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                    <text>Journal of Economic and Social Studies

Real Exchange Rate and Real Economic Fundamentals in
Transition Economy of Bosnia and Herzegovina (BH)
Adisa Omerbegović Arapović
Sarajevo School of Science and Technology
Sarajevo, Bosnia and Herzegovina
adisa.omerbegovic@ssst.edu.ba
Abstract: The paper estimates Equilibrium Real Exchange Rate

(ERER) using co-integration methodology to observe relationship
between Real Exchange Rate (RER) and selected economic
fundamental variables over two different sample periods. Time
period of observation influences results and we observe change in
signs and direction of relationship between fundamentals and RER
suggesting that fundamentals and RER do not have a stable
relationship and direction of influence. The findings suggest that
RER is not a significant transmission mechanism for real economy
towards achieving external balance as RER depreciation is not
associated with an improvement in resource balance. Therefore, RER
does not have a postulated relationship with resource balance
variable. More appreciated RER is associated with an improvement
in the external balance of the BH economy which is opposite of an
expected role of RER depreciation in brining economy towards
external equilibrium. However, pressures on RER sustainability exist
due to negative resource balance. Potential disequilibria therefore
could not be caught with the existing data which cover the post-war
period only, and were marked by continuous negative resource
balances.

Volume 5 Number 1 Spring 2015

Keywords: Open Economy

Macroeconomics; Real Exchange
Rates; Transition Economy; Bosnia
and Herzegovina (BH);
Liberalization.

JEL Classification: F41, F31,

C13

Article History

Submitted: 10 August 2013
Resubmitted: 4 April 2014
Resubmitted: 18 July 2014
Resubmitted: 25 September 2014
Accepted: 26 September 2014

http://dx.doi.org/10.14706/JECOS
S11516

59

�Adisa Omerbegović Arapović

Introduction
Evidence of nonstationarity in Real Exchange Rate (RER) was the basis of work
which viewed Equilibrium Real Exchange Rate (ERER) as driven by real economic
fundamentals in transition economies. Pons and Lacasta (2003) have used error
correction equation and have estimated long-run cointegration equation of the
ERER and the corresponding dynamic error correction specification which strongly
corroborated the model and produced fairly consistent results across the countries
under study. Utilizing the error correction method and corresponding dynamic error
specification Omerbegovic (2005) has found similar results for Bosnia and
Herzegovina (BH).
The impact of the fundamentals on the RER behavior was suggested to be
dependent on the time horizon studied (Egert, 2006).
In this paper, the relationship between RER and fundamental economic variables is
examined using the methodology of co-integration and error correction model as
found in Omerbegovic (2005) and Omerbegovic-Arapovic (2009). The findings
suggest that there are changes in direction of relationship between certain
fundamental variables and RER for BH depending on the sample period under
consideration. This suggests that direction of relationship between fundamentals and
RER is not stable over time.
The attempt to estimate ERER from observable data on RER and economic
fundamentals of BH due to existing nonstationarity in RER has resulted in estimated
slight RER overvaluation in 2005, that is, before the financial and economic crisis of
2007 (Omerbegovic, 2009). Utilizing same methodology this paper finds support of
undervaluation of RER in the first half of 2012. Counterfactual estimation of
fundamentals in order to estimate misalignment is resulting in RER undervaluation
due to the observed changed direction of relationship between the resource balance
variable and RER, so that improvement in resource balance variable is associated
with required appreciation in RER, opposite to postulated theoretical relationship,
suggesting that RER is not a significant transmission mechanism in achieving
external balance.
The findings show that estimated RER misalignment based on co-integration
methodology, which uses data over the period of serious external and internal
disequilibrium in economy of BH, can’t be determined from observable data on
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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

macroeconomic fundamental variables and RER behavior over the sample period,
suggesting that RER misalignment in transition is difficult to detect using a time
series methods. However, this does not mean that there are no pressures on RER due
to fundamentals. Our findings also suggest that other factors, such as monetary
phenomena should be examined as potential causes of RER nonstationarity in BH as
Kanas (2009) has suggested that shifts between stationary and non-stationary epochs
in RER behavior could be mainly determined by the monetary phenomena.
The paper starts by examination of RER nonstationarity by estimation of ERER of
BH in order to test the hypothesis of RER misalignment in the middle of 2012 and
establish the role of real fundamental variables in RER behavior. Firstly, the
literature review on real exchange rate behavior and patterns of real exchange rate
behavior observed in transition economies is presented. Section on methodology
provides analytical framework used in calculating ERER for BH. It is followed by
empirical analysis of estimation of RER misalignment in BH over the two different
time horizons. The test of relationship between RER and economic fundamentals of
BH extends time series analysis from Omerbegovic (2005) to examine the stability of
relationship between real economic fundamentals and RER behavior enabling us to
test the effect of time horizon on relationship between fundamental economic
variables and RER for BH. Overall, we do not see a large explanatory power of
fundamental variables in explaining RER fluctuation in the second period, which is
consistent with findings of Kanas (2009) who suggests different phases of RER
behavior, where RER could have entered stationary phase compared to the first
period. This is followed by discussion of results and concluding remarks.
Literature Review: Equilibrium Real Exchange Rates in Transition Economies
Equilibrium Real Exchange Rate (ERER) is the real exchange rate associated with
internal and external balance of the economy and the topics of equilibrium real
exchange rate and exchange rate misalignment in transition economies of Central
and Eastern Europe (CEE) has been widely researched due to importance of this
transmission mechanism in achieving equilibrium for the countries that have started
transformation process from planned to market based economies in the late 1980s
and early 1990s. In other words, it is very important question whether their
currencies are fairly valued at a given point in time. Various methods are used in
calculating equilibrium exchange rates, which have provided very different results in
terms of conclusions of relationship of fundamental economic variables and real
exchange rate. However the single equation approach to determining ERER has been
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�Adisa Omerbegović Arapović

identified to be applicable to determining RER misalignment both in short-run and
long-run (Egert et.al., 2005)
The overview of these studies suggests that transition countries could go through the
period of trend appreciation of the currency, so that during the periods of rapid
change in relative economic development levels, the ERER may exhibit trending
behavior. (Froot and Rogoff, 1994) It has also been observed that there is
uncertainty related to fundamentals and that relationship between fundamentals and
real exchange rate is not stable over time (Egert, 2006), which corroborates the
argument of phases in real exchange rate behavior.
Application of single equation approach to ERER determination has been used to
determine potential real exchange rate misalignment in transition countries using
real exchange rate as dependent variable and explanatory variables which depend on
the theoretical underpinnings of the research methodology. ERER which rests on
counterfactual estimation of sustainable level of fundamentals is the basis of
NATREX model in which the evolution of net foreign assets is endogenous, so that
if investment rises in the open sector, capital inflows, reflected in a decline in net
foreign assets, cause the real exchange rate to appreciate in the medium-term. In the
long-run, when investment starts working in the open sector, the trade balance
improves, resulting in an increase in net foreign assets, and producing an
appreciation of the real exchange rate in the second phase. Egert, Lahreche-Revil and
Lommatzsch (2003) also provide explanation that countries can have different
direction of relationship between net foreign assets (resource balance) and real
exchange rate due to the phase in which they are. In the catch-up process they may
have a negative steady-state net foreign asset position. In other words, in the medium
term, they finance their growth via foreign capital. Strong capital inflows appreciate
the real exchange rate in this phase. However, once the desired long-term foreign
liabilities position is attained, the countries have to start servicing their debt. Thus,
for any additional increase in net foreign liabilities, the real exchange rate
depreciates. The panel of transition countries examined indeed confirmed postulated
appreciation associated with negative resource balance while variable was positive for
OECD countries, indicating depreciation of real exchange rate associated with
worsening of the resource balance, which was taken to be reflecting the long run
behavior of the transition economies.

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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

In the literature openness is associated with decreasing trade barriers, which raises
imports more than exports. The deterioration in the trade balance would in this
context depreciate real exchange rate. (Kim and Korhonen, 2005)
Another important factor to consider in real exchange rate behavior in transition
economies is role of regulated prices, as services such as public transport,
communication, energy and water supply, communal services and government
services have a large share in overall economy and could have been left unchanged
during price liberalization, resulting in high inflation at the outset of the transition
process. According to Zavoico (1995) in setting the price of regulated sectors only
operational costs were considered initially because the capital stock of the sectors
concerned was inherited from the communist era and because of political
considerations. Eventually, once the general price liberalization is over, the
progressive replacement of the capital stock at market prices, partly through
privatization, led to huge increases in regulated prices because the cost of capital had
to be taken into account as well. Therefore, price increases as an adjustment due to
liberalization, are an additional argument in support for trend appreciation
experienced in transition economies in initial phase.
The above studies suggest that real exchange rate in transition could be going
through changes in relationship between fundamentals and RER, which have
important implications for policy making. RER settling in its long-term position will
mean more depreciated level of RER required in order to service the debt obligations
that have accumulated. There are limited studies on real exchange rate behavior in
BH. In Omerbegovic (2005) real exchange rate of BH is related to fundamental
variables of resource balance, openness, government consumption as share of GDP
and debt over the period of 2002 to 2005, which has indicated that there was slight
real exchange rate overvaluation in 2005. However, this could have been
equilibrating phenomena as well.
In this paper the study of real exchange rate in BH is extended over different time
periods in order to answer the question as to whether the level of real exchange rate
is appropriate at this point in time. The paper also attempts to provide explanation
towards the phase in which BH real exchange rate behavior is in relation to the
above mentioned postulated phases in the literature for transition economies. Due to
importance of this transmission mechanism in reaching external and internal balance
the paper looks at the behavior of BH real exchange rate, testing stability of

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relationship of fundamentals and real exchange rate over the period of 2002 to 2012
and estimating RER misalignment in middle 2012.
Methodology: The Cointegration Approach to ERER in BH
The ERER can be estimated from a single equation- relating RER and
fundamentals- which is a reduced form solution of an unspecified simultaneous
equation system of the theoretical models of the likes of Edwards (1989), Lim and
Stein (1995), and Montiel (1999) developed in Omerbegovic Arapovici (2009).
The theoretical model provides for the postulated effects of change in fundamental
determinants of trade policy stance, external terms of trade, composition of
government spending, sectoral productivity differentials and resource balance and
ERER. The improvement in the external terms of trade, increase in productivity
differential in favor of traded goods and increased government consumption of
nontrade goods are expected to cause ERER appreciation. The relaxation of trade
barriers and improvement of resource balance are expected to cause ERER
depreciation. Adopted empirical methodology is designed to capture this long-term
relationship between economic fundamentals and real exchange rateii.
The Empirical Model of ERER Estimation: Two Step Engle-Granger (1987)
Cointegration and Error Correction Mechanism
The empirical model consistent with adopted theoretical framework for ERER
estimation is consistent with Two Step Engle-Granger (1987) Cointegration and
Error Correction Mechanism as shown in Kemme and Roy iii (2002).
Translated into stochastic terms the features of the theoretical model of ERER
behavior requires that the disturbance term wt in Equation 1 is a mean-zero
stationary random variable.
et*=bFt*+wt

(1)

Where b is the cointegrating vector and wt is an uncorrelated random disturbance.
Based on Engle and Granger iv (1987) who demonstrated an equivalence between
cointegration and error correction for nonstationary variables in case on
nonstationary variables the model implies that RER has a reduced-form error
correction representation (Equation 2), which allows short run dis-equilibrium to be
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Journal of Economic and Social Studies

�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

treated as ‘equilibrium error’ and we use it to tie short-term behavior of RER to its
long-run value.
det=a + bdFt + cut-1 + zt

(2)

Where d denotes first difference; ut-1 is the one-period lagged value of the residual
from regression (Equation 1), the empirical estimate of the equilibrium error term;
and z is the error term with usual properties.
Calculating ERER
After long run parameters b of Equation 1 are estimated using appropriate
econometric tools given unit root properties of the data series estimation of
sustainable fundamentals, F*, is next step in measurement of ERER. The sustainable
fundamentals are then combined with b to arrive at ERER, that is ERER=bF*.
The effect of sustainability of the net capital flows and other fundamentals on ERER
in BH is captured in this step. The estimation of the value of sustainable
fundamentals involves some methodological issues. Time series based (or data based)
permanent values of fundamentals are by nature of construction of cointegration
methodology unable to detect substantial misalignment (Baffes, Elbadawi and
O’Connell v, 1999:443). However, in case of BH counterfactual estimation of the
variables of debt service to export and net sustainable capital flows vi does not create
pressures towards RER devaluation as the estimated direction of influence of these
variables is opposite to theoretically postulated relationship, so that increase in these
variables results in more appreciated ERER.
In the case of exogenous variables and those that adjust very slowly the time series
based estimates of their sustainable values are used along the methodology of Baffes vii
et al. (1999) which use moving averages to estimate permanent values of
fundamentals in ERER calculation.
The import content of investment already reflected in high value of observed
openness variable leaves conclusion that trade policy is already very open (imports
and exports to GDP ratio have been above 1 for most of the sample period) and
moving average of actual openness variable is used for BH. Government
consumption in total expenditure is considered as slower changing so that its

Volume 5 Number 1 Spring 2015

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�Adisa Omerbegović Arapović

permanent value is obtained as moving average of data series. Moving averages
technique is one of simple 3 year moving average for all of the series.
ERER calculation as “sustainable” RER, which is the fitted RER in which the
fundamentals have been replaced by their sustainable values viii, enables us to calculate
the RER misalignment for BH in the middle of 2012. Given the equilibrium real
exchange rate the misalignment can be calculated as:
mt=et*-et

(3)

Once the misalignment is calculated we have determined whether the currency is
overvalued or undervalued at present and may make statements about the RER
misalignment in BH in 2012.
Empirical Analysis: Estimation of ERER Misalignment in BH
In this section the misalignment of the real exchange rate in BH is estimated for the
middle of 2012. We begin by defining and documenting the sources of data. After
results of the time series properties of the data are obtained, tests for the existence of
co-integrating relationship between the fundamentals and real exchange rate are
performed. Estimation of the long run parameters b of the ERER vector (et*=b*Ft)
using the appropriate econometric tools given the time series properties of the data is
thenconducted. Lastly, the ERER is calculated given the sustainable values of
fundamentals where counterfactual estimate of sustainable resource balance given
sustainable net capital flows and time series estimates of slower adjusting
fundamentals are combined with the estimated parameters b to calculate the degree
of RER misalignment as the difference between the ERER and the actual RER.
Definition and Measurement of the Variables
The variables found in the reduced form single equation are the actual real exchange
rate (et) and the fundamental determinants of the equilibrium real exchange rate (Ft).
Real exchange Rate (RER) or e - is taken as the multilateral trade weighted index
which is as a measure of RER used in evaluating competitiveness. It is necessary to
use or construct a broad multilateral index of the real exchange rate (Edwards ix,
1989:88), which provides a measure of the degree of competitiveness of a country
relative to a group of its trading partners. The Central Bank of Bosnia and

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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

Herzegovina (CBBH) construct of the multilateral index of the real exchange rate is
used, which is consistent with the methodology of Edwards (1989: 88).
Openness or OPEN is defined as the ratio of imports (IMP) and exports (EXP) to
GDP (GDP): OPEN= (IMP+EXP)/GDP.
Resource Balance to GDP Ratio (RESGDP). The value of exports (EXP) minus the
value of imports (IMP), divided by the GDP (GDP). Thus RESGDP= (EXPIMP)/GDP. x
DEBT is the ratio of debt service to exports expressed in percentage.
GOVCON is simply the ratio of government consumption expenditure to total
government expenditure.
The data were obtained from two sources: 1) CBBH, 2) the IMF- International
Financial Statistics.
Time Series Properties of Data Series
Table 1 presents the results of the standard Augmented Dickey-Fuller (ADF) (1979)
statistics and the Philipps-Perron (PP) test (1988), which are used to assess the unit
root properties of the data. The MacKinnon critical values (1991) are reported
alongside of the results of the ADF and the PP tests.
Table 1: Tests for Stationarity
ADF
PP
Decision
RER
-3.62
-3.15
I(1)
RESGDP
-1.33
-1.40
I(1)
OPEN
-3.78
-3.80
I(0)
GOVCON
-2.57
-2.37
I(1)
DEBT
-1.02
-3.96
I(1)
Notes: test assumption includes constant in test equation. For the Augmented
Dickey-Fuller statistics (ADF), the MacKinnon critical values are: 1%=-3.62, 5%=2.94, 10%=-2.60. Critical values for the PP test are: 1%=-3.61, 5%=-2.93, 10%=2.60. Sample period is 2002Q2 to 2012Q2.
The results obtained from the standard ADF and the PP test suggest that almost all
of the variables under consideration exhibit unit root properties, that is, they are
integrated of order one and their first differences are stationary.

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�Adisa Omerbegović Arapović

Test of Cointegration
Since the relevant data series used in the empirical analysis are nonstationary
(integrated of order one) it follows that a cointegrating regression can potentially be
formed if the series are found to be cointegrated. Table 2 contains the Johansen
(1998) test for the number of cointegrating vectors for BH. The Johansen
maximum-likelihood procedure which tests for the number of co-integrating vectors
in Table 2, shows that there is 1 co-integrating vector for BH over the period of
2001Q1 to 2012Q2, consistent with findings of Omerbegovic (2005) over the
shorter time span.
Table 2: BH- Johansen Maximum Likelihood Procedure for Testing the Number of
Cointegrating Vectors xi
Null
(1)
R=0

Likelihood Ratio
(2)
0.57

Max. eig. Stat. [95% crit]
(3)
69.82

R&lt;=1

0.40

47.86

R&lt;=2

0.27

29.78

R&lt;=3

0.13

15.50

The variable set is (RER, RESGDP, OPEN, DEBT, GOVCON)
Sample period is 2002Q2 to 2012Q2.
Trace test indicates 1 cointegrating equation(s) at the 0.05 level
* denotes rejection of the hypothesis at the 0.05 level
**MacKinnon-Haug-Michelis (1999) p-values
Testing for Breaks
Since the paper postulates that real exchange rate might be going through different
phases in its behavior it tests for breaks in a time series regression function over the
sample time period. Using the Chow test it is found that the suggested break point is
2005, which is a year when observation of time series data on resource balance
indicates significant improvement in resource balance variable. This could have been
situation of resource balance variable moving towards its long term position. The
paper reports results of cointegrating equation over the whole sample as well, as these
are then considered to be relationships that hold on ‘average’, in the sense that the
estimate combines the two different periods. (Stock and Watson, 2012:599)

68

Journal of Economic and Social Studies

�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

Besides having these overall ‘average’ results reported, the paper estimates
cointegrating equation over two sample periods divided by postulated structural
break in data: first sample includes observations from 2001Q1 to 2005Q4 and
second sample includes observations from 2006Q1 to 2012Q2. The examination of
stationarity and cointegration indicators for these two sample periods indicates that
series under examination are nonstationary over these periods and that there are
cointegrating equations in these two periods as well.
Estimation of Cointegrating Relationship between RER and Fundamentals
The existence of cointegration between the variables of RER and the fundamentals
suggests that the econometric techniques of Cointegration and Error Correction
Mechanism are appropriate for estimating the relationship between RER and its
fundamental determinants. Table 3 presents estimated cointegrating parameters, b,
in using the two step Engle-Granger (1987) cointegration and error correction
methodology (1987).
Cointegration implies that the residuals of Equation 1, wt, are stationary, and this
restriction provides a test for cointegration xii. Table 4 provides results of this EngleGranger (1987) two-step procedure test for cointegration. There is strong evidence
of cointegration, as indicated by the unit-root test applied to the estimated residuals:
the calculated value rejects nonstationarity in favor of stationarity at standard
levels xiii.
Finally, the short-term dynamics of real exchange rate, e, is examined by estimating
an error correction model of Equation 2, where residuals from static regression (wt)
in Equation 1, are used in place of the equilibrium error on the right hand side of
the error correction equation to tie short-term behavior of RER (e) to its long-run
value. Table 5 provides results of estimation of Equation 2 for BH, over the two
sample periods.
The findings suggest that the short run effects are generally in the same direction as
the long run effects. A crucial parameter in estimation of short-term dynamics is the
coefficient of the ERROR (w in Equation 1) in the second step of the Error
Correction Procedure, which measures the speed of adjustment of the RER to its
equilibrium level. Importantly, the error term is less than one in absolute terms and

Volume 5 Number 1 Spring 2015

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�Adisa Omerbegović Arapović

statistically significant, hence the equilibrium real exchange rate is stable (Lim and
Stein, 1995).
Table 3: Step One Engle-Granger (1987) Cointegration and Error Correction
Procedure-Long Run Parameter Estimates: BH
Sample 2002Q2 to 2005Q4
1

2

Sample 2006Q1 to 2012Q2

3

4

5

Coeffic
ient
105.32

t-stat

Sample 2002Q2 to 2012Q2

6

7

8

9

Coefficient

t-stat

105.02

2-tail
signific
0.0000

Variable

Coefficient

t-stat

Coefficient

95.12

4.41

2-tail
significa
0.0000

47.49

2-tail
signific
0.0000

OPEN

15.45

5.42

0.0173

0.45

2.86

0.8763

1.65

51.6
40.78

RESGDP

0.13

1.41

0.1868

-0.05

-0.65

0.5204

-0.04

-1.20

0.2350

DEBT

-0.17

-0.86

0.4083

0.11

0.74

0.4619

-0.11

-1.05

0.2972

GOVCON

-0.07

-2.20

0.0332

-0.26

-3.07

0.0058

-0.24

-3.53

0.0011

0.4358

Dependent variable: RER
Notes column 1 to 3: Adjusted R-Square= 0.7449; Durbin-Watson=1.6745 ADF (ebF): UROOT (N,0) = -3.06; ADF critical value 5%= -2.92; Sample period is 2002Q2
to 2005Q4 for columns 1 to 3.
Notes column 4 to 6: Adjusted R-Square= 0.1857; Durbin-Watson=1.2362 ADF (ebF): UROOT (N,0) =-4.64; ADF critical value 5%= -2.99; Sample period is 2006Q1
to 2012Q2.
Notes column 7 to 9: Adjusted R-Square= 0.3106; Durbin-Watson=1.4355 ADF (ebF): UROOT (N,0) =-4.64; ADF critical value 5%= -2.93; Sample period is 2002Q2
to 2012Q:2.
The explicit form of Equation 1 tested is:
RER=c(1)+c(2)*OPEN+c(3)*RESGDP+c(4)*GOVCON+c(5)*DEBT+wt
Table 4: Results on Engle-Granger (1987) Two Step Procedure for Testing
Cointegration Unit Root Test of the Residuals From the Long Run Relations.
Sample 2002Q2 to
Sample 2006Q1 to
Sample 2002Q2
Long run
ADF Test Order of
ADF Test Order
ADF
Order
-3.06
I(0)
-4.64
I(0)
-4.64
I(0)
equation 1
MacKinnon (1991) critical values for rejection of null of no cointegration are -2.92
at 5% level for Sample 2002Q2 to 2005Q4, -2.99 at 5% level for Sample 2006Q1
to 2012Q2 and -2.93 at 5% level for Sample 2002Q2 to 2012Q2.

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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

The important factor in considering the volatility of the model is to observe for serial
correlation diagnostic since low Durbin-Watson statistic (DW) values accompanied
by high R2 alert to the potential problem of spurious regression xiv. (Gujaratixv, 1995:
724) There are relatively lower AR2 values (0.22) accompanied by DW test statistic
values of less than two as we observe DW to be 1.23 to 1.67 depending on the
sample. Therefore, the problem of spurious regression is not suspected. These results
are similar to those found in Baffes et al. xvi (1999) where the same empirical
methodology produces results of DW in the range of 1.14 to 1.16, whereas others
like AtiqurRahman and Abdul Basher xvii (2002) study for Bangladesh do not report
the DW diagnostics test statistic while using similar time series fundamental
determinants of ERER and empirical model of two-step ECM.
Table 5: Short Run Dynamics: BH
(Two-Step Engle–Granger (1987) Cointegration And Error Correction Mechanism)
Variable
Coefficient
ERROR(-1)
DOPEN
DGOVCON
DRESGDP
DDEBT

1
Coefficient
0.50
-0.55
-0.33
-0.06
-0.13
-0.20

2
t-stat
0.08
-1.18
-0.05
-0.79
-1.41
-1.59

3
2-tail
0.9349
0.2708
0.9569
0.4505
0.1942
0.1491

4
Coefficient
0.02
-0.58
0.12
-0.08
-0.12
0.06

5
t-stat
0.01
-3.15
0.07
-1.02
-2.04
0.82

6
2-tail
0.9873
0.0052
0.9422
0.3194
0.0548
0.4180

7
Coefficie
0.25
-0.51
-0.09
-0.06
-0.16
-0.06

8
t-stat
0.19
-3.83
-0.07
-1.34
-5.34
-1.09

9
2-tail
0.850
0.000
0.946
0.186
0.000
0.282

Notes to columns 1 to 3: Dependent variable: DRER; Adjusted R-Square=0.4082;
Durbin-Watson= 1.09; Sample period is 2002Q2 to 2005Q4.
Notes to columns 4 to 6: Dependent variable: DRER; Adjusted R-Square=0.5396;
Durbin-Watson=1.6657; Sample period is 2006Q1 to 2012Q2.
Notes to columns 7 to 9: Dependent variable: DRER; Adjusted R-Square=0.6203;
Durbin-Watson= 1.8374; Sample period is 2002Q2 to 2012Q2.
The explicit form of Equation 2 tested is:
dRER=c(1)+c(2)*dRESGDP+c(3)*dDEBT+c(4)*dGOVCON+c(5)*dOPEN+c(6)*
w(t-1) +zt
Calculating ERER and Degree of Misalignment
The ERER is obtained as a fitted value of the estimated long run cointegrating
equation using the sustainable values of fundamentals xviii. This ERER is referred to as
“sustainable” ERER and is reported in column three of Table 6 for BH for the two
step Engle-Granger (1987) Cointegration and Error Correction Mechanism.
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Column 1 reports the actual real exchange rate while column 2 presents the fitted
exchange rate from the first equation of Table 3 by using actual values of
fundamentals. Column 4 shows the gap between the observed and equilibrium real
exchange rates using the “sustainable” simulations for the equilibrium rate. The gap
between these two series provides a measure of the real exchange rate misalignment.
Since RER is measured as index where 100=1, the difference between RER and
ERER is equal to percent overvaluation/undervaluation, with the positive sign
representing overvaluation and the negative sign indicating undervaluation of RER.
Figure 1 depicts graphically the observed, fitted and sustainable RER for BH based
on Two Step Engle-Granger (1987) Cointegration and Error Correction
Mechanism. The gap between the observed RER and ERER-sustainable represents
graphically the percent misalignment for BH for each year from 2001Q1 to 2012Q2
based on the results of the Two Step Engle-Granger (1987) Procedure.

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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

Table 6: Observed and Equilibrium RER Indexes for BH 2002Q2 to 2012Q2
(2002=100) (Two Step Engle-Granger (1987) Cointegration and Error Correction
Mechanism)

Note: The observed RER is the one used in the econometric analysis. The fitted RER is the
one estimated from the cointegration regression. The “sustainable” RER is the fitted RER
in which the fundamentals have been replaced by their sustainable counterparts. The
RESGDP sustainable is equal to actual RESGDP adjusted for the change in RESGDP
required in case of capital flows outflows comprising 100 percent of foreign portfolio
inflows and transfers. The OPEN and GOVCON are given by 3 year moving averages.
Following the suggestion made by Klein (1994) we assumed that sustainable debt service
to export ratio is at most 20% but slowly increasing from the current levels in view of the
higher repayment obligations.

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Misalignment is defined as 100(sustainable RER-observed RER)/observed RER.
Misalignment over the sample period 2002Q2 to 2005Q4 and 2006Q1 to 2012Q2 is
estimated using parameters presented in Table 3 for the respective sample.
Figure 1: Misalignment – BH (as the Gap Between Real Exchange Rate And ERER)
Two Step Engle-Granger (1987) Cointegration and Error Correction Mechanism

RER misalignment in B&amp;H
108.00
106.00

value of the index

104.00
102.00
100.00
98.00
96.00

RER
observed

ERER
fitted

ERER
sustainable

94.00

Note: Misalignment is given by the gap between the RER and ERER. Higher level of the
index indicates more depreciated level required by ERER compared to observed RER,
indicating situation of RER overvaluation (misalignment).
Discussion
Finally, the paper evaluates the observed results in relation to the postulated
theoretical relationships between real exchange rate and economic fundamental
variables and postulated phase like behavior of RER in transition economies.
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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

In terms of overall ability of fundamentals to explain real exchange rate behavior it is
concluded that fundamentals had much more power in explaining real exchange rate
behavior over the period of 2002Q2 to 2005Q4. Figure 1 indicates that there was
appreciating move in RER in 2006Q1 which then marks the period of change in
relationship between fundamental variables and RER and much smaller explanatory
power of fundamentals in RER behavior, as indicated by adjusted-R2 in Table 3
observed over these two sample periods. This evidence corroborates findings in the
literature which claim the phase like behavior of RER in transition. Therefore, RER
behavior first takes one pattern and then moves to another pattern, while these
phases are due to the initial adjustments and transition that country has to go
through until it reaches the pattern of RER behavior which is observed in developed
matured market economies.
In terms of the postulated theoretical relationship between fundamentals and RER,
the evidence indicates change in sign and significance of resource balance (RESGDP)
variable, which is in the second period (from 2006 onwards) having a negative sign
and indicates that improvement in resource balance is associated with RER
appreciation. As explained before, relationship between resource balance variable
(which implies the change in net foreign assets) can be changing due to the phases
that the country goes through in the catch up process. Country may have a negative
steady state net foreign assets position. In other words capital inflows appreciate the
real exchange rate in this phase. However, once the desired long-term foreign
liabilities position is attained, BH will have to start servicing its debt, so that for any
additional increase in net foreign liabilities RER will have to depreciate. It is
suspected that BH is currently accumulating net foreign liabilities and once the
servicing of that debt start RER will have to depreciate. The findings suggest that
this momenthas not yet arrived so that we can expect much bigger shock to RER.
Dueto the current exchange rate regime of the currency board required RER
depreciation can be achieved only through flexibility of prices in product and factor
markets if it is not to endanger the sustainability of the currency board arrangement
itself.
A significant and negative relationship between GOVCON and RER is observed,
which indicates that increased government consumption is associated with RER
appreciation. This sign is consistent with studies for other transition countries listed
in Egert et.al. (2005:37) and in accordance to theoretically postulated relationship
underpinning the single equation reduced form equation used to determine ERER.
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This is due to the fact that GOVCON is expected to be increasing the price of nontraded goods sector, appreciating these prices in relationship to the price of traded
goods prices, which causes RER to appreciate. As previously explained it is also
expected that the size of non-traded prices (water, waste, energy, taxes) is large in
transition economies Also due to administered and regulated prices, which are
composed mainly of services representing a large component of CPI in transition
economies and the fact that these prices initially did not represent true costs which
are necessary in the long run in order to include cost of capital or in order to comply
with competition rules in acquis communautaire, these prices have kept rising and
this process may not be over yet. This price increase, known as the Baumol-Bowen
effect (Baumol, 1996), might not have yet fully completed in BH and the price
increase could be dampened via privatization and market liberalization, which are
still processes to be undertaken in energy, water, communal services etc.
The DEBT variable has not been statistically significant and there is change in
relationship on DEBT variable in terms of direction of relationship with RER. In
later period worsening in DEBT (which is measured as debt service to export ratio
increasing) would be associated with more depreciated RER. This is expected since
increase in debt servicing in relation to exports puts higher burden on the country in
terms of servicing its debt and therefore is likely to lead to RER depreciation. In the
future BH is likely to experience worsening of this ratio due to increased foreign debt
which is likely to put depreciating pressure on RER in the future period.
Observed sign on variable OPEN is capturing a theoretically postulated relationship
as increased openness is assumed to be associated with trade liberalization, which
raises imports more than exports. This variable has same sign in both samples,
however it is not statistically significant. Number of studies on CEE transition
countries cited in Egert et.al. (2005:37) observe the same relationship.
The results are suggesting that cointegration methodology captures relationship
between the fundamentals and RER which is specific to the situation of the post-war
economy of BH characterized with high donations and transfers after the war,
thathave coincided with negative resource balance. Exchange rate regime of the
currency board has at the same time ensured stability of the exchange rate and low
inflation, but it has taken away from RER as an important transmission mechanism
in the economy, leaving only flexibility of goods and services and labor markets to
cure for macroeconomic internal and external disequilibria.

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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

The results on relationship between RER and real economic variables in terms of the
direction of relationship and significance of the fundamental variables in explaining
RER behaviour indicate that the small open economy of BH has lost RER as a
transmission variable in curing its external and internal disequilibria in its transition
period towards a functioning free market economy. This result goes towards support
of results obtained in Omerbegovic Arapovic (2011) which has indicated that choice
of the exchange rate regime of currency board has been associated with much slower
convergence of RER of BH towards the sample average, compared to Croatia and
Macedonia, which have adopted more flexible exchange rate regime and, therefore,
exhibited much faster convergence. From this we can deduce that their exchange
rates were much more linked to the behavior of the fundamental economic variables
compared to BH.
Results obtained in this study and Omerbegovic Arapovic (2011) suggest that in
order to access the readiness of each individual country in the region to join EU it is
necessary to view the fundamental economic variables such as interest rates,
inflation, government debt and deficits. The trends in fundamental economic
variables of increased government debt and current account deficit create pressures
which can notbe captured with our equilibrium real exchange rate misalignment
approach as we do not show significant misalignment at present period. The existing
relationship between real exchange rate and economic fundamentals for BH suggest
detachment of RER from the fundamental economic variables. The resource balance
variable does not show the expected direction of influence with RER, which is likely
to occur once debt servicing becomes priority. The overall explanatory power of
fundamentals in the period from 2006 to 2012 is low, which goes in support of the
studies that find relationship between economic fundamentals and RER behavior to
weaken once the RER enters a stationary period (Egert, 2006). Further studies on
RER in BH should test the power of monetary variables in explaining RER as they
are postulated to have more influence on RER once country enters the stationary
mode of RER behavior.
Conclusion
Recognizing the endogeneity of the equilibrium real exchange rate and adopting a
mild and testable assumption that distance between the actual and the equilibrium
real exchange rate is a stationary random variable justifies the use of the cointegration
method for estimating the long-run relationship between the real exchange rate and
its fundamentals. Since the methodology adopted assumes that the economy was in
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internal and external equilibrium on average over the sample period, it implies that
the average degree of misalignment in the sample will tend, by construction, to be
small, if depending only on the time series estimates of sustainable value of
fundamental variable of resource balance. Due to this fact counterfactual estimation
of sustainable values of fundamental economic variables was used to determine
sustainable ERER. The findings do not suggest RER overvaluation in middle 2012.
However, the fact that BH in its post-war history has observed stable RER with
continuous external disequilibrium could limit the ability of detecting ERER
misalignment using time series estimates of fundamental variables alone.
The counterfactual estimation of change in sustainable value of net capital flows on
ERER indicates that in BH, the real exchange rate was under-valued by less than 1
percent in April 2012 using the Two Step Engle Granger Methodology. In
counterfactual estimation for BH, the smaller trade deficit associated with the
smaller current account deficit produces an appreciation of the equilibrium rate and
therefore tends to decrease the estimated degree of misalignment. This is evident in
lower sustainable RER (ERER), or more appreciated value of sustainable RER
compared to the fitted RER value calculated using the actual resource balance
variable. This finding is due to observed negative relationship between resource
balance variable and RER, which theoretical models associate with initial stages of
capital account liberalization when price of non-tradable goods increases and causes
RER to appreciate.
These findings go in support of an argument that structural adjustments which
would bring flexibility to labor and markets for goods and services are required in
order to bring about external balance as RER is not found as significant transmission
mechanism in correcting external disequilibria in BH economy. Labor market
reforms in direction of more flexibility and inaction of more flexible hiring and
firing rules compared to the existing law, which was inherited from the socialist era
and practically makes firing impossible for employers, should be priority for policy
makers in order to move BH economy towards equilibrium.
The paper tested relationship between fundamentals and RER in BH over two
different time periods and discovers that time period of consideration influences the
direction of relationship between fundamentals and RER. Direction of relationship
between resource balance and RER indicates that worsening of resource balance
variable is associated with RER appreciation, opposite to postulated theoretical
relationship and relationship between these two variables observed in shorter sample
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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)

which included data until 2005. Examination of current account, and associated
capital inflows that support current account deficit, indicates that negative
correlation between capital inflows and RER is present, leading us to conclude that
capital inflows associated with worsening of the current account deficit put
appreciating pressure on RER. In the absence of these capital inflows there would
likely exist the depreciating pressures on RER.
This study also suggests that RER behavior exhibits phases in which RER initially
exhibits much bigger connection to fundamental variables compared to the later
period. This is in line with studies which suggest that RER could be first exhibiting
trend appreciation after which it enters stationary periods. This needs to be further
examined in future studies. Further research should also extend analysis and test
whether other reasons exist for RER non-stationarity such as monetary phenomena
and Balassa-Samuelson effect, which could not be fully assessed from the secondary
data used in this analysis over the sample period.
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i

Omerbegovic Arapovic A. (2009) Real Exchange Rates in South East Asia: Misalignment and
Currency Crisis, VDM Verlag Dr. Muller, Saarbrucken., 57-79.
ii
However, empirical considerations require compromise. First, it is not possible to construct
a meaningful time series regarding productivity differential between traded and non-traded
goods producing sectors because of data limitations. So the Balassa- Samuelson effect is
ignored. Second data on government spending on tradables and non-tradables are not
available as such. Government consumption mostly includes non-tradable items. Hence, the
ratio of government consumption to total government spending is taken to capture the
effects of government spending of tradables and nontradables following the methodology of
AtiqurRahman and Abd. Basher (2002).
Unit prices of exports and imports were not available for BH so the external terms of trade
could not be captured meaningfully, and we ignored this effect. It is also very difficult to a
have a correct and comprehensive measure of trade policy over a long time series. Hence, like
other studies in the present field, the proxy for the trade policy is taken by a measure of
openness following Edwards (1989), i.e., the ratio of export plus import to GDP. An increase
in this ratio is supposed to be associated with trade liberalization. Thus the list of
fundamentals affecting equilibrium real exchange rate includes ratio of government
consumption to total government spending, resource balance, openness, and debt service to
export ratio.
The proxies for the fundamentals were:
• Trade policy stance is captured by construct of openness measured as ratio of trade
volume measure (imports plus exports) to GDP.
• Debt is the ratio of debt service to exports expressed as percentage.
• Government consumption is simply the ratio of government consumption
expenditure to total government expenditure.

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•

And finally resource balance is given by the difference between exports of goods and
nonfactor services and imports of goods and nonfactor services. These proxies are
henceforward referred to as fundamentals.
iii
Kemme D.M., Roy S. (2002). Exchange Rate Misalignment: Macroeconomic Fundamentals as
an Indicator of Exchange Rate Crisis in Transition Economies. Prepared for the European
Association of Comparative Economics Meetings, Forli, Italy, June 6-8, 2002
iv
Engle, R. and C. Granger (1987). Cointegration and Error Correction: Representation,
Estimation and Testing.Econometrica.55. 251-76.
v
Baffes J., Elbadawi I.A., O’Connell S.A. (1999). Single-Equation Estimation of the
Equilibrium Real Exchange Rate.In Hinkle L.E., Montiel P.J. (1999) Exchange Rate
Misalignment, Concepts and Measurement for Developing Countries. A World Bank Research
Publication. Oxford University Press. 405-465
vi
In view of the likely rise in debt of BH and macroeconomic sustainability, the paper
considers direction of change necessary for the debt service to export ratio and the resource
balance variable. This is done by excluding part of the “unsustainable” net capital inflows
used to finance resource balance following the argument by Williamson and Maharvi (1998),
so that paper differentiates between private direct investment, which tends to be long-term in
nature, and liquid private portfolio investment, remittances and grants by excluding these
later inflows to arrive at the “sustainable” resource balance. The other fundamental
determinants of ERER should also be in their permanent state in equilibrium. Following the
suggestion made by Kleinvi (1994) the paper assumes that sustainable debt service to export
ratio is at most 20% but slowly increasing from levels observed in the sample (around 5% in
2001) in view of the higher repayment obligations due to increased external debt, and
reduced grants and transfers.
vii
BaffesJ., ElbadawiI.A., O’ConnellS.A. (1999). Single-Equation Estimation of the
Equilibrium Real Exchange Rate. In Hinkle L.E., Montiel P.J. (1999) Exchange Rate
Misalignment, Concepts and Measurement for Developing Countries. A World Bank Research
Publication. Oxford University Press. 405-465
viii
The equilibrium real exchange rate is then the predicted value from co-integrating
equation (et=bFt) based on a given vector of macroeconomic fundamentals, Ft*, assumed to
be sustainable long run equilibrium values, et*=bFt*.
ix
Edwards S. (1989). Real Exchange Rate, Devaluation, and Adjustment. London: The MIT
Press.
x
Two RESGDP variables were tested. One was found using our estimate of quarterly GDP
following moves in Index of Industrial Production and the other using GDP estimates from
CBBH publication on estimates of quarterly GDP figures. No differences were found in
observed relationship between RER and RESGDP and the paper continues using the
estimated quarterly GDP figures.
xi
The Johansen (1988) cointegration imposes a restriction on the reduced form or VAR
representation of the joint distribution of the real exchange rate and its fundamentals. (Baffes,
Elbadawi and O’Connellxi, 1999) We use a lag length of one for the underlying VAR system;
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�Real Exchange Rate and Real Economic Fundamentals in Transition Economy
of Bosnia and Herzegovina (BH)
this is very restrictive even for annual data, but a longer length leaves us with very few degrees
of freedom. The asymptotic tests indicate one co-integrating vector for B&amp;H at the 1 %
confidence interval.
xii
Baffes, Elbadawi and O’Connel (1999) note that estimates of b from the static regression
are super-consistent, approaching the true parameters at a rate proportional to the sample size
rather than the square root of the sample size; and they remain so even in the absence of weak
exogeneity.
xiii
Note that the critical values for this test are more demanding than when testing for a unit
root in a single variable since the OLS estimation tends to induce stationarity in the residual.
(Gujarati, 1995)
xiv
Granger and Newbold, quoted by Gujarati (1995:724) have suggested: an R2&gt; d (Durbin
Watson statistic) is a good rule of thumb to suspect that the estimated regression suffers from
spurious regression.
xv
Gujarati, D.N. (1995). Basic Econometrics. Mc Grow Hill Singapore.
xvi
Baffes J., Elbadawi I.A., O’Connell S.A. (1999). Single-Equation Estimation of the
Equilibrium Real Exchange Rate. In Hinkle L.E., Montiel P.J. (1999) Exchange Rate
Misalignment, Concepts and Measurement for Developing Countries. A World Bank Research
Publication. Oxford University Press. 405-465
xvii
AtiqurRahman A.K.M.A., Abdul Basher S. (2002). Real Exchange Rate Behavior And
Exchange Rate Misalignments In Bangladesh: A Single Equation Approach.
NorthSouthUniversity. Dhaka. Bangladesh.
xviii
Once the long run parameters b in Equation 1 relating RER and the fundamentals are
estimated, the next step in the calculation of ERER is the estimation of sustainable
fundamentals, F*, so that ERER (e*) is given by e*=bF*.

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                    <text>PROCEEDINGS

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ISSD 2014

REAL-TIME FACE RECOGNITION WITH ARTIFICIAL NEURAL NETWORK
TRAINED BY PARTICLE SWARM OPTIMIZATION
Musa Peker1, Huseyin Guruler2*
1

Department of Information Technologies, Samandira Vocational and Technical High School,
Istanbul, Turkey
2
Department of Information Systems Engineering, Faculty of Technology, Mugla Sitki
Kocaman University, Mugla, Turkey
*Corresponding Author
pekermusa@gmail.com, hguruler@mu.edu.tr

ABSTRACT
Face recognition is one of the widely used biometric method. Verification and recognition of
individuals is possible via the features obtained from desired face image and compared with
the facial image by various methods. Automatic face recognition which is a fundamental
research area in the scope of pattern recognition, is applied in many civil, military and
commercial areas for the purpose of authentication and identification. In this study a real-time
face recognition system was developed. It is aimed that identification of individuals who
entering any field observed with a camera. After detecting the important facial points, they are
presented as input data to feed-forward neural network. Particle swarm optimization was used
as learning algorithm in the network. As a result, a novel real-time face detection method,
which provide high accuracy has been developed.
Keywords: Real time face detection, pattern recognition, neural network, particle swarm
optimization.

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INTRODUCTION
Face detection and face recognition on images is one of the important subjects in computer
vision applications. Previously saved images of each person are used in face recognition of
persons. Faces to be recognized can be obtained from the images obtained in controlled
conditions (images on passport, credit cards, ID, etc.), may also be obtained from real time
video recordings (Peker &amp; Zengin, 2010). Face recognition problem contains finding the faces
in images, determining of limits, finding of attributes and classification of faces using
attributes (Peker &amp; Zengin, 2011).
In recent years, the issue of face recognition systems has been investigated from many aspects.
Variety of techniques for different aspects and details of the subject and efficient algorithms
and methods have been proposed (Turk &amp; Pentland, 1991; Swets &amp; Weng, 1996; Chen et al.,
2000, Yu &amp; Yang, 2001).
Face recognition is a difficult process. Although numerous applications related to facial
recognition has been developed, studies are ongoing. The reason for this, factors such as 3D
exposure differences, different facial expressions, lighting differences, makeup, hair style,
background differences and noise make face recognition quite difficult.
The purpose of this study is to accurately perform face detection and face recognition process
as real time. A new approach is presented in this context. After face recognition, important
attributes of face on images are determined automatically by Gabor wavelet transform. These
attributes are presented as an input to the neural network trained with particle swarm
algorithm. As a result of the operation of neural network, the owner of the face is determined.
The most important feature of the study is the ability to find and recognize multiple faces
simultaneously. The results were obtained are promising.
METHODS
a. Skin color identification algorithm
In this study, skin color based two algorithms were used in order to ideally detect human face
region. These algorithms are
and
code techniques. Because red and green color
tones are more in skin color according to RGB code technique, the following equations are
used.
;

(1)

With using RGB code technique, different skin colors were examined and the most
appropriate value range was attempted to be determined in order algorithm to detect skin
color region ideally. Accordingly, (
) and (
) ranges were determined
as the optimum value ranges to detect skin color regions.
According to
code technique, in
color space
represents the brightness
information,
and
represent color information. Thus, the brightness information is easily
obtained. RGB color space can be converted into
color space by equation (2).

(2)

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and values are used in skin color region finding process. By calculating the maximum
and minimum values of
and components, the pixels between these values are marked as
skin color. Minimum and maximum values of
and components are calculated as shown
in equation (3) (Kurt et al., 2007).
(3)
Minimum and maximum values of
and
components are determined according to the
average value and standard deviation of these components (Kurt et al., 2007).
b. Gabor Wavelet Transform (GWT)
Wavelet transform with Gabor main function is expressed as Gabor Wavelet Transform.
Gabor wavelets show great similarities with the human visual system according to the
frequency and orientation characteristics. These wavelets are used in computer vision
applications, face recognition, fingerprint recognition and classification algorithms (Acar &amp;
Özerdem, 2012). Gabor wavelets constitute an excellent filter for both spatial localization and
orientation. A complex Gabor wavelet (filter) is defined as multiplication of a complex
sinusoid with Gaussian kernel. A two-dimensional Gabor wavelet transform is expressed by
convolution of the image of I(x,y) (Acar &amp; Özerdem, 2012; Buciu &amp; Gacsadi, 2009):
(4)
function represents Gabor filter:
(5)
(6)
(7)
The above-described parameters and , represent the wavelength factor of the cosine (scale)
and the direction of Gabor function (angular orientation), respectively. indicates offset
value of phase, and indicates spatial visual angle.
Parameters calculated from GWT (Acar &amp; Özerdem, 2012):
Assume that the matrix obtained from each GWT matrix regarding gray tone images is an
-dimensional
matrix. Accordingly:

Mean :

(8)

Standard deviation :

(9)

Entropy :

(10)

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c. Artificial Neural Network
Artificial neural networks (ANN) are mathematical systems consisting of many processing
units weighted and connected to each other (Sen &amp; Peker, 2013). This processing unit
receives signals from other neurons; combines them, transforms, and reveals a numerical
result. In general, the processing units roughly correspond to the actual neurons and
interconnected in a network; this structure constitutes neural networks. In this study, feed
forward neural network of the neural network models was used. There are basically three
different layers in feed forward neural networks. These layers, respectively; the input layer
that holds data going into artificial neural network, hidden layer or layers on which processes
are done and train itself according to desired result, and finally output layer which shows
output values.
d. Particle Swarm Optimization
In particle swarm optimization, each solution is called as particle in the search space. All the
particles have relevancy value evaluated by the relevancy function to be optimized and
particle velocity information directing their movements. Particles follow the existing optimum
particles in the problem space (Bakbak &amp; Peker, 2013).
PSO is initialized with random particle swarm and the optimum value is searched with update.
In each iteration, each particle is updated according to the best two values. One of them is the
best relevancy value found by the particle so far called pbest. This value is kept in memory
for later use. Second best value is the best relevancy value found by any particle in swarm so
far called gbest. It is the best global value in the swarm (Yalcin et al., 2013).

Figure 1. The velocity and position updating of a particle at kth generation (Yalcin et al.,
2013).

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Swarm matrix with D swarn dimension and n particle size is described as follows.

 x11
x
 21
x   x31

 ...
 xn1

x12 ... x1D 
x22 ... x2 D 

x32 ... x3 D 

... ... ... 
xn 2 ... xnD  nxD

(11)

According to the swarm matrix ith particle is described with

xi  xi1 , xi 2 , xi3 , , , , xiD 
and the

(12)

, best relevancy value found by the particle so far, is

pbesti   pi1 , pi 2 , pi3 , , , , piD 
global good within the population
gbest   p1 , p2 , p3 , , , , p D 

(13)

(14)

ith is described as a velocity vector indicating the amount of change in each position of
the particle.

vi  vi1 , vi 2 , vi 3 , , , , viD 

(15)

Particle’s velocity and position is updated according to the following equations, respectively.

vik 1  vik  c1.rand1k .( pbestik  xik )  c2 .rand2k .( gbestik  xik )
xik 1  xik  vik 1

(16)

Where is the number of iterations and is the number of particles. If the particle swarm
matrix consists of rows, it means that . line is being mentioned. and values which are
the learning factors, pull the particle to
and
values.
and usually selected as
equal and in [0,4] range. allows particle to move according to the particle’s own experience,
allows particle to move according to the experience of other particles in the swarm.
APPLICATION AND EVALUATION
e. Face Detection
The biggest problem encountered in face detection is the existence of the areas with a color
close to skin color outside the human face area (Ikizler &amp; Duygulu, 2005). System detects
these areas as a part of the face. After converted to gray level, image is converted to blackand-white picture in order to provide a fast and accurate work on color image. Equation (17)
was used in the conversion of the image to gray level.
(17)

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Thresholding method was used to convert the image to black and white picture. According to
this method; pixels of skin area determined by skin color algorithms are transformed into
white color, while other areas are transformed to black. Thus, the image is transformed into
binary level. In binary system, 0 refers to black while 1 refers to the white color. Binary
format of the image is seen on Figure 2.a. After the image is converted to binary format, the
image is filtered and ensured that image is not affected by unnecessary noises. (Figure 2). As
a filter, median filter, which aims to soften the image, was used as a 3x3 matrix. Median filter
is a nonlinear filter that protects the edges and eliminates random noises (Umbaugh, 1998).
As shown in Figure 2.b, although picture was filtered, noise cleaning cannot be fully ensured.
Therefore, the image was passed through a scanning filter which has 3x3 matrix. This filter
determines the area with maximum skin color by scanning the display screen.

Figure 2. (a) Picture with noise (b) Noise-free picture
As stated earlier, in this study
and
code techniques, which are skin color based
algorithms, were used. In this study, results of algorithms using these code techniques were
compared and it was found that the algorithm in which
code technique is used
provided more successful outcome. The reason for this, the algorithm in which
code
technique is used, is less affected from the factors such as ambient brightness, dust, etc. In
Figure 3, the difference between these two algorithms is seen more clearly.

Figure 3. (a) detection of the areas with skin color using
code technique (b)
detection of the areas with skin color using
code technique.
f. Feature Extraction
Gabor based feature vector related to an image was obtained with statistical values of each
of the 8 wavelet matrix (2 scales and 4 orientations) related to an image. These values are
combined in a vector and feature vector is obtained. From each wavelet transform matrix,
standard deviation, mean and entropy values were calculated respectively. As a result,
statistical values of 8 wavelet transform matrix related to each image were calculated and
feature vector with 8x3 = 24 data length in total was obtained by adding these values
consecutively. The resulting attributes were applied to the input of the classifier.

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g. Face Recognition with Neural Networks Trained by PSO
For the realization of learning in artificial neural networks, weight values between the layers
must be appropriately updated. In this study, unlike classical training algorithms, the PSO, a
powerful optimization algorithm was preferred. In figure 4, a flow chart in which testing and
training of ANN with PSO took place is presented. In the learning phase, primarily, the
weights that hold the numerical value of connections between layers, take random values.
These weight values represent particle values for PSO. Number of connections between the
layers denotes the size of particles (Yalcin et al., 2013).
Network is established according to each particle and training examples are respectively sent
to the network. After the example is presented to the network, the difference (error) between
the actual value should be and the value obtained as output is calculated. After all the samples
submitted to the network, total error (MSE) is calculated and the obtained value is regarded as
the particle's relevancy value. In the first step, this relevancy value is assigned as pbest value
of the particle; the best relevancy value among the particles is assigned as the gbest value
(Yalcin et al., 2013). If relevancy value (error) is not in an acceptable level, particles are
updated with pbest and gbest values. Network is re-established according to the new particle
values, examples are given to the network again and the relevancy value calculation is
performed. These processes continue until the best relevancy value obtained so far (gbest)
reaches to the desired value or the maximum iteration (Yalcin et al., 2013).
If the error in an acceptable level, the testing process begins. This time, network is established
according to the gbest particle values. Test samples are sent respectively to the input layer of
the network and the resulting values is given as output of the example. If any threshold is not
applied to the output of the network, last obtained gbest value gives the classification
performance of the network (Yalcin et al., 2013; Yalcin, 2012).

Figure 4. Flowchart for training and testing of PSONN
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24 attribute values obtained in feature extraction step are presented as an input to the neural
network structure. With PSO algorithm, network parameters are updated and training of
network is carried out. Example of test result is presented in Figure 5. When the figure is
considered, it is seen that the amount of error is decreased depending on the increase in the
value of iteration.
Test
0

MSE

10

-1

10

-2

10

0

2000

4000

6000

8000

10000

Iteration

Figure 5. Iteration-error graph
The face detection performance of the developed software was investigated under various
conditions. Primarily, the success of the application was evaluated as real-time. There is no
change in the success of face recognition in case of an increase in the number of faces in the
image. System is able to find more than one face within the field of view of the camera with
success. Considering the results of the analyses presented in Table 1, the success of the face
recognition process is increase when the image taken frontally and in adequate light
conditions. This is observed that performance is decreased when viewing angle move away
from the front. Face recognition performance of the system decreases in low light conditions.
In order to solve this problem, using of quality and multiple cameras and providing of
sufficient light conditions are proposed.
Table 1. Performance analysis of face detection under different conditions.
Light Condition
Sufficient
Sufficient
Sufficient
Insufficient
Insufficient
Insufficient

Angle
From the front line
From the front line
30 degrees
From the front line
30 degrees
90 degrees

Distance
1,5 m
2m
1,5 m
1,5 m
1,5 m
1,5 m

Success Level
High
High
High
Medium
Medium
Medium

Face recognition experiments were conducted in two stages. In the first stage, experiments
were performed real-timely. In the second stage, experiments were performed on ORL
database (The Database of Faces, 2014).
Experiment 1: Experiments have been tried on 150 people. In experiments conducted by one
person, number of faces recognized as incorrect was two. In this case, success rate was found
as % 98.6. In multi-person applications, depending on the number of different person (2, 3, 4
and 5), number of faces recognized as incorrect was six. In this case, success rate was found
as % 96. The results have shown in Table 2.
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Table 2. Performance analysis for 150 people with the recommended method (real time
application).
Number of people
One person
Multi person (2, 3, 4 and 5)

The number of faces
150
150

Wrong number
2
6

Success rate
98.6 %
96 %

Figure 6 presents an example of the real-time implementation of this application.

(a)

(b)

(c)
(d)
Figure 6. Real-time face recognition and detection
a) Three people b) Four people c) Five people d) Six people
Experiment 2: Table 3 shows the analysis of the success of face recognition carried out in
different conditions. ORL database were used in performance analysis. Analyzes of success
were performed by changing the total number of images, size of the images and the number of
images received from each person. An image set consisting of 300 people was created with 10
different pictures (taken from various fronts) of 30 different people. A database was created
with 30 people by taking one picture of each person in the cluster. Using the remaining 270
pictures, face recognition was performed in different image sizes. Then, performance analyses
were carried out by taking 2, 3 and 5, different image of each person, respectively.

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Table 3. Performance analysis for 300 people with the recommended method.
Number of image
270
270
270
240
240
240
210
210
210
150
150
150

Number of images
per person
1
1
1
2
2
2
3
3
3
5
5
5

Database image
number
30
30
30
60
60
60
90
90
90
150
150
150

Image size
16x14
27x24
40x30
16x14
27x24
40x30
16x14
27x24
40x30
16x14
27x24
40x30

Accuracy rate
(%)
76.5
77.3
78.4
86
86.7
88.5
90
91
94
97
97.5
98.5

In the obtained analyses, it was observed that as the number of samples taken from the same
individual increased, performance of the system also increased. It was also observed that
when the image size is increased, performance slightly increased but, face recognition process
took a long time.
RESULTS
Face detection and analysis are often used in different fields. Face recognition is used in a
wide range such as defense industry, security systems, robotics industry, for commercial
purposes.
Face recognition problem is one of the up-to-date, important and difficult problems. Many
scientists have been working on this issue for a long time. However, due to the difficulty of
the problem, face recognition systems which have the success for solving real-life problems
have not been developed yet.
In this study, software which performs real time face recognition and face detection has been
developed. After face detection was performed in images, important features of the face were
detected. Gabor wavelet transform was preferred for attribute determination. Obtained
attributes were presented as input to the neural network trained with particle swarm algorithm.
In performance tests carried out with face recognition system, it was observed that the system
performance is in the acceptable quality.

REFERENCES
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Bakbak P.O., &amp; Peker, M. (2013). Particle swarm optimization design of optical directional coupler based on power
loss analysis. International Journal of Intelligent Systems and Applications in Engineering, 1(2), 29-33.
Buciu, I., &amp; Gacsadi, A. (2009). Gabor Wavelet Based Features for Medical Image Analysis and Classification”.
Applied Sciences in Biomedical and Communication Technologies (ISABEL 2009), (pp. 1-4).
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�PROCEEDINGS

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______ The 5 International Symposium on Sustainable Development_______

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Ikizler, N., &amp; Duygulu, P. (2005). Haber videolari icin yüz bulma yöntemlerinin.iyilestirilmesi, In Proceedings of
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Kurt, B., Nabiyev, V., &amp; Bekiroglu, Y. (2007). Yüz ifadelerinin tanınması. Elektrik-Elektronik-Bilgisayar
Mühendisliği 12. Ulusal Kongresi, (pp. 1-5).
Peker, M., &amp; Zengin, A. (2010). Real-Time Motion-Sensitive Image Recognition System. Scientific Research and
Essays, 5 (15), 2044-2050.
Peker, M, &amp; Zengin, A. (2011). A Real-Time and Motion-Sensitive Security Application with Face Recognition. 6th
International Advanced Technologies Symposium (IATS’11), Elazığ, Turkey, (pp. 92-97).
Sen, B., &amp; Peker, M. (2013). Novel approaches for automated epileptic diagnosis using FCBF feature selection and
classification algorithms. Turkish Journal of Electrical Engineering &amp; Computer Sciences, 21, 2092-2109.
Swets, D. L., &amp; Weng, J. (1996). Using discriminant eigenfeatures for image retrieval. IEEE Transaction on Pattern
Analysis and Machine Intelligence, 18(8), 831-836.
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Umbaugh, S. (1998). Computer vision and image processing fundamentals. Computer Vision and Image Processing.
Prentice Hall PTR, Bernard Goodwin.
Yalçın, N. (2012). Heuristic algorithm basis artificial neural networks for epilepsy detection. The Graduate School of
Natural and Applied Science of Selçuk University, MS Thesis, Konya.
Yalçın, N., Tezel, G., &amp; Karakuzu, C. (2013). Epilepsy Diagnosis Using Artificial Neural Network Learned by PSO.
Turkish Journal of Electrical Engineering &amp; Computer Sciences, online, DOI: 10.3906/elk-1212-151.
Yu, H., &amp; Yang, J. (2001). A direct LDA algorithm for high-dimensional data with application to face recognition.
Pattern Recognition, 34, 2067-2070.

Musa Peker graduated from Zonguldak Karaelmas University in 2007. Received his master’s
degree in 2009 from Sakarya University. He received his Ph.D. in Computer Engineering
from Karabuk University in 2014. Currently working in Istanbul Samandira Vocational High
School as IT teacher. His interests are biomedical signal processing, image processing and
artificial intelligence applications.
Huseyin Guruler is academic staff in the Department of Information Systems Engineering in
Mugla Sitki Kocman University, Turkey. His bachelor's degree is in the field of electronics
and computer from Marmara University. MSc is in the field of statistics and computer in
Mugla Sitki Kocman University. PhD is in the field of electronics and computer in Sakarya
University. PhD thesis is about diagnosing sleep apnea using ECG signals. His research
interests merge in data mining and knowledge discovery besides dealing with computational
biology and multi-user computers architecture.
185 | P a g e

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                    <text>1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo

REALIGNING THE LINGUISTICS-LITERATURE INTERFACE FROM
A CONCEPTUAL STANCE
Emir MuhiĤ
Bosnia-Herzegoviona
University of Banja Luka,College of Philology
Department of English Language and Literature
muhic.e@gmail.com

ABSTRACT: Multimodality in the domain of linguistic and literary research and
teaching emerged imperceptibly and laid the groundwork for an organic and
systemic analysis of language-based phenomena. In this sense, literary theory is an
extension of linguistic processes ensuing from the rudimentary thought-forming
cycles. Nonetheless, linguistics is by no means literatureless and its multifarious
theoretical frameworks can be neither vindicated nor demarcated as autonomous in
their own right. The causality-corollary relation is incontrovertible and easily
demonstrable. However, the notion of inter- and post-disciplinary studies is
routinely dismissed or regarded contemptuously and with grave misgivings.
This paper aims to disprove such viewpoints by dint of theoretical evidence from the
stockpile of cognitive linguistics. Conceptual categories will serve as the linchpin of
the research tenor thus corroborating the premise that the generation of given textual
or verbal discursive sequences inexorably reverts to the source upon its
manifestation. In this manner, both the creative process and its deliverables are
conceptually bound at the cognitive level. For the purposes of this small-scale
survey, samples from fiction, poetry and prose alike, are selected and conceptually
parsed.
KEY WORDS: multimodality, interface, conceptual categories, literature,
cognitive linguistics

1. Introduction
The lodestone of this analytical probe into the inextricability between language and literature hails from
the cognitivist provenance of intellectual thought and research methodology. It could be contended that the notion
of conceptuality rests at the heart of human capacity for generative, creative, and deconstructive feats reflected in
day-to-day communication with a relative magnitude of efficacy and admissible level of expediency. This is a
small-scale study of how language is used in literature so as to instantiate the underlying system and occasion a
back-loop transfer of the in-use discourse into the system matrix. The lexical accrual of a language is best echoed
in the realm of organic use.
Although literature is hardly unrehearsed, it does resonate language in its resplendent array of resources.
Text as defined in Systemic-Functional Linguistics stands for underlying scaffolding emerging as a spontaneous
corollary of a meaning-propelled raft of usage-based practices. It is a cyclically causal concatenation of instances
in which system is both engendered and reaffirmed through the materialization of a hypothesized linguistic and
communicative foundation.
A multitude of linguists has thus far made bold attempts at the recalibration of the basic premise of
linguistic study of the unique human enterprise. Chomskyan approach to this phenomenon primarily centred round
grammatical structure rather than use and by extension meaning. Geoffrey Leech and Jan Svartvik spearheaded the
avant-garde of redefined linguistic priorities averring that ‗a new kind of grammar is needed‘ which could provide
an answer to a long-standing question ‗How can I use grammar to communicate?‘(Leech and Svartvik, 1975).
Having enumerated the manifest of variegated components constituting the aggregate of a grammatical system,
significant weight was attached to the notion of ‗grammar in use‘ whereby different types of meaning and different
ways of organizing meaning were systematically discussed. It signalled an epoch-making departure form
employing exclusively a structural but rather communicative approach. This also meant that grammar could no
longer be defined as ‗a set of rules that allow us to combine words in our language into larger units‘ (Geenbaum
and Nelson, 2002) or a syntactic framework describing admissible conflations to form ranking groupings i.e.

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May 5-7 2011 Sarajevo
syntagmata, clauses and discursive stretches77. Grammar is by no means a source of arcane rules that cause
mortification. It is a system of meaningfulness. This assertion is corroborated in at least two regards. The lexical
system contains entries steeped in meaning. Those meaning rule delineated semantic domains in their own right
and by means of grammar they are conveniently combined into higher-ranking linguistic strata of organization
such as syntagmatic and clausal complexes allowing us to construct more elaborate instantiations of meaning.
Grammar is a crucial expedient in the overall conceptual apparatus enabling us to access and actively engage the
world (Langacker, 2008).
Traditional levels of grammatical, or more specifically, syntactic analysis are not to be roundly dismissed.
For instance, the structure of a simple sentence conventionally referred to as clause, dissecting a lexical caucus
into phonological, syntactic semantic/conceptual domains each of which has a distinct blueprint is a useful method
of explication as to how linguistic rank-promotion and relegation transpires in natural communication. The
structure of a given clausal construct is not a mere total of the abovementioned levels of parsing. It is paramount to
encode the relationships amongst them (Jackendoff, 2002). The extent of overlapping and interplay has to be
ascertained and in that manner a line of descent and merger will be traced paving the way for the apposite
placement of structure in relation to the conceptual underpinnings.
Cognitive semantics is the mainstay of usage-based, meta-functionally-oriented and conceptuallyanchored cognitive school of linguistic thought which emerged in the early 1970s as a herald of disapprobation
and vexation at the dominant formal schools of linguistics at the time. Conceptualization resides at the heart of
human thinking and categorization of extraneous stimuli. Cognitive linguistics is often seen as an open-ended and
pliable framework since no traces of a uniform theory have as of yet been detected. Instead, a bracket of guiding
precepts forming common viewpoints and assumptions came to be accepted engendering a gamut of
complementary theoretical systems. As Evans and Green proposed, a ‗character sketch‘ of this scientific enterprise
unifies approaches concerned with semanticity (Evans and Green, 2006) and organicism of applicability.
The precedence of conceptualization notwithstanding, structure still bulks large in the overarching
framework. The idea behind conceptualization is best echoed in the elucidation stating that language reflects
patterns of thought and insights into the organizational nature of thoughts are adequately provided by dint of
heuristic endeavours thus reaching the window into human cognitive faculties matchlessly belied in their
instantiated form. As previously stated, text is functionally defined as data conveyed via written of spoken
mechanism which in turn assume the role of embodiments of conceptual rudiments. Text is an immanent system
surging towards the surface of recognizability. This is a highly theorized perspective but its merits are decidedly
identified in everyday life.
2. Methods and Corpus
This paper, based primarily on the data from a sample totaling 5000 words, is concerned with the
description of those features of the dichotomy between linguistics on the one hand as the system of organization
and elaboration of language-related phenomena, and literature on the other, as a magnum corpus of language in
use, which can be regarded as particularly characteristic of natural language.
The findings are classified into two main categories: theoretical and lexico-conceptual. At the theoretical
level, language is characterized as being a vehicle of the conceptual domain underpinning the tenor of intuitive
use. The lexico-conceptual analysis is a seamless continuation of the theoretical component of the paper delving
into the example-based account. The analysis encompasses prominent postulates of the conceptual metaphor
theory as well as ancillary modules segueing into the framework specifically conceived for the purposes of this
paper.
The amalgamation of cognitive, systemic-functional and critically discursive theories was employed to
submit the theoretical description herein discoursed upon. The article concludes by setting out corroborative
assertions of the inexorability of conceptual processes of language generation and literature as both a testament to
human creativity and solidification of the cognitivist approach.
3. Results and Discussion
On completion of the corpus data collation, the sample underwent thorough scrutiny from the linguistic,
by and large cognitive, primarily semantic and tangentially syntactic, discursive and social standpoint. This
necessitated a theoretical cross-section of the purposefulness of the meaning-geared approach to linguistic research
furthering a less rarified and workable scheme evocative of a natural pattern of thought. Since meaning is at the
fore of the conceptually meta-functional modus operandi of the framework adopted in this paper, semantics

77

The verb describe is purposely used here for it serves the role of distinction between the prescriptive tradition which
stipulated acceptable norms and vehemently rejected inadmissible forms as ultimately incorrect thus precluding the organic
progression and development of language.

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warrants an interpretation in light of conceptuality. The nature of the human lexical repository is oft-debated over
and myriad attempts at the comprehension of this phenomenon have been made with a relative degree of success.
The matter of the purported vastness of human faculty to memorize scores of arbitrarily morpholigized
lexemes remains veiled in, if not an utter mystery, than undeniably ambiguity. How do language-users retain and
compartmentalize semantic chunks with no apparent correlation to the referents they stand for and consequently
formulate logically decodable stretches of speech? The formula is postulated in the domain of knowledge
conceptualization.
Language is deemed to be instantiated in the form of discourse and discourse in turn is externalized by
dint of social practices. Those mores are best observed in the following formula:
a) System/text 
b) Intermediary substratum (morpho-/phono-/syntactic level) 
b) Meaning as transposed with recourse to socially established commonalities and practices, ultimate
materialization.
Knowledge is the mainspring and cohesive force both generated and generative vis-à-vis communicative
and linguistic facilities. It could be subdivided into four clear-cut categories.
1) Conventional
2) Generic
3) Intrinsic
4) Characteristic
According to Evans and Green (Evans and Green, 2006) conventional knowledge is widely known, and
generic is non-specific in nature. Intrinsic is form-predicated and derived from the physicality of the entity in
question. Characteristic knowledge is uniquely in phase with the entity per se.
Meaning is attained via processes of perspectivizing, highliting and activating the facet of knowledge
domain required or best suited for a given set of circumstances. If a selected lexical phenomenon is perspectivized,
it is semantically primed and roused to saliency i.d. activated.
(1) Let us go then, you and I,
When the evening is spread out against the sky
Like a patient etherised upon a table;
Let us go, through certain half-deserted streets,
The muttering retreats
Of restless nights in one-night cheap hotels
And sawdust restaurants with oyster-shells:
Streets that flow like a tedious argument
Of insidious intent
To lead you to an overwhelming question….
Oh, do not ask, ‗What is it?‘
Let us go and make our visit.
(from The Love Song of J. Alfred Prufrock)78
In the foregoing example, several aspects may have been at the forefront of the author‘s mind when
tapping into the encyclopedic found of semanticity. The impulse of inherent humanness led him to the feeling of
espit de corps and togetherness. The second line indicates the conceptual metaphor at work, not least surface
metaphor as the sky is seen as a tapestry and evening a pliable fabric malleable to fit the metaphorical easel. This
belies the fundamental premise of our cognizance that is incontrovertibly predicated upon the embodied
experience and idealized cognitive model. This experience as seen through the prism of our own is an echo of our
own corporeal bounds, restrictions and capacities we inexhaustibly utilize as yardstick and determinant-formation.
Comparison is detected in line three. Here, the notional body is exploited yet again and its infirmity reiterated as a
memento mori. The author goes on to portray the remainder of the stanza as in phase of the journey metaphor
accentuating gradualness and temporal consumption proving inevitable in the process. 79
(2) War is our scourge; yet war has made us wise,
And fighting for our freedom, we are

78

Thomas Stearns Eliot

79

Other metaphorical specificities and extensions are markedly identifiable in this morceaux, however, they are not to be
further delved into at this point.

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For we have made an end of all things bae;
We are returning by the road we came.
(form Absolution)80
Excerpt 2 sheds light on the war-related metaphorical extensions. For instance, argument is war could be
reversed for the purposes of illustration to the war is a pathway metaphor. Scourge in the context of the preceding
excerpt propels two semantic predications. One refers to the actual instrument of punishment and the other is more
figurative drawing on the signification of animate or inanimate source of hardship, predicament and plight. These
two semantic zones are prespectivazed and materialized through use. In the third morceau extracted from the
corpus, the notions of healing properties of the sun are foregrounded. Nonetheless, in this instance, medicinal
qualities, though proverbial in nature, fail to deliver the desired effect for the body is grievously wounded and the
deathly sores are impervious to treatment. Death and nostalgia are intertwined propending to the ineluctable
demise.
(3) Move him into the sun –
Gently its touch awoke him once,
At home, whispering of fields half-sown.
Always it awoke him, even in France,
Until this morning and this snow.
If anything might rouse him now
The kind old sun will know.
(from Futility)81
In excerpt 4, unlike in no. 3, futility is not omnipotent. It is patently detectable but does not hold
unwavering sway over the protagonist. Our encyclopedic knowledge gives rise the ingrained depiction of solitude
associated with free-flowing water combined with the seemingly lifeless idea of granite. Stones are typically hard
as is the destiny of the love-forlorn. The adjective hard perspectivizes physical and connotatively transferred
meaning.
(4) I have spent hours this morning
Seeking in the brook
For a dead pebble
To remind me of your eyes
(from Images)82
Oftentimes cultural literacy figures momentously in relating a desired sampler of information packaging
and lays crucial groundwork for decipherment. In order for this subtype of perpectivization to be effective, both
the addresser and addressee have to be conversant with the motifs discussed.
(5) But tell Jane Austen, that is, if you dare,
How much her novels are beloved down here.
She wrote them for posterity, she said;
It was rash, but by posterity she‘s read.
(from Letter to lord Byron)83
There have been numerous cases of mundanely-thematized contents in literature. In doing so, authors
frequently exploit the vein of stereotypes reaffirming them into continuity. Love, birth and age are conceptual
leitmotifs permeating oeuvres of poetry.
(6) Love by ambition
Of definition
Suffers partition
And cannot go,
From yes to no
80

Sigfried Sassoon

81

Wilfred Owen

82

Richard Aldington

83

Wystan Hugh Auden

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For no is not love; no is no
The shutting of a door
The tightening jaw
A conscious sorrow;
And saying yes
Turns love into success.
(from Too Dear, Too Vague)84
(7) I feared these present years
The middle twenties,
When deftness disappears,
And each event is
Freighted with a source-encrusting doubt,
And turned to drought.
(from On Being Twenty-Six)85
(8) Suddenly he started into life. It made he quiver almost with terror as he quickly pushed the hair off his
forehead and came towards her.
(from Sons and Lovers)86
As previously asseverated, culturally relevant themes are routinely drawn on. Concurrently, their scope of
perspectivization extends beyond the confines of their original target milieu.
(9) His Fordship Mutapha Mond! The eyes of the saluting students almost popped out of their heads, Mustapha
Mond! The resident Controller of Western Europe! One of the Ten World Controllers. One of the Ten…
(from Brave Neew World)87
In excerpt 9, the components of several pivotal systems were compartmentalized into one gestalt. The
idea of royalty is transposed by means of capitalization, the popularity of a car-producing company and Latinate
word signifying the English equivalent of the lexeme world coalesce to re-denote a culturally pertinent notion
comprehensible merely through the expedient of encyclopediaized knowledge.
(10) They are dark caves. Even when they are open towards the sun, very little light penetrates down the entrance
tunnel into the circular chamber.
(from A Passage to India)88
(11) Yes of course, it it‘s fine tomorrow, said Mrs. Ramsay. But you‘ll have to be up with the lark, she added.
(from To the Lighthouse)89
There are thought to have been plethoric attempts to depict geographical reliefs and circadian rhythm
with palettes of conceptual construal-enabling cues. In the last two excerpts, diurnal and geological forces lock
84

Wystan Hugh Auden

85

Philip Larkin

86

David Herbert Lawrence

87

Aldous Huxley

88

Edward Morgan Forster

89

Virginia Woolf

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May 5-7 2011 Sarajevo
into interplay as, yet again, conceptuality promotes the interpretation of an encoded message enveloped under the
guise of denotation which irreverently abandons the confines of its form and segues into the connotative realm.
The evidence of linguistics-literature interface is undeniable and abundantly patent, ultimately begging a question.
Is it possible to explore philological science in discrete manner i.e. without the interface in place? The answer is in
the resounding negative, nonetheless, a well-thought-out fusion scaffolding is to be conceived.
4. Conclusion
Linguistics and literature form a nexus of semantic mechanisms of transfer and communicative
conveyance integrating cognitive processes and language output in the natural mould embodied in literature as an
arena of creativity and the ne plus ultra of message-packaging trial performance and competence vindication. The
platforms repeatedly employed for the validation of the linguistics-literature interface hypothesis include the
conceptual metaphor theory, the theorem of system-instantiation in functional linguistics, the encyclopedic
knowledge contingent on conceptuality and cultural factors integrate into a multi-modal approach of instruction
and theoretical discussion.
It seems outré and exceptionally belaboured to venture any isolationist standpoint. Regrettably, at the
tertiary level of education, this practice has gained momentum. Needless to say that this has to be tackled with and
changed. Language is in a constant state of flux and the flux is best observed in the literary trove of words. It is
this trove that treasures the most astonishing evidence of human capacity and if any headway is to be made in
terms of language studying it has to be with the aid of this invaluable resource.
Literature is the genuine article and paragon of linguistic endeavour whereas linguistics and language by
extension can by no means sustain the research base and naturalness of their existence without literature as the
ultimate repository and testimony to what the creative enterprise of man is equipped to accomplish.

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May 5-7 2011 Sarajevo
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                    <text>1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo

Reasons for Using or Avoiding Games in an EFL Classroom
Miljana K. StojkoviĤ,
High Business School, Leskovac, Serbia,
nele_trajce@yahoo.com
Danica M. JerotijeviĤ
The Faculty of Philology and Arts, Kragujevac, Serbia
danicajerotijevic@gmail.com
Abstract: The aim of this research was to determine the reasons pro and against using
games in an EFL classroom, as well as to discover possible obstacles teachers encounter
when applying these activities. The study was performed on both teachers and students of
English in Leskovac and Niń, towns in Southern Serbia. The total of 197 participants, 178
students and 19 teachers, took part in the survey. The main instrument employed in the
research was questionnaire. The research proved that both the teachers and students
prefer using to avoiding games in the classroom. During this research we were able to
define some obstacles for introducing game in the classroom which must be overcome.
The results suggest that games should be introduced in the classroom since both the
teachers and students have found sufficient reasons for their usage.
Keywords: educational games, EFL classroom, teachers, students

Introduction
Some authors suggest that language games should be treated as a central, not a peripheral part of the foreign
language teaching program, since, besides being fun, they likewise comprise a goal and a re governed by rules
(Haldfield 1999). S. M. Silvers, the author of the book Games for the Classroom and English Speaking Club, says
that many teachers often perceive games as the time – fillers and a break from monotonous drilling (Silvers 1992).
He claims that many teachers often overlook the fact that in a relaxed atmosphere, real learning can occur, and
students are able to use the language they have been exposed to and have practised earlier. Following the definition
of Greenall, we may say that games increase positive competition among students participating in a language activity
(Greenall 1990).
Lee Su Kim, the author of the work Creative Games for the Language Class, states that there is a common
perception that all learning should be serious and solemn in nature, and that if one is having fun and there are hilarity
and laughter, then it is not really learning (Lee 1995). However, she adds that it is possible to learn a language as
well as to enjoy oneself at the same time, and one of the best way to do so is by using educational games.
The justification for using games in a foreign language classroom can be found in the fact that students can
benefit a lot by learning through games. Many experienced writers ensure us that games have educational value. The
afore mentioned author gives us reasons for using games (Lee 1995): games may represent a break from the usual
routine, but they can also be highly motivating and challenging. Furthermore, games are a successful encouragement
for students to interact, communicate and sustain the effort of learning and they provide a meaningful context for
language use, generate fluency, lower anxiety and introduce fun and relaxation. In terms of characteristics defining a
game, we may further add a list provided by Caillois, i.e. games can be fun, separate when it comes to time and
place, yet uncertain since the results cannot be predicted; moreover, they are rule-governed as well as fictitious,
because they are related to a different reality, but they are also non-productive concerning students‘ active
participation (Caillois 1957).
Games are often used as short warm-up activities or when there is some time left at the end of a lesson. Yet,
as Lee observes, a game "should not be regarded as a marginal activity filling in odd moments when the teacher and
class have nothing better to do" (Lee 1979: 3). Even if the games result only in producing noise and in entertaining
students, they are worth playing since they motivate learners and promote competence and fluency. Moreover, they
let students see beauty in a foreign language, not just problems they face with while learning a language.
Unfortunately, some of the teachers think that language games are nothing more than a waste of teaching
time and that they do not have educational value. Others use them but they do not give them a central part in the
foreign language teaching program, but use them as the time-fillers. On the other hand, teachers who realise all the
advantages of using games in teaching English as a foreign language and who are aware of their educational values,
are quite rare.There is an assumption that the similar situation the one as stated above, can be found in our primary
schools. Because of previously stated facts we have decaded to carry out a research to determine the teachers` and
students` attitudes towards using games in a foreign language classroom, as well as to determine how often our

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�1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo
primary teachers use games in teaching the English language. The research was carried out in Niń and Leskovac
during the 2010/2011 school year.

Reasons for Using or Avoiding Games – Theoretical Considerations
Games Classification
Games can be applied in numerous ways and at different points in a lesson. Consequently, there are diverse
game types designed to stimulate and enhance various aspects of language learning. Some authors (Pham 2007)
suggest the following classification of games in EFL:
1) Structure games which provide experience of the use of particular patterns of syntax in
communication
2) Vocabulary games in which the learners‘ attention is focused mainly on words
3) Spelling games
4) Pronunciation games
5) Number games
6) Listen-and-do games
7) Games and writing
8) Miming and role play
9) Discussion games
Depending on the application of games and numerous factors influencing successful language learning, the
use of games in an EFL classroom may have advantages as well as disadvantages, or less favourable results.
Advantages and Disadvantages of Using Games in EFL Teaching
Considering language learning in general, we may list several advantages of the employment of games in an
EFL classroom:
1) Through fun and apparently less demanding practice, ames increase learners‘ motivation and promote learning
(Hansen 1994)
2) Group and peer work may induce teamwork and enable successful interaction (Rinvolucri &amp; Davis 1995)
3) By lowering the affective filter (Krashen 1985), games provide favourable conditions for effective language
acquisition (Wierus 1994)
4) Through a meaningful context, students are provided with a comprehensible input (Krashen 1985)
5) Each of the four basic skills may be practised by the use of games (Lee 1995)
However, some of the disadvantages may be:
1) discipline issues, learners may get excessively noisy
2) straying away from the basic purpose of the game-play activity, perhaps, due to inadequate rules instruction,
resulting in playing too much and the lack of learning
3) if games are already familiar or boring, students might not get equally involved
4) some learners, especially teenagers, may find games unnecessary and childish.

Methodology
The Research Subject
In order to reveal the teachers` and students` reasons for using games, we have decided to conduct an
empirical research, so the subject of our research is to determine teachers` and students` reasons either for using or
avoiding games in the classroom, as well as to discover potential obstacles for their usage.

Participants
The research was performed on a group of primary teachers of the English language as well as on a group
of primary pupils from the 5th to the 8th grade from schools in Niń and Leskovac during the 2010/2011 school year.
The population consisted of 178 pupils and 19 teachers. In this research the availability sampling method was used.
The afore mentioned schools were visited and both the teachers and pupils who were available and willing to
participate in the research underwent the examination.

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Measure
To examine the reasons for using or avoiding games in an English language classroom we employed a
questioning technique, i.e. the main instrument was questionnaire. More precisely, there were two questionnaires,
one for teachers and another for students. Each of them consisted of fourteen questions, realted to the values of
educational games.
Procedure
The research was finished during the first half of February 2011. It was conducted between November 2010
and February 2011. The above stated schools were visited and the participants were given the questionnaire to fill in.
Finally, the data and the obtained information were processed and interpreted resulting in the present paper.
Statistical Data Processing
All the data gathered were processed in the following way: the data were processed according to coding
lists and prepared for analysis by forming a database. Subsequently, the results were submitted to a descriptive
analysis in order to calculate the basic statistic parameters (absolute and relative frequency). A chi-square statistics
(²) was used to investigate whether distributions of categorical variables differ from one another. The chi-square
statistics compares the counts of categorical responses between two independent groups and the test in question can
only be used on actual numbers. We have applied the formula
² = Σ 



Where: ² - chi square, Σ – sum, ƒo – empirical/observed frequency,
ƒt – theoretical/expected frequency,
For contigency coefficient we have applied the formula:
C=
Where: C – contegency, ² - chi square, N – total number of examinees.
Degrees of freedom dƒ for which we have applied the formula dƒ= (r-1) ∙ (c – 1), which means (number of
columns minus one) x (number of rows minus one).
Level of significance p = (0.01) or (0.05).

The results and discussion
Reasons for Using Games
The table 1 presents the reasons for using games according to the opinion of the students, which were
obtained by answering the Q8 in the questionnaire. The students were allowed to choose more answers.
Table 1. Reasons for using games – students
Reasons
lesson will be more interesting
helpful in learning
reason for attending the class
because of groupwork
increases competition
the teacher will explain less
some other reasons
Σ

ƒ
133
62
47
69
33
27
3
343

%
35.56
16.58
12.57
18.45
8.82
7.22
0.80
100.00

In the table 1, we detect the most important reasons for using games according to students` opinions. The
most important reason for using game during language classes is that lessons are more interesting with language
games applied, (133 or 35.56%), the second reason is that the students can work in groups (69 or 18.45%), then
games can help learning (62 or 16.58%) and finally, the games in language learning process can be a reason for
attending the classes (47 or 12.57%).
These are the students` opinions yet it is almost certain that teachers would not use games merely because
they make a lesson more interesting. The teachers need more convincing reasons for using games. Hence we also
examined teachers‘ opinion about the reasons for using games in teaching. The results were gained by answering
Q10 in the questionnaire. The teachers were allowed to choose more answers. The results are shown in the table
below:
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�1st International Conference on Foreign Language Teaching and Applied Linguistics
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Table 2. Reasons for using games - teachers
Reasons
they are motivating
present language in meaningful context
students by themselves practise the use of language
easy groupation of students
learning grammar is easier
new vocabulary learning is easier
for presentation of a new lesson
warm up
as a reward
better communication
other reasons
Σ

ƒ
14
10
13
5
11
13
9
14
5
12
1
107

%
13.08
9.34
12.15
4.67
10.28
12.15
8.41
13.08
4.68
11.22
0.94
100.00

From this table we can formulatea list of top five reasons for using games according to the examined
teachers. The first place according to teachers` opinion belongs to the fact that games are motivating and that they
are good as warm – up activities (14 or 13.08%), then students by themselves practise to use language and it is
easier to learn new vocabulary through games (13 or 12.15%). The third reason the teachers stressed is the fact that
games enhance more successful communication (12 or 11.22%). The following fact underscores that learning of
grammar is easier through games (11 or 10.28%), and finally, the last most important reason mentioned by the
teachers is that it represents language in meaningful context (10 or 9.34%).
As we can infer from the previous tables, teachers‘ and students` opinion about the reasons for using games
differs, and this can be explained by the fact that teachers are more experienced and they are able to realise the value
that a game has and use it properly, while students only see those values that are pereferred by themselves or their
peers. On the basis of the obtained results, we may conclude that the facts mentioned in the theoretical part about
reasons for using games have been confirmed.
Reasons for not Using Games
In the table 3, the results we got after the students answerd Q9 in the questionnaire are presented. Having
processed the results, we presented them in the following table:
Table 3. Reasons for not using games – students
ƒ

%

unitnerested

8

11.78

prefer learning to playing

8

11.78

distract in learning

5

11.11

prefer some other activities

5

11.11

don`t know

16

35.56

other reasons

2

4.44

44

100.00

Reasons

Σ

Considering this table, we may conclude that the majority of students who would not use games do not
know the reason for this (16 or 35.56), but still there are the students` who are not interested in this method and who
prefer learning to playing (8 or 11.78%). The second reason for not using games according to the students` opinion
is that the game distracts learning or that the students prefer some other activity (5 or 11.11%). The explanation for
such results can be found in the fact that these students who are not willing to use games have not been exposed to
them or are used to the old traditional way of learning and to other activities, so now they fear that the class may
transform into playing only and that in such circumstances learning can not take place.
Although we have got results that all the teachers are either willing or positive about using games in the
classroom, however, those who are uncertain stated the following reasons for not using them. The results were

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�1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo
gained by answering Q11 in the teachers` questionnaire. Having processed the results, they have been shown in the
table presented below:
Table 4. Reasons for not using games - teachers
ƒ
1
5
2
8

Reasons
a game doesn`t have educational value
there are better methods than this
makes a mess in the classroom
teachers can`t follow the work of the students
other reasons
Σ

%
12.5
62.5
25.00
100.00

From the previous table, we can deduce that the teachers are mainly preoccupied with the fact that where
playing takes place, we can also find mess. That is mainly the reason why such a large number of teachers avoid
using games. Another important reason is that they are not able to follow the work of their students, and this can be
related to the previous reason: if there is a mess in the classroom teachers would not be able to follow students‘ work
because of losing control over the class. That is why many teachers refuse to use games in a foreign language
classroom.
Obstacles for Using Games
Up to this point, we have been discussing the reasons for using or avoiding games according to students`
and teachers` opinion, nevertheless, there are certain obstacles which do not depend on teachers or students but of
something or somebody else. Thus, in this research, we discovered what these obstacles can be. This subject was not
planned in the research tasks but since we got that information we have decided to present it and discuss it, hoping
that this discussion may open some important questions for further discussion. The results were obtained by
answering Q12 in the teachers` questionnaire and the results are presented in the table below.
As we can see from the table 5 the main obstacle is the lack of time (14 or 40%), moreover, there are the
curriculum and unfamiliarity with this method (5 or 14.28%). Unfortunately, we can still find those teachers who are
worried about parents` opininon and their colleagues` remarks (3 or 8.57%). And finally there is a small number of
teachers who think that the school would not permit the usage of game in the classroom (1 or 2.86%).
Table 5. Obstacles for using games
Obstacles
ƒ
%
the school doesn`t permit this method
because of the curriculum
lack of time
unfamiliarity with the method
students` negative attitude
parents` opinion
the remarks of the colleagues
no obstacles
Σ

1
5
14
5
_
3
3
4

2.86
14.28
40.00
14.28
_
8.57
8.57
11.44

35

100.00

Considering the previously stated facts we can conclude that teachers should organize their classes more
effectively, and find a few minutes for introducing games in ELT. Yet, there is a problem with the curriculum and it
can be solved only if the teachers and the school principal make a compromise for using games and try to find a
solution how to place games in the school curriculum. The problem of unfamiliarity with this method, can be
explained by the fact that either teachers are not interested in these new methods of teaching, or the school has not
organized teacher training yet. Concerning parents` and their colleagues` opinion, the teachers can solve that
problem by introducing parents and their colleagues to the benefits and advantages of this method.
Teachers` Opinion about the Educational Value of Games According to their Usage
For this task it was compulsory to make a contigency table. We used it to connect two variables: Q7 and
Q13 from the database for teachers` questionnaire. The results that we got are shown in the following table.

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�1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo
Table 6. Teachers` opinion about educational value of games according to their usage
²=3.865
The usage of
games
Always
Rarely
Σ

Very big
1
16.66
2
15.38
3
15.79

C=0.663
dƒ=2
Educational value
Big
4
1
66.68
3
8
23.08
7
9
36.84

p=0.01
Σ

Small
6
16.66

100.00
13

61.54

100.00
19

47.37

100.00

We have obtained chi square statistics (²= 3.865) and predetermined level of significance (0.01), and
degrees of freedom (df =2). Entering the chi-square distribution table with degree of freedom and reading along the
row, we find our value of ² (3.865) lies between 5.991 and 9.210. Since our probability level (2.42) is lower than
significant levels (5.991 and 9.210), we can conclude that there is no statistically significant differences in the
opinion about the educational value of games among theachers who use game constatntly and those who use them
rarely.
From the prevously presented table, we can conclude that those teachers who use game constantly in
teaching English as a foreign language, are more aware of the educational value of games than those teachers who
use them rarely. This can be explained by the fact that those teachers who use game in education, have probably
noticed that the students make some progress in learning when they are learning through games, while the other
teachers have not realised this. They might be afraid that teaching may transform into palying and that students will
not be able to learn anything.
Finally, we can conclude that our hypothesis, that teachers who use games constantly realize the
educational value of games and their advantages unlike those teachers who use it rarely, has been confirmed.

Conclusion
In our research, we sought to disclose teachers` and students` reasons either for using or avoiding games in
an English language classroom.
The initial assumption was that some of the English language teachers have negative attitudes towards
using games as a teaching method. Some of them think that the language game is nothing more than losing time and
that it does not have any educational value. The others believe that a language game has its eductional value, but use
it rarely in their classes. Finally, there are only few teachers who recognize all the values and advantages of language
games.
This research has likewise been based on the supposition that although game means fun, it also has its
educational value. And for this reason it should be introduced in language classes. Through games students are able
to realise their own as well as their classmates‘ progress in learning language. This type of activity can also be a
perfect way for practising and learning a language since it usually includes a variety of language structures that
students will later use in every day situations. Consequently, a language game can be used for presentation, as a
warm-up activity, for practising and learning vocabulary and grammar, for improving language skills or simply as a
break from drilling and finally, as a reward.
The previously presented study has the following features: it was performed according to the research
problem and tasks and ince we could not find numerous types of research on this problem, our research proved that
research of this kind can be successfully carried out. It also proved: that there are significantly more reasons for
using games than for avoiding them, that both teachers and students are awarer of the advantage of this method of
teaching or learning, that there are certain obstacles that must be overcome if we want to introduce this method in
teaching, and finally that the teachers who use games constantly are more aware of the educational value of games
and their advantages in comparison to the teachers who use it rarely.
We may assume that some of the examined teachers will use language games but according to their opinion
there are certain boundaries to overcome. Possible ways to overcome the difficulties in question are:
- to introduce teachers with this method of teaching (the best way is through teachers` training);
- to find a compromise with the school about this method, which means that both the school and language
teachers should try to introduce and provide games with a part it deserves in the curriculum;
- to attempt to disregard their colleagues` negative reamrks about this way of teaching.
The conducted research may be a minute contribution to the improvement of teaching in a foreign language
classroom, yet it may raise some important issues and stimulate further research on the subject. We hope to entice
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�1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo
teachers to consider the possibility of using games more frequently than they do. Finally, taking the eductional value
of language games into consideration, it may be interesting to perform a research in due course which will examine
students‘ progress in learning English as a foreign language with games representing an integral part of the lesson.

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Kumar, Rita &amp; Lightner, Robin.. (2007). Games as an Interactive Classroom Technique: Perceptions of Corporate
Trainers, College Instructors and Students. International Journal of Teaching and Learning in Higher Education.
Volume 19, Number 1, p. 53-63.
Laurie, Simon. (2009). The Training of Teachers and Methods of Instruction (1901), The United States: Kessinger
Publishing Company.
Lee, S. K.. (1995). Creative games for the language class. Malaysia: Forum, 33 (1). Available at
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May 5-7 2011 Sarajevo
http://eca.state.gov/forum/vols/vol33/no1/p35.htm. Consulted in February 2011.

Lengeling, M. &amp; Malacher, C.. (1997). A natural resource for teachers. Mexico: English teaching forum, vol.35 no.4.
Miller, Christopher Thomas. (2008). Games: Purpose and Potential in Education. New York: Springer.
Pham, T. H.. (2007). The effects of games on optional English classes in Ben Tre primary school. HCM city:
M.A thesis at the University of Social Sciences and Humanities, Vietnam National University- HCM
City.
Rinvolucri, M. &amp; Davis, P.. (1995). More grammar games: Cognitive, affective and movement activities
for EFL students. New York: Cambridge University Press.
Sandford, Richard, Ulicsak, Mary, Facer, Keri &amp; Rudd, Tim. Teaching with Games, Guidance for Educators.
http://www2.futurelab.org.uk/resources/documents/project_reports/teaching_with_games/Guidance_for_Educators.p
df. (consulted on December 2010).
Silvers, S. M.. (1992). Games for the classroom and english speaking club. Washington: English teaching forum.
Wierus, W.. (1994). Zagraj razem a name. Czesc I. Jezyki obce w szkole. May-June: pp.218-222.
(extracted from Urberman. A.. (1998). The use of games for vocabulary presentation and revision Vol
36 No 1, January- March 1998. Available at http://www.esldepot.com/section.php/4/0. Consulted in January 2011.
Wright, A., Betteridge, D., &amp; Buckby, M.. (2005). Games for language learning (3rd ed.). New York: Cambridge
University Press.

947

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                <text>The aim of this research was to determine the reasons pro and against using  games in an EFL classroom, as well as to discover possible obstacles teachers encounter  when applying these activities. The study was performed on both teachers and students of  English in Leskovac and Niń, towns in Southern Serbia. The total of 197 participants, 178  students and 19 teachers, took part in the survey. The main instrument employed in the  research was questionnaire. The research proved that both the teachers and students  prefer using to avoiding games in the classroom. During this research we were able to  define some obstacles for introducing game in the classroom which must be overcome.  The results suggest that games should be introduced in the classroom since both the  teachers and students have found sufficient reasons for their usage.</text>
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                <text>This study primarily focuses on examining English Language Teaching students’ attitudes towards the reasons for using Turkish in English classes and differences between genders. To measure students’ attitudes towards using the target language and the native tongue in the classroom, a five-point Likert type scale which was taken by the research conducted by Gürbüz Ocak, Nurcay Kuru and Hande Özçalışan (2010). It consists of 22 questions and it was administered on chosen 20 students (14 female, 6 male). The scale, then, was analyzed via factor analysis, t-test and ANOVA (one-way analysis of variance) for the data distribution.     The differences between genders and ages were analyzed via independent t-test and statistical calculations.  Frequency, percentage, means, and standard deviations were calculated and demonstrated in the research. After data collection and evaluation it was found out that the factor of ‘fear’ and the anxiety about the possibility of mispronouncing English words are the most effective factors. It was also found out that females are effected the feeling of ‘fear’ more than males.  </text>
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                    <text>Recent Developments in Biogas Production from Pulp and Paper Industry
Wastewaters
Kevser Cırık
Suleyman Demirel University, Dept. of Environmental Engineering, Isparta, Turkey
kewss_@hotmail.com
Veli Özdemir
Kahramanmaraş Sütçü Đmam University, Dept. of Bioengineering, Kahramanmaraş, Turkey
veli.85@hotmail.com
Emre Yazar
Kahramanmaraş Sütçü Đmam University, Dept. of Bioengineering, Kahramanmaraş, Turkey
emre_mishima@hotmail.com
Özer Çınar
Kahramanmaraş Sütçü Đmam University, Dept. of Environmental Engineering, Kahramanmaraş, Turkey
ocinar@alumni.clemson.edu

Abstract: Increase in population and rapid developments in technology have enhanced production
capacity in pulp and paper industry and have resulted in formation of huge amount of wastewaters,
as high as 6-15 x 104 L per ton of paper produced. Depending on the pulping process, wastewaters
can have a wide range of various pollutants characterized by biochemical oxygen demand (BOD),
chemical oxygen demand (COD), suspended solids (SS), toxicity, and dark color. Untreated
wastewaters from pulp and paper can be potentially very polluting especially for high COD
concentrations which can be reach at 13000 mg/L. Thus a reliable treatment process is needed to
reduce any possible impacts of wastewaters on the receiving media. To overcome this problem
an environmentally friendly and economically viable treatment technology should be applied.
Indeed, high organic content of pulp and paper industry wastewaters make anaerobic treatment a
very attractive option for these wastes. Anaerobic processes not only remove the wastewater
pollution but also can produce methane gas which is a valuable and renewable energy source. This
review evaluates the recent developments of treatment technologies that highlight to practical use
and economic availability of biogas production from pulp and paper wastewaters.

1.

Introduction

The rapid increase in population and the increased industrialization to meet human requirements have
created problems leading to the environmental danger. The pulp and paper industry which is the one of the most
important industries produces a wide range of different types of papers we use today such as; channeled carton
paper, newspaper, cleaning paper, cigarette paper, and bag paper. Normally paper production can be achieved by
the help of so many process steps and each step generates a wide range of various pollutants. Generated
pollutants from the wood pulping and production of the paper products have the potential of biochemical oxygen
demand (BOD), chemical oxygen demand (COD), suspended solids (SS), toxicity, and color (Pokhrel
andViraraghavan, 2004). Discharge of these wastewaters without any treatment poses a significant contributor
to the environment pollution, such as; organic pollution, scum formation, color problems, loss of aesthetic beauty
in the environment, and increase in toxic substances that affects terrestrial ecosystem (Berube and Kahmark,
2001). Thus a reliable treatment process is needed to reduce any possible impacts of wastewaters on the
receiving media. Before introducing the applied treatment technologies for these wastewaters, the process of
pulp and mill industry and characterization of the wastewaters generated in each step will be discussed briefly.
Treatment methods widely used in order to remove the pollution in the process of papermaking will be deeply
described in the subsequent sections.

598

�2.

Process Description of Pulp and Paper Mill Industry and Generated Effluents

2.1 Pulp and Paper Making Process
Pulping is the initial step of the paper making industry and represents the largest source of the pollution in
the whole process of papermaking. The whole process from wood preparation to paper production can be
classified into two categories, pulping and papermaking; respectively. Each process utilizes large amounts of
waters which are then turn into a wastewater stream. The paper making operation generally consists of two parts.
One is stock preparation by treating the pulp to the required degree of fitness and the other is paper making
where the treated pulp is passed through continuous moulds/wires to form sheets (Pokhrel andViraraghavan,
2004) (Table 1).

Paper
Making

Stock
Preparation
Bleaching
Wood

Pulping

preparation Process

Paper

Table 1. Paper Process
Widely used pulping processes are mechanical pulping, chemical pulping and a combination of the two
(chemical thermo-mechanical pulping). In the process of mechanical pulping wood is prepared for the
subsequent steps by a rotating grindstone in which the fibers are stripped of. When the wood is broken down
mechanically, the resulting pulp is known as groundwood pulp. Although mechanical pulping efficiency can
reach about 90-95%, the quality of the generated pulp is highly colored, and contains short fibers. Additionally,
this process does not require chemicals, but the lignin is not removed. In the process of the chemical pulping the
wood chips are transformed into fibrous mass by using appropriate chemicals under elevated temperature and
pressure in an aqueous solution. The main aim of this process is to remove the lignin by breaking it down and
make it soluble (Smook, 1992). This process is performed under two different process, kraft process, and sulfite
process; respectively. Kraft process requires alkali conditions in which woodchips are cooked in a solution of
sodium hydroxide (NaOH) and sodium sulfide (NaS2). Differently, in sulfite process woodchips are cooked in
mixture of sulfurous acid (H2SO3) and bisulfide ions (HSO3-) to dissolve lignin (Pokhrel andViraraghavan, 2004).
This process makes the wood free from lignin and hemi-cellulose and generated bagasse is used as energy source
by burning. Remaining liquor from this step is called as black liquor (Soloman, 2009). In addition, the process in
which the wood is first partially softened by chemicals and the remainder of the pulping proceeds with
mechanical force is called the chemical thermo-mechanical pulping. By the help of this step, the wood chips are
broken down and prepared for the next step.
The bleaching process is used for removal of colored compounds and lignin by chemical agents. In
bleaching process chlorine based oxidation agents are used such as hypochlorite, NaOCl, Cl2, ClO2, etc. On the
other hand there is also oxygen based oxidation agents used for bleaching such as (such as H2O2, Na2O2, O3, etc)
however their use as not widely as the chlorine based ones. Bleaching by the chlorine-based chemicals cause
production of degradation products in which various chloro organic derivatives can be seen. The bleaching
process technology and in-mill control is improving continuously. Finally, paper making processes is the last
step in which generated pulps is used as paper production including two parts. Initially, a stock is prepared by
treating the pulp to meet the required degree of fitness and then treated pulp is passed through continuous
moulds/wires to form sheets (Pokhrel andViraraghavan, 2004). In the preparation of stock, pulp is diluted to at
least 99% with water also some additives can be used such as optical brighteners and polyvinyl alcohol
(Hentzschel, 1998).

599

�2.2 Pulp and Paper Mill Effluent
Due to the diversity of processes and chemicals used in pulping and papermaking operations there is a
significant difference between the qualities of wastewaters produced from the both (Billings and DeHass 1971).
The major difference between the generated wastewaters is that pulp wastewater contains the dissolved wood
derived substances which are extracted from the wood during the process of pulping. Additionally, the other
difference between the pulp and paper mill effluents is the color of the effluents. Due to the dissolved lignin, all
pulping effluents including papermaking effluents have some discoloration. Actually, lignin is responsible for
the mechanical strength of the wood structure and gives the brownish color to the effluents (Leiviska, 2009).
Except for the color, pulp and paper mill effluents represent some other pollutants. The sources of pollution and
the generated pollutant features are summarized in Table 2. Although the availability of trace elements including
heavy metals in the effluents is not mentioned above, there have been published reports on the discharges of
metals and other elements from the pulp and paper industries.
Process
Description

Wood preparation

Pulping

Suspended solids (SS)
Biochemical oxygen
demand (BOD)
Fibers

High pH,
Biochemical oxygen demand (BOD)
Chemical oxygen demand (COD)
Adsorbable organic halides (AOX)
Volitile Organic Compounds (VOCs)
Suspended solids
Resins,
Fatty acids
Dissolved lignin,
Carbohydrate,
Color,
Inorganic chlorine compounds
Organo chlorine compounds

Features of
wastewaters
generated in
each step

Paper Making
Chemical oxygen demand
(COD)
Particulate waste,
Organic compounds,
Inorganic dyes,
Acetone

Table 2. The sources of pollution and the generated pollutant features (EPA, 1995)

3.

Treatment of Effluents

Pulp and paper industry generates large quantities of highly polluted wastewaters. The high water usage,
between 20,000 and 60,000 per ton of product results in large amounts of wastewater (Nemerow, 1991; Sinclair,
1990). Normally 150 m3 effluents are generated per ton paper produced (Ali, 2001). Effluents of the pulp and
paper making processes are widely expressed by its brownish color, high COD and high BOD. The effluent
generated at the pulping stage, which is called as black liquor, contains a wide range of compounds like
dissolved lignin and its degradation products, hemicelluloses, resin acid, fatty acids, tannins and phenols that are
also responsible for giving the effluent its characteristic dark brown color and toxicity (Ali, 2001; Lara, 2003;
Malaviya, 2007). Thus, the problems faced by the industry relate to the high organic content, toxicity and color.
Discharging of these wastewaters without any treatment applications can cause serious pollution problems. Thus
a reliable treatment method should be applied in order to meet discharge acceptance regulation. Mostly applied
treatment methods are physical, chemical and biological treatment methods as well as combination of different
methods in series. Application of chemical and physical methods has some disadvantages over the biological
treatment methods such as their cost-effectiveness and residual effects. Biological treatment is known to be
effective in reducing the organic load and toxic effects of pulp and paper mill effluent. There have been several
attempts to use biological methods to decontaminate effluent from kraft mills because of their ability to degrade
lignin by several microorganisms. The success of the biological treatment with respect to reduction organic load
and toxic effects of pulp and paper making effluents have been proven in so many research articles. Biological
treatment methods can be divided into two categories, aerobic and anaerobic; respectively. Aerobic treatment of
the pulp and paper making effluents has long been known and widely used for these purposes. Aerobic
treatments are effective for high COD and BOD removal efficiency (ranging from %70 to %90) but removal of
AOX which are known to toxic and hardly biodegradable, cannot be removed effectively, the overall removal of

600

�AOX from the effluents by aerobic treatment has been remained insufficient in so many situations (Savant,
2006). Alternatively, anaerobic treatment has become the most commonly used method not removes the
wastewater pollution but also can able to produce methane gas that known as a renewable energy source (Rintala,
1994). Anaerobic treatment is simple to operate, relatively inexpensive technology, moreover; it consumes little
energy. Pulp and paper making effluents are nutrient deficient. This feature of the effluent make anaerobic
treatment more convenient since commonly used COD: C: N ratio in aerobic treatment is 100:5:1 while it is
350:5:1 in the anaerobic treatment (Maat, 1990). In a study anaerobic treatment was found to reduce AOX and
COD by 73% and 66%, respectively. Also, when glucose was added to this effluent, there was generation of
biogas containing 76% methane (Ali and Sreekrishnan, 2000).
Typical COD removal data for the treatment of papermill wastewaters shows that a relatively constant
removal effciency of about 80% can be achieved and that the treated effluent has a COD concentration of about
800 mg/l. This COD concentration means that some form of additional treatment is required. Compairation of
two system was studied, the three-step sequential bioreactor treatments by anaerobic and aerobic (fungus and
aerobic bacteria) microorganisms and two step (fungus and aerobic bacteria), respectively and it was found that
microorganisms exhibited significant reduction in colour (88.5%), lignin (79.5%), chemical oxygen demand
(87.2%) and phenol (87.7%) in the two step aerobic sequential bioreactor, and colour (87.7%), lignin (76.5%),
chemical oxygen demand (83.9%) and phenol (87.2%) in the three-step anaerobic-aerobic sequential bioreactor.
They have concluded that in the anaerobic treatment, biogas is produced which can be utilized for energy
generation; however; aerobic treatment (aerobic fungus + aerobic bacteria) was more significant than anaerobic–
aerobic treatment (anaerobic + aerobic fungus + aerobicbacteria) (Chuphal et al. 2005). Numerous physicochemical processes have also been developed to remove a variety of toxic materials from pulp effuents and to
reduce parameters such as colour and COD. They include ozonation and adsorption, often in combination with
coagulation, which is used as a pre-treatment stage (Thompson et al., 2001). Bishnoi et al. (2006) reported the
biodegradation of pulp and paper mill effluent using anaerobic followed by aerobic treatment. Using a
continuous stirred tank reactor (CSTR) for anaerobic digestion of black liquor, these authors reported a
maximum methane production was found up to 430 ml /day.

a.

Biogas Production

The interest in biogas production has grown considerably for the most of the industries. Anaerobic
treatment producing methane that can be directly used as a source of energy has long been employed in
industrial waste treatment. Anaerobic treatment is an effective means of decreasing the organic content of
different wastewaters in the absence of oxygen (Noykova et al., 2002). Application of aerobic treatment is not
commonly preferred due to the cost of oxygen supplementation and generation of higher sludge quantities and
odors (Gavala et al., 1999). For the treatment of pulp and paper mill effluents, anaerobic digestion is essentially
viable method due to waste reduction and energy potential. Actually anaerobic digestion consists of three main
stages. The first step of anaerobic digestion called hydrolysis; complex organic molecules are broken down into
simple sugars, amino acids, and fatty acids with the addition of hydroxyl groups which is accompanied by a
rapid decrease in pH (Goblos et al., 2008). Step 2 is a fermentation process where acid-forming bacteria, also
known as acidogens, convert the products of hydrolysis into simple organic acids, alcohols, carbon dioxide, and
hydrogen gas. Finally, end-products of the fermentation process (acetate, butyrate, propionate etc.) are converted
by methanogenic microorganisms into methane and carbon dioxide, together with trace quantities of other gases
(Fig. 1).
In brief, two groups of methanogenic organisms are involved into the methane production; one group
splits acetate into methane and carbon dioxide, and the second group uses hydrogen as electron donor and carbon
dioxide as electron acceptor to produce methane. In general, biogas produced as end-product of anaerobic
digestion consists of about 65–70% methane, 30–35% carbon dioxide and trace amounts of nitrogen, hydrogen,
hydrogen sulphide and water vapor. It is the methane component of the biogas that will produce energy. The gas
can be used to generate heat or electricity or both. Anaerobic treatment seems adequately not only removing the
wastewater pollution but also producing methane gas which can be used for the energy requirement of the
industry. Anaerobic wastewater treatment is typically used in different industries such as chemical, dairy, and
pulp and paper mills. Application of anaerobic treatment of pulp and paper industry has been investigated by so
many researchers. It has been noted that the adoption of this technology by pulp and paper industries has been
limited, mainly due to the 30–60 day residence times required to process the sludge in conventional bioreactors
(Elliott and Mahmood, 2007). The published reports that evaluate the recent developments of treatment
technologies will be briefly discussed by means of biogas production from pulp and mill wastewaters and solid
wastes.

601

�Figure 1. Anaerobic Methane Production
Anaerobic biogas production is actually a sensitive process. Presence of toxic materials in the effluent can
be result in deterioration of the process which is undesirable. Unfortunately, pulp and paper industry effluents
mainly contains high amount of lignin, adsorbable organic halide, color, low biodegradability (COD: BOD, 4–6)
and potential toxicity problems. Inhibitory agents that can be found in pulp and paper industry effluents are
summarized in Table 3. Providing that biomass is protected from toxic materials biogas production from pulp
and paper industry can be successfully managed.
Wastewater
Pulping
• Thermomechanical
• Chemithermomechanical

COD
(mg/L)

Degradation
(%)

Inhibitors

1000-5600
2500-13000

60-87
40-60

Resin Acids
Resin Acids, fatty acids, sulfur

30-50
-

Sulfur, ammonia
Chlorinated phenols, resin acids

Kraft condensate

7000
900-2000
120000220000
1000-33600

83-92

Sulfite condensate

7500-50000

50-90

Sulfur, resin acids, fatty acids,
terpenes
Sulfur, organic sulfur

Sulfite condensate
Chlorine bleaching
Sulfite spent liquor

Table 3. Inhibitors to methanogens in the effluent of pulp and paper industry (Rintala et al., 1994)
In the process of chlorine bleaching, so many toxic substances that affect the methanogens can be
released. Also it is well known that chlorinated phenolics and chlorinated lignin derivatives are among the main
chemical species responsible for the toxicity of pulp and paper mill effluents. Resin acids are tricyclic diterpenes
that occur naturally in the resin of tree wood and bark and are transferred to process waters during pulping
operations. Several workers have reported the accumulation of resin acids in anaerobic reactors treating
mechanical pulping wastewaters. It was reported in a study that inhibition of methanogenic activity of the
anaerobic consortium was noted at initial resin acid/biomass ratios exceeding 0.0031 mg resin acid/mg VSS. In
addition to resin acids, unsaturated fatty acids, such as; oleic acids, linoleic acid and linolenic acid from pulp and
paper mills employing softwood are also a source of toxicity. Since fatty acids can be degraded anaerobically, it
is not entirely necessary to prevent them from entering the anaerobic reactors, however; the concentrations
present in the wastewater should be kept below the maximum allowable level so that they do not cause
significant inhibition to the anaerobic bacteria. For the removal of phenolic compounds white rot fungi have
proved their potential in the lignin/phenolic wastewater treatment (Eaton et al. 1980). They have proved ideal
organisms for decolorization as well as for the reduction of adsorbable organic halides (AOX) and the chemical
oxygen demand (COD). Several researches have also shown that kraft mill effluents can be partly decolorized by
white rot fungi (Gokcay and Dilek 1994).
602

�For these reasons, the resent studies have been focused on the application of pretreatment technologies
before anaerobic treatment in order to enhance biogas production. There are a number of physical, chemical or
biological techniques (use of fungus and bacteria) to minimize the inhibitory effects of effluents prior to
anaerobic treatment systems (Lettinga et al. 1991). Reactor design for anaerobic biogas production is also
important. The use of thermophilic digesters has recently become more attractive due to their superior
performance, better pathogen destruction, and higher digestion rates, which allow the anaerobic digestion
facilities to operate at higher loading rates. Using two-stage systems, which segregate the formation of volatile
fatty acids from methanogenesis, have also been developed, improving the overall digester performance. In a
study performed by Yamini et al. (2009), Upflow anaerobic fixed packed bed reactor (UAFPBR) with brick
ballasts as packing material was used in order to treat pulp and paper mill effluents. They have studied biogas
production from paper and mill organic sludge in combination with fermented municipal sludge and cattle
manure as inoculum. They have found that with a optimum hydraulic retention time (HRT) of 12 hr, reduction of
74.5% COD and 81% BOD was obtained. Additionally 30% inoculum concentration was best for the anaerobic
treatment of the effluent with a maximum biogas production of 1.37 L / L effluent.
Beside pulp and paper effluents, pulp and paper industry solid wastes are also valuable for biogas
production. In the late 1980s and early 1990s, several research articles have been published introducing
anaerobic digestion for treating pulp and paper solid wates (Kowalczyk and Martynelis, 1989; Puhakka et al.,
1988; Puhakka, 1991). The long residence time requirement of anaerobic sludge digestion has historically
deterred its use in the pulp and paper industry. Techonological advancement that potentially can make anaerobic
digestion more feasible has been the development and establishment of pretreatment of sludge prior to anaerobic
digestion to accelerate the hydrolysis of sludge. Pretreatment enhances sludge digestion and the rate and quantity
of biogas generated, thereby reducing the retention time requirement from 15 to 25 days to approximately 7 days.
The studies were performed on both laboratory and pilot-scale systems. Generally, the results of these studies
showed that anaerobic digestion of pulp and paper biosolids could reduce solid wastes by 30–70%, with the
benefit of methane production. Studies were focused on cost and benefits of the anaerobic technology if
pretreatment technologies, including high temperature, sonication, high-pressure homogenization, addition of
acids and bases, or addition of enzymes, have been developed to solubilize the organic fraction of secondary
sludge (Elliott and Mahmood, 2007; Barjenbruch and Kopplow, 2003; Bougrier et al., 2006; Chen et al., 2007;
Khanal et al., 2007; Penaud et al., 1999; Tanaka et al., 1997; Valo et al., 2004). In addition to microbial biomass,
pulp mill secondary sludge can contain residual cellulose, lignin and chemical components from the pulping
process (Kyllönen et al., 1988). In a study performed by Wood (2009), thermal and caustic pretreatment can
significantly increase both the extent and rate of anaerobic bioconversion of pulp mill secondary sludge to biogas.

4. Conclusion
The pulp and paper industry is considered to be a highly energy intensive and polluting industry. In recent
years, the high cost of energy inputs and increased environmental concerns are forcing the pulp and paper
industry to look for cost-effective and environmentally friendly alternatives. The general characteristics of the
pulp and paper industry effluent can be listed as:
1.
2.
3.
4.
5.

High lignin content,
High adsorbable organic halide (AOX) concentration (due to the bleaching process),
Color,
Low biodegradability which is indicated by their high chemical oxygen demand to biochemical oxygen
demand ratios (COD/BOD), often in the range of 4–6,
Potential toxicity problems

Although physical and chemical methods are available for treatment of pulp and paper mill effluent, they
are less desirable than biological treatment because of cost-ineffectiveness and residual effects. Biological
treatment is known to be effective in reducing the organic load and toxic effects of pulp and paper mill effluent.
Since the early 1980s anaerobic treatment of industrial effluents has found widespread application in the pulp
and paper industry. Over 200 anaerobic plants are treating a large variety of different pulp and paper mill
effluents. Anaerobic fermentation is especially valuable because its end product is methane, a renewable energy
source. In the resent years, studies were performed on pretreatment techonologies to decrease toxicity of the
effluent prior to anaerobic treatment. Advantages of anaerobic pretreatment are net production of renewable
energy (biogas), minimised biosolids production and reduced emission of greenhouse gases. Anaerobic treatment
of pulp and paper effluents combination with manure (co-digestion) has emerged among the new treatment

603

�perspectives for these effluents. Additionally, other energy source is the anaerobic pulp and paper solid wates.
The long residence time requirement of anaerobic sludge digestion has prevented its use in the pulp and paper
industry. In an attempt to decrease the residence time requirement, pretreatment technologies have been
developed in the recent years such as; high temperature, sonication, high-pressure homogenization, addition of
acids and bases, or addition of enzymes. These pretreatment techonologies have been developed to solubilize the
organic fraction of secondary sludge. Some of these technologies, using physical or chemical principles, and
often a combination of them, have demonstrated their ability to substantially reduce the digestion time and
thereby the reactor size. Increased gas production and reduced excess sludge generation have been reported to be
the added benefits associated with them.

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�</text>
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                <text>Recent Developments in Biogas Production from Pulp and Paper Industry  Wastewaters</text>
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                <text>Cırık, Kevser
Özdemir, Veli
Yazar, Emre
Çınar, Özer</text>
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                <text>Increase in population and rapid developments in technology have enhanced production  capacity in pulp and paper industry and have resulted in formation of huge amount of wastewaters,  as high as 6-15 x 104 L per ton of paper produced. Depending on the pulping process, wastewaters  can have a wide range of various pollutants characterized by biochemical oxygen demand (BOD),  chemical oxygen demand (COD), suspended solids (SS), toxicity, and dark color. Untreated  wastewaters from pulp and paper can be potentially very polluting especially for high COD  concentrations which can be reach at 13000 mg/L. Thus a reliable treatment process is needed to  reduce any possible impacts of wastewaters on the receiving media. To overcome this problem  an environmentally friendly and economically viable treatment technology should be applied.  Indeed, high organic content of pulp and paper industry wastewaters make anaerobic treatment a  very attractive option for these wastes. Anaerobic processes not only remove the wastewater  pollution but also can produce methane gas which is a valuable and renewable energy source. This  review evaluates the recent developments of treatment technologies that highlight to practical use  and economic availability of biogas production from pulp and paper wastewaters.</text>
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                    <text>Recent Developments On The Aplication Of Artemia
In The Ornamental Fish Culture
Edis Koru
Ege University, Fisheries Faculty, Department of Aquaculture, Bornova-Izmir/Turkey
edis.koru@ege.edu.tr
Gurel Turkmen
Ege University, Fisheries Faculty, Department of Aquaculture, Bornova-Izmir/Turkey
gurel.turkmen@ege.edu.tr
Abstract: Production of animals for the aquarium hobbyist trade is a rapidly growing sector
of the aquacultural industry, and it will continue to become more important as restrictions are
placed on collecting animals for the wild. Improved techniques for marine food-fish
larviculture since the early 1980’s have greatly enhanced the growth and survival of
freshwater ornamental fish larvae largely through improved technology regarding live food
culture and larval rearing practices. Research developments in larviculture and early rearing
technology have allowed 90% of currently marketed freshwater ornamental fish to be cultured.
However, for marine ornamentals, the reverse is true as only a handful of species is produced
via aquaculture technology. A major task in devising a protocol for the artificial propagation
of a fish species is the development of a feeding regimen for the larvae. Live feeds are a
convenient and often essential food source for the larvae of some cultured species, especially
those without a fully developed digestive system. In such cases, live food organisms provide
digestive enzymes that breakdown the food ingested by larvae and can be described as
naturally encapsulated bags of nutrients. Two major concerns among aquaculturists are
providing organisms appropriate to the size of the larvae at the first feeding stage and then
supplying the large numbers of feed organisms necessary to maintain the larvae. Since no
artificial feed formulation is yet available to completely substitute for Artemia, feeding live
prey to young fish larvae still remains essential in commercial hatchery operations. This paper
reports the recent developments in the applications of Artemia nauplii, decapsulated Artemia
cysts and on-grown Artemia in the ornamental fish culture.
Key words: Artemia, Ornamental Fish, Larvae, Feeding

1. Introduction
The ornamental fish sector is a widespread and global component of international trade, fisheries,
aquaculture and socio-economic development. Since 1985, the international trade in exports of ornamentals,
which usually takes place in the majority of developing countries, followed an increasing trend with an average
growth rate of approximately 14% per year. The entire industry has been estimated to be worth around US$15
billion. This vast industry has the potential to contribute to the economic growth of developing countries which
may face future challenges regarding environmental safety (Olivotto et al., 2006). Production of animals for the
aquarium hobbyist trade is a rapidly growing sector of the aquacultural industry, and it will continue to become
more important as restrictions are placed on collecting animals for the wild. Currently, approximately 90% of
freshwater fish traded in the hobbyist industry are captively cultured. While a majority of aquacultural
production worldwide is devoted to food production, ornamental fish production is an important component of
the aquaculture industry in several nations. In Singapore, ornamental fish accounts for 40% of their total exports.
In the United States, ornamental fish production is the fourth largest sector behind catfish, trout, and salmon.
Farms in Florida produce 800 varieties of freshwater fish (Tlusty, 2002).
Successful rearing of larval stages of aquatic organisms is a challenge for aquarium hobbyists, an aim
and a necessity for the success of the aquaculturist. All these specialists will agree that the primary problem in
any type of larval rearing is that of food. Ideally, one would prefer to feed larvae their natural diet, which is
characterized by a wide diversity of nutritious live organisms. Live feed is an essential food source for the fry of
cultured species, especially those without a fully developed digestive system. In the freshwater ornamental fish
culture, Artemia nauplii are used as the live feed. Two major concerns of aquaculturists are: (i) providing
organisms appropriate to the size of the feed to the first feeding stage and (ii) supplying adequate number of feed
organisms to ensure higher survival and faster growth (Arulvasu and Munuswamy, 2009). In nature, zooplankton

646

�is one of the primary foods of larval fish. The brine shrimp Artemia is in the phylum Arthropoda, (Crustacea,
Anostraca). Artemia spp., are zooplankton, like copepods and Daphnia, which are used as live food in the
aquarium trade, and for freswater and marine fish larval culture and crustacean larval culture (Lim et.al., 2001).
While the adult form of Artemia is primarily used as a live, frozen, or freeze-dried food in the aquarium trade,
the nauplius stage is used exclusively in fish hatchery operations. It was recognized long ago that freshly hatched
Artemia nauplii are a high value feed for fish larvae and fry. Because of the size of the nauplius stage, Artemia
also represent the only practical food source for the early stages of many fish and crustacean larvae. (Tamaru et
al., 2001). In Singapore, the top-exporting country of freshwater ornamental fish in the world, Moina used to be
the most common live food organism used in the industry. As Moina is cultured in ponds using pig waste, they
are often contaminated with fish pathogens, as well as bacteria of public health concern, such as Salmonella and
Vibrio cholera. To minimize the risk of fish being contaminated with the pathogens, more and more freshwater
ornamental fish farmers in Singapore have shifted from Moina to the cleaner Artemia nauplii for feeding their
fish. (Lim et al,. 2002, 2003). Since no artificial feed formulation is yet available to completely substitute for
Artemia, feeding live prey to young fish larvae still remains essential in commercial hatchery operations. There
are more than 50 geographical strains of Artemia. Many commercial harvesters and distributors sell brands of
various qualities. This paper reports the recent developments in the applications of Artemia nauplii, decapsulated
Artemia cysts and on-grown Artemia in the ornamental fish culture.
1.1. Why is Live Feed Necessary?
Fish biologists categories larvae of two types: precocial and altricial. Precocial larvae are those that,
when the yolk sac is exhausted, appear as mini-adults, exhibiting fully developed fins and a mature digestive
system including a functional stomach. Such fish can ingest and digest formulated diets as a first food and are
best exemplified by the salmon and trout raised extensively in hatcheries around the world without the benefit of
live food. Altricial larvae are those that, when the yolk sac is exhausted, remain in a relatively undeveloped state.
The digestive system is still rudimentary, lacking a stomach, and much of the protein digestion takes place in
hindgut epithelial cells (Govoni et al., 1986). Such a digestive system seems (at this point) to be incapable of
processing formulated diets in a manner that allows survival and growth of the larvae comparable to those fed on
live feed. Altricial larvae therefore appear to require live feed, but there may be other reasons besides the
digestibility question. Live feeds are able to swim in the water column and are thus constantly available to the
larvae. Formulated diets tend to aggregate on the water surface or, more commonly, sink quickly to the bottom,
and are thus normally less available to the larvae than are the live feeds. In addition, the movement of live feed
in the water is likely to stimulate larval feeding responses, since evolutionary history has probably adapted them
to attack moving prey in nature. Formulated diets are generally capable of moving only in a downward direction,
towards the bottom. Finally, live prey, with a thin exoskeleton and high water content, may be more palatable to
the larvae once taken into the mouth, compared with the hard, dry formulated diets. This last point is rather
critical, especially when considered in light of the fish larva’s absence of feeding appendages; any foods must
enter the mouth whole (i.e. the larva’s mouth gape must be of sufficient size for particle ingestion to occur) and
they are quickly either accepted or rejected on the basis of palatability (Stottrup and McEvoy, 2003).

2. Artemia
Artemia has several characteristics which make it ideal for aquaculture use. It is easy to handle,
adaptable to a wide-range of environmental conditions, non-selective as a filter-feeder which can ingest algae,
protozoa and bacteria of the correct size (10–50 µm) and is capable of growing at very high densities (Landau et
al. 1985; Lèger et al. 1989). Artemia also has a high nutritive value (40–60 percent protein, rich amino acid
composition), an unchanging food requirement, high conversion efficiency, short generation time, high fecundity
rate and long lifespan. The whole animal (even adult stage) may be consumed without previous processing by
many aquaculture organisms. In the food chain the nutritional value of Artemia depends on both the
macronutrients (proteins, fats and carbohydrates) and micronutrients (vitamins and minerals) it can accumulate
from the filtered food. The brine shrimp is considered a continuous, non-selective, obligate phagotrophic filter
feeder zooplankton (Fig.1).

647

�Figure 1. Adults Artemia sp.
Artemia are extremely euryhaline, withstanding salinities from 3 ppt to 300 ppt. They can even survive
short periods of time in freshwater, but cannot reproduce in it. Artemia survive temperatures ranging from 15 to
55 oC. They have two modes of reproduction. Sometimes nauplii (first Artemia swimming stage) hatch in the
ovisac of the mother and are born live. However, when the body of water where adult Artemia are living begins
to dry up and salinities rise, embryos are encased in a hard capsule, or cyst, so that they are protected and can
hatch later when conditions are better. The cyst is 200 to 300 micrometers in diameter, depending upon the strain.
Its external layer is a hard, dark brown shell (Fig 2). Dry conditions cause the encysted embryo to enter a
dormant state, which allows it to withstand complete drying, temperatures over 100 oC or near absolute zero,
high energy radiation, and a variety of organic solvents. The dehydrated cyst can be stored for months or years
without loss of hatchability.

Figure 2. Artemia Cysts.
Only water and oxygen are required to initiate the normal development of the Artemia embryo, but it
does help the hatch rate to maintain the temperature above 25 oC and place a light near the eggs. The durable,
easily hatched cyst makes Artemia a convenient, constantly accessible source of live feed for the finfish hatchery
operator. Artemia cysts are best stored in a tightly sealed container in a cool, dry environment and, if possible,
vacuum packed. Within 15 to 20 hours after being placed in seawater at 28 o the shell breaks and the prenauplius
in E-1 stage appears (Fig. 3). For the first few hours, the embryo hangs beneath the cyst shell in what is called
the umbrella stage. The newly hatched Artemia relies on its yolk sac for nutrients because its mouth and anus are
not fully developed. The pre-nauplius E-2 stage is then released as a free-swimming nauplius called an Instar 1
nauplius. In this stage it is brownish orange because of its yolk reserves. It uses specially modified antennae for
locomotion and later for food filtering. Approximately 12 hours after hatch it molts into the second larval stage
(Instar II) and starts filter feeding on microalgae, bacteria and detritus. The Artemia nauplius can live on yolk
and stored re-serves for up to 5 days or through the Instar V stage (Fig. 3), but its caloric and protein content
diminish during this time (Briksi et.al., 2008).

648

�Figure 3. Steps in Life Cycle of Artemia
1: Cysts, 2: Breaking stage, 3: Umbrella stage: emerging embryo, 4: Instar I(E-1) newly hatched nauplii (with yolk), 5: Instar
II(E-2), 6: Differeatiation (molting) stage, Instar III-IV, 7: Instar VI-VIII, 8: Instar IX-X, Sub-adult stage, 9: Adult stage.

As a food source for the larvae, it is imperative that Artemia is of high quality, as nutritionally complete
as possible, and maintained in this state until consumed by the larvae. There are four distinct stages involved in
Artemia culture. These stages are: (1) decapsulation, (2) hatching, (3) storage, (4) enrichment, (5) harvestin and
usage. Artemia also represent a potential vector for disease introduction into the larviculture production system.
As such, all Artemia production and storage procedures must be conducted utilizing hygienic production
protocols and proper hatchery sanitation procedures. This document provides the background, rationale, and
detailed production protocols for all stages of high-quality Artemia culture to developments on the aplication of
Artemia in the ornamental fish culture.
2.1. Decapsulation of Artemia Cysts
Artemia represent one of the few live feeds that can be cultured in sufficient numbers and are of
appropriate size for larva to transition to between daphnia, blood worms and weaning diets. During a portion of
their life cycle, Artemia hibernate as a desiccated cyst that is capable of withstanding extreme environmental
conditions for long periods of time. Cysts are easily shipped and are thus the form purchased by aquarists.
However, Artemia cysts can cause problems during larviculture because: 1. The shell of the cyst is indigestible
and may cause intestinal blockage when ingested by larva, 2. Cysts are a potential vector for pathogen
introduction to the culture system, 3. Artemia consume high levels of endogenous energy reserves when hatching
through the cyst shell, 4. Cysts must be physically separated from the live Artemia after hatching. Decapsulation
of Artemia cyst is a process whereby the external shell or chorion is chemically removed from the cyst. This
process addresses the concerns noted above and has become standard practice by fish hatcheries looking to
produce high quality Artemia.
The fry of all the five common ornamental fish species tested (guppy Poecilia reticulata, molly
Poecilia sphenops, platy Xiphophorus maculatus, swordtail Xiphophorus helleri and neon tetra Hyphessobrycon
herbertaxelrodi) could readily feed on the decapsulated cysts, and their performances in terms of stress
resistance, growth and survival are comparable to or better than those fed on Artemia nauplii or Moina. A culture
system for production of on-grown Artemia has also been developed specifically for the use in freshwater
ornamental fish farms (Lim et al. 2003).
2.1.1. Artemia Decapsulation Procedure and Decapsulation Requirements
Artemia cysts: 1 kilogram (kg)
Decapsulation vessel: 20 liters (L)
Chlorine bleach (NaOCl; 5.5%): 8 L at 2-10 degrees Celsius (°C)
Sodium hydroxide (NaOH; 40%): 4 L at 2-10°C
Sodium thiosulfate (Na2S2O3 ): 100 g

649

�Harvest bag: 100 micrometer (µm)
2.1.2. Hydration
The first step in the decapsulation procedure is Artemia cyst hydration. Hydration of cysts allows for
separation of the nauplii from the chorion, facilitating the decapsulation process. For this step, Artemia cysts are
placed in either fresh or saltwater at room temperature for approximately one hour, using a concentration of 1 g
of cysts per 15 milliliters (ml) of water. It is important during this step to maintain sufficient mixing via aeration
to keep cysts well suspended. After one hour of hydration, the water and hydrated cysts should be drained
through a 100 µm harvest bag; the concentrated cysts are then placed back into the empty decapsulation vessel.
2.1.3. Decapsulation
For decapsulation, pour the chilled sodium hydroxide solution into the decapsulation vessel with
hydrated cysts, again making sure there is adequate aeration within the vessel to keep cysts suspended. The
chilled bleach should then be added to the cysts to initiate the decapsulation process. Because the chemical
reaction during decapsulation is exothermic, it is helpful to begin with chemical solutions chilled to a
temperature of 2°C to 10°C. These starting temperatures will prevent the temperature of the chemical solution
from exceeding 35°C, which may damage the cysts. As decapsulation progresses, the chorion is chemically
removed, resulting in the cysts gradually changing color from brown to grey, then to orange, and finally to bright
orange. This bright orange color indicates that the process is complete. (Cyst buoyancy can also be used as an
endpoint indicator: when approximately 90 % of cysts sink, the process is complete). The process should take
from one to three minutes, but time may differ due to temperature variations. Cysts can easily be damaged by
overexposure to the decapsulation solution, adversely affecting the resulting hatch rate. It is imperative to closely
monitor the process and standardize it for your particular conditions (Fig. 4).
2.1.4. Decapsulated Cysts Harvest
When it is determined that the cysts are adequately decapsulated, add 75 g of sodium thiosulfate to the
decapsulation vessel to neutralize the chlorine, then immediately begin to drain cysts into the 100 µm harvest bag.
During the harvest process (Fig. 4), rinse with ample amounts of water (fresh or salt) while providing ample
aeration via an air stone to keep decapsulated cysts in suspension. When all decapsulated cysts have been
collected, the remaining sodium thiosulfate should be added to the harvest bag. Continue rinsing the bag until
water runs clear and no presence of chlorine can be detected.
2.1.5 Decapsulated Cysts Storage
Decapsulated cysts can be drained of excess water and stored in an airtight container in a refrigerator (+
4 ºC) for up to 5-6 days. For longer-term storage (two weeks or more), cysts must be dehydrated by placing them
in aerated brine (330 g of sodium chloride (NaCl) per liter of water) at the concentration of 1 g of cysts per 20 ml
of brine for 24 hours. They can then be drained and placed into a suitable container, topped with fresh brine, and
placed in a refrigerator (Fig. 5).

650

�Figure 4. Harvesting Decapsulated Artemia

Figure 5. Decapsulated Artemia Cysts Hatching Storage

2.2. Hatching of Artemia Cysts and Hatching Requirements
Temperature: 26-30°C
pH: 8.0-9.0
Dissolved oxygen: &gt; 4 mg/L
Light level: ~2000 lux
Salinity: 25-35 parts per thousand (ppt)
Hatching density: ≤ 2 g dry cysts/L
(up to 5 g/L with supplemental O2)
Sodium bicarbonate (NaHCO3): 0.5 g/L
Antifoam (silicone based): 1 ml/100 L
Fill a clean, cone-bottomed hatching tank with warm, filtered seawater or fresh water addet 30-35 g salt.
If warm seawater is not available, allow enough lead time for water to be warmed to 26°C to 30°C in the
hatching tank via submersible heaters. Add 0.5 g of sodium bicarbonate per liter of water in order to maintain the
pH between 8.0 and 9.0 throughout the entire hatching process. The use of antimicrobial products such as
INVE’s Hatch Controller can be used to help minimize growth of pathogenic bacteria in the hatching tank. The
proper stocking density for nondecapsulated cysts is approximately 2-3 g (max. 5 g) per liter. When using
decapsulated cysts, approximately 5 g per liter can be stocked. These numbers can be doubled through the use of
pure oxygen supplementation, which is needed to maintain dissolved oxygen levels greater than 4-5 milligrams
per liter. Attempting to hatch at higher stocking densities can result in physical damage to the nauplii and
reduced quality It is important to maintain sufficient aeration at the bottom of the cone to keep cysts suspended.
When hatching large volumes of cysts, it is advantageous to use a food-grade antifoam product to minimize
excessive foaming in the culture. Hatching times will vary based on strain and age of cysts, temperature and
salinity of water, etc. Thus, it is important to minimize variation between hatches for consistency. Generally,
Artemia require 18 to 24 hours of incubation to hatch. Decapsulated cysts, however, may be ready to harvest
after only 16 hours of incubation. When feeding nauplii directly to fish, timing of the hatch is very important. If
nauplii remain in the hatching tank for too long, they will grow too large and their nutritional quality will
decrease. Determining the endpoint of the hatch should be made through microscopic observation of the relative
numbers of hatched nauplii, prehatched nauplii, and unhatched cysts (Fig 6).

Figure 6. Artemia Hatching Cone
(pure oxygen injection regulators on wall and wire from submersible heater on front edge of tank)

The harvesting procedure varies depending upon whether decapsulated or nondecapsulated cysts were
hatched. Harvesting of Artemia nauplii is done after 5 to 10 minutes interruption of the aeration and remove the
airstone. Wait approximately 5 minutes for the empty casings to float to the surface of the water. Empty cyst
shells float to the surface, while the nauplii concentrate in the lower part of the tank and the unhatched cysts
accumulate underneath the nauplii. Since most nauplii are positively phototactic, their concentration can be
hastened and increased by shading the upper part of the hatching container with a black plastic sheet so that light
reaches the lower part of the container only. Remove the unhatched cysts for the second hatching, after which
the nauplii can be collected. A second collection of nauplii may be done 5 to 10 minutes after the first. Newly
hatched nauplii should then be collected in the harvest bag and rinsed for at least five minutes. If nauplii have

651

�settled properly, only 75 percent of the water column will need to be drained. While harvesting, check on the
relative ratio of nauplii to cysts by transferring a sample to a glass beaker. This will help determine when the
harvesting process is finished or if more time is needed to allow Artemia to settle. Remove the unhatched cysts
for the second hatching, after which the nauplii can be collected. A second collection of nauplii may be done 5 to
10 minutes after the first. The nauplii are now ready to be fed to your fish, transferred to subsequent enrichment,
or placed into cold storage.
2.3. Enrichment of Artemia and Enrichment Requirements
Temperature: 25°C
pH: 8.0-8.5
Dissolved oxygen: &gt; 4 mg/L
Salinity: 20-30 ppt
Density: ≤ 300 nauplii/ml
DC DHA dosage: 0.6 g/L
Enrichment duration: 20-24 hours
Before being fed to larvae, Artemia nauplii are usually fed a specialized diet in order to increase their
size and nutritional profile. While freshly hatched Artemia nauplii are rich in protein and can serve as a bridge
between daphnia, rotifer and enriched Artemia for many species, they are largely void of the beneficial fatty
acids required for proper growth and development of most larvae. For the purpose of the following Artemia
enrichment procedure, the protocol developed for the use of the INVE product, DC DHA SELCO, will be
utilized.
Olivotto et al. (2006) studied on growth and metamorhosis larvae of Sunrise Dottyback, Pseudochromis
flavivertex. Larvae were divided into different experimental groups and fed on different feeding combinations in
order to test the importance of food enrichment on larval survival, growth and metamorphosis timing. A first
group (Group A) was fed on enriched Brachionus plicatilis and enriched Artemia nauplii; a second one (Group
B) on enriched B. plicatilis and not enriched Artemia nauplii and a third one fed on not enriched live preys
(Group C) used as control group. Live prey enrichment was essential for rearing this species. In fact, larvae fed
on not enriched live preys did not past day 7. Highest survival rates (39% juveniles) were observed in Group A
with respect to Group B (11% juveniles). Moreover, evidences of the importance of enrichment on growth and
metamorphosis timing were observed since larvae reared using enriched live preys grew faster and completed
metamorphosis earlier than those fed on not enriched Artemia nauplii. The results presented here provide
additional evidence of the importance of live prey enrichment in ornamental larval fish rearing.
2.3.1. Artemia Enrichment Procedure
There are a number of commercially available Artemia enrichment products. Because these products
have different ingredients, nutritional profiles, and enrichment protocols, it is up to hatchery managers to decide
which product is most suitable for their conditions and species. Once an enrichment product is chosen, it is
important that standardized protocols be developed and strictly followed. Slight changes in temperature or
enrichment time, for example, can have significant effects upon the size and nutritional quality of the final
product. Preparation of enriched Artemia requires a two-day lead time: one day is required for hatching of
Artemia (see Artemia hatching protocol) and a second day for the enrichment process. Having a second,
dedicated enrichment tank is necessary to facilitate this process. As with hatching, a cone-bottomed tank is ideal
for enrichment and helps to ensure adequate mixing and complete draining during harvest. Prior to stocking, the
enrichment tank should be filled with a suitable amount of water, and water-quality parameters (salinity,
temperature, and pH) must be adjusted to match the requirements listed above. It is important to begin the
enrichment process with healthy, high-quality nauplii. Nauplii that are damaged or sluggish prior to enrichment
will result in suboptimal nutrient uptake. Care should be taken to remove hatched cysts (nondecapsulated cysts)
or hatching membranes (from decapsulated cysts) as described in the Artemia hatching section. Artemia nauplii
should also be rinsed well prior to stocking into the enrichment tank. This is especially important when using an
additive such as INVE’s Hatch Controller or antifoam during the hatching process, as ingredients in these
products can interfere with enrichment uptake.
During enrichment, vigorous aeration should be applied through the bottom of the enrichment vessel,
and dissolved oxygen levels should be closely monitored throughout the process (Fig. 7). The use of
supplemental oxygen during this stage will likely be necessary to maintain oxygen levels above 4 milligrams per
liter. Temperature must also be maintained at 25°C through the use of submersible heaters or ice packs, as
dictated by ambient conditions (Delbos, 2009).

652

�Figure 7. Multiple Artemia Enrichment Cones (heavy aeration)

2.4. Harvest and Cold Storage
At the end of the enrichment process, the entire volume of water should be drained into a 100-125 µm
harvest bag with sufficient aeration to keep enriched Artemia in suspension. Oxygen levels should be closely
monitored in the harvest bag. The bag containing the Artemia should be rinsed well for five minutes or until the
water runs clear. Thereafter, Artemia should be transferred into a container containing clean water of a known
volume, aerated vigorously, and enumerated as discussed above. If Artemia will not be fed to larvae immediately,
it should be placed directly into cold storage, as described below. Artemia not fed to larvae or enriched
immediately needs to be stored under cold conditions. Cold storage of Artemia dramatically decreases its
metabolism, which directly reduces further growth and metabolism of their protein and lipid stores. Artemia
should be transferred to a cooler or suitable container and stored at 2°C to 10°C, with adequate aeration to
prevent settling (Fig. 8). Under these conditions, Artemia can be concentrated as high as 5,000 per milliliter and
stored for up to 24 hours (Delbos, 2009).

Figure 8. Cold-Banked Artemia
(ice jugs for temperature control and air line for aeration to keep Artemia suspended)

3. Conclusions
The ornamental fish producer would have no problem to assign such a small area for setting up the
culture system in their aquarium or farms. While the use of a batch culture system instead of a flow-through
system would cut down the volume of seawater required for Artemia culture, the use of artificial seawater would
enable farms that have no access to seawater to operate the system. To cut down the cost of salts required for
653

�preparation of artificial seawater, the present system, for the first time in commercial Artemia production, used
diluted artificial seawater (salinity 30-40 ppt) instead of full strength seawater for the culture. Change of water
was not necessary during the 14-16 day culture period. These characteristics made the system suitable for
operation in freshwater ornamental fish farms, and would allow existing ornamental fish farmers to integrate the
Artemia production system in their farm operation. The present system did not use expensive mechanical and
biological water treatment equipment such as bio-filter, mechanical filter, plate separator, sensors etc. and hence
the cost of setting up the system was € 90,000-100,000 only. Bioencapsulation to enhance the nutritional quality
of on-grown Artemia was conducted only when the Artemia failed to meet the fish requirement. The same
applied to all other live food organisms such as rotifers and Artemia nauplii which might also require
bioencapsulation due to their nutritional deficiency (Leger and Sorgeloos 1992; Sorgeloos and Leger 1992;
Sorgeloos et al. 1995, Sorgeloos et. al., 2001). It was performed by fish farmers just before feeding the Artemia
to fish, and not by producer of the organism. Hence the cost of bioencapsulation was not included in the
production cost of the Artemia. Nevertheless, the cost of the enrichment media (€ 80-90/kg) used in
bioencapsulation was estimated to be € 3-5/kg of on-grown Artemia (in 50 liter of water at 0.6 g/L.). The present
Artemia culture system is a cheap alternative to the more sophisticated intensive system used in sectoral
aplications. Compared to the complex automated system, the present system is cost effective, simple and easy to
set up and operate. As the system occupies only a small land area and uses diluted artificial seawater for culture,
the freshwater ornamental farmers will have no problem to integrate Artemia production using the culture system
into their farm operation to increase farm profitability. By varying the time of harvesting, farmers may harvest
any specific size of on-grown Artemia of up to 5 mm from the culture system to suit the age and size of their fish.
The use of the right size of on-grown Artemia for feeding would ensure a better energy balance in food uptake
and assimilation, thereby improving the performance of the fish. These characteristics, coupled with the use of
bioencapsulation technique to enhance the quality of the on-grown Artemia, would make the organism an ideal
nursery diet for freshwater ornamental fish. The availability of on-grown Artemia and the application of
bioencapsulation techniques using the organism are likely to have a positive impact to the ornamental fish
industry.
The food value of a live food organism for a particular fish species was primarily determined by its size
and form. While a small food organism was desirable for fish larvae in term of ingestibility, the use of larger
organisms was more beneficial as long as the size of the food organism did not interfere with the ingestion
mechanism of the predator (Merchie 1996). Fish would take a long time to attain satiation if fed with smaller live
food organism, and this would result in poor growth due to inefficient feeding and waste of energy. The ongrown Artemia in the culture system grew from 0.45 mm at inoculation to an average length of about 5 mm in 12
days. This size range was considered suitable for all sizes of freshwater ornamental fish species of up to 10 cm
total length. By varying the harvesting time during the 12-day cycle, it was possible to obtain Artemia of any
specific size within the size range for feeding, which would ensure a better energy balance in food uptake and
assimilation. The nutritional quality of on-grown Artemia was comparable or superior to the common food
organisms being used by the freshwater ornamental fish industry, such as Artemia nauplii, Moina and
bloodworms. The on-grown Artemia was rich in protein (67 %) and low in crude fat (4 %). It was reported to
have superior nutritional digestibility and a thin exoskeleton rich in essential amino acids (Leger et al. 1989).
The latter was consistent with our amino acids analyses, which showed that the essential amino acids in the ongrown Artemia were comparable to Moina and richer than Artemia nauplii and bloodworms. An important
dietary characteristic of live food organism was its composition of essential fatty acids. Watanabe (1987)
reviewed the essential fatty acid requirement of freshwater and marine fish and concluded that freshwater species
required mainly LLA (linolenic) or LNA (linolenic acid) or both. Although the on-grown Artemia obtained from
the present study was deficient in LNA, its LLA was the highest among all the four diets tested. The DHA
(docosahexaenoic acid) and EPA (eicosapentaenoic acid), which were widely considered as essential for marine
organisms (Dhont and Lavens, 1996), were also highest in on-grown Artemia. Due to lack of published data, it
was not known whether the levels of LLA, LNA, EPA and DHA in food organisms would be important to
freshwater ornamental fish. Recent study on the fatty acid profiles of common feed items used by the industry
for maturation such as beef heart and tubifex worms found unusually high ADA (arachidonic acid) levels (Ako
et al. 1999). Availability of the on-grown Artemia would offer our farmers and exporters the possibility to apply
the bioencapsulation technique to improve their fish performance and quality. In addition, the effective
bioencapsulation characteristics of on-grown Artemia also make the organism a useful tool for larval nutrition
study on freshwater ornamental fish. The present Artemia culture system is a cheap alternative to the more
sophisticated superintensive system. By varying the time of harvesting, aquarists may harvest any specific size of
on-grown Artemia of up to 5 mm from the culture system to suit the age and size of their fish. The use of the
right size of on-grown Artemia for feeding would ensure a better energy balance in food uptake and assimilation,
thereby improving the performance of the fish. These characteristics, coupled with the use of bioencapsulation
technique to enhance the quality of the on-grown Artemia, would make the organism an ideal nursery diet for
freshwater ornamental fish. The availability of on-grown Artemia and the application of bioencapsulation
654

�techniques using the organism are likely to have a positive impact to the ornamental fish industry. Finally,
demonstrated that the commercial production of on-grown Artemia using the present culture system was highly
viable for freshwater ornamental fish applications.

References
Ako, H., Tamaru, C., Asano, L. (1999). Colour, maturation, and palatability feeds. In: Conference Abstracts, AQUARAMA 99
World Conference on Ornamental Fish Aquaculture, 3-6 June 1999, pp. 43. Miller Freeman, Singapore.
Arulvasu, C., Munuswamy, N. (2009). Survival, growth and composition of Poecilia latipinna fry fed enriched Artemia
nauplii. Current Science, 96(1): 114-119.
Briksi, E., Stappen VG., Bossier, P., Sorgeloos, S. (2008). Laboratory production of early hatching Artemia sp. cysts by
selection, Aquaculture 282: 19–25.
Dhont, J., Lavens, P. (1996). Tank production and use of on-grown Artemia. In: Manual on the Production and Use of Live
Food for Aquaculture (Eds.) P. Lavens &amp; P. Sorgeloos), pp. (164-195). FAO Fisheries Technical Paper 361, FAO, Rome.
Delbos, B.C. (2009). Artemia Culture for Intensive Finfish and Crustacean Larviculture, Virginia Cooperative Extension,
Publication 600-106, (VSG-09-05), USA.
Govoni, J.J., Boehlert, G.W., Watanabe, Y. (1986) The physiology of digestion in fish larvae. Environ. Biol. Fish., 16: 59–77.
Landau M., Miyamoto G., Bolis C. (1985). Growth and amino acid composition of Artemia salina (L.1758) fed algae grown
in different media (Anostraca). Crustaceana 49: 318–320.
Leger P., Bengston D.A., Sorgeloos P. (1989). Analytical variation in the determination of the fatty acid composition of
Standard preparations of the brine shrimp Artemia. Aquat. Toxicol. Hazard Assess 12: 413–423.
Leger, P., Sorgeloos, P. (1992). Optimized feeding regimes in shrimp hatcheries. In: Marine Shrimp Culture: Principles and
Practices (Eds.) Fast A. W. &amp; J. Lester, (pp. 225-244). Elsevier Science Publishers.
Lim, L.C., Soh, A., Dhert, P., Sorgeloos, P. (2001). Production and application of on-grown Artemia in freshwater
ornamental fish farm, Aquaculture Economics &amp; Management, 5: 3, 211-228.
Lim, L.C., Cho, Y.L., Dhert, P., Wong, C.C., Neils, H., Sorgeloos, P. (2002). Use of decapsulated Artemia cysts in
Ornamental fish Culture. Aquaculture Research, 33: 575-589.
Lim, L.C., Dhert, P., Sorgeloos, P. (2003). Recent developments in the application of live feeds in the freshwater ornamental
fish culture. Aquaculture, 227: 319-331.
Merchie, G. (1996). Use of nauplii and meta-nauplii. In: Manual on the Production and Use of Live Food for Aquaculture
(Eds.) P. Lavens &amp; P. Sorgeloos, (pp. 137-163). FAO Fisheries Technical Paper 361, FAO, Rome.
Olivotto, I., Rollo, A., Sulpizio, R., Avella, M., Tosti, L., Carnevali, O. (2006). Breeding and rearing the Sunrise Dottyback
Pseudochromis flavivertex: the importance of live prey enrichment during larval development. Aquaculture, 255: 480-487.
Sorgeloos, P., Leger, P. (1992). Improved larviculture outputs of marine fish, shrimp and prawn. Journal of the World
Aquaculture Society, 23(4), 251-164.
Sorgeloos, P., Dehasque, M., Dhert, P., Lavens, P. (1995). Review of some aspects of marine fish larviculture. International
Council for the Exploration of the Sea Marine Scientific Symposium, 201, 138-142.
Sorgeloos, P., Dhert, P., Candreva, P. (2001). Use of the brine shrimp, Artemia spp. in marine fish larviculture. Aquaculture,
200: 147–159.
Stottrup, G.J., McEvoy, L.A. 2003. Live Feeds in Marine Aquaculture. Blackwell Science Ltd., USA. 318p.
Tamaru, C.S., Ako, H. Paguirigan, R., Pang, L. (2001). Enrichment of Artemia for use in Freshwater Ornamental Fish
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�Watanabe, T. (1987). The use of Artemia in fish and crustacean farming in Japan. In: Artemia Research and its Applications.
Vol. 3, Ecology, Culturing, Use in Aquaculture (Eds.) P. Sorgeloos, A. Bengtson, W. Decleir &amp; E. Jaspers, (pp. 372-393).
Universa Press, Wetteren, Belgium.

656

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                <text>Recent Developments On The Aplication Of Artemia  In The Ornamental Fish Culture</text>
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                <text>Koru, Edis
Turkmen, Gurel</text>
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                <text>Production of animals for the aquarium hobbyist trade is a rapidly growing sector  of the aquacultural industry, and it will continue to become more important as restrictions are  placed on collecting animals for the wild. Improved techniques for marine food-fish  larviculture since the early 1980’s have greatly enhanced the growth and survival of  freshwater ornamental fish larvae largely through improved technology regarding live food  culture and larval rearing practices. Research developments in larviculture and early rearing  technology have allowed 90% of currently marketed freshwater ornamental fish to be cultured.  However, for marine ornamentals, the reverse is true as only a handful of species is produced  via aquaculture technology. A major task in devising a protocol for the artificial propagation  of a fish species is the development of a feeding regimen for the larvae. Live feeds are a  convenient and often essential food source for the larvae of some cultured species, especially  those without a fully developed digestive system. In such cases, live food organisms provide  digestive enzymes that breakdown the food ingested by larvae and can be described as  naturally encapsulated bags of nutrients. Two major concerns among aquaculturists are  providing organisms appropriate to the size of the larvae at the first feeding stage and then  supplying the large numbers of feed organisms necessary to maintain the larvae. Since no  artificial feed formulation is yet available to completely substitute for Artemia, feeding live  prey to young fish larvae still remains essential in commercial hatchery operations. This paper  reports the recent developments in the applications of Artemia nauplii, decapsulated Artemia  cysts and on-grown Artemia in the ornamental fish culture.</text>
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                    <text>RECEP ŞÜKRÜ GÜNGÖR’ÜN HİKÂYECİLİĞİ
Arif YILMAZ
Uşak Üniversitesi, Eğitim Fakültesi, Uşak / Türkiye
Anahtar Kelimeler: Recep Şükrü Güngör, çağdaş hikâye, ferdiyetçilik, içtimai konular.
ÖZET
Günümüz Türk hikâyeciliğinin önemli isimlerinden biri de Recep Şükrü Güngör’dür.
Yüreğimin Mevsimi adlı ilk kitabını 2001 yılında yayımlayan yazar, daha sonra
Kuruluş/Kurtuluş, Hüsn ile Aşk, Âdem ile Havva, Yas Ayini, Can Ağrısı kitaplarını yayımladı.
Son hikâye kitabı olan Kayıp Ruhlar Kıraathanesi’ni okuyucuyla Sütun Yayınları buluşturdu. Bu
çalışmayla söz konusu hikâye kitaplarından hareketle Güngör’ün hikâyeciliğini belirleyen
unsurlar ve böylelikle hikâyeciliği tespit edilmeye çalışılmıştır. Kendine özgü bir yapı içerisinde
hikâyeciliğini içerik, dil ve teknik yönüyle sürekli geliştirmeye açık tutmasını bilen bir yazar
olması onun öncelenmesi gereken önemli bir vasfıdır. Onun hikâyelerinde, ferdiyetçilikten
içtimaî meselelere doğru genişleyen bir muhteva ve kurmaca yapısı bulunmaktadır. Modern Türk
hikâyeciliğinde yetkinliğe ulaşmış yazarlarımızdan biri olarak Güngör, Türk edebiyat tarihindeki
yerini şimdiden ayırtmış gibi.

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                <text>Anahtar Kelimeler: Recep Şükrü Güngör, çağdaş hikâye, ferdiyetçilik, içtimai konular.  ÖZET  Günümüz Türk hikâyeciliğinin önemli isimlerinden biri de Recep Şükrü Güngör’dür. Yüreğimin Mevsimi adlı ilk kitabını 2001 yılında yayımlayan yazar, daha sonra Kuruluş/Kurtuluş, Hüsn ile Aşk, Âdem ile Havva, Yas Ayini, Can Ağrısı kitaplarını yayımladı. Son hikâye kitabı olan Kayıp Ruhlar Kıraathanesi’ni okuyucuyla Sütun Yayınları buluşturdu. Bu çalışmayla söz konusu hikâye kitaplarından hareketle Güngör’ün hikâyeciliğini belirleyen unsurlar ve böylelikle hikâyeciliği tespit edilmeye çalışılmıştır. Kendine özgü bir yapı içerisinde hikâyeciliğini içerik, dil ve teknik yönüyle sürekli geliştirmeye açık tutmasını bilen bir yazar olması onun öncelenmesi gereken önemli bir vasfıdır. Onun hikâyelerinde, ferdiyetçilikten içtimaî meselelere doğru genişleyen bir muhteva ve kurmaca yapısı bulunmaktadır. Modern Türk hikâyeciliğinde yetkinliğe ulaşmış yazarlarımızdan biri olarak Güngör, Türk edebiyat tarihindeki yerini şimdiden ayırtmış gibi.</text>
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                    <text>1st International Conference on Foreign Language Teaching and Applied Linguistics
May 5-7 2011 Sarajevo

Reciprocal images of Turkish and Portuguese university students: for an
intercultural mediation between Portugal and Turkey
Daniel Basílio
Department of Education / CIDTFF
Aveiro University, Portugal
dgsbasilio@ua.pt
Maria Helena de Araújo e Sá
Department of Education / CIDTFF
Aveiro University, Portugal
helenasa@ua.pt
Ana Raquel Simões
Department of Education / CIDTFF
Aveiro University, Portugal
anaraquel@ua.pt
Abstract: This paper proposes to present an ongoing research project aiming at
diagnosing the reciprocal language and cultural images of Portuguese learners of
Turkish and Turkish learners of Portuguese as foreign languages in the Higher
Education context. As a case-study format project following an eminently
qualitative approach, it includes the application, analysis and interpretation of
the results of three distinct and sequential data-collection instruments: two
questionnaires/surveys, a collective interview, and an on-line platform that will
serve as a space for the interaction of the students of both countries. Conclusions
are to be taken on how the images/social representations the two groups of
students construct of each other pertain on their knowledge and attitudes towards
each other, and, ultimately, on their intercultural competence. Based on these
conclusions, ―cultural awareness‖ and intercultural competence development
guidelines, at the level of foreign language learning – teaching, are to be devised
and provided to be applied in Portuguese and Turkish higher education
institutions.
In this article we intend to account for the first questionnaire/survey, a more
quantitatively devised data collection instrument, which has been already applied
to the students involved in the study.
Key Words: Images / Social Representations, Intercultural Communication,
Foreign Language Teaching

Introduction
Given the importance of intercultural dialogue in an increasingly globalized world, this research
Project − ―Reciprocal images of Turkish and Portuguese university students: for an intercultural mediation
between Portugal and Turkey‖− intents to contribute to the rapprochement of two countries that appear to be
distant in what concerns the linguistic, cultural, social, and religious factors that structure them, although they
share a similar peripheral geographical position in the European continent, a recent past of some economical
frailty, and an imperial history: Portugal and Turkey.
In the present geopolitical conjuncture, in which Turkey is a candidate for European Union (EU)
membership, the EU must be regarded as constituting, in its plurality, a unitary entity when confronted with a
non-member state, with a majorly Muslim population, and most of its territory geographically located in the
Asian continent.
This project, centered on the reciprocal images of Portuguese and Turkish students who are learning,
respectively, Turkish and Portuguese, as a foreign language, in the higher education context, aims at answering
the need for a cultural mediation between the two countries, and at contributing to a tightening of the relations
between them.

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As higher education institutions are a privileged space for the creation and maintenance of contact and
cooperation between their public, namely through foreign languages teaching /learning programs and
internationalization strategies, they more and more assume the responsibility of fostering ways of developing
their public‘s competences to cope with the raising complexity inherent to contemporary societies. As this
complexity reflects itself on the identity and communication processes, the images/ social representations37 of
the language and culture that each group builds of the other will be analyzed as to set forth a diagnosis of the
shared reciprocal images.
This diagnosis will be taken as a basis for the identification of factors of rapprochement and
distancing between the two groups and the conception of cultural mediation strategies within the framework of
an intercultural approach that, at a formative level and in the context of Higher Education in both countries,
should concur to the promotion of intercultural dialogue as a means of strengthening mutual understanding
between the people from either culture.

1. Theoretical framework
1.1. Educational challenges of a new century – the intercultural requirement
Delors (1996) and Morin (1999) claimed that education in the 21st century ought to be envisaged as a
continual process of individual and collective development, in what respects competences and knowledge. They
also highlighted its role in the tightening of interpersonal, communal, and international relationships, before the
challenges mankind would have to face, realizing that human beings are as deeply involved in each other's
existence as they are in each other's rejection.
Bohm (1980) and Morin (2008) connected the factors hindering human beings from working together
for a common goal with a fragmented and disconnected view of reality, and urged for its reconstruction: it is the
way thought is organized that will enable human-beings to find their place and act in the world as individuals,
and as members of mankind.
In this sense, Abdallah-Pretceille (1999), adopting an intercultural perspective, proposes a conceptual
and methodological paradigm of diversity. He highlights the processes that define individuals and groups in
relation to the Other, regards the questioning of identity facing alterity as an essential value, and adopts a way of
thinking that simultaneously tells apart and reconstructs universality. Proposing a rethinking of cultural
knowledge in a heterogeneous context, and privileging an analysis of complexity over one of structures and
states, implying interpreting and analyzing interactions on a hermeneutical basis that opposes "doing culture" to
"being culture" (cf. Abdallah-Pretceille, 2006).
This conception has a deep bearing on Intercultural Education (IE), which aims at promoting
intercultural competence and dialogue for the development of multicultural democratic societies, by raising the
individual's consciousness of cultural differences; on the construction of a common basis of dialogue rooted on
the knowledge of other cultures and one's own; on the psychological processes of acculturation and intercultural
contact; and on intercultural communication.
We thus recognize, with Birzea (2003), that interculturality is fundamentally characterized by
reciprocal relations and by the capacity of entities to take on shared responsibilities, and create common
identities by developing common projects. It should, therefore, be instituted as a universal element of education
at all levels (Bleszynska, 2008).

1.2. Intercultural Education in Higher Education
In the field of educational policies, the Council of Europe (CoE) has fostered strategies that make the
European space one of privileged Intercultural Dialogue (ID), the role of the higher education institutions being
seen as of paramount importance in its re-enforcement. ID is defined as a process of open exchange of ideas
between individuals and groups of different ethnical, cultural, religious, and linguistic traditions, upon a basis of
mutual respect, aiming at improving understanding of diverse practices and world views, strengthening
cooperation, enabling adaptation of individuals, and promoting tolerance and acceptance of the other (cf. CoE,
2008).
37

As, in this text, the concept of images is used in close association with the concept of social representations we will choose
to maintain the use of only the term ―images‖ as it is the one mostly used in the field of Language Didactics.

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For the CoE, one of the priority purposes of contemporary educational systems is to supply learners
with language and intercultural competences that enable them to efficiently act as citizen members of an
increasingly larger and more complex community, to acquire knowledge, and develop attitudes of openness to
alterity (cf. Beacco, Byram, Coste &amp; Fleming, 2009: s/p), i.e. to develop a view of language and culture learning
based on plurilingual and intercultural educational principles. Therefore, one of the greatest challenges Foreign
Language Teaching faces today is that of supplying learners with language and intercultural competences that
allow them to efficiently interact in a progressively broader community.

1.3. Images of languages and cultures in Foreign Language Education
To face this challenge with the necessary tools it is of paramount importance for Language Education
to act upon the images of the language that students are learning, of the people who speak it, and of their culture.
To achieve this aim, Language Didactics (LD) proposes a concept of images as systems of interpretation of
reality anchored in historical, social-identitary, cognitive and discursive processes, specific to each subject or
group, and partaking in their process of grasping and constructing reality, influencing the ways in which the
subject or group interact with it (Andrade, Araöjo e Sá &amp; Moreira, 2007).
The notion of images in LD adopts the characteristics of an ―immigrant‖, ―nomad‖ and ―carrefour‖
concept (cf. Vasseur, 2001; Muller &amp; De Pietro, 2001), which simultaneously avert its conceptual crystallization
and contribute for it to be approached by multiple theoretical and methodological perspectives.
The reciprocal images of the individuals are understood to be crucial in cross-cultural communication
(cf. Doise &amp; Palmonari, 1986), and the LD reference framework for the images of languages and cultures
constitutes an effective contribution to educational strategies and practices that aim at developing intercultural
communication as an interaction of different world visions.
Consequently, LD, as a scientific discipline aiming at playing an active role within the framework of
complex cultural social-political contexts (cf. Alarcão, Andrade, Araöjo e Sá, Melo-Pfeiffer &amp; Santos, 2009),
puts forward a conception of images rooted on the principle that its comprehension gives access to individual or
group world views, permitting to explain how subjects build reality, and proposes to effectively intervene in the
teaching /learning context (cf. Mariko, 2005; Andrade, Araöjo e Sá &amp; Moreira, 2007 ).
In this sense we intend to follow two approaches to the study of images in the context of Language
Didactics: as diagnosis, testimony, or evidence of social reality; as constitutive of social reality, which implies
working on images through images, so as to contribute to their (re/des)construction (cf. Mariko, 2005).

2. Proposal of a research baseline hypothesis: images of language and culture are related
by mutual implication to Intercultural Competence
This project is developed in the confluence of these two trends of imagological studies in LD. The
ways social images relate to the dimensions focused on by the multidimensional models of intercultural
competence (e.g. Byram, 1997; Risager, 2007) are analysed so as to contribute to the development of the
Portuguese and Turkish students' IC, and promote ID between the two countries.
We, thus, depart from the relation of mutual implication between the dimensions contemplated in the
multidimensional models of IC, and the images of language and culture individuals build of each other. This
relation is implicit in the baseline definitions of both concepts:
− Images: socially constructed, shared knowledge, with practical bearings that contribute to the
construction of a common reality for a determined social group; systems of representation of reality
responsible for the orientation and organization of social behaviour (Jodelet, 1997), accounting for the
ways of interaction with the Other (Doise &amp; Palmonari, 1986, Abric, 1994), and for the subject's
understanding of the social dynamics he takes part in (Vala, 1993).
− IC: adequate, effective management of the interaction between individuals with different affective,
cognitive, behavioral orientations that are a result of different group or cultural affiliations, as this
interaction becomes an intercultural process (Spitzberg &amp; Chagnon, 2009).
We thus intend to contribute to an optimization of diversity on the basis of "reciprocal valuing"
constituted by heterogeneousness − realizing how differences can enrich us, considering how fundamentally
identical we are". (Abdallah-Pretceille &amp; Porcher, 1996: 20). It this sense of mutual enrichment that heartens this
study, and prevails throughout it.

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3. Research project ―Reciprocal images of Turkish and Portuguese university students:
for an intercultural mediation between Portugal and Turkey‖ description
3.1. Main objectives
Three main research objectives structure this project:
1) To diagnose the reciprocal images of Portuguese and Turkish higher education students,
respectively learning Turkish and Portuguese language; account for the factors involved in the
construction of such images; identify and analyse the relations between these images.
2) To devise a theoretical tool based on a referential framework for the development of the
students' Intercultural Competence, and of ID in the Portuguese and Turkish higher education
context.
3) To contribute to Intercultural Education and Foreign Language Teaching with the proposal of
strategic guidelines focused on language education practices aiming at developing the students'
Intercultural Competence, and promoting ID between Portugal and Turkey.

3.2. Main stages
As an eminently imagological comparative study, this project will focus on the reciprocal images of
students of a Turkish university, and of two Portuguese universities, respectively, learning Portuguese and
Turkish as a foreign language in their Higher Education language learning context.
Two distinct, but complementary, sequential stages are contemplated:
a) The first stage is intended to identify, describe and categorize the reciprocal images of the two
groups in question. A comparative analysis of these images will be developed, aiming at the
understanding of how they interrelate in terms of similarity or difference regarding their
nature and function, and of the factors involved in their construction. The interference of the
images on both groups' ability to communicate and relate to each other will also be
scrutinized.
Based on the results, a theoretical referential framework will be constructed highlighting the
interconnection between the conclusions of the analysis and categorization of the images, and
the multidimensional model of Intercultural Competence.
b) The second phase is focused on the development of strategic guidelines of intervention at the
foreign language (Portuguese and Turkish as foreign languages) education level. Based on
the objectives inherent to IE, and on the interconnection of images and Intercultural
Competence, it is intended to improve the students' Intercultural Competence, their
awareness of the intrinsic value of the each other's language and culture , and their ability to
reflect upon their own culture when faced with the other's, as crucial to the development of
positive attitudes regarding diversity.

3.3. Methodological design
Considering that the field of Education research is that of an unrepeatable, mutable reality, with an
undetermined number of conditioning factors, assumptions, and purposes (cf. Amado &amp; Boavida, 2008: 226), a
constructivist approach was adopted, of an ontological and epistemological nature, based on the conception of
knowledge as co-constructed in a collaborative process, focusing on the research process itself, and not
disregarding the intervention and influence of the researcher himself. (cf. Guba &amp; Lincoln, 1994).
It takes the form of a "multiple cases" variant of a case study project, as it includes more than only
one case (cf. Yin, 2009). A contemporary phenomenon is focused on, in a real life context, by means of a
comprehensive research strategy, aiming at approaching its understanding through a systematic, detailed,
intensive, deepened, and interactive examination (cf. Bogdan &amp; Biklen, 1994). The results obtained are not
intended to be generalized, as they aim, on the contrary, at achieving a deeper level of understanding of the
issues in study.
Two imagological complementary approaches are adopted: a thematized approach, which takes
images as elements liable to explain competences inherent to an individual or group, and which aims at

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understanding the individual's world organization system; and a non-thematized or constructivist approach,
which focuses on the dynamical nature of images, and aims at devising educational activities that should favour
the (re)construction of those very images (cf. Vasseur, 2001; Mùller &amp; de Pietro, 2001).
Data collection and analysis are, thus, carried out according to quantitative-qualitative continuum
model (Niglas, 2004), and the following data collection tools were adopted:
1) inquire by questionnaire − Two distinct questionnaires are applied: (1) ―Images‖ will focus
on the reciprocal images of the inquired; (2) "Intercultural‖ will take the form of a selfreport by the inquired on aspects connected with intercultural communication; it is intended
to gather information on how the inquired describe and assess themselves in what concerns
their own intercultural capacities, rather than to assess their intercultural competence levels.
2) focus group technique − inherent to a qualitative research, it propitiates an approach to
different individuals' diverse views on a predefined theme. Based on inductive research
strategies, results are largely descriptive, seen as a way of complementing or deepening the
information gathered through other methods, and contributing to hypothesizing in subsequent
data collecting and analysis phases and / or future research (cf. Stewart; Shamdasani &amp; Rook,
2007);
3) on-line interaction platform − interaction between the two publics in study is recorded in the
form of an on-line platform specially designed for the purpose, in which groups are intended
to interact in order to fulfill a task within the context of a collaborative work to be integrated
in the teaching programs of Portuguese and Turkish language courses attended by the classes
of the students participating in this project.

4. Description of the ―Images‖ questionnaire
This questionnaire is applied to the Higher Education Portuguese and Turkish students attending,
respectively, Turkish and Portuguese as FL language courses in both countries. Four different classes were
selected: two classes of a Portuguese Language course of a Turkish University and two classes of a Turkish
language course of two different Portuguese Universities. The students are attending the second semester of
either the first or second year of the respective language courses.
The construction of this questionnaire, its application and the planning of the subsequent processes of
analysis of its results were guided by the following main research questions:
1. What is the biographical, academic and professional profile of the students involved?
2. What images of the native and foreign languages (Portuguese and Turkish), and of their
speakers and culture are shared by the participants?
3. What are the main factors which are likely to interfere in the construction of the reciprocal
images of the participants?
4. At what level can the images of the two groups of participants be inter-related?
5. What are the implications of these images on the processes of approaching/distancing of the
students regarding their counterpart‘s language, people and culture?
The questionnaire was structured as to obtain an answer to these questions, focusing mainly on the
collection of data related to the reciprocal images of the two groups, and divided in five distinct sections,
presented in Table 1.
Table 1: ―Images‖ questionnaire sections and respective data collection objectives.
Sections
Objectives
1. Personal Data
Describe the subjects in what concerns:
Sex, age, nationality.
Professional experience.
Academic experience (level of education, study cycle, institution, department, and name of
the course being taken, participation and/or desire to participate in mobility programs).
2. Linguistic Biography
Describe the subjects' linguistic biography:
Mother language(s); parents' mother language(s).
Significant experience abroad; reasons for experience; acquisition of the language(s) of the
host country.
FLs learnt; learning context; competence (self-assessment); motivations for learning

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FLs used (contexts and motives).
3. Images of the Turkish
and
Portuguese
Languages

4. Images of the Turkish
and Portuguese people
and cultures

5. Opinions and attitudes
regarding the EU

Describe the self- / hetero – images of the subjects regarding Turkish and Portuguese
languages:
Motivations for learning Portuguese/Turkish as FL.
Level of difficulty in learning Portuguese/Turkish
Images of the Turkish Language.
Images of the Portuguese Language.
Images of the status of the Turkish/Portuguese language in different contexts, and of its future
development.
Describe the images regarding the Turkish and Portuguese people and cultures:
Visits to Turkey/Portugal; contexts of the visit; interest in visiting the country.
Contacts/relationships with Turkish/Portuguese natives or descendents; nature of
contact/relationship.
Images of the Turkish people (self- / hetero-images)
Images of the Portuguese people (self- / hetero-images)
Images regarding the general representation of Turkish people shared by the Portuguese
people.
Images regarding the general representation of Portuguese people shared by the Turkish
people.
Factors concurring to the rapprochement between Portuguese and Turkish people.
Factors concurring to the distancing between Portuguese and Turkish people.
Degree of comfort to establish social and affective relations with Turkish/Portuguese people.
Political and social images of Turkey and Portugal.
Degree of identification with the Turkish/Portuguese people.
Images of the influence of religion on different social and political spheres in Portugal and
Turkey.
Images of the status of Turkey and Portugal at the intellectual, cultural, economical, and
industrial level in different contexts, and of the future development of the two countries.
Describe the opinions and attitudes of the participants regarding the UE:
Positioning regarding the membership of Portugal/Turkey in the EU.
Political and social aspects of the EU.
European identity.
Degree of confidence regarding the future of the EU.
Level of a sense of belonging to a progressively larger geographical or cultural context.
Association of certain political, social, economical, and religious values to the EU, Turkey,
Portugal, or none of them.
Degree of support, or opposition, to the integration of Turkey in the EU.
Challenges that Turkey faces as a candidate State to the integration in the EU.

Concerning the questions typology, a range of Open-ended and Closed-ended formats were selected:
Open-ended; word-associations; multiple-choice (open- and closed-ended); categorical (open- and closedended); Likert-scale.
This instrument had already been subjected to a validation and pre-testing process, having also been
adapted to a digital format to be available on-line. Both the divulgation and filling of the ―Images‖ questionnaire
is processed through the internet.

4.1 Expected outcomes and future valence of the use of the ―Images‖ questionnaire
The treatment of the collected data is expected to:
-

present a characterization of the students' profile;
understand their motivation to learn Portuguese and Turkish as foreign language;
know the nature and level of communicational and relational experiences with their counterpart;
present a characterization of the images that both groups construct regarding their own language
and culture and their counterpart‘s;

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- understand the level of influence of the participants‘ opinions and attitudes regarding the EU on
their reciprocal images (Portugal being a member-State of this institution, and Turkey being a longtime candidate to the integration in the EU)
These results will propitiate the reaching of conclusions on the participants‘ self- and hetero-images
that should provide a basis for a comparative analysis intended to highlight the main similarities and differences
of the nature, characteristics, and background of the reciprocal images of the two groups of students, and elicit
some further conclusions on the factors that might come to play a role in intercultural communication between
Portuguese and Turkish people.
A set of conclusions on the images that either group constructs and shares regarding the other will
have an intrinsic value for the academic research in Language Didactics and IE, as well as for other disciplines in
the area of the social studies.
It will also provide a basis for the planning and construction of the data collection instruments and
techniques to be applied in the development of this research project: the collective interviews (based on the
technique of focus-group) and the on-line interaction platform.
The data collection instruments based on an eminently qualitative methodology will help deepen the
knowledge and understanding of the participants‘ reciprocal images, and of the interconnection between these
images and the participants‘ ability to be involved in effective intercultural communication with each other.

Conclusion
The ultimate aim of this research project is to promote an effective ID between Turkish and
Portuguese people through the proposal of strategic guidelines focused on education practices in foreign
language education (Portuguese and Turkish), in a Higher Education context, intended to further develop the
students' IC and raise their awareness of their counterpart‘s language and culture.
The tightening of the connections between the two countries is seen as extremely beneficial not only
in a conjectural intercultural communication framework to be promoted and developed in the Higher Education
context, at an intellectual, economical, political, and cultural level.
In face of the complexity and variety of the factors involved in the construction and use of the images
of languages and cultures, as well as in the different dimensions that are part of IC, we chose to follow a holistic
paradigmatic approach, in the planning, structuring, and developing stages of the present project. This approach
was based mainly on the epistemological and scientific frameworks presented by Bohm (2008) and Morin
(2008), which are based, respectively, on the conceptions of ―Wholeness‖ and ―Complexity‖. These approaches
are considered fundamental when studying the factors involved in the study of images and intercultural
communication, primarily because both approaches present a conception of the self as a simultaneously
individual and collective reality and give emphasis to the complexity and interconnectedness of this same reality.
The contemporary challenges facing all human beings and nations stress the urgency for a further
epistemological development in science, which has to be based on the development of a ―new way of thinking‖
(Bohm, 2008; Morin, 2008). In this sense, and viewing the world as a ―complex wholeness", this project
answers the need for a transdisciplinary perspective that propitiates the problematization of the questions under
study in a wider and more complex way, allowing for the dissolution of barriers intrinsic to the disciplinary
stratification of sciences, in particular of the Social and Human Sciences (cf. Geertz, 1989). In clear opposition
to the latter's fragmentary view of reality we chose to make use of theoretical frameworks from different
disciplinary scientific areas, as well as to adopt and implement different methodologically based data collection
instruments and processes of analysis of their products. We believe that only by interconnecting different views
and methodologies will it be possible to answer the questions that orientate this project, following, at the same
time, the principle that scientific explanations do not consist in the reduction of complexity to simplicity, but
rather in replacing a less intelligible complexity by a more intelligible one (cf. Levi-Strauss, 1996).
We therefore chose to adopt a holistic approach to face the questions we raised, assuming that only a
holistic approach will make it possible to achieve a simultaneously broader and deeper understanding not only of
the ties that unify individuals as human beings, but also of the factors involved in bringing them apart.
It is through the profound understanding of the complexities involved that strategies based on the
notion of ID may be designed and carried out to promote tolerance and openness to diversity.

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As a final conclusion and a way of portraying the holistic paradigm prevailing throughout this project
we transcribe Daniel Faria's words from his poem ―Labirinto I‖:
―Never again shall I divide
The birds – their singing and their wingsTo find the precise weight
Of their rising body.‖

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