) are given in Table 3. From Table 3,

the correlation of νNH(cm-1

) frequencies were

satisfactory with Hammett σ, σI constants and F

parameters excluding H, 3-and 4-CH3 substituents.

The remaining Hammett substituent constants and R

parameters showed poor correlation. This was due to

the polar and resonance effects of the substituents

unable to predict the reactivity on the NH stretches

and it was associated with the resonance-conjugative

structure as shown in Fig. 2. The νC=N frequencies

correlation was satisfactory with Hammett substituent

constants and F and R parameters excluding 3- and 4-

CH3 substituents. All correlations related with νC=N

frequencies gave positive ρ values. This means that

the normal substituent effect operates in all pyrazoline

systems.

Some of the single parameter correlation of

infrared frequencies of the synthesised pyrazolines has

shown poor correlation. While seeking the multi-

regression analysis, these stretches satisfactorily

correlated with Swain-Lupton’s (Swain and Lupton,

1968) constants and F and R parameters. The

generated multi-correlation equations (2-5) are;

νNH(cm-1

) = 3414.21(±37.948) – 206.425σI (±84.171) – 10.871σR (±4.621) (2)

(R = 0.969, P > 95 %, n = 10)

νNH(cm-1

) = 3421.59(±40.710) – 224.299F (±88.127) – 18.343R (±6.996) (3)

(R = 0.970, P > 95 %, n = 10)

νC=N(cm-1

) = 1677.80(±3.886) + 11.792 σI (±8.620) + 24.971 σR (±8.921) (4)

(R = 0.980, P > 95 %, n = 10)

νC=N(cm-1

) = 1677.35(±4.117) + 14.918F (±5.891) + 20.418R (±7.041) (5)

(R = 0.981, P > 95 %, n = 10)


303

3. 2. 1H NMR spectral study

The 1H NMR spectra of synthesised 3-(9-anthryl)-4,5-

dihydro-5-(substituted phenyl)- 1H-pyrazoline

derivatives under spectral correlation study have been

recorded in deuteriochloroform solvent employing

tetramethylsilane (TMS) as internal standard. The

signals of the 3-(9-anthryl)-4,5-dihydro-5- (substituted

phenyl)-1H-pyrazoline NH and ring protons have

been assigned. They are calculated as AB or AA'

systems respectively. The chemical shifts (ppm) of H4

are at higher fields than those of H4′ and H5 in this

series of 3-(9-anthryl)-4,5-dihydro-3-(substituted

phenyl)- 1H-pyrazolines. This is due to the deshielding

of H4′ and H5 protons which are exist in different

chemical as well as magnetic environment. These H4

protons gave an AB pattern in all pyrazolines. The H4′

proton doublets of doublets are well separated from

the signals H5 and the aromatic protons. The assigned

chemical shifts (δ,ppm) of the pyrazoline ring NH, H4,

H4′ and H5 protons are presented in Table 2.

In nuclear magnetic resonance spectra, the

chemical shift (δ, ppm) depends upon the electronic

environment of the nuclei concerned. These assigned

chemical shifts were correlated with reactivity

parameters. In this correlation, the Hammett equation

may be used in the form as,

log δ= log δ0 + ρσ (8)

where δ is the chemical shift of the series, ρ is the

slope, σ is the Hammett sigma constants and δ0 is the

chemical shift of the parent compound of the series.

The assigned NH, H4, H4′ and H5 proton chemical

shifts (ppm) of synthesized 3-(9-anthryl)-5-

(substituted phenyl)-4,5-dihydro-1H-pyrazolines were

correlated with Hammett sigma constants, F and R

parameters. The NH, proton chemical shifts (δ, ppm)

have shown poor correlation with Hammett

substituent constants, F and R parameters. The H4,

protons chemical shifts (δ, ppm) correlation was

satisfactory with Hammett σI constants and F

parameters along with positive ρ values. The H4′

proton chemical shifts (δ, ppm) of the pyrazolines

gave satisfactory correlation with F parameters

excluding 2-OH and 4-OCH3 substituents. The

remaining Hammett substituent constants and R

parameters were failing in correlation. The H5 proton

chemical shifts (ppm) of synthesized 3-(9-anthryl)-5-

(substituted phenyl)-4,5-dihydro-1H-pyrazolines have

shown poor correlation with Hammett substituent

constants, F and R parameters. The reason for failure

in correlation was stated earlier and associated with

the resonance-conjugative structure shown in Fig. 2.

In view of the inability of the NH, H4, H4′ and H5

proton chemical shifts (ppm) of synthesized 3-(9-

anthryl)-5-(substituted phenyl)-4,5-dihydro-1H-

pyrazolines to produce satisfactory correlation

individually with Hammett, substituent constants, F

and R parameters, the authors think that it is

worthwhile to seek multiple correlations involving

either σI and σR constants or Swain-Lupton’s(Swain

and Lupton, 1968) F and R parameters. The multi-

regression correlated equations for NH, H4, H4′ and H5

proton chemical shifts (δ, ppm) are given in (9)-(16):

δNH(ppm) = 9.261(±0.266) +1.480(±0.059)σI – 1.197(±0.061)σR (9)

(R = 0.973, P > 95 %, n = 10)

δNH(ppm) = 9.217(±0.303) +1.563(±0.657) F - 0.763(±0.051) R (10)

(R = 0.969, P > 95 %, n = 10)

δH4(ppm) = 2.758(±0.252) +1.1199(±0.559)σI – 0.395(±0.052)σR (11)

(R = 0.960, P > 95 %, n = 10)

δH4(ppm) = 2.754(±0.282) +1.133(±0.611) F - 0.169(±0.040) R (12)

(R = 0.957, P > 95 %, n = 10)

δH4′(ppm) = 3.591(±0.046) +0.292(±0.102)σI – 0.294(±0.106)σR (13)

(R = 0.979, P > 95 %, n = 10)

δH4′(ppm) = 3.580(±0.056) +0.295(±0.112) F - 0.994(±0.097) R (14)

(R = 0.973, P > 95 %, n = 10)

δH5(ppm) = 6.163(±0.181) +0.447(±0.040)σI + 0.649(±0.041)σR (15)

(R = 0.905, P > 90 %, n = 10)

δH5(ppm) = 6.106(±0.194) +0.152(±0.042) F - 0.128(±0.033) R (16)

(R = 0.917, P > 90 %, n = 10)



304

Table 3: Results of statistical analysis of infrared ν(cm-1

) NH, C=N, NMR chemical shifts (δ,ppm) of NH, H4, H4′, H5, NH and C=N of 3-(9-anthryl-5-(substituted phenyl)-4,5-dihydro-1H-

pyrazole with Hammett σ, σ+, σI σR constants and F and R parameters.

r = correlation co-efficient; ρ = slope; I = intercept; s = standard deviation; n = number of substituents


305

Fig. 2: The resonance-conjugative structure

3. 3. 13

C NMR spectra

Chemists and researchers (Sakthinathan et al., 2012;

Sathiyamoothry et al., 2013; Thirunarayanan et al.,

2013; Thirunarayanan and Sekar, 2013a, b) have

made extensive study of 13

C NMR spectra many of

ketones, styrenes and keto-epoxides. They

investigated the linear correlation of the chemical

shifts with Hammett substituent constants, F and R

parameters. The good, satisfactory and fair degree of

correlations was obtained in their investigations. In

the present investigation, the C=N carbon chemical

shifts (δ, ppm) of 3-(9-anthryl)-5-(substituted phenyl)-

4,5-dihydro-1H-pyrazolines have been assigned and

are presented in Table 2. Attempts have been made to

correlate the assigned C=N carbon chemical shifts (δ,

ppm) with Hammett substituent constants, field and

resonance parameters with the help of single and

multi-regression analysis for the prediction of

substituent effects. From Table 3, the C=N chemical

shifts (δ, ppm) has shown satisfactory correlation with

Hammett σ, σ+ and σI, substituent constants and F

parameters excluding 4-Cl substituents. The Hammett

σR constants and R parameters gave poor correlation.

The multi-regression analysis of these C=N chemical

shifts (δ, ppm) gave satisfactory correlation with

Swain-Lupton’s (Swain and Lupton, 1968)

parameters. The correlated equations are given in (17

and 18).

δC=N(ppm) = 155.34(±1.422) +9.375(±3.155)σI – 0.491(±0.137)σR (9)

(R = 0.977, P > 95 %, n = 10)

δC=N(ppm) = 154.76(±1.455) +10.952(±3.152) F + 0.146(±0.024) R (10)

(R = 0.980, P > 95 %, n = 10)

4. CONCLUSION

A series of more than 90% yields of 3-(9-anthyl)-4,5-

dihydro-5-(substituted phenyl)-1H-pyrazolines were

synthesised by fly-ash:H2SO4 catalyzed solvent-free

cyclization of (E)-3-(9-anthryl)-5-(substituted

phenyl)-2-propen-1-ones and hydrazine hydrate

under microwave irradiation. These pyrazolines were

characterised by their physical constants and spectral

data. The assigned spectral frequencies and chemical

shifts of the pyrazolines were correlated with

Hammett Substituent constants, F and R parameters.

The regression analysis shows satisfactory

correlations with these spectral frequencies.

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307

Associate Professor Dr.Krishnamoorthy GunaSekar obtained his first Degree from Bharathidasan

University in National College, Tiruchirappalli in 1989. He later pursued Master’s Degree in

Chemistry in Bharathidasan University in National College,Tiruchirappalli in 1991. Dr. K. G. Sekar

received his Master of Philosophy and Doctorate Degree in Chemistry from Annamalai University,

Annamalainagar in 1993 and 1998.He has published over 50 referred articles in professional

journals and currently sits as the reviewer for 2 international journals. His current research is

focuses on physical organic chemistry and catalysis.. To data, he has published several scientific

articles related to oxidation kinetics and synthesis of organic compounds.

Dr. G. Thirunarayanan was completed his Master Degree of Chemistry with first class in

Bharathidasan University, Tiruchirappalli-620 024, India. The M. Phil. and Ph. D. research degrees

were persued in Annamalai University, Annamalainagar-608 002, India in the field of Physical

Organic Chemistry in 1999. His primary area of research is Synthesis, Green synthesis, Catalysis,

Spectral LFER studies and biological activities of Chalcones and their derivatives. At present Dr.

G. T. is a Faculty Member as Assistant Professor (SS) of Chemistry in Annamalai University. He

published more than 50 research articles in reputed referred national and international journals.

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