Tugas Individu

Nama Dosen : Dr. Timbul Supodo,SKM.,M.Kes

MAPPING JURNAL
Current Issu Kesehatan Masyarakat Di Daerah Pesisir

Oleh :

La Ode Muh. Dzuhri Abdullah

PROGRAM STUDI MAGISTER KESEHATAN MASYARAKAT

SEKOLAH TINGGI ILMU KESEHATAN MANDALA
WALUYA KENDARI
2020
No. Peneliti/penulis Judul Nama Vol./No./ Variabel Kesimpulan Saran/rekomendasi
penelitian Jurnal Tahun Penelitian
1. Venni Oktary PERILAKU Jom FK Var Seluruh informan yang Untuk instansi terkait
Amir PROFESIO Vol.1 indeprnden: merupakan seperti
Dedi Afandi NAL no.2 Unsur tenaga kesehatan puskesmas dapat
Wiwit Ade TENAGA Tahun: keunggulan Puskesmas Selat memberikan
Fidiawati KESEHAT oktober disesuaikan Baru Kabupaten penyuluhan mengenai
AN 2014 dengan kata Bengkalis memiliki peranan
DAERAH kunci unsur menghormati tenaga kesehatan
PESISIR menerapkan orang lain sebagai role model
PADA belajar di bidang kesehatan.
PELAYAN sepanjang
AN hayat
KESEHAT dan
AN memperbaharu
PRIMER i ilmu serta
PUSKESM dalam
AS SELAT penyataan
BARU informan.
KABUPAT Var dependen:
EN Temaga
BENGKAL kesehatan
IS daerah pesisir
TAHUN
2014
2. ErnaniWijaya Faktor- Ilmu 2017 faktor-faktor Berdasarkanhasilpeneliti
Hermansyah faktor yang keperawata yang antentangfaktor-faktor
Rusli Yusuf berhubunga n berhubungan yang
n dengan dengan berhubungandengankejad
kejadian kejadian ian malaria berdasarkan
malaria malaria model Community As
berdasarkan berdasarkan partner
model model padapekerjatambangema
community Community As sdiGunongUjenkecamata
As Partner Partner pada nkruengsabekabupaten
padapekerja pekerja Aceh Jaya tahun 2017
tambangem tambang Emas didapatkanbahwa:
asgunomguj Gunong Ujeun Terdapathubunganantara
em Kecamatan perumahan,
Krueng Sabee keadaan/keselamatan
Kabupaten ,pelayanankesehatandane
Aceh Jaya konomidengankejadian
tahun 2016. malaria pada pekerja
Desain tambang emas
penelitian yang
digunakan
adalah survei
analitik dengan
pendekatan
cross sectional
yang
dilaksanakan
pada tanggal
30 Agustus s.d
28 September
2016.
3. Agnes Rihi Leo1, Faktor Jurnal Mei Var Faktor risiko kejadian
Hertanto W risiko J.Gipas, 2018, independen: stunting di wilayah
Subagyo2, stunting Volume FAKTOR gunung antara lain
Martha I pada anak 2 Nomor RISIKO tingkat kecukupan
Kartasurya3 usia 2-5 1 STUNTING protein yang rendah,
tahun di PADA ANAK tingkat kecukupan Zn
wilayah Var dependen: yang rendah, tingkat
gunung dan PADA ANAK kecukupan Fe yang
pesisir USIA 2-5 rendah dan pemberian
pantai TAHUN DI ASI tidak eksklusif.
WILAYAH Faktor risiko kejadian
GUNUNG stunting di wilayah
DAN PESISIR pesisir antara lain tingkat
PANTAI kecukupan protein yang
rendah, tingkat
kecukupan Fe yang
rendah, dan tingkat
kecukupan Zn yang
rendah. Terdapat
perbedaan faktor risiko
kejadian stunting di
wilayah gunung dan
pesisir pantai yakni
tingkat kecukupan
energi, tingkat
kecukupan protein dan
riwayat ASI eksklusif.
4. Sabrina P.M Gambarank KESMAS Vol.7 variable Berdasarkanhasilpemerik 1.untuk
Pinontoan, Alfin adarmerkuri No.5, penelitian yang saankadarmerkuridapatdi parapekerjatambange
J. Contra, padarambut 2018 dipakai adalah simpulkanbahwa 15 masdidesatatelukecam
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5. Ida ayu eling Kewenanga Lex Vol. 3 Var Kewenangan pemerintah Dengan adanya
purnamasari n administrati no. 4 independen daerah dalam otonomi daerah dalam
pemerintah on tahun ,faktor-faktor pengelolaan izin usaha arti luas yang di
daerah 2015 yang pertambangan di dasarkan pada
dalam mempengaruhi kabupaten minahasa undang-undang nomor
pengelolaan pengelolaan jtara tidak lepas dari 23 tahun 2014 tentang
izin usaha izin usaha pemberlakuan undang- pemerintah daerah
pertambang pertambangan undang nomor 23 tahun dimana memberikan
an dikabupaten 2004 tentang pemerintah kewenangan kepada
dikabupaten minahasa utara daerah yang memberikan pemerintah daerah
minahasa Var dependen otonom dengan kabupaten/kota maka
utara ,kewenangan menitikberatkan pada dalam mengeluarkan
pemerintah asas desentralisasi. izin pemerintah harus
daerah dalam memperhatikan
pengelolaan izi ketentuan hukum
usaha pertambangan dalam
 pertambangan hubungannya dengan
dikabupaten lintas sektor antara
minahasa utara lain dibidang hukum
agria
6. Paloma de Merkuri Jurnal ilmu Volume Var Kontaminasi merkuri
Almeida dalam lingkungan 84, independen: menjadi perhatian utama
Rodrigues, kontaminasi Oktober Merkuri dalam di banyak negara dan
Rafaela Gomes fauna 2019. kontaminasi telah menjadi obyek
Ferrari, Luciano perairan: fauna perairan.penelitian yang sering,
Neves dos Santos, Tinjauan untuk memantau dan
Carlos Adam sistematis Var dependen: mengingatkan konsumen
Conte Junior. tentang Dinamika dan akan konsentrasi tinggi
dinamika potensi resiko dari unsur beracun ini.
dan potensi kesehatannya. Beberapa faktor biotik
resiko dan abiotik sangat
kesehatanny penting untuk memahami
a. dinamika merkuri dan
metilmerkuri dalam
lingkungan air dan,
akibatnya, pada
organisme akuatik. Ini
termasuk tingkat trofik
dan, akibatnya, jenis
makan, usia, panjang,
tingkat pertumbuhan, pH
air, kandungan bahan
organik, saturasi oksigen,
salinitas dan suhu.
7. Paloma de Of Merkuri 84/ 205/ Var. Pencemaran merkuri
Almaida environmen dalam 2019 Independen : sangat memprihatinkan
Rodrigues, tal sciences pencemaran Merkuri dalam di banyak negeri dan
Rafaela Gomes fauna air : pencemaran telah menjadi objek riset
Ferarri, Luciano tinjauan fauna air yang sering digunakan,
Neves Dos Santos yang Var. Dependen guna memantau dan
sitematis : memperingatkan
tentang tinjauan yang konsumen terhadap
dinamika sitematis konsentrasi tinggi dari
dan risiko tentang unsur beracun ini.
kesehatan dinamika dan
potensial risiko
kesehatan
potensial
mengenai
merkuri yang
mencemari
fauna air
8. .Elmira Tajvidi Tinjauan Jurnal Volume Var 1.Sedikit perhatian telah
Asr , Reza studi Produksi 229, 20 independen: diberikan pada tahap
Kakaie, tentang Bersih. Agustus Pembangunan konstruksi struktur dan
Mohammad pembangun 2009. berkelanjutan.pemasangan peralatan
Ataei, an (tahap 3) dan eksplorasi
Mohammad Reza berkelanjuta Var dependen: dan studi kelayakan
Tavakoli n dalam Siklus hidup (tahap 1). 2.Perhatian
Mohammadi. siklus hidup pertambangan pada tahap desain dan
pertambang perencanaan tambang
an. (tahap 2), eksploitasi dan
pengolahan mineral
(tahap 4) dan penutupan
tambang (tahap 5)
hampir sama dan jauh
lebih banyak daripada
tahap 1 dan 3. 3.Tahap
penggunaan lahan
pascatambang (tahap 6)
telah tertarik perhatian
terbesar di antara para
peneliti SD. Jumlah
artikel yang diterbitkan
dari tahap ini hampir dua
kali masing-masing tahap
2, 4 dan 5.
9. L. Macklin Rani Estimation Jurnal ...Var Dalam penelitian ini,
a,R.K. Jeevanram of Penelitian Vol:7 independen: konsentrasi 210Po Tidak ada efek induksi
b, V. Kannan c, Polonium- Radiasi dan no:207- Ini mungkin diamati dalam radiasi yang telah
M. Govindaraju.. 210 Terapan 213 karena fakta bioindikator dilaporkan di
in and Ilmu Tahun:20 bahwa daerah- sampel kerang dari orang yang tinggal di
around pengetahua 14.. daerah ini daerah Kalluvilai daerah dengan latar
Kanyakuma n secara (320,00 18,1 Bq / kg) belakang sedikit lebih
ri mencolok relatif lebih tinggi tinggi
coast, India terletak daripada situs lain. radiasi dan karenanya
dekat dengan Aktivitas 210Po tidak dapat disimpulkan
titik akhir terdistribusi secara bahwa tahunan
Ghats Barat seragam di beberapa dosis efektif yang
dan juga di daerah terpilih dilakukan dihitung
tengah hujan bahan makanan. untuk wilayah ini
arah limpasan Konsentrasi 210Po dalam mungkin tidak
air. makanan adalah dalam menyebabkan
Var dependen urutan mollusk > kesehatan hazards to
aktivitas di laut crustacean > fish > the general public.
dan terrestrial plant edibles
sampel
terestrial dan
perhitungan
konsumsi
dosis untuk
umum
10. Amany A. Ismael Coastal Egyptian Tahun Var The Corrective measures
engineering Journal of 2014 independen: coastal modifications had
and Aquatic Although this were done without to be taken to mitigate
Harmful Research.. phase was preliminary impact the negative effects
Algal characterized assessment and lead to which appeared
Blooms by a reduced negative effects. Semi after phases
along number of closed artificial
Alexandria harmful lagoons were established
coast, Egypt species, and a green tide was
Peridinium formed for the
quinquecorne first time along these
became higher lagoons due to their
in abundance shallowness and
than increase in nutrient
Micromonas concentrations....
pusilla
presumably as
its cysts
became well
established in
the area
var dependen:
harmful algal
blooms...
 PERILAKU PROFESIONAL TENAGA KESEHATAN
DAERAH PESISIR PADA PELAYANANKESEHATAN PRIMER
PUSKESMAS SELAT BARU KABUPATEN BENGKALIS
TAHUN 2014

Venni Oktary Amir

Dedi Afandi
Wiwit Ade Fidiawati
vennioktaryamir@ymail.com

ABSTRACT

Increasing health services for coastal settlement that have low health
degree issue should be directional priority of health subtlety. Health workers are
the main factor to realize the optimum health effort. Professional health workers
action needed for increasing the quality and the development health workers
profession. The aim of this research is to discover the professional behavior of
health-care workers of Selat Baru community health care (Puskesmas), Bengkalis
Regency, that was reflected by the six elements of professionalism. The design of
this research uses exploration method with qualitative approaches on seven
health-care workers of Puskesmas Selat Baru, Bengkalis Regency, who were
selected by using snowball sampling method. Data collection was done by
interview and recorded with an audio recorder. The result of this research
showed that all the informants possess altruism, accountability, duty and respect
for other. Some informant who possess excellence and honor and integrity. In
general, half of the Selat Baru community health center (puskesmas) health-care
workers possess the elements of professional behavior in carrying their duty,
especially in providing service for the patients.

Key word : professional behavior, health-care workers.

PENDAHULUAN

Daerah pesisir adalah wilayah tingkat pendapatan dan derajat

yang merupakan tanda atau batasan kesehatan yang rendah. Oleh karena
wilayah daratan dan wilayah itu, pemerintah harus mengarahkan
perairan. Ini menunjukkan beberapa kebijakan kesehatan salah satunya
daerah pesisir sulit dijangkau dan dalam peningkatan pelayanan
mengalami keterbatasan dalam kesehatan untuk pelayanan kesehatan
berbagai fasilitas khususnya pada dasar di daerah terpencil dan daerah
pelayanan kesehatan. Pada penelitian tertinggal termasuk daerah pesisir
yang dilakukan oleh Sardiyatmo dan pulau-pulau kecil.1,2
tahun 2005 menyatakan sebagian Ketenagaan kesehatan
besar masyarakat pantai memiliki nasional saat ini memang

Jom FK Volume 1 No. 2 Oktober 2014

1
menghadapi berbagai masalah, salah yaitu tenaga kesehatan harus
satu diantaranya yaitu mutu dan memenuhi kode etik, standar profesi,
pengembangan profesi tenaga hak pengguna pelayanan kesehatan,
kesehatan tersebut, dimana masih standar pelayanan dan standar
banyak ditemukan kompetensi prosedur operasional.4
tenaga kesehatan yang kurang Profesi sebagai tenaga
memadai dan pengembangan profesi kesehatan adalah profesi yang penuh
yang masih belum sesuai harapan. harapan di mata masyarakat. Dapat
Tenaga kesehatan merupakan unsur dijelaskan bahwa pasien dan
yang sangat utama dalam keluarga pasien menyerahkan
mewujudkan pelayanan kesehatan sepenuhnya harapan upaya
yang optimal. Untuk memberikan kedokteran atas masalah kesehatan
pelayanan yang optimal maka yang dihadapinya. Ini menunjukkan
dibutuhkan perilaku professional mutu dan pengembangan profesi
tenaga kesehatan tersebut.1 tenaga kesehatan merupakan hal
Perilaku professional adalah penting yang harus selalu
perilaku berbasis pengetahuan ditingkatkan agar mendapat
dan/atau keterampilan juga kepercayaan dari masyarakat. Oleh
mencerminkan standar-standar dan karena itu, keberhasilan upaya
nilai-nilai yang dibuktikan melalui pelayanan kesehatan tidak terlepas
cara bertutur kata, cara bersikap dari perilaku professional tenaga
maupun berpenampilan. Perilaku kesehatan itu sendiri.
profesional tenaga kesehatan Daerah pesisir Riau yang
dicerminkan dari peneliti ambil dalam penelitian ini
profesionalismenya. Unsur-unsur adalah Kabupaten Bengkalis.
profesionalisme bagi tenaga Kabupaten Bengkalis adalah salah
kesehatan yaitu, altruisme, satu kabupaten di Provinsi Riau
akuntabilitas, keunggulan, tugas dan dengan ibukota yang berada di Pulau
kewajiban, kehormatan dan integritas Bengkalis, terpisah dari pulau
serta menghormati orang lain.3 Sumatera, dengan sebagaian besar
Adapun yang termasuk dalam tenaga wilayah Kabupaten Bengkalis
kesehatan ialah, dokter, dokter-gigi, merupakan wilayah pesisir.
bidan, perawat, apoteker dan sarjana- Berdasarkan data Dinas Kesehatan
sarjana lain dalam bidang Kabupaten/Kota Provinsi Riau,
4,5
kesehatan. jumlah penduduk di Kabupaten
Dalam pengadaaan dan Bengkalis berjumlah 498.336 jiwa
peningkatan mutu tenaga kesehatan dengan fasilitas dua rumah sakit
maka diterbitkan Undang-Undang pemerintah, empat rumah sakit
No. 36 tahun 2009 mengenai tenaga swasta dan empat puskesmas
kesehatan. Dalam Undang-Undang perawatan serta tujuh puskesmas non
tersebut digariskan tenaga kesehatan perawatan.6,7
harus memiliki kualifikasi minimum,

Jom FK Volume 1 No. 2 Oktober 2014

2
 Salah satu wilayah pesisir di yang profesional ditunjang oleh
Kabupaten Bengkalis adalah sarana dan prasarana dalam sitem
Kecamatan Bantan dengan jumlah yang baik. Fasilitas dan sarana
penduduk 41.477 jiwa. Kecamatan prasarana Puskesmas Selat Baru
Bantan memiliki satu unit pelayanan dinilai masih rendah. Oleh karena
kesehatan primer yaitu satu itu, perilaku profesional dari tenaga
puskesmas induk Puskesmas Selat kesehatan di Puskesmas Selat Baru
Baru, tujuh puskesmas pembantu, dibutuhkan untuk dapat
sembilan polindes dan 43 posyandu. meningkatkan derajat kesehatan di
Puskesmas Selat Baru memiliki tiga Kecamatan Bantan. Berdasarkan
dokter umum, dua dokter gigi, uraian diatas peneliti tertarik untuk
delapan bidan, 13 perawat, satu melihat gambaran perilaku
farmasi, satu ahli gizi, dan satu analis profesional tenaga kesehatan daerah
laboratorium. pesisir Riau pada pelayanan
Pelayanan kesehatan yang kesehatan primer Puskesmas Selat
baik diberikan oleh tenaga kesehatan Baru Kabupaten Bengkalis.

METODE PENELITIAN yang memahami dan memiliki

Desain penelitian ini informasi yang diinginkan. Besar
menggunakan metode eksplorasi sampel tidak dipersoalkan dalam
dengan pendekatan kualitatif.8 penelitian ini dan penelitian akan
Metode eksplorasi ini digunakan agar dihentikan apabila sudah tidak lagi
peneliti dapat menggali lebih dalam ditemukan variasi informasi.
informasi dan data yang ingin Awalnya peneliti akan menetapkan
didapatkan yaitu gambaran akan sampel awal dimana dalam penelitian
perilaku profesional petugas ini key informan awal adalah kepala
kesehatan pada pelayan kesehatan puskesmas selanjutnya akan
primer. Penelitian ini dilakukan di ditentukan key informan lanjutan.9
Puskesmas Selat Baru Kabupaten Penelitian ini akan dilakukan
Bengkalis pada bulan Februari tahun dengan mewawancarai subjek
2014 dan telah dinyatakan lolos kaji penelitian secara mendalam
etik oleh Unit Etik Penelitian
menggunakan panduan pertanyaan
Kedokteran dan Kesehatan Fakultas
Kedokteran Universitas Riau dengan yang telah dipersiapkan dan direkam
nomor 12/UN19.1.28/UEPKK/2014. menggunakan alat perekam. Lalu
Populasi penelitian ini adalah akan dilakukan proses validitas dan
seluruh tenaga kesehatan Puskesmas reabilitas data dengan cara
Selat Baru Kabupaten Bengkalis. credibility, transferability,
Subjek pada penelitian ini adalah dependebility dan confirmability.
tenaga kesehatan (dokter, dokter gigi,
Data akan ditranskrip, dikoding dan
bidan, perawat) yang dipilih dengan
menggunakan snowball sampling9 dilakukan pengkategorisasian dengan
yaitu pemilihan subyek penelitian menggunakan perspective codes
berdasarkan suatu pertimbangan, taksonomi Bogdan dan Biklen. Data
selanjutnya disajikan dalam bentuk
tekstual.10,11
Jom FK Volume 1 No. 2 Oktober 2014
3
HASIL PENELITIAN Altruisme
Nilai altruisme yang
Deskripsi umum lokasi penelitian merupakan salah satu unsur
profesionalisme dapat tergambar dari
Puskesmas Selat Baru terletak di pernyataan-pernyataan informan
Kecamatan Bantan Kabupaten yang disesuaikan kata kunci
Bengkalis dengan jarak tempuh dari ³0HQJXWDPDNDQ NHSHQWLQJDQ SDVLHQ
dan memiliki inisiatif untuk
Pekanbaru 4 jam melalui rute
melakukan tindakan menolong
perjalanan Pekanbaru-Sei.Pakning seFDUD FHSDW GDQ WHSDW´ WHUKDGDS
perjalanan darat kemudian sebagai berikut:
dilanjutkan perjalanan perairan ³/DQJVXQJ NH 8*' NDQ
Sei.Pakning-Bengkalis. Puskesmas jam, ditangani dokter, ya
Selat Baru memiliki wilayah kerja adalah, dulu sering ada
sebanyak sembilan desa yaitu Teluk dapat panggilan kerumah
kalo urgensi ya saya
Lancar, Kembung luar, Teluk
GDWDQJ ´
Pambang, Muntai, Bantan Air,
Bantan Tengah, Selat Baru, Bantan ³'LOXDU MDP NHUMD PDVXN
Tua dan Jangkang dengan jumlah UGD, UGD yang melayani
penduduk sebanyak 41.477 jiwa.. ODJL´
Puskesmas Selat Baru merupakan
Pada penelitian ini tidak
puskesmas rawat inap didukung
ditemukan nya variasi jawaban.
dengan pelayanan Unit Gawat Informan menyatakan bersedia
Darurat (UGD) 24 jam dengan datang kerumah pasien jika
tenaga kesehatan terdiri dari tiga dibutuhkan pertolongan segera.
dokter umum, satu dokter gigi, Selanjutnya peneliti melakukan
delapan bidan, 13 perawat, satu triangulasi data dengan wawancara
farmasi, satu ahli gizi dan satu key informan awal, key informan
lanjutan serta masyarakat sekitar.
analisis laboratorium. Poli layanan
Peneliti mendapatkan jawaban yang
kesehatan yang tersedia diantaranya sama dengan pernyataan informan.
poli umum, poli kesehatan ibu dan Namun administrasi dan alur
anak dan poli gigi. Puskesmas Selat pelayanan kesehatan di Puskesmas
Baru memiliki 9 pukesmas Selat Baru menjadi salah satu faktor
pembantu, 9 polindes dan 43 nilai altruisme, beberapa informan
posyandu. Waktu kerja tenaga akan mengalihkan pelayanan untuk
pasien yang datang diluar jam kerja
kesehatan hari senin hingga hari
ke UGD 24 jam sesuai dengan alur
sabtu dengan jam kerja 07:30-14:00 puskesmas yang ada. Sehingga dapat
dan waktu pelayanan jam 08:00- dikatakan bahwa seluruh informan
12:00, kecuali pelayanan UGD 24 yang merupakan tenaga kesehatan
jam dan rawat inap yang buka setiap Puskesmas Selat Baru memiliki nilai
hari. altruisme.

Jom FK Volume 1 No. 2 Oktober 2014

4
Akuntabilitas
Nilai akuntabilitas yang
merupakan salah satu unsur
profesionalisme dapat diketahui
dengan menyesuaikan kata kunci
³PHQDQJJDSL DSD \DQJ GLEXWXKNDQ
pasien, mengikuti standar praktik dan
prosedur dalam pelaksanaan praktik,
dan berpartisipasi dalam pencapaian
NHVHKDWDQ PDV\DUDNDW´ WHUKDGDS
jawaban-jawaban informan sehingga
nilai akuntabilitas tergambar dari
seluruh jawaban informan sebagai
berikut :
³.LWD GDODP PHODNXNDQ
tindakan itu harus ada SOP
nya, apa yang harus kita
lakukan, kalau sekarang itu
harus saling keterbukaan,
udah sesuai dengan pola nya,
udah sesuai dengan zaman
nya, kalau ada masalah ya
kita mengadakan komunikasi
antara masyarakat dengan
pihak puskesmas, kita
selesaikan secara
kekeluargaan, tidak ada
LVWLODK Q\D VDPSDL PHODSRU´
³<D VD\D MHODVNDQ ODK GHQJDQ
jelas, secara bahasa awam,
bahasa yang mereka
mengerti. Kalau prognosis
atau diagnosisnya jelek tetap
saya jelasin. Ya responnya
beda-beda. Kalau pendidikan
nya bagus ya dijelasin ya
mengerti ada juga yang gak
PHQJHUWL ´
Hasil triangulasi terhadap key
informan awal, key informan
lanjutan, masyarakat dan observasi
langsung oleh peneliti ditemukan
kesesuaian dengan jawaban informan
bahwa informan merasa bertanggung
jawab untuk menjalankan
programnya dan merasa bertanggung
Jom FK Volume 1 No. 2 Oktober 2014
jawab untuk menjelaskan keadaan
pasien serta bersedia menjelaskan
apabila pasien bertanya tentang
penyakitnya. Hal ini menggambarkan
seluruh informan memiliki nilai
akuntabilitas.
Keunggulan
Nilai kesempurnaan dan
keunggulan sebagai salah satu unsur
profesionalisme dapat dilihat dengan
PHQ\HVXDLNDQ NDWD NXQFL ³PHngikuti
pelatihan, seminar dan lain-lain demi
meningkatkan standar dan
memperluas pengetahuan dengan
VXPEHU EDFDDQ´ WHUKDGDS MDZDEDQ-
jawaban informan akan tetapi
ditemukan variasi jawaban.
Variasi 1
³%LVD OLPD NDOL LNXW VHPLQDU-
seminar gitu, bayar sendiri,
keinginan sendiri. Kalau
ditunjuk gak pernah, gak
pernah ditunjuk kami. Selain
itu ya baca-baca jurnal,
sering, apalagi sekarang saya
suka langganan sama
universitas saya, kadang
kalau saya kesana beli yang
untuk 1 tahun jurnal-
jurnalnya, terus liat-liat di
internet kalau ada waktu
senggang´
Variasi 2
³.DODX EDFD EXNX EHODMDU-
belajar kaya gini lagi gak ada
lagi´
Terdapat variasi jawaban
dimana tidak seluruhnya
mengandung nilai keunggulan yang
sesuai dengan kata kunci. Peneliti
melakukan triangulasi terhadap
pernyataan-pernyataan informan
dengan melakukan triangulasi
5
terhadap key informan awal dan key
informan lanjutan mengenai
pernyataan informan tersebut.
Peneliti mendapatkan hasil yang
sama dengan jawaban informan
bahwa tidak semua informan yang
rutin mengikuti pelatihan atau
seminar.
Tugas dan kewajiban
Nilai tugas atau kewajiban
yang merupakan salah satu unsur
profesionalisme dapat diketahui
dengan menyesuaikan kata kunci
³WHWDS PHPEHULNDQ SHOD\DQDQ PHVNL
pasien tidak mampu membayar dan
merujuk apabila tidak mampu
PHQDQJDQL´ WHUKDGDS MDZDEDQ-
jawaban informan sehingga nilai
tugas atau kewajiban tergambar dari
seluruh jawaban informan sebagai
berikut :
³6HPXD JUDWLV PXODL GDUL
tindakan, pelayanan, layanan
rawat inap, UGD semua
JUDWLV´
³*UDWLV cuma ada kadang hal
hal obat yang gak ada di
puskesmas, trus kalau
misalnya ada resep dari
dokter mereka harus menebus
NH WRNR REDW DWDX NH DSRWLN ´
Nilai tugas dan kewajiban
berdasarkan kata kunci tergambar
dari seluruh jawaban informan
bahwa seluruh pengobatan di
puskesmas baik dari tindakan,
pelayanan, layanan rawat inap serta
UGD tidak dipungut biaya,
ditanggung oleh pemerintah daerah.
Peneliti selanjutnya melakukan
observasi langsung pada saat
pelayanan poli. Peneliti melihat
bahwa tidak ada pemungutan biaya
Jom FK Volume 1 No. 2 Oktober 2014
pada layanan poli sebelum maupun
setelah pelayanan dan pengobatan.
Kehormatan dan Integritas
Nilai kehormatan dan
integritas yang merupakan salah satu
unsur profesionalisme dapat
diketahui dengan menyesuaikan kata
NXQFL ³PHPEDNWLNDQ WXJDV GDQ
kewajiban serta bersikap adil dan
MXMXU GDODP SUDNWHN SURIHVL´ WHUKDGDS
jawaban-jawaban informan sehingga
nilai kehormatan dan integritas
tergambar dari seluruh jawaban
informan sebagai berikut:
Variasi 1
³.DODX GDUL %HQJNDOLV XQWXN
kedokteran forensik emang
dokter nya yang gak ada, tapi
saya pernah memberikan
visum berdasarkan
permintaan korban ke polsek,
dari polsek pengantar baru
kami bikin visum, ditemani
satu orang perawat dan pihak
kepolisian, karna di bengkalis
tak DGD GRNWHU IRUHQVLN´
Variasi 2
³-DP VDPSDL ´
Berdasarkan hasil triangulasi
pada variasi 1 pernyataan informan
sesuai dengan hasil triangulasi.
Variasi 2 tidak menggambarkan kata
kunci karna tidak sesuai dengan hasil
observasi peneliti.
Menghormati orang lain
Nilai menghormati orang lain
yang merupakan salah satu unsur
profesionalisme dapat diketahui
dengan menyesuaikan kata kunci
³PHQJKRUPDWL SDVLHQ GDQ NHOXDUJD
pasien, teman sejawat, dan
PDV\DUDNDW´ WHUKDGDS jawaban-
jawaban informan sehingga nilai
menghormati orang lain tergambar
6
dari seluruh jawaban informan
sebagai berikut :
³6D\D EHNHUMD GLVLQL Q\DPDQ
hubungan dengan pegawai
disini bagus, dengan
masyarakat dekat, ya saling
keterbukaan aja kalau ingin
menjalin hubungan yang baik
dengan pasien´
³nyaman, nyamaaann....Kalau
hubungan dekat dengan
pasien ya dekat, cukup
melayani dengan baik ajalah
seperti kita masuk ke
masyarakat itu, jadi kita
gunakan bahasa yang mereka
gunakan, kalau datang gak
sekedar nanya kondisi pasien,
jadi pasien itu merasa datang
bukan untuk berobat aja tapi
ELVD FHULWD MXJD´
Peneliti melakukan
triangulasi terhadap jawaban
informan tersebut dengan cara cross
check jawaban informan terhadap key
informan awal, key informan lanjutan
serta terhadap anggota masyarakat.
Terdapat kesesuaian jawaban antara
hasil cross check dengan jawaban
informan. Hal ini menunjukkan
bahwa tenaga kesehatan memiliki
unsur menghormati orang lain.
PEMBAHASAN
Hasil penelitian yang telah
dilakukan di Puskesmas Selat Baru
Kabupaten Bengkalis Tahun 2014
menunjukkan bahwa sebagian besar
kata kunci unsur-unsur perilaku
Jom FK Volume 1 No. 2 Oktober 2014
profesional dapat tergambarkan
walaupun ada beberapa unsur yang
tidak ditemukan kata kunci.
Unsur altruisme dapat
disesuaikan dengan kata kunci
altrusime \DLWX ³PHQJXWDPDNDQ
kepentingan pasien diatas
kepentingan pribadi dan memiliki
inisiatif untuk melakukan
SHUWRORQJDQ VHJHUD´ 1LODL altruisme
yang ada pada tenaga kesehatan
Puskesmas Selat Baru dapat dilihat
dari penyataan bahwa mereka
mementingkan kepentingan pasien
dari pada kepentingan pribadi. Hal
tersebut sesuai dengan pernyataan
%RUURQJ ³$OWUXLVP DQG
volunteerism´ \DLWX DOWUXLVPH
diartikan sebagai kewajiban yang
ditujukan pada kebaikan orang lain.12
Informan menyatakan bahwa
mereka bersedia melayani pasien
walaupun jam kerja telah berakhir
dan bersedia datang kerumah pasien
jika ada panggilan mendadak untuk
pertolongan segera. Nilai tersebut
tergambar dari pernyataan informan
dan sesuai dengan hasil triangulasi
yang dilakukan dengan wawancara
masyarakat sekitar. Ini menunjukkan
bahwa sebagian tenaga kesehatan di
Puskesmas Selat Baru menyadari
kewajibannya sebagai tenaga
kesehatan untuk melayani pasien. Ini
sesuai dengan penelitian yang
dilakukan oleh Afandi mengenai
komponen altruisme sebagai refleksi
dokter terhadap KODEKI (Kode Etik
Kedokteran Indonesia) pada dokter
di wilayah IDI (Ikatan Dokter
Indonesia) DKI Jakarta. Afandi
mendapatkan hasil, 56% subjek
7
penelitian menyatakan setuju dengan
SHUQ\DWDDQ ³6D\D EHUVHGLD VHWLDS VDDW
dipanggil ke rumah pasien saat
GDODP NHDGDDQ JDZDW GDUXUDW´ 13
Beberapa jawaban informan
juga menyatakan bahwa ada alur
pelayanan yang harus mereka ikuti
dalam memberikan pelayanan
kesehatan, sehingga disini altruisme
juga dipengaruhi oleh faktor
eksternal dalam hal ini peraturan
yang dibuat oleh puskesmas dan ini
sesuai dengan penelitian yang
dilakukan oleh West CP dan
Shanafelt TD dalam jurnal yang
berjudul The Influence of Personal
and Environmental Factor on
Professionalism in Medical
Education dimana kelembagaan atau
instansi mempengaruhi perilaku
profesional.14
Unsur akuntabilitas dapat
terlihat dari kata kunci yaitu
³.HPDPSXDQ EHUWDQJJXQJ MDZDE
atas tindakan yang dilakukan seperti
menanggapi apa yang dibutuhkan
pasien, bekerja sesuai standar, kode
etik maupun persyaratan tertentu dan
berpartisipasi dalam pencapaian
NHVHKDWDQ PDV\DUDNDW´ Berdasarkan
jawaban informan peneliti
menemukan seluruh jawaban
informan memenuhi kata kunci
akuntabilitas. Dimana tenaga
kesehatan berperan aktif dalam
memberikan informasi mengenai
diagnosis, prognosis maupun terapi
pasien serta program-program yang
menjadi tanggung jawab tenaga
kesehatan dapat tercapai.
Hal ini sesuai dengan
pernyataan Leenan ³Aegroti Salus
Jom FK Volume 1 No. 2 Oktober 2014
Lox Supreme´ yaitu keselamatan
pasien adalah hukum yang tertinggi
(utama). Menurut Leenan kewajiban
yang timbul dari sifat perawatan
medis dimana dokter harus bertindak
sesuai dengan standar profesi medis
atau menjalankan praktek
kedokterannya secara lege artis.15
Unsur keunggulan
disesuaikan dengan kata kunci
³menerapkan belajar sepanjang hayat
dan memperbaharui ilmu serta
NHWHUDPSLODQ ´ 7HUGDSDW GXD YDULDVL
dalam penyataan informan. Variasi
satu memenuhi kata kunci dimana
informan masih meng-upadate
ilmunya dengan mengikuti pelatihan
dan seminar serta browsing jurnal
terbaru. Hal ini sejalan dengan yang
tertera pada UNESCO bahwa
menjadi seorang dokter yang
profesional mengharuskan seorang
dokter tetap mengembangkan ilmu
pengetahuan dan skill, tidak hanya
up to date terhadap ilmu dan skill
tetapi juga aturan-aturan baru dalam
dunia kesehatan.16 Variasi dua tidak
ditemukan kata kunci. Hal ini
dikarenakan sistem yang ada di
Puskesmas dimana pelatihan atau
seminar tersebut akan diikuti oleh
pemegang program yang sesuai
dengan topik pelatihan atau seminar
yang ada, dan tidak semua informan
memiliki waktu luang untuk
membaca buku. Ini sesuai dengan
penelitian yang dilakukan oleh West
mengenai faktor-faktor yang
mempengaruhi perilaku profesional
pada tenaga kesehatan dipengaruhi
oleh faktor eksternal yaitu komdisi
8
tempat bekerja, kelembagaan dan kesehatan profesional yang bersikap
aturan praktik.14 adil dan jujur yang tertuang dalam
Seluruh informan dalam salah satu unsur profesionalisme
penelitian ini mengandung nilai tugas yaitu integritas. Cawley menyatakan
dan kewajiban yang disesuaikan bahwa integritas tersebut dapat
dengan kata kunci ³WHWDS dipelajari semasa masa studi ini
memberikan pelayanan meski pasien menunjukkan perilaku profesional
tidak mampu membayar, dapat dipelajari.18 Variasi 2 tidak
memberikan pelayanan medis sesuai ditemukan kata kunci yaitu
dengan standar profesi dan standar membaktikan tugas dan kewajiban,
prosedur operasional seperti merujuk hal ini dipengaruhi karena faktor
DSDELOD WLGDN PDPSX PHOD\DQL´. Para eksternal yaitu karakteristik
informan mengatakan bahwa di lingkungan sesuai dengan penelitian
Puskesmas Selat Baru tidak ada yang dilakukan oleh West.14
pemungutan biaya apapun dalam Hasil wawancara menunjukkan
pelayanan. Ini dikarenakan adanya bahwa seluruh informan
program pemerintah yang menunjukkan unsur menghormati
membebaskan masyarakat orang lain yang disesuaikan dengan
Kabupaten Bengkalis dari biaya kata kunci ³PHQJKRUPDWL SDVLHQ GDQ
berobat ke Puskesmas kecuali jika keluarga pasien, teman sejawat, dan
masyarakat berobat ke tempat praktik PDV\DUDNDW´ ,QIRUPDQ PHQ\DGDUL
pribadi. Menurut mereka itu sudah seluruh profesi di puskesmas adalah
merupakan kewajiban sebagai suatu tim kerja, sehingga harus saling
pelayan masyarakat ditambah lagi bekerja sama secara kekeluargaan
mereka juga sudah menerima reward dengan menjalin komunikasi yang
yang merupakan hak mereka dari baik. Hal ini sesuai dengan
pemerintah. pernyataan Basuki dalam jurnal
Unsur kehormatan dan Majalah Kedokteran Indonesia
integritas disesuaikan dengan kata bahwa salah satu bentuk
kunci yaitu ³adil dan jujur dalam menghormati rekan sejawat adalah
praktik profesi, sopan dalam dengan menjalin komunikasi yang
hubungan dokter-pasien dan baik.19
membaktikan tugas dan kewajiban.´ Informan juga menyadari
Berdasarkan jawaban informan penting nya dalam menjalani
peneliti menemukan dua variasi kata hubungan yang baik dengan pasien.
kunci, variasi 1 jawaban memenuhi Hal tersebut tercermin dari usaha
kata kunci, dimana tenaga kesehatan tenaga kesehatan yang berusaha
dalam melakukan visum akan
masuk ke dalam masyarakat dengan
memberikan keterangan yang
sebenar-benarnya kepada pihak menjalin komunikasi yang baik dan
kepolisian, hal ini sesuai dengan saling keterbukaan dengan pasien.
penelitian yang dilakukan oleh Dalam World Federation of Medical
Arnold yang menyatakan bahwa Education (WFME) 2003 terdapat
kehormatan dan integritas tujuh kompetensi dokter salah satu
merupakan nilai dalam perilaku nya yaitu effective communication,
profesional tenaga kesehatan.17
dimana keterampilan berkomunikasi
Cawley juga menyatakan bahwa
masyarakat mengharapkan tenaga dengan kesetaraan, dilandasi empati.

Jom FK Volume 1 No. 2 Oktober 2014

9
Komunikasi tersebut lebih menjamin dapat digunakan untuk meningkatkan
pesan (isi komunikasi) tersampaikan profesionalisme tenaga kesehatan.
dan dimengerti sehingga tujuan Untuk instansi terkait seperti
menggali informasi, menetapkan puskesmas dapat memberikan
diagnosis dan pengobatan lebih tepat, penyuluhan mengenai peranan
efektif dan efisien.20 tenaga kesehatan sebagai role model
di bidang kesehatan.
SIMPULAN DAN SARAN
Berdasarkan hasil penelitian DAFTAR PUSTAKA
dapat ditarik kesimpulan, seluruh
informan yang merupakan tenaga 1. Direktorat Kesehatan dan Gizi
kesehatan Puskesmas Selat Baru Masyarakat Deputri Bidang
Kabupaten Bengkalis memiliki unsur Sumber Daya Manusia dan
Kebudayaan Badan
altruisme. Seluruh informan yang
Perencanaan Pembangunan
merupakan tenaga kesehatan Nasional. Laporan kajian
Puskesmas Selat Baru Kabupaten perencanaan tenaga kesehatan.
Bengkalis memiliki unsur Jakarta : Bappenas; 2005.
akuntabilitas. Enam informan yang 2. Sardiyatmo. Kepedulian
merupakan tenaga kesehatan masyarakat pesisir Karimun
Puskesmas Selat Baryu Kabupaten Jawa terhadap masalah
pencemaran. Semarang :
Bengkalis memiliki nilai
UNDIP; 2005.
kesempurnaan atau keunggulan. 3. American Board of Internal
Seluruh informan yang merupakan Medicine (ABIM). Project
tenaga kesehatan Puskesmas Selat professionalism. Philadelphia;
Baru Kabupaten Bengkalis memiliki 2001
unsur menghormati orang lain. 4. Undang-undang Republik
Empat informan yang merupakan Indonesia No.36 Tahun 2009
Tentang Kesehatan.
tenaga kesehatan Puskesmas Selat
5. Undang-Undang Republik
Baru Kabupaten Bengkalis memiliki Indonesia No. 6 Tentang
unsur kehormatan dan integritas. Kesehatan.
Seluruh informan yang merupakan 6. Kementerian Tenaga Kerja dan
tenaga kesehatan Puskesmas Selat Transmigrasi Kabupaten
Baru Kabupaten Bengkalis memiliki Bengkalis. Gambaran Umum
Kabupaten Bengkalis. Diunduh
nilai tugas atau kewajiban.
dari:
Penelitian ini belum dapat www.depnakertrans.go.id/micro
memberi gambaran menyeluruh site/KTM/uploads/PULAU
mengenai perilaku profesional dan RUPAT.pdf
belum dapat menyimpulkan 7. Dinas Kesehatan Provinsi Riau.
bagaimana perilaku profesional Profil Kesehatan Provinsi Riau
tenaga kesehatan jadi diperlukan Tahun 2010. Pekanbaru :
Dinkes; 2010.
penelitian lebih lanjut dengan metode
yang berbeda sehingga nantinya

Jom FK Volume 1 No. 2 Oktober 2014

10
8. Tumbelaka AR, Riono P, plural [disertasi]. Jakarta:
Sastroasmoro S, Wirjodiarjdo Fakultas Kedokteran Universitas
M, Pudjiastuti P, Firman K. Indonesia; 2010
Pemilihan Uji Hipotesis. Dalam 14. West CP, Shanafelt TD. The
: Sastroasmoro S, Ismael S. influence of personal and
Dasar ± dasar metodologi environmental factors on
penelitian klinis. Edisi ke ± 2. professionalism in medical
Jakarta : CV. Sagung Seto; 2002 education. BMC Medical
: 240-58 Education; 2007, 7:29
9. Irawan P. Penelitian Kualitatif doi:10.1186/1472-6920-7-29.
dan kuantitatif untuk ilmu ± ilmu 15. Isnoviana, M. Hak dan
sosial. Jakarta : DIA FISIP UI; kewajiban pasien-dokter.
2006 Bandung: Fakultas kedokteran
10. Madiyono B, Moeslichan S, Universitas Bandung. 2010
Sastroasmoro S, Budiman I, 16. UNESCO. Integrating lifelong
Purwanto SH. Perkiraan besar learning perspectives.
sampel. Dalam : Sastroasmoro S, Philippines; 2002.
Ismael S. Dasar ± dasar 17. Arnold L. Assessing
metodologi penelitian klinis professional behavior: yesterday,
Edisi ke ± 2. Jakarta : CV. today, and tomorrow. Kansas:
Sagung Seto; 2002:259-86 University of Missouri; 2002.
11. Sastroasmoro S. Pemilihan 18. Danielsen R, Cawley J. The
subyek penelitian. Dalam internet journal of allied health
Sastroasmoro S, Ismael S science and practice, compassion
(editor). Dasar ± dasar and integrity in health
metodologi penelitian klinis. professions education. 2007.
Jakarta : Sagung Seto; 2002: 67 19. Basuki E. Komunikasi antar
± 78. Petugas Kesehatan. Majalah
12. Leventhal DH. Altruism and Kedokteran Indonesia Volum:58
volunteerism: The perceptions of Nomor : 9, September 2008.
altruism in four disciplines and 20. Trilogi WFME. Basic medical
their impact on the study of education WFME global
volunteerism. Australia : Journal standards for quality
for the theory of social improvement. Global standards
behaviour. in post graduate medical
13. Afandi D. Kondisi keberlakuan education, global standards in
bioetika dalam mekanisme revisi CPD. WFME Office. Denmark:
kode etik kedokteran indonesia: University of Copenhagen;
mempertahankan keluhuran 2003.
profesi di tengah masyarakat

Jom FK Volume 1 No. 2 Oktober 2014

11
 Jurnal Ilmu Keperawatan (2017)
ISSN: 2338-6371, e-ISSN 2550-018X

Faktor-Faktor Yang Berhubungan Dengan Kejadian Malaria Berdasarkan

Model Community As Partner Pada Pekerja Tambang Emas Gunong Ujeun

Factors Associated With Malaria Occurrence Based Model Community As Partner In

Gold Mine Workers Gunong Ujeun Krueng

Ernani Wijaya1, Hermansyah2, Rusli Yusuf3

1
Magister Keperawatan, Fakultas Keperawatan, Universitas Syiah Kuala, 23111
2
Bagian Kesehatan Lingkungan, Politeknik Kesehatan, Kemenkes Aceh, 23111
3
Bagian Pendidikan, Kependudukan, dan Lingkungan Hidup, FKIP, Universitas Syiah Kuala, 23111

Abstrak

Kabupaten Aceh Jaya sangat rawan dengan penyakit malaria, ini disebabkan banyaknya masyarakat terutama di
Gunong Ujeun Kecamatan Krueng Sabee yang melakukan penambangan emas sehingga berdampak terhadap tingginya
angka kejadian malaria dan hingga saat ini angka Annual Parasite Incidence (API) per 1000 penduduk yaitu 0,2 %.
Penelitian ini bertujuan untuk mengetahui faktor-faktor yang berhubungan dengan kejadian malaria berdasarkan model
Community As Partner pada pekerja tambang Emas Gunong Ujeun Kecamatan Krueng Sabee Kabupaten Aceh Jaya
tahun 2016. Desain penelitian yang digunakan adalah survei analitik dengan pendekatan cross sectional yang
dilaksanakan pada tanggal 30 Agustus s.d 28 September 2016. Sampel dalam penelitian ini adalah para pekerja tambang
emas Gunong Ujeun sebanyak 100 responden. Uji statistik yang digunakan adalah uji chi-square dengan menggunakan
program komputer. Hasil penelitian menunjukkan bahwa kejadian malaria berhubungan dengan faktor faktor
perumahan (p = 0,000), pendidikan kesehatan (p = 0,016), keamanan/keselamatan (p = 0,013), pelayanan kesehatan ( p
= 0,002 ), ekonomi (p = 0,004) dan faktor yang paling dominan pengaruhnya dengan kejadian malaria adalah faktor
pendidikan kesehatan sehingga faktor yang berhubungan dengan kejadian malaria tersebut menjadi model Community
As Partner. Kesimpulan dalam penelitian ini adalah terdapat hubungan antara perumahan, pendidikan kesehatan,
Keamanan/ keselamatan, pelayanan kesehatan, ekonomi, dengan kejadian malaria berdasarkan model Community As
Partner pada pekerja tambang emas Gunong Ujeun dan diharapkan pada para pekerja tambang emas dapat
meningkatkan pengetahuan dengan mendapatkan informasi baik secara langsung maupun tidak langsung tentang
pencegahan malaria.

Kata Kunci : Kejadian Malaria, Community As Partner, Pekerja Tambang Emas.

Abstract

The district of Aceh Jaya is very vulnerable to malaria, due to the large number of people, especially in Gunong Ujeun
Krueng Sabee sub-district, which is mining gold so that the impact of malaria incidence and the number of Annual
Parasite Incidence (API) per 1000 population is 0.2% . The purpose of this study was to determine factors related to
malaria incidence based on Community As Partner model in Gunong Ujeun Gold mine at Krueng Sabee District of
Aceh Jaya Regency in 2016. The research design used was analytical survey with cross sectional approach which was
conducted on 30 August to September 28, 2016. Samples in this study were Gunong Ujeun gold miners as many as 100
respondents. The statistical test used is chi-square test using computer program. The results showed that the incidence
of malaria was related to housing factor (p = 0,000), health education (p = 0.016), safety / safety (p = 0,013), health
services (p = 0,002), economy (p = 0,004) The most dominant effect with the incidence of malaria is a factor of health
education so that factors associated with the incidence of malaria is a model of Community As Partner. It is expected
that all gold miners in the Gunong Ujeun area use mosquito nets and prevent mosquito bites and take
chemoprophylaxis and other drugs as directed so as to avoid malaria and continuous health education can be provided
by health workers to improve workers' knowledge on malaria prevention, Health facilities closest to the
completefacilitiesandinfrastructure.

Keyword: Malaria Incident, Community As Partner, Golg Mining Wolkers.

Korespondensi:
* Ernani Wijaya, Program Studi Magister Keperawatan, Fakultas Keperawatan
Darussalam, Banda Aceh, 23111. Email: ernaniwijaya@gmail.com
 Wijaya, Hermansyah, Yusuf/ Jurnal Ilmu Keperawatan (2017) 5:2

Latar Belakang darah (malaria positif) diperoleh penderita

Malaria merupakan masalah kesehatan yang tertinggi berasal dari Aceh Jaya yaitu 433
masyarakat yang menyebabkan sekitar 200 orang dimana 400 orang laki-laki dan 33 orang
juta infeksi baru setiap tahun, kurangnya kerja perempuan, selanjutnya Aceh Barat Daya 107
sama lintas sektor meyebabkan upaya tersebut orang dan Aceh Barat 82 orang dimana angka
tidak berjalan secara berkesinambungan kesakitan API per 1000 penduduk (Dinkes
(Muriuki, 2012). Aceh, 2012).

Malaria merupakan penyakit menular yang Annual Malaria Incidence (AMI) di Kabupaten
menjadi perhatian global. Penyakit ini masih Aceh Jaya pada tahun 2011 menemukan kasus
merupakan masalah kesehatan masyarakat kesakitan malaria klinis sebesar 26, 4%, tahun
karena sering menimbulkan KLB, berdampak 2012 sebesar 28,3% dan tahun 2013 sebesar
luas terhadap kualitas hidup dan ekonomi, 26,3% sedangkan jumlah malaria positif pada
serta dapat mengakibatkan kematian. tahun 2011 sebanyak 1358 orang dimana 868
(Riskesdas, 2013). Di dunia diperkirakan orang berasal dari Kecamatan Krueng Sabee,
kasusnya berjumlah sekitar 300–500 juta kasus tahun 2012 sebanyak 1186 kasus positif
dan mengakibatkan 1,5–2,7 juta kematian malaria dimana 463 orang berasal dari
setiap tahun, terutama di negara-negara Benua Kecamatan Krueng Sabee dan tahun 2013
Afrika 80% dan Asia 20% (WHO, 2010). sebanyak 1135 orang dimana positif malaria
403 orang berasal dari Kecamatan Krueng
Prevalensi malaria tahun 2013 adalah 6,0 Sabee dan 849 penderita tanpa pemeriksaan
persen. Dari 33 provinsi di Indonesia, 15 sediaan darah berasal dari Kecamatan lainnya
provinsi mempunyai prevalensi malaria di atas (Dinkes Aceh Jaya, 2013).
angka nasional, sebagian besar berada di
Indonesia Timur (Riskesdas, 2013). Keberadaan nyamuk malaria di suatu daerah
sangat tergantung pada lingkungan, keadaan
Di Aceh Kasus malaria klinis (demam tinggi wilayah seperti perkebunan, keberadaan
disertai menggigil) Tanpa Pemeriksaan pantai, curah hujan, kecepatan angin, suhu,
Sediaan Darah yang berjumlah 21.993. sinar matahari, ketinggian tempat dan bentuk
Malaria Positif berjumlah 1.068, dimana perairan yang ada. Nyamuk anopheles
Jumlah API (Annual Parasite Incidence) di aconitus dijumpai di daerah-daerah
Provinsi Aceh tahun 2012 berjumlah 0.2%. persawahan, tempat perkembangbiakan
Bila dilihat dari hasil pemeriksaan sediaan nyamuk ini terutama di sawah yang bertingkat-
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tingkat dan di saluran irigasi (Achmadi, 2008). yang berisi pertanyaan tentang kondisi tempat
Karakteristik wilayah pesisir pantai dan tinggal, Keadaan Pendidikan Kesehatan
kehutanan merupakan daerah yang sangat tentang malaria yang pernah diperoleh,
rentan terhadap penyebaran malaria di wilayah Keadaan Keamanan/Keselamatan terhadap
Calang Aceh Jaya. faktor resiko penyakit malaria, Ketersediaan
Fasilitas Pelayanan Kesehatan, dan Ekonomi
Survey awal yang dilakukan di daerah Krueng para pekerja, serta pernyataan tentang kejadian
Sabee yang terdapat banyak kasus malaria, malaria. Penelitian ini dilaksanakan pada
hasil studi awal diperoleh didaerah tersebut tanggal 30 Agustus - 28 September tahun
merupakan tempat tinggal 80% para pekerja 2016.
tambang emas dimana lokasi lingkungan
sangat memungkinkan untuk perkembangan Hasil
kehidupan anopheles didukung dengan letak Karakteristik responden dapat dilihat pada
geografis berupa pegunungan, banyak terdapat Tabel 1 berikut:
selokan curah hujan dan berdasarkan petugas Tabel 1: Karakteristik responden (n = 100)
No. Karakteristik Frekwensi Pesentase
kesehatan menyebutkan daerah tersebut adalah
Responden (f) (%)
daerah endemis sebagai daerah penyebaran I Umur (tahun):
1. 17-25 26 26
malaria tertinggi di daerah Calang. 2. 26-35 48 48
3. 36-45 18 18
4. 46-55 7 7
5. 56-65 1 1
Metode II Suku:
Desain penelitian yang digunakan adalah 1. Jawa 39 39
2. Aceh 61 61
survei analitik dengan rancangan III Pendidikan
1. SMP 12 12
crosssectional. Populasi yang digunakan 2. SM 87 87
3. PT 1 1
dalam penelitian ini adalah seluruh pekerja IV Status
Perkawinan 60 60
Tambang Emas yang berjumlah 927 orang 1. Kawin 40 40
pekerja. Jumlah sampel dalam penelitian ini 2. Tidak
Kawin
adalah 100 orang pekerja Tambang Emas.
V Penghasilan
Teknik pengambilan sampel dalam penelitian 1. <1 Juta 31 31
2. 1-2 Juta 65 65
ini menggunakan simpel random sampling. 3. >2 Juta 4 4
Penelitian ini dilakukan di daerah Gunong VI Lama Bekerja
Ujeun Kecamatan Krueng Sabee Kabupaten 1. 1-2 Tahun 35 35
2. 3-4 Tahun 65 65
Aceh Jaya. Data diperoleh dengan mengisi
kuesioner melalui wawancara dan observasi
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Berdasarkan Tabel 1 di atas dapat diketahui

atas mayoritas responden berumur 26-35 tahun Tabel 3 Distribusi Frekuensi Kejadian Malaria Pada
Responden (n = 100)
(48%), mayoritas responden bersuku Aceh
Kejadian
(61%), mayoritas responden berpendidikan No f %
Malaria
1 Ada 60 60
SMA (87%), mayoritas responden berstatus 2 Tidak Ada 40 40
kawin (60%), mayoritas responden Jumlah 100 100

berpenghasilan 1-2 juta (65%) dan mayoritas

Berdasarkan tabel 3 diketahui bahwa
responden sudah bekerja selama 3-5 tahun
responden yang mengalami malaria lebih
(65%).
sebanyak 60 orang (60%).
Tabel 2 : Kejadian Malaria pada responden (n=100)
Ada Tidak Tabel 4 : Observasi Perumahan Responden (n = 100)
Pertanyaan
f % f % Ya Tidak
Pertanyaan
1. Pekerja tambang yang 48 48,0 52 52,0 f % f %
pernah mengalami 1. Lantai yang terbuat
malaria dari tanah yang tidak 47 47,0 53 53,0
2. Pekerja yang sudah 40 40,0 60 60,0 menyerap air
terkena malaria dan 2. Ventilasi minimal
pernah kambuh lagi 25 25,0 75 75,0
10%
3. Malaria di tempat ini 55 55,0 45 45,0 3. Ventilasi sirkulasi
sering terjadi udara terpasang kawat
4. Tempat yang anda 55 55,0 45 45,0 45 45,0 55 55,0
mencegah masuknya
tinggal sekarang adalah nyamuk
daerah rawan malaria 4. Terdapat genangan air
5. Para pekerja sudah 46 46,0 54 54,0 disekitar halaman 54 54,0 46 46,0
terbiasa dengan tanda rumah jika hujan
dan gejala malaria 5. Terdapat tempat
6. Pekerja yang 34 34,0 66 66,0 67 67,0 33 33,0
hinggap nyamuk
meninggal karena 6. Tempat tinggal
malaria 70 70,0 30 30,0
kumuh.

Berdasarkan tabel 2 di atas diketahui bahwa
dari 100 responden, sebanyak 52 orang
(52,0%) tidak pernah mengalami malaria.
Sebanyak 60 responden (60,0%) sudah terkena
malaria tetapi tidak pernah kambuh lagi, serta
sebanyak 66 responden (66,0%) menyatakan
bahwa tidak ada pekerja yang meninggal
karena malaria. Dalam penelitian ini kejadian
malaria responden dibagi dua kelompok yaitu
ada dan tidak ada kejadian malaria yaitu
sebagai berikut :
Berdasarkan tabel 4 di atas maka diketahui
bahwa dari 100 responden, Sebanyak 75
responden (75,0%) tidak memiliki ventilasi
rumah minimal 10%. serta sebanyak 70
responden (70,0%) memiliki rumah yang
kumuh. perumahan dalam penelitian ini
ikatagorikan menjadi dua yaitu kumuh dan
tidak kumuh dapat dilihat pada tabel 5 di
bawah ini:

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Tabel .5 Katagori Perumahan Responden (n = 100)

Frekwensi Persentase Berdasarkan Tabel 7 di atas terlihat responden
No Perumahan
(f) (%)
1 Kumuh 60 60 yang tidak mendapat pendidikan kesehatan
2 Tidak Kumuh 40 40
Jumlah 100 100 lebih banyak dibandingkan yang mendapatkan
Berdasarkan Tabel 5 diketahui bahwa pendidikan kesehatan, yaitu sebanyak 51 orang
responden dengan kondisi perumahan kumuh (51,0%).
sebanyak 60 orang (60%). Tabel 8: Keamanan dan Keselamatan Untuk Responden
Tabel 6 Pendidikan Kesehatan Responden (n = 100) (n = 100)
Ya Tidak Ya Tidak
Pertanyaan Pertanyaan
f % f % F % f %
1. Pernah mendapatkan 1. Tempat tinggal sangat
informasi pencegahan 59 59,0 41 41,0 61 61,0 39 39,0
rentan terjangkit malaria.
malaria 2. Menggunakan obat
2. Informasi didapat dari pengoles/reppellents pada 35 35,0 65 65,0
57 57,0 43 43,0
petugas kesehatan malam hari.
3. Mendapatkan informasi 3. Menggunakan kelambu
dari televisi, radio, surat 48 48,0 52 52,0 54 54,0 46 46,0
pada malam hari.
kabar 4. Memeriksakan diri ketika
4. Pencegahan malaria salah merasakan tanda malaria
satunya dengan 51 51,0 49 49,0
44 44,0 56 56,0 seperti demam tinggi dan
menggunakan kelambu sakit kepala.
pada malam hari. 5. Malaria menyebabkan
5. Informasi yang di dapat 65 65,0 35 35,0
kematian
di praktikkan dalam 6. Seringnya orang-orang
51 51,0 49 49,0
pencegahan penyakit disekitar terjangkit
malaria. malaria, membuat rasa 64 64,0 36 36,0
6. Ikut melaksanakan cara- tidak aman tinggal
82 82,0 18 18,0
cara pencegahan malaria. didaerah tersebut.

Berdasarkan tabel 8 di atas maka diketahui

Berdasarkan tabel 6 di atas, maka diketahui
bahwa dari 100 responden, Sebanyak 65
bahwa dari 100 responden, Sebanyak 57
responden (65,0%) tidak menggunakan obat
responden (57,0%) mendaptkan informasi dari
pengoles/reppellents pada malam hari.
petugas kesehatan serta sebanyak 82
Sebanyak 65 responden (65,0%) menyatakan
responden (82,0%) melaksanakan cara-cara
bahwa malaria menyebabkan kematian serta
pencegahan malaria. Dalam penelitian ini
sebanyak 64 responden (64,0%) merasa tidak
dikatagorikan pendidikan kesehatan tentang
aman jika orang-orang disekitar mereka sering
malaria menjadi dua yaitu ada dan tidak ada,
terjangkit malaria. Dalam penelitian ini
hasilnya dapat dilihat dari tabel dibawah ini:
Tabel 7 Pendidikan Kesehatan Responden (n = 100) keamanan dan keselamatan untuk responden
Pendidikan Frekwensi Persentase dibagi dua katagori yaitu beresiko dan tidak
No
Kesehatan (f) (%)
1 Ada 49 49 beresiko, hasilnya dapat dilihat pada tabel 9
2 Tidak Ada 51 51
dibawah ini:
Jumlah 100 100

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Selanjutnya juga sebanyak 70 responden

Tabel 9 Keamanan dan Keselamatan Responden (n = (70,0%) menyatakan bahwa petugas kesehatan
100)
tidak secara berkala melakukan pemeriksaan
Frekwensi Persentase
No Keamanan malaria (screening). Sebanyak 60 responden
(f) (%)
Resiko 49 49
1 (60,0%) juga menyatakan bahwa terdapat
Tinggi
Resiko 51 51 tempat perawatan (RS, Puskesmas, Klinik
2
Rendah
Jumlah 100 100 Swasta) dekat dengan tempat tinggal
mereka.Dalam penelitian ini pendidikan
Berdasarkan Tabel 9 di atas, maka diketahui
kesehatan seperti yang digambarkan pada tabel
bahwa responden dengan resiko rendah lebih
10 di atas, selanjutnya dikatagorikan dan
banyak (51%) dibandingkan dengan yang
hasilnya dapat dilihat pada tabel di bawah ini:
resiko tinggi. Tabel 11 Pelayanan Kesehatan Responden (n = 100)
Tabel 10 : Pelayanan Kesehatan yang didapatkan oleh
Pelayanan Frekwensi
responden (n = 100) No Persentase (%)
Kesehatan (f)
Ya Tidak 1 Ada 37 37
Pertanyaan 2 Tidak Ada 63 63
f % F %
1. Petugas kesehatan Jumlah 100 100
minimal 6 bulan
66 66,0 34 34,0
memantau keadaaan
lingkungan tempat tinggal Berdasarkan Tabel 11 diketahui bahwa
2. Petugas kesehatan secara
responden yang tidak mendapatkan pelayanan
rutin minimal 6 bulan
sekali melakukan fogging 43 43,0 57 57,0 kesehatan sebanyak 63 orang (63,0%).
(menyemprot/pengkabuta
n)
3. Petugas kesehatan
langsung mempraktekkan Berdasarkan tabel 12 diketahui bahwa dari 100
54 54,0 46 46,0
upaya-upaya dalam
pencegahan malaria responden, sebanyak 73 orang (73,0%)
4. Petugas kesehatan secara mengatakan bahwa penghasilan rata rata
berkala melakukan
30 30,0 70 70,0
pemeriksaan malaria perbulan mereka telah sesuai dengan pekerjaan
(screening)
5. Terdapat tempat yang dilakukan. Selanjutnya juga sebanyak 65
perawatan terdekat (RS,
60 60,0 40 40,0 responden (65,0%) menyatakan bahwa
Puskesmas, Klinik
Swasta)
6. Memiliki asuransi penghasilan sebagai pekerja tambang dapat
54 54,0 46 46,0
kesehatan (BPJS) memenuhi kebutuhan lain selain kebutuhan

Berdasarkan tabel 10 di atas, maka diketahui dasar. serta sebanyak 56 responden (56,0%)

bahwa dari 100 responden, sebanyak 66 orang menyatakan bahwa sumber penghasilan hanya

(66,0%) mengatakan bahwa petugas kesehatan diperoleh dari upah bekerja sebagai pekerja

minimal 6 bulan memantau keadaaan tambang.

lingkungan tempat tinggal mereka.

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Berdasarkan Tabel 13 diketahui bahwa

responden yang tingkat ekonomi tinggi
sebanyak 51 orang (51,0%).
Tabel.12 Keadaan Ekonomi Responden (n = 100)
Ya Tidak
Pertanyaan Hubungan variabel-variabel dengan kejadian
f % f %
1. Penghasilan rata rata
perbulan telah sesuai malaria ditunjukan pada Tabel 14.
73 73,0 27 27,0
dengan pekerjaan yang
Berdasarkan Tabel 14 terlihat bahwa dari 60
dilakukan.
2. Penghasilan yang responden dengan kondisi perumahan kumuh,
diperoleh dapat
45 45,0 55 55,0
menutupi kebutuhan 45 responden (75,0%) mengalami kejadian
hidup sehari hari.
3. Penghasilan setiap malaria. Hasil uji hipotesis diketahui bahwa
bulannya disisihkan
54 54,0 46 46,0 terdapat hubungan yang signifikan antara
untuk keperluan tidak
terduga.
perumahan dengan kejadian malaria pada
4. Penghasilan sebagai
pekerja tambang dapat pekerja tambang emas Gunong Ujeun
memenuhi kebutuhan 65 65,0 35 35,0
lain selain kebutuhan Kecamatan Krueng Sabee Kabupaten Aceh
dasar.
5. Penghasilan yang Jaya Tahun 2016 dan nilai odd ratio (OR)
diperoleh dari bekerja
tambang digunakan sebesar 5,000, yang bermakna bahwa pekerja
juga untuk keperluan
43 43,0 57 57,0 tambang emas dengan perumahan kumuh lebih
keamanan tempat
tinggal seperti berisiko 5 kali untuk mengalami kejadian
mencegah penularan
malaria. malaria.
6. Sumber penghasilan
hanya diperoleh dari Berdasarkan Tabel 14 juga diketahui bahwa
56 56,0 44 44,0
upah bekerja sebagai
pekerja tambang. dari 51 responden yang tidak mendaptkan
pendidikan kesehatan, 37 orang (72,5%)
Hasil jawaban responden tentang ekonomi
diantaranya mengalami kejadian malaria. Hasil
seperti yang digambarkan pada tabel 12 di
uji hipotesis dapat disimpulkan terdapat
atas, selanjutnya dikatagorikan dan hasilnya
hubungan yang signifikan antara pendidikan
dapat dilihat pada tabel 13 di bawah ini:
kesehatan dengan kejadian malaria pada
pekerja tambang emas. Pekerja tambang emas
Tabel 13 Tingkat Ekonomi Responden (n = 100)
yang tidak mendapatkan pendidikan kesehatan
Tingkat Frekwensi Persentase
No
Ekonomi (f) (%) lebih berisiko 3 kali untuk mengalami kejadian
1 Rendah 49 49
2 Tinggi 51 51 malaria.
Jumlah 100 100

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Tabel 14: Hubungan Variabel dengan kejadian malaria (n=100)

Variabel Kejadian Malaria Total P value OR
f(%)
f(%) f(%)
Perumahan
a. Kumuh 45 (75,0) 15 (25,5) 60 (100) 0,0000 5,000
b. Tidak kumuh 15 (37,5) 25 (62,5) 40 (100)

Pendidikan kesehatan
a. Tidak ada 37 (72,5) 14 (27,5) 51 (100) 0,014 2,988
b. Ada 23 (46,9) 26 (53,1) 49 (100)

Pelayanan kesehatan
a. Tidak ada 30 (81,1) 7 (18,9) 37 (100) 0,001 4,714
b. Ada 30 (47,6) 33 (52,4) 63 (100)

Ekonomi
a. Rendah 37 (75,5) 12 (24,5) 49 (100) 0,05 3,754
b. Tingggi 23 (45,1) 28 (54,9) 51 (100)

Tabel 15 : Analisis binary logistic regression

B S.E. Wald df Sig. Exp(B)
Step 1a Perumahan 1,033 ,513 4,051 1 ,044 2,808

Penkes 1,490 ,577 6,659 1 ,010 4,436

Keamanan 1,367 ,579 5,586 1 ,018 3,925
Yankes 1,143 ,547 4,370 1 ,037 3,136
Ekonomi 1,228 ,513 5,370 1 ,017 3,415
Constant -10,040 2,187 21,077 1 ,000 ,000

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ini juga nilai odd ratio (OR) tingkat ekonomi

Tabel 14 juga menunjukkan bahwa dari 49
yang rendah berpeluang 4 kali untuk
responden dengan keamanan/keselamatan
mengalami kejadian malaria.
resiko tinggi, 36 orang (73,5%) diantaranya
mengalami kejadian malaria. Hasil uji Berdasarkan tabel di atas, maka diketahui
hipotesis diketahui bahwa terdapat hubungan bahwa dari 5 (lima) variabel independen, yaitu
yang signifikan antara keamanan/keselamatan perumahan, pendidikan kesehatan,
dengan kejadian malaria dan pekerja tambang keamanan/keselamatan, pelayanan kesehatan
emas dengan tingkat keamanan/keselamatan dan ekonomi berpengaruh secara signifikan
resiko tinggi berpeluang 3 kali untuk terhadap variabel dependen yaitu kejadian
mengalami kejadian malaria. malaria.

Tabel 14 juga menunjukkan bahwa dari 37 Pembahasan

responden yang tidak mendapatkan pelayanan Hasil analisis statistik menunjukkan terdapat
kesehatan, 30 orang (81,1%) diantaranya hubungan yang signifikan antara perumahan
mengalami kejadian malaria. Hasil uji dengan kejadian malaria pada pekerja tambang
hipotesis menunjukkan terdapat hubungan emas Gunong Ujeun Kecamatan Krueng Sabee
yang signifikan antara pelayanan kesehatan Kabupaten Aceh Jaya dengan nilai odd ratio
dengan kejadian malaria pada pekerja tambang (OR) sebesar 5,000, yang bermakna bahwa
emas. pekerja tambang emas yang tidak pekerja tambang emas dengan perumahan
mendapatkan pelayanan kesehatan berpeluang kumuh lebih berisiko 5 kali untuk mengalami
5 kali untuk mengalami kejadian malaria. kejadian malaria. Kondisi perumahan sangat
Tabel 14 juga menunjukkan bahwa dari 49 erat kaitannya dengan kejadian malaria. Hasil
responden dengan tingkat ekonomi yang ini sejalan dengan pendapat yang
rendah, 37 orang (75,5%) diantaranya dikemukakan oleh Harijanto (2011) bahwa
mengalami kejadian malaria. Sedangkan dari tempat tinggal manusia yang tidak
51 responden dengan tingkat ekonomi yang memenuhi syarat, dapat menyebabkan
tinggi, 28 orang (54,9%) diantaranya tidak seseorang kontak dengan nyamuk malaria.
mengalami kejadian malaria. Hasil uji Dinding dari kayu tersebut juga tempat yang
hipotesis dapat disimpulkan terdapat hubungan paling disenangi oleh nyamuk Anopheles.
yang signifikan antara status ekonomi dengan Dinding rumah berkaitan juga dengan
kejadian malaria pada pekerja tambang emas kegiatan penyemprotan (Indoor Residual
Gunong Ujeun Kecamatan Krueng Sabee Sprying) atau obat anti nyamuk cair, dimana
Kabupaten Aceh Jaya Tahun 2016. Penelitian insektisida yang disemprotkan ke dinding
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rumah akan menyerap sehingga saat hinggap Hasil analisis tentang hubungan pendidikan
akan mati akibat kontak dengan insektisida kesehatan dengan kejadian malaria pada
tersebut dan dinding yang tidak permanen pekerja tambang emas Gunong Ujeun
atau ada celah untuk nyamuk masuk dan Kecamatan Krueng Sabee Kabupaten Aceh
kontak dengan manusia. Keadaan ventilasi Jaya menunjukkan terdapat hubungan yang
rumah yang tidak ditutupi kawat kasa akan signifikan antara pendidikan kesehatan dengan
menyebabkan nyamuk masuk ke dalam kejadian malaria dan didapatkan nilai odd
rumah. Kondisi/bahan atap rumah yang ratio (OR) sebesar 2,988.
terbuat dari kayu merupakan tempat yang Hal ini didukung oleh teori Gunawan, dkk,
paling disenangi oleh nyamuk Anopheles dalam Suryanto 2003 yang menyatakan
(Laihad, 2011). pengetahuan tentang situasi malaria di suatu
Apabila lingkungan tempat manusia daerah akan sangat membantu program
berinteraksi kurang mendukung misalnya ada pemberantasan malaria dan juga dalam
agent-agent penyakit, maka manusia juga akan melindungi masyarakat dari infeksi malaria
menjadi sasaran dari agent-agent tersebut dan agar paradigma sehat dapat diwujudkan.
akan menyebabkan kesehatan manusia Penelitian yang dilakukan oleh Susanna dan
sekitarnya akan menurun. Hal ini sejalan Eryando (2010) dengan judul the relationship
dengan teori Kondisi lingkungan rumah yang between knowledge of malaria transmission
kumuh dan penuh dengan semak-semak yang and malaria prevention and the risk of malaria
rimbun akan mengakibatkan sinar matahari infection in the coastal region of Batam City in
tidak dapat berada di sekitar rumah dan akan Indonesia, menyatakan hasil yang berbeda
menyebabkan lingkungan menjadi teduh serta dengan hasil penelitian di atas. Hasil penelitian
lembab dan keadaan ini merupakan tempat ini menunjukkan bahwa tidak ada hubungan
istirahat yang disenangi oleh nyamuk yang signifikan (p> 0,05) antara variabel
Anopheles, sehingga jumlah populasi nyamuk pengetahuan tentang penularan malaria dan
di sekitar rumah bertambah dan menyebabkan pencegahan malaria dengan jumlah kasus
keluarga yang tinggal di rumah yang terdapat malaria. Pengetahuan tentang penularan
semak di sekitarnya mempunyai risiko untuk malaria tidak memiliki hubungan dengan
terjadi penularan penyakit malaria dibanding kejadian malaria.
dengan keluarga yang tinggal di rumah tidak Upaya peningkatan pendidikan masyarakat
ada semak-semak di sekitarnya (Lestari dkk, harus terus ditingkatkan. Supratman,
2007). Sukowati, dkk, 2010 secara umum seseorang

10
 Wijaya, Hermansyah, Yusuf/ Jurnal Ilmu Keperawatan (2017) 5:2

yang mempunyai pendidikan lebih tinggi orang yang melakukan pekerjaan itu akan
biasanya akan lebih mudah menghindari beresiko tinggi untuk mengalami kecelakaan
penyakit malaria karena mereka lebih mudah kerja baik itu dari segi kesehatannya maupun
memahami informasi tentang sesuatu hal dari segi fisiknya.
termasuk informasi tentang malaria, karena dia Hasil analisis tentang hubungan pelayanan
lebih bisa membaca. Hal ini karena informasi kesehatan dengan kejadian malaria dapat
yang tersedia lebih banyak ditemukan di media disimpulkan terdapat hubungan yang
leaflet, poster dan penyuluhan langsung dari signifikan antara pelayanan kesehatan dengan
petugas. kejadian malaria dan pekerja tambang emas
Hasil analisis tentang hubungan yang tidak mendapatkan pelayanan kesehatan
keamanan/keselamatan dengan kejadian berpeluang 5 kali untuk mengalami kejadian
malaria menunjukkan terdapat hubungan yang malaria.
signifikan antara keamanan/keselamatan Menurut Kemenkes RI (2009), pelayanan
dengan kejadian malaria pada pekerja tambang kesehatan adalah setiap upaya yang
emas dan pekerja tambang emas dengan diselenggarakan sendiri atau secara bersama-
tingkat keamanan/keselamatan resiko tinggi sama dalam suatu organisasi untuk
berpeluang 3 kali untuk mengalami kejadian
memelihara dan meningkatkan kesehatan,
malaria. mencegah dan menyembuhkan penyakit serta
Hasil penelitian yang diuraikan di atas memulihkan kesehatan perorangan, keluarga,
menunjukkan bahwa variabel kelompok ataupun masyarakat.
keamanan/keselamatan di tempat kerja Munculnya penyakit malaria selain disebabkan
berhubungan secara signifikan dengan oleh vektor nyamuk anopheles juga
terjadinya malaria pada pekerja tambang emas dipengaruhi oleh pelayanan kesehatan. Faktor
Gunong Ujeun Kecamatan Krueng Sabee pelayanan kesehatan lebih terkait dengan
Kabupaten Aceh Jaya. Bukhari (2007) kinerja pemerintahan. Kesungguhan dan
Keselamatan dan keamanan kerja di dalam keseriusan pemerintah dalam mengelola
suatu pekerjaan baik itu pekerjaan kecil pelayanan kesehatan menjadi penentu
maupun yang besar harus dilakukan sebuah suksesnya faktor pelayanan kesehatan. Kader
upaya untuk meminimalkan resiko bagi orang desa, puskesmas, dan posyandu menjadi ujung
yang melakukan pekerjaan itu sendiri. Tanpa tombak dalam peningkatan status kesehatan
adanya sebuah upaya untuk
masyarakat (Arsin, 2012).
keselamatan/keamanan kerja tersebut, maka

11
 Wijaya, Hermansyah, Yusuf/ Jurnal Ilmu Keperawatan (2017) 5:2

Hasil ini berbeda dengan penelitian dikemukakan oleh Lubis (2009) bahwa faktor
Mirontoneng, 2014, menyatakan bahwa tidak yang berperan dalam menentukan status
ada hubungan antara pelayanan kesehatan kesehatan seseorang adalah tingkat sosial
dengan kejadian malaria (p value = 0,522). ekonomi. Faktor-faktor yang mempengaruhi
tingkat kesehatan antara lain, tersedianya
Berdasarkan hasil penelitian dan teori di atas,
sarana kesehatan, keadaan lingkungan yang
peneliti berasumsi bahwa keberadaan
memadai dan mutu makanan yang di
pelayanan kesehatan di suatu daerah sangat
konsumsi. Penanganan faktor tersebut harus
diperlukan untuk mencegah dan
dilakukan terarah dan terpadu dengan
menanggulangi segala masalah kesehatan
memperhatikan kondisi sosial ekonomi yang
sehingga derajat kesehatan daerah tersebut
berkaitan. Keadaan faktor sosial ekonomi juga
dapat meningkat. Dalam hal preventif dan
berpengaruh dalam memanfaatkan fasilitas
promotif pelayanan kesehatan akan
kesehatan yang tersedia, seperti pendidikan,
memberikan informasi dan bekerja sama
pekerjaan dan tingkat pendapatan yang
dengan masyarakat dalam mencegah
diperoleh oleh rumah tangga.
munculnya agent-agent penyakit, baik itu
Anopheles dan lain sebagainya. Hasil penelitian ini juga sejalan dengan
penelitian yang dilakukan oleh Sir, Arsine,
Hasil penelitian ini juga menunjukkan bahwa
Syam dan Despitasari (2014) menunjukkan
terdapat hubungan yang signifikan antara
bahwa pendidikan (p=0,017), penghasilan
status ekonomi dengan kejadian malaria pada
(p=0,007) berhubungan dengan kejadian
pekerja tambang emas Gunong Ujeun
malaria.
Kecamatan Krueng Sabee Kabupaten Aceh
Jaya dan tingkat ekonomi yang rendah Berdasarkan hasil penelitian dan teori di atas
berpeluang 4 kali untuk mengalami kejadian peneliti berasumsi bahwa penghasilan yang
malaria. rendah akan berpengaruh terhadap kebutuhan
hidup, termasuk kebutuhan kesehatan untuk
Ekonomi yang dimaksud dalam penelitian ini
memperoleh pelayanan kesehatan dan
adalah pendapatan pendapatan pekerja
konsumsi makanan yang bergizi. Responden
tambang emas ditambah dengan pendapatan
yang mempunyai penghasilan rendah
anggota keluarga lainnya dalam satu bulan
cenderung akan memprioritaskan
termasuk gaji atau upah. Pendapatan keluarga
pendapatannya untuk memenuhi kebutuhan
sangat mempengaruhi pemeliharaan kesehatan
primer dan kurang memperhatikan kebutuhan
dan pemanfaatan fasilitas pelayanan kesehatan
oleh keluarga. Hal ini seperti yang
12
 Wijaya, Hermansyah, Yusuf/ Jurnal Ilmu Keperawatan (2017) 5:2
kesehatan, termasuk dalam penanggulangan
kejadian malaria.
Kesimpulan
Berdasarkan hasil penelitian tentang faktor-
faktor yang berhubungan dengan kejadian
malaria berdasarkan model Community As
Partner pada pekerja tambang emas di
Gunong Ujeun Kecamatan Krueng Sabee
Kabupaten Aceh Jaya tahun 2017 didapatkan
bahwa: Terdapat hubungan antara perumahan,
keadaan/keselamatan, pelayanan kesehatan
dan ekonomi dengan kejadian malaria pada
pekerja tambang emas. Faktor yang paling
dominan mempengaruhi kejadian malaria pada
pekerja tambang emas adalah variabel
pendidikan kesehatan dengann nilai P adalah
0,010 dan nilai odd ratio (OR) sebesar 4,436.
Referensi
Achmadi, U.F. 2008. Manajemen Penyakit
Berbasis Wilayah. Jakarta: Universitas
Indonesia Press.
Dinkes Aceh. 2012. Profil Kesehatan Provinsi
Aceh Tahun 2012. diakses pada
http://www.google.com/url?sa=t&rct=j&
q=&esrc=s&source=web&cd=2&cad=rj
a&uact=8&ved=0CCUQFjAB&url=http
%3A%2F%2Fwww.depkes.go.id%2Fres
ources%2Fdownload%2Fprofil%2FPRO
FIL_KES_PROVINSI_2012%2F01_Pro
fil_Kes_Prov.Aceh_2012.pdf&ei=T8z6
VP7QNoOyuQTWnYDwBg&usg=AFQ
jCNGN6SQOBeWeV-12tP-
WAoyEgqOH_A&bvm=bv.87611401,d.
c2E 7 maret 2015
Dinkes Aceh Jaya. 2012. Profil Dinas
Kesehatan Aceh Jaya. Calang. Dinkes
Aceh Jaya
Harijanto. 2000. Malaria Epidemiologi
Patogenesis Manifestasi Klinis dan
Penanganan. Jakarta. EGC.
Kemenkes. 2009. Pedoman Penatalaksanaan
Kasus Malaria di Indonesia. Jakarta.
Direktorat Pengendalian Penyakit dan
Penyehatan Lingkungan.
Muriuki., H., et,al. 2012. Cross-sectional
Survey of Malaria Prevalence in
Tsunami-Affected Districts of Aceh
Province, Indonesia. Interational
Journal of Emergency Medicine. Diakses
pada
http://www.intjem.com/content/5/1/11
27 Mei 2015
Riskesdas. 2013. Riset Kesehatan Dasar.
Jakarta. Kementrian Kesehatan RI.
Soemirat, J. 2002. Kesehatan Lingkungan.
Shodiana. 2013. Epidemiological Study of
Malaria Among Migrant Workers at
Traditional Tin Mines in Bangka District,
Bangka-Belitung Island Province,
Indonesia. Diakases pada
http://pustaka.unpad.ac.id/wp-
content/uploads/2013/11/Artikel-Cisral-
Shodiana-S2-IKM-Unpad.pdf 15 mei
2015
World Health Organization, 2010. Malaria,
Global and Regional Risk, diakses
pada www.who.int/countries,Geneva
4 Maret 2015
13
Jurnal e-Clinic (eCl), Volume 3, Nomor 1, Januari-April 2015

SURVEI KESEHATAN TENGGOROK PADA MASYARAKAT

PESISIR PANTAI BAHU

1
Gusmanto P. Sanpardi
2
Julied Dehoop
2
Steward K Mengko

1
Kandidat Skripsi Fakultas Kedokteran Universitas Sam Ratulangi Manado
2
Bagian/SMF Telinga Hidung Tenggorok-Bedah Kepala Leher Fakultas Kedokteran
Universitas Sam Ratulangi Manado
Email: gusman_30@yahoo.com

Abstract: Throat health is still a problem in Indonesia. Lack of knowledge and healthy
behavior becomes one of the factors of throat disease, especially pharyngitis and tonsillitis.
Based on epidemiological survey of ENT diseases in 7 provinces (Indonesia) 1994-1996, the
prevalence of chronic tonsillitis at 3.8% was the second highest after acute nasopharyngitis
(4.6 %). Factors predisposing to the onset of chronic pharyngitis and tonsillitis is chronic
stimulation of cigarettes, some types of food, poor oral hygiene, the effects of weather,
physical exhaustion and inadequate treatment of acute tonsillitis. Based on the type of
occupation, farmer, fisherman, and labor who were active daily smoker belonged to the largest
proportion of 44.5% compared to other occupational groups.This study was conducted to
obtain data on throat health survey on coastal village Bahu, Manado.This study used a
descriptive method with a cross sectional design. Overview of each sample throat health by
checking the size, circumstances tonsils, and pharynx.The results of throat health status in
coastal village Bahu, Manado showed that most had normal tonsils and pharynx.
Keywords: health, throat, pharyngitis, tonsillitis

Abstrak: Kesehatan tenggorok masih menjadi masalah di Indonesia. Kurangnya pengetahuan

dan perilaku hidup sehat menjadi salah satu faktor timbulnya penyakit tenggorok terutama
faringitis dan tonsillitis Berdasarkan survei epidemiologi penyakit THT di 7 provinsi
(Indonesia) tahun 1994-1996, prevalensi tonsilitis kronis sebesar 3,8% tertinggi kedua setelah
nasofaring akut (4,6%). Faktor predisposisi timbulnya faringitis dan tonsilitis kronik ialah
rangsangan menahun dari rokok, beberapa jenis makanan, higene mulut yang buruk, pengaruh
cuaca, kelelahan fisik dan pengobatan tonsillitis akut yang tidak adekuat Berdasarkan jenis
pekerjaan, petani/nelayan/buruh merupakan perokok aktif setiap hari yang mempunyai
proporsi terbesar 44,5% dibandingkan kelompok pekerjaan lainnya. Penelitian ini dilakukan
untuk memperoleh data tentang survei kesehatan tenggorokan pada masyarakat pesisir pantai
kelurahan Bahu, Manado. Penelitian ini menggunakan metode deskriptif dengan desain potong
lintang Gambaran kesehatan tenggorokan setiap sampel dilihat dengan memeriksa ukuran,
keadaan-keadaan tonsil, mukosa faring. Pengambilan data dilakukan pada masyarakat pesisir
pantai kelurahan Bahu, Manado. Hasil penelitian ini menunjukkan bahwa gambaran kesehatan
tenggorok masyarakat pesisir pantai kelurahan Bahu, Manado baik. Umumnya masyarakat
memiliki tonsil dan faring yang normal.
Kata kunci: survei kesehatan, pemeriksaan hidung

Kesehatan tenggorok masih menjadi pengetahuan dan perilaku hidup sehat

masalah di Indonesia. Kurangnya menjadi salah satu faktor timbulnya
550
 Sanpardi, Dehoop, Mengko: Survei kesehatan tenggorok...
penyakit tenggorok terutama faringitis dan
tonsillitis. Berdasarkan survei epidemiologi
penyakit THT di 7 provinsi (Indonesia)
tahun 1994-1996, prevalensi tonsilitis
kronis sebesar 3,8% tertinggi kedua setelah
nasofaring akut (4,6%).1,2
Berdasarkan data rekam medis tahun
2010 di RSUP dr. M. Djamil padang bagian
THT-KL sub bagian laring faring
ditemukan tonsilitis sebanyak 465 dari
1110 kunjungan di poliklinik sub bagian
laring faring dan menjalani tonsilektomi
sebanyak 163 kasus, sedangkan jumlah
kunjungan baru penderita tonsilitis kronik
di RS Wahidin Sudirohusodo Makassar
periode Juni 2008-Mei 2009 sebanyak 63
orang.3 Dibandingkan dengan jumlah
kunjungan baru pada periode yang sama,
maka angka ini merupakan 4,7% dari
seluruh jumlah kunjungan baru. Insiden
tonsilitis kronis di RS. Dr. Kariadi
Semarang 23,26%. Sedangkan penelitian
yang dilakukan di Malaysia pada Poli THT
Rumah Sakit Sarawak selama 1 tahun
dijumpai 8.118 pasien, dalam jumlah pen-
derita penyakit tonsilitis kronis menempati
urutan keempat yakni sebanyak 657 (81%)
penderita.2
Faktor predisposisi timbulnya faringitis
dan tonsilitis kronik ialah rangsangan
menahun dari rokok, beberapa jenis
makanan, higene mulut yang buruk,
pengaruh cuaca, kelelahan fisik dan
pengobatan tonsillitis akut yang tidak
adekuat.4,5 Gangguan tonsilitis kronis dapat
menyebar dan menimbulkan komplikasi
melalui perkontinuitatum, hematogen atau
limfogen. Penyebaranperkontinuitatum
dapat menimbulkan rinitis kronis, sinusitis,
dan otitis media. Penyebaran hematogen
atau limfogen dapat menyebabkan endo-
karditis, artritis, miositis, nefritis, uveitis,
iridosiklitis, dermatitis, urtikaria,
furunkulosis, dan pruritus.5
Perilaku hidup sehat sangat
berpengaruh bagi kelangsungan hidup
seseorang. Data Riskesdas untuk perilaku
merokok tercatat bahwa rata-rata batang
rokok yang dihisap perhari penduduk umur
≥ 10 tahun di Indonesia adalah 1, 2, dan 3
batang atau setara satu bungkus. Jumlah
551
rerata batang rokok terbanyak yang dihisap
ditemukan di Bangka Belitung yaitu 18
batang. Proporsi terbanyak perokok aktif
setiap hari pada umur 30-34 tahun sebesar
33,4 persen dimana pada laki-laki lebih
banyak dibandingkan perokok perempuan
yaitu 47,5% banding 1,1%. Berdasarkan
jenis pekerjaan, petani/nelayan/buruh
adalah perokok aktif setiap hari yang
mempunyai proporsi terbesar 44,5%
dibandingkan kelompok pekerjaan
lainnya. Data di atas menunjukkan bahwa
sebagian besar penduduk Indonesia belum
melakukan perilaku hidup sehat dalam
kehidupannya.6
Perilaku atau kebiasaan hidup sehat
masyarakat yang berada di pesisir pantai
masih menjadi masalah yang dapat
menimbulkan penyakit terutama pada
kesehatan tenggorok. Berdasarkan hal
tersebut penulis merasa tertarik untuk
meneliti survei kesehatan tenggorok
masyarakat pesisir pantai di kelurahan
bahu, Manado.
METODE PENELITIAN
Metode penelitian yang digunakan
adalah deskriptif observasional dengan
pendekatan potong lintang. Penelitian
dilakukan pada 8 November 2014 di pesisir
pantai Bahu, Manado. Populasi penelitian
adalah masyarakat pesisir pantai Bahu.
Sampel penelitian adalah masyarakat
pesisir pantai Bahu yang bersedia
mengikuti penelitian.
Penelitian ini dilakukan dengan
memeriksa tenggorok responden secara
langsung. Data hasil pemeriksaan diisi pada
tabel pemeriksaan THT yang telah
disediakan dan diolah dengan
menggunakan Microsoft Word, dan
Microsoft Excel.
HASIL PENELITIAN
Total responden yang mengikuti
penelitian berjumlah 31 orang, terdiri dari
perempuan dengan jumlah 19 orang
(61,3%) dan sisanya laki-laki dengan
jumlah 12 orang (38,7%). Data hasil
pemeriksaan hidung responden yang
didapat sebagai berikut.
Jurnal e-Clinic (eCl), Volume 3, Nomor 1, Januari-April 2015

Tabel 1. Distribusi berdasarkan jenis orang perempuan. Gangguan tenggorok

kelamin. yaitu tonsillitis dan faringitis tidak
dipengaruhi oleh jenis kelamin. Faktor-
Jenis kelamin n %
faktor predisposisi timbulnya tonsillitis
Laki-laki 12 38,7 yaitu rangsangan kronik (rokok dan
Perempuan 19 61,3 makanan), higiene mulut yang buruk,
pengaruh cuaca (udara dingin, lembab,
Tabel 2. Distribusi berdasarkan ukuran tonsil. cuaca yang berubah-ubah), alergi, keadaan
umum (kekurangan gizi, kelelahan fisik),
Ukuran n %
tonsil Kanan Kiri Kanan Kiri pengobatan yang tidak adekuat.
T1 27 27 87,1 87,1 Berdasarkan ukuran tonsil, didapatkan
T2 4 4 12,9 12,9 2 jenis ukuran tonsil yaitu T1 dan T2. T1
T3 0 0 0 0 sebanyak 27 orang dan T2 sebanyak 4
T4 0 0 0 0 orang. Hal ini berarti T1 lebih dominan
daripada T2. Pada ukuran T2 kemungkinan
Tabel 3. Distribusi berdasarkan gambaran terjadi tonsillitis akut bahkan jika dibiarkan
klinis makroskopis tonsil.
dapat mengakibatkan tonsilitis kronik.
Gambaran n % Tonsilitis akut adalah radang akut yang
klinis Kanan Kiri Kanan Kiri disebabkan oleh kuman Streptococcus beta
makroskopis hemolyticus, Streptococcus viridans dan
tonsil Streptococcus pyogenes, dapat juga
Normal 27 26 87,1 83,9 disebabkan oleh virus.
Tidak rata 2 2 6,5 6,5
dan
Berdasarkan gambaran klinis
berkripte makroskopis tonsil, didapatkan perbedaan
melebar keadaan tonsil kanan dan kiri yang tidak
Rata 1 1 3,2 3,2 signifikan. Juga didapatkan keadaan normal
Kripte 1 1 3,2 3,2 tonsil yang dominan. Pada keadaan-
melebar keadaan tonsil kanan normal sebanyak 27
Tidak rata 0 1 0 3,2
orang, tidak rata dan berkripte melebar 2
orang, rata 1 orang, kripte melebar 1 orang.
Tabel 4. Distribusi berdasarkan mukosa faring
Sedangkan pada keadaan-keadaan tonsil
Mukosa n % kiri normal sebanyak 26 orang, tidak rata
faring Kanan Kiri Kanan Kiri dan berkripte melebar 2 orang, rata 1 orang,
Normal 23 23 742 74,2 tidak rata 1 orang, kripte melebar 1 orang.
Hiperemis 1 1 3,2 3,2 Jika tonsil tidak rata dan berkripte melebar
Hipertrofi 7 7 22,6 22,6 kemungkinan tejadi tonsilitis.
BAHASAN Berdasarkan mukosa faring, ditemukan
Penelitian ini dilakukan pada mukosa yang normal dan hiperemis.
masyarakat pesisir pantai Bahu, Manado. Mukosa normal 23 orang , yang hiperemis
Jumlah responden 31 orang. Penelitian ini 1 orang, dan hipertrofi 7 orang. Hal ini
menggunakan metode deskriptif. berarti mukosa faring normal responden
Metode deskriptif adalah suatu metode yang lebih dominan. Mukosa faring normal
yang berfungsi untuk mendeskripsikan atau kanan dan kiri sebanyak 23orang, yang
memberi gambaran terhadap objek yang hipertrofi 7 orang, dan yang hiperemis 1
diteliti melalui data atau sampel yang telah orang. Kemungkinan jika faring hiperemis
terkumpul sebagaimana adanya tanpa terjadi faringitis.Kemungkinan jika terjadi
menggunakan analisis dan membuat hipertrofi, dapat juga terjadi faringitis.
kesimpulan yang berlaku untuk umum.7 Faringitis adalah suatu infeksi akut mukosa
Berdasarkan karasteristik jenis kelamin dan struktur limfe faring yang biasanya
responden masyarakat pesisir pantai bahu, disertai rinitis akut. Faringitis akut dapat
Manado, terdapat 12 orang laki-laki dan 19 mengakibatkan rasa sakit pada
552
 Sanpardi, Dehoop, Mengko: Survei kesehatan tenggorok...
tenggorokan, perasaan yang tidak nyaman,
nyeri atau rasa gatal pada tenggorokan.9
SIMPULAN
Survei kesehatan tenggorok yang
dilakukan pada masyarakat pesisir pantai
Bahu meliputi pemeriksaan ukuran tonsil,
gambaran klinis makroskopis tonsil, dan
mukosa faring. Sebagian besar responden
yang diperiksa pada survei kesehatan
tenggorok memiliki hasil normal.
SARAN
Disarankan untuk melakukan
penyuluhan kesehatan telinga, hidung, dan
tenggorok kepada masyarakat pesisir pantai
untuk meningkatkan kesehatan telinga,
hidung, dan tenggorok pada masyarakat
pesisir pantai dan masyarakat perlu
meningkatkan pola hidup sehat sehingga
masyarakat tidak mengalami gangguan
tenggorok.
DAFTAR PUSTAKA
1. Farokah. 2005. Laporan Penelitian:
Hubungan Tonsilitis Kronik dengan
Presentasi Belajar Siswa Kelas II
sekolah dasar di Kota Semarang.
Availabe from:
http://eprints.undip.ac.id/12393/1/200
5FK3602.pdf
2. Mindarti F, Rahardjo, S.P, Kondrat L,
The Relationship Between Titer of
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Anti Streptolisin O and Clinical
Symptoms In Patient With Chronic
Tonsilitis. Jurnal, 2010 Fakultas
Kedokteran Universitas Hasanuddin
Makasar.
3. Sakka Indo, Sedjawidada Raden, Kodrat
Linda, Rahardjo Pratiwi Surti.
Laporan Penelitia: Kadar
Imunoglobullin A sekretori pada
pemderita tonsilitis kronik sebelum
dan sesudah tonseloktomi. Fakultas
Kedokteran Universitas Hasanuddin
Makasar.
4. Soepardi, E A dan Nurbaiti Iskandar,
Jonny Bashiruddin, Restuti, R. D,
Buku Ajar Ilmu Kesehatan Telinga-
Hidung-Tenggorokan-Kepala Leher,
6th Ed, Fakultas Kedokteran
Universitas Indonesia, Jakarta, 2007:
221.
5. Snell.Buku Ajar I lmu Anatomi Klinik. Jilid
I .Penerbit Buku Kedokteran EGC.
Jakarta:2001.
6. Riskesdes. Riset Kesehatan Dasar, Laporan
Nasional Riskesdes 2013. Badan
Penelitian dan Pengembangan
Kesehatan Republik Indonesia.
7. Sugiyono, Metode penelitian pendidikan
pendekatan kuantitatif, kualitatif, dan
r&g. Bandung: Alfabeta
Bandung,2009.
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Jurnal e-Biomedik (eBm), Volume 3, Nomor 1, Januari-April 2015

GAMBARAN KADAR KOLESTEROL LOW DENSITY LIPOPROTEIN

(LDL) PADA MASYARAKAT PEROKOK DI PESISIR PANTAI

1
Aji M. Sanhia
2
Damajanty H. C. Pangemanan
2
Joice N. A. Engka

1
Kandidat Skripsi Fakultas Kedokteran Universitas Sam Ratulangi Manado
2
Bagian Fisiologi Fakultas Kedokteran Universitas Sam Ratulangi Manado
Email: Ajimuftisanhia2@yahoo.com

Abstract: Low Density Lipoprotein (LDL) is a type of lipoprotein that transports cholesterol
most widely in the body. Smoking is one of the factors that can cause elevated levels of LDL
cholesterol, which nicotine is one element in cigarettes cathecolamine that stimulates
secretion, increases lipolysis, and also increases free fatty acids. Excessive levels of LDL
cholesterol in the blood will increase the risk of cholesterol buildup in the arteries, followed by
atherosclerosis. This study aimed to describe the levels of LDL cholesterol in seashores
community smoker. This was a descriptive analysis with a cross sectional design. Samples in
this study were 40 people. The results showed that the mean LDL cholesterol level of 40
samples was 132.93 mg / dl which 24 sample (60%) was at the above the borderline threshold.
There was no subject with high LDL level. Conclusion: There was an increase in LDL level
in smokers who lived in seashores.
Keywords: low density lipoprotein (LDL), smokers.

Abstrak: Low Density Lipoprotein (LDL) merupakan jenis lipoprotein yang paling banyak
mengangkut kolesterol di dalam tubuh. Merokok merupakan salah satu faktor yang dapat
menyebabkan terjadinya peningkatan kadar kolesterol LDL, dimana nikotin yang merupakan
salah satu unsur pada rokok merangsang sekresi katakolamin, meningkatkan lipolisis, dan
meningkatkan asam lemak bebas. Kadar kolesterol LDL yang berlebihan dalam darah akan
meningkatkan resiko penumpukan kolesterol pada dinding pembuluh darah arteri yang diikuti
dengan terjadinya aterosklerosis. Penelitian ini bertujuan untuk mengetahui gambaran kadar
kolesterol LDL pada masyarakat di pesisir pantai. Penelitian yang digunakan bersifat
deskriptif analisis dengan rancangan Cross Sectional Study. Sampel dalam penelitian ini
berjumlah 40 orang yang sesuai kriteria inklusi dan bersedia menjadi responden. Hasil
penelitian memperlihatkan tingkat kolesterol LDL rata-rata pada 40 sampel ialah 132,93
mg/dl, dengan 24 sampel (60%) berada di atas ambang batas dan sisanya memiliki kadar LDL
di bawah ambang batas. Simpulan: Terdapat peningkatan kadar LDL pada perokok yang
tinggal di pesisir pantai.
Kata kunci: low density lipoprotein (LDL), perokok.

Kolesterol merupakan lipid amfipatik unsur ini segera mengimbangi unsur

membentuk komponen struktural esensial
yang terdapat pada lapisan eksternal
membran sel dan merupakan lipoprotein
plasma. Lipoprotein mengangkut kolesterol
bebas di dalam sirkulasi darah, tempat
460
kolesterol pada lipoprotein lainnya dan
membran sel. Empat kelompok utama
lipoprotein telah berhasil diketahui yaitu
Trigleserida, Very Low Density Lipoprotein
(VLDL), Low Density Lipoprotein (LDL),
 Sanhia, Pangemanan, Engka: Gambaran kadar kolesterol...
High Density Lipoprotein (HDL).1
Kolesterol dapat ditemukan dari
berbagai makanan seperti daging sapi,
kambing, babi, ayam, dan ikan. Kolesterol
sangat diperlukan untuk berbagai macam
fungsi, seperti dalam pembuatan hormone,
membentuk dinding sel dan lain-lain.2
Sekitar separuh kolesterol tubuh dibuat
oleh tubuh sendiri dan sisanya diperoleh
dari makanan yang kita makan sehari-hari.
Hepar dan usus masing-masing menghasil-
kan sekitar 10% dari sintesis total pada
manusia. Hampir semua jaringan yang
memiliki sel berinti dapat membentuk
kolesterol, yang berlangsung di retikulum
endoplasma dan sitosol.3
Kebiasaan merokok merupakan salah
satu faktor peningkatan kadar kolesterol
dalam darah. Banyak orang yang mengaku
tahu akan dampak buruk merokok bagi
kesehatan, namun mereka tidak mengetahui
bahwa asap rokok dapat meningkatkan
kadar LDL di dalam tubuh mereka. Zat
kimia yang terkandung dalam rokok dapat
meningkatkatkan kadar kolesterol jahat
(LDL) dan menurunkan kadar kolesterol
baik ( HDL) dalam tubuh manusia. Pada
orang-orang yang merokok ditemukan
kadar HDL yang rendah, artinya
pembentukan kolesterol baik yang bertugas
membawa lemak dari jaringan ke hati
menjadi terganggu. Sementara
kebalikannya justru terjadi pada kadar
LDL, dimana pada orang yang merokok
ditemukan kadar LDL yang tinggi, artinya
lemak dari hati justru dibawa kembali ke
jaringan tubuh.
Peningkatan kadar LDL dalam darah
dapat menyebabkan Penyakit Jantung
Koroner (PJK). PJK masih menjadi salah
satu penyakit yang mematikan saat ini,
baik di negara maju ataupun negara
berkembang. Menurut data dari World
Health Organization (WHO), pada tahun
2008 sekitar 17,3 juta atau setara dengan
30% kematian di seluruh dunia disebabkan
oleh penyakit jantung dan pembuluh darah.
Dari angka kematian diatas diperkirakan
7,3 juta disebabkan oleh PJK dan 6,2 juta
disebabkan karena penyakit stroke. Pada
461
tahun 2030 diperkirakan angka kematian
tersebut akan meningkat menjadi 25 juta.4
Di Amerika Serikat setiap tahun
550.000 orang meninggal karena penyakit
ini. Di Eropa diperhitungkan 20.000 –
40.000 orang dari satu juta penduduk
menderita PJK. Survei yang dilakukan
Departemen Kesehatan RI menyatakan
prevalensi PJK di Indonesia dari tahun ke
tahun terus meningkat. Persentase kematian
akibat penyakit jantung dari total angka
kematian menunjukkan peningkatan dari
5,9% pada 1975 menjadi 26,4% pada 2004.
Data yang diperoleh dari Jakarta
Cardiovascular Study pada 2008
memperlihatkan prevalensi infark miokard
pada wanita 4,12% dan 7,6% pada pria,
atau 5,29% secara keseluruhan. Terjadi
peningkatan dibanding tahun 2000 yang
hanya 1,2%. Peningkatan selama 7 tahun
sebesar 4,09% atau rata-rata 0,6% setiap
tahun. 4
Tujuan penelitian ini untuk
mendapatkan gambaran kadar Kolesterol
Low Density Lipoprotein (LDL) pada
masyarakat perokok di pesisir pantai.
METODE PENELITIAN
Jenis penelitian yang digunakan adalah
bersifat deskriptif analisis dengan
rancangan Cross Sectional Study.
Penelitian ini dilaksanakan di pesisir
pantai Malalayang. Pemeriksaan sampel
darah dilakukan di Laboratorium. Populasi
adalah Masyarakat perokok di pesisir Kota
Manado. Pengambilan sampel mengguna-
kan metode purposive sampling. Sampel
ialah bagian dari populasi yaitu masyarakat
perokok berjumlah 40 orang yang ada di
pesisir pantai Malalayang yang memenuhi
kriteria: Laki – laki ≥ 18 tahun, perokok
aktif minimal 1 tahun, banyak rokok
minimal 4-5 batang sehari, penduduk yang
menetap 5 tahun.
Instrumen penelitian yang dipakai
adalah KIT untuk mengukur kadar
kolesterol LDL, jarum suntik, tourniquet,
sampel darah, alcohol, dan reagen untuk
pemeriksaan kadar kolesterol LDL.
Sampel diambil dengan cara
Jurnal e-Biomedik (eBm), Volume 3, Nomor 1, Januari-April 2015
mengambil darah pada pembuluh darah
vena pada lipat siku (fossa cubiti). Setelah
itu sampel darah tersebut di masukkan
kedalam tabung sampel darah untuk di
bawa ke laboratorium pro kita untuk di
periksa kadar LDL dalam darah.
HASIL DAN BAHASAN
Penelitian yang dilakukan pada
masyarakat perokok dipesisir pantai
malalayang yang bertujuan untuk
mengetahui bagaimana gambaran kadar
LDL darah pada masyarakat perokok
dipesisir pantai yang berjenis kelamin laki-
laki dengan usia ≥ 18 tahun dengan jumlah
responden sebanyak 40 orang.
Table 1. Derajat Pengukuran kadar LDL
Klasifikasi Kadar n %
Optimal < 100 3 7,5
Hampir 100-129 13 32.5
Ambang 130 – 159 24 60
Tinggi 160 -189 0 0
Sangattinggi >190 0 0
Total 40 100
Dari Tabel 1 didapatkan kadar LDL
dari 40 orang sampel, klasifikasi paling
banyak berada pada ambang batas atas
yaitu sebanyak 24 orang sampel atau
sebanyak 60% dari total sampel. Klasifikasi
paling sedikit ditemukan ialah kadar LDL
optimal yaitu sebanyak 3 orang atau
sebesar 7,5% dari total sampel. Sebanyak
13 orang sampel yang tersisa berada pada
klasifikasi kadar LDL hampir optimal atau
sebanyak 32,5% dari total sampel.
Penelitian berdasarkan teori bahwa
merokok dapat meningkatkan kadar
kolesterol LDL. Kolesterol adalah steroid
yang terutama dijumpai pada binatang dan
sangat jarang pada tumbuh-tumbuhan.
Kolesterol merupakan makanan utama
manusia dan juga disintesa dalam tubuh,
senyawa ini merupakan makanan prekursor
yang penting dari hormon streoid dan asam
empedu, suatu pengemulsian lemak yang
dikeluarkan ke dalam usus halus. Kadar
kolesterol dalam aliran darah dipengaruhi
462
oleh banyak faktor termasuk diet dan
metabolisme makanan dalam tubuh.
Karbon monoksida (CO) dapat
mengakibatkan terjadinya kekurangan
oksigen dan merusak pembuluh darah
maupun penyempitan sampai pada
penutupan. Rokok mengandung banyak
unsur yang berbahaya, diantaranya adalah
nikotin yang berpengaruh pada kerja
jantung, meningkatkan penggumpalan
darah dan akhirnya meningkatkan kadar
kolesterol LDL darah dan menurunkan
kadar kolesterol HDL darah. Pada perokok,
nikotin dipercaya mengontribusi pada
abnormalitas profil lipid. Efek nikotin,
hampir secara keseluruhan melepaskan
katekolamin, meningkatkan lipolisis, dan
meningkatkan asam lemak bebas. Dengan
meningkatnya asam lemak bebas membuat
produksi kolesterol LDL yang berlebihan
dan dengan produksi LDL yang berlebihan
maka kadar kolesterol HDL darah dengan
sendirinya akan menurun.
Pada penelitian yang dilakukan oleh
Pugalendi KV dan Ramakrishnan S 1991
tentang Blood cholesterol and HDL
cholesterol in smokers, yang dilakukan
pada 24 perokok dengan jenis kelamin
sama ditemukan terjadi penurunan kadar
HDL pada 21 perokok. Mekanisme
peningkatan kolesterol darah adalah
melalui peningkatan asam lemak bebas dari
darah Pada perokok nikotin merangsang
sekresi katekolamin. Hormon ini
meningkatkan FFA oleh lipolisis lemak
jaringan adiposa. FFA yang mencapai hati
diesterifikasi sebagai triasilgliserol dan
ester kolesterol yang disekresikan ke dalam
aliran darah sebagai VLDL yang akan
dikonversi menjadi LDL yang beredar
dalam darah.5
Meningkatnya kadar LDL disebabkan
bahan kimia tertentu yang ditemukan dalam
asap rokok, salah satunya akrolein.
Akrolein dapat merusak HDL sehingga
mengganggu tugas HDL dalam
mengumpulkan kolesterol jahat atau LDL.
Merokok Meningkatkan Kadar LDL
Penurunan kadar HDL memungkinkan
LDL untuk menumpuk dan bergerak bebas
 Sanhia, Pangemanan, Engka: Gambaran kadar kolesterol...

dalam aliran darah. Akrolein memicu kadar kolesterol LDL, ini sesuai dengan
proses yang mengubah struktur molekul penelitian yang di lakukan oleh NS Neki
LDL sehingga membuatnya menjadi tidak tahun 2002 tentang Lipid Profile in
dikenali oleh sistem kekebalan tubuh. Chronic Smokers, yang dilakukan pada 50
Sistem kekebalan tubuh mengeluarkan perokok rokok sehat dan dibandingkan
sel-sel darah putih untuk menyerang LDL, dengan 50 usia yang sehat dan berat badan
yang menyebabkan peradangan dan yang cocok non-obesitas non-perokok
kemudian terakumulasi. Akumulasi ini sebagai kontrol. Subjek dalam kedua
akan menyebabkan penumpukan plak pada kelompok berada di kisaran usia 25-35 thn.
dinding arteri, yang kemudian mengeras Selanjutnya, subjek merokok dengan
seiring berjalannya waktu dan jumlah rokok 11-20 per hari memiliki
menyebabkan aterosklerosis kadar kolesterol HDL (41,2 ± 5,80 mg / dl)
lebih rendah dibandingkan dengan mereka
Tabel 2. Distribusi Kadar LDL Menurut Umur yang merokok 1-10 batang yang memiliki
kadar HDL (44,6 ± 6,09 mg / dl). Temuan
Umur n Rerata Kadar LDL ini menunjukan bahwa merokok mengubah
(mg/dl) profil lipid yang menyebabkan
18 - 22 5 138,69 dyslipidemia pada perokok dan tanda
23 - 27 9 127,02
perubahan lebih banyak didapati pada
28 - 32 12 134,51
33 - 37 8 132,99 perokok dengan jumlah rokok tinggi.
38 - 42 6 133,78 Merokok menyebabkan peningkatan
Total 40 132,93 oksidasi kolesterol LDL yang merupakan
peran kunci pada aterosklerosis. Kadar
Berdasarkan data diatas kelompok kolesterol LDL yang tinggi menyebabkan
umur 18-22 tahun memiliki rerata kadar penurunan kadar kolesterol HDL yang
LDL sebanyak 138,69 mg/dl, sedangkan merupakan preindikator independen dari
pada kelompok umur 23-27 tahun penyakit arteri koroner.6
memiliki rerata 127,02 mg/dl, dengan Berdasarkan data Tabel 4 sampel yang
rerata total sebanyak 132,93 mg/dl. merokok selama 1 tahun memiliki rerata
Sesuai data Tabel 3 sampel yang kadar LDL sebanyak 118.65 mg/dl,
mengkonsumsi rokok ≤10 memiliki rerata sedangkan sampel yang merokok selama 3
kadar LDL sebanyak 123,39 mg/dl, dan tahun memiliki rerata kadar LDL sebanyak
sampel yang mengkonsumsi rokok >20 143.88 mg/dl, dengan rerata total sebanyak
memiliki rerata kadar LDL sebanyak 132.93 mg/dl. Pada penelitian yang
143,65 mg/dl, dengan rerata total 132,93 dilakukan Neal L Benowitz tahun 1997
mg/dl. tentang Cardiovascular Toxicity of
Nicotine: Implications for Nicotine
Tabel 3. Distribusi Kadar LDL Menurut Replacement Therapy.
Jumlah Rokok
Table 4. Distribusi Kadar LDL Menurut Waktu
Jumlah Rokok n Rerata Kadar LDL Merokok
(mg/dl)
Jangka Waktu n Rerata Kadar LDL
≤10 13 123,39 (tahun) (Mg/dl)
11 – 20 13 130,93
1 13 118,65
>20 14 143,65
2 12 134,74
Total 40 132,93 3 15 143,88
Total 40 132,93
Jumlah rokok yang di konsumsi
sampel juga menyebabkan peningkatan Nikotin merupakan salah satu unsur
463
Jurnal e-Biomedik (eBm), Volume 3, Nomor 1, Januari-April 2015
utama dalam rokok. Nikotin menyebabkan
peningkatan kadar trigliserida,
kolesterol,dan VLDL, serta penurunan
kadar HDL. Konsumsi nikotin jangka
panjang dapat meningkatkan kolesterol
LDL dan penurunan kolesterol HDL.
Merokok berhubungan dengan
peningkatan produksi radikal bebas dan
deplesi antioksidan. Radikal bebas
menyebabkan kerusakan oksidatif pada
beberapa makromolekul seperti lipid,
protein, dan DNA, sehingga berperan
penting dalam beberapa penyakit kronis
seperti aterosklerosis dan kanker. HDL
(kolesterol baik) bertanggung jawab
mengumpulkan kelebihan LDL (kolesterol
jahat) dalam aliran darah dan
mengangkutnya kembali ke hati untuk
dibuang. 7
Penelitian oleh Jung-Mun Noh tahun
2012 Changes in the serum Level of High
Density Lipoprotein-cholesterol after
Smoking Cessation among Adult Men,
dengan sampel sebanyak 779 laki-laki usia
25 tahun atau lebih tua yang memiliki
pemeriksaan pemeriksaan kesehatan dua
kali pada tahun 2007 dan tiga tahun
kemudian pada tahun 2010 di pusat
promosi kesehatan Daegu Medical Center.2
Informasi tentang karakteristik umum dan
riwayat merokok dikumpulkan melalui
survei. Mereka yang tidak menyatakan
perilaku yang berhubungan dengan
kesehatan seperti merokok, atau tidak jelas
(307 individu), dikeluarkan. Non-perokok,
mantan abstain (273 individu), orang-orang
dengan penyakit (kanker, diabetes,
penyakit kelenjar tiroid, TB aktif, penyakit
kronis, dan lain-lain) yang mungkin
mempengaruhi berat badan atau lipid profil
dan orang-orang yang memakai obat (15
orang ) dikeluarkan. Jumlah subjek akhir
adalah 184. Di antara sampel, menunjukkan
peningkatan yang signifikan dalam berat
badan setelah tiga tahun khususnya yang
berusia lebih tua, peningkatan berat badan
ini disebabkan karena penumpukan kadar
kolesterol LDL yang tinggi sehingga
menyebabkan penurunan kadar serum
HDL-kolesterol setelah tiga tahun,
464
beberapa penelitian menyatakan bahwa
merokok memfasilitasi sekresi katekolamin
dan secara drastis meningkatkan asam
lemak bebas, yang mengarah ke
peningkatan kolesterol LDL dan penurunan
HDL-kolesterol pada waktu yang sama.8
SIMPULAN
Dari hasil penelitian disimpulkan
bahwa terdapat peningkatan kadar
kolesterol LDL pada perokok yang tinggal
di pesisir pantai.
DAFTAR PUSTAKA
1. Mayes PA. Sintesis, Pengangkutan, dan
Ekskresi Kolesterol. Dalam : Muray
RK, Granneer DK, Mayes PA,
Rodwel VW, Editor. Biokimia
Harper. Edisi ke-25. Alih Bahasa :
Hartono A. Jakarta: EGC; 2001. p.
270-281.
2. Soeharto I. Penyakit Jantung Koroner dan
Serangan Jantung. Edisi ke-2. Jakarta:
Gramedia Pustaka Utama; 2004. p.
63-85.
3. Botham KM, Mayes PA. Sintesis,
Transport, & Ekskresi Kolesterol.
Dalam : Muray RK, Granneer DK,
Rodwel VW, Editor. Biokimia
Harper. Edisi ke-27. Alih Bahasa :
Pendit BU. Jakarta: EGC; 2006. p.
239-249.
4. WHO. Cardio Vascular Disease. 2011.
Available from :
http://www.who.int/mediacentre/facts
heets/fs317/en/index.html Access on :
22 September 2013.
5. Pugalendi KV, Ramakrishnan S. Blood
Cholesterol and HDL Cholesterol in
Cigarette Smokers From :
http://www.ijpp.com/IJPP%20archive
s/1991_35_2/138-140.pdf
6. NS Neki. Lipid Profile in Chronic Smokers
– A Clinical Study. From:
medind.nic.in/jac/t02/i1/jact02i1p51.p
df
7. Neal L, Steven G. Cardiovascular Toxicity
of Nicotine: Implications for Nicotine
Replacement Therapy from :
http://content.onlinejacc.org/article.as
px?articleid=1121737.
8. Jung M, Seock H, Hyun W, Hong S.
Changes in the serum Level of High
 Sanhia, Pangemanan, Engka: Gambaran kadar kolesterol...

Density Lipoprotein-cholesterol after http://www.ncbi.nlm.nih.gov/pmc/arti

Smoking Cessation among Adult cles/PMC3481030/
Men From :

465
Lex Administratum, Vol. III/No. 4/Juni/2015
KEWENANGAN PEMERINTAH DAERAH DALAM
PENGELOLAAN IZIN USAHA PERTAMBANGAN
DI KABUPATEN MINAHASA UTARA1
Oleh : Ida Ayu Eling Purnama Sari2
ABSTRAK
Tujuan dilakukan penelitian ini adalah untuk
mengetahui bagaimana kewenangan
pemerintah daerah dalam pengelolaan izin
usaha pertambangan di Kabupaten Minahasa
Utara dan apakah hambatan yang dihadapi
berkaitan dengan pengelolaan izin usaha
pertambangan dan hubungannya dengan
manfaat atau kontribusinya bagi daerah di
Kabupaten Minahasa Utara. Metodologi
penelitian yang digunakan dalam penelitian ini
adalah menggunakan metodologi penelitian
yuridis normatif, maka dapat disimpulkan yaitu
: 1. kewenangan pemerintah daerah dalam
pengelolaan izin usaha pertambangan di
kabupaten Minahasa Utara tidak lepas dari
pemberlakuan Undang-Undang Nomor 23
Tahun 2004 tentang Pemerintahan Daerah yang
memberikan otonom dengan menitikberatkan
pada asas desentralisasi. Pemberlakuan asas ini
memberikan kekuasaan kepada daerah untuk
menyelenggarakan pemerintahannya dalam
rangka mengurus rumah tangganya sendiri,
yang dibarengi dengan rasa tanggung jawab
oleh masyarakat setempat. Otonomi melalui
desentralisasi bukan diberikan kepada
Pemerintah Daerah, bukan kepada DPRD,
bukan kepada Daerah tetapi kepada
masyarakat setempat. Di dalam
penyelenggaraan otonomi luas urusan
pemerintahan yang diserahkan kepada daerah
jauh lebih banyak apabila dibandingkan dengan
urusan pemerintahan yang telah menjadi
wewenang pemerintah pusat. Kewenangan
pengelolaan pertambangan meliputi perizinan,
penetapan wilayah, maupaun operasional dari
kegiatan pertambangan merupakan
kewenangan pemerintah daerah. 2. Hambatan
yang dihadapi berkaitan dengan pengelolaan
izin usaha pertambangan di kabupaten
Minahasa Utara berkaitan erat dengan hukum
kehutanan, hukum agraria, perpajakan dan
1
Artikel Tesis. Dosen Pembimbing : Dr. Ronny A.
Maramis, SH, MH; Dr. Ralfie Pinasang, SH, MH
2 3
Mahasiswa pada Pascasarjana Universitas Sam Ratulangi,
NIM. 13202108059
12
hukum lingkungan dalam kaitannya dengan
Amdal. Kendala lain dalam pengembangan
industri pertambangan di Tanah Air terutama
soal perizinan di daerah. Masih ada izin yang
tumpang tindih antar daerah dan pusat serta
minimnya ketersediaan infrastruktur.
Kata kunci : Pemerintah daerah, pengelolaan
izin usaha, pertambangan, kabupaten minahasa
utara
A. PENDAHULUAN
Undang-Undang Dasar Negara Republik
Indonesia Tahun 1945 (UUD Negara RI 1945)
dalam Pasal 33 ayat (3) menyebutkan: “Bumi,
air dan kekayaan alam yang terkandung di
dalamnya dikuasai oleh negara dan
dipergunakan untuk sebesar-besar bagi
kemakmuran rakyat”.3 Prinsip yang terkandung
dalam ketentuan UUD Negara RI 1945 ini
mengandung makna kewajiban Pemerintah
sebagai pelaksana kebijakan negara untuk
melakukan pengelolaan dan pemanfaatan
sumber daya alam sebesar-besarnya untuk
kemakmuran rakyat.
Negara Republik Indonesia yang terdiri atas
daerah-daerah kepulauan sangat kaya dengan
sumber daya alamnya dimana tanah dan air
sampai dengan bahan galian pertambangan
yang berupa emas, perak, tembaga, minyak,
batu bara, gas bumi dan lainnya yang perlu
dikelola dengan baik karena merupakan
sumber kekayaan bangsa yang dikuasai Negara
dan hasil pengelolaannya adalah untuk
meningkatkan taraf hidup dan kesejahteraan
seluruh rakyat Indonesia.
Khusus dibidang usaha kegiatan pengelolaan
pertambangan pemerintah telah mengeluarkan
Undang-Undang Nomor 4 Tahun 2009 tentang
Pertambangan Mineral dan Batubara, yang
menggantikan Undang-Undang Nomor 11
Tahun 1967, yang dianggap tidak mampu
mengakomodir perkembangan kegiatan
pertambangan yang terus bermetafora,
misalnya pembagian kewenangan antara
Pemerintah dan pemerintah daerah dalam
kaitannya dengan otonomi daerah, sehingga
diperlukan pembaharuan hukum
pertambangan dari rezim pengaturan yang
lama dalam Undang-Undang Nomor 11 Tahun
Undang-Undang Dasar Negara Republik Indonesia Tahun
1945

1967 ke Undang-Undang yang baru Nomor 4
Tahun 2009.4
Terbitnya Undang-Undang Nomor 22 Tahun
1999 tentang Pemerintahan Daerah yang telah
diubah dengan Undang-Undang Nomor 32
Tahun 2004 diubah lagi dengan Undang-
Undang Nomor 12 Tahun 2008 diubah lagi
dengan Undang-Undang Nomor 23 Tahun 2014
tentang Pemerintahan Daerah. Dan Peraturan
Pemerintah Nomor 25 Tahun 2000 tentang
Kewenangan Pemerintah dan Kewenangan
Provinsi Sebagai Daerah Otonom sebagaimana
diubah dengan Peraturan Pemerintah Nomor
38 Tahun 2004 tentang Pembagian Urusan
Pemerintahan Antara Pemerintah, Pemerintah
Daerah Provinsi, dan Pemerintah Daerah
Kota/Kabupaten, telah memberikan
kewenangan kepada daerah dalam mengelola
sumber daya mineral yang ada di daerahnya
serta mengubah tatanan yang selama ini
berlaku.
Pelaksanaan otonomi daerah berdampak
penting bagi pergeseran paradigma pengaturan
pertambangan mineral dan batubara. Undang-
Undang Nomor 4 Tahun 2009 mengatur secara
rinci terkait kewenangan-kewenangan yang
dimiliki Pemerintah maupun pemerintah
provinsi dan pemerintah kabupatan/kota,
sehingga peningkatan peran pemerintah
daerah diharapkan akan menjadi potensi bagi
peningkatan pendapatan daerah guna
mewujudkan kesejahtaraan umum.
Hal yang sangat penting pula terkait dengan
pemberlakuan Undang-Undang Nomor 4 Tahun
2009, yaitu pengusahaan pertambangan
mineral dan batubara yang berhubungan
dengan upaya investasi disektor ini. Undang-
Undang Nomor 25 Tahun 2007 tentang
Penanaman Modal mengatur bidang usaha
atau jenis yang terbuka dan tertutup bagi
kegiatan penananam modal yang ketentuan
lanjutnya diatur dalam Peraturan Presiden
Nomor 77 Tahun 2007 tentang Daftar Bidang
Usaha Yang Tertutup dengan Persyaratan di
Bidang Penanaman Modal. Dalam Peraturan
Presiden tersebut bidang usaha pertambangan
dapat dilakukan kegiatan investasi dengan
dipersyaratkan kepemilikan modalnya, bidang
usaha yang dipersyaratkan dengan lokasi
4
http://hukumpertambangan.blogspot.com/2012/04/sekt
or-pertambangan-dan-kompleksitas.html#more
Lex Administratum, Vol. III/No. 4/Juni/2015
tertentu, dan bidang usaha yang dipersyaratkan
dengan perizinan khusus.
Terkait pengelolaan usaha pertambangan
dan kewenangan pemerintah dalam
memberikan izin usaha pertambangan, di
Kabupaten Minahasa Utaraatau sering disingkat
Minut yang memiliki pusat pemerintahan dan
ibukota di Airmadidi,terletak di Provinsi
Sulawesi Utara, memiliki sumber daya
pertambangan, dan potensi kekayaan emas
yang besar. Walaupun belum diolah secara
maksimal, namun dalam pengelolaannya tetap
mengacu pada peraturan perundangan yang
berlaku di bidang
pertambangan.5Penyelenggaraan pengelolaan
izin pertambangan di daerah Kabupaten
Minahasa Utara, pemerintah daerah telah
mengaturnya dalam Peraturan Daerah (PERDA)
Kabupaten Minahasa Utara Nomor 26 Tahun
2005 tentang Penyelenggaraan Pengelolaan
Usaha Pertambangan Umum di Minahasa
Utara.67 Peraturan Daerah Nomor 26 Tahun
2005, disusun berdasarkan Undang-Undang
Nomor 11 Tahun 1967 tentang Ketentuan-
Ketentuan Pokok Pertambangan. Dengan
demikian pengelolaan izin pertambangan di
Kabupaten Minahasa Utara sebelum
dikeluarkannya Undang-Undang yang baru
Nomor 24 Tahun 2012 tentang Pelaksanaan
Kegiatan Usaha Pertambangan Mineral dan
Batubara telah didasarkan pada Undang-
Undang Nonor 11 Tahun 1967 dan Peraturan
Daerah tentang Penyelenggaraan Pengelolaan
Usaha Pertambangan Umum di Minahasa Utara
namun dengan dikeluarkannya Undang-Undang
yang baru Nomor 24 Tahun 2012 maka
pengelolaan izin pertambangan di Kabupaten
Minahasa Utara berdasarkan pada Undang-
Undang Nomor 24 Tahun 2012 tentang
Pelaksanaan Kegiatan Usaha Pertambangan
Mineral dan Batubara.8
Izin usaha pengelolaan pertambangan
sebagaimana di atur berdasarkan Peraturan
Pemerintah Nomor 24 Tahun 2012 tentang
Pelaksanaan Kegiatan Usaha Pertambangan
5
http://id.wikipedia.org/wiki/Kabupaten-Minahasa-Utara
7
Data di peroleh dari Dinas Pertambangan Mineral dan
Batubara Kabupaten Minahasa Utara.
8
Ibid.
13
Lex Administratum, Vol. III/No. 4/Juni/2015
Mineral dan Batubara, di dalam Pasal 6, dapat
penulis uraikan sebagai berikut:9
Izin Usaha Pertambangan (IUP) diberikan
oleh Menteri, Gubernur atau Bupati/Walikota
sesuai dengan kewenangannya berdasarkan
permohonan yang diajukan oleh:
a. Badan usaha, baik swasta, BUMN, atau
BUMD;
b. Koperasi; dan
c. Perseorangan, dapat berupa orang
perseorangan, perusahaan firma, atau
perusahaan komanditer.
Badan usaha swasta sebagaimana dimaksud
di atas meliputi:
(a) badan usaha swasta dalam rangka
penanaman modal dalam negeri;
(b) badan usaha swasta dalam rangka
penanaman modal asing.
Ijin Usaha Pertambangan (IUP) yang
diajukan oleh badan usaha swasta dalam
rangka Penanaman Modal Dalam Negeri dan
Asing hanya dapat diberikan oleh Menteri. Ijin
Usaha Pertambangan (IUP) diberikan kepada
Badan Usaha, Koperasi dan perorangan setelah
mendapatkan Wilayah Izin Usaha
Pertambangan (WIUP). Dalam 1 (satu) WIUP
dapat diberikan 1 (satu) atau beberapa IUP.
Pengelolaan usaha pertambangan dengan
investasi penanaman modal baik dalam negeri
maupun luar negeri ini sangat berkaitan erat
dengan berbagai lintas sektor antara lain
berkaitan dengan hukum kehutanan dalam
hubungannya dengan
pemanfaatan/penggunaan kawasan hutan
untuk kepentingan pertambangan, berkaitan
dengan kawasan pesisir jangan sampai merusak
biota laut serta pencarian masyarakat dipesisir,
dan hukum lingkungan hidupberkaitan dengan
reklamasi dalam kegitan pascatambang. Banyak
kali terjadi usaha-usaha yang dilakukan dalam
pengelolaan pertambangan baik secara
perorangan maupun badan usaha
meninggalkan masalah yang baru berkaitan
dengan keadaan lingkungan didaerah
pertambangan dan sekitarnya, masalah
AMDAL, hal ini menyebabkan pemerintah tidak
mudah dalam mengeluarkan izin pengelolaan
pertambangan di wilayah atau daerahnya
9
Lihat Pasal 6 Peraturan Pemerintah Nomor 24 Tahun
2012 tentang Pelaksanaan Kegiatan Usaha Pertambangan
Mineral dan Batubara
14
bahkan seringkali ada pandangan bahwa terlalu
banyak birokrasi dalam pengurusan atau
pegeluaran izin pengelolaan pertambangan.
Karena kesulitan mendapatkan izin pengelolaan
pertambangan sehingga ada kesan
menghambat usaha investor yang akan
menanam modal atau melakukan investasi di
bidang usaha pertambangan. Di sisi lain
pemerintah daerah Kabupaten/Kota dalam hal
ini Bupati tidak sembarangan dan hati-hati
dalam mengeluarkan izin dengan
memperhatikan ketentuan hukum yang berlaku
berkaitan dengan kewenangan yang diberikan
oleh pemerintah kepada pemerintah
Kabupaten/Kota, jangan sampai melewati batas
kewenangannya yang pada akhirnya
menimbulkan persoalan dikemudian hari.
Berdasarkan hal tersebut di atas maka
penulis merasa tertarik untuk melakukan
penelitian dengan judul : “Kewenangan
Pemerintah Daerah Dalam Pengelolaan Izin
Usaha Pertambangan Di Kabupaten Minahasa
Utara”
B. RUMUSAN MASALAH
1. Bagaimanakah kewenangan pemerintah
daerah dalam pengelolaan izin usaha
pertambangan di Kabupaten Minahasa
Utara ?
2. Apakah hambatan yang dihadapi berkaitan
dengan pengelolaan izin usaha
pertambangan dan hubungannya dengan
manfaat atau kontribusinya bagi daerah di
Kabupaten Minahasa Utara?
C. METODE PENELITIAN
Penelitian ini dilaksanakan dan terfokus di
wilayah Pemerintahan Kabupaten Minahasa
Utara berkaitan dengan kewenangan
pemerintah daerah dalam pengelolaan izin
usaha pertambangan di Kabupaten Minahasa
Utara, mengingat terdapatnya sumber daya
alam berupa hasil tambang yang terdapat di
Pulau Bangka, Kecamatan Likupang Timur.
Dalam penulisan ini penulis menggunakan
metode penelitian yuridis normatif. Penelitian
yuridis normative atau pengkajian ilmu hukum
normatif adalah kegiatan untuk menjelaskan
hukum tidak diperlukan dukungan data atau
fakta-fakta sosial, sebab ilmu hukum normatif
tidak mengenal data atau fakta sosial yang

dikenal hanya bahan hukum. Jadi untuk
menjelaskan hukum atau untuk mencari makna
dan memberi nilai akan hukum tersebut hanya
digunakan konsep hukum dan langkah-langkah
yang ditempuh adalah langkah normatif.10
Bertolak dari permasalahan yang di angkat
dalam peneltian ini serta berdasarkan pada
tujuan yang hendak di capai, maka penulis
menggunakan metode penelitian yuridis
normatif dengan data sekunder. Untuk itu
diperlukan bahan-bahan hukum untuk diteliti
seperti: Bahan hukum primair yaitu, Undang-
Undang Dasar Negara Kesatuan Republik
Indonesia Tahun 1945, Undang-Undang Nomor
11 Tahun 1967 tentang Ketentuan-Ketentuan
Pokok Pertambangan, Undang-Undang Nomor
4 Tahun 2009 tentang Pertambangan Mineral
dan Batu Bara, Undang-Undang Nomor 22
Tahun 1999 tentang Pemerintahan Daerah
sebagaimana yang telah diubah oleh Undang-
Undang Nomor 32 Tahun 2004 tentang
Pemerintahan Daerah serta Peraturan
Pemerintah Nomor 25 Tahun 2000 tentang
Kewenangan Pemerintah dan Kewenangan
Provinsi Sebagai Daerah Otonom sebagaimana
diubah dengan Peraturan Pemerintah Nomor
38 Tahun 2004 tentang Pembagian Urusan
Pemerintahan Antara Pemerintah, Pemerintah
Daerah Provinsi, dan Pemerintah Daerah
Kota/Kabupaten, Undang-Undang Nomor 25
Tahun 2007 tentang Penanaman Modal.
Peraturan Pemerintah Nomor 24 Tahun 2012
tentang Pelaksanaan Usaha Kegiatan
Pertambangan Mineral dan Batu Bara,
Peraturan Menteri Energi dan Sumber Daya
Mineral Nomor: 28 Tahun 2009 tentang
Penyelenggaraan Usaha Jasa Pertambangan
Mineral dan Batubara.
HASIL DAN PEMBAHASAN
1. Kewenangan Pemerintah Daerah dalam
Pengelolaan Izin Usaha Pertambangan Di
Kabupaten Minahasa Utara
Keberadaan pembangunan daerah
diarahkan untuk memacu pemerataan
pembangunan dan hasil-hasilnya dalam rangka
meningkatkn kesejahteraan rakyat,
menggalakkan prakarsa dan peran aktif
memasyarakatkan serta meningkatkan
10
Nasution Johan Bahder, 2008, Metode Penelitian Ilmu
Hukum, C.V. Mandar Maju, Bandung, hal.87.
Lex Administratum, Vol. III/No. 4/Juni/2015
pendayagunaan potensi daerah secara optimal
dan terpadu dalam mengisi otonomi daerah
yang nyata, dinamis, serasi bertanggungjawab
serta memperkuat persatuan dan kesatuan
bangsa.11
Kebijakan otonom di tingkat Provinsi,
sebagai wakil pemerintah pusat dengan asas
dekonsentrasi diatur dalam Pasal 9 Undang-
Undang Nomor 22 Tahun 1999 yang diubah
dengan Undang-Undang Nomor 32 Tahun 2004
diubah lagi dengan Undang-Undang Nomor 12
Tahun 2008 diubah lagi dengan Undang-
Undang Nomor 23 Tahun 2014 menyebutkan
bahwa kewenangan provinsi mencakup
kewenangan dalam bidang pemerintahan
tertentu lainnya. Selain itu juga provinsi juga
memiliki kewenangan yang tidak atau belum
dapat dilaksanakan Daerah Kabupaten dan
Daerah Kota.12
Posisi provinsi sebagai daerah otonom,
kewenangan yang dimiliki adalah mencakup
kewenangan dalam bidang pemerintahan yang
dilimpahkan kepada Gubernur sebagai wakil
pemerintah pusat dalam rangka dekonsentrasi.
Pengaturan lebih lanjut mengenai ketentuan ini
ditetapkan dengan Peraturan Pemerintah.
Dalam Peraturan Pemerintah (PP) Nomor 25
Tahun 2000 menggambarkan lebih lanjut
kewenangan yang dimiliki oleh Provinsi
sebanyak 111 kewenangan yang
dikelompokkan dalam 20 bidang, yaitu:13
1. Bidang Pertanian berisi 16 rincian;
2. Bidang Kelautan berisi 5 rincian;
3. Bidang Pertambangan dan energy berisi 5
rincian;
4. Bidang Kehutanan dan Perkebunan berisi 18
rincian;
5. Bidang Perindustrian dan Pertambangan
berisi 3 rincian;
6. Bidang Perkoperasian berisi 1 rincian;
7. Bidang Penanaman Modal berisi 1 rincian;
8. Bidang Ketenagakerjaan berisi 2 rincian;
9. Bidang Kesehatan berisi 5 rincian;
10.Bidang Pendidikan dan Kebudayaan berisi 6
rincian;
11.Bidang Sosial berisi 3 rincian;
12.Bidang Penataan Ruang berisi 2 rincian;
11
Ibid.
12
Romli Lili, Potret Otonomi Daerah dan Wakil Rakyat Di
Tingkat Lokal, Pustaka pelajar, Yogyakarta, 2007, hal. 39.
13
Ibid, hal.40.
15
Lex Administratum, Vol. III/No. 4/Juni/2015
13.Bidang Pemukiman berisi 1 rincian;
14.Bidang Pekerjaan umum berisi 8 rincian;
15.Bidang Perhubungan berisi 13 rincian,
16.Bidang Lingkungan Hidup beriisi 6 rincian;
17.Bidang Politik dalam Negeri dan
Administrasi Publik berisi 9 rincian;
18.Bidang Pengembanagan Otonomi Daerah
berisi 1 rincian;
19.Bidang Perimbangan Keuangan berisi 2
rincian; dan
20.Bidang Hukum dan Perundang-Undangan
berisi 1 rincian.
Kewenangan Kabupaten Kota sebagai
daerah otonom yang diberikan oleh
pemerintah Pusat untuk mengatur dan
mengurus rumah tangganya sendiri. Dalam
memberikan kewenangan atau memberikan
otonomi daerah ini berdasarkan prinsip-prinsip,
yaitu:
1. Memperhatikan aspek demokrasi dan
demokratisasi;
2. Otonomi yang luas, nyata dan bertanggung
jawab;
3. Lebih meningkatkan kemandirian daerah
otonom;
4. Mendekatkan pemerintah dengan rakyat
untuk pelayanan yang maksimal;
5. Penguatan posisi rakyat melalui DPRD;
6. Tidak menggunakan sistem otonomi
bertingkat dimana tidak ada hilarkhi antara
Kabupaten/Kota dengan Provinsi; dan
7. No Mandate without funding.14
Dengan demikian sebagaimana yang telah
diuraikan di atas jelaslah bahwa kewenangan
Kabupaten Kota sebagai daerah otonom yang
diberikan oleh pemerintah Pusat untuk
mengatur dan mengurus rumah tangganya
sendiri, salah satunya adalah berkaitan dengan
pengaturan penyelenggaraan pengelolaan
usaha dibidang pertambangan. Dengan
berdasarkan prinsip otonomi yang luas, nyata
dan bertanggung jawab yang diberikan
pemerintah pusat kepada pemerintah daerah
kabupaten/kota diharapkan dalam pengaturan
penyelenggaran pengelolaan usaha di bidang
pertambangan dapat mempertimbangkan asas-
asas yang ada antara lain adalah asas manfaat,
keadilan dan keseimbangan dimana dalam
pengelolaan sumber daya mineral dan batubara
14
Ibid, hal.41
16
dapat memberikan manfaat dan kesejahteraan
bagi masyarakat banyak, memberikan hak yang
sama rata bagi masyarakat banyak serta
memberikan kedudukan yang setara dan
seimbang antara pemberi izin dan dengan
pemegang izin di bidang pengelolaan
pertambangan.
Pengaturan wilayah pertambangan ini diatur
dalam Pasal 9 sampai dengan Pasal 33 Undang-
Undang Nomor 4 Tahun 2009 tentang
Pertambangan Mineral dan batubara.
Dalam Pasal 9 sampai dengan Pasal 33
mengatur 3 hal penting yaitu:
a. Penetapan wilayah pertambangan;
b. Penggolongan wilayah pertambangan; dan
c. Kriteria yang digunakan dalam penetapan
wilayah pertambangan.
Selanjutnya di dalam Peraturan Pemerintah
Nomor 22 Tahun 2010 tentang Wilayah
Pertambangan, Peraturan Pemerintah ini
merupakan ketentuan yang secara khusus
mengatur tentang wilayah pertambangan.
Peraturan Pemerintah ini terdiri atas enam bab
dan 41 Pasal. Ada tiga hal penting yang diatur
dalam Peraturan Pemerintah Nomor 22 Tahun
2010 tentang Wilayah Pertambangan yang
meliputi:
1. Perencanaan wilayah pertambangan;
2. penetapan wilayah pertambangan;dan
3. data dan informasi.
Perencanaan wilayah pertambangan,
merupakan proses perbuatan atau cara
merencanakan wilayah pertambangan disusun
melalui tahapan-tahapan (1) inventarisasi
potensi pertambangan, (2) Penyusunan
rencana Wilayah Pertambangan (WP).15 Tujuan
inventasrisasi potensi pertambangan yaitu
untuk mengumpulkan data dan informasi
potensi pertambangan yang dapat digunakan
sebagai dasar penyusunan rencana penetapan
Wilayah pertambangan (WP). Potensi
pertambangan dikelompokan atas:
1. Pertambangan mineral dan
2. Pertambangan batubara.
Pertambangan mineral dan batubara
dikelompokkan ke dalam lima golongan
komoditas tambang, yaitu:
1. Mineral radiaktif;
2. Mineral logam;
15
Lihat Pasal 3 Peraturan Pemerintah Nomor 22 Tahun
2010 tentang Wilayah Pertambangan.
 Lex Administratum, Vol. III/No. 4/Juni/2015

3. Mineral bukan logam; Menteri, gubernur, dan bupati/walikota sesuai

4. Batuan; dan dengan kewenangannya.
5. Batubara. Walaupun Menteri atau Gubernur diberi
Inventarisasi potensi pertambangan kewenangan untuk melakukan penyelidikan
dilakukan melalui kegiatan penyelidikan dan dan penelitian pertambangan namun Menteri
penelitian pertambangan. Penyelidikan dan atau Gubernur dapat memberikan penugasan
penelitian pertambangan dilakukan untuk kepada lembaga riset daerah dan atau lembaga
memperoleh data dan informasi. Data dan riset Negara dapat melakukan kerja sama
informasi memuat: dengan lembaga riset asing setelah mendapat
1) formasi batuan pembawa mineral logam persetujuan dari Menteri sesuai dengan
dan/atau batubara; ketentuan peraturan perundang-undangan.
2) data geologi hasil evaluasi dari kegiatan Penugasan dilakukan untuk menunjang
pertambangan yang sedang berlangsung, penyiapan Wilayah Pertambangan (WP) dan
telah berakhir, dan/atau telah dikembalikan pengembangan ilmu pengetahuan dan
kepada Menteri, Gubernur, atau tekhnologi pertambangan.17
Bupati/Walikota sesuai dengan
kewenangannya; 2. Hambatan Yang Dihadapi Berkaitan Dengan
3) Data perizinan hasil inventarisasi terhadap Pengelolaan Izin Usaha Pertambangan dan
perizinan yang masih berlaku, yang sudah Hubungannya dengan Manfaat atau
berakhir, dan/atau yang sudah dikembalikan Kontribusinya Bagi Daerah Di Kabupaten
kepada menteri, Gubernur, atau Minahasa Utara
bupati/walikota sesuai dengan Hukum merupakan suatu sistem artinya
kewenangannya; dan/atau ketentuan hukum yang satu berkaitan dengan
4) Interprestasi penginderaan jauh baik berupa hukum yang lain. begitu juga dengan hukum
pola struktur maupun sebaran litologi. pertambangan mempunyai hubungan dengan
Penyelidikan dan penelitian pertambangan yang lain seperti hukum agragria, hukum
dilakukan oleh: lingkungan, hukum kehutanan dan hukum
1. Menteri untuk penyelidikan dan pajak.18
penelitian pada wilayah: a. Hubungan antara hukum pertambangan
a. lintas wilayah provinsi; dengan hukum agraria.
b. laut dengan jarak lebih dari 12 (dua Di dalam kaitannya dengan hukum agraria
belas) mil dari garis pantai; dan/atau sangat serta kaitannya dengan pemanfaatan
c. berbatasan langsung dengan Negara tanah untuk kepentingan pertambangan, baik
lain; bagi perorangan maupun badan hukum yang
2. Gubernur untuk penyelidkan dan akan melakukan penambangan pada wilayah
penelitian pada wilayah: pertambangan yang harus diketahui lebih awal
a. lintas wilayah kabupaten/kota; adalah mengenai status hukum tanah yang
dan/atau akan digunakan, apakah status tanahnya hak
b. laut dengan jarak 4 (empat) sampai milik, hak guna usaha, hak guna bangunan, hak
dengan 12 (dua belas) mil dari garis pakai dan atau tanah Negara.
pantai; b. Hubungan antara Hukum Pertambangan
3. Bupati/walikota untuk penyelidikan dan dengan Hukum Kehutanan.
penelitian pada wilayah: Hukum pertambangan mempunyai
a. kabupaten/kota; dan/atau hubungan yang sangat erat dengan hukum
b. laut sampai dengan 4 (empat mil dari kehutanan. Hubungan ini erat kaitannya
garis pantai.16 dengan pemanfaatan/penggunaan kawasan
Penyelidikan dan penelitian pertambangan hutan untuk kepentingan pertambangan. Dari
dilaksanakan secara terkoordinasi oleh

17
Ibid, hal.80
18
Loc cit, Salim, HS.H, Hukum Pertambangan Di Indonesia,
16
Ibid hal.25.

17
Lex Administratum, Vol. III/No. 4/Juni/2015
aspek fungsinya, hutan dapat dibagi menjadi
empat macam yaitu:19
c. hutan konservasi;
d. hutan lindung;
e. hutan berdasarkan tujuan khusus;
f. hutan berdasarkan pengaturan iklim
mikro, estetika dan resapan air (Pasal 7
Unang-Undang Nomor 41 Tahun 1999
tentang Kehutanan)
Pada prinsipnya penggunaan kawasan hutan
harus sesuai dengan fungsi dan peruntukannya.
Akan tetapi tidak tertutup kemungkinan
penggunaan kawasan yang menyimpang
dengan fungsi dan peruntukannya dengan ada
persetujuan dari Menteri Kehutanan.
Di dalam Pasal 38 ayat (1) Undang-Undang
Nomor 41 Tahun 1999 tentang Kehutanan
berbunyi sebagai berikut:20
(1) Penggunaan kawasana hutan untuk
kepentingan pembangunan di luar
kegiatan kehutanan hanya dapat
dilakukan di dalam kawasan hutan
produksi dan kawasan hutan lindung;
(2) Penggunaan kawasan sebagaimana yang
dimaksud pada ayat (1) dapat dilakukan
tanpa mengubah fungsi pokok kawasan
hutan.
g. Hubungan antara Hukum pertambangan
dengan Hukum Lingkungan.
Hukum pertambangan mempunyai
hubungan yang sangat erat dengan hukum
lingkungan karena setiap usaha pertambangan
apakah itu berkaitan dengan
pertambanganumum maupun pertambangan
minyak dan gas bumi diwajibkan untuk
memelihara kelangsungan daya dukung dan
daya tampung lingungan hidup. Hal ini, lazim
disebut dengan pelestarian fungsi lingkungan
hidup, setiap perusahaan yang bergerak dalam
berbagai bidang kegiatan khususnya di bidang
pertambangan diwajibkan untuk melakukan
hal-hal berikut:
a. Perusahaan wajib memiliki analisis
mengenai dampak lingkungan hidup (Pasal
15 ayat (1) Undang-Undang Nomor 23 Thun
1997 tentang Pengelolaan Lingkungan
Hidup). Analisis mengenai dampak
lingkungan hidup adalah kajian mengenai
19
Lihat Undang-Undang Nomor 41 Tahun 1999 tentang
Kehutanan.
20
Ibid.
18
dampak lingkungan hidup adalah kajian
mengenai dampak besar dan penting suatu
usaha dan/atau kegiatan yang direncanakan
pada lingkungan hidup yang diperlukan bagi
proses pengambilan keputusan tentang
penyelenggaraan usaha dan/atau kegiatan
(Pasal 1 angka 21 Undang-Undang Nomor 23
Tahun 1997 tentang Pengelolaan
Lingkungan Hidup).
Hal-hal yang dianalisis meliputi:
1) iklim dan kualitas udara;
2) fisiologi dan geologi;
3) hidrologi dan kualitas air;
4) ruang, lahan dan tanah;
5) flora dan fauna;
6) sosial (demografi, ekonomi, social
budaya) dan kesehatan masyarakat.
b. Perusahaan wajib melakukan pengelolaan
limbah hasil usaha dan/atau kegiatan.
Penanggung jawab usaha dapat
menyerahkan pengelolaan limbahnya
kepada pihak lain. (Pasal 16 Undang-Undang
Nomor 23 Tahun 1997 tentang Pengelolaan
Lingkungan hidup).
c. Perusahaan wajib melakukan pengelolaan
bahan berbahaya dan beracun pengelolaan
bahan berbahaya dan beracun meliputi:
menghasilkan, mengangkut, mengedarkan,
menyimpan, menggunakan dan/atau
membuang (Pasal 17 Undang-Undang
Nomor 23 Tahun 1997 tentang Pengelolaan
Lingkungan Hidup).
Disamping kewajiban iitu perusahaan
pertambangan juga di larang:
a. melarang baku mutu dan riteria baku
kerusakan lingkungan hidup; dan
b. melakukan impor limbah berbahaya dan
beracun (Pasal 14 ayat (1) dan Pasal 21
Undang-Undang Nomor 23 Tahun 1997
tentang Pengelolaan Lingkungan Hidup).
c. Hubungan antara Hukum Pertambangan
dan Hukum Pajak.
Hukum pertambangan mempunyai
hubungan yang sangat erat dengan hukum
pajak. Hukum pajak merupakan kaidah hukum
yang mengkaji dan menelaah tentang obyek,
subyek dan besarnya pajak yang harus dibayar
oleh subyek pajak. Usaha pertambangan sarat
dengan kewajiban untuk membayar pajak. Di
dalam peraturan perundang-undangan maupun
dalam kontrak karya yang dibuat oleh para

pihak telah ditentukan kewajiban untuk
membayar pajak.21
Di dalam Pasal 31 Undang-Undang Nomor
22 Tahun 2001 tentang Minyak dan Gas Bumi
ditentukan dua macam kewajiban Badan Usaha
Tetap yaitu membayar pajak yang merupakan
penerimaan Negara dan membayar bukan
pajak yang merupakan penerimaan Negara.
Hukum pertambangan mempunyai hubungan
yang sangat erat dengan hukum pajak karena
setiap kegiatan usaha pertambangan selalu
diikuti dengankewajiban pembayaran pajak.
Bagi perusahan pertambangan yang tidak
melakukan pembayaran pajak, perusahaan
bersangkutan dapat diberikan somasi dan
apabila somasi itu tidak dapat diidahkannya
hubungan hukum antara keduanya dapat
dibatalkan oleh pihak pemerintah.22
PENUTUP
1. Kesimpulan
a. Kewenangan pemerintah daerah dalam
pengelolaan izin usaha pertambangan di
kabupaten Minahasa Utara tidak lepas
dari pemberlakuan Undang-Undang
Nomor 23 Tahun 2004 tentang
Pemerintahan Daerah yang memberikan
otonom dengan menitikberatkan pada
asas desentralisasi. Pemberlakuan asas
ini memberikan kekuasaan kepada
daerah untuk menyelenggarakan
pemerintahannya dalam rangka
mengurus rumah tangganya sendiri, yang
dibarengi dengan rasa tanggung jawab
oleh masyarakat setempat. Otonomi
melalui desentralisasi bukan diberikan
kepada Pemerintah Daerah, bukan
kepada DPRD, bukan kepada Daerah
tetapi kepada masyarakat setempat. Di
dalam penyelenggaraan otonomi luas
urusan pemerintahan yang diserahkan
kepada daerah jauh lebih banyak apabila
dibandingkan dengan urusan
pemerintahan yang telah menjadi
wewenang pemerintah pusat.
Kewenangan pengelolaan pertambangan
meliputi perizinan, penetapan wilayah,
maupaun operasional dari kegiatan
21
Ibid, hal 36.
22
Ibid, hal. 38.
Lex Administratum, Vol. III/No. 4/Juni/2015
pertambangan merupakan kewenangan
pemerintah daerah.
b. Hambatan yang dihadapi berkaitan
dengan pengelolaan izin usaha
pertambangan di kabupaten Minahasa
Utara berkaitan erat dengan hukum
kehutanan, hukum agraria, perpajakan
dan hukum lingkungan dalam kaitannya
dengan Amdal. Kendala lain dalam
pengembangan industri pertambangan di
Tanah Air terutama soal perizinan di
daerah. Masih ada izin yang tumpang
tindih antar daerah dan pusat serta
minimnya ketersediaan infrastruktur.
2. Saran
a. Dengan adanya otonomi daerah dalam
arti luas yang didasarkan pada Undang-
Undang Nomor 23 Tahun 2014 tentang
Pemerintahan Daerah dimana
memberikan kewenangan kepada
pemerintah daerah kabupaten/kota
maka dalam mengeluarkan izin,
pemerintah harus memperhatikan
ketentuan hukum pertambangan dalam
hubungannya dengan lintas sektor antara
lain dibidang hukum agraria berkaitan
dengan pembebasan tanah masyarakat
setempat, dan masalah lingkungan
berkaitan dengan Amdal dan dalam
kaitan dengan ketentuan di wilayah
pesisir.
b. Perlu ada koordinasi antara pemerintah
daerah kabupaten dan pemerintah
propinsi serta pemerintah pusat
berdasarkan kewenangan yang diberikan
sehingga tidak terjadi tumpah tindih dan
menjadi kendala dalam pengeluaran izin
pengelolaan usaha pertambangan.
DAFTAR PUSTAKA
Peraturan Pemerintah Nomor 24 Tahun 2012
tentang Pelaksanaan Kegiatan Usaha
Pertambangan Mineral dan Batubara.
Nasution Johan Bahder, Metode Penelitian Ilmu
Hukum, C.V. Mandar Maju, Bandung, 2008
Romli Lili, Potret Otonomi Daerah dan Wakil Rakyat
Di Tingkat Lokal, Pustaka pelajar, Yogyakarta,
2007
Data di peroleh dari Dinas Pertambangan Mineral
dan Batubara Kabupaten Minahasa Utara.
19
 J O U RN A L OF E N V I RO N M EN TA L S CI EN CE S 84 (2 0 1 9 ) 2 0 5–2 1 8

Available online at www.sciencedirect.com

ScienceDirect
www.elsevier.com/locate/jes

Mercury in aquatic fauna contamination:

A systematic review on its dynamics and potential
health risks

Paloma de Almeida Rodrigues1 , Rafaela Gomes Ferrari1,2 , Luciano Neves dos Santos4 ,
Carlos Adam Conte Junior1,2,3,⁎
1. Molecular and Analytical Laboratory Center, Department of Food Technology, Faculty of Veterinary, Universidade Federal Fluminense,
Niterói, Brazil
2. Chemistry Institute, Food Science Program, Universidade Federal do Rio de Janeiro, Rio de Janeiro, Brazil
3. National Institute of Health Quality Control, Fundaçãeo Oswaldo Cruz, Rio de Janeiro, Brazil
4. Laboratory of Theoretical and Applied Ichthyology, Department of Ecology and Marine Resources, Universidade Federal do Estado do Rio de
Janeiro, Rio de Janeiro, Brazil

AR TIC LE I N FO ABS TR ACT

Article history: Mercury is an important pollutant, released into aquatic ecosystems both naturally and by
Received 10 September 2018 anthropogenic action. This element is transferred to aquatic organisms in different ways,
Revised 21 January 2019 causing potential health risks. In addition, mercury can be accumulated by humans,
Accepted 14 February 2019 especially through the consumption of contaminated food. This systematic review aims to
Available online 28 February 2019 present mercury pathways, the major routes through which this element reaches the
aquatic environment and its transformations until becoming available to living animals,
Keywords: leading to bioaccumulation and biomagnification phenomena. The key biotic and abiotic
Mercury levels factors affecting such processes, the impact of mercury on animal and human health and
Seafood the issue of seafood consumption as a source of chronic mercury contamination are also
Methylmercury addressed. A total of 101 articles were retrieved from a standardized search on three
Public health databases (PubMed, Emabse, and Web of Science), in addition to 28 other studies not found
Aquatic environment on these databases but considered fundamental to this review (totaling 129 articles). Both
biotic and abiotic factors display fundamental importance in mediating mercurial
dynamics, i.e., muscle tropism, and salinity, respectively. Consequently, mercurial
contamination in aquatic environments affects animal health, especially the risk of
extinction species and also on human health, with methylmercury the main mercury
species responsible for acute and chronic symptomatology.
© 2019 The Research Center for Eco-Environmental Sciences, Chinese Academy of Sciences.
Published by Elsevier B.V.

⁎ Corresponding author. E-mail: carlosconte@id.uff.br. (Carlos Adam Conte Junior).

https://doi.org/10.1016/j.jes.2019.02.018
1001-0742 © 2019 The Research Center for Eco-Environmental Sciences, Chinese Academy of Sciences. Published by Elsevier B.V.
206 J O U RN A L OF E N V I RO N ME N TA L S CI EN CE S 84 (2 0 1 9 ) 2 05–2 1 8

Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
1. Material and methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
1.1. Focus questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
1.2. Information sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
1.3. Risk of bias assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
2. Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
2.1. Mercury bioaccumulation and biomagnification of mercury influence factors . . . . . . . . . . . . . . . . . . 209
2.2. Bioaccumulation and magnification in different tissues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
2.3. Mercury in animal health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
2.4. Dynamics of mercury in the human body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
2.5. Risk of consumption of seafood contaminated by mercury. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
3. Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214

Introduction Mercury is able to accumulate in animal tissues, leading to

Aquatic systems comprise a complex network of relationships
between biotic and abiotic factors, each playing a fundamental
role in the food web organization (or structure). In this sense,
one of the most important concerns regarding the ecolog-
ical integrity of aquatic environments is contamination by
toxic elements, especially Mercury (Hg). This non-essential
metal is extremely toxic and widespread through aquatic
ecosystems. Its presence occurs both due to natural causes,
such as weathering, atmospheric volcano emanations, conti-
nental degasification and Hg evasion from the oceans, as well
asanthropological drivers, such as mining, chlor-alkali indus-
try, paint factory and metallurgical activities, dental residues
and mineral coal burning of (Azevedo et al., 2011, 2012;
Balshaw et al., 2007; Condini et al., 2017; Delgado-Alvarez
et al., 2014; Díez, 2009; Harayashiki et al., 2018; Hintelmann,
2010; Hosseni et al., 2013; Hutcheson et al., 2014; Kojadinovic
et al., 2006; Murphy et al., 2007; Onsanit and Wang, 2011; Ruus
et al., 2015; Sadhu et al., 2015; Ward et al., 2010).
Mercury may occur in three forms in nature, such as
elemental mercury (Hg0); inorganic mercury, mainly in the
form of mercuric (HgCl2, HgS) and mercurous (Hg2Cl2) salts; and
organic forms, such as ethyl (C2H5Hg+) and methylmercury
[(CH3Hg)+] (Azevedo et al., 2011; Balshaw et al., 2007; Bjørklund
et al., 2017; Díez, 2009; Hong et al., 2012;Rice et al., 2014;
Sunderland and Selin, 2013). Elemental mercury is liquid at
room temperature and highly volatile, often released as a vapor
into the atmosphere. As a result, it may be transported over
large distances, and deposited and sedimented, either directly
or through rainfall in the oceans (Bjørklund et al., 2017; Park and
Zheng, 2012; Rice et al., 2014; Sadhu et al., 2015; Sunderland and
Selin, 2013). Elementary mercury may also undergo oxidative
processes, in addition to combining with elements such as
chlorine, sulfur or oxygen, thus becoming inorganic mercury.
The, ethylation process can change inorganic mercury to its
organic form (Fig. 1) (Bjørklund et al., 2017; Hintelmann, 2010;
Hong et al., 2012; Murphy et al., 2007; Park and Zheng, 2012; Rice
et al., 2014; Sadhu et al., 2015; Sevillano-Morales et al., 2015;
Sunderland and Selin, 2013).
the phenomenon of bioaccumulation. Its concentrations may
increase throughout high trophic levels, with animals at the
top of the food web presenting higher concentrations than
those in lower trophic levels. This trophic biomagnification
phenomenon occurs because the organic form of mercury,
Methylmercury (MeHg), is more bioavailable than other forms,
and is quickly absorbed and slowly excreted. In aquatic
animals, this absorption occurs through branchial respiration
and, mainly, feeding (Arcagni et al., 2018; Azevedo et al., 2011,
2012; Belger and Forsberg, 2006; Chen et al., 2018; Díez, 2009;
Hintelmann, 2010; Ruus et al., 2017; Mallory et al., 2018;
Panichev and Panicheva, 2014; Rice et al., 2014; Ruus et al.,
2015; Sevillano-Morales et al., 2015; Taylor and Calabrese,
2018; Voegborlo et al., 2011; Ward et al., 2010; Zhang et al.,
2012; Zmozinski et al., 2014). As aquatic biota presents a direct
relationship with the environment, MeHg can be used as a
bioindicator of the presence of mercury (Condini et al., 2017;
Kehrig et al., 2011; Taylor and Calabrese, 2018). The persis-
tence of this metal in the aquatic environment affects both
animal and human health (Dadar et al., 2016; Díez, 2009; Ha
et al., 2017; Hong et al., 2012; Hutcheson et al., 2014; Ruus et al.,
2017; Murphy et al., 2007; Park and Zheng, 2012; Rice et al.,
2014; Sheehan et al., 2014; Sevillano-Morales et al., 2015;
Taylor and Calabrese, 2018; Zmozinski et al., 2014).
MeHg is generated by the action of sulphate-reducing
anaerobic bacteria that methylate the metal present in the
surface layers of aquatic sediments (Bisi et al., 2012; Evers
et al., 2008; Gilmour and Henry, 1991; Hintelmann, 2010;
Roman et al., 2011; Ruus et al., 2015; Taylor and Calabrese,
2018). Estuarine and coastal environments, due to anthropo-
genic action, undergo accelerated rates of methylation. This is
due to the constant presence of inorganic Hg, favorable abiotic
conditions (e.g., anoxia, high levels of organic material and
sulphates) and active bacterial communities (Chen et al., 2018;
Fitzgerald et al., 2007; Taylor and Calabrese, 2018). In such
favorable conditions, when pellets contaminated with inor-
ganic Hg are resuspended, they are methylated and dissolve
in the water. Aquatic organisms are, thus, highly exposed
to dissolved MeHg, accumulating this contaminant in their
 J O U RN A L OF E N V I RO N M EN TA L S CI EN CE S 84 (2 0 1 9 ) 2 0 5–2 1 8 207

Fig. 1 – Mercury cycle. Mercury can be released by atmospheric volcano emanations, mining, chlor-alkali industry, paint factory
and metallurgical activities, mineral coal burning, and domestic and industrial sewage. Hg° is highly volatile, being released
into the atmosphere as vapor, and being transported over large distances and deposited directly or through rainfall in the
ocean sediment. It may then may undergo oxidative processes (Hg+2), in addition to combining with elements such as chlorine,
sulfur or oxygen, thus becoming inorganic mercury (HgS, HgCl2). Subsequently, the methylation process by the action of
sulphate reducing bacteria gives rise to the organic form of mercury in the sediment (HgCH +3/MeHg).
208 J O U RN A L OF E N V I RO N ME N TA L S CI EN CE S 84 (2 0 1 9 ) 2 05–2 1 8
tissues, and, mainly, in their muscle tissue, the main edible
portion in human consumption (Arcagni et al., 2018; Bisi et al.,
2012; Ruus et al., 2017).
MeHg is considered a potent neurotoxic compound, with
glial cell predilection, inducing oxidative stress and neuroin-
flammation. This can also adversely affect the genome,
reproduction and various body systems in both humans and
animals (Arcagni et al., 2018; Bjørklund et al., 2017; Chen et al.,
2008; Hong et al., 2012; Rasinger et al., 2017; Rice et al., 2014;
Schoeman et al., 2009; Sevillano-Morales et al., 2015; Sheehan
et al., 2014). Therefore, the contamination of aquatic organ-
isms by mercury is of concern both ecologically and in a public
health context (Evers et al., 2008; Ha et al., 2017; Hintelmann,
2010; Hosseni et al., 2013; Hutcheson et al., 2014; Ruus et al.,
2017; Kütter et al., 2009; Mallory et al., 2018; Murata et al., 2011;
Murphy et al., 2007; Sevillano-Morales et al., 2015; Zmozinski
et al., 2014). Mercury, when ingested, is released from the
alimentary matrix into digestive fluids, followed by absorp-
tion by the intestinal epithelium. However, not all released
mercury is absorbed. Thus, the term “bioavailable” refers to
the concentration of the pollutant that is, in fact, ready to be
absorbed. MeHg bioavailability Hg is generally lower than that
of inorganic mercury. Concerning food habits, herbivores,
detritivores, and omnivores display overall less mercury
bioavailability than carnivores (He and Wang, 2011).
The purpose of this systematic review is address the
main issues related to mercury contamination of aquatic
animals, through a refined search carried out on three
research platforms (Embase, PubMed, and Web of Science).
The different mercury forms are evaluated, with focus on
the factors that affect their bioaccumulation and biomagn-
ification, their affinity with different animal tissues, their
effects on animal health, and, finally, the effects of mer-
cury contamination on human health and risks to seafood
consumers.
1. Material and methods
Following four sequential stages, two authors (P.A.R. and
R.G.F.), first conducted the preliminary selection of identified
abstracts and paper titles, independently. Abstracts were then
removed in this initial screening if the papers did not
investigate the association between animal/matrix (seafood)
and the presence of mercury. The search was limited to
English and the date delimitation was set as between 2005
and 2018. Editorials, letters, and Ph.D. theses were excluded.
Some studies considered essential to compose the revision
that was not included in any of the research bases were
added, such as those that address illnesses that mercurial
intoxication causes in human and animals. These articles
were added later and are fundamental, not only because of
the differential content addressed but also because of the
impact of the journal in which they were published. Finally,
regarding the risk of intoxication due to seafood consumption,
studies and legislation concerning this subject were also
added. The results are reported in agreement with the
Preferred Reporting Items for Systematic Review and Meta-
Analyses statement (PRISMA).
1.1. Focus questions
The question was developed according to the population,
intervention, comparison, and outcome (PICO) method. The
following questions were formulated: what are the abiotic and
biotic factors that interfere in mercury bioaccumulation and
bioaccumulation, and how does this occur? Which animal
tissue displays the greatest affinity for the accumulation of
this metal among different aquatic species? How does merc-
ury affect human and aquatic animal health?
1.2. Information sources
A literature search was performed using Medical Subject
Headings (MeSH) terms on the Pubmed, Web of Science, and
Embase databases. The initial screening process was per-
formed from January to April 2018. Further directed searching
was also carried out by checking the reference list of relevant
articles.
Search Component 1 (SC1) – Population search: Seafood Or
Marine fish Or shellfish OR Batrachoidiformes OR catfishes OR
Characiformes OR Cypriniformes OR eels OR Elasmobranchii
OR Esociformes OR flatfishes OR Gadiformes OR hagfishes OR
Osmeriformes OR Perciformes OR bass OR perches OR sea
bream OR tuna OR Salmonidae OR Beloniformes OR Cyprinodo-
ntiformes OR Tetraodontiformes OR Takifugu OR “Aquatic
food Chain.”
Search Component 2 (SC2) – Intervention search: Mercury OR
Methylmercury OR “Organic Mercury.”
After retrieving the Search Component results, the boolean
operator “AND” was used to combine SC1 and SC2.
1.3. Risk of bias assessment
Possible sources of bias include: inclusion/exclusion criteria,
the impact of missing data, missing primary results.
2. Results
A total of 2138 articles were identified at PubMed, 931 at
Embase and 334 at Web of Science, totaling 3403 papers. Of
these, 1069 were duplicates or triplicates and excluded. A total
of 2334 remained after exclusion of repeated papers. After
reading the titles and abstracts, only 101 papers were
adequate for the purpose of the study, since they dealt with
both environmental and animal health aspects, as well as the
risk of mercury contaminated seafood consumption (Fig. 2).
Priority was given mainly to articles that presented differen-
tial information, such as the influence of abiotic factors (e.g.,
the relation of pH, organic matter and climate in the dynamics
of the mercury in the aquatic environment) on mercury
methylation and bioaccumulation and biomagnification pro-
cesses. Most papers dealt with these aspects and discussed
the same topics but did not provide consolidated explanations
or additional information compared to other papers that
deserved attention, so they were discarded. A further 28
articles were added in addition to those found on the research
platforms. Some of these documents were used to fill in the
 J O U RN A L OF E N V I RO N M EN TA L S CI EN CE S 84 (2 0 1 9 ) 2 0 5–2 1 8
Fig. 2 – Flow diagram displaying the results of the literature
search (PubMed, Embase, Web of Science).
lack of explanations of other articles selected in the data-
bases, such as those that addressed the clinical aspects of
mercurial intoxication. Additional documents were included
those that covered the limits allowed by international
authorities regarding the mercury content in seafood and
the tolerable permission for weekly intake.
2.1. Mercury bioaccumulation and biomagnification of mer-
cury influence factors
The greatest concern about mercury in seafood is related to
the presence of methylmercury. This compound, in addition
to bioaccumulating in human and animal tissues, also
undergoes biomagnification processes, thus increasing thus
concentrations in animals belonging to higher trophic levels
(Ando et al., 2010; Auger et al., 2005; Azevedo et al., 2012;
Ruus et al., 2017; Panichev and Panicheva, 2014; Sadhu et al.,
2015; Sevillano-Morales et al., 2015; Taylor and Calabrese,
2018). Bioaccumulation and biomagnification processes can
be affected by both biotic and abiotic and ecological factors,
such as age, size, sex, growth rate, trophic position, food web
size, population density, position in the water column, water
pH, organic matter richness, oxygen saturation, salinity and
temperature (Arcagni et al., 2018; Boyd et al., 2017; Chasar
et al., 2009; Chen et al., 2018, 2014; Chouvelon et al., 2017;
Evers et al., 2008; Henderson et al., 2012; Ruus et al., 2017;
Matulik et al., 2017; Panichev and Panicheva, 2014; Reinhart
et al., 2018; Sadhu et al., 2015; Taylor and Calabrese, 2018;
Tuomola et al., 2008).
In relation to animal size, weight, and age, researchers
indicate that larger and heavier animals tend to bioaccumulate
more mercury than smaller animals, as well as animals who
live longer, which are, consequently, exposed to mercury sou-
rces for longer, thus accumulating more mercury (Belger and
Forsberg, 2006; Bergés-Tiznado et al., 2015; Bosch et al., 2016;
Khoshnamvand et al., 2013; Murphy et al., 2007; Ordiano-
Flores et al., 2011; Pethybridge et al., 2010;Sackett et al., 2013;
209
Sadhu et al., 2015; Sevillano-Morales et al., 2015; Souza-Araujo
et al., 2016; Storelli et al., 2006; Teffer et al., 2014; Tuomola et al.,
2008; Watanabe et al., 2012).
Regarding sex, differences in accumulation of males and
females are expected, mainly due to metabolic differences
and dietary characteristics. It is expected that females, in
order to meet the reproduction demands, would present
higher mercury concentrations due to the increase in food
consumption during the reproductive period (Murphy et al.,
2007). However, several studies indicate no statistical differ-
ence regarding Hg bioaccumulation between sex. Usually, the
difference tends to be related to other factors, such as species.
For example, Madenjian et al. (2011), when studying a trout
species, found that males presented higher Hg concentrations
in relation to females. The researchers, although aware of the
main cause, attributed this difference to the crude growth
rates of a male being higher than in females. However, other
studies report that, in some cases, a certain sex presented a
greater tendency to bioaccumulate Hg, a fact probably related
to animal physiology (Adams and Engel, 2014; Bastos et al.,
2015; Endo et al., 2009; Kojadinovic et al., 2006; Licata et al.,
2005; Murphy et al., 2007; Ordiano-Flores et al., 2011).
Regarding growth rates, Arcagni et al. (2018), carried out a
study in Nahuel Huapi Lake, Patagonia, on different seafood
species with different eating habits. The authors observed
that, due to the low temperature of the lake, the growth rate of
the animals was slower, leading to greater bioaccumulation.
Seafood with accelerated growth rates tend to present less Hg
accumulation since they grow faster than they accumulate Hg,
so a dilution of the concentration of this element with growth
is observed (Arcagni et al., 2018; Dong et al., 2016; Dsikowitzky
et al., 2013).
Climatic conditions can also affect mercury concentra-
tions. Seasonality will influence not only water temperature
and processes, but also alter the centesimal composition of
the animal muscle, the tissue with the highest affinity for Hg.
Among these changes, protein content, to which MeHg is
strongly bound, is the most affected, resulting in shifts in
the concentrations of this element in the animal organism
(Murphy et al., 2007). Metabolism acceleration also leads to
greater mercury excretion and, consequently, decreased
accumulated concentrations (Ando et al., 2010). In contrast,
higher temperatures directly favor mercury methylation proc-
esses in the environment, as well as indirectly, through the
reduction of dissolved oxygen, thus generating a favorable
anoxic environment for this process (Chen et al., 2018;
Murphy et al., 2007; Pack et al., 2014).
Trophic level and food web length are positively correlated,
i.e., the higher the trophic level and the larger the food web,
the greater the biomagnification process (Azevedo-Silva et al.,
2016; Chen et al., 2014; Costa et al., 2008; Dsikowitzky et al.,
2013; Evers et al., 2008; Karouna-Renier et al., 2007; Ruus
et al., 2017; Maggi et al., 2009; Panichev and Panicheva, 2014;
Sadhu et al., 2015; Taylor and Calabrese, 2018; Teffer et al.,
2014). Hg0 and MeHg, formed in the sediments, are primarily
captured directly through benthic infauna gills and by feeding
on sediment deposits. Moreover, mercury can also be
absorbed through the water column by organisms belonging
to different trophic levels, by the advection, diffusion or
desorption of resuspended sediments. Indirectly, mercury
210 J O U RN A L OF E N V I RO N ME N TA L S CI EN CE S 84 (2 0 1 9 ) 2 05–2 1 8
and methylmercury acquisition occur through transfer,
namely predation, between trophic levels (Chen et al., 2014;
Hosseni et al., 2013). However, the efficiency of direct uptake
of the MeHg present in the medium through gills is low,
approximately seven-fold lower than compared to food intake
(Chen et al., 2014). This underscores the importance of
mercury acquisition through the food chain, given that,
among different mercury forms, MeHg is the best acquired
and transferred along trophic levels (Chen et al., 2014). Animal
diet also influences Hg concentrations, with carnivorous
animals presenting higher Hg content than herbivores and
detritivores (Balshaw et al., 2007; Costa et al., 2008; Hosseni
et al., 2013; Ruus et al., 2017; Karouna-Renier et al., 2007;
Panichev and Panicheva, 2014; Rasinger et al., 2017; Sadhu
et al., 2015; Taylor and Calabrese, 2018; Teffer et al., 2014).
In the case of pH, acidic environments are more propitious
for methylation, since Hg will be more bioavailable at lower
pH values, leading to higher absorption by sulfate-reducing
bacteria and, consequently, increased methylation (Dong
et al., 2016; Wang et al., 2010). However, Dong et al. (2016)
reported that advanced demethylation and volatilization
activities of elemental Hg have been observed in this same
acidic pH decreasing the methylation process. These findings
indicate that the relationship between pH and Hg is complex
and still requires further studies. The relationship between
organic matter (OM) and Hg is also complex. Dong et al. (2016)
found that the higher OM content in the sediment, the greater
the methylation since this provides more carbon for sulfate-
reducing bacteria. However, other studies have found that
increases in dissolved water column organic carbon led to
significant inhibition of organic mercury absorption, due to
binding with carbon, leading to the reduction of Hg bioavail-
ability. In contrast, its reduction increases methylmercury
absorption rates up to two-fold. The opposite is also true,
where the reduction of dissolved organic carbon leads to
increases in Hg absorption, but lower methylation rates (Chen
et al., 2014; Pickhardt et al., 2006; Wang and Wang, 2010; Wang
et al., 2010).
Concerning salinity, it is expected that higher salinity
environments will present lower total mercury concentra-
tions. In addition, the methylation process is also reduced in
marine water. This may occur due to the binding of the sulfide
present in the salt water with inorganic mercury, making it
less bioavailable for the methylation process (Reinhart et al.,
2018). High salinity is also assumed to increase the amount of
loaded inorganic mercury species (HgCl−3/HgCl−2 4 ) with respect
to unloaded ones (HgCl2). However, unloaded forms are easier
to diffuse through the plasma membrane and reach bacteria
cytoplasm, where methylation occurs, indicating that lower
salinity environments are more prone to the methylation
process. Salinity may also negatively interfere with the
activity of sulfate-reducing bacteria, due to the increased
sensitivity of some species to salinity (Boyd et al., 2017).
In relation to the position in the water column, New
Zealand researchers observed that oceanic animals, living in
the middle and basal zones, presented higher mercury
content than those in the superficial zone, related to
photoreduction of MeHg in Hg0 occurring on the surface. In
contrast, deep water presents higher decomposition rates and
lower oxygen content, which contributes to methylmercury
production (Sadhu et al., 2015). Further research indicates that
bioaccumulation in pelagic organisms is greater than in
benthic organisms, suggesting that the fact that mercury
persists in the water column may be more important in
determining concentrations in higher trophic levels than
what is acquired at from the sediment. However, the
important role of mercury in sediment plays is undeniable,
indicating the need for further studies on the subject (Chen
et al., 2014; Evers et al., 2008).
2.2. Bioaccumulation and magnification in different tissues
Studies indicate that THg is present almost 100% in the form
of MeHg in animal tissues (Adams and Engel, 2014; Chen et al.,
2008; Costa et al., 2008; Mallory et al., 2018; Onsanit and Wang,
2011; Souza-Araujo et al., 2016; Taylor and Calabrese, 2018;
Wang et al., 2010; Watanabe et al., 2012). THg is distributed by
affinity to certain tissues, particularly in muscle and liver
(Adams and Engel, 2014; Azevedo et al., 2016; Murillo-Cisneros
et al., 2018; Penicaud et al., 2017; Raimundo et al., 2010; Taylor
and Calabrese, 2018; Turnquist et al., 2011).
Regardless of the animal species, several studies have
compared mercury concentrations in muscle tissue to differ-
ent organs, such as liver (Azevedo et al., 2016; Khoshnamvand
et al., 2013; Le et al., 2010; Licata et al., 2005; Mallory et al.,
2018; Murillo-Cisneros et al., 2018; O'Bryhim et al., 2017;
Watanabe et al., 2012), hepatopancreas (Storelli et al., 2010),
kidney, liver and skin (Pethybridge et al., 2010), digestive gland
(Raimundo et al., 2010), shell (Turnquist et al., 2011), kidney,
spleen, heart and epigonal organ (O'Bryhim et al., 2017), brain
(Bastos et al., 2015), gills (Azevedo et al., 2016), ovary and eggs
(Nowosad et al., 2018), and, in the study of Adams and Engel
(2014) to all other tissues of a swimming crab (Callinectes
sapidus). Most studies indicated higher concentrations of this
metal in muscle. However, Turnquist et al. (2011) reported
that, when comparing the shell and muscle tissue of a marine
turtle, the shell presented higher Hg concentrations. The
authors were not able to explain this result but suggested that
the shell captures mercury accumulated over the years, while
muscle mirrors recent contamination. Azevedo et al. (2012)
and Hosseni et al. (2013) identified that Hg concentrations in
fish liver were higher than those found in muscle and gills.
Azevedo et al. (2012) suggested that this finding is related to
the detoxification function of the liver, leading to a higher
elemental turnover and higher Hg concentrations indicating
recent contamination exposure, while muscle tissues could
better represent long-term accumulation. Hosseni et al. (2013)
suggest that higher liver concentrations are related to the
high levels of the protein metallothionein present in this
tissue, which plays a key role in Hg regulation and detoxifi-
cation. This protein contains a high percentage of amino,
nitrogen and sulfur groups that are used to sequester metals.
In their study, the authors propose that lower muscle
concentrations are related to the low concentration of
metallothionein in this tissue, while gills acquire the metal
present in the water.
It is known that muscle tissue presents lower metal
clearance rates compared to other organs such as the liver,
which can explain higher Hg concentrations in this tissue. In
addition, the affinity of mercury for muscle tissue is also
 J O U RN A L OF E N V I RO N M EN TA L S CI EN CE S 84 (2 0 1 9 ) 2 0 5–2 1 8
related to the binding of MeHg to aminoacid thiol ligands that
are, in turn, transported to muscle tissue. The liver, in
contrast, presents high metal clearance rates, considering its
detoxifying role, converting MeHg to less cumulative inor-
ganic forms, and also contains high lipid content, which may
affect tissue accumulation (Murillo-Cisneros et al., 2018;
Onsanit and Wang, 2011).
On this subject, Raimundo et al. (2010) conducted a study
with octopus (Octopus vulgaris) from three regions of the
Portuguese coast, determining Hg and MeHg in the digestive
gland and mantle. The digestive gland has the ability to
absorb, assimilate and store Hg, and is an important detoxi-
fying organ. As Hg metal enters the digestive gland, part is
stored and then accumulated in the mantle. The authors
identified that MeHg percentages were higher in the mantle
compared to the digestive gland, due to higher metal
clearance rates in the gland (Raimundo et al., 2010). Thus,
most of the mercury found in the digestive gland is in its
inorganic form, while the mantle muscle tissue harbors
mostly the organic form (Penicaud et al., 2017).
Murillo-Cisneros et al. (2018) carried out a study on
elasmobranchs (Myliobatis californica, Pseudobatos productus,
and Zapteryx exasperata), to evaluate Hg content in liver and
muscle tissue. Although the muscle tissue presents, in
general, a higher amount of mercury compared to the liver,
the liver accounted for higher Hg content in the largest
elasmobranchs. The authors attributed their findings to
differences in nutritional composition, energetic intake,
ontogenetic changes in diet and the metabolic activity of
this organ in larger animals.
Azevedo et al. (2016) evaluated four fish species (Pimelodus
fur, Pachyurus adspersus, Oligosarcus hepsetus, Pimelodella
lateristriga) concerning bioaccumulation in muscle and liver,
and also studied the gills. Even if gills had a concentration of
MeHg lower than muscle tissue and statistically the same as
the liver, nevertheless concentrations were considered high
and attributed to the close contact of the assessed species
with contaminated sediment.
Regarding the difference between the type of muscle
tissue, Bosch et al. (2016) carried out a study in Yellowfin
tuna (Thunnus albacares) evaluating Hg concentrations (inor-
ganic, organic and total). The results indicate that inorganic
and total Hg concentrations are higher in dark muscle
compared to white. A significant difference in concentrations
(inorganic and total Hg) was also observed among dark
muscles tissue. In contrast, MeHg concentrations did not
vary significantly between dark muscle types and between
dark and white muscle tissue. No significant variation for
any form of mercury (organic, inorganic and total) was
observed among white muscle tissue. The study suggests
that the higher concentration noted in dark muscle may be
related to the composition and development of muscle fibers.
Additionally, the authors report that Hg tends to accumulate
in higher amounts in the predominant muscle tissue of the
animal, as well as in places where the muscle type is more
developed. Finally, the study concluded that, in order to
obtain reliable results concerning mercury toxicity, the ideal
action when evaluating THg is to collect white muscle
samples, since this muscle type presents less Hg variations.
In contrast, dark muscle concentrations may lead to
211
overestimates concerning mercurial toxicity, as well as
presenting greater Hg variations.
One study compared the mercury content in the muscula-
ture, ovaries, and eggs of European eel (Anguilla anguilla)
(Nowosad et al., 2018). Although ovary and eggs had a lower
concentration of mercury in the musculature, they found that
after ovulation there was an increase in Hg content in these
organs. After the second spawn, the mercury content
increased again. The work explains that during gonadal
maturation of the female, there is a transfer of proteins and
lipids from the muscle to the gonads and a small amount of
mercury is translated together. In eggs, the amount of the
metal is relatively small, suggesting a protective mechanism
against the transfer of Hg from the ovary to the oocyte. This
mechanism is based on the fact that during vitellogenesis the
proteins are transported with the vitellogenins to the egg,
where it is used for the formation of the yolk, but due to the
low sulfur content and a small number of sulfhydryl bonds,
vitellogenins bind to MeHg, making the translocation of the
element to the egg difficult.
2.3. Mercury in animal health
Mercury is not only a challenge in terms of environmental or
human health, but it also significantly affects animal health
(Balshaw et al., 2007; Bakar et al., 2017; García-Medina et al.,
2017;Hassaninezhad et al., 2014; Hatef et al., 2011; Lepak et al.,
2016; Macirella and Brunelli, 2017; Mallory et al., 2018;
Rasinger et al., 2017; Van Hees and Ebert, 2017; Zhang et al.,
2016). These studies confirmed that the accumulation of
mercury in the animal organism leads to changes in lipid
metabolism, cellular transport (Richter et al., 2011), behavioral
changes, effects on gene expression and affect the growth and
characteristics of plasma and blood (Lepak et al., 2016). They
also identified circulatory disorders, gills hazards, and degen-
erative lesions in the liver and gonads (Naïja et al., 2016;
Safahieh et al., 2012; Zhang et al., 2016). Other researchers
have observed significant alterations in antioxidant enzymes
that induced oxidative stress and genotoxicity, leading to
DNA damage and micronucleus formation (indicative of
mutagenic action) (Garcia-Medina et al., 2017; Zhang et al.,
2016) and changes in Na+/K+ ATPase expression standards and
metallothioneins (MTs) (Macirella and Brunelli, 2017). Fur-
thermore, these changes can occur from the embryonic
period, leading to neurological changes, reducing fetal repro-
duction and success, causing morphological defects and
increasing the mortality rate (Van Hees and Ebert, 2017).
With regard to the neurological effects, they are the cerebral
proteome disturbance, reduction of the global swimming
activity due to the reduction of the number of coils of the
tail, and reduction of the heartbeat, alteration of the shoaling
and avoidance behavior of predatory animals. In addition to
the motor impairment, the proteins, lipids, carbohydrates and
nucleic acids of the larvae are also affected (Bakar et al., 2017;
Rasinger et al., 2017). In relation to the reproductive system,
they identified changes in sexual indexes and somatic-
gonadal indices, inhibition of growth and development of
gonads, disturbance of hormonal balance by interrupting the
transcription of HPG (Hypothalamic Pituitary Gonadal) axis
genes, and stimulation of sex change, decreased viability of
212 J O U RN A L OF E N V I RO N ME N TA L S CI EN CE S 84 (2 0 1 9 ) 2 05–2 1 8
sperm, decreased sperm motility, decreased sperm motility,
and decreased sperm motility (Hatef et al., 2011; Nowosad
et al., 2018).
While MeHg has an affinity for binding to the erythrocyte,
inorganic mercury binds to components of the plasma
fraction of blood. Thus, the mobility and distribution of
MeHg by the organism are more efficient than the inorganic
form. The organic form is first concentrated in the liver and
kidney and then it is distributed to other reservoirs. Inorganic
Hg, with less mobility, is more concentrated in internal
organs, being the first place of accumulation the gills. This
forms a stable binding with mucoproteins present in the
organ, which prevents mass diffusion of the element into the
gill and entry into the circulatory system (Balshaw et al., 2007).
2.4. Dynamics of mercury in the human body
Elemental Hg comes into contact with the body primarily
through inhalation, with exposure being very low through
intestinal and dermal absorption. The absorption of Inorganic
Hg (mercury salts) ranges from 7% to 15%, and occurs after
ingestion of contaminated food, dental amalgam after abra-
sion, or can be absorbed via epidermis, sweat glands,
sebaceous and hair follicles, when exposure occurs through
the use of cosmetics containing mercury salts, topical
medications or handling of agricultural products (Díez, 2009;
Hong et al., 2012; Park and Zheng, 2012). As for the forms of
exposure of elemental and inorganic mercury, they can be
classified as acute or chronic. Acute exposure to elemental Hg
occurs mainly in cases of occupational accidents, where a
significant amount of the element is inhaled, leading to
severe lung damage, including death due to hypoxia, as well
as neurological symptomatology. In the case of chronic
exposure, which is also usually occupational, the target
organs of symptomatology are the central nervous system
and kidney (Park and Zheng, 2012; Rice et al., 2014). Acute
exposure to inorganic mercury, which occurs primarily
through ingestion, is characterized by abdominal pain,
hypotension, vomiting, acute respiratory distress syndrome,
chest burn, severe gastrointestinal conditions due to exten-
sive corrosive power (caustic gastritis), mercury stomatitis
and renal failure. Dermal, can lead to dermatitis and corrosion
of mucous membranes. Chronic intoxication occurs less
frequently, mainly generating renal symptoms (Dias et al.,
2016; Park and Zheng, 2012).
The main organic form of mercury, methylmercury, can be
acquired by humans mainly through the ingestion of con-
taminated food, especially seafood, or even through the use of
vaccines, which have the preservative thimerosal that is
rapidly metabolized to Ethylmercury (Bjørklund et al., 2017;
Condini et al., 2017; Dórea et al., 2013; Hong et al., 2012; Krata
et al., 2016; Rice et al., 2014; Rumbold et al., 2018; Ruus et al.,
2017; Sadhu et al., 2015; Taylor and Calabrese, 2018). Its
intestinal absorption is about 17 to 35 times faster than
compared to the absorption of inorganic mercury and almost
100% of what is ingested, can be absorbed (Hong et al., 2012).
Both ethyl and methylmercury present high liposolubility,
easily crossing the blood and placental barriers, generating a
neurological clinical condition that can be fatal, besides
having an effect on the fetal development, immunological
and cardiovascular compromise (Björkman et al., 2007; Crowe
et al., 2017; Díez, 2009; Dórea et al., 2013; Farina et al., 2011;
Gutiérrez-Mosquera et al., 2017; Kuntz et al., 2010; Roman
et al., 2011; Yin et al., 2017). During its metabolism, MeHg is
converted to bivalence inorganic mercury and undergoes
oxidation and reduction. Methylmercury releases oxygen
radicals at decomposition and this causes severe damage to
cells by activating the chain of lipid peroxidation of the cell
membrane. It also compromises intracellular calcium and
altering glutamate homeostasis (Farina et al., 2011; Hong
et al., 2012).
The forms of exposure may also be acute or chronic. The
first form is related to the intake of a large amount of such
element and the latter form mainly related to long-term
intake of contaminated food. In acute cases, blurred vision,
hearing impairment, olfactory and gustatory disturbance,
ataxic gait, psychiatric disorders, may lead to death. In
chronic cases, paraesthesia of the extremities and lips,
somatosensory disorders, reproductive disorders and cerebel-
lar ataxia (Ekino et al., 2007). Regarding the effect of MeHg in
cases of prenatal exposure, studies indicate that pregnant
women who have a diet rich in seafood, especially of species
with higher concentration of Hg, present the possibility that
the child is born with neurological deficits (Bjørklund et al.,
2017; Trasande et al., 2006). As for this prenatal exposure, a
study was carried out in the German infant population born in
2014 with mental retardation due to methylmercury. In 98% of
cases, there was a mild delay, while 2% had a severe some
cases, with the individual's untimely death (Lackner et al.,
2018).
2.5. Risk of consumption of seafood contaminated by mercury
The main route of mercury acquisition for humans is through
the consumption of contaminated seafood, especially in the
MeHg form, as mentioned previously. Monitoring of elemental
concentrations in aquatic organisms used for human con-
sumption is therefore of paramount importance. The organi-
zations of each country, as well as organs related to health
and food, then established the limits of Hg and MeHg in
seafood (Table 1).
In addition to the established restrictions concerning Hg
concentrations in seafood, global health organizations have
developed an index to determine the safe limit of weekly Hg
intake, called the Provisional Tolerable Weekly Intake (PTWI).
This index is expressed on a weekly basis per kilogram of body
weight and represents an estimate of the amount of mercury
that can be consumed and bioaccumulated in the human
body without presenting significant health risks. The Joint
FAO/WHO Expert Committee on Food Additives (JECFA) has
determined the borderline value of 1.6 μg/kg of body weight
for MeHg and 4 μg/kg of body weight for inorganic and total
mercury (FAO, 2016). This value was established based on
epidemiological studies concerning the effect of Hg on
neonatal health when mothers were exposed to this metal
(FAO, 2011). This value is set as is 1.3 μg/kg body weight for the
European Food Safety Authority (EFSA)), for both forms of
mercury. In addition, the organization recommends the
maximum consumption of 3–4 portions and 1–2 weekly
portions of seafood for adults and children, respectively
 J O U RN A L OF E N V I RO N M EN TA L S CI EN CE S 84 (2 0 1 9 ) 2 0 5–2 1 8 213

Table 1 – Types of seafood and their limits of mercury and/or methylmercury in different countries.
Country Seafood Limits Reference

Australia - Fish are known to contain high mercury levels, such as - 1 ppm Hg/Kg UNEP (2002)
swordfish, southern bluefin tuna, barramundi, ling,
orange roughy, rays, shark
- All other fish species, crustaceans, and molluscs - 0.5 ppm Hg/Kg
Brazil - Predators - 1 ppm Hg/Kg Brasil (2013)
- Other non-predatory fish, crustaceans, molluscs, ceph- - 0.5 ppm Hg/Kg
alopods, and bivalve molluscs
Canada - All fish except shark, swordfish or fresh or frozen tuna - 0.5 ppm THg UNEP (2002)
(expressed as total mercury in the edible portion of
the fish)
- The maximum permissible limit for those who con- - 0.2 ppm THg
sume high amounts of fish, such as Aboriginal people
China - Freshwater fish - 0.3 ppm Hg/Kg UNEP (2002)
Croatia Fresh fish
- Predatory fish (tuna, swordfish, molluscs, crustaceans) - 1.0 ppm Hg/Kg and 0.8 ppm MeHg/Kg UNEP (2002)
- All other fish species - 0.5 ppm Hg/Kg and 0.4 ppm MeHg/Kg
Canned fish (tin package)
- Predatory fish (tuna, swordfish, molluscs, crustaceans) - 1.5 ppm Hg/Kg and 1.0 ppm MeHg/Kg
- All other fish species - 0.8 ppm Hg/Kg and 0.5 ppm MeHg/Kg
European Union - Fishery products, with the exception of those listed - 0.5 ppm Hg/Kg wet weight EU (2006)
below
- Anglerfish, atlantic catfish, bass, blue ling, bonito, eel, - 1.0 ppm Hg/Kg wet weight
halibut, little tuna, marlin, pike, plain bonito, portu-
guese dogfish, rays, redfish, sail fish, scabbard fish,
shark (all species), snake mackerel, sturgeon, sword-
fish, and tuna
Georgia - Fish (freshwater) and Fishery products - 0.3 ppm Hg/Kg UNEP (2002)
- Fish (Black Sea) - 0.5 ppm Hg/Kg
- Caviar - 0.2 ppm Hg/Kg
India - Fish - 0.5 ppm THg UNEP (2002)
Japan - Fish - 0.4 ppm THG/Kg and 0.3 ppm MeHg UNEP (2002)
Korea - Fish - 0.5 ppm Hg/kg UNEP (2002)
Philippines - Fish (except for predatory species) - 0.5 ppm MeHg/kg UNEP (2002)
- Predatory fish (shark, tuna, swordfish) - 1.0 ppm MeHg/kg
Slovak Republic - Non-predatory freshwater fish and derived products - 0.1 ppm THg/kg UNEP (2002)
- Predatory freshwater fish - 0.5 ppm THg/kg
- Non-predatory marine fish and derived products - 0.5 ppm THg/kg
- Marine predatory fish - 1.0 ppm THg/kg
Thailand - Seafood - 0.05 ppm Hg/g UNEP (2002)
- Other food - 0.02 ppm Hg/g
United Kingdom - Fish - 0.3 ppm Hg/Kg UNEP (2002)
- Fish, shellfish and other aquatic animals (FDA) - 1 ppm MeHg FDA (2011)
- States, tribes, and territories are responsible for issuing - 0.5 ppm MeHg
fish consumption advise for locally-caught fish;
Trigger level for many state health departments
WHO/FAO - All fish except predatory fish - 0.5 ppm MeHg/Kg FAO (2016)
- Predatory fish (such as shark, swordfish, tuna, pike, and - 1 ppm MeHg/Kg
others)

(EFSA, 2015). The United States, through the US EPA, has
established a limit of 0.7 μg/kg/week (US EPA, 2001). Research
evaluating Hg concentrations in seafood and based on
population consumption has determined consumer health
risks, suggesting that some types of seafood in certain regions
exceed the PTWI and, therefore, pose risks to consumer
health, especially in children and pregnant women (Ceccatto
et al., 2016; Cheung et al., 2008; Lena et al., 2018; Spada et al.,
2012; Storelli et al., 2006).
Different studies have reported Hg concentrations and its
major forms in seafood and their risk to public health. Xue
et al. (2015) carried out a study comparing MeHg exposure of
the North American Indian population (that maintain seafood
as the basis of their diets) with non-indigenous populations
and observed that tribal MeHg exposure is 3- to 10-fold higher
than the general population. Due to the variations in Hg
concentrations among different fish species, researchers
believe that about 50% of such exposure can be reduced by
replacing the consumption of species with higher MeHg
content for others presenting lower concentrations.
Concerning the assessment of mercury content in different
seafood species, Llull et al. (2017) assessed consumer risks by
measuring MeHg and THg in 32 fish species from the Western
Mediterranean Sea, and observed that some species highly
very consumed by the population, occupying the second and
third trophic level (i.e., carnivorous species), exceed the
214 J O U RN A L OF E N V I RO N ME N TA L S CI EN CE S 84 (2 0 1 9 ) 2 05–2 1 8
maximum Hg levels established by the European legislation.
However, fish belonging to the first trophic level was below
the established limit. Taking into account studies carried out
in open ocean waters, Sunderland and Selin (2013) evaluated
mercury concentrations in the North Pacific, which provides a
substantial amount of seafood to the world market. The study
warns that, in the short term, in order to reduce Hg exposure
risks, public health authorities should recommend the con-
sumption of smaller, younger seafood from less contaminated
sites. Finally, Sevillano-Morales et al. (2015) reported the
importance of consuming species known to present lower
mercury content, which, consequently, depends on more
local-scale studies evaluating both highly consumed species
and the frequency of their consumption.
3. Conclusions
Mercury contamination is of high concern in many countries
and has been a frequent object of research, in order to
monitor and alert consumers to high concentrations of this
toxic element. Several biotic and abiotic factors are funda-
mental to understand the dynamics of mercury and methyl-
mercury in the aquatic environment and, consequently, in
aquatic organisms. These include trophic level and, conse-
quently, type of feeding, age, length, growth rate, water pH,
organic matter content, oxygen saturation, salinity and
temperature.
Many studies have yet to be developed to better elucidate
the relationships between factors influencing contamination,
bioaccumulation and mercury magnification, since much
information has not yet been consolidated, and contrasts in
several studies, such as the influence of pH, organic matter,
temperature, animal metabolism, and why no significant
difference between sex is observed. However, some relation-
ships between biotic and abiotic factors and the favoring of
methylation and bioaccumulation and biomagnification pro-
cesses have already been established, such as size, age, and
weight, growth rate, trophic position, food chain length,
salinity and oxygen saturation. Another well-established
aspect is greater Hg affinity by muscle tissue and liver, while
another relevant point is related to the importance of
sediment contamination as an initial source for Hg transfer
to aquatic organisms. Some scarce studies, highlight that,
regardless of the amount of mercury present in the sediment,
the amount of MeHg is not always proportional, since
sediment must be resuspended for the methylation process
to take place. Thus, the concept of bioavailability enters as a
key to determine Hg concentrations in aquatic organisms,
since not every element present is bioavailable to be
methylated.
Regarding animal health, the fact that Hg affects repro-
ductive success generates an alert regarding species mainte-
nance in their habitats and their risk of extinction. Concerning
human health, mercurial contamination is a reality in
different areas around the world, and its effects are evidenced
from newborns exposed during pregnancy, to elderly people,
as a bioaccumulation reflex of Hg exposure throughout life.
Regardless of values detected in surveys being below or above
those stipulated by the legislation, the existence of Hg
contamination must be taken into account and serves as an
alert for the generation of new research and campaigns. With
the purpose of disclosing the importance of reducing expo-
sure to this metal and its chemical forms, health-oriented
organizations will protect the health of the current population
and future generations. Studies involving risk analysis,
especially risk coefficient calculation, should also be stimu-
lated in the scientific community, since they determine in fact
how harmful the consumption of seafood from a certain
region is, as they take into account important variables, such
as consumption frequency and the amount of seafood
ingested by the studied population, allowing for a prospection
concerning human accumulation of this contaminant over
the years.
Acknowledgments
The authors are thankful for the financial support provided by
the Fundação Carlos Chagas Filho de Amparo à Pesquisa do
Estado do Rio de Janeiro - Brasil (FAPERJ), grant number E-26/
203.049/2017; the Conselho Nacional de Desenvolvimento
Científico e Tecnológico - Brasil (CNPq), grant number
311422/2016-0; and the Coordenação de Aperfeiçoamento de
Pessoal de Nível Superior - Brasil (CAPES) - Finance Code
001, for Paloma Rodrigues's scholarship.
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 Journal of Environmental Management 240 (2019) 238–248

Contents lists available at ScienceDirect

Journal of Environmental Management

journal homepage: www.elsevier.com/locate/jenvman

Research article

Severe salinity contamination in drinking water and associated human T

health hazards increase migration risk in the southwestern coastal part of
Bangladesh
M.A. Rakiba,b,∗, Jun Sasakic, Hirotaka Matsudad, Mayumi Fukunagac
a
Graduate Program in Sustainability Science - Global Leadership Initiative, Graduate School of Frontier Sciences, The University of Tokyo, 5-1-5 Kashiwanoha, Kashiwa,
Chiba, 277-8563, Japan
b
Department of Disaster Management, Begum Rokeya University, Rangpur, 5400, Bangladesh
c
Department of Socio-Cultural Environmental Studies, Graduate School of Frontier Sciences, The University of Tokyo, 5-1-5 Kashiwanoha, Kashiwa, Chiba, 277-8563,
Japan
d
Department of Agricultural Innovation for Sustainability, Faculty of Agriculture, Tokyo University of Agriculture, 1737 Funako, Atsugi-shi, Kanagawa, 243-0034, Japan

A R T I C LE I N FO A B S T R A C T

Keywords: Bangladesh is a deltaic country and is highly vulnerable to climate change and sea level rise. This study explores
Socioeconomic vulnerability population migration risk in relation to communal crisis due to socioeconomic vulnerability, drinking water
Groundwater salinization scarcity, and health threats caused by salinity hazards. For this, we conducted a household questionnaire survey
Potable water shortage as well as, focus group discussions, key informant interviews, and field observations. To identify the drinking
Health diseases
water salinity and migration risk, our theoretical process hypothesizes a new composite indexing approach.
Human migration
Salinity hazards and potable water crises have increased the spread of human diseases and treatment costs, while
socioeconomic crisis and poverty are inseparable risks of coastal communities because of frequent cyclone hits.
Recently, salinity hazards have added a new dimension to health insecurities and household financial instability.
Results showed a high migration risk in the unions of Gabura, Munshigonj, Atulia, Burigoaliny, and Padmapukur
(from highest risk to lowest), as these areas exhibit worsening situations with respect to drinking water scarcity,
salinity hazards, and health hazards, and their adaptive capacities are significantly low. Furthermore, socio-
economic vulnerabilities to cyclone hits, salinity hazards, and severe drinking water scarcity may soon con-
tribute to increased population migration in response to climate change, sea level rise, and the associated im-
pacts of these trends. To tackle the future mass population migration problem, urgent action is required to
improve socioeconomic conditions, and provide alternative sources of potable water and health care facilities.
Hard and soft measures must be ensured to reconstruct vulnerable areas impacted by riverbank erosion,
flooding, and waterlogging. Additionally, action should be taken to enhance local awareness of coastal disasters,
their associated hazardous consequences, and possible mitigation and adaptation measures.

1. Introduction
Climate change and its advancing threats are a matter of great
concern throughout the world at present. The negative consequences of
environmental change and human migration, such as climate change
and large-scale natural disasters, have gained attention (Gray and
Mueller, 2012). Because of sudden-onset climate-related hazards, more
than 24 million people were displaced in 2016 (UNDP, 2017). Global
environmental change may trigger the migration of anywhere between
50 million and approximately 700 million people by 2050 (Warner,
2010). Climate change and its associated hazards might be the principal
reason for future migration. A rise in greenhouse gas emissions in-
creasingly enhances the seriousness of these impacts. The rate of the
global mean sea level rise was approximately 1.7 mm/year between
1901 and 2010 and increased to approximately 3.2 mm/year between
1993 and 2010 (Church et al., 2013). Nearly 600 million people who
currently live in low-lying coastal zones worldwide (Jevrejeva et al.,
2018) could potentially be affected by an increase in salinity. Sub-
stantial risks due to sea level rise are projected, particularly in Asian
mega-deltas and small island communities (IPCC, 2007). In addition,

∗
Corresponding author. Graduate Program in Sustainability Science - Global Leadership Initiative, Graduate School of Frontier Sciences, The University of Tokyo,
5-1-5 Kashiwanoha, Kashiwa, Chiba, 277-8563, Japan.
E-mail addresses: rakibmamun_ju@yahoo.com, md.rakib@s.k.u-tokyo.ac.jp (M.A. Rakib).

https://doi.org/10.1016/j.jenvman.2019.03.101
Received 24 November 2018; Received in revised form 24 February 2019; Accepted 20 March 2019
0301-4797/ © 2019 Elsevier Ltd. All rights reserved.
M.A. Rakib, et al.
increased salinization associated with sea level rise is a water resource
constraint for groundwater supplies (IPCC, 2007). Fresh water avail-
ability is projected to decrease in South, Central, East, and South-East
Asia, particularly in large river basins by the 2050s (IPCC, 2007).
In Bangladesh, salinity intrusion is expected to increase because of a
shortage of fresh water discharge from upstream and is projected to
worsen with climate change and sea level rise (Nicholls et al., 2007). It
has already increased by approximately 26% over the last 35 years
(Naeen, 2018). It is expected that the total amount of land exposed to
high cyclonic inundation levels will increase by over half due to direct
impacts of climate change and sea level rise (World Bank Report, 2016).
Projections of waterlogging owing to climate change and sea level rise
indicate a worsening situation for the growing population in the coastal
belt of Bangladesh (Dasgupta et al., 2014). Gradual changes in climate
variables and environmental degradation can cause water quality de-
terioration in coastal areas. In addition, shrimp cultivation can increase
salinity in inland water sources and groundwater because of the long-
term retention of saltwater in shrimp cultivation ponds (Ali, 2006).
Approximately 35 million people of the coastal belt of Bangladesh are
considered vulnerable because of the salinization of fresh water
(Talukder et al., 2016).
Coastal populations are highly exposed to saline-contaminated
water through drinking, cooking, and bathing (Rakib et al., 2019). It
increases potential health impacts, including skin diseases, miscarriage,
hypertension, diarrhea, and acute respiratory infections (Caritas
Development Institute, 2000; Ministry of Environment and Forests,
2006). Severe drinking water crises lead to high blood pressure, heart
disease, and kidney disease among coastal communities (Raju, 2017).
These types of diseases are more commonly found in the coastal com-
munity, which is mostly exposed to water salinity and a serious
drinking water crisis, as compared with other parts of the country. The
long-term coastal impacts are gradually shrinking livelihoods and the
economy while a large number of people face health crises that pri-
marily originate from unwanted changes in the environment and social
components. Natural hazards may play a vital role in disrupting social
interaction and encouraging human mobility (Warner, 2010). Natural
hazards and adverse long-term consequences differ from place to place
(Bathrellos et al., 2017; Rakib et al., 2017). In the coastal area of
Bangladesh, approximately 12 million people live below the poverty
line (World Bank Report, 2016). Scarcity of drinking water and river
salinity will increase health risks (World Bank Report, 2016) that can
lead to large-scale migration across the border or within the country
(Abedin et al., 2014). Environmental factors are increasingly re-
cognized as possible drivers of internal and cross-border human mi-
gration (Laczko and Aghazarm, 2009). People tend to displace and
migrate as a part of a spectrum of possible responses to environmental
change (Warner and Laczko, 2008). Many newspapers and magazines
have reported on recent coastal issues such as sea level rise, existing
salinity hazards, a severe potable water crisis, and diseases (Naeen,
2018; Cornwall, 2018; Rashid, 2018). However, there has not been
enough research that clarifies the impacts of these issues. Regarding
climate change and sea level rise, salinity is apparently one of the more
serious threats along the coastal region of Bangladesh. Increase in
salinity deteriorates fresh surface and sub-surface water resources. High
salinity degrades the fresh water ecosystem and hampers the local li-
velihood strategies and household incomes. Many coastal people do not
have access to fresh water for drinking and household purposes such as
bathing, cooking, and washing. Additionally, severe salinity threats in
drinking water and related health problems could jeopardize social
components in the southwestern part of Bangladesh.
Until now, there has been no significant research on salinity-related
diseases and additional health care costs, how salinity triggers an in-
creased population migration risk, with consideration given to existing
disaster-affected coastal household economies. This research introduces
a new methodological approach to estimating migration risk through
the theorization of recent salinity hazards and existing coastal threats in
239
Journal of Environmental Management 240 (2019) 238–248
Bangladesh. A migration risk estimation indexing technique has been
proposed to evaluate the migration risk of populations in coastal
communities, by considering sensitivity, exposures, drinking water
scarcity, health crises, and additional health costs, along with adaptive
capacity, which can act as a significant coping component in any ad-
verse condition. Not only have coastal hazards like cyclonic storm
surges and inundation forced local people to migrate, but associated
hazards like salinity intrusion and drinking water scarcity have
emerged as new significant threats to public health in the last few years.
Along with disaster-affected household economies, human health crises
might be the cause of increased human migration in the future due to
climate change and sea level rise impacts. Several indices related to
social factors, household economy, environmental aspects, drinking
water access, and public health impacts have been used to estimate
migration risk. Thus, salinity, water, and social-based indicators may
have the potential to assess social problems and the possible con-
sequences among communities facing recent severe drinking water
scarcities. The aim of this research is to estimate the migration risk in
the coastal communities of Bangladesh. Three research questions were
formulated to assess migration risk: 1) What is the present socio-
economic status of the coastal communities? 2) How does drinking
water salinity and scarcity increase water-related health threats? 3)
How do health care costs, socioeconomic vulnerabilities, and health
hazards influence the coastal population migration risk? In addition, a
question was raised about the possible measures: What would be the
best possible measures to tackle future migration problems? The re-
search findings can contribute significantly to the understanding of
societal and development issues present in communities facing adverse
climatic conditions, with considerations given to diverse limiting fac-
tors.
2. Research methods
2.1. Study area
This study was carried out in the Shyamnagar sub-district
(22.3306°N 89.1028°E) in the Satkhira district of Bangladesh as shown
in Fig. 1. This sub-district is divided into twelve unions.1 For our re-
search, we selected the five unions of Atulia, Burigoaliny, Gabura,
Munshigonj, and Padmapukur. Those unions are located in the south-
western part of the country, adjacent to a mangrove forest and the Bay
of Bengal. Gabura in particular is isolated from the mainland and is
highly vulnerable to cyclonic storm surges and flooding hazards. Most
of the unions are adjacent to tidal rivers while Munshigonj is located at
the edge of the mainland and is relatively more vulnerable to cyclonic
storm surges and waterlogging compared to the remaining three un-
ions. In terms of geographical locations, these areas are extremely
vulnerable to climate change, coastal disasters, and sea level rise
(Ministry of Environment and Forests, 2016). The average elevation of
the exposed coastal area is about 1.5 m above sea level (MASL)
(Chowdhury, 2009). Several natural disasters have severely damaged
the coastal population, leading to large death tolls and property losses.
Under global climate change, people are now going to face severe
salinity hazards due to saltwater intrusion and cyclonic storm surges.
High salinity hazards lead to the destruction of livelihood sectors and
drinking water sources. A purposive sampling technique was applied to
evaluate the coastal environmental crisis and its consequences on the
coastal community.
1
Union is the smallest administrative and local government units in
Bangladesh, which is consist of nine wards. Each of the village is designated as a
ward (Khan, 2018).
M.A. Rakib, et al.
Fig. 1. Location map of the study area.
2.2. Data collection
Both qualitative and quantitative techniques were applied, in-
cluding a household questionnaire survey, focus group discussions, key
informant interviews, and field observation. A semi-structured house-
hold questionnaire survey was administered in the five selected unions.
Before designing a questionnaire sheet, discussions were held with the
local peoples and field observations were conducted. Each of the
questions followed a chronological linkage to understand the influence
of different variables related to coastal hazards and social vulner-
abilities. The questionnaire sheet was divided into ten sections: 1) de-
mographic data, 2) social factors, 3) economic data, 4) household
physical assets, 5) natural disaster vulnerability, 6) salinity context and
potable water status, 7) inconsistent water access, 8) water-related
health diseases, 9) health care facilities, and 10) health expenditure.
Each of the sections contained significant and interrelated information
to explore the population migration risk in terms of socioeconomic is-
sues, coastal disasters, salinity hazards, drinking water scarcity, and
diseases at the community level. A total of 300 household ques-
tionnaires were collected in August 2017 and September 2017.
Approximately one hour was allocated to complete each questionnaire.
In addition, a majority of household respondents were middle-aged,
ranging from 41 to above 55 years.
Focus group discussions were performed in various communities.
Particularly, seven focus group discussion sessions were arranged in
each of the five unions. People from all walks of life were invited to
share their views on overall regional coastal hazards, socioeconomic
vulnerabilities, potable water crises, salinity intrusion, present potable
water status, diseases, health care facilities, and household health care
costs. Most of them shared their experiences and views related to their
daily life, personal observations, and insights. After the discussion, we
identified the significant discussion points and thematic findings. On
the other hand, key informant interviews were carried out among local
political leaders, local government authorities, non-government orga-
nization officials, teachers, professors, and doctors regarding coastal
240
Journal of Environmental Management 240 (2019) 238–248
disaster issues, salinity hazards, drinking water crises, health impacts,
trends, and prospective measures. Local government authorities are
involved in disaster risk reduction, and local political leaders are en-
gaged in local decision-making processes to reduce risk during coastal
disasters. School teachers can play a vital role in rearranging or re-
shaping the society as the potential stakeholders in the community.
Members of non-government organizations are engaged in local com-
munity development activities. Doctors play an important role in ex-
ploring public health issues related to high-saline water consumption
and regional potable water shortages. As a supporting technique, field
observation approved significant in justifying social perceptions with
proper evidence. Much information was recorded in a written format in
notebooks using this technique. Local photos and videos were collected
using a camera, including footage of environmentally critical areas,
water shortage scenarios, and topographical features. In addition, the
statistical software, including SPSS (IBM 21) and GraphPad Prism 7
(Windows version), was used for coding and analysis.
2.3. Estimation of human migration risk
2.3.1. Hypothesized theory
For decades, disasters associated with socioeconomic vulnerabilities
have been considered common in the coastal belt of Bangladesh.
According to our hypothesized theory (Fig. 2) salinity hazards and
drinking water shortages lead to human health diseases that are pri-
marily caused by salinity contamination. As an additional household
cost, health expenditures exert pressure on disaster-affected household
economies and could not be completely covered by external health care
support (e.g., government and non-government organizations). As a
combined consequence, socioeconomic vulnerabilities, health hazards,
and additional health care costs increase coastal population migration
risks that can lead to mass migration from the vulnerable coastal region
to interior regions of the country or to neighboring countries. Coastal
population migration risk is a major concern that is closely related to
natural disasters and its associated hazards, the impacts of which can
M.A. Rakib, et al.
Fig. 2. Conceptualized theoretical framework for coastal population migration
risk. (Source: Author).
cause of socioeconomic vulnerabilities, severe drinking water scarcity,
health crises, additional health care costs, and realized adaptive capa-
cities.
2.3.2. Composite index approach
A composite index approach was employed to estimate migration
risk at the household level in relation to coastal hazards, socioeconomic
crisis, potable water shortage, severe salinity problems, and health
problems. The index method was reliable, plausible, and weighty to
compare the estimated scores of different components with scale. It is
extensively used to assess livelihood assets (Chen et al., 2013), liveli-
hood (Hahn et al., 2009), and socioeconomic vulnerabilities (Ahsan and
Warner, 2014) where data are not available and to determine the
present condition in varying contexts. Due to lack of baseline data, the
equal-weighted index proposed by Sullivan was used (2002).
Working indicators were developed through intensive literature
review. Additional indicators were selected on the basis of field ob-
servations and discussions with local people (indicators table included
in the supplementary material). Most of the indicators were related to
coastal environmental factors, household economy, salinity problems,
drinking water shortage, and emerging health-related shocks. As se-
lected indicators were measured on different scales, it was required to
normalize each as an index value. Eq. (1) was used to measure the index
value for union i, which was first introduced by the United Nations
Development Programme (UNDP, 2007) to calculate the life expectancy
index:
Xij − Xj, min
indexij =
Xj, max − Xj, min
where indexij represents the index score of ith (i = 1,2,3,4,5) union and
jth (j = 1,2,3 … ….49) indicator. Xij is the original value of ith union
and jth indicator, and Xj, min and Xj,max are the minimum (lowest) and
the maximum (highest) value of jth indicator, respectively. The nor-
malized score ranged from 0 to 1. After the normalization of each in-
dicator, it was averaged using Eq. (2) to obtain the scores of each sub-
component.
m
∑ j= 1 indexij
SCi =
m (2)
Journal of Environmental Management 240 (2019) 238–248
where SCi indicates the sub-component score of union i and m re-
presents the total number of indicators of each sub-component. Each of
the sub-components of the respective union is classified as demo-
graphic, social, economic, physical, natural disaster vulnerability,
salinity context and potable water status, inconsistent water access,
water-related health diseases, health care facilities, or household health
care cost.
After the estimation of SCi value, we calculated socioeconomic
vulnerability with due consideration to Intergovernmental Panel on
Climate Change (IPCC) dimensions such as sensitivity and exposure.
Here, we did not include adaptive capacity because of its inverse re-
lationship and because heterogeneous characters of adaptive capacity
variables can influence the expected values of socioeconomic vulner-
abilities. Moreover, to fulfill the research purpose, separate health ha-
zards and health costs were calculated with due consideration to severe
drinking water scarcity, health crisis, and household health care cost to
evaluate the migration risk in the coastal community. The following
equation (Eq. (3)) adopted by Hahn et al. (2009) was used to calculate
household vulnerabilities:
n
∑q= 1 WsciqSCiq
MCik = n
∑q= 1 Wsciq (3)
where MCik denotes the vulnerabilities index of each major component
(k = 1, 2, 3, 4, 5, 6) of union i, and Wscq denotes the weight of each sub-
component which is estimated using the sum of the total number of
indicators for each sub-component to ensure that all indicators con-
tributes equally to the overall score of MCik (Sullivan, 2002). SCi re-
presents the sub-component values of union i, and n indicates the
number of sub-components. Using Eq. (3), weighted scores of major
components like adaptive capacity (MC1), sensitivity (MC2) , exposures
(MC3 ), drinking water scarcity ( MC4) , health crisis ( MC5) , and health
cost (MC6 ) were estimated.
After obtaining the major component values for each union, we
proceeded to calculate socioeconomic vulnerability (SeVi ), health ha-
zards (HeHi ), and migration risk (MiRi ). Migration risk was estimated
by Eq. (4), which is
1 1 1 1 1
MiRi = ( MC2 + MC3 + MC4 + MC5 + MC6)
3 2 2 2 2 (4)
Socioeconomic vulnerability was calculated using the average of
exposure and sensitivity, and values were estimated using weighted
average techniques. Similarly, health hazard was calculated by taking
the average of the values of drinking water scarcity and health crisis
that were also estimated using weighted average scoring techniques. In
this research, health cost (MC6 ) is considered a significant component
that pertains to regional interests regarding long-term salinity hazards.
This variable is significantly associated with migration risk because it is
considered an emerging and important constraint to the development of
household economies of the coastal community. As a new dimension of
exposure, acute (e.g., diarrhea and skin) and chronic (e.g., high blood
pressure, cardiovascular, and kidney) diseases increase health ex-
penditures. Particularly, drinking water salinity and its impacts on
health are the substantial cause of high health expenditures. It also has
(1)
the potential to influence overall migration risk along with health ha-
zards that are discussed in detail in the results and discussion section.
Health cost indicators were processed using weighted scores to calcu-
late the migration risk, combining both socioeconomic vulnerability
and health hazard scores for each of the studied unions (Eq. (4)). To
define migration risk status in this study, MiRi scores were calculated,
ranging from 0 (least risk) to 1.0 (most risk).
241
M.A. Rakib, et al.
Fig. 3. Weighted scores of different components, along with vulnerabilities. (Source: Author).
3. Results
3.1. Vulnerable coastal household economy
As shown in Fig. 3, c, Atulia is identified as the most socio-
economically vulnerable (score 0.686) union, while Padmapukur (score
0.571) is recognized as the least socioeconomically vulnerable of all the
unions, including Gabura (score 0.673), Munshigonj (score 0.661), and
Burigoaliny (score 0.599). On the basis of the survey results, the
average household property loss was recorded as US$1459.75 for
Padmapukur, US$1392.86 for Munshigonj, US$1269.05 for Bur-
igoaliny, US$1185.00 for Gabura, and US$890.05 for Atulia in the last
ten years, as shown in Table 1. The largest numbers of relief-dependent
(during and post disaster) people were found in Padmapukur (49.23%)
and Gabura (28.57%) unions. In addition, a few individuals were de-
pendent on fishing in the river and worked with relief organizations.
Likewise, many households were dependent on daily work in the five
studied unions specifically, 82.86% for Atulia, 73.85% for Padmapukur,
67.86% for Gabura, 49.06% for Burigoaliny, and 28.57% for Mun-
shigonj. The highest percentages of peoples living below the poverty
line were found in Gabura union (35.71%). Moreover, approximately
90% of households in the entire study area had no sanitary latrine,
while nearly 100% of households in the Gabura union had no elec-
tricity.
On the basis of sensitivity factors, Gabura union is found to be
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highly sensitive (score 0.793) owing to a disaster-exposed economy
(Fig. 3, a), followed by Atulia (score 0.686), Padmapukur (score 0.677),
Munshigonj (score 0.674), and Burigoaliny (score 0.662). According to
survey results, 100% of households in all the studied unions were se-
verely affected by disaster. The average number of cyclone hits per year
was recorded as 1.36 for Atulia, 1.70 for Burigoaliny, 1.64 for Gabura,
1.88 for Munshigonj, and 2.46 for Padmapukur. Approximately 100%
of people throughout the five unions reported that the consequences of
regional high salinity hazards are strongly associated with cyclonic
storm surges. On the other hand, an insufficient number of cyclone
shelters, long distances required to reach a cyclone shelter, high salinity
hazards, and insufficient knowledge about the national warning system
increase the coastal disaster exposure level. Depending on these factors,
the highest scores for exposure were found in Atulia union (score
0.686), followed by Munshigonj (score 0.648), Gabura (score 0.553),
Burigoaliny (score 0.536), and Padmapukur (score 0.466) union (Fig. 3,
b).
3.2. Salinity hazards and health threats
Gabura union (score 0.711) is identified as a highly risky union
regarding public health issues compared to the Burigoaliny (score
0.697), Munshigonj (score 0.693), Atulia (score 0.680), and
Padmapukur (score 0.643) unions (Fig. 3, f). Local people reported that
salinity gradients and the degree of contamination in groundwater
M.A. Rakib, et al. Journal of Environmental Management 240 (2019) 238–248

Table 1
Some of the significant values of social and environmental factors in sample. (Source: field survey).
Variables Atulia Union Burigoaliny Union Gabura Union Munshigonj Union Padmapukur Union

Locations Adjacent to mainland Adjacent to mainland Isolated from Adjacent to mainland Adjacent to mainland
mainland
Illiteracy rate (%) 37.41 29.57 39.32 26.34 23.57
Average number of cyclone per year (Counts) 1.36 1.70 1.64 1.88 2.46
Loss and damage (for disaster) in the last ten years (US$) 890.05 1269.05 1185.00 1392.86 1459.75
Below poverty line (%) 22.86 16.98 35.71 12.50 18.46
Migrated family members (%) 18.57 20.76 23.21 39.29 30.77
No pure groundwater (%) 88.57 90.57 100.00 100.00 49.23
Conflict (for water scarcity) (%) 77.14 86.79 92.86 85.71 75.39
Salt (as a major problem in groundwater) (%) 88.57 100.00 98.21 94.64 93.85
Salinity increases in the last ten years (%) 98.57 100.00 98.21 100.00 95.39
Pond water use for drinking purpose (%) 54.29 41.51 28.57 78.57 20.00
Drink pond water (without any treatment or boiling) 81.56 26.09 75.00 11.36 30.77
(%)
Rainwater harvesting (%) 94.29 90.57 100.00 96.43 90.77
Rainwater use for drinking purpose (%) 50.00 37.74 48.21 33.93 32.31
Average rainwater using time (months) 3.46 3.98 2.89 3.09 2.58
Average time loss for drinking water collection per day 3.42 2.69 3.25 4.25 4.14
(h)
No household efficient water treatment facilities (%) 100.00 98.11 100.00 100.00 100.00
Not having good road networking system (%) 65.71 62.26 69.64 53.57 60.00
Blood pressure (%) 48.57 43.40 44.64 48.21 50.77
Cardiovascular diseases (%) 21.43 22.64 32.14 33.93 24.62
Kidney diseases (%) 4.29 13.21 10.71 10.71 3.07
Skin diseases (%) 72.86 86.79 87.50 71.43 87.69
Frequent diarrhea (%) 77.14 79.25 91.07 82.14 86.15
Other diseases (%) 37.14 33.96 33.93 39.29 27.70
Health cost highly increased (chronic and acute) (%) 98.57 100.00 99.1 100.00 99.23
Do not get proper health care support (%) 92.14 94.34 100.00 87.50 87.69

Fig. 4. Coastal impacts in Bangladesh: a, b. high-tide impacts, c. riverbank erosion, d. saline water withdrawal from the tidal river for shrimp farming, e. water-
logging area, and f. tube-well drinking water source with high salt content. (Source: Author).

increased several-fold over previous decades. Many community re-
spondents reported that they noticed abnormally high tides in the river,
which were not seen before, and that sometimes the river surface rises
(Fig. 4a and b) and intermittently floods some of the dry-land areas.
Numerous fishermen reported that the average height of the tidal river
water surface has risen compared to average heights ten to fifteen years
ago. Additionally, approximately 100% of respondents noticed a sig-
nificant change in salinity of the groundwater aquifer over the last ten
years and reported that during the summer season the salt content is at
its highest level. Almost 95% of households surveyed mentioned that
the presence of high salt content in the groundwater aquifer is con-
sidered a main threat for fresh groundwater availability in the coastal
belt of Bangladesh (Table 1). The high salinity problem leads to severe
drinking water crisis, due to which residents are affected by several
diseases. One of the local respondents stated that “drinking water
scarcity is one of the biggest problems in these areas, with the main
problem being the presence of salt in tube-well water. We cannot drink
water properly, and if we drink more water, we do not feel comfor-
table.”
3.2.1. Drinking water scarcity and local adaptation strategies
A significant drinking water scarcity score was observed in
Munshigonj (score 0.769), Burigoaliny (score 0.765), Gabura (score
0.761), and Atulia (score 0.761) unions, whereas Padmapukur had a
score of 0.686, as shown in Fig. 3, d. These scores are indicative of
regional salinity hazards, potable water scarcity, and an inconsistent
drinking water supply in the coastal community. As seen in Table 1,
approximately 100% of the households in Gabura and Munshigonj

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union had no access to pure groundwater while nearly 88.57%,
90.57%, and 49.23% of households in Atulia, Burigoaliny, and Pad-
mapukur, respectively, reported the presence of groundwater con-
taminants in their areas. On average, we found that 95% of households
try to harvest rainwater (short-term or long-term) for drinking pur-
poses. The average number of months per year in which rainwater was
available for drinking purposes was recorded as 3.46 months for Atulia,
3.98 months for Burigoaliny, 2.89 months for Gabura, 3.09 months for
Munshigonj, and 2.58 months for Padmapukur union, as shown in
Table 1. During the rest of the year, they had to drink local pond water
or salinity-contaminated tube-well water.
Approximately 100% of the households have a household member
who travels a particular distance to meet their daily drinking water
demand. During the survey, the average potable water collection time
in hours per day (h) was estimated for the five studied unions in the
study area. The results were 3.42 h for Atulia, 2.69 h for Burigoaliny,
3.25 h for Gabura, 4.25 h for Munshigonj, and 4.14 h for Padmapukur
(Table 1). Moreover, approximately 45% of the households regularly
use pond water for drinking purposes and most of them drink it directly
without taking any disinfection measures. A small number of house-
holds were found to drink pond water after boiling it. Not all house-
holds reported on whether they treated pond water with chemicals.
Pond water may contain pathogens and several types of contaminants
(both inorganic and organic) that can cause human diseases through
short- and long-term poisoning.
Our study showed that 78.57% of households in Atulia, 60.38% of
households in Burigoaliny, 85.71% of households in Gabura, 37.86% of
households in Munshigonj, and 73.85% of households in Padmapukur
union have no capacity to buy fresh bottled water during emergency
health conditions such as severe diarrhea. Very few people were found
to use water from desalination plants during emergency periods to
fulfill their needs. Local people reported that they could not regularly
drink enough water to meet their body's demands owing to serious
drinking water shortages and lack of access to drinking water.
Consequently, an average of 83% of local people reported facing un-
wanted conflict (e.g., a quarrel or physical altercation) with neighbors
during severe water scarcity periods.
3.2.2. Health crisis
Because of the long-term consequences of the regional water crisis,
health crisis scores were estimated as 0.661 for Gabura, 0.629 for
Burigoaliny, 0.617 for Munshigonj, 0.600 for Padmapukur, and 0.598
for Atulia, as shown in Fig. 3, e. Many households with members suf-
fering from high blood pressure and cardiovascular diseases were
identified. Estimated percentages of high blood pressure and cardio-
vascular disease, respectively, were 48.57% and 21.43% for Atulia,
43.40% and 22.64% for Burigoaliny, 44.64% and 32.14% for Gabura,
48.21% and 33.93% for Munshigonj, and 50.77% and 24.62% for
Padmapukur (Table 1). More than 10% of households in Gabura, Bur-
igoaliny, and Munshigonj reported a high prevalence of kidney dis-
eases. Nearly 90% of households in Gabura reported the incidence of
skin diseases (Fig. 5, a-d) and diarrhea. Approximately 80% of house-
holds in the remaining unions reported skin diseases and diarrhea. In
addition, almost 30% of households across all unions reported other
conditions such as respiratory diseases, asthma, dysentery, typhoid
fever, etc.
Approximately 100% of people opined that the regional prevalence
of acute and chronic diseases has increased. Simultaneously, the
average household health expenditure has also significantly increased
(Fig. 3, g), but the financial capacity of the local people is too weak to
cover the actual treatment cost. Thus, more than 95% of residents do
not get proper treatment because of high treatment costs and lack of
government and non-government medical support at the community
level, receiving some medical support only during the immediate
aftermath of devastating disasters. Our study found that 95% of peoples
are not satisfied with the present status of external healthcare facilities.
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One of the local respondents stated, “I am suffering from severe skin
diseases, heart diseases, and dysentery for the last 7 years. Two of my
sons are severely affected by heart diseases and tumor, but I do not have
enough money to get treatment for me or my sons. We are passing
through a very difficult time now.”
3.3. Migration risk
Local people feel the necessity for additional money to meet many
of their household demands at the end of month, whereas the average
health treatment cost has increased by 28.14% in Atulia, 24.21% in
Munshigonj, 23.21% in Gabura, 22.54% in Padmapukur, and 21.76% in
Burigoaliny. Considering this situation, migration risk levels were es-
timated for Gabura (score 0.792), Munshigonj (score 0.785), Atulia
(score 0.784), Burigoaliny (score 0.765), and Padmapukur (score
0.736) (Fig. 3, h). Local opinion reveals that, in most cases, low-income
people try to ignore their health diseases or treatments owing to food
insecurity and financial crisis, which leads to a thought process of “first
food, then treatment.” Simultaneously, socioeconomic vulnerability and
household health expenditures have significantly increased because of
salinity hazards in the coastal belt of Bangladesh. According to dis-
cussions with local people, if something like Aila happens again, in-
dividuals who have enough money or property within a society would
migrate to other areas of the country or across the border, depending on
their options.
3.4. Adaptive capacity
Finally, a relatively high adaptive capacity score was found in Atulia
(score 0.563), followed by Munshigonj (score 0.544), Padmapukur
(score 0.527), and Burigoaliny (score 0.522) (Fig. 3, i). The lowest
adaptive capacity was found in Gabura (score 0.506). Approximately
40% of the total population in Gabura is illiterate; illiteracy rates in the
remaining unions were observed as 37.41% in Atulia, 29.57% in Bur-
igoaliny, 26.34% in Munshigonj, and 23.57% in Padmapukur. The
highest dependency ratio was estimated in Gabura (0.500), followed by
Atulia (0.475), and Padmapukur (0.392). According to survey results,
the highest and lowest numbers of migrated households were found in
the Munshigonj (39.29%) and Atulia (18.57%), respectively. Almost all
the five unions depended on support from government and non-gov-
ernment organizations, which was calculated as Atulia (57.14%), Bur-
igoaliny (54.72%), Gabura (37.50%), Munshigonj (66.07%), and Pad-
mapukur (47.69%). Household expenses were a major factor in the
need for credit support. In addition, road networks were not well-de-
veloped in Gabura (Table 1), nor was the connectivity of Gabura to
mainland areas.
4. Discussion
Sensitivity and the degree of disaster exposure are considered the
principal limiting factors in weakening the household economy.
However, the average loss of household property was significantly high
compared to family income over the last ten years. Kulatunga et al.
(2014) stated that tropical cyclone causes damage and, economy loss,
and disturbs social settings. Coping mechanisms in coastal communities
varied during post-disaster periods in relation to household adaptive
capacity, resource availability, and external support. Most individuals
coped with their disaster losses and damages by depending on natural
resources, fishing in the river, taking a loan, relief, working with relief,
and by withholding food intake until a certain time of the day. A
number of people were identified who live below the poverty line. The
principal causes of poverty were cyclonic hits, damages, property loss,
salinity intrusion, and decreased work opportunities.
Thus, sensitivity is a spectrum of social components that illustrate
existing economic statuses and facilities, as well as how efficiently the
community is in recovering from disaster impacts. Local peoples believe
M.A. Rakib, et al. Journal of Environmental Management 240 (2019) 238–248

Fig. 5. Adaptation techniques to remedy potable water scarcities and health crises among coastal communities: a-d. skin disease patients, e. rainwater harvesting
tank connected to rooftops, f, g. rainwater harvesting techniques at a house, h. women collecting pond water, i. household head traveling outside of the community to
collect potable water, j. abandoned pond sand filter (PSF) that was used to filter pond water, k. abandoned pond water treatment plant that was used to treat water
through chemicals, and l. local water filter using sand particles to treat water. (Source: Author).

that coastal disaster and its associated hazards decreased their local
livelihood opportunities. Many local people try to find work outside of
the community as day laborer, such as a rickshaw puller, brick field
worker, or garment worker. For at least a few months in a year, many of
them remain unemployed. On the other hand, exposure relates to how
those areas are exposed or affected by environmental consequences
and/or climate disasters. Essentially, exposure level depends on disaster
frequencies, magnitudes, intensities, and adaptive capacities. Owing to
climate change impacts, the magnitudes and frequency of hydro-cli-
matic impacts, such as cyclonic storm surges and floods, have increased
(Penning-Rowsell et al., 2013). In response to cyclonic storm surges,
damage, and property loss, many coastal households have migrated to
other parts of the country or to other countries. In addition, fresh water
and soil-based livelihood sectors are nearly devastated and seem to be
limited to the coastal belt of Bangladesh. Individuals are not getting
enough support to lead their coastal lifestyles and are now facing more
dire situations for longer periods of time.
Both high salinity drinking water and health crises increase human
health hazards. Local people harvest rainwater using plastic tanks, ce-
ment tanks, mud pots, buckets, and kitchen utensils. Primarily, water
tanks are connected to rooftops with a pipe (Fig. 5, e). During rainy
periods, water accumulates along with debris and unhygienic sub-
stances (Fig. 5, f). Polyethylene sheets were used by the people as a tool
to harvest rainwater, and this technique causes, water to remain ex-
posed to open air and sometimes contain external materials or con-
taminants like particulate matter and debris (Fig. 5, g). Based on local
opinions, the average dependency ratio of rainwater use for drinking
purposes has increased by several-fold owing to severe salinity hazards
in subsurface and surface water. Khan et al. (2011) reported that sea
level rise is the possible cause of salinity in natural drinking water
sources and that salinity may contribute to rise in the future. Most
people cannot rely on rainwater for drinking because of a lack of
rainwater harvesting facilities and rainfall uncertainty. Thus, the har-
vesting, preservation, and proper management of rainwater is directly
associated with individual behaviors, regional rainfall patterns, fi-
nancial wellbeing, and rainwater harvesting facilities (Rakib et al.,
2019). A majority of the local people cannot afford to purchase a
rainwater-harvesting tank for long-term water conservation.
In many cases, rural women are engaged in rainwater harvesting
and water storage-related household activities, but they spend much
more time on potable water collection activities (Fig. 5, h). Often, the
household head goes outside of the community to collect drinking
water, as shown in Fig. 5, i, and travels more than four kilometers for
this purpose. The travel frequency and total travel time vary depending
on the potable water demand in a family, the location of the water
source, and the road network system. In addition, local people try to
collect drinking water from other sources. This water is generally col-
lected from a source that is not a fresh water source, such as a local
pond or a tube-well with less contaminated water.
Additionally, the average salinity of local pond water has increased
with time. Local ponds do not contain fresh water, and the salinity of
pond water is highest during the summer season. A pond may contain
only slightly salinized water during some periods but exceed the per-
missible salinity level for the human body at others. Local people be-
lieve that since the Aila cyclone in 2009, most fresh water reservoirs,
such as local ponds, have been contaminated with high salinity water
owing to devastating cyclonic storm surges, long inundation periods,
and flooding. Local peoples regularly use contaminated water for
drinking, washing, bathing, and cooking purposes. Respondents stated
that when used for cooking, the water accumulates salt in cooked food,
and such meals are unappetizing and unhealthy. Eating high-salt food
regularly may pose a severe health risk, although this can vary de-
pending on the type of food cooked and the number of times a person
eats food cooked in saline water in a day. Furthermore, local people do

245
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not have the capacity to buy bottled water for drinking purposes. In
addition, transportation costs and travel time were also potential con-
straints that caused the respondents to drink less water per day.
Vineis et al. (2011) reported that salinity-related health impacts are
much higher in low-income countries, as people in these nations are
more likely to use untreated or insufficiently-treated water. In the past,
pond sand filter (PSF) systems were commonly used to filter pond water
in various regions of the coastal belt (Fig. 5, j), but there were diffi-
culties in terms of system maintenance, operational process, responsi-
bilities, and financial support with this practice. This type of treatment
facility is not effective in protecting against detrimental pathogens and
chemical components. Another treatment plant shown in Fig. 5, k, was
established to treat local pond water using a chemical process, but now
it has been shut down. According to local people's opinion, most people
are interested in communal water treatment facilities, but high main-
tenance and operational costs are difficult to bear because of worsening
socioeconomic conditions. In effect, they do not have efficient water
treatment facilities that can serve them in the long-term during adverse
drinking water crisis situations. A few households use local water filters
(such as a local sand filtering system) (Fig. 5, l), but they are not ef-
fective in removing salt, pathogens, and other harmful components
(e.g., organic and inorganic contaminants). They only help to interlock
and remove macro debris. In addition, there is no consistent water
supply system for a multitude of people living with serious water
scarcity problems. Therefore, social conflict is a common issue in terms
of potable water scarcity and collection of water from sources, such as
ponds or tube-wells.
In our study, health crisis was considered to encompass substantial
diseases that primarily originate from the water salinity problem in the
coastal communities of Bangladesh. Skin diseases and diarrhea were
typically found to be acute problems and these diseases are significantly
spreading in coastal communities due to the increasing level of water
salinity. During the summer season, skin diseases and incidence of
diarrhea become more severe because of high salinity conditions in
surface and groundwater, lack of access to fresh water, and local people
regularly working in high salinity conditions. A majority of respondents
reported that chronic diseases, including blood pressure, cardiovascular
diseases, and kidney diseases, have become more prevalent in the past
two to four years, while acute diseases like skin diseases and diarrhea
have been common ailments within the community for the past six to
eight years (Fig. 6a and b). Blood pressure is considered as a cause of
hypertension and cardiovascular diseases (Talukder et al., 2016). Thus,
human health diseases (both acute and chronic) have increased after
the devastating disaster Aila (2009) compared to previous eras. On the
other hand, most of the local people surveyed work regularly in high-
salinity environments (e.g., in shrimp farms), but suffer greatly from
severe skin disease and diarrhea during the summer season in parti-
cular. According to local doctors, water salinity and potable water
scarcity are considered the principal causes of various human health
Fig. 6. Salinity causes disease prevalence among the coastal communities. a, chronic and acute diseases patients ratio among the five unions. b, diseases prevalence
period (average ratio) with the respective diseases. (Source: Author)
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Journal of Environmental Management 240 (2019) 238–248
diseases. Therefore, local people regularly try to obtain a loan from
neighbors to tackle an emergency situation. This is not a good strategy
to continue a long-term treatment. In addition, the long-term use of
salinity-contaminated water for drinking purposes can cause massive
public health problems in coastal communities while frequent coastal
disasters, waterlogging, and climate change impacts increase the river
and groundwater salinity in coastal lowland areas. The degree of sali-
nity hazards and social health crises may soon become more severe.
As presented in Fig. 3, a, in Gabura union, the household economy
and physical aspects are found to be highly sensitive because of chronic
poverty, lack of energy access, inadequate sanitation facilities, disaster
loss and damage, high food consumption costs, a lack of intensive
farming activities, and high disease prevalence. Exposure to natural
disasters in Gabura union is lower than that of other unions because of
their effective individual and social responses during disasters, such as
evacuation periods, alertness to disasters, signal, and so on. Despite its
relatively low disaster exposure, it showed the highest socioeconomic
vulnerability because of high sensitivity scores on factors of disaster-
affected economy and physical assets of the household. On the other
hand, owing to potable water scarcity and human health diseases, it
revealed a high health hazard status when exploring significant index
values. Health diseases in various communities in all the five unions
have led to increased health expenditures; meanwhile, the socio-
economic condition of these unions is considered more vulnerable and
their existing adaptive capacity is significantly low. Now, health ex-
penditure is one of the most influential factors that can increase po-
pulation migration considering coastal environmental hazards, drinking
water contamination, and health diseases.
Even though the migration risk of Padmapukur union was also
significantly high, it was relatively low compared to Munshigonj,
Atulia, and Burigoaliny because it has less socioeconomic vulner-
abilities, less drinking water scarcity, lower levels of health crisis, and
less health hazards. Local peoples believe that human health diseases
and health expenditures significantly increased after the devastating
cyclonic storms Aila (2009) and Sidr (2007). After Aila, some parts of
the coastal area were inundated with high salinity water for two to
three years. During those periods, a majority of residents were greatly
exposed to the high salinity environment (Fig. 7). Numerous re-
spondents within Padmapukur union said they try to drink less sali-
nized water because they have a few potable water desalinization fa-
cilities inside or outside of their community. In some places, a few deep
tube-well water sources also contain a low salt content. In addition,
they try to collect less contaminated water from remote areas.
A majority of coastal communities depend on coast-based liveli-
hoods and credit support. Because of a decrease in the diversity of li-
velihood patterns, household incomes have been interrupted. Along
with socioeconomic vulnerability, local peoples encounter massive re-
gional salinity hazards in surface and sub-surface water, along with
potable water scarcity, widespread disease, and lack of health care
M.A. Rakib, et al. Journal of Environmental Management 240 (2019) 238–248

Fig. 7. A summary of study findings in regard to the household questionnaire survey results, local people's perceptions, and field observations. Many peoples
migrated after cyclone Sidr (2007) and Aila (2009). After Aila, a majority of people in the southwestern coastal belt were severely affected, and socioeconomic
structures were devastated because of infrastructure damage, property loss, poverty, and death. Severe drinking water shortages and acute health crises emerged
because of the inundation of the large area while sub-surface and surface water were contaminated by seawater intrusion in the coastal area. Within a short time, the
area was overwhelmed. As a result, approximately 98% of fresh water reservoirs and ecosystem were destroyed due to the inclusion of seawater. For the time being,
the average salinity of water in the tidal rivers and other surface water has been increased. Due to the long presence of salinity hazards, local people have shifted from
agricultural farming to aquaculture. The impacts of sea level rise, waterlogging, aquaculture, and flooding hazards are augmenting the average salinity in the coastal
aquifer. Over the last few decades, local peoples have been highly exposed to drinking water salinity and a severe water crisis that has created a coastal public health
crisis. Within the disaster-affected economy, local peoples are facing difficulties meeting the demand of potable water collection and health expenditures. The
integrated impacts of coastal hazards have increased the mass population migration risk in the southwestern coastal community of Bangladesh. (Source: Author).

support. A continuation of this may lead to social crises that contribute
to increased migration of coastal communities within the country or
across the border. Climate change and sea level rise may act as principal
enhancers of social insecurities and the possible migration of coastal
communities. Environmental events influence displacement or cause
migration (Collins, 2013). Similarly, adaptive capacity scores of the
studied unions were significantly lower than their migration risk values,
which suggest an imbalanced development in the coastal community.
5. Conclusions and policy implications
This study estimated population migration risk due to the recent
coastal salinity hazard that is creating potable water scarcities and
health implications in Bangladesh. Across each of the studied unions,
there were no significant differences in geographical location, en-
vironmental exposure, or social and economic activities. The south-
western part was found to be more vulnerable to cyclonic storm surges
and sea level rise caused by climate change. However, coastal com-
munities have recently been experiencing worsening salinity condi-
tions. Socioeconomically, all the studied unions were highly exposed to
coastal disaster and were economically sensitive. On the other hand, as
a silent killer, high and long-term salinity exposure has deteriorated the
coastal lifestyle and changed the way in which the communities access
and use fresh water. As an isolated union, Gabura was identified as
having the highest possibility of heightening population migration
based on aspects of a worse socioeconomic status, severe health ha-
zards, and increased treatment costs. Gabura was followed by the
Munshigonj, Atulia, Burigualini, and Padmapukur unions, respectively.
An insignificant difference was found between migration risk scores
because of the selected locations and degrees of environmental ex-
posure and social-economic activities. In contrast, the adaptive capacity
of each studied union was much lower than the migration risk scores,
which singularly demonstrated the vulnerability of various coastal
communities. Soon, sea level rise and related hazards like salinity,
drinking water crises, and health hazards may increase population
migration from the coastal belt of Bangladesh.
To tackle coastal hazards and relevant risks, as an urgent action, a
policy should be formulated that integrates matters related to coastal
problems, impact of natural disasters, and possible solutions aimed at
creating a better future for coastal environments and communities.
Integrated policy measures can be helpful in securing coastal commu-
nities facing coastal disasters; severe salinity hazards and drinking
water scarcity are also serious issues to be handled. In this case, there is
an immediate need to identify social perceptions regarding the high
salinity water crisis, how its impact could be reduced, and what are the
best social actions or co-activities between government and non-gov-
ernment organizations regarding the salinity problem, potable water
shortages, and strategies for meeting drinking water demands.
Simultaneously, the government should identify weak zones of riv-
erbank erosion as well as areas vulnerable to flooding and waterlogging
during and after cyclonic storm surges, and then try to reconstruct dams
or embankments to ensure future sustainability. Additionally, the
government should stop human intervention along the riverbank,
which occurs for the purpose of shrimp cultivation. Furthermore, local
people try to harvest rainwater, but it is not sufficient to meet their
potable water demands. Therefore, a communal rainwater harvesting
yard should be facilitated that can supply drinking water to meet each
household's potable water demands. Alternatively, low-cost sustainable
technology can be provided to meet household potable water demands,
or a common desalinization plant can be installed to ensure a sustain-
able water supply in conjunction with sustainable consumption tech-
niques practiced at the household level. A master aquifer could be
identified in some areas to help supply water to all peripheries of the
coastal community. Furthermore, coastal residents are suffering from

247
M.A. Rakib, et al.
various types of diseases that are mostly caused by salinized water.
Health check-ups should be conducted regularly to measure the impact
of potable water access and salt intake, and to monitor how health
diseases worsen. Moreover, this crisis exerts pressure on the basic needs
of people because of additional costs of medical treatments. Our prin-
cipal findings show that people are more vulnerable to migrate when
faced with the challenges discussed in this study. To stop mass migra-
tion caused by coastal disaster, socioeconomic vulnerability and the
consequences of hazards, such as high salinity environments, potable
water crisis, and public health issues, must be considered. Additionally,
these considerations should be followed up with development activities
in areas facing adverse conditions to ensure sustainable social devel-
opment in the coastal community.
Competing interests
The authors declare no competing interests.
Acknowledgements
The authors acknowledge the local communities who were assisted
and cooperated during the field survey. The authors also acknowledge
the Ministry of Education, Culture, Sports, Science and Technology
(MEXT) for scholarship support during the authors' MS program with
the Graduate Program of Sustainability Science-Global Leadership
Initiative at the Graduate School of Frontier Sciences, the University of
Tokyo, Japan. This work was partially funded by JSPS KAKENHI Grant
No. JP25303016.
Appendix A. Supplementary data
Supplementary data to this article can be found online at https://
doi.org/10.1016/j.jenvman.2019.03.101.
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 Journal of Cleaner Production 229 (2019) 213e231

Contents lists available at ScienceDirect

Journal of Cleaner Production

journal homepage: www.elsevier.com/locate/jclepro

Review

A review of studies on sustainable development in mining life cycle

Elmira Tajvidi Asr a, *, Reza Kakaie a, Mohammad Ataei a,
Mohammad Reza Tavakoli Mohammadi b
a
Mining Engineering Department, Shahrood University of Technology, Semnan, Iran
b
Beneficiation and Hydrometallurgy Research Group, Mineral Processing Research Center, Academic Center for Education, Culture and Research (ACECR) on
TMU, Tehran, Iran

a r t i c l e i n f o a b s t r a c t

Article history: Mining industry is closely linked with sustainable development, which leads to positive and negative
Received 29 October 2017 impacts of this industry on three key principles of sustainable development, including society, economy,
Received in revised form and environment. For ideal implementation and integration of sustainable development in the industry,
30 April 2019
the three principles of sustainability should be simultaneously applied and not sequentially at different
Accepted 3 May 2019
stages of the mining life cycle to maximize the opportunities in the mining industry to contribute to
Available online 4 May 2019
comprehensive development. A suitable framework for sustainable development will be created through
the interaction of these principles with activities carried out in different stages of mining life cycle and
Keywords:
Sustainable development
their implementation in the mining projects can be economically profitable, environmentally clean, and
Mining life cycle socially responsible. In this study, the researchers’ comments about the sustainability or unsustainability
Environment of the mining industry have been presented, as well as the necessity of integrating sustainable devel-
Society opment considerations in mining life cycle, expression of sustainability conditions, necessary measures,
Economy and appropriate solutions for each stage. Also, the review of the studies will be discussed.
© 2019 Elsevier Ltd. All rights reserved.

Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
2. The sustainability conditions for the mining industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
3. Sustainable development studies in various stages of mining life cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
3.1. Stage 1: exploration and feasibility studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
3.2. Stage 2: mine design and planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 216
3.3. Stage 3: construction of structures and installation of equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
3.4. Stage 4: exploitation and mineral processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
3.5. Stage 5: mine closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
3.6. Stage 6: post-mining land use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
4. Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
5. Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229

1. Introduction

The concept of sustainable development (SD) was raised to

achieve a suitable and conducive environment for development in
the early 1970s. In 1980, SD was introduced by the International
* Corresponding author.
E-mail address: e.tajvidi@shahroodut.ac.ir (E.T. Asr). Union for Conservation of Nature and Natural Resources (IUCN) for

https://doi.org/10.1016/j.jclepro.2019.05.029
0959-6526/© 2019 Elsevier Ltd. All rights reserved.
214 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
the first time. In its report entitled “strategies to preserve natural
resources,” this organization used the term SD to describe the sit-
uation that is not harmful to nature, on the contrary, comes to its
support. In addition, this concept was introduced with the
approach of the World Commission on Environment and Devel-
opment (WCED) in 1987. Gro Harlem Brundtland was the president
of this commission; hence, the commission and its extracted report
entitled “Our Common Future” were later called in his name. The
Commission called for an international meeting with specific ob-
jectives and plans. The meeting was held in 1992 in Rio de Janeiro,
Brazil. The result of this meeting was a comprehensive plan for the
future and required global, national, and local measures to create a
more sustainable life on Earth. In the provided agenda, the SD
definition included social and economic aspects in addition to
environmental issues (United Nations Conference of Environment
and Development, 1992).
Perhaps the best expression for SD is the definition that pro-
posed by the Brundtland Commission: “Sustainable development is
development that meets the needs of the present without
compromising the ability of future generations to meet their own
needs.” Thus, SD is a development plan that not only considers
improving the life of the present generation, but also future gen-
erations (Dernbach, 1998, 2003; Cerin, 2006).
Since then, various definitions for SD were suggested and some
of them are as follows (Elliott, 2006; Rogers et al., 2008; Richards,
2009):
✓ Maintaining a balance between the development and the
environment.
✓ Improving the quality of citizens' life without the degradation of
natural resources due to excessive pressure.
✓ Creating a situation in which the desirability and facilities are
not reduced over time.
✓ The ability of the society, ecosystem or any current system to
continue functioning in the indefinite future without being
necessarily drawn to weakness due to the lack of resources upon
which the system is dependent despite too much load on them.
✓ Integrating the economic, social, and environmental objectives
to maximize the welfare of the current generation without
harming the ability of future generations to meet their needs.
According to the above definitions, the concept of SD is holistic
and encompasses all aspects of social, economic, cultural, envi-
ronmental, and other human needs. In fact, the main attraction of
SD is its holistic nature (Rajaram et al., 2005; Botin, 2009).
The concept of SD gained its interest among miners from the
United Nation's Earth Summit Conference in Rio de Janeiro, Brazil in
1992 (Osanloo and Rahmanpour, 2017). Since then, different opin-
ions on the subject were presented by researchers who were on
opposite sides. Von Below (1993) stated that ongoing mineral
exploration, technological innovation, and environmental recla-
mation are in line with the SD of mines. Similarly, Allan (1995)
defined sustainable mining in cases where the rate of minerals
usage does not exceed the capacity to find new resources, accept-
able substitutes or recycling. Learmont (1997) showed that mining
can be considered a sustainable activity by case studies on mines
with a long lifespan. Basu and Kumar (2004) stated the good
governance as the foundation of SD and that the interaction with
project stakeholders is necessary to achieve SD in mining activities.
Eggert (2006) stated that maintaining environmental quality, social
equity, and economic growth are requirements of SD in the mining
industry. Laurence (2011) reviewed the reasons for the closure of
more than 1000 mines during the past 30 years and declared since
the closure of a mine will lead to unsustainability in mining ac-
tivities, efforts must be made for the sustainability of mining
operations with respect to five practices, which are shown in Fig. 1.
From the viewpoint of safety, the following measures should be
implemented in mines: a commitment to risk management,
appropriate attitudes and behaviours, reporting systems in place, a
focus on education and training, as well as focus on processes and
equipment. In economic terms, integration of SD in mining oper-
ations will lead to reduced costs of labour, fewer labour disputes,
increased retention rates, lower health care and production costs,
reduced regulatory burden, lower closure, borrowing, and insur-
ance costs, as well as improved investor relations. The practice of
resource management and extraction in mines is important from
the perspective of resource efficiency. In this regard, proper coor-
dination between mining engineers, geologists, and metallurgists is
essential to optimize resource extraction. From an environmental
perspective, adoption of appropriate management practices in
mining sites is mandatory and any failure to implement it will be
followed by long-term complications such as acid mine drainage
(AMD). A mine must have ‘social licence to operate’ from the
community point of view. In other words, the share of the wealth
generated finds its way back into the community for the develop-
ment of socially useful infrastructure and institutions (Laurence,
2011).
Villas-Boas et al. (2005) declared that sustainability is different
from SD, although the terms are used interchangeably. The former
is a characteristic of healthy social and environmental systems and
refers to the ability of systems to withstand externally imposed
shocks and return to normal functioning. Sustainability, defined on
this basis, is not a characteristic of non-renewable minerals. On the
contrary, SD necessitates the integration of environmental policies
and development strategies so as to satisfy current and future hu-
man needs, improve the quality of life, and protect the environment
upon which our life depends. By this definition, minerals are clearly
a part of SD.
According to McCullough and Lund (2006), the mining industry
is oriented towards reducing the operational risks and maintaining
the social license for resource extraction. This implies the concept
of SD by creating a sustainable livelihood (employment, commu-
nity, development, and infrastructure), optimization of resources,
Fig. 1. Sustainable mining practices (Laurence, 2011).
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
Fig. 2. Major objectives and activities carried out during various stages of MLC.
and minimizing environmental and social impacts of mine closure.
The provisions of the Universal Declaration SD 227 and 228 known
as “Rio þ2000 in Brazil, which is devoted to mining, confirm the
above comments and is also a reason to accept mining as a
component of SD (United Nations, 2012).
In contrast with these comments, Crowson (1998) claimed that
mining is a limited reserve and will be sooner or later depleted.
Therefore, it is not sustainable. Worrall et al. (2009) believed that all
mineral resources are non-renewable and limited over time. Hence,
the mining operation is inherently unsustainable due to limited
extraction of land resources. According to Rajaram et al. (2005), no
mining operation can continue to be extracted forever and mining
leads to the completion of non-renewable resources, which can
have detrimental effects on the environment. Therefore, mining
cannot fit in SD format; though, it could be considered sustainable if
a balance is established between the three dimensions of economic,
social, and environmental sustainability.
According to the above-mentioned statements, mining is a
double-edged sword. On the one hand, it is an opportunity to
generate sustainable wealth for companies, governments, and
potentially communities and has a direct impact on environmental
degradation and social life on the other hand. In this study, it was
attempted to address the conditions of sustainability and necessary
measures, along with providing appropriate solutions for each
stage beside expressing the necessity of SD integration at different
stages of mining life cycle (MLC). Then, the researchers’ opinion on
the importance of this issue and their efforts in order to implement
SD considerations to be applied in various stages of MLC are criti-
cally discussed with a summary of major studies on each of the
stages. Obviously, through sorting the studied topics and identi-
fying existing research gaps in each stage, an appropriate context
can be provided to lead researchers towards the neglected issues.
2. The sustainability conditions for the mining industry
As one of the activities to exploit mineral resources, mining is
the lifeline of many countries. Exploitation of metallic and non-
metallic minerals and related industries is a major part of income
and employment in many countries and has a decisive role in both
215
social development and the economy. In contrast, the negative
environmental effects of the large-scale mining industry on water
resources, soil, air, and living organisms in different regions of the
world cannot be neglected (Carvalho, 2017). Therefore, the three
principles of economic, environmental, and social sustainability
should be simultaneously applied at different stages of MLC, rather
than in a sequential manner to help the mining industry in maxi-
mizing opportunities for economic, environmental, and social
development. It is necessary that all activities in the mining in-
dustry (Fig. 2) meet the following conditions at regional, national,
and international levels to be in line with the objectives of SD
(Giannopoulou and Panias, 2006):
✓ Considering the positive and negative social, economic, and
environmental effects of mineral and metal mining according to
the safety and health of employees.
✓ Applying the precautionary principle in such a way that the
producer can economically reduce the environmental impact of
the production process.
✓ Increased local participation in the development of mine during
exploitation and after the closure of activities.
✓ Providing economic, technical, and constructional facilities to
develop communities by optimizing mineral processing, stan-
dardization of small-scale mining, increasing the added value of
minerals' extraction, as well as rehabilitation and restoration of
the lands degraded by mining activities.
Through engagement of sustainability principles with activities
carried out in various stages of MLC under the above conditions, a
suitable framework will be created for SD, the implementation of
which makes mining projects economically profitable, environ-
mentally clean, and socially responsive.
3. Sustainable development studies in various stages of
mining life cycle
3.1. Stage 1: exploration and feasibility studies
These studies introduce methods in which the efficiency of the
216 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231

exploration phase of mining, in economic, social and ecological

scales could be risen (Kauppinen and Khajehzadeh, 2015). The
exploration phase of mining includes activities such as the con-
struction of access roads, mapping, drilling of trenches and bore-
holes, sampling, creation of waste dumps, and sometimes blasting.
These activities have often been associated with negative envi-
ronmental impacts such as overcutting of vegetation, soil degra-
dation, and the influence of mud and other drilling fluids into the
soil and water resources, which should be estimated to meet the
expectations of local communities (Hoadley et al., 2002). In addi-
tion, this phase produces negative eco-nomical, social and ecolog-
ical effects. For instance, diamond drilling is an expensive and time-
consuming process, having its effect on the surface flora and fauna,
as well as social effects because the drilling is usually allowed even
in conserved landscape (Kauppinen and Khajehzadeh, 2015).
For the purposes of SD at this stage, the following key items
should be regarded:

✓ Identification of landowners and negotiations for the acquisition

of land for mining activities
✓ Examining the possibility of future economic and social losses
due to mining activities
✓ Detection of cultural heritage sites and places of interest for
people in the region
✓ Determining the status of surface water and groundwater re-
sources (hydrology of site) to investigate the potential for
contamination
✓ Preliminary experiments on rocks of tailings dam of mine in
terms of metal content, pyrite, and sulfides to evaluate the ef-
fects of mining activities on the environment
✓ Evaluation of species of flora and fauna, the quality of surface
water and groundwater, the volume and type of tailings,
geotechnical characterization and the potential of acid produc-
tion in tailings
✓ Determining future policies for profitable use of land after
reclamation and subsequent development programs
Few SD studies about this stage have been reported. Kauppinen
and Khajehzadeh (2015) used the Data Envelopment Analysis (DEA)
approach as a modelling tool for sustainability of the exploration
phase of mining. Fig. 3 shows the basic idea of their research to
evaluate the different dimensions of sustainability, namely eco-
nomic, ecological and social aspects. Sustainability scores achieved
with DEA are an intuitive measure for sustainability.
In the following, a set of principles and criteria of SD that could
be the basis for developing a sectorial standard for the mineral
exploration industry suggested by Caron et al. (2016). These re-
searchers analysed available SD guidelines in order to achieve a
preliminary list of principles and criteria relevant to mineral
exploration. Then, a Delphi survey involving 44 experts were
allowed to obtain a final, consensual list of 8 principles (environ-
mental quality, quality of life, work environment, local investment,
business ethics, transparency and reporting, innovation, economic
efficiency) and 27 criteria specific to mineral exploration. Although,
this study focused on the mineral exploration context in Quebec
(Canada), the principles and criteria presented would likely be
relevant in other countries sharing similar contexts. Summary of
the exploration and feasibility studies is presented in the compar-
ative Table 1.
3.2. Stage 2: mine design and planning
The main purpose of mine planning is to design an integrated
system under which the mineral resource is extracted and supplied
to the market. This system must be the least costly and its activities
Fig. 3. Sustainability thematic diagram of the exploration phase (Kauppinen and
Khajehzadeh, 2015).
should be conducted in the framework of permitted environ-
mental, legal, and social range. The decisions made at this stage
play the most important role and the longest impact on the future
lifetime of the mine. However, the concepts and principles of SD,
which are among the important key considerations in the design of
mines and the greatest opportunities for reducing the adverse ef-
fects of mining activities at the design stage, are not sufficiently
taken into account at this step. To date, the standard foundations
for resource evaluation, planning, and design of mines have been
devoid of any considerable progress in integrating the SD concepts.
The best available methods for economic and engineering assess-
ment used by the mining industry in the feasibility and design of
the projects have not observed the sustainability principles and
terms. The main reasons for the lack of involvement of SD discus-
sions in the feasibility and design of projects include the following
(Mun ~ oz et al., 2014):
✓ Considerations of sustainability are studied in the final stages of
projects when most effective aspects upon social and environ-
mental factors have already been decided.
✓ Considerations of sustainability have been mainly focused on
the reduction of effects and control measures that are evaluated
outside the mine design process and operational planning.
It is expected that integrating sustainability during the mine
design and planning is a cost-effective way to reduce the envi-
ronmental and social risk factors, which increases the opportunities
in MLC and after it. Therefore, at this point, risk management of
effective factors in the long run should be on the agenda. In this
regard, the collection of accurate and complete information and
consultations with experts would be critical. Adopting a method
based on risk stratification enables the designers to detect future
contingent high-risk cases and predict the cost of confronting them
in their plans. For example, if there is an open-pit mine, the volume
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
Table 1
Summary of SD research in the field of exploration and feasibility studies.
Reference Study type Study
origin
Kauppinen and Khajehzadeh Survey and case study Finland
(2015)
Caron et al. (2016) Survey and Canada
conceptualization
of tailings and the risk of acid production will also be high but quick
access to the mineral will result in faster cash flow. In these cases,
designers should balance the long-term expenditures with this
short-term cash flow. As a powerful tool in planning and man-
agement, the risk management can determine the risk of each ac-
tivity and help the designers in the provision of controls for high-
risk cases (Khanna, 2000).
All the SD studies at this stage have been conducted on three
main topics of determining the optimum cut-off grade and the
ultimate pit limit (UPL) as well as production planning.
Cut-off grade is defined as the grade which discriminates be-
tween ore and waste within a given ore body (Osanloo et al., 2008).
A preliminary essential task to an analysis of cut-off grade strategy
is an examination of net present value (NPV) maximization for an
operation based upon a finite resource. The relationship between
the cut-off grade and NPV provides a means by which the cut-off
grades can be optimized (Lane, 1988). Cut-off grade optimization
is one of the major steps in mine planning and design of the open
pits (Gholamnejad, 2008). This step is important because (Whittle
and Vassiliev, 1998):
✓ Cut-off grade optimization can improve both long-term and
short-term cash-flows.
✓ Cut-off grade optimization is used for simulation of mining/
processing/stockpiling configurations in order to yield the
maximum economic benefit.
Optimum cut-off grades determination is counted as one of the
main challenges in SD principles of mining (Li and Chang, 2012;
Khodayari and Jafarnejad, 2012). King (1998) showed how reha-
bilitation and closure costs may impact the cut-off grade strategy
for a mining operation. He believed that any substantial mining
venture must account for appropriate rehabilitation of the land
impacted by the mining activities. Ramirez-Rodriguezm and
Rozgonyi (2004) calculated the cut-off grade using Lane algo-
rithm, one of the most popular algorithms for determination of the
optimum cut-off grade, by applying the cost of reconstruction in
the design and planning of open pit mines. Results of their research
showed that the integration of the SD requirements in mining
profitability and optimum cut-off grades is very essential.
Rashidinejad et al. (2008) developed an environmental oriented
model for optimum cut-off grades in open pit mining projects with
the concept of elimination or mitigation the waste/tailings and
pollution in the original place to minimize acid mine drainage.
Osanloo et al. (2008) argued how incorporating the associated
environmental costs into the optimum cut-off grade modelling can
add value to the mining projects and contribute to moving forward
from the traditional to an environmentally friendly cut-off grade
optimization. Gholamnejad (2008) inserted the rehabilitation cost
directly into the process of cut-off grade optimization using Lane's
theory. Results showed that considering rehabilitation cost can
decrease the cut-off grade and consequently, the amount of ore that
is sent to the concentrator and the amount of material that should
be sent to the waste dump. Hence the total amount of rehabilitation
cost during and after ore extraction is decreased and the total
217
Case Major objective/outcome
Talvivaara Introduced a measure for sustainability of exploration phase using DEA approach
mine
Quebec Identified SD principles and criteria for mineral exploration industry through a
Delphi survey
achievable NPV of the project will be increased. This researcher in a
similar study (2009) stated that the cut-off grades obtained using
suggested method will be more realistic rather than ones by using
the original form of the Lane's formulations. Rahimi and
Ghasemzadeh (2015) presented a new algorithm to determine
optimum cut-off grades considering technical, economic, environ-
mental and social aspects. This study proved that using hydro-
metallurgical methods for low-grade copper ores instead of
pyrometallurgical ones not only improves the NPV of copper mines
but also decreases the adverse environmental impacts and pro-
duces sustainable results from mining activities. Narrei and
Osanloo (2015) developed a model for determination of cut-off
grades in open-pit mines, in which, in addition to costs associ-
ated with management and reclamation of waste dumps, tailings
dam and pits, possible incomes from reclamation were also
considered. Application of the developed model in iron mine led to
some improvements in NPV of the project.
Nowadays, most of the minerals are produced by surface mining
methods; where the economic, social and environmental impacts
of these operations are closely related to UPL. UPL actuates the
amount of mineable reserves, stripping ratio, the location of waste
dump and tailings dam, and the area of lands that will be disturbed
at the end of a mining operation (Rahmanpour and Osanloo, 2016).
Sustainable mine design includes determining UPL and planning of
optimum annual production with the aim of maximizing the NPV
considering the SD criteria. Sustainability in mine design and
planning is considered a cost-effective method to reduce the
environmental, social and economic risks, which increases oppor-
tunities during MLC (Moradi and Osanloo, 2015). Few research ef-
forts have been directed to incorporate sustainability attributes in
the process of UPL determination and mine design. In this regard,
Odell (2004) proved that a holistic mine design process, which
integrates social, environmental and institutional criteria on an
equal footing with the geological, engineering and economic
criteria traditionally considered, can improve the sustainability
outcomes of a mine. Of course, this research provides a tentative
prototype for the future mine design process. Mun ~ oz et al. (2014)
developed a methodology to incorporate sustainability attributes,
directly into the geologic/resource block model to minimize social-
environmental impacts in the early stages of mine design. Results of
their research showed that incorporating sustainable parameters
into the block model would yield a more responsible mine design
and improve the sustainability performance of mining projects’. Xu
et al. (2014) quantified the ecological costs of open pit metal mining
and incorporated them in a pit optimization algorithm to demon-
strate the influence of ecological costs on pit optimization outcome.
They found that the pit optimization outcome shifts considerably to
the conservative side and the profitability decreases substantially
when ecological costs are accounted. Moradi and Osanloo (2015)
prioritized SD criteria affecting open pit mine design using Prefer-
ence Voting System (PVS) based on a model of DEA. Due to the
significance of the ultimate pit limit design stage in modern open
pit mining, this study attempted to quantify SD criteria affecting the
open pit mine design. Results indicated that the share of each cri-
terion of environmental, economic and social is 26, 38 and 36%,
218 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
respectively. Adibi and Ataee-pour (2015) developed a model based
on SD indicators to consider the economic and social benefits and
minimize the negative environmental impacts of an open pit mine
during UPL design and before exploitation. The proposed model
was explained by a simple 2D example and applied in an iron mine
as a case study. The results showed that when the mining investor
ignores a little of the mining profit, improvement in all aspects of
SD in mining is possible. In the same research, Adibi et al. (2015)
reused the mentioned model in a copper mine for solving the
“UPL selection based on SD” problem using the TOPSIS method. The
research findings showed that the UPL selected by the proposed
method had higher social and economic scores compared to the
traditional UPL. Rahmanpour and Osanloo (2016) considered the
impacts of different UPL alternatives on the sustainability of a
mining community. In their research, a Decision Support System
(DSS) was used to evaluate and understand the outcome of each
alternative for optimal decision-making and selected a sustainable
UPL with respect to the severity of impacts on sustainability in-
dicators. The system showed to be efficient in assessing the sus-
tainability issues of design alternatives during the feasibility
studies.
Mine planning includes a variety of techniques that are used to
find the best order of extraction from a mine with respect to con-
straints involved in mining and processing of the extracted material
(Badiozamani and Askari-Nasab, 2014). A common method of
determining optimal production planning is to utilize a linear-
programming model. These models simultaneously take into ac-
count all the variables associated with a project so that an optimal
production schedule can be derived. The integration of sustain-
ability attributes in the production schedule of mines has not
received much attention. Burgher and Erickson (1984) optimized a
strip coal mine production schedules using linear programming to
determine the mining sequence and the coal production rates
considering reclamation cost. In fact, they examined how optimal
production schedules will change for a typical small coal mine due
to reclamation requirements and a variable discount rate. Caccetta
and Kelsey (2001) determined the removal system of waste blocks
based on a mixed integer programming model. This research aimed
to minimize the creation of topography, reduce the costs of damped
construction and surfacing of mining waste at end of life. Ersan
et al. (2003) discussed major environmental challenges related to
the mining industry and especially concentrate on how to deal with
and minimize AMD generation through careful mine planning.
Although a lot of effort is being spent on treatment and prevention
of AMD, they believed that there is still significant work to be done
for reduction and prevention of AMD through eco-based strategic
mine planning practices. Roumpos and Papacosta (2013) developed
a framework for the strategic mine planning of surface mining
projects considering parameters of sustainability, their in-
terrelationships and their influence on the optimization model.
They described the critical role of sustainability parameters on the
strategic mine planning of surface mining projects by dividing the
mine planning model into interrelated sub-models, with a discus-
sion of some critical issues concerning the development of a surface
lignite mine. Badiozamani and Askari-Nasab (2014) integrated
reclamation and tailings management in oil sands surface mine
planning and verified the results by developing a mixed integer
linear programming model (MILP). The integrated mine planning
model provided the basis for further extensions in other strategic
planning frameworks, such as environmental planning and land-
use planning.
Summary of the Mine design and planning studies in three fields
of determining the optimum cut-off grade and the ultimate pit limit
(UPL) as well as production planning are presented in the
comparative Tables 2e4, respectively.
3.3. Stage 3: construction of structures and installation of
equipment
Construction activities and installation of equipment and
structures cause the first effects and visible changes on the sur-
rounding areas of mine sites. Some of the important actions that
need to be taken at this stage are as follows:
✓ Erosion control during construction to estimate it in the later
stages of mining activity
✓ Correct storage and transposition of lubricants and fuels, as well
as minimizing the production of sounds in order to reduce
pollution and long-term damage to the environment
✓ Proper collection and storage of surface soils and identification
of plant species with growth potential in the region
At this stage, due to the presence of the highest number of
personnel, recruiting local workforces can have a positive impact
on the economy and employment situation of the region. The de-
cisions and activities conducted in these steps can exert a long-
term impact on the environment, future land use, health, safety
of communities and ultimately the mine closure process. For
example, inadequate permeable infrastructure of the tailings dam,
tailings stockpile (especially sulfide waste) or water storage pools
can be a source of long-term leakage and contamination of
groundwater.
In relation with this stage, Anderson and Butler (2017) pre-
sented the standard for design life and durability of engineered
mine wastes structures. The proposed framework provided a
mechanism that regulatory agencies may adopt to standardize
assessment of potential long-term consequences associated with
these structures, including the quantification of relevant time pe-
riods and a funding structure to capture costs for on-going man-
agement once they are relinquished. The dearth of successful
rehabilitation and relinquishment of tailings storage facilities and
waste rock dumps globally is in part a consequence of the absence
of design life and durability standards. The codification of standards
to apply at planning and design is a necessary step to reversing this
circumstance.
3.4. Stage 4: exploitation and mineral processing
Mining activities raise various environmental impacts depend-
ing on their size, exploitation and processing methods employed.
Some of the most important environmental impacts of these stages
include mine fall and land subsidence, water/soil/air/noise/ther-
mal/radiation pollution, AMD, tailings dam failure, explosion and
spontaneous combustion, as well as the destruction of natural
landscape and ecosystems, which severely disturb the environ-
ment. These potential impacts directly or indirectly affect the local
environment and communities and, in some cases, their sur-
rounding area. Nowadays, there is strong pressure from the rele-
vant stakeholders to the mining industry to act towards reducing its
environmental footprint. For that reason, potential impacts of a
mining project should be identified and quantified well in advance,
preferably during the project planning phase, in order to conclude
on the most suitable mitigation measures and environmental
monitoring plan, thus improving overall environmental perfor-
mance (Marnika et al., 2015).
Key sustainability measures and recommendations for this
process include:
✓ Increasing the gross domestic product of the mining sector by
creating new mining and processing units
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231 219

Table 2
Summary of SD research in the field of cut-off grade optimization.

Reference Study type Study Case Major objective/outcome

origin

King (1998) Survey and case -a Evaluated the effects of mine closure and reclamation costs in determining the dynamic cut-off
study grade and the production rate
Ramirez-Rodriguezm and Survey and case -a Calculated the cut-off grade using Lane algorithm by applying the cost of reconstruction
Rozgonyi (2004) study
Rashidinejad et al. (2008) Survey General e Presented an environmental oriented model for optimum cut-off grades
Osanloo et al. (2008) Survey General e Incorporated the environmental issues into optimum cut-off grades modelling to minimize
AMD problem
Gholamnejad (2008) Survey General -b Inserted the rehabilitation cost directly into the process of cut-off grade optimization using
Lane's theory
Gholamnejad (2009) Survey General -b Incorporated the rehabilitation cost into the cut-off grade determination
Rahimi and Ghasemzadeh Survey and case Iran Sungun Presented a new algorithm to determine optimum cut-off grades considering technical,
(20115) study copper mine economical, environmental and social aspects
Narrei and Osanloo (2015) Survey and case Iran Gol-Gohar Developed a model for determination of cut-off grades considering possible incomes from
study iron mine reclamation
a
Lack of access to the original article.
b
Hypothetical example.

Table 3
Summary of SD research in the field of ultimate pit design.

Reference Study type Study Case Major objective/outcome

origin

Odell (2004) Survey and Peru Antamina mine in the Assessed different scenarios of mine design based on mine life by integrating the social,
case study Peruvian Andes environmental and organizational criteria with conventional criteria of geology, engineering and
economics
Mun~ oz et al. (2014) Survey and Chile Chilean copper mining Developed a methodology to minimize social-environmental impacts in the early stages of mine
case study design
Xu et al. (2014) Survey and China Iron mine in Incorporated the ecological costs in a pit optimization algorithm to evaluate their influence on
case study Northeastern China outcome
Moradi and Survey General e Quantified and prioritized SD criteria affecting open pit mine design using DEA model
Osanloo (2015)
Adibi and Ataee- Survey and Iran Jalalabad iron ore Developed a model based on SD indicators to consider the economic and social benefits and the
pour (2015) case study deposit negative environmental impacts
Adibi et al. (2015) Survey and Iran Sungun copper deposit Introduced a procedure for solving the “UPL selection based on SD” problem using TOPSIS method
case study
Rahmanpour and Survey and Iran Sungun copper mine Evaluated the outcome of different UPL alternatives using DSS for optimal decision-making
Osanloo (2016) case study

Table 4
Summary of SD research in the field of production planning.

Reference Study type Study Case Major objective/outcome

origin

Burgher and Erickson (1984) Survey General -a Considered reclamation cost into the optimization of coal mine production schedules
using Linear programming
b
Caccetta and Kelsey (2001) Survey and case - Determined the removal system of waste blocks using a mixed integer programming
study model to reduce the mining costs
Ersan et al. (2003) Survey General - Discussed eco-based strategic mine planning practices to solve the environmental
challenge of AMD generation
Roumpos and Papacosta Survey and case Greece Mavropigi lignite Developed a framework for the strategic mine planning considering parameters of
(2013) study mine sustainability
Badiozamani and Askari- Survey and case e Real dataset of oil Developed a new MILP model to maximize the NPV by considering the reclamation costs
Nasab (2014) study sands mine in its objective function
a
Hypothetical example.
b
Lack of access to the original article.

✓ Performing reclamation activities simultaneous with mining
operations and production process
✓ Applying high levels of safety to prevent the loss of capital, la-
bour, and mineral deposits in any event and also to prevent
environmental pollution due to harmful and toxic liquids
✓ Production of friendly environmental products that are
competitive on the international market
✓ Use of efficient processes, technologies, and equipment to ach-
ieve maximum efficiency
✓ Healthcare and welfare measures for workers, contractors, host
communities, and individuals who are engaged in these units
✓ Paying attention to indigenous peoples living near the mine site
and plant, as well as social, political, cultural, and economic
development of deprived areas
✓ Create social infrastructure such as schools, hospitals, health
facilities, sports facilities, and so on
✓ Preventing crude sales using new technologies of mineral
processing
220 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231

✓ Choosing a suitable location to establish processing units that

have a significant impact on increasing productivity and
achieving an added value of raw minerals
✓ Water management in different parts of mining pits and pro-
cessing units such as flotation, filters, thickeners, hydrometal-
lurgical units, tailings dams and reuse of returned water, and so
on
✓ Energy management in grinding systems such as mills, crushers,
minimizing the generation of fines at different parts, recovery of
fine and coarse particles, using clean energy, heat recovery, and
so on
✓ Reduction of adverse effects on the environment by reducing
waste generation and harmful residues, reducing the use of
explosives, toxic chemicals and considering their replacement
✓ Identifying local stakeholders and empowering them through
the interaction and participation in the planning and logistics of
local infrastructure
✓ Paying attention to recycling as an important and growing part
in the metals industry

And other important cases that could be a road map of mining

and processing units in achieving SD goals.
A number of associations, councils, and organizations have been
formed to monitor the legislation, implementation, and monitoring
of the rules in order to implement the SD principles in the mining
and mineral processing sector. One of these organizations is the
International Council of Mining and Metals (ICMM), which was
formed in 2001 to improve the performance of SD in the mining
industry and address the challenges in this industry. This associa-
tion now acts as an agent for change and continuous improvement
on issues related to mining and SD. In addition, efforts to
strengthen the relationship between companies, governments, in-
ternational organizations, communities, indigenous people, civil
society, and academia are among the activities of the council to
achieve this purpose. The ICMM believes that the collaboration of
leaders can be the catalyst for SD performance (ICMM Report,
2012). Fig. 4 shows the 10 principles of ICMM that are directly
applicable to the mining and minerals industry (ICMM, 2003).
Sustainability principles come in different forms, but in essence, the
mining and minerals industry have a common objective to advance
the contribution that the industry makes to sustainable develop-
ment (Tuazon et al., 2012).
Today, the integration of sustainability principles in decision
making processes of exploitation and mineral processing opera-
tions is a challenge that has not been addressed enough by the
current tools and methods. The reason for this claim is the low
Fig. 4. Sustainable development principles (10 Principles) of the ICMM (ICMM, 2003).
number of researches in these two fields.
In the exploitation field, Bascetin and Sertabipoglu (2010)
investigated the effects of different block size on reserve and phase. Peralta et al. (2016) reported that mining companies have
waste amount, chemical composition, ore quality control and the potential to save about 61% of their energy consumption if they
environmental impact of a quarry. For the purpose, the 3D ore body improve the efficiency of operations. Therefore, energy efficiency is
modelling and the geostatistical techniques were employed. Re- an important factor contributing to sustainable management. Ac-
sults showed that the changing chemical components and quality cording to the importance of this subject, they quantified the
control parameters are very important for the optimal mine plan- relationship between equipment reliability and energy consump-
ning and environmental considerations. Marnika et al. (2015) tion through a case study. Results of their research showed that an
formulated and categorized SD indicators for mining sites in pro- increase in truck capacities does not seem to be a good solution for
tected areas to develop a decision support tool for the evaluation of decreasing operating costs. Because, the cost of maintenance, fuel
alternative mining scenarios. The applied tool provided an inte- consumption and GHG emissions (due to the taxation proportional
grated approach to make efficient decisions on mining activities in to fuel consumption) increase accordingly with the dimension of
protected areas, with the optimal balance between the important the truck. In contrast, a maintenance policy based on equipment
ecosystems and the social-economic development, by the relevant reliability can significantly reduce energy consumption and its
stakeholders. According to the results, underground mining with associated gas emissions. Zhang et al. (2016) analysed the impacts
100% backfilling of the waste produced had the lowest calculated of residual coal on China's coal industry, including delaying the
overall impact, and this should be considered as the best option for depletion of coal, the development of coal exploitation, and the SD
mining projects in a protected area even during the initial planning
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
and the relevance between technologies and policies. According to
their research results, the exploitation of residual coal can effec-
tively delay China's coal depletion, inhibit the construction of new
mines, redress the imbalance between supply and demand of coal
in eastern China, improve the mining area environment and guar-
antee social stability. In conclusion, residual coal exploitation will
have positive effects on the coal supply, as well as SD in the coal
industry in China, but its development can be reduced by such
influences as economic development and environmental concerns.
In the mineral processing field, Stenson (2006) explored disaster
management as a tool for SD with a case study of cyanide leaching
in the gold mining industry. He identified two major challenges for
the gold mining industry, to globally promote best practice and to
effectively monitor compliance. Ndlovu (2008) considered the
influencing factors for the adoption and effective application of
biohydrometallurgy for the SD of the African minerals industry, and
described the possible reasons behind the lag in adoption of this
technology. Results of the research showed that the African coun-
tries need to increase their efforts in bridging the gap between
research and commercialization of the biohydrometallurgical
technology and to further encourage collaboration within the
continent. McLellan et al. (2009) reviewed the various tools and
methodologies used for incorporating sustainability considerations
into the design of mineral processing operations. Because there is
no consistent, integrated approach to support the mineral industry
in incorporating a greater level of sustainability into the design
process, they identified the required elements in such an approach
and believed that it could conceivably provide a smoother devel-
opment path for all stakeholders. Corder et al. (2010a, 2010b)
developed the SUStainable OPerations (SUSOP®) approach to
generate feasible plant design and operating options according to
SD principles, to evaluate the sustainability benefits and impacts of
these options, to assess each option using an SD-based decision-
support process, and to support the engineering, project manage-
ment and subsequent operations of projects. This approach
enhanced through application to real case studies and led to sig-
nificant insights for identifying and evaluating options that
enhance an operation's contribution to sustainability and its long-
term business case. Norgate and Haque (2010) carried out life cy-
cle assessments of mining and mineral processing of iron ore,
bauxite and copper concentrate with a focus on embodied energy
and greenhouse gas emissions. Results indicated that efforts to
reduce the increased greenhouse gas emissions from mining and
mineral processing should focus on loading and hauling for iron ore
and bauxite, while for copper ore the focus should be on grinding.
High pressure grinding rolls and stirred mills for grinding, and
further advances in diesel engine technology for loading and
hauling applications, as well as the use of mobile crushing and
conveying systems for open-pit mining were introduced as a
number of new and emerging technologies that can be expected to
assist in this task. Franks et al. (2011) developed a set of SD prin-
ciples for the disposal of mining and mineral processing wastes,
and discussed the implications for past, current and future practice.
They believed that these principles can guide waste disposal de-
cisions through the consideration of what risk and magnitude, in
any given local context, a particular management solution poses to
their application. Corder et al. (2012) presented the recent de-
velopments of the sustainability framework, SUSOP®, for inte-
grating SD into industrial plant design and operation for resource
conservation and recycling. They claimed that proper imple-
mentation of this framework will significantly enhance the
contribution of the resources sector into societal sustainability and
give greater certainty in developing “sustainable” operations.
Tuazon et al. (2012) proposed a practical and rigorous approach for
integrating sustainability principles into the decision-making
221
processes at mineral processing operations, and attempted to verify
the validity and usefulness of the methodology through two case
studies. The key difference between this methodology and a con-
ventional engineering decision process was from a sustainability
point-of-view rather than a traditional technical-financial one. Gazi
et al. (2012) provided a systematic approach for assessing the
current energy and environmental status of a typical marble quarry
and processing plant and proposed possible measures to improve
overall plant energy efficiency and environmental impact. The
proposed methodology was introduced as a prototype guideline for
the energy overview of similar middle-sized marble industries.
McLellan and Corder (2013) in the following of their joint re-
searches identified and mitigated the types of SD-risks by applying
a sustainability-based design framework (SUSOP®) to improve the
sustainability performance of minerals operations, and demon-
strated the relative success of the process in reducing some of the
potential risks. It was deduced that the risk reduction through us-
ing such an approach makes a significant contribution to the social
license to operate the resulting operation. Reyes-Bozo et al. (2014)
proposed a conceptual model based on industrial ecology and
cleaner production principles to improve the environmental sus-
tainability of flotation of copper sulphide ores by complete or
partial replacement of traditional collectors and frothers for less
hazardous materials. Results of this research indicated that the
application of the model will be effective for greening the overall
copper sulphide ore processing. Zhang (2014) presented sustain-
ability solutions for mining and processing of phosphate resources.
The increase of P2O5 recovery, application of wastes (particularly
phosphogypsum (PG) and waste clay) and recovery of metals
values from phosphate (including uranium, rare earth elements,
and possibly thorium) was introduced as three key areas to achieve
sustainability in this industry. Lebre et al. (2017) reviewed practices
of mining waste management and categorized these within a
proposed hierarchy with a specific focus on metal mining. The key
aim of the research has been to identify approaches that could
maximize resource utilization and value generation from waste
while mitigating its environmental impact. Increasing mineral
extraction and resource utilization from existing mine sites would
reduce the need to open new mines on virgin lands. Macedo et al.
(2017) analysed proposals to reinforce positive effects and mitigate
negative impacts derived from dimension stone mining. The
dimension stone mining presents the lowest environmental
impact. In spite of that, due to its economic importance, this in-
dustry affects nearby communities causing noise and visual
pollution, and damages to biodiversity and landscape, among other
environmental harms. The strategies proposed for SD in this
research took into consideration the importance and problems
related to exploitation, as well as to long-term sustainability of a
productive pole in a participatory process involving foresight. It
also suggested a short-term strategy: a sustainability certification
scheme for this activity. Based on the research results, the proposals
can potentially improve the dimension stone industry, turning this
activity more sustainable through the adoption of social and
environmental practices, not only through economy-related ones.
Summary of the studies in two fields of exploitation and mineral
processing are presented in the comparative Tables 5 and 6,
respectively.
3.5. Stage 5: mine closure
The term ‘Mine Closure’ is most commonly associated with the
environmental remediation of a depleted mine site and the
decommissioning of the associated process facilities and other
infrastructure. From the perspective of SD, useful and sustainable
application of the mining site after its cessation in long term
222 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231

Table 5
Summary of SD research in the field of exploitation.

Reference Study type Study Case Major objective/outcome

origin

Bascetin and Survey and case Turkey Quarry in Istanbul Evaluated the effective parameters in strategic mine planning and design for quarrying
Sertabipoglu (2010) study western part
Marnika et al. (2015) Survey and case European NATURA 2000 sites Develop a decision support tool to make efficient decisions on mining activities in
study Union protected areas
Peralta et al. (2016) Survey and case Turkey Equipment fleet of a Evaluated the effect of truck maintenance on the energy consumption and greenhouse
study Turkish mine gas emissions in mining trucks
Zhang et al. (2016) Survey and case China Residual coal mines Discussed the impacts of residual coal exploitation on SD of the coal industry
study

Table 6
Summary of SD research in the field of mineral processing.

Reference Study type Study origin Case Major objective/outcome

Stenson (2006) Review and case General Gold mining industry Outlined the disaster management plan for cyanide usage in the gold
study mining industry
Ndlovu (2008) Review and case African continent African minerals Described the possible reasons behind the lag in adoption of
study industry biohydrometallurgy for the SD of the African minerals industry
McLellan et al. (2009) Review General - Identified how currently tools contribute to a comprehensive approach
for Design for Sustainability (DfS) from a mineral processing perspective
Corder et al. (2010a,2010b) Conceptualization General - Introduced the SUSOP® framework for integrating SD into minerals
processing plant design and operation
Norgate and Haque (2010) Survey and case Australia Iron, bauxite and Evaluated the impacts of energy and greenhouse gas emissions in life
study copper ore cycle of mining and mineral processing
Franks et al. (2011) Conceptualization General - Developed a set of SD principles to guide responsible disposal of mining
and minerals processing wastes
Corder et al. (2012) Conceptualization General -a Presented the recent developments of the systematic and rigorous
and case study framework of SUSOP® for identifying and evaluating sustainability
opportunities
Tuazon et al. (2012) Conceptualization General -a Proposed a practical approach for integrating sustainability principles
and case study into the decision-making processes at mineral processing operations
Gazi et al. (2012) Survey and case Greece Quarry in Northern Provided a prototype guideline for the energy overview of a medium-
study Greece sized marble quarry and processing plant
McLellan and Corder (2013) Conceptualization Low-mid -a Outlined the SUSOP® framework application for improving the
and case study development sustainability performance of minerals operations and the possibilities
countries for SD risk reduction
Reyes-Bozo et al. (2014) Survey and case Chile Chilean copper Proposed an ecology model to improve the overall environmental
study sulphide mineral sustainability of copper sulphide ores flotation
industry
Zhang (2014) Review General e Outlined sustainability solutions for phosphate mining and processing
Lebre et al. (2017) Review General e Examined the sustainable practices and proactive approaches for the
management of mineralised waste
Macedo et al. (2017) Survey and case Brazil Northwest region of Demonstrated sustainability strategies for dimension stones industry
study Espírito Santo State
a
Unknown.

requires planning for proper implementation of the mine closure
process (Nehring and Cheng, 2016).
Upon completion of ore extraction, mine and sometimes its
related industries are closed, which has many adverse effects on the
economy, employment, and general social conditions of neigh-
bouring areas. As mentioned, economic and social development are
the pillars of SD and governments often predict such conditions and
try to minimize the social and economic problems caused by
mining. However, this would be hardly possible in developing
countries where much of the economy is based on mining.
The main objective of planning for this step is creating an
environment free from long-term environmental contamination
and social adverse effects, so that the necessary long-term gua-
rantees are given to subsequent owners of the site for other activ-
ities. Mine closure planning is a process that should start from the
very beginning in an early phase of the mine planning, as well as
during the stages of exploration and feasibility studies, which
should continue in other mine planning phases to the final phase,
i.e. mine closure.
In general, the mine is closed because of the completion of its
storage. However, in most cases, the closure of the mine is due to
the reasons associated with environment, economy, technique,
geology, law, geotechnics, policy making, governmental opposition,
opposition of groups and NGOs, equipment failure, risk of down-
stream industries and regional markets, disasters, and so on. In
terms of time, duration of mine closure process depends on the
number and complexity of activities, their impact on the environ-
ment, limits and standards foreseen in the rules of mine closure,
etc.
In recent years, apart from the existing legislation from gov-
ernments (in order to force mining authorities to close and reha-
bilitate the mine after completion of activities), international rules
have been enacted that persuade mining companies to respect and
be committed to perform the SD principles and criteria. Popular
highlights of laws on mine closure phase are as follows:
✓ Mining areas should not become a source of environmental
pollution in future
✓ Public health and safety should not be endangered
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
✓ The land use after mining activities should be useful, profitable,
and sustainable in the long run
✓ Economic and social damage should be minimized as much as
possible
✓ The existing potentials should be identified and strengthened in
order to maximize economic and social benefits.
Few studies have been conducted concerning the concepts of SD
in the mine closure process. In this regard, Laurence (2001)
described a simple empirical model to analyse the mine closure
risks at any site regardless of the complexity of the issues and the
scale, scope and location of the operation, and illustrated the use-
fulness of the model by a case study of a uranium mine. In the
following, this researcher (2006) explored the reasons why mines
close, examined the major risks associated with mine closure, and
presented a classification system for quantifying these risks for use
by mine operators and regulators. The system helped to minimize
the adverse social and community impacts of both premature and
planned mine closure. Fourie and Brent (2006) proposed a mine
closure model (MCM) based on project management principles,
including risk management and concurrent engineering, to manage
the closure process and assist the governing body with the effective
evaluation of closures and the issuance of certificates. These re-
searchers claimed that the MCM can help to accurately allocate
financial funds and manage rehabilitation with an aim of achieving
mine closure in a responsible manner. Hutchison and Dettore
(2011) determined mine closure costs and considered a large
number of combinations of closure elements using decision trees
and Monte Carlo techniques to generate useful cost-probability
information. These approaches provided a more formalized struc-
ture for identifying all possible future outcomes, as well as a sta-
tistical basis for select costs for financial analyses and reserve
establishment, which may result in the use of higher, more con-
servative closure cost estimates. Odell et al. (2011) developed a
framework of socio-environmental sustainability indicators using
information of communities located in the neighbourhood of mines
to monitor and improve social wellbeing and sustainability of the
projects through mine closure. According to this research, the nu-
ances of the dynamic and complex interaction between social
context and mining operations requires a relatively sophisticated
understanding of local livelihood strategies, gender relationships,
institutional arrangements, and politics. Marais (2013) investigated
the impact of the new legislation on social and economic conditions
of communities affected by mine downscaling in an area of mining
decline. Results of the research showed that despite an improved
legislative environment, the outcomes in respect of integrated
planning are disappointing, owing mainly to a lack of trust and
government incapacity to enact the new legislation. Consequently,
It was argued that legislative changes and a national response in
respect of mine downscaling are required. Rixen and Blangy (2016)
presented post-mining scenarios, 3 years before the anticipated
closure of the gold mine, and evaluated mine closure impacts on
five axes of family life, jobs, food independence, health and
learning. They recommended the strengthening of essential social
services and local livelihoods as a strategy to improve post-mining
outcomes. Nehring and Cheng (2016) assessed the impact of closure
cost on the UPL, pushback design, production schedule, mine life,
resource recovery and finally the value of the deposit being
exploited and investigated how these may change across a range of
closure costs. They also proposed that orebody shape, together with
dip, size, and other parameters will greatly influence pushback
characteristics and the extent to which closure cost will influence
the strategic mine planning of an orebody. Krzemien et al. (2016)
proposed an environmental risks management methodology for
an underground coal mine closure context. The aim of this research
223
was to provide mine operators with an organized informational
framework that could be applied during future underground coal
mine closures independent of the major environmental problems
faced and directly connected to the types and characteristics of coal
and the exploitation methods used. Cao (2017) conducted a general
review of the policies and regulations relating to initiatives such as
“mine closure and production reduction campaign” (MCPRC) and
“coal resources consolidation campaign” (CRCC) into one of the key
coal-producing provinces at China for sustainability. Paricheh and
Osanloo (2017) established a simulation-based framework to
determine the probable open-pit mine closure times and mine
closure costs. Mine closure costs have the potential to affect the
ultimate pit limit, production schedule, mine life and ultimately the
profitability and NPV of an operation. On the other hand, in order to
avoid undesired impacts of premature mine closure, the closure
time must be estimated within a reliable confidence level. Thus,
closure time and cost are extremely interrelated and their estima-
tions are very important from a cleaner mine production point of
view. The proposed model incorporated price uncertainty into the
probable mine closure time. The results show that the model works
well and it can be used in real cases. Srikanth and Nathan (2018)
reviewed the surface coal mine closure policies in India, regulato-
ry regimes and operating practices with reference to best practices
for reclamation and restoration in selected major coal-producing
countries. Of the coal produced in India, more than 90 percent is
dispatched from the surface or opencast mines, with potentially
harmful effects on the environment, due to loss of forests and
habitats, disruption of biodiversity and local communities, and
associated damage to agriculture, water resources and local air
quality. Due to the importance of the subject, this research iden-
tifies the shortcomings in India's policies and suggests strategies
and measures to remedy them. McCullough and Schultze (2018)
presented the motivation and key processes and considerations
for a flow-through pit lake closure strategy. Riverine flow-through
as an environmentally holistic closure strategy for mine lakes
demonstrates much promise in reducing social and environmental
liability and improving end use opportunity for mine closure.
However, application of general scientific principles will be
required in concert with site-wide considerations of riverine flow-
through as a closure strategy. According to research, developing
flow-through systems must always be evidence-based using cur-
rent and reliable data, and accurate predictions of water balance
and water quality e.g., from deterministic models. Zvarivadza
(2018) discussed different strategies which can be adopted to
ensure productive partnerships between Large Scale Mining/
Miners (LSMs) and the communities to realise the lasting positive
legacy. The mining companies need to leave a lasting positive leg-
acy for the communities so that they can sustain life well beyond
mine closure. The mineral resource capital needs to be converted to
other capitals on which the community can thrive well beyond
mine closure. This research showed that LSMs-Communities part-
nerships are the backbone on which SD fostering community sur-
vival beyond mine closure can be built. Amirshenava and Osanloo
(2018) developed a 3D risk management approach to manage the
mine closure risks. The optimal post-mining land use (PMLU) de-
pends on the risks identified by the 3D risk model. Therefore, a
hybrid approach involving three Multi-Criteria Decision Making
(MCDM) methods was developed for optimal PMLU selection. Ac-
cording to the research results, the 3D risk model can fix the defi-
ciency of 2D risk model by considering the time value of risk. The
ability to adopt the new model to each mining project and every
type of mineral is regarded as another advantage of this risk
management approach. Summary of the mine closure studies is
presented in the comparative Table 7.
224 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231

Table 7
Summary of SD research in the field of mine closure.

Reference Study type Study origin Case Major objective/outcome

Laurence Conceptualization Australia Australian uranium mine Described a simple empirical model based on the concept
(2001) and case study of the closure risk factor
Laurence Conceptualization Australia -a Analysed the multiple reasons why mines close through a
(2006) and case study classification system for quantifying risks associated with
it
Fourie and Conceptualization South Opencast coalmine Proposed a project-based Mine Closure Model to
Brent and case study America successfully achieve closure of mines in the context of the
(2011) new environmental legislation
Hutchison Survey and case Western -a Described a technical and statistically-based cost
and study United States estimating approach for determining mine closure costs
Dettore
(2011)
Odell et al. Survey and case North Andean mines Developed a framework of socio-environmental
(2011) study America sustainability indicators to monitor and improve social
wellbeing and sustainability of the projects through mine
closure
Marais Survey and case South Africa Free State Goldfields Created a post-mining economy in an area of mining
(2013) study decline
Rixen and Survey and case Canada's Meadowbank gold mine Explored how local conceptions of “well-being” can
Blangy study North enrich understanding of the broader socio-economic
(2015) implications of mining, specifically in a mine closure
scenario
Nehring and Survey and case Australia Conceptual copper ore deposit Investigated the impact of mine closure and its associated
Cheng study cost on life of mine planning and resource recovery
(2016)
Krzemien Survey and case Spain Pumarabule mine Proposed a methodology for environmental risk
et al. study management in underground coal mine closure
(2016)
Cao (2017) Review and case China Shanxi province Reviewed the policy and regulatory responses to coalmine
study closure and coal resources consolidation for sustainability
Paricheh and Survey and case General -b Established a simulation-based framework to provide
Osanloo study probable closure times using the estimated cumulative
(2017) distribution function of commodity price
Srikanth and Review and case India Surface coal mines Reviewed the surface coal mine closure policies
Nathan study
(2018)
McCullough Review and case Germany, Lusatian Mining District, Central German Mining District, Reviewed the riverine flow-through as an
and study Canada and Upper Pit Lake, Sphinx Lake and Pit Lake CD, Enterprise Pit environmentally holistic closure strategy for mine lakes
Schultze Australia Lake, Yandicoogina Pocket and Billiard South iron ore mine
(2018) lakes and Lake Kepwari
Zvarivadza Conceptualization South Africa, Royal Bafokeng holdings and Royal Bafokeng Nation Discussed about large scale miners - communities
(2018) and case study Zimbabwe, Platinum, Zimbabwe platinum mines and Mhondoro Ngezi, partnerships as a plausible option for communities
mali and Chegutu and Zvimba communities, Anglo gold mining survival beyond mine closure
Ghana company and sadiola and Ghana consolidated diamonds and
Akwatia
Amirshenava Survey and case Iran Choghart iron ore mine Developed a generic procedure for mine closure risk
and study management
Osanloo
(2018)
a
Unknown.
b
Hypothetical example.

3.6. Stage 6: post-mining land use
Mining is a temporary use of land and the notion of sustain-
ability in the mining context dictates the need to achieve an
acceptable land use after mining (Cao, 2007). Hence, mine planning
should fully consider future land use options, allowing for extrac-
tive activities to be carried on balancing the optimal rate and the
maximum environmentally and socially feasible ore or rock
extraction with the intended PMLU (Neri and Sanchez, 2010).
Along with understanding the broad SD requirements, mining
companies need to recognize the potential adverse impacts that
can arise through mining. At the same time, there is a need to
develop a restoration/reclamation/rehabilitation strategy designed
to avoid or at least minimize these impacts and promote sustain-
able mining practices (Adibee et al., 2013). Some of the long-term
and short-term measures that can be applied in mining regions
to treat the potential negative impacts are given in Table 8.
Society's concern for the environment is evident in the existence
of legislation requiring mining companies to protect the environ-
ment during mining and to restore the post-mining environment to
acceptable status. Mining companies also have an eye to their ‘so-
cial licence to operate’, declaring their environmental credentials in
terms such as ‘minimal impact’, ‘sustainability’, and ‘restoration of
the prior ecosystem’ (Maczkowiack et al., 2012).
Restoration, reclamation and rehabilitation are three
commonly-used terms in the stage of PMLU (Mchaina, 2001):
✓ The term “restoration”, the repair of land disturbed by mining, is
normally used for situations where disturbed land is left in
exactly the same condition as it was prior to disturbance. This
requires returning the land to the same pre-mining contours,
surface and groundwater patterns and plant and animal
ecosystems.
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
Table 8
Major problems of mined land and their short and long-term treatments (Zhengfu et al., 2010).
Limiting factors Variable Problems
Physical Structure Too compact
Too open
Slope Unstable erosion
Moisture Too wet
Too dry
Nutrition Macronutrients Nitrogen deficiency
Other deficiency
Micronutrients Deficient
Toxicity pH Too high
Too low
Heavy metals Too high
Salinity Too high
✓ The term “reclamation” implies the return of a site that ap-
proximates a pre-mining condition and that is inhabited by the
ecosystem organisms of nearly the same composition and
density as those prior to mining. In general, Reclamation is
interpreted as including every process which enhances soil
conservation and productive land use to transform land which
has been impacted by industrial use back into the flow of normal
changes of the landscape.
✓ The term “rehabilitation” is used to describe the return of a
disturbed site to a form and productivity level that conforms to a
defined land use. This term suggests that alternative end land
uses have been examined, and their potential for reaching each
of the land uses has been assessed.
Extensive researches have been conducted worldwide on
several aspects of mined land restoration/reclamation/rehabilita-
tion and PMLU. There are recommended practices for soil man-
agement, erosion control, slope stabilization, species selection, seed
collection, nursery establishment and maintenance, seeding and
planting strategies and techniques, weed control, fauna attraction
and other aspects of rehabilitation techniques. Furthermore, policy
tools to encourage companies to effectively implement suitable
technical solutions (such as performance bonds) and to engage
with communities in addressing future land use (such as manda-
tory consultation) have been developed and disseminated (Neri
and Sanchez, 2010).
In this regard, Mchaina (2001) discussed environmental man-
agement and technical considerations for the decommissioning,
closure and reclamation plan of a mine site. The key for such a plan
is to achieve the expected end-use conditions through establishing
performance criteria. In his opinion, the proposed plan must be
flexible with the objective to adapt to site-specific situations. Cooke
and Johnson (2002) presented a restoration planning model, and
explored the important problems and solutions of ecological
restoration (considered as ecosystem reconstruction) in the mining
of metals and minerals using examples and case studies. According
to this research, future challenges in ecological restoration include
increasing scale of operations with large mining companies seeking
to exploit large reserves in more remote wilderness environments,
greater innovation in new technologies such as the in situ extrac-
tion of metals through leaching, the increasing need to regulate and
develop environmental management in the artisanal and small
mining sector, and the imperative to incorporate policies of SD as
far as possible. Sklenicka et al. (2004) presented ecological and
landscape-architectural principles of landscape rehabilitation after
long-term opencast mining. Respect for the historical evolution of
the landscape, restoration of the connections between directly
225
Measures and treatment
Short term Long term
Rip or scarify, deep tilling Vegetation, organic matter, straw returning
Compact or cover with fine material Vegetation
Stabilizer, mulch or nurse Re-grade or vegetation
Ridge in the field Organic matter
Drain Drain
Organic mulch or nurse Tolerant species
Fertilizer Legume or other N-fixer
Appropriate fertilizer Fertilizer or tolerant species
Fertilizer Fertilizer or special species
Pyritic waste or organic matter Weathering or tolerant species
Lime, fly ash, cover with clay, prevent weathering Lime or tolerant species
Organic matter, isolating layer, or tolerant cultivar Inert covering or tolerant cultivar
Gypsum, irrigation, or tolerant species Weathering or tolerant species
impacted areas, indirectly impacted areas, and areas unimpacted by
opencast mining, interconnection of small-scale forms with large-
scale forms of rehabilitation and interconnection of the plans for
post-mining landscape rehabilitation with other forms of landscape
planning (territorial planning, land-use planning, forestry planning,
etc.) were introduced as overall principles of landscape rehabili-
tation. Bascetin (2007) evaluated the selection of an optimal
reclamation method using an AHP-based model for coal production
in an open-pit mine. Reclamation method selection can be listed as
one of the most important factors that affect open-pit design and
production planning. The use of the proposed AHP model indicated
that it can significantly reduce the time and effort in decision
making. Cao (2007) described the main objectives of mine land
reclamation. This researcher identified the major challenges facing
developing countries in mine land reclamation with an emphasis
on legislation and institutional frameworks, and illustrated more
clearly how these challenges have constrained efficient mine land
reclamation. Soltanmohammadi et al. (2008a, 2008b, 2010)
developed two framework for mined land suitability analysis
(MLSA) including fifty numbers of economical, social, technical and
mine site factors, and ranked the eight possible groups of PMLUs
applying AHP-TOPSIS and AHP-ELECTRE approaches. According to
these researches, the outranking result obtained by ELECTRE is
more useful in comparison with the TOPSIS ranking result, because
contrary to the TOPSIS method this approach can reveal any
incomparability between the alternatives. This advantageous is
more valuable especially when the numbers of possible alternatives
are very high. These researchers at the same study (2009) derived
preference order of PMLUs through AHP-PROMETHEE integrated
approach. The results of study showed that in cases such as the 50-
attribute MLSA framework, where most of attributes have a quali-
tative nature, outranking non-compensatory technique of PROM-
ETHEE such as ELECTRE is more practical. Pavloudakis et al. (2009)
used GIS as tool to provide all the necessary data and to visualise
the results. They developed a multiple criteria decision support
system based on binary integer linear programming (LP), and in-
tegrated the LP model and the GIS in a spatial decision-support
system (SDSS) to facilitate the land use suitability analysis of the
lignite surface mine. The results of research indicated that the SDSS
allows the mining company to evaluate different reclamation
schemes maximizing the long-term sustainability of the broader
mining area. Isolde (2009) described the transformation process of
the coal mining with the aim of reduction of environmental
pollution, primarily the reduction of SO2 and airborne particles
and past pollution, as well as the mine reclamation stopping the
further degradation of settlements with technical infrastructure. In
this research, brown coal planning was discussed as a basis for
226 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
sustainable settlement development. Cheng and Hu (2009) pro-
posed the collection standard of mine land reclamation bond and
its establishment course based on economic theory. The term
‘bond’ refers to financial instruments such as surety bonds, per-
formance bonds, fidelity bonds, and letters of credit. In the context
of mining operations, an enterprise posts a bond to the regulator
that is released when reclamation is successfully completed.
Otherwise, the enterprise forfeits the bond and the proceeds are
used to finance reclamation. The results of research showed that
the proper amount of the bond should equal to the expected
reclamation cost and the calculation approach based on reclama-
tion fee should be adopted to calculate the amount of the bond. Neri
and Sanchez (2010) developed and validated a procedure to eval-
uate the rehabilitation practices in limestone quarries during the
operational phase based on a comparison of actually observed or
documented practices with internationally recommended best
practices. The proposed procedure as an analytical tool can identify
risks and lead to recommendations for improving ongoing prac-
tices. It can also identify best practices adapted to local conditions
that could be spread to other quarries operated by the same com-
pany or adopted as a benchmark. The use of a predefined scoring
system facilitates benchmarking and comparison among com-
panies or mines operated by one company. Bielecka and Krol-
Korczak (2010) proposed a fuzzy decision support system aiding
design of post-mining regions restoration and applied it to the
testing of decision making concerning the direction of revitaliza-
tion in an open-cast mining institution. The analysis of post-mining
terrain restoration is expensive and time-consuming, because of
the number of complex connections between the various factors.
Therefore, the automation of the decision-making process in this
research is desirable. Acosta et al. (2011) located hotspots of envi-
ronmental risk in two tailing ponds from an abandoned mine for
future reclamation using a multivariate statistical and GIS-based
approach. For this aim, surface samples were taken and analysed
for waste properties and total, extractable by DTPA and water sol-
uble heavy metals content. The approach adopted by researchers
helped to identify highest risk sites, where main efforts of recla-
mation and monitoring should be realized. Alavi and Alinejad
(2011) compared the results of fuzzy AHP and fuzzy TOPSIS ap-
proaches for the selection of plant species in mine reclamation
plan. Plant species selection is a multi-criteria evaluation decision
and has a strategic importance for many companies. The evaluation
of approaches showed that when the decision-makers are consis-
tent with him/her in determining the data, the ranking results for
two independent methods are the same. Bangian et al. (2011, 2012)
identified the optimum post mining land use (OPMLU) amongst the
applicable PMLUs for pit area using fuzzy AHP. PMLU is the most
effective indicator which defines the costs of closure and recla-
mation processes with respect to the specifications of a mine site.
Therefore, the identification of OPMLU in this research was a key
point to accurately determine closure and reclamation costs. Xue-
qun et al. (2011) evaluated the productive capacity of reclamation
lands (productivity) in mining districts. The productivity is related
to some factors, such as the climate, the topography, soil parent
material, soil physical-chemical property and farmland infrastruc-
ture. In this research, the integrated fertility index (IFI) was
developed to reflect levels of the productivity of reclamation lands.
For this purpose, membership grade of each factor was obtained
based on Fuzzy logic, and combined weight of each factor was taken
by AHP and Delphi method. Li et al. (2011) identified the trends in
trace element levels in the shallow groundwater of the reclamation
area. The objectives of this study were to examine the impact of
coal gangue on the level of main trace elements in the shallow
groundwater and to determine the suitability of the water for use as
agricultural irrigation and drinking water. Coal gangue is the most
used filling material during reclamation of areas suffering subsi-
dence from mining. The results revealed that the coal gangue back-
filling in the reclaimed area affects certain trace element concen-
trations. Wang et al. (2011) developed an improved method called
limit comprehensive conditions method for suitability evaluation
of land reclamation in a bauxite mine. Suitability evaluation plays
an important role in land reclamation because the choice of eval-
uation methods affects the accuracy and objectivity of the suit-
ability evaluation results. The research results showed that
application of the improved method instead of the conventional
evaluation methods has better applicability, it is easier to handle,
and can produce more scientific evaluation results. Therefore, it can
be applied widely to land reclamation projects in other mining
areas. Kim et al. (2012) demonstrated the concept, development,
and implementation of a new GIS extension, named ArcMine, to
support reclamation planning in abandoned mining areas. ArcMine
provides four tools to (a) assess mine subsidence hazards, (b) es-
timate the erosion of mine wastes, (c) analyse flow paths of mine
water at the surface, and (d) identify suitable tree species for mine
reforestation. According to the research, application of ArcMine to
abandoned mining areas in Korea showed that it could provide
useful information on mine hazards to support reclamation plan-
ning. Maczkowiack et al. (2012) proposed a grazing risk-based
approach to PMLU assessment with the aim of reducing the un-
certainty of mine closure and the potential cost of repair of land
degradation caused by inappropriate PMLU. The profile of risk
factors obtained for the case study of graziers showed that grazing
is likely to be a low risk post-mining land use where land pro-
ductivity is high enough and land areas are large enough to support
commercial cattle grazing, and where land is managed by local
graziers. Mishra et al. (2012) quantified the coal-mining damages to
lakes at the regional scale, and evaluated the post-reclamation
welfare gains from improved water quality in the region. A
benefit costs analysis (BCA) of recreational benefits and coal mine
reclamation costs in this research indicated some evidence for
improvement by investing limited resources in reclamation pro-
jects. Vickers et al. (2012) revealed assessments of vegetation
composition, ecological structure and function at four rehabilita-
tion areas and proximal reference sites within surrounding grazed
and ungrazed agro-ecosystems, undisturbed by mining. The find-
ings of research demonstrated that the oldest rehabilitated sites
had similar species composition and functional elements to
selected reference sites, although plant cover and biomass was
lower than both grazed and ungrazed reference areas. The youngest
sites had little established vegetation, however species richness
was similar to the reference sites and functional life forms were
present despite being in very low abundance. Uberman and Ostre˛ ga
(2012) reviewed the previous experience and major achievements
of the Polish mining industry in both theoretical and design areas as
well as in the field of mine closure projects including the recla-
mation and revitalization of post-mining areas. Mukhopadhyay
et al. (2013) identified the mine soil indicator parameters for
assessing the quality of reclaimed land, and used them to develop a
Reclaimed Mine Soil Index (RMSI) for screening of different tree
species to the degree of reclamation. In this research, an attempt
was also made to evaluate the success of the proposed RMSI by
comparing with plant growth parameters. Kuter (2013) demon-
strated reclamation of degraded landscapes due to opencast min-
ing. The main motivation of this research was to emphasize both
the importance of reclamation studies and the fact that natural and
cultural characteristics of the post-mining landscapes have to be
considered within different point of views by various disciplines
simultaneously in order to obtain the most suitable landscape use
planning for such areas. Adibee et al. (2013) identified the impacts
of waste dumps of an underground coal mine on the environment,
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231
described how to use the characteristics of the wastes to predict
their environmental impacts on the site, and determined the
preferred PMLU for dumps using AHP approach. Based on the re-
sults of the experiments, and using AHP methodology, the most
suitable land use for the dumps was identified as forestry, and the
best forestry species to use was Zelkava. Zhang and Lu (2014)
studied land reclamation suitability evaluation system and evalu-
ation methods in a phosphate mine. Suitability evaluation is the
important basis for scientifically determining the direction of land
reclamation. The research results had a great significance for
effectively alleviating the contradiction between people and land,
and improving the ecological environment in mining areas.
Srivastava et al. (2014) presented a sustainable ecological approach
for reclamation of overburden and lowland in coal mining area with
fly ash and selective plantation. The extractions of coal from
opencast mines and power generation from coal combustion in
thermal power plants pose the concerns of environment due to
huge production of overburden and fly ash, respectively. The results
of research showed that the selective plant species along with fly
ash and other amendments suitably modified the characteristics of
coal mine overburden and ash filled lowland. Plant species main-
tained the nutrient rejuvenation and reduced the pollutants in the
surroundings in an eco-friendly manner. Mukhopadhyay et al.
(2014) evaluated the status of reclamation with time by identi-
fying key soil quality indicators and developed a mine soil quality
index (MSQI). Assessment of mine soil quality is the key parameter
for evaluation of reclamation success. Based on the research results,
age of reclamation has been found to have a significant effect on the
nutritional and microbial properties of the mine soils. Masoumi
et al. (2014) selected and ranked the PMLU in surface coal mine.
The FAHP was used to obtain the important weights of attributes
and FTOPSIS method for ranking the alternatives. Because of the
uncertain parameters involved in problem, the fuzzy theory assis-
ted to gain better judgments from experts. By evaluating the al-
ternatives and considering effective criteria with proposed
methods, agriculture was selected as the OPMLU. Anawar (2015)
provided a critical review on (1) recent insights in mechanisms of
oxidation of sulfide minerals, (2) environmental contamination by
mining waste, (3) remediation and rehabilitation techniques, and
(4) developing the GEMTEC conceptual model/guide to provide the
new scientific approach and knowledge for remediation of mining
wastes and acid mine drainage. This study has suggested the pre-
mining geological, geochemical, mineralogical and microtextural
characterization of different mineral deposits, and post-mining
studies of ore extraction processes, physical, geochemical, miner-
alogical and microbial reactions, natural attenuation and effect of
climate change for sustainable rehabilitation of mining waste. Zhao
et al. (2015) revealed risks and solving strategies of suitability
evaluation on mining land reclamation based on the mine scale.
The method of extreme conditions was used to make an evaluation
on the suitability of intended damaged land. Based on the research
results, there is multi-suitability on the reclamation scheme of
damaged land. Reclamation obliges choose those with high eco-
nomic value, while reclamation obligors choose those with less
investment and easy for reclamation. Unger et al. (2015) proposed a
systematic approach for monitoring and evaluating government
abandoned mine programs based on the concept of a maturity
model and described the results of applying it to jurisdictions.
According to research, a systematic approach to monitoring and
evaluating abandoned mines programs is essential for improved
accountability and to demonstrate a change in liability over time. A
systematic approach will also support shared learning and
continual improvement within, and across, jurisdictions. Smith
et al. (2016) presented two aspects of restoration: the develop-
ment and testing of bio-indicators of restoration (informed by the
227
results from a baseline survey of the ecology and soils); the value of
collaborative partnerships in bringing about sustainable PMLU.
They also explored concepts for engaging the wider community in
active conservation activities, with a view to take sustainable
restoration to a new level. This research signals a paradigm shift in
creative conservation through integrative restoration ecology that
includes the floristic, faunal, geological and pedological compo-
nents. This approach is readily transferable and could constitute a
newstandard for the next generation of restoration projects and
national parks. Lei et al. (2016) suggested the utilization of a
landscape strategy and “natural” technology in ecological restora-
tion of mine. In this regard, a multi-objective integration approach
was presented based on landscape planning for the conservation
and wise use of mine lands through local or regional actions and
cooperation. According to research, with scientific planning and
timely and effective treatment, the ecological environment not only
can be restored but also new economic growth points for SD can be
expected in the mining areas. Kodir et al. (2017) attempted to
formulate a spatial plan for coal mined land and calculate its eco-
nomic potential. In the event of the closure of mines, it is expected
that coal mined land will be integrated into a new economic po-
tential for people in the mining area and its surroundings so that
the social and economic life of society, as well as the stability of the
environment in the mining area and its surroundings can continue.
The results found that the variety of the forms of cultivation in coal
mined land can be a source of new economies in previously mined
areas to maintain social conditions and provide a public and envi-
ronmental balance in the long term. Howieson et al. (2017)
demonstrated an approach that may enable a post-mining land-
use change from a commercial apatite mine site to productive
agriculture. Through a physical reconstruction of the soil profile
followed by a range of regionally appropriate agronomic trials, soil
nutrient experimentation and microbiological research, these tar-
geted approaches achieved a land use change from mined sites to
highly productive agricultural soils in a timely manner to achieve
socio-economic objectives. Summary of the PMLU studies is pre-
sented in the comparative Table 9.
4. Summary
SD is the result of a series of interrelated economic, social, and
environmental factors (three pillars of SD) that meets different
needs with proper planning in the long term. Therefore, this
concept is not merely an environmental attitude, but also a theory
that has stressed the economy and quality of life of people before
the environment. By applying the SD measures, on the one hand it
is expected that the resources are exhausted in a longer period of
time and on the other hand it is hoped that modern methods are
developed with the advancement of technology, so that with
minimal use of resources, maximum benefits are achieved.
There is a reciprocal relationship between this concept and
mining, so that fulfilment of one is dependent upon the other. The
mining industry is a source of foreign exchange earnings in many
developing countries and investment in this industry is mainly
through foreign investment in the form of borrowing. Mining is the
foundation of economic development in many countries and the
progress of the mining sector has provided the best opportunity for
their growth.
Due to the significant positive and negative effects on the
environment, society and economy, the mining industry has found
a close relationship with SD. Mineral resource limitations, the
likelihood of their exhaustion and concerns about the lack of these
resources for future generations on the one hand, as well as social,
economic, and environmental problems imposed due to mining on
surrounding communities on the other hand, are the main reasons
228 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231

Table 9
Summary of SD research in the field of land use after mining.

Reference Study type Study origin Case Major objective/outcome

Mchaina (2001) Conceptualization General - Discussed the environmental planning considerations for the
decommissioning, closure and reclamation of a mine site
Cooke and Johnson Review and case South Africa and Dredge mining for heavy minerals and Reviewed the ecological restoration of land with particular
(2002) study western Australia Bauxite mining reference to the mining of metals and industrial minerals
Sklenicka et al. Conceptualization Czech republic Opencast brown coal mine in north-west Demonstrated the non-productive principles of landscape
(2004) and case study Bohemia rehabilitation after long-term opencast mining in a case study
Bascetin (2007) Survey and case Turkey Open-pit coal mine in Seyitomer region Used a decision support system using AHP for the optimal
study environmental reclamation of an open-pit mine
Soltanmohammadi Survey and case General -a Developed two framework for mined land suitability analysis
et al. (2008a, study and ranked PMLUs applying AHP-TOPSIS and AHP-ELECTRE
2008b, 2010) approaches
a
Soltanmohammadi Survey and case General - Derived preference order of PMLUs through AHP-
et al. (2009) study PROMETHEE integrated approach
Pavloudakis et al. Survey and case Northern Greece Amynteon lignite surface mine Developed a spatial decision support system for the optimal
(2009) study environmental reclamation of open-pit coal mines
Cao (2007) Survey and case China e Examined possible solutions for facilitating improved mine
study land reclamation in developing countries
Isolde (2009) Conceptualization East Germany Saxony's brown coal area Examined issues surrounding the SD of brown coal mining
and case study areas
Cheng and Hu Conceptualization China - Analysed the collection standard of mine land reclamation
(2009) bond based on the ‘rational economic man’ theory
Neri and Sanchez Survey and case Southeast Brazil Nine limestone quarries Proposed an analytical tool for evaluating environmental
(2010) study rehabilitation measures in limestone mines that can be
successfully applied during the operational phase of a quarry
Bielecka and Krol- Survey and case Southern Poland Open-cast gravel mine Proposed a hybrid expert system aiding design of post-mining
Korczak (2010) study regions restoration
Acosta et al. (2011) Survey and case Murcia, southeast of Tailing ponds of Lirio and Gorguel Adopted multivariate statistical and GIS-based approach to
study Spain evaluate heavy metals behaviour in mine sites for future
reclamation
Alavi and Alinejad Survey and case Iran Sungun copper mine Compared the results of fuzzy AHP and fuzzy TOPSIS
(2011) study approaches for the selection of plant species in mine
reclamation plan
Bangian et al. Survey and case Iran Sungun copper mine Identified the OPMLU using fuzzy AHP to clarify reclamation
(2011, 2012) study costs
Xue-qun et al. Survey and case China -b Evaluated the productivity of reclamation lands in mining
(2011) study districts using Fuzzy logic, AHP and Delphi approaches
Li et al. (2011) Survey and case Anhui, China Zhangji coal mine Studied the impact of coal gangue on the level of main trace
study elements in the shallow groundwater of a mine reclamation
area
Wang et al. (2011) Survey and case Northwest Henan, Gaoqiao bauxite mine Developed the limit comprehensive conditions method in
study China order to the suitability evaluation for land reclamation in
mining area
Kim et al. (2012) Survey and case South Korea -b Developed a new GIS extension, named ArcMine, to support
study reclamation planning in abandoned mining areas
Maczkowiack et al. Survey and case Central Queensland, Coal deposits of the Bowen Basin Proposed a conceptual model for assessing grazing risk on
(2012) study Australia rehabilitated mined land
Mishra et al. (2012) Survey and case Eastern Ohio, United Abandoned coal mines Estimated the costs of abandoned coal mine reclamation and
study States associated recreation benefits
Vickers et al. (2012) Survey and case North west Ernest Henry Mine Evaluated the development of rehabilitated grasslands on
study Queensland, Australia post-mined landforms in a case study
Uberman and Review and case Poland Underground, borehole and open pit Presented the achievements of reclamation and revitalization
Ostre˛ ga (2012) study mining of lands after mining activities
Mukhopadhyay Survey and case Dhanbad district of Reclaimed coalmine overburden dumps of Developed the reclaimed Mine Soil Index (RMSI) for screening
et al. (2013) study Jharkhand, Eastern Vishwakarma opencast projects of tree species for reclamation of coal mine degraded land
India
Kuter (2013) Conceptualization Wisconsin, (north- Flambeau copper-sulfide Mine, bauxite Demonstrated the reclamation of degraded landscapes due to
central United States), mine, etc. opencast mining
Jarrahdale (Australia),
etc.
Adibee et al. (2013) Survey and case Northern Iran Waste dumps of Karmozd coalmine Determined the preferred PMLU for coal mine waste dumps
study using AHP approach
Zhang and Lu Survey and case China Hebei Fanshan phosphate mine Elaborated the goal of land reclamation and the principles of
(2014) study suitability evaluation for the project area
Srivastava et al. Survey and case Jharia area and Coal mine spoil and ash filled lowland presented a sustainable ecological approach for reclamation
(2014) study Jamadoba in Dhanbad of overburden and lowland in coal mining area with fly ash
district, Jharkhand, and selective plantation
India
Mukhopadhyay Survey and case North Karanpura Area, Reclaimed mine soil chronosequence sites Developed the mine soil quality index (MSQI) for evaluation
et al. (2014) study India of reclamation success
Masoumi et al. Survey and case Iran Surface coal minec Ranked the PMLU in a case study using fuzzy TOPSIS and fuzzy
(2014) study AHP
Anawar (2015) Review General e Reviewed the sustainable rehabilitation of mining waste and
acid mine drainage using geochemistry, mine type,
mineralogy, texture, ore extraction and climate knowledge
 E.T. Asr et al. / Journal of Cleaner Production 229 (2019) 213e231 229

Table 9 (continued )

Reference Study type Study origin Case Major objective/outcome

Zhao et al. (2015) Survey and case -d Outlined the risks and solving strategies of
study suitability evaluation on mining land
reclamation based on the mine scale
Unger et al. (2015) Conceptualization Australia Abandoned minesc Proposed a jurisdictional maturity model for risk
and case study management, accountability and continual improvement of
abandoned mine remediation programs
Smith et al. (2016) Survey and case West Coast of the Punakaiki Coastal Restoration Project site Outlined a consultative and multidisciplinary approach in
study South Island, New selecting indicators of restoration success for a sand mining
Zealand closure site
Lei et al. (2016) Survey and case China Mining areasc Proposed a multi-objective integration approach based on
study landscape planning for ecological restoration and SD of
mining areas
Kodir et al. (2017) Survey and case South Coal mining area of PT Bukit Asam Presented the integrated post mining landscape for
study Sumatera, Indonesia sustainable land use
Howieson et al. Survey and case Christmas Island, Apatite (phosphate) mine site Demonstrated an approach to change of PMLU from a
(2017) study Australia commercial mine site to productive agriculture
a
Hypothetical example.
b
Unknown.
c
Unknown.
d
Lack of access to the original article.

for entering SD topic in MLC as a requirement for the protection of
natural, human, and social capital.
This study has provided a suitable stream for leading re-
searchers on neglected issues by sorting the studied topics and
identifying the existing research gaps in each of the mining stages.
5. Conclusions
In view of the importance of integrating SD considerations in
MLC, several researches have been published in recent years. Based
on the quantitative assessment results of these studies:
✓ A little attention has been paid to the stages of construction of
structures and installation of equipment (stage 3) and explora-
tion and feasibility studies (stage 1).
✓ Attention to the stages of mine design and planning (stage 2),
exploitation and mineral processing (stage 4) and mine closure
(stage 5) has almost been the same and much more than the
stages 1 and 3.
✓ The stage of post-mining land use (stage 6) has been attracted
the most attention among the SD researchers. The number of
published articles from this stage has almost been twice each of
the stages of 2, 4 and 5.
Acknowledgements
The authors wish to thank Shahrood University of Technology,
Semnan, Iran for providing the possibility of conducting this
research.
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 J o u r n a l o f R a d i a t i o n R e s e a r c h a n d A p p l i e d S c i e n c e s 7 ( 2 0 1 4 ) 2 0 7 e2 1 3

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Estimation of Polonium-210 activity in marine and

terrestrial samples and computation of ingestion
dose to the public in and around Kanyakumari
coast, India

L. Macklin Rani a,*, R.K. Jeevanram b, V. Kannan c, M. Govindaraju a

a
Department of Environmental Biotechnology, Bharathidasan University, Tiruchirappalli, 620 024, Tamil Nadu,
India
b
Department of Medical Physics, Bharathidasan University, Tiruchirappalli, 620 024, Tamil Nadu, India
c
Institute of Ocean Management, Anna University, Chennai, 600 025, Tamil Nadu, India

article info abstract

Article history: The brown mussel Perna perna, an effective bioindicator species for monitoring radioactive
210
Received 17 January 2014 pollution, was used to evaluate the concentration of Po in and around the coastal areas
210
Received in revised form of Kanyakumari, a Monazite rich region. Po concentration in P. perna collected from ten
21 February 2014 different locations in this region exhibited values ranging between 78.09
5.5 and
210
Accepted 24 February 2014 320.00
18.1 Bq/kg (wet). Kalluvilai recorded the maximum concentration of Po
210
Available online 12 March 2014 (320.00
18.1 Bq/kg), and hence further studies involving the activity of Po in other
marine organisms and terrestrial samples were carried out from this site. The annual
Keywords: intake of 210Po by the population residing in this location via dietary sources was estimated.
210
Po Similarly, the total annual committed effective dose to the public was found to be
Perna perna 2.24 mSv/year. The results obtained were compared to the values reported by earlier
Annual intake studies in India and also in other countries.
Annual committed effective dose Copyright ª 2014, The Egyptian Society of Radiation Sciences and Applications. Production
and hosting by Elsevier B.V. All rights reserved.

Cherry & Shannon, 1974), exists in the environment as a result

1. Introduction of Uranium-238 (238U) decay chain. It is ubiquitously distributed
in rocks, soils, making up earth’s crust, in the atmosphere and in
Polonium-210 (210Po), an a-emitting naturally occurring radio- natural waters (Matthews, Kim, & Martin, 2007). 210Po enters in
nuclide (Bustamante, Germain, Leclerc, & Miramand, 2002; marine organisms via adsorption, absorption and ingestion

* Corresponding author. Tel.: þ91 431 2407088x632.

E-mail address: macklinranil@gmail.com (L. Macklin Rani).
Peer review under responsibility of The Egyptian Society of Radiation Sciences and Applications

Production and hosting by Elsevier

http://dx.doi.org/10.1016/j.jrras.2014.02.006
1687-8507/Copyright ª 2014, The Egyptian Society of Radiation Sciences and Applications. Production and hosting by Elsevier B.V. All rights
reserved.
208 J o u r n a l o f R a d i a t i o n R e s e a r c h a n d A p p l i e d S c i e n c e s 7 ( 2 0 1 4 ) 2 0 7 e2 1 3
(Alam et al., 1999). The concentration of 210Po in the edible
portions of marine organisms may be many folds higher than
that in the seawater because of biological reconcentration pro-
cesses (Saiyad Musthafa & Krishnamoorthy, 2012). This is
specially so with filter feeders mussels, which ingest detritus
material with a high degree of radionuclide association. It has
been recognized internationally, that filter feeding bivalve
molluscs act as a first order biological indicators of radioactive
pollution (Alam et al., 1999; Phillips, 1980).
There are a few regions in the world, which are known for
high background radiation areas (HBRAs), are due to the local
geological controls and geochemical effects and cause
enhanced levels of terrestrial radiation (UNSCEAR, 1993; 2000).
Monazite sands have been found to be the source of such high
background radiation levels in certain parts of Brazil, China,
Egypt and India (Ghiassi-nejad, Mortazavi, Cameron,
Niroomand-rad, & Karam, 2002; Paschoa, 2000; UNSCEAR, 2000).
In India, there are quite a few monazite sand bearing placer
deposits causing natural HBRAs along its long coastline
(UNSCEAR, 2000). Coastal parts of Tamil Nadu, Kerala and the
south western coast of India are known for HBRAs (Mishra,
1993; Mohanty, Sengupta, Das, Vijayan, & Saha, 2004; Sunta,
1993). Though seafood is consumed widely by the people in
coastal area of India, the pattern of consumption varies in
different regions of the country and also even within the state
of Tamil Nadu. Dose estimation studies have been carried out
in HBRAs universally. However, our knowledge on the radia-
tion dose received by the fishermen population mainly due to
their food habits is quite limited. It is therefore of interest to
study the intake of 210Po through specific dietary habit of this
Fig. 1 e Location map of the study area.
region, as the sand of Kanyakumari coast is richly composed of
monazite ore, a rich source of uranium. An interesting fact is
that the mussel, a bioindicator species, is a prominent diet of
the local people residing in Kanyakumari coast, but not in other
parts of Tamil Nadu. This may be due to the non-availability of
mussel in other parts of Tamil Nadu. Among the ten different
locations studied for 210Po concentration in this region, Kallu-
vilai exhibited the maximum concentration in mussel (Perna
perna) and hence the concentration in other marine organisms
such as fish, prawn and crab, terrestrial and sediment samples
in this location was studied and annual committed effective
dose amongst the local people was also estimated.
2. Study area
The study area is located in the southern part of peninsular
India (8 090 4800 N 77 410 2200 E to 8 130 0100 N 77 110 1700 E), surrounded
by the Bay of Bengal in the East, the Indian Ocean in the South
and the Arabian Sea in the West. The study area includes
Kanyakumari, one of the tourist destinations of India (Fig. 1).
3. Materials and methods
3.1. Collection and preparation of samples
3.1.1. Seafood samples
Fresh seafood samples were collected from 10 different loca-
tions along the Kanyakumari coast (Table 1). All the collected
 J o u r n a l o f R a d i a t i o n R e s e a r c h a n d A p p l i e d S c i e n c e s 7 ( 2 0 1 4 ) 2 0 7 e2 1 3 209

Table. 1 e Characteristics and Geographic coordinates of Table. 3 e Mean concentration of 210Po in sediment and
the sampling sites. seafood samples of Kalluvilai.
Sampling sites Characteristics of Latitude Longitude Sample Mean 210Po Activity (Bq/kg)
sampling site Surface sediment 2.30
0.3
Kudankulam Fishing village, 8 090 4800 N 77 410 2200 E Fish ( Lethrinus lentjan) 1.20
0.3
Near Atomic Prawn (Fenneropenaeus indicus) 53.97
3.7
Power station Crab (Portinus sanguinolentus) 40.10
4.4
Kalluvilai Fishing village 8 060 3600 N 77 330 2500 E
Chinnamuttam Fishing village, 8 050 4300 N 77 330 3600 E
very close to of 12 different food item) were collected from the site, Kallu-
fishing Harbour
vilai for the analysis. Various species of seafood and terrestrial
Kanyakumari Fishing town, 8 040 4100 N 77 330 0300 E
samples were collected from November, 2011 to January, 2013
fishing Harbour,
Tourist spot based on their availability.
Kovalam Fishing village 8 040 4200 N 77 310 5400 E
Keelamanakudi Fishing village 8 050 1600 N 77 290 1900 E 3.2. Analysis of 210
Po
Kadiyapattanam Fishing village 8 080 0600 N 77 180 1700 E
Manavalakurichi Near Indian Rare 8 080 3500 N 77 180 0900 E
Earths Limited,
For the analysis of 210Po, 100 g of wet sample (seafood, plant
Fishing village origins and sediment) was oven dried at 100e110  C, repeat-
Collachel Fishing Harbour 8 100 2200 N 77 150 1900 E edly digested with concentrated HNO3 and H2O2 until its
Inayam Fishing village 8 130 0100 N 77 110 1700 E complete digestion. Then concentrated HCl was added with
heating to transform it to a chloride medium. The digested
sample was taken up with 0.5 N HCl, filtered through
seafood samples were placed in an icebox, then transported to Whatman-40 filter paper. This filtrate was then subjected to
the laboratory, washed with tap water and freed of adhering electrochemical displacement on a silver planchette of 2.5 cm
soil particles. The whole soft tissues were segregated from the diameter using ascorbic acid (Flynn, 1968; Kannan, Iyengar, &
shells of the mussels and blotted dry. The wet weights of the Ramesh, 2001; Yamamoto et al., 1994) with constant stirring
samples were recorded and used for further analysis. for 6 h. Ascorbic acid was added to reduce ferric ions to ferrous
ions, thereby eliminating its interference in electrochemical
3.1.2. Sediment sample deposition of 210Po.
Sediment samples were collected from the seashore of the Then 210Po was spontaneously deposited onto the rotating
sampling locations. Dry sediment samples were sieved using a silver planchette. For each sample, after the first plating was
stainless steel mesh with the size of 600 mm in order to obtain over, a fresh silver planchette was suspended in the same
the sediment fine grain size fraction for radionuclide analyses. sample and plating was repeated second time for about 6 h.
After its completion, plating for a third time was continued in
3.1.3. Terrestrial samples the same sample. It was found that an average of 95% of 210Po
The terrestrial samples (plant originated edibles) were was plated during the first plating itself. The accuracy of radi-
collected within a radius of 1 km from the seashore and oanalytical results is further ensured by using this procedure
transported to the laboratory, washed with tap water. The wet on double distilled water samples spiked with an addition of
weights of the samples were recorded and then stored until standardized amount of tracer 209Po activity. Since the double
processed further. distilled water samples showed only background counts, the
contribution of sample alpha activity will be negligible.
3.1.4. Number of samples
About 60 mussel samples were collected from ten different 210
3.3. Measurement of Po concentration
sites (6 samples from each site). For further studies, 24 sam-
ples of marine origin (6 samples each of sediment, fish, prawn
After the spontaneous deposition of 210Po on the silver plan-
and crab) and 72 samples of terrestrial origin (6 samples each
chette, a-activity of 210Po was measured on both sides of silver
planchette, using an alpha counter (Counting system CS-201)
having ZnS (Ag) detector (counting efficiency of 27.7% and
Table. 2 e Mean concentration of 210Po in mussel sample. background of 0.1 cpm). After the application of required
Sampling sites Mean 210Po activity (Bq/kg) decay corrections, 210Po concentration of samples was
Kudankulam 78.09
5.5 expressed in Bq/kg of wet sample.
Kalluvilai 320.00
18.1
Chinnamuttam 231.51
12.4
3.4. Dietary survey
Kanyakumari 210.00
7.8
Kovalam 300.15
15.3
Keelamanakudi 169.14
8.2 Dietary habit of the inhabitants residing in this coastal area
Kadiyapattanam 111.50
6.5 was collected from the response of two hundred respondents
Manavalakurichi 200.72
11.8 to a questionnaire based survey. The contribution of different
Collachel 180.40
9.2 dietary sources obtained by this method was used to assess
Inayam 120.15
4.4
the intake of 210Po from habitual food intake. This data was
210 J o u r n a l o f R a d i a t i o n R e s e a r c h a n d A p p l i e d S c i e n c e s 7 ( 2 0 1 4 ) 2 0 7 e2 1 3

Table. 4 e Mean concentration of 210Po in edibles, and total annual committed effective dose for inhabitants of Kalluvilai.
210
Edibles Intake (kg/year) Po Activity (Bq/kg) Annual committed effective dose (mSv/year)
Banana 40.00 0.04
0.01 1.92  103
Guava 2.70 0.05
0.02 0.16  103
Curry leaves 7.30 0.10
0.02 0.87  103
Bitter gourd 1.00 0.07
0.02 0.08  103
Bottle gourd 2.25 0.05
0.02 0.13  103
Tomato 18.25 0.06
0.02 1.31  103
Papaya 11.25 0.04
0.01 0.54  103
Cassava 27.00 0.07
0.03 2.26  103
Green Chilli 1.50 0.18
0.06 0.32  103
Drumstick 7.50 0.04
0.02 0.36  103
Rice 182.50 0.21
0.04 45.99  103
Coconut 18.25 0.04
0.01 0.87  103
Fish (Lethrinus lentjan) 109.55 1.20
0.10 157.75  103
Mussel (Perna perna) 4.50 320.00
18.1 1728.00  103
Prawn (Fenneropenaeus indicus) 2.70 53.97
3.7 174.86  103
Crab (Portinus sanguinolentus) 2.70 40.10
4.4 129.92  103
Total annual committed effective dose 2245.34  103

also used to assess the role of marine samples like mussel,
fish, prawn, crab and other terrestrial food items in contrib-
uting towards the annual committed effective dose.
3.5. Dose calculations
The annual committed effective dose was estimated based on
the dose coefficients as reported in the ICRP publication 72
(International Commission on Radiological Protection, 1996).
The annual effective dose calculation for the intake of radio-
nuclides through ingestion and inhalation for adults has been
calculated by the following method.
Annual effective doseðSv=yearÞ ¼ A  B  C
where, A ¼ Food consumption (kg/year), B ¼ 210Po concen-
tration (Bq/kg),C ¼ Annual committed effective dose conver-
sion factor (1.2  10-6 Sv/Bq) (Data from ICRP 72)
4. Results and discussion
210
4.1. Po concentration study
Among the seafood, fishes and mussels are largely consumed
by the local people in daily diet. The concentration of 210Po in
the bioindicator species, brown mussel, P. perna collected from
the ten sampling sites are given in Table 2. The concentration
of 210Po varied between 78.09
5.5 (Kudankulam) and
320.00
18.1 Bq/kg (Kalluvilai). It was observed that the lo-
cations of Kanyakumari, Kalluvilai, Chinnamuttam and
Kovalam exhibited a higher 210Po concentration. This might be
due to the fact that these regions are prominently located
close to the end point of Western Ghats and also in the rain
water runoff direction. The highest concentration of 210Po
obtained in the present study (320.00
18.1 Bq/kg) is found to
be lower than that of the values recorded in Brazil for P. perna
(1995
363 Bq/Kg Dry) (Gouvea, Santos, & Dutra, 1992). The
activity concentration and accumulation potential of 210Po in
P. perna is due to the filter feeding pattern of bivalves. The
210
Po concentration in P. perna in the present study
(320.00
18.1 Bq/kg) in Kalluvilai is three fold higher than that
obtained with Perna viridis 113.32
7.10 as reported by Saiyad
Musthafa and Krishnamoorthy (2012) in Ennore Creek, South
India (Table 3). Since, brown mussel P. perna is the most
abundant and commonly consumed variety in this region, this
study is primarily focused on the concentration of 210Po in the
above said species.
The 210Po concentration in the carnivorous fish species
(Lethrinus lentjan) was studied as it is the commonly consumed
fish variety of this region. The concentration of 210Po observed

210
Table. 5 e Po concentration in mussel samples from different regions of the world.
210
Species Po Activity (Bq/kg) Location Reference
Perna viridis 45.69
1.17 to 96.44
2.19 (wet wt) Malaysia Lubna, Nikazlin, Afiza Suriani,
and Mohamed (2011)
Perna perna 1995
363 (dry wt) Brazil Gouvea et al. (1992)
M. galloprovincialis 428e459 (dry wt) Monaco McDonald, Fowler, Heyraud, and
Baxter (1986)
M. edulis 149
82 (dry wt) Denmark Dahlgaard (1996)
M. trossulus 272
28 (dry wt) Baltic Sea Stepnowski and Skwarzec (2000)
Perna indica 100.3
2.8 (wet wt) Chinnamuttam and Feroz Khan and Godwin Wesley (2011)
Kuthankuzhi, South India
Perna viridis 113.32
7.10 (wet wt) Ennore Creek, South India Saiyad Musthafa and Krishnamoorthy (2012)
Perna perna 78.09
5.5 to 320.00
18.1 (wet wt) Kanyakumari Coast, South India Present study
 J o u r n a l o f R a d i a t i o n R e s e a r c h a n d A p p l i e d S c i e n c e s 7 ( 2 0 1 4 ) 2 0 7 e2 1 3 211

Fig. 2 e Map showing Annual committed effective dose due to the consumption of Perna perna in sampling sites.

in L. lentjan is 1.20
0.3 Bq/kg (Table 4). This value is 4.2. Dietary survey and dose calculations
marginally lower than the previously reported value
(3.42
0.9 Bq/kg) from the nearby sites (Feroz Khan & Godwin The dietary survey of the local population revealed the con-
Wesley, 2011). The concentration of 210Po for prawn (Fenner- sumption of various edibles which in turn helped to assess the
openaeus indicus) obtained in our study (53.97
3.7 Bq/kg), is annual committed effective dose. Based on the dietary survey,
lower than the value reported by Saiyad Musthafa and it was observed that the seafood especially fish, mussel,
Krishnamoorthy (2012) for Ennore Creek (61.3
4.3 Bq/kg). prawn and crab comprise a major portion in daily dietary
The value of 210Po concentration in the crab, Portinus sangui- intake and the edibles of plant origin play a minor
nolentus (40.1
4.4 Bq/kg) is comparable to those reported by
Feroz Khan & Godwin Wesley, 2011 (42.3
1.1 Bq/kg). The
difference in the level of 210Po accumulation in different
groups of seafood could be due to the differences in meta-
bolism and feeding pattern (Alam & Mohamed, 2011).
The 210Po concentration in the surface sediment was
2.30
0.3 Bq/kg. This value is comparable to those reported by
Suriyanarayanan et al. (2008) for the coastal area of Naga-
pattinam (1.9
0.3 Bq/Kg) which is about 300 km away from
the present study area. To compare 210Po in seafood samples
with that of dietary items in the terrestrial environment, some
locally grown dietary items were also evaluated for their 210Po
concentration. Table 5 shows the concentration of 210Po
observed in terrestrial edible items ranged from 0.04
0.01 to
0.21
0.04 Bq/kg, which is comparable with the results ob-
tained for vegetable edibles in Kalpakkam
(0.013
0.005e0.485
0.12 Bq/kg) (Kannan et al., 2001) as well
as in Meghalaya, India (0.020
0.002e0.056
0.003 Bq/kg)
(Deswyn Marbaniang, Raj Poddar, Nongkynrih, & Darlando Fig. 3 e Contribution of Annual committed effective dose
Khathing, 2010). from different dietary sources.
212 J o u r n a l o f R a d i a t i o n R e s e a r c h a n d A p p l i e d S c i e n c e s 7 ( 2 0 1 4 ) 2 0 7 e2 1 3
Table. 6 e Committed effective dose due to 210Po from
different locations of the world.
Location Dose (mSv/ Reference
year)
Kalpakkam, 0.74
0.153 Kannan et al. (2001)
India
Kudankulam 0.01e0.51 Feroz Khan and Godwin Wesley
coast (2011)
Meghalaya, 0.34 Deswyn Marbaniang et al. (2010)
India
Sudan, Red Sea 0.003e0.004 Hassona et al. (2008)
France 0.04e0.01 Connan et al. (2007)
Baltic Sea 0.70 Nielsen et al. (1999)
Kanyakumari 2.24 Present study
coast
contribution in the diet of the local people. Among the sea
food samples, although the mussel species would be available
only for a short period (3e4 months in a year), the per capita
consumption of mussel by each adult has been found to be
about 4.5 kg/year (Table . 4). The total annual committed
effective dose was estimated to be 2.24 mSv/year, whereas,
the consumption of only the mussels by an adult resulted in
an annual committed effective dose varying between the
average range of 0.42e1.72 mSv/year (Fig. 2). Since coconut,
banana and cassava are the commonly available terrestrial
plant edibles of this region, these food items play a major role
in daily diet among plant edibles. However, the annual
committed effective dose through the consumption of
terrestrial food items by an adult accounted for only 0.05 mSv/
year (Kalluvilai). The study has shown clearly that the
contribution of 210Po is primarily due to the intake of mussel
(76.98%), and the other seafood (20.58%) (Fig. 3). The average
annual committed effective dose obtained from the present
study, excluding the mussel species was only 0.51 mSv/year,
which is comparable to the value obtained from Baltic sea
(0.70 mSv/year) (Nielsen et al., 1999). However the annual
committed effective doses obtained from countries like Sudan
(0.003e0.004 mSv/year) (Hassona, Sam, Osman, Sirelkhatim, &
Larosa, 2008) and France (0.04e0.12 mSv/year) (Connan,
Germain, Solier, & Gouret, 2007) are much lower (Table. 6).
The lower annual effective dose reported in Sudan may be due
to the fact that the study has included the consumption of
only the sea fish, in which the 210Po concentration is less
compared to other sea food items such as prawn, crab and
mussel. Similarly the lower 210Po concentration in mussel,
oyster and fish in France might have contributed to the lower
annual effective dose. In the present study, the higher con-
centration of 210Po in bioindicator bivalve mussel species and
higher intake of bivalve mussel (4.5 kg/year) in diet of the local
people are the major factors for its higher contribution in
annual committed effective dose when compared to other sea
food such as fish, prawn and crab. The studies on dose cal-
culations are essential not only in evaluating the dose to
humans by the consumption of seafood but also in providing
additional knowledge about the behaviour of radionuclides
(Mat Catal, Ugur, Ozden, & Filizok, 2012). Thus the present
study clearly reveals the role of 210Po in annual committed
effective dose through the high human consumption of
bivalve mussel.
5. Conclusion
In the present study, 210Po concentration observed in bio-
indicator mussel samples from Kalluvilai area
(320.00
18.1 Bq/kg) is comparatively higher than other sites.
The activity of 210Po was non-uniformly distributed in selected
foodstuffs. The concentration of 210Po in food is in the order of
mollusk > crustacean > fish > terrestrial plant edibles. The
annual committed effective dose amongst fishermen popu-
lation residing in Kanyakumari coastal area was calculated
with concern to their unique habitual intake of diets which is
different from other population of the same area (2.24 mSv/
year). The annual committed effective dose estimated in
Kanyakumari coast is comparable to other reported values
apart from the intake of mussel (0.51 mSv/year). The con-
sumption of bivalve mussel is much higher in this region
compared to other parts of the country and hence the slightly
higher annual committed effective dose obtained in the pre-
sent study is mainly due to the intake of bivalve mussel by the
local people. However, the annual committed effective dose
estimated in the present study is lower than the values re-
ported for the public residing in areas with high natural
background radiation like Brazil (annual effective
dose > 7 mSv/year) and China (6.4 mSv/year) (Jolyon Hendry
et al., 2009). No radiation induced effect has been reported in
people residing in areas with slightly elevated background
radiation and hence it may be concluded that the annual
committed effective dose calculated for this region might not
cause any health hazards to the general public.
Acknowledgement
The authors would like to express their thanks to the Uni-
versity Grants Commission, New Delhi for providing financial
assistance through major research project and Dr. S. Dha-
nuskodi, Professor and Head, Department of Physics, Bhar-
athidasan University, Tiruchirappalli for providing access to
alpha-counter instrumentation facility.
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Egyptian Journal of Aquatic Research (2014) 40, 125–131

H O S T E D BY
National Institute of Oceanography and Fisheries

Egyptian Journal of Aquatic Research

http://ees.elsevier.com/ejar
www.sciencedirect.com

FULL LENGTH ARTICLE

Coastal engineering and Harmful Algal Blooms

along Alexandria coast, Egypt
Amany A. Ismael

Oceanography Department, Faculty of Science, Alexandria University, Egypt

Received 1 May 2014; revised 27 June 2014; accepted 21 July 2014

Available online 12 August 2014

KEYWORDS Abstract The coast of Alexandria has been subjected to successive engineering alterations since
Coastal engineering; 1998. Such alterations have affected the topography of the coast as well as the water quality, the
Artificial lagoons; phytoplankton productivity and diversity. In 1998 protective wave breakers were built in order
Harmful algae; to reduce erosion and create new beaches. This resulted in the formation of relatively large semi-
Alexandria coast; closed, shallow lagoons. Due to their shallow depth and the partial stagnation of their waters, these
Egypt lagoons became a suitable environment for algal blooms. Corrective measures were then taken
around 2010 to reduce the harmful effects caused by the previous coastal modifications.
The phytoplankton composition and its standing crop became totally different during the two
periods. The most important bloom was caused by Micromonas pusilla forming a heavy green tide
accompanied by a bloom of Peridinium quinquecorne. Although there were no fish or invertebrate
mortality, this bloom caused economic losses to internal tourism. In the absence of any Environ-
mental Assessment, the coastal engineering works increased the harmful algal blooms in Alexandria
coastal waters, even after corrective steps were taken to mitigate the harmful effects.
ª 2014 Hosting by Elsevier B.V. on behalf of National Institute of Oceanography and Fisheries.

Introduction
Coastal areas are remarkably dynamic environments rich in
natural resources, biological diversity and with high potential
for all kind of commercial activities. The rising pressure over
the coastal zone at the global level has been broadly dealt with
the scientific literature (UNEP, 1991). The junction of multiple
interests, such as fisheries, tourism, ports and industrial activ-
ities makes these areas the most populated in the world,
demanding efforts of protection of the productivity and qual-
E-mail addresses: amany_3@yahoo.com, amany.abdelhamed@alexu.
edu.eg
Peer review under responsibility of National Institute of Oceanography
and Fisheries.
ity of the coastal resources and human health of coastal com-
munities (Tagliani et al., 2003).
Alexandria coasts are certainly areas where both human
activities and environmental pressures are at maximum.
Erosion and deposition of solid materials by the action of
water movement are continuous processes along the shoreline.
As a result, beaches had to be protected since 1934 in order to
prevent further erosion and to provide new recreational bea-
ches (El-Wakeel et al., 1980). A series of groins and detached
breakwaters were built during the last two decades to mitigate
hot spot beach erosion. At a later stage the coastal area of
Alexandria was subjected to further coastal engineering works
which affected not only the topography of the area but also the
water quality, productivity and phytoplankton communities of
the coastal area. As a later stage, it soon appeared that correc-

http://dx.doi.org/10.1016/j.ejar.2014.07.005
1687-4285 ª 2014 Hosting by Elsevier B.V. on behalf of National Institute of Oceanography and Fisheries.
126 A.A. Ismael

tive measures have to be taken to mitigate the negative impacts

of the coastal works which had been carried out. Three phases
therefore have to be distinguished (Report of Engineering Cen-
ter-Faculty of Engineering, Alexandria University, personal
communication).

Phase (1): 1998–2003 (Fig. 1a)

A series of groins and detached breakwaters were built perpen-

dicular to the coastline.
But these structures soon proved to be ineffective in pre-
venting beach erosion.

Phase (2): 2003–2007 (Fig. 1b)

T-shaped breakwaters were built extending for 400 m paral-

lel to the coast in front of El-Mandara (Stations 1 &
2)120 m offshore, all structures being 3 meters in elevation
above the sea level. Several artificial beach nourishment pro-
jects were also carried out with the addition of no less than
250cu.m sand per meter length. In addition, groins perpen-
dicular to the beach and protective wave breakers were also
built. As a result, relatively large semi-closed shallow
lagoons about 3 m depth for swimming and recreation were
created (Ismael and Halim, 2008).

Phase (3): Corrective works after 2007 (Fig. 1c)

After completing the second phase of coastal engineering, it

appeared that wave action causes strong erosion in front of
El-Mandara (Stations 1 & 2) and that erosion extended to
the Corniche (the sea front) wall in the unprotected segments.
Following the recommendations of the Organization for plan-
ning of the Alexandria region, all breakwaters were submerged
below the sea level. This change led to minimizing the impact
on marine life, erosion and sedimentation.
At any given time and place, the degree of diversity and
amount of biomass in a natural assemblage of phytoplank-
ton represent a balance among numerous environmental fac-
tors including irradiance, temperature, salinity, grazing and
nutrient input. When these factors undergo rapid change,
the new conditions may be favorable to some species and
unfavorable to others. Shifts within the plankton assemblage
may be gradual, occurring over the course of several weeks
or can sometimes occur within just a few days (Sommer
et al., 1993).
The aim of the present study is to investigate the impact of
successive coastal engineering processes on the phytoplankton
community from Miami to El-Mandara during the two phases
of modifications (2007 & 2011) to complete the work of Ismael
and Halim (2008).

Figure 1 Coastal engineering and station position during the

Material and methods
three phases. (A) phase 1 (1998–2003), (B) phase 2 (2003–2007),
(C): phase 3 (after 2007).
Sample collection

All samples were collected during the period from 26 June to Environmental parameters
15 September 2007 and from 16 June to 17 August 2011 from Salinity, temperature and pH were measured in situ using
Miami Beach (St. 4), El Asafra (St. 3) to El-Mandarah (St. 1 HANA instruments; salintest model HI 98203 and pH-C
and 2) along about 3.75 km of the coast (Fig. 1). model HI 98127. In addition, one liter of water sample from
Coastal engineering and Harmful Algal Blooms along Alexandria coast 127

Table 1 Range of environmental parameters recorded during Results and discussion

the three phases of coastal engineering (phase 1 after Egyptian
Environmental Affair Agency, 2003 and El-Sakka and El Soud, Water quality
2007, phase 2 after Ismael and Halim, 2008, phase 3 present
study). The results of water quality are summarized in table (1). Com-
Parameter Phase 1 Phase 2 Phase 3 parison between the pH, salinity and temperature during the
three phases showed that there are no significant variations
Salinity (SPU) 37.8–39.2 37–39.6 37.8–39.5
between them. The pH values are on the alkaline side ranging
Temperature (C) 26.6–30.2 26.5–30 26.1–31.2
pH 7.64–8.34 8.1–8.6 8.1–8.7
from 7.6 to 8.7, which fall within the normal range of sea
Nitrate (lmol l 1) 0.32–2.56 3.43–22.37 3.47–12.67 water. Salinity ranged from 37 to 39.6 spu at all phases. A
Nitrite (lmol l 1) 0.01–0.03 0.35–1.91 0.82–1.91 lower salinity (Ismael and Halim, 2008) was recorded during
Phosphate (lmol l 1) 0.03–0.04 1.66–2.89 0.68–2.4 phase (2). Temperature in the three phases ranged from 26.1
to 31.2 C, the maximum temperature was recorded during
phase (3).
On the other hand, nutrient concentrations showed remark-
able differences between the three phases (Table 1). The lowest
each station was collected in plastic bottle for nutrient analysis. nitrate concentrations were recorded during phase (1), ranging
Nitrate, nitrite and dissolved phosphate were measured accord- from 0.32 to 2.56 lmol 1. A remarkable increase in nitrate was
ing to Standard Methods (APHA-AWWA-WPCF, 1980). detected during phase (2), ranging from 3.43 to 22.37 lmol 1.
The highest concentrations were recorded at station (4), while
Plankton samples the lower concentration was recorded at station (1). At phase
One liter of water sample was collected from each site of the (3), nitrate concentration began to decrease as the rate of
study area. All samples were examined in vivo, then preserved exchange with the open sea is expected to have increased. It
in 4% formalin, left to sediment, and counted using an ranged from 3.47 to 12.67 lmol 1. Although the nitrate con-
inverted microscope (Utermöhl, 1958) and Olympus binocular centrations were less than during phase (2), station (4) was still
microscope. characterized by its highest nitrate values.

1
Table 2 Potentially harmful species and their range of abundance during the two phases cells l · 103. NR = not recorded.
Harmful species Phase 2 (2003–2007) Phase 3 (after 2007)
Cyanophyta
Oscillatoria acutissima Kufferath 0.17–806 0.18–0.64
Phormidium nigroviridis (Thwaites ex Gomont) Anagnostidis & Komárek 0.26–1 0.17–0.4
Diatoms
Asterionellopsis glacialis (Castracane) Round 0.11–82.4 NR
Bacillaria paxillifera (Müller) Marsson 0.13–2.3 0.17–5.9
Bellerochea horologicalis Stosch 0.15–4020 0.12–6.2
Cyclotella meneghiniana Kützing 0.15–27.4 0.16–0.54
Cylindrotheca closterium (Ehrenberg) Reimann & Lewin 0.15–300 NR
Leptocylindrus minimus Gran 0.15–15.3 NR
Melosira nummuloides Agardh 0.54–23.8 1.9–2.1
Pseudonitzschia spp. 0.17–1702 0.4
Skeletonema costatum (Greville) Cleve 0.12–63 NR
Dinoflagellates
Alexandrium sp. 0.26–0.8 0.17–4.95
Amphidinium klebsii Kofoid & Swezy 0.42–99.6 NR
Lingulodinium polyedrum (Stein) Dodge 0.17–0.31 NR
Ostreopsis sp. NR 0.15–41.8
Peridinium quinquecorne Abé 0.51–9909 0.17–2985
Prorocentrum lima (Ehrenberg) Stein 0.11–9.1 0.12–0.25
Prorocentrum micans Ehrenberg 0.14–18.3 0.44
Prorocentrum minimum (Pavillard) Schiller 0.27–2.2 0.18–6.1
Scrippsiella trochoidea (Stein) Balech ex Loeblich III 0.13–91.5 0.16–8
Euglenophytes
Euglena sp. 0.15–0.45 0.17–13.9
Eutreptia sp. 0.27–2465 0.36–13.9
Prasinophytes
Micromonas pusilla (Butcher) Manton & Parke 1.7–21792 0.54–905
128 A.A. Ismael

Phosphate concentrations showed the same trend as nitrate. program (CWMP) established in 1999 by the Egyptian Envi-
Phosphate concentration was very low during phase (1), ranging ronmental Affair Agency (EEAA) and the Danish Interna-
from 0.03 to 0.04 lmol 1. It increased to reach 2.89 lmol 1 tional Development Assistance (DANIDA) demonstrated
during phase (2) and decreased again at phase (3) with a maxi- that the public beaches of Alexandria were ‘‘clean and unpol-
mum concentration of 2.4 lmol 1 (Table 1). Nitrite concentra- luted’’ (Egyptian Environmental Affair Agency, 2003). The
tion was low during phase (1), ranging from 0.01 to 0.03 lmol 1, measurement of eutrophication parameters reflected oligo-
and increased during phases (2) and (3) until reaching trophic conditions in this area (El-Sakka and El Soud, 2007).
1.94 lmol 1.
During phase (2), therefore higher nutrient concentrations Phase (2)
and lower salinity values were recorded at the semi-closed This phase was characterized by phytoplankton blooms as the
areas (Sts. 1 and 4). nutrient concentrations were high and the lagoons become
semi-stagnant. With increasing temperature during summer,
Phytoplankton community these artificial lagoons became a suitable environment for algal
blooms. Eighty-eight species were recorded belonging to 6
Phase (1) groups; bacillariophyta, dinophyta, cyanophyta, eugleno-
Information concerning phytoplankton community and distri- phyta, chrysophyta and prasinophyta. Among them 23 species
bution during this phase is completely absent. The monitoring are known to be potentially harmful (Table 2). These species

St 1 St 2 St 3 St 4
a
35

30
Standing crop (cells l-1 X 10 6 )

25

20

15

10

0
23 July 2007

15 September 2007
26 June 2007

4 August 2007

1 September 2007
7 July 2007

16 August 2007

Date

St 1 St 2 St 3 St 4
b 35

30
standing crop (cells l-1 x 10 6 )

25

20

15

10

0
10 August 2011

17 August 2011
14 July 2011
16 June 2011

28 June 2011

Dates

1
Figure 2 Total phytoplankton abundance (cells l · 106). (A) phase 2 (2003–2007), (B) phase 3 (After 2007).
Coastal engineering and Harmful Algal Blooms along Alexandria coast 129

St (1) St (2) St (3) St (4)

a 25

20

cell l-1 x 106

15

10

0
06/26/07

07/07/07

07/23/07

08/04/07

08/16/07

09/01/07

09/15/07
Date

St (1) St (2) St (3) St (4)

b 12

10
cell l-1 x 106

0
06/26/07

07/07/07

07/23/07

08/04/07

08/16/07

09/01/07

09/15/07

Date

1
Figure 3 Total abundance (cells l · 106) of (a) Micromonas pusilla (b) Peridinium quinquecorne during phase 2 (2003–2007).

are responsible for blooms at all stations during this phase.
The phytoplankton abundance during this phase ranged from
14 · 103 to 31.7 · 106 cell l 1 (Fig. 2A). The density of the
blooms was governed by the rate of exchange with the open
sea. It seems to be that lagoons with only one outlet to the
sea were outstanding in their bloom density, in contrast with
lagoons with more than one opening. The two openings in St
2 and 3 allowed the exchange of water and as a result the phy-
toplankton standing crop decreased.
This phase was characterized by:
(a) The first record of Micromonas pusilla (Figs. 3a, 4a)
in Alexandria waters forming a green tide, with a
maximum standing crop reaching 21.7 · 106 cell l 1 at
station (4).
(b) The presence of Peridinium quinquecorne (Figs. 3b, 4b)
in the study area forming 4 blooms; 1.1 · 106,
1.8 · 106, 9.8 · 106 cell l 1at Sts. 1, 3 and 4, respectively
with a maximum density of 9.9 · 106 cell l 1 at St. 4.
According to previous studies (Hassan, 1972; Ismael,
1993) the species was restricted to the Eastern Harbour
west to this area with cysts of the species recorded from
the harbor sediment (Ismael et al., 2014). It is the first
record of this species in the open waters of Alexandria.
This may be due to the transport of sediment with the
species cyst to the area during this phase by the eastward
currents (Ismael, unpublished data).
(c) The blooms of Micromonas pusilla were always accom-
panied with the blooms of Peridinium quinquicorne.
(d) Other dominant species were; Pseudonitzschia spp.,
Bellerochea horologicalis, Oscillatoria acutissima and
Eutreptia sp.
(e) The continuous coastal alterations in the area lead to an
increase in the potentially harmful algal species along
the Egyptian Mediterranean coast from 29 species to
38 species (Ismael and Halim, 2009).
The vital Egyptian industry that is vulnerable to harmful
algal blooms is the internal tourism. Historically, the bathing
beaches and numerous cultural attractions in the Alexandria
region have drawn over one million visitors each year
(Agrawala et al., 2004). Although the coastal engineering
130
Figure 4 SEM (A) Micromonas pusilla (B) Peridinium
quinquecorne.
works in this phase were done to protect the beaches and
encourage tourism, the effect was opposite. These artificial
lagoons became subjected to different water quality problems
leading not only to economic losses to the internal tourism sec-
tor, but also to human health threat from intake of pathogenic
micro-organisms (bacteria and harmful dinoflagellates); direct
contact with polluted sea water and beach sand; and consump-
tion of seafood contaminated by toxic dinoflagellates,
especially bioaccumulating organisms such as filter feeders
(El-Sakka and El Soud, 2007; Ismael and Halim, 2008).
After 2007, the regional authority launched an innovative
policy, aimed at reducing the harmful effects caused by the
previous coastal modifications along an area of about 3.75 km.
Phase (3)
This phase was characterized by the remarkable decrease in
phytoplankton abundance and richness. The phytoplankton
richness decreased to 55 species and the potentially harmful
species decreased to 17 species (Table 2). The phytoplankton
A.A. Ismael
standing crop ranged from 1.4 · 103 to 2.99 · 106 cell l 1
(Fig. 2B), the decrease in abundance accompanied the decrease
in nutrient concentrations.
In addition, Asterionellopsis glacialis, Cylindrotheca closte-
rium, Leptocylindrus minimus, Skeletonema costatum, Amphid-
inium klebsii and Lingulodinium polyedrum became completely
absent (Table 2). During this phase, Station (4) was the only
station that supported phytoplankton blooms especially;
Micromonas pusilla and Peridinium quinquecorne. The number
of blooms dropped to three times only and their maximum
abundance decreased to 0.905 · 106 cell l 1 and 2.98 · 106
cell l 1, respectively. Although this phase was characterized
by a reduced number of harmful species, Peridinium quinque-
corne became higher in abundance than Micromonas pusilla
presumably as its cysts became well established in the area
(Ismael, unpublished data).
Comparison between phases (2) and (3) showed that,
Micromonas pusilla formed a green tide with 3 blooms;
9.39 · 106, 3.53 · 106 at St 1 and 21.8 · 106 at St 4 during
phase (2), but dropped to one bloom (905 · 103 cell l 1) during
phase (3) recorded at St (4). In addition Pseudonitzschia spp.
dominated in mid-September 2007 at St (1) with a maximum
abundance of 1.7 · 106 cell l 1, was recorded only once at St.
(1) with a much lower abundance (400 cell l 1) during phase
(3).
Conclusions
A major problem along Alexandria shoreline is beach erosion
(El-Wakeel et al., 1980). Accordingly, the coast was subjected
to coastal engineering modifications in order to reduce erosion
and establish new recreational beaches (phases 1 and 2). The
coastal modifications were done without preliminary impact
assessment and lead to negative effects. Semi closed artificial
lagoons were established and a green tide was formed for the
first time along these lagoons due to their shallowness and
increase in nutrient concentrations. Corrective measures had
to be taken to mitigate the negative effects which appeared
after phases 1 and 2.
Acknowledgment
The author would like to thank Prof. Youssef Halim
Oceanography Department, Faculty of science, Alexandria
University for his reading of the manuscript and for his
helpful comments that improved this manuscript.
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