Proc ISOTPAND09 Main-UNNPress

Proceedings of the Second International Seminar on Theoretical Physics & National
Development, July 5 - 8, 2009, Abuja, Nigeria
REVIEW OF 50 YEARS OF PSEUDOPOTENTIAL THEORY†

A.O.E. Animalu1, B. Ezekoye2 and K.E. Essien3
1
Emeritus Professor: Dept. of Physics & Astronomy, University of Nigeria,
Nsukka & Chairman/CEO, International Centre for Basic Research, Abuja
2
Dept. of Physics & Astronomy, University of Nigeria, Nsukka
3
Dept. of Physics, University of Uyo, Uyo, Akwa Ibom
e-mail: 1ibr32@aol.com 3 Kantville@yahoo.com
Abstract
The theoretical and practical aspects of the pseudopotential and model potential methods
in metal physics are reviewed. We start by showing how a formal statement of the
quantum mechanical many-body problem of interacting ions and valence electrons in a
metal lead, in the self-consistent field approximation, to the one-electron problem of
setting up the potential energy function for the motion of a valence electron.We then
review firstly the various pseudopotential theories for simple (non-transition) metals that
began in 1959 with Phillips and Kleinman‘s introduction of the pseudopotential concept
by re-interpretating Herring‘s 1940 orthogonalized plane wave (OPW) method of energy
band structure calculation as a (non-unitary) transformation that orthogonalizes plane
waves to the ion core wave function. Although the OPW-pseudoptential transformation
preserves the energy eigenvalue, it generates a generally non-unique repulsive potential
that cancels most of the deep attractive potential of the bare ions resulting in a net weak
effective potential which could be represented accurately enough by a model potential of
Heine-Abarenkov(HA) type. Secondly, we review the corresponding re-interpretation of
the augmented plane wave (APW) method of energy band calculation for the transition
and rare-earth metals that began in 1965 with Ziman‘s d-band resonance model in terms
of generalized OPW-pseudopotential and transition-metal model potential (TMMP) of
HA type, and tabulate for the first time the TMMP form factors for 27 transition and rare-
earth metals. Finally we review experimental verification of the pseudopotential theories
and a critique of the problems arising from the non-unitary character of pseudopotential
transformation and outline new vistas provided by the discipline of ―hadronic mechanics‖
for handling non-unitarity theories among other problematic aspects leading to fruitful
generalization of the standard (BCS) model for high-temperature superconductivity.
PACS numbers: 71.10.-w, 71.15 Dx, 71.15.-m
† African Journal of Physics Vol.2, pp. 1-45, (2009)

ISSN: PRINT: 1948-0229 CD ROM:1948-0245 ONLINE: 1948-0237
1
1. GENERAL INTRODUCTION AND STATEMENT OF PROBLEM

1.0 General Introduction
In the past fifty years the modelling of the effective potential felt by a
valence electron in metals and semiconductors has assumed a key position in the
determination of the various aspects of the electronic structure of condensed
matter. The potential has been required not only for the calculation of the energy
band structure of the regular solid but also the phonon spectra, the structure
around a defect, scattering probabilities and hence transport properties of the
solid, liquid or alloy phases of condensed matter.
In this paper, we wish to rehearse the statement of the problem before
proceeding with the review (in Sec. 2) of the various aspects of the
pseudopotential formalism developed by Philip and Kleinman[1] in 1959 from the
orthogonaized plane wave (OPW) method of electronic energy band structure
calculation introduced by Herring[2] in 1940. The popularity of the OPW method
in the first six years (1959-1965) due to its successful application to theoretical
and experimental understanding of the geometry of the Fermi surface of metals
(Gold[3], Harrison[4], Heine and others[5]) climaxed with the introduction of a
model potential by Heine and Abarenkov[6]) which simplified the computational
aspects and led Animalu and Heine[7] to the production of tables of model
potential form factors for 25 non-transition elements which were described by
Harrison in his 1966-published book[8] as ―the best values currently available‖.
In Sec. 3 we shall describe the second high point dealing with the re-
interpretation of the augmented plane wave method (APW) (Loucks[9]) as a
phase-shift transition-metal pseudopotential method by Ziman[10] and others.
This led to the construction of a generalized transition-metal pseudopotantial by
Harrison [11] in 1969 and the corresponding transition-metal model potential
(TMMP) by Animalu [12] in 1973. The form factors obtained from mainframe
computers in ref.[12] were largely unpublished at the time but have recently been
recomputed on laptop with Fortran77 programme developed by Essien[13] who
also successfully applied it to the computation of the phonon spectrum of cobalt.
The form factors for 27 transition elements will be presented for the first time in
this paper and the most recent application of the TMMP form factors to laptop
computation of the phonon spectrum of cobalt will also be given.
Finally in Sec. 4, we shall review experimental verification of the pseudopotential
theory and a critique of well-known formal problem of the OPW-pseudopotential
method presently ignored by condensed matter physicists, namely the fact that the
2
pseudopotential transformation is non-unitary and therefore does not conserve

probability. We shall highlight a new vista for resolving this problem permited by the
discipline of ―hadronic mechanics‖ with intriguing successful application to high-
temperatire superconductivity[14] and draw the attendant conclusions.
1.1 Statement of the Problem
The problem of setting up the potential energy function for a many-body
quantum mechanical system has been well known from the late 1920s when it
arose in the determination of structure of many-electron atoms in the Periodic
Table. In the physics of metals, we are similarly dealing with a large number of
particles – ions and valence electrons. An ion consists of the atomic nucleus and
the core electrons tightly bound to it. The valence electrons, more or less, form a
Fremi gas. On a macroscopic scale the net charge of the electron gas completely
neutralizes that of the ions so that the solid is electrically neutral. However, on a
microscopic scale, each valence electron feels the field of the ions and the
fluctuations in the density of the gas of other valence electrons on which the
electronic properties of the material depend. A description of such microscopic
processes requires setting up the potential felt by a valence electron in the
material and solving the appropriate wave equation for the energy eigenvalues or
bands and the wave functions of the valence electron, subject to suitable periodic
boundary conditions. Although the interaction between any pair of electrons or
between an electron and a proton is known to be Coulomb in character, an exact
solution would be extremely complicated for the 1023 electrons per cubic
centimeter in a normal metal. In fact, one has to solve an N-electron equation:
 2 
 p
  

H   i  V ri , R  12   
e2 
  E (1.1.1)
 2m i ,  i  j ri  r j 
 i 
   
  (r1 , r2 , r3 ,...., rN ) (1.1.2)
where pi  i / ri is the momentum operator of the ith electron, V ri , R  is its
   
  1
interaction with the  th ion which needs to be set up, and the term with ri  r j
represents the interaction of the ith and jth electrons.
The Hartree and/or Hartree-Fock self-consistent field methods which have
been very successful in setting up the potential due to the ions consist of writing
(1.1.2) as the symmetrized product of one-electron wave functions,  k :
N


 k (ri ) (1.1.3)
i 1
3
so that the energy, E , is then the sum of one-electron energies, E k ; the last term
in (1.1.1) represents now the exchange and correlation interaction of the electron
gas (Slater[15]) which is frequently denote simply by  . The long-range character
of the exchange and correlation interactions,  leads to an ―infinite self-energy‖
which is the classic problem of quantum electrodynamics and quantum field
theory.
We shall base this review of fifty years of pseudopotential theory on the
following formulation of the valence electron problem in terms of the concepts of
―bare‖ and ―effective‖ potentials. The eigenstates  k and the energy eigenvalues
E k are given by the solution of the wave equation:
 2 2 
   V H    k  E k k (1.1.4)
 2m 
 
where VH is the Hartree potential and  is a mass operator or ―self-energy‖

representing the exchange and correlation interactions. The total density of the
valence electrons is given by
 n(k )
 *  
 (r )  k (r ) k (r ) (1.1.5)
k
n(k ) being an occupation number and the summation over spin indices being

understood. The procedure in recent years is then to consider VH ,  and  (r ) in
(1.1.4) and (1.1.5) as the sum of three contributions due to
(i) the ions,

(ii) a uniform density of valence electrons  0 (r ) neutralizing the
ionic charge, and
(iii) the change or fluctuation,  in (1.1.2) from the constant value
 0 as a result of choosing a ―test‖ valence electron in the system
(i) and (ii), and considering its interaction with the other electrons.
In other words, one imagines an array of positive ions immersed in a rigid
uniform jelly of valence electrons in (i) and (ii), and then includes the effect of
(iii) which is to ―unfreeze‖ the jelly. The potential due to (i) and (ii) is called the
b
potential of the ―bare‖ ions, or simply the ―bare‖ potential, V (which is usually
represended by a pseudo or model potential) and the resulting potential after
taking into account the screening action of the electron gas arising from the
4
density fluctuations (iii),is called the ―effective‖ or ―self-consistent‖ or ―screened‖

potential Veff (or U) of the valence electron in the material.
2. THE POTENTIAL OF THE BARE IONS

2.1 Introduction
Considerable experience has been accumulated in the task of setting up the
bare potential, V b , from band structure calculations (see, for example, the 1964
review by Heine [5]). From the results of these calculations and experimental
studies of the shapes of the Fermi surface, (notably the experimental map of the
Fermi surface of lead by Gold[3] in 1958 and its theoretical extensions to
aluminium and other polyvalent metals by Harrison[4] over the period 1959-64),
it became clear that the valence electron in simple metals behaved effectively as if
it were nearly free: i.e., its wave function,  , in the region between the atomic
cores is very close to a simple plane wave or a simple linear combination of plane
waves; in the region inside the atomic cores  behaves like an atomic wave
function with several oscillations or sharp wiggles on account of the strong
attractive core potential in this region. But it has been shown, as we shall outline
presently, that these wiggles can be looked upon either as a manifestation of the
exclusion principle which requires the valence electron states to be orthogonal to
the core orbitals or as indicative of high kinetic energy of the electron
corresponding to several phase changes of 2 before it reaches the edge of the
strong attractive potential well. In either case, the effect is to cancel most of the
attractive potential resulting therefore in a weak net potential which is called the
pseudo-potential, V ps , and which acts on a new wave function,  . Thus (Fig.2.1)


Fig.2.1: True wave function  and Pseudowave function  .

in the region between the ion cores  may be represented by a simple linear
combination of plane waves but in the region of the core it does not possess the
5
sharp wiggles of the actual  . In fact  in the region inside the atomic cores may
be looked upon as a smooth extrapolation of the simple plane wave from the
region outside the cores into the core region.
2.2 Pseudopotential Transformation
A. The OPW-Pseudopotential
We now proceed to show how the cancellation of the strong negative
potential energy of the bare ions by the positive kinetic energy terms arising from
the oscillations of the actual  comes about: this is the essence of the 1940s
orthogonalized plane wave (OPW) method of band structure calculation (Herring
[2]) and the pseudopotential theories of Phillips and Kleinman[1], Harrison[4],
Heine and others[5]. There are at least two ways of looking at the change from 
to  : (i) as a mathematical transformation and (ii) in terms of phase shifts. If we
mathematically transform the Schrodinger equation:
 2 2 
H      V   E (2.3.1)
 2m 
using
   v   c c (2.3.2)
c
where  v and  c are respectively the valence and core eigenfunctions of the
same Hamiltonian operator, H, in (2.3.1) and  c are arbitrary, the summation
being over the core states, then we obtain
 2 2 
   V ps    E  . (2.3.3)
 2m 
As the  c are arbitrary, a variety of V ps are obtainable from the various choices
 
of  c . For example, if we set,   k , a plane wav of wave vector k , and set

c   c k (2.3.4)
6
 
the matrix element of k and  c , then we have made k orthogonal to the
core states (Herring[2], Phillips and Kleinman[1]). Equation (2.3.2) takes the form

 v  (1  Q) k
or more generally,

 v   ak (1  Q) k  (1  Q)  (2.3.5)
k
where
Q  c c (2.3.6)
c
is a projection operator which projects a function on the core states (Pick and
Sarma[5] ) and

   ak k (2.3.7)
k
is the pseudowave function which is a simple linear combination of plane waves.

On setting up secular equation for band structure calculation (2.3.5) implies we
obtain rapid convergence of the secular equation on the basis of the nearly free
electron model. Equivalently, (2.3.3) and (2.3.6) imply
V ps   V    ( Ek  Ec )  c  c  , (2.3.8)
c
where the second term may be interpreted as a repulsive potential, VR (Phillips

and Kelienman[1]). As the energy of valence band Ek is always higher than those
of the core states Ec , it follows that VR is always positive and consequently
cancels most of the negative attractive potential, V , in the first term. The
arbitrariness in V ps is now apparent from the fact that if we add any arbitrary set
of core functions, the orthogonality condition (2.3.4) immediately subtracts it out
and we obtain exactly the same eigenvalue, E , in (2.3.1) and (2.3.3) for the new
 -equation.
Various forms of V ps have, therefore, been obtained by smoothing  in
some sense. Cohen and Heine[5] invoked a minimum principle for the kinetic
7
energy term subject to all variations of  : in contrast, Harrison[4] used a

maximum principle for the potential energy. Austin, Heine and Sham[5]
formulated a completely general form of V ps which can be used for realistic
calculations and applies to the free atomic energy states as well as to the solid:
V ps   V    Fc   c (2.3.9)
c
where Fc are completely arbitrary core functions. The particular choice:
Fc  V c (2.3.10)
leads to the minimum principle in the sense of Cohen and Heine[5]. In actual
calculation, one starts by determining the atomic psudo-potential from (2.3.9)
written in the form
V ps  V   Fc  ( c /  ) (2.3.11a)
c
on the basis of which the second term may be calculated from each angular
momentum state, s, p, d, etc by projecting out each state from the Hartree-Fock
equation for each atomic pseudo-state; and simplification emerges by expressing
it in the form:
V ps  V  VRl (r )l (2.3.11b)

l
where l is a projection operator which picks out a particular angular momentum

l
state, l, and VR is the repulsive part of the pseudo-potential expanded according
l
to the spherical symmetry of V (r ) . As each VR varies slightly with the energy,
the pseudo-potential in solids is obtained from the atomic one by smoothly
l
extrapolating the energy dependence in VR . A review of the current state of art
is available in the Cambridge-published 2004 book by Martin[16] entitled
Electronic Structure: Basic Theory and Practical Methods. Cambridge. UK.
B. The Heine-Abarenkov Model Potential

Another way of looking at the transformation from  to  is in terms of
the phase shifts,  l . In the Born approximation, a weak perturbing short-range
8
spherically symmetric potential. W. produces at a distance r, for an angular

momentum state, l, with energy  k / 2m , a phase shift :
2 2
 l (k , r )  m0 W (r ' ) J l2 (kr' )r ' dr '

r
1 (2.3.12)
2
The cross-section.  , for the scattering of a particle in W is given in terms of  l

by
4

k2
 (2l  1) sin 
l
2
l
(2.3.13)
Consequently, phase shifts differing by integer multiples of  produce the same

effect, implying in view of (2.3.12) that the weakest possible W producing exactly
the same phase shift is all that is require. In a very deep potential well the several
oscillations of the actual wave function  correspond to several phase changes of
2  before the electron reaches the edge of the well. The elimination of these
wiggles by the use of a smooth  is therefore equivalent to reducing these several
phase changes and amounts to choosing a weak scattering potential W or a
pseudo-potential V ps from which all the nodes in  in the region of the cores
have been eliminated. This may be achieved by ―relaxing‖ the condition on the
 c in (2.3.1) and one obtains a pseudo-potential (sketched in Fig. 2.2) which, for
historical reasons, has been called the model potential (Heine and Abarenkov[6]):
  Al ( E )l , r  RM

V ps or VM   l z (2.3.14)
  , r  RM
 r
Here, RM is a model radius, z is the valence of the atom or ion under

consideration, l is the projection operator defined already in (2.3.11b), and the
parameters Al (E ) are functions of the energy determined by the atomic
spectroscopic term values, E, for each l=0,1,2, etc.
9
M
RM
r
VM
Fig. 2.2: The Heine-Abarenkov Model Potential
In the solid, these atomic Al are smoothly extrapolated in the spirit of the
quantum defect method (Ham[17]).Moreover, in the actual application and
determination of the model potential, the approximation that
Al  A2 , l  2 (2.3.15)
is also made, and consequently (2.3.14) becomes
 A2  ( A0  A2 )0  ( A1  A2 )1 , r  RM

VM   z (2.3.16)
  , r  RM
 r
Apart from the complications in the idea of phase shifts introduced by the
Coulomb tail in the region r  RM , the whole point of the ―relaxation‖ of the
condition on  c in (2.3.2) is to produce a model wave function  M having no
nodes in the region 0  r  RM , that is, reproduces the phase shifts (modulo  ).
b
We turn next to the question of representing the bare potential, V of the
b
whole solid by the pseudo- or model potential. V may be regarded as a
superposition of the atomic pseudo- or model potentials centered about each
atomic site: that is,
 
V b   v b (r  R j ) (2.3.17)
where
10
v b  Vps or VM (2.3.18)

is the pseudo- or model potential associated with each ion at position R j .
However, the use of the pseudo-wave function  rather than the actual wave
function  v where
v     c c , (2.3.19)
c
results in the reduction of the charge density of the valence electrons near the core
 v   and a heaping up in the region between the ion cires. Thus
2 2
where
instead of  0 (r ) defined at Eq.(1.1.5) being equal to a constant everywhere,
where z is the valence, and  0 the atomic volume, it is now (1   ) z /  0
everywhere,  being a small correction, together with an extra positive charge of
z  electronic charges more or less uniformly spread over a sphere of radius RC
equal to that of the ion core. This effect may be visualized by imagining a plane
v
2
wave turning into atomic-like oscillations inside the core, the mean value of
 v has to
2 2
being replaced by a factor two (mean value of cos x ); moreover,
drop at a radius a bit bigger than that of the core radius RC because its outer node
has to come fairly far out in the main bump of the outer shell of the core states in
order to preserve orthogonality between them. Thus we expect,
 factor between   radius a bit 

       / Ra (2.3.20)
 and 1   bigger than R C 
1
2
Ra being the radius of a sphere of volume  0 . The value
  Rc / Ra 
3
(2.3.21)
was suggested by Heine and Abarenkov[6], the potential due to this correction
being called the ―orthogonalization correction‖
11
  3 r2 
   z   , r  RC
 2R 3 
v OC   C 2 RC  (2.3.22)
  z , r  RC
 r
There is another small correction called the ―correlation correction‖ which affects
the charge density and gives rise to a correlation correction potential,
   (  ), r  RC
v CC   C 0 (2.3.23)
 0 r  RC
where C (  0 ) is the local correlation potential depending on the electron

density  0 in the item (ii) of Sec 1. It is a contribution from the correlation part
(which we denoted by a suffix c) of the self-energy term  due to  0 . Similar
contribution  C (  ion ) where ion is the density of the tightly bound core
electrons, has already been included exactly in the model potential of the bare ion.
In the approximation of Kohn and Sham[18] which is valid for non-transition
metals,
 C  C (  ) (2.3.24)
 being the total electron density, which in terms of the correlation energy (per
electron), EC , is give by
C 
d
EC   EC   dEC (2.3.25)
d d
The last term is about 0.01 Ry which in taking the matrix element of v CC is
reduced by the ratio of ionic to atomic volume (nearly ten times), and so,
C  EC (2.3.26)
will serve for calculations accurate to 0.01 Ry (see, Table 2.1)
12
Table 2.1: Values of EC and  C for a uniform electron gas
rS EC C rS EC C
(atomic (Ry) (Ry) (atomic (Ry) (Ry)
units) units)
1.6 -0.101 -0.108 3.4 -0.077 -0.090
1.8 -0.098 -0.106 3.6 -0.075 -0.088
2.0 -0.095 -0.104 3.8 -0.073 -0.085
2.2 -0.092 -0.102 4.0 -0.071 -0.083
2.4 -0.090 -0.100 4.2 -0.069 -0.081
2.6 -0.087 -0.098 4.4 -0.068 -0.079
2.8 -0.084 -0.096 4.6 -0.066 -0.076
3.0 -0.082 -0.094 4.8 -0.065 -0.074
3.2 -0.079 -0.092 5.0 -0.064 -0.072
In the range of metallic densities, EC and C vary slowly with density (see,
table 2.1) and in the limit of high density inside the ions they also vary slowly as
(Gell-Mann and Bruckner [19])
EC  0.0622 ln rS (2.3.27)
where rS in atomic units is the usual radius giving the volume per electron. The
correction v CC is seen to arise from the non-additivity of the correlation energy as
a function of density; a screened exchange part is additive and so doesn‘t
13
contribute. On the other hand, the non-homogeneity of the valence electyron

density described as the orthogonalization correction above also affects the charge
density in the correlation and exchange hole in  : it tends to cancel the
orthogonalization correction in the direct Hartree potential. As a compromise, in
place of  in (2.3.22) we use
3
R 
 eff   C
1
2
 (2.3.28)
 Ra 
In view of these corrections, we have in place of (2.3.18)
v b  v M  v OC  v CC (2.3.29)
The form (2.3.17) for the bare potential allows a very important
factorization of the matrix elements which is characteristic of diffraction theory
(Harrison [4], Sham and Ziman[20]). Fourier expansion of (2.3.17) takes the
form:
  
V b ( r )  const.  

' A( q )exp(iq .r) (2.3.30)
q

where each Fourier component A( q) may be factored as
   
A( q)  S(q) k  q v b k (2.3.31)
and  ' excludes the term q=0. In (2.3.31)
1  
S(q)  
N j
exp( iq .R j ) (2.3.32)
is the structure factor which depends on the arrangement of the ions, but is quite
independent of the individual ionic potentials. The matrix element,
    
   1     
k  q v b k   exp  i k  q .r v b ( r ) exp ik.r d 3 r (2.3.33)

is the Fourier component of the potential associated with a single ion and is
independent of the arrangement of the ions (except through th volume per ion).
Thus the factorization (2.3.31) includes solid metals, liquid metals, and metals
14
disturbed by a vacancy, dislocation or phonon. In the case of an alloy with several

atomic species,  , we generalize (3.2.31) to
   
A( q)   S (q) k  q v b k (2.3.34)

As a result of the factorization, the task of setting up the bare potential has
reduced to constructing a pseudo- or model potential for a single ion of a material.
2.3 The Effective Potential

This section is a review of the ideas about the effective potential which was
defined in Sec.1. It has been shown from the recent developments in many-body
theory (see, for example, Pines[21], Nozieres and Pines[22]) that the infinite self-
energy of the electron gas is a consequence of the long-range character of
electron-electron interactions, and may be removed by a process analogous to the
elimination of photon self-energy parts in the analysis of the S-matrix in quantum
electrodynamics. Bohm and Pines[23] introduced the concept of plasma
oscillations; Landau (see, e.g. Nozieres[24]) described in his theory of Fermi
liquids many of the properties of interacting Fermions in terms of a set of weakly
interacting elementary excitations called quasi-particles; finally, Gell-mann and
Bruckner[19], and Hubbard[25] formulated perturbation theory which could be
applied to a many-body system with long-range forces. It is argued that on
treating the Fermi gas of valence electrons in a metal as free, that is, suppose that
the background of ions just ensures electrical neutralioty of the gas at equilibrium,
then the effect of ―switching on‖ the electron-electron interaction in the system is
to induce density fluctuations (  ) which could be described as a polarization
cloud, P, carried by any chosen test electron. The polarization cloud screens the
bare interaction of the test electron with all other electrons of the system, the bare
interaction v b being reduced by a factor 1/(1  P) . v b is then said to be
―renormalized‖ or ―screened‖ or we may say that such electron feels a net short-
range effective potential,
v eff  v b /(1  P) . (2.3.1)
P has been calculated in various approximations. For example, in the random

phase approximation (RPA), it was given for an electron gas by Lindhard [26]:
15
4e 2
P(q)  N ( E F ) g ( q / 2k F ) (2.3.2)
q 2
where N ( E F ) is the density of states at the Fermi surface and
1  x2  1  x
g ( x)   
1 1
 ln (2.3.3)
 x  1 x
2 4
For an electron-phonon field, if  q is the phonon frequency,  q the electron-

phonon matrix coupling matrix element, E k the electron energy spectrum and 
the normalization volume, then it is easy to show as in (2.3.2) that
  
2 q2 1 n(k )  n(k  q)
P(q) 
q  k
 E E (2.3.4)
k k q

where n(k ) is the Fermi distribution function. The function,
 ( q )  1  P( q ) (2.3..5)
is the response or the dielectric function and has been related to the familiar
macrosciopic dielectric constant in an insulator by Nozieres and Pines[22]. It has
also been formulated by Ehreinreich and Cohen[27] in terms of linearized self-
consistent field approximation using density matrix; Kadanoff and Baym[28]
defined it in terms of the variational derivatives of Schwinger‘s action principle;
and there are several other equivalent formulations using for example the Fermi-
liquid theory of Landau of basically the same physical consequences. In the metal,
the treatment of screening in thr Hartree approximation was first used by Bardeen
[29] but has been formulated in terms of Lindhard[26] dielectric function by
Cohen and Phillips[30]. The latter authors argued that since the pseudo-potential
is weak, it could be treated as a perturbation of the free electron gas in the Hartree
approximation. In the perturbation expansion, the electron states are pseudo-
waves which are approximately plane waves apart from the ―orthogonality‖
correction to the screening electron densities mentioned earlier. Thus, in zero
order the charge density is constant and its contribution to the potential is
uninteresting. The first order screening potential contributes to the energy in the
second order, but the screening to higher order can be seen only to affect the
energy in the third order. Theefore, to second order the screening is required only
16
to first order and so each Fourier component of the bare potential (2.1.31) may be
screened independently so that the effective potential

  A(q) 
U ( r ) or Veff ( r )  Const.   ' exp(iq. r ) (2.3.6)
q  (q)
The major effect of the screening is to cancel any long-range potentials arising
from the charge distribution of the system. This cancellation may be related to the
behavior of the dielectric function  (q) at long wavelength (q  0) , as
discussed for example by Sham and Ziman[20], and by Heine and Abarenkov[6]
There are other effects due to the non-locality of the bare potential (2.1.31)
discussed by Animalu[31] as refinements for accuracy in quantitative calculations
of electronic structure.
3. MODEL POTENTIAL FOR TRANSITION AND RARE-

EARTH METALS IN THE RESONANCE MODEL
3.1. Introduction
It is well-known (Loucks[9]) that the usual OPW-pseudopotential methods should
fail for the incomplete d-electron core state of the transition metals and the f-
electron core states of the rare-earth metals. Consequently, the d- and f- states are
usually described by the APW-pseudopotential method by introducing   2 and
  3 phase-shifts of the resonance type. The main contributors to the
clarification of the resonance idea are J.M.Ziman[10], G. J. Morgan [32], V.
Heine [33] and J. Hubbard [34]. Heine especially related Ziman‘s formulation
based on the Korringa-Kohn-Rostaker (KKR) method to the parallel Linear
Combination of Atomic Orbitals (LCAO)-OPW interpolation scheme developed
by C. Hodges, H. Ehrenreich and N. D. Lang [35] and F.M. Mueller[36]. The
experimental evidence for the validity of the resonance model came subsequently
in the photoemission studies by N. V. Smith and co-workers[37] ealier analyzed
by his group in the framework of the LCAO-OPW interpolation scheme.
These works provided the motivation for the early efforts to extend the OPW-
pseudopotential method to the transition metals by Harrison[11] and Moriarty[38]
This was achieved by reformulating the pseudopotential method as an expansion
in an overcomplete set made up of plane waves, atomic core states and atomic d-
states. The final theory was unduly complicated by the special status given to the
treatment of the d-state and the resonance potential associated with it.
17
Consequently, a model potential method of Heine-Abarenkov-type, called

Transition-Matel Model Potential (TMMP) was designed by Animalu[12] to
simulate the   2 resonance in the transition metals and the   3 resonance in
the rare-earth metals through the corresponding model potential well-depths,
A2 E   Ed  E  and A3 E   E f  E  , where E d
1 1
and E f are the
resonance energies. This means that the basic form of the Heine-Abarentkov
model potential for the simple metals is retained for all metals throughout the
Periodic Table. The distinction between simple, transition , and rare-earth metals
lies in the singular (mathematical) behavior of the model potential well-depths in
the transition-group and rear-earth-group of metals, which can be handled by
analytical continuation into the complex energy plane[39] or what is the same
thing, by the use of the T-matrix for the appropriate partial-wave states. This
approach is evidently more fundamental inasmuch as it unifies the treatment of all
metals in a comprehensive model potential theory.
In order to appreciate the formal structure of the model potential for the transition
and rare earth metals, we proceed to review Harrison‘s pseudopotential
transformation theory for the transition metals as the conceptual framework for
setting up an internally consistent computational TMMP method..
3.2 The Transition-Metal Pseudopotential Transformation
The objective of the pseudopotential or model potential method in simple metal
theory is to replace the one-electron wave equation for a Bloch electron in a
crystal,
 2 2 
   V   k  E k  k (3.2..1)
 2m 
by a pseudowave equation
 2 2 
    VOPW   k  E k  k (3.2.2)
 2m 
where VOPW is understood to be weaker than the true potential V and the
pseudowave function  k is generally a plane wave or a simple linear combination
of plane waves. The transformation that relates the true Bloch function  k to the
pseudowave function  k is
18

V 
 k  1  OPW   k (3.2.3)
 E k 
for the class of pseudopotentials and model potentials of the form

VOPW  V   Ek  Ec  c c (3.2.4)
c
where the c ‘s are the ion-core states. For, if we take the partial derivative of
VOPW with respect to E k , and substitute for VOPW / E k in Eq. (3.2..3) we obtain
~ ~
the standard result,
 k  1  P  k (3.2.5)
where
P c c (3.2.6)
c
is the projection operator ( P 2  P ) that orthogonalizes  k to the ion-core states

~
c . The depletion hole or orthogonalization correction associated with (3.2.3) is,

accordingly, given by
VOPW
  1 z  n   (3.2.7)
E k k
 
k k

k
where the summation is over the occupied states in the Fermi distribution
characterized by the distribution function n k , and z is the chemical valence.
Now let us consider Harrison‘s generalization[11] of the OPW-

pseudopotential transformation (3.2.3) to the transition metals:
 d d 
 k  1  P   k
~
 k  1   c c   d d   
Ed  Ek 
(3.2.8)
~
 c d d  
In a typical transition metal, such as vanadium, c runs through

the 1s 2 2s 2 2 p 6 3s 2 3 p 6 while d runs through the 3d 3 ,  k characterizes the ionized
4s 2 free-electron states; and   V  d V d is the hybridization potential
19
which generates the d -band resonance in the energy band structure. The
corresponding pseudowave equation turns out to be,
 d d 
 2

   / 2m   W  
2
  k  E k  k (3.2.9)
 d ( Ed  Ek ) 


where W is essentially the usual OPW-pseudopotential operator:

 
W  V   E k  Ec  c c  ( E k  E d ) d d  d d    d d . (3.2.10)
c d
What we call the transition-metal OPW-pseudopotential (including the resonance

term) is:
d d
VOPW  W  
d E d  E k 
. (3.2.11)
The generalization consists of the addition of the extra resonance term that is
proportional to Ed  Ek  . The presence of this term implies, however, that the
1
depletion hole associated with the d-state is infinite, because the summation over
k in (3.2.7) is divergent whenever the domain includes the point Ek  Ed .
Moreover, the resonance term leads to an expression for VOPW / E k , which is
~
~
not identical with an expression for P in Eq. (3.2.8), i.e,
VOPW d d ~
  c c  d d  
d E d  E k 
P . (3.2.12)
E k c d
2
~
However, in ref.[39] it was shown how to remove the divergence in Harrison‘s

transformation and relate VOPW / E k to P . It is necessary to allow a small
~
imaginary part, i.e. a resonance width, in Eq. (3.2.11), by making the replacement
~ d d
VOPW  V OPW  W   (3.2.13)
d E d  E k  i
and correspondingly
20
 d d (i) 
 k  1  P'   k (3.2.14)
~
 k ~k  1   c c   d d   
 c d d E d  E k  i   
~
The replacement guarantees that near E k  E d , we have real part of P equals
~
d d
V~ 
/ E k   c c  
E  E k   2
OPW 2
(3.2.15)
d d d
so that we generate a finite depletion hole. Moreover, if we define
d d (i)
Ps   c c   d d , Pr   (3.2.16)
c d d E d  E k  i
then, because d  d  0 and d c  0 , and if it is assumed that  is nearly

constant over the core states so that d  c  0 , we have
PS2  PS , Pr2  0, PS Pr  Pr , Pr PS  0 . (3.2.17a)
Thus
PS  Pr 2  PS2  Pr PS  PS Pr  Pr2  PS2  PS Pr  PS  Pr  (3.2.17b)
~ ~
This is the basic property ( P ' 2  P ' ) of a valid pseudopotential transformation. In
~
the modified pseudopotential V OPW we in effect replaced the ordinary
pseudopotential by a T-matrix pseudopotential.
It was on the basis of this concept that Animalu[12] defined a model potential of
the Heine-Abarenkov type for the transition and rare-earth metals – called the
transition-metal model potential (TMMP) – by observing that s-d hybridization
could be incorporated in the framework of the model potential method through
  2 well-depth of the form,
A2   
C
, (3.2.18)
 3d   
21
where C is a constant (independent of  ). Starting from a modified quantum

defect relation in Eq. (3.2.19), one could write the true potential seen by a valence
electron in the state n,   in the presence of a positive transition-metal ion as
Vn r   U n r    n
1
(3.2.19)
2
where the potentials are in atomic units, i.e., double rydberg, and  n is in
rydberg. Thus the true radial wave equation for the electron is
 d 2   1 
 2  2
 2U n r   n r   E n   n  n r  . (3.2.20a)
 dr r 
It is as if the electron experiences a modified potential U n that is Coulombic at
large r (greater than the ion core radius) corresponding to a modified energy
spectrum of the form given by the old quantum defect method,
z2
 n  E n   n  (3.2.20b)
n   n 2
We therefore replace U n by a model potential VM , so as to reproduce the
modified term values  n .
With this interpretation of the energy to which the model potential well-depths
A   should refer in the transition metals, it was found that the TMMP had
precisely the same form as the simple-metal model potential (2.2.14) for   0 , 1
and includes an   2 resonance term through a well-depth of the form (3.2.18).
The well-depths A in the solid can therefore be determined from the observed
spectroscopic term values by extrapolating to the appropriate energy, E F say, of
an electron at the Fermi level in the spirit of the quantum defect method. In
practice, because of the scarcity of spectroscopic data for the transition-group
metals, the parameters of E F were obtained by correlating the transition metals
along row of the Period Table.
3.3 The Screened Transition-Metal Model Potential Form Factors.
So far we have emphasized the (mathematical) similarities between the simple-
metal model potential and the transition-metal model potentials. This means in
practice that the calculation of the screened model potential form factor for the
22
transition should follow the procedure outlined for the simple-metal model
potential in Sec. 2.3, with TMMP expressed in the explicit form:
 C  ( A0  C )0  ( A1  C )1  ( A2  C )1 , r  RM


VM   z (3.3.1)
  , r  RM
 r
z
where C = ; Al (l  0,1,2) are the model potential parameters; and l (l = 0, 1,
RM
2) are the projection operators of the lth angular momentum of an incident one-
electron wave-function. l For various applications involving scattering of
electrons near the Fermi surface, the effective potential may be calculated in the
local screening approximation in the form,
  
k V k q 
  
Bq   F k , k  q.
 (3.3.2)
 q 
where
8
Bq    sin qRM   qRM cosqRM   8z 2 cosqRM 
0q 3
0q
(3.3.3)
 4 Ec 24z eff 
  3
sin qRc   qRc cosqRc 
  0 q  0 q 2 qRc  
3
For k  q  k ,
~ ~ ~

  
F k , k  q  
0

2 3

RM  A0  C   j 0  x   [cos( x) / x] j1 ( x)
2

12 3
0

RM  A1  C   j1  x   j 0 x  j 2  x P1 cos  
2
(3.3.4a)

20 3
0
 
RM  A2  C  j 2  x   j1 x  j 3 x  P2 cos  
2
where,
23
 q2 
cos   1  2  ; P1 cos    cos  , P2 cos    3 cos 2   1;
1
 2k  2
3 j x 
j0 x   j1 x   , j 2 x   1  j0 x 
sin x sin x cos x
, 2

x x x x
5 j 2 x 
j3  x    j1 x  .
x
 
For k  q  k ,
8RM3  A0  C 
  
F ,k,k  q   
0 x 2  y 2
xj1 x  j0  y   yj1  y  j0 x 
 
24RM3  A1  C 


0 x 2  y 2  
xj 2 x  j1  y   yj 2  y  j1 x P1 cos  '  (3.3.4b)
40RM3  A2  C 


0 x  y
2 2
 
xj 3 x  j2  y   yj 3  y  j2 x P 2 cos  ' 
where
x  kRM ,
 

y  k  q RM , and cos  '  x 2  y 2  qRM  2 xy .
2

1
4ze 2  2   q 
 q   1  1  f q  2 
E F    (3.3.5)
0 q  3   2k F 
1 1 1 y  1 y q2
 y   f q  
1
   ln ; .
2 4  y 2  1  y 2 q 2  k F2  k S2
Apart from the inclusion of the resonance term, the expressions are the same as
those for the simple metals.
We list in Table 3.1, all the parameters required to evaluate the form factor
  
V q   k V k F  q for all the 27 transition metals and in Table3.2 the form
factors.
24
Table 3.1: Transition-Metal Model Potential (TMMP) Parameters for 27

Transition Metals
A0 A1 A2 RM 0 z m* Rc  eff Ec
 kF P element
0.250 0.400 0.215 2.200 79.400 1.000 1.000 1.814 0.157 0.086
8.930 0.921 7.655 Cu
0.223 0.400 0.218 2.600115.400 1.000 1.000 2.381 0.245 0.082
10.500 0.813 4.857 Ag
0.150 0.500 0.212 2.600114.600 1.000 1.000 2.589 0.317 0.082
19.280 0.815 3.609 Au
1.600 1.650 1.400 2.000168.700 3.000 1.000 1.531 0.045 0.090
2.990 0.716 18.678 Sc
0.750 1.300 1.100 2.00 223.100 3.000 1.000 1.739 0.049 0.087
4.480 0.653 11.539 Y
0.900 1.400 0.850 2.000252.200 3.000 1.000 2.154 0.083 0.096
6.170 0.626 8.698 La
2.300 2.500 2.100 2.000119.000 4.000 1.000 1.285 0.037 0.096
4.510 0.805 28.747 Ti
1.150 1.700 1.500 2.000157.000 4.000 1.000 1.493 0.044 0.095
6.510 0.734 18.136 Zr
1.300 1.800 1.350 2.000150.200 4.000 1.000 1.474 0.045 0.095
13.200 0.745 13.313 Hf
3.250 3.550 2.900 1.600 93.900 5.000 1.000 1.115 0.031 0.101
6.090 0.871 39.189 V
1.700 2.300 2.250 2.000121.300 5.000 1.000 1.304 0.038 0.100
8.580 0.800 25.558 Nb
1.750 2.350 2.250 2.000121.300 5.000 1.000 1.285 0.038 0.100
16.660 0.800 18.342 Ta
1.600 1.470 1.400 2.500 80.600 3.000 1.000 1.191 0.044 0.102
7.190 0.916 25.211 Cr
25
2.300 2.930 2.500 2.000105.500 6.000 1.000 1.323 0.046 0.100

10.220 0.838 32.310 Mo
2.300 2.850 2.500 2.000106.500 6.000 1.000 1.172 0.032 0.101
19.250 0.835 23.321 W
0.890 0.980 0.870 2.200 81.900 2.000 1.000 1.512 0.088 0.095
7.470 0.911 16.228 Mn
3.100 3.200 3.300 2.000 96.500 7.000 1.000 1.058 0.026 0.102
11.500 0.863 38.850 Tc
2.950 3.550 3.300 2.000 99.300 7.000 1.000 1.058 0.025 0.102
21.030 0.855 27.919 Re
1.600 1.470 1.400 2.000 79.800 3.000 1.000 1.400 0.072 0.090
7.870 0.919 24.339 Fe
1.150 1.700 1.500 2.000 91.900 4.000 1.000 1.266 0.046 0.098
12.360 0.877 22.486 Ru
1.300 1.800 1.350 2.000 94.800 4.000 1.000 1.304 0.049 0.098
22.580 0.868 16.127 Os
0.990 1.050 0.980 2.200 74.900 2.000 1.000 1.360 0.070 0.094
8.900 0.939 16.256 Co
0.750 1.300 1.100 2.000 92.600 3.000 1.000 1.285 0.048 0.096
12.360 0.875 16.737 Rh
1.300 1.800 1.350 2.000 95.500 4.000 1.000 1.285 0.047 0.098
22.550 0.866 16.020 Ir
0.990 1.050 0.980 2.200 73.600 2.000 1.000 1.304 0.063 0.093
8.910 0.944 16.534 Ni
0.890 0.750 0.870 2.600 99.300 2.000 1.000 1.512 0.073 0.091
12.000 0.855 10.560 Pd
0.970 1.110 0.850 2.600101.600 2.000 1.000 1.512 0.071 0.091
21.470 0.848 7.716 Pt
Note: All quantities are in atomic units except E c which is in rydberg;  0 and Rc
are taken from C. Kittel‘s book [p. 38 of ref.[40] and the General Electric X-ray
26
periodic chart of elements respectively, and the parameter A2 applies to E  E F .

 is the density, k F is the Fermi wave number, and  P is the computed ion
plasma frequency (of interest for computation of phonon frequencies, see
Sec.3.4).
  
Table 3.2: Form Factors V (q)  k F V k F  q of the Transition-Metal Model
Potential (TMMP)
Here, as in Table 8-4 of Harrison‘s book[ 8] the first column for each metal is
q / 2k F ; the second column is the form factor in rydbergs. For q  2k F these
correspond to initial and final states on the Fermi surface; for q  2k F these
correspond to initial state on the Fermi surface and initial and final states
antiparallel. These are reproduced from Fortran77 programme output adapted by
Essien from Animalu‘s mainframe Fortran 44 programme based on the analytical
  
expression for V (q)  k F V k F  q in Eqs.(3.3.2), and sketched for Copper in
Fig. 3.1.
V (q)
0.15
0.1
0.05
0
0 0.5 1 1.5 2 2.5 q /3 2kF
-0.05
-0.1
Series1
-0.15
-0.2
-0.25
-0.3
-0.35
-0.4
Fig.3.1. The Screened TMMP Form Factor for Copper (Cu)
27
Cu Ag Au
q / 2k F V (q) q / 2k F V (q) q / 2k F V (q)

0.00 -0.34539 0.00 -0.26919 0.00 -0.27044
0.10 -0.33473 0.10 -0.26176 0.10 -0.26302
0.20 -0.30223 0.20 -0.23880 0.20 -0.23987
0.30 -0.25076 0.30 -0.20157 0.30 -0.20162
0.40 -0.18574 0.40 -0.15275 0.40 -0.15010
0.50 -0.11574 0.50 -0.09761 0.50 -0.08971
0.60 -0.04946 0.60 -0.04233 0.60 -0.02612
0.70 0.00695 0.70 0.00798 0.70 0.03572
0.80 0.05071 0.80 0.05041 0.80 0.09285
0.90 0.08178 0.90 0.08434 0.90 0.14471
1.00 0.24600 1.00 0.08594 1.00 0.15780
1.10 0.10490 1.10 0.11689 1.10 0.20509
1.20 0.09682 1.20 0.11032 1.20 0.19780
1.30 0.08305 1.30 0.09722 1.30 0.18011
1.40 0.06644 1.40 0.08062 1.40 0.15615
1.50 0.04907 1.50 0.06270 1.50 0.12895
1.60 0.03239 1.60 0.04505 1.60 0.10086
1.70 0.01741 1.70 0.02881 1.70 0.07366
1.80 0.00479 1.80 0.01473 1.80 0.04871
1.90 -0.00512 1.90 0.00327 1.90 0.02696
2.00 -0.01223 2.00 -0.00537 2.00 0.00901
2.10 -0.01661 2.10 -0.01123 2.10 -0.00486
2.20 -0.01854 2.20 -0.01450 2.20 -0.01465
2.30 -0.01837 2.30 -0.01551 2.30 -0.02058
2.40 -0.01654 2.40 -0.01469 2.40 -0.02309
2.50 -0.01354 2.50 -0.01250 2.50 -0.02273
2.60 -0.00983 2.60 -0.00944 2.60 -0.02018
2.70 -0.00585 2.70 -0.00596 2.70 -0.01610
2.80 -0.00199 2.80 -0.00246 2.80 -0.01117
2.90 0.00144 2.90 0.00071 2.90 -0.00600
3.00 0.00420 3.00 0.00331 3.00 -0.00113
28
Sc Y La
0.00 -0.43470 0.00 -0.36080 0.00 -0.33249
0.10 -0.42407 0.10 -0.34916 0.10 -0.32339
0.20 -0.39240 0.20 -0.31450 0.20 -0.29594
0.30 -0.34235 0.30 -0.26006 0.30 -0.25208
0.40 -0.27997 0.40 -0.19239 0.40 -0.19625
0.50 -0.21388 0.50 -0.12074 0.50 -0.13544
0.60 -0.15190 0.60 -0.05379 0.60 -0.07684
0.70 -0.09877 0.70 0.00285 0.70 -0.02554
0.80 -0.05599 0.80 0.04702 0.80 0.01610
0.90 -0.02288 0.90 0.07907 0.90 0.04796
1.00 0.00509 1.00 0.10140 1.00 0.05113
1.10 0.01793 1.10 0.10641 1.10 0.08112
1.20 0.02691 1.20 0.10148 1.20 0.08161
1.30 0.03091 1.30 0.09073 1.30 0.07648
1.40 0.03136 1.40 0.07667 1.40 0.06780
1.50 0.02938 1.50 0.06112 1.50 0.05712
1.60 0.02586 1.60 0.04543 1.60 0.04562
1.70 0.02146 1.70 0.03057 1.70 0.03415
1.80 0.01671 1.80 0.01724 1.80 0.02336
1.90 0.01198 1.90 0.00591 1.90 0.01370
2.00 0.00756 2.00 -0.00318 2.00 0.00546
2.10 0.00367 2.10 -0.00993 2.10 -0.00119
2.20 0.00042 2.20 -0.01441 2.20 -0.00621
2.30 -0.00211 2.30 -0.01679 2.30 -0.00964
2.40 -0.00391 2.40 -0.01732 2.40 -0.01159
2.50 -0.00500 2.50 -0.01634 2.50 -0.01226
2.60 -0.00546 2.60 -0.01419 2.60 -0.01183
2.70 -0.00536 2.70 -0.01125 2.70 -0.01057
2.80 -0.00483 2.80 -0.00787 2.80 -0.00871
2.90 -0.00397 2.90 -0.00439 2.90 -0.00648
3.00 -0.00292 3.00 -0.00108 3.00 -0.00412
29
Ti Zr Hf
0.00 -0.66456 0.00 -0.55245 0.00 -0.56900
0.10 -0.64347 0.10 -0.52769 0.10 -0.54446
0.20 -0.58312 0.20 -0.45524 0.20 -0.47198
0.30 -0.49145 0.30 -0.34779 0.30 -0.36478
0.40 -0.38359 0.40 -0.22429 0.40 -0.24160
0.50 -0.27577 0.50 -0.10567 0.50 -0.12327
0.60 -0.17915 0.60 -0.00700 0.60 -0.02457
0.70 -0.09768 0.70 0.06531 0.70 0.04835
0.80 -0.03000 0.80 0.11149 0.80 0.09593
0.90 0.02786 0.90 0.13520 0.90 0.12198
1.00 0.05010 1.00 0.14189 1.00 0.13199
1.10 0.10120 1.10 0.12563 1.10 0.11871
1.20 0.10804 1.20 0.09995 1.20 0.09608
1.30 0.10505 1.30 0.07140 1.30 0.07030
1.40 0.09490 1.40 0.04376 1.40 0.04498
1.50 0.07996 1.50 0.01945 1.50 0.02247
1.60 0.06231 1.60 -0.00014 1.60 0.00413
1.70 0.04382 1.70 -0.01435 1.70 -0.00939
1.80 0.02607 1.80 -0.02319 1.80 -0.01804
1.90 0.01034 1.90 -0.02709 1.90 -0.02218
2.00 -0.00245 2.00 -0.02683 2.00 -0.02253
2.10 -0.01177 2.10 -0.02341 2.10 -0.01996
2.20 -0.01743 2.20 -0.01790 2.20 -0.01544
2.30 -0.01962 2.30 -0.01134 2.30 -0.00992
2.40 -0.01882 2.40 -0.00469 2.40 -0.00426
2.50 -0.01571 2.50 0.00129 2.50 0.00084
2.60 -0.01110 2.60 0.00603 2.60 0.00489
2.70 -0.00583 2.70 0.00921 2.70 0.00760
2.80 -0.00067 2.80 0.01073 2.80 0.00888
2.90 0.00374 2.90 0.01068 2.90 0.00882
3.00 0.00695 3.00 0.00933 3.00 0.00764
30
V Nb Ta
0.00 -0.90308 0.00 -0.76137 0.00 -0.76137
0.10 -0.86885 0.10 -0.71983 0.10 -0.72060
0.20 -0.77106 0.20 -0.60176 0.20 -0.60459
0.30 -0.62873 0.30 -0.43427 0.30 -0.43976
0.40 -0.46956 0.40 -0.25366 0.40 -0.26155
0.50 -0.31965 0.50 -0.09329 0.50 -0.10265
0.60 -0.19407 0.60 0.02823 0.60 0.01869
0.70 -0.09646 0.70 0.10728 0.70 0.09886
0.80 -0.02360 0.80 0.14917 0.80 0.14308
0.90 0.03034 0.90 0.16243 0.90 0.15972
1.00 0.07180 1.00 0.15617 1.00 0.15783
1.10 0.08656 1.10 0.12266 1.10 0.12675
1.20 0.08946 1.20 0.08368 1.20 0.08946
1.30 0.08448 1.30 0.04691 1.30 0.05356
1.40 0.07445 1.40 0.01631 1.40 0.02305
1.50 0.06155 1.50 -0.00623 1.50 -0.00006
1.60 0.04745 1.60 -0.02033 1.60 -0.01524
1.70 0.03343 1.70 -0.02669 1.70 -0.02297
1.80 0.02046 1.80 -0.02672 1.80 -0.02447
1.90 0.00922 1.90 -0.02222 1.90 -0.02136
2.00 0.00016 2.00 -0.01509 2.00 -0.01539
2.10 -0.00653 2.10 -0.00712 2.10 -0.00826
2.20 -0.01084 2.20 0.00025 2.20 -0.00138
2.30 -0.01293 2.30 0.00599 2.30 0.00422
2.40 -0.01310 2.40 0.00952 2.40 0.00791
2.50 -0.01174 2.50 0.01073 2.50 0.00951
2.60 -0.00932 2.60 0.00988 2.60 0.00916
2.70 -0.00627 2.70 0.00749 2.70 0.00731
2.80 -0.00305 2.80 0.00423 2.80 0.00452
2.90 -0.00002 2.90 0.00080 2.90 0.00143
3.00 0.00251 3.00 -0.00222 3.00 -0.00140
31
Cr Mo W
0.00 -0.71129 0.00 -0.94360 0.00 -0.93768
0.10 -0.68039 0.10 -0.88754 0.10 -0.88073
0.20 -0.60111 0.20 -0.72701 0.20 -0.71821
0.30 -0.48580 0.30 -0.50794 0.30 -0.49739
0.40 -0.36147 0.40 -0.28216 0.40 -0.27135
0.50 -0.24972 0.50 -0.09251 0.50 -0.08338
0.60 -0.16038 0.60 0.04200 0.60 0.04765
0.70 -0.09172 0.70 0.12248 0.70 0.12310
0.80 -0.03562 0.80 0.16001 0.80 0.15423
0.90 0.01773 0.90 0.16793 0.90 0.15441
1.00 0.07760 1.00 0.15866 1.00 0.13591
1.10 0.09416 1.10 0.11746 1.10 0.09441
1.20 0.09485 1.20 0.07430 1.20 0.05301
1.30 0.08365 1.30 0.03681 1.30 0.01872
1.40 0.06465 1.40 0.00836 1.40 -0.00567
1.50 0.04200 1.50 -0.01014 1.50 -0.01979
1.60 0.01957 1.60 -0.01941 1.60 -0.02485
1.70 0.00053 1.70 -0.02119 1.70 -0.02301
1.80 -0.01302 1.80 -0.01775 1.80 -0.01682
1.90 -0.02016 1.90 -0.01145 1.90 -0.00876
2.00 -0.02119 2.00 -0.00440 2.00 -0.00093
2.10 -0.01736 2.10 0.00181 2.10 0.00519
2.20 -0.01055 2.20 0.00614 2.20 0.00880
2.30 -0.00283 2.30 0.00818 2.30 0.00977
2.40 0.00395 2.40 0.00806 2.40 0.00847
2.50 0.00849 2.50 0.00628 2.50 0.00563
2.60 0.01016 2.60 0.00353 2.60 0.00214
2.70 0.00909 2.70 0.00058 2.70 -0.00119
2.80 0.00596 2.80 -0.00194 2.80 -0.00370
2.90 0.00183 2.90 -0.00359 2.90 -0.00501
3.00 -0.00218 3.00 -0.00418 3.00 -0.00506
32
Mn Tc Re
0.00 -0.53706 0.00 -1.10978 0.00 -1.08882
0.10 -0.51850 0.10 -1.03215 0.10 -1.01717
0.20 -0.46434 0.20 -0.81988 0.20 -0.81991
0.30 -0.38205 0.30 -0.54146 0.30 -0.55761
0.40 -0.28480 0.40 -0.27322 0.40 -0.29866
0.50 -0.18810 0.50 -0.06870 0.50 -0.09209
0.60 -0.10381 0.60 0.05518 0.60 0.04582
0.70 -0.03732 0.70 0.10713 0.70 0.12240
0.80 0.01144 0.80 0.10586 0.80 0.15461
0.90 0.04559 0.90 0.07021 0.90 0.15993
1.00 0.10052 1.00 0.01505 1.00 0.15317
1.10 0.07356 1.10 -0.02116 1.10 0.11107
1.20 0.06841 1.20 -0.04538 1.20 0.06918
1.30 0.05830 1.30 -0.05539 1.30 0.03432
1.40 0.04587 1.40 -0.05279 1.40 0.00901
1.50 0.03297 1.50 -0.04123 1.50 -0.00656
1.60 0.02088 1.60 -0.02513 1.60 -0.01367
1.70 0.01041 1.70 -0.00866 1.70 -0.01442
1.80 0.00205 1.80 0.00492 1.80 -0.01116
1.90 -0.00403 1.90 0.01367 1.90 -0.00610
2.00 -0.00787 2.00 0.01702 2.00 -0.00101
2.10 -0.00969 2.10 0.01557 2.10 0.00291
2.20 -0.00984 2.20 0.01078 2.20 0.00507
2.30 -0.00871 2.30 0.00444 2.30 0.00545
2.40 -0.00674 2.40 -0.00168 2.40 0.00438
2.50 -0.00435 2.50 -0.00623 2.50 0.00246
2.60 -0.00191 2.60 -0.00846 2.60 0.00031
2.70 0.00028 2.70 -0.00828 2.70 -0.00151
2.80 0.00202 2.80 -0.00615 2.80 -0.00264
2.90 0.00318 2.90 -0.00290 2.90 -0.00294
3.00 0.00373 3.00 0.00054 3.00 -0.00249
33
Fe Ru Os
0.00 -0.71604 0.00 -0.78950 0.00 -0.77332
0.10 -0.68697 0.10 -0.74293 0.10 -0.73125
0.20 -0.60360 0.20 -0.60802 0.20 -0.60732
0.30 -0.48243 0.30 -0.41958 0.30 -0.43343
0.40 -0.34784 0.40 -0.21928 0.40 -0.24646
0.50 -0.22426 0.50 -0.04526 0.50 -0.08130
0.60 -0.12694 0.60 0.08193 0.60 0.04266
0.70 -0.06027 0.70 0.15890 0.70 0.12174
0.80 -0.02136 0.80 0.19216 0.80 0.16155
0.90 -0.00432 0.90 0.19155 0.90 0.17103
1.00 -0.00289 1.00 0.16725 1.00 0.14624
1.10 -0.00163 1.10 0.11930 1.10 0.12185
1.20 -0.00426 1.20 0.06914 1.20 0.07944
1.30 -0.00798 1.30 0.02534 1.30 0.04047
1.40 -0.01108 1.40 -0.00810 1.40 0.00894
1.50 -0.01274 1.50 -0.02979 1.50 -0.01341
1.60 -0.01277 1.60 -0.04020 1.60 -0.02645
1.70 -0.01135 1.70 -0.04106 1.70 -0.03116
1.80 -0.00891 1.80 -0.03485 1.80 -0.02929
1.90 -0.00595 1.90 -0.02436 1.90 -0.02295
2.00 -0.00296 2.00 -0.01226 2.00 -0.01429
2.10 -0.00034 2.10 -0.00085 2.10 -0.00523
2.20 0.00166 2.20 0.00822 2.20 0.00268
2.30 0.00289 2.30 0.01397 2.30 0.00844
2.40 0.00335 2.40 0.01615 2.40 0.01157
2.50 0.00317 2.50 0.01509 2.50 0.01210
2.60 0.00250 2.60 0.01158 2.60 0.01043
2.70 0.00156 2.70 0.00663 2.70 0.00725
2.80 0.00057 2.80 0.00134 2.80 0.00336
2.90 -0.00031 2.90 -0.00334 2.90 -0.00048
3.00 -0.00095 3.00 -0.00672 3.00 -0.00361
34
Co Rh Ir
0.00 -0.57002 0.00 -0.64843 0.00 -0.76953
0.10 -0.55102 0.10 -0.61477 0.10 -0.72776
0.20 -0.49688 0.20 -0.51660 0.20 -0.60472
0.30 -0.41429 0.30 -0.37439 0.30 -0.43199
0.40 -0.31688 0.40 -0.21570 0.40 -0.24615
0.50 -0.21990 0.50 -0.06871 0.50 -0.08184
0.60 -0.13454 0.60 0.04849 0.60 0.04167
0.70 -0.06538 0.70 0.12994 0.70 0.12064
0.80 -0.01169 0.80 0.17797 0.80 0.16061
0.90 0.03008 0.90 0.19859 0.90 0.17042
1.00 0.06483 1.00 0.19948 1.00 0.15124
1.10 0.07579 1.10 0.16695 1.10 0.12208
1.20 0.07655 1.20 0.12512 1.20 0.07999
1.30 0.07056 1.30 0.08268 1.30 0.04118
1.40 0.06033 1.40 0.04437 1.40 0.00967
1.50 0.04781 1.50 0.01296 1.50 -0.01277
1.60 0.03456 1.60 -0.01026 1.60 -0.02598
1.70 0.02179 1.70 -0.02508 1.70 -0.03091
1.80 0.01041 1.80 -0.03217 1.80 -0.02927
1.90 0.00107 1.90 -0.03278 1.90 -0.02311
2.00 -0.00589 2.00 -0.02853 2.00 -0.01458
2.10 -0.01035 2.10 -0.02117 2.10 -0.00559
2.20 -0.01244 2.20 -0.01240 2.20 0.00234
2.30 -0.01246 2.30 -0.00371 2.30 0.00817
2.40 -0.01087 2.40 0.00376 2.40 0.01140
2.50 -0.00817 2.50 0.00922 2.50 0.01204
2.60 -0.00492 2.60 0.01232 2.60 0.01048
2.70 -0.00163 2.70 0.01306 2.70 0.00739
2.80 0.00129 2.80 0.01175 2.80 0.00355
2.90 0.00352 2.90 0.00893 2.90 -0.00028
3.00 0.00489 3.00 0.00523 3.00 -0.00345
35
Ni Pd Pt
0.00 -0.57671 0.00 -0.47233 0.00 -0.46517
0.10 -0.55718 0.10 -0.45415 0.10 -0.45458
0.20 -0.50162 0.20 -0.40386 0.20 -0.42421
0.30 -0.41714 0.30 -0.32860 0.30 -0.37460
0.40 -0.31792 0.40 -0.24306 0.40 -0.31066
0.50 -0.21959 0.50 -0.16299 0.50 -0.23902
0.60 -0.13343 0.60 -0.09977 0.60 -0.16532
0.70 -0.06390 0.70 -0.05790 0.70 -0.09212
0.80 -0.01009 0.80 -0.03636 0.80 -0.01880
0.90 0.03175 0.90 -0.03121 0.90 0.05734
1.00 0.13078 1.00 0.03413 1.00 0.14114
1.10 0.07728 1.10 -0.03468 1.10 0.16813
1.20 0.07766 1.20 -0.03179 1.20 0.17500
1.30 0.07130 1.30 -0.02845 1.30 0.16605
1.40 0.06073 1.40 -0.02418 1.40 0.14518
1.50 0.04791 1.50 -0.01906 1.50 0.11645
1.60 0.03443 1.60 -0.01349 1.60 0.08384
1.70 0.02149 1.70 -0.00803 1.70 0.05105
1.80 0.01003 1.80 -0.00320 1.80 0.02126
1.90 0.00068 1.90 0.00059 1.90 -0.00315
2.00 -0.00622 2.00 0.00311 2.00 -0.02070
2.10 -0.01057 2.10 0.00433 2.10 -0.03086
2.20 -0.01253 2.20 0.00439 2.20 -0.03399
2.30 -0.01241 2.30 0.00355 2.30 -0.03120
2.40 -0.01069 2.40 0.00217 2.40 -0.02413
2.50 -0.00790 2.50 0.00060 2.50 -0.01464
2.60 -0.00460 2.60 -0.00085 2.60 -0.00461
2.70 -0.00131 2.70 -0.00193 2.70 0.00435
2.80 0.00155 2.80 -0.00252 2.80 0.01104
2.90 0.00368 2.90 -0.00257 2.90 0.01479
3.00 0.00492 3.00 -0.00216 3.00 0.01549
36
3.4 Application of TMMP to Computation of Phonon

Spectrum of Cobalt.
As an example of the application of the table of form factors, it is useful to
rehearse the computation of the phonon frequencies in a metal based on Toya‘s
self consistent field method[41]. One sets up the dynamical matrix,

D  (q )  D
c
 D
r
 D
e
, (3.4.1)
from which the corresponding phonon frequencies may be written as:
 2  c2  r2  e2 (3.4.2)
where i2  M 1 D i (i=c, r, e), and c labels the Coulombic part, r the repulsive
part; and e the electronic part. In the small ion core approximation, there is no
exchange-overlap interaction, and Eq. (3.4.2) reduces to:
 2  c2  e2 (3.4.3)
Since the Coulombic contribution,  c2 is well known (see, for example ref.[13])
for cubic crystals, the phonon frequencies  2 defined by Eq. (3.4.3) can be
evaluated by computing e2 from the expression(Cochran[42]:
 

 e2 (q )    p2 
q H 
   
q  H    H
 
H

p 
 
 2 G ( q  H )   2
2 G ( H ) (3.4.4)
H qH H 0 H
 
where H is a reciprocal lattice vector, and the function G(q ) is given by:
2
  4ze (1   eff )   (q)  1
2
G (q )  
2
v b (q) (3.4.5)

 0q 2 
  (q)1  f (q)
  
where v b (q)  q  k F ( v M  v oc  v cc ) k F is the form factor of the full bare ion
model-potential, eff is the orthogonalization charge linked with Voc; and (q) is
the usual Hubbard-Sham modification for exchange and correlation via the
function f(q) given by Eq.(3.3.5).
In the past three decades, the above TMMP formalism has been used for
computing the phonon frequencies for a number of transition metals[43] based on
mainframe Fortran 44 programme. Recently, however, this programme has been
37
modified by Essien[13] to Fortran77 version for laptops. For this reason, suffice
it to display in Fig. 3.2 the phonon frequencies of face-centered cubic cobalt along
the [001], [011] and [111] high symmetry directions computed from Eqs.(3.4.3)
and (3.4.4) by Essien[13] using the same laptop programme that we have used in
this paper to generate and cross-check our Table 3.2 of TMMP form factors with
the mainframe unpublished results obtained in 1973 by Animalu[12,13].
  
 [001] X [011]  [111] L
(aq / 2 )   (aq / 2 ) (aq / 2 ) 
The good agreement between theory and experiment confirms the continued
effectiveness of the TMMP method for exploring the various aspects of the
electronic structure and properties of the transition and rare-earth metals.
38
4. EXPERIMENTAL VERIFICATION AND CRITIQUE OF THE

PSEUDOPOTENTIAL THEORY
4.1 Experimental Verification
In the Preface to his 1966-published book entitled Peudopotentials in the
Theory of Metals, Harrison[8] described pseudopotential theory as the ―single
point of view from which virtually all the properties of simple (non-transition)
metals may be studied‖. This statement was conifirmed at about the same time by
further applications of the model potential by Heine and co-workers[44] and
empirical pseudo potentials by M.L. Cohen and co-workers[45], to mention a few.
Our limited review in Sec. 3.4 of successful applications of the subsequent
generalization of the theory to the transiton and rare-earth metals as transition-
metal model potential (TMMP) was intended to show that the same verdict
applies not only to the simple metals but to all metals.
Nevertheless, there are shortcomings of the pseudopotential theory
especially the approximate of uniform electron gas density incorporated in the
―correlation correction‖ (2.3.23) which have dictated the need to extend the
principles Hartree-Fock method developed by Kohn and Sham[18] known as the
density functional theory (DFT) in a number of important areas, such as the
estimation of the band gaps of semiconductors and insulators[46]. A more serious
short-coming is associated with the ―orthogonalization correction‖(2.3.22) which
deserves further clarification to which we now turn.
4.2 Critique of Pseudopotential Theories and New Vistas

In spite of the experimental verification of the pseudopotential theory in
metal physics, the non-unitary character of pseudopotential transformation makes
the theory unsatisfactory as a quantum theory inasmuch as non-unitary theories
violate conservation of probability and hence conservation of electric charge,
which is the source of the ―orthogonalization correction‖, and it also violates to
some extent Pauli‘s exclusion principle. It is no wonder then that, beginning from
early 1990s, considerable effort [14] has gone into bringing the pseudopotential
theory in line with generalizations of non-unitary theories into iso-unitary ones in
the framework of the discipline of ―hadronic mechanics‖.
To highlight the main novel feature of the new vista that has emerged, consider a
pseudopotential of Austin-Heine-Sham form[5] arising from orthogonalization of
a pseudowave to an arbitrary functional of a singlet core function c  e  r / R and
a pseudowave function,   (1  e  r / R ) so that in Eq.(2.3.11a) we have:
39
c e r / R
V AHS  V  Fc   V0
 1  e r / R   VH (r ) (4.2.1)
where VH is a Huthen-type model potential. By using the formal expansion,


1
1 e r / R
 
k 0
e kr / R (4.2.2)
one readily finds the Fourier transform[47]:
V H (q)
   ( q  k / R ) r     e ( q  k / R ) r  
   
 
   e  qr e  kr / R rdr   
q  0 k 0
e dr     
0 k 0  q  0 k 0  (q  k / R) 0 
  1   1   R2  
R2
          
q  k 0 (q  k / R)   k 0 (q  k / R) 2   k 0 (qR  k ) 2   ( qR1)  2
R2 R
  . (4.2.3)
qR  1  1 q
Note, in contrast, that the Fourier transform of Coulomb ( 1 / r )-potential is

proportional to 1 / q 2 .
If we expand e  r / R to first order in the denominator, we get
e r / R e r / R
VH  V0  

1  e r / R V0
r / R 
(4.3.4)
i.e., an approximate Yukawa potential. And it happens that one can solve exactly
the Schrodinger equation for a two-particle bound state problem in the exact
Hulthen potential ( VH ) and find just a single low-lying bound level that permitted
Santilli[48] in 1978 to identify a compressed positronium (e   e  ) atom with
the neutral pion (  0 ) and the compressed hydrogen atom ( p   e  ) with the
(Rutherford-Santilli) neutron at inter-paticle separation of order r0  10 13 cm . A
consistent way of reformulating the underlying non-unitary pseudopotential
theory into an axiomatically consistent (iso-unitary) theory gave birth to the
discipline of ―hadronic mechanics‖[48]. The dividend for condensed matter
physics was realized when Animalu[14] developed a similar solution of a Hulthen
40
potential model of a Cooper pair[14], CP  (e   Cu z   e  ) VH , in the high-

Tc superconducting cuprate materials, which correctly predicted the dependence
of Tc on the effective valence (z) of the copper ion ―trigger‖ in the framework of
―hadronic mechanics‖. An elebaoration of this theory to the iron pnictides by
Animalu, Akpojotor and Ironkwe[14] will be presented in this Seminar. But the
intriguing new vista is the extension of model (Hulthen) potential theory to the
wide range of interparticle separation, 10 8 (cm)  r  10 13 (cm) , of interest for
exploring the state of condensed matter from absolute zero to million degrees (K).
One of the outstanding problems (of high temperature superconductivity) in this
regime is to explain the coexistence of electron and proton superconductivity in
a neutron star (represented as condensed H 2 system based on the self-explanatory
analogy sketched in Fig.3.3, in which the electron Cooper pair mediates proton
Cooper pairing.
CP ~ (e  , e  ) HM
p  (k ' ) p  p 
p  (k )
p  (k ' )
p  (k ) p  p 
(a) (b)
Fig. 3.3(a): Attractive proton-proton interaction mediated by

virtual “phonon” exchange in the conventional BCS model; (b)
Attractive proton-proton pairing due to overlapping of proton
wave functions around electron pair CP ~ (e  , e  ) HM
“trigger” in 1s2 -state envisaged in “hadronic” superconductivity
.model.
41
5. SUMMARY AND CONCLUSION

We have reviewed the theoretical and practical aspects of pseudopotential
and model potential theories of simple and transition metals in the past fifty years,
in order to provide adequate details required for effective use of the method and
the tables of model potential form factors in contemporary computational solid
state physics. The review has also provided an opportunity to introduce an
unequivocal extension of pseudopotential (non-unitary) transformation theory
from its foundation in atomic/molecular structure calculations of 20th C solid state
physics to nuclear/subnuclear structure problems of 21st Century theoretical
physics now in progress. Our conclusion is a re-affirmation of Harrison‘s dictum
cited earlier that pseudopotential theory remains the single point of view from
which virtually all the properties of condensed matter characterized by
interparticle separation in the range 10 8 (cm)  r  10 13 (cm) may be studied.
REFERENCES
[1] Philips, J.C. and Kleinman, L. Phys. Rev. 116, 287, 880 (1959).
[ 2] C. Herring, Phys. Rev. 57, 1169 (1940)
[3] A. V. Gold, Phil. Trans. Roy. Soc. London, A251, 85 (1958).
[4] W.A. Harrison, Fermi Surface of Aluminium Phys. Rev. 116, 555 (1959);
Band Structure of Aluminium Phys. Rev.118, 1182 (1960); Electronic
Structure of Polyvalent Metals, Phys. Rev. 118, 1190 (1960); Band
Structure and the Fermi Surface of Zinc, Phys. Rev. 126, 497 (1962);
Electronic Strucutre and the Properties of Metals: I. Formulation, Phys.
Rev. 129, 2603 (1963), II. Application to Zinc, Phys. Rev. 129, 2512
(1963); Electronic Structure of a Series of Metals, Phys. Rev. 131, 2433
(1963); Theory of Sodium. Magnesium and Aluminium, Phys. Rev. 136,
A1107 (1964).
[5] V. Heine Proc. Roy. Soc. (London) 240, 361 (1957); M. H. Cohen and V.
Heine Phys. Rev. 122, 1821 (1961); B.J. Austin, V. Heine and L.J. Sham,
Phys. Rev. 127, 276 (1962); W.A. Ashcroft, Phil. Mag. 8, 2055 (1963); R.
Pick and G. Sarma, Phys. Rev. 135, A1363 (1964); Antoncik, E. J. Phys.
Chem Solids 10, 314 (1959); F. Bassani and V. Celli, J. Phys. Chem.
Solids 20, 64 (1961).
42
[6] V.Heine and I.V.Abarenkov Philos Mag, 12, 529 (1964), A.O.E. Animalu
Philos. Mag. 11, 379 (1965); P. Y. Yu and M. Cardona Fundamentals of
Semi-Conductors, Springer-Verlag. Berlin (1999)..
[7] A.O.E. Animalu and V. Heine, The Screened Model Potential for 25
Elements Phil. Mag. 12, 1249-70 (1965). Cohen, M.L and Heine, V.
(1970). Solid State Physics vol 24, ed F. Seitz and D Turnbull, New York,
37;
[8] Harrison, W. A. (1966) Pseudopotentials in the theory of metals.
Benjamin Press. New York.
[9] T.L. Loucks, The Augumented Plane Wave Method, Benjamin Press, N.Y.
(1960).
[10] J.M. Ziman, Proc. Phys. Soc. London 86, 337 (1965),
[11] W.A.Harrison, Phys. Rev. 181, 1036 (1969)
[12] A.O.E. Animalu, Electronic Structure of Transition Metals, I. Quantum
Defects and Model Potential, Phys. Rev., B 8, 3542 (1973)
[13] K.E. Essien, Fortran 77 Implementation of the Transition- Metal Model
Potential (TMMP) Code: An Application to fcc-Cobalt (M.Sc. Thesis,
University of Nigeria, Nsukka (PG/M.Sc./03/34268). A.O.E. Animalu
Electronic Structure of Transition Metals, II. Phonon Spectra Phys. Rev.
B8, 3555 (1973).
[14] A.O.E. Animalu, Applications of Hadronic Mechanics to the Theory of
Pairing in High-Tc Superconductors, Hadronic J. 14,459 (1991); Iso-
supercuductivity: A Nonlocal Nonhamiltonian Theory of Pairing in High-
Tc Superconductors, Hadronic J. 17, 349 (1994); A.O.E. Animalu and
R.M. Santilli, Nonlocal Isotopic Representation of the Cooper Pair in
Superconductivity, Int. J. Quantum Chemistry, 29, 175 (1995).
[15] J.C. Slater, Phys. Rev. 81, 385 (1951).

[16] R. M. Martin, Electronic Structure: Basic Theory and Practical Methods.
Cambridge. UK. (2004)
[17] F.S. Ham in Solid State Physics (ed. F. Seitz and D. Turnbull) Academic
Press, N.Y. Vol 1., p. 127 (1955).
[18] Kohn, W. and Sham, L. J. Phys. Rev. A140, 1133-1138 (1965)
[19] M. Gell-Mann and K.A. Brueckner, Phys. Rev. 106, 364 (1958).
43
[20] L.J. Sham and J.M. Ziman in Solid State Physics (ed. F. Seitz and D.
Turnbull) Academic Press, New York, Vol. 15, 1965.
[21] D. Pines, Elementary Excitations in Solids, Benjamin (1963).
[22] P. Nozieres and D. Pines, Phys. Rev. 111, 442 (1958).
[23] D. Bohm and D. Pines, Phys. Rev. 82. 625 (1951); 85, 338 (1952); 82, 609
(1953).
[24] P. Nozieres Theory of Interacting Fermi Systems
[25] J. Hubbard, Proc. Roy. Soc. (London) A240, 539 (1957) ; A243, 336
(1958).
[26] J. Lindhard, Kgl. Danske Videnskab. Selskab. Mat.-Phys. Medd. 28, 8
(1954)
[27] H. Ehreinreich and M.H. Cohen, Phys. Rev. 115, 786 (1959).
[28] L.P. Kadanoff and G. Baym, Quantum Statistical Mechanics, Benjmain
Press New York (1962).
[29] J. Bardeen, Phys. Rev. 52, 688 (1937).
[30] M.H. Cohen and J. C. Philips, Phys. Rev. 115, 786 (1959).[31]
[31] A.O.E. Animalu, Non-Local Dielectric Screening in Metals Phil. Mag. 11,
379 (1965).
[32] G. J. Morgan Proc. Phys. Soc. London 89, 365 (1966),
[33] V. Heine Phys. Rev. 153, 673 (1967)
[34] J. Hubbard [Proc. Phys. Soc. London 92, 921 (1967
[35] C. Hodges, H. Ehrenreich and N. D. Lang Phys. Rev. 152, 505 (1966)
[36] F.M. Mueller Phys. Rev. 153, 659 (1967).
[37] N. V. Smith and F. Truam, Phys. Rev. Lett. 25, 1017 (1970); Phys. Rev.
B9, 1353 (1974) ; N. V. Smith and L.F. Mathheiss, Phys. Rev. B9, 1341
(1974); N. V. Smith, Phys. Rev. B9, 1365 (1974).
[38] J. Moriarty, Phys. Rev. B6, 1239 (1972).
44
[39 ] A.O.E. Animalu, Electronic Structure of Transition Metals III. D-Band

Resonance and Regge-Pole Theory, Phys. Rev. B10, 4964 (1974); B. A.
Oli, and A. O. E. Animalu, Phys. Rev. B13, 2398 (1976)..
[40] C. Kittel, Quantum Theory of Solids, Wiley, New York (1963).
[41] Toya, T. (1959) Catal. Rev. 7, 60 U.K; L.J. Sham Proc. Roy. Soc.
((London) A283, 33 (1965); A.O.E. Animalu, F. Bonsignori and V.
Bortolani, The Phonon Spectra of Alkali Metals and Aluminium, Nuov.
Cim 44B, 159 (1966).
[42] W. Cochran, Proc. R. Soc. A 276, 308 (1963); A.O.E. Animalu, The Total
Bandstructure Energy for 29 Elements, Proc. Roy. Soc. (London) 294A,
376 (1966).
[43] J.C. J.C. Upadhyaya and A.O.E. Animalu Microscopic Theory of the
Lattice Dynamics of Hcp Rare-Earth Metals, Phys. Rev. B15, 1867
(1977); B.N. Onwuagba and A.O.E. Animalu, Screening of the Short-
Range Potential by the Local Field Correction in the Lattice Dynamics of
Vanadium J. de Physique, C6-410 (1981); Okoye, C.M.I. and Pal, S
Physica, B 183, 279 (1993).
[44] A.O.E. Animalu, V. Heine and B. Vasvari, The Electronic Structure of Ca,
Sr and Ba Under Pressure, Phys. Rev. 154, 535 (1967) A.O.E. Animalu,
Electronic Theory of Phase Transition in Ca, Sr, and Ba Under Pressure,
Phys. Rev. 161, 445 (1967).
[45] M.L. Cohen and T. Bergstresser Phys. Rev. 141, 789 (1966); M.L. Cohen,
and V. Heine, V.,Solid State Physics vol 24, ed F. Seitz and D Turnbull,
New York (1970); M..Schlüter, J.R. Chelikowsky, S.G., Louie, and
Cohen, M.L. Phys. Rev. B 12, 4200 (1975).
[46] D. Bagayoko, A Solution to the Bandgap Catastrophe: Predictive
Calculations of Properties of Semiconductors and of Nuclei, in Proc. 1st
international Seminar on Theor. Phys. And National development, Abuja
Nigeria August 26-28, 2008 African J. Phys. Vol. 1, p. 15 (2009);
[47] R.M. Redheffer & I.S. Sokolnikoff, Mathematics of Physics and Modern
Engineering 2nd edition. P.14 International Student Edition McGraw Hill,
N.Y. (1958, 1966).
[48] R.M. Santilli, ―Hadronic Mathematics, Mechanics and Chemistry‖ Vols. I,
II, III, IV and V, Int. Academic Press (2008) available in pdf format from
the website http://www.i-b-r.org/Hadronic-Mechanics.htm.
45
GENERALIZATION OF CONVENTIONAL BCS MODEL TO ISO-

SUPERCONDUCTIVITY MODEL OF HIGH-TC
SUPERCONDUCTIVITY IN THE CUPRATES AND PNICTIDES‡
A. O. E. Animalu1, G. E. Akpojotor2, and P. I. Ironkwe3

1
Department of Physics and Astronomy, University of Nigeria, Nsukka, Nigeria
2
Department of Physics, Delta State University, Abraka 331001, Nigeria
3
The Center for Superconductivity Technologies, Abuja FCT, Nigeria
e-mails: 1nascience@aol.com, 2akpogea@yahoo.com
Abstract
After years of successful application of the pseudo and model potential

representation of electron-phonon interaction to conventional Bardeen-Cooper-
Schrieffer (BCS) theory of superconductivity, herein called the standard model,
we have developed a generalization (herein called isostandard or iso-
superconductivity model) that not only explains the differences between
conventional and high-Tc superconductivity in the cuprates but also permits, in
this paper, successful applications to the new high- Tc iron pnictides and toMgB2.
PACS numbers: 74.70.-b, 74.20.Mn,74.62.-c
1. INTRODUCTION
The discoveries by Berdnoz and Muller1 in 1986 at IBM Zurich of
superconducting phase transition in a family of ceramic oxide materials and by
Wu et al2 in 1987 in the 1-2-3 compound, (cuprates with structural formula,
(...)Cu m On x ) at rather high critical temperatures (Tc) of 35K and 95K
respectively, opened up the field of experimental and theoretical high-Tc
superconductivity research which has remained very active to date. In addition to
the 2001 discovery3 of high-TC of order 35K inMgB2, the more recent discovery
of superconductivity in the iron-based compounds4 - iron oxypnictides/single
layered LnOMPn (Ln = La, Ce, Pr, Nd, Sm, Gd, Tb, Dy, Ho and Y: M = Mn, Fe,
‡African Journal of Physics Vol. 2, pp.46-62, (2009)

46
Co and Ni: Pn = P and As)5; oxyfree-pnictides/single layered AMPn (A = LnO =

Li and Na: M = Mn, Fe, Co and Ni: Pn = P and As6; oxyfreepnictides/double
layered ALM2Pn2 (AL = Ba, Sr, Ca: M=Mn, Fe, Co and Ni: Pn = P and As7,8 and
chalcogen/nonlayered MCn (M = Mn, Fe, Co and Ni: Cn = S, Se and Te)9,10 has
heightened interest in developing a suitable generalization of the Bardeen-
Cooper-Schrieffer (BCS) model of superconductivity in simple metallic systems
for understanding the coexistence11 of superconductivity and magnetic order in
these solid compounds. The prospect of finding such a generalization is now
brighter than ever for the following reason: just as high-TC superconductivity in
the cuprates is known to be a two-band phenomenon involving the copper 3d and
oxygen 2p bands of the CuO2 planes, but was reduced to an effective single band
pairing problem by Anderson12 in 1987 via his doped resonant valence
bond(RVB) model and its generalization by Zhang and Rice13 in 1988 to the t – J
model, so also is high- Tc superconductivity in the iron-based compounds known
to involve multi-orbital effects of the Fe-3d with filling of approximately six
electrons per Fe-site in the pnictides, but has been shown in the 2009
selfconsistent fluctuation exchange (FLEX) model by Zhang et al14 to be
reducible to an orbital s(↑, ↓) coupling affair also known as the s  state15.
Our proposed generalization in this paper is based on the observation by

Animalu16 in 1991 and its elaboration17 in 1994 under the name iso-
superonductivity that the Cooper pair of the standard BCS model may have a
nonlocal nonhamiltonian structure CP = (e−↑, e− ↓) HM equivalent to the strong
interaction (‖hadronic‖ mechanics (HM)) structure of the neutral pion, as
compressed positronium atom,  0 = (e+↑, e−↓) HM , proposed by Santilli18 in
1978, i.e. an extended structure arising from the mutual overalpping/penetration
of the wavefunctions of the constituents of the pair. The result is an effective
generalization of the pseudo or model potential representation of electron-phonon
interaction in the standard BCS model in such a way that whereas the Feynman
graph for electron-electron scattering leading to net attraction, i.e., Cooper pairing
in the BCS model is mediated by virtual phonon exchange (as shown in Fig. 1a),
the situation in the iso-superconductivity model for a high-TC cuprate materials,
(...)Cu m On x , is that a Cu z  ion of effective valence, z ≡ 2(n − x)/m (or Fe z  for
appropriate value of z in the iron pnictides) provides a ‖trigger‖ for the
overlapping (i.e., ‖covalent‖ mixing) of electron wavefunctions to form a singlet
pair, (e−↓, e−↑)HM (see, Fig.1b). The main features of the transition from the BCS
model to the isosuperconductivity model and its prediction for TC will be
presented in Sec.2.
47
FIG. 1: (a) Attractive electron-electron interaction mediated by virtual

phonon exchange in the conventional BCS model; (b) attractive electron-
electron pairing due to overlapping of electron wave functions around
Cuz+ or Fez+ ion ”trigger” in orbital s(↑,↓)–state envisaged in iso-
superconductivity model.
In models that propose to unite superconducting and antiferromagnetic phases in a

larger symmetry group, SO(2N), an outstanding problem has been their
inconclusive nature due to the inability to exactly diagonalize the model
Hamiltonians. However, in 1992 C.N. Animalu19 proposed an alternative exact
method for diagonalizing any second-quantized Hamiltonian model for arbitrary
N-electron system based on 2N×2N- matrix representation of the electron creation
and annihilation operators suggested in 1961 by Thouless20. Such a representation
(which we shall skip for simplicity) is of considerable interest because it provides
a 2N-dimensional spinor representation of the group, SO(2N), corresponding to
the groups, SO(8) for N = 4 and SO(10) for N = 5, the latter being realized for a
lattice of 32 × 32 sites that has been employed by Zhang et al14 in their 2009
solution of the FLEX equation on imaginary frequency axis. These SO(2N)
groups are among the groups that matter in string/superstring theories21. In Sec. 3,
we shall recapitulate the experimental verification of the predictions of TC by the
isosuperconductivity theory in the cuprates and present, for the first time, the
corresponding verification for the pnictides, as well as for MgB2, leading as a
consequence, to a useful semi-empirical formula for designing superconductors
with Periodic Table-based maps and material databases in the current search for
room temperature superconductors. Conclusions will be drawn in Sec. 4.
48
2. THE ISOSUPERCONDUCTIVITY MODEL

As a prelude to the definition and characterization of the isosuperconductivity
model, we begin in this section with a brief review of the conventional/non-
conventional models of superconductivity.
Review of Conventional and Non-conventional Models

Because the conventional/non-conventional quantum mechanics models of
superconductivity are based on second quantization formalism in both Bloch (k-
space) and Wannier (r-space) representations, it should be recalled that one can
formally transform the BCS model for superconductivity at low temperatures
given in the Bloch reprsentation by
H BCS    k ck ck  Vkk 'ck'ck 'ck ck  , (2.1a)
k kk '
into the Wannier representation
W
H BCS    t ij (ci c j  c j ci )  U  ni ni , (2.1b)
i, j  i
This is achieved by making the following substitutions:
e e
 12  12  ik.R j
ck  N c j ; ck  N
ik.R j
c j
j j
1
  k nk   t ij ci c j ; tij  
ik.(R j R i )
k e (2.2)
k ij N k
where nij  ci c j and by using the following approximations
 kk '  2tkk '  tij  t;  Vkk / N  U ijkl  U , (2.3)

 t ij   j ( 2m  2 ) i
2
where is the hopping matrix wlwmwnt while the
electron-electron interaction energy is derived from the general expression
1

2 ijkl
U ijkl c j c k cl ci
where
49
U ijkl   dr1dr2 *j (r1 )i (r1 )Vee ( r1  r2 )k* (r2 )l (r2 )
is the matrix element of the effective Coulomb interaction betweenWannier states

on different sites, i (r)   (r  R i ) . Finally, from the Hubbard-type Hamiltonian
form in Eq.(2.1b), the t − J model for high-TC close to half-filling is abstracted in
the form
 
H t  J  t  1  ni ci c j 1  n j   h.c.  J  s i .s j  14 ni n j  (2.4)
ij , ij
2.2. Definition of the Isosuperconductivity Model
In its simplest non-relativistic form, the isostandard model of

superconductivity16,17 is a generalization of the Lurie-Cremer22 quasiparticle wave
equation,
 1 2
i (r, t )  H(r, t ), H p  3   1 (2.5)
t 2m
via the non-unitary (‖isotopic lifting‖) transformation of the underlying ‖metric‖
(g),
1 0  1 0 
g   3     ˆ3     g
 0  1 0  T 
(2.6)
which is characterized by a nonlocal integral (pseudopotential) opertar defined by

T * (r)   d 3r '  (r  r ' )  * (r)  (r' )  * (r' ) (2.7)
where  * (r ) and   (r) are the two spinor components of the quasi-particle
wavefunction (r,0) in the Nambu representation, p 2 / 2m being the kinetic
energy operator (measured from the Fermi level) and  is the pair potential energy. It
is apparent from Eq. (2.7) that when the overlap integrals or ‖orthogonalization
term‖
Z 2   d 3 r ' * (r' )  (r' )   *  
1
(2.8)
Is zero, T reduces to unity and we recover the standard (BCS) model exactly.
Since we may rewrite T in the form
50
T  1     * (2.9a)
so that T 2  T if  *    0 , the physical effect of T is that the charge on the
e   reprsentated by the expectation value of T, i.e.,
 * T    1  Z (2.9b)
is ―depleted‖ by an amunt Z (called the ―orthogonalization charge‖) whereas the
charge on e   appears to vanish, i.e.,
 * T    0 (2.9c)
In other words, e   behaves like a neutral spin- 12 quasiparticle (spinion) while

e   behaves like a fractionally-charged quasiparticle (‖anyon‖).
Consequently, in the solid state where the wavefunction   (r , t ) to which

the nonlocal transformation in Eq.(2.6) is to be applied is related to the i (r ) and
ck (t ) of the secondquantized formulation by
  (r , t )   ck (t )i (r ) (2.10)
the corresponding transformation of the corresponding creation and annihilation

operators, c k and ck , into iso-creationand iso-annihilation operators, is defined
by
cîk  Tik cik  (1  nik ), nik  cik cik (2.11)
and similarly for ĉik where   for   and vice versa. This has the effect
of transforming the hopping (kinetic energy) term exactly into
 t  cî cˆ j  t  (1  ni )ci c j (1  n j ). (2.12)
ij , ij ,
as in Eq.(2.4) characterizing the t − J model. It follows that the difference
between the t − J model and the isosuperconductivity model lies in the
replacement of the U-term in Eq.(2.1b) by the J−term in the t − J model (with the
antiferromagnetic exchange constant J  t 2 / U via second-order perturbation
theory). Typically, i(j) = d, p label electrons (bands) of Cu 3d and/or O 2p
characters whose wavefunctions may overlap and/or bands hybridize; and (i(j) =
1, 2, ...,N) in the nearest-neighbour electron transfer (hopping) integral.
51
By virtue of the transformation defined by Eq.(2.11), only single

occupancy per spin site is permitted but double occupancy of an orbital site is not
forbidden. Another feature of the second-quantized theory form of the iso-
creation and iso-annihilation operators is that the waveoverlapping is associated
with the coexistence of a non-zero antiferromagnetic spin wave state, ci ci  0
and Cooper pair state cici  0 under Gor‘kov‘s factorization of the products of
three fermion creation and annihilation operators involved in the transformation
Tij ci  (1  ci ci )ci

(2.13)
 ci ci ci  ci ci ci  ci ci ci  ci ci ci
In this (mean field) sense, one can derive from the isosuperconductivity model
one of the primary objectives of the t – J model which is to describe the
coexistence of superconductivity and antiferromagnetismin high-TC materials as a
function of band filling. The most important difference between the t−J model and
the isosuperconductivity model lies in the ability of the latter to predict TC from
an exact solution of the model, to which we now turn.
2.3. Prediction of TC
In conventional BCS model, the determination of the critical temperature for
superconductivity involves solving an integral equation for the energy gap. But
the beauty of the isosuperconductivity model is that instead of an integral
equation, the desired result comes from the self-consistent solution of the
conventional Schrodinger equation for one spin state,(   ) say,
 
H   p 2 / 2m  VC    E  , (2.15a)
in the Coulomb field VC of the Cu z  ion ‖trigger‖ in Fig. 1b, and an iso-
Schrodinger equation
HT    p 2 / 2m  VH    E  , (2.15b)
for the opposite spin state(  ), where T is the non-local (psuedopotential)
integral operator defined by Eq.(2.7). This has the effect of replacing the
Coulomb potential, VC , by an effective Hulthen potential, VH in Eq.(2.15b) for
(e− ↓, e− ↑) pairing in a singlet state:
52
E       1
VC  VC   V0  VH (2.15c)
 e 1
kr
where V0 is proportional to     . From the exact solution of Eq.(2.15b),

Animalu16,17 derived the following formula for the critical temperature having the
general form:
J
TC  (2.16a)
 1 
exp( NV )  1
 
where NV reprsents the dimensionless coupling constant while
 p
J  (2.16b)
k B d (qD )
is the ‖jellium‖ temperature, d = 1, 2, 3 being the effective dimensionality of the
system. and  (q D ) the Hatree dielectric function evaluated at the Debye
wavenumber q D . We observe that in the weak coupling limit NV < 1, we may
express the result in the BCS form:
TC   J exp( 1 / NV ) (2.17a)
But in the strong coupling limit, i.e. if NV > 1, we may expand the exponential in
the denominator of Eq.(2.16a) to first order in 1/NV to get
TC   J NV (2.17b)
Our interest is to show how accurately these results agree with
experimental data to which we now turn.
3. EXPERIMENTAL VERIFICATION
3.1. The Cuprates
An explicit form of Eq.(2.17a) used in Ref. 16 for the verification
with experimental data in the cuprates with structural
formula (...)Cu m On x is:
13.6  367.3z   13.6  0

TC   J exp(  )    exp    ( K) (3.1)
z  d   z 
53
2(n  x)
where the effective valence z of the Cu z  ion is given by z  .
m
Table 1 Dependence of Tc on the effective valence z of Cu z  in the cuprates

and Fe z  in the iron pnictides.
54
FIG. 2: Predicted dependencies of the Jellium temperature  J and the

superconducting transition temperature Tc on the effective valence
z  2(n  x) / m of Cu z  ions in the family of compounds, (...)Cu m On x are
compared with experimental data (•) as discussed in the ref.[17]. The
experimental Debye temperatures of pure copper  D (Cu ) and pure
vanadium  D (V ) are indicated.
55
As a further confirmation of the formula in Eq.(2.17a), we present in Tables 2-4

and Fig. 3 another set of experimental data on the high-Tc doped compounds23-25,
YBa 2 Cu3 x Mn x O y and GdBa2 (Cu1 x M x ) 3 O7 ,(M =Ni and Zn), in which the
effects of the substitution of Cu by transition- and non-transition-metal ions are
represented by the modification of the effective valance (z) on Cu z  indicated in
tables 3-4. Again reasonable agreement between theory and experiment is
obtained for z lying in the range, 4.61 ≥ z ≥ 4.21.
Table 2. YBa 2 Cu3 x Mn x O y (After Ref. 23)
Note: Tc(theory) is given by Eq.(3.1) where the effect of replacing

Cu 3 by Cu 3 x Mn x is obtained by replacing 3 by (3 − x) + 2x = 3 + x
2y
which lowers the effective valence (z) on Cu z  ions to z 
(3  x)
.
56
FIG. 3: Predicted dependence of the superconducting transition temperature

Tc. on the effective valence (z) of Cuz+ ions (continuous curve) given by Tc =
367.32exp(−13.6/z) in the doped 1:2:3 cuprates are compared with
experimental data as discussed in Tables 1,2,3 and the text
57
Table 3: GdBa2 (Cu1 x Ni x ) 3 O7 (after ref. 24)
2y
Note: Tc (theory is given by Eq.(3.1) and z  as discussed in Table 2.
3(1  x)
Table 4 : GdBa2 (Cu1 x Mnx ) 3 O7 (after ref.25)
2y
Note: Tc (theory is given by Eq.(3.1) and z  includes an extra
3[1  3( x  x 2 )]
x 2 term for the non-transition metal Zn ion substitution in order to give a
reasonable phenomenological fit to the data.
3.2 The Iron pnictides
In order to compare with experimental data in the iron pnictides, we now

turn to a realization of the formula in Eq.(2.17b) in a similar form:
 13.6  0
TC  467.0 z exp   ( K );
 z 
where 467.0 =  D is the experimental Debye temperature of iron (see Table 1). It
is also plotted alongside the result for the cuprates in Fig. 4. There is good
58
agreement with the experimental data in the pnictide, Ba 0.6 K 0.4 Fe2 As 2 from
neutron scattering7 (see, Fig. 5).
FIG. 4: (colour online) Predicted dependence of the transition

temperature Tc on the effective valence z for the cuprates in
Eq.(3.1) and the pnictides in Eq.(3.2)
59
Fig. 5: (colour line) Predicted Tc for Ba0.6 K0.4 Fe2 As2
3.3 MgB2
For MgB2, the corresponding prediction is

 13.6  0
TC  406.0 z exp   ( K ) (3.3)
 z 
where 406.0 =  D is the experimental Debye temperature of Mg. The results are
tabulated in Table 6 which shows that the observed TC of (39 0 K ) corresponds to
a value of z close to 3.75.
60
Table 6: Dependence of Tc on the effective valence of Mg z  in MgB2
4. DISCUSSION AND CONCLUSION

By the time the iso-superconductivity (iso-standard) model was proposed by
Animalu16,17, the BCS model had lost predictive power for the available
experimental data in the cuprates. Subsequently, when the highest TC of 165K so
far in the cuprates was reported in 199425, the result was also in agreement with
the iso-standard model prediction26. The successful application of the iso-standard
model in this paper to the prediction of the recent data on the iron pnictides lends
further credence to the iso-standard model even though the effective valence (z)
on Fez+ has been treated as a phenomenological parameter. We are therefore led
to the conclusion that more serious studies of the foundation
of iso-superconductivity in the analogy between Santilli‘s model of the neutral
pion as a compressed postronium atom and the isostandard model of the Cooper
pair should be undertaken: this is the subject-matter of the isotopic branch of
‖hadronic‖ mechanics with far-reaching implications for quantum physics in the
21st C.
61
ACKNOWLEDGMENTS
We are grateful to the International Center for Basic Research, Abuja for its
support of this research project. GEA acknowledges that part of this work was
done at the Max Planck Institute for Physics of Complex Systems, Dresden,
Germany.
REFERENCES
1
J. G. Bednorz and K. A. Z. Muller, Z. Phys. 64, 189 (1986).
2
M.K. Wu et al., Phys. Rev Lett. 58, 908 (1987).
3
J. Nagamatsu et al, Nature 410, 63 (2001).
4
Y. Kamihara et. al., J. Am. Chem. Soc. 130, 3296 (2008).
5
X. H. Chen et. al., Nature 453, 761 (2008).
6
J. H. Tapp et al., Phys. Rev. B 78, 060505 (R) (2008).
7
A. D. Christianson et. al., Nature 456, 930 (2008).
8
J. Zhao et al., Phys. Rev. Lett. 101, 167203 (2008).
9
A. Subedi et al., Phys. Rev. B 78, 134514 (2008).
10
U. Patel et al., App. Phys. Lett 94, 082508 (2009).
11
A. J. Drew et al., Phys. Rev. Lett. 101, 097010 (2008).
12
P. W. Anderson, Science 256, (1987).
13
F.C. Zhang and T.M. Rice, Phys. Rev. B 37 3759 (1988).
14
J. Zhang, arXiv:0903.4473
15
I. I. Mazin et al., Phys. Rev. Lett. 101 057003 (2008)
16
A.O.E. Animalu, Hadronic J. 14, 459 (1991).
17
A.O.E. Animalu, Hadronic J. 17, 349 (1994); A.O.E. Animalu, B. Ezekoye
and K.E.Essien, African J. Phys. Vol. 2, pp. 1-45 (2009).
18
R.M. Santilli, Hadronic J. 1, 574 (1978). See also Foundations of Hadronic
Chemistry with Applications to new Clean Energies and Fuels (Kluwer
Academic Publishers, dordrecht, Boston, London, 2001)
19
C. N. Animalu, Hadronic Journal Supplement 7, 287 (1992).
20
D.J. Thouless, The Quantum Mechanics of Many-Body Systems
(Academic Press New York and London, 1961).
21
N. Prakash, Mathematical Perspectives on Theoeretical Physics,
A Journey from Black Holes to Supersprings (Tata McGraw-Hill
Publishing Co Ltd, New Delhi, 2000) p. 774
22
D. Lurie and S. Cremer, Progr. Theor. Phys. 44, 300 (1970).
23
N. L. Saini et. al., Int. J. Mod. Phys. 6, 3515 (1992).
24
C. Lin et al., Phys. Rev. B 42, 2554 (1990).
25
L. Gao et al., Phys. Rev. B 50, 4260 (1994).
26
A.O.E. Animalu and R.M. Santilli, Int. J. Quantum Chemistry 29,175 (1995).
62
A SIMPLIFIED FORMULATION OF THE LANCZOS

TECHNIQUE FOR STRONGLY CORRELATED SYSTEMS§
S. Ehika1, E.O Igbinovia 2, J.O.A. Idiodi3
1
Department of physics, Ambrose Alli University Ekpoma, Edo State,Nigeria
2
Department of Basic Sciences, Benson Idahosa University, Benin City, Nigeria
3
Department of Physics, University of Benin, Benin City, Nigeria
Abstract
The basic idea of the Lanczos method is to construct a special basis where the
Hamiltonian has a tridiagonal representation. Once in this form, the matrix can be
diagonalized easily using standard library subroutines. This approach is known as
the standard Lanczos technique (SLT) which still has the problem of
diagonalizing large matrix sizes emanating from increase of the size of the Hilbert
space with the size of the system. In this current presentation, we develop a
simplified formulation of the SLT and then use it to study the rapid convergence
to the ground state energy and wavefunction of some finite systems.
1. INTRODUCTION
The discovery of high- temperature superconductors has induced considerable
theoretical work on strongly correlated systems. Various analytical methods [2, 3]
as well as numerical techniques [4-10] have been employed to study these
systems. High accuracy studies can be achieved by using direct diagonalization
method [11] (the Lanczos algorithm in particular). In this method, special bases
are constructed which transform the Hamiltonian into a tridiagonal matrix. Once
in this form, the matrix can be diagonalized easily using standard library
subroutines. This approach is known as the standard Lanczos technique (SLT).
This method is still beset with the problem of diagonalizing large matrix, since the
size of the matrix grows like the size of the Hilbert space.
In this paper we study the rapid convergence to the ground state by
formulating a simplified version of (SLT). The contribution of this current
§ African Journal of Physics Vol.2, pp. 63-75, (2009)

63
presentation is the simplification of the algorithm use by Dagotto and other

researchers in this field. [5, 9] The approach use in this paper makes iterations
easier to carry out. It was also demonstrated that the rate of convergence is
dependent on the choice of the initial trial vector. Further details on this method
can be found in the cited references.
This method is demonstrated by the single band Hubbard Hamiltonian. [13]
This Hamiltonian reads
H  t (C  C   H .C )  U  n
i, j ,

I j
i
n
i i
Where i, j denotes nearest–neighbour sites. Ci, (Ci , ) Creates (annihilates) an

electron at site i in the spin state σ = ↑ or ↓, t is the hopping term, U is the onsite
interaction term and ni , is the number operator.
The Layout of this paper is as follows. In section II we describe our algorithm.

Application of the algorithm to a case of two electrons on two, four and six sites
(in the subspace of S z total =0) are presented in sec. III. In section V, a
comparison of the results obtained with this method and that of variation results
by Enaibe and Idiodi [14] is given in sec IV. We summarize and conclude in sec
V
2: DESCRIPTION OF THE METHOD

In this section, we describe our method. As in the standard Lanczos technique
[10], and the modified Lanczos method [5-10], the method requires the selection
of an initial trial vector 0 (normalized to one). If H acts on o the result can
be written as
0 H 0 ~
H 0  0  0 [5] (2)
0 0
~
Where  0 is a new state orthogonal to 0 . Since 0 is normalized, eqn. (2)
becomes
0  H 0  0 H 0 0 k
~
(3)
The constant k ensures that 0 is normalized.

64
From eqn.3, we have that 0 0  0 H 2 0   0 H 0

~ ~
  k
2 2
1
This gives

k  0 H 2 0   0 H 0 
2  2
1
(4)
~
Now, the action of H on 0 gives
~

H 0  H 2 0  0 H 0 H 0 k  (5)
So that

 0 H  0   0 H 2  0    0 H 9
~
 k
2

 0 H 2 0   0 H 0 2

1
2

1
k
(6)
From eqn.5, it can easily be shown that

~ ~ ~ ~
c0  0 H 0  0 H 2 0  0 H 0 0 H 0 (7)
1 ~
If 0 H 0 is denoted by a 0 , b0 by then in the basis 0 and 0 , a 2x2 matrix
k
representation of H is given by
a b0 
H i , j  0
 b0 c0  (8)
This 2x2 matrix can easily be diagonalized. Its lowest eigenvalue a1 is given by
a 0  c0  a0  c0 2  4a0 c0  b02 

a1  (9)
2
Its corresponding eigenvector 1 is given by

~
1   0 0   0 0 (10)
65
b02 a0  a1 2
Where  0  , and  0  
b02  a0  a1  b02  a0  a1 
2 2
a1 and 1 are better approximations to  0 (true ground state energy)  0 (true

ground state wavefunction) than a 0 and  0 respectively.
The method can be iterated by considering 1 as a new trial vector and

repeating the steps from eqn. 2 to 10. In each iteration, the orthogonal pairs
~ ~
(  0 ,  0 ), ( 1 , 1 ), etc are normalized.
3: APPLICATION OF THE METHOD TO FINITE SYSTEMS
TWO ELECTRONS ON TWO SITES

First, in this section, the modified Lanczos algorithm is applied to the case of
two electrons on two sites with periodic boundary condition. Also, in order to
demonstrate how the choice of initial trial wave vector affect the rate of
convergence to  0 and  0 , two different choices of wave vector are used.
The relevant electronic states of this system are:
1  1 ,1  , 2  2 ,2  , 3  1 ,2  , 4  1 ,2 
The ground state wavefunction of this system is known to be a singlet state.
With this prior nowledge, the normalized trial vector  0 below can be
constructed
0 
1
1  2 
2
Following the steps outlined in section II (Eqn 2-10), we have that
a0  U , b0  2t , c0  0
66
~
 0 
1
4  3 
2
U 2t 
H 
2t 0 
The improved ground state energy gives
a1 
1
2

U  U 2  16t 2 , 
and the corresponding improved wavefunction is
0
1   1  2    4
0
3 
2 2
1  16t 2  U  U  1  16t 2  U  U 
0       
2  16t 2  U 2  and 2  16t 2  U 2 
It is obvious that our choice of trial wave vector immediately reproduces  0 and
 0 in just one iteration
If a prior knowledge of the ground state is not known, a single vector from the
Hilbert space can be chosen. This will elucidate how the choice of trial wave
vector can affect the rate of convergence to the actual ground state energy and
wavefunction.
From the Hilbert space of the system above, let us consider 0  1 ,1 
1ST ITERATION
The results obtained at the end of the first iteration are given below
a1 
1
2

u  u 2  8t 2 , ~
1   0 0   0 0
 0 and  0 were defined in section II
67
 t 3  4   u 1  u 1
~
0  
1
4  3 
t 2 2
Obviously,  0 and  0 are not true representations of the ground state properties
of the System. Therefore, it is necessary to carry out more iterations in order to
get close to the  0 and  0 .
2ND ITERATION
For the second iteration we have
a2 
1
a1  c1  a1  c1 2  4a1c1  b12  ,
~
 2   1 1  1 1
2  
~
Where 1   2
The results obtained for this system for iterations up to four are summarized in
table 1.0 in section V
4. TWO ELECTRONS ON FOUR SITES

In this section, we apply the modified Lanczos method to a system of two
electrons on four sites. The relevant electronic states of this system are
1  1 ,1  , 2  2 ,2  , 3  3 ,3  , 4  4 ,4  , 5  1 ,2  ,

6  1 ,2  , 7  2 ,3  , 8  2 ,3  , 9  3 ,4  , 10  3 ,4  ,
11  1 ,4  , 12  1 ,4  , 13  1 ,3  , 14  1 ,3  , 15  2 ,4  ,

16  2 ,4 
The Hilbert space above can be reduced to 4 by the following four vectors
R   1  2  3  4 , S   5  6  7  8  9  10  11  12 ,
T   13  14  15  16 
,
It can be shown that

H R  2t S  U R , H S  4t R  4t T , H T  2t S
68
Let our initial normalized trial vector be given by

1
0  R .
2
The results obtained for this system for iterations up to four are summarized in
table 2.0 in section V
TWO ELECTRONS ON SIX SITES
In this section, the algorithm is applied to a system of two electrons on six
sites. The possible electronic states of this system are shown below:
1  1 ,1  13  3 ,4  25  2 ,6 
2  2 ,2  14  3 ,4  26  2 ,6 
3  3 ,3  15  4 ,5  27  3 ,5 
4  4 ,4  16  4 ,5  28  3 ,5 
5  5 ,5  17  5 ,6  29  4 ,6 
6  6 ,6  18  5 ,6  30  4 ,6 
7  1 ,2  19  1 ,3  31  1 ,4 
8  1 ,2  20  1 ,3  32  1 ,4 
9  1 ,6  21  1 ,5  33  2 ,5 
10  1 ,6  22  1 ,5  34  2 ,5 
11  2 ,3  23  2 ,4  35  3 ,6 
12  2 ,3  24  2 ,4  36  3 ,6 
As before, it can be shown that

69
H Q  2t R  U Q , H R  4t Q  2t S , H S 
where
 4t T  2t R , H T  2t S
Q 1  2  3  4  5  6
R  7  8  9  10  11  12  13  14  15  16  17  18
S  19  20  21  22  23  24  25  26  27  28  29  30
T  31  32  33  34  35  36
For this system, if the wavefunction obtained at the end of an (n-1)th iteration
is given by
n1  A1 Q  A2 R  A3 S  A4 T ,
where A1 , A2 , A3 and A4 are the electronic weights of the states Q, R, S and T

respectively,
the matrix elements emanating from the nth iteration can be shown to be
bn 1 
6 A B U  4tB
1 1 2   12 A2  2B1t  2tB3   12 A3  2tB2  2tB4   24tA4 B3  an21  2
1
where
B1  A1U  4tA2 , B2  2 A1t  2tA3 , B3  2tA2  2tA4 and B4  4tA3 ;
and
cn 1 
1
6C1 C1U  4tC2   12C2  2C1t  2tC3   12C3  2C2t  2tC4   24tC4C3 
b32
where Ci  Bi  an1 Ai
Let the initial trial wavefunction be given by

1
0  Q .
6
The results obtained for this system for iterations up to eight are summarized in
table 2.0 in section VI
70
5. SUMMARY OF RESULTS
TWO ELECTRONS ON TWO SITES
U a1 a2 a3 a4 variational
20.00 -0.09951 -0.19804 -0.19804 -0.19804 -0.19804
10.00 -0.19615 -0.38510 -0.38517 -0.38517 -0.38517
5.00 -0.37228 -0.70040 -0.70156 -0.70156 -0.70156
1.00 -1.00000 -1.52753 -1.55986 -1.56147 -1.56155
0.50 -1.18614 -1.71597 -1.76218 -1.76534 -1.76556
0.00 -1.41421 -1.93185 -1.99386 -1.99946 -2.00000
-0.05 -1.43943 -1.95507 -2.01868 -2.02457 -2.02516
-1.00 -2.00000 -2.45743 -2.54770 -2.55964 -2.56155
-5.00 -5.37228 -5.59143 -5.67505 -5.69540 -5.70156
-10.00 -10.31570 -10.36670 -10.36670 -10.38040 -10.38520
Table 1.0.Ground-state energy of the Hubbard model with two electrons on two
sites as a function U (at t=1).Results are presented for four iterations, and a
comparison is made with variational results (Enaibe and Idiodi, 2003)
71
TWO ELECTRONS ON FOUR SITES
U a1 a2 a3 a4 variational
20.00 -0.39231 -3.00462 -3.00762 -3.000762 -3.00762
10.00 -0.74456 -3.13274 -3.14888 -3.14895 3.14895
5.00 -1.27492 -3.29366 -3.34702 -3.34788 -3.34789
1.00 -2.37228 -3.65661 -3.77674 -3.78471 -3.78526
0.50 -2.58945 -3.75003 -3.87384 -3.88349 -3.88428
0.00 -2.82843 -3.86370 -3.98772 -3.99892 -4.00000
-0.05 -2.85354 -3.87632 -4.00015 -4.01148 -4.01260
-1.00 -3.37228 -4.16541 -4.27836 -4.29131 -4.29295
-5.00 -6.274920 -6.48329 -6.50989 -6.51315 -6.51360
-10.00 -10.74460 -10.79260 -10.79550 -10.79560 -10.79570
Table 2.0.Ground-state energy of the Hubbard model with two electrons on four
sites as a function U (at t=1).Results are presented for four iterations, and a
comparison is made with variational results. (Enaibe and Idiodi, 2003)
72
TWO ELECTRONS ON SIX SITES
U a1 a2 a3 a4 a5 a6
20.00 -0.39231 -2.18688 -3.24601 -3.38813 -3.45268 -3.48506
10.00 -0.74456 -2.34189 -3.27026 -3.46750 -3.53138 -3.55738
5.00 1.27492 -2.56901 -3.33006 -3.55584 -3.62208 -3.64394
1.00 -2.37228 -3.12394 -3.57481 -3.76387 -3.83233 -3.85570
0.50 -2.58945 -3.25748 -3.65302 -3.82512 -3.89031- -3.91356
0.00 -2.82843 -3.41420 -375329 -3.90501 3.96491 -3.98724
-0.05 -2.85354 -3.43126 -3.76471 -3.91423 -3.97348 -3.99568
-1.00 -3.37228 -3.80626 -4.03771 -4.14272 -4.18637 -4.15811
-5.00 -6.27492 -6.38078 -6.40803 -6.41504 -6.41684 -6.41730
-10.00 -10.7446 -10.7686 -10.7710 -10.7713 -10.77130 -10.7713
73
U a7 a8 Variational
20.00 -3.50243 -3.51215 -3.52520
10.00 -3.56829 -3.57288 -3.57619
5.00 -3.65101 -3.65329 -3.65437
1.00 -3.86350 -3.86608 -3.86736
0.50 -3.92166 -3.92447 -3.92594
0.00 -3.99539 -3.99834 -4.00000
-0.05 -4.00381 -4.00676 -4.00844
-1.00 -4.21056 -4.21321 -4.21489
-5.00 -6.41742 -6.41745 -6.41746
-10.00 -10.77130 -10.77130 -10.77130
Table 3.0.Ground-state energy of the Hubbard model with two electrons on six
sites as a function of U (at t=1).Results are presented for eight iterations, and a
comparison is made with variational results. (Enaibe and Idiodi, 2003)
V1: CONCLUSIONS
In this paper we have studied the rapid convergence to the ground state
properties of strongly correlated finite system in a single band Hubbard model.
The analysis was done using a new version of (SLT) on small lattices. We
presented results for two electrons on two, four, and six sites. The results for
these systems obtained were compared with those obtained using variational
method by Enaibe and Idiodi, 2003 and were found to be in excellent agreement.
The algorithm in our new version of (SLT) is similar in fashion to that use by
Dagotto and other researchers in this field, but I consider our approach to be more
appealing and easier to apply because of its simplicity. It was also demonstrated
that the rate of convergence is dependent on the choice of the initial trial vector
74
ACKNOWLEDGMENT
The authors would like to acknowledge Dr. G. Akpojotor for his useful
discussions and supply of relevant materials for this work. We also acknowledge
Mr. Philipp Hasmann in Max Planck Institute Germany for making it easy for us
to access recent materials relevant to this work.
REFERENCES
(1) J.G Bednorz and R.A. Muller Z. Phys. B 64, 188 (1986)
(2) Chen. L. and Mei .C. Calculation Phys. Res. B. 339, 9006 (1989).
(3) C. Kane, P. Lee and N. Reed, Phys. Rev, Lett. 39, 6880.
(4) K. Binder and P.W Heemann, , Monte Carlo Simulations in Statistical
Physics (1992)
(5) E. Dagotto and A. Moreo, Phys. Rev. B.38, 5087 (1985)
(6) E. Dagotto and A. Moreo, Phys. Rev. D 31, 865 (1985)
(7) E.Dagotto,etal,Phys.Rev.B.34,167(1986)
(8) R. Haydock, V. Heine and M.J. Kelly. J. Phys. C5, 2845. (1972)
(9) G. Gross and G. Pastori Parrav, Adv. Chem Phys. LA111, 137 (1985).
(10) E. Dagotto, Rev. Mod. Phys. 66, 763 (1994).
(11) V.S. Viswanath and . G. Muller. The Recursion method applications to
many body dynamics volume M23 (Springer Verlag, New York, 1940)
(12) C. Lanczos J. Res. Nat. Bur. Stand, 45, 255 (1990)
(13) J. Hubbard, proc. R. Soc. London, Ser. A 276, 238 (1963)
(14) E.Edison and J.Idiodi.Variational approach to Study of highly correlated
systems.Thesis (2003)
75
FIRST-PRINCIPLES INVESTIGATION OF STRUCTURAL AND

ELECTRONIC PROPERTIES OF NEW ANTIPEROVSKITE-TYPE
SUPERCONDUCTOR ZnNNi3 IN COMPARISON WITH ZnCNi3**
C. M. I. Okoye
Department of Physics and Astronomy,
University of Nigeria, Nsukka, Nigeria
e-mails: okoyecmi@yahoo.com ; cmiokoye@gmail.com
Abstract
A theoretical study of the structural and electronic properties of a new
antiperovskite-type nitrogen-based superconductor ZnNyNi3, y = 1.012 ± 0.208
has been performed on the stiochiometric compound, ZnNNi3, using the
augmented plane waves plus local orbital (APW + lo) method within the
framework of density functional theory. This is compared with the isostructural
non-superconducting ZnCNi3. The optimized structural parameters were
determined using different exchange-correlation potentials. The calculated lattice
constants are within the usual accuracy range of such calculations although the
deviations of results obtained using the genaralized gradient approximation
proposed by Wu-Cohen (WC-GGA) are the least. The electronic band structures,
total, site and orbital decomposed densities of states (DOS) were obtained and
analysed. Our electronic structure results show that in ZnNNi3, states near the
Fermi energy are dominated by Ni d and N p states. This is also the case for
ZnCNi3. The peak in the DOS due to Ni dxz, dyz in ZnNNi3 is closest to the Fermi
energy, and is about 0.21eV away from the Fermi energy compared to an energy
distance of 0.09eV away of similar peak in ZnCNi3, resulting in decreased value
of Fermi level density of states in ZnNNi3. Our results show that the
stoichiometric ZnNNi3 and ZnCNi3 are very much alike in both structural and
elastic properties but differ in electronic properties. The agreement with available
theoretical and experimental data is reasonable.
PACS Numbers: 62.20.-x, 71.15.Ap, 71.15.Mb, 71.20.-h, 74.25.Jb, 78.20.Ci
** African Journal of Physics Vol. 2, pp. 76-88 (2009)

76
1. INTRODUCTION
For some time now, since the discovery of superconductivity near 8K in
MgCNi3[1], attention has been directed on the isostructural cubic antiperovskites,
with the general formula ACNi3, where A is a group II or III element, as possible
compounds with not only high superconducting transition temperature, but other
technologically important properties. This is probably because the ternary
carbides with the cubic antiperovskite structure are known to exhibit a variety of
interesting thermodynamic, chemical and physical properties[2]. Furthermore,
MgCNi3 contains large amount of ferromagnetic nickel, and it is known that alloy
BCS-type superconductors do not involve nickel. It is, therefore, important to
investigate the properties of these antiperovskites which might help elucidate the
nature of superconductivity in them. Interest in this type of compounds has
resulted in the synthesis of many more cubic antiperovskites, some of which
include ZnCNi3[3], AlCNi3[4], GaCNi3[5], CdCNi3[6] and InCNi3[7]. It is
noteworthy that antiperovskites with trivalent metals MIIICNi3 (namely, AlCNi3
and GaCNi3) are nonsuperconducting while InCNi3 is magnetic and also
nonsuperconducting. Over the years, the understanding of several properties of
superconducting materials including antiperovskites were provided by the result
of first-principles calculations[8-23].
Very recently, a new superconducting antiperovskite ZnN yNi3(y = 1.012 ±
0.208) with Tc ~ 3K, which belongs to this class of materials, but with carbon
replaced by nitrogen was successfully synthesized[24] and some of its properties
have been investigated. The stoichiometric compound ZnNNi3, has the same
structure with ZnCNi3 where no superconductivity was found down to about
2K[3]. ZnNyNi3 occurs in simple cubic lattice with lattice constant a = 3.756°A
and nitrogen content 1.0124±0.208 respectively[24]. Experiments to properly
determine the nitrogen content via Rietveld analysis using RIETAN-2000
program and sample weight change before and after sintering, yield nitogen
content values of y= 1.012 and 0.98 respectively. These two values indicate that
y ~ 1. The space group is Pm3 m (space group No. 221). Zn occupies the corner
position (1a), and nitrogen occupies the center of the cube(1b) while the three
nickel atoms reside on the face-centered sites labelled 3c. In this study we
assume that ZnNyNi3 is likely to be stoichometric, that is, y ~ 1. To our
knowledge, no theoretical investigation of ZnNNi3 has been done.
In this paper, we present the results of a systematic study of the structural
and electronic properties of the stoichiometric form (ZnNNi3) of the new
antiperovkite superconductor ZnNyNi3 alongside that of the isostructural ZnCNi3
by using density functional theory approach as embodied in the WIEN2k
package[25]. Our study will enable us investigate the structural and electronic
properties of ZnNNi3 for the first time and compare them with that of
77
isostructural ZnCNi3 with a view to revealing any key differences in there

electronic properties that may be used to account for the absence of
superconductivity in ZnCNi3 down to 2K.
The outline of the paper is as follows, In section II, we give a brief
description of the computational procedures used. In section III, the calculated
results of the structural and electronic properties are presented and
discussed.Conclusions are drawn in section IV.
2. THEORETICAL PROCEDURE
The crystal structure of the antiperovskites considered possess the cubic

space group, Pm3 m ( No. 221). In this structure, the Zn ions are at the corners,
nitrogen(carbon) at the body center, and nickel at the face centers of the cube. The
atomic positions are Zn: 1a (0,0,0); N(C): 1b ( 12 , 12 , 12 ); Ni: 3c ( 12 , 12 , 0). In this
structure, there are six Ni atoms at the face-centered positions of each unit cell
forming a three-dimensional network of Ni6 octahedron similar to oxygen
octahedron in CaTiO3. Each N or C atom is located in the body-centered cubic
position surrounded by Ni6-octahedron cage. In order to study the structural and
electronic properties of ZnNNi3 and ZnCNi3, first-principles calculations were
performed by employing a full-potential(linear) augmented plane wave plus local
orbital (FP-(L)APW +lo)[27-29] method, based on density functional
theory[30,31] and implemented in theWIEN2k package[25]. The generalized
gradient approximations(GGA) to exhange-correlation potential of Perdew, Burke
and Ernzerhoff (GGA-PBE)[32] and Wu and Cohen (GGA-WC)[33] as well as
local density approximation(LDA)[34] were used. In this method of calculation,
no shape approximations to the electronic charge density or potential is made.
Also, the unit cell is divided into non-overlapping muffin-tin spheres centered at
atomic sites separated by an interstitial region. In the atomic sphere, a linear
combination of radial functions times spherical harmonics is used and in the
interstitial region, the basis set consists of plane waves. The basis set inside each
muffin-tin sphere is split into core and valence subsets. The core states are treated
within the spherical part of the potential only, and are assumed to have a
spherically symmetric charge density confined within the muffin-tin spheres. The
valence part is treated with the potential extended into spherical harmonics up to
  4 . Also the valence wave functions inside the muffin-tin spheres are
expanded up to   10 partial waves. In this study we treat the core electrons fully
relativistically, and the valence electrons semi-relativistically.
78
In the calculations, and the muffin-tin radii are chosen to be 2.3, 1.6, 1.6,
1.8 a.u for Zn, N, C, and Ni respectively. The basis functions are expanded up to
RMTKmax equal to 8.0 (where Kmax is the plane wave cut-off and RMT is the
smallest of all the muffin-tin sphere radii). The integrations over the Brillouin
zone are perfomed via the tetrahedron method with 56 k-points in the irreducible
part of the Brillouin zone. The self-consistent calculations were considered to be
converged when the difference in the total energy of the crystal did not exceed
0.1mRy as calculated at consecutive steps. The density of states (DOS) was
obtained using a modified tetrahedron method[35].
3. RESULTS AND DISCUSSION

A. Structural properties
In order to calculate the ground state properties of these compounds, the total
energies are calculated for different volumes around the experimental cell
volume. The calculated total energies are fitted to the Birch-Murnaghan equation
of state[35] to determine the ground state properties such as the equilibrium lattice
constant a0, the bulk modulus B0 and the pressure derivative of the bulk modulus
B′. It has been reported[36] that the new exchange-correlation functional
proposed by Wu and Cohen(GGA-WC)[33] is more accurate in predicting the
equilibrium lattice constant and bulk moduli for solids significantly over both
local-density approximation(LDA)[33] and Perdew-Burke-Ernzerhof(GGA-
PBE)[31] generalized gradient approximation. For this reason, the structural
properties have been calculated using the LDA, GGA-PBE and GGA-WC in
order to test the suitability of these exchange-potential approximations in studying
the structural properties of these antiperovskites. The results of the calculations of
the structural parameters are displayed in Table 1 together with experimental data
and results of previous theoretical studies.
It is seen that the equilibrium lattice constant determined by employing
different exchange-correlation functionals exhibit, to some extent, the expected
pattern(GGA generally overestimates the lattice parameter).
79
Table 1: Calculated lattice constants a0 (in A ) bulk modulus B0(in GPa) and its
pressure derivative B0' for ZnNNi3 and ZnCNi3 at the theoretical equilibrium
volumn compared with available experimental data and other theoretical
calculations.
3
Reference 24, 4Reference 22, 5Reference 13, 6Reference 14, 7Reference 6, 8Reference 3
However, it is noteworthy that for ZnNNi3, only GGA-PBE gives a value of

equilibrium lattice constant that is greater than the experimental value. For
ZnCNi3, the equilibrium lattice constant obtained using all the exchange-
correlation schemes, are larger than the experimental value. However, in both
compounds, the level of overestimation obtained, when the GGA-WC scheme
was used, is less that that resulting from the use of GGA-PBE scheme. The
observed overestimation in ZnCNi3, even when LDA scheme was used, has been
reported by some previous studies[10,14,22] and it was thought to be probably
due to underestimation of the experimental lattice data arising possibly from
carbon defeciency. Although the experimental lattice constant aexpt(ZnNNi3) >
aexpt(ZnCNi3), the theoretically calculated equilibrium lattice constants do not
80
show the same pattern since a0(ZnNNi3) < a0(ZnCNi3). It may well be that the
deviation of the investigated sample (ZnNNi3) from stoichiometry, may also have
some effect. On the whole, although the results of the lattice constants show that
the GGA-WC is better suited for proper description of these compounds, one
should not expect a perfect agreement between the experimental lattice constant
and the GGA-WC values. This is because experimental lattice constants are
usually measured at room temperature and the effect of thermal expansion and
zero-point quantum fluctuations, which will enlarge the calculated lattice
constant, are not included in density functional schemes[37].
Furthermore, it was observed that the bulk moduli of these materials
increase in the sequence B(ZnCNi3) < B(ZnNNi3), that is, in reverse sequence to
a0, in agreement with the well known relationship[37] between B and the lattice
constant (cell volume V0, as B ~ V01 ). This trend, where a larger lattice constant
leads to a smaller bulk modulus, has been reported for various
antiperovskites[22,23].
B. Electronic Properties
The electronic band structure and density of states of states(DOS)

calculated using the Wu-Cohen generalized gradient approximation at the
equilibrium lattice constant are shown in Fig. 1 and Figs. (2-4) respectively. The
self-consistent calculations show that the materials, ZnNNi3 and ZnCNi3, in the
normal state are typical metallic compounds.The valence and conduction bands
overlap appreciably between R −  and Z − M −  symmetry lines in ZnNNi3 as
well as between R−  and  −X−Z−M−  in ZnCNi3. At the moment, there exists
a number of reports on the electronic band structure calculation for ZnCNi3[22]
but non for ZnNNi3.
81
Figure 1: Calculated electronic band structures of (a) ZnNNi3 (b)ZnCNi3. The

valence band maximum is at zero.
The overall band profiles are found to be in fairly good agreement with previous
theoretical results[22]. The general features of the bands are nearly the same
except for a few differences. For instance, in energy range shown, the band
structure for ZnNNi3, is clearly divided into two broad groups. The lowest group
extends from about -9.0eV to about -5eV with a small gap separating it from the
other group of bands with higher energy that cross the Fermi level. The bands
crossing the Fermi level are predominantly of Zn d and N p states. No such gap is
present in ZnCNi3 (Fig. 1b) between -8eV and the Fermi level. However, there are
also two groups of bands in the bandstructure of ZnCNi3. The lowest group of
bands lies between -14eV and -11eV and are predominantly of C s character.
Similar band probably due to N s are not present in ZnNNi3 in the energy range
shown(Fig. 1a) but lies further down. This lowest lying C s band in ZnCNi3 is
separated from the rest of the valence bands by a gap of about 3eV (between -
11.0eV and -8eV). In both compounds, the upper valence band consists of
predominantly hybridized Ni d and N(C) p states while the conduction bands are
dominated by mixture of p states from all the constituent atoms.
The total densities of states as well as the site decomposed contributions
for the two compounds are displayed in the two upper panels of Figs. 2. Generally
as earlier noted in the case of their band structures, the general features of the
DOS for the two compounds are quite similar. It is interesting to note that there is
82
a sharp peak in the DOS of the two compounds clo se to the Fermi level. This
peak is associated with the quasiflat bands close to the Fermi level that are
predominantly due to Ni dxz, dyz states. This has been observed as a common
feature of all the Ni-based antiperovskites[14,22,23]. However, in ZnNNi3, this
DOS peak is a little farther away(~ 0.21eV), while that of ZnCNi3 is only about
0.09eV below the Fermi level. The effect of this is seen in the reduced value of
DOS at the Fermi level for ZnNNi3. This shift of the DOS peak towards the Fermi
level, EF , from the low energy side on replacing nitrogen with carbon, is similar
to what is observed with increasing the lattice parameter a, regardless of the kind
of element A in ACNi3 (A=Mg, Zn, Al, Ga[21]).
The peak in the DOS around -7eV is due mainly to Zn d states mixed with
some N(C) p as well as Ni p states. It arises from the nearly flat bands in the band
structures of both compounds around -7eV. The intensity of this peak is more in
ZnCNi3 than ZnNNi3 Around this intense peak, there are two small structures due
to N p states in ZnNNi3, these are less prominent in the DOS of ZnCNi3. It is
notewothy to report that there is far more carbon s contribution than nitrogen s
contribution at the Fermi level. Also, the structure due to the N p contribution
which crosses the Fermi level is fairly broad in ZnNNi3. This is in contrast to the
presence of a peak due to C p states which lies on the Fermi level and arises due
to the flat bands that lie almost on the Fermi level between X-M-  high
symmetry points in Fig. 1a.
The lowest panel in Fig. 2 shows a comparison of the total density of
states of ZnNNi3 and ZnCNi3 within a smaller energy panel around the Fermi
level in order to bring out the differences especially in the region close to the
Fermi level. It clearly shows the shift of Ni dxz, dyz dominated peak farther away
from the Fermi level in ZnNNi3 than in ZnCNi3.
In Fig. 3, we have ploted the main contributions to the upper valence band
DOS of the two compounds. It arises mainly from hybridization of nitrogen or
carbon p and nickel d states. A comparison with the band structure of the
compounds show that whereas the C p band is very close to the Fermi level at the
M point and causing a peak in the DOS, the N p band is flat around a wider
region(from Z-M-  ) causing a structure that is more like a hump. The d states of
the two compounds around the Fermi level look almost alike except for the larger
distance away from the Fermi level in the case of ZnNNi3. The differences arise
from the N p and C p contributions which are about 12% and 7 % in ZnNNi3 and
ZnCNi3 respectively.The calculated total density of states at the Fermi level,
N(EF ), for ZnNNi3 is about 55% that of ZnCNi3. The implication of the smaller
density of states at the EF for conductivity is probably that the electrical
conductivity in ZnNNi3 is lower than in ZnCNi3.
83
Finally in Fig. 4, we have tried to mimic the effect of pressure on the

electronic structure of ZnNNi3 by plotting in the top panel, the DOS of ZnNNi3 at
the experimental lattice constant (3.756°A) as well as at a smaller latice constant,
for example, the experimental lattice constant of ZnCNi3 (3.66°A). It is observed
that the density of states obtained using the two lattice constants are nearly the
same close to the Fermi level. More noticeable differences are observed lower
down in energy where the effect of pressure clearly shifts the peaks in the DOS
further down in energy. In the lower panel of this figure(Fig.4), the DOS of
ZnCNi3 is plotted at both the experimental and theoretical lattice constants. This
simulates the effect of expansion of the lattice by about 2%. The plots indicate
that the peaks far below the Fermi level are shifted to higher energies, This trend
is in agreement with the result of lattice contraction( in the case of ZnNNi3) which
shifted the peaks downward. This shift to higher energies decreases towards the
Fermi level and results to an increase in the magnitude of the density of states at
the Fermi energy(N(EF)). Our results indicate that application of pressure(lattice
contraction) decreases the density of electrons around the Fermi level which may
reduce the electrical conductivity of the material.
84
Figure 2: Total and site decomposed density of states of (a) ZnNNi3 and (b)
ZnNNi3 at their equilibrium lattice constants. (c) Comparison of the total density
of states of ZnNNi3 and ZnCNi3, within smaller energy panel, at their equilibrium
lattice constants.
85
4. CONCLUSIONS
We have studied the recently synthesized superconducting anti-perovskite nitride
ZnNyNi3 in the stoichiometric form, ZnNNi3 as well as isostructural ZnCNi3
using first-principles APW+lo method in order to compare their structural and
electronic properties.
Figure 3: Density of states calculated at the equilibrium lattice constant (a)

ZnNNi3 and (b)ZnCNi3 showing the nitogen p and nickel d contributions around
the Fermi level.
Figure 4: Total density of states for (a) ZnNNi3 at the experimental lattice
constant of ZnNNi3 (3.756°A) and ZnCNi3 (3.66°A) (b) Total density of states of
ZnCNi3 at the experimental(3.66°A) and theoretical(3.728°A) lattice constants.
Our calculations show that their structural properties are very similar. The
band structure plots also show a metallic character in ZnNNi3 as in ZnCNi3. The
86
width of the valence band in ZnNNi3 extends from about 4.0eV below the Fermi
level and this is smaller than a bandwidth of about 8eV observed in ZnCNi3. The
presence of C s states in the region between 11.0 and 14.0 eV below the Fermi
level in ZnCNi3 as well as the greater relative concentration of N p states in
comparison to C p states in ZnNNi3 and ZnCNi3 respectively at the Fermi level,
are some of the major differences in the electronic structure of these compounds.
The DOS at EF in the new superconducting antiperovskite is suppressed since it is
about half the value in ZnCNi3. This is probably due to the shift farther away from
below the Fermi level by the peak in the DOS of ZnNNi3. It is suggested that this
decrease in DOS at the Fermi level might also contribute to the relatively high Tc
that is observed in the newly synthesized first antiperovskite nitride
superconductor, ZnNNi3, in contrast to the analoguos compound, ZnCNi3, which
has not been found to be superconducting down to 2K.
REFERENCES
[1] T. He, Q. Huang, A.P. Ramirez, Y. Wang, K. A. Regan, N. Rogado, M. A.
Hayward, M. K. Haas, J. S. Slusky, K. Inumaru, H. W. Zandebergen, N. P.
Ong, and R. J. Cava, Nature (London) 411, 54 (2001).
[2] S. Mollah, J. Phys.: Condens. Matter 16 R1237 (2004) and references therein.
[3] M. S. Park, J. S. Giim, S. H. Park, Y. W. Lee, and E. J. Choi, Supercond. Sci.
Technol. 17, 274 (2004)
[4] A. F. Dong, G. C. Che, W. W. Huang, S.L. Jia, H. Chen, Z. X. Zhao, Physica
C 442, 65 (2005)
[5] P. Tong, Y. P. Sun, X. B. Zhu, and W. H. Song, Phys. Rev. 73, 245106 (2006)
[6] M. Uehara, T. Amano, S. Takano, T. Kori, Y. Yamazaki, and Y. Kimishama,
Physica C 440, 6 (2007); M. Uehara, T. Yamazaki, T. Kori, T. Kashida, Y.
Kimishima, andI. Hase, J. Phys. Soc. Jpn. 76, 034714 (2007).
[7] P. Tong, Y. P. Sun, X. B. Zhu, and W. H. Song, Solid State Commun. 141,
336 (2007).
[8] A. L. Ivanovskii, Phys. Solid State 45, 1829 (2003).
[9] P. Tong, Y. P. Sun, X. B. Zhu, W. H. Song, Phys. Rev. B 74, 224416 (2006).
[10] M. D. Johannes and W. E. Pickett, Phys. Rev. B. 70, 060507(R) (2004).
[11] I. R. Shein, K. I. Shein, and A. L. Ivanovskii, Metallofiz. Noveishie Tekhnol.
26, 1193(2004).
[12] C M I Okoye, Solid State Comuun. 136, 605 (2005).
[13] V. V. Bannikov, I. R. Shein, and A. L. Ivanovskii, Phys. Solid State 49, 1626
(2007). [14] M. Sieberer, P. Mohan, and J. Redinger, Phys. Rev. B 75,
024431 (2007).
87
[15] S. B. Dugdale and T. Jarlborg, Phys. Rev. B 64, 100508(R) (2001).

[16] J. H. Shim, S. K. Kwon, and B. I. Mi, Phys. Rev. B 64, 180510(R) (2001).
[17] D. J. Singh and I. I. Mazin, Phys. Rev. B 64, 140507 (2001).
[18] I. G. Kim, J. I. Lee, and A. J. Freeman, Phys. Rev. B 65, 064525 (2002).
[19] H. Rosner, R. Weht, M. D. Johannes, W. E. Pickett, and E. Tosatti, Phys.
Rev. Lett. 88, 027001 (2001).
[20] G. H. Zhong, J. L. Wang, Z. Zeng, X. H. Zheng, H. Q. Lin, J. Appl. Phys.
101, 09G520 (2007).
[21] S. Q. Wu, Z. F. Hou, and Z. Z. Zhu, Physica B403, 4235 (2008).
[22] I. R. Shein, V. V. Bannikov, A. L. Ivanovskii, Physica C 468, 1 (2008).
[23] I. R. Shein, and A. L. Ivannovskii, Phys. Rev. B 77, 104101 (2007).
[24] M. Uehara, A. Uehara, K. Kozawa, and Y. Kimishima, J. Phys. Soc. Jpn., 78,
033702 (2009).
[25] P. Blaha, K. Schwarz, G. K. H. Madsen, D. Kvasnicka and J. Luitz,
WIEN2k, An Augmented Plane Wave + Local Orbitals Program for
Calculating Crystal Properties, Karlheinz Schwarz, Techn Universitat
Wien, Austria, 2001. ISBN:3-9501031-1-2.
[26] E. Sjostedt, L. Nordstrom, and D. J. Singh, Solid State Commun. 114, 15
(2000).
[27] G. K. H. Madsen, P. Blaha, K. Schwarz, E. Sjostedt, L. Nordstrom, Phys.
Rev. B 64,195134 (2001).
[28] K.Schwarz, P. Blaha, G. K. H. Madsen, Comput. Phys. Commun. 147, 71
(2002).
[29] P. Hohenberg and W. Kohn, Phys. Rev. 136, B864 (1964).
[30] W. Kohn and L. J. Sham, Phys. Rev. 140, A1133 (1965).
[31] J. P. Perdew, S. Burke and M. Ernzerhof, Phys. Rev. Lett. 77, 3865 (1996);
ibid 78 1396(E) (1997).
[32] Z. Wu and R. Cohen, Phys. Rev. B 73, 235116 (2006); F. Tran, R. askowski,
P.Blaha, and K. Schwarz, Phys. Rev. B 75, 115131 (2007).
[33] J. P. Perdew and Y. Wang, Phys. Rev. B 45, 13244 (1992)
[34] P.E. Blochl, O. Jepsen, and O. K. Anderson, Phys. Rev. B 49, 16223 (1994).
[35] F. Birch, J. Geophys. Res.,[Space Phys.] 83(1978)1257, F.D. Murnaghan,
Proc. Natl.Acad.Sci. USA 30, 244 (1944).
[36] M. Mattesini, Phys. Rev. B 79, 125122 (2009).
[37] M.L. Cohen, Phys. Rev. B 327988(1985).
88
CdS THIN SOLID FILMS FOR PHOTOVOLTAIC

APPLICATION††
S.C. Ezugwu*, P.U. Asogwa, R.U. Osuji, F.I. Ezema, B.A. Ezekoye,
A.B.C. Ekwealor
Department of Physics and Astronomy, University of Nigeria, Nsukka
*E-mail: sabroec@gmail.com
Abstract
Nanocrystalline ternary thin films composed of TlS-CdS and PbS-CdS were
deposited by a simple and inexpensive chemical bath deposition technique within
the pores of polyvinyl alcohol. The films were studied for possible application in
photovoltaic architecture. By characterizing the films using x-ray diffractometer,
scanning electron microscope and UV-VIS spectrophotometer the optical band
gap energy, calculated from the absorption spectra, was found to be in the desired
interval to be used as solar absorber material for photovoltaic fabrication.
Keywords: Band gap energy, CBD, photovoltaic, ternary thin film
1. INTRODUCTION
Solar energy is one of the most convenient non-conventional energy
resources to be considered for the power requirements of the 21st century. The
studies of semiconductor nanoparticles have shown that they exhibit novel optical
properties. These unique properties led to the appearance of many new application
areas, such as their use in solar cell, photodetectors, light-emitting diodes and
switches [1,4].
Energy conversion in solar cell consists of generation of electron-hole
pairs in semiconductors by the absorption of light and separation of electrons and
holes by an internal electric field. Charge carriers collected by two electrodes give
†† African Journal of Physics Vol. 2, pp. 89- 99 (2009)

89
rise to a photocurrent when the two terminals are connected externally. The
spectrum of solar light energy spreads from the ultraviolet region (300nm) to the
infrared region (3000nm). When the photon energy is less than band gap of the
semiconductor, the light is transmitted through the material, that is, the
semiconductor is transparent to the light. When the photon energy is larger than
band gap, the electrons in the valence band are excited to the conduction band. It
means that a photon is absorbed to create an electron-hole pair. This process is
called intrinsic transition or band-to-band transition.
A heterojunction is formed by joining two layers of semiconductors with
differing band-gap energies. When the layers have the same conductivity type an
isotype heterojunction is formed, whereas in an anisotype heterojunction, the
layer conductivity type differs. The requirement to get appropriate band-gap
energies for device application has led to the development of binary, ternary and
quaternary thin films [3-10].
Cadmium sulphide (CdS) is one of the most promising II-IV compound
materials because of its wide range of application in various optoelectronic, piezo-
electronic and semiconducting devices [11, 12]. High efficiency thin film solar
cells have been achieved using two types of structures: SnO2:F/CdS/CdTe and
ZnO/CdS/CuInSe2 [13]. In these devices, the systems SnO2:F/CdS and ZnO/CdS
act as optical windows and the CdTe and CuInS2 act as absorbent layers. The
highest efficiency in CdTe and Cu(InGa)Se2-based solar cells has been archived
using CdS films deposited by chemical bath deposition process[14, 15]
In this paper, we report the chemical bath deposition of ternary thin films
and the analysis of the band-gap energies and the optical transmission for possible
use in solar cells and other applications.
2. EXPERIMENTAL DETAILS
2.1 Preparation of TlS-CdS thin film
Thin film of TlS was deposited on clean microscope glass slide by using
5ml of 0.2M TlNO3, 4ml of 1M C3H4(OH)(COONa)32H2O, 4ml of 1M (NH2)2CS
and 34ml of PVA solution put in that order in 50ml beaker. The PVA solution
used in this work was prepared by adding 900ml of distilled water to 1.8g of solid
PVA (-C2H4O)n (where n=1700), and stirred by a magnetic stirrer at 90oC for
1hour. The homogenous solution was aged until the temperature drops to 25oC.
The deposition was allowed to proceed at room temperature for 90mins after
which the coated substrate was removed, washed well with distilled water and
90
allowed to dry. The glass-TlS system was used as the substrate for the deposition
of CdS film. The bath for the chemical deposition of CdS was composed of 3ml
of 1M CdCl2, 5ml of NH3 solution, 10ml of 1M (NH2)2CS and 35ml of PVA
solution. The deposition time was 360mins. The film was again rinsed thoroughly
with distilled water and allowed to dry. The deposited TlS-CdS thin film was
annealed in an oven at 1000C for 60mins.
2.2 Preparation of PbS-CdS thin film
The chemical bath deposition of PbS thin film on clean microscope glass
slide was achieved by using 10ml of 0.1M Pb(NO3)2, 5ml of 1M NaOH, 10ml of
1M (NH2)2CS and 25ml of PVA solution. The deposition proceeded at room
temperature and lasted for 60mins. The deposited glass substrate was then
removed, rinsed with distilled water and allowed to dry. The formation of PbS-
CdS thin film was achieved by using the procedure described in section 2.1
above. The deposited PbS-CdS thin film was again annealed in an oven at 1000C
for 60mins.
2.3 Thin film characterization
The samples were characterized with SEM, XRD and UV-VIS
Spectrophotometer. Optical properties of chemical bath deposited TlS-CdS and
PbS-CdS thin films were measured at room temperature by using a double beam
Perkin-Elmer UV-VIS Lambda 35 spectrometer. Optical band-gaps were
calculated from the absorption spectra. X-ray diffraction (XRD) is an efficient
tool for the structural analysis of crystalline materials. The XRD patterns for the
samples were recorded using D/max-2000 Rigaku powder X-ray diffractometer in
the 2θ range 200 - 800 using CuKα radiation of wavelength λ = 1.5408Ǻ. The grain
size of the deposited films was viewed by using scanning electron microscopy
(SEM) technique.
3. RESULT AND DISCUSSION

Figure 1a - b show the XRD patterns of TlS-CdS and PbS-CdS thin films
deposited in this work. The patterns were recorded after annealing the samples at
150oC for 1hr. This was done to improve upon the intensities of the
peaks/crystallinity of the films. The parameters of interest from XRD for both
samples are displayed in tables 1 and 2.
91
Table 1: Obtained result from XRD for PbS-CdS thin film
2 d-value FWHM I/Io
26.18 3.4011 0.071 75
26.28 3.3884 0.212 100
30.30 2.9474 0.259 88
43.36 2.0851 0.118 43
43.42 2.0824 0.118 46
Table 2: Obtained result from XRD for TlS-CdS thin film

2 d-value FWHM I/Io
21.50 4.1297 0.071 18
25.46 3.4956 0.071 20
25.58 3.4795 0.094 18
29.56 3.0194 0.259 100
39.20 2.2963 0.141 17
39.42 2.2839 0.165 20
44.74 2.0239 0.141 16
92
The peaks at 2 values of 26.28o and 44.74o are attributed to cubic CdS (JCPD
card No 80-0019) [1], having lattice parameters a=b=c= 5.811Å. These were
assigned to the diffraction lines produced by (111) and (220) planes. However,
the additional peaks at an angle of 26.18o and 30.30o are identified to be of PbS
(JCPD card No 78-1901), and assigned to the diffraction line produced by (111)
and (200) planes of the PbS cubic phase (galena) [2,3]. Similarly, the XRD
pattern at 2 values of 25.58o and 29.56o are identified to be TlS (PDF No 43-
1067) [4]. These were assigned to the diffraction line produced by (022) and (202)
planes. These results suggest that each of the thin films deposited in this work is a
mixture of binary chalcogenides ( i.e. PbS-CdS and TlS-CdS)
The average crystallite size of the films was calculated from the recorded
XRD patterns using Scherrer formula:
D = 0.89 λ/β cos θ
Where D is the average crystallite size, λ is the wavelength of the incident X-ray,
β is the full width at half maximum of X-ray diffraction and θ is the Bragg‘s
angle.
500
450
400
350
300
250
200
150
100
50
0
10 20 30 40 50 60 70 80
Fig.1a: X-ray diffractogram of TlS-CdS thin film
93
350
300
250
200
150
100
50
0
10 20 30 40 50 60 70 80
Fig 1b. X-ray diffractogram of PbS-CdS thin film
The average crystallite size for the thin film of TlS-CdS and PbS-CdS were found
to be 11.3nm and 11.4nm respectively.
The scanning electron micrographs of TlS-CdS and PbS-CdS thin films
reported here are shown in figure 2a-b. From the micrographs, it is observed that
the films are uniform throughout all the regions: the films are without pinhole or
cracks. We clearly observe the small nanosized grains engaged in a flower-like
structure, which indicates the nanocrystalline nature of the films.
Fig.2 SEM of (a) TlS-CdS thin film (left); (b) PbS-CdS thin film (right)
The optical absorption spectra of the films deposited onto glass substrate
were studied in the range of wavelengths 200 – 1100nm. The variation of
absorbance (A) and transmittance (%T) with wavelength for the two samples
94
under study are shown in fig 3 and 4 respectively. Thin films of PbS-CdS show
good absorption in the visible spectrum and a lower absorbance values in IR
region of the solar spectrum. The plot in figure 3 also reveals that TlS-CdS thin
film has high absorbance values in the IR region and virtually non-absorbing in
the UV-VIS. 1.8
1.6
1.4
1.2
Absorbance
TlS-CdS
1
0.8
0.6
PbS-CdS
0.4
0.2
0
200 400 600 800 1000
Wavelength (nm)
Fig.3. Absorbance vs. wavelength for TlS-CdS
& PbS-CdS thin films
95
Fig. 4. Transmittance VS. wavelength for TlS-CdS and PbS-CdS
The transmittance plot in figure 4 shows that the films transmit well in the
wavelength range opposite to that of the absorbance. In order words, films that
absorb well in the IR region transmit poorly in the same region. The spectral
absorbance and transmittance displayed in figs. 3 and 4 show that some of the
films deposited in this work could be used as spectrally selective window coatings
in cold climate to facilitate transmission of VIS and NIR while suppressing the
UV portion of solar radiation. The films can be used for coating eyeglasses for
protection from sunburn caused by UV radiations.
The details of the mathematical determination of the absorption coefficient
(α) can be found in literature [17, 18] while the plots of absorption coefficient
against photon energy is shown in fig. 5
96
Proceedings of the Second
6 International Seminar on Theoretical Physics & National
4 TlS-CdS
a x106m-1
3
2
PbS-CdS
0
0 1 2 3 4 5
Photon Energy (eV)
Fig. 5. Absorption coefficient vs. photon

energy for TlS-CdS & PbS-CdS thin films
These absorption spectra, which are the most direct and perhaps the
simplest method for probing the band structure of semiconductors, are employed
in the determination of the energy gap, Eg. The Eg was calculated using the
following relation [17-19]: α = A(hν - Eg)n /hν,
Where A is a constant, hν is the photon energy and α is the absorption coefficient,
while n depends on the nature of the transition. For direct transitions n = ½ or ⅔,
while for indirect ones n = 2 or 3, depending on whether they are allowed or
forbidden, respectively. The usual difficulty in applying this concept to
polycrystalline thin films with nanometer-scale crystalline grains is the size
distribution of grains and consequent variation in the band gap due to quantum
confinement effects. Thus the straight-line portion may not extend beyond a few
tenths of an electronvolt, and hence value of the band gap could turn out to be
very subjective [20]. The best fit of the experimental curve to a band gap
semiconductor absorption function was obtained for n = ½. The calculated values
of the direct energy band gap, from fig.6 are 1.4eV and 1.2eV for TlS-CdS and
PbS-CdS respectively.
97
A material with a direct band gap of about 1.5eV and a high absorption
coefficient
30
TlS-CdS
(1.4eV)
25 PbS-CdS
(1.2eV)
20
2
(h)
15
10
0
0 1 2 3 4
h (eV)
Fig.6. (h)2 VS. h
of more than 104cm-1 has been regarded as a promising absorber for thin film
photovoltaic applications [16]. The low band gap values exhibited by these films
together with high absorbance in the VIS make the films suitable for use as
absorber material in solar cell application. For laser diode application, the band
gap energies should essentially lie in the range of 0.9 to 1.5eV. While band-to-
band radiative recombination is favored in direct band gap materials, the band gap
energy controls the emission wavelength: λ ≈ 1.2 /Eg. [1]. Hence these films could
also be used for fabrication of laser diodes.
4.0 CONCLUSION
Chemical bath deposition technique has been successfully used to deposit
ternary thin films of TlS-CdS and PbS-CdS. Their optical band gaps, which lie
within 1.2 and 1.4eV, are in the desired interval to be used as absorber materials
for solar cell fabrication.
98
REFERENCE:
1. Z.H. Mbele; Chem. Mater. 15(2003) 5019.
2. H. weller, Chem. Int. Edn. Engl. 32 (1993) 41
3. M.T.N. Nair, Y. Para, J.Compos, V.M. Garcia, P.K. Nair; J. Electrochem.
Soc.145 (1998) 6
4. R. Suarez, P.K. Nair; J. of Solid State Chemistry 123 (1996) 296-300.
5. Y. Rodriguez-Lazcano, M.T.S. Nair, P.K. Nair; J of Crystal Growth 223
(2001) 399-406
6. A. Abu El-Fadl, Galal A. Mohamad, A.B. Abd El-moiz, M. Rashad; Physica
B 366 (2005) 44-54
7. F.I Ezema, R.U. Osuji: FIZIKA A(Zagreb)16 (2007)2, 107-116
8. F.I Ezema, R.U Osuji; J of Allied Sciences 6 (8) (2006) 1827-1832
9. S. Jana, R. Thapa, R Maity, K.K Chattopadhyay; Physica E (2008),
doi:10.1016/j.physe.2008.04.015
10. S.C Ezugwu, F.I. Ezema, R.U. Osuji, P.U. Asogwa, A.B.C. Ekwealor, B. A.
Ezekoye; Optoelectronics and Advanced Materials-Rapid Comm. 3
(2009)141-144.
11. Y.Iyechia; SPIE Opt. Comput. 88 (2000) 103
12. V. V. Stefko; Sov J. Commun. Techno. Electron 36 (1991)
13. C.S. Ferekids, D. Mariskiy, B. Tesali, D. Oman and D.L. Morel; 25th IEEE
PVSC (Washington !996), P.751
14 M. Contreras, K. Ramanathan, F. Hason abd R. Nuofi; Progress in
Photovoltaic 7, 311 (1999)
15 J. Britt and C. Ferekids; App. Phys. Lett. 62, 2851 (1993)
16 Watanabe, M. Matsui; J. Appl. Phys. 38 (1999) 1379-1382
17 F.I. Ezema; Turk J. Phys. 29 (2005) 105
18 I.C. Ndukwe; Sol Ener. Cells 40 (1996) 123
19 V. Estrella, M.T.S. Nair, P.K. Nair; Semicond. SC. TEchnol.; 18 (2003) 190
20 V. Estrella, M.T.S. Nair, P.K. Nair; Thin Solid Films 414 (2002)289-295
99
SYNTHESIS AND CHARACTERIZATION POTASSIUM

PERCHLORATE SINGLE CRYSTAL IN SILICA GEL‡‡
Uchechukwu .V. Okpala

Emeagwali Centre for Research on Renewable, Energy and Material Science
(ERREMS). Anambra State University of Science & Technology, Uli,
Anambra State. E-mail: ifarauc@yahoo.com
Abstract
In this work, Sol gel method of thin film growth/deposition is used in growing
crystals of potassium per chlorate (KClO4). Impurities of locally produced
materials were added to see how they permeate into the fabrics of the
aforementioned crystals and affect the optical properties. The spectral analysis of
the said growth was carried out to enable us determine their properties.
Key Words: Sol-gel, optical characterization, silica model, KClO4 crystals and
band gap.
1. INTRODUCTION.
Mobilizing Physical Science based enterprise is a collective responsibility

between the government and the governed. Object oriented projects should be
adequately funded. In order to carry object oriented project we must imitate the
nature. Under the sun, everything has a small beginning. The building of nature
from small beginning is conspicuously found in crystal growths/ depositions, with
little manipulation on the constitution and arrangements of the molecules of these
materials new dimensions emerge. In the recent times, Sol-gel growth/deposition
of thin films has been found a veritable asset to materials scientists and solid
state industries.In this work crystals of potassium perchlorates were grown with
the addition of impurities of a local material (Bamboo). One reason for adopting
‡‡ African Journal of Physics Vol. 2, pp.100-114, (2009)

100
sol-gel technique is the easy control over film deposition and easy fabrication of a
large area thin film with low cost [1]
Potassium Perchlorate Crystal
The crystals of potassium perchlorate (KClO4) are colourless rhombuses
which are slightly soluble in water [2]. The solubility at 0oc is 0.75gm per 100gm
of water and is less soluble in aqueous ethyl alcohol. It is used in the separation of
the former and acts as a reagent, oxidising agent, pyrotechnic ( i.e. the
manufacture of fire works) antipyretic ( i.e. a drug reliving fever), sedative (B.P)
and source oxygen.
Bamboo
Bamboo is one of the most marvellous plants in nature. Some giant species
of bamboo grow up to 1.22 meters in 24hrs. Bamboo is stronger than wood or
timber in tension and compression. The tensile strength of the fibres of vascular
bundles could be up to 12,000Kg/cm2 , almost that of steel[3]. Chemical analysis
reveals that bamboo has about 1.3% ash, 4.6% ethanol- toluene, 26.1% lignin,
49.7% cellulose, 27.7% pentosan [4]. In spite of the strength and hardness of the
giant bamboo culm wall, the culm can easily be cut in few minutes, even with a
stone axe if we know the exact place of the internode. In Hiroshima, Japan, the
only plant which survived the radiation of the atomic bomb in 1945 was a bamboo
plant [5]
Theroretical Considerations
Crystalline and amorphous semi-conductors, near the fundamental absorption age
there is the dependence of the absorption coefficient on the photon energy. In high
absorption regions the form of the absorption coefficient with photon energy was
given in more general term by [6,7] as
h  A(h  E g ) n (1.0)
Where  is the frequency of the incident photon, h is the Planck‘s constant, A is a

constant, E g is the optical energy gap and variable n has the Value 2 for direct
allowed transition, ½ for indirect allowed.
101
When the linear portion of (h ) n as a function of hf is extrapolated to α = 0, the

intercept gives the transition band gaps. For semi-conductors and insulators
(where K2 <<n2) there exist a relationship between R and n given by [5,6]
R  (n  1) 2 /( n  1) 2 (1.1)
There is also a relationship between k and α given by [6,8].
k   / 4 (1.2)
where α = absorption coefficient of the film,  = wavelenght of electromagnetic
wave and k is the absorption coefficient. The relationship between E and K is
given by [6]
E  Er  Ei  (n  ik ) 2 (1.3)
where Er and Ei are real and imaginary parts of E respectively.
Optical conductivity 0 is given by [6,8]

 0  nc / 4 (1.4)
where c is the speed of light.
2. EXPERIMENTAL DETAILS
2.1. Growth of Potassium Perchlorate Single Crystal in Silica Gel
The experiments were conducted in 100ml beakers. Twenty five millilitre
(25ml) of sodium silicate solution of pH greater than eleven and with specific
gravity 1.04 was placed in a test- tube some quantities of IN of perchloric acid
were added to the sodium silicate solution to form a gel. The pH of the mixture
was set at 5.0. The gel was allowed to set at room temperature for a period of 5,
15 and 25 days, after which a feed solution of potassium chloride (KCL) was
placed above the gels for crystallization, potassium chloride (KCL) of different
normalities (0.5N, 0.8N and 1.8N) was used.
The chemical reaction which took place in the gel medium is represented as
KCL + HCLO4 — KCLO4 + HCL ------2 .0
102
Immediately after the addition of the feed solution, some quantities of bamboo
were added as impurities and their effects investigated. The effect of
concentration of the feed solution was also investigated.
2.2. Drying
The samples were first treated with all glass distilled water to avoid
impurities and make it slurry before it was introduced into a buckner funnel
covered with filter paper then attached to a suction flask connected to the vacuum
pump through its nozzle. Once the pump is on it will create a vacuum that allows
for the absorption of H20 from the sample. The filter in the buckner funnel
prevents the solid from being sucked. The sample is then taken to the oven at an
appropriate temperature of 1040C for 30mins. After which it is placed inside the
desiccator to maintain dryness. CaCL2 was used as a desiccant.
3.0. RESULTS AND DISCUSSIONS.

The result of the spectral analysis of KClO4 grown by sol-gel method after 5, 15
and 25 days of ageing are shown in figures 1 to 6 below.
3.1. Analysis of the Effect of Impurity on KCLO4.

The plot of fig.1 shows that all the samples absorb poorly in both VIS and NIR of
the solar spectrum. It also shows that absorbance decreases with increase in the
concentration of bamboo.
0.2
0.15
0.1
Absorbance
0.05 A
B
C
0
200 300 400 500 600 700 800 900 1000 1100 1200
Wavelength (nm)
-0.05
Fig. 1 Absorbance vs. wavelength of KClO4 with different quantity of Bamboo
Fig.1. Absorbance vs. wavelength in KClO4

103
The misbehaviour of C perhaps may be a function of growth/deposition

conditions.
In figure 2, all the films are transmitting well in both VIS and NIR. This
is an ideal property for solar control applications and could also be used in arctic
region to allow IR warm the rooms and reduce the cost of warming rooms by
conventional means.
140
120
100
Transmittance (%)
80
60
T*100 A
40 T*100 B
T*100 C
20
16 0
0 200 400 600 800 1000 1200
Wavelength (nm)
14 Fig. 2. Transmittance vs. wavelength of KClO4 with different quantity of Bamboo
Fig.2. Transmittance vs. wavelength of KClO4

12
10
Reflectance (%)
6
R*100 A
4 R*100 B
R*100 C
2
0
0 200 400 600 800 1000 1200
Wavelength (nm)
-2
Fig.3. Reflectance vs. wavelength of KClO4 with different quantity of Bamboo
Fig.3. Reflectance vs wavelength of KClO4 with different

quantities of Bamboo.
104
The variation of Reflectance with wavelength for the sample under investigation
is shown in fig.3. All the three samples show very low reflectance in both VIS
and IR of solar spectrum. This makes the crystal ideal material to be used as anti-
reflection coating in solar cell architecture.
The plot of absorption coefficient vs. photon energy in fig 4 shows that the
absorption coefficient increases from 0.1 to 0.35 for samples A and B in the VIS
and decrease towards the NIS. Sample C has negative absorption coefficient. The
variation in the
0.4
band gap plot against photon energy as in fig. 5 reveals that the
band gaps lie between 2.00 and 2.09eV. No band gap existed in C The plot of
refractive index
0.35 (n) against photon energy as seen in fig.6 reveals that the
refractive index increases from VIS to NIR regions.
0.3
0.25
0.2
a*106m-1
0.15 a*106 A
a*106 B
a*106 C
0.1
0.05
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
-0.05
Photon energy (eV)
Fig.4. Absorption coefficient vs.photon energy for KClO4
Fig.4. Absorption coefficient vs. photon energy in KClO4
105
0.2
0.18
0.16
0.14
0.12
(ahv)2
0.1
0.08
ahn^2 A
ahn^2 B
0.06
ahn^2 C
0.04
0.02
0
0 0.5 1 1.5 2 2.5 3 3.5
hv (ev)
Fig.5. Band gap vs photon energy
Fig.5. Band gap vs. photon energy
1.8
1.6
1.4
Refractive index
1.2
1 A
B
0.8 C
0.6
0.4
0.2
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5
Photon energy (eV)
Fig 6: Refractive Index vs. photon energy for KClO4
Fig.6. Refractive index against photon energy for KClO4
106
4.2 Analysis of the Effect of the Concentration of the Feed

Solution (KCL) on KCL04.
In fig. 1a, all the samples absorb poorly both VIS and NIR of the solar
spectrum. A comparison with the plot for bamboo doped KClO4 shows that the
samples without bamboo impurity have higher absorbance.
0.4
0.35
0.3
0.25
Absorbance
0.2
D
E
0.15
F
0.1
0.05
0
0 200 400 600 800 1000 1200
Wavelength (nm)
Fig.1 Plot of Absorbance vs wavelength (nm) in KClo4
Fig.1a the plot of absorbance vs. wavelength in KClO4
The plot of transmittance against photon is shown in fig 2a; all the
samples are highly transmitting in the VIS and NIR regions. However, the
transmittance increases with the wavelength. In the NIR, the least transmitting
sample has a transmittance of 70% and above. This indicates that the films can be
used for solar controlling coating. They would also allow good passage of infra
red and as such could be used in cold regions. Their use can also be employed in
coating brooder roofs to allow infra red warm the chicks.
107
Fig.2. Plot of transmittance vs.wavelength in KClo4
100
90
80
70
60
Transmittance (%)
D
50
E
F
40
30
20
10
0
0 200 400 600 800 1000 1200
wavelength (nm)
Fig.2a. The plot of transmittance vs. wavelength in KClO4
The variation of reflectance with wavelength is shown in fig 3a. The reflectance
decreases with wavelength. It also decreases as the concentration KCl solution
increases. This shows that the materials have poor anti reflection capability.
108
Fig.3. Plot of Reflectance vs.wavelength in KClo4
25
20
15
Reflectance (%)
D
E
F
10
0
0 200 400 600 800 1000 1200
wavelength (nm)
Fig.3a. The plot of reflectance vs. wavelength in KClO4
The variation of band gap against photon energy is plotted in fig. 4a, the band gap
energy of the samples lie between 2.0 and 2.7. The band gap energy increases
with increase increasing concentration of KCl solution.
109
2.5
2
(ahv)2
1.5
D(0.5M)
1 E(0.8M)
F(1.8M)
0.5
0
0 0.5 1 1.5 2 2.5 3 3.5 4
hv (eV)
Fig.4. Band gap vs. photon energy on the effect of the conc.of KCl
on KClO4
Fig.4a. Band gap vs. photon energy on the effect of the concentration of KCl
on KCLO4
The plot of absorption coefficient (α) vs. photon energy (hv) is shown in fig 5a.
The absorption coefficient is high in the VIS region and decreased towards NIR.
It decreases with increase in the concentration of the KCl solution.
110
0.9
0.8
0.7
0.6
0.5
a*106m-1
0.4
D
0.3 E
F
0.2
0.1
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Photon energy (eV)
Fig.5. Absorption coefficient vs.photon energy in feed KClO4
Fig.5a. The plot of absorption coefficient vs. photon energy.
The variation of Refractive index vs. photon energy is shown in fig 6a. The
refractive index is high in the VIS region and decreased towards the NIR region.
111
Fig.6. Refractive index vs.photon energy on feed KClO4
2.5
2
Refractive index (n)
1.5
D
E
F
1
0.5
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Photon energy (hv)
Fig.6a. the refractive index vs. photon energy in KClO4
TABLE OF VALUES.
Table 1.
Specimen Amount of Amount of pH Concentration

sodium silicate KClO3 of KCl(N)
Na2Si03(g)
D 25.0 Some 0.04 0.5

quantity
E 20.0 „‟ 0.8 0.6
F 20.0 „‟ 4.35 1.8
112
Table 2.
Bamboo Doped KClO4
Specimen Amount of PH Amount of pH Concentration

sodium silicate KClo3 of Kcl(N)
NaS203(g)
A 25 Some 5.03 0.10

quantity
B 25 „‟ 5.06 0.15
C 20 „‟ 5.08 1.18
4.0. CONCLUSION
Sol-gel deposition technique has been successfully used to grow ternary films of
impurity doped potassium perchlorate crystals. Their optical band gaps lie
between 1.5 and 2.7. This shows that the films have wild band gaps and can be
used in high power, high temperature, and high frequency and short- wavelength
devices [10] in addition to their pyrotechnic and antipyretic functions [2].
113
REFERENCES
(1). C.J. Brinker and G.W. Scherer. Sol-Gel Science. Academic Press, New
York, (1990).
(2). A.R. Patel and A . V. Rao. Nucleation and Growth of the Potassium Per
chlorate (KCLO4) Single Crystal in Silica Gel. Journal of Crystal Growth,
New York, (1978).
(3) O.H. Lopez. Manual de Comctrauccion con Bamboo, CIBAM. Universidad
National de Colombia, (2001).
(4). Li, Xiaobo. Physical, Chemical and Mechanical Properties of Bamboo and
its Utilization Potentials for Fiberboard Manufacturing. M.Sc. Thesis, M.S.
Chinese Academy of Forsestry, (2004).
(5) D. Debore and K. Baries. Bamboo Building and Culture, the Architecture of
Simon Valez. Colombia, (2004).
(6). F.I. Ezeama and P.U Asogwa. Preparation and Optical Properties of
Chemical Bath Deposited Beryllium chloride ( BeCl2) Thin Film. Pacific
Journal of Science and Technology, 5(1) 33, (2004).
(7). M. Janar, D.D.Alfred, D.C. Booth and B.O. Seraphin. Optical Properties and
Structures of Amorphous Silicon Film Prepared by C.V.D. Sol. Ener. Mater,
(2003).
(8). J. I. Pankove. Optical Process in Semi Conductors, Prentice Hall, New
York, (1971).
(9). I.M Tsidilkovsk. Band structure of Semiconductors. Pergamon Press,
Oxford, (1982).
(10). B. G. Yacobi. Semiconductor Materials. Kluwer Academic Publishing, New

York, (2003).
114
DETERMINATION OF RADIONUCLIDES, CONCENTRATIONS,

AND DIFFERENTIATING FACTORS FOR SOME BIOLOGICAL
SAMPLES BY NEUTRON ACTIVATION ANALYSIS (NAA)§§
S.O. Yunus a* S.A. Jonah b K.J. Oyewumi a

a
Department of Physics, University of Ilorin, Ilorin-Nigeria.
b
Center for Energy Research and Training, Ahmadu Bello University, Zaria-Nigeria.
E-mail: newton4show247@yahoo.com
Abstract
The analysis of some biological samples was performed by the use of Neutron
Activation Analysis (NAA). This research was carried out using Nigeria Research
Reactor one (NIRR-1) facility in the Center for Energy Research and Training,
Ahmadu Bello University, Zaria (CERT).The aims of the research are to
determine radionuclides, the concentrations, and to find the differentiating factors
for those analyzed samples. It was deduced from the result obtained that the
radionuclides of some elements with their concentrations were present in each of
the biological samples and from same result, we also concluded that the use of the
sample ZRS2A2 which is African processed locust beans (also known as irú)
should be adopted as food seasonings (i.e. spice) instead of the sample ZYCAB2
(i.e. seasonings) owing to what they contained. And again sample ZRS8A3 which
is known as Pumpkin leaf should be using as vegetable in food in place of the
sample ZRS6B3, that is, African spinach because of its significance.
Keywords: spices, vegetables, pumpkin leaf, processed locust beans, seasonings,
spinach, biological samples, Indian hemp, tobacco, and NAA.
1. INTRODUCTION
Neutron activation analysis (NAA) is a sensitive analytical technique useful for
performing both qualitative and quantitative multi-element analysis of major,
minor, and trace elements in samples from almost every conceivable field of
scientific or technological interest and it was discovered in 1936 by Hevesy and
§§ African Journal of Physics Vol. 2, pp 115 - 131 , (2009)

115
Levi, (Vértes et al. 1998, Soete et al. 1972, Das et al. 1989, Jonah 2001). For
many elements and applications, NAA offers sensitivities that are superior to
those attainable by other methods, on the order of parts per billion or better. In
addition, because of its accuracy and reliability, NAA is generally recognized as
the "referee method" of choice when new procedures are being developed or
when other methods yield results that do not agree. Worldwide application of
NAA is so widespread and it is estimated that approximately 100,000 samples
undergo analysis each year (Alfassi Z. B., 1998).
The basic essentials required to carry out an analysis of samples by NAA are a
source of neutrons, instrumentation suitable for detecting gamma rays, and a
detailed knowledge of the reactions that occur when neutrons interact with target
nuclei.
2. THE NAA METHOD

The most common type of nuclear reaction used for NAA is the neutron capture
or (n, γ) reaction, is illustrated in Figure 1. When a neutron interacts with the
target nucleus via a non-elastic collision, a compound nucleus forms in an excited
state. The excitation energy of the compound nucleus is due to the binding energy
of the neutron with the nucleus. The compound nucleus will almost
instantaneously de-excite into a more stable configuration through emission of
one or more characteristic prompt γ-rays. In many cases, this new configuration
yields a radioactive nucleus which also de-excites (or decays) by emission of one
or more characteristic delayed γ-rays, but at a much slower rate according to the
unique half-life of the radioactive nucleus (Pollard A. M., Heron C., 1996).
Depending upon the particular radioactive species, half-lives can range from
fractions of a second to several years.
116
Figure 1: Diagram illustrating the process of neutron capture by a target

nucleus followed by the emission of γ-rays.
3. INSTRUMENTATION AND METHODOLOGY

Nuclear reactors are the most important neutron sources because of the high stable
neutron fluxes and sample irradiation volumes available. More than 300 research
reactors with NAA capability are operational world-wide such as NIRR-
1(Nigeria) i.e. Nigeria Research Nuclear Reactor one (shown below) in which the
analysis was done provide suitable neutron fluxes (1x1010 – 1x1012n.cm-2.s-1) for
most biological applications of NAA.
117
Pool Water
Reactor Vessel
CR Fully Withdrawn
Shim Tray
Reactivity regulator
Core with Fuel Pins
Slant Tube
Annular Be Reflector
Bottom Be Reflector
Al Support Structure
Figure 2: Research Reactor in NIRR-1 laboratory
Typical NAA methodology is to irradiate samples (which can be solid or liquid)

and elemental standards (or a monitor in the Ko method) for a time determined by
the half life of the radionuclide or radiological considerations and the composition
of the sample. Unwanted short-lived nuclides are allowed to decay for a
predetermined period and the γ-ray spectra are recorded on a Ge detector (shown
in the diagram below) coupled to a computer (or a multichannel analyzer). Γ-ray
spectra of irradiated biological samples are typically complex (up to several
hundred γ-ray peaks); hence highly stable electronics and corrections for losses at
high count rates (Westphal, 1992) are required to achieve the required high energy
resolution (typically 1.5-2.0KeV at 1333KeV).
118
. Figure 3: Detector coupled with multi-channel analyzer
Sample Preparation
Samples preparation took place in the NIRR-1 preparation of sample laboratory.
Apparatus:
The most important apparatus used are; Air blower; Disposable gloves; Polythene
bags; Vial (small container); Distilled water; Analytical balance;
Procedures:
The preparation of sample started with crushing of sample from granulated form
to powdery form.
The following are the steps followed:
119
 Disposable glove was used first to avoid contamination of sample through

sweating;
 Agate mortal was washed with water and then clean up with cotton wool
wet with acetone to remove any form of impurity;
 Brush is then used to remove any particle in the sieve and clean with just
ordinary cotton wool;
 After the precaution has been taking, each sample was crushed and little
quantity of the sample was used;
 Each sample was then taking for weighing using analytical balance called
Mettlar EA 240 and simultaneously the weight of the samples were
recorded for further calculation;
 After that, each sample was wrap up with polythene bags with the use of a
air blower for sealing (Filby R. H., 1995);
 The samples were then pack into a vial and sealed which then ready for
irradiation.
Irradiation:
This is the bombardment of target sample with flux of neutrons leading to
emission of γ – rays
Type of Irradiations
Typically two irradiations are performed using NIRR-1 facilities:
 One to determine short-lived radionuclides, and
 One for long-lived radionuclides
For activation analysis to produce short lived radionuclides, irradiation time is

set to 5mins. The radionuclides produced are shown in the result. Counting
period of 10mins (or 600s) is used to determine the elements present in the
sample.
Germanium γ-counting is done in two separate ways for short lived

irradiation:
 First short counting, and

 Second short counting.
 .First short lived counting is the one which take place instantly after
sample irradiation and it is last for exactly 10mins in which some elements
120
will be detected while
 Second short counting is the one that occur after 3 or 4 hours of sample
irradiation. This is done just because of interference in the peaks and by
the time the second count is taking, the elements that did not show in the
first counting will appear, (i.e. the elements having half lives of more than
10mins).
For activation analysis to produce long lived radionuclides, irradiation
time is set to at least 6hrs.
Γ-counting procedures for long-lived radionuclides are also divided into
two:
 First long-lived counting which occur after 3 or 4 days of sample

irradiation. The counting time is exactly 1800s (i.e. 30mins) and these are
the radionuclides that half-life in days while
 Second long-lived counting is done after a week of first counting (or after
10/11 days of irradiation) and the counting time exactly 3600s (or 1hr).
These are the radionuclides having their half-life in days, weeks, month
and years (Landsberger S., 1994).
The samples analyzed for the determination of radionuclides and

concentrations are presented below:
121
S/ Sample Sample Irradiation

N ID Sample type code Type
African processed
1 052B31 locust beans ZRS2A2 Short
African processed
052B32 locust beans ZRS2A2 Long
Pumpkin
2 052B33 leaf ZRS8A3 Short
Pumpkin
052B34 leaf ZRS8A3 Long
3 052B35 Seasonings RYCAB2 Short
052B36 Seasonings RYCAB2 Long
4 052B37 African Spinach ZRS6B3 Short
052B38 African Spinach ZRS6B3 Long
5 052B39 Tobacco BNHLA1 Short
052B40 Tobacco BNHLA1 Long
6 052B41 Indian hemp JCDEB1 Short
052B42 Indian hemp JCDEB1 Long
122
These samples were obtained in the Northern part of Nigeria i.e.Zaria (precisely
samaru market)
4. RESULT
The results of the analysis of six (6) biological samples analyzed for both short
and long-lived irradiation are presented below.
The result of the irradiation of short-lived for the samples in the first and second
γ-counting are shown in the table 1 and 2 respectively.
Table 1 Result of the concentration of elements for first short-lived irradiation.
B31, B32 B33, B34 B35, B36 B37, B38 B39, B40 B41, B42
ELEMENT ZRS2A2 ZRS8A3 RYCAB2 ZRS6B3 BNHLA1 JCDEB1
0.42 ±
Mg (%) 0.30 ± 0.02 0.04 NA 0.68 ± 0.05 0.37 ± 0.03 0.30 ± 0.02
0.060 ± 0.30 ± 0.060 ±

Al (%) 0.004 0.02 NA 0.16 ± 0.01 0.050 ± 0.004 0.004
1.14 ±
Ca (%) 2.7 ± 0.3 0.16 NA 4.15 ± 0.54 1.78 ± 0.24 2.8 ± 0.4
Ti (ppm) BDL 362 ± 72 NA BDL BDL BDL
V (ppm) BDL BDL NA BDL BDL BDL
123
Table 2 Result of the concentration of elements for second short-lived irradiation.
B31, B32 B33, B34 B35, B36 B37, B38 B39, B40 B41, B42
Mn (ppm) 157 ± 6 78 ± 3 BDL 37 ± 2 137 ± 5 137 ± 5
Eu (ppm) BDL BDL BDL BDL BDL BDL
Dy (ppm) BDL BDL BDL BDL BDL BDL
0.055 ± 0.23 ± 0.060 ± 0.020 ±

Na (%) 0.004 0.14 ± 0.08 25.8 ± 1.3 0.01 0.005 0.003
The result of the irradiation of long-lived for the samples in the first and second γ-
counting are shown in the table 3 and 4 respectively.
Table 3 Result of the concentration of elements for first long-lived radionuclides.
B31, B32 B33, B34 B35, B36 B37, B38 B39, B40 B41, B42
K (ppm) BDL BDL BDL BDL BDL BDL
As (ppm) BDL BDL BDL BDL BDL BDL
Br (ppm) 1.0 ± 0.2 5.3 ± 0.5 35.8 ± 3.5 10 ± 1 51 ± 3 13 ± 1
La (ppm) BDL 5.6 ± 0.4 BDL 2.3 ± 0.3 2.3 ± 0.3 2.9 ± 0.3
Sm (ppm) BDL BDL BDL BDL BDL BDL
0.47 ±
Yb (ppm) BDL 0.14 BDL BDL BDL BDL
U (ppm) BDL BDL BDL BDL BDL BDL
124
Table 4 Result of the concentration of elements for second long-lived

radionuclides.
B31, B32 B33, B34 B35, B36 B37, B38 B39, B40 B41, B42
Sc (ppm) BDL BDL BDL BDL BDL BDL
Cr (ppm) BDL 35 ± 5 BDL 17 ± 3 BDL 14.3 ± 2.6
0.035 ±
Fe (%) 0.001 BDL BDL 0.38 ± 0.04 0.10 ± 0.02 BDL
Co (ppm) BDL BDL BDL BDL BDL BDL
Zn (ppm) 10 ± 2 26 ± 6 BDL BDL BDL 20.5 ± 4.7
Rb (ppm) BDL BDL BDL BDL BDL BDL
Cs (ppm) BDL BDL BDL BDL BDL BDL
Ba (ppm) BDL BDL BDL 452 ± 65 BDL BDL
Eu (ppm) BDL BDL BDL BDL BDL BDL
Tb (ppm) NA NA NA NA NA NA
Lu (ppm) BDL BDL BDL BDL BDL BDL
Hf (ppm) BDL BDL BDL BDL BDL BDL
Ta (ppm) BDL BDL BDL BDL BDL BDL
Sb (ppm) BDL BDL BDL BDL BDL BDL
Th (ppm) BDL BDL BDL BDL BDL BDL
125
A SUMMARY OF ANALYTICAL RESULTS
B35,
B31, B33, B36 B37,
B32 B34 B38 B39, B40 B41, B42
RYCA
ELEMENTS
ZRS2A2 ZRS8A3 B2 ZRS6B3 BNHLA1 JCDEB1
0.30 ± 0.42 ± 0.68 ± 0.37 ± 0.30 ±

Mg (%) 0.02 0.04 NA 0.05 0.03 0.02
0.060 ± 0.30 ± 0.16 ± 0.050 ± 0.060 ±

Al (%) 0.004 0.02 NA 0.01 0.004 0.004
1.14 ± 4.15 ± 1.78 ±

Ca (%) 2.7 ± 0.3 0.16 NA 0.54 0.24 2.8 ± 0.4
Ti
(ppm) BDL 362 ± 72 NA BDL BDL BDL
V
(ppm) BDL BDL NA BDL BDL BDL
Mn
(ppm) 157 ± 6 78 ± 3 BDL 37 ± 2 137 ± 5 137 ± 5
Eu
(ppm) BDL BDL BDL BDL BDL BDL
Dy
0.055 ± 0.14 ± 25.8 ± 0.23 ± 0.060 ± 0.020 ±

Na (%) 0.004 0.08 1.3 0.01 0.005 0.003
K
126
As
Br 35.8 ±
(ppm) 1.0 ± 0.2 5.3 ± 0.5 3.5 10 ± 1 51 ± 3 13 ± 1
La
(ppm) BDL 5.6 ± 0.4 BDL 2.3 ± 0.3 2.3 ± 0.3 2.9 ± 0.3
Sm
Yb 0.47 ±
(ppm) BDL 0.14 BDL BDL BDL BDL
U
Sc
Cr
(ppm) BDL 35 ± 5 BDL 17 ± 3 BDL 14.3 ± 2.6
0.035 ± 0.38 ± 0.10 ±

Fe (%) 0.001 BDL BDL 0.04 0.02 BDL
Co
Zn
(ppm) 10 ± 2 26 ± 6 BDL BDL BDL 20.5 ± 4.7
Rb
Cs
127
Ba
(ppm) BDL BDL BDL 452 ± 65 BDL BDL
Eu
Lu
Hf
Ta
Sb
Th
Note: BDL: - Below Detection Limit; NA: - Not Analyzed
5. DISCUSSION
5.1 . Sample ZRS2A2 and ZRS2A2

As it has been in the tables above, the sample ZRS2A2 which is known as African
processed locust beans (also known as irú) is very rich in magnesium, aluminum,
calcium, manganese, iron, and zinc than those in sample RYCAB2 i.e.
seasonings. Even those elements in the spice (i.e. Mg, Al, and Ca) cannot be
analyzed simply because of its high dead time due to high dose of radiation during
the first γ-counting of short-lived irradiation. Then talking about Na and Br, there
is a very high concentrations of Na (i.e. 25.8% which equivalent to 258g) and Br
which is 35.8ppm (i.e. equivalent of 35.8mg) in the sample RYCAB2,
―seasonings‖ compared to African processed locust beans that has 0.055% and
128
1.0ppm of Na and Br respectively. The concentration of Na in the seasonings has

exceeded 2.4g which is the toxic level and likewise the concentration of Br that is
found to be outside the estimated median daily intake recommended by World
Health Organization (W.H.O.) (Taubes G., 1998, Nelson, 2000). Thus processed
locust beans is nutritious and even more advantageous than seasonings because
the elements obtain in processed locust beans are in appropriate proportion that
our body system need while the ―seasonings‖ is dangerous to our health in the
sense that it contains high concentration of Na and Br of values 25.8% and
35.8ppm respectively which can later cause high blood pressure, congestive heart
failure, cardiovascular disease, cirrhosis, or kidney disease (Denton D, 1995,
Curhan G. C. 1997, Chrysant G. S, 2000) due to the high intake of NaBr.
5.2. Sample ZRS8A3 and ZRS6B3

The analytical result of sample ZRS8A3 which denotes Pumpkin leaf (also known
as ugwu) and the sample ZRS6B3 which represents African spinach (amarathus
spp) can be used to show the concentrations present in each sample i.e. pumpkin
leaf & African spinach. The amounts (in concentrations) of elements; Al (0.30%
which equivalents 3,000mg), Cr (35ppm, equivalent to 35mg), and La (5.6ppm
which equivalent to 5.6mg) present in the pumpkin leaf are larger than the
amounts found in the African spinach. Elements like Ca (4.15% which equivalent
to 41.5g), Na (0.23%, equivalent to 2.3g), Br (10ppm which equivalent to 10mg),
Mg (0.68%, that is, 6.8g), and Fe (0.38% which equivalent to 3.8g) found in the
African spinach of higher concentrations happen to be minerals that are required
in small quantity in the body systems. The maximum daily intake also
recommended for the elements Ca, Na, Br, Mg, and Fe are 1.3g, 2.4g, 3mg,
420mg, and 18mg respectively (OSU Retrieved, 2008). Therefore high intake of
these elements may cause problem to our health (i.e. when tolerance level is
exceeded.).
Note: 10000ppm = 1 percent; 1ppm = 1mg.
6. CONCLUSIONS AND RECOMMENDATIONS

From the analytical results of neutron activation analysis of some of biological
samples using CERT (Center for Energy Research and Training, Ahmadu Bello
University, Zaria) facility, we have the following conclusions:
1. Using African processed locust beans (also known as irú) as food seasonings is
more nutritious than using seasonings due to the high concentration of sodium
bromide (NaBr) obtained in the seasonings which may affect our body systems
129
and we will like to recommend African processed locust beans for everybody
owing to its nutritious advantages and more so, its consumptions does not affect
our health.
2. Using pumpkin leaf (also known as ugwu) instead of African spinach as
vegetable is more important simply because it contains higher concentration of
some essential nutrients that play important roles in the body systems. Thus we
will like to also recommend this pumpkin leaf for every one.
REFERENCES
Alfassi Z. B. (1998): Instrumental Multi-Element Chemical Analysis. Khewer
academic Publishers, Dordrecht, Netherlands
Curhan G. C., Willett W. C, Speizer F. E, Spiegelman D, Stampfer M. J. (1997):
Comparison of dietary calcium and other nutrients as factors affecting the
risk for kidney stones in women. Ann Intern Med; 126(7): 497-504.
Chrysant G. S (2000): High salt intake and cardiovascular disease: is there a
connection? Nutrition; 16(7-8): 662-664.
Das, H., Faanhof, A. and Van der sloot, H.(1989): Radioanalysis in
Geochemistry, Elsevier, Amsterdam.
Denton D, Weisinger R, Mundy N. I, et al (1995): The effect of increased salt
intake on blood pressure of chimpanzees. Nat Med.; 1(10): 1009-1016.
Filby R. H. (1995): Pure & Appl. Chem., Vol. 67, No. 11, pp. 1929-1941.
Jonah S.A. (2001): Lecture Notes in Applied Nuclear Physics, A foundation
Postgraduate course in Theoretical Nuclear Physics, National Mathematical
Center, Abuja, Nigeria.
Landsberger S. (1994): Delayed Instrumentation Neutron Activation Analysis.
Department of Nuclear Engineering, University Of Illinois, 214 Nuclear
Engineering Laboratory, 103 South Goodwin Ave., Urbana, IL61801, USA.
Linus Pauling Institute at Oregon State University. Retrieved on 2008-11-29.
Nelson, David L, Michael M. Cox (2000-02-15), Lehninger Principle of
Biochemistry, Third Edition (3Har/Com ed). W.H. Freeman. pp.1200 ISBN
1572599316.
130
Pollard A. M., Heron C. (1996): Archaeological Chemistry. Cambridge, Royal Society of

Chemistry.
Soete, D., Gijbels, R. and Hoste, J. (1972): Neutron Activation Analysis, Wiley
Interscience, New York.
Taubes G. (1998): The political science of salt. Science; 281 (5379): 898-901/903-897.
Vértes, A., Nagy, S. and Suvegh, K. (1998): Nuclear methods in Mineralogy and
Geology, plenum press, New York.
Westphal, G.P., Josh K., Lipp B., and Schröder, P. (1992): J. Radioanal Nucl., 160, 395.
131
OXYGEN AND HAEMOGLOBIN PAIR MODEL FOR SICKLE

CELL ANEAMIA PATIENTS***
B.O. Oyelami
National Mathematical Centre Abuja, Nigeria

Email: boyelami2000@yahoo.com
Abstract
In this paper, we studied the concentration of oxygen in the haemoglobin of the sickle
cell patient using the Oxygen- heamoglobin pair (OHP) model which is an
impulsive Hill-Fokker-Planck equation .Using the B-transform of Oyelami and Ale
we determine the best concentration for oxygen or haemoglobin to support the patient
using life-supporting drug like nitric oxide providing drugs. Since the sickle nature of
the erythrocyte of the patient has the contributory factor to sickling problem and there
is the need to correct this defect and to enhance the haemoglobin affinity for oxygen
absorption, thereby, reducing the patient‘s physiological problem. Using Lagrangian
optimization method coupled with the application of simple calculus and B-
3
transform we found that 0.5000  c*  (1  1 / k )
1
n
m gives range of the
concentration of oxygen that is required to be absorbed by Haemoglobin of the
sickle cell anemia patient for effectively performance of the body. Using entropy
objective function, the Lagrange function is unbounded above and could not offer
much information on the optimal concentration of haemoglobin to support the
patient.
Keywords: Model, Sickle cell aneamia, B-transform, Oxygen and Haemoglobin.
44A20, 68W30, 35C20 & 34A37.
*** African Journal of Physics Vol. 2, pp. 132- 148 (2009)

132
1. INTRODUCTION
Sickle cell anemia is caused by a "defective" allele (mutant form) of the
gene coding for a sub-unit of the haemoglobin protein. Haemoglobin binds
oxygen within red blood cells, which then transport the oxygen to body tissues
where it is released from the haemoglobin molecule. The sickle haemoglobin (in a
person with a mutant allele) tends to precipitate, or "clump together", within the
red blood cell after releasing its oxygen. If the clumping is extensive, the red
blood cell assumes an abnormal "sickle" shape. These sickle red blood cells plug
the blood vessels, thus preventing normal red blood cell passage and,
consequently, depriving the tissue of needed oxygen and leading to a short lived
red cell survival ([5],[17]&[21]).This situation often lead to stroke as result of
sequestration of blood into the lung, liver or spleen and cerebral
vessels([13],[17]&[21]).
Sickle cell aneamia is a genetic disorder commonly found among the
black race especially American Negroes, Africans and the people of the
Mediterranean countries. It is a genetic mutation problem wherein the normal
haemoglobin N in the blood is replaced with a defective haemoglobin S (defective
allele). Haemoglobin S is found to be extremely inefficient in carrying oxygen
([4], [5] & [17]) as a result of heterozygote advantage against malaria, the
inherited heamoglobin disorders are the commonest monogenic disease
([13]).Acute pain crises may be caused by infection, dehydration, environmental
temperature change, or change PH level of the blood especially if it is too acidic.
Supportive therapy includes fluid hydration, analgesic, and antibiotic therapies
when infection is suspected ([17]).
Sickle cell aneamia is one of frequent child mortality in the sub-Saharan
Africa where children with this disease hardly survive beyond 5 years and very
few survive beyond 18 years. Sickle cell anemia is associated with a multitude of
medical complications ranging from acute painful crises caused by the damage to
the spleen, kidneys, lungs, heart, muscles and brain. Repeated hospitalization for
intravenous pain medication, antibiotic therapy and blood transfusions is
undertaken to treat medical problems as they arise. These patients often die early
of overwhelming infection or as a consequence of acute or chronic damage to the
body organs ([13], [17] & [21]).
Recent researches from experimental point of view have it that sickle cell
disease is the polymerization of deoxygenated sickle haemoglobin S, reducing red
133
blood cell sickling is to increase red blood cell in the Hbs affinity for
oxygen([2]). Moreover, research finding also indicated that low concentration of
nitric oxide with increase oxygen affinity and could serve as alternative
therapeutic model for studying sickle cell aneamia ([2],[6],[13]&[21]).
There are several mathematical models on sickle cell aneamia. There are
models built upon the Hardy-Weinberg laws ([8]&[13]) with fundamental
assumption that gene frequency does not change with time that is, fixed from
generation to generation. There are those models that are of stochastic origin like
the HW family but fundamental developed using the idea of the birth and death
processes. More recently, mathematical models using impulsive differential
equations are being applied to biophysics with special applications to sickle cell
aneamia modeling ([8]&[13]).
Impulsive differential equations are systems that are characterized by
short time perturbations in form of jumps, shocks, rapid structural changes that act
momentarily. This branch of knowledge was developed not quite long if we
compared it to other branches of dynamical systems. The (IDEs) has found many
applications in medicine, biotechnology, and phamakenetics and so on ([1],[3]).
We hope it will find useful applications in genetic engineering and computer
based simulation of biomedical systems ([8-13],[18]&[19]).
In ([8]&[13]) using geometric and impulsive theoretic we are able to
compute the blood pressure generated in the body of the sickle cell aneamia
patient and even established to some extent that some physiological problems of
the patients are directly or indirectly connected to the blood pressure infringed on
the blood vessels of the patients.
Furthermore, the sickle nature of the erythrocyte of the patient has a
contributory factor to the sickler‘s problem and there is the need to correct this
defect and enhance the haemoglobin affinity to absorb oxygen to reduce the
patient's physiological problems ([5], [8], [13], [15] & [22]). However, bone
marrow transplantation, an expensive, high-risk medical procedure, remains the
only known cure for this disease ([21]).
In the modern times, several optical methods are developed to measure
haemoglobin concentration of oxygen saturation and principal dyshaemoglobins
in vitro and in vivo. Amongst these methods are pulse oximeters, fiber optic
oximeter ,multiwavelengths haemoglobin photometers(co-oximeters) and infrared
spectroscopy kind of equipment([2]&[23]) .
The oxygen dissociation curve (ODC) of haemoglobin (Hb) and the Bohr
effect associated with the of ODC because of the shift of the curve to the right as
134
PH decreases has profound clinical importance, as it is being applied in numerous

health and disease situations .Areas of applications ODC are in the neonatal
period, haemoglobinopathies such as sickle cell disease and so on ([15-17]). The
ODC is sigmoid in shape with unique properties, that oxygen saturation (SaO2)
approaches a horizontal asymptote as the oxygen tension exceeds 70 mmHg,
while it declines precipitously down the steep slope toward a point of inflexion
when the oxygen tension falls off the ―shoulder‖ of the ODC below 60
mmHg(see[7]).
In this paper, we intend to study the blood pressure of the sickler using
oxygen-haemoglobin pair; determine the absorption potential (range of
absorption) of oxygen by the haemoglobin or the best concentration of oxygen in
the haemoglobin if the patient is to be on life supporting drugs like nitric oxide
providing drugs ([22]).
2. STATEMENT OF THE PROBLEM AND METHODS

2.1 The Model
We propose that the partial pressure exerted by the oxygen on the
haemoglobin of the patient is of the form
P( H , C )  KH  C  (1)
where H is the concentration of the haemoglobin in the blood plasma; C is the
concentration of oxygen in the blood plasma; K is non-dimensional constant
which can be obtained experimentally;  and  are some dimensional constants
and by simple dimensional analysis we can show that   1 / 3 and   1.
We consider the oxygenation of a haemoglobin( Hb) molecule as four

sequential steps, given that each of the four heme groups within the two  -globin
and two  -globin chains binds to a molecule of oxygen(O2) (see[7]) for detail
formulation. The reaction process is formulated in the figure 1 below:
k1
Hb O2
 HbO2
k2
HbO2  O2
 HbO4
k3
HbO4  O2
 HbO
135
6
k4
HbO6  O2
 HbO8
Figure 1 oxygeneration of Hb by O2. Source [5]
where ki ,i=1,2…4 in Figure 1 are association constants ,by Hill‘s mass action law
(see [5]&[13])
[ Hbo2 ] k Hbo2 [o2 ]n

S Hbo2  
[ Hb] 1  k Hbo2 [o2 ]n
S Hbo2 the saturation Hbo2 ; k Hbo2 the net association constant of Hbo2
n, is the Hill coefficient and
Total oxyhaemogl obin( Hbo2 )

 S Hbo2 (%)  . , [.] is the concentration of (.).
Total haemoglobi n( Hb)
The actual data on human Hb is Sao2  2.0  1.1106 and 2.9  1.4 106 m1 for
  chain( k ) and  - chain( k  ) of haemoglobi n respectively ([7]).
2.2 B-Transform
The B-transform of the function x(t ) with impulses at fixed
moments {t k }, k  1,2,.. during the evolutionary process is [1, 8, 10 &11]
/
Bn x(t) = xc (q) + x1 (q) (2)
where xc(q) and xI(q) are the Lc and LI components of the B-transform and are
defined as

e
/
xc (q) = Lc x(t) =
-t/ q n
x(t)dt, t  t k , k = 0,1,2,... (3)
0
x1 (q) = L1 x(t) =  e-t k / q

n1
I(x(t  tk )) (4)
t o<t k <t
where
n‘ = 0, 1, 2,... n; n‘ is the order of the transform. For sake of simplicity, we will
choose n/ = 1. The advantage of taking n‘= 1 lies in the derivation of the inverse
transform.
The inverse transform for components of xc(q) and xI(q) can be obtained
(see [8,10 & 11]) as follows:
136
1 v+i
 v -i xc (q) e dq
sq
xc (t) = (5)
2i
x1 (t) =  (t k , q)I(x( t k ))

t o<t k <t
Figure 2: Normal Cell and Sickle red blood cell
In ([8]&[13]),using B-transform method we obtained the pressure the sickle red

blood cell exerted on the blood vessels of the sickle cell patient as
P(r, x) = e2xr Po (r) -   3 x3 e-2 rp P( r o , Po ,  ,u m )

+ 4  2 x 2 e- 2xr g(A0 , x, r) +  e- 2xk f o (  , x k ) (6)
x o< x k < x
where
x
P( Po , x,  ,u n ) = 2 C f  u 2m (7)
D
Cf = Coefficient of friction; D = Diameter of the vessel
u m2 = Mean square velocity of the blood plasma
137
A0  A0 (1  e rx ) is the area cut-off as a result of sickle shape of the blood cell.
xdA0
g ( A0 , x, r )   x 2e rx A0 (r ) is the Arial potential of the sickle red blood cell.
dr
r is the radius of the sickle red blood cell; ρ is the density of the blood
x is the movement of the blood along the x-axis
It will be recalled (see [8]), that we stated that xk - xk+1 = f0(α, xk), k = 0, 1,
2,... and xk depends on the surface density α and f0(α, xk) is a piecewise
continuous function. It was also noted that xk is, in fact, impulsive because of
vibration and variation effect of the texture of the composition of the surface of
the sickle blood cell.
Figure 3: Typical sickle cell aneamia blood

cells as simulated by some functions
In figure 3 we try to replicate a typical sickle cell erythrocyte by a means

of simulation. The simulation is carried out by finding the equation that describes
the area cut-off from the normal red blood cell as a result of sickle shape of the
blood cell. We observed that as the thickness of the each parabola in figure 1
increases we have something that is similar to typical sickle red blood cells.
138
1.2 Oxygen-haemoglobin model (OHM)

Consider the Oxygen- haemoglobin model which is an impulsive Hill-Fokker-
Planck equation
H H 2H
 v o  kHC  D 2
t x x
C kC n
 k1 HC  2 n
t 1  k 2C
C (t  t k , x)   k C (t k )  g k
(8)
Subject to initial conditions
H (0, t )
H (0, t )  H 0 (t ) and  H 1 (t )
x
0  t 0  t1  t 2  ...  t k , lim t k  
k 
where
D is the diffusion coefficien t; vo is the velocity of conviction ; x is the distance of the sickle
erythrocyte in the blood vessel; k and k1are rate constants due to mass action; k 2 is the net
association of Hbo 2 and n is Hill' s constant.C  C (t , x) and H  H(t,x) are the
concentration of O 2 and Hb at time t at distance x along blood vessel..
 k and g k account the impulsive effect of movement of sickle blood cell as a result
absorption of o 2 by Hb .
Remark 1
k , k1  0 The equation is the Fokker-Planck equation and HC accounts for the
mass-action for the oxygen and haemoglobin respectively. The equilibrium state
H C
for the model can be found by setting  0,  0 and C (t k 1 , x)  constant
t t
for fixed x in the equation (8).
Therefore
139
k 2C n1 ( x, t )
H
(1  k 2C n ( x, t ))
And (9 )
   k C n1 ( x, t )   k 2 C n ( x, t )  2  k 2C n1 ( x, t )  
 v0   2   
  (1  k C n ( x, t ))  D  2
 x
    0

 x  (1  k 2 C n
( x , t ))   2   (1  k 2C ( x, t ))  
n
Set n  4 ,v0 = -0.25, k2=0.5,k1=0.08,D= 0.008 and
( z  1) 0.75
F ( z ) : in the above equation we have
z
 d  ( z  1) 0.75    d2  ( z  1) 0.75  
 1.5625     0.004 2
  dz
    0
 (10)
 dz  z    z 
Therefore
d   d2 
 1.5625 F ( z )   0.004 2 F ( z )   0 (11)
 dz   dz 
and the solution is
3125z
( )
F ( z )  C1  C2 e 8
where C1 and C2 are arbitrary constants.
But
dF ( z ) 0.75 ( z  1) 0.75
  (12)
dz ( z  1) 0.25 z z2
dF ( z )
Therefore F (1)  0, lim  0 which implies that C2 =0 and C1 =0.And
z  dz
therefore F(z)=0 which implies that z=1 or infinity. It follows that the equilibrium
point is such that H  0, C  0 and C (t k 1 , x)  constants and for C to be at
infinity is not realistic.
140
2.3 Formulation of Optimization problem for the Oxygen

Haemoglobin model
We intend to find the optimal concentration for the oxygen to be absorbed by the
haemoglobin for the sickle cell patient for effective physiological processes. In
other to achieve this we use the Lagrange multiplier method as follows:
1 kC n (t , x)
min C (t , x)  kp(t , x) H 3
(t , x), subject to C (t , x)  (13)
x 1  kC n (t , x)
We define the Lagrange equation as
kCn (t , x)
L(C ,  )  C (t , x)   (C (t , x)  ) (14)
1  kCn (t , x)
L L
We will find x and  such that  0,  0 that minimises L(C,  ).
C 
2.4 Maximum Entropy Weights

We define Le as a negative entropy function
n
Le ( w1 , w2 ,..., wn )   wi log wi .Let 1 be convex hull of points h1 , h2 ,...., hn which
1
n
w h i i
contains  h  1 and this occurs almost surely for large n. We are now in the
n
position to find the weight to minimize Le as follows:
n n
min Le ( w1 , w2 ,..., wn ), subject to  wi hi   h ,  wi  1
i 1 1
Let hi , i  1,...n are the concentration of haemoglobin at moment i and
Define the Langrage function for the above problem as

n n
L   wi ln( hi )  v wi    wi hi  0 .
1 i
We need to determine v and  for which
141
L L L
 0,  0 and  0.
hi v 
3. RESULTS AND DISCUSSIONS

Using Maple 11 for Lagrange equation we obtained sufficient condition for
extremum as
L kC n1 k 2 C 2 n1n L kC n
 1   (1   )  0,  C  0 (15)
C (1  kC n ) (1  kC n ) 2  (1  kC n )
It implies that
1
kC n  kC n 1  1  0,   n 1
(16)
kC k 2 nC 2 n 1
1 
1  kC n 1 (1  kC n ) 2
The first equation in equation (16) has n-roots by fundamental theorem of algebra
and some of the roots are real and others occur in complex conjugate .To find the
solution in general, it is intractable but using Galois theory the solution can be
found using radical expression or we find the numerical approximation to the
roots. We simulated the model for n  4 and k  2.4 106 m1 found that
1  0.9807000, 2  1.02007, 3  0.9996  0.01967i and 4  0.996  0.01967i.Where i 2  1.
Therefore min L(C,  )  0.5000 m3 this is the minimum concentration of

oxygen required to be absorbed by Hb for effectively performance of the body.
We found that
n
  n   n  1
w i
  2  ln( hi )  1    wi   ,  i 1
  i 1  n(n  1)
n
  i 1
h
i 1
i
and therefore,
142
i

 n    n   n  n  1
L    wi ln( hi )   2  ln( hi )     wi   wi  
 i 1    i 1   i 1  i 1  n(n  1)
 n  n  1
   wi   wi hi   n
 i 1  i 1   h
 i 
 i 1 
i.e.,
 n  n
 n 
2

1 i   wi hi
ln( h )  1
 L    wi ln( hi )    1n ,
 1  n(n  1)
 hi 1
n
since  wi  1.
1
Proposition 1
Give that hi , i  1,...n are non-negative concentrations of haemoglobin at the
period i such that the weight wi are such that | wi | 1 .Then
n
| L | 2 | ln( hi ) |  n(n  1) and it is unbounded above as n   .
1
Proof
Straight forward by estimating (majorizing) L and taking note
n
n
that  | wi |  (1  n) .
1 2
Remark 1
The clinical implication of proposition 1 is that we cannot say much about the
concentrations of haemoglobin as the coupling size n becomes large whether the
maximum or minimum concentration exist using entropy objective function
.Therefore, it is advisable to rely on the concentration of oxygen in the blood
plasma as obtained from the analysis of the equations (15&16).
143
3.2 Application of B-Transform

We assume that the solution of the equation (6) exists and continuously depend on
the initial data (see [12],[18-19]) then the B-transform can be applied to Oxygen-
haemoglobin pair model as follows:
Equation (8) becomes
H C H  2 H kKC n
k1 k  v0 k1  kD 2  (17)
t t x x 1  kC n
Applying B-Transform we have

 H  H  x / q 1
Lc   e dq   H 0  H
 x  0 x q
  2 H    2 H x / q 1 1
Lc  2    2 e dq   H 0  H 1  H
 x  0 x q q
 
LI  C (t , x  xk )   e  xk / q ( k C ( xk ))  g k 
 x0  xk  x 
 Cn   1  s / q
Now let z ( x)  1  kCn for fixed t then Lc     1 
n 
e dq .
 1  C  0  z ( s) 
Therefore application of B-Transform to the equation (17) gives
H C
k1 k  (qv0 k1  kD) H 0  qkDH 1  (kD  v0 k1 ) H
t t
(18)
1 1  s / q
1
  1  e dq   e  xk / q ( k C ( xk )  g k )
z0
K  z ( s )  x0  xk  x
But
H C
t t
0 s ds  H (t , q)  H (0, q), 0 s ds  C (t, q)  C (0, q)

Therefore, taking the inverse B-Transform of equation (18) and after simplifying
the equation we get
144
k v kt
H (t , x)  H (0, x)  (C (t , x)  C (0, x))  0  q H 0 (0, q)e xq dq
k1 2i 
t
 kDtH 0 (0, x)  kDt q H 0 (0, x)e xq dq  (kD  v0 k1 )  H ( s, x)ds (19)
 0
1
1 1
   K (1  )e  s / q tq dqds   (xk )( k C ( x k )  g k ) ,
2i z0  z ( s) x 0  xk  x
where
1
2i C
 ( xk )  e qxk  xk / q dq
.
We can use equation (1) to find the relation between H (t , x) and p(t , x) as
k
H (t , x)  H 0 (0, x)  ( p (t , x) H  3 (t , x)  p 0 ( x) H  3 (0, x))
1 1
k1
v0 kt ktDH 0 (0, x)
2i 
 q H ( 0, q ) e xq
dq  ktDH ( 0, x )  u (t )
2i
0 0
(20)
t 1
1 1
 (kD  v0 k1 )  H ( s, x)ds    K (1  )e  s / q tq dqds
0
2 i z0 
z ( s )
  (x
x 0  xk  x
k )( k C ( x k )  g k )
 1 if x  0
where u(x)   qe xq dq   .
 0 otherwise
In order to determine H (t , x) completely we need to solve the integral equation in
the equation (20) completely.
The following theorem shows how the concentration of Oxygen changes with that
of heamoglobin:
Theorem 1
The haemoglobin of sickle cell aneamia patient will have maximum potential
absorption if there exists a c *  0 such that
145
c n1 ( s, q) s / q tq
1
1 1 1 1

2i z0  1  kc* ( s, q)
n
e dqds 
nk1
and c*  (1  ) n
k
(21)
Proof
By differentiating the equation (20) twice with respect to C we get
H C n1 ( s, q)  s / q tq
1
k kn
k1 2i z0  1  kC n ( s, q)
  e dqds
C
 2 H kn (n  nkC n ( s, q)  kn)C n1 ( s, q)  s / q tq
1
C 2 2i z0 
 e dqds
(1  kC n ( s, q)) 2
By simple rule in calculus the proof follows immediately but we must note that if
1 1
c*  (1  ) n we have point of inflexion for which we cannot infer whether the
k
absorption is maximum or minimum.
Acknowledgements
The author is grateful to the National Mathematical Centre Abuja, Nigeria and to
the Kaduna State University Kaduna for their supports.
References
[1] Ale S O. and Oyelami B.O., B-Stability and its Applications to some
constant Delay Impulsive Control Models. NMC-COMSATS Proceedings
on International Conference on Mathematical Modeling of some Global
Challenges in the 21 st Century,2009, pp56-65.
http://nmcabuja.org/nmc_proceeding.html.
[2] Alvin Head C. et.al. Low Concentrations of Nitric oxide increase oxygen
Affinity of sickle erythrocytes in Vitro and in Vivo. J. Clin Invest.
American Society for Clinical Investigation Inc
Vol.100,.5,Sept.1997,1193-1198.
[3] Beltrami, E. Mathematics for Dynamic Modeling, Academy Press
London, 1987.
146
[4] Bob Williamson, Our Human Genome -How can it serve us well?
Bulletin of the World Health Organization, 2001, 79 (11), pp. 1005.
[5] Gill S.J, Skold R, Fall L, Shaeffer T, Spokane P, Wyman J.,
Aggregation Effects on Oxygen binding of Sickle Cell Haemoglobin.
Science 201: 362– 364, 1978.
[6] Mark T. Gladwin et.al. Nitric oxide donor proper properties of
hydroxyurea in patients with sickle cell disease. British Journal of
Haematology vol.116, pp436, feb.2002, doi:10.1046/j. 1365-
2141.2002.03274.x, issue2.
[7] Melvin Khee-Shing Leow, Configuration of the Haemoglobin Oxygen
Dissociation Curve Demystified: A Basic Mathematical Proof for Medical
and Biological Sciences Undergraduates. Advan Physiol Educ 31:198-201,
2007. doi:10.1152/Advan.00012.2007.
[8] Oyelami, B. O. and Ale, S. O. B-transform Method and its Applications,
in obtaining Solutions of some Impulsive Models. International Journal of
Mathematics, Education, Science and Technology, 2000, Vol. 31, No. 4,
pp 525-538.
[9] Oyelami, B. O., On Military Model for Impulsive Reinforcement
Functions using Exclusion and Marginalization Techniques, Nonlinear
Analysis 35 (1999), pp 947-958.
[10] Oyelami, B. O. and Ale, S. O., B-transform and its Applications to a Fish-
Hyacinth Model, International Journal of Mathematics, Education, Science
and Technology, 2002 Vol. 33, No. 4, pp 565 - 573.
[11] Oyelami, B. O., Ale, S. O., Onumanyi P., Ogidi J.A. Impulsive HIV-1
model in the presence of Antiretroviral Drugs using B-transform method.
Proceedings of African Mathematical Union, 2003, pp 62-76.
[12] Oyelami B.O. and Ale S.O. On Existence of Solution, Oscillation and
Non-Oscillation properties of Delay Equations containing
‗Maximum‘.Acta Applicandae Mathematicae Journal, 2008.
DOI:10.1007/s10440-008-9340-1.
[13] Oyelami B.O., Ale S.O., Onumanyi P.and Ogidi J.A. B-transform and
Applications to the Sickle Cell Models. The proceedings of International
Seminar on Theoretic Physics and National Development published in the
African Journal of Physics 2009, 202-220. http://sirius-
c.ncat.edu/asn/ajp/allissue/ajp-ISOTPAND/index.html.
147
[14] Pandit, S. G. and Deo Sudashiv H., Differential Systems Involving

Impulsive. Lecture Notes in Mathematics, Springer-Verlag, Berlin -
Heidelberg - New York, 1982.
[15] Robert K. Fitzgerald, MD; Alan Johnson, MD Pulse Oximetry in Sickle
Cell Anemia. Crit Care Med 2001 Vol. 29, No. 9
[16] Robert, M.B.V., Biology: A Functional Approval, Nelson Butler and
Tanner Ltd. Rome and London, 1971.
[17] Rosalie A. Dance & James T. Sandefur A Study of Malaria and Sickle Cell
Anemia: A Hands-on Mathematical Investigation, National Science
Foundation Publication. 4/15/99, 1998.
[18] Simeonov, P. S. and Bainov, D. D., Impulsive Differential Equation:
Asymptotic Properties of the Solutions. World Scientific Publication,
Singapore, 1989.
[19] Simeonov, P. S. and Bainov, D. D., Theory of Impulsive Differential
Equations: Periodic Solutions and Applications. Longman, Essex, 1993.
[20] Weatheral, D. J. and Clegg, J. B., Inherited haemoglobin disorders: An
increasing global Health Problem, Bulletin World Health Organization,
2001, 79 (8), pp 704-711.
[21] World Health Organization, Sickle-cell Aneamia Report by the Secretariat.
Fifty-ninth World Health Assembly A59/9.Provisional Agenda item 11.4
24 April 2006.
[22] Vandergrift KD, Bellelli A, Samaja M, Malavalli A, Brunori M,Winslow
RM. Kinetics of NO and O2 binding to a Maleimide Poly (Ethyleneglycol)
- conjugated Human Heamoglobin. Biochem J 382: 183–189, 2004.
[23] Zijlstra W.G.,Buurma and Van Assendelf W.O., Visible and near infrared
Absorption Spectra of Human and Animal haemoglobin
Determination and Application.,2000, xvi, 368 pages ISBN 90-6-164-
317.http://www.vsppub.com/books/lifes/bk-
isNeaInfSpeHumAniHaedetapp.html.
148
NONLINEAR MAGNETO-OPTICAL EFFECTS IN

DIELECTRICS EMBEDDED WITH FERROMAGNETIC
NANOPARTICLES†††
1
Arlene .P. Maclin and 2M. M. Noel,
1
Professor of Engineering & Director, Center for Academic Excellence Norfolk
State University, Norfolk , Virginia 23504
Email: apmnovalink@gmail.com
&
2
Assistant Professor of Engineering, Norfolk State University, Norfolk, Virginia
23504; Email: Mathew.mithra@gmail.com
,
Abstract
Magneto-optic effects in transparent dielectric materials embedded with
ferromagnetic nanoparticles have been investigated through simulation of a
nonlinear wave equation. The possibility of generation of harmonics due to
magnetic saturation in ferromagnetic nanoparticles was studied. A simplified
nonlinear spring-mass system model that accounts for magnetic saturation and
harmonic generation is presented. The simplified model is analyzed using the
finite element and finite difference methods and results are compared with data
from simulation studies.
1. INTRODUCTION
Nonlinear optical effects occur due to the nonlinearity of constitutive
relationships [1] in Maxwell‘s equations: D   ( E ) E and B   ( H ) H Nonlinear
effects due to nonlinearity of the constitutive relation for the electric field have
been demonstrated through harmonic generation experiments. In particular
Franken et al [2] demonstrated the generation of ultraviolet light by passing a
††† African Journal of Physics Vol. 2, pp. 149- 156, (2009)

149
ruby laser beam through a quartz crystal. However due to difficulties in

manufacturing high frequency ferromagnetic materials nonlinear optical effects
occurring due to the nonlinearity of the magnetic field, constitutive relationship
have not been extensively studied. Recently the nonlinearity of ferromagnetic
resonances was used to generate second and higher harmonics in the microwave
region of the electromagnetic spectrum [3].
With the maturation of nanotechnology it has now become feasible to
manufacture high frequency ferromagnetic materials. This paper considers the
generation of second and higher harmonics due to nonlinear magnetic effects
resulting from embedding ferromagnetic nanoparticles in a transparent dielectric
matrix.
2. RESULTS
The Maxwell‘s equations are for electromagnetic wave propagation in linear

media. However the linear wave equations are only valid at low field values. At
high field values, the relative permeability is not constant but decreases
monotonically until the free space value is reached. The decrease in relative
permeability with increasing magnetic field value is due to the alignment of
magnetic domains. When all magnetic domains have been aligned the
permeability cannot increase any further resulting in a constant permeability for
very large field values. This effect is modeled by the nonlinear wave equation (2).
The nonlinear wave equation can be numerically solved using a finite
difference approximation scheme. First the partial derivatives are approximated
by finite difference approximations. These approximations are then substituted in
the nonlinear wave equation resulting in a difference equation that expresses the
field at any time t and location (x,y) in terms of the field values at previous times
(4).
2 B
 2 B   (1)
t 2
  0  r
r  a  b sec h (cB)
2
2 B
 2 B  (a  b sec h (cB))
2
(2)
t 2
150
 2u 2  u
2
 2u
Consider  c(u ) ( 2  2 ) (3)
t 2 x y
 2u u ( x  x, y, t )  2u ( x, y, t )  u ( x  x, y , t )

x 2 x 2
 2u u ( x, y  y, t )  2u ( x, y, t )  u ( x, y  y, t )

y 2 y 2
 2u u ( x, y, t  t )  2u ( x, y, t )  u ( x, y, t  t )

t 2 t 2
u x , y ,t 1  cd 2 (u x 1, y ,t  u x 1, y ,t  u x , y 1,t  u x 1, y ,t  4u x , y ,t )  u x , y ,t 1  2u x , y ,t (4)
(cd 2  1 for convergence)
The results of the finite difference approximation simulation are shown below.
151
Time=10 Color: u Height: u
0.8
1
0.6
0.5 0.4
0 0.2
-0.5 0
-0.2
-1
8
-0.4
6
-0.6
4 7
6
5
2 4 -0.8
3
2
1
0 0
Figure 1: shows a normal mode for the linear wave equation. The
solution was obtained by finite element method with triangular
elements over a rectangular domain.
6
0.8
5 0.6
0.4
4
0.2
0
. 3
-0.2
2
-0.4
-0.6
1
-0.8
0
0 1 2 3 4 5 6 7
Figure 2: shows a contour plot of linear mode shown in figure 1
152
15
10
-5
-10
4
3 3.5
3
2 2.5
2
1.5
1 1
0.5
0 0
Figure 3: Shows variation of the magnetic field with position after

100 iterations for the the nonlinear wave equation. The solution
was obtained using a finite difference approximation scheme.
In order to obtain an analytic solution for model validation, we model the

nonlinear saturation behavior in terms of a nonlinear mass-spring system model
for the electron response.
me x   x  kx  qe Em cos(t ) (5)
Equation (5) can be solved using a singular perturbation method approximation.
To this end, we assume the electron displacement x(t) due to the electromagnetic
wave to be of the form:
x(t )  x0 (t )   x1 (t )   2 x2 (t )   3 x3 (t )... (6)
153
Equation (6) can be substituted in equation (5) and coefficients of the parameter
are equated to obtain a sequence of approximations. shown below in Figures 4.
and 5.
0.3
0.2
0.1
velocity
-0.1
-0.2
-0.3
-0.1 -0.05 0 0.05
position
Fig. 4: Phase space plot for linear response.

0.025
0.02
0.015
0.01
velocity
0.005
-0.005
-0.01
-5 0 5 10 15
position x 10
-3
Fig. 5: Phase space plot for nonlinear response.

154
3. CONCLUSION
Based on these preliminary results, we believe that embedding

ferromagnetic nanoparticles in a dielectric medium can produce nonlinear
magnetic effects due to hysteresis and saturation effects. Nonlinear magnetic
effects induced by addition of ferromagnetic nanoparticles can be used for
harmonic generation. Due to the inverse relationship between wave velocity and
permeability, the refractive index can be increased due to the addition of
ferromagnetic nanoparticles [4-7]. Future experiments are needed to investigate
the effects the addition of ferromagnetic nanoparticles can make on optical
properties in dielectric media.
ACKNOWLEDGEMENT
Several technical discussions about this work were held with Dr. Vitaliy
Lomakin from the University of California @ San Diego These discussions are
gratefully acknowledged. This research was supported by the NSF funded
Engineering Research Center for Integrated Access Networks ( 081207) with the
University of Arizona as the lead institution. Dr. Maclin gratefully acknowledges
the invitation by the organizers of the ISOTPAND09 to participate in this very
important meeting for the dissemination of these research results to scientists and
engineers in Nigeria. It was a real pleasure to meet so many emerging African
scientists interested in pursuing graduate work in physics and engineering
REFERENCES
[1] Y. R. Shen, Principles of nonlinear optics, New York, Wiley-Interscience,
1984.
[2] P. A. Franken, A. E. Hill, C. W. Peters, and G. Weinreich, "Generation of
optical harmonnics," Phys. Rev. Lett. 7, 118 - 119, 1961.
[3] G. P. Rodrigue, "A generation of microwave ferrite devices," Proceedings of
the IEEE, Volume 76, Issue 2, Feb 1988 Page(s):121 - 137.
[4] C A F Vaz et al, "Ferromagnetic nanorings," in the Journal of Condensed
Matter Physics, 2007.
155
[5] E. M. Brunsman et al, "Magnetic properties of carbon-coated, ferromagnetic

nanoparticles produced by a carbon-arc method," in the Journal of Applied
Physics, May 1994.
[6] L. Berger et al, "Ferromagnetic nanoparticles with strong surface anisotropy:
Spin structures and magnetization processes," in Physics Review, Volume 77,
March 2008.
[7] J. Nogues, "Exchange bias in ferromagnetic nanoparticles embedded in an
antiferromagnetic matrix," in the International Journal of Nanotechnology,
Volume 2, April 2005.
156
ANALYSIS OF ELECTROMAGNETIC BEAM PROPAGATION

IN A DIELECTRIC THIN FILM MATERIAL USING CLASSICAL
PERTURBATION TECHNIQUE‡‡‡
A.N. Nwachukwu1 and J.U. Ugwuanyi2

Department of Physics, University of Port Harcourt, Port Harcourt, Rivers,
Nigeria.
Department of physics, University of Agriculture, Makurdi, Benue, Nigeria
1
Email: arthurdeconvenantchild@yahoo.com
Abstract
In this work, we investigated the propagation of electromagnetic wave through a
dielectric thin film material, which was considered to be fairly absorbing, strongly
absorbing and non-absorbing. The wave propagation obeyed a wave equation,
which was solved by classical perturbation technique. The plot of the wave
function, φ(r), against the period of the wave, T, showed that the magnitude of the
wave function decreased with increase in the dielectric perturbation, εp(r). This
meant that the dielectric perturbation, εp(r) modulated the wave exponential
decay.
1. INTRODUCTION
In Quantum mechanics, perturbation theory is a set of approximation schemes for

describing a complicated quantum system is terms of a simpler one. The idea is to
start with a simple system and gradually turn on additional interaction term
representing a weak disturbance to the system. If the disturbance is too large, the
‡‡‡ African Journal of Physics Vol. 2, pp. 157 -- 168, (2009)

157
various physical quantities associated with the perturbed system (e.g. its energy
levels and eigenstates), will be continuously generated from those of the simple
system. We can therefore study the former based on our known ledge of the later
(Wikipedia, the free encyclopedia).
A precise approximation is not a contradiction in terms but rather an
approximation with an error which is understood and is controllable. There are
two methods listed in Numerical Methods and Analytic Methods (Lighthill, 1949).
for obtaining precise approximations to solutions of an equation: This project is
about the later, i.e. the analytic approximation which is obtained when some
parametes of the problem is small, hence the name perturbation methods. The
perturbation and numerical methods are not however in competition, but rather
complement one another (E.J. Hinch, 1991).
2. BACKGROUND INFORMATION
Classically, the passage of light through a medium result in reflection

depending on the nature of the material. In some cases attenuation occurs. When
light passes through a vacuum, the disturbance (perturbation) produced (e.g
electric field vector) is characterized by the wave equation (1.0), provided that
there is no material propagation along the medium. (Gann, 1915; Brandson and
Joachin, 1989).
1 2
 2 E (r, t)  E(r, t) (1.0)
2
c t 2
However, thin film being a matter, when deposited on plane surface brings about
attenuation or absorption of electromagnetic radiation when it is allowed to pass
through it. In this case, thin film becomes the material through which wave
propagates. Therefore, the wave equation becomes.
 2 ψ(r)  ω2ε oμ o ε p (r)ψr)  0 (1.0a)
where  is the angular frequency, 0 is the permittivity of the film medium and
o is the permeability of the film material.
With  p (r )     p (r ) (1.0b)
ref
Eqn. (1.0a) becomes
158
 2 (r )   2 o o   p (r ) (r )  0 . (1.0c)
ref
It is important to note that the action of electromagnetic radiation on a plane
surface is different from its action when there is material propagation on such
surface and that is why in the above equation we have such parameters as
permittivity of the film o and permeability of the film, (see, Fig. 1.0):
Electromagnetic
beam
Thinfilm
deposited on
the plane
surface.
Fig. 1.0
Action of Electromagnetic beam on thin film deposited on the plane
surface
3. THEORETICAL PROCEDURE
An electromagnetic wave was propagated through a dielectric thin film material

which were deposited on a glass substrate.
The following observations were made.
I. Radiation was absorbed strongly.

II. Radiation was fairly absorbed and,
III. Radiation was not absorbed.
A diagrammatic representation of the action of the wave on the dielectric thin film
material is shown in fig 2.0 and fig 3.0 below.
159
o(z) = exp(ikrefz)
p
exp(ikrefz)
ref
O
L Z
Fig 2.0: Plane wave impinging upon a dielectric barrier. The reference
medium ever corresponding to the fundamental level, whereas the
perturbation p describes the barrier. (Oliver et al, 1994).
The expected behaviour is observed as seen in fig. 3.0 where we present the
relative amplitude of the field after transversing/passing through the film media.
Three different cases were investigated.
(a) A non-absorbing barrier p = ref
(b) A barrier with limited absorption
p = ref + p(r), Where p(r) is small
(c) A barrier with strong absorption
p = ref + p(r), p(r) is large
160
p (r) = 0
p = ref
p = re +
Dielectric p(r) small p(r)
Harrier
p = ref +
Relative amplitude
p(r) large p(r)
ZAM
Fig. 3.0: The relative amplitude of field for different dielectric barriers as
investigated. The incoming wave is within the optical region with wavelength of
500nm – 700nm. (Oliver et al, 1994).
Statement of the Equation

The wave propagation obeys a wave equation which we solved by classical
perturbation technique. The statement of the wave equation is as follows.
2 (r) + 2 o o (r)(r) = 0 (1.1a)
(r) + ref + p(r) ( 1.1a)
161
Method of Mathematical Solution

2 (r) + 2 o o (r)(r) = 0 (1.2)
The above equation has a solution similar to that of Schrödinger‘s wave equation;
and can be solved by classical perturbation method. The solution of the wave
equation may be assumed to have the form:
(r) = Aeikr + Be-ikr (1.3)
where A and B are arbitrary constants . Then

 ( r )
 ikAe ikr  ikeBe ikr
r
= ik (Aeikr – ikBe-kr) (1.4)
 2 (r )
  k 2 Ae ikr  k 2 Be kr
r 2
= - ik (Aeikr + k2 Be-ikr) (1.5)
Putting (1.3) and (1.5) in Eqs (1.1a & b) gives
- k2 (Aeikr + k2Be-ikr) + 2 o µo r (Aeikr + k2 Be-kr) = 0
- k2 + 2 o µo r = 0
K2 = 2 o µo r (1.6)
Substituting equation (1.1) into (1.6) gives
K2 = 2 o µo r (ref + p (r)
K2 = 2 o µo ref + 2 o µo ref p (r) (1.7)
From Eq. (1.6), it follows that
162
k2
ε(r)  (1.8)
ω 2ε oμ o
Eq. (1.7) can be shortened as follows
K2 = ( + i) (1.9)
where  = 2 o o ref
 = 3 o µ o p(r)
Recalling that (r) = Aeike + Be-ikr and substituting for k in the above equation
gives
(r) = Aei( + i) + Be-i( + i)r
It is important to note that the usual wave function is given in the form.
(r) = o(r) expi(kr - t) (2.0)
Assuming that the wave number, k has both real and complex parts, it can
therefore be expressed thus:
K =  + i (2.1)
Putting this into Eq.(2.0) implies

(r) = o(r)expi[( + i)r - t]
= o(r)expi[(r + ir) - t]
= o(r)exp[i(r - r) - it]
= o(r)exp[(ir - r - it]
= o(r)exp[i(r - it) - r]
= o(r)exp - r expi(r - it) ( 2.2)
Substituting Eq.(1.9) into( 2.2) implies:
(r) = o(r)exp - 2 o o p(r) r expi(2 o o refr - t)
= (r)exp-p(r) r expi(ref r - t) (2.3)

163
4. RESULT/DISCUSSION
The results of the equation are:

(r) = o(r)exp - r expi(r - t)
= o(r)exp - 2 o o p(r) r expi(2o oref r - t)
= o(r)exp -p(r) r expi(ref r - t)

From equation (2.2)  is the modulating factor since it is a function of the
dielectric perturbation, p(r). It, therefore, can be inferred that the larger the
dielectric perturbation, the larger the modulating factor, all other factors being
constant. It is given by:
 = 2 o o p(r)
where  = the angular frequency,  = modulating factor, o = permittivity of the
film medium, o = permeability of the film medium, and p(r) = dielectric
perturbation. It therefore implies that the dielectric perturbation p(r) modulates
the wave propagation through the film.
Similarly, we infer that the magnitude of the relative amplitude depends on the
dielectric perturbation. Form the graphs when p(r) = (0.567 – 1) as in fig. 4.1
and 4.2, there was little effect on the magnitude of the wave function. When
p(r) = (3.5 -5.5), as in fig. 4.3 and 4.4, the effect became more pronounced on
the magnitude of the fig. 4.5, 4.6 and 4.7 respectively, the magnitude continued
decreasing. With further increase of p(r) from 80.5, 100.5 as in figs. 4.8 and 4.9,
the decrease in the magnitude of the relative of attenuation is attained when p(r)
= 600.5. Here the only thing observed was a straight line. It meant that the p(r)
was responsible for the wave exponential decay.
The plot of the wave function against the period of the wave was obtained
as shown in the graphs below. From the graphs, X – represents the wave function
(r) while T – represents time.
The equation used to plot the graph isas follows.
(r) = o(r)exp - p(r) r expi(ref r - t)
164
where o = amplitude of the wave, t = wave period, p(r)= dielectric perturbatio

ref = reference dielectric of the film medium.
1 Fig. 4.4 5.5
165
Fig. 4.5 Graph of ψ (r) against time for Δεp

(r) = 10.5
Fig. 4.6 Graph of ψ (r) against time for Δεp

(r) =22.5
166
CONCLUSION
We conclude that perturbation is very useful in the analysis of a given wave

equation as its solution brings out clearly the properties of such wave on
incidence on a plane surface. Although the solutions produced by perturbation
theory are not exact, they are often fairly accurate. The result of the solution
indicates that when electromagnetic beam is propagated in a dielectric thin film
material, some part of the wave is absorbed, partially absorbed and non-absorbing
and that the dielectric perturbation p(r) is responsible for the exponential decay
of the wave.
167
REFERENCES
Gann, R. (1915). Propagation of light through an inhomogeneous medium.

Ann phys. 47, 709-736.
Brandson B.H and Joachin C.J (1987). Introduction to Quantum Mechanics.
K.F Riley. M.P. Hobson and S.J. Bence (1997). Mathematical methods for
physics and Engineering.
Lighthill, M.J. (1949). A technique for rendering approximation solutions to
physical problems informally valid. Phil. Mag. 40, 1179-1201.
Hinch, E.J. (1991). Perturbation methods.
Wikipedia, the free Encyclopedia.
168
THE THIRD REVOLUTION IN SCIENCE AND THE GLOBAL ENERGY

CHALLENGE§§§
Amagh Nduka
Department of Physics and Mathematics
Federal University of Technology, Owerri, Nigeria.
Email:nduka_rp99@yahoo.com
Abstract: To effectively address today‘s energy challenges the world requires

scientific and technological leaps, strong policies, and large investments. In this
paper we explore the role future power plants using combinations of matter and
antimatter as raw materials can play in the resolution of the Global Energy
Challenge (GEC)
1. INTRODUCTION
Physics is concerned with, inter alia, the study of the nature of energy, its
various manifestations, its transformation from one form to another, and its
transmission from one place to another –indeed energy lies at the heart of physics.
For the non-physicist energy generally refers to the large-scale conversion of
stored energy into electricity, locomotion, or manufacture; and hence is seen as
the driver of society.
About two hundred years ago the ability to harness energy served as a
stimulus for the industrial revolution that was accompanied by an explosion of
agricultural productivity, human population, and economic growth. Human
society has, however, never before experienced energy consumption at today‘s
scales. The US Department of Energy (DOE) projects that the world‘s total
energy consumption will increase by 59% between 1999 and 2020, from 382
quads to 607 quads1 (a quad is one quadrillion of energy, which is equal to 3x1011
kwh). The same report predicts a population increase from 6.0 to 7.5 billion
people on Earth. Thus, in order to provide sufficient energy for its population
come the year 2020 our world must find additional 225 quads of energy in just
over twenty years. If it is realized that the world total of 382 quads of energy was
achieved in over 200 years, finding the extra 225 quads in about 20 years is a
daunting task indeed. What sources will yield this extra energy?
§§§ African Journal of Physics Vol. 2, pp. 169-172, (2009)

169
Against this backdrop, policymakers, commercial enterprises, and

scientists have focused increased attention over the past few years on the issue of
energy. Further, the energy challenge has emerged in public discourse at a level
not seen since the oil shocks of the 1970s. The public debate has placed a
renewed focus on the role of energy technology and policy in meeting several
energy challenges. Prominent among these challenges are energy security,
provision of adequate and reliable electricity, and reduction of harmful emissions
in the face of increasing energy demands associated with economic growth.
2. CONVENTIONAL ENERGY SOURCES

To address this energy problem our world has focused almost entirely on
conventional energy sources which we group hereunder in an unconventional
way:
 Fermion Energy Systems: These are quantum systems that have
Newtonian systems as classical analogue – fossil fuels (oil, natural gas,
coal), and fission considered conventionally to be non-renewables, and
renewables (biomass, hydrogen).
 Force-particles (vector-boson) energy systems: These are quantum
systems that have Einsteinian systems as classical analogue – Renewables
(wind, hydroelectric, geothermal).
The above classification is in terms of the basic constituents of the energy
systems. The technologies for the extraction of energy from these sources are the
dividends of the first revolution (Isaac Newton), and second revolution (Albert
Einstein) in science. Fossil fuels provide about 85% of the worlds energy, and the
others only about 15%. According to conventional wisdom at some point in the
near future humankind must necessarily witness a declining annual availability of
fossil fuel resources, given their finite quantity and geological limitations to the
rate of their extraction. The disappearance of global resources that are so vital to
our lives is unprecedented and frightening. Our only choice therefore is to use
energy with great efficiency, reduce demand, and most importantly discover new
energy systems, or may be, employing a combination of these strategies.
If one accepts the conventional scenario, the world‘s energy resources

would be exhausted some day. The unavoidable conclusion to be drawn from this
is that our world faces a certain death – it is doomed to die, since a world without
energy is empty. That assumption that the quantity of each of nature‘s resources
is finite is a derivative of the quark model. According to the quark model, all the
furniture of the universe were created at the initial epoch of the universe derived
from the cataclysmic big bang scenario. Fortunately the big bang scenario is mere
figment of the imagination as quarks do not exist, as we shall now show.
170
The basic assumption of the quark model is that matter is quark based; and
that prior to the big bang there existed quark-antiquark (and hence matter-
antimatter) asymmetry. With an asymmetry some (finite number) quarks
survived after the big bang and thereafter combined to constitute all the nucleons
and mesons of the universe. Thus matter-antimatter asymmetry of the fermion
world is at the very heart of the quark model; without it the quark idea is dead and
buried.
The works of P.A.M. Dirac; S.Weinberg, A.Salam, and S. Glashow
(WSG); and Amagh Nduka, however, show that there exists manifest matter-
antimatter symmetry in the fermion world, asymmetry in the vector-boson
world, and that there exists a third world, and hence a third independent energy
source, called fermion – vector boson (asymmetric) world2.
The conclusion to be drawn from these works is that nature‘s energy
sources are three in number, namely, matter, i.e. today‘s energy sources,
antimatter, and matter-antimatter sources; and that these resources are renewable
and hence inexhaustible. Matter and antimatter (fermion) resources are
symmetric under parity and hence are inter-changeable; while the matter-
antimatter resources are new and hence untapped – we call it matter-Antimatter
Energy System. There are just two types: fermion – antifermion resources,
with nucleons and antinucleons, or atom and antiatoms as raw materials; and
fermion – vector boson (fusion) resources, with nucleons, anti nucleons, and the
four Ws as raw materials.
The matter – antimatter energy resources are vast; they account for the
energy and fundamental particles from the Sun and Stars. Photovoltaics are
driven by these energy systems. The problem with photovoltaics, apart from their
very low efficiency, is that mankind has no control over these remote energy
sources. Since the science of matter, antimatter, and matter-antimatter processes
are perfectly understood today technological advances in these new area (e.g.
GEC) are now possible. Because these sources of nuclear energy will provide
almost unlimited supply of cheap and clean energy, and without the usual
problems associated with the fission plants, these future nuclear power plants
could help to satisfy the world‘s energy requirements. The technologies for the
extraction of energy from these sources would be the dividends of the third
revolution in science.
The developed world has correctly identified fusion as an untapped energy
resource. The USA, Europe, Russia, Japan, China, India, and South Korea have
even embarked on an international partnership to exploit it via the ITER project.
They averred that fusion is attractive as an energy source because the basic raw
materials are abundant. The problem with the ITER project is that the basic
nuclear reactions adopted for it is the 1939 Bethe process. That work is, however,
171
just a naïve calculation exercise rather than a theory of fusion. The fact that
nobody has achieved Bethe –type fusion in the laboratory in about 70 years
despite the generous infusion of funds should have convinced even unmitigated
optimist that the Bethe process is wrong! Fusion is actually a 3-body, not a 2-
body (Bethe-type), process mediated by strong nuclear interaction-fusion is the
only known 3-body process occurring in nature. Fusion, as has been noted, is
attractive and achievable now the science is known. It must, however, be noted
that fusion is what makes our Sun and the Stars to shine – its raw materials being
the nucleons and the Ws. Thus, once the threshold energy of the W particles
(about 1 Tev) is exceeded Global warming results. Fusion technologies must
therefore take cognizance of this important fact. The alternative fermion-
antifermion process is preferable because it is cheaper and operates below the
threshold energy of 1 Tev.
References
1. The report is available at http://www.eia.doe.gov/oiaf/ieo
2. A.Nduka, Quantum Geometrodynamics, J.NAMP, 13, 1 (2008).
172
ALTERNATIVE MEANS OF ENERGY SECTOR INVESTMENTS

IN NIGERIA****
Udochukwu. B. Akuru1 and A. O. E. Animalu 1,2
1
International Centre for Basic Research, 20 Limpopo Street, FHA, Maitama, Abuja
2
Department of Physics and Astronomy, University of Nigeria, Nsukka
1
akurudo@yahoo.com, 2nascience@aol.com
Abstract
The nature and extent of energy demand and utilization in a national economy
are, to a large extent, indicative of its level of economic development. Access to
energy services is critical to achieving economic and social development targets
outlined in the National Economic Empowerment and Development Strategy
(NEEDS) and the Millennium Development Goals (MDGs). For a productive
economy and for rapid and secure economic advancement, the country must pay
maximum attention to the optimal development and utilization of her energy
resources and to the security of supply of her energy needs. To achieve this, a
country therefore requires an efficient and productive energy sector investment.
Nigeria over the years resorted to Federal Government (FGN) sponsored energy
sector investment. The outcome which is a natural twist of the total amount of
energy produced thereby. In the light of this development, the sole FG-sponsored
investment in the energy sector is seen to be highly inefficient. The availability of
alternative approaches in the form of Public Private Partnership (PPP), Private
Sector Participation (PSP), and Renewable Energy (RE) investment option
among other measures is thereby proposed as a good working alternative
especially when the results from developed countries are brought to bear.
Index Terms—FGN, Investments, PSP and Renewable Energy.
**** African Journal of Physics Vol. 2, pp. 173 -183, (2009)

173
1. INTRODUCTION
One of the measures of industrial progress of any country is the degree of
development of sources of its energy to accomplish useful work. The discovery of
sources of energy in nature, the transportation of energy in its various forms from
one place to another and the conversion of energy to a more serviceable form
are the essential parts of an industrial economy. What really comes to mind when
one talk about energy infrastructure in Nigeria is the Electric power, Oil and Gas
systems. Energy has a major impact on every aspect of our socio-economic life.
It plays a vital role in the economic, social and political development of our
nation. Inadequate supply of energy restricts socio-economic activities, limits
economic growth and adversely affects the quality of life. Improvements in
standards of living are manifested in increased food production, increased
industrial output, the provision of efficient transportation, adequate shelter,
healthcare and other human services. These will require increased energy
consumption. Thus, our future energy requirements will continue to grow with
increase in living standards, industrialization and a host of other socio-economic
factors. It is pertinent to note that the impact of energy goes beyond national
boundaries. Therefore, energy supply can be used as an instrument of foreign
policy in the promotion of international cooperation and development [1]. Nigeria
is an energy resource rich country blessed with both fossil such as crude oil,
natural gas, coal, and renewable energy resources like solar, wind, biomass,
biogas, etc [2].
There is a large body of literature comprising of status report on the
Federal Government investment into the energy sector already undertaken.
However most of these studies undertaken came as public presentations to
establish a case for Private Sector Participation in energy sector investment
(Power Sector Reforms in Nigeria: Opportunities and Challenges by O.I. Okoro,
P. Govender and E. Chikuni; Investment Opportunities in Nigeria by Baba Ijo
O.O.O, 2008; Meeting Nigeria’s Power Demand by J.A. Tinubu, 2008;
Investments in the Power Sector: Implications for Domestic Gas Sector by J.O.
Makoju, 2007; Private Sector Participation in the Electric Power Sector – Risks
and Incentives by Bisi Lamikanra, 2005; Power Sector Investment Needs in a
selection of developing countries by Odd K. Ystgaard, 2005). These works also
cover investments in unexplored energy resources as against conventional
resources (Status of Renewable Energy in Nigeria by Francis S. Ikuponisi, 2004;
Opportunities and Challenges of an Integrated Energy Policy for Nigeria –
Prospective from a Competing Energy Product – Coal by Obi Timothy Nwasike,
2005, National Energy Policy by The Presidency, Energy Commission of Nigeria,
2003; National Energy Databank – a Compendium of Renewable Energy
Systems deployed in Nigeria edited by Bala Adamu Azare and Bello Ayuba,
2007; Biogas Energy Use in Nigeria: Current Status, Future Prospects and Policy
Implications by Akinbami, J. F. K., et al. 2001; Non-Conventional Energy Source:
Development, Diffusion and Impact on Human Development Index in Nigeria by
174
Chendo, M. A. C., 2001; Mobilizing Science-Based Enterprises for Energy,

Water, and Medicines in Nigeria by NRC and NAS, 2007).
A preliminary assessment of available literature on energy sector
investments in Nigeria is based strongly on unhealthy monopoly which demands
an urgent implementation of the Energy Sector Reform that will encourage PSP
include (Investments in the Power Sector: Implications for Domestic Gas Sector
by J.O. Makoju, 2007 and Private Sector Participation in the Electric Power
Sector – Risks and Incentives by Bisi Lamikanra, 2005). There have also been
some efforts to assess the impacts of the perennial FG investment on the energy
sector and its economical implication (Investments in the Power Sector:
Implications for Domestic Gas Sector by J.O. Makoju, 2007). There is also
extensive assessment on the level of impact which can come from renewable
energy investments (Status of Renewable Energy in Nigeria by Francis S.
Ikuponisi, 2004; Mobilizing Science-Based Enterprises for Energy, Water, and
Medicines in Nigeria by NRC and NAS, 2007 and Solutions for Nigeria (Editorial)
by R. R. Colwell, and M. Greene, 2008). Also necessary were the
complementary works in comparing Nigeria’s energy sector with other countries
by employing data from world energy indices and the automatic linkage between
energy services and the MDGs (Energy and Resources – Nigeria (2003);
International Energy Agency (IEA), Statistics Division 2006. Energy Balances of
OECD Countries (2006 edition) and Energy Balances of Non-OECD Countries
(2006 edition); Energy Supply and Economic Growth, World Energy Statistics
and Balances, International Energy Agency, OECD FACTBOOK 2008; Key
World Energy Statistics (2008); Energy and the Millennium Development Goals
by Modi, V., S. McDade, D. Lallement, and J. Saghir, 2006; the Energy
Challenge for Achieving the Millennium Development Goals by Mats Karlsson,
2005 and Energy and the Millennium Development Goals by M. Alan, 2004).
These facts are outstanding:
 A number of recent studies have attempted to examine the socio-
economic impact of Federal Government investment in the sector. Initial
results from these studies seem to reveal that the sole-handling of the
sector by the FG has done more harm than good [3].
 Some analysts contend that reforms should and have produced some
positive results in a few instances; there is some evidence that in majority
of the case, reforms have led to a complete overhaul of the energy sector
[4].
 The analysts further argued that from the onset that the implementation
of these reforms will not hold water until government monopoly totally
hands-off in the sector; noting that these reforms were actually aimed at
improving financial and technical efficiency of the energy sector, facilitate
divestiture and guarantee future energy supply [5].
175
 A few ongoing or recently concluded assessment on energy sector

investments reveals the need for the Nigerian Government to be keenly
aware that sustaining democratic principles, enhancing security for life
and property, and rebuilding and maintaining buoyant economy via multi-
sector investments are necessary products of a working energy sector
investment plan [6].
But the fact that many countries, Nigeria included, prior to reform had largely
one mammoth state owned corporation carrying out all activities in the energy
sector is primarily responsible for the all-government monopolistic sponsorship of
the energy sector. Consequently, a paper written is thus quoted [7];
“In developing countries, at least in the least developed ones,
investments will in most cases have to be by the host government or government
owned utility with support of soft finance (donor assisted investments). This is
because of the low ability to pay for electricity and the need for cross-subsidy in
tariffs to facilitate electrification of the country – both factors that works counter
to attracting private investors.”
Similarly, a presentation on ‗Financing the Energy Sector‘ [8] holds that
for a good energy sector investment the following financial trends should be
visible – the recognition of political risks, multilaterals, quality issuers, leverage
and pricing and capital markets with a corresponding energy sector boom coming
as rapid economic recovery, increased energy demand, industrial consolidation
and investment security. Although findings from these studies are not fully
conclusive, they do indicate that the sole FGN investment in the energy sector is
ineffective and have resulted in a non-commensurate energy output with an
attendant steady decline.
This paper, first and foremost, inquires from the perspective of the world,
recent trends in the energy sector and the criticality of energy to realising the 8
MDGs. It also assesses the alternative to Federal Government investment and
energy resources (especially on renewable) and uses the result to project the
extent to which an operational investment plan can be structured. Furthermore, it
proposes the options that could enhance Private Sector Participation (PSP) in
the energy sector. Lastly, it still advises on the need for a comfortable
government platform – a precursor on which any meaningful investment plan
cannot be achieved.
The paper equally adds value to the limited but growing literature on
energy sector investments in Nigeria. While past studies have mainly assessed
the status and outcomes of energy sector investments by the Federal
Government, this paper adds value by assessing whether the option is effective
for furtherance. Moreover, this paper is one of the very few that have attempted
to incorporate privately-driven investments in the energy sector within the context
of alternative energy resources.
176
2. ELECTRICITY SITUATION IN NIGERIA
Electricity is a form of energy, which enjoys considerable and diverse

applications because of its flexibility and ease of transmission and distribution.
Availability of electricity remains a major factor in the location of industries and a
strong instrument of social development. Its supply is however still inadequate in
the country. Commercial electricity is generated mainly from hydropower, steam
plants and gas turbines in Nigeria.
2.1 FGN’s Energy Sector Investments (1999-2007)
FG Amount Invested in Nbillion

80 70.927 70.31372.393
70 61.101
60 54.494
49.784
44.196
N billion
50
40
30
20
6.697 5.207
10
0
1
1999 2
2000 3
2001 4
2002 5
2003 6
2004 7
2005 8
2006 9
2007
Year
Fig. 1: FG investment (1999
in the - 2007)
energy sector (1999 - 2007)
Recent investments in the energy sector from 1999-2007 by the FGN were
aimed at revamping the sector. These investments were meant to primarily
increase generation, transmission and distribution of electricity. Between these
177
periods billions of dollars was invested by the Obasanjo administration. The total
amount approved by the National Assembly from 1999 to 2007 for the
resuscitation of the sector was N575.872 billion, while the total amount released
in the various warrants from the budget office was N527.878 billion and the cash
back was N435.115 billion [9]. Fig. 1 is used to give the breakdown:
The emphasis of this work is that during the last eight years, the huge
investments made by the FGN into the energy sector have not yielded a tangible
result. These fundamental judgments become obvious: 1. That the political setting
of 1999 – 2007, in spite of huge investments, was no better than previous settings
with similar results; 2. Vis-à-vis, government funding of the energy sector over
the years is money down the drain; 3. The current energy crisis is a precursor of
bad energy investment strategies; and 4. Stating the obvious, there is an urgent
need to revive the ailing energy sector via efficient investment strategies.
2.2 Comparative Analysis with Other Economies

Not long ago, some parts of Europe and America experienced electricity
blackouts, which made a lot of news and created a lot of anxiety in the developed
countries. In contrast, in major parts of Africa and developing countries, electricity
blackout may be considered a luxury and exclusive reserves for those that have
access to electricity supply.
The method employed in this analysis was to use the data sourced on
‗Energy Consumption per GDP‘ [10] for the countries under study, as a factor of
comparing the level of impact the amount of money invested into their energy
sector has interpreted into concrete results of energy being made available for
public utility.
Strong bases for analysis are that: “The energy sector is meant to be the
bedrock of the nation's economy [1, 3, 4, 6, 11, 12, 13]” in addition to the fact
that, the economic development and GDP finds a common factor to compare
with a country’s energy output i.e., the expected result of any energy sector
investment.; and, energy consumption has a strong link with national income
[13].
3. ALTERNATIVE MEANS TO ENERGY SECTOR INVESTMENT

Going by the level of comatose that Nigeria‘s energy sector is currently
operating in, there is, therefore, the urgent need to remedy the situation
especially as it has to do with investments in the energy sector. This paper has
proved so far that, up till the recent past, the FGN has been the sole-investor in
the energy sector.
178
Funding requirements for the entire energy sector is substantial. New

investments are needed for exploration and exploitation activities. The
required type of financing is long-term and involves both foreign and domestic
financing resources. However, foreign investment capital, in addition to national
foreign earnings provides the greater proportion of needed funds. This can be
greatly facilitated by the provision of appropriate measures to encourage
prospective investors in the energy sector.
Considering the risk element involved in energy projects, investments in
the sector should be capable of yielding high rates of return and fast pay back
periods in order to attract investors. Owing to other competing needs,
government alone cannot continue to provide the major finance for the energy
sector activities. Hence private sector participation is necessary and imperative.
To attract foreign investments in the energy sector, certain necessary conditions
would have to be met. These include:
 Improvement in the financial performance of the energy supply
companies in the country; and
 Providing an environment conducive for investment that also protects our
national interests.
By upgrading investment in the energy sector, it implies the adoption of
those practices that encourages or utilizes a result-oriented investment
approach. These will include:
 Getting the investment in the right framework;
 Deciding on the goals of restructuring and the ideal industry structure;
 Preparing the players to participate in a competitive market;
 Privatizing existing and new assets;
 Ensuring that a competitive market is implemented properly;
 Guarantee mechanisms to be put in place; and
 Pursuing international financing within the ambit of the law.
The means by which investment in Nigeria‘s energy sector can be
upgraded are innumerable as well as they are interdependent but uniquely
defined. This paper has tried to narrow these operations to touch only those
areas that are very crucial to the immediate resurrection of the country‘s ailing
energy sector by exploration and exploitation, as it were, of the investments in
alternative energy (RE) sources and the investments via private sector
participation (PSP) respectively.
179
3.2 The Need for Private Sector Participation

The shortage of public funds for the much needed energy infrastructure
projects in Nigeria led to a strong drive towards restructuring of the sector in
order to establish an enabling environment for private investments as a last
resort to financing energy infrastructure development.
3.3 Renewable Energy Potentials

―Renewable electricity‖ refers to electric power obtained from energy
sources whose utilization does not result in the depletion of the earth‘s
resources. Renewable electricity also includes energy sources and technologies
that have minimal environmental impacts, such as less intrusive hydro and
certain biomass combustion. Hence, the reason it is also known as sustainable
energy – the provision of energy such that it meets the needs of the present
without compromising the ability of future generations to meet their needs. These
sources of electricity normally will include solar energy, wind, biomass co-
generation and gasification, hydro, geothermal, tide, wave and hydrogen energy.
In the challenge towards Sustainable Development, energy will play a central
role. Among the energy issues, the role of renewable energy is becoming
increasingly relevant and important.
3.4 Solar Electricity: A RE Option

Going by the serious challenge facing the energy sector in Nigeria,
energy experts believe the best energy source for the country is solar energy,
especially being located in the tropics where there is so much sunshine to
convert.
The works done by H. T. Abdulkarim [14] on Techno-Economic
Analysis of Solar Energy for Electric Power Generation in Nigeria, the
Committee on Creation of Science-Based Industries in Developing Countries
Development, Security, and Cooperation Policy and Global Affairs [15] on
Mobilizing Science-Based Enterprises for Energy, Water, and Medicines in
Nigeria and, P. A. Ilenikhena [16] on Potential Areas of Solar Energy
Application in Nigeria for National Development are masterpieces that will
assist to advance solar power as a unbeatable RE option in this section of the
paper and so, is referential to this general purpose of this paper.
4. ENERGY AND THE MILLENNIUM DEVELOPMENT GOALS

The world has an unprecedented opportunity to improve the lives of bil-
lions of people by meeting the Millennium Development Goals (MDGs), the
international community‘s time-bound and quantified targets for addressing
extreme poverty in its many forms. Moreover, the Millennium Development Goals
(MDGs) are the international community‘s bold commitment to halving poverty in
180
the world‘s poorest countries by 2015. While some of the world‘s poor countries
have seen tremendous success in poverty reduction over the past decades and
are on track to achieve the MDGs, many others are lagging.
A common finding of the ten Task Forces of the UN Millennium Project
has been the urgent need to improve access to energy services as essential
inputs for meeting each MDG [17]. Without increased investment in the energy
sector, the MDGs will not be achieved in the Nigeria, locally and the world,
globally. Therefore, the core message of the report is that energy services are
essential to both social and economic development and that much wider and
greater access to energy services is critical in achieving all of the MDGs.
Strangely enough, energy was not mentioned in the MDG. However, the Energy-
MDG link is generally proposed in ref.[13, 18].
5. CONCLUSION
In conclusion, having shown from our comprehensive analysis of the
perennial inefficiency of the huge FGN investimate in the energy sector without
commensurate result in recent times, it is our view that strong private sector
participation should be encouraged especially in solar energy and other new and
renewable energy technologies. This would require FGN to put appropriate
legislation and security measures in place to attract and protect investors from
the private sector and protect consumers in the years ahead.
.
REFERENCES
[1] The Presidency, ―Energy Commission of Nigeria‖, Federal Republic of

Nigeria – National Energy Policy, April 2003.
[2] Ikuponisi, F. S., ―Status of Renewable Energy in Nigeria‖, One
Sky/Energetic Solutions Conference, 2004.
[3] Lawal, L., ―Lights out for Oil-rich Nigeria‖, Fortune Magazine, December
2007.
[4] Director General, Bureau for Public Enterprises, ―Overview on the
Electric Power Sector Reform‖, a presentation at the National Workshop
on Electric Power Sector Reform, April 2005.
181
[5] Mark, D. A. B., ―SENATE OF THE FEDERAL REPUBLIC OF NIGERIA

– Votes and Proceedings‖ 6TH National Assembly, First Session, No. 23,
September, 2007.
[6] Okoro, O. I., Govender, P. and Chikuni, E., ―Power Sector Reforms in
Nigeria: Opportunities and Challenges‖, Proceeding for 10th International
Conference on the Domestic Use of Energy, Cape Town/South Africa, pp.
29-34, 2006.
[7] Ystgaard, O. K., ―Power Sector Investment NEEDS‖, Power Sector
Taskforce Working Paper A in a selection of developing countries being
partners in Norwegian development cooperation, November 2005.
[8] Bilger, B. R., ―Financing the Energy Sector‖, May 2000.
[9] OJO, J., “Power sector probe: PHCN to refund $142m as CBN, AGF
others give conflicting figures‖, Daily Sun, Abuja, March 2008.
[10] International Energy Agency (IEA), Statistics Division 2006. Energy
Balances of OECD Countries (2006 edition) and Energy Balances of Non-
OECD Countries (2006 edition), Paris: IEA.
http://data.iea.org/ieastore/default.asp
[11] Federal Ministry of Power and Steel, ―Renewable Electricity Policy
Guidelines‖, ICEED Garki-Abuja, December 2006. www.iceednigeria.org
[12] Iloeje, O. C., ―Issues in the Regulation of Renewable Energy Based Power
Supply‖, NCERD Conference 2007, UNN, Nigeria.
[13] Mats Karlsson (2005), the Energy Challenge for Achieving the
Millennium Development Goals. http://esa.un.org/un-energy.
[14] Abdulkarim, H. T. ―Techno-Economic Analysis of Solar Energy for
Electric Power Generation in Nigeria‖, Department of
Electrical/Electronics College of Education, Minna, Niger State, Nigeria.
[15] Committee on Creation of Science-Based Industries in Developing
Countries Development, Security, and Cooperation Policy and Global
Affairs, ―Mobilizing Science-Based Enterprises for Energy, Water, and
Medicines in Nigeria‖, National Research Council of the National
Academies, Nigeria Academy of Science, The national Academies Press,
Washington, D.C., 2007.
[16] Ilenikhena, P. A. ―Potential Areas of Solar Energy Application in Nigeria
for National Development‖, DEPARTMENT OF PHYSICS, FACULTY
182
OF PHYSICAL SCIENCES, UNIVERSITY OF BENIN, BENIN CITY,

NIGERIA, July 2007.
[17] Modi, V., S. McDade, D. Lallement, and J. Saghir. 2006. Energy and the Millennium
Development Goals. New York: Energy Sector Management Assistance Programme, United
Nations Development Programme, UN Millennium Project, and World Bank.
[18] Kumar, S. Renewable Energy Policy and Planning for Sustainable

Development. Energy Field of Study, School of Environment, Resources
and Development, Asian Institute of Technology
183
SUSTAINABLE APPLICATION OF SOLAR ENERGY AS SMES

IN A DEVELOPING NATION††††
Udochukwu. B. Akuru1 and Ogbonnaya I. Okoro2

1
International Centre for Basic Research, 20 Limpopo Street, FHA, Maitama, Abuja
2
College of Engineering and Engineering Technology, Department of Electrical and
ElectronicEngineering, Michael Okpara University of Agriculture, Umudike, Abia State.
1
akurudo@yahoo.com, 2oiokoro@yahoo.co.uk
Abstract
That: ―The energy sector is meant to be the bedrock of a nation's economy‖, in
addition to the fact that, ―economic development and GDP finds a common factor
to compare with a country‘s energy output‖, is not new. Therefore, for a
productive economy and for rapid and secure economic advancement, the country
must pay maximum attention to the optimal development and utilization of her
energy resources and to the security of supply of her energy needs. To achieve
this, a country therefore requires an efficient and productive energy sector
investment. Developing countries like Nigeria have over the years relied on
government-sponsored energy sector investments with a track record of
inefficiency. This paper presents a knowledge assessment report (curled from the
recent USA and Nigerian Academy of Sciences collaboration) on the feasibility of
science-based private-sector (PSP) driven enterprises by entrepreneurs for
delivery of solar-power for basic needs including water and health to homes and
communities in Nigeria at affordable cost in order to encourage government to put
in place policies that could engender privately-driven investments in SMEs.
Consequently, this form of investment in solar energy, a renewable energy source,
is seen to be sustainable and supports the attainment of the MDGs as against
much of the current energy supply and use, based, as it is, on limited resources of
†††† African Journal of Physics Vol. 2, pp. 184 --209, (2009)

184
fossil fuels, which is deemed to be environmentally unsustainable e.g. the

wasteful and harmful emission of greenhouse gases through gas flaring.
Index Terms—PSP, SME, Solar Energy/Power and Sustainable Energy.
I. INTRODUCTION
No country in modern times has substantially reduced poverty in the absence
of massive energy use, and countries with higher incomes and higher human
development indexes also tend to be those with higher energy consumption (UN-
Energy, 2007). Notable as well is the fact that, ―The energy sector is meant to be
the bedrock of the nation's economy‖ cited in National Energy Policy (2003),
Ikuponisi (2004), Okoro, Govender, Chikuni (2006), Annemarije (2005), ICEED
(2006), Iloeje (2007), Newberry (2005) and Mats (2005) in addition to the fact
that, ―the economic development and GDP finds a common factor to compare
with a country‘s energy output i.e., the expected result of any energy sector
investment.; and, energy consumption has a strong link with national income‖
Mats (2005). For instance, Table 1 is extracted to show the rate of growth of
electricity production and of GDP‡‡‡‡ (at constant US$ and also constant PPP$2)
and of electricity intensity (which is also the rate of growth of electricity
production less the rate of growth of GDP).
Therefore, energy supply can be used as an instrument of foreign policy in the
promotion of international cooperation and development (National Energy Policy,
2003).
One of the measures of industrial progress of any country is the degree of
development of sources of its energy to accomplish useful work. The discovery of
sources of energy in nature, the transportation of energy in its various forms from
one place to another and the conversion of energy to a more serviceable form are
the essential parts of an industrial economy.
Nigeria is an energy resource rich country blessed with both fossil such as crude
oil, natural gas, coal, and renewable energy resources like solar, wind, biomass,
biogas, etc (Ikuponisi, 2004). See Tables 2 and 3 below which shows various
1. Gross Domestic Product

2. Purchasing Power Parity Dollars
185
conventional and non-conventional energy sources and their estimated reserves in

Nigeria
Table 1 Rates of growth of energy intensity 1986-8 to 1996-8 % p.a
Source: World Bank Development Indicators 2002 Resourced: Newberry (2005)
Country Electri GDP PPP Electricity Electricity

city $95 $96
prod/US$ cons./$PPP
produc (95) (96)
tion
India 7.78% 5.84% 4.08 1.84% 1.59%

%
1.77
Pakistan 7.39% 4.59% 2.70% 2.47%
%
2.70
Bangladesh 7.90% 4.44% 3.34% 5.48%
%
Malaysia 12.38 8.57% 5.64 3.53% 4.46%

% %
Sri Lanka 6.53% 4.75% 3.42 1.68% 1.35%

%
2.61
Nepal 8.10% 5.02% 2.92% 3.28%
%
Singapore 8.34% 8.81% 6.71 -0.44% -0.44%

%
China 8.52% 9.67% 5.91 -1.03% 0.42%

%
1.86
US 3.07% 2.91% 0.16% -0.03%
%
EU15 1.91% 2.10% -0.19%
186
Table 2 Nigeria‟s conventional energy resources

Source: Chendo, 2001 Resourced: Ikuponisi, 2004
187
Table 3 Nigeria‟s Non-conventional Energy Resources

Source: Chendo, 2001 Resourced: Ikuponisi, 2004
However, the country‘s overdependence on fossil fuels as its primary source

of generating energy proved not to be only highly depleting over the years but is
also bemoaned with the twin setbacks of perennial inefficient monopolistic FGN1-
sponsoring and severe environmental degradation through GHG§§§§ emissions and
gas flaring in very infamous cases with a resultant poor energy output. This severe
environmental degradation according to Adenuga, Kanayo and Friday (2003),
appears to be threatening the long-term development prospects of countries all
over the world, particularly the developing ones such as Nigeria while
Malumfashi (2007) says that, apart from being wastage of valuable resources, the
practice of gas flaring runs contrary to Nigeria‘s obligations to reduce GHG
emissions under, inter alia, the 1992 United Nations Framework Convention on
Climate Change and the 1997 Kyoto Protocol. On the other hand, Ikuponisi
1. Federal Government of Nigeria

2. Green House Gas
188
(2004) holds that the reserve/production ratio or the depletion time of Nigeria‘s
crude oil if there is no further efforts to increase the reserve and if the production
still remains at the expected 1989 level, may be within the next 25-30 years.
The present energy situation in Nigeria is that generating plant availability is
low and the demand – supply gap is crippling. Poor services have forced most
industrial customers to install their own power generators, at high costs to
themselves and the Nigerian economy. Access to electricity services is low in
Nigeria. About 60 percent of the population – approximately 80 million people
are not served with electricity. Per capita consumption of electricity is
approximately 100kWh against 4500kWh, 1934 kWh and 1379 kWh in South
Africa, Brazil and China, respectively (ICEED, 2006). Under a business-as-usual
scenario, the proportion of Nigerians without access to electricity services will
continue to increase over time.
In the wake of these developments, it becomes practical for this study not to
delve into establishing a critique for branding the conventional FGN-sponsored
energy sector as inefficient and unproductive as there is a large body of literatures
to this effect coupled with a previous paper produced by the authors on
Alternative Means of Energy Sector Investments in Nigeria. But in working
along the line from the recent USA and Nigerian Academy of Sciences
collaboration on the feasibility of science-based private-sector driven enterprises
for delivery of solar-power for basic needs including water and health to homes
and communities in Nigeria at affordable cost, we will hence focus on
government-encouraged policies that could engender privately-driven investments
in Small and Medium-scale Enterprises (SMEs) in Renewable Energy
Technologies (RETs) – solar energy in this case. This measure is seen as a
palliative to cushion the effect of a lingering energy crisis.
The objective of this paper is to apply SMEs as privately-driven investment
instruments in mitigating the widening effect of the energy demand-supply gap in
Nigeria with a view to incorporating solar energy in the decision-making process
of sustainable availability of energy resources. This would ultimately reverse the
tendency to treat the teeming population with the harsh economic reality of erratic
or unavailable energy supply. Following this introduction as section one, the
paper is further divided into five sections. Section two examines what constitutes
the energy sector in Nigeria and reviews theoretical background. Section three
discusses Nigeria‘s overdependence on fossil fuels which have led to
environmental degradation and high depletion rate in Nigeria with regards to
GHG emissions while section four suggests solutions for energy availability by
adopting SMEs in solar energy with expected outcome of economic improvement
and environmental sustainability. Section five, based on background knowledge
189
from section four, then presents a knowledge assessment report (curled from the
recent USA and Nigerian Academy of Sciences collaboration) on the feasibility of
science-based private-sector (PSP) driven enterprises by entrepreneurs for
delivery of solar-power for basic needs. The paper later ends with some
concluding remarks and outlook in section six.
The core of the paper is formed by a description of online research findings by
relevant literatures. Finally, the propositions that have been formed in the initial
stage of the research will be discussed in the context of programmes and
initiatives on productive uses of SMEs to generate energy investments for
improving on the current energy system.
2. PRESENT STATUS OF NIGERIA‟S ENERGY SECTOR

Nigeria is blessed with abundant primary energy resources enough to meet its
present and future development requirements. Just for the records, the country
possesses the world‘s sixth largest reserve of crude oil. It is increasingly an
important gas province with proven reserves of nearly 5000 billion cubic meters.
Coal and lignite reserves are estimated to be 2.7billion tons, while tar sand
reserves represent 31 billion barrels of oil equivalent. Identified hydroelectricity
sites have an estimated capacity of about 14,250MW. Nigeria has significant
biomass resources to meet both traditional and modern energy uses, including
electricity generation. The country is exposed to a high solar radiation level with
an annual average of 3.5 – 7.0kWh/m2/day. Wind resources in Nigeria are
however poor - moderate, and efforts are yet to be made to test their commercial
competitiveness.
These include reserves of crude oil and natural gas, coal, tar sands and renewable
energy resources such as hydro, fuelwood, solar, wind and biomass. It is a current
fact that Nigeria, like many mostly rural developing countries, is not able to
provide all its population affordable electric power and that, two-thirds of
Nigerians, around 100 million people, lack household electricity (Collwell and
Greene, 2008).
In 2004, Nigeria‘s energy consumption mix was dominated by oil (58
percent), followed by natural gas (34 percent) and hydroelectricity (8 percent)
(Country Analysis Briefs – Nigeria, 2007). Coal, nuclear and other renewable are
currently not part of the country‘s energy consumption mix. Between 1984 and
2004, the share of oil in Nigeria‘s energy mix has decreased from 77 percent to 58
percent. Natural gas consumption increased from 18 percent to 34 percent.
Hydroelectricity has seen a slight increase as well from 5 percent to 8 percent.
190
However, what really comes to mind when one talk about energy
infrastructure in Nigeria is the Electric power, Oil and Gas systems. Therefore,
energy will imply electric power henceforth in this paper. Electricity is a form of
energy, which enjoys considerable and diverse applications because of its
flexibility and ease of transmission and distribution. Availability of electricity
remains a major factor in the location of industries and a strong instrument of
social development. Its supply is however still inadequate in the country.
The Nigerian power sector operates well below its estimated capacity, with
power outages being a frequent occurrence. To compensate for the power outages,
the commercial and industrial sectors are increasingly using privately operated
diesel generators to supply electricity with both economic and environmental
disadvantages. In 2004, total installed electricity capacity was 5.9 gigawatts (GW)
i.e. 5900 megawatts (MW). Total electricity generation during 2004 was 19
billion kilowatthours (Bkwh), while total consumption was 18 Bkwh.
Commercial electricity is generated mainly from hydropower, steam plants
and gas turbines in Nigeria. The installed capacity for electricity generation,
which is 98% owned by the Federal Government, increased by a factor of 6 over
the period 1968 to 1991 and by 1991, stood at 5881.6 MW. No further addition to
generating capacity was experienced over the subsequent decade. Over the years,
the availability varied from about 27% to 60% of installed capacity, while
transmission and distribution losses accounted for about 28% of electricity
generated. Despite endemic blackouts, customers are billed for services not
rendered, partially explaining Nigeria's widespread vandalism, power theft and
Power Company Holding of Nigeria‘s (PHCN) problems with payment collection.
Generating plant availability is low and the demand – supply gap is crippling.
Poor services have forced most industrial customers to install their own power
generators, at high costs to themselves and the Nigerian economy with great
environmental risks. PHCN‘s business operations are inefficient. The system
suffers from chronic under-investment, poor maintenance, and un-recorded
connections and under- billing arising from a preponderance of un-metered
connections. The utility‘s financial performance, as well as its ability to serve
customers satisfactorily has been consistently poor.
Electricity offers neat, flexible and variety in usage to the end –use services
that it is widely recognized as an energy form that drives economic development
and improves the quality of life. Its long -term benefit outweighs the cost of
extending it even to the poorest population. In Nigeria, improving electricity
remains a regular feature of political campaign agenda along with such laudable
programmes as employment generation, qualitative education, affordable housing
191
etc. However actualization through adequate funding and proper management has
consistently proved elusive. There is no commitment to well articulated
programme to ensure reliability of electricity. The relevance of electricity is
recognized only during power failure. Even at that, there is always the temptation
to embark on ad-hoc measures and these tend to aggravate the situation.
The political class has not shown much understanding in respect of investment
in the electricity infrastructure, management, capacity building and staff
motivation. Consumer understanding and cooperation on electricity issues are rare
to come by and many of the consumers are increasingly vocal about their
dissatisfaction with the performance of the electricity sector, not minding the fact
that they also contribute to the poor performance through illegal connections,
system overloading and other sharp practices. We therefore seek to arouse the
interest off all stakeholders, various tiers of government, the political class,
private investors, leaders and followers of thought as well as the entire populace
to the reality of inherent weakness in electricity infrastructure, which is
responsible for poor electricity services presently experienced due to past neglect
of the industry. Challenged by the present weakness, it calls for urgent, aggressive
and sustained investment to ensure reliability of electricity services.
3. ADVERSE EFFECTS OF OVERDEPENDENCE ON FOSSIL FUELS

Nigeria‘s energy sector is characterized by two major sub-sectors –
Renewable and Non-renewable energy sources. The country‘s installed capacity
comes primarily from the non-renewable energy resources (see Fig. 1 below).
Since the late 1960s, the economy has been solely dependent on the
exploitation of oil to meet its development expenditures. In 2001, oil revenue
alone accounted for about 98.7% of exports and 76.5% of total government
revenues. Ikuponisi (2004) opines that ―The National energy supply is at present
almost entirely dependent on fossil fuels and firewood (conventional energy
sources) which are depleting fast.
192
Fig.1. Nigeria‘s over-dependence on non-

renewable fossil fuel (adapted from Animalu
(2007)
Diane Abbot in her article entitled "Think Jamaica is bad? Try Nigeria" was
quoted in Malumfashi (2008) to have said that:
"Nigeria's greatest blessing has been oil; but it has also been its greatest curse. It
is the sixth biggest oil producer in the world. Oil accounts for 95 % of exports by
value and 80 % of government revenue amounting to billions and billions of
pounds. But the discovery of oil has been an ecological disaster for the Niger
Delta (one of the most populous parts of the country) where the oil is extracted.
Shell and other Western Oil companies have, in collusion with successive military
dictatorships, raped the region. Petrol contamination of the water table has made
local water undrinkable. Farming and fishing grounds have been ruined and gas
flaring in the Delta is cited as Africa's single biggest contribution to greenhouse
gas emissions. It is symbolical of the brutally exploitative nature of the oil
industry in Nigeria that the natural gas by-product (which other oil producers like
Trinidad liquefies and market) is simply burnt in giant flares which cause
incalculable environmental damage.‖
Also, coal (though not suggested as a major alternative in this paper) which used
to be the country‘s mainstay of energy before the discovery of crude, even with
abundant unexplored reserve deposits, has continued to suffer unattended neglect
over the years (Nwasike, 2003; Ministry of Solid Minerals Development, 2006).
Similarly, areas which used to be a great source of income and job creation (both
193
internally and externally) like coal mining and agriculture have suffered in no
small way because of the advent of the ―resource curse‖ – crude oil.
Consequently, overdependence on crude oil over the years has led the country to
focus primarily on it for its energy resources at the disadvantage of other relevant,
abundant and sustainable energy sources without any observed improvement in
energy utility. Other effects like corruption, dearth of local industries, loss of
livelihood, environmental pollution and more recently, militancy in the Niger
Deltas could all be visibly traced to the unwholesome habit of over depending on
oil as our major source of income.
If the Nigeria could shed off a good percentage of its dependence on fossil fuels
maybe other reliable and competitive energy sources will become visible as we
proffer in the next section of this paper.
4. SOLUTIONS FOR ENERGY AVAILABILITY
4.1 Need for Reforms

In Electricity Reforms, the first step involves passing an Electricity Law to allow
private investment, then establishing regulatory agencies to set tariffs, unbundling
the natural monopoly transmission and distribution businesses, and in some cases
privatising distribution companies and some generation assets. The typical form
of private participation has been by Independent Power Producers (IPPs) signing
long-term Power Purchase Agreements (PPAs) with the Single Buyer (normally
the incumbent power company).
The results of these reforms could be disappointing due to currency crises – for
instance the recent global economic recession – undermining the ability of the
Single Buyer to honour the PPAs, which were often largely denominated in
foreign currency. More generally, the tariffs needed to finance foreign direct
investment (given the perceived level of risk and the short term of most debt
finance) has led to high initial charges for electricity purchased from these IPPs.
The mismatch between the cost of these new PPAs, the average cost of existing
generation (with tariffs based on written down asset values and often under-priced
fuel), the lower average tariff of retail electricity, and the even lower average
revenue per unit generated, places the incumbent power company or its
counterparts under increasing financial stress.
194
At the beginning of July 2006, the take-off of 18 new successor companies from
the monopoly of PHCN (formerly NEPA*****) commenced a winding down aimed
at ensuring that Nigeria has efficient, safe, affordable and cost-effective electricity
industry that will not only provide continuous electricity supply to consumers in
all geographical areas in Nigeria but will also support a more robust economic
growth in the country.
These objectives were hoped to be met largely through the implementation of the
following processes:
a. Vertical separation of NEPA into generating, transmission and/or dispatch
and distribution.
b. Establishment of a transmission company (TransysCo).
c. Horizontal unbundling of each of the functional segments into a number of
competing, successor companies (NBUs†††††) as follows:
d. 6 Generating Companies (GenCos).
e. 11 Distribution Companies (DisCos).
f. The creation of a Special Purpose Entity to act as a financial vehicle to
take over NEPA legacy debts and stranded costs.
g. The establishment of a regulatory agency that will be called Nigerian
Electricity Regulatory Commission to oversee and monitor the activities
of the NBUs.
h. Creation and operation of a wholesale electricity market in Nigeria.
i. A Rural Electrification Agency to expand access to electricity to the rural
areas.
j. A Power Consumer Assistance Fund to subsidize the tariff for
underprivileged consumers.
k. Privatization of the newly established generation and distribution
companies as separate entities.
l. Management Contract for the Transmission Company.
The next section of this paper is buoyed in the light of the above-stated
implementation programmes for meeting the objectives of the electric power
sector reforms.
***** National Electric Power Authority

††††† Natioanl Business Units
195
4.2 Facts and Fears for SMEs
The only way to reduce poverty in a sustainable way is to promote economic

growth, through wealth and employment creation. In developing countries, SMEs
are the major source of income, a breeding ground for entrepreneurs and a
provider of employment.
-UNIDO, WSIS Report, February 2003
The fundamental issue in SME Development in Nigeria is the lack of total
commitment by government at all levels to developing the sector (Abugu, 2007).
It is very important to draw attention to this problem because of the thick cloud
surrounding the role of government in Enterprise Promotion in this country.
SMEs are important because on average, they comprise a great percent of the
economy. As of July 2006, close to 140 million SMEs in 130 countries employed
65 percent of the total labour force (World Bank, 2006). Moreover, SMEs are
attributed to be the driver of economic growth and innovation (Vadim, 2008). The
total number of SMEs in the economy depends on the rate of SME creation and
rate of SME destruction. Profitable market opportunities increase the rate of SME
creation. This increases the total number of SMEs in the country, which increases
job creation and income per capita. As people become wealthier, they will
increase their consumption, which in turn will open up new market opportunities
that will entice the creation of more SMEs.
Contrary to multinational corporations, the growth of SMEs directly benefits
the country because most SMEs are domestic firms. This reinforcing dynamic
generates economic growth. The reinforcing loop of innovation also drives
economic growth. As the number of SMEs increases, their knowledge of their
product and industry increases. Their knowledge allows them to innovate on the
product or process, which helps them form a competitive advantage to generate
more profits. Again, market opportunity as captured by the profitability of SMEs
will encourage more people to establish their own SMEs to capture the
opportunity. And the establishments of market zones enhance product availability
and affordability.
In addition, the development of SMEs can also help to achieve other
development goals. SMEs can either provide goods and services in areas critical
196
to development, such as health and education, or provide a source of income to

disadvantaged people. For example, efforts to develop women entrepreneurs help
increase gender equality by providing women with a source of income. In this
research paper, we also view the possibility of speedily bridging the existing
energy demand-supply gap at the point of proactive implementation of SMEs in
energy.
However, some fears exist that once the investment is sunk, it will not be
allowed to earn a remunerative return due to unfavourable government and
market policies such as credit schemes, interest rates and regulatory agencies. The
electricity sector is particularly problematic as private investors supply an
essential service directly to a large fraction of the voting population in
competition with under-priced supply from the state-owned sector. As prices will
have to rise to ensure that the investments are remunerative, the price rise will be
associated with the reforms that brought in private investors, and will be doubly
resisted on that account.
Also, many of the current beneficiaries of opaque accounting, cross-subsidies,
patronage in the appointment of regulators and senior management, etc., will have
an interest in preserving the status quo, including the low prices that deter
efficient commercial competition. The fact that external bodies such as the World
Bank are pressing for such reforms provides additional reasons for populist
resistance, for the price rises that are needed to ensure investment adequacy yield
current pain while the future benefit of improved quality of service may be some
way in the future, and beyond the politician‘s invariably short time horizon.
But understanding of the factors and underlying mechanisms that
influence the establishment and growth of small enterprises in energy could
alienate these fears. Also, research is needed to understand the linkages
between energy services and productive uses. Identifying factors that can
play a role in shaping these linkages can be a first step. Because these factors
can be expected to differ depending on the entrepreneurs themselves, the
energy supply characteristics, economic circumstances and other forces, is a
necessary second step to understand the mechanisms at play.
4.3. SMEs and RE: A Viable, Sustainable Alternative
With the exception of the upstream oil and gas sub-sectors, and to a smaller
extent the electricity sub-sector, government has been largely responsible for the
ownership and operation of the energy sector industries. In particular, investment
197
capital had been sourced from public funds, while the industries had relied on the
sense of public interest, within management, as the motivation for responsible and
transparent management of the industries.
The funds required for the maintenance and refurbishment of the energy
supply infrastructure, and for the expansion of capacity, are enormous. In the face
of increasing demands on government for investments in other areas of the
economy such as transport, health, education and security, government has been
unable to provide the funds needed by the energy sector. Efficient and transparent
management of the industries had also not been achieved. Consequently,
established facilities had progressively deteriorated while new capacity had not
been added, inspite of increasing demand. Furthermore, the funding and
management deficiencies had given rise to inadequate and unreliable supply,
especially of electricity and petroleum products, insecurity of the energy supply
system and loss of productivity the economy.
We strongly believe that increased private sector participation through the
establishment of SMEs in the energy sector will attract new investments to the
sector, while the profit motive will assist in solving much of the management
problems experienced under public ownership. The restructuring of the sector,
required to bring this about, which involves both deregulation and privatization
has already been achieved.
As a novel model, this paper, second only to the knowledge assessment report
emphasized in section 5, fronts the greater proportion of private investment funds
required by the sector to be indigenous capital that could come through the setting
up of SMEs for energy generation. But as it has been highlighted previously, this
SMEs may find it difficult catering for capital-intensive energy investments in
conventional energy resources, and so, the unexplored renewable energy (RE)
sector fits in as a viable alternative. Thus, the environment must be made
conducive to attract these types of investments to the sector.
Since RE ensures sustainable and environmentally friendly energy practices, it
is important to introduce its meaning at this point with respect to how it can be the
focus of SMEs in energy systems. But before that is done, the principle of energy
sustainability is explained by Wikipedia (2009) and IAEA (2005) as the provision
of energy such that it meets the needs of the present without compromising the
ability of future generations to meet their needs. A broader interpretation may
allow inclusion of fossil fuels and nuclear fission as transitional sources while
technology develops, as long as new sources are developed for future generations
to use. A narrower interpretation includes only energy sources which are not
expected to be depleted in a time frame relevant to the human race – in this case –
198
all renewable sources, such as biofuels, solar power, wind power, wave power,
geothermal power and tidal power. However, Mandil (2008) points out that
moving towards energy sustainability will require changes not only in the way
energy is supplied, but in the way it is used, and reducing the amount of energy
required to deliver various goods or services is essential.
―Renewable electricity‖ refers to electric power obtained from energy sources
whose utilization does not result in the depletion of the earth‘s resources (ICEED,
2006). Renewable electricity also includes energy sources and technologies that
have minimal environmental impacts, such as less intrusive hydro and certain
biomass combustion. These sources of electricity as earlier pointed, normally will
include solar energy, wind, biomass co-generation and gasification, hydro,
geothermal, tide, wave and hydrogen energy.
On the other hand, it is good to establish the fact that renewable energy has
been largely exploited through traditional firewood over the years but at a
disadvantage to the environment. Outside this, every other form of RE sources
supports sustainability.
Broadly speaking, renewable energy is derived from non-fossil and non-
nuclear sources in ways that can be replenished, are sustainable, and have no
harmful side effects. The ability of an energy source to be renewed also implies
that its harvesting, conversion and use occur in a sustainable manner, i.e. avoiding
negative impacts on the viability and rights of local communities and natural
ecosystems
Apparently, increased power generation from conventional sources and grid
extensions alone will not achieve electricity access expansion targets rapidly and
cost-effectively in a developing country like Nigeria. Accelerating rural
electrification coverage will require an aggressive deployment of multiple supply
options and business delivery systems e.g. SMEs. In line with the provisions of
the EPSR‡‡‡‡‡ Act, the Federal Government in seeking to meet national electricity
access targets through the following strategies according to ICEED (2006) could
be exploited for proactive small-scale investment strategies:
 Grid-based extension for proximate areas;
 Independent mini-grids for remote areas with concentrated loads where
grid service is not economic or will take many years to come; and
 Standalone renewable electricity systems for remote areas with scattered
small loads.
‡‡‡‡‡ Electric Power Sector Reform

199
Non-conventional or renewable energy is a key element in the overall strategy

of the Federal Government in rapidly expanding access to electricity services in
the country. Beyond large hydropower, the current total contribution of renewable
energy in Nigeria‘s electricity industry is about 35MW composed of 30MW small
hydropower and 5MW solar PV. This represents about 0.6% of total nominal
electricity generating capacity in the country.
While most renewable energy projects and production is large-scale,
renewable technologies are also suited to small off-grid applications, sometimes
in rural and remote areas, where energy is often crucial in human development – a
critical factor this paper employs in recommending it for SMEs application; the
focus being on solar power investments.
5. EFFICIENT AND AVAILABLE ENERGY DELIVERY BY MEANS OF

SOLAR SMES
To set the stage for appreciating the basic issues, let us state the obvious fact
that the well-known example of a failed science-based enterprise in Nigeria is
the defunct NEPA which, until its scrapping was nicknamed, ―Never Expect
Power Always‖. There are other examples which we do not intend to name,
because though the enterprises may be dead they have not yet been buried. Our
objective is to make the case and set the stage for a new methodology for
creating science-based enterprises in Nigeria for meeting the MDGs; whose
achievement is critical on access to energy services (Modi, McDade, Lallement,
and Saghir, 2006).
5.1. Historical Perspective

In 1957 when the former Soviet Union launched an artificial satellite
(―sputnik‖) into orbit round the Earth, the USA, leading the Western
democracies, responded by launching a mission-oriented space research
programme whose target was to land man on the moon and bring him safely
back to Earth. It required the visionary leadership of President John F. Kennedy to
set the target and the political stability, economic strength, scientific
knowledge and technological know-how of the American people to meet the
target in 1968 when American astronauts landed on the moon and returned
safely back to Earth. Astronaut Amstrong called it ―a leap for man, a giant leap
for mankind‖.
200
Nearer home, in 1962, the French exploded a nuclear bomb in the Sahara
Desert, thereby challenging the whole African continent. While the Nigerian
Government accepted the French assurance that it was safe, the Ghanaian
President Kwame Nkrumah, reacted by setting up the Ghanaian Atomic Energy
Commission and directing Ghanaian scientists to learn everything about the
French atomic blast and advise him accordingly. Today, despite its traumatic
problems, Ghana‘s Atomic Energy Commission is the clearing house for
nuclear science and technology in the West African sub-region.
In 1963 a disagreement in the Far East between the two socialist giants,
USSR & People‘s Republic of China, resulted in a sudden withdrawal of all
Soviet scientists and technicians from China. The Chinese Premier, Chairman
Mao Tse-Tung, picked up the challenge and in the following year, just before the
1964 Peking Symposium on Science, China displayed the progress made by its
scientists in science and technology by exploding the atomic bomb and
drawing up a Blue Print for the Development of Science. While one of the
authors was visiting China some years back, the China Daily of Thursday
December 9, 1999 carried a front-page picture of the Chinese President Jiang
Zemin shaking hands with the scientist, Qian Xuesen, a world-famous expert
on rockets and aerodynamics, in gratitude for his work towards China‘s
development of science and technology, especially the explosion of its first atom
bomb in1964, the launching of its first man-made satellite in 1970, and the
firing of its first transcontinental ballistic missile towards the Pacific in 1980.
In 1973, the Arab-Israeli War forced the Arabs to place an embargo on oil
supply to the Western World for supporting Israel. In response to the resulting
world-wide ―energy crisis‖, the USA directed its scientists and technologists
to embark on comprehensive energy development programme.
This brought to the market among other things the solar cell which was
invented during the space race of 1950s. As a token of one of the one of the
author‘s participation in Nixon‘s ―Project Independence‖ in Energy at Lincoln
Laboratory of Massachusetts Institute of Technology, USA, he could still boast of
having in his possession the solar cell device that he brought back to Nigeria
32 years ago. It was one of the features of the exhibitions of the Solar
Energy Society of Nigeria (founded 1980) in an attempt to create Nigerian
awareness and interest in solar energy.
201
5.2. Nigeria’s Experience with the “Energy Crisis”

What was Nigeria‘s response to the ―energy crisis‖? It began on August 2-4,
1978, when the National Policy Development Centre (―THINK TANK‖) at the
Supreme Headquarters, Lagos organized an Energy Policy Conference at Jos,
capital of Plateau State. The result was Decree No. 62 of 1979 establishing the
Energy Commission of Nigeria which was signed into law by the Head of the
Federal Military Government at the time, and later the Civilian President
Olusegun Obasanjo. The Decree was one of the hand-over notes to the
succeeding Shehu Shagari Administration that took over the reigns of
government in 1979. However, it was not until 1988 that the Energy
Commission came into existence following the amendment of Decree No. 62 of
1979 by Decree No. 32 of 1988 and Decree No. 19 of 1989. This means that the
Energy Commission of Nigeria has been in place for just over 20 years despite the
fact that its vision was reasonably well articulated over 30 years ago.
On a positive note, on Tuesday, March 10, 1981, during the term of office of
the Shagari Administration, three Professors of Physics representing three of
the nation‘s older Universities (Ahmadu Bello University, Obafemi Awolowo
University (then University of Ife), and University of Nigeria, Nsukka) and
the Honourable Minister for the newly created Federal Ministry of Science
and Technology were invited to appear before the National Assembly
(Senate) Committee on Science and Technology. The Committee, under the
Chairmanship of distinguished (now late) Senator (Engr.) Garba Matta
(Panshin, Plateau State), wanted to ascertain from the practitioners in the field,
what progress had been made, vis-à-vis Mr. President‘s declaration while on tour
of USA that ―Nigeria was going nuclear‖. The highlight of the hearing was the
insertion of N15 million take-off grants in the budget of the Presidency for
―National Energy Research Projects‖. Eventually, only N10 million was released
and shared equally between the three Centres at ABU§§§§§, OAU2 and UNN3
while a matching grant was later made to Othman Dan Fodio University,
Sokoto, for the solar energy research centre there. The existence of these
Centres is our record of success. However, the question agitating many minds is
whether the Energy Commission supervising the National Energy Centres have
what it takes to nurture science-based enterprises in the energy field,
especially solar and renewable energy, in the same way that the NCC4 nurtured
the mobile phone revolution.
1. Ahmadu Bello University

2. Obafemi Awolowo University
3. University of Nigeria, Nsukka
4. Nigeria Communications Commission
202
It seems to us that, in this country, all failures are blamed on the

leadership, without looking at the structure of the organization in which the
leadership is expected to perform. For this reason, during the 1999 visit to the
Chinese Academy of Science Secretariat at Beijing, China, one of the authors
posed a question to his Chinese hosts: how are the State Ministry of Science
and Technology and the Academy of Science of the People‘s Republic of
China organized for industrialization? An answer which was deduced from a
careful study of the brochures of the two institutions was that, by and
large, the organization of science and technology policies and activities
followed strategic planning perspective consisting of three levels, namely (1)
aims & objectives-level, (2) roles & responsibilities-level and (3) implementation
activities & targets-level. The author subsequently discussed all this in a book
entitled Education, Science and Technology Agenda for Nigeria in the
21st Century, (Nigerian Academy of Science, ISBN-978-2162-16-7, 2000).
That aside, it would appear an answer lies in knowledge assessment methodology
which is described next.
5.3. The Knowledge Assessment Methodology

The prospect for promotion of business and industrial activities in solar-
PV power systems and products is now much brighter than it was three decades
ago when the Nigerian Academy of Science was founded (1977) and the
Solar Energy Society of Nigeria was inaugurated (1980). However, in order
to overcome the difficulty lying in the shadowy landscape linking scientific and
technological development to national security, political stability and economic
strength which stalled our efforts throughout the 20th Century, the authors wish
to simply reproduce the recommendation of the joint Nigerian Academy of
Science and USA National Academy of Science Knowledge Assessment
project titled, Mobilizing Science-Based Enterprises for Energy, Water, and
Medicines in Nigeria presented by the project chairman, Michael Greene,
and Rita R. Colwell of USA National Academy of Sciences as an ―editorial‖
in Science Vol. 319, 25 January 2008 (www.sciencemag.org) under the title,
SOLUTIONS FOR NIGERIA:
―Nigeria, like many mostly rural developing countries, is not able to
provide all its population with basic services such as safe potable piped water
and affordable electric power. The economics of extending the electric grid and
water distribution network into the countryside are daunting, and the
people who lack electricity, safe water, and effective medicines are usually
poor and clustered within extremely dense urban communities or live in highly
203
dispersed rural communities with limited infrastructure. Two-thirds of Nigerians,

around 100 million people, lack household electricity, and about as many do not
have safe drinking water. Nigeria also has the world‘s largest burden of people
suffering from infectious diseases, mostly malaria, without effective treatment.
―Yet there are solutions. In Karnataka, India, the Solar Electric Light
Company (SELCO) sells, installs, and services solar home lighting systems
to tens of thousands of poor villagers—at a profit… These are sustainable
solutions in the sense that they do not depend on donor funds or ongoing financial
support from a government, because the profit comes from sales to consumers
alone. Can the private sector of a country such as Nigeria be mobilized to
provide basic services to the population that the government cannot
afford—at a profit? Many companies have developed business models that,
incorporated into a new approach to sustainability, can meet the needs of
marginal populations for electricity, safe water, and medicines, while
providing new sources of jobs and income. Their models include robust, but
not necessarily low-tech, products, customer training, microcredit, service
contracts, and franchising opportunities. As limiting as the conditions in Nigeria
seem to be, the great advantage to a company is the country‘s huge
number of potential clients. In India and other countries with large numbers of
poor people, companies aiming at the customer base at the wide bottom of the
economic pyramid have produced new, innovative products and services at
substantial profit to themselves as well as benefits to their customers. The
market in Nigeria for electric power, safe water, and effective malaria therapy
exceeds the total populations of all but a handful of countries.
―Mobilizing Science-Based Enterprises for Energy, Water, and Medicines
in Nigeria, a recent study issued by the U.S. National Academies and the
Nigerian Academy of Science, addresses the potential for a sustainable approach
to supplying these basic services to Nigeria‘s poor by encouraging private
companies to become involved. This study revolved around the findings of three
workshops that joined successful entrepreneurs from other countries,
including executives of SELCO, WaterHealth, and Potters for Peace, with
Nigerian business leaders and scientists. They prepared business models,
including cost estimates, adapted to the Nigerian market for companies to
manufacture, sell, and install solar photovoltaic units and water filtration
systems for the rural and urban poor, and… The study concludes that
businesses providing small-scale photovoltaic systems… could operate profitably
in Nigeria and in other countries of the region. But adoption of this approach
may require government incentives, educational campaigns, and a
corresponding shift in strategy by donor organizations and bilateral aid
204
agencies. International aid programs may have to be reconfigured so that

they resemble venture capital companies with a diverse portfolio of
investments (taking into account that startup companies may not always
succeed) rather than discrete, one-of-a kind grants‖.
In taking a look at the actual report assessment, the focus of the Committee on
Creation of Science-Based Industries in Developing Countries Development,
Security, and Cooperation Policy and Global Affairs (2007) on solar photovoltaic
systems suitable for rural households, these systems usually consist of several
components (see Fig. 2). They include a PV module containing the silicon cells to
be mounted on the roof or another sunny spot, a battery for storing electrical
energy for use at night, a charge controller, wires and structural frames, and
outlets for lights and other appliances. Such a system can operate several
fluorescent lamps (often 4), a radio or television, perhaps a fan.
The system normally operates on 12 volts, direct current. Long lasting, deep-
cycle batteries, which can discharge 80% of their charge during extended overcast
weather, are best, but automobile batteries commonly available in Nigeria, also
could be used. The charge controller prevents damage to the system in the event
of overcharging by the solar module or prolonged battery discharge from overuse.
Other requirements are installation, are periodic battery replacement (once every
five years for a deep-cycle battery), and user training; they are often part of a
service contract for maintenance.
The cost of a 40-peak watt system is about $350-$500 worldwide, depending
largely on the input duties on solar panel, but this cost is beyond the reach of most
Nigerians. Further complicating the situation, kerosene, widely used for cooking
and lighting, was raised to 650 naira or $4.60 for 4 litres since 2006. Before then,
it was sold for only $0.78 for 4 litres in 2003. The alternative for many families
became firewood, and so Nigeria‘s forests were put at greater risk by the
government‘s increase in the price of kerosene. Therefore, they concluded that
that price will be a key indicator of the willingness of people to pay for solar
electric systems for their homes. They further considered a hypothetical enterprise
that will be directly charged with the production, sales and installation of solar
systems in Nigeria noting that a 40-watt system could be produced and sold for
about 75,000-80,000 naira. The opportunities for Small and Medium Enterprises
(SMEs) in production, sales and installation were also critically emphasized. The
challenge of initial capital for the SMEs, the Committee suggested, could come
from bank loans and government incentives.
205
Fig. 2: Block diagram of small-scale

photovoltaic system
6. CONCLUSION
As a final point, underground plans are underway by the International
Centre for Basic Research (ICBR) – a research institute co-founded and presently
being operated by one of the authors – in line with the subject-matter, to
implement solar power SMEs under the private-public-partnership (PPP)
paradigm now in vogue. The ICBR, as the corporate driver of an Institute for
Energy, Environment and Health (based in the Department of Physics and
Astronomy of University of Nigeria, Nsukka) hopes to go into specific
modalities for setting up a ―Solar Energy R&D ****** Company of Nigeria‖
as a vehicle for campaigning the delivery of solar power for basic needs
including water and health to homes and communities in Nigeria at affordable
cost. The range of efficiency of commercial PV modules or solar panels is
currently 10-15%, which means that, given standard solar radiation of 1000
Watts (1 kW) per square meter, it is technically feasible to derive 100-150
Watts per square meter of useful power. The Energy Commission of Nigeria, as
the Implementing Agency for the UNESCO††††††–World Solar Programme, has
established many pilot PV plants in the country, including a 7.2 kWp
electrification plant at Kwalkwalawa Village, Sokoto State, a 1.87 kWp
electrification and communication plant at Iheakpu-Awka, Enugu State, a 1.5
1. Research and Development

2. United Nations Education and Scientific Children Organisation
206
kWp water pumping facility at Nangere Village, Yobe State and many others. The
challenge now is to pass the technological know-how over to Small and
Medium-Scale Enterprises (SMEs) and individual entrepreneurs for further
innovation leading to marketable products. To this end, acquiring a module at the
cost of N1000.00 per peak Watt from a local vendor for powering security light in
the village is still very expensive.
It is high time the battle of control on who gets the highest share from the
national cake syndrome stops and useful energy re-channeled to bettering noble
research and technology in renewable and sustainable energy resources.
Our ultimate hope is that Small and Medium-Scale Enterprises (SMEs) can
be empowered to build their manufacturing capacity, attract foreign
investment, as well as export manufactured solar-PV goods to the
ECOWAS‡‡‡‡‡‡ market. The reality of ―these‖ is only constrained by time, but not
chance.
REFERENCES
Abugu, I. (2007) ―SMEs: Issues, Challenges and Prospects (NASME
Presentation)‖, International Conference on Financial System Strategy
(FSS) 2020 organized by Central Bank of Nigeria at Transcorp Hilton
Hotel, Abuja. 18th-20th June, 2007
Adenuga, A. O. Kanayo O. and Friday K. O. (1999) ―Sustainability of the
Environment and Water Pollution in Nigeria: Problems, Management and
Policy Options‖ USAID-Nigeria REFORMS Project.
Annemarije, K. D. ―Energy choices in SME‘s in rural areas (Technology and
Sustainable Development)‖, University of Twente, the Netherlands Paper
prepared for UNDP expert meeting on Productive Uses of Renewable
Energy, Bangkok, 9-11 May 2005.
Chendo, M. A. C. (2001) ―Non-Conventional Energy Source: Development,
Diffusion and Impact on Human Development Index in Nigeria‖. N.
Journal of Renewable Energy Vol. 9, Nos. 1&2, pp. 91 -102.
Colwell, R. R. and Greene, M. (2008) ―Solutions for Nigeria USA National
Academy of Sciences as an ―editorial‖ in Science Vol. 319, 25 January
2008 (www.sciencemag.org)
‡‡‡‡‡‡ Economic Community of West African States

207
Country Analysis Briefs – Nigeria (April 2007) www.eia.doe.gov

IAEA (2005) Energy indicators for sustainable development: guidelines and
methodologies — Vienna: International Atomic Energy Agency, 2005.
http://www-pub.iaea.org/MTCD/publications/PDF/Pub1222_web.pdf
ICEED 2006 ―Renewable Electricity Policy Guidelines‖, Federal Ministry of
Power and Steel, Garki-Abuja, December 2006. www.iceednigeria.org
Ikuponisi, F. S. ―Status of Renewable Energy in Nigeria‖, One Sky/Energetic
Solutions Conference 2004
Iloeje, O. C. ―Issues in the Regulation of Renewable Energy Based Power
Supply‖, NCERD Conference 2007, UNN, Nigeria
Malumfashi, G. I. (2007) ―Phase-Out of Gas Flaring in Nigeria by 2008: The
Prospects of a Multi-Win Project (Review of the Regulatory,
Environmental and Socio-Economic Issues)‖, Centre for Energy,
Petroleum and Mineral Law and Policy (CEPMLP), University of Dundee,
Scotland, United Kingdom.
Mandil, C. (2008) ―Our energy for the future‖. S.A.P.I.EN.S.
Mats, K. (UN-ENERGY 2005) ―The Energy Challenge for Achieving the
Millennium Development Goals‖
http://esa.un.org/un-energy
Ministry of Solid Minerals Development (June 2006) ―Okaba Coal Concession
(Information Memorandum), Federal Republic of Nigeria
Modi, V., S. McDade, D. Lallement, and J. Saghir. (2006) ―Energy and the Millennium Development
Goals‖, New York: Energy Sector Management Assistance Programme, United Nations
Development Programme, UN Millennium Project, and World Bank.
National Energy Policy 2003, ―Energy Commission of Nigeria‖ (The Presidency),

April 2003. Federal Republic of Nigeria
Newbery, D. ―Power sector reform, private investment and regional co-operation
(SAFTA, June 2006)‖, Faculty of Economics, Cambridge
Nwasike, O. T., ―Opportunities and Challenges of an Integrated Energy Policy
for Nigeria – Perspective from a Competing Energy Product – Coal‖,
Chester Mead Associates, Port Harcourt, Nigeria. Presented at the SPE
Nigeria Council Annual Conference in Abuja in August 2003.
208
Okoro, O. I., Govender, P. and Chikuni, E., ―Power Sector Reforms in Nigeria:
Opportunities and Challenges‖, Proceeding for 10th International
Conference on the Domestic Use of Energy, Cape Town/South Africa, pp.
29-34, 2006.
UN-ENERGY 2007, ―Sustainable Bioenergy: A Framework for Decision Makers
(K. Mats),‖ April 2007.
http://www.bvsde.paho.org/bvsacd/cd47/kingcoal.pdf
Vadim, K. (2008) ―Small and Medium Enterprises and ICT (Vadim Kotelnikov)‖,
United Nations Development Programme – Asia-Pacific Development
Information Programme (UNDP-APDIP) and Asian and Pacific Training
Centre for Information and Communication Technology for Development
(APCICT) – 2007.
Wikipedia (2009) Sustainable energy - Wikipedia, the free encyclopedia.
World Bank (2006) ―International Financial Corporation Report: Micro, Small
and Medium Enterprises‖ 2006.
209
SOLAR PHOTOVOLTAIC POWER SYSTEM R&D INNOVATIONS§§§§§§
J.O. Inwelegbu1 and P.N. Okeke2

Centre for Basic Space Science, University of Nigeria, Nsukka.
1
www.cbss-online.com 2email:okekepius@yahoo.com
Abstract
Engineers at the Centre for Basic Space Science (CBSS) Nsukka, have succeeded
in designing and fabricating a battery backed, solar photovoltaic power system,
featuring push-pull topology, modified-wave power inverter system acting also as
an off-line uninterruptible power system (UPS).It powers electronic equipment, in
areas where the utility power system is absent or unreliable. The design employs a
locally made transformer and inexpensive electronic components obtainable from
scrapped electronic printed circuit boards, thereby making it affordable. This
approach has successfully yielded a reliable and affordable solar photovoltaic
power inverter, which can be mass produced to alleviate the problem of power
supply in the country. Effective efficiency of over 70% DC to AC energy
conversion has been obtained under resistive load calculations from the machine.
A test case installation of the system has successfully powered home electronic
appliances, scientific equipment and hospital life-saving machines without a
breakdown for two years. The inverter offers over 200% cut in running cost, when
compared to running the common Tiger-650VA petrol generator very popular in
Nigerian homes, over a one month period. This paper reviews PV technology and
describes the design, construction and testing of a solar photovoltaic power
inverter featuring an innovative and effective overload circuitry, battery monitor
circuit, and a battery charge controller unit built from scrapped printed circuit
boards.
Keywords: Solar Photovoltaic power inverter, Push-pull topology, modified sine-
wave inverter, charge controller, uninterruptible power system
§§§§§§ African Journal of Physics Vol. 2, pp,210- 232, (2009)

210
1.0 INTRODUCTION.
Although global fossil fuel resources have not yet been exhausted, the negative
social, health, and environmental impacts of our current unsustainable patterns of
energy use are apparent (Keeling et al , 1997). In the future, large-scale alternative
methods of producing the vast quantities of energy needed to sustain and enhance
our standard of living are necessary (Flavin C., French V, 2000). Fortunately,
advances in science and technology have provided us with several alternative
means of producing energy on a sustainable level, such as wind, geothermal,
biomass, and solar (Turner J.A, 1999).These are the Renewable Energy sources.
Most of the renewable energy sources depend on the sun as their primary source
[1]. Solar energy is all the energy that reaches the earth directly from the sun
through radiation, having traveled about, 150 million kilometers of empty space
(Awe et al, 1992). It is silent, inexhaustible and non-polluting. If harnessed, it can
cater for the global current and future energy needs.
1.1 Objectives and Motivation.
In recent years, many places in the world have been experiencing continued
shortage of electric power or energy crisis due to their fast increasing demand [1]-
[2]. To solve this problem, significant efforts of research and development have
been given in two areas: Firstly, to improve the efficiency of present power
conversion and utilization system. Secondly, to develop efficient renewable
energy generation and conversion systems to supplement conventional fossil-fuel
based energy supply and eventually replace it.
The solar power system has the potential to become one of the main renewable
energy sources due to the commercial availability of semiconductor-based
photovoltaic devices, reduction in the system cost and rapid development of
power electronic and conversion technologies using faster and more powerful
Isolated Gate Bipolar Transistors (IGBT) and power MOSFETs. One of the
important tasks is to make solar power generation and conversion system more
affordable, efficient and more reliable. This work is geared towards contributing
to improve power availability in Nigeria by designing a cheap and reliable solar
photovoltaic inverter, able to power basic household electronics offering easy
manufacturability.
1.2 Inverter technologies
Various topologies exist for Sine wave inverters. Such topologies include:
a) Inverter using CVT (Constant Voltage Transformers).
b) Inverters with 50 Hz Toroidal or silicon steel, EI transformers with a variation.
211
c) Inverter with High frequency isolated converter and separate secondary inverter
control bridge.
d) Inverter with more than one transformer configured in series or matrix
configuration.
e) Single switch step up converter
f) 3 to 8 stepped inverter
g) Quasi Sine inverter of various topologies
h) Controllable CVT inverters
i) PWM inverter
j) Utility interaction inverter
The above mentioned inverter topologies cover a wide range of inverters
manufactured today. Although ―new topologies‖ are developed and advertised
regularly, they will fit in with one of the above-mentioned topologies. Each
design topology has its advantage and disadvantages, which the design engineer
has to weigh prior to embarking on his design. Inverter literature contains the
topology, diagrammatic and circuit behavior of these topologies for selection by
the designer
2.0. LITERATURE SURVEY.
2.1 Photovoltaic Technology
‗Photovoltaic‘ is a marriage of two words: ‗photo‘, meaning light, and ‗voltaic‘,
meaning electricity. Photovoltaic (PV) technology is the technology that converts
sunlight directly into electricity, in complete absence of the machinery usually
associated with electricity generation. In its simplest form a photovoltaic device is
a solar-powered battery utilizing the sun that fuels it as the only consumable
source of energy. There are no moving parts; operation is environmentally benign.
The electricity is direct current and can be used that way, converted to alternating
current or stored for later use [3]. This phenomenon is called the photovoltaic
effect and was first observed in 1839 by the French scientist Becquerel (Hislop,
1992). Research was carried out over the years on host materials to increase
conversion efficiency. Selenium was reported by S. Bidwell, lead sulphide by E.
Adler, cuprous oxide by L. Bergman, P. Hallwachs, E.H. Kennard, L.O. Arnordal
and W. Schottky.
212
2.2. How much power is available from the sun?

The sun‘s energy reaches the Earth‘s outer atmosphere at power of 1,367 watts
per square meter, defined as AM0, or ―air mass zero.‖ Atmospheric losses due to
collision with molecules reduce the sun‘s power to about 1000 W/m2, when the
sun is directly overhead on a cloudless day [4]. The actual usable radiation
component varies depending on geographical location, cloud cover, hours of
sunlight each day, etc. In reality, the solar flux density (same as power density)
varies between 250 and 2500 kilowatt hours per metre squared per year
(kWhm 2 /year). As might be expected the total solar radiation is highest at the
equator, especially in sunny, desert areas. It is estimated that the amount of solar
energy falling on earth in three days is equal to the known fossil fuel reserve of
the world (Eastop, 2004).
2.3. Converting sunlight to electricity
A typical photovoltaic cell consists of semiconductor material (usually silicon)
having a pn junction as shown in Figure 1. Sunlight striking the cell raises the
energy level of electrons and frees them from their atomic shells. The electric
field at the pn junction drives the electrons into the n region while positive
charges are driven to the p region. A metal grid on the surface of the cell collects
the electrons, while a metal back-plate collects the positive charges [5].
Figure 1. How solar cells work.

The electricity production from a Photovoltaic module, Ppv, can be expressed as
follows:
.................................(1)
213
where, Pmax: Installed capacity [W]; Is: Solar radiation [W/m 2 ]; ISTC:
Radiation at standard conditions (1000 W/ m 2 ) [W/ m 2 ]; ¥s: Temperature
coefficient for efficiency [-]; Tcell: Operation cell temperature [°C]; TSTC: The
cell temperature at standard conditions (25°C) in [°C]
The operation cell temperature is calculated by the following formula (Antonio
Luque and Steven Hegedus, 2003):
.............................................(2)
where: Ta: Ambient temperature; NOCT: Nominal Operating Cell Temperature.
The power production at grid is calculated as:
Where  misc, is miscellaneous PV array losses and other power conditioning

losses.
The solar cell is the basic building block of a PV system. Although photovoltaic
cells come in a variety of forms, the most common structure is a semiconductor
material into which a large-area diode, or p-n junction, has been formed. Silicon
polycrystalline thin film, amorphous silicon and thin films of other materials are
used these days for their production (Nwokoye, 2006).The fabrication processes is
the traditional semiconductor approaches: diffusion, ion implantation and so on.
Electrical current is taken from the device through grid contacts. Solar cells are
interconnected in series and in parallel to achieve the desired operating voltage
and current to make PV modules, which in turn are combined to create PV panels,
which can be added together to create a PV array. They are then protected by
encapsulation between glasses and housed in an aluminum frame to form a
module [6]. These modules, usually comprise of about 30 or more PV cells, form
the basic building block of a solar array. Modules may be connected in series or
parallel to increase the voltage and current, and thus achieve the required solar
array characteristics that will match the load. Typical module size is 50Watts,
12Volts and produces direct current electricity to charge batteries for lighting
loads and to power inverters (Hislop, 1992).
214
2.4 Components Of A PV System

Photovoltaic systems are modular, and so their electrical power output can be
engineered for virtually any application, from low-powered consumer uses -
wristwatches, calculators and small battery chargers, to energy-significant
requirements such as generating power at the home or office. A typical PV system
home installation will comprise of the following system components:
PV modules, conduit, grounding circuit, fuses, safety disconnects, outlets, metal
structures for supporting Loads.
Balance of systems equipment (BOS).
Balance of systems equipment (BOS).
This includes the batteries, battery charge controllers, inverters (for loads
requiring alternating current), wires the modules, and any additional components
that are part of the PV system.
2.4.1. Batteries
In PV power systems, there is need to store the electric power for use when there
is no sun, so that power is available all the time. Rechargeable batteries are used
as a means of electrical energy storage. The storage battery like the solar panel is
a direct current (DC) producing machine. It converts chemical energy into
electrical energy. Batteries act as ‗buffers‘ between the solar array and the load,
supplying power to the load during periods of low sunlight, and accepting charge
from the array during periods of sunlight (Eastop et al, 2004). During the
discharge process, stored electrical energy is released from the battery, while the
energy is restored during the charging process. Solar panels are employed to
provide the required direct current (DC) voltage and current through a charge
controlling device, to efficiently charge the batteries. Batteries can be sub-divided
into the following types:
Primary cells or dry batteries which include (1) standard zinc-carbon and (2)
alkaline or heavy duty while Secondary cells or rechargeable batteries include (i)
Lead-acid (ii) vented lead-acid (iii) automotive (car) (iv) deep-discharge or
traction (v) stationary (vi) vented (vii) sealed batteries including deep cycle
battery for solar energy applications. Generally, Batteries should not be stored
where temperatures exceed 25°C. Deep cycle batteries were used in this design
since they can provide high AMO.
215
2.4.2. Battery chemistry

(i) Discharge
When a battery is placed in use (connected to an electrical load), the stored

chemical energy is released in the form of DC electrical energy. During the
process, the internal components of the battery cells undergo a chemical change.
The sulphuric acid (H 2 SO 4 ) combines with the lead peroxide (PbO 2 ) of the
positive plates, and the sponge lead (Pb) of the negative plates and transforms
them to lead sulfate (PbSO4), with the release of electrical energy. The reversible
reaction is shown as follows:
Pb + PbO 2 + 2 H 2 SO 4 ----- discharge
Charge ------- 2 PbSO 4 + 2 H 2 O (E cell = 2.0V) ……………..........(3)

The chemical reactions of discharge converts the active components in the battery
plates, that is the lead in the negative plate, lead peroxide in positive plate, and the
sulphuric acid into free electrons water and lead sulphate.
(ii) Charging
Batteries must be charged in such a manner that the sulphates are eliminated by
recombining with water to re-form into an acid (sulphuric acid in this case)
without loosing the hydrogen and oxygen gasses that make up the water. During
charging, the chemical energy in the battery is restored, thereby reversing the
discharge reaction. Especially toward the end of charging, at charging voltage of
2.35Volts per cell, hydrogen and oxygen gas are produced with loss of water by
the secondary reaction known as electrolysis of water [7]. Chemically, the
reaction is:
………(4)
2.5 PV system configurations
Four major types of system configurations exist for PV powered lighting systems.
These include the direct coupled system, standalone system, grid/utility-connected
system, and the hybrid system [8], [9]. Direct coupled systems do not require
batteries and inverters, while the other configurations do require batteries, charge
controllers and inverters. Standalone PV systems are designed to operate
216
independently from the grid and to provide all of the electricity needed for homes,
pathways and parking lots. A grid-tied PV system generates electricity from the
PV system as well as from the grid. When your PV system is producing
electricity, your home will be powered by solar electricity. At night or during off-
PV periods, electricity will be supplied from the grid. Any excess electricity
produced by the system during PV operation can be fed back to the grid. It may
also require batteries. Depending on the type of load (dc or ac), a power-
conditioning unit or an ac load control centre is needed in grid-connected systems
to mix the input power from PV panels and the input power from the grid.
Optionally, some grid-connected systems can feed power back to the grid when
the PV panels generate more energy than needed. Hybrid systems are more
expensive, but more reliable and combine a number of electricity production and
storage elements like wind turbines and generators to meet the energy demand.
Figure 2. Block diagram of the solar PV power system.

2.6 The Inverter Device
An Inverter is an electrical machine that converts Direct Current (DC) to
Alternating Current (AC) and at the same time stepping it to a desired voltage and
frequency. (Bedford and Hoft, 1964).The inversion process can be achieved with
the help of transformers, transistors BJT (Bipolar Junction Transistors),
MOSFETs (Metal Oxide Silicon Field Effect Transistors), the Insulated Gate
Bipolar Transistor (IGBT), Silicon Controlled Rectifiers (SCRs) and tunnel
diodes, etc as electronic switching devices [10]. For low and mediun outputs,
transistorized inverters are suitable but for high power outputs, SCR inverters are
essentials (Theraja, 2002). Inverter types can be categorized by output waveform,
switch type, switching technology and frequency . When connected to the grid,
the application name termed to this form of power converters is Uninterrupted
Power Supply (UPS). In order to go from a constant DC voltage to an AC the
input DC voltage source, the battery is put through an oscillating circuit which
creates the output AC. The resultant voltage output waveform of the inverter can
be a square-wave, modified sine-wave, pulsed sine-wave or pure sine-wave. The
major application of power inverters are in solar photovoltaic power systems and
217
emergency power supplies operated during mains power failures [10]. There are
four topologies of interest for the power stage of a single phase inverter, namely
the single ended; half bridge, full bridge and push pull topologies [11], as
depicted in figure 3.
Single ended topology Half-bridge topology
Full bridge topology Push-pull topology

Figure 3.Inverter topologies.
Some researchers spent efforts in developing PV inverter systems with grid

connection and active power filtering features using sensors to measure the load
current (Wu, 2005), (Kim, 1996), (Cheng, 1997) and (Kuo, 2001).
In this work, a thorough investigation was done on the state of current inverter
technologies. Due to the cost and complexity to design a sine-wave inverter, an
inverter producing simulated sine-wave AC output of 50/60Hz at 220Volts was
considered. This is adequate for rural application, where most critical and crucial
loads are resistive and capacitive loads; such as small compact fluorescent lights,
computers, notebooks, televisions, radios, VCR‘s etc. This work discusses the
design of a battery charge control device, low-battery cut off and an overload
circuitry; incorporated into a 1,500Watts solar photovoltaic inverter and UPS,
218
which was fabricated using electronic parts from scrapped printed circuit boards.
The 50Hz transformer inverter (push-pull) topology was used in this design.
(i) The 50Hz transformer inverter (push-pull) topology
Most power Inverters in the market are designed using this topology.
Figure 4. The 50Hz transformer inverter topology.
As shown in Figure 4, the principle is that an ―overrated‖ 1500Watts, 50Hz

transformer is used, which is made of EI, UI or Toroidal cores. All the control
and power switching is done on the primary side of the Transformer. A current
limit element i.e. inductor is placed in series with the output filter capacitor at the
secondary side to produce a modified AC sine-wave output voltage. Voltage
feedback to compensate for output voltage fluctuations are achieved using an
isolation transformer and electronic coupling, or direct, if isolation is not required.
The switching strategy is bi-polar Pulsed Width Modulation (PWM) and
frequency is 50/60Hz for EI-steel transformer laminations.
(ii) Advantages of 50Hz transformer inverter topology
• Only one energy conversion stage from DC (Battery) to AC.
• Relatively ―clean‖ quasi-sine-wave can be generated, with very simple and
limited control.
• Due to isolation and electronic simplicity with fewer switches, the
reliability is good.
219
3. 0. INVERTER DESIGN.
The inverter design presented in this paper is able to deliver 1500Watts of electric
power at 220V AC, 50/60Hz. It comprises mainly of six circuit sections and the
heat sink, namely : ( a) A Pulse Width Modulation (PWM)/Oscillator control
section ( b) MOS driver section ( c) Overload protection section ( d) low batery
cut-off section ( e) Charge controller section (f) Mains charger section (g) Mains
change-over section (h) Power section heat sink.
3.1 PWM control section
The first step in designing the DC to AC inverter was to determine a useful way
of switching at the desired output frequency, 60 Hz. It was determined that this
switching could be implemented using pulse width modulation, PWM. The
SG3524 IC, was chosen as the desired pulse width modulator. The SG3524
provides 2 outputs with variable dead time. A timing resistor, RT, and capacitor,
CT, control the frequency of the two outputs, A and B. RT and CT were chosen to
be 15 k and 1 µF, respectively. The variable dead time is essential for proper
functioning of the inverter. The dead time allows for a small period of time when
the output voltage is zero. A resistor, R d , controls dead time. R d was set at 100
 to provide 2.7 ms of dead time. The combination of these values for RT, CT,
and R d provided a switching period, T, of 17.1 ms. Frequency can be found using
Equation (5) below.
1
Frequency  …………………………………………….(5)
T
With a period of T = 17.1 ms, the frequency of operation is 58.47 Hz. This
frequency is very near that of the desired 60 Hz. Normal household appliances
powered by this design will not notice this variance from 60 Hz.
3.2 MOS driver section:
The next step was to choose properly rated MOSFETs that will act as switches.
Switching devices on the primary side of an inverter handles very high current.
Hence the robust IRFZ44N MOSFETs were used, with RDS on = 24 mOHM, DC
current =20A at 100 °C and pulsed rain current at 100 °C is 120A. Its maximum
power dissipation is 35Watts, so it was mounted on aluminum heat sinks. Four
MOSFETs, in a push-pull topology provide the simulated sine-wave output.
Multiple MOSFET switches were used in parallel to boost power handling
capacity. Gating signals produced by the pulse width modulator IC-SG3524,
controls the voltage applied to each MOSFET. The logic supply voltage needed
220
for the integrated circuits is 5Volts and 12olts respectively and is supplied by
LM7805 and LM7812 voltage regulators from the 24Volts battery source.
3.3 Overload protection section: In overload condition of the inverter output, an
―overload sensing voltage‖ is generated at the shunt connected at the MOSFET
source. Using operational amplifier circuits, this sensing voltage is converted into
a signal to glow an overload LED (Light Emitting Diode), sound a warning
buzzer and to shut down the PWM device and the inverter to avoid damage to any
component
.
3.4. Low battery voltage shutdown:
Batteries are high cost items in PV power systems. To prolong battery life, a low
battery voltage protection circuit was designed and incorporated. In permanent
PV installations the suggested low voltage cutout level is 11.4Volts for single
battery systems. The battery is then expected to recover up to at least 12.3Volts,
before the inverter will reconnect. This design is powered from 24V batteries
whose maximum voltage after full solar charge can reach 28Volts. We therefore
incorporated an electronic circuit that effectively shuts down the inverter when
battery discharges to about 22Volts to avoid damage to the MOSFETs and
associated circuitry.
3.5 Charge controller section

Since the brighter the sunlight, the more voltage the solar cells produce, the
excessive voltage could damage the batteries. A charge controller performs dual
function of maintaining the proper charging voltage on the batteries and during
low sunshine; it prevents the battery from discharging via the solar panel. The
charge regulatory function of a charge controller is governed by a 3 stage charge
cycle namely Bulk stage, Absorption stage and float stage [12],[13]. During the
Bulk phase, the voltage gradually rises to the Bulk level (usually 14.4 to 14.6
volts) while the batteries draw maximum current. When Bulk level voltage is
reached the absorption stage begins. During this phase the voltage is maintained
at Bulk voltage level for a specified time (usually an hour), while the current
gradually tapers off as the batteries charge up. After the absorption time passes
the charging enters the float stage. At this stage, the voltage is lowered to float
level (usually 13.4 to 13.7 volts) and the batteries draw a small maintenance
current until the next cycle.
221
Figure 5. 3 stage charge cycle.

The Charge Controller we designed functions using this 3 stage charging strategy.
It was installed between each Solar Panel array and the battery it charges. The
charge controller designed consists of four basic elements namely:
(i) a stable reference voltage
(ii) a voltage sampling element
(iii) a voltage comparator, and
(iv) a power dissipating control device.
The PWM charging strategy was used for the charge controller circuit we
designed. Pulse Width Modulation (PWM) is the most effective means to achieve
constant voltage battery charging by switching the solar system controller‘s power
devices. When in PWM regulation, the current from the solar array tapers
according to the battery‘s condition and recharging needs. Unique benefits
derived from the PWM pulsing technique include:
(i.) Ability to recover lost battery capacity and de-sulphate a battery.
(ii.) Dramatically increase the charge acceptance of the battery.
(iii.) Maintain high average battery capacities (90% to 95%).
(iv) Equalize drifting battery cells.
(v) Reduce battery heating and gassing.
(vi) Automatically adjust for battery aging.
(vii) Self-regulate for voltage drops and temperature effects in solar systems.
3.6 Mains change-over section:
The changeover section is used to:
(i) Switch on the inverter when the AC (mains/grid) supply switches off and to
switch off the inverter when the AC mains supply returns.
222
(ii) During the changeover, when the inverter receive AC mains supply, it stops
drawing power from the battery and the AC mains power is sent to the inverter
output socket.
3.7 Mains charger section
The Inverter system can also charge the batteries if it is connected to the AC
mains supply. When the inverter receives AC mains supply, inverter transformer
and MOSFET together work as a charger and charge the battery.
3.8 Power section heat sink
The heat sink is a vital component of the inverter. It serves to dissipate the heat
generated by electrical losses from the switching components and the transformer
to prevent their degradation or failure. The performance of the heat sink is crucial,
thus a material with high thermal conductivity characteristics must be employed
for the heat dissipation. Aluminum is commonly used. Aluminum was used in this
design and also a fan was attached to enhance the rate of heat dissipation from the
heat sink.
4.0 DESIGN CALCULATIONS

4.1.0. Battery selection
Battery Current output = 200A; Battery voltage = 24V DC (Input voltage)
The general function of the transformer in this inverter design is transformation of
alternating dc voltage pulses to alternating AC voltage pulses in step-up mode.
Transformer power output = 1.5KVA; Transformer voltage output = 220V (output
voltage).
From the transformer design parameters above, the primary current needed for the
required actual output is as follows:
Primary power (W) = secondary power (W)
V1 I1  V2 I 2 , 24VI 1  2000 VA , I 1 = 2000VA/24V = 83.3 Amps
The result show that the transformer secondary current should be at least 83.3A,
intended to power the full load rated at 1.5KVA for at least an hour; when there is
no mains or solar power. For an n hour operation, where n is the intended number
of hours,
223
Amphour  battery runtime  I

 2 hours  83.3 A
 166.66 Amp/hour (AH)  200 AH deep cycle battery is selected
4.2 Transformer turns ratio

In a power inverter system, the switching devices (transistors) supply current from
the dc source (battery) to the next stage. An output transformer is commonly used.
Switching the devices changes the voltage applied to the primary. The secondary
of the output transformer thus produces a voltage by electromagnetic induction,
with its magnitude being determined by the transformer turns ratio. For secondary
and primary turns, using the turn‘s ratio formular;
NP/NS = EP/ES (7)
Where NP = primary turns , NS= secondary turns, EP=primary voltage,
ES=secondary voltage
Calculations:
Primary voltage (EP)=24V; Secondary voltage (ES)=200V/220V; Primary turns
(NP)=30T; Secondary turns (NS)=?
4.2.1. Secondary turns (NS)
NP/NS=EP/ES; NS 1 = N P E S /E P = 30  200/24 = 250 Turns
NS 2 = N P E S /E P = 30  220/24 = 275 Turns
4.2.2. Primary turns (NP)

N S E P /E S = 275  24/200 = 33; but 275  24/220 = 27.2; then 33 – 27 = 6/2 = 3
Therefore, the maximum number of turns balance for primary side windings
proportional to the secondary windings of N S 1 and N S 2 becomes 27+ 3 = 30 turns.
4.3 Transformer efficiency calculation

A transformer is a static piece of apparatus with two or more windings (primary
and secondary) which, by electromagnetic induction, transforms a system of
alternating voltage and current into another system of voltage and current of same
values or of different values, and at the same frequency for the purpose of
transferring electrical power. Heat losses, electromagnetic induction losses, eddy
224
current losses and coil resistance losses reduce the efficiency of power
transformation.
Power input = IV = 83A  24Volts = 1992 Watts
Expected Power output = 1500Watts
Efficiency = Power output/power input  100/1 ………………………………(8)
1500/1992  100 = 75%.
4.4 Inverter Technical Specifications
Description/Heading Deduced Specification
Rated Capacity 1.5 KVA
Ambient operating temperature <= 45 C
Inverter Method PWM (pulse width modulated)

Inverter
Overload protection
Electronic/Fuse
AC Input Frequency 50/60Hz ± 5%

No of phases 1
Voltage 200V ± 5%
Power factor 0.98
AC output Waveform Simulated sine-wave
Overload Capacity 125% (2 min.), 150% (1min.)
Battery Backup time ≥ 10 hrs on half load

Battery type 12V X 2, 200AH Sealed deep
cycle
Input DC voltage range
20Volts – 28Volts DC
225
5.0. TESTING OF THE BATTERY CHARGE CONTROLLER
Charging Graph of 28/04/09

Time Voltage(Volts)
9.20 11.89 16.00

14.00
9.50 12.02
12.00
10.20 12.09 10.00
Time
8.00
10.50 12.22
6.00
11.20 12.33 4.00
2.00
11.50 12.79
0.00
11.5 12 12.5 13 13.5 14 14.5
12.20 12.99
Voltage (Volts)
12.50 13.02
13.20 13.10
13.50 13.18
14.20 13.56
14.50 13.97
15.20 14.02
Figure 6.Charge controller characteristics for 12V, 92AH deep-cycle battery.

We subjected the charge controller device developed to rigorous tests with a
SHARP - 85Watts solar panel having an open circuit voltage of 21Volts dc and a
short circuit current of 5A. The voltage reading of the deep-cycle 12Volts, 92AH
battery during charge on a sunny day, was then monitored in a 30minutes time
interval. The timing of the charging process was also monitored using a digital
clock. Voltage and time readings were recorded form 9.20am to 3.20pm when
226
maximum sunlight was recorded on 28/04/2009. The graph in figure 6, was

finally generated using Excel spreadsheet. Result shows that the battery charge
controller performed satisfactorily, charging the battery from a discharge voltage
of 11.89Volts to nearly the bulk-level voltage (14.5Volts) of 14.02Volts at
3.20pm when maximum sunlight was recorded on that day. The slope of the graph
indicates a continuous voltage increase of the battery, until the termination of the
charging process.
6.0. COMPONENTS USED IN DESIGN.

Some of the Components used to realize this design are listed as follows:
(a) Transformers (b) Resistors (c) Diodes d) Capacitors (e) Relays f)
Transistors (g) Voltage-regulators (h) Integrated circuit ICs (g) Light emitting
diodes (h) Varistors (i) Solar panel
(j) Deep cycle storage batteries 12Volts, 200 AH X 2 (k) Switches (l)
Connectors, screws, plugs and (m) Buzzer.
6.1 Test Equipment.
The following laboratory equipment was utilised in the testing phase of the
system, the functionality of each block was tested and relationships were
investigated.
(a) Multimeter
(b) Voltmeter
(c) Ammeter
(d) Frequency meter
(e) Oscilloscope
(f) Digital logic probe
(g) Load – 20 Watts, CFL bulbs, 55Watts fan, 55Watts 14inch color TV,
200Watts laptop computer,
300Watts desktop computer, 200Watts medical equipment.
6.1.1. Multimeter
227
A sensitive digital commercial multimeter ALDA DT-830D was used to measure

voltage, resistance, current, transistor type, transistor current gain (Beta) (ß) and
frequency at various stages of the design procedure. The measuring range of the
instrument is from 3000mV to 1000V for voltage and from 200µA to 10A for
current.
6.1.2. Voltmeter
A front panel mounted Tektronics AC voltmeter was used to monitor the Inverter
AC voltage output. The voltage measuring range is from 0 – 500V AC, with 2%
accuracy. Also a front panel mounted DC voltmeter was used to monitor the DC
battery voltage, with a voltage range of 0 – 50V DC and an accuracy of 2%.
6.1.3. Frequency meter

A front panel mounted Tektronics frequency meter was used to monitor the
frequency of the Inverter AC output. The frequency measuring range is from
45Hz to 100Hz, with 2% accuracy.
6.1.4. Oscilloscope (scope)
An oscilloscope creates a visible two-dimensional graph of electrical voltage
signals/quantities on the vertical axis, with respect to time on the horizontal axis.
Scopes fall into 2 categories: analog and digital. We used the bench mounted,
Tektronics 465 Cathode ray analog scope, to verify the output simulated sine-
wave AC voltage/time waveforms of our inverter design. It is a high quality, dual-
channel, 100Mhz bandwidth scope.
6.1.5. Digital logic probe
We used this instrument to monitor the logic states of the logic integrated circuits
we employed.
7.0. ADVANTAGES OF SOLAR PHOTOVOLTAIC POWER

SYSTEMS.
(a.) The fuel is free (sun).
(b.) There are no moving parts to wear out, break down or replace.
(c.) Only minimal maintenance is required to keep the system running.
228
(d.) The systems are modular and can be quickly installed/upgraded anywhere.
(e.) it produces no noise, harmful emissions or polluting gases.
Photovoltaic energy is unlike any other energy source that has ever been available
to utilities. PV generation requires a large initial expense, but the fuel costs are
zero. Coal or gas fired plants cost less to build initially (relative to their output)
but require continued fuel expense and maintenance. Fuel expenses fluctuate and
are difficult to predict due to the uncertainty of future environmental regulations.
Fossil fuel prices will rise over time, while the overall cost of PVs (and all
renewable energy resources) is expected to continue to drop, especially as their
environmental advantages are valued.
8.0. RESULTS AND DISCUSSIONS.

The inverter subsystems developed namely: (a) The Pulse Width Modulation
(PWM)/Oscillator control section (b) MOS driver section (c) Overload protection
section (d) low batery cut-off section (e) Charge controller section (f) Mains
charger section (g) Mains change-over sectio and (h) Power section heat sink ,
were tested individually and they performed satisfactorily. They were then
integrated to form the 1,500watts; 220V AC 50/60Hz modified sine-wave inverter,
pictured in figure 7. The inverter was tested with two fully charged 12V, 200AH
deep-cycle batteries, solar charged 2 units of the charge controller we developed.
Figure 6. shows the Charge controller charging characteristics for a 12V, 200AH
deep-cycle battery. It was found to perform satisfactorily, conforming to design
specifications and performance expectations as in the table of 4.4.0. The inverter
generated utility electric power without generating any harmful electromagnetic
interference. The simulated sine-wave output waveform of 200V ± 5%, 50/60Hz ±
5% obtained, is shown below in figure 7.
Figure 7. AC output waveform.

229
The inverter powered an office desktop computer, laptop computer, 2 fans, mobile
phone chargers, clinical cardiac machine, Telephone PABX switching system,
one television and compact fluorescent lighting bulbs for more than 10 hours after
a 5 hours flat battery recharge from two units of 85watts-SHARP PV modules
using two units of the 14.5V, 10A capacity battery charge controller device we
developed.
The total cost of the project (about =N=165,000: One hundred and sixty-five
thousand naira only) is about half the cost of fueling a 650Watts portable gasoline
generator running for 10 hours daily for a year with the attendant maintenance
cost. (About =N=320,000: Three hundred and twenty thousand naira only). On
the contrary, it will cost nothing other than free sunshine, to run the solar power
system for a year. This proves that the product is grossly cost effective in the long
run.
Figure 8.The solar photovoltaic power system schematic and the developed
unit.
9.0. CONCLUSION
We have successfully designed, fabricated and tested a solar photovoltaic power
inverter developed using scrap electronic components from old PCBs. The
subunits of the system namely: (a) The Pulse Width Modulation
(PWM)/Oscillator control section ( b) MOS driver section
230
(c) Overload protection section (d) low batery cut-off section (e) Charge
controller section
(f) Mains charger section (g) Mains change-over section and (h) Power section
heat sink, were individually tested and integrated to form the 1,500watts, 220V;
50/60Hz simulated sine-wave inverter. Overall performance as depicted in table-1
above was satisfactory, yielding a DC to AC conversion efficiency of 75%.
10.0 FUTURE WORK

This work is a starting effort in our design of solar photovoltaic power systems.
Future designs shall address higher efficiency, better output waveform filtering,
better switching algorithms using the PIC microcontroller and software in a full-
bridge topology to achieve full sine-wave output and power stage component size
reduction using ferrite core transformers switching at 20khz, in a DC-DC step-up
converter and then DC-AC inverter configuration with a low pass filter at the AC
output. This approach will result in the development of portable higher power
small sized inverter units, with very low EMI (Electro Magnetic Interference) for
diverse PV power applications.
ACKNOWLEDGEMENT
The authors wish to acknowledge the Centre for Basic Space Science (CBSS)
Nsukka, and her engineers and scientists who have collectively ensured the
success of this work. We also thank the National Space Research and
Development Agency (NASRDA) and the Federal Ministry of Science and
Technology Nigeria, for their financial assistance in this project.
REFERENCES
[1]. Jie Chang, ―Advancement and Trends of Power Electronics for Industrial
Applications‖-IECON‘03. The 29th Annual Conference of the IEEE, Volume 3,
2003, pp. 3021-3022.
[2.] J. Chang, etc, ―Integrated AC-AC Converter and Potential Applications for
Renewable Energy Conversion‖, 2002 Power and Energy Systems Conference,
Marina del Rey, California, USA, May 13-15, 2002.
[3] M.A. Green, Solar Cells-Operating Principles, Technology, and System
Applications, Prentice-Hall, Englewood Cliffs, N.J. (1982).
231
[4] Jack L. Stone, ―Photovoltaics: Unlimited Electrical Energy From the Sun,‖
Physics Today, September 1993.
[5] Mark Hammonds, ―Getting Power From the Sun; Solar Power,‖ Chemistry
and Industry, no. 6, p. 219, March 16, 1998.
[6] http://www.ohioenergy.org/Solar%20Curriculum/5Lesson1IntrotoPV.pdf
[7] ―Battery service manual‖, http://www.bulldog-
battery.com/PDF%20Files/SVC.PDF
[8] U.S. Department of Energy, Office of Energy Efficiency and Renewable
Energy, ―PV in use:getting the job done with solar electricity.‖
www.eere.energy.gov/solar/pv_use.html (2004).
[9] Missouri Department of Natural Resources, ―Missouri‘s solar energy
resource,‖ www.dnr.state.mo.us/energy/renewables/solar9.htm (2004).
[10] ‗Power Electronics‘, Lander, C.W., McGraw-Hill, 1993, pp. 198-216.
[11] Power Electronics‘, Mohan, Undeland and Robbins, Wiley, 1993.
[12] http://www.freesunpower.com/chargecontrollers.php.
[13] Woodworth, J.R., Harrington, S.R., Dunlop, J.D., et al, "Evaluation of the
Batteries and Charge Controllers in Small Stand-alone Photovoltaic Systems",
First World Conference on Photovoltaic Energy Conversion, Hawaii, Dec. 1994.
232
EVALUATION OF SUPPLY RELIABILITY OF MICROGRIDS

INCLUDING PV AND WIND POWER*******
G. Ofualagba1, and E.U Ubeku2,

1
Department of Electrical and Electronics Engineering, Delta State Polytechnic,
Otefe, Oghara, Delta State.
2
Department of Electrical and Electronics Engineering, University of Benin,
Benin City, Edo State.
1
E-mail: swillas@ieee.org
Abstract
This paper presents a procedure of supply reliability evaluation for microgrids
including renewable energy sources such as wind power and photovoltaics.
Microgrid system can be used as a framework to flexibly introduce the renewable
energy sources. However, some renewable energy sources affect the power
quality negatively. Therefore, it is important to evaluate a microgrid system
adequately, and to discuss supply reliability evaluation. In this paper, the authors
introduce special reliability indices for microgrids.
Index Terms -- microgrid, supply reliability, interruption cost, demand and

supply ba1ance.
1. INTRODUCTION
DISTRIBUTED power generation of new energy sources is recently drawing
attention and increasing rapidly [1]. Various factors such as the rising costs of
fossil fuels, global warming, deregulation of power industry, and the proximity to
the demand are contributing to its rise.
******* African Journal of Physics Vol. 2, pp. 233 --250 , (2009)

233
However, the output of renewable energy sources such as photovoltaics and

wind farms are unstable, and their influence on power systems by the increased
penetration is concerned. Microgrids can be utilized as the framework of system
that can reduce the negative effects of power fluctuation on existing power
systems, simultaneously pursuing the coexistence of environment and supply, and
existing power system and distributed power generation. They can also be
considered to be a flexible load [2][3].
The dominant study of microgrids is on their control system for self-
sustained operation [4] and the modeling of control instrument. However, the
study of their reliability is still limited [5][6]. It is not clear that the performance
of such a new system including distributed power generation by renewable energy
sources can be evaluated by existing reliability evaluation indices. Therefore,
quantitatively evaluating the supply reliability will yield an important insight of
microgrid system development.
This paper proposes the indicators and procedure of supply reliability
evaluation for microgrids including the renewable energy sources such as wind
power and photovoltaic cells. In this paper, as well as an index to reflect the
impact of the power outages using Monte Carlo simulation, an additional index
intended for microgrids reliability evaluation is proposed based on the supply-
demand balance calculation.
The introduction of energy storage system will play an important role for the
maintenance of power quality in microgrids where many distributed power
generation of renewable energy sources are connected. Hence, in this paper, we
examine the effects of energy storage system on reliability.
2. EVALUATION OF SUPPLY RELIABILITY OF MICROGRIDS
2.1. Microgrids
Microgrids targeted in this study are independent areas having the power
demand of several hundred MW including gas turbines, wind turbines and
photovoltaic cells and serves
its own power demand. These microgrids are also connected to the external power
system by tie lines for reducing frequency/voltage fluctuation in the normal and of
emergency conditions. The system is based on the premise that it is operated
independently with zero tie-line flow under normal conditions.
234
2.2. Supply reliability evaluation indices

Supply reliability in utility power system is generally measured by the impact
of a single contingency (N-1 standard), and N-2 criteria may be used for
important equipment [7]. However, recently an increasing number of customers
require high supply reliability. Attempts to consider the interruption cost per each
customer is under way [8] because some customer‘s economic losses would be
tremendous. Therefore, for the supply reliability evaluation of microgrids in this
paper, the authors propose additional indices from the viewpoint of the customer
side in the microgrids.
For a supply reliability index in microgrids, we propose to use the following

four indices.
i) Expected Duration Not Supplied (EDNS): the annual expectation of total
hours not supplied [hours/year];
ii) Expected Energy Not Supplied (EENS): the annual expectation of energy
not supplied [kWh/year];
iii) Interruption Cost (IC): the amount of loss cost per unit quantity of energy
not supplied.
iv) Demand and Supply Balance Cost (DSBC): the sum of the deficit of power
in the microgrids purchased from the external systems.
Microgrids are basically aimed at autonomous control. However, when many
distributed power generation of renewable energy sources are introduced, control
only within microgrids become difficult. Therefore, microgrids keep the power
demand and supply balance by connecting to the external power system for
maintenance of frequency and voltage. Microgrid operators buy power through
tie-line from the utility company when power in the microgrids is deficient, and
sell power when the power generated is in excess. Hence, we define the cost due
to the imbalance of demand and supply calling it the demand and supply balance
cost.
2.3. Monte Carlo Simulation
We use Monte Carlo simulation to calculate supply reliability in this paper
[9]. Fig. 1 shows the flow chart of supply reliability calculation using Monte
Carlo simulation. The procedure of reliability analysis is described as follows:
At first supply reliability analysis initialize the state of system. Next, we
sample fault conditions that reflect the failure rate of all facilities. If some kind of
235
equipment failure occurred, we check if a system contingency would occur by

load flow analysis. When system contingency occurred, we try to solve the
problem by emergency operation. If we cannot solve it, we find the area of supply
interruption and the quantity of lost supply. We repeat the failure simulation until
the required accuracy is obtained, then calculate reliability indices as annual
average.
The load data include a stochastic deviation based on the normal distribution
added to an annual load curve of every one hour.
Fig. 1. Flow chart of supply reliability evaluation for microgrids.
2.4. Modeling of renewable energy sources

In the case of distributed power generator like a gas turbine that can control
the output, we can assume only the capacity as input data. However, in the case of
photovoltaics and wind
236
turbines, output is not constant; we therefore must use the data that reflects the
stochastic variation of output. Therefore, we use Weibull distribution [11] shown
in (1) to set the output
of the wind turbine.
where
f(V): incidence rate of wind velocity V; c: scale parameter; k: shape parameter.
An example of the wind turbine output based on Weibull distribution is shown

in Fig. 2.
Fig. 2. An example of wind turbine output.
The output of photovoltaics cells also change by the weather like the wind
turbines. In this paper, we have used the pattern of output that has been measured
by the field tests of photovoltaic cells such as shown in Fig.3. The average output
is assumed for daylight hours based on the weather conditions such as clear,
cloudy, or rain [12]. We add the stochastic variation based on normal distribution
to the average output.
237
Fig.3. Output of photovoltaics cells under different weather condition.
2.5. Calculation of interruption cost
We use the following equation to calculate the total interruption cost for the
reliability index on a consumer side.
where
IUC: unit cost of interruption at consumer m.
The unit cost of interruption needs to be investigated for each consumer. It is

known that the unit cost of interruption rises as the power outage sustains [10],
but we treat it as constant in this paper. Also, the damage caused by blackout is
substantially different between household consumers and commercial consumers.
In addition, among commercial consumers, there are consumers who require high
reliability, and the unit cost of interruption will be high for such consumers.
2.6. Calculation of the demand and supply balance costs

As mentioned above, the microgrid is assumed to run as a self-sustained
operation. However, in the case of imbalance of the demand and supply by the
influence of renewable energy sources, and the sudden change of power
generation output and/or of load such as at a time of accident, we need to buy and
sell the power from the external system. In such cases, we can calculate the
238
amount of cost that operator of microgrids will pay to the utility company for the
deficiency or surplus.
where
BP: amount of energy bought; BC: price of energy bought; SP: amount of
energy sold; SC: price of energy sold.
For the electric energy in deficiency or surplus, we accumulate the power flow
of tie line between the microgrid and the external system.
3. CASE STUDY
3.1. System configuration and data

We show the configuration of a radial microgrids model to study in this paper
in Fig. 4. This system includes six distributed power generation (four 3MW gas
turbines, one 1MW wind turbine, and one 300kW photovoltaics cells) and twelve
load for household (R) and commercial consumers (C). The network can be
reconfigured in looped network as shown in Fig. 5.
Fault condition of each facility is determined by the failure rate and recovery
time (mean time to repair) to be given as input. Failure rate and recovery time in
each facility is shown in Table 1.
239
Fig.4. Radial microgrid system.
Fig.5. Looped microgrid system.
In this paper, we set the unit cost of interruption as shown in Table 2. We also
assume the electric energy charges on which the microgrid would purchase power
from the electric utility company at 11 cents per kilowatthour [13].
240
TABLE I
FAILURE RATE AND REPAIR TIME.
TABLE II
INTERRUTION COST OF EACH DEMAND
3.2. System reliability evaluation

Fig. 6 and Fig. 7 show reliability indices of the microgrid with the radial and
looped networks, respectively. In the radial network, we find that interruption
time and expected energy not supplied at the end of the network is larger than that
of the looped network. This is because, when an accident occurred on the power
transmission line in a loop, the looped network is still capable of supplying power
to the loads. Also, when we compare the reliability cost of both systems, radial
network costs 11.17 [$1000/year] and looped network costs 10.42 [$1000/year].
From these results, as a policy to improve reliability when we design a
microgrid network, it is important to configure the system in a loop to reduce the
interruption cost by the power transmission line accidents.
3.3. Examination of the reliability improvement by electric energy storage

system
241
As a method of supply reliability improvement in micro grids, we can

consider installation of electric energy storage system [14]. The electric energy
storage system is expected to level output of renewable energy sources, and it can
function as backup at the time of generator failure. Therefore, we set up a
battery (BT) of 500 kW in load 5 that is assumed to be a particularly important
load. We have calculated the supply reliability, and compared the effect of electric
energy storage system in the looped system of micro grids as shown in Fig. 8.
Fig.6. Reliability index in the radial network.
Fig.7. Reliability index in the looped network.
242
Fig.8. Reliability index in the looped network with a battery.
When we compare Fig. 7 with Fig. 8, the battery supplements the deficient
power of load and improves the reliability as seen mainly on load 5. Also, the
interruption cost and demand and supply balance cost become lower when we
install the battery, and reliability cost is reduced to 8.54 [$1000/year] from 10.42
[$1000/year]. The above results have been obtained because we installed the
battery to load 5, and set the capacity at 500 kW. In general context, however, we
need more consideration whether sufficient capacity of batteries is installed for
the capacity of the renewable energy.
4. CONCLUSION
We have proposed a method of supply reliability evaluation for microgrids
including renewable energy sources in this paper. For the supply reliability
evaluation, in addition to a supply reliability index that is generally used for utility
power systems, we have introduced the interruption cost and the demand and
supply balance cost. We used Monte Carlo simulation for the calculation of
reliability indices. We have compared the reliability of radial network and looped
network as an example of calculation of reliability. In the future, we plan to
advance the more detailed modeling and simulation of microgrids and the
installation of electric energy storage systems.
243
REFERENCES
[1] P. Bernstein, Alternative Energy: Facts, Statistics, and Issues, Oryx Press,
2001.
[2] R. H. Lasseter, ―Microgrid,‖ 2002 IEEE PES Winter Meeting, vol. 1, Jan.
2002, pp. 305–308.
[3] M. Barnes, J. Kondoh, H. Asano, J. Oyarzabal, G. Ventakaramanan, R.
Lasseter, R. N. Hatziargyriou, and T. Green, "Real-World Microgrids: An
Overview", 2007 IEEE International Conference on System of Systems
Engineering, San Antonio, USA, pp. 1 – 8, April 2007.
[4] P. Piagi and R. Lasseter, ―Autonomous control of microgrids,‖ 2006 IEEE
Power Engineering Society General Meeting, June 2006.
[5] S. B. Patra, J. Mitra, and S. J. Ranade, ―Microgrid architecture: a reliability
constrained approach,‖ IEEE Power Engineering Society General Meeting,
2005. June 2005, pp. 2372 – 2377.
[6] Y. Sun, M. H. J. Bollen, and G.W. Ault, ―Probabilistic Reliability Evaluation
for Distribution Systems with DER and Microgrids, ‖International
Conference on Probabilistic Methods Applied to Power Systems (PMAPS
2006), June 2006.
[7] W. Li, Risk Assessment For Power Systems: Models, Methods, And
Applications, IEEE Press, 2004.
[8] Shih-An Yin, Rung-Fang Chang, and Chan-Nan Lu ―Reliability worth
assessment of high-tech industry,‖ IEEE Trans. Power Systems, Vol. 18, No.
1, Feb. 2003, pp.359 - 365.
[9] R. Billington and W. Li, Reliability Assessment of Electric Poser Systems
Using Monte Carlo Methods, Plenum, 1994.
[10] M. J. Sullivan and T. Vardell, ―Interruption Costs, Customer Satisfaction
and Expectations for Service Reliability‖, IEEE Trans Power Systems, Vol.
11, No.2, pp.989-995, 1996.
[11] S.H. Jangamshetti, and R. V. Guruprasada ―Normalized power curves as a
tool for identification of optimum wind turbine generator parameters‖ IEEE
Trans Energy Conversion, Vol. 16, No. 3, Sept. 2001, pp. 283 – 288.
[12] B. P. Dougherty, A. H. Fanney, and M. W. Davis, ―Measured Performance
of Building Integrated Photovoltaic Panels—Round 2‖, Journal of Solar
Energy Engineering, Vol. 127, August 2005, pp. 314-323.
244
[13] Tokyo Electric Power, Guideline of Extra High Voltage Supply, 2004.
[14] J. A. McDowall, ―Status and Outlook of the Energy Storage Market,‖ 2007
IEEE Power Engineering Society General Meeting, June 2007.
[15] Yokoyama, R. Niimura, T. Saito, N. ―Modeling and Evaluation of Supply
Reliability of Mirogrids including PV and Wind Power,‖ 2008 IEEE Power
& Energy General Meeting, July 2008.
245
SUNSHINE HOURS VARIABILITY AND ITS RESPONSE TO

AEROSOLS IN LAGOS STATE NIGERIA†††††††
T. N. Obiekezie .
Dept of Physics and Industrial Physics Nnamdi Azikiwe University, Awka,
Anambra state , Nigeria. e-mail: as27ro@yahoo.com .
Abstract
This paper analyses the variability of sunshine hours for an equatorial region of
Lagos (06°35' N, 03°19' E) Nigeria. It is found that the total sunshine hours has
seasonal variability which maximizes in April and minimizes in July. Unlike a
decreasing trend in sunshine hours found in some countries the sunshine hours in
Lagos the busiest city in Nigeria is found to be increasing at a rate of 0.0449hrs/yr
for a period of nine years. The paper investigates the possibly effects of Aerosols
on the variability of the sunshine hours using Aerosol Index from Earth Probe
TOMS (Total Ozone Mapping Spectrometer) Version.8.
Key Words: Sunshine hours, Aerosols, clouds, Lagos, solar radiation,
1. INTRODUCTION
The energy transferred from the sun in the form of radiant energy to the
earth‘s surface is called solar radiation, Donald (1982). Solar radiation is an
important source of energy which plays a pivotal role in technological and social
development. In recent times, the cost of conventional fuel has been on the
increase and its availability is shrinking day by day. Realizing this, man has been
attempting for some time to make use of the sun‘s radiant energy as an alternative
source of energy. However, his success has been limited as the economic
utilization of solar energy requires a level of technological development that has
not yet been attained. Presently the world is witnessing very rapid technological
advances, as such it is expected that within a few years the cost of solar energy
tapped directly will become competitive with that of the conventional sources of
††††††† African Journal of Physics Vol. 2, pp.246-255, (2009)

246
energy. Solar radiation knowledge is essential in the study and design of systems
which use solar radiation data applications and should be thoroughly measured on
a continuous basis over long periods of time.
It has been observed that the network of stations measuring solar radiation
data is sparse in many countries of the world. In Nigeria, only few stations have
been measuring the daily solar radiation on a consistent basis (Chineke, 2007). It
therefore becomes necessary that solar irradiance has to be estimated from other
meteorological data (Zhou et al. 2005; Sabziparvar 2007; Wu et al. 2007; Bulut
and Buyukalaca 2007). Stanhill and Cohen 2005 recommended that Sunshine
duration is an equally reliable proxy for exploring changes in solar radiation
Solar irradiance measurements from various regions around the globe have
documented a steady decline in solar radiation across the globe from the mid -
1950s to the 1980s, a phenomenon that is generally termed as global dimming
(Stanhill and Cohen 2001; Liepert 2002; Alpert et al. 2005, Ohmura, 2006,
Roderick and Farquhar, 2002). From the mid 1980s an increasing trend in solar
irradiance has been observed around the globe which is termed solar brightening
(Wild et al., 2005).
A number of authors have discussed in detail the potential reasons for global
decrease in solar radiation and sunshine hours. This includes; Satheesh and
Moorthy (2005) who showed that wind speed quite significantly contributes to
global irradiative forces by influencing natural aerosol concentration, Liu et al
(2002) illustrated that increase in regional scale clouds as a result of increasing
anthropogenic emissions of aerosols could lead to reduction in sunshine hours,
while Cutforth and Judiesch (2007) suggested that increased cloudiness could
reduce the sunshine hours. Pinker et al. (2005) attributed the possible causes of
global dimming to changing cloud cover, increasing manmade aerosols and the
lowering of atmospheric transparency following explosive volcanic eruption .
Foukal et al., (2006) noted that both the solar dimming and brightening
cannot be explained by variations of the Sun‘s radiative output while Norris and
Wild (2007) suggested that it could be as a result of changing in atmospheric
transmittance caused by variations in aerosol concentrations.
Aerosols are known to affect climate in two ways, they influence the planetary
albedo by scattering and absorbing radiation (direct effect) and they modify the
physical and radiative properties of clouds by acting as cloud condensation nuclei
(indirect effect).
Although the exact magnitude of aerosol-induced radiative forcing is
uncertain, aerosols are thought to have a net cooling effect. Thus, they may mask
247
the warming effects of anthropogenic increases in greenhouse gases (Wigley,

1989; Kaufman et al., 1991;Charlson et al., 1992; Obiekezie and Okeke 2005;
Penner et al., 1992; Christopher et al., 1996; Kiehl, 1999, etc ).
Following the recommendation of Stanhill and Cohen (2005), this work is
set out to estimate the variations in sunshine hours for Lagos the busiest city in
Nigeria and to investigate the possibly effects of Aerosols on the variability of
this sunshine hours.
2. SOURCES OF DATA
Mean monthly sunshine hours, defined as the number of hours of bright sunlight
per day as measured by a sunshine recorder were collected for an equatorial
region of Lagos (06°35' N, 03°19' E) Nigeria from the archives of the Nigerian
Meteorological Agency, Federal Ministry of Aviation, Oshodi, Lagos, and were
available for nine consecutive years starting from 1997 to 2005. The Aerosol
index for Lagos was obtained from the Earth Probe TOMS (Total Ozone Mapping
Spectrometer) Version.8.

Fig.1. depicts the yearly variation in sunshine hours for the duration of nine
years from 1997- 2005. A positive linear trend of 0.0449hrs/yr is found which is
an indication that sunshine hours has not been decreasing but shows a minimal
growth or a steady rise (Solar brightening) over the years. This result is in
disagreement with the results obtained by (Tan 1999) in Southwest China , (Li
2000) in central China, (Yao and Wu 2002; Tang and Li 2003) Qinghai-Tibet
plateau, (Yang et al. 2004) North and Northeast China, (Zhang et al. 2004)
Eastern China , (Xu and Zhao2005 ) in the Yellow River basin, (Liu et al 2002) in
Taiwan and (Palle and Butler 2001) in Ireland all of which portrays a decreasing
trend in sunshine hours (Solar dimming).
From fig.1, 2004 is found to have the highest sunshine hours with a mean
value of about 5.6hrs/day while the minimum is found in 1998 with a mean
value of about 4.8 hrs/day. The general picture of how the sunshine hours varied
over the years shows that Lagos city has at least 5 hours of bright sunshine hours
on the average per day.
248
5.7
5.6
5.5
Sunshine hours 5.4
5.3
5.2
5.1
5 Trend = 0.0449
4.9
4.8
1997 1998 1999 2000 2001 2002 2003 2004 2005
Year
Fig. 1 Variation of sunshine hours with year
To thoroughly understand and isolate the driving forces behind the

variations in sunshine hours, average monthly sunshine hours for the nine year
period is plotted in Fig.2. average monthly sunshine hours is highest in April with
an a mean value of 6.3hrs/day and the lowest is found in July. The mean
sunshine-hours in April is found to be 1.67 times higher than the mean value in
July. Based on the prevailing seasons in the study area, i.e., The Long Rainy
Season (April –July), the Short Dry Season (August-September), the Short Rainy
Season (October-November), the Long Dry Season (December- March) the
average seasonal trends of sunshine hours are –0.84, 0.167, 0.48 and 0.15 hr,
respectively. These values suggest a decline in sunshine hours during the long
rainy season as compared to the other three seasons (short rainy season, short dry
season, and long dry season).
This result is consonance with the results of Ezekwe, (1988), Akpabio, and
Etuk, (2003).
249
7
Sunshine Hours 6
5
4
3
2
1
0
r
ne
Fe y
ch
ly
r
y
ril
er
st
ay
De be
be
be
ar
ar
Ju
Ap
gu
ob
Ju
ar
m
nu
bu
m
em
M
Au
ct
ve
ce
Ja
O
pt
No
Se
Months
Fig. 2. Variation of sunshine hours with months of the year
Fig 3 displays the monthly variation of TOMS aerosol index for Lagos
during the nine year period (TOMS aerosol index of less than 0.1 indicates a
crystal clear sky with maximum visibility, whereas a value of 4 indicates the
presence of aerosols so dense you would have difficulty seeing the mid-day sun).
From fig.3, the minimum index was found in August with a mean value of about
0.73 which indicates a clear sky free from aerosols while the highest value was
found in January with a mean value of about 3.18 indicating the presence of
moderate aerosols in the sky.
250
3.5
Aerosol Index 3
2.5
2
1.5
1
0.5
0
de be r
r
r
Fe y
ch
r
y
ril
ne
ly
st
ay
be
be
be
ar
ar
Ap
ju
gu
ar
ju
m
m
nu
bu
m
to
m
Au
ve
pe
ce
oc
Ja
no
se
Months
Fig. 3. Variation of Aerosol Index with months of the year
From fig. 3, the month of August is seen with a small value of aerosol
index indicating a very clear sky; in effect a high value in bright sunshine hours
is expected but when compared with fig.2, the month of August has less than 5hrs
of sunshine. Also, the month of January has high value of aerosol index implying
that aerosol is indicated in the sky; the hours of sunshine from fig. 2 was found to
be more than 5hrs. The linear regression analysis does not show a significant
positive correlation between sunshine hours and aerosol index both at monthly
level (r = 0.538214, r2 = 0.289674) and annual level (r = 0.3225, r2 = 0.1040). It
could be deduced from here that the direct effect of aerosols (absorption and
scattering of direct sunlight) does not influence sunshine hours in Lagos. The
result is in consonance with the results of Palle and Butler (2001) and in variance
with the results of Luo et al. (2000) and Guo and Ren (2006) who analyzed the
change of sunshine hours and effect of aerosol and concluded that a decrease in
visibility resulting from an increase of aerosol is the main reason of sunshine
duration decrease.
251
4. CONCLUSION
The results obtained here reveal that sunshine hours vary regularly; in years,
in months and in seasons. The yearly variation displays an increasing trend which
suggests solar brightening; the monthly variation is seen with a maximum
occurring in April which is about 1.67 times larger than the minimum which
occurred in July. The seasonal trend is seen to have a negative value for the long
rainy season implying that sunshine hours decreases in the long rainy seasons as
compared to the other three seasons (short rainy season, short dry season, and
long dry season).
The linear regression analysis result does not show a significant positive
correlation between sunshine hours and aerosol index. It is generally expected that
as the aerosols in the sky increases, the duration of sunshine hours should
decrease but this is not so for the city of Lagos, it is therefore concluded that
aerosols in the sky do not directly influence the duration of sunshine hours in
Lagos, Nigeria.
Consequently, it is suggested that a comprehensive statistical analysis of
other meteorological data could be very helpful in investigating the cause of this
observed variability in sunshine hours.
Acknowledgment
The Nigerian Meteorological Agency, Federal Ministry of Aviation, Oshodi,
Lagos and NASA/GSFC TOMS Processing Team are gratefully acknowledged
for providing the sun shine hours data and the Aerosol Index data.
REFERENCES
Akpabio, L. E. and Etuk, S.E, (2003). Relationship between Global Solar
Radiation and Sunshine Duration for Onne, Nigeria. Turk J Phys 27, 161 -
167.
Alpert, P., Kishcha, P., Kaufman, YJ, Schwarzbard, R., (2005). Global dimming
or local dimming?: Effect of urbanization on sunlight availability. Geophys
Res Lett 32:L17802
Bulut .H, Buyukalaca .O, (2007). Simple model for the generation of daily global
solar-radiation data in Turkey. Appl Energ 84:477– 491
252
Charlson, R. J., Schwartz, S.E. Hales, J.M Cess, R.D. Coakley, J.A. Hansen, J.E
and Hofmann, D.J., 1992: Climate forcing by anthropogenic aerosols.
Science, 255, 423−430
Chineke T.C (2007). Renewable Energy: Equations for Estimating Global Solar
Radiation Data Sparse Regions. Science Direct, pp.1 – 13.
Christopher SA, Kliche DV, Chou, J, Welch RM., 1996. First estimates of the
radiative forcing of aerosols generated from biomass burning using satellite
data. Journal of Geophysical Research 101: 21 265–21 273.
Donald C.A (1982). Meteorology Today: An Introduction to Weather,Climate and
the Environment. West Publishing Co
Ezekwe, C.I. (1988), The solar radiation climate of Nigeria. Solar Wind
Technol., 5, 563-571
Foukal, P., Fro¨hlich, C., Spruit, H. and Wigley, T. M. L. (2006), Variations
insolar luminosity and their effect on the Earth‘s climate, Nature, 443, 161–
166.
Guo J, Ren G (2006) Variation characteristics of sunshine duration in Tianjin in
the recent 40 years and influential factors (in Chinese with English abstract).
Sci Meteorol Sin 34(4):415–420
Kaufman, Y.J., Tucker, C.J., and Mahoney, R.L. , 1991: Fossil fuel and biomass
burning effect on climate--Heating or cooling? J. Climate, 4, 578-588.
Kiehl, J.T. 1999. Solving the aerosol puzzle. Science 283: 1274–1275.
Li. G ,(2000) Analysis of characteristic of climate change over last 40 year in
Xianning (in Chinese). J Hubei Meteorol 1:11–15
Liepert B (2002) Observed reductions of surface solar radiation at sites in the
United States and worldwide from 1961 to 1990. Geophys Res Lett
29(10):1421
Liu ,S. C, Wang. C., Shiu. C., Chang. H., Hsiao. C. and Liaw. S, 2002 .
Reduction in Sunshine Duration over Taiwan: Causes and Implications.
TAO, Vol. 13, No. 4, 523-545
Luo YF, Lv DR, He Q, Wang F (2000) Analysis on changes of solar radiation,
visibility, and aerosol in coastal region of Southeast China (in Chinese with
English Abstract). Clim Environ Res 5 (1):36–44
253
Norris, J. R., and M. Wild (2007), Trends in aerosol radiative effects over Europe
inferred from observed cloud cover, solar ‗‗dimming‘‘ and solar
‗‗brightening‘‘, J. Geophys. Res., 112, D08214, doi:10.1029/
2006JD007794
Obiekezie and Okeke 2005; The possibility of a correlation between the cloud
factor and the flux of galactic cosmic rays; a review. Natural and applied Sci
Journal vol 6 , 1 & 2 30- 40
Ohmura, A. (2006), Observed long-term variations of solar irradiance at the
Earth‘s surface, Space Sci. Rev., 125, 111 –128 .
Palle .E and Butler C.J. 2001 Sunshine records from Ireland: cloud factors
andpossible links to solar activity and cosmic rays Int. J. Climatol. 21: 709–
729
Penner, J.E., R.E. Dickinson and C.A. O‘Neill, 1992: Effects of aerosol from
biomass burning on the global radiation budget. Science, 256, 1432−1434.
Pinker RT, Zhang B, Dutton EG (2005) Do satellites detect trends in surface solar
radiation? Science 308:850–854
Roderick ML, Farquhar GD. 2002. The cause of decreased pan evaporation over
the past 50 years. Science 298: 1410–1411
Sabziparvar A.A (2007) A simple formula for estimating global solar radiation in
central arid deserts of Iran. Renew Energ 6 (15):1–9
Satheesh SK, Moorthy KK (2005) Radiative effects of natural aerosols: a review.
Atmos Environ 39:2089–2110
Stanhill G, and Cohen S (2001) Global dimming: a review of the evidence
for a widespread and significant reduction in global radiation with discussion of
its probable causes and possible agricultural consequences. Agric For
Meteorol 107:255–278
Stanhill G, Cohen S (2005) Solar radiation changes in the United States during
the Twentieth Century: evidence from sunshine measurements. J Clim 18
(10):1503–1512
Tan Z (1999) Analysis on climate characteristics of sunshine decreasing and its
driving factors (in Chinese). J Guangxi Meteorol 20(2):38–40
Tang X, Li Y (2003) Analysis on characteristics of sunshine change over the last
40 years in Lasa (in Chinese). Xizang Tech 3:56–59
254
Wild M, Gilgen H, Roesch A, Ohmura A, Long C, Dutton E, Forgan B, Kallis A,

Russak V, and Tsvetkov A (2005) From dimming to brightening: decadal
changes in solar radiation at Earth‘s surface. Science 308:847–850
Wigley TML. 1989. Possible climate change due to SO2 derived cloud
condensation nuclei. Nature 339: 355–357
Wu G, Liu Y, Wang T (2007) Methods and strategy for modeling daily global
solar radiation with measured meteorological data: a case study in
Nanchang station, China. Energ Convers Manage 48:2447–2452
Xu ZX, and Zhao F (2005) Variation of sunlight radiation duration in the Yellow
River Basin (in Chinese with English abstract). Resour Sci 27(5):153–160
Yang Y, Yu Q, Wang J (2004) Spatio-temporal variations of principal climatic
factors in North China and parts of East China within the past 40 years (in
Chinese with English abstract). Resour Sci 26(4):45–50
Yao L, and Wu Q (2002) Characteristics of climate change in the Tibetan Plateau
(in Chinese). Meteorol Sci Techol 30(3):163–165
Zhang YL, Qin BQ, and Chen WM (2004) Analysis of 40 year records of solar
radiation data in Shanghai, Nanjing and Hangzhou in eastern China. Theor
Appl Climatol 78:217–227
Zhou J, Wu Y, Yan G (2005) General formula for estimation of monthly average
daily global solar radiation in China. Energ Convers Manage 46:257–268
255
A STUDY OF THE MEASURED AERODYNAMIC DIAMETER

OF ATMOSPHERIC AEROSOLS IN NSUKKA, ENUGU STATE,
NIGERIA‡‡‡‡‡‡‡
Okoro, E. C and 1Okeke, F. N
Department of Physics & Astronomy, University of Nigeria, Nsukka.
1
email: Franciscaokeke@yahoo.com
Abstract
This work presents the ground-base measurement of aerodynamic diameter of
Atmospheric Aerosols captured in Nsukka, Enugu State during the harmattan
period of February to non-harmattan period of April 2004. Addition of harmful
substances such as aerosols to the atmosphere results in pollution of the
environment, bad effects on human health, and quality of life. These effects are
quantified when the aerodynamic diameter is determined. A comprehensive
research has been carried out on the particle sizes of the captured aerosols in
Nsukka Environ. Power-law and Statistical models were employed in the analysis
and some control strategies were considered.
1. INTRODUCTION
Each year in West Africa, from October to March, an area of several billion
hectares is subjected to a very dry, dust-laden atmosphere known as the
harmattan. The dust is uplifted from the Sahara desert and then carried Southward
by the North-East-trade wind. It is believed that with intense heating occurring
over the Sahara, dust is raised high into the atmosphere by the associated strong
convective activity. The fine particles of dust can rise as high as 300m above sea
level. Due to their small size and apparently, with continuing convective
instability they can remain suspended in the atmosphere for long periods of time
(Adetunji et al. 1991; Chukwuemeka 1990).
‡‡‡‡‡‡‡ African Journal of Physics Vol. 2, 256- 266, (2009)

256
The captured aerosols size in Nsukka environs was measured using an

optical microscope. Guided by this particle size analysis, one could easily
determine the atmospheric aerosol effects on health, weather, climate, vegetation,
materials, communication and atmospheric electricity. Aerosols range in size
from aggregates of only a few hundred molecules (~10-4 µm across) to particles of
about ten thousand times larger (~100 µm), as in cloud droplets (Rita and George
1981). Aerosols can be termed Aitken nuclei when the size is about 0.24 µm or
less large with size of 0.2 – 1.0 µm (McCartney 1976). Fine particles have
diameters less than four micrometers; they pose the greatest potential health
hazard and also contribute to scattering of light in the visible range, which as a
result of this scattering reduces air visibility (Strauss 1978; Dobbins 1979; Watta
1998). The largest and heaviest (coarse) aerosols have diameters greater than 4
µm and are deposited by gravity few minutes after being formed from their
sources, causing problems of laundry and windowsill soiling, deterioration of
materials etc (Murdoch 1975; Lynn 1976; Tsor 2003). Aerosols can condense and
can also grow; it can grow by absorbing a film of water from the atmosphere.
Increase in humidity also increases the average size of aerosols.
The equivalent aerodynamic diameter which is the diameter of a unit
density that has the same settling velocity in air as the particle of interest, is the
parameter frequently used in describing the aerosol size (Hesketh 1977; Strauss
1978; Stockham and Fochtman 1979). Fig 1 and fig. 2 depict the photomicrograph
of size measured aerosols. This particular physical property of aerosols has been
studied by Pope and Dockery (1999), Friedlander (1977), McCartney (1976), Tsor
(2003) and Ngadda (1991).
Fig. 2
Fig.1
The photomicrograph of captured aerosols: Fig.1: on 3/2/2004

(normal day); Fig. 2: on 12/4/2004 (after rainfall).
257
2. DATA SOURCE
Aerosols were collected dry at six towns/sites in an open field by deposition
method. These towns were grouped under two stations because the data were too
numerous and those grouped together had indistinguishable similarities in their
data. Particles were collected daily for three months. The wind speed data for the
three months were obtained from the meteorological station at Enugu Airport.
3. DATA ANALYSIS
At STA I; the range of diameter data in the months of February, March and
April were 0.5 – 12.0 µm, 0.5 – 12.0 µm, and 0.5 – 11.0 µm respectively, while at
STA II, the diameter data ranges were 0.5 – 12.0 µm for February, 0.5 – 12.0 µm
for March and 0.5 – 12.0 µm for April.
The power-law size distribution function was developed by Junge (1963) and
described by Manson (1965) as;
…………………………………………….(a)
where C is the constant, D is the average diameter (particle size) and β is the
slope. Using Table 1 for clarity purpose and taking the logarithm of both sides
and plotting the power-law distribution curve we obtain fig. 3. (Note: size
distribution Table of any month could be used to achieve the aim).
258
Table 1: The daily captured aerosols size distribution for the month of February at
STA I.
Particle Size Mid Freq. of Cumulative ND Log D N log D dN/dlogD Log

Interval Size Occurre Frequency (dN/dlogD)
(µm) (µm) D nce N of N (%)
0.5- 2.5 1.5 391 44.9 586.5 0.1761 68.85 2220 3.3464
2.5 - 4.5 3.5 320 81.7 1120.0 0.5441 174.10 588 2.7694
4.5 - 6.5 5.5 103 93.6 566.5 0.7404 76.26 139 2.1430
6.5 - 8.5 7.5 33 97.4 247.5 0.8751 28.88 37 1.5682
8.5 - 10.5 9.5 19 99.5 180.5 0.9777 18.58 19 1.2788
10.5- 12.5 11.5 4 46.0 1.0607 4.24 3 0.4771
100
TOTAL
870 2747.0 370.91
259
Fig 3: Junge Power-law size distribution curve for February at STA I
Table 2: The daily captured aerosols size distribution for the month of
March at STA I.
Particle Size Mid Size Freq. of Cumulative ND

Interval (µm) D Occurrence Frequency
(µm) N of N (%)
0.5 - 2.5 1.5 507 54.5 760.5
2.5 - 4.5
3.5 292 85.9 1022.0
4.5 - 6.5
5.5 101 96.8 555.5
6.5 - 8.5
8.5 - 10.5 7.5 24 99.4 180.0
9.5 5 99.9 47.5
10.5- 12.5
11.5 1 100.0 11.5
TOTAL
930 2577.0
Table 3: The daily captured aerosols size distribution for the month of April
at STA I.

(µm) N of N (%)
0.5 - 2.5 1.5 646 71.8 969.0
2.5 - 4.5
3.5 172 90.9 602.0
4.5 - 6.5
5.5 64 98.0 352.0
6.5 - 8.5
8.5 - 10.5 7.5 15 99.7 112.5
9.5 2 99.9 19.0
10.5- 12.5
11.5 1 100.0 11.5
TOTAL
900 2066.0
260
February at STA II.

(µm) N of N (%)
0.5 - 2.5 1.5 441 50.7 661.5
2.5 - 4.5
3.5 269 81.6 941.5
4.5 - 6.5
5.5 107 93.9 588.5
6.5 - 8.5
8.5 - 10.5 7.5 33 97.7 247.5
9.5 17 97.9 161.5
10.5- 12.5
11.5 3 100.0 34.5
TOTAL
870 2635.0
March at STA II.

(µm) N of N (%)
0.5 - 2.5 1.5 483 51.9 724.5
2.5 - 4.5
3.5 285 82.6 997.5
4.5 - 6.5
5.5 109 94.3 599.5
6.5 - 8.5
8.5 - 10.5 7.5 34 98.0 255.0
9.5 13 99.4 123.5
10.5- 12.5
11.5 6 100.0 69.0
TOTAL
930 2769.0
261
Table 6: The daily captured aerosols size distribution for the month of April
at STA II.

(µm) N of N (%)
0.5 - 2.5 1.5 608 67.6 912.0
2.5 - 4.5
3.5 175 87.0 612.5
4.5 - 6.5
5.5 85 96.4 467.5
6.5 - 8.5
8.5 - 10.5 7.5 25 99.2 187.5
9.5 5 99.8 47.5
10.5- 12.5
11.5 2 100.0 23.0
TOTAL
900 2250.0
The slope (β) is derived from the graph as follows;
where s1…s5 are individual slopes at different points and β is the average slope. Β
is 3.8548  4; this indicates continental source of aerosols. The wind speed data
from February – April were 2.44m/s, 3.08m/s and 3.00m/s respectively.
4. DISCUSSION/CONCLUSION:
The average diameter of captured aerosols at STA I and STA II for the month
of February were greatest and the least was that captured in the month of April.
The higher wind speed, the lower the concentration of the particles and the
smaller the size. The sizes of aerosols obtained show that aerosols in Nsukka
environ can cause scattering of light and hence reduce visibility in the
atmosphere, thereby posing problems for aircrafts. This type can cause some
respiratory and cardiovascular diseases when inhaled and many more diseases if
highly concentrated.
262
They are under the fine particles classification. They obey the power-law size
distribution function. Also, from the power-law size distribution function, it
indicates that the source of aerosols obtained was continental.
Control Strategies:
 The effects could be significantly reduced by controlling the emissions of
toxic substances like methane, black carbon from producing industries.
This could be achieved by not situating the industries in the proximity of
the residential areas and making sure that the height of chimney from the
ground level is high enough 9about 500m above sea level).
 Young and elderly people that are already suffering from the respiratory
and cardiovascular diseases should avoid long-term exposures in an
aerosol filled environment.
 Occupational hazards could be checked by the use of masks and protective
glasses. Uniforms should be provided for staff and laundered in a
moderately high temperature wash cycle.
 The air could be primarily cleaned through filtration method. This is the
physical removal of particulate from air using filter fibers.
 Government should endeavour to have all roads paved/tarred both in rural
and urban areas.
 Human activities for instance bush burning, deforestation that cause land
surface changes, uses of insecticides and pest control should be
minimized. Farmland should be sited far away from habitations of human
beings and farm implements should be improved and refined rather than
using the local/old methods.
 Government is encouraged to subsidize prices of conventional fuel like
gas, kerosene etc in order to minimize the use of fire wood.
 Government should ensure that oil producing industries supply unleaded
fuel to the market. Irrespective of the importance of lead for the vehicle
engine, it is very poisonous to the lungs.
 Cars having zero scrap value should be discarded from our towns and
cities because they are one of the biggest sources of aerosols.
 There should be standard enforced law on ambient air pollution, defaulters
should be prosecuted.
263
Acknowledgement
The authors wish to thank Prof. E. U. Utah of the University of Jos for his
helpful discussions and assistance at various stages of this work, Prof. P. N.
Okeke of Centre for Basic Space Science for providing us the opportunity to
use his internet facilities during the research and Dr. F. I. Ezema for all his
helpful discussions.
REFERENCES
Adetunji, J. J. and Ibrahim, S. M. (1991): Measurement of Condensation
Nucleus Concentration in the Harmattan Haze. Nigerian Journal of Physics
Vol. 3 No. 4. p. 11 – 17.
Chukwuemeka, I. K. (1990): Aerosol Concentration and Air Composition.

M.Sc. Thesis, Dept. of Physics, University of Jos, Nigeria.
Dobbins, R. A. (1979): Atmospheric Motion and Air Pollution – An

Introduction for Students of Engineering and Science. John Wiley and Sons,
USA.
Friedlander, S. K. (1977): Smoke, Dust and Haze – Fundamentals of Aerosol

Behaviour. John Wiley and Sons, Inc., New York, USA.
Hansen, J. E. and Travis, L. D. (1974): Light Scattering in Planetary

Atmospheres. Space Science Rev., 16, 527 – 610.
Hesketh, H. E. (1977): Fine Particles in Gaseous Media. Ann Arbor Science

Publishers, Inc, Michigan, USA.
Junge, C. E. (1963): Air Chemistry and Radioactivity. Academic

Publishers, New York.
Lynn, D. A. (1976): Air Pollution – Threat and Response. Addison –

Wesley Publishing Company.
264
Manson, B. J. (1965): A case study of the vertical Distribution of

Atmospheric Ozone. Journal of Applied Meteorology. Vol. 4. p. 931
– 939.
McCartney, E. J. (1976): Optics of the Atmosphere – Scattering by

molecules and particles. John Wiley and Sons, New York.
Murdoch, W. W. (1975): Response, Pollution and Society. Sinauer

Associates Inc Publishers, Sunderland, Massachusetts.
Ngadda, I. A. (1991): Effects of Aerosol Size and Concentration on

Visibility in Jos Harmattan Air. M.Sc. Thesis, Dept. of Physics,
University of Jos, Nigeria.
Pope, C. A. III and Dockery, D. W. (1999): Epidemiology of Particle

Effects. Air pollution Health Vol. 81, p. 673 – 705.
Rita, G. L., and George, L. T. (1981): Encyclopedia of Physics. Addison-

Wesley, New York.
Stockham, J. D. and Fochtman, E. G. (1979): Particle Size Analysis. Ann

Arbor Science Publishers, Michigan, USA.
Strauss, W. (1978): Air Pollution Control Part III – Measuring and

Monitoring Air Pollutants. John Wiley and Sons, Inc, New York,
USA
Tsor, J. O. (2003): Characteristics of Aerosols in the Atmosphere during

the harmattan in three Nigerian cities. M.Sc. Thesis, Dept. of
Physics, University of Jos, Nigeria.
265
Watts, R. J. (1998): Sources, Pathways and Receptors. John Wiley and

Sons, Inc, USA.
266
DATABASE OF CO2 EMISSION IN NIGERIA: A PRELIMINARY

REPORT§§§§§§§
M. O. Ofomola and G. E. Akpojotor
akpogea@niss-edu.net; akpogea@yahoo.com
Abstract
The issue of global warming has become one of the hottest topics in our
world today and the reason is because of the increasing fear of its adverse
effects. There is a growing consensus today that the increased emission of
green house gases especially carbon dioxides (CO2) which is believed to
have increased by about 30% since the Industrial Revolution, are
responsible for the overall warming of our planet. The emission of CO2 is
attributed to the high rate of energy consumption from burning of fossil fuel
such as coal, oil and gas by the major industrialized nations. By global
indices of classification, Nigeria is not an industrialized country. However,
owing to its large population and the proliferation of alternative means of
energy from fuel combustion machines, Nigeria is feared to be a major
contributor to global warming. However, there are no reliable data to
ascertain the amount of CO2 that is emitted in the country. The purpose of
our study is to accumulate a database of CO2 emission in Nigeria especially
as there is already a report by scientists at the Lawrence Livermore
National Laboratory in the U.S that the effects of global warming are for
the first time, visible on a regional scale. In this preliminary report, we
demonstrated the theoretical and the experiment approaches of estimating
the amount of CO2 that is emitted in a place (or town) and the prospect of
using this methodology to obtain a database CO2 emission in Nigeria.
Keywords: Nigeria, Environment, global warming, Carbon dioxide emissions, database
§§§§§§§African Journal of Physics Vol. 2, pp. 267-279, (2009)

267
1. INTRODUCTION
Increase in the concentration of greenhouse gases has become one of
the most harzardous impacts on our environment it has resulted into an
increase in the temperature of the earth [1-5]. It is predicted that the global
average temperature will rise by about 1.60C - 60C by the year 2100 if
current trends of green house gases emission continue [1]. This increase in
the average temperature of the earth is termed global warming: it occurs
when certain gases commonly known as greenhouse gases trap the sun‘s
heat. When sunlight reaches the surface of the earth, some of it will be
absorbed by the earth‘s surface and this warms the earth. It is a case of heat
transfer since the earth‘s surface is much cooler than the sun and radiate
energy at much larger wavelengths than the sun. Some of the longer
wavelengths are absorbed by greenhouse gases in the atmosphere before it
can be lost to space. The absorption of this long wave radiant energy warms
the atmosphere. Greenhouse gases also emit long wave radiation both
upward to space and downward to the surface. The downward part of this
long wave radiation emitted by the atmosphere is the greenhouse effect [6].
The major greenhouse gas responsible for global warming is Carbon
dioxide (CO2). Atmospheric CO2 is derived from multiple natural sources
such as volcanic out gassing, the combination of organic matter and the
respiration processes of living anaerobic organisms. Apart from these
natural phenomena, man-made sources include the burning of various fossil
fuels for power generation in the industry, transportation. Agriculture, etc
[7]. The growing belief is that increase in the man-made sources of CO2
emission are responsible for the global warming hence it is also known as
anthropogenic climate change. These man-made sources depend on the
economies of the various countries. which in turn depends on their
developmental levels. This corroborate the report that the concentration of
CO2 has increased substantially since the industrial revolution and is
expected to continue to be so [2,3].
The adverse effects of our warming planet are also global such as
precipitation, depreciation of slow cover, glacier extent, etc, all of which
are believed to be responsible for the present drying up of some lakes, rise
in the sea levels leading to flooding, etc [8]. This flooding is expected to
affect African countries on the coastline such as the southern part of
268
Nigeria [9]. There also the fears of health related problems and uncertain
effects on the Agriculture [10]. Thus in general, the geological location of a
country will determine the level of the consequences of global warming on
it. This supports the report by scientists at the Lawrence Livermore
National Laboratory in the U.S that the effects of global warming are for
the first time visible on a local scale [3].
It is surprising to note that in Nigeria, there is still no clear
leadership in tackling the issue of climate change and the predicted
consequences. While it has been a national agenda in many countries even
with relatively high CO2 emission, it is only in June 2009 that a desk office
under the auspices of the Nigeria Climate Action Network (Nigeria CAN)
was inaugurated in the Fededal Ministry of Science and Technology,
Abuja.
As we pointed out in 2005 [5], though Nigeria is not considered by
global indices of classification an industrialised nation, the amount of CO2
pumped into the atmosphere in the country can be relatively alarming when
compared to that released in some many developing countries. The reason
being that the over 140 million population based on the 1991 census which
makes her the most populous country in Africa and the 8th most populous
country in the world, means a large transport potential which may translate
into a remarkable emission of CO2. This has been aggravated by the
epileptic power supply from the national grid and deforestation in the
tropical parts of the country [3,11].
It is worthy of note that from World Environment Statistics [12],
Nigeria is ranked. 51st among 178 countries in CO2 emission with 48,145.7
thousand metric tonnes, as against the United States with a CO2 emission
of 5,762,050 thousand metric tonnes which makes her the first. This total
emission of CO2 does not indicate the variation in emission level from one
place (or town) to another in the country. Therefore, it cannot be used for
proper environmental planning and policy making. The purpose of our
study here is to have a database of CO2 emission in Nigeria. In this
preliminary report, we have demonstrated how to obtain the total amount of
CO2 emission in any given place. The plan of our study is as follows. In sec.
II, we will show how to obtain the total emitted CO2 in any arbitrary
number of litres of petroleum products. Thereafter, we will show how to
obtain the total amount of litres of petroleum products consumed in one
269
place in sec. III. The results will be presented and discussed in sec. IV and
this will be followed by a conclusion.
2. AMOUNT OF CO2 EMISSION FROM N LITRES OF

PETROLEUM PRODUCTS
The first step in developing a database of the amount of emitted CO2
is to determine the amount of CO2 in a litre of the petroleum products. Each
of these various petroleum products, however, has various ratings
depending on the quality of the parent crude oil and the refining
technology. This variation in rating is not unconnected with the increase in
importation of petroleum products in recent years owing to the inability of
the four under producing refineries in the country to meet national
consumption. As reported by Nwachukwu and Bala-gbogbo [13], the
refineries in 2008 were only able to supply the market with 37,156 metric
tonnes (mt) of petrol which is far below the 8,909 million mt for the
national consumption of petrol and 169.088 mt of diesel lower than the
national consumption of 3,215 million mt. Therefore, more than 90 % of
the national consumption of petroleum products is imported. Since these
importations are from various refineries around the world, the CO2
emission from more than 90 % of the petroleum products varies from one
importation source to another. Thus for the purpose of the database
estimation here, we will show how to determine the amount of CO2 in a
litre of the various petroleum products. This will be done from theoretical
analysis using the stoichiometric equations and then by experiment.
Theoretical Analysis
Taking into account their stoichiometric equations and molecular
weights, it is easy to obtain the amount of CO2 in a litre of petrol, diesel and
kerosene:
For Petrol (C8H18 = 114)
Amount of CO2 in 1 litre of petrol = 1 x 0.74 x 0.84 x 3.6667
= 2.27kg of CO2 = 2270g of CO2
For Diesel (C6H34 = 226)
270
Amount of CO2 in 1 litre of diesel = 1 x 0.85 x 0.85 x 3.667

= 2.65kg = 2650g.
For Kerosene (C12H24 = 168)
Amount of CO2 in 1litre of kerosine = 1 x 0.817 x 0.85 x 3.6667
= 2.55kg = 2550g.
Thus for n litres of petrol, diesel and kerosine, the amount of CO2 is
given as 2.270n Kg, 2.650n Kg and 2.550n Kg respectively. It is worthy to
note that these values can also be written in terms of their specific gravities
[14]
nØ(3.6667).
where n = no. of litres consumed
 = specific gravity (petrol = 0.74, Diesel = 0.85, Kerosene =
0.87)
Ø = Proportionality of carbon.
Experiment approach using an Eudiometer

The eudiometer looks like an autoclave built of thick glassy material
that is heat resistant. It contains two bowls, one containing the materials to
be combusted with the lighter (a resistor like device), which becomes hot
when the equipment is switched on, igniting the sample. The other bowl
contains a solution of calcium oxide which absorbs carbon (iv) oxide and
turns milky. It absorbs better if the solution is acidified.
The base of the equipment is bent to enable the steam generated by
combustion to be collected as water in a graduated container, when the
equipment cools down.
50ml of the sample is ignited inside the endiometer in the presence
of excess air, CO2 formed is absorbed by an acidified solution of calcium
hydroxide to form a milky solution of calcium trioxocarbonate (iv). The
amount of carbondioxide formed is estimated by standardising the calcium
trioxocarbonate (iv) solution using standard hydrochloric acid solution by
titrametic method.
271
Alternatively, the pressure within the eudiometer before and after the
spark can be determined by using gas equations, the volume of
carbondioxide can be calculated.
The result of combustion analysis using an eudiometer gives:
Sample A: Petrol:
Colour: Reddish
Specific gravity 0.737
50ml (36.856g) of sample A (Petrol) on combustion in the presence
of excess air yielded 113.65g of CO2 and 53g of H2O. The implication is
that 1 litre (1000ml) (737g) of petrol on combustion yielded 2,274g of CO2
and 1,040g of H2O.
Sample B: Diesel:
Colour: Brownish
50m/ (44.10g) of diesel on combustion in the presence of excess air
yielded 161.70g of CO2 and 69g of H2O. The implication is that 1 litre
(1000ml) of diesel on combustion yielded 3234g of CO2 and 1,380g of
H2O.
Sample C: Kerosine:
Colour: Light Bluish
50ml (40.85g) of kerosene in combustion in the presence of excess
air yielded 126.81g of CO2 and 56g of H2O. The implication in that 1 litre
(1000ml) of kerosene on combustion yielded 2.536g of CO2 and 1,127g of
H2O.
Therefore, from the practical approach, the amount of CO2 emission
from 1 litre of petrol, diesel and kerosene.
Observe that the amount of CO2 emitted from the petroleum products
samples used in the experiment are the same except for the slight variation
in that of diesel.
272
3. OBTAINING THE TOTAL AMOUNT OF CONSUMED

PETROLEUM PRODUCTS
It is now straightforward to develop the database of any given place once
we can obtain the total amount of petroleum products consumed over a
period of time there. Doing so for Nigeria would have been straightforward
if all the petroleum products consumed in the country are from our
refineries because the Petroleum Pricing and Marketing Company (PPMC)
of Nigeria will then be able to provide the amount of the petroleum
products supplied to various parts of the country. But as stated earlier, more
than 90% of the petroleum products consumed in the country are imported
and the importers sell their products to the oil marketers from various parts
of the country. The implication is that this arrangement makes it impossible
to get the total amount of the petroleum products consumed in most towns
from PPMC.
An alternative means to obtain estimate of the total amount of the
petroleum products consumed in any town is to get this information directly
from the fuel filling stations in that town. To demonstrate this approach, we
have used Abraka which is the host community to the Delta State
University, as a case study. Here we considered the possible relationship of
the sales of petroleum products and the possible amount of consumption of
energy resulting to the emission of CO2 to the environment. The sampling
was carried out in all the prominent filling stations in Abraka community;
Emole Nig. Limited, Texaco, Total, Buovo, Blue Point, SpringBeds, Acod
and Pellucid.
The samples were stratified to correspond to the amount of
petroleum products (Petrol, Diesel and Kerosine) consumed in the year
2008 by individuals, organizations, corporate firms, government parastatals
and transport workers in Abraka. In general, the random sample covers the
diversity of the environmental effect of the energy supply systems, since
95% of the sale of the product is utilised and consumed in Abraka.
Therefore, the amount of CO2 released from this 95% of petroleum products
gives a good estimates of the CO2 emission in Abraka.
Table 1 shows the sales of Petrol in thousand litres for 2008 in Abraka.
273
S/N Filling Sales of Petrol (in thousand litres) for 2008

stations
Jan Feb Mar Apr May Jun Jul Au Sep Oct No Dec
g v
1 Emole Nig 180 180 210 210 180 210 240 240 240 270 270 180
Ltd
2 Texaco 150 120 150 120 180 150 150 180 120 180 210 150
3 Total 150 150 180 120 150 120 120 180 150 120 150 120
4 Buovo 60 90 120 90 60 60 80 60 90 60 60 90
5 Blue Point 180 210 210 210 150 180 150 210 280 240 180 210
6 SpringBeds 210 240 240 210 240 180 240 270 230 240 230 250
7 Acod 120 150 150 90 120 120 60 90 150 150 150 150
8 Pellucid 60 30 60 30 40 50 60 30 45 60 70 60
TOTAL 1110 1170 1320 1080 1120 1070 1100 1260 1305 1320 1310 1210
Table 2 shows the sales of Diesel in thousand litres for 2008 in Abraka.
S/ Filling Sales of Diesel (in thousand litres) for 2008

N stations
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
274
1 Emole 30 30 - 45 30 - 30 20 30 - 30 30
Nig Ltd
2 Texaco 30 45 - 30 30 - 45 30 30 20 30 30
3 Total 45 30 - 30 30 30 30 20 30 30 - 30
4 Buovo 30 45 45 - 30 30 30 25 30 - 30 30
5 Blue 30 30 60 45 40 45 40 30 60 35 40 30
Point
6 SpringBe 30 30 50 45 45 45 40 30 45 30 45 30
ds
7 Acod 30 30 45 - 30 30 30 20 30 - 30 20
8 Pellucid 30 - 30 20 30 30 20 30 30 30 20 30
TOTAL 255 240 230 215 265 210 265 255 285 145 225 230
Table 3 shows the sales of Kerosene in thousand litres for 2008 in Abraka.
S/ Filling Sales of Kerosene (in thousand litres) for 2008

N stations
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
1 Emole 26 26 39 39 39 26 13 13 26 26 26 39
Nig Ltd
275
2 Texaco 26 13 20 15 26 - - 39 39 26 26 13
3 Total 15 13 13 26 - - 26 26 13 13 26 26
4 Buovo 26 26 13 13 26 13 26 26 13 - - -
5 Blue Point 15 15 15 15 25 20 15 25 20 15 10 15
6 Spring 26 13 15 26 39 39 39 39 26 26 13 13
Beds
7 Acod 26 26 13 39 39 13 13 26 26 39 26 29
8 Pellucid 15 15 15 - - 15 15 15 15 15 15 15
TOTAL 175 147 143 173 194 126 147 209 178 160 142 149

The total consumption of petroleum products for year 2008 in Abraka is:
petrol, 14,375,000 litres; diesel, 2,820,000 litres and kerosene, 1,943,000
litres (see Tables 1, 2 and 3). Therefore the amount of CO2 emitted is as
follows:
14,375,000 litres of petrol will emit 3.2689x107 kg of CO2
2,820,000 litres of diesel will emit 9.2000x106 kg of CO2
1,943,000litres of kerosine will emit 4.927x106 kg of CO2
It follows that the average CO2 emission in Abraka per day will be
128,104 kg which is equivalent to an emission of 1,220 ppm. This is less
than the world health organisation (WHO) stipulated maximum of 20,000
ppm and therefore according to Greiner [15], this quantity is not high
enough to cause health hazard. However, the CO2 emission is about 3 times
higher the global concentration of atmospheric CO2 which has increased
from 280 ppm in 1700 to over 370 ppm today [4].
Ndoke et al [16] in their study on the contribution of vehicular
traffic to CO2 emissions in Kaduna and Abuja using CO2 measuring
276
gadgets shows that an average of 1160 – 1840 ppm of CO2 is emitted in the
area. Also, Ndoke and Jimoh [17] in an earlier similar study for Minna,
observe that the CO2 concentration in the area was as high as 5000 ppm.
With these results, it is expected that the CO2 emission in cities like Lagos
and Port-Harcourt with high population density and increase economic
activities may have reached alarming levels.
5. CONCLUSION
The major greenhouse gas is atmospheric CO2 which is believed to
have increase by about 30% since the industrial revolution. It is emitted
from the world major sources of energy, which is burning of fossil fuels
such as coal, oil and gas. The large population, poor power supply from the
national grid and deforestation makes Nigeria a potential high CO2 emitting
country. However, there is no database of CO2 emission to initiate actions
to study and predict the nature of the possible impacts of global warming at
a local scale within the country. This is the project we have embarked upon.
Getting data on consumption of petroleum products in various parts of the
country from government agencies have been a herculean task. The
methodology we have developed in this preliminary report is to get such
data from the oil marketers operating in our places of interest. It is therefore
hoped that we can use this methodology in all parts of the country and then
be able to develop a database of CO2 emission in the country which will
become very useful to researchers, town planners and policy makers.
Acknowledgement
We appreciate the kind assistance of the Abraka branch of the Oil
Marketers Association of Nigeria for providing us their monthly sales
output in 2008. We also appreciate the useful discussion with Dr Edmond
Atakpo. This work is supported in part by AFAHOSITECH.
277
REFERENCES
[1] Inter-governmental Panel on Climate Change (IPCC). Climate Change
2001: The Scientific Basis: Contribution of Working Group I to the
Third Assessment Report of the IPCC. Houghton J, Ding Y, Griggs
M, et al, eds. Cambridge, England: Cambridge University Press
(2001).
[2] Inter-governmental Panel on Climate Change, I.P.C.C Report (1995),
Atmosphere, Climate and Environmental Information Programme,
Climate Research Unit, University of East Anglia, Norwich, UK
[3] K Walter, The outlook is warming with measurable local effects,
Science and Technology Review, The Regent of the University of
California, pp4-12, May (2004).
[4] A. Parker, The Siren Call of the seas: Sequestering carbon dioxide,
[5] G. E. Akpojotor and T. Akporhonor, Global Warming: Methods to
sequester the increasing emitted CO2 in Nigeria. Proceedings of the
International Conference on Science and Technology, FUT, Akure,
Nigeria, pp 460-463, August (2005)
[6] D. Pearce, Report 3. Green Heat and Power. Eco-effective Energy
solutions in the 21st century, Available at: http://www.bellona.no
(1998).
[7] F. C. Albert, Man-made sources of carbon dioxide, Heineman
Educational Books Ltd, London. pp 10-12 (1987).
[8] See Effects of Global Warming,
http://environment.nationalgeographic.com/environment/global-
warming/gw-effects.html
[9] A. Raufu, Africa underwater: Nigeria's coastline is besieged by
Global Warming, The Environmental Magazine,
http://findarticles.com/p/articles/mi_m1594/is_2_13/ai_83667620/,
March-April, (2002)
278
[10] A. Parker, Climate change and Agriculture: change begets change,

[11] K. A. Small. And C. Kazimi, On the costs of air pollution from
motor vehicles. J. Transp. Econ. Policy 29: 7 – 32 (1995)
[12] World Resources. World Resources Institute in collaboration with the
United Nations Environment Programme and the United Nations
Development programme Oxford University Press, New York, NY,
USA (1992).
[13] C. Nwachukwu and E. Bala-gbogbo, Global meltdown hitting us
where it hurts, Next, 234next.com. Timbuktu media (2009).
[14] A. Marion, Mathematical Approach to Carbondioxide Measurement
and Extraction (Unpublished)
[15] T. Greiner, Indoor air quality: carbon monoxide and carbon dioxide,
Iowa state University Extension Publication No. AEN-125 (1995).
[16] P.N, Ndoke, U.G. Akpan and M.E. Kato, Contribution of Vehicular
Traffic to Carbon Dioxide Emissions in Kaduna and Abuja, Northern
Nigeria. Leonardo Electronic Journal of Practices and Technologies,
5(9), pp 81-90 (2006).
[17] P.N, Ndoke, and O. D. Jimoh, Impact of Traffic Emission on Air
Quality in A Developing City of Nigeria.
www.journal.au.edu/au_techno/2005/.../vol8n04_abstract10.pdf
pp222-227 (2005)
279
TECHNO-ECONOMIC ANALYSIS OF A BIOGAS PLANT FOR AGRICULTURAL

APPLICATIONS: A CASE STUDY OF CONCORDIA FARMS LTD,
PORTHARCOURT********
L.M. S. Tobira
Department of Mechanical Engineering, University of Nigeria, Nsukka, Nigeria.
e-mail:tamsimeone@yahoo.com
Abstract
A techno-economic analysis of generating biogas using a fixed dome
digester coupled with a solar collector through a heat exchanger has been
studied for Concordia Farms Limited. This gas when generated from
organic waste on the farm could replace power-generating plant in the farm
and save the huge cost (in naira) consumed by the private power plant in
generating energy for the farm. Mathematical computations have been
made to optimize different analysis, namely; organic waste generating
capacity of the farms, volume of digester suitable for the farm, energy
requirements/needs of the farm, available energy sources of the farm and its
biogas generating potentials. The design criteria for thermal heating of an
active, fixed-dome type biogas plant is presented with the effects of heat
exchanger and collector panel incorporated in the thermal analysis.
Increasing the flow rate of the working fluid between the heat exchanger
and the collector loop can optimize the thermal efficiency. The economic
analysis takes into account, capital and maintenance costs, life of the
project, priced and unpriced benefits of owning a biogas plant. Priced
benefits involves cost valuation (in naira) of the various fuels used e.g. fuel
wood, kerosene, PMS, diesel and time and labour etc. which becomes the
******** African Journal of Physics Vol. 2, 280-299 (2009)

280
cost saved/avoided by owning a biogas plant. The benefit – cost ratio,

internal rate of returns and net present values, cost-payback and energy
payback of the investment are also computed to establish the viability of the
proposed biogas project.
1.0 INTRODUCTION
The energy crisis in the early 70‘s caused economic problems for many
countries that depend on imported oil and gases. With the high cost and instability
in the price, non-renewability of petroleum products as well as the growing
environmental concern (global warming) on burning of fossil fuels, the need for a
renewable and more environmentally friendly fuel has become imperative. The
exploitation of new energy sources and the adoption of new energy conversion
technologies became necessary towards reduction of enormous organic waste
generated especially in the integrated farms and providing an alternative,
environment compatible, cheap source of renewable energy for such farms – in
Nigeria. Huge quantities of organic waste running into several hundreds of tons
are generated in integrated farms a year. At the same time, these farms spent huge
sums of money on electricity bills, operating private power generating plants, fuel
wood, kerosene, etc. to meet energy needs of farm.
Biogas (also called ―Marsh gas‖), a by-product of anaerobic decomposition
of organic waste has been considered as an alternative source of energy. Wiley
(1996) noted that the common raw materials for biogas generation are often
defined as ―waste materials‖, e.g. animal manure, sewage sludge and vegetable
crop residues, all of which are rich in nutrients suitable for the growth of
anaerobic bacteria.
The interest in the present paper is therefore to produce biogas from animal
dungs generated on the this farm that can be used as a cheap, renewable source of
energy on the farm. It is also the aim of this work to compare the cost of owning a
owning a biogas plant by the farm with that of buying fossil fuels.
2. METHODOLOGIES AND MATERIALS

This project was conducted by using a triangulation method consisting of:
literature review, background research/case studies and direct interviews. The
literature review and background research provides an initial overview of biogas.
These sources described what biogas is, how it is produced, and how it could be
281
used. The literature review transcribed what studies have been done in reference
to biogas and current projects using biogas technology. To increase the validity of
the project, only recent journal articles were reviewed.
Background research and case studies were reviewed and will serve as a
comparison to the potential Concordia farms project and provide information as to
the size, capacity, and type of biogas plant that would best suit Concordia farms
limited. Interviews were conducted to several local farm workers about organic
wastes including farmers, farm manager, and farm equipment
operators/maintenance workers, and marketers. The verbal interview questions
were reviewed and passed by Concordia farms Office of Research Ethics.
Approval from the Research Ethics office was needed to interview the manager
and farmers. Interview participants were selected from criteria, which were based
on the proximity of the participants to the farm, and the volume of wastes that
could be generated. Maximum waste could be collected from such farm as
compared to slaughters‘ wastes. Participants were contacted directly.
Series of questions were asked regarding where the waste goes currently,
farms sources of energy, farm‘s cost on energy, energy needs of the farm and
whether they would be willing to donate their organic waste if a biogas plant is
built on the farm for biogas generation, and the sludge used as manure in
agriculture. The collected data was taken and assessed to determine extra amounts
of organic waste needed for the biogas plant. The economic feasibility of the
biogas plant was conducted with all data collected. This was be followed by a
discussion, recommendations and alternatives for the feasibility of this project.
This method of triangulation attempts to use the most recent and innovative
technologies to minimize potential operational and start-up problems. This
method also emphasizes the benefits a biogas operation would have on the local
community and Concordia farms limited
The farms have the following number of animals and poultry as sources of
dung generation for biogas; 3500 – Birds, 400 – Pigs, 200 – Sheep, 300 – Cows
The type, quantity, and cost of energy consumed per month by the farm are as
follows;
- Fuel wood 20,000kg/month N128, 000.00
- Kerosene 7000 litres/month N330, 750.00
- Diesel 10,000 litres/month N542, 750.00
- P.M.S 10,000 litres/month N514, 000.00
- Charcoal 3500kg/month N8, 750.00
282
3. OBJECTIVE OF THE STUDY

 To provide an alternative source of energy to the farm hence reduce its over
dependency on fossil fuels
 -To produce a cheap, environmentally friendly energy for the farm use
 To convert the huge organic waste generated on the farm into useful energy
hence enhancing good farm hygiene and reducing expenses on fossil fuels
 To increase farm outputs and reduce inputs
 To integrate biogas technology
4. LITERATURE SURVEY
Biogas is produced by decomposition of biomass and animal wastes, human
excreta, sewage sludge and vegetable residues and poultry wastes by decomposer
organisms like bacteria under anaerobic (airless) condition. This process is
favoured by warm, wet and dark conditions. This involves chemical and
biological processes known as “anaerobic fermentation”, but “digestion” is
often used in anaerobic conditions, that lead to methane production.
Biogas consists of 70% methane [CH4] and 29% carbon dioxide [CO2],
and 1% of hydrogen sulphide [H2S], nitrogen [N2], and some hydrogen [H2]. It
has a calorific value of 20Mj/m3. Biogas is generated from the slurry [50% water
and 50% dung] at an average temperature of about 35OC by chemical waste and
biological process called anaerobic fermentation. The optimum temperature for
maximum production of biogas from slurry is about 37oC. The quantity of gas
production depends on the nature of dung used. The optimum temperature of
maximum production is achieved after a number of days, referred to as retention
period, after feeding the slurry into the digester of the system. The production of
gas starts only after the retention period. Supplying thermal energy to the system
by external means, i.e. by heating slurry using either passive or active method,
can reduce the length of the retention period.
The anaerobic digestion of organic material is a very complicated
biochemical process, involving hundreds of possible intermediate compounds and
reactions, each of which is catalyzed by specific enzymes or catalysts. However,
the overall chemical reaction is often simplified to:
Organic matter anaerobic CH4 + CO2 + H2 + NH3 +H2S…………(1)
Digestion
In general, anaerobic digestion is considered to occur in the following stages:
283
 The hydrolysis phase – liquefaction or polymer breakdown.

 Acid formation phase
 Methane formation.
In a biogas plant, all the three phases occur simultaneously and if only one
phase dominates, production of methane is seriously affected.
There are three main types of biogas plants suitable for integrated farms –
the fixed dome digester plant, the floating drum digester and the plastic covered
ditch. In this work, the fixed dome digester was used. Biogas has many
applications in integrated farms some of which are:
a). Biogas serves as a cooking fuel for farmers.

b). Biogas is used for lighting purposes on the farm.
c). Biogas lamps are use to warm birds and animals.
d). It is also possible to power an internal combustion (IC) engine that may
be found on the farms setting.
5. RESULTS AND DISCUSSIONS

5.1 Energy Audit and sizing of digester
The various forms of energy consumption per month and cost distribution account
were analyzed in this sub-section. The energy audit computed in table2 below is
based on fossil fuels used by the farms. From this table, Concordia farms utilize
1,218,111.25 Mj of fossil fuel per month (14,617,335 Mj per year) at a huge cost
of N1, 524,250.00 per month, (N18,291,000.00 per year).Table1 show heating
values of fuels used in the farm
Table 1: Heating vales of some fuels

Fuels Heating values (kj/kg) Heating values (Mj/kg)
Kerosene (paraffins) 46250 46.25Mj/kg
Fuel wood 12, 000 12 Mj/kg
Charcoal 9000 9 Mj/kg
Diesel (AGO) 46,000 46 Mj/kg
Motor petrol 46,800 46.8Mj/kg
[EASTop & McKonkey (1999)]
284
Also, in order to design a digester of an appropriate and suitable capacity

of 681.3 M3 for the farm, the influent in (Kg) generated from livestock on the
farm were computed as seen in table3 and Fig.1 used in sizing the digester.
Table 3: Calculated Influent/day for Sizing the Farm Digester
Kinds Population Discharge per TS value of Total influent

day (kg) fresh for each kinds
discharge (Kg)
(% by wt)
Cow 300 10 16 6000
Chicken 3,500 0.10 20 875
Pig 400 6 20 6000
Sheep 200 1.5 20 750
Total Influent generated on farm/day 13,625
With a hydraulic retention time (HRT) of 40 days, and Total influent (Q) of
13,625Kg, the digester volume was determined using the formulae
0.8V=Q  HRT (1000Kg=1M3)……………………………………………(2)
From equation (1.2), the digester size is computed to be 681.3 M3
285
Fig.1: Calculated Dimensions of the cylindrical shaped biogas digester
Table 4: Biogas Energy Audit of the farm
Material Quantity (kg) Gas yield per Total yield of biogas/

day (M3) per day (M3)
Cattle dungs 3000 0.36 1,080
Sheep wastes 300 0.10 30
Pig droppings 2400 0.25 600
Poultry droppings 350 0.0112 3.92
Total volume of biogas yield per day 1,713.92
With 6,050kg of organic waste, 1,713.92 (M3) of biogas will be yielded

per day. This indicates that in one month, a total of 1,713.92 x 30 = 51,417.6 M3
of biogas will be generated in the farms. Since 1M3 of biogas is equivalent to
0.4kg of diesel, 0.6kg of petrol, 3.5kg of fuel wood, and 0.8kg of charcoal and
0.5kg of kerosene. One can say that generating 51,417.6M3 of biogas in a month
is equivalent to buying.
286
20,567.04kg of diesel/month = N1, 601,027.066 cost/month

30,850.56kg of petrol/ month = N2, 938,148.57
179,92.16kg of fuel wood/month = N1, 151,757.824
41,134.08kg of charcoal/ month = N102, 835.20
25,708.8kg of kerosene/ month = N2, 666,097.778
which is far more than the quantities Concordia farms purchase per month as
reflected in the energy analysis.
Also, a total of 51,417.6 m3 x 6,300 Kcal /m3 = 323,930,880 kcal of
energy will be available to the farm in a month. 323,930,880 kcal = 3.2393088 x
1011 cal = 1.355909881 x 1012 joules = 1,355,909.881Mj of energy. This amount
of energy is far more than the calculated 1,218,111.25 Mj of energy consumed on
the farm per month.
So, the biogas generation prospects of the farm can actually meet the energy
needs of Concordia farms. This amount of energy can be utilize in cooking,
lightening, heating, warming etc. on the farm
5.2 Thermal analysis of the biogas plant

Result obtained from calculations reveal a thermal efficiency of 25 %.This
value shows poor efficiency of the heating system of the plant.It is obvious that
the various heat losses to the ambient and ground is responsible for the value
obtained.There is a significant decrease in thermal efficiency by the unglazing
effect due to reduced solar flux at the absorber of collector plate caused by
covection. The losses should be a minimum. The expression for thermal
efficiency is given below
 t  ms C s (Ts  Tso ) /I (t ) NAc t ) 
1  exp(at )/( atNAc ) F (t ) / U L   ams C s (Tso  Ta ) I (t )................(3)
287
2000
1800
1600
1400
1200
Vb [M ]
3
1000
800
600
400
200
0
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
Figure 2: Graph of percentage total PTS [%]
solid vs volume of biogas generated
As seen in figure 2, the volume of biogas generated increases as percentage total

solid increase.In this research work,the total volume of biogas generated per day
stand at 1713.92 M3 and from the graph one can easily determine the average
PTS value to be 25.5 % .A marginal increase in PTS results in a geometrical
increase in the volume of biogas produced.
288
700
600
500
Vd [M ]
400
3
300
200
100
0
0 2000 4000 6000 8000 10000 12000 14000
Figure 3 Graph of digester volume Vd vsQ [Kg] Q at HRT of 40 days
substrate
1800
1600
1400
1200
Vd [M ]
3
1000
800
600
400
200
0
10 20 30 40 50 60 70 80 90 100
Figure 4: Variation of Vd with HRTHRT [days]value of 13,625 Kg
at substrate
289
290
291
Figure 5: Cost Distribution of 681.3 m3 Biogas Plant
As seen from result above, iron rod, iron wire and wood consume the highest
amount of construction cost of the digester plant representing 41.14%. Other
major costs are; sand & chippings, cement, and labour while digester accessories
gulp the list cost.
Cost payback time

Payback=capital cost/annual energy cost savings
Payback=5,954,100/18,214,175 = 0.33 years.
Energy payback time
Payback=1,218,111.25/1,355,909.88 = 0.9years
292
5.3 Economic Valuation of Firewood and Charcoal

Use of firewood for cooking by a farm has negative effective on the
density of forest area in the locality, which in turn affects the microclimate of the
area and thus the society. Therefore, economic price of firewood has to be higher
for society than to an individual resulting into higher economic rate of returns on
the investment.
It is yet to be declared a single value for fuel wood that would reflect the
social cost or benefit of it. Some authorities have treated firewood as non-traded
goods and value it at lower than the financial price. Others value it at a percent
higher than the financial price. Still, other authorities have taken economic price
of firewood as 20 percent higher than the financial price.
5.4 Economic Valuation of Kerosene, p.m.s and Diesel

It is easier to arrive at the economic value of kerosene/PMS/Diesel as it is
readily marketed and the money value of subsidy in it can be calculated. In
Nigeria, petroleum products are refined locally and imported from oversees – for
imported goods; payment is made in US dollars. Assuming that the official
exchange rate between Nigeria‘s Naira and the US dollars would fully reflect the
true economic value of goods traded with these currencies, the border price paid
by Nigeria is taken as the economic price of these products, while the cost of
production is the economic price when locally refined. About 10 percent is added
to this price to reflect the economic cost involved in transportation and handling
of kerosene/diesel/PMS within the country.
5.5 Economic Valuation of Labour

The use of biogas results in the saving of unskilled labour time. A wage
rate for unskilled labour has to be reduced by a factor that would reflect the cost
of large-scale farming. Gautam used a factor of 0.65 to arrive at the economic
wage rate of an unskilled labour (Gautam, 1988).
5.6 Valuation of Slurry

Slurry is valued for its content of soil nutrients, particularly N.P.K. As all
chemical fertilizers in Nigeria is imported, the economic values of N, P and K are
calculated at the international market price of N. P and K fertilizers.
293
5.7 Investment Cost

The guarantee fee (if any) and service charge taken by biogas builders
should be deducted from the total investment, as they are only transfer of
payments. The subsidy (if any) should be included as part of the investment cost.
The total expenditure actually incurred for construction activities should be
reduced by a factor to reflect the true economic cost of materials and labor used in
construction. Gautam used the weighted average construction factor of 0.76 in the
case study referred above.
It is seen from the above that the economic cost of goods and services
used for biogas plant installation become lower than the costs used for financial
analysis. Also, the benefits of biogas use are valued at higher rate for economic
analysis than the financial analysis. Therefore, any plant that proves to be
financially viable to an individual user will still be viable at higher rate of return
from the economic or social point of view.
6.0 CONCLUSION
The choice of owning a biogas plant depends on; (1) the availability of
sufficient organic wastes which serves as raw material or input. (2) The energy
needs or requirements of the environment, it is to be installed. The volume of the
biogas plant will also depend on the amount of waste generated within the
locality and the amount of energy needed for consumption.
In the case study farm, we found out that the waste generation per day ran
into several thousands kilograms. This greatly influences the biogas digester
volume designed for these farms. Also, the amount of energy consumed per
month and resultantly per year ran from a million per day to several millions
mega joules per year.
In the thermal analysis, the instantaneous efficiency of the biogas plant
was used for the design of the active biogas system with a given heat capacity
(Ms Cs). From the economic point of view, the net cash flow of a 681.25m3 active
biogas plant without subsidy is positive in the first year. This indicates that
without subsidy, a user can still invest to get a positive return on investment. This
is not beyond the investment capacity for a commercial or large-scale or
mechanized farmer. Though there is still need for subsidy to encourage this
technology. Another factor noticed in the economic feasibility is the higher
benefit of biogas plant use in terms of petrol, diesel and kerosene saved. This
suggests that the biogas plant may not be viewed as profitable if these savings are
not used for generating more income by ploughing back these savings into the
294
farming business. Also, the biogas will be profitable if the labour saved is used for
generating income for the farm and the farm must attach values to all other
benefits of the biogas plant such as leisure, clean home stead/farm stead, and
better health.
Further more, the profitability of investment in biogas will increase with
the increase in the price of firewood, kerosene, diesel, etc. in the future. So far,
we have analyzed the organic waste generation of the case study farms, its energy
requirements, and we have compared its biogas generation prospects with energy
requirement. The economy studies also reveal the viability of a project of
installing an active biogas plant in Concordia farms Limited. Biogas is a potential
renewable energy source for rural Nigeria. Taking biogas generation as a farm
base activity, the energy requirements of these farms can be meet.
From these analyses, I come to the conclusion that the designed biogas
plant will be suitable for this farm.
REFERENCES
Adhikari R.S, Adhikari Kumar Ashvini, Garg H.P, [1999], ―Techno – economic
analysis of a multistage stacked tray (MSST) solar still‖. Solar energy
center, MNCES, Lodi Road, New Delhi.
Agunwamba J.C, ―Waste engineering and management tools‖ , (2001),

Immaculate publications Ltd, No.2 Aku street, Ogui N/layout, Enugu,
Nigeria.
Igoni A.H, Abowei M.F.N, Ayotamuno, M.J and Eze C.L. ―Effect of Total Solids
Concentration of Municipal Solid Waste on the Biogas produced in an
Anaerobic Continuous Digester‖. Agricultural Engineering International:
the CIGR Ejournal. Manuscript EE 07 010. Vol. X. September, 2008.
Appropriate Rural Technology Institute (ARTI), ―Compact digester for

producing biogas from food waste‖, http://arti-india.org/. Retrieved on the
4/30/2007.
APROSC (1988) Impact Evaluation of the Asian Development Bank Assistance
at Farm Level in Nepal; A Case Study on Biogas Plants (by K.M
Guatam). APROSC Kathmandu
295
Arene C.J. ―Introduction to the Economic Analysis of Projects in Tropical

Agriculture‖, (1998), Fufladu publishing co. B1 Umeano Estate, college
Road, P.O.Box, 954, Nsukka, Nigeria.
Berg C. (2004), World Ethanol Production and Trade - A qualitative analysis,

world ethanol conference, 5-7 November 2003, London, UK.
Banerjee, S, (1996): The Enemy Within. Down to Earth,Vol.7, No.1, pp29-42
Dioha I.J, Gulma M.A, and Nabade K., ―A modified 10 m3 fixeddome community
biogas plant‖. Nigeria Journal of Solar Energy, vol.14, pp.126-134
(2003).
East Consult (1994); Biogas Users Survey 1992/93. Biogas Support Programme,
SNV/N, Kathmandu.
Eastop T.D and McKonkey A., ―Applied thermodynamics‖ , (1999), Addison

Wesley Longman Ltd. Edinburgh Gate Harlow. Essex cm 202 JE,
England.
Furlan G., Rodriquez H., Violini G., Proceeding of the first Latin American
School and third International Symposium on ―Non-conventional energy
sources‖, A.C.F SERIES – vol.3, Bogota, Columbia, 13 – 30 July (1982),
world scientific publishing Co pte Ltd. P.O.Box 128, Fairer Road,
Singapore.
Tiwari, G.N, International Journal on Solar Energy 4, 25 (1986).
Gerbard Knothe, Analyzing Biodiesel Standards and Other Methods, J.A, Vol.83,
10 (2006).
Gittinger, J.P (1982), Economic Ananlysis of Agricultural Projects, EDI series in

Economic Development, the World Bank USA.
Gustavsson Mathias, ―Biogas Technology – Solution in Search of its Problems‖;

A study of small scale Rural Technology Introduction and Intergration
[March 2000], Goteborg University.
Hamilton C., Biofuels Made Easy, Presentation to Melborne Branch, 18 March

2004
296
Cost-Benefit Analyses of Biogas Production

(http://www.unu.edu/unupress/unupbooks/80434e/80434E0K.htm)
CAR, I.(1976). The Economics of cow-dung gas plants (A Report), Indian Council
of Agricultural Research, New Delhi, April.
Jo Lawbuary, ―Install a Biogas Plant to eliminate drudgery of women‖.

www.biogastechnologyinindia Retrieved on the 4/30/2007.
Singh K.K, Thermal Analysis of Solar-assisted Biogas Community Plant. Ph.D

Thesis, L.N. Mithilia University, Daibhanga India (1989).
Licht, F.O.(2003), World Ethanol and Biofuel Report vol.1, No.19, 12 June 2003.
M.M El-Halwagi. London, Elsevier Applied Science Publishers: 661-664
Iloele, O.C Power Plant Engineering, Lecture handbook, 2004.
Osakwe, E.N.C (2008),‘‘Biogas Plant Construction Project‘‘, A Proposal, Pope
John Paul II Major Seminary, Awka,2008.
Polprasert, Chongrak, ―Organic waste recycling technology and management‖,
(1996). John Wiley and sons Ltd, Baffins Lane, Chichester west Sussex
PO19 IUD, England.
Price, E.C., and Cheremisinoff, P.N. (1981). Biogas Production and Utilization.
Ann Arbor Science, Ann Arbor.
Rady, H.M (1993), Renewable Energy in Rural Areas of Developing Countries.
Rural Energy – Medium and large-scale biogas systems in the Asia-pacific

Region (1995) ISSN 1011 – 6443 RAP Bulletin, 10th Anniversary. RAPA,
Bangkok, Thailand.
Rutamu Innocent, ―Low cost biodigesters for zero grazing small-holder daily
farmers in Tanzania‖, Livestock research for Rural Development (II) 2,
1999.
Rubab, S and Kandpal T.C (1996) A Methodology for Financial Evaluation of
Biogas Technology in India Using Cost Functions, in Biomass & Energy,
297
Editors J. Coombs, D.O.Hall,R.P.Hall and W.H. Smith, Vol.10, No1.,

ISSN 0961-9534 Elsevier Science Ltd, United Kiingdom.
Edelugo, S.O., Analysis of Capital Investment, Lecture handbook, 2007.
Enibe, S.O., Advance Thermodynamics III, handbook 2004.
Enibe S.O., Power Plant Engineering, Lecture Handbook, October 1998
Singh et al (1995), Effect of Biogas Digested Slurry on Pea, Okra, Soybean and
Maize. Biogas forum. Volume FV, N0. 63. pp 4-7.
Jackson T., Stockholm Stovkholm, Environmental Institute (SEI) 177-184.
Tam, D.M. and Thanh, N.C. (1981). Biogas Technology in Developing Countries:
An Overview of perspectives. ENSIC Review 109. Environmental
Sanitation Information Center, Asian Institute of Technology, Bangkok.
Technology of Biogas Production and Applications in Rural Area (1989). Report
by World Energy Conference, London. United Kingdom.
The energy story. www.energyquest.ca.gov/story/index.html.
―How Hydrogen Power Can Save America‖–Wire Magazine

(www.wired.com/wired/archive/11.04/hydrogen.html)
How a Fuel Cell Works-How Stuff Works

(www.howstuffworks.com/fuel-cell.html)
National Energy Technology Laboratory (www.netl.doe.govl/)
Tiwari G.N, Singh S.K, and Tharkur Kailash, [1999], ―Design criteria for an
active biogas plant‖, Energy vol. 17, No.10, pp.955-958, 1992.
Tiwari G.N.,―Fundamentals, Design, Modeling and Applications, Solar Energy‖

(2006), Norosa publishing house, New Delhi Chennai Mumbai Kolkata –
India.
298
Tiwari, G.N, International Journal on Solar Energy 4, 25 (1986).
USMANI J.A.,TIWARI G.N., CHANDRA A. [1995], Performance

―characteristic of a greenhouse integrated biogas system‖, Energy
Conservation and management. Center for energy studies, Indian Institute
of Technology, Delhi India.
ViJay V.K, Prasad R.,Singh J.P and Sorayan V.P.S, [2000], ―A case for Biogas
energy application for rural industries in India‖. Center for Rural
Development, IIT, New Delhi, India.
Wind for Electricity Generation (http://www.windpower.dk)
299
F-LAYER PEAK ELECTRON DENSITY VARIATIONS IN THE

IONOSPHERE††††††††
S.E.Onwuneme
Department of Physics University of Port Harcourt
Email:seoleo2@yahoo.com
Abstract
F-layer peak electron density (NmF2) and height (hmF2) are important
ionospheric characteristics for planning and operation of navigation and
communication systems. These parameters were investigated in Port Harcourt
(4.500,7.000), during a year of high solar activity (2000) and a year of low solar
activity (2006).It was observed that NmF2 have two peaks one in May and the
other in October; its value is also enhanced during high solar activity. Generally it
was also noted that NmF2 is higher in value during the day time than night. hmF2
also exhibits variation with a peak occurring at 12 LT both for year of high and
low solar activity.
1. INTRODUCTION
The Earth‘s atmosphere is categorized into five regions at increasing height
from the Earth‘s surface, the troposphere, stratosphere, mesosphere, thermosphere
and exosphere. The two outermost layers of the Earth‘s atmosphere, the
thermosphere and exosphere, starting at about 75km from the Earth‘s surface are
sufficiently thin that ultraviolet radiation causes them to be ionized; electrons are
knocked out of atoms by photons, and the sparsity of the atmosphere allows them
to live free for some time before recombining with a nearby positive ion. This
plasma of free electrons and positively charged atomic ions is known as the
†††††††† African Journal of Physics Vol. 2, pp. 300-307, (2009)

300
ionosphere. The ionospheric characteristics exhibit significant variations with

solar cycle, season and local time, etc., which results from changes in the solar
extreme ultraviolet (EUV) and X-ray radiations, and from various chemical and
dynamic processes [e.g., Balan et al.,1994a, 1994b; Evans, 1965; Kane, 1992;
Kawamura et al., 2002; Richards et al., 1994b; Richards, 2001]. Studies of
variations of NmF2 and hmF2 are useful in investigating the physical processes
responsible for the ionospheric behavior .Moreover, the knowledge of NmF2 is
important in determining the ionospheric time delay of a radio wave in a satellite-
to-ground radio communication; Electron densities are useful because local
changes in terrestrial environment can induce variations in electron densities
which can produce inaccuracies in navigational satellites systems, global
positioning systems, satellite to ground receivers, Radio Astronomy, Orbit
Determination and other systems that operate within this region of space. A study
of how the NmF2 and hmF2 vary in the ionosphere will go along way in defining
the background ionosphere for radio wave propagation and other space weather
experiments. Electromagnetic waves, such as GPS signals, experience time delays
when traversing the ionosphere (Ratcliffe, 1959). Fluctuations in ionospheric
electron density can lead to an azimuth shift modulation in synthetic aperture
radar (SAR) imagery, which can be detected using satellite radar interferometry
SRI (Laurence 2000). For HF radio communication a good knowledge of the
heights and Electron density of the reflective layers of the ionosphere is critical
for continuous and high quality radio reception. HF communication is still of
great importance in many remote locations on our globe and for some specialized
military applications, Radio and television operators (satellite's communication).
In this work, I investigated the variations of the F-layer peak electron density
(NmF2) and height (hmF2) in Port Harcourt (4.500N,7.000E ).These variabilites
are important parameters for many space weather related application (spacecraft
design, internal/surface charging, sensor interference, satellite anomalies, loss of
navigation signal phase and amplitude lock) because an operator quite often not
only needs the most likely values of these Ionospheric parameters but also a
measure of how far the actual value can stray from the median prediction. Thomas
(1968), using solstice data from 1958, studied the north-south asymmetries in the
critical frequency foF2 and the height hmF2 of the F2 peak, derived partly from
N(h) analysis and also from the M3000 propagation factor scaled from ionograms.
In general foF2 is greater and hmF2 lower on the winter than on the summer side.
Annual and semiannual variations in the F2-layer, particularly the latter, still
present something of a problem. Their morphology has long been studied with the
aid of ionosonde data. Yonezawa (1967) used extensive data from two stations
within 1° of the geomagnetic dip equator but in opposite geographic hemispheres,
301
Huancayo (Peru, 12°S) and Kodaikanal (India, 10°N). He was largely concerned
with distinguishing `seasonal' and `non-seasonal differences in the annual
variation of NmF2, which need rather complicated formulas for their description.
He noted that semiannual variation is simpler, with consistent peaks in April and
October.
2. DATA SOURCE
The data used for this work was collected from the International Reference
Ionosphere (IRI).The International Reference Ionosphere (IRI) is a widely used
standard for the specification of ionospheric parameters and is recommended for
international use by the Committee on Space Research (COSPAR) and the
International Union of Radio Science (URSI). It data sources include worldwide
network of ionosonde stations that has monitored the ionosphere with varying
station density since the nineteen-thirties, rocket measurements and other
incoherent scatter (IS) radars, satellite data from in situ and topside sounder
instruments.
We collected data of NmF2 and hmF2 for Port Harcourt (4.500, 7.000) during
a year of high solar activity (2000) and during a year of low solar activity (2006);
the data was analyzed and the pattern of seasonal and diurnal variations of NmF2
& hmF2 were noted. We collected data for all the months of the years under
consideration.
3. RESULTS
In order to investigate the pattern of NmF2 variation in a year of high solar
activity some days were selected in the months of January, April, May, July, and
October of the year 2000, which is a year of high solar activity . The Graph is
represented in figure 1; while figure 2 represents that for a year of low solar
activity 2006.
Figures 3 and 4 represent the variations of hmF2 in a year of high and low
solar activity respectively.
In figure 5 we plotted the NmF2 in 2000 and 2006 to compare their pattern of
variations; while in figure 6 a plot of hmF2 was made in the same years.
302
2500000
2000000
NmF2 01
NmF2 (m-3)
1500000 NmF2 04
NmF2 07
1000000 NmF2 10
NmF2 05
500000
0
0 5 10 15 20 25 30
Local time (hrs)
Figure 1: Diurnal variation of maximum electron density in a year of high solar

activity (2000) (Jan, April, July, Oct and May)
1600000
1400000
1200000 NmF2 01
NmF2 (m-3)
1000000 NmF2 04
800000 NmF2 07
600000 NmF2 10
400000 NmF2 05
200000
0
0 5 10 15 20 25 30
Local time (hrs)
Figure 2: Diurnal variation of maximum electron density in a year of low solar

activity (2006) (Jan, April, July, Oct and May)
303
500
450
400
350 hmF2 01
hmF2 (km)
300 hmF2 04
250 hmF2 07
200 hmF210
150 hmF2 05
100
50
0
0 5 10 15 20 25 30
Local time (hrs)
Figure 3: Diurnal variation of F2 peak height in a year of high solar activity

(2000) (Jan, April, July, Oct and May)
450
400
350
300 hmF2 01
hmF2 ( km)
hmF2 04
250
hmF2 07
200
hmF2 10
150 hmF2
100
50
0
0 5 10 15 20 25 30
Local time (hrs)
304
Figure 4: Diurnal variation of F2 peak height in a year of low solar activity (2006)
(Jan, April, July, Oct and May)
2500000
2000000
NmF2 (m-3)
1500000
NmF2 06
NmF2 00
1000000
500000
0
0 2 4 6 8 10 12 14
Local time (month)
Figure 5: Comparism of annual variation of maximum electron density in a year

of high/low solar activity
500
450
400
350
hmF2 (km)
300
hmF2 2000
250
hmF2 2006
200
150
100
50
0
0 2 4 6 8 10 12 14
Local time (month)
Figure 6: Comparism of annual variation of F2 peak height in a year of high/low

solar activity
305
4. DISCUSSION
A significant diurnal variation is observed in NmF2 for a year of high solar event
with the maximum occurring around 10 to 13 local time (LT) and minimum
around 5 (LT) as shown in figure 1.Dirunal variation is also observed in year of
low solar activity with maximum occurring at around 14 to 15LT as shown in
figure 2.Figure 5 shows the annual variation of NmF2 which has two maxima;
one in May which is more pronounced than the other in October, this is in
agreement with Mansilla et al (2005).As can be seen from figures 1,2 and 3 the
peak electron density is higher during the day than night and this is as a result of
the strong solar control of the ionospheric plasma. Generally NmF2 is higher in
2000 than 2006.
The F2 peak height exhibits a diurnal variation with a maximum around 12LT
both for years of high and low solar activities as shown in figures 3 and 4
respectively; Figure 6 shows the annual variation of hmF2 which is higher in
2000 than 2006.
4. CONCLUSION
Since Nigeria is getting involved in space research, all space weather experiments
or navigational systems that are intended for this part of Nigeria (4.500,7.000),
should be planned bearing in mind that NmF2 and hmF2 varies through out the
year , with maximum value of NmF2 occurring around May and October.
Diurnally due to the increased ionization in the Earth‘s ionosphere the value of
NmF2 is highest during the day time than night time, so radio frequencies that are
affected by high electron densities could be used for transmission at night when
NmF2 is low since dispersion and phase delay is a major concern for the
propagation of radio waves used for communication, navigation and observation
systems
REFERENCES
Balan, N., G. J. Bailey, B. Jenkins, P. B. Rao, and R. J. Moffett (1994a),
Variations of ionospheric ionization and related solar fluxes during an
intense solar cycle, J. Geophys. Res., 99(A2), 2243–2253.
Balan, N., G. J. Bailey, and R. J. Moffett (1994b), Modeling studies of
ionospheric variations during an intense solar cycle, J. Geophys. Res.,
99(A9), 17,467–17,475.
306
Danilov, A., N. Smirnova. Improving the 75 km to 300 km ion composition

model of the IRI. Adv. Space Res. 15 (2), 171–178, 1995.
Evans, J. V. (1965), Cause of the mid-latitude evening increase in foF2, J.
Geophys. Res., 70(5), 1175–1185.
Kane, R. P. (1992), Sunspots, solar radio noise, solar EUV and ionospheric foF2,
J. Atmos. Terr. Phys., 54, 463–466.
Kawamura, S., N. Balan, Y. Otsuka, and S. Fukao (2002), Annual and
semiannual variations of the midlatitude ionosphere under low solar
activity, J. Geophys. Res., 107(A8), 1166, doi: 10.1029/2001JA000267.
Laurence .A. Gray, Karim E. Mattar: Influence of Ionospheric Electron Density
Fluctuations on Satellite Radar Interferometry GEOPHYSICAL
RESEARCH LETTERS, VOL. 27, NO. 10, PAGES 1451-1454, MAY
15, 2000
Mansilla .G.A., M Mosert., R.G Ezquer: Seasonal variation of the total electron
content, maximum electron density and equivalent slab thickness at a
South-American station Journal of Atmospheric and Solar-Terrestrial
Physics 67 (2005) 1687–1690.
Richards, P. G., D. G. Torr, B. W. Reinisch, R. R. Gamache, and P. J. Wilkinson
(1994b), F2 peak electron density at Millstone Hill and Hobart:
Comparison of theory and measurement at solar maximum, J. Geophys.
Res., 99(A8), 15,005–15,016.hhnhn
Richards, P. G. (2001), Seasonal and solar cycle variations of the ionospheric
peak electron density: Comparison of measurement and models, J.
Geophys. Res., 106(A12), 12,803–12,819.
Ratcliffe, J.A. Magneto-ionic Theory and its Application to the Ionosphere.
Cambridge University Press, Cambridge, 1959.
Thomas, L., The F2-region equatorial anomaly during solstice periods at sunspot
maximum, J. Atmos. Terr. Phys., 30, 1631±1640, 1968.
Yonezawa, T., On the seasonal, non-seasonal and semi-annual variations in the
peak electron density of the F2-layer at noon in the equatorial zone, J.
Radio Res. Labs., 14, 1967.
307
EFFECT OF SOLAR CYCLE ON GEOMAGNETIC

STORMS‡‡‡‡‡‡‡‡
F.N. Okeke1 and E.A. Hanson2

1. Department of Physics and Astronomy, University of Nigeria, Nsukka, Nigeria.
2. Centre for Basic Space Science, University of Nigeria, Nsukka, Nigeria.
2
e-mail: esther.hanson@unn.edu.ng
Abstract
Geomagnetic activities have been studied for the solar years of 1991 to 2007. It
was found that the solar activity controls the intensity of geomagnetic storms. The
intensities of these storms are found to be more severe in solar maximum years
than in solar minimum years. The solar wind effect is dependent on the cycle, and
invariably both are well correlated with geomagnetic storm intensity. The effects
of disturbance ring current and large changes of interplanetary magnetic field
(IMF) Bz, both are responsible for the equatorial magnetic storm effects.
Keywords: geomagnetic storms; solar cycle; solar maximum; solar minimum;
intensity.
1. INTRODUCTION
Many workers have carried out investigations on the effects of solar activities on
geomagnetic storms at different latitudes. For example, Fuller-Powell, et al (2002)
carried out model studies of ionospheric electric disturbances at mid and low
latitudes associated with geomagnetic activity. Richmond et al. (2003) used the
Magnetosphere-Thermosphere-Ionosphere-Electrodynamics general circulation
Model (MTIEGM) of Peymirat et al. (1988) and found that three effects can be of
comparable importance on the equatorial electric field. These include global
winds driven by solar heating, direct penetration of polar cap electric fields to the
equator and disturbance winds driven by high-latitude Joule heating and plasma
‡‡‡‡‡‡‡‡ African Journal of Physics Vol. 2, 308- 314 (2009)

308
convection. They also discovered that the equatorial disturbance electric field
produced by disturbance winds tend to be opposite that produced by other effects.
Wu and Lepping (2006) found out from their study that the intensity of
geomagnetic storm is more severe in solar maximum than in solar minimum.
Tsurutani et al. (1988) and Gozalez et al. 1994 ascertained that the primary cause
of a magnetic storm is long duration, intense southward interplanetary magnetic
fields, which interconnect with the earth‘s magnetic field and allow solar wind
energy transport into the earth‘s magnetosphere. Burlaga et al. (1981) and Wilson,
(1990) stipulated that magnetic clouds are the major sources of long-lasting
Southward IMF Bz, and hence usually cause magnetic storm. Fairfield and Cahile
(1966) also noted that various changes in the IMF are well known to play a key
role in regulating geomagnetic activity.
This study investigates the geomagnetic activities of solar years of 1991 to 2007,
the dependence of geomagnetic storm intensities on solar activity. Furthermore,
the solar wind effect on the solar cycle is studied.
2. SOURCES OF DATA
The data used in this work were obtained from the World Data Center, Kyoto,
Japan and the Space Weather Prediction Center, USA. The Space Weather
Operation (SWO), in collaboration with the National Oceanic and Atmospheric
Administration (NOAA), USA, prepared the sunspot numbers (SSN), which were
used in generating Tables 1 and 2. On the other hand, the Dst values of 1989 were
derived from the dataset of World Data Center, Kyoto.
SSN
250
200
150
200-250
100 150-200
100-150
50
50-100
0 0-50
91
93
95
97
99
01
03 S1
05
Year 07
Fig. 1: Sunspot Number from 1991 to 2007
309
SSN '91
SSN '92
250 200
200 150
150 100
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '93
SSN '94
150 60
100 50
50 40
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '95
SSN '96
40 20
20 15
0 10
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '97
SSN '98
100 150
50 100
0 50
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '99
SSN '00
200 180
150 170
100 160
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '01
SSN '02
200 200
180 150
160 100
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '03
SSN '04
150 100
100 80
50 60
0 2 4 6 8 10 12 0 2 4 6 8 10 12
SSN '05
SSN '06
60 40
50 30
40 20
0 2 4 6 8 10 12 0 2 4 6 8 10 12
JAN - DEC
SSN '07
20
10
0
0 2 4 6 8 10 12
JAN - DEC
Fig. 2: Monthly variation of Sunspot Number for years under study (1991 – 2007)
310
250
200
150
SSN
100
50
0
91 93 95 97 99 01 03 05 07
Year
Fig. 3: Averaged Sunspot Numbers for the 17-year period (1991 – 2007)
Fig. 4: Geomagnetic storm of October 29 -31, 2003. © World Data Index for Geomagnetism, Kyoto, Japan
Fig. 5: Geomagnetic storm of November 20 -21, 2003. © World Data Index for Geomagnetism, Kyoto,
Japan
311
Fig. 6: Geomagnetic storm of March 13 -14, 1989. © World Data Index for
Geomagnetism, Kyoto, Japan.
3. AND DISCUSSION OF RESULTS

The sunspot numbers (SSN) determine the extent of the solar activity, for
example figure 1 depicts the intensity variation of sunspot number for each year
under study. From figure 2, in the year 1991, the sunspot number is observed to
maintain high values between 221 and 194 from January to December. In 1992,
sunspot number (SSN) dropped to about 183 and 108 from January to December.
In 1993 the range suddenly dropped to ~ 105 and 58. It is observed that between
1994 and 1997, the decrease is seen to be very sharp and significant. The SSN has
maximum value in January of 1994, as 55.6 and least in December as 41.4, while
in 1995, in January, SSN registered 39.6, while in December it was 17.6. In 1996,
SSN in January registered 16.8 and in December 16.2. Its lowest value is
observed in the month of May (12.9).
In 1997, January value was recorded as 16.5. It continues to increase in value and
recorded 54.2 in December. This increment continued the following year (1998)
with 60.6 in January and 108.8 in December.
This increase was conspicuously noticed in the year 2000, that 168.0 in value of
SSN was recorded in January and 160.8 in December. It is very important to note
that in 2001 there was a drop in value of SSN in January, to 156.3 and increased
to 184.5 in December. The drop continued from May 2002 to December 2007.
Figure 3 depicts the averaged values of SSN over years, revealing the overall
trend for the 17-year period. It is evidently clear that the minimum value
coincides with the solar minimum year of 1996, while the maximum coincides
with the solar maximum year of 2000, which even extends to 2001 and 2002.
From the dst graph of March 13/14, 1989, a very severe storm was observed
(recorded) with a value of -650nT (see fig. 6), supporting the historical assertion
that most intense geomagnetic storms have occurred during the declining year of
the solar cycle. The same severe storms occurred on November 8, 1991, October
29 -312003 (see Fig. 4); November 20/21, 2003 (see Fig. 5). Several other storms
312
such as those of November 29-31, 2003, and November 8, 2004 (though not
shown on graphs) are well reported.
The intensity of these geomagnetic storms does not only depend on the solar
activity, but could also be seen to be highly dependent on strong solar wind
parameters (although not shown in this study). The major contributor of severe
storm is the intense solar activity that is normally observed during the solar
maximum years.
The severe storms such as that of March 13, 1989, could cause enhancement of
ionospheric irregularities, especially in their amplitudes and may result in signal
degradation, as Yizengaw et al. (2005) observed in their study using severe storm
of 31st March 2001.
4. CONCLUSION
Geomagnetic storms are generated by different solar dynamic activities.
Geomagnetic storms depend solely on sunspot number, which invariable
determine the extent of solar activity. The solar wind effect and the large changes
of IMF are related to severe equatorial magnetic storm effects.
5. RECOMMENDATIONS
The study of geomagnetic storm assumes great importance due to several safety
and economic implications. For instance, power grid is particularly vulnerable to
geomagnetic storms. Ground currents induced during geomagnetic storms can
actually melt the copper windings of transformers of many power distribution
systems. Sprawling power lines serve as antennas by picking the current and
spreading same over wide areas, this can result in power outage. The Quebec
geomagnetic power outage of March 1989 is a historical fact.
Geomagnetic storms account for huge economic loss to exploration and
communication firms. Sudden surge in signal strength creates complications in
magnetic surveying equipment of oil prospecting and exploration companies,
broken communication lines for airline and GSM operators, etc, resulting in
wastage of millions of dollars.
In view of all this, this work recommends that the Federal Government of Nigeria
unwaveringly support research on geomagnetism by way of offering scholarships,
funding projects, acquiring equipment and relevant materials for the advancement
of research on geomagnetism.
313
REFERENCES
Burlaga, L.F., Sittler, E., Mariani, F. and Schwenn, R., magnetic loop behind an
interplanetary shock: Voyage, Helios, and IMF 8 observations, (19810,
J. Geophys. Res., 86, 6673 -6684.
Fairfield, D.H. and Cahile Jr. L.J., (1966), Transition Region Magnetic Field and
Polar Magnetic Disturbances, J. Geophys. Res., 71, 155 – 169.
Fuller-Rowell, T.J.,Milward,G.H., Richmond, A.D. and Codresw, M.V. (2002),
Storm-time changes in the upper atmosphere at low latitudes. J.
Atmos. Sol. Terr. Phys., 64, 1383 – 1391.
Gonzalez, W.D., Joselyn, J.A., Kamide, Y., Kroehl, H.W., Rostoker, G.,
Tsurutani, B.T., and vasyliunas, V.M., (1994), What is a geomagnetic
storm? J. Geophys. Res., 99, 5771 – 5792.
Peymirat, C., Richmond, A.D., Emery, B.A. and Roble, R.G. (1988), A
magnetosphere-thermosphere-ionosphere-electrodynamics general
circulation model, J. Geophys. Res., 103, 17, 467 – 17, 477.
Richmond, A.D., Peymirat, C. and Roble, R.G. (2003), Long-lasting disturbances
in the equatyorial ionospheric electric field simulated with a coupled
magnetosphere-ionosphere-thermosphere model. J. Geophys. Res., 108
(A3), 1118, d0i: 10. 1029/20002JA 009758.
Tsurutani, B.T., Smith, E., Gonzalez, W.D., tang, F. and Akasofu, S.I., (1988),
Origin of interplanetary southward magnetic fields responsible for
major magnetic storms near solar maximum (1978 - 19790), J.
Geophys. Res., 93, 8519 -8531.
Wilson, R.M., (1990), On the behaviour of the dst geomagnetic index in the
vicinity of magnetic cloud passages at earth, J. Geophys. Res., 95, 215
-219.
Wu, C.C. and Lepping, R.P., (2006), Solar cycle effect on geomagnetic storms
caused by interplanetary magnetic clouds, Ann. Geophys., 24, 3383 –
3389.
Yizengaw, E., Dyson, P.L. Essex, E.A. and Moldwin, M.B. (2005), Ionospheric
dynamics over the southern hemisphere during march 2001 severe
magnetic storm using multi instrument measurement data. Annals
geophycae, 23, 707 -721.
314
SPACE SCIENCE AND TECHNOLOGY IN NIGERIA: AN OVERVIEW

OF THE PROSPECTS AND PROBLEMSE§§§§§§§§
B. I. Okere1 and P. N. Okeke2.

Centre for Basic Space Science, University of Nigeria Nsukka.
E-mails. 1bonaokere@cbssonline.com; 2okekepius@yahoo.com
Abstract: It is an established fact, especially in recent decades, that human capital

development through training in science and technology has become the primary
driving force behind economic growth and prosperity of the successfully
developed economies. In this paper, we present the scope of Nigeria space policy,
planned missions and projects vis-à-vis their role in technology development. The
benefits of space science and technology were reviewed.
1. INTRODUCTION
Space is a term that is often treated as a category. Outer space (as commonly
used, the universe exclusive of Earth), is such an alien environment that
attempting to work with it leads inevitably to new leading edge techniques and
knowledge. New technologies originating with or accelerated by space-related
endeavors are often subsequently exploited in other economic activities. This has
been widely pointed to as beneficial spin-off by space advocates and enthusiasts
favoring the investment of public funds in space activities and programs. Political
opponents counter that it would be far cheaper to develop specific technologies
directly if they are beneficial and scoff at this justification for public expenditures
on space-related research.
Space science, body of scientific knowledge as it relates to space exploration;
it is sometimes also called astronautics. Space science draws on the conventional
sciences of physics, chemistry, biology, and engineering, as well as requiring
specific research of its own. The particular disciplines that are relevant depend on
the type of mission being planned. The problems that space science must deal
§§§§§§§§ African Journal of Physics Vol. 2, pp. 315-329, (2009)

315
with include prediction and control of trajectories and orbits, telecommunications

between spacecraft and earth, spacecraft design and fabrication, and lifesupport
systems for human spaceflight.
On the other hand, Space Technology is the systematic application of
engineering and scientific disciplines to the exploration and utilization of outer
space. Space technology developed so that spacecraft and humans could function
in this environment that is so different from the Earth's surface. Conditions that
humans take for granted do not exist in outer space. Objects do not fall. There is
no atmosphere to breathe, to keep people warm in the shade, to transport heat by
convection, or to enable the burning of fuels. Stars do not twinkle. Liquids
evaporate very quickly and are deposited on nearby surfaces. The solar wind
sends electrons to charge the spacecraft, with lightninglike discharges that may
damage the craft. Cosmic rays and solar protons damage electronic circuits and
human flesh. The vast distances require reliable structures, electronics,
mechanisms, and software to enable the craft to perform when it gets to its goal –
and all of this with the design requirement that the spacecraft be the smallest and
lightest it can be while still operating as reliably as possible. All spacecraft
designs have some common features: structure and materials, electrical power and
storage, tracking and guidance, thermal control, and propulsion. The spacecraft
structure is designed to survive the forces of launching and ground handling. The
structure is made of metals (aluminum, beryllium, magnesium, titanium) or a
composite (boron/epoxy, graphite/epoxy). It must also fit the envelope of the
launcher. To maintain temperatures at acceptable limits, various active and
passive devices are used: coatings or surfaces with special absorptivities and
emissivities, numerous types of thermal insulation, such as multilayer insulation
and aerogel, mechanical louvers to vary the heat radiated to space, heat pipes,
electrical resistive heaters, or radioisotope heating units.
The ability to accomplish this results in technological advancement with its
attendant economic development.
2. BENEFITS OF BASIC SPACE SCIENCE AND TECHNOLOGY

Disaster Management
The recent tsunami disaster in the Indian Ocean demonstrated the extent
that space technologies can contribute to emergency response and disaster
reduction. The use of such technologies has been proven useful in the risk
assessment, mitigation and preparedness phases of disaster management. As the
global community learnt from the tsunami event, space technologies have also a
316
central role to play in providing early warning to communities that are at risk. But
in order for developing countries to be able to incorporate the use of space
technology-based solutions there is a need to increase awareness, build national
capacity and also develop solutions that are customised and appropriate to the
needs of the developing world (http://www.nasa.gov).
Cordless Power Tools and Appliances
The technology that made cordless drill or shrub trimmer possible came
from NASA's Apollo program. Astronauts needed a way to drill down beneath the
moon's surface, as much as 10 feet, to collect core samples. Like everything else
that went to the moon, this drill had to be small, lightweight and battery-powered.
This technological advance made the battery-powered drill possible -- a computer
program was used to design the drill's motor to use as little power as possible.
That computer program, along with the knowledge and experience gained in
developing the drill, provided a strong technology base for developing battery
powered tools and appliances (http://www.nasangov).
Smoke Detectors
In the 1970's, NASA needed a smoke and fire detector for Skylab,
America's first space station. Honeywell, Inc. developed the unit for NASA.
Smoke detectors are now required by law to be placed in all new homes. They are
credited with saving countless lives (http://www.nasa.gov).
Clean Water For Home

The H2OME Guardian filter technology developed by Western Water
International (WWI), combined with NASA technology during the Apollo
program, was developed to sterilize the astronauts' drinking water. This method
included the use of ions (an atom or group of atoms carrying a positive or
negative electrical charge) as part of the water filtering system. The H2OME
removes lead, chlorine, bad taste and odor, and other bad stuff. WWI also sells
filter units that can handle large volumes of water. These are used in large
buildings, and even by entire towns in countries where the water is contaminated
(http://www.nasa.gov).
"Cool" Laser Heart Surgery

Until recently, heart bypass surgery, which replaces clogged blood vessels,
was the main treatment for serious cases. A new surgery method derived from
laser technology pioneered by NASA's Jet Propulsion Laboratory for remote
sensing of earth's ozone layer has been developed.
317
The procedure involves threading a small catheter through coronary

arteries. The laser light is carried through fiber optic bundles within the catheter.
Another group of fibers shines a light at the tip to provide video pictures of the
inside of the artery. Watching the video pictures, the doctor can spot areas of
blockage and fire short bursts of laser beams to vaporize them. While other types
of lasers are too hot for delicate heart surgery, the excimer laser operates at a
"cool" 65° C, a temperature that human tissue can withstand
Space Telescope Looks for Cancer

Breast examinations (mammographies) help in the detection of breast
cancer. Until recently, if a doctor saw a trouble spot on the x-ray he or she would
order a biopsy procedure. A biopsy required surgery to cut into the breast and
obtain a tissue sample. Now, however, with the help of Hubble Space Telescope
technology, biopsies can be performed with a needle instead of a scalpel
(http://www.nasa.gov). The development by Goddard Space Flight Center of an
advanced, supersensitive CCD to be installed in the Hubble Space Telescope in
1997, has been adopted breast biopsy system. The patient lies face down with one
breast protruding through an opening. The device images breast tissue more
clearly than conventional x-rays. This allows the system to pinpoint the area in
question. The doctor can then use the specially designed needle to extract a tiny
sample. The patient can then walk out of the office and resume normal activities.
Body Imaging
The digital image processing technology developed to allow computer
enhancement of Moon pictures, is now being used by doctors and hospitals to
record images of organs in the human body. Two of the most widely used body
imaging techniques are computer-aided tomography (CATScan) and magnetic
resonance imaging (MRI) (http://www.nasa.gov).
Light at the end of the Tunnel for Cancer

Light emitting diodes (LED), used for plant experiments on the Space
Shuttle, are being used to perform surgery on patients with brain cancer.
Photodynamic Therapy, a MSFC Small Business Innovation Research (SBIR) and
Quantum Devices collaboration, uses LEDs to activate photosensitizers (light-
sensitive, tumor-treating drugs) that have been injected intravenously. Light
activation allows the drugs to destroy cancerous cells, leaving surrounding tissue
virtually untouched. Cancer treatment trials using the LEDs have thus far included
skin cancer and brain tumor patients, with promising results (http://www.nasa.gov).
318
Pill-Sized Transmitter Monitors Fetus from Inside the Womb

Medical personnel can monitor fetal activity from inside the womb using a
small pill-shaped transmitter developed at NASA's Ames Research Center in
Field, Calif. Pill transmitters are used to measure blood pressure and temperature
in astronauts aboard the International Space Station, but they are being studied for
a number of applications on Earth. The transmitters can be implanted in the
intrauterine to monitor fetal activity; swallowed to monitor intestinal activity; and
are being developed for use in monitoring athletes and high-stress professionals
such as firefighters and soldiers (http://www.nasa.gov).
Early Disease Prediction Through Chromosome Analysis

Technology used to study space probe photographs sent back to Earth is
now being used to analyze human chromosomes and could lead to disease
prediction in infants. The process, developed jointly by NASA's Jet Propulsion
Laboratory, in Pasadena, Calif., and NASA's Johnson Space Center, in Houston,
Texas, allows researchers to quickly and automatically arrange and analyze
human chromosomes and detect genetic abnormalities. The NASA technology
allows researchers to complete a job that once took hours in less than 10 minutes
Lightning Protection
Bad weather is bad news for airplanes. One of the most unpredictable
elements of a storm is lightning. NASA's Langley Research Center played a
leading role in lightning investigations with its seven-year (1980-86) Storm
Hazards Research program. NASA found that lightning injects a large number of
electrical currents into an airplane. These currents can cause problems in the
plane's electronic systems, including incorrect instrument readings. The results of
this research led to the development of lightning protectors for Aircrafts
Global Communications
TV signals are only one kind of data transmitted by satellites. Telephone
signals, computer data, and computer images are also beamed around the world
via satellite. The high-risk satellite data transmission technology developed and
tested in orbit by NASA in the 1960s and 1970s is being applied in areas such as
(http://www.nasa.gov):
 Geosynchronous orbit (GEO) orbiting with the Earth so that the
satellite is always above a particular spot on the ground · satellite
stabilization
 Keeping the satellite from wobbling in orbit ·
319
 Use of digital computers

 Solid state high-power transmitters ·
 Large antennae that provide high quality signals to small ground
receivers ·
 Advanced materials (such as graphite composites) for building
satellites
Crop Management from Orbit

Landsat satellites designed to observe the changing conditions on the
Earth‘s surface are used to manage the harvesting of fish in the world‘s oceans.
Landsat is also being used for crop harvest (http://www/nasa/gov).
How does this help farmers? The more potatoes there are, the less money
farmers will get for their crop. If the satellite data shows there are too many
potatoes, it means the price is going down, so sell your potatoes now! If fewer
potatoes are growing in the area, a farmer might decide to harvest early and get a
higher price.
Fishing from Orbit

Landsats sense Earth‘s features from a remote location (from orbit) the
technology is called remote sensing. Remote sensing technology is used by
fishermen to locate fish. The satellite data tells them where in the ocean the
temperature is right for a particular type of fish (http://www.nasa.gov). Landsats
also provide weather information for a few square miles or four million square
miles. Satellite images allow ship captains to find the most favorable winds and
currents, to save time and fuel. Remote sensing technology is also used to map oil
spills.
Oil Spill Control

The beeswax microcapsules designed so that water cannot get in, but oil
can is being applied in oil spill control. When the oil seeps through the shell, the
microorganisms inside release enzymes that digest the oil. When the balls get full
of digested oil, they explode. They release enzymes, carbon dioxide and water, all
environmentally safe. This mixture is even good fish food.
320
3. SCOPE OF NIGERIAN SPACE PROGRAM

The scope of the Nigerian Space Programme (NSP) (Da Costa, 2005) to
be implemented by the National Space Research and Development Agency
(NASRDA) include:
i. Basic Space Science and Technology to provide the understanding of
how the universe works and what its impact is on the world. This will
enable us to lay the foundation for deriving maximum benefits from
the nation‘s participation in the space enterprise.
ii. Remote Sensing to help Nigerians understand and manage our
environment and natural resources using space-acquired information.
This technology will enable us to better understand our land, air and
water resources and their associated problems.
iii. iii. Satellite Meteorology to study atmospheric and weather sciences
using satellite data to facilitate the effective management of our
environment.
iv. Communication and Information Technology to provide efficient and
reliable telecommunications services for Nigeria in order to enhance
the growth of the industrial, commercial and administrative sectors of
the economy.
v. Defense and Security: The Federal Government shall develop a
necessary Space Science Technology (SST) programme that will
address the national needs of Nigeria. For this purpose the government
shall establish a Defense Space Command in the Ministry of Defense.
The Command shall comprise representatives of the defense,
intelligence, security and law enforcement services and report through
the Ministry of Defense to the National Space Council.
3.1 Planned Missions

In furtherance of its space program, Nigeria through NARSDA has
planned the under listed missions:
i. NigeriaSat-2 - commenced November 6, 2006, due for launch in 2009.
This satellite is to replace NigeriaSat-1 whose life expired in 2008
(Borofice, 2006). This satellite shown below with higher resolution than
Nigeriasat-1 will be used for remote sensing.
321
The purpose of this project is to:

a. Build upon the success of NigeriaSat-1
b. Acquire NigeriaSat-2 satellite manufacture know-How
c. Further develop skills in the design and development of satellites
d. Develop indigenous satellite manufacturing capability
ii. Launching of a Nigerian Astronaut into space in the next 15 years.
3.2 Plannned Projects

i. The 25m Nigeria Radio Telescope (NRT)
322
This telescope will be a 25m fully steerable parabolic radio telescope with 15m
Aluminum inner surface and 10m wire mesh outer surface.
The Driving Science for the 25-m NRT

(1) Pulsar and neutron star studies: very suitable for long-term precision
timing of radio pulsars while sky survey for new pulsars could be possible
with the state-of-the-art instrumentation.
(2) HI spectroscopy and continuum emission from galactic and extragalactic
objects (e.g. active galaxies, blazers and quasars).
(3) Study of astrophysical masers.
(4) Study of the sun (e.g. solar flares), stars, the supernova remnants and
Active Galactic Nuclei (AGNs).
(5) Geodetic studies
(6) VLBI: This facility will enable us pursue collaborations with leading
astronomical institutions in the world. A Nigerian radio telescope will be
vital in filling up the gap between the aggregates of observatories in the
far north and south in VLBI programs. It will certainly guarantee us a
place in most of the prestigious networks in the world.
Other collateral benefits include

(1) Science Education: A modern radio observatory in Nigeria will play
pivotal role in stimulating science education and public science awareness
in the country. This will enable more young people to take up careers in
sciences and engineering.
(2) Technological Development: Through developing, constructing and
operating a modern radio observatory in Nigeria, we would have built
capacity in antenna and radio receiver technology. This important
technology will find already market in the fast evolving communication
industry.
ii. Space weather Study equipments

Through one of its activity centres, NASRDA intends to install weather monitor
equipments at different locations in the six geopolitical zones of the country as
indicated in fig. (a) below. The equipments being installed include: weather link
Davis Pro-2 for microwave study, Campbell weather station for Nigeria
Environmental and Climatic Project (NECOP) for weather monitoring, GPS
Antenna/Receiver for Scintillation and Geodetic studies (fig. 3b) and SID Monitor
for Solar flare studies (fig. 3c).
323
4. PROBLEMS AND PROSPECTS

4.1 Manpower Development
Many non-industrialised countries have developed some infrastructure for
the management of remote-sensing and telecommunications services. However,
these are just two of many end products offered by space technology. Without
indigenous capabilities, the rapid growth of these technologies rapidly renders the
acquired infrastructure obsolete and prolongs the dependence on the industrialised
countries. This fact has traditionally been ignored by policy makers and local
governments.
A trickle-down effect is produced when highly qualified scientists are
present to construct the required infrastructure by training other scientists,
engineers, technicians, and students. The buying of packaged ready-to-use
technology has failed as a model for technology transfer, with the expected
increase in knowledge not materialising. On the contrary, an increase in
dependence on the industrialised countries has been noted, and the accumulation
of costly and often obsolete equipment has been the end result.
4.2 Education and T raining in Basic Space Scienc e and

Technology
Ever since human beings learnt to walk upright they have looked at the
sky and wondered. The sky has remained the same but human perception of it has
changed. First a divinity to be feared and appeased: then a phenomenon to be
observed and utilized: and finally a physics laboratory: the outer space over the
millennia has acquired a depth, in keeping with the changing patterns of
humankind's relationship with its cosmic environment. Basic space science today
is at the cutting edge of intellectual enquiry, and, at its most glamorous, a child of
324
high technology. Hence the education that basic space science is bedrock of
technology.
In Nigeria there is a conspicuous lack of materials and infrastructure for
basic space technology education. The materials and infrastructure required
include:
1. Planetariums. A planetarium can be a powerful education aid. It
liberates sky viewing from the constraints of weather and seasons as well
as earth's rotation and sphericity. It can present cosmic objects and
phenomena realistically and dynamically. A sky show can create a visual
impact beyond the reach of a class-room lecture or the printed word. In
addition, a planetarium can play the role of an astronomical community
and education centre and a news room. The first and only planetarium to
be opened in Nigeria is the one at CBSS (Okeke, 2006). The reasons are
financial. The amount of money required to set up and maintain a
planetarium is outside the reach of most civic bodies or educational
institutions.
2. Popular books. A more permanent source of basic space science
information, especially for young readers, is science magazines, science
pages of newspapers and popular books. Very often the periodicals reprint
articles taken from the international press. Since the background level of
Nigerian readership is different, such reprints are of limited value. The
only book dealing with basic space science is the one written by Prof. P.
N. Okeke – ‗An Introduction to Astronomy and Astrophysics‘.
3. Schools. The Nigerian school system is characterized by heavy
centralization, obsession with examinations, severe paucity of funds, and
populism. Such a system does not have much of scope for hands-on
training. The emphasis is on teaching from textbooks written according to
a centrally prescribed syllabus. The respect for and fear of the text-book
could still be converted into an asset if the books were accurate, attractive
and user friendly. This unfortunately is not the case. Basic Space Science
and Technology has not been reflected in the schools‘ curriculum.
4. Colleges and universities. After spending 12 years in school. Nigerian
students have a number of options open to them. They can join a 4-5 year
course in engineering or medicine. (This is the current preference of the
brightest of the students). They can go to a college for a 4-year course
leading to a bachelor's degree in science, humanities, commerce or
management. Courses leading to master's degree in science are offered in
the universities which also offer bachelor-level honours courses in science.
The higher education system, like the school, is inflexible and examination
oriented. It is also heavily weighted against basic space science. The
325
following are some of the features of the Nigerian higher education

system, which may be of all interest in a wider context.
i. At the B.Sc. level, basic space science is almost entirely absent from the
prescribed syllabus. The Universities offering courses in astronomy and
atmospheric science are University of Nigeria, Nsukka (UNN), Rivers State
University of Science and Technology (RUST), Nnamdi Azikiwe University,
Awka (UNIZIK), Federal University of Technology Akure, Federal University of
Technology Minna, Ebonyi State University Abakaliki, Imo State University
Owerri and Abia State University Uturu among others.
ii. Astronomy and Basic Space Science is offered up to MSc and PhD at UNN
only.
iii. There are only two observatories attached to two universities; both are still
under construction.
iv. The actual number of students studying for a master's degree in space science
(including astronomy) or offering space science as a special course for M.Sc. in
physics is very small.
v. Most of the teaching tends to be bookish rather than practical, which in turn
emphasizes "learning" rather than problem solving. More generally, the social
ambience that permeates the academic world also glamorizes brahmanical type of
studies as against dirty-hand experiments.
vi. There is almost total decoupling between fund-starved universities and rather
wellendowed research institutes. A student enrolling for Ph.D. in the latter has to
spend two years acquiring the necessary background knowledge.
4.3 Development of Basic Space Science

'Basic Space Sciences' have been defined as:
a. Astronomy and astrophysics
b. Solar-terrestrial interaction and its influence on terrestrial climate
c. Planetary and atmospheric studies
d. The origin of life and exobiology.
The development of basic science in non-industrialized countries is a key factor
for the economic prosperity of those countries. Scientific research is now being
recognized by the governments of non-industrialized countries as an essential
ingredient to guarantee economic growth through the establishment of a strong
infrastructure for the assimilation and use of high technologies.
Examples of space-technology applications for the benefit of non-
industrialized countries are already very well known: remote sensing,
telecommunications, monitoring of natural resources, environment and weather
conditions, etc. All of these applications have a direct influence on the economy.
The importance of developing basic space science has certainly been recognized
326
in those countries that have sponsored the UN/ESA Workshops (Haubold, 1995),
i.e. India, Costa Rica, Colombia, Nigeria, and Egypt.
4.4 International Collaboration

In addition to the direct benefits of an international scientific conference, the
UN/ESA Workshops have generated a number of other supplementary activities
such as: the donation of a 15cm optical telescope by UNESCO to Nigeria, the
donation of a 3m radio astronomical telescope and planetarium by the Japanese
government to Nigeria. As well as the signing of MoU with HartRAO South
Africa and collaboration with University of Delaware USA (Okeke, 2006).
In March 1992, site-selection feasibility studies were initiated in Nsukka,
Nigeria, for a computerized optical telescope for detailed solar seismology
studies. This project is a collaborative effort by the University of Nigeria, Nsukka,
and the Zetetic Institute, Arizona, USA. Another project that originated in the
Workshops is the installation of an Internet node in Nigeria, with TPS support.
4.5 NARSDA Activity Centers

The establishment of the six activity centers by NARSDA to implement
the Nigerian space program has started yielding results:
Nigeria launched its first satellite, NigeriaSat 1, into orbit in September 2003,
after Nigerian experts underwent training in London. The Nigerian
communication satellite NigcomSat-1 was launched in China in May 2007.
The Centre for Transport and Propulsion, Lagos is preparing for the
launching of the first made in Nigeria satellite in 2015.
The Centre for Basic Space Science, Nsukka has embarked on massive
training of scientists and engineers, has signed MoU with South African Radio
and optical observatories, National Observatory of Japan and University of
Delaware for the development of basic space research, is about completing the
building of an optical observatory and has signed the contract for the building of a
25m Nigeria radio telescope (NRT) shown in the figure 2.
4.6 Collaborative efforts

Nigerian astronomical community should strive towards building research
capacity in wide fields of astronomy. One effective approach to this is through
systematic and sustained international cooperation. Already, a strong
collaboration has been established between the CBSS and the National
Astronomical Observatory of Japan (NAOJ) with a primary objective of building
research capacity in radio astronomy. In this regard it is important to point out
327
that a Memorandum of Understanding (MOU) has been signed between CBSS

and NAOJ towards the building of capacity in observational astronomy research
in Nigeria through a collaborative effort between the National Centre for Basic
Space Science and the National Astronomical Observatory of Japan. Under the
planned collaboration, NAOJ is expected to assist CBSS in establishing a modern
radio observatory in Nigeria. The level of participation of NAOJ in this project
will be agreed upon by the two organizations. However, the areas of telescope and
radio receiver construction and installation are likely to be covered under the
agreement. This, no doubt, will lead to the establishment of a Radio Astronomical
Observatory in Nigeria and a clear possibility of extending the CBSS/NAOJ
collaboration to other fields of astronomy (like the VLBI and solar radio
astronomy).
5. SUMMARY/CONCLUSION
The traditional problems of basic science (including isolation, brain drain,
lack of financial resources, ever-increasing gap with respect to industrialized
countries, lack of scientific tradition, and weak infrastructure) in non-
industrialized countries remain a major cause of concern. Interestingly, there are
new developments that may change the situation, and these developments deserve
serious consideration. The most important facts that have brought some hope for
the improvement of the situation of science in non-industrialized countries are:
first, national governments are understanding the need to recognize the intrinsic
value of basic space science and its importance as an essential component without
which the economy cannot grow; secondly, there is a new trend in the scientific
community to develop large international facilities, which may make use of the
climatological and geographic attributes of non-industrialized countries; thirdly,
the revolution in electronic communications allows close contact between
scientists and permits access to remote databases and computer power from any
part of the world. This technology helps ameliorate the isolation factor in
unprecedented ways. Lastly, global problems (i.e. environment) and the
consciousness that their solution must be global in nature has led to the inclusion
of non-industrialized countries in the science policies of the industrialized
countries.
The loss of researchers from non-industrialized countries via a 'brain drain'
is a serious problem that must be addressed. To reverse this process, efforts must
be made to promote awareness in non-industrialized countries of the importance
of space science and to ensure that space scientists have the basic resources
328
necessary for their work. International efforts to ensure that scientists in non-
industrialized countries have adequate communication links to the international
scientific community, adequate access to the technical literature, more
opportunities to participate in international meetings, access to data and data-
processing facilities, and opportunities to participate in the planning, design and
use of space observatories, research programs and space missions, all help reduce
the feeling that scientists in non-industrialized countries have to move abroad in
order to produce good scientific work. The UN/ESA Workshops have been
organized to address these problems and to help identify solutions.
The objective of these Workshops is to strengthen basic space science in
non-industrialized countries by addressing ways and means by which the
following goals can be accomplished: to make scientists aware of current and
future scientific and technical aspects of basic space science, to enhance scientific
cooperation between developing countries, to explore avenues of education,
training and research in space-science subjects for the benefit of developing
countries, to create an international core group of scientists that will pursue the
objectives of the Workshop, to provide access to the most recent advances for
scientists from non-industrialised countries, to identify avenues that will facilitate
scientific cooperation, to create a forum for the discussion of problems and the
formulation of policies and recommendations.
It is better to catch students young. If basic space science were taught at
B.Sc./M.Sc. level, many students may discover that they have an aptitude for the
subject which they may decide to pursue. A positive, though small, step is the
conducting of summer schools where college and university students are given
lectures as well as, at times, practical training with optical and radio telescopes. It
is quite clear that a handful of purely-research institutes, decoupled from the
B.Sc./M.Sc. level students can only be of limited utility. If the culture of teaching
of, and research in, basic space science is to take roots and spread, the university
system at large would need to be activated by creating a core of inspiring teachers
and by providing rather rugged, easily repairable small observational facilities
under university auspices at a number of spread-out places.
It also recommended the need to explore the great scientific potential of
some non-industrialized countries due to their special attributes (i.e. climate,
geography, bio-diversity, etc.), which put them in a privileged position for the
development of certain fields of scientific research: geomagnetism studies,
electrojet currents, galactic mapping, solar photometry, astrometry and
environmental projects such as ozone mapping.
If the Federal government of Nigeria will go all out to develop research in
Basic Space Science, Nigeria will be on the road to technological development,
hence Economic development. This we can see in the so much emphasis the
329
developed economies of the world such as America, Japan, Russia, etc put into
the development of Basic Space Science and technology.
REFERENCES
1. Boroffice,R.A. (2006): ―NICOMSAT-1 will Bridge Telecom Gap Between
Africa and the rest of the World‖, NASRDA News vol. 2 Issue 2.
2. Benefits of Space Program: http://www.nasa.gov/
3. Da Costa (2006): Nigeria Aggressively Pursues Space Program,
http://www.voanews.com/english/archive
4. Emmanuel: Use of NigeriaSat-1: www.columbusemmanuel.1warp.com
5. Haubold H.J. et al (1995: UN/ESA Workshop On Basic Space Science, ESA
Bulletin Nr.81
330
THE OYIBO‟S GRAND UNIFICATION THEOREM WITH

REALIZATION OF SOME BASIC PHYSICAL PHENOMENA IN
GEOMETRIC OPTICS*********
M. W. Echenim and G. E. Akpojotor

E-mail: akpogea@niss-edu.net; akpogea@yahoo.com
Abstract
The kernel of the Oyibo`s formalism of the grand unified theorem is the generic
conservation equation from which he conjectured that all four known
force fields can be unified and that standard equations such as the Schwarzschild‘
solution of Einstein general relativity, Fermat principle for geometric optics as
well as the Schrödinger and Klein-Gordon wave equations can be obtained. This
work has been very controversial especially as it has involves some very
ambitious claims. However, it is widely believed that the mathematics is good.
The purpose of our presentation here is to review the Oyibo‘s formulation and
then use it to recover some of the aforementioned physical phenomena.
1. INTRODUCTION
In November 2004, the Nigerian born Professor of Mathematics of OFFPPIT
Institute of Technology, New York visited Nigeria on a lecture tour of his God
Almighty Grand Unification Theory (GAGUT) [1,2]. One intended benefits of
this visit packaged by the National University Commission (NUC) was to
popularized and probably attract researchers in the country to the GAGUT. About
half a decade now, this has not happened. To the best of our knowledge, it was
only Animalu who reviewed the work in Refs. [3,4] and a contributed chapter in
Ref. [5]. One of the reasons [6] for the lack of more studies of GAGUT in the
country may be due to the unconventional mathematical methodology introduced
by Oyibo. This methodology has been adopted from his experience at solving the
Navier Stokes equations in fluid mechanics using invariance of an arbitrary
function under a group of conformal transformations [1]. As pointed out by
********* African Journal of Physics Vol. 2, pp.331-345, (2009)

331
Animalu, the first problem in understanding GAGUT emanates from the lack of
direct relationship between this conformal transformations and the usual
characterization of conformal invariance or symmetry in analytical projective
space-time geometry as well as relativistic quantum field theory [4]. Therefore
Animalu provided this missing link by demonstrating how to realize other
definitions of the conformal group of transformations within the purview of
GAGUT. He was then led to the conclusion in both reviews [3,4] that just as the
Minkowskian geometry is the important approach to understanding the Einstein ‗s
special relativity theory, projective geometry [7] is the key approach to
understanding GAGUT.
Interestingly, Oyibo envisaged the problem of subjective interest on his
unconventional methodology and appealed that [1]:
Human experience seems to have demonstrated that under difficult circumstances
such as the ones that surround the search for the Unified Force Field Theory, it is
critical for one to be open-minded in one‘s investigation and analysis or even
expectations. This reminder to readers is provided to partially prepare them for
the coming presentation of the new methodology described in his book. The new
methodology would seem to be drastically or significantly different from … the
methodology that readers are familiar with or even expect to consider to be the
kind of methodologies that belong in this realm of research.
It is important to point out that introducing esoteric approaches or concepts has
been the best way to solve some difficult problems in most fields of studies. For
example, in the early development of relativistic quantum mechanics for the
electron, the Klein-Gordon theory was considered the best that could be achieved
by most contemporary researchers in this field even though there were
discrepancies between it and the general principle of quantum mechanics such as
its non-positive definite probability density and the presence of symmetry
between negative and positive energies. By introducing two valued quantities now
known as spinors to get away from tensors which he believed were inadequate
then to develop a relativistic quantum theory, Dirac obtained his celebrated theory
of relativistic electron [8]. According him [9],
Those people who were too familiar with tensors were not fitted to get away from
them and think up something more general, and I was able to do so only because I
was more attached to the general principle of quantum mechanics than to
tensors….One should always guard against getting too attached to one particular
line of thought
332
In our opinion, therefore, it will be very necessary to consider the Oyibo‘s work
with open-mindedness within the general philosophy of a grand unified theorem
rather than its deviation from conventional methodologies. Then as the usual
practice, the first test of the validity of the theorem will be to reproduce previous
known results. In attempt to do so, Oyibo had argued without convincing and
direct proofs, that the Newton‘s universal gravitational and Einstein ‗s general
relativity gravitational force fields, Maxwell‘s electromagnetic equations, the
strong and weak force fields are likely present in his generic conservation
equations. While the need to undertake a more rigorous proofs for these claims as
partly done by Animalu [3,5] cannot be overemphasized, we have decided to use
it to obtain more simplified phenomena in geometric optics in order to bring
GAGUT within the philosophy of ISOTPAND which is to cover the frontiers of
physics with a pedagogical delivery when possible. Therefore, before
reproducing these simple phenomena from GAGUT in section 3, we will give a
brief review of the statement of the problem of GAGUT in section 2. There will
also be a summary and a conclusion after section 3.
2. BRIEF REVIEW OF THE STATEMENT OF THE PROBLEM OF GAGUT

The grand unification theories are proposed to unify all known forces in nature
such as the four major force fields namely gravitation, electromagnetism, strong
and weak forces [10-12] and other possibly unknown force fields [1,2]. In other
words, these theories can account for almost every known form of matter and
force and possibly the ones that are not yet known, conceivable and non-
conceivable. It is believed by some physicists that the successful achievement of
such a Theory of Everything (TOE) will lead to the end of physics or at least the
beginning of the end [11]. Scientifically, Einstein began the quest for a unified
force field theory when he attempted to incorporate electromagnetism into his
General Relativity Theory. As it is now well known in Textbooks, Einstein
mathematical framework for his Special Theory of Relativity is the Lorentz group
of linear coordinate transformations and by generalizing these transformations to
include non-linear cases, he was able to set up the mathematical framework for
the General Relativity Theory. It is therefore this methodology of general
coordinate transformations that Einstein attempted to unify electromagnetic and
gravitational force fields. Therefore, most other workers in the search for a unified
force field have adopted the Einstein methodology or modifications of it [12].
333
The Oyibo methodology is esoteric as already stated and this is based on his
perception of some previous works in the quest and what he now conceives the
GUT to mean [1]:
A physically sound or credible set of mathematical equations from which to
determine or formulate the Grand Unified Force Field Theory comprising of the
four known forces in the universe which are the gravitational, the electromagnetic
and the nuclear forces of strong forces and weak forces as well as other forces
which may not have already been discovered.
To obtain such equations, Oyibo demanded that an arbitrary function G given by
G  G(Y 1 , Y 2 ...Y p ) (2.1)
should be conformally invariant under the group of transformation:

Tk : Y i  f i ( y1 ... y p , k ) (2.2)
if Tk is the group of transformations and
G  G(Y 1 , Y 2 ...Y p ) = F ( y1 ... y p , k ).( y1 , y 2 ... y p ) (2.3)
where F ( y1... y p , k ) is a function of y i and k the single group parameter.

Now this group of transformations are to obey a new set of group laws and
possess a new form of group parameters [13,14]. The argument of Oyibo is that in
the final analysis, what establishes the integrity of this methodology is not so
much the group laws or group defined parameters but the end results or final
conclusion reached. With this conjection, Oyibo derived a set of conservative
equations
(G0n ) t  (G1n ) x  (G2n ) y  (G3n ) z  0 , (2.4)
where n = 0, 1, 2, 3, 4.
Eq. (2.4) can be expressed in the Einstein-like form of conservative equations:
Gmn  0 . (2.5)
This is the Oyibo generic (meaning the specific nature is determined by the
initial/boundary conditions and other physical constraint conditions) conservation
equation which is an arbitrary function of space and time coordinates (x,y,z,t),
velocities ( x, y , z) , density (  ) , fluid or gas viscosity (  ) , temperature (T),
pressure (P), etc:
334
Gmn  Gmn ( x, y, z, t , x, y , z,  ,  , T , P,....). (2.6)
When the transformations in Eq. (2.2) is generalized to a system of partial

differential equations of order n given by
  n y1 n yq 
G j  x1 , x 2 ,...x p , y 1 , y 2 ,... y q ,..., 1 n ... p n 
0 (2.7)
 ( x ) ( x ) 
and is conformally invariant under the transformations Tkn , then the generic
solutions to Eq. (2.4) is
 n  g n0 t n1  g n1 x n1  g n 2 y n1  g n3 z n1 (2.8)
where  n is the absolute invariant of the subgroup of transformations for the

independent coordinate variables and g n 0 , g n1 , g n 2 and g n 3 are metric parameters.
The Oyibo`s generic equation in Eq. (2.5) can be recast into matrix form for
m, n  0,1,2,3 say,
G00 G01 G02 G03 

G G11 G12 G13 
 10 (2.9)
G20 G21 G22 G23 
 
G30 G31 G32 G33 
The subgroup of transformation for the coordinate‘s variables is characterized by

the relationship . Therefore the hierarchy of the
Oyibo`s invariant solution for Eq.(2.9) has the following forms
 0  g 00ct  g10 x  g 20 y  g 30 z (2.10a)
1  g 01 (ct ) 2  g11x 2  g 21 y 2  g 31z 2 (2.10b)
 2  g 02 (ct ) 3  g12 x 3  g 22 y 3  g 32 z 3 (2.10c)
3  g 03 (ct ) 4  g13 x 4  g 23 y 4  g 33 z 4 (2.10d)
In his review [3], Animalu demonstrated how to construct the realization of the
hierarchy of solutions of the generic equations for n = 0, 1, 2, 3, 4. Our goal here
is to explore the hierarchy of the invariant solution for the case where n = 0 and
try to recover some known standard equations of physics.
335
2. OBTAINING THE SPACE-TIME INVARIANCE FOR THE GENERIC

SOLUTION FOR N = 0
McConnell states [15]
Let P be a point whose coordinates are and let Q be the neighboring point with
coordinate . If we donate the infinitesimal distance PQ by ds, which is
also called the element of the path, a 4-dimensional form for a physical metric is
stated as
(3.1)
where the denotes distinct variable that are used to denote a point in
space-time [1]
The space-time of a physical event can be described as a real and smooth
manifold with coordinates while is the infinitesimal
interval between two infinitesimal points on and which eventually
corresponds to the temporal and spatial world-line in the external world
(3.2)
where represent the space coordinates of world-

line in the manifold and represent the time part of the world-
line of the manifold
The challenge at hand is to be able to show that when n = 0, the invariant solution
( ) given by Eq. (2.10a) and are equivalent. In search of the
transformation law, we will be looking at the equation of a plane through the
point A with position vector a and perpendicular to a unit position vector (see
Fig. 1):
. 3.3a)
336
This follows since the vector joining A to the general point R with the position
vector r is r-a and r will lie in the plane, if the vector is perpendicular to the
normal to the plane
. (3.3b)
Eq. (3.3a) can be recast into the form of
(3.3c)
where the unit normal to the plane is and is the

perpendicular distance of the plane from the origin.
The equation of a plane containing points a, b, c is
(3.3d)
A more symmetric form of the equation will be of the form [16]
(3.3e)
where .
Now let`s consider a curve r , parameterized by an Arc length s from some

point on the curve, if we write the length of the elemental path in the form
of equation
, (3.4a)
by including the time component into Eq.(3.4a), the resulting equation becomes
(3.4b)
where are constraining constants; if Eq. (3.4b)

becomes the familiar form of the equation of metric.
which can also be expressed as
(3.4c)
337
where .
The expression for a general infinitesimal vector displacement is given by [17]
(3.5a)
where , and .
We note that a scalar product operation does not alter the geometric character of
the function to which it is applied, the scalar product of with will give us
(3.5b)
This is the infinitesimal change in going from , since r depends on

x, y, z such that defines a space curve, that is, the total derivative of
with respect to x, y, z along the curve is given by
(3.5c)
A careful inspection of Eq. (3.5c) shows that it is the differential form of the
spatial coordinates of equation (2.10a). We now will rewrite Eq. (3.5c) in the
form which will now include both the time and space component.
(3.5d)
From the earlier definition of
338
(3.6)
By applying the conditions for Orthogonality [17]
(3.7)
It is easy to observe by comparing Eq. (3.4c) and (3.7) that the differential form of
the invariant solution is equivalent to
(3.8)
Fig. 1: A plane through the point A with position vector a and perpendicular to a
unit position vector .
3. RECOVERY OF RESULTS IN GEOMETRIC OPTICS

Geometric Optics gives only an approximation for small wavelength of
DÀlembert equation as Arnold Summerfield and Iris Runge demonstrated in
339
1911 but yield the exact propagation law of the electromagnetic waves front, quite
independently of the structure wave , a fundamental result which follows from the
theory of the characteristic manifold of the partial differential equation of the
second order. The law dictating electromagnetic radiation propagation in a
vacuum is the basic tenet of special relativity and the elemental path of the
travelling electromagnatic wave includes the results of geometric optics.
From Eq. (3.4c) and (3.7), we have showed that the metric of the square between
the neighboring points in space-time which is invariant is equivalent to the
differential form of the Oyibo`s invariant solution when n = 0 (Eq. (2.10a)), that
is,
(4.1)
Therefore, if we interprets Eq. (4.1) as an expression of space-time interval in
Minkowski manifold that would refers to a system of general coordinates, then
we can recover the results of geometric optics in a vacuum as it is described by
special relativity. This is the application we now turn to.
Fermat Principle in optics
The Fermat principle in optics states that [16]
If a ray of electromagnetic wave travelling through a medium of variable
refractive index follows a path such that the total optical path length is stationary,
then
Optical path length = physical path x refractive index
By enforcing and to be zero and and = 1 in Eq. (4.1), we obtain
(4.2)
From Eq. (4.2) the Optical path becomes
(4.3)
and
(4.4)
340
From Fermat principle, the optical path is stationary
(4.5)
Therefore,
(using trig. identity) (4.6)
with and varying individually.

Case I
When and varies, then Eq. (4.6) can be expressed as
(4.7)
which is the Snell `s Law
Case II
When varies and remain constant, then Eq. (4.6) can be expressed as
(4.7). But for Eq. (4.6) to be true and , then
. (4.8)
So we can recover the law of refraction
(4.9)
4. SUMMARY AND CONCLUSION

It is the philosopher, John Dewey, who once asserted that, Every advance in
science has issued from a new audacity of imagination. In this work therefore, we
have argued for the need to consider the Oyibo‘s GAGUT with open mindedness
though his methodology is esoteric and some of his claims may appear
overambitious. The modeling philosophy of GAGUT is that [1,2]
341
The most fundamental characteristics of the universe is motion. This fundamental

thing about the universe being motion can be basically derived from the fact that,
the material universe is made up of atoms consisting of electrons rotating around
the atomic nucleus perpetually, plus planets motions and solar systems motion
and the motion of galaxies, etc. This gives us the understanding that the universe
is basically characterized by motions. Therefore since motion can only be
provided by force, the universe could be viewed as a large force field.
Oyibo then represented the conservation of this large force field at a given space
time point in the universe by a set of generic equations, Gmn = 0. From this set of
equations, he obtained his generic solutions whose specific applications depend
on the initial/boundary conditions and other physical constraint conditions. An
important achievement of the Oyibo‘s methodology is that modeling with it is
reduced to algebraic operations rather differential equations for the most parts in
previous methodologies. With this understanding, we have been able to recover
both the Snell‘s law and the law of refraction from the generic solution for the
motion of wave,  0 . This is encouraging and therefore supports the possibility
that with more works, it may be possible to recover previous results from
GAGUT and also some of the predictions of Oyibo.
This conjecture is in line with a submission once made by Einstein [19] that
whether one observe a thing or not depends on the theory which one used. In
other words, it is the theory that decides what can be observed since observation
is the connection constructed from the phenomena and our realization. Einstein
even pointed out that his philosophy of abandoning absolute time (Galilean
transformations) and introducing only the time of special coordinate
transformations leading to his special theory of relativity may be wrong. His
reason being that any reasonable theory will besides all the things that can
immediately be observed from it, give the possibility of observing other things
more indirectly. We think this is the goal of the Oyibo‘s GAGUT.
Finally, one other controversial aspect of the GAGUT has to do with the claim by
Oyibo that it can be used to solve various man‘s problems including those in
health and economics. While this may seems overambitious, one must not lose
sight of the impact of the Einstein mass-energy equation, E = mc2. This world
most famous equation is believed to have [20] revolutionalized physics, redefine
strategic arms, and promises to transform our economy and environment with
plentiful, clean energy. It is therefore not naïve to postulate that if the extension of
this equation which is one of the salient conclusions from GAGUT that mass can
be transformed not only into energy but also into momentum is verified, then
342
GAGUT may also hold the possibility of extending the promises of the Einstein
mass-energy equation.
Acknowledgement
We appreciate the very inspirational discussion with Professor A.O.E. Animalu
and also for making available to us his papers. We also acknowledge the useful
discussion with Professor Amagh Nduka. This work is supported in part by ICBR
and also by AFAHOSITECH.
REFERENCES
[1] G. A. Oyibo, ―Grand Unified Theorem; Discovery of the Theory of
Everything and the Building Block of Quantum Theory,‖ International
Journal of Mathematics, Game Theory and Algebra, Vol. 13, 281-354
(2003).
[2] G. A. Oyibo, ‗Grand Unified Theorem,‘ with subtitles: ―Representation of
the Unified Theory of Everything,‖ Nova Science Publishers, New York
(2001) and ―Discovery of the Theory of Everything and the Building
Block of Quantum Theory,‖ Nova Science Publishers, New York (2004).
[3] A. O. E. Animalu, ―A review of Oyibo‘s grand unified theorem with
realization of a hierarchy of Oyibo-Einstein relativities,‖ unpublished.
[4] A. O. E. Animalu, ―Realization of a new conformal symmetry group for
the grand unified theorem in projective space-time geometry,‖
unpublished.
[5] A. O. E. Animalu and P. N. Okeke, ―Theoretical High Energy Physics,
Astrophysics, Cosmology, Tensors Calculus, General Relativity and
Grand Unified Theorem (A foundation postgraduate course),‖ National
Mathematical Centre, Abuja (2005).
[6] Another reason for the lack of more research on GAGUT in the country
may be due to the poor access to the work: (1) reaching Oyibo has been
unnecessarily difficult and even when Oyibo came to the country, not very
many researchers could attend his lectures and (2) the price of $240 (=
N30,000.00 at $1 = N125.00) for each of the books (Ref. 2) may be too
exorbitant for individual researchers whose research works have no direct
relation with GAGUT.
343
[7] Projective also know as Descriptive geometries means non-metrical

geometries which are different from the Minkowskian and Riemannian
geometries which are metrical. One important feature of projective
geometry is that one never measures anything, instead, one relates one set
of points to another by a projectivity. See H. S. M. Coxeter, ―Projective
Geometry,‖ (2nd Ed), Springer (2003).
[8] P. A. M. Dirac, ―Principle of Quantum Mechanics‖ (4th Ed), Oxford
University Press, New York (1958).
[9] P. A. M. Dirac, ―Methods in Theoretical Physics‖ in From my life in
physics, World Scientific Publishing Co. Pte. Ltd, Singapore, pp19 - 30
(1989).
[10] S. Shapin, ―The Scientific Revolution‖ University of Chicago Press.
Chicago (1996).
[11] A. E. E. Mckemzie, ―The Major Achievements of Science‖ (Vol.1),
Cambridge University Press (1969).
[12] P. G. Bergmann, ―Introduction to the Theory of Relativity,‖Dover
Publications, Inc., New York (1976).
[13] G. A. Oyibo, ―New Group Theory for Mathematical Physics,‖ Gas
Dynamics and Turbulence, Nova science Publishers, New York (1993).
[14] G. A. Oyibo, ―Generalized mathematical proof of Einstein‘s theory using
a new group theory,‖ Problems of Nonlinear Analysis in Eingeering
systems (An International Russian Journal) Vol. 2, pp 22-29 (1995):
International Journal of Mathematics, Game Theory and Algebra, Vol. 4,
1-24 (1996)
[15] J. B. Almeida, ―How much of the universe can be explained by geometry‖
arXiv:0801.4089 (2008).
[16] K. F. Riley et al., ―Mathematical Methods for Physics and Engineering,‖
Cambridge University Press (3rd Ed) (2006).
[17] B. D. Gupta, ―Mathematical Physics‖ Vikas Publishing House (1986)
[18] A. Parker, ―At Livermore, audacious physics has thrived for 50 years,‖
Science and Technology Review, The Regents of the University of
Califonia, Califonia, pp16-21, May (2002).
344
[19] W. Heisenberg, ―Theory, Criticism and a Philosophy‖ in From my life in

physics, World Scientific Publishing Co. Pte. Ltd, Singapore, pp32 - 55
(1989).
[20] A. Heller, ―How one equation changes the world,‖ Science and
Technology Review, The Regents of the University of Califonia,
Califonia, pp12-20, September (2005).
345
THE ATTITUDE OF FEMALE NIGERIAN UNIVERSITY STUDENTS

TOWARDS THE STUDY OF PHYSICS AND THEIR
PERFORMANCE†††††††††
Anita Edi and Otete Okobiah
Delta State University, Abraka, Delta State
Abstract
A review of the literature reveals that fewer female students register for
science courses, especially Physics than male students. A lot of factors ranging
from teaching strategies and classroom climates, parental emotional support,
content of the Physics course, textbooks used (Zhu, 2007) have been identified as
contributory factors. Other factors include socio-economic levels, previous
learning, methods of studying, attitudes, self-adequacy intelligence and teaching-
learning approaches (Guzel, 2004|). This study is an exploratory study to find out
the number of female students who enrolled in the Department of Physics, Delta
State University, Abraka, for four academic sessions, their attitude towards
Physics, and their performance. In conclusion a way-forward for the
improvement of the situation was suggested. Subsequent studies will look at
other aspects identified from literature.
1. INTRODUCTION
Education is wealth and female education, they say results in the nation‘s
education (Adedeji, 1989, UNECA, 1975)). Generally, female‘s enrolment in the
education sector is usually lower than male‘s enrolment especially in the
Sciences. Observations of the existing number of female students in core sciences
is low compared with that of male students. For instance, in engineering
especially mechanical, you hardly find a female student. In Physics class, the
female students are less than 25% of the total number of the class (four sessions –
††††††††† African Journal of Physics Vol. 2, pp. 346-356 , (2009)

346
12 out of 59, 9 out of 38, 24 out of 98 and 25 out of 141). This observation
corroborates Nnaka‘s (2005) and Aigbomian‘s (2002) findings. Aigbomian
(2002) found out that in a class of 153, 64 and 45, there were 11 (17.1%), 1
(1.5%) and 10(22.22%) female students respectively. These figures were all less
than 25%
Our present economies are driven by Science. So if women are to

contribute to the development of the nation, female students need to acquire
relevant scientific skills. Science courses/subjects are generally regarded as being
more difficult than humanities, social sciences education. Studies have indicated
that the attitudes of males and females toward science courses differ (Banya,
2004). Some reasons have been proffered for the low enrolment of female
students in the sciences as well as their low academic performance. The existence
of strong gender biases in science curricula and instruction (Okeke, 1990:
Erinogha, 1997, Njoku 2000, Olagunju 2001, Njoku 2006) is one of the factors.
Other reasons include child-rearing practices, which impede girls readiness for
scientific and technological studies (Njoku, 1993). The masculine nature of the
sciences deter girls from entering into the programmes (Mulemwa, 1999 and
Njoku 2005).
Globally, the concept of science being for males is the same. This
informed the formation of the body known as Girls in Science and Technology
(GIST) in England years ago. Girls who read sciences tend to be intimidated by
the kind of questions they are asked ―why do you study Physics? Why not
education where you will have time for your home. You are a woman‖. Our
female science students are also asked similar questions.
However, lots have been written about women‘s development and their
advantages to the family settings, political arena and the educational setting.
Government has given attention to the inclusion of women in governance. I have
heard it said many times that science rules the world. Educating women in the
sciences, therefore means that women will be in the areas of sciences to be able to
guide, direct and influence their children females inclusive. This will make the
children to have positive attitude towards science courses especially physics.
Training a woman means training a nation. Therefore, if there must be an
increase in the enrolment of females in the sciences, mothers should have more
knowledge in scientific skills to be able to expose their female children early
enough as they engage them in house chores, to scientific concepts. For example,
the steam from the pot of soup, kettle of boiling water could be related to
scientific/physics concepts. Pouring hot water in an insulated cup and non-
347
insulated cup can be related to the concepts of heat conductor in physics. Such
interactions can lead female students to develop interest in Physics and science
courses in general.
This study looks at the number of female students‘ enrolment in physics,

their performance, attitudes towards physics. Some suggestions were proffered as
a way forward for encouraging and stimulating girls‘ interest in Physics as well as
developing positive attitude towards physics.
2. METHODOLOGY
The subjects for the study were
The authors analyzed the performance of female students for four different
sessions in Physics Department of one of the Universities in Southern Nigeria.
Percentage was used to analyze the data collected from the University. There was
an open-ended question of the female students‘ attitude towards Physics. The
female students‘ expressed attitudes towards Physics were stated in Table 5.
3. RESEARCH QUESTION
1. Do the female students perform better than the male students in Physics
Department?
2. What are the attitudes of female students towards Physics?
3. ANALYSIS
Tables 1-4 indicate the results of the performance of the female students in
Physics in four different academic sessions. The number of female enrolment is
also indicated in the tables. Table 5 indicates the attitudes of the female students
towards Physics.
348
4. RESULTS
Table 1: A table showing the performance of Female and male students in

2001/2002 and 2001/2002
F M
No. % No. %
1st 0 0 0 0
21 2 3.38 8 13.55
22 2 3.38 16 27.11
3rd 6 10.16 5 8.47
Pass 0 0 0 0
Total % of - 16.92 - 49.13

Passes
Withdrawn 0 0 1 1.69
FRNS 2 3.38 17 28.81
TOTAL 12 20.30 47 79.63
From the above table, there are 12 (20.30%) female students as against 47 (79.63)
male students. There is no first class and pass grade among the males and the
females. 13.55%, 27.11% and 28.81% of the male students had 21, 22 and FRNS
respectively. 3.38% of the female students had 21, 22 and FRNS each. 10.16%
of the female students had 3rd class as against 8.47% of the male students. One of
the male students withdrew while none of the female students withdrew. While
16.92% of the girls passed, 49.13% of the male students passed.
349
Table 2: A table showing the performance of female and male Physics students
in
2003/2004 session.
F M
No. % No. %
1st 0 0 0 0
21 1 2.63 10 26.31
22 1 2.63 3 5.08
3rd 2 5.26 2 5.26
Pass 1 2.63 1 2.63
Total % of 13.15 31.28

Passes
Withdrawn 0 0 1 2.63
FRNS 4 10.52 12 31.57
TOTAL 9 23.67 29 73.48
From the above Table, none of the students made 1st class. While 2.63%
of the females made 21, 22 and pass, 26.31%, 5.08% and 2.63% of the males made
21, 22 and pass respectively. While no female withdrew, 2.63% of the males
withdrew. 10.52% of the females did not graduate as against 31.57% of the
males. On the whole, 31.28% of the males as against 13.15% of the girls passed.
350
Table 3: A table showing the performance of female and male students in

2004/2005 session.
F M
No. % No. %
1st 1 1.02 0 0
21 6 6.12 5 5.10
22 7 7.14 31 31.63
3rd 6 6.12 15 15.30
Pass 0 0 7 7.14
Total % of - 20.40 59.17 -

Passes
FRNS 4 4.08 16 16.32
TOTAL 24 24.44 74 75.49
Of the total 98 students, 24 (24.44%) are females while 74 (75.49%) are

males. 1.02% and 6.12% of the females as against 0% and 5.10% of the males
made first class and 21 respectively. 31.63%, 15.30%, 7.14% of the males as
against 7.14%, 6.12% and 0% of the females made 21 , 3rd class and Pass degree.
Only 4.08% of the females did not graduate while 16.32% of the males did not
graduate.
351
Table 4: A table showing the Female Students‘ Performance in 2007/2008

session
F M
No. % No. %
1st 0 0 1 0.70
21 3 2.23 7 4.96
22 8 5.97 19 13.47
3rd 5 3.73 33 23.40
Pass 0 0 7 4.96
Total % of - 10.63 - 47.49

Passes
FRNS 9 6.38 49 34.75
TOTAL 25 17.73 111 82.24
From the above table 47.49% of the males as against 10.63% of the
females passed. However, only 6.38% of the females could not graduate while
34.75% of the males could not graduate. Of the total number of students that
enrolled, 82.24% are males while 17.73% are females. No female made 1st class
and the percentage of students‘ that passed in each grade was higher for the
males; 21 (4.96% vs 2.12%), 22 (13.47 vs 4.97%) 3rd (23.40% vs 3.54%).
352
Table 5: Attitudes of Female Physics Students towards Physics

Some Physics students from the Delta State University, Abraka were
asked to state their attitudes towards Physics. The following were their
expressed attitude.
1. Psychologically, female students do not like science subjects
because they are difficult
2. Most girls run away from Physics because of the mathematical,
quantum mechanics, classical mechanics.
3. Most people in the society believe that difficult courses/subjects
are meant for boys and not girls.
4. Girls are scared of physics.
5. Most adults in the society express surprise when they see female
science (physics) students. They say things like ―iron lady,
tomboy, strong lady‖.
6. Girls are meant for homes so they should prefer humanities,
education, social studies, management courses and not physics.
These courses will give more time to run their homes.
7. Physics is a hard course that requires good health, strong mind,
strong determination, man power, lot of energy. Girls appear not
to have these characteristics.
8. Girls that study Physics feel that they should corroborate the
saying that ―what a man can do, a woman can do it better‖. This
makes them to work very hard.
The expressed attitude of the female Physics students indicate that there are
socio-cultural, intelligence, emotional and =environmental factors, militating
against the female gender studying or who want to study Physics. This
corroborates Aigbomian (1985), Mulenwa (1999) and Njoku (2005).
5. DISCUSSION
The findings from this study indicate that female students studying
Physics for the four academic sessions are less than 25% of the students‘
population. In 2001/02, 2003/04, 2004/05 and 2007/08, the percentage of the
girls that enrolled is 20.30%, 23.67%, 24.44%, and 17.73% respectively. This
low percentage of female students enrolment in Physics corroborate the findings
of Njoku (2000, 2005, 2006), Olagunju (2001) and Aigbomian (2002). Total
number of passes for girls for the four academic sessions out of the 321 students
that enrolled is 5 (15.50%) while that of the males is 190 (57.75%). In another
353
University whose detailed results could not be obtained, only 7 (8.24% of the
2007/08 class were females while 78 (91.76%) were males.
6. THE WAY FORWARD
Since training a woman means training a nation, and science rules the
world, and we have few female students enrolling for science courses, the
government and parents should ensure that:
1. There are awareness in the society to inform them that women can also
be scientist.
2. Teachers both at the primary, secondary and tertiary institutions should
expose pupils and students to the vocational relevance of the science
courses they are teaching.
3. There should be equipped laboratories at all educational levels to assist
students meaningful participation in the learning process.
4. Teachers should relate scientific concepts to the reality of life, and the
environment and to vocational opportunities..
5. Teachers should give assignments that at relevant to particular physics
courses, e.g. designing prototypes fans, machines (for light, light solar
panels, inverters, etc).
6. Students have days for exhibiting their scientific products to the
public, parents and Government.
6b. That students are given the opportunity to view themselves and their
future in relation to Physics.
7. Female students in Physics Departments should look beyond the

kitchen. We have influential women like Professor Grace Alele-
Williams, Prof Dora Akinluyi, Dr. Ngozi Okonji-Iweala, Dr. Oby
Nzekwesili, etc.
8. Teachers should take students on excursions to increase the level of
students‘ interest in Physics and increase the number of girls that will
choose physics.
9. Lecturers are dedicated and devoted so as to encourage all female
students to be focused and achieve better performance.
10. That the socio-cultural structures and processes that becloud and blur
female student‘s participation and science based programme are
removed and their scientific aspirations improve upon.
11. Teachers at all educational level, should always engage female pupils
in scientific activities. Such as making soap, distilled water, etc.
354
12. Mothers should always expose their female daughters to physics

concepts early enough, e.g. utensils that are good and poor conductors
of heat, gas/vapour from boiling water, etc..
13. Industries, philanthropists, alumni and parents are encouraged to
provide scientific equipment to laboratories in schools (all levels of
institutions).
14. Teachers should employ the 5Es (exploration, experimentation,
explanation, extension and evaluation) while teaching Physics right
from the secondary school level.
7. CONCLUSION
Efforts have been made to find out the number of female student who
enrolled in Physics class. There was enough evidence to evince that there was
low female enrolment in Physics. The percentage of passes were also lower for
the females indicating that the males performed better. Some suggestions were
made if the number of our female students enrolling in Physics programmes will
be increased as well as increasing the level of their performances.
REFERENCES
Adedeji, A (1989) African Women Development:: Selected Statements. Addis

Ababa: UNECA
Aigbomian, D. O. (1985) Relationship Between Understanding of Physics

Concepts and Achievements in the West African School Certificate
Physics Examination. Unpublished Ph.D Thesis University of Nigeria,
Nsukka.
Aigbomian, D. O. (2002) Gender and Science, Technology and Mathematics in

Oriafo, S. O. and Ikponmwosa, O. I. (eds) Gender issues in Education for
National Development: 54-63
Banya, S. K. (2005) A Study of Factors Affecting The Attitudes of Youth Female

Students Toward Chemistry At the High School Level, Dissertation,
University of Southern Mississippi, USA.
355
Erinosha, S. Y. (1997) Female Participation in Science: an Analysis of

Secondary School Science Curriculum Materials in Nigeria: Abridged
Research Report No. 29, Nairobi.
Guzel, H (2004) The Relationship Between Students Success in Physics Lessons
and their Attitudes Towards Mathematics, Journal of Turkish Science
Education I (1)
Njoku, Z. C. (1993) Strategies for Improving the Enrolment and Achievement of

Girls in Science Technology and Mathematics at Secondary School level,
In Nworgu, B. E. (ed) Curriculum Development, Implementation and
Evaluation, A book of Reading Nsukka, APQEN Pub
Njoku, Z. C. (2000) Image of Females in Science: A Gender Analysis of Science

and Technology Activities in Nigerian Primary Science Textbooks.
Journal of Primary Education I (3-12)
Njoku, Z. C. (2006) Girls Disadvantages in Science and Technology Curriculum

and Instruction: Possible Explanation for Gender Difference in Pupils
Achievement and Interest in Primary Science: International Journal of
Educational Research I (1): 15-25
Nnaka, C. (2005) Women Participation in Science and Technology Education.

International Journal of Forum for African Women Educationalists
Nigeria I (3): 112-118
Olagunju, M. A. (2001) Increasing girls‘ Interest, Participation and Achievement

in Science: 42nd Proceedings of the Science Teachers Association of
Nigeria: 52-58.
Okeke, E. A. C. 91990) Gender, Science and Technology in Africa: A Challenge

for Education. The Rama Mechta Lectute. Cambridge, Radcliff College.
Zhu, Z. (2007). Learning Content, Physics Self-Efficacy, and Female Students‘

Physics course taking. International Education Journal, 8 (2), 204-212
356
ENDOGENOUS ASTRONOMY OF PARTS OF NIGERIA‡‡‡‡‡‡‡‡‡
J.O. Urama1, E.N. Urama2 and A.O.E. Animalu1
1
Dept. of Physics & Astronomy, University of Nigeria, Nsukka
2
Dept. of English and Literary Studies, University of Nigeria, Nsukka
1
e-mail: johnsonurama@yahoo.com
Abstract
Indigenous, endogenous, traditional, or cultural astronomy focuses on the many
ways that people and cultures interact with celestial bodies. In Nigeria, there is
very little awareness about modern astronomy. However, like ancient people
everywhere, Nigerians have always wondered at the sky and struggled to make
sense of it. Astronomical observations used by the ancient people of Nigeria, and
Africa in general, were developed out of the people's desire to have concrete
manifestations of their gods and religious beliefs as well as for time-keeping –
day, night and calendar for agricultural and festive seasons. Here, we discuss
some aspects of the culture and tradition of some of the ethnic groups in Nigeria
and the need to bridge the gap between cultural astronomy in Africa and modern
astronomy by providing scientific interpretation to such cosmogonies and ancient
astronomical practices. Through linking the traditional and the scientific, it is
believed that this would be used to create awareness and interest in modern
astronomy and sciences generally.
1. INTRODUCTION
A good understanding and application of the cosmological ideas of a
people are the basic prerequisites for achieving a balanced social, economic,
political and technological development. This is one of the greatest challenges of
our time – being able to revolutionize the thought pattern of the public;
‡‡‡‡‡‡‡‡‡African Journal of Physics Vol. 2, pp.357-371, (2009)

357
―scientificating‖ our worldview and linking it with other worldviews; and

demystifying the ―mysterious heavenlies‖. The description of creation told by
followers of cabbala (a form of Jewish mysticism), for example, has been
interpreted along modern cosmological views[1]. The cabbalists developed a
theoretical system portraying God as having ten aspects, known in Hebrew as the
sephirot. Beyond the sephirot is Ein Sof, the unknowable aspect of God, from
which emanated a light that created the sephirot and the physical universe. Of the
ten sephirot the first three deal with creation, and they correspond fairly closely to
the concepts from the cosmological theories of inflation. In Nigeria, there are
hundreds of such theories about creation, life and living, etc that need to be
studied systematically.
As observed by Kunene[2], ―each society is concerned with its destiny
within the cosmic arena; without this perspective, the society can only be
stampeded into directions it does not fully comprehend or does not feel ready to
follow‖. He further argued that, the more fragmented, individualistic, and land-
alienated people are, the more they are inclined towards a fantasy that is outside
the earth. A scene from Kenya in ―The River Between‖[3] typifies this: ―There
was a general uniformity between all the houses that lay scattered over this ridge.
They consisted of round thatched huts standing in groups of three or four. A
natural hedge surrounded each household. Joshua‘s house was different. His was
a thin-roofed rectangular building standing quite distinctly by itself on the ridge.
The tin roof was already decaying and let in rain freely, so on top of the roof
could be seen little scraps of sacking that covered the very bad parts. The
building, standing so distinctly and defiantly was perhaps an indication that the
old isolation of Makuyu from the rest of world was being broken down.‖ The
picture created here is that of the changing and contrasting patterns of life. On the
one hand there is a communal living which is hinged on earth-centredness and a
world view which is cyclic and on the other hand an individualistic life based on
linear form.
In fact in many parts of West Africa and beyond, the world view is one of
dualities and relativity. This manifests in curvilinear (circular and spiral) forms of
thought and living as evident in the predominance of curvilinear forms in
traditional African artistic expressions such as the architecture, ornaments, ritual
dance, etc. The curvilinear forms are believed to be indicative of an ―intuitive
dialogue with nature‖ [4]. It had earlier been argued that, ―The natural world ... is
one of infinite varieties and complexities, a multidimensional world which
contains no straight lines or completely regular shapes, where things do not
happen in sequences but all together, a world where - as modern physics tells us -
even empty space is curved‖[5].
358
In African traditional imagination, power is an aspect of beauty. It is the

expression of vitality mixed with mystery[6]. The sky entities manifest natural
and supernatural power and the feeling this power inspires is reverence and fear.
The sun, the moon and the stars are therefore perceived in their powerful, vital,
beneficial or harmful aspects. In Birago Diop‘s poem Omen, for example, the sun
is portrayed as a source of protection in all stages of human life.
‗Omen‘ by Birago Diop
A naked sun - a yellow sun

A sun all naked at early dawn
Pours waves of gold over the bank
of the river of yellow
A naked sun – a white sun

A sun all naked, and white
Pour waves of silver
Over the river of white
A naked sun – a red sun

A sun all naked and red
Pours waves of red blood
Over the river of red
Senanu and Vincent[7] argue that this poem is typical of Birago Diop, who is
preoccupied in many of his poems with that aspect of African culture which
emphasizes the importance of and the guiding spirit of our ancestors. This
creative work is influenced by Diop‘s experiences, his early life at Dakar in
Senegal through his life in France where he studied veterinary Science. The
colours of the sun symbolize stages of his life: the dawn of his life – his childhood
359
symbolized by ‗a yellow sun‘, his youth by ‗a white sun‘ and his old age by ‗a red
sun‘. He strongly believes in the protection given him by the spirit of his
ancestors against all ills. No matter the colour of the river, it blends with the
colour of the naked sun; signifying that the spirits of his ancestors are always
available to protect and inspire him. The sun portrayed to be ‗a naked sun‘ shows
that there is no hidden agenda of the ancestral heritage of the Africans. Africans
are therefore encouraged to remember their roots. It is only by maintaining close
relationship with our ancestors that will make us to learn this wisdom and secure
our protection in all stages of our lives. His using the sun as a symbol of our
ancestors depicts the position of the sun in African traditional belief and culture
In this paper, we investigate some aspects of the culture and traditions of
some of the ethnic groups of Nigeria with special emphasis on their world view,
cosmogony and creation myths, indigenous lore of celestial bodies, calendars,
cycles, seasons and festivals. We shall attempt to re-interpret this body of
knowledge in the light of modern/ western astronomy.
2. BRIEF OVERVIEW OF MODERN ASTRONOMY/SPACE

SCIENCE IN NIGERIA
Astronomy is one of the oldest science disciplines. Modern astronomy is a
term used to refer to the scientific discipline in which we collect, correlate and
interpret data pertinent to our entire observable universe from our galaxy to the
farthest reaches of extragalactic space. It involves the study of structure, evolution
and origin of the universe and its constituent parts. Astronomy arose
independently in many parts of the world out of a practical human need of
calendar, telling time and direction finding.
Astronomy has been said to be, ―a science that has a universal appeal
because it encompasses all fields of human interest and endeavour‖[8]. It has been
argued that, ―Astronomy is more than the science of stars. It is intimately
connected to our ideas of ourselves, our purpose and place in the universe‖[9]. As
the science that provides the framework knowledge of where we, and the planet
on which we live, fit into the environment of the universe, astronomy is a vital
part of the culture of all mankind. A person deprived of the broad outlines of
astronomical knowledge is as culturally handicapped as one never exposed to
history, literature, music or art[10].
Modern astronomy came into Nigeria only four decades back. One of the
first major modern astronomy/space science activities in Nigeria was the setting
up of NASA‘s space tracking facility in Kano in the early 1960s for monitoring
360
the missions of Gemini, Apollo and Skylab spacecraft. In South Africa, Australia
and other parts of the world, such NASA‘s space tracking facilities
metamorphosed into radio astronomy observatories but, unfortunately, were
dismantled in Nigeria. Many Universities and Research Centres in Nigeria have
also been involved with teaching and research in astronomy and space physics for
many years. The Departments of Mathematics and Physics & Astronomy of the
University of Nigeria, Nsukka, have been at the forefront of astronomy since
1962. Programs in basic space science have also been running at the Universities
of Ilorin; Bayero University, Kano; Federal Universities of Technology at Akure
and Minna for over 20 years. Nigeria is also a host to an international centre
involved with space science, the African Regional Centre for Space Science and
Technology Education in English Language (ARCSSTE-E), Ile-Ife, which was
inaugurated in November 1998. And two years later the National Centre for Basic
Space Science was set up at Nsukka with the mandate to conduct and carry out
active front-line research in Atmospheric Science and Astronomy. However,
astronomy remains largely an ―unwanted commodity‖ in Nigeria. It had been
pointed out that; ―the general feeling among Nigerians is that the idea of space
science and technology is beyond us as a developing country. This feeling
unfortunately is partly due to the belief that our problems are mundane and earth
bound and so the solutions to those problems must be sought on the ground with
classical and non-space based technology‖[11]. This could explain why there are
only about a dozen professional astronomers and very few amateur astronomers in
the country since it is seen to be of only esoteric interest and devoid of any
practical and economic value. In February 1990, there was a sudden
―disappearance‖ of the moon for about an hour. This eclipse, happening on the
eve of a scheduled visit to one of the cities in the north by the then President,
caused a stir in the city as this was seen as a bad omen and believed to have been
caused by ill-wishers of the President. Subsequently violent clashes erupted
between the self-proclaimed protagonists and the suspected antagonists of the
President, who were attacked in the belief that they had bewitched the moon. This
typifies the misconceptions and superstitious beliefs about even the commonest
astronomical event in modern day Nigeria.
It is, however, worthy of note that a Nigerian – Samuel Okoye – was the
first black African to obtain a doctorate in radio astronomy. His doctoral research
at the Mullard Radio Astronomy Observatory, University of Cambridge, led to the
discovery (with his supervisor, Prof. Anthony Hewish) of an extremely high
brightness temperature source in the Crab Nebula recognized as the first example
of a neutron star. This source later turned out to be none other than the famous
Crab Nebula Pulsar. The discovery was widely recognized of being of
361
fundamental importance to basic physics and for which Prof. Hewish was
awarded the Nobel Prize in Physics in 1974.
He returned to Nigeria to set up a radio observatory – an ambition that
very well highlights the problems, challenges and prospects of doing modern
astronomy in this part of the world. According to Okeke [12], ―Professor Okoye‘s
initial efforts to set up a space research centre was frustrated by lack of funds until
in 1977 when the late Dr. Nnamdi Azikiwe made a handsome donation of the sum
of one hundred thousand Naira (about US $150,000 then) towards the setting up
of a space centre. With this initial assistance Professor Okoye and his group were
able to set up a 10-m dish operating at 327 MHz as the initial facility of the group.
This was done with a little assistance from University of California, and so a lot
of indigenous technology was built in. With this facility, the centre planned to
carry out the following projects: a two station pulsar observation with India, a
VLBI observation programme with Germany, ... All these experiments involve
signing of agreements with other governments and some financial support. There
was no support from the Nigerian government or from any other source, as a
result, all the above mentioned projects could not take of. Since no serious
activity was taking place around the telescope, which was cited in a remote corner
of the University as is usual with radio instruments, the dish and all the facilities
were vandalised.‖
However, with the recent restoration of democratic governance in Nigeria,
the National Centre for Basic Space Science, Nsukka, was created and it is hoped
that this would assist the nation in fulfilling aspects of the Draft National Policy
on Space Science and Technology and the dream of the first Nigerian President,
the late Rt. Hon. Dr Nnamdi Azikiwe. The Centre is currently working towards
the actualisation of a 25-m Nigerian Radio Telescope., and it has, also, has got
some small optical telescopes. And the Rivers State University of Science and
Technology, also, has got an optical telescope, which was recently installed and
already in use.
3. OVERVIEW OF CULTURAL ASTRONOMY OF PARTS OF

NIGERIA
Cultural astronomy has been said to be, ―the use of astronomical
knowledge, beliefs or theories to inspire, inform or influence social forms and
ideologies, or any aspect of human behaviour. Cultural astronomy also includes
the modern disciplines of ethnoastronomy and archeoastronomy‖[13]. The
cultural astronomy of the West African sub-region, and Nigeria in particular, is
362
among the least investigated in the African continent. Ancient astronomical

practices of parts of Southern and Northern Africa have been relatively well
studied. Nigeria's endogenous astronomy is as diverse as its over 300 ethnic
groups. Most of the ethnic groups have astronomy-rich cultures. These ethno-
astronomical views are revealed in the folklore, traditional poetry and art works of
many of the ethnic groups. Some of these had names for star constellations as
well as some exciting star lore.
The Hausa speaking tribal nation of West Africa have a good number of
myths and folktales about the sun, moon and the stars. The stars are supposed to
visit each other and talk. They even have names for some constellations, a typical
example being a constellation that appears at the commencement of the rains
which is known as kaza Maiyaya (the Hen with Chickens). The morning-star in
harvest time (probably α-Aquila) is known as the eagle star [14]. In one of their
folktales, they have it that the moon and the sun were friendly until the sun gave
birth. Then the sun called the moon and asked him to hold her daughter while she
went and washed herself. The moon took the sun‘s daughter, but was not able to
hold it, for it burnt him, and he let it go, and it fell to the earth – that is why men
feel hot on earth. When the sun returned, she asked the moon where the daughter
was, and the moon replied, ―Your daughter was burning me so I let her go, and
she fell to earth.‖ Because of that the sun pursues the moon. Another variant is
that the moon‘s path is full of thorns, while that of the sun is sandy, and on that
account the moon cannot travel quickly, as does the sun. So when the moon can
proceed no farther, he gets on the sun‘s path, and the sun catches him. When the
sun has caught him the people take their drums and ask the sun to spare the
moon[15]. This ―catching-up‖ occurs during an eclipse of the sun – usually partial
or annular.
In Igala land, when an eclipse happens it is believed that the world wants
to come to an end, so the people would start beating the drums, buckets, plates
and bowls as a praise to their god to spare the world. And when the eclipse is over
they would start chanting, ―thanks be to our gods for they have heard our
prayers‖. Here, it is also believed that the moon has two wives – and these are the
brightest stars that stay very close to the moon when it appears in the night, the
most loved one staying closest to him [Joan Edime – private communication].
In Igbo land the supreme being Chukwu is commonly identified with the
sun (Anyanwu) so that the supreme being is often described as Anyanwu Eze
Chukwu Okike (The sun, the Lord God, the creator). In Nsukka area, almost every
household in those days had a shrine of anyanwu in his compund as a round
pottery dish sunk into the ground bottom upwards at the base of an ogbu tree.
There can be little doubt that this pottery dish is used as representing the sun‘s
363
disc. Offerings are usually made at sunrise or sunset. In some cases the anyanwu
(sun-god) shrine is a mound of sand. Among the Jukun of the Benue basin there is
the same partial identification of the Sun with the Supreme Being and it is
noteworthy that the Jukun words for Sun and Supreme Being viz: Nyunu (Anu)
and Chi-do embody the same roots as the terms used by the Ibo. In the Okpoto
groups the Sun is called Enu and the Sun-god Olenu. It is perhaps not accidental
that Heliopolis the centre of Sun-worship in Ancient Egypt was known by the
Egyptians as Anu. It is also noteworthy that the use of mounds of sand in
connection with Sun-rites was common in Egypt and that among the Jukun today
the Sun-altars are two mounds of sand.[16]
Figure 1: A village shrine in Nsude, Enugu State of Nigeria. Photograph

was taken in the 1930s by the late G.I. Jones. (Source: Museum of
Archeology and Anthropolgy, University of Cambridge.)
The Yoruba cosmogony is, in a sense, the basis for their rituals, social
structure as well as their political activity. In the Yoruba cosmogony, Obatala
was issued with the task of building the Earth by Sky God Olorun, who gave him
blueprints, a handful of mud, a chain, a five-toed chicken, and detailed
364
instructions. Unfortunately, on his way to perform this important task accidentally

gate crashed a God-party and spent the rest of the evening roaring, drunk on palm
wine. Seeing the chance for fame and glory, his younger brother Oduduwa
pinched the holy building materials and attempted to jerry-build the Earth himself.
Advised by a friendly chameleon, he lowered the chain over the edge of heaven,
climbed down, and tossed the lump of mud into the primeval sea. The chicken
hopped onto the mud and began scratching it in all directions. Pretty soon there
was a decent size landscape and thus was the Earth born [www.godchecker.com].
Figure 2: The Ooni of Ife, Oba Okunade Sijuade, appearing with the Are crown, the beaded
crown left behind by Oduduwa for Yoruba.
The Ooni wears the crown only once a year at the Olojo festival and it is believed to
have curative powers as any prayer said once the365
Ooni adorns the crown is said to be answered.
(
Oduduwa, the first Ooni of Ife, is the father of the Yorubas and
progenitor of all Yoruba Oba's and the Oba of Benin. Oduduwa is believed to
have had 16 sons who later became powerful traditional rulers of Yoruba land,
most notably Alafin of Oyo, Ooni of Ife, Oragun of Ila, Owa of Ilesha, Alake of
Abeokuta and Osemawe of Ondo.
In Igboland, unlike the situation in Edo, Yoruba and Hausa, there is a
dearth of written material for the period before the 19th century. Although an
ideograph (sign-language), nsibidi, had been in use, literacy as it is understood
today, was introduced into Igboland after the first European visitors (John and
Richard Lander) travelled down the lower Niger down to the Niger Delta in 1830.
In many places in Igboland, the general life of the community still largely
hinges on the lunar calendar and the people look up to the king-priests who
determined agricultural seasons based on the lunar calendar. Here, some historic
annual, biannual and perennial events are not randomly fixed by mortal men;
rather some signs in the sky believed to be messages from the gods are used to
avoid the wrath of the gods and other calamities. Such festival like new yam
festival, cult or masquerade initiation, burial and funeral ceremonies, etc. are
therefore programmed on astronomical observations. These astronomical signs
include the appearing of the new moon, sunrise or sunset and the appearance of
specific stars. The respective significance of these signs is to the knowledge of the
high/chief priests who order the annunciation of dates to various activities.
In Chinua Achebe‘s Arrow of God[17], it is believed by the people of
Umuaro that the relationship they have with their religious and agricultural
existence is designed by the gods. Ezeulu, the protagonist of the novel and the
chief priest of Ulu is the custodian of the timetable of the events of the people.
This timetable of events depends on the moon. His hut is therefore built
differently from other men‘s hut so that it would be easier for him to do his sky
watching.
His obi was built differently from other men‘s hut. There was the usual,
long threshold in front but also a shorter one on the right as you
entered. The eaves on this additional entrance were cut back so that
sitting on the floor Ezeulu could watch that part of the sky where the
moon had its door.
366
On sighting the moon, he announces it by beating the metal gong, then women
and children follow suit giving out shouts of joy welcoming the moon. The sky
entities are approached within African tradition with a mixture of feelings; as
shown in welcoming of the new moon by the people in Ezeulu‘s compound[18]:
The little children in Ezeulu‘s compound joined the rest in welcoming the moon
Obiageli‘s tiny voice stood out like a small ogene among drums and flutes. The
chief priest could also make out the voice of his youngest son, Nwafo. The
women too were in the open talking
‗Moo‘ ―I‖ said the senior wife Matefi, ‗May your face meeting mine bring
good fortune‘.
‗Where is it‘ asked Ugoye, the younger wife. ‗I don‘t see it or am I
blind?‘
‗Don‘t you beyond the top of the ukwa tree? Not there. Follow my
finger‘.
‗Oho, I see it. Moon, may your face meeting mine bring good
fortune. But how is it sitting I don‘t like its posture‘.
‗Why?‘ asked Matefi
‗I think it sits awkwardly - like an evil moon‘.
‗No‘, said Matefi. ‗A bad moon does not leave anyone in doubt.
Like the one under which Okuata died. Its legs were up in the air‘.
The people utter their wishes to the moon for protection: ‗Moon may your face
meeting mine bring good fortune‘. This reflects the religious importance of the
moon in Igbo society. The Chief Priest of Ulu then enters his barn, take one yam
from the bambo platform built specially for the twelve sacred yams, roasts one
and eats it with no palm oil and also alone not giving anybody. These are for him
to order the annunciation of dates of the community‘s festivals which is the
significance of the moon to the community. Ezeulu as the Chief Priest is only a
messenger for the god – Ulu and he is supposed to be very careful to avoid the
wrath of the gods. The counting of the moon is therefore not just done in Igbo
society to fulfill all righteousness; rather it is an important timing event which is
to be taken serious by both the living and the dead.
367
In Nsukka area these priests known as Atama are often the most influential
men in the towns as the keepers of the calendar for their communities. These
priests examined the motions of the sun, moon and planets, in some cases, to
come up with the calendar. Each lunar month has a name, a ritual associated with
it and also an economic activity specially connected with it. Each moon (month)
has seven market weeks (Izu asaa) and each izu is four days, that is Eke, Oye
(Orie), Afor and Nkwo. The Igbo year consists of twelve lunar months (354 days)
and as this falls short of the solar year by eleven days it is necessary to add a
thirteenth month from time to time so as to make the year correspond with the
seasons. The thirteenth month, when introduced is usually a ―nameless‖, ―void‖ or
―lost‖ month.
The calendar of Umuawulu (Anambra State) is as shown below[19]. The
yam-planting controls the timing of all the festivals in Umuawulu. The significant
thing is that Onwa mvu is the beginning of the farming season for all Ebeteghete.
It must be properly synchronised with the coming of the rains, or else the whole
clan would be ruined for the whole year.
Table 1: The traditional calendar of Umuawulu in Anambra State
Moon 1.1.1.1.1 Event1.1.1.1.2 Calendar

Onwa Mvu (I) Ogugu Aho Afor before Moon
appears
May/June
Onwa Ibo (II) Onwa Ibo feast Afo ,June
Onwa Ito (III) Akwali Chukwu feast
Akwali Omufu Ritual July
Iba na Akwu-Ozo
Onwa Ano (IV) Ikpa Unwu ritual August
368
Oye
Onwa Ise (V) Fejioku ritual
Eke
Okike-Onwa-Ise feast
Oye, September
Okpukpo Ngu
Onwa Ishi (VI) Nshi Ji Afo
Ikpo Ngu Oye, October
Onwa Isa (VII) Mgba Ajana Nkwo
Egwu Aruja Eke, November
Onwa Asato (VIII) Olili Kamanu Izu n‘ese onwa
Onwa Asato feast Afo (izu ato onwa)
Ikpo Ngu Onwa Asato Eke
Okike Onwa Asato Eke (izu ise onwa),

December
Onwa Iteghete (IX) Olili Onwa teghete Afo, Izu n‘ato onwa
(women feast) January
Onwa Ili (X) Okpukpo Oye feast Oye, Izu n‘ato onwa,
February
Di Okpala Onwa Ili (XI) Obele Ede (women) Eke, March
369
Onwa Uwhoro I (XII) Nnukwu Ede Afo, April
Onwa Uwhoro II (XIII) – do – May
In the old Nsukka Division, the Attama Ugwu-Eka of Amube (Enugwu-

Ezike) is reputed as the most note-worthy attama in the area[20]. His influence
extended to Iheaka, Iheakpu-Awka, Uhun‘Owerre, and Ovoko. As the keeper of
the calendar in the whole district, he worked in conjunction with the rain-maker
(Onyishi Igwe of Iheaka) to whom he gave secret instructions as to the date at
which rain-producing or rain-stopping rites might be performed with a reasonable
chance of success.
Figure 3: Uli sacred writing at Eha-Alumona of Nsukka by a 90 year old lady who learnt it
from her own mother. The Igbo sign of life, Onwa Zenke (the shining moon), Other moons,
planets, stars, etc are depicted. Source: J.A. Umeh [21]
370
The Igbo has a mystical symbolism understood and used by dibias. Some
of these mystical symbolisms have information on the solar and astral systems
buried in them as in the Uli writng shown in Fig. 3.
4. CONCLUSIONS
Nigeria's endogenous astronomy is as diverse as her over 300 ethnic groups. Most
of the ethnic groups have astronomy-rich cultures, hence there are hundreds of
ethnic cosmogonies and mythologies that need to be studied systematically. So,
while modern astronomy may be quite new and unpopular in Nigeria, ancient
architecture, folklore, myths, religion, calendars, etc. are quite rich in astronomy.
Part of our efforts in the African Cultural Astronomy Project is to unearth the
body of traditional knowledge of astronomy by peoples of the different ethnic
groups in Africa and to re-interpret this body of knowledge in the light of
modern/western astronomy. We hope that through this, we would be able to
understand the ways and degrees through which this knowledge and beliefs
shaped the lived realities of the people of Africa; and then add to our
understanding of African scientific practices, which can be used to augment
science education.
REFERENCES
[1] M. Wertheim: New Scientist 156(2101), (1997) p. 28.
[2] Kunene, M., ―The Relevance of African Cosmological Systems to African
Literature‖. (African Literature Today. Edited by D.J. Eldred) (Heinemann,
1980), p. 190.
[3] Wa Thiong‘o, N, ―The River Between‖ (Heinemann, 1965), p. 28.
[4] W.A. Umezinwa & A.O.E. Animalu: From African Symbols to Physics
(Nsukka, Ucheakonam Publ., 1988) p. 1.
[5] F. Capra: The Tao of Physics (Suffolk, Fontana/Collins, 1979)
[6] E. Obiechina: Culture, Tradition and Society in the West African Novel.
(London: Cambridge University Press, 1975) p. 47
[7] K.E. Senanu and T. Vincent: A Selection of African Poetry (Britain:
Longmans, 1976)
371
[8] C.P. Celebre & B.M. Soriano: Promotion of Astronomy in the Philippines‖.
IAU Commission 46 Newsletter 54 (2001) p. 7.
[9] N. Campion: Introduction: Cultural Astronomy in Astrology and the
Academy, ed. N. Campion (Bristol, Cinnabar Books, 2003) p. xv
[10] Bulletin of the Public Information Office, National Radio Astronomy
Observatory, Socorro.
[11] National paper of the Federal Republic of Nigeria presented at the third UN
Conference on the Peaceful uses of Outer Space (UNISPACE III) (1999).
[12] P.N. Okeke: 1999, Basic Space Science and Technology in Nigeria in the
21st Century (Preparations for a take-of). A public lecture organized by the
Nigerian Academy of Sciences.
[13] N. Campion: Editorial in Culture and Cosmos, Spring/Summer 1997, Vol. 1,

no 1, p.2
[14] A.J.N. Tremearne: Hausa Superstitions and Customs (Frank Cass & Co.,
London, 1970), p.114
[15] A.J.N. Treamearne: Ibid, p. 116 – 117.
[16] C.K. Meek: 1930, unpublished Ethnographical report on the peoples of

Nsukka Division, Onitsha province, (National Archives, Enugu), paragraphs 220
– 223.
[17] C. Achebe: Arrow of God (Ibadan: Heinemann, 1989) p. 1
[18] C. Achebe: Ibid, p. 2
[19] N. Nkala: Traditional Festivals in Umuawulu: A survey. M.A. Project

Report. Department of English, University of Nigeria, Nsukka, 1982.
[20] C.K. Meek: 1930, op cit. paragraphs 107 – 111.
[21] J.A. Umeh: After God is Dibia, Vol 2. (Karnak House, London, 1999) p. 209
372
ICHI LINGUISTIC GEOMETRY AND EVOLUTION§§§§§§§§§

A Commentary on They Lived Before Adam
A. O.E. Animalu1 and Catherine Acholonu2

1
Department of Physcs & Astronomy and Institute of African Studies,
University of Nigeria, Nsukka, Nigeria. email: nascience@aol.com
2
Catherine Acholonu Research Centre, Abuja, Nigeria:
email: ikomgram@yahoo.com
Abstract
In our continuing search for a unified world view for African renascence in the
21st C, we present a commentary on the recently published book entitled They
Lived Before Adam (TLBA) which has used inter alia esoteric literature to
characterize the linear linguistic writing codes (Mega-Igbo) and facial
scarification (―ichi‖) patterns of the African people that produced the prehistoric
Ikom monoliths and Igbo-Ukwu bronzes discovered by archealogists in
Soutrheastern Nigeria in the 20th C. From the suggestion in TLBA based on the
theory of evolution that Eve‘s ―bloodline‖ must have been the homo-
erectus/descendants which predated the creation of homo-sapiens (Adam‘s
―bloodline‖) by the Nephilim (creating God), we abstract the geometric principles
underlying the ―ichi‖ linear linguistic writing code invented by ―Eve‖ and
preserved in the Ikom monoliths. We also relate the periodic hexagram structure
on the surface of the prehistoric Igbo-Ukwu bronze tyre – a torus – to the
Emeagwali ―hyper-ball‖ generated by solving a nonlinear wave equation by finite
element method with triangular elements over a rectangular domain to show how
close the pre-historic African world view was to Steven Hawking‘s 20th C ―torus‖
model of a universe (without boundaries in space and time) derived by using
quantization to eliminate the ―black hole‖ singularity of Einstein‘s general
relativity theory of gravitation.
§§§§§§§§§ African Journal of Physics Vol. 2, pp. 373-393, (2009)

373
The artefact in this coverpage is Igbo-Ukwu bronze

cast of facial scarification (“ichi”) on a devine feminine
(“god-woman”) mother of the Nri (“god-man”) race of
never-been-ruled people that lived since 1.6 million B.C.
ago
374
1. INTRODUCTION
We wish in this article to develop ―Ichi Linguistic geometry and evolution‖ on
the basis of the assertion on p.128 of Acholonu et al book entitled They Lived
Before Adam (hereunder referred to as TLBA) that "Eve or Shi in [2-dimensional
(2D)] geometry meant the side of a square or triangle". In 3D the triangle is
replaced by the tetrahedron as the simplest of the 5 Pythagorean solids and its
primitive geometric elements (points: lines:planes) define an ichi ratio (4:6:4) of
symbolic ―Eve‖ (cf Dan Brown‘s The Da Vinci Code (5:8:5) for a pyramid).
Apparently, Ichi writing began with drawing lines to represent a (dual) pair of
―N‖ in three dimensional (3D) space whose nesting gives the tetrahedron as
shown in Fig.1.
Fig. 1:Nesting of two N‟s in 3D to form a tetrahedron (“light”).

In quantum physics, this geometry characterizes the process, (proton+antiproton =
light), discussed in chapter 4 of Animalu & Umezinwa‘s book, From African
Symbols to Physics (1988). It will be proved in Sec. 4 of this paper that the
evolution (motion in time) of this tetrahedron and its dual generates the X-ichi
scarification pattern (see coverpage) invented by the divine feminine (―Eve‖), a
heathen ―goddess‖ progenitor of an African race of ―dwarfs‖ ( Fig.2a).
4:6:4 (Goddess)
Fig. 2a: Tetrahedron-Ichi initiated by “Eve”
375
The celebrated Nigerian poet, Christopher Okigbo (1932-1967), in his poem

entitled Watermaid: And the Waves Escort Her and the artist, Obiora Udechukwu
in his homage to Okigbo capture the ―Eternal Day‖ of ―Eve‖ as shown in Fig. 2b.
Fig. 2b: Watermaid
Our task in this paper is to characterize this geometric framework of Ichi

writing and evolution into modern alphabet systems of various languages.
376
2. ICHI WRITING CODE

As stated on p. 155 of TLBD ―The Nag Hammadi says that ‗the entities Father,
Mother and Child exist as perceptible speech‘ having within it three ‗aspects,
three powers, and three names abiding in three NNN, three quadrangles, secretly
in ineffable silence‘ [of Ikom stone carving(?) or mathematically (Fig. 3a) in the
solid geometry of a (dual) pair of tetrahedron & symbolized (p.177 of TLBD) on
a Goddess (Fig.3b).
1 2 3
2 1
3
Fig. 3a: The 3D nesting of 3N‟s into a (dual) pair of tetrahedra with a
common triangular base having ichi geometric ratio (points:lines:planes)
=(5:9:6).
377
2 1
4 3
1 2
3
4
Shishe goddess Ikom Monolith
Fig. 3b: Relation of the tetrahedra to the three symbols, Palm frond
V-ichi Quadrangles & Double concentric circles (see Fig.9 below &
p.177, TLBA).
Evolution of the tetrahedron and its dual lead to creation of the pyramid
symbolized by its 2D ―shadow‖ (pentagon, in Fig.4a) or alternatively by its 3D
form (octahedron Fig.4b) equivalent to 3 rectangles & a cross as in Ichi.
378
Fig. 4a: Construction of the pyramid from two tetrahedra (above)

&the pre-Renaissance Europe pentagon symbol of “Adam” as
“shadow” of the pyramid.
Fig. 4b: Building of octahedron from a pair of pyramids from 3

quadrangles (external) and a cross (within) transcending ichi (Umudioka)
design on Igbo-Ukwu Bronze (p.82 & 104-6, TLBA).
379
We have stated (as in Chapter 5 TLBA) that inasmuch as the lines of the solid
geometry of the tetrahedron and the octahedron (dual of a cube in Fig.5a)
generate perceptible speech symbols such as NNN, they provided the key to the
correlation of the linear form of stone column writing of Mega-igbo with the
Ogam code in the British Isles. The number of lines in a cluster and their positions
relative to the stem (as in Fig.5b) form the individual letters of the Ogam
Alphabet. Intriguingly in 3D geometry, the sample 20 Igbo column writing and
20 Ogam alphabets correspond to the number of the primitive elements
(points+lines+planes) = 5+9+6 =20 of the two tetrahedral on common base
(Fig.5a) ; for the octahedron (two pyramids on common base) the number is
6+12+8=26 which is the same for a cube (its dual in 3D), 8+12+6=26. These
provide mathematical closure test of alphabet systems!
Fig.5a: Association of number of Ogam Alphabets with number of

points, lines & planes of geometric objects.
(i) 5 strokes
(ii) 5 strokes
Fig.5b( i) 20 Igbo column writing (excluding the single 5 strokes symbol);

and (ii) 20 Ogam Alphabet Codes(with inconsistent(?) inclusion of 5 strokes).
380
It is not surprising, therefore, that Roman numerals, I, II, III, IV, V, VI, VII, VIII,
IX, X, … are made up of such strokes; and the English 26 alphabets can be
associated with the 26 primitive geometric elements of a cube as shown in Fig.6.
f
i
n
j
w
z
ABCDEFG
h
l
p
t
y
HIJKLMNO
e
g o
s
v
P Q R S T U V
x
d m
k u
W X Y Z.
c
r
Fig. 6: Association of the 26 English Alphabets system with 8 vertices (points),

12 edges (lines) and 6 phases (planes) of a cube, giving an ichi code (8:12:6).
Moreover, it is of historical interest to note that the 1854 Igbo Standard alphabets
published by Lepsius had 20 alphabets which Rev. Samuel Crowther increased to
21 by adding N in 1857 for the British expedition to Igboland led by Captain
Bieke. The failure of the various additions to the Igbo autography to form a
geometrically closed system led to the 21st C autography initiated by Alex
Animalu and co-authors under the African Multlingual Project at the Institute of
African Studies of University of Ngeria, Nsukka (see, fig.7)
38 IGBO ALPHABETS
x
ABCDEFGHIJKLMNOP
(Q) R S T U V W (X) Y Z; I N O U
GB GH GW KP KW NW NY SH
q
38 HAUSA ALPHABETS
Fig. 7: Two oppositely faced
English Alphabet Cubes ABCDEFGHIJKLMNOP
(above) define one (38)Igbo or
Hausa alphabets polyhedron (Q) R S T U V W (X) Y Z; B D K
with ichi code (12:18:8)
Y FY GW GY KW KY KY SH TS
381
3. APPLICATIONS OF THE ICHI LINGUISTIC GEOMETRY

An important aspect of the Ichi Linguistic Geometry is that it can be applied in
the manner illustrated in Figs. 8a to construct ichi mathematical equation and in
Fig. 8b & c to determine the ratios (points:lines:planes) for the alphabet system of
any language, such as the 28 alphabets in Arabic and Greek languages, and 30
ancient Egyptian aphabets (including the two centres of the two pair of pyramids).
D
I T
O S
R H
W R
C
Fig. 8a: In 3D, the tetrahedron defined by 4 points (WORD) = Tetrahedron

defined by 6 lines (CHRIST). This is equivalent to Ichi mathematical equation
for John 1 verse 1: “In the beginning was the Word, the Word was with God,
the Word was God(Christ)”, p.154 TLBA.
Fig. 8b: A pair of inverted tetrahedra define the 28 Arabic Alphabets,

with ichi geometric code 2x(4:6:4)=(8:12:8).
382
Fig. 8c: 30 Ancient Egyptian Alphabets
4. ZERO IN ICHI LINGUISTICS GEOMETRY

In Fig. 3a we have characterized the primeval (dual) pair of tetrahedra by three
sets of lines forming 3N‘s (Mother[Nne], Father[Nna], Son[Nwa]). In 2D space,
383
the geometric principle of duality allows us to represent a point in two ways,

either as a ―point‖ (per se) or ―intersection of two (non-parallel) lines‖, while a
line is a ―line‖ (per se) or ― join of two points‖. In the (2+1)D geometry of space-
time physics, a point is a ―point circle‖ (x2+y2=t2=0), i.e., a circle of ZERO
radius( t=0). This may be rewritten as intersection of two lines x = ±iy, with pure
imaginary slopes (i= 1 ) which (by principle of duality) define a triangle
circumscribed by a circle and inscribed in a circle: these are the two concentric
circles shown below in Fig.9.
x=+iy
O t=0 O O
x=-iy
Fig.9: Representation of zero (O) as a “point” circle (at zero time) in the
complex xy-plane and generation of a pair of triangles or trigrams to which
we shall return in Sec.6.
One may, therefore, assert that Zero is a female. It is Mother. It is Eve. It is ever
in flux, appearing and disappearing from one tip of one tetrahedron to the tip of
the dual tetrahedron on a common base, generating a pair of triangles or
trigrams.
Inasmuch as ZERO time is represented in Fig. 9 by a line, it should not surprise
the non-mathematician that linear time (t) can be transformed into circular time
(  ) (see, Fig. 10) via the Mobius transformation:
 t  i 
 
t    0  0
 , (i  1)
 t  i 
 0 
under which the line, 

 t  i 0

 t  i 0  , becomes

a circle,    0 .
384
 0  0
Line in t  plane Circle in   plane

Fig. 10:Transformation of line into circle with motion of O forward
and O backward in time generating the X-ichi.
We may, therefore, sum up by saying that, in the beginning (―Zero‖ time), there
was a single ―point-particle‖ (O) coincident with its ―dual point-particle‖ (O) and
a corresponding pair of tetrahedra (symbolizing the Mother goddess) each
inscribed in a sphere (physical wave that moves with the particle) and
circumscribing another sphere (phase wave that moves ahead of the particle); the
projecting (triangular) arms of the tetrahedra define a triagram and generate an X-
ichi pattern as O freely moves forward in time and O freely moves backward in
time.
This apparently completes the characterization (p.156 TLBA) of the Garden of
Eden, as a location belonging to ―Eternal Day‖ when God lived among men and
fed them God-substance!
385
5. SYMBOLIZATION OF THE CREATION AND FATE OF ADAM

Chapter 4 of TLBA described ―the creation of Adam as a work of genetic
engineering‖ that began with the conversation of the Nephilim (creating god):
―Let us make man in our own image‖. Of the 16 names of God in the Bible (see
Table below), only ―Elohim‖ refers to the eternal creation.
386
Our interest lies, however, in the startling evidence for ―genetically engineered
Adam‖ based on the correspondence between the pentagon symbol of Adam
given by the 2D ―image‖ of a pyramid (see, Fig. 4a) and the internal molecular
structure of DNA that carries the genetic code of life as shown in Fig.11.
DNA
Adam
Fig. 11: Replication of pentagon symbol of Adam in the

structure of DNA that carries the genetic code of life.
How does this explain the sad fate of Adam – namely his short life? The creation
of Adam corresponds to the second level of evolution involving self-replication of
the tetrahedron with ichi code (4:6:4) and fusion with its replica tetrahedron into a
pyramid having ichi code (5:8:5) which is not one of the five Pythagorean solids
of 3D space. The third level involves a fusion of two pyramids to form the
octahedron with ichi code 2x(5:8:5) = (10:16:10) which (it so happens) is one of
the perfect Pythagorean solids and 10+16+10 = 36 is the number of the 20th C
Igbo language polyhedron (excluding X and Q in Fig. 7). The fourth level
involves a fusion of two cubes (duals of the octahedron) into the polyhedron in
Fig.7 with ichi code (12:18:8) giving 12+18+8=38 as the number of the new 21st
C Igbo language alphabets.
387
6. THE MYSTERIOUS PREHISTORY OF THE INTERNET

One of the deepest geometric-linguistic-scientific messages (TLBA Chapter 32)
is the sketch of the mysterious prehistory of the Internet linking Igbo Ukwu
bronze ―enigmatic tyre‖ (or what mathematicians call a ―torus‖) and Philip
Emeagwali‘s model of the ―hyper-ball‖ (p.447 TLBA) shown in Fig. 12.
Fig. 12:Igbo-Ukwu bronze torus above; Emeagwali hyper-ball below
388
Emeagwali has claimed that his ―hyper-ball‖ inspiration came from observation
of the ―honey comb‖ which (see, Fig. 13a&b) represents
Time=10 Color: u Height: u
0.8
1
0.6
0.5 0.4
0 0.2
-0.5 0
-0.2
-1
8
-0.4
6
-0.6
4 7
6
5
2 4 -0.8
3
2
1
0 0
Figure 13a: shows a normal mode (“honey comb”) for a linear

wave equation. The solution was obtained by finite element
method with triangular elements over a rectangular domain.
6
0.8
5 0.6
0.4
4
0.2
0
3
-0.2
2
-0.4
-0.6
1
-0.8
0
0 1 2 3 4 5 6 7
Figure 13b: shows a contour plot of linear mode shown in figure 13a
having the “ichi” hexagram evolution pattern (see Maclin & Noel 2009)
389
the normal modes of a wave equation with triangular elements over a rectangular
domain (A.P. Maclin and M. Noel, 2009). One can see from this that the
interconnected system of hexagrams is a mathematical model of non-linear
communication wave propagation associated with a pyramid built from four
triangles and a square (base). A geometrical construction of Emeagwali‘s
hexagrams/pentagrams from the motion of the two triangles associated with O
and O characterized in Fig.9 is illustrated in Fig.14.
Fig. 14 : Construction of Emeagwali’s hexagrams from

the dual particle/wave motions characterized in fig.9.
Indeed, Emeagwali‘s hyper-ball is equivalent to a torus formed by applying what

solid state physicists call periodic (cyclic) boundary condition on a square lattice
of such hexagrams to obtain ―quantization‖ of the wave vector of waves
propagating in such a lattice. Intriguingly, the ―torus‖ model of the universe was
derived by the celebrated British physicist – Steven Hawking – of Cavendish
Laboratory, University of Cambridge, U.K., by unifying Einstein‘s general
390
relativity theory of gravitation and the quantum theory. The main result is that the
torus model (without boundary in space and time) eliminates the ―black-hole
singularity‖ usually associated with the ―Big Bang‖ theory of creation.
Achebe’s
snake in
a box
“Snake” “Box” trap as Hawking’s

as Plane Quantization torus
Wave
Volume “box”
Fig. 15a: Elaboration of analogy of thought

between Achebe “snake in a box” and “plane
wave quantized in a box” leads to an Fig.15b: Celebration
abstraction from the “cyclic” African world view of “toroidal” African
of Hawking’s unified Einstein’s general world view by an
relativity and quantum mechanical view of the African woman
universe as a torus (without boundary in space through her
and time) proposed by Hawking in his book, A ornaments.
Brief History of Time (1990).
This gives meaning (in Fig. 15a) to the symbolic ―snake‖ totem of the ancient
civilization that produced the Igbo-Ukwu bronze: it is this totem that got trapped
in the rectangular box totem of Medieval Christian world view imposed on
African peoples by European imperialism as recounted by Chinua Achebe in the
Arrow of God (1969). The toroidal African world view is celebrated by women
through their ornaments (Fig.15b).
7. CONCLUSION
This paper has been propelled by the clarion call in TLBA for complementarity of
opposites as a universal dual principle of nature at the very foundation of creation
evident in the prevalence of the principle of duality in diverse cultures (see,
Fig.16). A similar appraoch is that of F. Capra‘s The Tao of Physics (1979).
391
(1) (2) (4)
(3)
(5)
Fig. 9c: Principle of Duality in different cultures

(1) Egyptian pyramid, (2) Chinese Tao, (3) Greek Janus,
(4) Jewish Star of David, and (5) Akuebilisi seed worn
by a dangerous masquerade in Igboland (in Africa).
Our objective has been to eliminate linguistic ambiguities inherent in the two
dimensional nature of the written word by recasting the ideas in readily
understood two and three dimensional geometric forms which we have called ichi
linguistic geometry because it is the language used by the authors of the Ikom
monoliths and Igbo-Ukwu Bronzes thousands of years ago. We have made
evident the scientific underpinnings of the ichi linguistic geometry by unraveling
the mystery of the Igbo-Ukwu bronze ―torus‖, to show how close it is to our
modern view of the universe.
REFERENCES
Achebe, Chinua, Arrow of God (Heinemann Kenya, 1969).
Acholonu, Catherine: They Lived Before Adam (CARC Publication ISBN:
978=2579-51-10 (2009) referred to as TLBA.
Animalu, A.O.E. and Umezinwa, W. From African Symbols to Physics (Desk
Published by Ucheakonam Foundation (Nig.) Ltd) (1966).
Animalu, A.O.E., Achufusi, G.I., Umezinwa, W. and Jeff Unaegbu, Nelson
Mandela and Barack Obama African World Challenge (Ucheakonam Foundation
Nig. Ltd (2009) ISBN 978 34207-7-1.
392
Animalu A.O.E. and Azali, A.O. 21st C Igbo/English Primer; Animalu, A.O.E. ,
Otagburuagu, E.J., Abdullahi, S.Y., Lawal I. and Tivde, T. 21st C Igbo-Hausa-
Yoruba-Tiv/English Primer (Ucheakonam Foundation 2009).
Capra, F. The Tao of Physics (Fontana/Collins, 1979).
Dan Brown, The Da Vinci Code; see also by the same author, Angels & Demons
(Washinton Square Press available in paperback (2009)).
Hwaking, S., A Brief History of Time (Bantam Books, New York (1990)).
Maclin, A.P. and Noel, M. Nonlinear Magneto-optical Effects in Dielectrics
Embedded with Ferromagnetic Nanoparticles (in Proceedings of 2nd International
Seminar on Theoretical Physics and National development, July 5-8, 2009, Abuja,
Nigeria: African Journal of Physics Vol. 2, 149-156, (2009).
393
A MODEL OF ECONOMIC GROWTH AND DEVELOPMENT IN

THE 21ST CENTURY**********
1
Tertsegha Tivde and A.O.E. Animalu
Department of Physics & Astronomy and Institute of African Studies
University of Nigeria, Nsukka, Nigeria
1
Email: tivdeter@yahoo.com
Abstract
In this paper, we present a model based on population dynamics for correlating
national economic growth and development currently measured by the United
Nations Human Development Index (HDI) and Energy Consumption per capita as
a measure of manufacturing value added (MVA) capability of a nation. The
model explains why the 20th C world energy and materials ―crises‖ caused by
over-dependence on non-renewable Earth‘s energy/materials resources and the
current state of MVA capability of both industrial and developing nations were
not only inevitable but have persisted and dovetailed into economic ―meltdown‖
into the 1st decade of the 21st C with dire consequences for the entire world. To
cope with the exigencies of the 2nd decade of the 21st C and beyond, the model
dictates that the world requires not only breakthrough(s) in scientific and
technologogical innovation (in industrial nations) and good governance (in
developing nations, especially Africa) but also investments in empowerment of
human capital (especially youths) for productivity through systematic
development of new and renewable energy resources, especially solar energy, as
well as reciprocal rather than exploitative socio-economic forces operating
within/among member states of the United Nations in general, and African Union
in particular.
**********African Journal of Physics Vol. 2, pp.394- 401, (2009)

394
1. INTRODUCTION
National development is usually understood in terms of development
economics. This was the subject-matter of a year-2000 published book entitled
Development as Freedom[1], written by Amartya Sen, the Indian born 1998
Nobel Laureate in the field of development economics. Sen is a Professor of
Economics and Master of Trinity College at Cambridge and his unrivalled
reputation among academics can be measured by the fact that he probably holds
the highest number of honrary degrees among his peers and he helped create
United Nation‘s Human Development Index (HDI) which has been the most
authoritative international source of welfare comparison between countries in the
20th C. The three parameters of socio-economic life that measure HDI (  ) are
life expectancy index ( i ), education index (  i ) and per capita gross domestic
product, (  gdpi ), where   13 (i   i   gdpi ) and 0    1 . For example, in 1998
and 1999, Nigeria had an overall HDI of 0.400 which placed her as 137th out of a
total of 174 countries of the world in 1993. In terms of HDI, underdevelopment is
associated with low HDI and what Sen calls ―unfreedoms‖ such as poverty,
ignorance, hunger, ill-health, racial discrimination and gender discrimination, as
well as political, social and economic oppression, while high HDI such as 0.944
for USA is associated with ―expansion of freedom [as] both the primary end and
the primary means of development‖. For this reason, in Development as Freedom,
Sen holds the view that national economic growth ought to be measured less by
material output and more by the capacity and opportunities it enables people to
enjoy, or in other words, it gives people to do and to be. He laments that the
discipline of economics ―has tended to move away from focusing on the value of
freedoms to that of utilities, incomes and wealth‖. For this reason, he disagrees
with the so-called ―Lee Thesis‖ (after Lee Kuan Yew of Singapore) which holds
that authoritarian governments are able to promote faster growth than democratic
ones – a thesis that African military governments in the 20th C bought to the
detriment of the ethical dimension of national life in African countries.
In the year 2000, HDI shifted to manufacturing value added (MVA)
capability of a nation, because it has been conclusively established that there is a
linkage between the standard of living of any people and the MVA potential per
capita; and MVA is, in turn, linked to technological capacity and hence energy
consumption per capita. The poverty in Nigeria can be seen from the fact that
whilst the average MVA per capita for sub-Saharan Africa was US$40 in 1997,
Nigeria‘s MVA was US$17 per capita. In 1997 the contribution of Nigeria to the
MVA of sub-Saharan Africa was 8.7% behind South Africa, Zimbabwe, Cote
d‘Ivoire and Cameroon.
395
In this paper, we wish to review models of the empirical relationship between

HDI and energy consumption per capita (in Sec. 2) as a prelude to a formulation
(in Sec. 3) of a model based on population dynamics for correlating economic
growth (measured by HDI) and MVA (measured by energy concumption per
capita) of both induatrial and developing nations. In Sec. 4 the model will be used
to explain why the 20th C world energy and materials ―crises‖ caused by over-
dependence on non-renewable Earth‘s energy/materials resources and the current
state of MVA capability of both industrial and developing nations were not only
inevitable but have persisted and dovetailed into economic ―meltdown‖ in the 1st
decade of the 21st C with dire consequences for the entire world: these will lead
us, by way of conclusion, to recomendations for coping with these crises in the 2nd
decade of the 21st C and beyond.
2. REVIEW OF 20TH C MODELS OF THE RELATIONSHIP

BETWEEN HDI AND ENERGY CONSUMPTION PER CAPITA
As a consequence of the 1973 world‘s ―energy crisis‖ alarm and its linkage to
the socio-economic landscape, the use of energy consumption per capita as a
measure of the HDI of the member states of the United Nations has been
undertaken in the 20th C from various perspectives, such as global warming,
population growth and environmental degradation, sharply rising oil and gas
prices and rapid depletion of their supplies, armed conflicts in regions with major
oil deposits, higher energy costs to poor nations seeking to develop higher
standards of living, and a growing apprehension that American currency may be
undermined by a sudden lack of confidence brought on partially by instability of
world energy supplies. These studies showed that in 1979, the world annual per
capita energy consumption peaked (―Hubbert‘s Peak‖) and it has been decreasing
steadily thereafter (see, Fig.2.1). Apparently, the growth rate of population has
outstripped the growth rate of energy production, and this trend continues as both
world population and world energy production increase. The correlation of energy
consumption with MVA capability as represented by the world history of energy
production per capita is shown in Fig. 2.2.
396
Figure 2.1. World Annual Per Capita Energy Consumption 1950-1996

[BOE = barrel of oil equivalent], from Manuel Garcia, Jr (2006)[2]
Fig. 2.2: Correlation of Energy Consumption with world’s history of energy

production (i.e., Scientific & technological innovations, e.g. electric lighting
bulb., computer, etc). from Manuel Garcia, Jr (2006)[2].
397
During this first decade of the 21st century, the world‘s political economy
has been at the crest of the Hubbert‘s Peak; but today‘s efforts to maintain an
unprecedented rate of oil and energy production cannot be sustained for obvious
reasons. The world emerged from World War-II with over 90% of its oil still
untouched; oil depletion was about 10% in 1970; 50% in 2000 and is projected to
be 90% in 2030. It is expected that 80% of all proven world‘s oil reserve will be
used up within a sixty year span from 1970 to 2030. While the total amount of oil
on either side of Hubbert‘s Peak is identical, the downhill side will be a time of
scarcity and high prices because there are more people demanding this resource
than there were during the boom years of the run up. Today, the Chinese and
Indian economies are experiencing rapid growth, and their people are
experiencing a general rising of living standards though not uniformly distributed.
These populations represent over a quarter of humanity, and their combined thirst
for petroleum rivals that of the U.S.A. (with only 4.5% of the world's population).
A sharp downturn in oil production will result in a sharp downturn of the

per capita energy consumption E(y) as a function of the year (y). Inevitably, the
time constant in the E(y) exponential must fall from 300 years to something much
lower, like 30 years; and E(y) at 2030 might be like that of 1950. To visualize
what this might mean, consider the fact that in the U.S.A. about 10 calories of
petroleum-based energy is used to produce every calorie of food energy
consumed which poses the question: how would one adjust to a 50% cut in
available energy? Moreover, the most convenient form of energy is electricity
and the strong correlation between the availability of electricity and the level of
human social development has been known since at least 1895 with the
electrification of Niagara Falls with the then new polyphase alternating current
(AC) technology invented by Nikola Tesla. So, if "human development" as
measured by social and economic well-being depends on availability of
electricity, how sustainable will generation of electricity be in the future?
To answer these questions, it is necessary to construct a model based on

population dynamics that correlates the United Nations Human Development
Index (HDI) with energy consumption per capita to which we now turn.
3. MODEL OF ECONOMIC GROWTH AND DEVELOPMENT
In this section we proceed to set up a model of the relationship between HDI

and energy consumption per capita for understanding past and current trends and
for predicting future trends. We begin by observing that although HDI is defined
398
by the empirical formula   13 (i   i   gdpi ) where 0    1 , each of the three

components (i ,  i ,  gdpi ) depends on the energy consumption per capita (E), i.e.
   (E ) . Since Earth‘s resource may be considered fixed, the rate of change of
 with respect to E may be determined by the logistic model of population
dynamics, in which an unchecked consumption of non-renewable energy resource
grows exponentially with the population. However, since   1 its increase with
energy consumption per capita is limited in the form that may be expressed by
the Riccati equation (cf Tivde and Animalu[3]):
d
 R 1   , (3.1)
dE
This model has a solution of the form:

A
 (E)  . . (3.2)
1  Be  RE
where , R  0 and the constants A and B are determined by the lower and upper
bounds,  0   (0)  A /(1  B) and  M   ( E  )  A  1 . For, minimum
 0  0.3, Eq.(3.2) takes the explicit form;
1
 (E)  . . (3.3)
1  2.67e  RE
This leads to an excellent agreement with the empirical data[4] as shown in Fig.
3.1 which we now proceed to discuss.
399
Fig. 3.1: Comparison of the empirical data on HDI (vertical axis) versus
Energy Consumption per capita (for R=1).
4. DISCUSSION AND CONCLUSION
In setting up the population dynamics-based model of  (E ) versus E , we

have exploited an analogy with the host-parasite system in a biological system in
which the way of life of the human population (parasites) depends on the
consumption of the energy resources of the Earth (host). This analogy naturally
explains why the 20th C world energy and materials ―crises‖ caused by over-
dependence on non-renewable Earth‘s energy/materials, especially oil resources,
and the current state of MVA capability of both industrial and developing nations
were not only inevitable but have persisted and dovetailed into economic
―meltdown‖ in the 1st decade of the 21st C with dire consequences for the entire
world. In 2002, the United Nations had indicated that the electricity consumption
per capita needed in order to support a society with a medium level of human
development was just over 1000 kilowatt-hours. From this point of view, an oil-
producing African country like Nigeria with energy consumption well below 1000
400
kilowatt-hours per capita remains poor, inasmuch as the marginal rise of her HDI
of 0.438 in 1988 through 0.438 in 1999 to 0.511 in 2007 ranked her (in 1999)
137th out of a total of 174 countries of the world in 1993, and whereas in the first
15 years (1960-1975) of Nigeria‘s nationhood, the growth rate was positive
(9.4%), in the second fifteen years (1976-1990) it was negative (2.2%): these
trends were indicative of the past history of bloated foreign debt and high rate of
inflation (ascribable to exploitative neo-colonialism) which resulted in mass
unemployment especially of youths, HIV/AIDS scourge, deteriorated road
infrastructure, epileptic electric power supply, religious riots, ethnic militia, rural-
urban migration, insecurity of life, among other societal ills.
To cope with the exigencies of the 2nd decade of the 21st C and beyond, our
model dictates that the world requires not only breakthrough(s) in scientific and
technologogical innovation (in industrial nations) and good governance (in
developing nations, especially Africa) but also investments in empowerment of
human capital (especially youths) for productivity through systematic
development of new and renewable energy resources, especially solar energy, as
well as reciprocal rather than exploitative socio-economic forces operating
within/among member states of the United Nations in general, and African Union
in particular.
REFRENCES
[1] Amartya Sen Development as Freedom
[2] Manuel Garcia, Jr (2006), An Introduction Linking Energy Use And
Human Development: EFHD_R_01.
[3] T. Tivde and A.O.E. Animalu, Riccati equation in Biophysics and other
Physical Phenomena, Afr. J. Phys. Vol. 1, p. 154-176 (2008).
401
TWO-PARTICLE CORRELATIONS IN THE ONE-DIMENSIONAL

EXTENDED HUBBARD MODEL: A GROUND-STATE PERTURBATIVE
SOLUTION††††††††††
O. R. Okanigbuan1, Simon Ehika 1, S. U. Azenobie 1,
P. N. Okanigbuan 2
1
Department of Physics, Ambrose Alli University, Ekpoma, Nigeria;
e-mail: okanigban@yahoo.com;
2
Department of Basic Sciences, Benson Idahosa University, Benin-City, Nigeria.
Abstract
We present here a detailed study of the behaviour of 2 electrons in an infinite one-
dimensional lattice of the Extended Hubbard model, using perturbation method. It
is shown that for two electrons the results obtained gets better as the positive on-
site coulomb interaction (U) the nearest-neighbour interaction (V) and number of
U  V 
sites N are increased, provided both the ratio   and   are made small. In
N N
other words the crucial parameter is not just U, but the ratio of the interaction
strength to the number of sites.
1.0 INTRODUCTION
In this paper we present some results of the one-dimensional Extended
Hubbard model, defined by the Hamiltonian,
1
H t C  C   H .C   U  n
i, j
i, j i

j
i
i
ni  V  ni ni 1
i
1.1
where i, j denotes nearest-neighbour sites, C i, C i  is the creation

(annihilation) operator with spin   or  at site i, and n1  ni  ni where
†††††††††† African Journal of Physics Vol. 2, pp. 402-412 (2009)

402
ni  Ci Ci . The transfer integral t i , j is written as t i , j  t which means that all
hopping processes have the same probability[2]. It is worth mentioning that in
principle, the parameters U and V are positive because they are direct coulomb
integrals. However, U and V could be negative if attractive indirect interactions,
through phonons or other bosonic excitations, are included and are stronger than
direct coulombic repulsions. The original Hubbard model corresponds to V=O in
eqn (1.1). The extended Hubbard model has at least two advantages over the
original Hubbard model (1). It has a rich phase diagram[3], containing e.g. charge
and spin density waves and various superconducting phases at half filling (II) It is
definitely more realistic; this has been pointed out already by Hubbard[4], who
argued for transition metals that the matrix element corresponding to nearest
neighbour coulomb repulsion is relatively large, so that its influence cannot
apriori be neglected.
The extended Hubbard model has been intensively studied previously,

both analytically (at weak[5] and a strong[6,7] coupling) and numerically (usually at
half[8,9] or at quarter[10] filling). These studies have been carried out primarily in
low dimensions, but some analytical results for the ground state in higher
dimensions are also available[8,9]. As a result of this work, it is well known that
the ground state of the extended Hubbard model exhibits a transition between a
1
spin and a charge density wave at V  U in all dimensions.
2
In this paper, we study the one-dimensional Extended Hubbard model
using Stationary perturbation theory. The validity and convenience of perturbation
theory in the context of the Hubbard model has been proved very recently for
11
U 
small values of the ratio   . One important aspect of our study will be to
N
compare our results with those obtained from the correlated variational approach.
This paper is organised as follows. In the next section (2.0) we discuss the
fundamentals of the perturbative method. Results obtained are presented in
section (3.0). In section (4.0) we summarize and discuss the results.
2.0 PERTURBATION THEORY OF THE HUBBARD HAMILTONIAN

The Extended Hubbard Hamiltonian, eqn (1.1) is divided into 2 parts 13 , i.e.
H  H o  H1
403
Ho  t
i, j
ij C i C i  H .C. [1.2]
H 1  U  ni  ni   V  ni ni 1 [1.3]
i i
We perform a second order perturbation calculation in which the kinetic energy
term defined the starting point and the interaction term H 1 is treated
perturbatively. Let us summarise our perturbation procedure.
Firstly, the one-electron Bloch wavefunction that diagonalize H o are
constructed.
1

ik  R
 k  e j C j [1.4]
L Rj
where R j runs over all the sites, L is the lattice size, and k are the allowed wave
vectors for the given lattice. Eqn (1.4) follows Bloch theorem which states the
eigenfunctions of the wave equation for a periodic potential are of the form of the
product of a plane the wave e ik r and a function U k r  with the periodicity of the
crystal lattice, that is,
 k r   e ik r U k r  [1.5]
The subscript k indicates that the function U k r  depends on the wave vector k.
Secondly, many body wave functions of the Hartree-fock type are

constructed,
N
 k    k  O n n
[1.6]
n 1
k
k   kn [1.7]
n 1
N
   n [1.8]
n 1
In this way many body wave function are classified according to both total wave
function are classified according to both total wave vector k and spin  . In
principle, the number of wave functions increases as the lattice size increases, but
404
this is not true if this set is restricted to those wave functions that provide the
smallest kinetic energy To for a determined number of electrons N
N
To    k n  [1.9]
n 1
The Z component of the spin is always fixed to O for an even number of

electrons and ½ in the case of an odd electrons number. Thirdly, wavefunctions
are classified according to their wave vector k . Finally, we construct a second
order Hamiltonian matrices within every k subspaces, this is the ground state
energy matrix,
 k H  k  k H  k

 
k H 
k  To   
k H 
k  [1.10]
 To  To
The final form of the ground state wavefunction is

 g .s   C k   D k [1.11]
 
where zero-order coefficient C are obtained from diagonalization of the second

order Hamiltonian matrix eqn (1.10), whereas first order coefficients D are
given by
 k H  k C
D   [1.12]
 To  To
3.0 RESULTS
From the application of the perturbation method in section 2.0, the following
ground state energies are obtained for 2 electrons on N sites of a one-dimensional
lattice. For N=2,
E g  2t  U  V [1.13]
and for N  2,
U  V 
 4t  2   4  [1.14]
N N
405
The ground state energy obtained using the correlated variational approach is
given by
1
Eg  U V  U  V 2  16t 2  [1.15]
2  
for N=2, while for N>2, where N is even
 k 1 
 8tN  X i  X i 1   UNX 02  2VNX 12
 i o 
Eg 
 k

N  X o2  2 X i2  X k2 
 i 1 
N
X i are variational parameters, and k  .
2
406
Table 1
Difference in the value of ground state energy obtained from perturbation
calculation (Ep ) and variational (Ev ) at U/t = 4 for 2electrons on 2 sites
V/t Perturbation Variational Ep-Ev U/N V/N

(Ep ) (Ev )
0 2.0000 -0.8284 2.8284 2.0 0
0.4 2.4000 -0.4907 2.8907 2.0 0.20
0.8 2.8000 -0.1612 2.9612 2.0 0.40
1.2 3.2000 0.1587 3.0413 2.0 0.60
1.6 3.6000 0.4676 3.1324 2.0 0.80
2.0 4.0000 0.7639 3.2361 2.0 1.00
2.4 4.4000 1.0459 3.3541 2.0 1.20
2.8 4.8000 1.3119 3.4881 2.0 1.40
3.2 5.2000 1.5604 3.6396 2.0 1.60
3.6 5.6000 1.7900 3.8100 2.0 1.80
4.0 6.0000 2.0000 4.0000 2.0 2.00
407
Table 2
calculation (Ep ) and variational (Ev ) at U/t = 4 for 2 electrons on 4 sites.

(Ep ) (Ev )
0 -2.0000 -3.4186 1.4186 1.0 0
0.4 -1.6000 -3.2057 1.6057 1.0 0.10
0.8 -1.2000 -3.0046 1.8046 1.0 0.20
1.2 -0.8000 -2.8154 2.0154 1.0 0.30
1.6 -0.4000 -2.6379 2.2379 1.0 0.40
2.0 0 -2.4721 2.4721 1.0 0.50
2.4 0.4000 -2.3178 2.7178 1.0 0.60
2.8 0.8000 -2.1746 2.9746 1.0 0.70
3.2 1.2000 -2.0419 3.2419 1.0 0.80
3.6 1.6000 -1.9194 3.5194 1.0 0.90
4.0 2.0000 -1.8064 3.8064 1.0 1.00
408
Table 3
calculation (Ep) and variational (Ev) at U/t=4 for 2 electrons on 10 sites

(Ep ) (Ev )
0 -3.2000 -3.8622 0.6622 0.40 0
0.4 -3.0400 -3.8340 0.7940 0.40 0.04
0.8 -2.8800 -3.8135 0.9335 0.40 0.08
1.2 -2.7200 -3.7979 1.0779 0.40 0.12
1.6 2.5600 -3.7859 1.2259 0.40 0.16
2.0 -2.4000 -3.7763 1.3763 0.40 0.20
2.4 -2.2400 -3.7685 1.5285 0.40 0.24
2.8 -2.0800 -3.7620 1.6820 0.40 0.28
3.2 -1.9200 -3.7566 1.8366 0.40 0.32
3.6 -1.7600 -3.7520 1.9920 0.40 0.36
4.0 -1.6000 -3.7480 2.1480 0.40 0.40
409
Table 4
calculation (Ep) and variational (Ev) at U/t = 4 for 2electrons on 80 sites

(Ep ) (Ev )
0 -3.9000 -3.99706 0.0971 0.05 0
0.4 -3.8800 -3.99698 0.1170 0.05 0.005
0.8 -3.8600 -3.99693 0.1369 0.05 0.010
1.2 -3.8400 -3.99690 0.1569 0.05 0.015
1.6 -3.8200 -3.99688 0.1769 0.05 0.020
2.0 -3.8000 -3.99686 0.1969 0.05 0.025
2.4 -3.7800 -3.99685 0.2168 0.05 0.030
2.8 -3.7600 -3.99684 0.2368 0.05 0.035
3.2 -3.7400 -3.99683 0.2568 0.05 0.040
3.6 -3.7200 -3.99683 0.2768 0.05 0.045
4.0 -3.7000 -3.99682 0.2968 0.05 0.050
410
Fig. 1: Difference in values of (E/t) as a function of (V/t) between perturbation method

and variational method for U/t=4
4.0 DISCUSSION OF RESULTS

We begin our discussion with the ground state energy obtained for 2
electrons on N lattice chain of the one-dimensional extended Hubbard model.
Even lattice sites, N = 2, 4, 10, and 80 where considered. There is a significant
improvement in the result obtained from perturbation method when N is very
large, say N=80, as indicated in Table 4 and fig. 1.
To summarize, we have shown in our study that accuracy of the results
U 
obtained from the perturbation method is enhanced when the ratio   and
N
V 
  are small. This is a confirmation of the result obtained by Okanigbuan and
N
Idiodi,[11] which says that the crucial parameter in the perturbation calculation for
the ground state energy is not just U, but the ratio of the interaction strength to the
number of sites.
411
REFERENCES
1. Tsuchiizu, M., Furusaki, A. (2002). Phase Diagram of the One-Dimensional
Extended Hubbard Model at Half Filling – Physical Review Letters: Vol.
88, Number 5 56402-1-056402-4.
2. Vallejo, E. and Navarro, O. (2003). Two-Particle correlations in the one-
diemnsional Hubbard: a ground state analytical solution. REVISTA
MEXICAMA DE FISICA 49(3) 207-211.
3. Micnas R. Ranninger J. and Robaskiewiez, S. (1990). Rev. Mod. Phys 62, 113.
4. Hubbard, J. (1963). Electron correlation in narrow energy bands. Proc. R Soc.
A, Vol 276 No 1365, 238-251.
5. Emery, V. J. (1979), in Highly conducting in One-Dimensional Solids, edited
by Devreese, J., Evrand, R. and Van Doren, V. Plenum, New York.
6. Bari, R. A. (1971) Phy. Rev B 49.
7. Dongen Van, P. G. J. (1994) Phys. Rev. B 49.
8. Hirsch, J. E. (1984) Phys Rev. lett 53, 2327.
9. Champel, D. K., Gammel Tinka J. and Loh, E. Y. (1990) Phys Rev B 42, 475.
10. Milla, F. and Zotos, X. (1993). EuroPhys. Lett 24, 133.
11. Okanigbuan O. R., and Idiodi, J. O. A. (2008). Ground state energy of the
Hubbard Hamiltonian: Perturbative results. J. Nig. Assoc. Math Phys: 37-
40.
12. Chen, L. and Mei, C. (1989) Exact Calculation of the two electron interaction
in the ground state of the Hubbard model. Phy. Rev B. 39. 9006-9011.
13. Galan, J. and Verges, J. A. (1991). Perturbation theory of the Hubbard
Hamiltonian in a 4x4 cluster of the square lattice. Phys. Rev. B44; 10093-
10100.
412

Proc ISOTPAND09 Main-UNNPress

Transféré par

Informations du document

Titre original

Copyright

Formats disponibles

Partager ce document

Partager ou intégrer le document

Options de partage

Avez-vous trouvé ce document utile ?

Ce contenu est-il inapproprié ?

Droits d'auteur :

Formats disponibles

Proc ISOTPAND09 Main-UNNPress

Transféré par

Droits d'auteur :

Formats disponibles

Proceedings of the Second International Seminar on Theoretical Physics & National

Development, July 5 - 8, 2009, Abuja, Nigeria

REVIEW OF 50 YEARS OF PSEUDOPOTENTIAL THEORY†

† African Journal of Physics Vol.2, pp. 1-45, (2009)

1. GENERAL INTRODUCTION AND STATEMENT OF PROBLEM

pseudopotential transformation is non-unitary and therefore does not conserve

where VH is the Hartree potential and  is a mass operator or ―self-energy‖

density fluctuations (iii),is called the ―effective‖ or ―self-consistent‖ or ―screened‖

2. THE POTENTIAL OF THE BARE IONS

Fig.2.1: True wave function  and Pseudowave function  .

2.2 Pseudopotential Transformation

is the pseudowave function which is a simple linear combination of plane waves.

where the second term may be interpreted as a repulsive potential, VR (Phillips

energy term subject to all variations of  : in contrast, Harrison[4] used a

where Fc are completely arbitrary core functions. The particular choice:

V ps  V  VRl (r )l (2.3.11b)

where l is a projection operator which picks out a particular angular momentum

B. The Heine-Abarenkov Model Potential

spherically symmetric potential. W. produces at a distance r, for an angular

 l (k , r )  m0 W (r ' ) J l2 (kr' )r ' dr '

The cross-section.  , for the scattering of a particle in W is given in terms of  l

Consequently, phase shifts differing by integer multiples of  produce the same

Here, RM is a model radius, z is the valence of the atom or ion under

is also made, and consequently (2.3.14) becomes

 factor between   radius a bit 

Ra being the radius of a sphere of volume  0 . The value

where C (  0 ) is the local correlation potential depending on the electron

will serve for calculations accurate to 0.01 Ry (see, Table 2.1)

Table 2.1: Values of EC and  C for a uniform electron gas

1.6 -0.101 -0.108 3.4 -0.077 -0.090

1.8 -0.098 -0.106 3.6 -0.075 -0.088

2.0 -0.095 -0.104 3.8 -0.073 -0.085

2.2 -0.092 -0.102 4.0 -0.071 -0.083

2.4 -0.090 -0.100 4.2 -0.069 -0.081

2.6 -0.087 -0.098 4.4 -0.068 -0.079

2.8 -0.084 -0.096 4.6 -0.066 -0.076

3.0 -0.082 -0.094 4.8 -0.065 -0.074

3.2 -0.079 -0.092 5.0 -0.064 -0.072

contribute. On the other hand, the non-homogeneity of the valence electyron

and  ' excludes the term q=0. In (2.3.31)

disturbed by a vacancy, dislocation or phonon. In the case of an alloy with several

2.3 The Effective Potential

P has been calculated in various approximations. For example, in the random

For an electron-phonon field, if  q is the phonon frequency,  q the electron-

3. MODEL POTENTIAL FOR TRANSITION AND RARE-

Consequently, a model potential method of Heine-Abarenkov-type, called

for the class of pseudopotentials and model potentials of the form

the standard result,

is the projection operator ( P 2  P ) that orthogonalizes  k to the ion-core states

c . The depletion hole or orthogonalization correction associated with (3.2.3) is,

Now let us consider Harrison‘s generalization[11] of the OPW-

In a typical transition metal, such as vanadium, c runs through

where W is essentially the usual OPW-pseudopotential operator:

What we call the transition-metal OPW-pseudopotential (including the resonance

However, in ref.[39] it was shown how to remove the divergence in Harrison‘s

so that we generate a finite depletion hole. Moreover, if we define

then, because d  d  0 and d c  0 , and if it is assumed that  is nearly

PS2  PS , Pr2  0, PS Pr  Pr , Pr PS  0 . (3.2.17a)

PS  Pr 2  PS2  Pr PS  PS Pr  Pr2  PS2  PS Pr  PS  Pr  (3.2.17b)

where C is a constant (independent of  ). Starting from a modified quantum

 C  ( A0  C )0  ( A1  C )1  ( A2  C )1 , r  RM

Table 3.1: Transition-Metal Model Potential (TMMP) Parameters for 27

2.300 2.930 2.500 2.000105.500 6.000 1.000 1.323 0.046 0.100